Carlos Nunes Silva Handbook of Research On E-Planning ICTs For Urban Development and Monitoring

Handbook of Research
on E-Planning:
ICTs for Urban Development
and Monitoring
Carlos Nunes Silva

Institute of Geography and Spatial Planning
University of Lisbon, Portugal
InformatIon scIence reference

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Library of Congress Cataloging-in-Publication Data
Handbook of research on e-planning : ICTs for urban development and monitoring / Carlos Nunes Silva, editor.
p. cm.
Includes bibliographical references and index.
Summary: "This book provides relevant theoretical perspectives on the use of ICT in Urban Planning as well as an updated
account of the most recent developments in the practice of e-planning in different regions of the world"- -Provided by publisher.
ISBN 978-1-61520-929-3 (hbk.) -- ISBN 978-1-61520-930-9 (ebook) 1. City planning--Information technology. 2. City
planning--Geographic information systems. 3. City planning--Citizen participation. I. Silva, Carlos Nunes.
HT166.H362 2010
307.1'216--dc22
2009040554
British Cataloguing in Publication Data

A Cataloguing in Publication record for this book is available from the British Library.
All work contributed to this book is new, previously-unpublished material. The views expressed in this book are those of the
authors, but not necessarily of the publisher.
Editorial Advisory Board
Ari-Veikko Anttiroiko, University of Tampere, Finland
Roger Caves, San Diego State University, USA
Soon Ae Chun, City University of New York, USA
Morten Falch, University of Aalborg, Denmark
Lech J. Janczewski, The University of Auckland, New Zealand
List of Reviewers
Ian Bishop, The University of Melbourne, Australia
Angus Whyte, University of Edinburgh, UK
Richard E. Klosterman, University of Akron, USA
Tomas Ohlin, Linkoping University, Sweden
Richard Heeks, University of Manchester, UK
Shirin Madon, London School of Economics and Political Science, UK
Zorica Nedovic-Budic, University of Illinois at Urbana-Champaign, USA
Rina Ghose, University of Wisconsin-Milwaukee, USA
Edward J. Malecki, The Ohio State University, USA
Hendrick Wagenaar, Leiden Universiteit, Netherlands
Anni Dugdale, University of Canberra, Australia
Clay Wescott, Asia Pacific Governance Institute, USA
Ramona McNeal, University of Northern Iowa, USA
James Stewart, University of Edinburgh, UK
Gabriel Dupuy, Universit Paris 1 Panthon Sorbonne, Paris
Gregory G. Curtin, University of Southern California, USA
Richard M. Levy, University of Calgary, Canada
Michael McCall, Universidad Nacional Autonoma de Mexico, Mexico
Scott McQuire, University of Melbourne, Australia
Teal Triggs, University of the Arts London, UK
Rana Tassabehji, University of Bradford, UK
Ralf Klischewski, German University in Cairo - GUC, Egypt
Michael Flamm, Ecole Polytechnique Fdrale de Lausanne, Switzerland
Bauke de Vries, Eindhoven University of Technology, The Netherlands
Sarah Elwood, University of Washington, USA
Georg Aichholzer, Austrian Academy of Sciences, Austria
List of Contributors
Abdullah, Alias / International Islamic University Malaysia, Malaysia........................................... 435

Abdullah, Muhammad Faris / International Islamic University Malaysia, Malaysia .................... 435
Aikins, Stephen Kwamena / University of South Florida, USA ....................................................... 404
Al-Kodmany, Kheir / University of Illinois at Chicago, USA .......................................................... 143
Arnberger, Arne / University of Natural Resources and Applied Life Sciences, Austria.................. 103
strm, Joachim / rebro University, Sweden ................................................................................. 237
Baum, Scott / Griffith University, Australia ...................................................................................... 324
Bolay, Jean-Claude / Ecole polytechnique fdrale de Lausanne EPFL, Switzerland ..................... 306
Borning, Alan / University of Washington, USA.................................................................................. 36
Bourdakis, Vassilis / University of Thessaly, Greece ........................................................................ 268
Camarda, Domenico / Technical University of Bari, Italy ............................................................... 195
Caperna, Antonio / Universit degli Studi Roma Tre, Italy .............................................................. 340
Chen, Yun / University of Salford, UK................................................................................................. 36
Conroy, Maria Manta / The Ohio State University, USA ................................................................. 218
Deffner, Alex / University of Thessaly, Greece .................................................................................. 268
Dllner, Jrgen / Hasso-Plattner-Institute at University of Potsdam, Germany .............................. 120
Evans-Cowley, Jennifer / The Ohio State University, USA .............................................................. 218
Granberg, Mikael / rebro University, Sweden ............................................................................... 237
Hamilton, Andy / University of Salford, UK ....................................................................................... 36
Horelli, Liisa / Helsinki University of Technology, Finland ................................................................ 58
Howell, Angela / Department of Defense, USA ................................................................................. 388
Jobst, Markus / Hasso-Plattner-Institute at University of Potsdam, Germany ................................ 120
Klessmann, Jens / Fraunhofer Institute for Open Communication Systems (FOKUS), Germany ... 252
Kubicek, Herbert / University of Bremen, Germany ........................................................................ 168
Lubanski, Olaf / Jobstmedia Prsentation Verlag, Austria............................................................... 120
Mahizhnan, Arun / National University of Singapore, Singapore.................................................... 324
Morgan-Morris, Vanessa / Constellation Energy and Community College
of Baltimore County, USA .............................................................................................................. 388
Nummi, Pilvi / Helsinki University of Technology, Finland ................................................................ 80
Pang, Les / University of Maryland University College, USA ........................................................... 388
Rantanen, Heli / Helsinki University of Technology, Finland ............................................................. 80
Reed, Darren J. / University of York, UK .......................................................................................... 365
Reichhart, Thomas / University of Natural Resources and Applied Life Sciences, Austria ............. 103
Repetti, Alexandre / Ecole polytechnique fdrale de Lausanne EPFL, Switzerland ...................... 306
Silva, Carlos Nunes / Institute of Geography and Spatial Planning, University of Lisbon, Portugal ......1
Staffans, Aija / Helsinki University of Technology, Finland ............................................................... 80
Velibeyoglu, Koray / Izmir Institute of Technology, Turkey .............................................................. 420
Wallin, Sirkku / Helsinki University of Technology, Finland ............................................................. 58
Webster, Andrew / University of York, UK........................................................................................ 365
Wessels, Bridgette / University of Sheffield, UK ............................................................................... 286
Yigitcanlar, Tan / Queensland University of Technology, Australia ................................................... 15
Zahari, Rustam Khairi / International Islamic University Malaysia, Malaysia.............................. 435
Table of Contents
Preface . ................................................................................................................................................ xx
Acknowledgment................................................................................................................................ xxv
Section 1
Theory and Methods in E-Planning
Chapter 1
The E-Planning Paradigm-Theory, Methods and Tools: An Overview................................................... 1
Carlos Nunes Silva, Institute of Geography and Spatial Planning, University of Lisbon, Portugal
Chapter 2
Planning Online: A Community-Based Interactive Decision-Making Model....................................... 15
Tan Yigitcanlar, Queensland University of Technology, Australia
Chapter 3
Modelling & Matching and Value Sensitive Design: Two Methodologies for E-Planning
Systems Development............................................................................................................................ 36
Yun Chen, University of Salford, UK
Andy Hamilton, University of Salford, UK
Alan Borning, University of Washington, USA
Chapter 4
The Future-Making Assessment Approach as a Tool for E-Planning and Community
Development: The Case of Ubiquitous Helsinki................................................................................... 58
Liisa Horelli, Helsinki University of Technology, Finland
Sirkku Wallin, Helsinki University of Technology, Finland
Chapter 5
Local Internet Forums: Interactive Land Use Planning and Urban Development
in Neighbourhoods................................................................................................................................. 80
Aija Staffans, Helsinki University of Technology, Finland
Heli Rantanen, Helsinki University of Technology, Finland
Pilvi Nummi, Helsinki University of Technology, Finland
Chapter 6
Does Computer Game Experience Influence Visual Scenario Assessment of Urban
Recreational Paths? A Case Study Using 3-D Computer Animation .................................................. 103
Arne Arnberger, University of Natural Resources and Applied Life Sciences, Austria
Thomas Reichhart, University of Natural Resources and Applied Life Sciences, Austria
Chapter 7
Communicating Geoinformation Effectively with Virtual 3D City Models....................................... 120
Markus Jobst, Hasso-Plattner-Institute at University of Potsdam, Germany
Jrgen Dllner, Hasso-Plattner-Institute at University of Potsdam, Germany
Olaf Lubanski, Jobstmedia Prsentation Verlag, Austria
Chapter 8
Political Power, Governance, and E-Planning .................................................................................... 143
Kheir Al-Kodmany, University of Illinois at Chicago, USA
Section 2
Citizen Participation in E-Planning
Chapter 9
The Potential of E-Participation in Urban Planning: A European Perspective ................................... 168
Herbert Kubicek, University of Bremen, Germany
Chapter 10
Beyond Citizen Participation in Planning: Multi-Agent Systems for Complex
Decision-Making................................................................................................................................. 195
Domenico Camarda, Technical University of Bari, Italy
Chapter 11
The E-Citizen in Planning: U.S. Municipalities Views of Who Participates Online ......................... 218
Maria Manta Conroy, The Ohio State University, USA
Jennifer Evans-Cowley, The Ohio State University, USA
Chapter 12
Planners Support of E-Participation in the Field of Urban Planning .................................................. 237
Mikael Granberg, rebro University, Sweden
Joachim strm, rebro University, Sweden
Chapter 13
Portals as a Tool for Public Participation in Urban Planning ............................................................. 252
Jens Klessmann, Fraunhofer Institute for Open Communication Systems (FOKUS), Germany
Chapter 14
Can Urban Planning, Participation and ICT Co-Exist? Developing a Curriculum and an
Interactive Virtual Reality Tool for Agia Varvara, Athens, Greece..................................................... 268
Vassilis Bourdakis, University of Thessaly, Greece
Alex Deffner, University of Thessaly, Greece
Chapter 15
The Role of Local Agencies in Developing Community Participation in E-Government
and E-Public Services ......................................................................................................................... 286
Bridgette Wessels, University of Sheffield, UK
Chapter 16
ICTs and Participation in Developing Cities ...................................................................................... 306
Alexandre Repetti, Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
Jean-Claude Bolay, Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
Chapter 17
Public Participation in E-Government: Some Questions about Social Inclusion
in the Singapore Model ....................................................................................................................... 324
Scott Baum, Griffith University, Australia
Arun Mahizhnan, National University of Singapore, Singapore
Section 3
Innovations and Challenges in Urban Management
Chapter 18
Integrating ICT into Sustainable Local Policies ................................................................................. 340
Antonio Caperna, Universit degli Studi Roma Tre, Italy
Chapter 19
Architectures of Motility: ICT Systems, Transport and Planning for Complex Urban Spaces .......... 365
Darren J. Reed, University of York, UK
Andrew Webster, University of York, UK
Chapter 20
RFID in Urban Planning ..................................................................................................................... 388
Les Pang, University of Maryland University College, USA
Vanessa Morgan-Morris, Constellation Energy and Community College of Baltimore County, USA
Angela Howell, Department of Defense, USA
Chapter 21
E-Planning: Information Security Risks and Management Implications ........................................... 404
Stephen Kwamena Aikins, University of South Florida, USA
Chapter 22
E-Planning Applications in Turkish Local Governments ................................................................... 420
Koray Velibeyoglu, Izmir Institute of Technology, Turkey
Chapter 23
GIS Implementation in Malaysian Statutory Development Plan System ........................................... 435
Muhammad Faris Abdullah, International Islamic University Malaysia, Malaysia
Alias Abdullah, International Islamic University Malaysia, Malaysia
Rustam Khairi Zahari, International Islamic University Malaysia, Malaysia
Compilation of References ............................................................................................................... 455
About the Contributors .................................................................................................................... 503
Index ................................................................................................................................................... 512

Detailed Table of Contents
Preface . ................................................................................................................................................ xx
Acknowledgment................................................................................................................................ xxv
Section 1
Theory and Methods in E-Planning
Chapter 1
The E-Planning Paradigm-Theory, Methods and Tools: An Overview................................................... 1
Carlos Nunes Silva, Institute of Geography and Spatial Planning, University of Lisbon, Portugal
The chapter discusses the relationships between planning theory and the use of information and com-
munication technologies in urban planning. It explores how recent organizational transformations in
urban planning, associated with the widespread use of information and communication technologies, are
incorporated by different planning theories. It is argued that the way information and communication
technologies tools are considered or included by the different planning perspectives is in part responsible
for the various forms of e-planning.
Chapter 2
Planning Online: A Community-Based Interactive Decision-Making Model....................................... 15
Tan Yigitcanlar, Queensland University of Technology, Australia
The first use of computing technologies and the development of land use models in order to support
decision-making processes in urban planning date back to as early as mid 20th century. The main thrust
of computing applications in urban planning is their contribution to sound decision-making and plan-
ning practices. During the last couple of decades many new computing tools and technologies, including
geospatial technologies, are designed to enhance planners capability in dealing with complex urban
environments and planning for prosperous and healthy communities. This chapter, therefore, examines
the role of information technologies, particularly internet-based geographic information systems, as
decision support systems to aid public participatory planning. The chapter discusses challenges and op-
portunities for the use of internet-based mapping application and tools in collaborative decision-making,
and introduces a prototype internet-based geographic information system that is developed to integrate
public-oriented interactive decision mechanisms into urban planning practice. This system, referred as
the Community-based Internet GIS model, incorporates advanced information technologies, distance
learning, sustainable urban development principles and community involvement techniques in decision-
making processes, and piloted in Shibuya, Tokyo, Japan.
Chapter 3
Modelling & Matching and Value Sensitive Design: Two Methodologies for E-Planning
Systems Development........................................................................................................................... 36
Yun Chen, University of Salford, UK
Andy Hamilton, University of Salford, UK
Alan Borning, University of Washington, USA
In this chapter the authors present two methodologies: Modelling & Matching methodology (M&M)
and Value Sensitive Design (VSD), which can help address the knowledge gap in the methodologies for
designing e-Planning systems. Designed to address the requirements of diverse user groups and multi-
disciplinary cooperation for systems development, these two methodologies offer operational guidance
to e-Planning systems developers. After the background introduction on e-Planning systems, these two
methodologies are described, along with their application in two projects, namely VEPs and UrbanSim.
This is followed by suggestions for the further work and conclusions.
Chapter 4
The Future-Making Assessment Approach as a Tool for E-Planning and Community
Development: The Case of Ubiquitous Helsinki .................................................................................. 58
Liisa Horelli, Helsinki University of Technology, Finland
Sirkku Wallin, Helsinki University of Technology, Finland
As e-planning takes place in a complex and dynamic context, consisting of many stakeholders with a
diversity of interests, it benefits from an evaluation approach that assists in the monitoring, supporting
and provision of feedback. For this purpose, the authors have created a new approach to e-planning,
called the Future-making assessment. It comprises a framework and a set of tools for the contextual
analysis, mobilisation and nurturing of partnerships for collective action, in addition to an on-going
monitoring and evaluation system. The aim of this chapter is to present and discuss the methodology
of the Future-making assessment-approach (FMA) and its application in a case study on e-planning of
services in the context of community development, in a Helsinki neighbourhood.
Chapter 5
Local Internet Forums: Interactive Land Use Planning and Urban Development
in Neighbourhoods ................................................................................................................................ 80
Aija Staffans, Helsinki University of Technology, Finland
Heli Rantanen, Helsinki University of Technology, Finland
Pilvi Nummi, Helsinki University of Technology, Finland
The Internet is shaking up the expertise and production of knowledge in the planning institution. Digital
citizens are searching for information from different places, combining formal and informal sources
without apology, and are debating and speaking out on matters. Public planning organisations will be
fully stretched to adapt their practices and services to meet these demands. This chapter will present the
research results of a project that embarked on gathering and combining local information and knowledge
on urban planning on Internet forums. Interactive applications were also developed for these forums
to support public participation in ongoing land use planning and development projects in the City of
Espoo, Finland. The research results demonstrate how fragmented local, place-based knowledge is,
how difficult it is to combine informal and formal information in urban planning, and how inaccessible
public data systems still are.
Chapter 6
Does Computer Game Experience Influence Visual Scenario Assessment of Urban
Recreational Paths? A Case Study Using 3-D Computer Animation .................................................. 103
Arne Arnberger, University of Natural Resources and Applied Life Sciences, Austria
Thomas Reichhart, University of Natural Resources and Applied Life Sciences, Austria
During the past decades, computer visualizations have been frequently used in urban e-Planning and
research. The question arises of whether the degree of experience with the computer during leisure time
can have an influence on the assessment of computer-visualized outdoor environment scenarios using
visualizations comparable to computer games. The authors used a computer-animated choice model to
investigate the influence of computer game experience on respondents preferences for an urban rec-
reational trail. Static and animated representations of use scenarios were produced with 3-D computer
animation techniques. Three social factors were investigated: number of trail users, user composition,
and direction of movement: The scenarios were presented to respondents (N = 149), segmented into
groups with different computer game experience. The results indicate that the individual experience with
computer gaming and the presentation mode influences the evaluation of trail scenarios. Animated trail
scenarios seem to be more useful than static ones.
Chapter 7
Communicating Geoinformation Effectively with Virtual 3D City Models....................................... 120
Markus Jobst, Hasso-Plattner-Institute at University of Potsdam, Germany
Jrgen Dllner, Hasso-Plattner-Institute at University of Potsdam, Germany
Olaf Lubanski, Jobstmedia Prsentation Verlag, Austria
Planning situations are commonly managed by intensive discussions between all stakeholders. Virtual
3D city models enhance these communication procedures with additional visualization possibilities
(in opposite to physical models), which support spatial knowledge structuring and human learning
mechanisms. This chapter discusses key aspects of virtual 3D city creation, main components of virtual
environments and the framework for an efficient communication. It also explores future research for the
creation of virtual 3D environments.
Chapter 8
Political Power, Governance, and E-Planning .................................................................................... 143
Kheir Al-Kodmany, University of Illinois at Chicago, USA
Spatial information is a crucial cornerstone of e-planning. This chapter explains the process of construct-
ing a mega geospatial database for the Hajj, the annual Muslim Pilgrimage to Makkah, Saudi Arabia. It
discusses the complex process and influence of top-down political power on the comprehensive plan-
ning process for the Hajj. It specifically examines how the process led by a politically powerful agency
impacted the creation and adoption of a mega geospatial database. The chapter provides transferable
and useful lessons on GIS misconceptions and solutions, as well as insight on how and when political
power may help in advancing the planning process.
Section 2
Citizen Participation in E-Planning
Chapter 9
The Potential of E-Participation in Urban Planning: A European Perspective ................................... 168
Herbert Kubicek, University of Bremen, Germany
Because urban planning affects the living conditions of its inhabitants, most countries, at least western
democracies, require some kind of citizen participation by law. The rise of the World Wide Web has led
to recommendations to offer participation via the Internet (eParticipation) in various forms. However,
many eParticipation applications are not well accepted and fall short of the expectations associated
with them. This chapter argues that the electronic mode of participation per se does not change much.
Rather, electronic forms of participation have to be embedded in the context of the respective planning
processes and participation procedures. If citizens are not interested in participating in an urban plan-
ning process, they will not do so just because they could do it via the Internet. Therefore, an analysis
of the barriers and deficits of eParticipation has to start with a critical review of traditional offers of
participation. Against this background, the forms and methods of electronic participation are described
and assessed in regard to expectations and barriers associated with them. It becomes apparent that
eParticipation research has still not provided solid knowledge about the reasons for low acceptance of
eParticipation tools. This research is largely based on case studies dealing with quite different subject
areas. There is also high agreement that electronic tools will not substitute traditional devices for a long
time. Instead, they will only complement them. Therefore, online and traditional forms of participation
have to be designed as a multi-channel communication system and need to be analyzed against each
context together. Accordingly, this chapter starts with summarizing both the institutional context of urban
planning and traditional modes of citizen participation and the development and use of technical tools
as two backgrounds. Recognizing a certain degree of disappointment with the low use of eParticipation,
future eParticipation research should focus on fitting electronic tools better into their context and apply
more comprehensive and rigorous evaluation.
Chapter 10
Beyond Citizen Participation in Planning: Multi-Agent Systems for Complex
Decision-Making................................................................................................................................. 195
Domenico Camarda, Technical University of Bari, Italy
The new complexity of planning knowledge implies innovation of planning methods, in both substance
and procedure. The development of multi-agent cognitive processes, particularly when the agents are
diverse and dynamically associated to their interaction arenas, may have manifold implications. In par-
ticular, interesting aspects are scale problems of distributed interaction, continuous feedback on problem
setting, language and representation (formal, informal, hybrid, etc.) differences among agents (Bousquet,
Le Page, 2004). In this respect, an increasing number of experiences on multi-agent interactions are
today located within the processes of spatial and environmental planning. Yet, the upcoming presence of
different human agents often acting au paire with artificial agents in a social physical environment (see,
e.g., with sensors or data-mining routines) often suggests the use of hybrid MAS-based approaches (Al-
Kodmany, 2002; Ron, 2005). In this framework, the chapter will scan experiences on the setting up of
cooperative multi-agent systems, in order to investigate the potentials of that approach on the interaction
of agents in planning processes, beyond participatory planning as such. This investigation will reflect
on agent roles, behaviours, actions in planning processes themselves. Also, an attempt will be carried
out to put down formal representation of supporting architectures for interaction and decision making.
Chapter 11
The E-Citizen in Planning: U.S. Municipalities Views of Who Participates Online ......................... 218
Maria Manta Conroy, The Ohio State University, USA
Jennifer Evans-Cowley, The Ohio State University, USA
Municipalities that plan have both a legal obligation and a professional directive to incorporate citizens
into the planning process, but garnering sufficient and diverse citizen participation is often a struggle.
Online participation tools as a component of e-government provide a potential venue for enhancing the
participation process. However, e-government participation raises challenges pertaining to trust, exclu-
sion, and responsiveness. This chapter contributes to our understanding of these issues by analyzing
how municipalities in the U.S. view the e-participant. The analysis is based on an ongoing longitudinal
study that examines planning department web sites for U.S. cities with 2000 census populations of
50,000 or more. The authors findings highlight respondents views of online tools as a means to further
efficiency and citizen satisfaction, rather than as a means by which to potentially enhance discussion
of community issues.
Chapter 12
Planners Support of E-Participation in the Field of Urban Planning .................................................. 237
Mikael Granberg, rebro University, Sweden
Joachim strm, rebro University, Sweden
The chapter questions what planners really mean when they display positive attitudes toward increased
citizen participation via ICTs? Are they aiming for change or the reinforcement of existing values and
practices? What are the assumptions that underlie and condition the explicit support for e-participation?
In addressing these questions, this chapter draws upon a survey mapping the support for e-participation
in the field of urban planning, targeting the heads of the planning departments in all Swedish local
governments in 2006. The results show confusing or conflicting attitudes among planners towards par-
ticipation, supporting as well as challenging the classic normative theories of participatory democracy
and communicative planning.
Chapter 13
Portals as a Tool for Public Participation in Urban Planning ............................................................. 252
Jens Klessmann, Fraunhofer Institute for Open Communication Systems (FOKUS), Germany
In this chapter it will be shown how different general types of portals can be utilized to foster public
participation processes in urban and regional planning. First portals and the objectives of their use in
the public sector are explained. This happens before the background of different concepts of adminis-
trative reform and a transition of government to an electronic manner. Then public participation will be
described and different categories thereof are presented. This part forms the basis for the delineation of
electronic participation in urban planning. Finally the already introduced general portal types will be
applied to distinguish several kinds of participation portals.
Chapter 14
Can Urban Planning, Participation and ICT Co-Exist? Developing a Curriculum and an
Interactive Virtual Reality Tool for Agia Varvara, Athens, Greece..................................................... 268
Vassilis Bourdakis, University of Thessaly, Greece
Alex Deffner, University of Thessaly, Greece
One of the recent main problems in urban planning is to find ways in order to employ practical, very broad
and commonly used theoretical principles such as participation. An additional issue is the exploitation
of the possibilities of new technologies. The process of developing a flexible three-part (common core,
public and planners) curriculum in the case of Agia Varvara (Athens, Greece) in the framework of the
Leonardo project PICT (2002-2005) showed that ICT (Information Communication Technologies) can
help in participation, mainly because it constitutes a relatively simple method of recording the views of
both the public and the planners in a variety of subjects (both open and closed).
Chapter 15
The Role of Local Agencies in Developing Community Participation in E-Government
and E-Public Services ......................................................................................................................... 286
Bridgette Wessels, University of Sheffield, UK
This chapter discusses the way in which understanding of participation in e-services has evolved through
a social learning process within planning and implementation processes. The chapter traces the develop-
ment of methodologies, partnerships and design constituencies in pilot projects that inform the devel-
opment of inclusive e-services. It draws on case studies of e-services between 1995 and 2009 to show
how planning processes become embedded in cycles of learning and development. E-services involve
change in services as well socio-technological change and relate to change in forms of participation.
This has led to the development of partnerships to plan and implement e-services and to the develop-
ment of research and design methodologies that foster participation in the design and use of e-services.
Chapter 16
ICTs and Participation in Developing Cities ...................................................................................... 306
Alexandre Repetti, Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
Jean-Claude Bolay, Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
Developing cities are experiencing substantial gaps in urban planning. They are due to approaches and
instruments that do not correspond to the realities of the developing city including the prevalence of
informal sector and slums, urban governance problem, and few resources. Information and communi-
cation technologies (ICTs) now offer enormous possibilities to use information flows, communication,
and land-use models better. ICTs offer solutions that take greater account of informal activities, enable
discussions with civil society and Internet forums to take place, etc. ICTs can enhance the planning of
developing cities, if conditions are right. The chapter provides a review of the situation in developing
cities. It analyses the challenges and potential of using ICTs to improve urban planning. Lastly, it puts
forward key conditions for the successful and relevant implementation of ICTs in order to create the
best conditions for real technological added value.
Chapter 17
Public Participation in E-Government: Some Questions about Social Inclusion
in the Singapore Model ....................................................................................................................... 324
Scott Baum, Griffith University, Australia
Arun Mahizhnan, National University of Singapore, Singapore
Singapores E-government model is considered to be among the best in the world. Over the past decade
the Singapore government has constantly developed and re-developed its on-line presence. International
comparisons have consistently rated Singapore as one of the most advanced E-government nations.
However, despite significant progress towards full E-government maturity, some issues of full public
participation remain. It is these issues which this chapter discusses. In particular, it will consider the
ways in which a digital divide within the Singapore model has emerged, despite specific policies to ad-
dress such a problem.
Section 3
Innovations and Challenges in Urban Management
Chapter 18
Integrating ICT into Sustainable Local Policies ................................................................................. 340
Antonio Caperna, Universit degli Studi Roma Tre, Italy
This work analyses the Information and Communication Technologies (hereafter referred to as ICT)
phenomenon, the opportunities it offers, the potential problems, and the relationship with local policies.
It moves on the actions needed to develop, within the Agenda 21 process, a framework able to define
some fundamental features for a new spatial theory in the information age, which will eventually consider
Information and Communication Technology not just a simple tool, but a crucial aspect of a sustainable
policy, capable, if well addressed, to mitigate various current or emerging territorial challenges such
as literacy and education, public participation in the planning process, social and geographical divide,
institutional transparency, etc.. This chapter will illustrate a framework able to assist politicians and
planners in planning a sustainable development through ICT.
Chapter 19
Architectures of Motility: ICT Systems, Transport and Planning for Complex Urban Spaces .......... 365
Darren J. Reed, University of York, UK
Andrew Webster, University of York, UK
This chapter engages with contemporary approaches to urban planning by introducing an analytic strategy
rooted in the sociological approach of Science and Technology Studies. By demarcating a social frame
and comparing this to the established engineering frame through different architectures, the chapter
reveals hitherto unrecognised features of the implementation of an intelligent transportation system called
BLISS (the Bus Location and Information SubSystem). Through the mobilities conceptual approach,
the relationships between various aspects, including the urban space, the experience of passengers, driv-
ers and managers, and component technologies, are revealed as forming an assemblage of conflicting
features, that at the same time move toward a form of stabilization. The underlying point, is that we need
to engage not only with the technical difficulties of technology implementation in the city, but also with
the contingent and experiential processes of those who use, and are affected by such implementations.
Chapter 20
RFID in Urban Planning ..................................................................................................................... 388
Les Pang, University of Maryland University College, USA
Vanessa Morgan-Morris, Constellation Energy and Community College of Baltimore County, USA
Angela Howell, Department of Defense, USA
Radio Frequency Identification (RFID) is a significant emerging technology that enables the automation
of numerous applications globally. Professions, businesses and industries have integrated this technology
into their procedures and it has resulted in great advances in the accuracy of data, operational efficien-
cies, logistical enhancements and other process improvements. This chapter discusses the application
of RFID technology to support the needs and requirements within the realm of urban planning. First,
the historic and technical background behind RFID is reviewed. Illustrative examples of its use are
presented. Next, the technologys potential is explored in terms of a practical tool for urban planners.
Consequently, issues and challenges associated with RFID are identified and considerations to be made
when applying the technology are offered. Finally, the outlook for RFID technology is examined as an
instrument in urban development and the expected exponential growth of the technology is discussed.
Chapter 21
E-Planning: Information Security Risks and Management Implications ........................................... 404
Stephen Kwamena Aikins, University of South Florida, USA
This chapter discusses the security risks and management implications for the use of information
technology to manage urban and regional planning and development processes. The advancement in
GIS technology and planning support systems has provided the opportunity for planning agencies to
adopt innovative processes to aid and improve decision-making. Although studies show that a number
of impediments to the widespread adoption these technologies exist, emerging trends point to oppor-
tunities for the integration of planning supporting systems with various models to help estimate urban
growth, environmental, economic and social impact, as well as to facilitate participatory planning. At
the same time, information security infrastructure of most public agencies is reactive-based approach,
and security preparedness lags behind vulnerabilities. Drawing on the literature on planning, e-planning
and information security, the author argues that the emergence of e-planning as an efficient approach to
urban planning and development also poses enormous security challenges that need to be managed to
ensure integrity, confidentiality and availability of critical planning information for decision-making.
Chapter 22
E-Planning Applications in Turkish Local Governments ................................................................... 420
Koray Velibeyoglu, Izmir Institute of Technology, Turkey
This chapter examines the pivotal relationship between e-planning applications and their organizational
context. It employs various evaluation frameworks by searching explicit and implicit structures behind
the implementation process. The study is largely based on the statement that the organizational and
user dimension of implementation factors more than technical ones, constitute the main obstacles to the
improvement of e-planning tools in urban planning agencies. The empirical part of the study scrutinizes
the personal and situational factors of users in the process of implementation, benefits and constraints
of an e-planning implementation and planning practitioners perception of new technologies on urban
planning practice and debate. Using a case study research in Turkish local governments, the findings of
this study reveal that the organizational and human aspects of high order information systems are still
the biggest obstacle in the implementation process.
Chapter 23
GIS Implementation in Malaysian Statutory Development Plan System ........................................... 435
Muhammad Faris Abdullah, International Islamic University Malaysia, Malaysia
Alias Abdullah, International Islamic University Malaysia, Malaysia
Rustam Khairi Zahari, International Islamic University Malaysia, Malaysia
The chapter presents the current state of GIS implementation in Malaysian development plan system.
It offers an overview of GIS implementation worldwide, touching briefly on the history of GIS, plan-
ners early acceptance of the system, factors that promote GIS implementation, level of usage among
planners, and factors that impede successful GIS implementation. At the end, the chapter provides a
comparison between the state of GIS implementation in Malaysian statutory development plan system
with the state of GIS implementation worldwide. The evidence was derived from three main sources:
literature, empirical observation of GIS implementation in Malaysia, and a survey conducted in 2008.
Compilation of References ............................................................................................................... 455
About the Contributors .................................................................................................................... 503
Index ................................................................................................................................................... 512

xx
Preface
Urban planning has experienced numerous changes in its long history but none seems so challenging,
for planners and other urban stakeholders, as the methodological revolution associated with the use of
information and communication technologies (ICT) in all stages of the planning process. E-Planning,
the name given to the new planning paradigm that is emerging in association with the extensive use of
information and communication technologies, especially the Internet, geographic information systems
and virtual reality technologies, entails a move from a paper based urban planning system, described
in this handbook as conventional urban planning, to one based primarily on the integration of various
new information and communication technologies and on the interaction of multiple urban stakeholders,
referred here as e-planning. Although this is perhaps the most visible difference between conventional
urban planning and e-planning, the new urban planning paradigm, this move away from a paper based
practice must be seen as more than a simple transfer to a computer system of the traditional paper based
routines, requiring also the re-engineering of procedures, the development of a full ICT integrated back
office and, most important of all, changes in the nature and purpose of urban planning.
The term e-planning is used here as synonymous of e-government or digital government applied to
the field of urban and regional planning. Like these others terms, e-planning is also employed in the
literature as a fairly broad multi-dimensional concept (digital terminology is still far from consensus and
other definitions of e-planning can be found in the literature). It refers to urban planning, either as part
of a hierarchical oriented form of urban government or as an activity co-initiated and co-coordinated
by citizens and other private and public stakeholders within the overall urban governance network. In
the literature the term e-planning is often employed to refer other more specific subcategories, such as
e-urban management, e-urban services, etc., or categories specified according to the dominant technol-
ogy used, as those associated with the concepts of ubiquitous government and mobile government. Like
conventional urban planning, e-planning is also regarded as an interdisciplinary research field.
Based on this broad and multidimensional concept of e-Planning, the purpose of this handbook is
to explore the nature and to examine the impacts of the transformations in the urban planning field that
result from the use of information and communication technologies in all phases of the urban planning
process and to raise new questions for further research. However, it is not intended to be an exhaustive
coverage of themes that make up the field of e-planning, since numerous other critical issues were not
included. For that reason readers will certainly find at the end that there is much ground yet to be explored
and researched on the theory, ethics, methodology and practice of e-planning.
Students, scholars, researchers and practitioners interested to become familiar with new concepts,
methods and technologies applied in e-planning, with innovative approaches to improve citizen participa-
tion through the Internet, as well as with ground-breaking planning e-tools, will find here an accessible,
updated, and research focused reference. Readers will find in these empirical studies practical guidance
xxi
on how to do cutting edge research on e-planning and useful ideas for the design of new methods of
citizen e-participation in urban planning as well.
The handbook is divided into three interrelated sections. The first section deals with theories and
methods in e-Planning. The second is devoted to citizen participation in e-Planning. The last section
provides an overview of innovations in specific sectors within the urban planning field. It goes without
saying that some of the themes of these essays are interrelated and for that reason they could fall into
more than one of these three sections. The 23 chapters of this handbook cover a wide range of issues on
the theory, methods and tools of e-planning, which make it a useful source for different types of readers.
It brings together a collection of multidisciplinary studies, on the many faces of e-Planning, written by
41 distinguished scholars and researchers from leading universities, research institutions, or special-
ized institutions, from 14 countries, with different perspectives about what e-planning is, representing
to some extent the diversity of perspectives and methodologies that can be found in the e-planning field
around the world.
Each chapter is divided into six sections: (1) an introduction that provides a general perspective of
the chapter and of its main objectives; (2) a background providing broad definitions and discussions of
the topic, based on a literature review of the issues discussed, as well as the authors perspective about
these issues, controversies, and problems. When appropriate, this section also includes a discussion of
solutions and recommendations of the problems presented by the author; (3) a section on future research
directions where future and emerging trends are discussed and when appropriate also suggestions for
future research within the topic discussed in the chapter; (4) a conclusion with a discussion of the over-
all coverage of the chapter and concluding remarks; (5) a reference and further readings section, and,
finally, (6) a list of terms and definitions applied in the chapter.
Section 1, titled Theory and Methods in E-Planning, begins with an overview of e-planning fol-
lowed by seven chapters. These chapters describe and discuss different planning methodologies, based
on the use of information and communication technologies in different planning contexts, exploring key
facets of the move towards a new paradigm of urban planning.
Chapter 1, The E-Planning Paradigm-Theory, Methods and Tools: An Overview, serves as the
introduction to the book and discusses the relationships between planning theories and the use of infor-
mation and communication technologies in urban planning. The way information and communication
technologies tools are incorporated by the different planning perspectives is considered to be in part
responsible for the different forms of contemporary urban planning.
The role of information technologies, particularly internet based geographic information systems, as
decision support systems to aid public participatory planning, is examined in the Chapter 2 Planning
Online: A Community-Based Interactive Decision-Making Model. Tan Yigitcanlar also discusses the
challenges and opportunities for the use of internet based mapping application and tools in collabora-
tive decision-making, introducing a prototype internet based geographic information system that was
developed to integrate public oriented interactive decision mechanisms into urban planning practice.
In Modelling & Matching and Value Sensitive Design: Two Methodologies for E-Planning Systems
Development, Yun Chen, Andy Hamilton, and Alan Borning explore two methodologies which can help
address the knowledge gap in the methodologies for designing e-Planning systems. Planned to address
the needs of diverse user groups and multi-disciplinary cooperation for systems development, these two
methodologies offer operational guidance to e-Planning systems developers.
In Chapter 4, The Future-Making Assessment Approach as a Tool for E-Planning and Community
Development: The Case of Ubiquitous Helsinki, Liisa Horelli and Sirkku Wallin, offer readers an in-dept
xxii
look at an evaluation approach to be used in e-Planning, called the Future-making assessment (FMA),
to assist in the monitoring and provision of feedback in the implementation of e-Planning.
The question of the role of the Internet in the production of planning knowledge is addressed by
Aija Staffans, Heli Rantanen, and Pilvi Nummi in the Chapter 5, Local Internet Forums. Interactive
Land Use Planning and Urban Development in Neighbourhoods. The authors describe the results of a
research project that tried to gather and to combine local information and knowledge on urban planning
through Internet forums. They show that local, place-based knowledge is highly fragmented and that it
is difficult to combine informal and formal information and knowledge in urban planning.
The next two chapters look at the use of 3-D images as a method of communicating information in
urban planning. In Chapter 6, Does Computer Game Experience Influence Visual Scenario Assess-
ment of Urban Recreational Paths? A Case Study Using 3-D Computer Animation, Arne Arnberger
and Thomas Reichhart explain the results of a study in which they used a computer-animated choice
model to investigate the influence of computer game experience on respondents preferences for an urban
recreational trail, concluding that the individual experience with computer gaming and the presenta-
tion mode influence the evaluation of trail scenarios. Markus Jobst, Jrgen Dllner and Olaf Lubanski,
in Communicating Geoinformation Effectively with Virtual 3D City Models, focus on Virtual 3-D
city models and how they can enhance the communication between different urban stakeholders. The
authors discuss key aspects of virtual 3-D city creation, the main components of virtual environments,
the framework for an efficient communication, and explore future research for the creation of virtual
3-D environments.
The last chapter in Section 1, Political Power, Governance, and E-Planning, analyse the construc-
tion of a mega geospatial database for the Hajj, the annual Muslim Pilgrimage to Makkah, Saudi Arabia.
Kheir Al-Kodmany discusses this complex process, including in his analysis the influence of top-down
political power on the planning process for the Hajj. The chapter provides transferable and useful les-
sons on GIS application in spatial urban planning, as well as insights on how and when political power
may help in advancing the planning process.
Section 2, titled Citizen Participation in E-Planning, with nine chapters, introduces readers to a
range of experiences and practices of e-participation, in different countries and contexts, which provides
a good illustration of how citizen participation in the urban planning decision-making process is chang-
ing, and the type of challenges faced by planners and planning departments.
Herbert Kubicek, through a comprehensive review of the literature, examines in Chapter 9, The
Potential of E-Participation in Urban Planning: A European Perspective, different cases of public par-
ticipation and argues that the electronic mode of participation by itself will not change the low levels
of public participation in urban planning, suggesting that it will be necessary to include these new elec-
tronic forms of participation within the formal planning processes and in the respective participation
procedures, arguing that if citizens are not interested to participate in the urban planning process, they
will not take part only because they could do it via the Internet. The author reveals that ICT tools for
citizen participation in urban planning will not substitute the traditional forms of public participation in
the near future, arguing that it is necessary to combine both, offering specific recommendations for that.
Next, Domenico Camarda in his chapter Beyond Citizen Participation in Planning: Multi-Agent
Systems for Complex Decision-Making examines how to set up cooperative multi-agent systems, and
discusses the potentials of multi-agent system for complex decision-making in public participation
processes in urban planning.
xxiii
In The E-Citizen in Planning: U.S. Municipalities Views of Who Participates Online, Maria Manta
Conroy and Jennifer Evans-Cowley examine how online participation tools, regarded as a component
of e-government, provide a potential venue for enhancing citizen participation in the urban planning
process. However, as e-government participation raises challenges pertaining to trust, exclusion, and
responsiveness, the chapter examines how municipalities in the U.S. view the e-participant, concluding
that municipal officials view these online tools as a means to advance efficiency and citizen satisfaction,
rather than as a means by which to potentially enhance discussion of community issues.
In Chapter 12, Planners Support of E-Participation in the Field of Urban Planning, Mikael Gran-
berg and Joachim strm discuss what planners really mean when they display positive attitudes toward
increased citizen participation via the use of information and communication technologies, based on
a survey about the support for e-participation in the field of urban planning by the heads of planning
departments in Sweden, concluding for the existence of confusing or conflicting attitudes among plan-
ners towards participation.
Jens Klessmann, in Portals as a Tool for Public Participation in Urban Planning, looks critically
how different types of portals and different kinds of participation portals can be used to encourage public
participation processes in urban planning.
After that, in Chapter 14, Can Urban Planning, Participation and ICT Co-Exist? Developing a
Curriculum and an Interactive Virtual Reality Tool for Agia Varvara, Athens, Greece, Alex Deffner
and Vassilis Bourdakis examine how information and communication technologies can help in urban
participation processes, mainly because it constitutes a relatively simple method of recording the views
of both the public and the planners in a variety of subjects.
Bridgette Wessels, in The Role of Local Agencies in Developing Community Participation in
E-Government and E-Public Services, discusses the way in which understanding of participation in
e-services has evolved through a social learning process within planning and implementation processes.
In ICTs and Participation in Developing Cities, Alexandre Repetti and Jean-Claude Bolay provide
a review of the use of information and communication technologies for public participation in urban
planning, in cities located in developing countries. The authors analyse the challenges and potential of
ICT to improve urban planning and public participation, and put forward a number of recommendations
for the successful and relevant implementation of ICT in this kind of cities.
In the final chapter of Section 2, Public Participation in E-Government: Some Questions about Social
Inclusion in the Singapore Model, Scott Baum and Arun Mahizhnan examine the case of Singapores
E-government model, which, despite being considered to be among the best in the world, has still im-
portant weaknesses in what respects public participation.
Section 3, titled Innovations and Challenges in Urban Management, with six chapters, explores a
number of experiences and innovative practices of urban e-management, in different countries and con-
texts, as an illustration of the type and extent of the changes going on within the urban planning system.
Antonio Caperna in Chapter 18, Integrating ICT into Sustainable Local Policies, analyses the role
of information and communication technologies in the promotion of sustainable local policies, the op-
portunities it offers, potential problems, and the relationship with other local policies.
Chapter 19, Architectures of Motility: ICT Systems, Transport and Planning for Complex Urban
Spaces, by Darren J. Reed and Andrew Webster, examines the implementation of an intelligent trans-
portation system called BLISS (the Bus Location and Information Sub-System), and shows that urban
planners need to engage not only with the technical difficulties of technology implementation in the
xxiv
city, but also with the contingent and experiential processes of those who use it, and are affected by
such implementations.
In RFID in Urban Planning, Leslie Pang, Vanessa Morgan-Morris, and Angela Howell discuss
the application of Radio Frequency Identification (RFID) technology to support the needs and require-
ments within the realm of urban planning. The authors provide an account of the historic and technical
background behind RFID, explore this technologys potential as a practical tool for urban planners and
discuss the issues and challenges associated with RFID.
Stephen Aikins, in E-Planning: Information Security Risks and Management Implications, engages
with the security risks and management implications associated with the use of information technology
to manage urban and regional planning and development processes, and argues that the emergence of
e-planning poses enormous security challenges that need to be managed to ensure integrity, confidential-
ity and availability of critical planning information for decision-making.
The last two chapters in section three present and discuss the situation of e-Planning in two countries,
Turkey and Malaysia. In the penultimate chapter, E-Planning Applications in Turkish Local Govern-
ments, Koray Velibeyoglu explores the critical relationship between e-planning applications and their
organizational context. The author shows, based on a case study of Turkish municipalities, that the or-
ganizational and human aspects of information systems are still the main obstacle in the implementation
of information and communication technologies in urban planning.
In the final chapter, GIS Implementation in Malaysian Statutory Development Plan System, Mu-
hammad Faris Abdullah, Alias Abdullah and Rustam Khairi Zahari examine the current state of GIS
implementation in the Malaysian development plan system comparing it with the state of GIS imple-
mentation worldwide.
In sum, the readings in this Handbook of Research on e-Planning provide a well grounded and
research focused overview of the emerging e-planning paradigm and will hopefully point readers to
future research directions. Ultimately, this collection of essays will ask each reader to reflect on the
planning theories that frame the urban planning practice, which methods to use in the preparation and
implementation of urban e-plans, how to organise citizen e-participation in urban planning processes,
or how to use new information and communication technologies to collect and manage data in different
areas of the urban planning process.
For that reason, I hope that this Handbook of Research on e-Planning will assist students, scholars,
researchers and practitioners in the field of urban planning and e-government in general, and other public
and private stakeholders in the urban arena as well, to advance their understating of e-planning, to identify
its main weaknesses and strengths, threats and opportunities, in order to make cities and surrounding
areas a better place to live, in a world where more than half of the population now live in urban areas.
Carlos Nunes Silva

Institute of Geography and Spatial Planning
University of Lisbon, Portugal
xxv
Acknowledgment
I would like to begin by thanking each of the contributors to this Handbook for the effort devoted to this
project and for the excellent work and commitment in the preparation of each chapter. It has been a truly
enriching professional experience to work with this group of distinguished colleagues from different
disciplines and academic backgrounds.
I also am indebted to all colleagues that accepted to assist me in the review process of several manu-
scripts, within their field of expertise, and whose names are listed at the front of the book as members
of the editorial advisory board and in the list of reviewers, as well as some contributing authors who
also served as reviewers. The constructive and helpful comments they offered and their attention to
detail helped to improve the quality of each individual manuscript and as a result the overall quality of
the Handbook
For the support in the preparation of this publication, I also thank the publishing team at IGI Global,
in particular Elizabeth Ardner, with whom I worked most closely throughout the development of the
Handbook, for her professionalism and commitment, and Tyler Heath for a similar participation in the
initial stage of this project.
Any factual errors or lapses that survived the editorial process are, needless to say, my responsibility.
Carlos Nunes Silva

Editor
Section 1
Theory and Methods
in E-Planning
1
Chapter 1
The E-Planning Paradigm
Theory, Methods and Tools:
An Overview
Carlos Nunes Silva
Institute of Geography and Spatial Planning, University of Lisbon, Portugal
ABSTRACT
The chapter discusses the relationships between planning theory and the use of information and com-
munication technologies in urban planning. It explores how recent organizational transformations in
urban planning, associated with the widespread use of information and communication technologies, are
incorporated by different planning theories. It is argued that the way information and communication
technologies tools are considered or included by the different planning perspectives is in part responsible
for the various forms of e-planning.
INTRODUCTION man, 1996; Hall, 2002; Peterson, 2003; Silva, 1994;

Talen, 2005; Ward, 2004). The Garden City model,
Contemporary urban planning practice is embed- in the formula proposed by Ebenezer Howard (Hall
ded in a complex and diverse social, political and and Ward, 1998, Howard, 1902/2001), or the CIAM
economic urban world. The implementation of e- discourse on urbanism, steered among others by Le
Planning, the new urban planning paradigm, requires Corbusier (Le Corbusier, 1971; Mumford, 2000),
new concepts, methods, and tools, as happened in had a vision of planning rather different from the
the past when other technologies were introduced rational planning paradigm that followed it as the
in this professional field. The history of urban main planning paradigm and which framed most
planning, since the end of the nineteenth century, of the twentieth century urban planning practice.
reveals a process of continuous change in the pre- Rational scientific planning, system theory and the
vailing theories and methodologies, which led to an following paradigms, namely the political economy
increasingly complex professional practice (Fried- perspective of planning, collaborative or commu-
nicative planning, and the various streams of post-
DOI: 10.4018/978-1-61520-929-3.ch001 modern planning put forward different visions of
Copyright 2010, IGI Global. Copying or distributing in print or electronic forms without written permission of IGI Global is prohibited.
The E-Planning Paradigm Theory, Methods and Tools
what urban planning is, who benefits from it, and the extensive use of information and communica-
how it should be practiced (Allmendinger, 2002; tion technologies in urban planning, there will be
Faludi, 1973; 1973a; Hillier and Healey, 2008). as much types of e-planning as planning theories
Even though information and communication that frame them. An e-planning system organized
technologies may be seen as neutral technologies, according to the principles of rational planning
they can certainly be applied to serve different or system theory will be different from another
political and social purposes, or to respond to framed by the principles and by the rationale of
different principles and values (Anttiroiko and collaborative planning or from a third one that
Malkia, 2007; Budthimedhee et al., 2002). It is for combines elements from both in a hybrid and
this reason that the use of information technolo- contradictory form of urban planning. For that
gies within the rational planning approach has reason, the term e-planning is frequently used with
different objectives compared to what happens slightly different meanings, and this handbook is
in collaborative or communicative planning. In no exception in that respect. In this chapter the
the first case, the introduction of information and term e-planning stands for the new urban planning
communication technologies allows planners and paradigm, characterized by the extensive use of
planning departments to carry out new actions or information and communication technologies in
to implement conventional practices through new all phases of the urban planning process, within
tools, such as geographic information systems, vir- the framework of a post-positivist planning theory.
tual reality technologies, e-participation devices,
including public participation GIS applications,
among other tools, with the aim of improving BACKGROUND
conventional decision-making processes. In the
second case, the use of similar information and Planning Theory
communication technologies tend to be associated
with an epistemological turn and in the limit with The questions who gains from urban planning?
a change of planning paradigm that goes beyond and what role citizens can play in the planning
the basic objective of improving established plan- process? and, more specifically, how to handle
ning routines. communication and collaboration between differ-
The provision of better planning and urban ent urban stakeholders?, a discussion renewed
management services, more efficient, with lower due to the new possibilities offered by information
costs and, at the same time, a more collaborative and communication technologies, are key points
and participative, transparent and accountable in the planning theory debate. To some extent,
planning decision-making process are some of the ways these issues have been addressed are
the basic objectives usually associated with the responsible for the differences between the vari-
move from conventional urban planning to e- ous modern and post-modern planning paradigms,
planning, as the empirical evidence collected in which more than well delimited theories must be
this handbook illustrates. However, this move is seen as clusters of perspectives co-existing in time
not always followed by a paradigm shift from the and with strong commonalties.
point of view of planning theory. Neo-positivist In the Garden City movement, City Beautiful
as well as post-positivist epistemologies and the movement or in the CIAM discourse on Urbanism,
corresponding urban planning paradigms do infor example, urban planning was regarded as urban
corporate and use information and communication design (Silva, 2003; 2005; 2005a). This planning
technologies with different purposes and under as design paradigm was largely dominant until
different rationales. If e-planning is seen simply as the 1960s, when the rational theory of planning
2
and systems theory became the core paradigm in positivist planning paradigms, this perspective
the field of urban planning. Rational theory and regards urban planning as an activity that deals with
system theory perceive planning as an instrument socially fragmented communities (Allmendinger,
to administer social processes, contrasting with 2002; Forester, 1989; Hillier and Healey, 2008b).
the previous paradigm (Allmendinger, 2002; Compared to previous perspectives of planning
Friedman, 1996; Hillier and Healey, 2008). This (e.g., planning as design, rational planning, system
shift represented also a change on how the nature theory or political economy), communicative or
and purpose of urban planning was considered by collaborative planning recognizes and gives more
professionals in the field, as well as in the meth- emphasis to the diversity of values, meanings, and
odology and planning tools that should be used. interests within each local community (Healey,
Later, in reaction to rational scientific planning, 1997). Parallel to this theoretical shift there was
new approaches emerged, as the political economy also a change in the prevailing discourse on ur-
perspective, and as a result a new vision of plan- banism, a move from the CIAM and its Charter
ning in society and new concepts, methodologies of Athens to the discourse(s) on Urbanism syn-
and tools were developed, especially in the 1970s thesized in the Charter of New Urbanism (CNU,
and in the 1980s. 1998) and in the New Charter of Athens (ECTP,
In the political economy perspective, issues 2003; Silva, 2005b).
of power and class struggle are key references Planning is considered to be a communicative
on how planners perceive the city and how they or interactive activity among public and private
think it should be planned. It challenges the indi- stakeholders within public decision-making pro-
vidualistic point of view and the importance given cesses (Innes, 1995). As a result, what is important
to individual choice, contrary to what happens in in urban planning, from this point of view, is to
the rational planning paradigm. In other words, consider the needs of the various urban stakehold-
urban land use patterns and the distribution of ers and to organize communication between them
urban functions within the city are determined (Innes and Booher, 1999). Planners need to be
not by individual preference but by the capitalist aware of the values and interests of these differ-
economic system (for a comprehensive revision of ent groups of urban stakeholders, and should then
this approach, see, among others: Allmendinger, identify common interests and visions through the
2002; Friedman, 1996; Hillier and Healey, 2008a). use of appropriate participatory practices within
Urban planning is regarded as an instrument, the urban planning decision-making process
controlled by the dominant social class, for the (Healey, 2003). In order to address the different
creation of conditions for capital accumulation and needs and demands of multiple urban stakehold-
social reproduction at the local level (Fainstein ers, planning practice should give emphasis to
and Fainstein, 1979; Harvey, 1985; Scott and communication and collaboration between urban
Roweis, 1977). For that reason, e-planning, as the stakeholders more than to the formal procedures,
conventional paper based urban planning before, contrary to what was common in the rational
is regarded as an instrument for capital accumula- planning paradigm. In other words, e-planning,
tion and for the reproduction and legitimization informed by the theory of collaborative or commu-
of capitalist social relations, controlled by the nicative planning will tend to adopt methods and
dominant social class. tools that seek to provide a better understanding of
The theory of communicative or collaborative how citizens perceive their own condition and will
planning is, perhaps, the most influent planning try to articulate these contradictory perspectives.
theory among those that emerged as alternatives For that reason, e-Planning should not be re-
to the rational planning paradigm. Like other post- garded as an instrument of urban design control
3
but as an instrument for collective action in the issues, on urban transport systems, etc.), usually
urban arena. From this perspective, the importance a compulsory component in most urban planning
of e-planning and its social relevance dont result systems, are based on assumptions and principles
exclusively from the enforcement of administra- of system theory and rational theory of planning.
tive and technical planning procedures, as was The same can be said about similar analysis within
the case in planning as design paradigm or in the e-planning, in which more sophisticated models
rational planning paradigm, but also from the fact based on geographic information systems and
that it steers communication and collaboration on other information technologies are usually
among urban stakeholders in order to articulate employed for the description, interpretation, and
the different interests and perspectives. Therefore, evaluation of urban structures and processes, as
for the communicative or collaborative planning well as urban scenarios, suggesting a situation
perspective, e-Planning is a highly political pro- in which different urban planning paradigms,
fessional practice and not a value-neutral profes- their assumptions, values, and methodological
sional activity as is admitted by neo-positivist tools are interrelated in apparently contradictory
perspectives. theoretical perspectives.
However, a number of problems have been
pointed out (for example, see Allmendinger, E-Planning Tools
2002; Fischler, 2000; Miraftab, 2003; Margerum,
2002) questioning the emphasis put on planning In its more basic definition, e-planning is the result
procedures and on participatory methods, and the of the shift from a paper based urban planning
exclusion of critical factors that are responsible for to a system supported primarily by information
the uneven access to the urban planning decision- and communication technologies, as mentioned
making process, such as the unequal distribution before (Silva, 2007). It involves also changes in
of power among the various urban stakeholders, or the nature of the planning process, and should not
the argument of Talen and Ellis (2002) in favour be seen as a simple transfer to a computer system
of a search for good city form. of long-established paper based urban planning
There are other post-structuralist and post- routines. This move requires a change in the
modern planning theories, which have in common, methods of data collection, storage and analysis,
among other characteristics, the fact that they are a revision of public participation practices, new
based on a non universal vision of the urban world mechanisms for the control of planning scenarios,
(for a comprehensive account see, among others: and for monitoring and evaluation of urban
Allmendinger, 2002; Hillier and Healey, 2008b; development processes, as well as new ethical
and Peet, 1998 for a review of these social theories). considerations (Buchanan, 2004; Silva, 2008).
These and other emerging post-structuralist and It also requires an adequate geospatial database
post-modern planning theories, which tend to see and an integrated back office for online services
planning as a complex practice and social values (Kubicek et al., 2007).
as no longer permanent but in continuous change, The e-tools applied in e-Planning include,
will certainly shape how the new e-Planning among others, geographic information systems,
paradigm will be practiced in the future. internet interactive mapping or Internet GIS,
However, despite the growing influence of virtual reality technologies, data modelling,
these new paradigms, rational theory of planning computer aided design, various types of computer
and systems theory continue to influence urban supported collaborative working environments,
planning. The various types of impact analysis interactive social media tools (web 2.0) ap-
applied in urban planning (e.g., on environmental plied to participatory planning as well as to the
4
production of knowledge relevant for planning. an overview of some of these issues, see, among
Other tools are, for example, public participation others: Carver et al., 2001; Jankowski, 2009;
geographic information systems (for an overview Sieber, 2006). Detailed information on each parcel
see, among others: Elwood, 2006; Harrison and of land or building is also available online, with
Haklay, 2002; Jankowski, 2009; Nedovic-Budic, restricted access conditions to sensitive personal
2000), the combination of Internet GIS with information. The system provides ubiquitous ac-
virtual reality, offering citizens, and other urban cess to on-line planning services: pre-application
stakeholders, better visualizations of the urban advice, submission of applications, consultation, e-
plan, and the use of location technologies in the petitions, commentaries, complaints and planning
planning process. Web 2.0 tools, such as plan- decisions, among others, including the possibility
ning blogs, wikis, chat rooms, discussion forums, to pay online. It ensures appropriate external and
virtual communities, mailing lists (see Noveck, internal security controls, reducing or avoiding
2009, on wiki government; Wyld, 2008, on blogs), data theft (see chapter 21 for security issues and
are examples, among others, of tools that can be Arnesen and Danielsson, 2007; Janczewski and
used to promote citizen participation in planning Portougal, 2007).
decision-making and more active contributions to The main planning portal, in a typical e-plan-
the planning process, as well as citizen-to-citizen ning system, should include an agenda of events
exchanges about the urban plan. Mobile phones, related to urban planning (e.g., public inquires or
one of the most important applications of ICT in municipal political boards meetings dealing with
developing countries, can fulfil an important role planning issues), and surveys to measure citizen
in the implementation of citizen e-participation satisfaction with e-Planning services, among other
and in other communication components of e- functions and online services. If not integrated or
planning (see, among others, chapters 2 and 3 and linked to a wider municipal web site, this plan-
Section III for an overview of new technologies ning portal should also contain general informa-
applied in urban planning; and chapter 9 for e- tion about the municipality and the respective
participation tools). municipal organization. A section for children
In sum, a fully developed and accessible and youths, with information for different ages,
e-Planning system provides on-line general in- structured around planning issues, should be
formation about the planning system, planning incorporated as a stimulus for the participation
laws and regulations, and planning procedures, of young people in urban life (CoE, 2003; UN,
and contains basic and specialized information on 1989). In an increasingly multicultural society,
all aspects of the planning system, in its several an e-planning system should also have versions
scales local, regional and national , increasing in the main non-native languages present in the
the level of automation in the planning process local community.
and improving the conditions for citizen partici- However, it is not enough to make information
pation. It comprises also the publication of local available and to stimulate participation, as the
plans, including 3D-visualization of built and research results of Carver et al. (2001), Madon et
natural environments, technical reports, public al. (2009) and Warschauer (2003), among others,
participation documents, monitoring and evalu- seem to suggest. It is necessary to give information
ation reports, and urban marketing tools. Urban that can be understood by all urban stakeholders,
plans are available in 2-D or 3-D electronic format, to provide technology that the common citizen
allowing citizens and other urban stakeholders can use, to apply information and communication
to visualize land use proposals through a public technology for community empowerment (Ghose,
participation geographical information system (for 2001), and to apply the principles and norms of
5
the Aarhus Convention on access to information other technologies in urban planning modelling
and public participation in urban decision-making may well follow to some extent the rational theory
processes (UN, 1998), in order to foster e-inclusion of planning. In chapter 3, the authors propose two
(see chapter 17). methodologies for the design of collaborative
e-planning systems, which however can also be
E-Planning in Practice used within a neo-positivist or rational scientific
perspective of planning, and chapter 4 refers a
In practice, however, e-Planning systems do not multi-ontology in future-studies and the different
function in the same way in all places, and, as a methods that may be used, and presents a partici-
result of that, major differences exist between patory planning scheme based on communicative
developed and developing countries (see chapter and post-structural planning theories (see, for
16 in this handbook), or within the same country, example, chapter 5).
where each local e-planning system is unique for The evidence available also suggests that the
the reason that every municipalitys economic, use of new technologies to enhance public partici-
social, political, and cultural characteristics are pation in urban planning per se does not change
different. For example, in developing countries, much, since it is dependent on the specific context
chaotic urbanization processes and the failure of in which the communication between the planning
conventional paper based urban planning offer organization and the citizens takes place (see,
complex challenges for e-planning, different for example, chapters 9 to 15 in this handbook).
from those faced by planning organizations in In other words, new e-participation tools can be
more developed countries (Bishop et al., 2002). used with a different purpose and rationale, within
In addition, the way urban planning is organized the rational planning paradigm or system theory
locally, within the limits allowed by central state, or in the framework of the communicative or
is also responsible for some of the differences collaborative perspective of urban planning. For
encountered. instance, Internet Forums and Planning Portals
There are also major distinctions between and other electronic devices applied in urban
planning authorities within the same country, planning, can potentially be used by different
associated with the values and aims assigned planning approaches (see chapters 5 and 13; and
to the urban planning system and not with the Campagna and Deplano, 2004). However, without
level of ICT infra-structures or with those social, the commitment to empower citizens and to share
economic, political and cultural characteristics. power, by those that hold the political authority
Geographic information systems and virtual to decide on planning matters, the impact of these
reality technologies (see chapters 6, 7 and 8) are e-participation tools in the overall urban planning
applied to model and simulate the outcomes of an decision-making process will be limited.
urban plan, replacing paper based forms of rep- In synthesis, the evidence available suggests
resentation, under different planning paradigms. that the planning theory and the policy that guide
Some chapters in this handbook illustrate well the use of the technology is far more important
this diversity of perspectives within e-Planning. than the type of tool, electronic or conventional,
Chapter 2 discusses the use of internet-based employed in the planning process.
interactive mapping and virtual reality technolo-
gies in collaborative decision-making. Although
the author approaches public participation from
a collaborative planning perspective, the role
assigned to geographic information systems and
6
FUTURE RESEARCH DIRECTIONS privacy and confidentiality in the transactions

between citizens and the e-Planning system and
Future developments in the e-Planning systems a myriad of other ethical issues are critical factors
are dependent of external and internal conditions that urban planning departments have to consider
(Anttiroiko and Malkia, 2007; Falch, 2006; Silva, carefully (Aikins, 2008; Dodig-Crnkovic and
2007). The overall growth of the ICT sector and Horniak, 2007; Melville, 2007; Rowe, 2007),
the expansion of the information society (e.g., as well as planning professional organizations
interoperability of ICT, market penetration of (Danielson, 2007; Schultz, 2006; Silva, 2007a;
specific ICT, broadband universal access, digital 2008). The characteristics of digital archives for
literacy, digital divide, etc.) are examples of these future use are also factors that may affect confi-
external factors. In the second case, the prevailing dence in the system. Security and confidence in
planning theory, confidence in the system, mate- the e-planning system are for those reasons two
rial and financial conditions experienced by the critical factors for its success (see also chapter
planning department are some of the factors that 21 in this handbook for an analysis of some of
will certainly have an effect on the expansion of these challenges).
e-planning systems. Future research on e-planning must examine
From the point of view of the external condi- the way both internal and external conditions affect
tions, the growth of ICT use among urban stake- the development of urban e-planning systems in
holders, including the use of online urban planning different geographical contexts. Complexity, rapid
services, in spite of its social and geographical technological innovations, security challenges and
unevenness (Graham, 2002; Grimes, 2003; ethical issues suggest that there is still much to be
Winden et al., 2004), will increase the number researched on e-planning, as several chapters in
of participants in e-Planning systems and, due to this handbook point out. For example, how suc-
that, will create new demands for planning ser- cessful is e-planning in each of its components?
vices and information, a trend that will be further How important are organizational factors for the
stimulated by broadband connectivity, which will success of e-planning systems? How should it
allow the use of more sophisticated online planning adapt to particular contexts, in developed as well
services. In addition, the present resistance in the as in developing countries? How to tackle the
use of information and communication technolo- digital divide in its various dimensions (economic
gies due to weak digital literacy will diminish or divide, computer literacy divide, language divide,
disappear as analogical forms of communications disability divide, and geographical divide) and
are gradually replaced by digital technologies. the effects it has on e-planning systems? How to
Parallel to these technological trends that stimu- deal with security vulnerabilities of urban plan-
late greater use of online information and online ning data and to ensure data accuracy, integrity or
planning services, there is at the political level, in protection against unauthorized change of data,
national as well as in local governments all over and confidentiality of critical and sensitive infor-
the world (see examples in Anttiroiko and Malkia, mation within the planning system? How does it
2007; Garson and Khosrow-Pour, 2008), a trend impact on common citizens? What are the main
towards the implementation of digital government obstacles in the implementation of an e-planning
projects that will certainly reinforce the ongoing system? What are the tangible and intangible
expansion of the information society. benefits and costs of e-planning? How should it
Internal factors are also critical for the future be organized and implemented according to the
expansion of e-Planning systems. Data integrity different post-positivist planning theories?
protection, the risks associated with the loss of There is also scope for further research on each
7
specific e-tool applied in e-planning, especially groups, the elderly and persons with a disability,
how to use them in specific (multi-)cultural envi- as well as the problems associated with broadband
ronments, as well as ethical dilemmas associated access in the most remote rural areas and in the
with each of them (Buchanan, 2004; Silva, 2008). most socially deprived neighbourhoods in the
The impact of interactive social media tools (web suburbs and in the inner cities. This digital divide
2.0) on knowledge production, in public partici- in the access to online planning information and
pation and in other components of the planning planning services limit the effectiveness and sus-
system; the impact of other electronic tools in tainability of e-planning systems. If large segments
public participation processes; or the validity of of the population cant access on-line planning
virtual representations as substitutes of the real services and information or if they are not able
world in public participation processes are some to comprehend the information, e-Planning will
examples of the numerous directions that research certainly contribute to increase social exclusion
on e-planning must follow. and geographical inequalities. To prevent that to
happen, it is necessary to ensure digital literacy
and broadband accessibility for all citizens inde-
CONCLUSION pendently of her/his ability, age, gender, ethnicity,
or economic capacity.
In sum, a fully developed urban e-planning sys- The growing access and use of information
tem requires an extensive use of information and and communication technologies, especially
communication technologies, in all phases of the the Internet, although experienced unevenly
planning process, within the framework of a post- by the different urban stakeholders, implied a
positivist planning theory. This extensive use of democratization of knowledge on urban issues,
information and communication technologies has which affect the dominant position of planners
the potential to improve the efficiency, effective- within the urban planning process, in all phases
ness and the social, economic and environmental of the process. This shift in the way knowledge
impacts of current urban planning systems. With on urban issues is produced, both formal and
the new technologies, the urban planning system informal knowledge, on how the urban planning
can help promote citizen empowerment, improve process is organized and on how urban plans are
social cohesion, economic competitiveness and implemented, monitored and evaluated, creates
environmental sustainability, although it can also new challenges for urban planners, for citizens in
create new social exclusions, in some cases co- general, and for other urban stakeholders as well,
incident with old social, cultural, economic and challenges that need to be addressed by planning
geographical divides, as did other technologies theory and planning ethics as well as through new
in the past. However, it will only mean a true urban planning methods and e-tools.
shift of planning paradigm if associated with a
change of principles and values. On balance, no
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KEY TERMS AND DEFINITIONS
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E-Planning: The application of e-government
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Information and Communication Technolo-
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15
Chapter 2
Planning Online:
A Community-Based Interactive
Decision-Making Model
Tan Yigitcanlar
Queensland University of Technology, Australia
ABSTRACT
The first use of computing technologies and the development of land use models in order to support
decision-making processes in urban planning date back to as early as mid 20th century. The main thrust
of computing applications in urban planning is their contribution to sound decision-making and plan-
ning practices. During the last couple of decades many new computing tools and technologies, including
geospatial technologies, are designed to enhance planners capability in dealing with complex urban
environments and planning for prosperous and healthy communities. This chapter, therefore, examines
the role of information technologies, particularly internet-based geographic information systems, as
decision support systems to aid public participatory planning. The chapter discusses challenges and
opportunities for the use of internet-based mapping application and tools in collaborative decision-
making, and introduces a prototype internet-based geographic information system that is developed to
integrate public-oriented interactive decision mechanisms into urban planning practice. This system,
referred as the Community-based Internet GISmodel, incorporates advanced information technologies,
distance learning, sustainable urban development principles and community involvement techniques in
decision-making processes, and piloted in Shibuya, Tokyo, Japan.
INTRODUCTION processes. In the field of urban planning, physical

models of large scale plans have been created with
Urban planners and designers have employed wide three aims in mind: to aid decision-making process-
range of techniques in order to plan, model and simu- es; to democratise planning processes, and; to sup-
late the outcome of urban planning and development port dissemination of planning ideas among a wider
community. In the past, planners have employed
DOI: 10.4018/978-1-61520-929-3.ch002 physical models developed as paper and cardboard
Planning Online
plans and supported with perspective drawings and supported collaborative work systems for group
photomontages in order to promote a design solu- decision-making in urban planning, underlines the
tion or a proposed development plan (Doyle et al., significance of virtual reality and 3D GIS visu-
1998:138). Whilst still employed, such methods alisation, and highlights the necessity of utilising
are started to be used less extensively due to the Internet GIS for public participatory planning.
emergence of increasingly more powerful desktop The main thrust of this chapter introduces a new
computing with constantly improving graphic online planning support system, referred as a
capabilities, available at modest financial cost to Community-based Internet GIS model that is
individuals and planning agencies. The increase piloted in Shibuya, Tokyo, Japan. Following to
in computing power and information technology underlining future trends in online planning, the
is also facilitating the advancement of geographic chapter concludes by advocating and determining
information systems (GIS), multimedia and vir- the potential contributions of the web-based par-
tual reality software that are being used in many ticipatory planning support systems as e-planning
disciplines which are concerned with modelling mechanisms of the urban planning discipline.
or analysis aspects of urban environments (Doyle
et al., 1998:138). At present, particularly internet
and GIS are becoming the most popular means for BACKGROUND
involving community in the planning process, at
least in democratic places that encourage public Planning is a future oriented activity, strongly
participation. During the last decades, a range of conditioned by the past and present. As Friedmann
innovative technologies are developed that offer (1987:38) highlights, it links scientific and tech-
different ways of modelling and representing nical knowledge to actions in the public domain.
built form and associated urban information with Ideally, it proceeds via public discourse between
real-time interaction over the world-wide-web (in all groups and individuals interested in and af-
short web). This chapter, therefore, investigates fected by urban development and management
the potentials of interactive mapping, virtual activities pursued by the public and/or private sec-
reality technologies and, especially, Internet GIS tors. In practice, such comprehensive sharing of
for the visualisation, modelling and analysis of information and decision-making is rarely found
urban environments and phenomena. This chapter (Nedovic-Budic, 2000:81). Planners have always
presents a review of the capabilities of the tech- sought tools to establish the missing piece of plan-
nologies and how they are applied in planning ning (public participation) in order to enhance the
and designing liveable urban environments. The analytical, problem solving, and decision-making
chapter advocates the idea that new information capabilities of the planning mechanism. And now
technology based on the web offers excellent new technologies are promising opportunities in
means for involving the public in the planning improving the efficiency of planning and two way
process. The main opportunity here is the use of communication between planners and the public
Internet GIS as a communication and interaction (Al-Kodmany, 2007). Throughout the last century,
vehicle between different interest groups such as urban and regional planning has been subject to
planners, decision-makers and most importantly a rapid technological change. Advancement of
the general public. information technology especially that of the
The following background section of this internet has urged the development of network-
chapter discusses the potential of GIS in urban based support systems (wired or wireless) such
planning and its importance in supporting pub- as GIS, facility management and automated map-
lic participation. The section reviews computer ping (AM/FM), Internet GIS, virtual reality (VR)
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and various types of groupware. As Batty (1996) urban development (French and Wiggins, 1990;
predicted these tools are now contributing to the Juhl, 1993; French and Skiles, 1996; DeMers,
automation of the planning process, reduction of 2005). Presently, planners all around the world
the planning time, and increase in the opportunity are applying geographic information technologies
for public participation in urban planning. in all aspects of the planning process, including
Beginning in the late 1950s, planners started data collection and storage, data analysis and
to develop and use computerised models, plan- presentation, planning and policy-making, com-
ning information systems, and decision support munication with the public and decision-makers,
systems to improve performance and precision and policy implementation and administration
of urban areas (Klosterman, 2008). GIS had been (Cho, 2005). GIS technology is most commonly
introduced to planning for the first time in 1966 used for comprehensive planning, zoning, land
by the Harvard Laboratory for Computer Graphics use inventories, site suitability assessments, and
and Spatial Analysis, Harvard University (GIS socio-demographic analysis, and is generally
Development, 2002). However, effective and used for mapping purposes (Budic, 1993; 1994;
efficient use of geographic information technolo- Harris and Elmes, 1993; Nedovic-Budic, 2000;
gies dates back to 1980s. Since then computer Pamuk, 2006). Presently, GIS dominate the use
graphics, including digital maps, satellite images of computers in spatial analysis, thus shifting
and aerial photos are used significantly in the the attention from the previous non-routine or
planning practice. GIS are an appropriate tech- strategic models to the much more routine type
nology for dealing with urban problems and they operations such as spatial database management
have revolutionised the way that spatial data is and map overlays. Figure 1 shows how GIS and
generated stored, analysed and disseminated. The related modelling technologies fit within the ur-
output of a GIS system, which is information in ban planning process. Indeed, this is the kind of
either/both in visual and/or attribute form, helps structure that Harris (1989, 1991) refers to as a
people to manage what they know, by making it decision support system (DSS) or more accurately
easy to organise, manipulate and apply to planning a planning support system (PSS), which links a
problems (Longley et al., 2001). GIS technology variety of computer supported decisions at differ-
integrates common database operations such as ent stages of the planning process (Batty, 1995).
query and statistical analysis with the unique visu- During the last years planners started to make
alisation and geographic analysis benefits offered much more use of the Internet as a medium of
by intelligent maps. With this technology not only interaction and developed web-based platforms
existing situations and impacts can be displayed for online planning. Online planning sometimes
on cartographic representations of areas, but also referred to as internet-assisted urban planning or
projected patterns and usages of environments can e-planning is a new frontier for the planning
be modelled, simulated, their outcomes envisaged, discipline. It creates a new platform for plan-
and local expertise are transferred. ning operations and processes, and increases
Over the past two decades significant attention the opportunity for public participation. Online
has been given to the adoption of GIS and land planning offers access opportunity to a seamless
information systems to promote local authorities record of the progress and approval of planning
planning services and information delivery to the proposals and policies (Shiode, 2000; McGinn,
public (Nedovic-Budic, 2008). Planning depart- 2001; Peng and Tsou, 2003). Online information
ments have been on the forefront of GIS use among technologies are essential tools for urban plan-
local government agencies to incorporate new ning as they support information sharing and
tools and technologies for sound and sustainable participatory decision-making in the planning
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Figure 1. GIS and urban planning process (Batty, 1995:9)
process. Popular online planning technologies they have become an important part of the urban
include: public participatory GIS, computer sup- planning process. Community focused or public
ported collaborative work environment, 3D GIS, participatory planning is introduced to planning
virtual reality, and internet mapping. Implications after the rise of this attention. Public participatory
of these technologies on the planning practice are planning briefly is a local planning process that
discussed below. provides governmental assistance to communities
as they address opportunities and challenges. It
Public Participatory GIS aims to develop a community-based process with
broad citizen participation in order to build local
In the information era, an urban plan is seen as capacity to plan for sustainable urban development
a process as much as a design outcome, if not and to benefit from the insights, knowledge, and
more. The reason is clear: too many plans had support of local residents (Kelly, 2004).
accomplished nothing other than occupying Public participation is a vital constituent of the
space on a shelf. If more people were involved planning process. Numerous urban researchers
in developing a plan, it is more likely that this have investigated computer technology and social
plan will appropriately address issues that are issues and questioned whether technology aids
important to the community (Sieber, 2007). Plans public participation and democracy or diminishes
that have engaged many people have the support it. As reported by Craig (1998) such technology
that is needed to bring the plans to fruition (Craig, provides individuals and smaller organisations
1998:394). Since the 1960s, citizens have increas- with relevant information, thereby reducing
ingly shared their views on the planning issues and monolithic decision-making and redirecting
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necessary resources to them. Various IT tools, software, hardware and network environment that
including GIS, support public participation and functions to provide a means for human collabo-
advocate communities requests (Sieber, 2006). ration. More specifically, CSCW is considered
However, these tools cannot directly change the as a software system that supports a group of
decision-making processes from top-down to decision-makers engaged in a common decision
bottom-up, but they raise awareness and build a task by providing access to the same shared en-
capacity for the public to reorient this structure. vironment and information. It is often considered
For that purpose the concept of Public Participa- synonymous with groupware. During the last
tory GIS (PPGIS) is introduced by the National few decades, computers have mainly been used
Centre for Geographic Information and Analysis to design urban plans and store information for
(NCGIA) as the Research Initiative 19 entitled urban management. However, recent develop-
the Social Implications of How People, Space ments in computer, multimedia and networking
and Environment are Represented in GIS in technologies now provided the opportunity for
1993. PPGIS deals with communitys demand technicians, policy-makers and the public to
on the spatial and non-spatial issues, addresses a be able to participate in group decision-making
specific scale, involves public participation in the sessions by using groupware and computers on
second cybernetic sense, is pluralistic, inclusive wide-area networks including Internet. Actual
and non-discriminatory, includes qualitative and groupware functionality is typically described
quantitative data, and it is for and by the com- as in terms of the time and place of interaction
munity (Yigitcanlar, 2002). (Figure 2). The dimensions of time and place and
Following to NCGIAs initiative for almost ability of groupware to equate them is a function
a decade PPGIS has been a hot issue for schol- of technology itself (Lococo and Yen, 1998). The
ars and practitioners from both urban planning ability to collaborate productively in real-time
and geographic information science disciplines with other associates, regardless of location, is
(Ghose, 2007). According to Kingston et al. (2000)
a succeeding PPGIS should concern following is-
sues: PPGIS should provide equal access to data Figure 2. Groupware functionality (Khoshaflan
and information for all sectors of the community; and Buckiewicz, 1995:83)
it should have the capability to empower the
community by providing the necessary data and
information which matches the needs of the com-
munity who are, or potentially, participating; and a
high degree of trust and transparency needs to be
established and maintained within the public realm
to give the process legitimacy and accountability.
However, another as important issue is the need
for an efficient collaborative work environment
for PPGIS systems to become fully operational.
Computer Supported Collaborative

Work Environment
In the broad sense, a computer supported collab-

orative work environment (CSCW) is a computer
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invigorating and beneficial for management ef- planning decisions. These new GIS customisation
fectiveness (Figure 3). examples are particularly useful when public is
Research in spatial decision (or planning) sup- involved in decision-making as these applications
port systems has a rather long tradition (Densham, include invaluable visual analysis modules such
1991; Goodchild and Densham, 1995; Yigitcanlar as 3D and virtual reality.
and Gudes, 2008). Projects related to collaborative
spatial decision support systems (CSDSS) focused 3D GIS and Virtual Reality
on overcoming the limitations of single user GIS
(Armstrong, 1994; Densham et al., 1995). CSDSS There has been a considerable effort to push the
benefit from both GIS and CSCW systems for capabilities of urban GIS from simple two dimen-
supporting public participation in planning and sional (2D) mapping towards three dimensional
assisting communities in local decision-making (3D) visualisation of the built environment (Faust,
(e.g. environmental decisions). As pointed out by 1995). This has often been achieved through the
Couclelis and Monmonier (1995:92), CSDSS have linkage of computer aided design (CAD) tech-
their roots in operations research and the approach nologies to GIS databases (Liggett et al., 1995).
is fully applicable to the planning discipline. For Beyond this, there has been a demand in using
instance, planning initiatives by Faber (1995, virtual reality techniques to produce 3D solid
1997) offer a good example of an approach in geometry models for interactive exploration and
which the architecture of a CSDSS is based on interrogation. The practical implementations of
the integration of groupwork tools and GIS tools these techniques are achieved by using virtual
for sustainable urban development (Sarjakoski, reality modelling language (VRML) with 3D
1998; Kain and Soderberg, 2008). More recent models (Doyle et al., 1998:143). The interest in
examples of CSDSS include INDEX (www.crit. 3D GIS has been substantial from both application
com) and CommunityViz (www.communityviz. and theoretical perspectives. Traditionally, virtual
org) that are advanced yet easy-to-use GIS soft- reality systems did not have much analytical
ware designed to help people visualise, analyse, functions that are applicable to urban environ-
and communicate about important community ments. At present, to overcome this disadvantage
Figure 3. Groupware applications (Lloyd, 1994:39)
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of VRML, GIS software has been linked with design and planning problems. In an environment
contemporary VRML technologies. VRML has in which computer and internet technologies are
also for the capacity in enabling the use of 3D becoming common, it is important that planners
models in web browsers (Sarjakoski, 1998:386). develop ways to harness these technologies to
By benefiting from this technology, it is possible work effectively with the public (Batty, 1998).
to share various instances of virtual cities or Computer visualisation and web-based systems
digital representations of real-world urban loca- offer a new opportunity to support and facilitate
tions on the web. There are websites that contain public participation and democratic decision- and
basic graphic interfaces for geographic data, but plan-making, which leads to the establishment of
there are only few that integrate virtual reality an e-planning mechanism. As city administrations
technologies with the spatial databases held within and planning departments increasingly understand
GIS so as to create a true virtual city an effective their roles as public oriented service centres,
simulation environment for planners. they have become interested in providing map-
Many of the commercial GIS vendors realised ping services to the public through internet. This
the importance and opportunities of 3D GIS based includes providing wide and easy to use access
on virtual reality technologies. For example, En- to spatially referenced data e.g. demographic,
vironmental Systems Research Institute (ESRI) environmental, economic data (Andrienkoa et
launched a powerful 3D module (3D Analyst) to al., 1999:425-426). Accessing the web and other
be used with ArcGIS software (ESRI, 2003; 2004). information technologies empowers neighbour-
This product provides 3D visualisation capabilities hood organisations by providing them with more
within the GIS itself allowing a degree of model- information to use in their own deliberations.
ling and analysis in 3D and the ability to exploit Whether these deliberations are internal or exter-
a VRML on the desktop. Other good examples nal, more and reliable information makes them
of more recent tools are the CommunityVizs powerful in the decision-making process. Internal
SiteBuilder 3D module (www.communityviz.org) deliberations help the community set its priorities,
and INDEX 3D module (www.crit.com). These and [i]nformation used in external deliberations
good examples reveal that virtual reality and 3D helps the organisation better argue its case (Craig,
GIS visualisation are on the verge of changing the 1998:403). Shared information is valuable to citi-
practice of urban planning and design. Instead of zens and local interest groups (e.g. environmental
presenting citizens with abstract maps and descrip- organisations, local companies) to get involved in
tive text to explain, analyse and debate design the development and decision processes.
ideas and urban processes, planners are now able Since the first webpage with an interactive
to present explicit photo textured information of map was put up by Xerox Palo Alto Research
what their city will look like after a proposed Centre (PARC) as an experiment in interactive
change. Although there are promising stand alone information retrieval in 1993 (Harder, 1998), many
3D GIS applications, it is crucial that these ap- sites serving maps appeared on the web. Plewe
plications to be placed in the internet environment (1997) discusses the benefits of GIS Online
to be accessible by all interest groups. and refers to many good practices that distribute
geographic information. Among them, some sites
Internet Mapping provide publicly accessible geographic data and
geo-spatially referenced information, where some
Urban planners and designers recognise that lo- have only restricted access for project stakehold-
cal knowledge is a key element in developing ers. Many other data portals provide commercial
appropriate and effective solutions to community or free-of-charge geo-data, such as Microsofts
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Planning Online
TerraServer (http://terraserver.homeadvisor.msn. an integrated geographic multi-attribute utility

com/default.asp), Teale Data Centre (www.gislab. system and an extensive survey of applications
teale.ca.gov), Map Quest (www.mapquest.com), and research issues for geographic information
and Google Maps (http://maps.google.com.au). technology applications in urban planning. In
Planners and designers, who traditionally use recent years, GIS have begun to appear on the
maps and related information, have found internet web ranging from simple demonstrations and
and intranet technologies useful mainly because references to GIS use, to more complex online
they reduce the cost of data management and in- GIS and spatial decision support systems. The
formation distribution (Tripathy, 2002). With the level of sophistication in online GIS systems in
advent of GIS and internet technologies in urban providing access to a variety of GIS functional-
planning, the conventional intricacies to get solu- ity and data is improving constantly (Doyle et
tions in time and position have been improved. al., 1998). Thus, the previous criticisms of GIS
The recent years have witnessed an explosive being an elitist technology (Pickles, 1995) [is] no
development of internet, which has now become longer valid in the same context (Kingston et al.,
an important means for acquiring and dissemi- 2000: 109-110).
nating information. Most GIS vendors and some GIS and internet are ever evolving technologies
commercial spatial data providers have realised and hold great potential for public use, allowing
that the web is the next generation GIS platform, wider involvement in environmental and urban
providing a powerful medium for geographic decision-making (Innes and Simpson, 1993). As
information distribution, as well as a particularly Kingston et al. (2000:109-110) state the rise of
lucrative new market to exploit (Doyle et al., 1998). the Internet and the web over the past decade has
Correspondingly, a number of Internet GIS solu- created many opportunities for its use in local,
tions for deploying maps have been developed. regional and national democratic processes. One
Plewe (1997) provides a review of the integration area where the web can be used to great advantage
of Internet mapping and GIS, and Huang and Lin is for the enhancement of participatory democracy
(1999) discuss the possible services that such in local environmental decision-making. The
integration could offer. Internet has also recently web generates a new public sphere supporting
been seized upon as a new powerful vehicle with interaction, debate, new forms of democracy
which to engage the public. Visionaries look for- and cyber cultures which feedbacks to support a
ward to future in which internet-based systems renaissance in the social and cultural life of cit-
will be used to inform citizens of developments ies, and as a result, the web helps communities
in their environment and allow citizens to interact in shaping their future (Yigitcanlar and Gudes,
with professionals and policy-makers in decision- 2008). In the developed world, almost every city
making processes. Because many of the issues now has a presence on the web which offers the
that affect local government are land or property potential to deliver public goods and services
based, Internet GIS play a major role within the through this relatively new media (see Reeve et
movement towards internet participation (Reeve al., 2002; Sacramento City, 2002; Southern Tier,
et al., 2002:49). 2002; Yamato City, 2002; Caloundra City, 2009).
There is a vast literature on successful ex- The following section introduces one of the good
periments in Web-based PPGIS (see Reeve et al., practices, Shibuya Community-based Internet
2002). For example, Jankowski and Stasik (1997) GIS Project, of online planning that empowers
introduce an Internet GIS that makes collaborative decision-making process by using innovative
spatial decision-making via public participation techniques and tools in urban and environmental
possible. Keisler and Sundell (1997) present planning.
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SHIBUYA COMMUNITY-BASED as the public, technicians and decision-makers

INTERACTIVE DECISION- to obtain and share information interactively on
MAKING PROJECT their environs at different levels. CIGA has been
developed to support the urban planning process
While local governments, urban planners and with community needs in mind (Figure 4). Since
community agencies frequently use the web to most urban planning problems have spatial and
offer information to community members, it has multi-dimensional characteristics and tend to be
been less common for these entities to use internet increasingly complex, the inclusion of commu-
as a medium for two way communication. Until nity-oriented decisions through the provision of
recently, the use of spatial data with web technol- web-based innovative applications will be greatly
ogy has largely been limited to the provision of beneficial (Yigitcanlar, 2008). CIGA offers just
information to the public through image-maps this alternative perspective and encourages the
rather than any actual public participation. It is facilitation of users to participate in the problem
crucial to create systems and tools that would allow solving and decision-making stages of the par-
people to become both receivers and providers of ticipatory planning process via online interactive
information. To meet this purpose a new Internet sources. It is also meant to be a mechanism to
GIS model referred as a Community-based Inter- undertake studies on sustainable urban develop-
net GIS Approach (CIGA) has been developed. ment, to identify planning and community goals,
It is one of only a few projects that involve the to draw up planning guidelines and criteria, and
public returning spatial data as well as consuming to collect and store data in the GIS environment.
it. The model advances the prospect of allowing Moreover, further steps of urban planning, col-
citizens to comment, using web-based maps, upon laboration, negotiation and consensus building
government actions and development proposals. are integrated in the system. Thus, a powerful
CIGA is an online collaborative decision- systems methodology is used in this model to
making system which enables various users, such serve local needs, preserve urban ecosystems and
Figure 4. Community-based Internet GIS approach (Yigitcanlar, 2008:350)
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enhance sustainable urban development (Yigit- on the basics of distance learning and problem
canlar, 2008). solving logics by utilising CSCW with advanced
The system architecture includes a CSCW and information technologies (Figure 6).
specific applications to support collaboration. Social interaction is an important theme of this
The system constructs a trio of communication, model. Online decision support systems can not
collaboration and coordination among all of the be fully successful without an interaction between
participants and contains forms and common the collaborators. CIGA is, therefore, designed to
gateway interfaces that the user can interact with use traditional digital community building tools
to provide information and feedback. As Doyle et to encourage social interaction on the Web. These
al. (1998) and Brown (1999) point out, integrating traditional tools will include newsgroups, email
multimedia forms with Internet GIS has numer- lists, and bulletin boards. CIGA is comprised of
ous advantages and potential for the creation of problem and solution stages. Both of the stages
successful learning environments (Yigitcanlar, are connected through a series of five sections
2008). Video and audio transmissions are, there- and fourteen steps (Figure 7). The problem stage
fore, supported and intelligent maps are supplied contains various e-learning tools to raise the aware-
for the users by internet map servers (Figure 5). ness of the public on system and planning issues.
The multitude of factors that must be taken into Moreover, at this stage, the system endeavours
account by decision-makers turns urban planning to provide basic education about environmental
into a daunting system. CIGA aims to raise the systems, planning and decision-making in a col-
awareness on these factors among the public, laborative manner. This stage also assists the
to give them essential knowledge and empower public to better understand, forecast and visualise
them to be able to deal with problems in their the consequences of alternative scenarios (Yigit-
environment. CIGA contains distance learning canlar, 2008). The solution stage accommodates
and problem solving tools to give collaborators mechanisms to develop the alternative scenarios,
a basic background on the relevant issues to their evaluate and make strategic decisions. Spatial
decisions (Yigitcanlar, 2008). CIGA is constructed decision support systems are often designed
Figure 5. System architecture of CIGA (Yigitcanlar, 2008:353)
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Figure 6. System overview of CIGA (Yigitcanlar, 2008:355)
specifically to address semi-structured problems, major issues and problems of energy, open spaces,
however, they often lack support for collabora- conservation, pollution, urbanisation and devel-
tive decision-making, and for this reason, CIGA opment. Only stage one of CIGA was applied in
specifically accommodates Collaborative GIS this pilot study as the development of the second
(Faber, 1997; Sapient, 2000) and Strategic Choice stage still continues. Once it is completed it will
Approach (Friend and Hickling, 1997; Friend, be tested on several pilot projects (i.e. Brisbane
2002) as decision support tools (Yigitcanlar, 2008). and Gold Coast, Australia). During the May and
As a prototype Internet GIS model, CIGA aims November 2002 period over 60 people logged
to integrate a public-oriented interactive decision on to this website. At the moderated discussion
support system for the urban planning process. The forum 37 people communicated very actively
system components of CIGA have recently been and 24 participated rather passively. The major
developed and this Internet GIS model is piloted in reason behind this low level of participation was
Shibuya, Tokyo. By placing CIGA online within the language barrier as this database and website
a website, which incorporates an interactive map was developed in English instead of the local
as an interface to the information, interested parties language of Japanese (Yigitcanlar, 2008). The
can obtain information on existing and previous URL of the webpage of the database is: http://
developments, land-use, ownership, contact de- kanagawa.csis.u-tokyo.ac.jp (Figure 8). When
tails in order to collaborate and voice an opinion users first enter the site, after an initial welcome
and so on (for more information on CIGA, see window, they are prompted to fill in a profile.
Yigitcanlar, 2002; Yigitcanlar and Okabe, 2002; This was seen as an essential part of the system
Yigitcanlar, 2008). design as it could be used to build up a database
This project was online for six months between of users to help validate responses and analyse the
May and November 2002. In this online decision- type of people who were using the system. The
making exercise participants discussed sustain- main page contains; map, legend, tool buttons,
ability issues within, Shibuya which covered five and query frame.
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Figure 7. System flow chart of CIGA (Yigitcanlar, 2008:356)
Similar to what Marker et al. (2002) talked things, allows: (1) participation at an early stage;
about the design and conception of socio-technical (2) assures an equal opportunity to participate; (3)
systems for online citizen participation, this remains open with respect to both process and
pilot project has shown that public participation results; (4) assures communication and dialogue;
should not be solely technology-driven but also (5) integrates multiple perspectives; and (6) al-
should be oriented towards the basic principles of lows moderation by neutral third parties. On the
cooperative planning approaches. This is known other hand, the realities of city politics cannot
as the new planning culture, and, among other be ignored; that is, participation procedures usu-
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Figure 8. Shibuya city nternet GIS pilot project website (Yigitcanlar, 2008:360)
ally cannot achieve more than is allowed by the to attend a meeting at a particular time or place
existing context of communication and power which is often the single most inhibiting factor in
relationships (Yigitcanlar, 2008). participating via traditional methods. The system
The experience with the pilot study has shown allows faster collation of results from log files and
that, as Talen and Shah (2007) argue, online urban the website can be used to disseminate results and
information systems and GIS have the potential to feedback (Yigitcanlar, 2008).
catch public interest in environmental planning and Clearly there is a need to improve public ac-
also in preparation of urban development plans. cess to urban and environmental information, and
The system demonstrates how it is possible to encourage collaborative decision-making. Online
combine information and provide a greater insight urban and environmental information systems
into Shibuyas urban and environmental situation. like the Shibuya CIGA project offer a variety of
The system also communicates urban and environ- tools and technologies to assist the management
mental information to a potentially wide ranging and use of urban and environmentally related data
audience in an easy to use and intuitive manner and information, and hence can be used as a tool
through a variety of ways including an online to help to achieve the sustainable urban develop-
discussion platform. The ability to instantaneously ment goal. If we are to strive to achieve the most
update the database and profile users online was efficient form of a sustainable information society,
seen as one of the most useful advantages of the urban and environmental information systems,
system over the traditional techniques. The online their tools and results should attract the interest
system allows people to use the system regard- of as wide an audience as possible (Yigitcanlar,
less of time and place. The public do not need 2008). This pilot study has shown us the role of
27
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internet, public participation and the development and a true e-planning to be realised (Yigitcanlar
of Internet GIS are important factors in taking this 2005; 2006).
potential further. There are few important developments that are
likely to be the hallmark of the online planning
support systems within the coming years. One of
FUTURE RESEARCH DIRECTIONS them is combining virtual reality with Internet GIS,
in order to give the participants much clearer visual
Decision support systems have evolved rapidly opportunities in a specific case study. Another
over the last two decades from stand alone or one is using Internet GIS in large scale planning
limited networked solutions to online participa- programs rather than local ones such us: planning
tory solutions (Hopkins, 2001). One of the major metropolitan or large regional level projects and
enablers of this change is the fastest growing plans. Furthermore, combining enterprise resource
areas of GIS technology development that re- planning systems with GIS seems to be a very
lates to the use of internet as a means to access, useful trend for the success of the e-government
display and analyse geospatial data remotely. and e-planning processes. Additionally increasing
World-wide many federal, state and particularly use of location based services such as: routing,
local governments are designing to facilitate data locations, and tracking services, seems to be new
sharing using interactive internet map servers. rising trends. Few examples of these trends can be
This new generation decision or planning sup- seen in the USA and Australia, where parents use
port systems, interactive internet map server, is location-based services to track their childrens
the solution for delivering dynamic maps and daily movement patterns (Yigitcanlar and Gudes,
GIS data and services via the web, and provid- 2008). Finally, the Google Earth service acceler-
ing PPGIS opportunities to a wider community ates the use of GIS among a wider population
(Carver, 2001; Jankowski and Nyerges, 2001). rapidly, as it makes GIS a common and useful
These planning support systems provide a highly tool for community and individuals.
scalable framework for GIS web publishing,
Web-based PPGIS or Internet GIS, which meets
the needs of corporate intranets and demands of CONCLUSION
worldwide internet access (Craig, 2002). The es-
tablishment of Internet GIS provides spatial data In its short history, Internet GIS has proven to be
access through a support centre or a GIS portal to a powerful tool to develop flexible and versatile
facilitate efficient access to and sharing of related functions and to deliver rich information content
geospatial data (Yigitcanlar et al., 2003). As more to the users through the web. As a result, inter-
and more public and private entities adopt Internet active mapping or Internet GIS has developed
GIS technology, the importance and complexity rapidly over the past few years resulting in the
of facilitating geospatial data sharing is growing migration of GIS functionality to the web (Plewe,
rapidly (Carver, 2003; Yigitcanlar and Gudes, 1997). This migration has taken elements of GIS
2008). This chapter focused on the online public to mass audiences. Without owning the individual
participation dimension of the GIS technology software, the Internet GIS technology has opened
to aid local decision-making and planning. The new paths for disseminating, sharing, displaying,
continuum of advance development of planning and processing spatial information on internet.
support technologies along with provision of Web-based solutions provide a low cost, efficient
democratic platforms for the public in decision- way to deliver map products to users. Internet
making will eventually lead planning to go online GIS based solutions for urban planning helps
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Planning Online
the public in a significant way to participate in All community groups, non-profit organisa-
decision-making processes. Placing urban plan- tions, local authorities and planning agencies
ning online, serving maps on the web for public should make every effort to adapt recent informa-
participatory planning and Internet GIS model (i.e. tion technologies to policy-making and planning
CIGA) have the potential to provide numerous processes. They need to understand its strengths
contributions to the urban planning discipline by and limitations so that they can view it from a criti-
supplying tremendous support to the public. To cal perspective. Placing urban planning online
recapitulate, these contributions are: and integrated community-based methodologies to
urban planning are new and important approaches.
Deliberating inclusions of social issues Furthermore, they are effective considerations
compared to other technology implementa- that show local authorities, planning agencies,
tions and provision of equal access to data communities and the public, a strategic way to
and information for the users over internet. further develop local economy, preserve socio-
Promoting of a healthy balance of urban cultural and environmental values, and shape
growth, conservation of natural resources their neighbourhoods.
and cultural identity for communities.
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graphical Information Science, 20(8), 885898. In Khosrow-Pour, M. (Ed.), Encyclopedia of
doi:10.1080/13658810600711378 Information Science and Technology (2nd ed.,
Cromley, E. K., & Mclafferty, S. L. (2003). GIS Vol. 4, pp. 19441949). Hershey, PA: Information
and public health. Health & Place, 9(1), 279292. Science Reference.
Croner, C. M. (2003). Public Health, GIS and the Yigitcanlar, T. (2009). Planning for smart urban
Internet. Public Health, 24(1), 5780. ecosystems: information technology applications
for capacity building in environmental decision
Healey, P. (2003). Collaborative planning in making. Theoretical and Empirical Researches in
perspective. Planning Theory, 2(2), 101112. Urban Management Journal, 3(12), 521.
doi:10.1177/14730952030022002
34
Planning Online
Yigitcanlar, T., Han, H., & Lee, S. (2008). Online Location-Based Service: A service provided
environmental information systems. In Adam, F. to the subscriber based on their current geographic
(Ed.), Encyclopedia of Decision Making and Deci- location. This position can be known by user en-
sion Support Technologies (Vol. 2, pp. 691698). try or a global positioning system receiver. Most
Hershey, PA: Information Science Reference. often the term implies the use of a radiolocation
function built into the cell network or handset that
Yigitcanlar, T., & Saygin, O. (2008). Online urban
uses triangulation between the known geographic
information systems. In Adam, F. (Ed.), Encyclo-
coordinates of the base stations through which the
pedia of Decision Making and Decision Support
communication takes place.
Technologies (Vol. 2, pp. 699708). Hershey, PA:
Online Environmental Information System:
A web-based system for making environmental
Yigitcanlar, T., & Velibeyoglu, K. (2008). Strength- information transparent and instantaneously ac-
ening the knowledge-base of cities through ICT cessible to the public.
strategies. In Cartelli, A., & Palma, M. (Eds.), Planning Support Systems: Interactive
Encyclopedia of Information and Communication computer-based systems designed to help deci-
Technology (Vol. 2, pp. 728734). Hershey, PA: sion-makers process data and models to identify
Information Science Reference. and solve complex problems in large scale urban
environment and make decisions.
Public Participatory GIS: A GIS technology
that is used by members of the public, both as
individuals and grass-root groups for participa-
Decision Support Systems: A class of comput- tion in the public processes (i.e. data collection,
erized information systems that support decision mapping, analysis and decision-making) affecting
making activities. their lives.
Environmental Information System: An ex- Web-Based GIS: Also known as Internet
tended geographic information system that serves GIS; is a new technology that is used to display
as a tool to capture, save and present spatial, time- and analyze spatial data on the internet. It combines
related and content-specific data and at the same the advantages of both internet and GIS. It offers
time to describe the condition of the environment public a new means to access spatial information
in terms of negative impacts and risks. without owning expensive GIS software.
Geographical Information System: A system Web-Based Public Participatory GIS: An
for managing spatial data and associated attributes. online application of GIS that is used for increasing
It is a computer system capable of integrat- public access to information and active partici-
ing, storing, editing, analyzing, and displaying pation in the decision-making process and is an
geographically-referenced information. important improvement over existing public and
Interactive Internet Map Server: An online decision-maker power relationships.
mapping utility which enables users who may not
be familiar with GIS to view and interact with
online GIS.
35
36
Chapter 3
Modelling & Matching and
Value Sensitive Design:
Two Methodologies for E-Planning
Systems Development
Yun Chen
University of Salford, UK
Andy Hamilton
University of Salford, UK
Alan Borning
University of Washington, USA
ABSTRACT
In this chapter the authors present two methodologies: Modelling & Matching methodology (M&M)
and Value Sensitive Design (VSD), which can help address the knowledge gap in the methodologies for
designing e-Planning systems. Designed to address the requirements of diverse user groups and multi-
disciplinary cooperation for systems development, these two methodologies offer operational guidance
to e-Planning systems developers. After the background introduction on e-Planning systems, these two
methodologies are described, along with their application in two projects, namely VEPs and UrbanSim.
This is followed by suggestions for the further work and conclusions.
INTRODUCTION problems include: transport, pollution, crime,

conservation and economic regeneration. Thus in
Cities are dynamic living organisms that are con- addressing the complex problems of city planning it
stantly evolving. Thus city planning has always is not sufficient just to be concerned with the physi-
been difficult. Today our rapidly changing society cal structure of the city; the interplay of intangible
makes the job of predicting future needs of city economic, social and environmental factors needs
dwellers, and those who depend on the services to be considered as well.
cities provide, even more problematic. Particular Those involved in the sophisticated art of city
planning use a variety of tools. Many authors argue
that Information Communication Technologies
DOI: 10.4018/978-1-61520-929-3.ch003
Modelling & Matching and Value Sensitive Design
(ICTs) offer the potential to improve the cur- System Development Methodology (ISDM) does
rent situation in the consultative urban planning not offer a total solution that address both soft
process, in particular the Internet, Geographic In- and hard perspectives in the system develop-
formation Systems, and Virtual Reality. The rapid ment process. Hence, this chapter is intended as
development of these technologies provides new a contribution toward the development of hybrid
opportunities to improve the planning processes methodologies that can provide sufficient support
and make better use of resources (Dollner et al., to e-Planning systems designers. This chapter
2006). Recently it has become clear that in order concentrates on how multiple stakeholders can be
to provide more efficient city management and involved in the design process of e-Planning sys-
administration, it is important to design holistic tems and how system designers can work together
systems that integrate information from city au- to identify goals in terms of cities designing via
thorities, utility and transport system providers appropriate system development methodologies;
etc (Hamilton et al. 2005; Knapp et al., 2009). so that the systems produced can enhance the
E-Planning systems are a new variety of informa- planning process.
tion system for use in urban planning, with the The chapter starts with the general investigation
goal of making the urban planning process more of e-Planning systems from its definition, current
effective and efficient with appropriate ICTs. applications for both professionals and general
Nowadays, many countries around the world public, and future trends. These investigations
intend to modernise the planning process or have indicate challenges of the development of these
already initiated such movement (ODPM, 2004). systems. The potential solutions to address these
An e-Planning system is a complex information challenges are discussed in the second part of
system that involves integration of various new this chapter, which presents two approaches that
technologies and interaction among multiple user we believe will be useful for e-Planning systems
groups. However, the vast literature that covers development: Modelling & Matching, and Value
computer use for e-Planning systems arguably Sensitive Design. The intended outcome of the
devotes insufficient attention to gathering require- application of both M&M and VSD is improved
ments of different user groups and to the system planning systems, in terms of better alignment to
design process. Effective development methodolo- planning needs.
gies are needed to ensure that new technologies The Modelling & Matching (M&M) method-
are matched to required functionality, and that ology (Chen, 2007) aims to address the need to
successful e-Planning systems are implemented. develop systems that satisfy the requirements of
In addition, the technical problems of creating an stakeholders who display wide variance in terms
integrated ICT infrastructure to support e-Planning of domain knowledge and motivations. In addi-
systems development are considered not to be the tion, it focuses on the appropriate process to fa-
most difficult challenge (Curwell & Hamilton, cilitate cooperative system development engaging
2003). Greater concern is expressed over social, multi-disciplinary professionals, and to integrate
human and activity issues, which should be ad- technical design into the knowledge management/
dressed in a system development process. structuring process. M&M brings together many
In her PhD research, Chen has identified approaches and bridges the design/implementation
significant gaps in current knowledge regarding gap by providing different design models with
appropriate development methodologies for com- immediate feedback from stakeholders that is so
plex system development that involves multiple lacking at present.
stakeholders, such as e-Planning systems (Chen, Value Sensitive Design (VSD) is a theoretically
2007). It also shows that the individual Information grounded approach to the design of technology
37
that attempts to account for human values in a BACKGROUND TO

principled and comprehensive manner throughout E-PLANNING SYSTEMS
the design process (Borning et al., 2005). Key
features of the methodology are its interactional A city is not only a space, but also involves cultural,
perspective, tripartite methodology, and emphasis social and environmental aspects. As a result, ur-
on indirect as well as direct stakeholders. ban planning is a multi-disciplinary process. Due
Why link M&M and VSD? Both development to the complicated and iterative characteristics of
systems address stakeholders concerns but are the urban planning process, urban plans have to be
focused on different aspects. M&M is particularly flexible, allowing the incorporation of influences
focused on requirements capture and collaborative from all stakeholders of cities. This is one reason
work. The purpose behind this is the production that the urban planning process should be trans-
of systems that reflect the way stakeholders cur- parent and accomplished through a participatory
rently work, and could work more effectively with process involving multiple user groups, including
the support of an IT system to perform particular government, citizens, urban planners, private sec-
functions. For example, through involvement with tors (e.g. real estate companies, forest industries,
local stakeholders M&M can help to design sys- and investors) and affected communities (e.g.
tems where pedestrians crossing outside schools environmental non-governmental organizations,
are considered as a matter of course. However and transport and utility service providers). It was
M&M does not specifically help to find answers agreed in Lisbon by the Council of the European
to questions such as why are we planning cities Union that information technology can be used
for cars when perhaps we should be planning for to renew urban and regional development.
other types of transport?. Such questions are In the early 1990s, software products for
value laden and very much the focus of VSD. urban planning were mainly used for mapping,
VSD helps to examine values and make choices, storing information and, in a lesser extent for
whether this is for low impact cars, highly efficient analysis (Fischer and Nijkamp, 1993). With the
public transport, or any other solution in which evolution of computer techniques, conventional
values conflict. urban planning can be reconceived (Hamilton et
However the two systems are complementary. al. 1998). In recent years, advances in visualisation
Stakeholder views are closely associated with techniques, data modelling and the development of
values. The requirement for pedestrian crossings new standards have given the potential for the cre-
is value driven in terms of the value we put on life ation of a new generation of e-Planning systems.
and prevention of loss of life. In this respect we For example, a 3D city model can be integrated
could see the difference between the two systems with GIS systems, so that it is not only possible
in terms of accepted values (M&M) and value to have a visual effect of what the city is like, but
conflict or changing values (VSD). Some reflec- also, to understand the information behind each
tions on applications of these methodologies in building, each street, and each parcel of land in
the real world will illustrate this point. the city (Wang & Hamilton, 2009; Knapp et al.,
Finally, the chapter concludes with a discussion 2009). The rapid development of ICT provides new
of directions for future work, including additional opportunities to improve the planning processes
applications and the potential for coordinating the and make better use of resources. However, it is
application of these two methodologies, based argued that ICTs can only become e-Planning
on reflections from case studies discussed in the systems for social development if they address
chapter. the complex challenge of improving the lives of
the most needy (Ghose, 2001).
38
In this section, the background to e-Planning is significant that an estimated 80% of ac-
systems will be discussed, in terms of its definition, tions taken by municipal authorities are
the state of the art, future trends, and challenges supported by geo-spatial information.
of development. Technologies interoperability: New
methods and tools for system dynamics
Definition and Characteristics modelling, together with increasing com-
of E-Planning Systems puting power, are opening up new possi-
bility in addressing urban development.
E-Planning, as an important part of eGovernment, Standards such as e-GIF, SDI and SIS for
can enable easy access to high quality informa- e-Planning systems development can en-
tion, guidance, and services that support and sure the reliability, credibility, security and
assist planning applicants, and streamline means interoperability of these new technologies
of sharing and exchanging information amongst and boost international and national coop-
key stakeholders (The Planning Service, 2004). eration (Song, et al., 2009).
The principal aims of e-Planning are to enable Cost-efficiency and feasibility:
more people to become involved in planning; to Concerning limited time and money, taking
increase openness, efficiency and effectiveness; advantage of massive amounts of e-Plan-
and to arrange the delivery of planning services ning system from various techniques to
to meet citizens needs. make timely and critical decisions requires
There is no doubt that urban planning is significant computing power at reason-
a complicated process, and a comprehensive able cost (Rowe et al., 2005). Efficiency is
method of collecting and utilising ideas would defined as the ability to achieve desirable
help in making better decisions. An e-Planning goals by managing limited resources. It
system is constructed via negotiations between asks developers and designers to consider
various social groups, which include profes- how to make best use of all the available
sionals, decision-makers, developers, special resources (Ranke et al., 2005).
interest groups, citizens, and other stakeholders.
E-Planning systems should facilitate the social E-Planning systems offer considerable op-
cohesion and inclusion in the planning and policy portunity for early and rapid change to the future
making process. delivery of planning services, with an emphasis on
E-Planning systems act as information media, electronic delivery (The Planning Service, 2004).
which should be more concise, more regionally In addition, a successful e-Planning system should
specific and more focused on delivery(Mugumbu, have positive effects on social inclusion, allow-
2000). This characteristic of e-Planning systems ing people to become more effectively involved
also informs the selection of its component in the planning process. In order to achieve these
technologies, which can be summarised in three purposes, e-Planning systems need to be acces-
perspectives: sible, comprehensive and interactive.
Geo-spatial analytic ability: Since the Current E-Planning

process of urban planning is a geograph- System Applications
ic-related process, geo-spatial informa-
tion-based technologies are a focus of Many local governments in Europe have attempted
most e-Planning systems. In the drive for to apply new ICTs for e-Planning activities. For
information-rich urban environments, it example, Stuttgart City has developed a system
39
called Nachhaltiges Bauflchenmanagement better collaboration between public admin-

(sustainable land use management system), which istration and civil society can be achieved.
is intended to support the strengthening of inner- Networking / contacts: ICTs are also used
city development based in context of sustainable for professional communication (i.e. pro-
urban development. Also, novel modelling and fessional contacts and networks) to make it
representation technologies can contribute to pre- easier and faster.
sentation of planning options and communication
with stakeholders. It is expected that, especially Compared with e-Planning systems design
urban planners and the government can profit for professional use, the design of an e-Planning
from the use of e-Planning systems to facilitate system for the general public presents additional
planning work in the following perspectives: challenges. PPGIS (Public Participation GIS) is
one example. PPGIS is a field of research that
Provision of information: Geo-spatial focuses on the use of GIS by non-experts and
databases and digital maps are more often occasional users. It is about empowering GIS
used to provide environmental and plan- various user groups (including general public) and
ning information. The use of GIS eases the enabling them to use the technology purposefully
analysis of complex planning data and con- to capture their local knowledge and advance their
tributes to a better quality of information. goals (Sester, et al., 2009). These potential users
Scenarios / simulations / forecast of tend to have a diverse range of computer literacy,
planning outcomes: ICTs facilitate the cultural backgrounds, experiences and knowledge.
creation of different planning alternatives These aspects require that PPGIS systems are ac-
as well as the forecast of their outcomes cessible and easy to use. Although the usability of
((Song, et al., 2009). Thus planners are GIS products has improved immensely, they still
able to select options that are forecast to require users to have considerable technical skills
better support sustainability. to operate them. This presents major obstacles to
Visualising: Visualising planning issues non-expert users in terms of navigating an interface
with the help of 3D VR modelling con- that embeds a language and concepts that support
tributes to a better forecast of planning the systems architecture rather than the users
outcomes such as visual impact, noise and language (Haklay 2002).
wind. Furthermore, 3D modelling can be- To enable the accessibility of advanced tech-
come 4D (time embedded) or include other nologies to a wider public, current research in
dimensions that can be managed and vi- e-Planning systems has opened areas of research,
sualised in the same consistent model (e.g. such as integrating appropriate visualisation or
costs and environmental impacts) (Aouad, multimedia to improve the usability of GIS for
et al., 2006). occasional and non-specialist users, and adopt-
Disseminating information / planning ing user-centred design and Human Computer
participation: ICTs are used for dis- Interaction (HCI) approaches to e-Urban planning
seminating planning information via the projects (Haklay and Tobon, 2003). In practice,
Internet and facilitating the public to com- however, planning procedures and instruments
ment on local and strategic urban plans, are taking the potentials of innovative ICTs into
thus promoting transparency of activities account slowly. Community mapping, PPGIS and
and public awareness of planning and sus- XPlanGML are examples of emerging approaches
tainability issues. In this way, planning that aim to build ICTs into planning procedures
participation can be supported so that a in order to improve coordination or facilitate
40
new forms of interaction, but that do not reflect urbanisation, there are predictions that cities will
a mainstream yet (Balram and Dragievi 2006; become more violent and socially exclusive. In
Sester, et al., 2009). Most of them have been 1990s, the digital divide quickly became one of
developed and tested in the lab, but few of them the political and academic hot-topics. Crucially,
are widely used in cities. Furthermore, many fail- the groups most likely to be digitally excluded
ures of these systems ultimately occur due to the continue to be synonymous with those who can be
complexity of e-Planning systems and failures of characterised as being already socially excluded
meeting basic requirements of their stakeholders. especially in terms of income and socio-economic
This illustrates that we need an approach that can status (Landorf, 2009). In order to avoid the digital
contribute substantially to the way in which we divide and to encourage the general public to
understand how e-Planning systems can operate as participate into the urban planning process, new
a social-technical object. To develop an e-Planning kinds of governance and decision-making process
system, it is doubly important to use a transparent involving a large variety of stakeholders are es-
design approach to understand and engage with sential. Hence, understanding stakeholders has a
multiple stakeholders so that the system can be significant role to play in the pursuit of effective
designed for them. e-urban planning, and achieving its goals.
The next subsection further describes the In Europe, more than 80% of Europeans live in
challenges in E-Planning system development, cities, and urban planning affects every one of its
to inform the potential solutions in the following stakeholders, who may have divergent interests.
sections. The complexity of the interaction among these
stakeholders may result in their relationship in
E-Planning Systems: Future Trends synergy, conflict, or negotiation. In addition, dif-
and Development Challenges ferent stakeholders may use e-Planning systems in
a large number of application areas. Accommodat-
eGovernment is not just about enabling services ing such a wide spectrum of needs and effective
to be made available over the Internet it is about use of technologies to facilitate interaction among
total revolution as to how services are processed various stakeholders is a challenge, since it is
internally and how State Agencies interact with difficult to arrive at a shared view on e-Planning
each other to provide citizen and business focused System specification. The literature concerned
integrated services. (Fitzpatrick, 2005) with computer use for e-Planning systems gener-
ally does not fully address the problem of gather-
As a result, e-Planning is not just about service ing requirements from disparate user groups and
delivery, but also about interaction. In addition, integrating these requirements into the system
the trend of e-Planning systems evolution increases design process.
its complexity, since it involves the integration of Second, the complexity of urban processes
various new technologies and interaction among requires multi-disciplinary cooperation to identify
multiple user groups. There are two primary chal- goals in terms of cities designing.
lenges for its development due to this complexity. Generally speaking, urban planning involves
First, this kind of system has a wide range various factors and is extremely uncertain. As in-
of users. formation systems to facilitate the urban planning
In February 2008, the Population Division of processes, e-Planning systems face the difficulty of
the United Nations reported that more than half of understanding concrete requirements which may
the worlds population would be living in urban result in the gap between initial understanding and
areas by the end of the year. To cope with this rapid final functional specification. To avoid the mis-
41
match between supplied technologies and demand and appreciation of the situation, through analysis
requirements in e-Planning systems development and assessment, to implementation and action.
process is a challenge. Experts from different Individual methodologies and techniques have
areas (e.g. urban planning, geo-spatial system, their strengths and weakness with regard to these
and government policy) need a well-formulated various stages.
collaborative environment and process to work To summarise, a well-understood and feasible
together for the system development. In addition, development methodology can aid in the design
like most information systems, the development and implementation of successful e-Planning
of e-Planning systems is an incremental process. systems, so that they are more likely to meet the
With the continual process of urban planning and different requirements of various user groups. Such
developments in the available techniques, require- methodologies should devote significant attention
ments for e-Planning systems are increasing as to issues of human values and the political context
well, such as: more specific tools in terms of in which these systems are deployed, in addition
functionality to solve particular problems (Vircavs, to more traditional engineering concerns. In the
2006); more attractive interfaces and visualisation rest of the chapter, two methodologies will be
in terms of high efficiency of usage (Dollner et al., introduced and discussed as potential solutions
2006), and much better geo-spatial applications in to address challenges discussed above, namely
terms of public accessibility (Onsrud and Craglia, Modelling & Matching (M&M) and Value Sen-
2003), etc. The question of how to select these sitive Design (VSD). These two methodologies
technologies to match the demand of the uses are intended to address challenges from different
also needs to be considered carefully. A proper perspectives. M&M aims to provide wider access
Information System Development Methodology to involved stakeholders in systems development
(ISDM) would be highly beneficial, which com- process and to encourage the cooperation among
bines both soft (with a social and human focus) multi-disciplinary system developers. VSD
and hard (with a technical development focus) focuses more on value issues to ensure a human-
ISDMs into a Multi-methodology. centred design approach.
Multi-methodology is not the name of a
single methodology, or of a specific way of Methodology (1): Modelling
combining methodologies. Rather, it refers in & Matching
general to utilizing a plurality of methodologies
or techniques, both qualitative and quantitative, In order to address the challenges discussed above,
within a real-world intervention. The purpose is the Modelling & Matching methodology (M&M)
to generate a richer and more effective way of was designed to model system functionality in
addressing the problem at hand. We argue that terms of stakeholders needs, to communicate
to develop complex systems such as e-Planning this information effectively to system developers
systems, a multi-methodology is the most appro- for a shared view, and to matching the require-
priate approach. There are two arguments to sup- ments with available technologies in terms of
port this statement: First, all real-world problems interoperability and feasibility. As suggested in
existing in the complex urban planning process the literature, to make the most effective contri-
have personal, social and technical dimensions. bution in dealing with the richness of e-Planning
Combining methodologies to deal with all these systems development, it is desirable to go beyond
characteristics are therefore likely to be more ef- using a single methodology to generally combin-
fective. Second, a typical IS development passes ing several methodologies, in whole or in part,
through several stages, from an initial exploration and possibly from different paradigms. M&M
42
combines elements of UML, Soft Systems Meth- about e-Planning systems that come out of the
odology, and rapid development methodology, literature on urban planning and ISDMs. The first
together with User Requirements Engineering, conjecture is that understanding the complexity
Human Factors Engineering and Usability Evalu- of various stakeholders interaction and relation-
ation, and embeds them into a five-step process ships in the wide social context is the first step
that reflects the human-centred approach. It has to develop e-Planning systems. This conjecture
been successfully adopted in a multi-partner, implies the importance of modelling the com-
geographically distributed system development plexity and providing soft conceptual models to
project (the Rosensteinviertel Project, a 100 mil- manage the complexity. The second conjecture is
lion Euro regeneration project in Stuttgart), as part that technology reuse and selection are important
of Virtual Environment Planning Systems project in e-Planning systems development. For design-
(VEPs) (E109, INTEREG 3b, 4.7 million, 2004 ing e-Planning systems, there is a compromise
-2008), and enabled partners in different countries in deciding between available technologies and
in Europe to design and implement a planning desired system functionality by stakeholders,
system co-operatively (Knapp et al, 2009). M&M remembering the feasibility and interoperabil-
is currently used in the Sustainable Regeneration ity are key points. In addition, hard technical
project (SURegen) (UK Government EPSRC models are essential for technology reuse. The
funded, 2.5 Million, 2008-2012) to design a third conjecture is that rapid prototyping is useful
regeneration decision-support system, the Re- both to decompose the incremental development
generation Workbench. In this section, M&Ms process and to continually involve stakeholders.
theoretical framework, practical methodology, Users can describe what they currently do, but they
and application will be discussed briefly, to il- find it difficult to visualise how they might use a
lustrate its potential to address the challenges of computer system or how the whole tasks might
e-Planning system development discussed above. be re-engineered unless they are provided with
the concrete system. Figure 1 below illustrates
M&M: The Theoretical Framework the general layout of the framework:
Urban planning can be considered as a process
Based on the particular characteristics of e- involving several stakeholders, and the role of the
Planning systems development, we suggest that information system is to solve the urban problems
the possible approaches to e-Planning systems or at least some of them (Laurini, 2001). For
development can be conducted through four constructing an information system, the first step
processes: Modelling Process, Matching Process, is to model its context and user needs. The key
Iteration process and Evaluation Process. In the to modelling is to find the right abstractions that
theory these processes are developed in terms of explain the desired aspect and the careful weeding
specific characteristics of e-Planning systems, and out of irrelevant details. For e-Planning systems
thus have significant implications for the effective development, models are used for two purposes.
e-Planning systems development. First, different models can be produced to bridge
The four-process framework is underpinned by the gap between the initial e-Planning system
both objectivist (hard) viewpoints (Hirschheim boundary and the desired system functionality
and Klein, 1989) and interpretivism (soft) view- by stakeholders. To bridge the gap the following
points (Hirschheim, 1992) to ensure that social aspects have to be considered:
context, stakeholders, activities and technologies
are all covered during the whole development Focus on Social Context: the real-life
process. It is proposed based on three conjectures scenarios, the involved stakeholders, and
43
Figure 1. A four-process framework
other social information gathered before of open standards, open source, solution reuse
beginning the development. and collaborative solution development promise
Focus on Activities: a high-level descrip- to help (Rowe et al., 2005). Choice should lead
tion of the applications fundamental func- to the technologies that best suit and balance the
tions from stakeholders perspective, with- needs of involved stakeholders, taking into account
out reference to technology or how the price, quality, ease of use, support and protection
stakeholders will actually perform them. of legacy investments. Functionality, feasibility
Focus on Stakeholders and and interoperability are three key guidelines to
Representational Context: how stake- undertake this matching process.
holders will see, think about, and interact The modelling and matching process takes
with the application. place in the iterative cycle with evaluation ac-
tivates. This will split the complicated system
The second way of using models in the frame- functionality into different development stages
work is to model technologies for reuse, which and provide system users with the opportunity to
happens after the matching between available immediately assess the success or failure of the
technologies and user models in terms of function- prototypes (in an prioritised order), in contrast
ality, feasibility and interoperability. ICT solutions to lengthy design sessions whose result may be
promise to provide an effective and efficient means validated only late in the development process. An
of streamlining the urban planning process, driv- e-Planning system is a complicated system involv-
ing down the costs of delivering services as well ing multiple stakeholders, whose interests might be
as providing a more convenient channel of com- different and even conflict. Hence, implementing
munication for all involved stakeholders (Laurini, all user requirements in one development cycle is
2001). However, e-Planning solutions, like all difficult. The key concept in the iteration process
large-scale ICT systems and solutions, typically refers to rapid prototyping. It means that the pro-
have high implementation costs and inherent prototype system with high-prioritised functions is to
duction risks, both of which are barriers to effective be produced first to provide basic system ideas to
e-Planning systems development in the face of its users for early system evaluation.
failing projects and falling budgets (Ranke et al., In summary, the main concept of this frame-
2005). In addressing these challenges, the concepts work is the separation of requirement elicitation
44
and system modelling into views reflecting the pe- the case study implied that, besides stakeholder
culiarities of the e-Planning system. This results in involvement, closer collaboration is also needed
models of sub-problems, which are then matched among development teams early in the process and
and combined to an overall model of the system. throughout the data collection phase, as well as a
As a result, modelling and matching processes are greater understanding of each others tasks, roles
two main processes in the proposed framework, and responsibilities. As a result, the basic principle
complemented by iteration process and evaluation of M&M is the use of different models throughout
process. Due to the distinctive role of modelling the development process for knowledge sharing
and matching processes in this framework, the and cooperation among development teams and
methodology proposed based on the framework stakeholders. The intent is to address a problem
is called Modelling and Matching (M&M), which with most current ISDMs: with few exceptions
will be discussed in the section below. (e.g. Maguire, 1997; Beyer and Holtzblatt, 1998),
these do not address how to present findings from
M&M: A Practical Methodology each step of the process in a consistent, structured,
and accessible manner, which can then be used
There is a considerable gap between the theory and internally with development teams and externally
the practice of information system development. with various stakeholders. The methodology is
Because of this gap, problems could occur which elucidated succinctly below.
may lead to the failure of the system development There are five stages in the M&M methodol-
(Lindgaard, 1994). To be a practically effective ogy for modelling and matching process, shown
methodology, M&M has distinct procedures for in Figure 2.
action, and addresses practical issues identified As shown in Figure 2, the essence of Stage One
from the real case study (Hamilton et al., 2005), of the process involves interviews and meetings
such as cooperation and communication among with various stakeholders to gain an understanding
development partners, results presentation and of the problem situation, which is represented by
sharing, combination between user requirements the use of rich pictures and CATWOE techniques
and technical development, evolved require- in Soft Systems Methodology (SSM) (Checkland,
ments, and system test. In addition, analysis of 1981). The three most important components of a
Figure 2. Modelling and matching process of M&M
45
rich picture are structure, process, and concerns, inwardly on use cases and stakeholders interact-
which are used to identify two main aspects of ing with the system. The combination of Context
the human activity systemprimary tasks and Model and Descriptive Model can yield a more
concerns. Key tasks can be identified by the balanced view of system definition and provide
links among actors, i.e., the flow of information a systematic development path from high-level
or documents. Main concerns are depicted as the context analysis down into an object-oriented
think bubbles. It is obvious that the rich picture is implementation.
intended to be a broad, fine-grained view of the In Stage Three, the matching process occurs,
problem situation. which facilitates the establishment of a feasible
CATWOE represents six elements for system and interoperable development solution against
analysis, which are: the system functionality identified in previous
stages. Existing soft methodologies (e.g. SSM)
1. Customers: the victims/beneficiaries of the focus almost entirely on the tasks and activi-
purposeful activity. ties of user requirement gathering with little or
2. Actors: those who are involved in the no mention of the contributions that technical
activities. software developers could bring to the system
3. Transformation process: the purposeful functionality. Likewise, certain aspects of hard
activity transforming an input into an output. development models, such as object-oriented
4. Weltanschauung: the view of the world models, are good at facilitating technical soft-
that makes the root definition meaningful ware developers to do system modelling, but it
in context. is not obvious what user requirement gathering
5. Owners: those who can stop the activity. could benefit from. Matching process in M&M
6. Environmental constraints that affect the aims to bridge the gap between soft and hard
situation. methodologies.
There are three activities in the matching
In a project with multiple primary and second- process, namely:
ary user groups and a complex situation such as
e-Planning system development, it is essential to 1. Prioritising use cases for rapid prototyping
spend time clarifying the big picture to develop to continually involve stakeholders for quick
a shared understanding of the project with its feedback on user requirements;
various stakeholders. Stage One in M&M could 2. Balancing functional and non-functional
help retain the big picture while also yielding requirements to build quality into the system;
easy insight into the details when gathering user 3. Considering available technologies/data/
requirements as they emerge during the analysis. tools and technical standards in terms of
The big picture is then summarised in the Context system functionality for effective system
Model, which expresses the features of the situa- development.
tion and its stakeholders.
Stage Two encompasses task analysis. Like The technical solution is then defined by the
Stage One, it is concerned with system definition; object-oriented language (i.e., Unified Model-
but unlike that stage, it is driven by the needs of ling Language) in the Technical Model, which
external stakeholders rather than any inherent needs to be handed over to technical developers
purpose of the e-Planning system development for realisation.
project. The outcomes from stage two are presented Stage Four concerns the interface design issues
in the Descriptive Model, which tends to focus based on proposed technologies. The interface
46
elements and their arrangement are presented in tivation and Expectation, System Requirements,
the Interactivity Model by storyboards. The final and Desired Data.
stage of M&M (i.e. Stage Five) is an integration Through these individual interviews and group
process to construct the high-level design speci- workshops, stakeholders started to be involved
fication based on outcomes produced from above in the design process. The analysis represented
four stages. an initial background exercise to understand
who was involved during the e-Planning system
The Application of M&M design process. It also outlined the nature of the
involvement played by each stakeholder for the
M&M has been applied in an EU-funded project, e-Planning systems. From the findings, dominant
called VEPs. VEPs is a collaborative project with stakeholders and their requirements were identi-
eight academic and industry partners located fied and prioritised as must have functions for
across Europe, alongside associated planning further technical consideration in prototyping
authorities (VEPs, 2006). It aims to improve the process.
knowledge base on the potential of ICTs for ter- Under the guidance of the Matching and Tech-
ritorial development in the North West European nical Modeling stages of M&M, two prototypes
(NWE) region, specifically regarding the use of were developed for interactive participation con-
ICT for e-Planning, consultation and communica- cerning urban regeneration in Rosensteinviertel
tion of citizens views on planning issues. (Stuttgart, Germany), the location of one of the
In the project, we used M&M to understand demonstration projects in VEPs, which address
user requirements and to improve the design of requirements of dominant stakeholders. They were
the system (Chen et al., 2007). The process started developed rapidly for quick feedback from those
with the detailed stakeholders investigation and stakeholders. Two techniques were adopted to
a series of workshops and semi-structured inter- evaluate the methodology after the development
views with identified stakeholders. of these prototypes, namely questionnaires to end
To define use cases for Rosensteinviertel case users and interviews with project partners.
study, stakeholders workshops were held with In the evaluation using the questionnaire, the
participants from different user groups, includ- test website was distributed to twenty citizens in
ing planners, members of the public, members UK. In addition, ten pairs of questionnaires were
of local authorities, and architects. In these brought to attendees in the workshop at Urban Data
workshops, professionals and non-professionals Management System International Conference
discussed their requests on web-based participa- 2006 (UDMS2006) held in Aalborg. The results
tion tool. Findings from these workshops were of these questionnaires demonstrate that the first
summarised into the scenario checklist, which rapid prototype for the Rosensteinviertel dem-
is a one-page document used to capture and onstration project was effective as an e-Planning
define various stakeholders involved in the pro- system. Simultaneously, the evaluation indicates
posed system and to state their motivations and two weaknesses of the development. The first is
expectations for the proposed system. A series of the geo-spatial interface design and the second is
semi-structured interviews were also conducted the long-term effective evaluation regarding the
with representatives of each stakeholder group. social inclusion and selflessness issues.
The stakeholders checklist was used for inter- In the evaluation using the interview tech-
views, which includes five sections, namely Basic nique, two interviews were conducted with team
Characteristics, Knowledge and Experience, Mo- members in the Rosensteinviertel project. The
47
highlights in using the methodology observed in checklist, and rich picture. In addition, according
the interview include: to the prioritisation of stakeholders, requirements
can be categorised as Must Have, Should
1. The methodology presents very precise Have, Would Have, and Might Have for rapid
ideas and development plans for project prototyping. The rapid prototyping process can
cooperation; enhance the involvement of stakeholders in the
2. The methodology provides profound struc- development process via quick feedback to them.
ture and control for development process; The contribution of Mediator in the develop-
3. The methodology documents back-up cogni- ment process. This factor addresses the difficulty
tions of stakeholders profiles, stakeholder of using the methodology in practice. The research
requests and technical must-be; demonstrated the value gained throughout the
4. The methodology encourages the good com- process by the expert knowledge provided by the
munication among partners; mediator among project teams. This role is not
5. The methodology is effective in combining typical within a project team, but in this case the
hard issues with soft issues during devel- contribution was clearly beneficial in supporting
opment process to avoid technique bias; the level of understanding of members of the
6. The methodology integrates the evaluation team from both soft requirements gathering and
plan into the process to facilitate the rapid hard technical development perspectives. The
prototyping, which does help for iterative stakeholders also recognised the potential value
development process. of this role from the inception of the project. The
guiding role provided by the advisors experience
During the application, several factors emerged and general understanding, coupled with their
as important for using M&M to design e-Planning technical expertise, clearly improved the teams
system to be realised in practice in the advocated ability to engage with various stakeholders and
manner. The factors emerged from the reflection to effectively interact with the design across the
of the case study, with some successfully dem- project lifecycle.
onstrated in practice and others requiring further Consideration of human values in the devel-
consideration: opment process. Although this project represents
Stakeholder investigation and prioritisation. progress toward delivering effective e-Planning
Stakeholders are groups or individuals who have a systems, there were a number of aspects that require
stake in, or expectation of, a projects performance. additional research, for example the difficulty of
In the case of urban planning, these include the involving target users in the interface design. This
public, professionals (e.g. urban planner, architects methodology did not demonstrate the concrete
etc.), local authorities, and managers of different realization of how to achieve this aim. In addi-
sectors etc. The relationship among stakeholders is tion, a greater emphasis is required for the wider
complex. Frequent conflicts between stakeholders issues of human values across the design life cycle.
revolve around long-term versus short-term objec- M&M by its nature has a limited provision for
tives, cost efficiency versus need, quality versus these issues, and needs to address them via other
quantity, and control versus independence. It is methodologies. The desired methodologies should
important to undertake stakeholder investigation have the potential to take values of all stakeholders
and prioritisation at the early stage of e-Planning into account in the design process, for both user
system development process. Some techniques interface design and long-term social inclusion in
are useful to understand the complexity among urban planning process. One suitable methodology
stakeholders, e.g. scenario checklist, stakeholder is VSD, which is described in the next section.
48
Methodology (2): Value VSD is an interactional theory: values are

Sensitive Design viewed neither as inherent in a technology, nor as
simply transmitted by social forces independent
As we have discussed, e-Planning systems are of the characteristics of the technology. Rather,
complex and involve interaction among numer- people and social systems affect technological
ous stakeholders. Particularly when such systems development, and technologies shape (but do
involve substantial public participation, funda- not rigidly determine) individual behavior and
mental value conflicts among the stakeholders social systems.
may make it hard to make progress. Even with VSD employs a tripartite methodology, con-
more back-room systems, value hotspots can sig- sisting of conceptual, empirical, and technical
nificantly undermine system acceptance. Setting investigations. These investigations are applied
aside issues of conflict and difficulties of system iteratively and integratively, with results from
adoption, e-Planning system design and deploy- new investigations building on and integrating
ment often raise challenging issues around such earlier ones. Conceptual investigations comprise
basic values as fairness, democratic participation, philosophically informed analyses of the central
and transparency. constructs and issues under investigation. For
Value Sensitive Design (VSD) (Friedman et al., example, how does the philosophical literature
2006a) is an approach to the design of technology conceptualize certain values and provide criteria
that accounts for human values in a principled for their assessment and implementation? How
and comprehensive manner throughout the design should we engage in trade-offs among competing
process, and is intended to address questions of values in the design, implementation, and use of
just these sorts. This section provides an overview information systems? Empirical investigations
of the VSD theory and methodology, followed focus on the human response to the technical
by a case study of its application and extension artifact, and on the larger social context in which
in an e-Planning domain, namely urban simula- the technology is situated, using quantitative and
tion and public participation. In addition to the qualitative methods from the social sciences.
urban planning domain, VSD and closely related Technical investigations focus on the design and
theory and methods have been used successfully performance of the technology itself. Technical
to conceptualise value tensions and correspond- investigations can involve either retrospective
ing design trade-offs in information systems analyses of existing technologies or the design
(Friedman et al., 2006a, Miller et al., 2007), to of new ones.
understand the value-oriented user experience A third key aspect of VSD is its focus on both
of specific technologies (Friedman et al., 2006b, direct and indirect stakeholders. Direct stakehold-
Kahn et al., 2006), and to design new or redesign ers are people who interact with the system or
existing technologies in response to value analyses its output directly, while indirect stakeholders
and user experience (Flanagan et al., 2005, Kahn are people who do not directly touch the system
et al., 2006, Sengers et al., 2005). but are nonetheless substantively affected by its
use. Traditional user-centred design methods
Overview of VSD are primarily concerned with the end users of
the technology being developed, i.e., the direct
Key features of VSD are its interactional perspec- stakeholders. User-centred design is certainly a
tive, tripartite methodology, and emphasis on welcome reorientation from technology-focussed
direct and indirect stakeholders. development, but has the potential to ignore the
49
values and needs of people who may be strongly including significant representation from regional
affected by the system being designed but are not planning agencies.
the immediate users. These considerations are Results from UrbanSim simulations are pre-
quite relevant to the e-Planning domain, since sented in the form of indicators. The overall goals
urban planning decisions usually affect all of the of the alternate plans, and which impacts are par-
residents in the region, not just the users of the ticularly important to consider, are reflected in the
e-Planning system. choice of UrbanSim indicators and how they are
described and interpreted. As used in the planning
UrbanSim Background literature (Gallopn 1997), an indicator is a vari-
able that conveys information on the condition
UrbanSim (Borning et al., 2008a, Waddell & Born- or trend of an attribute of the system, taking on a
ing 2004) is a simulation system for projecting the specific value at a given time. Examples of indica-
impacts of alternative policies and transportation tors in UrbanSim include the population density
infrastructure projects over periods of 20-30 years. in different neighbourhoods, the ratio of car trips
In many regions throughout the United States and to bus trips for the region, and the projected cost
worldwide, there is great concern about such issues of land per acre in different parts of the region,
as traffic congestion, resource consumption, lack each under different possible scenarios and for
of sustainability, and sprawl. Elected officials, 30 successive years. Indicator values may then
planners, and citizens grapple with these difficult be displayed as tables, graphs, charts, or maps.
issues as they develop and evaluate alternatives
for major land use and transportation decisions, Applying VSD to Interaction
such as building a new rail line or freeway, estab- Design for UrbanSim
lishing an urban growth boundary, or changing
incentives or taxes. UrbanSims purpose is to Our value sensitive interaction design work to
inform decision-making about such alternatives date has concentrated on UrbanSims indicators,
by projecting their long-term consequences for specifically:
land use, housing costs, transportation utilization,
environmental impacts, and related outcomes. 1. how to select which indicators to provide;
UrbanSim is implemented as a set of interact- 2. which indicators to use in presenting the
ing component models that simulate different results of a particular simulation;
actors or processes within the urban environment. 3. how to provide useful and fair technical
The system is open source, and freely available documentation for the indicators;
for download from the project website at http:// 4. how to integrate this technical documenta-
www.urbansim.org. As of May 2009, it has been tion with support for value advocacy;
applied operationally in Detroit, Houston, and the 5. more generally, how to better support public
Puget Sound region in Washington State (Seattle participation in urban planning using results
and surrounding cities). The UrbanSim group from urban simulations.
has also worked with other agencies in applying
UrbanSim in the urban areas around Eugene, Ho- As described in the previous section, UrbanSim
nolulu, Salt Lake City, and San Francisco. There is beginning to be used operationally to inform
have also been research and pilot applications in important regional planning decisions. However,
such diverse regions as Amsterdam, Burlington, over a decade of work has preceded this deploy-
Durham, El Paso, Melbourne, Paris, Phoenix, Tel ment. In recognition of this very long develop-
Aviv, and Zurich. There is an active users group, ment time, we adopted the strategy of laying the
50
foundations for public participation in advance taxes, walkable neighbourhoods, and many more.
of wide-scale public deployment, with the goal In turn, as part of supporting a democratic society,
of having interaction designs ready as the system we decided that the system should not a priori favor
is put into such use. This strategy is described in or rule out any given set of stakeholder values,
more detail in references (Friedman et al., 2008) but instead should allow different stakeholders
and (Borning 2009). to articulate the values that are most important
Our interaction design involves providing de- to them, and evaluate the alternatives in light of
scriptive technical information alongside a range these values. We identified comprehensibility, and
of organizational perspectives. This is implement- subsequently legitimation (Habermas 1979, 1984)
ed as a set of web pages, divided into Technical and transparency, as key instrumental values as
Documentation and Indicator Perspectives, as well well. Making this distinction between explicitly
as infrastructure to compute, display, and browse supported and stakeholder values helped us ad-
the indicator values. The Technical Documentation dress in a principled way questions of which values
provides a description of the available indicators to consider, as well as questions of designer bias
(Borning et al., 2005). It includes a categorized (are we privileging our own views and values?).
list of all available indicators, with each indicator Our technical investigations included the de-
name linked to a separate page for that indica- sign of the SQL queries initially used to implement
tor. Each of these indicator description pages in the different indicators, and a testing framework
turn includes a definition, discussion of how to for these queries (including placing the test cases
interpret the results, the code used to compute the as runnable components of the documentation).
indicator value, test cases, and other elements. The Subsequently, for efficiency we replaced the SQL
Indicator Perspectives Framework, on the other queries with Python code, and finally with expres-
hand, provides a mechanism for different partner sions written in a domain-specific programming
organizations to present their own perspectives language custom-designed for writing model
on major land use and transportation issues, on variables and indicators (Borning et al., 2008b).
which indicators are most important, and on how Finally, our empirical investigations included
best to evaluate alternative scenarios of land use semi-structured interviews with urban modellers
and transportation. Each perspective includes one to help assess the technical documentation (Born-
or more web pages that present this information, ing et al., 2005), and semi-structured interviews
including links back to specific indicators in the with 20 Seattle residents to assess the overall
Technical Documentation. design consisting of Technical Documentation
Following the VSD methodology, our work alongside the Indicator Perspectives (Friedman
included conceptual, technical, and empirical et al., 2008). A key finding in this study was that
investigations. In our conceptual investigations, more participants viewed the system as a whole as
we made a sharp distinction between explicitly supporting a legitimate decision-making process
supported values (i.e., ones that we explicitly than any of the individual components, or even a
want to support in the interaction design) and subset consisting of several components.
stakeholder values (i.e., ones that are important
to some but not necessarily all of the stakehold-
ers). We identified fairness (and more specifically FUTURE RESEARCH DIRECTIONS
freedom from bias), accountability, and support for
democratic process as explicitly supported values. This section deals with the recommendations
Stakeholder values cover a wide range, including for further research in this area. Future work
clean air, economic development, equity, low should focus on more extensive application and
51
possible integration of the two methodologies CONCLUSION

discussed above in the light of evaluation of their
applications. Its aim is to improve the validity In this chapter, we have illustrated how e-Planning
and generalization of e-Planning system design systems present a number of challenges for IS
methodologies in the following ways: development and have proposed two method-
Further evaluation of these methodologies: ologies (i.e. M&M and VSD) to enable effective
Extend the richness of the experience of these e-Planning system development.
methodologies through the development of ad- The design of the M&M methodology focuses
ditional e-Planning systems and integrate them on multiple user groups, the wide variety of user
into the geospatial infrastructure workflow of needs and the complexity in urban planning pro-
the municipality, to evaluate their effectiveness cess. Initial evaluation of the methodology fol-
in the long term. Future research should aim at lowing its application in the VEPs indicates that it
integrating the developed e-Planning systems into facilitates the documentation and analysis of user
a municipalitys existing geo-data infrastructure profiles and requests together with technical re-
with existing legacy systems, taking into account quirements, and encourages good communication
data security and network security issues, as data among partners in the real development project.
will be requested from outside the municipalitys The evaluation also suggests that some areas of
network. work remain, such as the involvement of users
Possible integration of these methodologies: in the interface design and the integration with
Since these two methodologies have compatible existing prototypes. As discussed in the Future
goals, they have potential to be integrated for a Work section, one aspect of future work will be
more effective development process. The theo- more extensive application and evaluation of the
retical framework and practical methodology of methodology following adjustments to address
M&M can be evolved by integrating the tripar- the issues raised in the initial evaluation.
tite investigations in VSD, which could provide VSD is a principled, theoretically-grounded
concrete guidance for deeper understanding of approach to the design of technology that seeks to
human values in user requirements elicitation account for human values throughout the design
and common application interface development. process. As we have argued in this chapter, the
In addition, the focus of VSD on both direct and e-Planning domain is a political and value-laden
indirect stakeholders can help M&M profile users one, making VSD an appropriate method for
who will be affected by the system to clarify their this domain. We illustrated its application with
requirements and address values in a long-term results from applying it to interaction design for
period. UrbanSim. VSD is intended to be used in concert
As discussed in the previous section, M&M with other design methods, making a coordinated
is currently being applied in a UK Government use of M&M and VSD an attractive prospect. The
EPSRC funded project, called SURegen, for possible combination of these two methodologies
designing the Regeneration Workbench. By is suggested in the Future Work section.
integrating the elements in VSD into M&M, This chapter describes the M&M and VSD
we intend to use the combined methodology to theoretical background and has shown their po-
assist technical developers to communicate with tential to be effective in a real-world situation.
multiple stakeholders to clarify their requirements, In addition, to address the range of future urban
and to support cooperative work among multi- issues, it would be more effective to combine
disciplinary partners in the system development these two methodologies to address both com-
process for the project. plex stakeholder issues and values. It is expected
52
that the ongoing work in SURegen will provide Chen, Y. (2007). Modelling And Matching: A
more reflections on the combination of these two Methodology For Complex ePlanning Systems
methodologies in the near future. Development. PhD thesis, University of Salford,
UK.
Chen, Y., Kutar, M., & Hamilton, A. (2007).
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Lindgaard, G. (1994). Usability Testing and
and Construction Informatics: Concepts and
System Evaluation: A guide for designing useful
Technologies. Hershey, PA: IGI Global.
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(Publishing) Ltd. The Planning Service. (2004). Planning Service
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Miller, J., Friedman, B., Jancke, G., & Gill, B.
gov.uk/
(2007). Value tensions in design: The value sen-
sitive design, development, and appropriation of VEPs. (2006). VEPs Project Home Page. Re-
a corporations groupware system. In Proc. of trieved from http://www.veps3d.org
GROUP 2007 (pp. 281-290).
Vircavs, I. (2006). Development of e-services
Mugumbu, W. (2000). GIS into Planning. Re- in Urban Development Issues in Riga City. In
trieved from http://www.hbp.usm.my/thesis/ Proceeding of the 11th International Conference
heritageGIS/master/research/GIS%20into%20 on Urban Planning and Regional Development in
Planning.htm the Information Society, 13 16 February 2006,
Vienna, Austria.
ODPM (Office of the Deputy Prime Minister).
(2004). Planning Website Survey 2004: Survey von Ranke, F., Puhler, M., Wolf, P., & Krcmar, H.
of Planning Websites in England and Wales. Re- (2005). Software Engineering for e-Government
trieved from http://www.pendleton-assoc.com/ Applications. In Cunningham, P., & Cunning-
planningsurvey2004.html ham, M. (Eds.), Innovation and the Knowledge
Economy: Issues, Applications, Case Studies (Vol.
Onsrud, H. J., & Craglia, M. (2003). Introduction
2, pp. 397404). Amsterdam: IOS press.
to the Special issues on Access and participatory
Approaches in Using Geographic Information. Waddell, P., & Borning, A. (2004, February). A
URISA Journal, 15, 57. case study in digital government: Developing
and applying UrbanSim, a system for simulating
Rowe, D., McGibbon, S., & Bell, O. (2005). Shared
urban land use, transportation, and environmental
Source and Open Solutions for e-Government.
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3751. doi:10.1177/0894439303259882
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Applications, Case Studies (Vol. 2, pp. 375381). Wang, H., & Hamilton, A. (2009). Extending BIM
Amsterdam: IOS press. into Urban Scale by Integrating Building Informa-
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ADDITIONAL READING Ranke, F., Puhler, M., Wolf, P., & Krcmar, H.
(2005). Software Engineering for e-Government
Avison, D. E., & Fitzgerald, G. (2006). Information Applications. In Cunningham, P., & Cunning-
System Development: Methodologies, Techniques ham, M. (Eds.), Innovation and the Knowledge
and Tools (4th ed.). New York: The McGraw-Hill Economy: Issues, Applications, Case Studies (Vol.
Companies, Inc. 2, pp. 397404). IOS press.
Booth, P. (1989). An Introduction to Human- Reddick, C. G. (2009). Handbook of Research on
Computer Interaction. London: Lawrence Erl- Strategies for Local E-Government Adoption and
baum Associates Publishers. Implementation: Comparative Studies. Hershey,
Buede, D. M. (2009). The Engineering De- PA: Idea Group Inc.
sign of Systems: Models and Methods (2nd Sharp, H., Rogers, Y., & Preece, J. (2007). Interac-
ed.). Hoboken, NJ: John Wiley and Sons. tion Design: Beyond Human-computer Interaction
doi:10.1002/9780470413791 (2nd ed.). New York: Wiley.
Checkland, P., & Poulter, J. (2006). Learning for Song, Y. (2004). Development of an Integrated
Action: A Short Definitive Account of Soft Sys- Geo-Spatial System to Improve Accessibility of
tems Methodology and its use for Practitioners, Urban Planning Information. PhD thesis, Uni-
Teachers and Students. Hoboken, NJ: John Wiley versity of Salford.
& Sons, Ltd.
Waddell, P., & Ulfarsson, G. (2004). Introduction
Hamilton, A., Curwell, S., & James, P. (2008). The to Urban Simulation: Design and Development
BEQUEST Toolkit. In Curwell, S., Deakin, M., & of Operational Models. In Stopher, P., Button,
Symes, M. (Eds.), Sustainable Urban Develop- K. J., Haynes, K. E., & Hensher, D. A. (Eds.),
ment (Vol. 3). New York: Routledge. Handbooks in Transport: Transport Geography
Hamilton, A., Trodd, N., Zhang, X., Fernando, and Spatial Systems (Vol. 5, pp. 203236). Oxford,
T., & Watson, K. (2001, November). Learning UK: Pergamon Press.
Through Visual Systems To Enhance The Urban Waddell, P., Wang, L., & Liu, X. (2008). Urban-
Planning Process. Environment and Planning. B, Sim: An Evolving Planning Support System for
Planning & Design, 28(6), 833845. doi:10.1068/ Evolving Communities. In Brail, R. (Ed.), Plan-
b2747t ning Support Systems. Cambridge, MA: Lincoln
Knapp, S., & Chen, Y. (2007). The Impact of Institute for Land Policy.
ePlanning Systems on Public Participation in
Planning Processes. In The Proceedings of XXI
Aesop Conference, Napoli, Italy, 11-14 July 2007. KEY TERMS AND DEFINITIONS
Newman, P., & Thornley, A. (1996). Urban
E-Planning System: A computer-based infor-
Planning in Europe: international competition,
mation system to facilitate Planning activities by
national systems and planning projects. London:
enhancing accessibility and to planning related
Routledge. doi:10.4324/9780203427941
information, guidance and services.
Pooley, R., & Wilcox, P. (2003). Applying UML: Modelling & Matching (M&M): A meth-
Advanced Applications. Woburn, MA: Butter- odology for complex information system design,
worth-Heinemann Ltd. which involves multiple stakeholders and requires
56
multi-disciplinary cooperation, such as e-Planning UrbanSim: a simulation system for projecting

systems. the impacts of alternative policies and transporta-
Stakeholder Engagement: In the context tion infrastructure projects over periods of 20-30
of information system development, this refers years.
to users participation in the design process, to Value Sensitive Design (VSD): is an approach
ensure a human-centred approach. It also means to the design of technology that accounts for hu-
stakeholders engagement/participation in the man values in a principled and comprehensive
urban planning process. manner throughout the design process.
Sustainable Regeneration Project (SURe- Virtual Environmental Planning Systems
gen): a UK Government EPSRC funded project (VEPs): An EU-funded collaborative project
(2.5 Million, 2008-2012) to recreate an open (E109, INTEREG 3b, 4.7 million, 2004 -2008)
learning environment and decision-support system to create e-Planning systems for facilitating the
(i.e. Regeneration Workbench) for sustainable multi-way consultation process among citizens
urban regeneration. and local authorities.
57
58
Chapter 4
The Future-Making
Assessment Approach as
a Tool for E-Planning and
Community Development:
The Case of Ubiquitous Helsinki
Liisa Horelli
Helsinki University of Technology, Finland
Sirkku Wallin
ABSTRACT
As e-planning takes place in a complex and dynamic context, consisting of many stakeholders with a
diversity of interests, it benefits from an evaluation approach that assists in the monitoring, supporting
and provision of feedback. For this purpose, we have created a new approach to e-planning, called
the Future-making assessment. It comprises a framework and a set of tools for the contextual analysis,
mobilisation and nurturing of partnerships for collective action, in addition to an on-going monitoring
and evaluation system. The aim of this chapter is to present and discuss the methodology of the Future-
making assessment-approach (FMA) and its application in a case study on e-planning of services in the
context of community development, in a Helsinki neighbourhood.
INTRODUCTION tion technology (ICT). However, the history of the

early shaping of urban internet space discloses that
The emergence of network, information and knowl- the hope and hype of ICT have not been fulfilled
edge societies in the last decades of the twentieth (Kasvio & Anttiroiko, 2005). The assumed digital
century has created great expectations for the cities in Europe in the 1990s were nothing more
revitalisation of cities and its neighbourhoods due than electronic brochures, except for a few holistic
to the availability of information and communica- digital experiments (Aurigi, 2005).
Nevertheless, from the beginning of the 21st
century a digital citizenship has started to emerge.
DOI: 10.4018/978-1-61520-929-3.ch004
The Future-Making Assessment Approach as a Tool for E-Planning and Community Development
According to Karen Mossberg (2008, pp.1-2), less community networks. However, they tend to
digital citizenship is the ability to participate enhance the so called networked individualism
in society online... It represents the capacity, be- (Foth et al., 2008) instead of collective action,
longing and potential for political and economic due to the weakness of American public sector
engagement in society in the information age. in local communities.
Also the application of urban and community Recent developments around the social media
informatics 1 and the appropriation of ubiquitous or web 2.0 have provided new opportunities for
computing have begun to turn some places into participatory e-planning and the development
real-time cities in which amateurs become urban of local communities. Characteristic of the e-
planners (Foth, 2009). Ubiquitous computing planning experiments is that they take place in
means in its idealised form that ICT is present a complex context comprising many actors with
anywhere and anytime serving people through different interests. The goals and foci of action
embedded electronic devices, programmes and vary in terms of level, scope, depth and temporal
sensory networks. It is envisioned that environ- regime. Conflicts often arise between aspirations
ments become intelligent and cities function online towards networked individualism and collective
and in real time. The future ubiquitous society also action. Also the imbalance between technological
promises to enhance the management of global determinism versus the social shaping of technol-
issues on the local level and vice versa. On the ogy may hinder the progress of the endeavour.
other hand, Mika Mannermaa (2008) alerts that In addition, the fuzziness of digital terminology,
all people, as private citizens, public authority or which is still under construction (Medaglia,
as entrepreneurs, will continuously monitor and 2007), may increase difficulties, such as the
will be monitored. Some brother will always confusion between e-planning, e-participation
oversee, know and will not forget. and e-governance.
Even though a great variety of web-based Consequently, there is a demand for method-
examples of e-planning currently exists, it is the ologies that can advance the process of e-planning
socio-cultural and political context that conditions and that can provide some coordination of the
and shapes the appropriation of ICT and its even- fragmented bits and modules. For this purpose,
tual benefits. For example, Denmark which scored we have created a new approach to e-planning,
number one in the United Nations E-Government called the Future-making assessment (FMA). It
Readiness Survey (2008), has had a long tradi- comprises a framework and a set of tools for the
tion of participation in most sectors of society. In contextual analysis and mobilisation of partner-
contrast, Finland, which is technologically well ships for collective action, in addition to an on-
advanced, but culturally lagging in participatory going monitoring and evaluation system. The
efforts, was placed number 45 in the section of aim of this chapter is to present and discuss the
the same survey that tapped citizen participation methodology of the FMA-approach and its ap-
in the co-production of services. Nevertheless, plication in a case study on e-planning of services
some Finnish communities tend to be islands of in the context of community development.
internet-assisted cultures. For example, the web- We argue that e-planning, which usually deals
site of Helsinki scored third out of 100 cities in the with complex and multilevel issues, benefits from
worldwide Digital Governance in Municipalities an evaluation approach that assists in the monitor-
Survey, by Holzer & Seang-Tae (2008). Seoul is ing, supporting and provision of feedback of the
the leading city in the application and appropria- multi-dimensional and multilevel activities that
tion of digital technology. Also the USA has many take place during the process of planning. The
technology-led experiments, especially with wire- research questions in this chapter concern the
59
ways in which the FMA-approach may enhance E-government and e-governance are closely
e-planning of services and its role in the overall related to the digital administrative processes (e-
process of community development. administration), the organisation and delivery of
The chapter starts by putting e-planning in services (e-services), democratic processes (e-de-
the context of other e-activities after which the mocracy and e-participation), as well as e-planning.
methodological framework of the FMA-approach If e-government refers to the totality of the po-
and its evaluation characteristics are described. litical and administrative activities and processes
The approach will then be applied in a case study, of public bodies, assisted by ICT, e-governance
called Ubiquitous Helsinki. Finally, the methodol- is the practical management and development of
ogy and future trends will be discussed. those processes in the context of the four Ps
public, private, people-partnerships. According to
Kickert et al. (1997), the policy networks, through
BACKGROUND which governance takes place, are stable patterns
of social relations between interdependent actors
E-Planning Within E-Governance which take shape around policy problems and
programs. The same also applies to e-governance
Given that in many countries, the public has lost in its largest form.
trust in the functioning of its governmental in- E-democracy is a broad inclusive term that
stitutions, e-government and e-governance have comprises all sectors of democracy (legislature,
been suggested as a means to improve or at least executive), all democratic institutions (legislative,
to complement governmental activities (Tolbert & consultative, civil society) and levels of govern-
Mossberger, 2006). The European Union and the ment (local, regional, national). It also impinges
United Nations have both recommended a renewal all kinds of participants (West, 2000; Norris,
of the interactions between governments and 2001;Vegh, 2003; Buchsbaum, 2008). In practice,
citizens (Chadwick & May, 2003), by increasing it means the linking of citizens to the democratic
opportunities for e-government and changing the processes and decision making via traditional
orientation from government to governance. Gov- and new, digital means. E-participation, which
ernance refers to the processes and mechanisms promises to lead to a more participatory form of
that need to be followed to reproduce a successful democracy, is applied in e-voting, e-referendums,
community or a region (Thesaurus, 2009). e-initiatives, e-consultations, e-petitions, and
According to the OECD (2002), e-government e-party meetings. E-participation can be direct
provides opportunities to develop a new relationship or indirect. Its scope of impact ranges from the
between governments, citizens, service users and reception of information, via consultation to real
businesses, by using ICT for the purpose of service participation or transaction, such as e-voting, and
delivery, decision making and accountability. It is blogging (McCaughey & Ayers, 2003).
closely tied with e-democracy, e-participation, e- E-planning, especially participatory e-plan-
governance and even with e-planning, although the ning, can be an important instrument of both
latter is not usually included in the e-family (Meda- e-democracy and e-governance. E-planning
glia, 2007). However, as the research community services are increasingly being offered in the
lacks consensus on the core concepts and definitions UK, Australia, USA and India in order to help
of digital activities, we define them here from the the planning system deliver more efficient and
perspective of e-planning, which we insert at the accessible services and information. The problem
centre, between e-government and e-governance is that the digitalisation of planning processes
(see also Anttiroiko, 2003; Pessala, 2008). has so far been based on the traditional top-down
60
approach which hinders the development of new ation. Its framework assists in the interpretation
approaches and methods (Kingston, 2008; Wallin of the mechanism of change, by providing con-
& Horelli, in press). Therefore, we are focusing cepts for understanding the context and process
on the participatory and evaluative forms of e- of planning. The framework, which guides the
planning in which the internet and other digital evaluation design, is based on future research,
means reinforce and enhance the participation of the co-production of ubiquitous technology and
all kinds of stakeholders in planning and com- participatory planning.
munity development. We define participatory
e-planning and community development, as a Future Studies
socio-cultural, ethical, and political practice in
which women and men, young and older people Future research, foresight or future studies are an
take part online and offline in the overlapping interdisciplinary field that tries to open up and
phases of the planning and decision-making expand the number of choices and their mean-
cycle. It can take place via the internet or other ing in terms of the future. Part of the discipline
digital and non-digital means (see Horelli 2002; seeks a systematic understanding of the past and
Figure 3). Consequently, e-planning requires the present, and tries to determine the likelihood of
understanding and appropriation of both process future events and trends (Inayatullah, 2007). A
and content theories of planning (Taylor, 1998). recent finding by Mika Aaltonen (2007a) is the
recognition of the importance of multi-ontology
for decision-making and the consequent choice
THE FRAMEWORK OF THE FUTURE of methods of implementation and interventions.
MAKING ASSESSMENT APPROACH Multi-ontology means that stakeholders live in dif-
ferent systems of realities or strategic landscapes
The Future-making assessment-approach (FMA) (linear, disruptive or visionary) which imply dif-
is a formative and action-oriented type of evalu- ferent causal assumptions (Figure 1).
Figure 1. A Chronotope in the chronotopic landscape of different systems of causality ( Mika Aaltonen
2007, adapted with permission)
61
In the linear system cause and effect relation- It can be approached through action research,
ships are discoverable and repeatable, whereas in pattern recognition and risk analysis (Figure 2;
the chaotic disruptive system causal relations are Aaltonen, 2007b).
only found retrospectively or they are not at all As the future is not an extrapolation of the pres-
coherent. In the visionary system, the relations ent, it is important to seek approaches that allow
are separated by time and space from the present to see and to influence the future by responding
moment and they are often quite complex. The to and influencing what is emerging. According
strategic landscapes can be assessed by the con- to Aaltonen (2007c), the future is story-driven.
cept of chronotope (a place in time) that allows a Good stories are able to express both the causal
reflection on the complex tradeoffs between the and temporal sequence of events. The task of
particular time frame (present or future) and the evaluation is to analyse the ontological status
properties of the landscape. For example, moving of the planning and development by assessing
from orderly towards chaotic circumstances means the diagnosis of chronotopic landscapes and the
moving from known strategic landscapes, where choice of tools for sense-making and storytelling
the means and resources are more or less fixed, (see also Sandercock, 2003).
towards more unpredictable landscapes charac-
terised by discontinuity. Also moving from the Co-Production of
near future to more distant time horizons means Ubiquitous Technology
a step from tactical or operational to visionary
measures and management. In the linear state Ubiquitous computing deals with information
where the cause and effect relationships are clearly processing that envision a thorough integration
repeatable, it is possible to apply methods, such of everyday objects, activities and environments.
as road-mapping and forecasting2, whereas the It means that many computational devices and
visionary landscape might benefit from interactive systems are simultaneously engaged in the course
scenarios, Delphi or weak signals3. The disruptive, of ordinary activities. Ubiquitous technology,
chaotic state is of course the most difficult one. urban and community informatics included can
Figure 2. Examples of methods of sense-making in the chronotopic landscapes ( Mika Aaltonen 2007,
adapted with permission)
62
be accessed and distributed via many chan- as cars, cycles, public transport, the internet and
nels and e-devices, such as sensory networks, mobile phones, as well as the simultaneous re-
radio-frequency identification tags, interactive duction in travel and communication costs have
whiteboards and above all mobile phones and increased the geographies of social networks and
the internet. The co-ordination and interactivity the consequent activity space of people (the ge-
of the devices make the environment intelligent. ography of locations known to a person; Larsen,
On top of the centralised infrastructure of in- Axhausen & Urry, 2006). Internet and mobile
formatics in the 20th century, layers of tools and technologies also affect the way people make use
modular platforms have been juxtaposed which of urban space in work and leisure time (Jovero
enable material sensing, as well as decentralised & Horelli, 2002; Forlano, 2009). In addition, the
participation and cooperation among groups and mobile phone allows us to map the city-dynamics
communities (Townsend, 2009). Urban informat- and to transmit information about air pollution,
ics will also allow users to understand the larger street repair or cultural events to city administra-
impacts of their everyday decisions. People will be tors. Thus we might say that the city is gradually
able to appropriate not only the particularities of re-engineered or re-designed through many small-
the local but also connections between cities, and scale relationships (Townsend, 2009).
to engage with broader global networks (Williams According to the translation model of Bruno
et al., 2009). Consequently, users will become Latour (1987), technology is not a stable and
actors who are embedded in the glocal networks independent entity, but part of the organisation,
of mobile people, goods and information. Glocal implementation and used processes. Technology
means the combination of local, regional and may then be approached as a network of human
global, by using ICT-assisted and non-mediated and non-human elements which are constituted
social networking for shared purpose, such as and shaped in network relations. The interaction
politics, business or environmental protection. of humans with technology generates change,
Social networking is enhanced by the so called which can be regarded as a co-production process
social media (web 2.0). It refers to the new in- of technology and its context. This also means
teractive, social tools that enable shared and user that the transferring of different technologies
generated content in the internet (Bouton, 2009). from one place to another requires the rebuilding
Social networking services, such as MySpace and of the whole hybrid, namely the technology and
Facebook, have exploded the use of internet. From its network.
the perspective of e-planning, we are interested Akrich (1995) and also Parker and Heapy
in the kind of social networking that provides (2006) describe the development of technolo-
e-services for the re-vitalisation of local commu- gies and the services around them by using the
nities. For example, the US-based, but globally concept of script. The latter is a scenario that
disseminated Craiglist (www.craiglist.com) and defines, how an innovation or a service should
Meetup-service (www.meetup.com) provide globe deployed and organised, as well as what roles
cal services and enhance the building of online should be taken and by whom. The script defines
communities of interest for people who also share the socio-material network, but the actors perform
the same locality. They can even be accessed in and co-produce the technology and its organisation
Europe, but they have not been well embedded (see Koivisto, 2008).
and appropriated in Helsinki, nor in Stockholm. The task of evaluation here is to monitor and
Although a great deal of hype exists around evaluate the co-development process; that is the
ubiquitous computing, the real-time city is already mobilisation and organisation of necessary re-
with us in part. The so called mobility tools, such sources in the form of people, activities, material
63
and money that are needed in a successful applica- created by order and chaos, the emergence of
tion. The results will then be incorporated in the phenomena and processes, the self-organisation
improved script of the technology and its services. of different stakeholders, and their co-creation of
products and systems.
The purpose of planning is to support the com-
PARTICIPATORY PLANNING municative transactions of the participants that
take place in a specific environmental, organisa-
The framework also encompasses a special version tional, economic, cultural, political and temporal
of participatory planning, called the Learning- context. Therefore, the transactions are enhanced
based network approach to planning (Lena). It by a variety of culturally sensitive enabling tools
is both a method and a set of tools to analyse, during the overlapping and iterative phases of the
plan, implement, monitor and evaluate planning planning and development process (Figure 3). The
and community development. It was originally tools are both enabling methods (consensus build-
shaped within participatory projects with young ing instruments and other heuristics, e-techniques
people and women, and later on applied in the included), as well as traditional research methods.
context of time policy and time planning. (Figure An on-going monitoring and self-evaluation pro-
3; Horelli, 2002; 2006; Horelli & Wallin, 2006). vides the participants with feedback on the quality
Lena is based on communicative and post struc- of the change process and its results.
tural planning theories (Booher & Innes, 2002; The process of design and planning is iterative
Hillier, 2008), as well as on the theory of complex and recursive by nature. The designer or planner
coevolving systems (Mitleton-Kelly, 2003). The goes back and forth between the problem defini-
latter implies the parallel existence of tensions, tion and its solution, between the material and the
Figure 3. A schema of the methodological approach to participatory e-planning and community devel-
opment
64
symbolic levels of subjective and socio-cultural According to the Finnish experiences (Horelli,
awareness building. According to Zeisel (1981), 2006; Horelli & Wallin, 2006), gender-, age- and
two types of information are used in this cre- ethnically sensitive coordination is of utmost im-
ative process. On the one hand, synthetic image portance in Lena. It is not about enforcement, but
information, such as models or designs, provides about constant negotiating and interacting with
a general understanding of important issues or different partners. This presupposes that special
the physical ideas pertinent to their resolution. attention is paid both to the variety of temporalities
Analytic test information, on the other hand, is (Bryson, 2007) and to the gendered necessities
necessary for evaluating the good and bad points and contingencies of everyday life.
of a given hypothesis in design. Even if it is an The task of evaluation is to assess and provide
oversimplification to speak about the various feedback of the evolving process and expected or
phases in planning, it is evident that different unexpected impact by enhancing the co-creation
kinds of knowledge are required in these stages and integration of a multi-level and multi-
of the planning process (see Siemens, 2006). The dimensional evaluation system in the planning
projects usually start with an analysis and sense- and development.
making of the context with partners. The initial
phase also includes the preliminary visioning of
the future, for example imagining the spread of THE EVALUATION CONTEXT
accessible e-services. AND FEATURES OF THE
Citizen groups tend to see participatory plan- FMA-APPROACH
ning and development as a form of empowerment,
if it is fairly organized. However, Booher and Innes In addition to the evaluation tasks also the policy
(2002) indicate that only the network approach context of evaluation is important. In general,
to planning provides an authentic situation for the evaluation should match the context of its
participation. As networks cannot be commanded, object. The policy context of e-activities and
but only nurtured, they require just a few, core e-planning is complex and dynamic due to the
principles or strategies of implementation and evolving policy systems with new policy goals
embedding. Embedding refers to the collective and diverse forms of multi-level governance. The
capacity building, learning and coordination pro- latter imply divergent modes of policy making
cess of the stakeholders and key actors, supported with interventions and instruments, which focus
by different techniques (see Siemens 2006). on the coordination of activities and knowledge
The strategies of planning within community exchange. Also the orchestration and facilitation
development might comprise the creation of mean- of interactions within and between networks, as
ingful events (buzz), participatory networking, well as the provision of platforms for new prac-
capacity building, application of ICT, informing tices and capacity building are seminal parts of
and marketing within all interventions, applica- governance (Valovirta & Stern, 2006).
tion of art and creative methods, as well as the Systemic and evolutionary evaluations seem
co-production of on-going monitoring and evalu- to be able to cover the complexities described
ation (Horelli, 2003). Thus, the chosen strategies above, as they do not lean on linear and mecha-
will hopefully mobilise the stakeholders to cre- nistic models and causal patterns, but rely on the
ate and reproduce the nodes and connections of non-linear shaping and assessment of the context.
networks that eventually provide the supportive They tend to recognise both the strategic and op-
infrastructure of everyday life and eventual social erational dimensions of projects and programmes,
capital (Engestrm, 2008). as well as the variety of stakeholders ranging from
65
communities of practice to single organisations. or measured by various methods, such as observa-

Key questions are, whether new practices and tion, surveys, focus groups, log files and document
fora for deliberation have been created in the analysis. The triangulation of theories, actors and
institutional network context and whether indi- methods is advisable.
vidual and organisational capacity has increased. In practice, the monitoring and evaluation sys-
Interpretations by the stakeholders may play an tem of e-planning is guided by a multi-dimensional
important role in the development process of such and multi-level evaluation design. It might include
new practice (Valovirta & Stern, 2006). elements of the following perspectives with ac-
However, the evaluation of e-activities is so companying criteria (see Macintosh & Whyte,
far a contested field. It lacks frameworks and 2007; Freschi et al., 2007; Figure 4):
the methodology is still under construction. E-
planning is not even mentioned among the evalu- 1. the socio-technical perspective that focuses
ation of e-activities (Aicholzer & Kozeluh, 2007; on social acceptability (trust, security, rel-
Macintosh & Whyte, 2007). evance), usefulness (accessibility, appeal,
E-planning, which was earlier defined as a content clarity, responsiveness) and usability
transactive socio-cultural, ethical and political (navigation, efficiency, error recovery).
practice, can be classified according to different 2. the project perspective that focuses on the
types. E-planning as an object of evaluation can inclusiveness of the project (representation,
refer to the: 1) provision and delivery of planning transparency, conflict, consensus), on the
services (building permits etc.); 2) offline planning relationship, formation of networks and on
with e-tools as one technique; 3) co-production and the results and impact (effectiveness and
application of e-tools and platforms in community relevance; better functioning environments
development; 4) planning of virtual objects and and communities; wellness or social capital).
spaces with e-tools (for example in Second Life). 3. the institutional or systemic perspective that
E-planning in this chapter refers to the second focuses on the relationship of the project
and third type. Their evaluation requires focus- with the system (local, regional, national),
ing on both online and offline planning activi- power relations included (political equality
ties. The evaluation process starts by asking the and community control).
basic questions of what, why, how, as well as by
who and for whom to evaluate. Consequently,
evaluation implies the identification of the goals FUTURE-MAKING ASSESSMENT
of the e-planning project, resources to achieve OF THE UBIQUITOUS
the goals, aims of the evaluation process and HELSINKI-PROJECT
the actors involved. Professionals, citizens and
politicians of different backgrounds, sex and age The Future-making assessment (FMA) approach
have diverse values and interests that are reflected was applied in the Ubiquitous Helsinki-project
both in the goals of the project and in the aims (2007-2009), funded by the Finnish Funding
of the evaluation. Agency for Technology and Innovation (Tekes).
This diversity affects the choice of the core The consortium was a private, public, people-
criteria and measurable qualitative and quantita- partnership. It comprised several companies,
tive indicators concerning the functioning of the University of Technology (HUT), Technical
tools, evolution of the process and relevance of Research Centre of Finland (VTT) and the Hel-
the outcomes. Evaluation questions operationalise sinki Neighbourhoods Association (Helka). Their
the criteria whose indicators are then monitored representatives formed the core group of the
66
Figure 4. The ellipse of the monitoring and evaluation criteria of the Ubiquitous Helsinki project
stakeholders. We will describe the main features such as GIS (geography informatics system) based
of the project, the evaluation strategy and the as- navigation data, web 2.0 tools and service data.
sessment of the process and outcomes. The network of participants consisted of fifteen
different organisations. The number of network
The Project members varied between 60 - 100 people, depend-
ing on the purpose and intensity of involvement.
The goal of the project was to plan and co-produce The network comprised enablers, users and end-
ubiquitous services of everyday life and events, users. There were: i) representatives of the enablers
in the context of community development of two who stood for the technology, management and
Helsinki neighbourhoods. The project consisted research, as well as the service providers, who
of research and evaluation, and a living lab test of were the main contributors to accessible services
digitally provided local services. The living lab was in practice; ii) providers of local content infor-
a real-life iterative experiment of co-production mation and services, the local forum group, the
and e-planning in the neighbourhood. community house, libraries, child care-centres,
The resources consisted of the budget and the local enterprises and business to business (b-to-b)
evolving network. Two thirds of the total budget, organisations; iii) end-users, such as inhabitants
1.250 000 euros, was targeted at the development and local workers.
of two software tools, the recommendation There were as many women involved as men,
machine and the meeting point which will be however, some gender differences were conspicu-
described later. The rest of the budget was used ous. The majority of women participated in the
for the service pilot, management and mobilisation management and service provision, as well as in
of the network. It also financed the purchasing the building of the portal while men co-created
of other programmes and technical applications, most of the technical applications. This horizontal
67
gender gap is mirrored generally in Finland, where create new interpretations and knowledge in order
men work with technical and operational tasks, to open up the future development. Accountability
and women in public services and administration. was also on the agenda, but to a lesser degree.
The digital gap is low in Finland, according to The users of the evaluation were the partici-
international comparisons (Pessala, 2008). The pants themselves, but included town planning and
majority of working people has access to broad- service professionals, citizens and the eventual
band internet connections and also know-how to external evaluators of the funding programme.
behave in the mobile and PC environments. The choice of criteria and measurable indica-
The implementation of the project meant tors were negotiated in the core group. The criteria
constant iteration between the developers and were influenced by the aim, object and context
users. The Helsinki Neighbourhoods Associa- of the evaluation, as well as by the framework,
tion (Helka) implemented the living lab test. It described at the beginning of this chapter. The
worked to enhance the collective capacity and monitoring and evaluation criteria tapped the
social capital of its 56 neighborhoods by develop- nature and characteristics of participation, model
ing their local web-sites, called Kotikatu (Home building, the implementation of the project and its
street). The lab test took place by co-creating a outcomes (Figure 4 and Horelli et al. 2007). Thus,
locally based service and partnership platform they covered parts of the criteria belonging to the
that could be accessed by the cellular phone, PC socio-technical, project and system perspectives.
and TV screens in public space. Helka steered The evaluation questions focused on several
not only the objectives of the ICT-tools, but also operational areas. The main question explored the
formulated the technical requirements of web role of ubiquitous technology in the planning of
and mobile applications, which is unusual among services within community development.
non-ICT-related NGOs. The HUT-research group The evaluation design steered the building of
(which included the authors) supported Helka the multilevel monitoring and evaluation system
both financially and with practical know-how. (m&e system). It consisted of the following set
In addition, the VTT research group, which was of intertwined assessment activities: i) assess-
responsible for the management of the project, ment of the chronotopic diagnosis (ontological
provided mobile and semantic web tools that were perspective); ii) monitoring of the operational
co-produced with ICT-enterprises. level (socio-technical perspective); iii) collective
Monitoring and evaluation covered the whole appraisals of the cycles of planning and develop-
life cycle of the project. The HUT research group ment (project perspective); iv) thematic evalua-
was responsible for the evaluation design, though tions (institutional or systemic perspective).
the data was gathered in conjunction with the The methods and instruments that were applied,
stakeholders. included questionnaires and interviews, analysis
of documents, usability studies and, above all,
Evaluation Strategy timely dialogues in different focus groups, meet-
ings, seminars and workshops.
The aim of the evaluation was to monitor and
evaluate the process and outcomes of the project, Evaluation of the Process
as well as to enhance the networking, deliberation
and capacity building of the network members. Assessment of the chronotopic diagnosis of the
Thus, the evaluation was formative and empower- projects strategic landscape was conducted by
ing. It also sought to serve the implementation of the researchers with core stakeholders (Figure 1;
the co-evolutionary project. In addition, it aimed to Aaltonen, 2007a). It was an assessment from the
68
ontological perspective that took place alongside as in social networking sites, such as Facebook.
the contextual analysis of the initial conditions and Mirror Worlds are informationally enhanced
policy context of the project. On the basis of this virtual models or maps of the world around us
assessment, appropriate visionary techniques and that can be annotated, such as Google Earth. They
road mapping were applied (Figure 2). Inspired by help people orient in their environment. Virtual
the Metaverse scenarios (2007) the guiding vision Worlds augment the economic and social life of
was constructed on the basis of two continua: the physical world communities. A key component
spectrum of technologies and applications ranging of this Virtual World scenario is the avatar. It is
from augmentation to simulation and the spectrum the users personification in the Virtual World,
ranging from external, world-focused to a shared which can learn new skills and competencies, for
one in the virtual world. The continua bring forth example in Second Life.
four different types of future scenarios, which The vision was discussed by the core group
are already emerging (Figure 5). In Augmented who partly operationalised it into a roadmap that
Reality, the use of location-aware systems and showed the partners what their goals were in terms
interfaces enhance the external physical world of time, space and outcomes. The road-map formed
for the individual, for example tags in the hotel the preliminary version of the script (Akrich, 1995)
lobbies or packaged goods that can be read us- that defined what should be developed and how
ing the mobile phone. Life Logging describes the services should be deployed and organized. In
the capture, storage and distribution of everyday practice, it implied the co-creation of new software
experiences and information. It serves as a means for mobile, internet and urban TV screen transmis-
of providing useful historical, as well as current sion, as well as appropriate service contents for
status information that can be shared with others the multi-channel environment, such as the local
by sending on-line messages via the web or mobile calendar and Help Desk services which will be
phone, linked to pictures and personal experiences, described in the next paragraphs.
Figure 5. The vision of the Ubiquitous Helsinki-project (adapted from Metaverse, 2007)
69
The script took the form of a state of the of the artefacts. It took one year before a common
art-report (Horelli et al., 2007) which described language was found during which some business
the possibilities of living lab testing with new partners quit the project. This had a negative
technologies, service contents and e-planning. impact on the formation of value networks and
The road-map and the report were part of the new business models. Gradually the rest of the
thematic evaluations which were conducted from partners learned how to collaborate smoothly, at
the systemic or institutional perspective. The least in part, due to the FMA-approach.
report positioned the partners in the network and
enabled them to further elaborate their own goals Evaluation of the Outcomes
in relation to the project.
From the end of 2006 to the end of 2008, The outcomes of the project were assessed accord-
the project progressed from the initial visions to ing to the chosen criteria, such as effectiveness
the first co-produced software applications. The and relevance (Figure 4). Several of the concrete
monitoring of the operational level, (the socio- goals were achieved, such as developing product
technical perspective), took place among others innovations like the Recommendation engine. The
by testing the applications in a festival of seven latter is a simple semantic web tool that selects
events. Later on, the applications were tested in and combines information from different web
contexts where the local inhabitants could use pages4. Another innovation was the new semantic
the software in order to get public, private and application, the Meeting point-tool, which can be
NGO-services in their neighbourhoods. The us- deployed via the internet and the mobile phone. It
ability of the applications, as well as the contents, enables people to invite their friends to a certain
was co-developed according to the feedback and event, fix the time and place of the meeting and
individual wiki-corrections during the testing. follow the journey of their friends in the city region.
The consortium partners met in a large assem- The service innovations, such as the web-
bly every four months. In addition, smaller task based calendar programmes, RSS-feeds and other
meetings or timely dialogues were organised sophisticated links, made it possible to create
several times a month. The possible outcomes were digital service and community portals or shared
sketched meeting by meeting, negotiation after web spaces, where people can communicate and
negotiation. Gradually, the interpretations of the link the sites with real-life places. The expansion
goals started to change from purely technological of the former service help desk into Everyday
ones towards socially-oriented aspirations. The life-services allowed people to reach a variety
dialogues were monitored and facilitated by the of local services, make orders and monitor the
HUT- research group. HUT also arranged special accessibility and availability of services, such as
workshops in which partners could give feedback child care, cleaning, repairing etc.
and asses the total value of networking. The col- These tools and services have transformed the
lective appraisals of the cycles of planning and local neighborhood web-site into a local service
development (the project perspective) took place and partnership platform. The latter refers to the
in these sessions. technical and social co-construction of the web
The planning and development process was and mobile devices and services by the stakehold-
time-consuming and at times quite strenuous. The ers. This platform enables local interest groups
biggest problem was the lack of socially sensitive and individuals to share their knowledge about
management. The responsible organisation for the events, services or local news. This way a larger
latter was mainly focusing on the technological audience is reached than through individual web
goals, ignoring the embedding and appropriation sites. Consequently, the platform allows local
70
inhabitants to see, what is going on in the area. such networking would have been difficult.
They can call their friends and neighbours to join The co-production of the local service and
the events. Some context aware content, such as partnership platform has gradually begun to
weather, transportation time tables, event loca- transform the pilot neighbourhoods to collective
tions and details, are also available as a mobile digital spaces. At this stage, it is not possible to
service. Thus, three of the scenarios in the initial assess the impact of the project, as it will take
vision (Figure 5), the Augmented Reality, Mir- more time to see the effect on the networking of
ror World and Life Logging, have partly been the stakeholders and the consequences for indi-
realized, although not yet appropriated by large viduals and the community.
groups of people. To answer the evaluation question about the
Evaluation from the socio-technical perspec- role of ubiquitous technology in the enhancement
tive revealed that the end-users found the chosen of services within community development, one
software applications useful. According to the test has first to define what ubiquitous technology
group interviews and usability studies, people signified in this project. In practice, it meant a set
wanted to have new tools and contents which of new mash-ups and software applications that
would enable a smoother and faster use of the web. are suitable for multi-channel delivery through
The digital information and services were PC and mobile environments, as well as through
not the only amenities in the portal. The service urban screens. When coordinated, they make a
and partnership platform also enables informal hybrid infrastructure for the real-time city (Saad-
capacity building, as people get acquainted with Sulonen, 2005; Aurigi & de Cindio, 2008). Like
planning and development issues and take action ICT in general, ubiquitous technology is not de-
in local politics, or co-produce new services. The terministic, but it seems to have a catalytic role
estimated users for these services in Helsinki that inspires and engages stakeholders to take
range from a few dozens to over 500 000 people action for the community (see also Rettie, 2008).
depending on the service. It is likely that the new In sum, the FMA-approach assisted the core
applications will improve the accessibility of the participants in the choice of both visionary and
current services and provide some new ones. This operational objectives. It also enhanced the mak-
might strengthen the infrastructure of everyday ing of connections between the three Ps in the
life of the neighbourhoods. In addition, the public, co-production of services. Above all, it provided
private, people-partnership has strengthened the multi-layer feedback on the conditions, structure
informal e-governance, as the local work groups and content of desirable digital services. However,
and the local forum have been intensively involved the FMA-approach could not compensate for the
in the co-planning of the web-site. poor management of the project and its negative
The traditional innovation process was turned consequences. The approach is also quite time-
around in the project. The users were drawn to the consuming and demands a great deal of resources.
same operative level with enterprises and enablers.
The applied FMA-approach had an important
broker role in the networking, mobilisation and CONCLUSION
capacity building of the project stakeholders (Kao,
2009). The local network of NGOs and SMEs We have argued in this chapter that, as e-planning
were connected to the city administration and big takes place in a complex and dynamic context,
enterprises, to funding bodies and to technology consisting of many stakeholders with diverse in-
policy, which in turn provided resources to the terests, it benefits from a new approach, called the
local level. In conventional development work Future-making assessment (FMA). The key ele-
71
ments of this action research-oriented evaluation opment process and eventually a real instrument
(Roininen, 2009) are: i) the diagnostic assessment of urban planning.
of the chronotopic landscape of the project and its When the web-tools of the case study are
policy context; ii) the monitoring and evaluation of examined closer and compared to the glocal
the mobilisation and application of the necessary Meetup-service and the Craig list, the new Meet-
resources (people, activities, money); and iii) the ing point and Everyday life-services, co-created in
provision of continuous feedback on the evolving the project, were better tailored to and embedded
process and expected outcomes by constructing in the local context than the American exemplars.
a multi-level monitoring and evaluation system. This happened at the cost of losing the global
The FMA-approach requires a transdisci- dimension. This is a serious problem, as the aim
plinary framework. In this particular example it of the Ubiquitous Helsinki was to spread the
consisted of future studies, the co-production of tools and the service and partnership platform in
ubiquitous computing and participatory planning. the capital city area and beyond to other cities.
The framework can also comprise other disciplines According to Bruno Latour (1987), technology
depending on the context. The FMA-approach cannot be transferred without taking into consid-
was applied in the Ubiquitous Helsinki-project, eration its context; i.e. the network in which it has
which dealt with the e-planning of services in the been co-produced, implemented and embedded.
context of community development. Hopefully, the FMA-framework, especially the
We will now discuss the ways in which the Learning-based network approach to planning
FMA-approach may enhance the e-planning of and the social construction of technology will
services and its role in the overall process of assist in the future efforts to transfer the results.
community development. The glocal dimension can be further enhanced
through both networked individualism and collec-
FMA-Approach as Speeding tive community action (Foth et al., 2008; Horelli
the Embedding of Outcomes & Wallin, 2009) around the local web site with
themes, such as climate change, environmental
E-planning was defined in this chapter as a socio- protection, etc.
cultural, ethical, and political practice in which
women and men, young and older people take part The FMA-Approach as Co-Creation
online and offline in the overlapping phases of the and Script Enactment in Context
planning and decision-making cycle. Participation
can take place via the internet or other digital and The FMA-approach has been influenced by
non-digital means. E-planning implied in our case empowerment evaluation (Fetterman, 2001)
study the planning and co-production of web- and evolutionary evaluation (Valovirta & Stern,
based tools, as well as a service and partnership 2006), although its transdisciplinary framework
platform in the local web-site. The FMA-approach differs considerably from both. As a genre of
assisted in the co-creation and embedding of the evaluation, FMA is process-oriented and closely
platform, which was at least partly appropriated intertwined with the planning and development
by a network of stakeholders, inside and outside process (Horelli, 2009). It is not goal-bound, nor
the community. The stakeholders represented goal-free, but characterised by sensitivity to the
women and men in diverse roles, such as profes- diverse and evolving goals of the stakeholders. For
sionals, politicians, enablers, service providers example, in the Ubiquitous Helsinki-project the
and end-users. Thus, the animated and embedded scope and level of goals extended from tools and
local web-site became the outcome of the devel- platforms to the local web-site with the potential
72
to become an instrument of urban planning. various cycles of e-planning. This was not suf-
In evaluation, the outcomes usually have to be ficiently well done in our case, as some important
explained by a change theory or a change mecha- business partners left the project. According to
nism. According to Aaltonen (2007c), change can Carden (2008), it is the evaluators role to become
be explained by examining the interplay of three the integrator of suitable approaches and methods
forces: sensitivity to initial conditions, the final in terms of the causal landscape. However, the
cause and circular cause. In complex contexts, FMA-evaluators could not, and, it can be argued,
the challenge is to identify and influence the should not, compensate for the deficiencies in
systems initial conditions, as they are emerging. management.
Sensitivity to initial conditions took place in this In practice, the FMA-approach seems to have
case study by encouraging the stakeholders to the potential to enhance e-planning, first, by
conduct a contextual and chronotopic analysis. It assisting in the choice and clarification of both
resulted in the strategic envisioning of the future visionary and operational objectives leading to the
and an operational roadmap with concrete goals. script of the planning and development. Second,
Thus, it set the scene for the final cause; i.e. the by connecting the three Ps, private, public, people,
goals. It also meant the beginning of the collective to the co-production and embedding of services.
script-writing that was enacted by the stakehold- Thirdly, by providing multi-layer monitoring and
ers during the project and even after it. Circular assessment of the conditions, structure and content
causality works in loops and circles. Activities of desirable outcomes. In addition, the approach
on the micro-level may give rise to effects that can also play a mediator role by enhancing the
can be identified on the macro-level and vice connections between the operational, strategic and
versa. Emergence can be explained by the great policy-making levels. Thus, it makes the necessary
amount of small causes interacting all the time. feed-back loops between and within levels shorter.
Therefore, it is important to carefully nurture the This is important, since e-planning seems to deal
emerging network of participants and its nodes with a design that requires the creation of rapid
and relations (Horelli, 2009). The FMA-approach feed-back loops. Issues at stake also presuppose
was closely integrated with the management of a short path between policy making and the day
the project, but still separate from it in terms of to day activities.
power relations. With hindsight this relationship
should have been made more transparent than
was the case in our project. FUTURE RESEARCH DIRECTIONS
As connectivity and feedback influence the
evolution of the time-consuming development The planning, implementation and embedding of
process, the FMA applied a whole set of orchestra- the digital infrastructure are vital components of
tion tools: spaces for deliberation and negotiation, community life. We agree with Harvey (2007) that
networking and knotworking (Engestrm, 2008), e-planning and ICT-assisted community develop-
capacity building, and interpretation of terminol- ment do not just take place by designing web-sites
ogy and statements. It also implied a self-critical but by providing the necessary infrastructure and
and reflexive approach in which sensitivity to resources through the co-creation, appropriation
gender, age and culture are seminal. The recogni- and evaluation of community portals. This kind of
tion of multiplex causality and the application of process will drive foot traffic to local businesses,
appropriate intervention and assessment methods neighbourhood organisations and community
seem to be important for the balancing of the events. Eventually, it might revitalise the commu-
desired degree of chaos and control, during the nity. The future trends will imply the strengthening
73
of community informatics, meaning that ICT will Aichholzer, G., & Kozeluh, U. (2007). ePartici-
be increasingly applied for the empowerment of pation and Democracy: Evaluation dimensions
communities. In this trend, the FMA-approach and approaches. In B. Lippa (Ed.), DEMO-net:
will have an important role to play. Research workshop report Frameworks and
The side effect of the co-production of digital methods for evaluating e-participation (pp. 31-43).
devices, and e-planning in general, is that the Bremen, Germany: IST Network of Excellence
context of local communities will gradually be Project, Akrich, M. (1995). The de-scription of
transformed to digital urban or even rural space. technical objects. In W. E. Bijker & J. Law (Eds.),
Digitisation of the environment means that the Shaping Technology/Building Society: Studies in
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becomes part of the e-planning network. As the
Anttiroiko, A.-V. (2003). eGovernment. eGovern-
FMA- approach relies on the networking and ne-
ment-alan tutkimuksen ja opetuksen kehittminen
gotiations of a great number of diverse stakehold-
Tampereen yliopistossa [Development of the
ers, it provides capacity to anticipate the positive
research and teaching of eGovernment at the Uni-
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from http://www.uta.fi/laitokset/ISI/julkaisut/
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eGovernment-raportti_1-2002.html#Luku1
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Aurigi, A., & de Cindio, F. (Eds.). (2008). Aug-
mented Urban Spaces. Articulating the Physical
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KEY TERMS AND DEFINITIONS and older people take part online and offline in the
overlapping phases of the planning and decision-
Chronotope: The unification of space and making cycle. It can take place via the internet or
time. Chronotopic analysis enables to reflect other digital and non-digital means.
upon the ontological nature of different systems PPP-Partnership: The organisational model
or strategic landscapes so that the sense-making for co-producing, co- planning and co-develop-
and consequent decision-making concerning in- ment of initiatives or services. The private or com-
terventions can become more appropriate. mercial services that are provided by enterprises,
Everyday Life: The self-evident subjective serve business purposes. The public services,
experience of everyday, in contrast to the structures which serve the common good, are provided,
or systems made of institutions, financial flows etc. for example by cities and districts. The commu-
Scientifically everyday life can be approached as nity services, which are created and provided by
78
individual users, either by themselves or by the 2

Forecasting is the process of estimation in
community of actors, serve the common good of unknown situations based on time series,
certain groups of interests. cross-sectional or longitudinal data (Glenn
Script: A scenario that defines how a technol- & Gordon, 2003).
ogy, a plan, an innovation or a service should be 3
A weak signal is a factor for change hardly
deployed and organized, as well as what roles perceptible at present, but which will con-
should be taken and by whom. The script de- stitute a strong trend in the future.
fines the socio-material network, but the actors 4
The Recommendation engine (RE) was
perform and co-produce the technology and its introduced to all sorts of local web pages,
organisation. such as the sites of public institutions, private
Ubiquitous Computing: In its idealised enterprises and individual persons. It gath-
form that ICT is present anywhere and any time ers and combines information according to
serving people through embedded electronic de- chosen attributes, for example, from certain
vices, programmes and sensory networks. Thus, genres of art, local typologies or schedules
the environments may turn intelligent and cities of events and services. The RE requires that
function online and in real time. cookies are allowed in the computer. The
cookies tell the RE which pages have been
browsed on the basis of which it makes the
ENDNOTES recommendations. The cookies enable the
tool to be used without sign-in protocols
1
Community informatics (CI) means the and profilations of the user. They also ease
application of information and commu- the privacy preserving issues both for the
nications technology (ICT) to enable and users and the web pages that provide the
empower community processes (Gurstein, information for the RE.
2007, p.11).
79
80
Chapter 5
Local Internet Forums:
Interactive Land Use Planning and Urban
Development in Neighbourhoods
Aija Staffans
Heli Rantanen
Pilvi Nummi
ABSTRACT
The Internet is shaking up the expertise and production of knowledge in the planning institution. Digital
citizens are searching for information from different places, combining formal and informal sources
without apology, and are debating and speaking out on matters. Public planning organisations will be
fully stretched to adapt their practices and services to meet these demands. This chapter will present the
research results of a project that embarked on gathering and combining local information and knowledge
on urban planning on Internet forums. Interactive applications were also developed for these forums
to support public participation in ongoing land use planning and development projects in the City of
Espoo, Finland. The research results demonstrate how fragmented local, place-based knowledge is,
how difficult it is to combine informal and formal information in urban planning, and how inaccessible
public data systems still are.
INTRODUCTION The connection of land use planning to policy-

making and governance is also reflected in planning
Urban planning involves major social interests. For theory, which over the years has focused specifi-
example, in Finland, the preparation of and decisions cally on the political nature of planning and power
on land use plans are municipal monopolies, so the relations. The most important theorists in the field
connection of land use to governance and political have stressed the social and institutional nature of
decision-making is strong. planning. They have emphasised institutional design
(Healey, 1997) and the position of the individual
DOI: 10.4018/978-1-61520-929-3.ch005
Local Internet Forums
planner as a central actor in the urban planning speed, 2008). The use of the Internet in planning
institution (Forester 1989). projects has also raised questions concerning the
One of the general features in the debate on utilization of formal and informal knowledge that
planning over recent years has been the promo- has been generated in public online environments
tion of communication and collaboration. There (Rantanen & Nummi, 2009).
is broad support for increased interaction, but In this chapter, we will examine urban plan-
there has not been much debate, however, on what ning, not from the perspective of the institution,
effects the increasing use of information and com- but from the local perspective of urban areas and
munication technology will have on the content neighbourhoods and the people who live there.
of knowledge and on expertise. The connection The aim has been to study the use of the Internet
between the exercise of power and information in interactive land use planning processes. We
has been highlighted (e.g. Flyvbjerg, 1998), but ask, with the aid of a few Internet applications
not whether the strong expert institution would that have been developed and implemented, how
really be willing to open itself up to genuine public online environments are shaking up practices in
debate on what types of cities and environments urban planning.
should be planned and constructed.
The Internet is the most important knowledge
building environment in todays world. Digital BACKGROUND
citizenship includes the idea of the ability of
citizens to effectively participate in social activi- Place-Based Urban Planning
ties in real time via data networks (Mossberger
et al, 2008). Participation in the production of Only a decade ago, the placelessness of the in-
knowledge in online environments is determined formation society was hailed with enthusiasm.
through its members own capacities, interests and But as Castells (1996) states, people still live in
objectives (Wenger et al, 2005). places. In fact, the opposite has happened to what
Digital citizens, or at least the born digital was assumed: the importance of places has further
generation, digi-natives (digital natives, Prensky, increased. Information technology frees people to
2001), expect the same kind of high-quality us- choose the places where they live, work and spend
ability, flexibility and reliability from electronic their free time. According to Madanipour (2001),
services provided by public administration as they the metropolis of the future will be an integrated
do from commercial services. Applications like region that has various attractive places and space
Wikipedia and Facebook have spawned a genera- for different cultures. Planning a metropolis re-
tion that is not content simply to read articles by quires knowledge based on a soft understanding
others, but which wants to comment on and add of places and the more detailed incorporation of
to the knowledge itself, both as members of a hard, physical facts (Madanipour, 2001).
community or network and as individuals (Foth A place-based approach builds a bridge be-
et al, 2008). tween the practice by municipal managers of
The expansion in expertise and knowledge looking at urban areas and neighbourhoods from
building is challenging the monopoly position departmental silos, and the practice of people
of expert organisations in urban planning as living in these areas of looking at cities in terms
producers of urban knowledge. Planners have of experiences. Places are no longer viewed in
to consider their own ways of working and the nostalgic terms of traditional, homogeneous com-
methods, through which planning information is munities, nor as mere locations on a map. They
created, distributed, processed and used (Good- are conceptualized as dynamic locales with
81
their own diversity and power relations where to use. The background information on planning
the larger forces and flows that structure daily areas should be easy to find and it should be of a
life are contested and given meaning (Bradford, high quality and reliable. What makes information
2005). Places and the local knowledge linked reliable is that it is produced openly, critically and
to them are a way of analysing and compiling through collaboration (Ersaari, 2006).
knowledge in a new way. This local knowledge Planning practices and especially political
has three interconnected aspects, as it relates to decision-making do not yet give adequate consid-
the new challenges of urban policy-making and eration to methods required for the production of
planning (Bradford, 2005): information in online environments (Rubinstein-
Montano, 2003; Foth, 2008; Goodspeed, 2008).
Knowledge of communities: input from the Interactivity requires the planning organisation to
policy clients themselves based on their have online media skills: the ability and willing-
lived experience and intimate familiarity ness to take part in debate by highlighting its own
with conditions on the ground and in the expert knowledge or by otherwise expressing a
streets of their place. personal opinion on issues. Online debate also
Knowledge about communities: statistical raises many questions for public administration:
data disaggregated to the local scale, track- what is formal and what is informal information or
ing trends in the city or community that knowledge? It is not clear what types of informa-
provide a profile of the place. tion can be presented in what kinds of environ-
Knowledge for changing communities: ments or if it can be presented at all. It can also
theoretical models that articulate plau- be asked whether planners and civil servants are
sible links between reform strategies and active digital citizens in the same way as oth-
outcomes. ers, or whether their roles in the online planning
process are something completely different.
The emphasis of this chapter is in the first
category of local knowledge, knowledge of com- Learning-Based Urban
munities. Planning, OPUS
Planning over the Internet The research presented in this chapter is part of
an extensive research project called Learning-
The Internet activates people to participate: the based urban planning, OPUS (the acronym comes
use of the Internet promotes both economic well- from the projects name in Finnish), which was
being and democratic participation (Mossberger carried out by Helsinki University of Technol-
et al, 2008), and, therefore, is no longer only a ogy in 20052008 (Staffans & Vyrynen, 2009).
kind of tool but an important action environment, Learning-based urban planning is a comprehen-
the development of which should be the primary sive approach to local development stretching
task of public administration. the institutional processes of land use planning
Urban planning processes can no longer be towards long-term collaboration and partner-
taken forward without the professional use of ships between the public, private and residential
Internet-based methods. This requires knowledge (civic) parties. Learning-based urban planning
on the technical and functional aspects of the laws refers to integrating practices that are used to
underpinning these tools. The challenge in the de- build a bridge between three different urban
sign of applications is to control the considerable perspectives: a democratic self-governing city, a
and heterogeneous mass of planning data and simi- competitive metropolis and a local village town
larly to create interfaces that are easy for citizens (Figure 1). The key concepts in developing the
82
Figure 1. Learning-based urban planning
methods have been local knowledge, perceived cumulates in such a way that a locally important
environmental quality, shared processes and 4P databank is created.
partnership, which refers to cooperation between The forums do not operate by themselves
the public sector, private sector and citizens (4P, simply with the participation of users, but require
public-private-people partnership). a local maintenance group. The forums also need
Several methods utilizing the Internet were information facilitators who analyse and condense
developed in the OPUS project and their suit- the information accumulated from the various
ability for interactive urban planning processes sources and raise issues. Users, on the other hand,
was studied. The local Internet forums presented produce news and comments. The facilitators can
below are part of these methods. Model forums be members of the maintenance group, researchers
were established for the City of Espoo. or civil servants.
From the perspective of the planning organisa-
tion, an OPUS forum is a locally focused com-
LOCAL INTERNET FORUMS munications tool that can assist in reaching the
residents through more flexible tools than official
Defining OPUS Forums websites (Figure 2). The forums have no direct
connection to municipal decision-making in land
An OPUS forum is an Internet-based concept use planning, which referring to Arnstein means
where local place-based knowledge, information mostly public consultancy (Arnstein, 1969).
and data are compiled, processed and shared. It is
a knowledge building platform where knowledge Theoretical Starting
is linked to local land use planning and develop- Point of the Forums
ment projects. OPUS forums act as meeting places
for formal and informal information. They offer Local Knowledge
local service providers, developers and planners a
platform for partnership and collaborative projects. Local knowledge is defined here as empirical
The forums compile many types of information knowledge of residents and other local actors,
from various sources and the information ac- such as NGOs, which can be, for example, every-
83
Figure 2. The concept design of the OPUS forums
day experiences of the lifeworld and memories knowledge has become crucial in communicative
of places. It can be the impressions of an areas planning (Khakee, Barbanente & Borri, 2000).
reputation, safety etc. that are stored in the com- According to communicative planning theories, in
munitys memory or observed in daily life. This an ideal planning process the planners, residents
local knowledge is often defined as personal and and other stakeholders try to find the best solutions
experiential place-based knowledge (Coburn, together by communicating with each other. The
2003; Fischer, 2000; Van Herzele, 2004). When exchange of knowledge and the development of
local knowledge is shared within a residential ideas through communication during a planning
community, it evolves through interaction with process are seen vital for its successful outcome
other people who share the same local environ- (Van Herzele, 2004).
ment. Defined like this, local knowledge can be The differences between planners and resi-
called community knowledge (Bradford 2005). dents types of knowledge are frequently based
As local knowledge is based on first-hand on impressions of technical expertise and its
experiences, it lacks the verification and status of objectivity and accuracy, and, on the other hand,
expert knowledge (Coburn, 2003). This distinction impressions of citizens as laymen and the vague-
is not, however, clear as the planners also have ness and unreliability of the knowledge they
experiential knowledge of their own, and lay- produce. From the perspective of OPUS forums,
men may represent many types of expertise and the information or knowledge produced is equal in
professions. In fact, the stakeholders may today value but is considered from different directions,
hold expertise and knowledge in many fields that of which no single one forms a correct overall
is superior to that of the planner. The concept of view of the matter.
local knowledge is thus attached not only to places
(ones living environment) but also to knowledge Knowledge Building via the Internet
producers other roles and competences. Local
knowledge can also be expert knowledge of an Knowledge building can be defined as an activity
area that the planner has accumulated over a by communities to improve and promote various
period of years. conceptual structures such as plans, strategies,
It has been argued that the issue of the inter- theories, ideas and models (Scardamalia & Bere-
relationship between expert and experiential iter, 2002). Knowledge building aims at develop-
84
ing the knowledge and capacities of a community. framework and historical perspective. The starting
The essential element in successful knowledge point is that issues relating to the built environment
building is interaction between people. Likewise, are of interest to the residents and that the forums
the ability to put ones own knowledge into pro- can bring added value, especially in processes
portion and incorporate it into the knowledge of relating to land use planning and construction
others is essential (Parviainen, 2006). Reference by making local knowledge visible. The forums
is often made in the organisational sciences to support a model of progressive debate where the
Nonakas and Takeuchis spiral model (1995). augmenting databank supports the continuity of
In this model, knowledge is created in a dynamic the regions development and planning.
process in which explicit knowledge is created The natural place for knowledge produced
from individuals tacit knowledge through social by the municipality itself is its official website.
interaction in the community, which the individual However, these usually lack the tools that could
re-adopts through internalization and which be- be used to engage in debate on topical issues in a
comes new tacit knowledge again. Knowledge flexible way with residents, service providers and
building requires networking, and it produces other actors. The information relating to projects
a wider perspective on the issues being debated is also easily lost after the active stage. OPUS
for those included in the network. The objective forums aim to improve these shortcomings in
of knowledge building is not consensus but a public administration data systems, which limit
synthesis in which the participants can compare open knowledge building.
their own ideas (Scardamalia & Bereiter, 2003).
Through knowledge building, the community Volunteered Geographical Information
and individual learn about the planning or other and Public Participation
problems under consideration, but also how the
system works. The local development process Open source WebGIS tools have only recently
appears as a continuum in which some arguments made it possible to use GIS applications on the
and practices prove to be more successful than Internet, which previously were only used by
others. Those involved in developing the process professionals. Consequently there has been an
take part in creating new knowledge through ac- explosion of interest in using the Web to create,
tion, whereby a deepening in understanding and assemble, and disseminate geographic information
change in social practices takes place simultane- provided voluntarily by individuals. The most
ously (Kurki, 2005). Knowledge building can be important value of this volunteered geographical
seen as a collective activity that aims to solve a information (VGI) is seen to lie in what it can
certain problem and in which those involved have tell about local activities in various geographic
a common goal or objective (Parviainen, 2006). locations that go unnoticed by the worlds media,
If the problems become more complicated, an and about life at a local level (Goodchild, 2007).
extensive knowledge base is required as well as OPUS forums combine VGI with other types
the crossing of boundaries between sectors and of social media and with formal information, as
experts. well, thus being more a comprehensive knowledge
OPUS forums can be considered as virtual creation system than an institutional and formal
knowledge building environments in a participa- geo-information system. As the forums are closely
tive and interactive urban planning process. The connected to public planning they can also be
forums are designed for use by local communities considered to be so-called public participative GIS
and experts. Local knowledge appears alongside applications (Carver et al, 2001). Participation in
expert knowledge, giving the issues an experiential this case means mostly public consultancy as there
85
is no direct connection to political decision-making inventory of the areas building stock and these
in land use planning (Arnstein, 1969). evaluations were placed on the forum so that the
areas residents could make comments and addi-
Forums for Different Stages tions to them. Similarly, the residents own points
of Urban Development of view on the areas merits were also assessed.
(www.lillhemt.fi, Figure 4)
The pilot forums of the OPUS project were de-
veloped and implemented in the City of Espoo Planning Forum Planning On-Line
for three neighbourhoods in different stages of
urban development. Referring to these experi- The inventory forum becomes a planning forum
ments, the OPUS forums can be divided into three once the environmental assessment and inventory
categories: inventory, planning and development stage moves to the active planning stage. The
forums (Figure 3). planning forum follows up the planning process
and the core content of it includes presentations of
Inventory Forum Before the plans in everyday language. Interaction takes
a Planning Process places through debate and commentary, which can
be linked to published articles and places on a map.
An inventory forum is suitable for assessing the The forums most important user groups are the
public opinion of residents in an existing residen- current residents in the area and possible future
tial area. The tools in an inventory forum include residents. Reaching new residents is challenging
commentary map, a message board and a local and requires the active marketing of the forum. The
knowledge map on which residents can mark their planning forum is a tool especially for planners
place-based comments. Information about impor- and designers, but the construction companies as
tant places, routes used by residents, development well as the other consultants concerned with the
areas and potential sites for infill building can be project also benefit from it.
marked and commented on the map. The active An example of a planning forum was carried
involvement of the planner is important. In this out in the Hista area, where the City of Espoo is
way, formal expert knowledge can be combined planning a new district for around 20,000 residents.
with the experiences of the residents. Hista is predominantly an area of agriculture and
An inventory forum was set up for the Lill- forestry, and has at present around 2000 residents.
hemt residential area of houses, where the City The progress of the planning and construction of
of Espoo was initiating a town plan process that the area are being followed via the forum. (www.
will improve the area. Experts carried out an hista.fi)
Figure 3. Forums for different stages of urban development
86
Figure 4. The inventory forum for the Lillhemt residential area
Development Forum A editing of the site; it decides on the local policies

Different Kind of Local Portal and content of the development forum. The people
involved work voluntarily, which is motivated
Development forum is an Internet-based knowl- by the opportunity to participate in developing
edge building environment which serves the local the area. In terms of the city, the key actors are
developer community and residents. It is a platform the information officers and officials responsible
for interactive planning, and more clearly focused for planning. Municipal managers support to
on land use planning and development projects the forum is important because it is in this way
than a traditional areal web portal. Development that the citys representatives gain a mandate to
forum is a local medium that is connected to the operate through this external, unofficial forum.
areas development efforts (Kurki, 2005; Staf- In practice, there is a need for an intermediary
fans, 2004). party who gets the project going, brings the actors
Local residents, as the users of the site, com- together and markets the forum.
ment, debate and write news articles. The main- An example of a development forum was
tenance group is responsible for the updating and carried out for the Centre of Espoo, which is
87
the district centre for 30,000 residents in Espoo. 2. Interactive tools

In spite of the fact that also the administrative a. Local knowledge map (on top of which
centre of the City of Espoo is located in the area, the commentary map forms one level)
the areas reputation is rather bad, mainly due to b. A message board
the poor construction practices in the 1970s. For c. Commentary on articles (blogs)
this reason, several development projects aim to 3. Content relating to the urban development
improve the situation, and the development forum projects and land use planning
is supporting and pulling together these projects. a. Process tree
(www.espoonkeskus.fi). b. Presentations of the plans
Tools and Content Points 2 and 3, i.e. interactive tools and web-
sites presenting planning projects, are common
Although OPUS forums (inventory forums, to all the forums. Point 1, the nature and extent of
planning forums and development forums) serve local content, varies significantly on the different
different types of urban planning situations, their forums. Inventory and planning forums only have
design maintains structural consistency. All the information for the planning projects in question,
forums can have the following tools and content, but on development forums, the provision of in-
albeit with varying emphasis (Figure 5): formation, event monitoring and service offering
may be quite extensive.
1. Local content Next we take a closer look at the components
a. News, events and service of the OPUS forums.
b. Editorial content: history, stories,
pictures
Figure 5. The tools and contents of the OPUS forums
88
Local Content and news items. The conversations are moderated

afterwards, if necessary; moderating in advance
Local content like news and list of events form effectively kills the discussion. Users could also
a comprehensive insight to the area but it also be required to register, but this inevitably reduces
requires a certain amount of commitment of lo- the number of debaters. Although registering does
cal editors and distributed updating. The creation not require the user to reveal his or her identity, it
of news items and events has been made easy contributes to keeping the debate civil. Officials
through a separate news editor, so anybody can generally appear on message boards under their
send articles to be published. These news items own names.
then become material used later for the process
tree. Editorial content, such as the local history, Local Knowledge Map
personal recollections of residents and pictorial A local knowledge map is an interactive map ap-
material, is also put on the website, forming a plication for examining place-related information
local database of background information and (Figure 6). This information could be, for example,
documents. formal information concerning projects and plans,
OPUS forums utilize browser-based content or informal local knowledge, such as user expe-
creation software and an open source map ap- riences, statements from regional associations,
plication. The content management system used or news in other media. What is essential is that
by the OPUS forums is Joomla 1.0 (http://www. the person searching for information finds it on
joomla.org/) and the map functionality was cre- the basis of its geographical position and not, for
ated using the MapServer (http://www.mapserver. example, through a hierarchical organizational
org/) development platform. structure.
Using these open source software instead of Users can also leave their own positive and
commercial products was reasonable because of negative comments on the map, as well as devel-
the low costs, many suitable features and also opment proposals. The comments are public and
because there was already some experience of anonymous. A link is created from the comments
Joomla among the research group. A link between to the message board so contributors can engage
the map application and the content management further debate. Background information on the
system was designed. A moderator application was respondents can be collected (e.g. age group,
designed to manage and publish data and com- gender, neighbourhood). The comments can be
ments on the map. All the data can be retrieved studied using a simple analysis tool on the basis
from the database, for example, onto an Excel file of the date, type of comment (positive/ negative/
and can also be transferred to a GIS application development comment) or information about the
for further processing. respondent. In this way, the information accumu-
lated on the map can be shared and examined by
Interactive Tools the entire community.
Further improvements on the forums will focus
Message Board in particular on the usability of the map application.
The message board is the forums most important GoogleMaps has already created new standards
interactive tool, which encourages local actors to for map interfaces. Open source solutions are of-
create the content for the site. The topics are op- fering excellent solutions for implementing map
tional and can also be introduced to the debate at interfaces. The use of open source also meets the
the request of planners. Debate can be carried out needs of local NGOs.
in the form of a blog by linking it to the articles
89
Figure 6. The local knowledge map
Content Relating To Projects and Plans the informal process comprising information in
other media, opinions of associations and par-
Planning projects are presented in an informal way ties, and other themes relating to the matter. The
on the forums. In addition to the official planning process tree brings several types of information
documents (e.g. maps and reports) illustrations together in one place, thus creating a general pic-
and other visualizations can be published. Starting ture of the matter at hand. It also brings together
points, goals and the planning drafts and proposals the disparate news and static content within the
are described in plain Finnish. forum into sensible themes. Planners have used
the process tree, for example, at public events to
Process Tree illustrate their presentation material and the his-
The process tree has proven to be a good tool for tory of the project.
visualizing and archiving the various stages of a
given project in chronological order from three Experiences of the Forums
different perspectives. The process tree comprises
a table that grows upwards, on the left side of which So far the OPUS forums have not been under
is the formal process, in the middle the general external evaluation. Two doctoral theses will
history or other neutral frame, and on the right focus on the forums, one on the usability of the
90
forums and one on knowledge management. The who visit these forums have spent a longer time
following remarks about the forums are based on on them. The number of visitors to the Lillhemt
monitoring the number of visitors to the forums forum has been over 700 hits per month at its
and the feedback from them, on a survey arranged peak. This is a high figure for a residential area
by the research group to the users of the forums of around 600 people. The corresponding figure
and on researchers overall experineces of the for the Hista forum has been slightly over 600
intensive development phase. hits per month at its peak.
User Feedback User Survey
Monitoring user opinions and the number of visi- User surveys of the forums are currently being
tors to the OPUS forums has been an integral part drawn up. Preliminary results are only available
of the introduction of the concept and evaluation of for the survey targeted at users of the development
its success. Only a sufficiently large mass of visi- forum for the Centre of Espoo.
tors can help to achieve two important objectives: In the preliminary survey, the development
the municipal organisation gets the benefit of this forum was seen, above all, as the residents and
additional communication channel, and the forum other actors own unofficial website. According
users are enabled to build common knowledge to the respondents, the website for the Centre
within the context of urban development. The of Espoo was considered to be a success, espe-
number of visitors is also linked to the legitimacy cially with respect to the contents and discussions
of the participation, since the more people that visit concerning ongoing construction and planning
the site and take part in the discussions the more projects. News items, information about locally
representative the interaction can be considered. important events and the message board were
It would also be an unwelcome development if closely followed. The website also reinforced the
several local parties remain outside the forum. feeling of home about the area. The accumula-
tion of knowledge and compilation of historical
Number of Visitors knowledge was considered to be important. One
user comment stated that the regional website acts
The development forum for the Centre of Espoo as a knowledge databank, as the preserver of a
was opened in October 2006. The statistics show collective memory.
the slow start of the forum from October 2006 In terms of its usability, the site was considered
until the following summer. Only in autumn 2007 to be good only the map application had clear
did the number of visitors to the site start to show usability problems. Three out of four respondents
a clear increase. A local traffic survey mobilised believed that the development forum helps resi-
a large number of visitors to the site due to the dents have a say in matters. However, the residents
conflict surrounding some of the issues, and was hope that officials would have a greater presence
reflected as a spike in the statistics. In 2008, the on the website.
website attracted around 4,0007,500 visitors per
month. There is still considerable room for growth Understanding the Users
in the number of visitors. and the User Context
Compared to the development forum, the
number of visitors to the planning and inventory Forum for planners: The adoption of OPUS
forums has been smaller as a result of the smaller forums as a tool by planners and other officials is
target group for the pilot websites. However, those only in its infancy. Inventory and planning forums
91
are closely linked to formal planning processes, more familiar with social media tools in general.
and therefore they are easier to integrate into It is still difficult to say what impact OPUS
institutional practices. The development forum, forums have had on residents in the area. It is
on the other hand, requires extensive a real part- evident that officials should participate in discus-
nership and cooperation models. Establishing a sions more visibly as this would be an important
development forum in an area is therefore a long signal for the residents with respect to the imple-
process, but can result in the most useful benefits mentation of transparent governance. In Espoo,
being achieved. the manager of the development project has been
From the perspective of planners, the forum involved in the discussions and produced material
is above all an information management tool. for the site. He has highlighted the official point
The planner or development manager acts as the of view, explained future projects and quashed
knowledge manager in the process. This, however, incorrect rumours. The planners, on the other hand,
requires an active use for the forum and the adop- have not been so active in the discussions. The
tion of more communicative working practices in researchers own work as producers of material
the entire organisation. and activators of debate has also been important
The usability of the forums must be further throughout the whole process.
developed. The production of knowledge must Forum for local service providers: From the
not require the planner to have special ICT skills. business perspective, the forums are a regional
In the future, the planner should be able to easily communications tool that can act as a joint tool for
produce the content relating to the different stages sharing and publishing information for local part-
of the project over the Internet alongside his or ners and cooperation. The involvement of business
her routine work. This would demand a certain partners is desirable, but also fairly challenging.
degree of integration between the citys own data It can be difficult for companies to see the direct
systems and the forums. benefit of participating in the forums activities.
Forum for inhabitants: From the perspec- Therefore, the cooperation models should be easy
tive of residents, the forum works best when to implement from the point of view of businesses.
information on planning is provided openly and However, this cooperation could still be important
alternative solutions are debated at an early stage. for the forum and its image.
The experiences from participative processes No adverts or material produced by sponsors
demonstrate that residents appreciate the option of have been published on the OPUS forums. How-
giving feedback early on in the process. Accord- ever, it is possible that a development forum can,
ingly, the forums could act as proactive platforms as it increasingly takes the form of a local portal,
for producing new ideas and development needs start publishing sponsored content linked to the
or for making these visible. This would enable local economy.
the residents to shape the agenda for the areas Forum for politicians: For decision-makers,
future development. OPUS forums offer a place where they can partici-
For local NGOs, a development forum may pate in local debate. Decision-makers are usually
be a new tool that needs to be learned. Establish- well-informed and have influence over many local
ing new communication practices takes its own matters. Politicians often have the kind of inside
time this process is still ongoing in the Centre information that others do not necessarily have,
of Espoo. However, once the actors commit and they can share this information on the forum.
themselves to common local objectives, aware- They could, if needed, promote tools such as the
ness of the forum will increase. Furthermore, over OPUS forums within municipal organisations. The
the course of time, local actors will also become forums highlight the common problems associ-
92
ated with citizen participation in decision making: search engines and networking via links to other
what significance does local discussion have on websites.
the planning process, what weight should be given The primary way of searching for information
to opinions? Decision-makers can also get to find by Internet users is nowadays by using search
out about all kinds of tacit knowledge, which engines such as Google. People are directed to the
would not necessarily otherwise be communicated forums once they have searched for information
to the decision-making process. on particular projects, events or services. For the
The input from a couple of active councillors search engine to be effective, it is important to
on the development forum for the Centre of Espoo acquire a good and unambiguous domain name
has been significant. However, decision-makers for the website.
always take a risk: their comments can be pub- The website of the City of Espoo also has
licly criticised. The readers of their messages are several links to the OPUS forums. The statistics
also voters. from the server shows that a relatively large num-
It can be asked whether the OPUS forums ber of visitors are directed to the OPUS forums
promote direct democracy. In the current crisis specifically from Citys website. The forums are
of representative democracy voter turnout in also accessed by the Citys intranet, i.e. from the
elections is currently at record lows in Finland workstations of officials.
this question is especially relevant. Basically, the The OPUS project has cooperated with neigh-
OPUS forums promote representative democracy bourhood associations by cross-linking the forums
indirectly as communal knowledge building in- and associations websites. In addition to this, the
creases understanding of planning issues. Thus, maintainers of these websites publish news items
voters become increasingly aware of factors that on the OPUS forum websites, and the maintain-
affect the development of an area, which, on the ers of the forum pick out news items from the
other hand, activates people to participate directly. associations websites.
This assumption is supported by the research,
referred to in the introduction, on the impact of In-Between the Formal
the Internet on the willingness of digital citizens And the Informal
to participate (Mossberger et al., 2008).
The maintainers of the OPUS forums have con-
Multichannel Marketing tinuously had to consider what the relationship
between the forums and the official websites of the
The usual problem with Internet-based research municipalities is, and how the content of the cit-
projects is the inadequate marketing of the web- ies websites can be treated on the forums (Figure
site that is the object of the research. Several 7). Another issue related to this is that it has been
means were employed to increase awareness of important to clearly highlight on the forums where
the OPUS forums. Various informative events the original information is located, i.e. whether
were organised, and visits were undertaken to is it a formal or informal source. There is a need
events organized by local stakeholders, as well. to specify the position of the OPUS forums as
Writing articles in local newspapers and placing being in between the formal and informal online
advertisements on shop notice boards are useful environments.
but laborious ways of promoting the forums in a Evaluating the degree of formality of the in-
district of over 30,000 residents. Alongside these formation is often based on which organisation
means, it has also been important to consider produced the information. Information produced
93
Figure 7. Formal and informal web sites in Espoo
by public administration mainly comprises vari- such as the OPUS forums, should be monitored
ous types of reports, press releases, statements by municipal departments, or how the information
and decision documents. They are drawn up in added to the map, for example, should be used in
accordance with a certain set of rules, under par- the municipal GIS system. The closed intranets
ticular terms, and fulfilling technical and legal within public administration, incompatible data
requirements. systems and deficient interfaces are also frequent
Official decision and planning documents do problems. There are no structures that could be
not necessarily create an adequate knowledge base used to import the information compiled on the
for an overall picture of the area. Residents may forums to formal organisations.
feel that official websites do not present enough
locally important knowledge informal, experi- Analysing Comments The Difficulty
ential knowledge is needed to make up for this in Interpreting Open Discussions
shortcoming (Rantanen & Kahila, 2008).
From the administrative perspective, OPUS The interactive maps and the message boards
forums are informal online environments outside generate qualitative data, the use of which is not
the municipal data systems. However, from the unequivocal. The map comments are processed
perspective of residents, the forums are at least by content analysis, i.e. by reading through the
semi-formal. The status of this kind of in-between comments and classifying them into relevant
environment should be clarified in relation to categories. Local knowledge is needed to avoid
the municipal organisation. From a maintenance misinterpreting the discussions and map com-
point of view, it has been important that the OPUS ments (Rantanen & Nummi, 2009). Opinions can
forums have not been owned or published by the in general be ranked according to their quantity
city, but that the city is an actor among others. (how many are of the same opinion) or content
The intermediary party, i.e. the university, has (interesting proposal). It is often considered that
been considered as being neutral and thus as a an opinion is credible in the eyes of the authorities
suitable actor in between the residents and the only if it is presented by a sufficient number of
city administration. citizens. However, a good argument is not neces-
Many levels of structural, organisational, and sarily formed as the result of a vote.
technical problems as well as problems relating to Online discussions are still fairly unconnected
operating practices emerge when integrating infor- to decision-making and planning processes.
mal and formal information and knowledge. There Innovative ideas from residents are easily left
are no agreed practices on how local websites, unexploited because they are presented in the
94
wrong place and at the wrong time. In the OPUS are learning to use social media applications such
project, the aim has been to connect online as wikis and blogs, as well as networking tools
discussions on forums to actual planning and such as Facebook and Linked-In.
development processes in terms of their timing The data systems for urban planning include
and locality. However, there is no clear evidence GIS systems, various registers, databases, and
of the effectiveness of the discussions on planning databanks. The greatest challenge of knowledge
and decision-making. At best, the information management in urban planning is, however, the
on message boards is shared and processed so fact that many other parties produce knowledge in
that understanding of an issue by all the parties addition to municipal organisations. The linking
improves and better decisions are formulated. of these parties to the urban planning knowledge
Online discussions are held, in any case, all management process as fully equal partners is the
over the Internet. Discussions on interesting sub- starting point of the OPUS forums. Information
jects, such as a persons own residential area, are technology offers means through which the knowl-
nowadays conducted to an increasing extent on edge gathered by many actors can be imported for
local websites and in informal web communities. use by the planning process.
Why should the residents use a particular forum Web 2.0 incorporates the idea of an inte-
organized by the administration for a debate? grated Internet-based operating environment in
Should the citys representatives, on the other which peoples work and leisure time become
hand, monitor these forums and participate in all interconnected, information is shared openly and
these informal conversations? peoples roles as producers, users and upgraders
of knowledge is closely connected to the (virtual)
From Knowledge Gathering To community they belong to (http://en.wikipedia.
Knowledge Management org/wiki/Web_2.0). The concept of one-way
communication seems increasingly old-fashioned:
Knowledge management refers to processes that the publication of information is only one step in
are employed to manage the creation, dissemina- the processes in which the information is further
tion and utilisation of knowledge (Gupta et al., processed and adapted in various ways.
2003). The aim of knowledge management is to
find the means as to how knowledge work, such The Knowledge Management Model
as urban planning, is managed within organisa- On the Development Forum
tions (Tuomi, 1999). The task of expert planners
is increasingly to distil the information and ideas The challenges in knowledge management are
produced by various parties and to mediate the emphasised on forums, such as the development
interests of various groups of people (Ersaari, forum, which have an extensive and diverse
2006). Planners are nowadays increasingly number of actors and quantity of material. The
knowledge managers working in collaboration functioning of the development forum is loosely
than isolated virtuosi. based on the knowledge management organisation
Knowledge management requires that the model of Gupta et al. (2003). It consists of three
organisations structures are developed to support functional levels and an additional intermediary
knowledge processes (Gupta et al., 2003). Knowl- level that is represented by the OPUS projects
edge management is not possible without the data research group (Figure 7). The knowledge manage-
systems and tools supporting it. Organisations have ment level on the planning and inventory forums
traditionally used various groupware and online lacks an actual maintenance group; therefore, the
learning environments. Nowadays, organisations intermediary level also carries out this function.
95
1. Data source level. The information produc- people operating at the intermediary level
ers can be the municipality, other authorities, launch the activities, put the maintenance
the parish, associations, individual residents, team together, and choose different subjects
political parties, housing companies, busi- to be discussed by the maintenance group as
nesses, etc. At the data source level, a com- well as receive the information that has been
mon knowledge databank is compiled from compiled. In practice, they also produce the
these various sources of information. These majority of the content depending on the
sources all produce electronic information, interests.
i.e. documents, Internet sites, GIS data. A 3. Knowledge management level. At the
databank is created when the existing sources knowledge management level, the informa-
of information are linked, new syntheses are tion is actually gathered, combined and ar-
created or previously unpublished digital ranged. The knowledge managers are usually
content is published. members of the forums maintenance group.
2. Intermediary level. The mediators of the fo- They publish the articles and comments on
rums can be researchers, consultants, volun- the map as well as monitor the discussions.
tary local residents or hired employees. The
Figure 8. Knowledge management model of the development forum
96
4. Knowledge presentation level. Information sources to be searched in an easy way and in

is shared over the Internet at the knowledge which new information, irrespective of whether
presentation level. The forum takes the form it is produced by the planning institution itself or
of a public local portal. Information is mutu- by other actors, can easily be incorporated. This
ally shared between the planning institution kind of urban information system would create a
and the local actors, as well as between the comprehensive planning databank and a platform
residents and the municipality. where knowledge is preserved and individual
projects would be considered from a longer-term
The knowledge management model tested on perspective.
the development forum also requires, in practice, On the other hand, urban planning data systems
changes in operating practices within planning are being increasingly challenged by open source,
organisations and local associations (NGOs). mash-up-type platforms that combine information
This will allow more effective and systemic dis- from several different sources and which have to
semination of knowledge. The key role of the a great extent been adopted by the business world
intermediary level should be reduced in future. and online communities. Open interfaces and the
However, this requires not only an improvement ability to combine databanks are a prerequisite of
in the awareness of the forums but a new operating social media and they are specifically often lack-
culture at the local and institutional level. ing from the data systems of municipalities. The
dialogue between these systems will demand not
only a change in attitudes but also a redefinition
FUTURE RESEARCH DIRECTIONS of officials jobs. Time and resources will have
to be allocated to online interaction.
Integrating Urban Planning
Through Knowledge Management Paradigm Shift in
Knowledge Production
Urban planning data systems are usually not
very effective at simultaneously examining and In the future or even today social media tools
managing heterogeneous information and ongoing in knowledge production will change public
areal processes. Therefore, making knowledge administration. However, municipal strategies
management and data management systems more and planning objectives will not be put together
integrated is a matter of great importance. on Wikipedia for some time yet, even though
In the future, data systems must meet the the technology would make this possible. The
needs and expectations of various user groups. communal adaptation and processing of wiki-
The challenge is to make the systems and con- type information would require a coherent and
tent designed for experts publicly available, and internalized perspective of at what stage, how
to establish informal Internet applications (e.g. and who could participate in producing a com-
message boards) as serious tools within expert mon knowledge base. Once the tools are available
organizations. Particular attention should be paid to all and the platform is open, the actors in the
to the openness, flexibility and usability of the planning process can become active knowledge
systems and their content. builders. There should be a clear definition of the
Urban planning data systems should be devel- roles, rights and responsibilities within knowledge
oped on two levels. On the one hand, a system production. Planners and development managers
of compatible data systems should be created, would in this case increasingly be knowledge man-
allowing information from various municipal agers and facilitators in urban planning processes.
97
The formal nature and validity of the informa- together and fostering debate on areal
tion will be further considered by public admin- knowledge;
istration, but at certain stages it will be submitted b. The forums expand the urban planning
for evaluation and supplementation to the public. knowledge base by integrating formal
Expert knowledge is basically no more important and informal information that comes from
or cogent than experiential knowledge of lay- various sources of information. From the
men. Utilising experiential knowledge produced perspective of the planning institution, this
by the public will be as important as using any means challenges in terms of data manage-
other type of formal information such as GIS or ment and the need to develop information
register data. Knowledge of locally significant systems.
problems or possibilities for solving them will
be moulded through open debate and the sharing The methodology of the learning-based urban
of information. planning includes user-centered development of
Planning knowledge is shaped over time the online planning environment. The most im-
through dynamic processes and within various portant aspects to the overall usability are:
historical contexts. The linking of individual
planning projects to this perspective requires that a. the usability of the tools;
the knowledge produced during these processes is b. the information quality, which means il-
preserved. In this way, it can be used for evaluation lustrative, accessible and local content;
and background information should the need for c. the competence and willingness of the mu-
development arise again after a few years. nicipal organisations to work interactively;
The paradigm shift in knowledge production d. the impact and meaningfulness of partici-
will require planning organisations to model pation on urban planning from inhabitants
practices through which they use information point of view.
gathered from citizens: an ever increasing amount
of the information collected will be published and Planning institutions cannot become enclosed
disseminated to citizens for further processing. in their own information systems any longer.
Internet-based participative applications will
operate to an increasing extent on the principle
CONCLUSION that the information is gathered from databanks
produced by several different actors and or-
The Internet forums presented in this chapter are ganisations. The basic challenge is to genuinely
part of methodological framework that can be link planning-related local forums to the actual
used to develop practices for learning-based urban decision-making process. Technical possibilities
planning. The key concepts are local knowledge for this already exist. The planners will get even-
and interactive knowledge building in which social tually familiar with online interaction with the
media and volunteered citizen sensoring of the citizens: municipal interaction in local and other
daily environment are in focal roles. The follow- forums will be understood as part of the openness
ing conclusions can be drawn from the research and transparency of governance as declared in the
on the internet-based OPUS forums: municipal strategies.
Surprising little consideration has been given
a. The forums create the conditions for placein planning theory to the impact of social media
based, locally focused policies by bringing on urban planning expertise and the future of
98
the planning institution. The experiences of the Flyvbjerg, B. (1998). Rationality and Power.
OPUS forums only hint at how far current plan- Chicago, IL: The University of Chicago Press.
ning practices are from the future knowledge
Forester, J. (1989). Planning in the Face of Power.
society. The experiences concern not only the
Berkeley, CA: University of California Press.
technical systems and operating practices but
also the attitudes of expert institutions towards Foth, M., Choi, J. H., Bilandzic, M., & Satchell,
new knowledge producers. C. (2008). Collective and Network Sociality in an
Urban Village. In Myr, F., Lietsala, K., Franssila,
H., & Lugmayr, A. (Eds.), Proceedings MindTrek:
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Mossberger, K., Tolbert, C. J., & McNeal, R. S. vaikutus ja paikallinen tieto kaupunkisuunnittelun
(2008). Digital Citizenship. The internet, society haasteina [Influencial inhabitants. Local knowl-
and participation. Cambridge, MA: The MIT edge and interaction challenging urban planning,
Press. in Finnish]. Helsinki University of Technology,
Centre for Urban and Regional Studies, Publica-
Nonaka, I., & Takeuchi, H. (1995). The Knowl-
tion A 29. Helsinki, Finland: Yliopistopaino.
edge-Creating Company. How Japanese Com-
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York: Oxford University Press. Oppiva kaupunkisuunnittelu (Learning-based
Urban Planning, in Finnish). Helsinki Univer-
Parviainen, J. (2006). Kollektiivinen tiedonrak-
sity of Technology, Department of Architecture,
entaminen asiantuntijatyss. In J. Parviainen
Research Publication 2009/98. Espoo, Finland:
(Ed.), Kollektiivinen asiantuntijuus [Collective
Painotalo Casper Oy.
expertise] (pp. 155-187). Tampere, Finland:
Tampereen yliopistopaino. Tuomi, I. (1999). Corporate knowledge. Theory
and Practice of Intelligent Organizations. Hel-
Prensky, M. (2001, October). Digital Natives,
sinki, Finland: Metaxis.
Digital Immigrants. Horizon, 9(5).
Van Herzele, A. (2004). Local Knowledge in
Rantanen, H. (2004). Paikallisyhteist inter-
Action. Valuing Nonprofessional Reasoning
netiss. Julkaisujrjestelmt ja kolmas sektori.
in the Planning Process. Journal of Plan-
Sitran raportteja 44. Helsinki, Finland: Edita
ning Education and Research, 24, 197212.
Prima Oy.
doi:10.1177/0739456X04267723
Rantanen, H. & Kahila, M. (2008). The SoftGIS
Wenger, E., White, N., Smith, D., & Rowe, K.
approach to local knowledge. Journal of Envi-
(2005). Technology for Communities. CHEFRIO
ronmental Management, 90(2009), 1981-1990.
Book Chapter v. 5.2. Retrieved from http://tech-
Rantanen, H., & Nummi, P. (2009). Alueella nologyforcommunities.com/CEFRIO_Book_
on tietoa. In A. Staffans & E. Vyrynen (Eds.), Chapter_v_5.2.pdf
Oppiva kaupunkisuunnittelu [Learning-based
urban planning] (pp. 29-78). Helsinki University
of Technology, Department of Architecture, Re-
search Publication 2009/98.
Rubinstein-Montano, B. (2003). Virtual communi- Formal Knowledge: Knowledge and informa-
ties as role models for organizational knowledge tion created and shared by formal institutions and
management. In Gupta, J. N. D., & Sushil, K. S. their representatives like municipal governance,
(Eds.), Creating Knowledge Based Organizations. civil servants and other authorities. Typically, it is
Hershey, PA: Idea Group Publishing. based on professional expertise, formal decisions
and official documents.
100
Knowledge Management: Knowledge man- knowledge such as user experiences and comments
agement can be defined as a process in which of the daily environment.
knowledge is created, validated, presented, OPUS: OPUS is an acronym derived from
distributed and applied. It helps many kinds of Finnish words Oppiva kaupunkisuunnittelu
organizations and communities to find, select, which refers to learning-based urban planning.
disseminate and transfer important information OPUS was a name for a research project in the
and expertise that is needed in problem solving, field of urban planning conducted in the Helsinki
learning, strategic planning and decision making. University of Technology in 2005-2008.
The internet offers many usable tools for manag- OPUS Forum: OPUS forum is the name of
ing knowledge. a neighbourhood specified and Internet-based
Learning-Based Urban Planning: Learning- local forum for urban planning, developed in the
based urban planning is a comprehensive approach OPUS-project. It is a knowledge building platform
to local development stretching the institutional where local place-based knowledge, information
processes of land use planning towards long-term and data are compiled, processed and shared and,
collaboration and partnerships between the public, where knowledge is linked to local land use plan-
private and residential (civic) parties. Dialogue ning and development projects. OPUS forums act
and interaction between the stakeholders is sup- as meeting places for formal and informal infor-
ported by various tools, e.g. the local, internet- mation. There are three different applications of
based forums. OPUS forums: inventory forum, planning forum
Local Internet Forum: Local internet forum and development forum.
is a web site that is focused on publishing and Place-Based: Place-based refers to a general
discussing on many kinds of local issues and is planning approach, which emphasizes the charac-
maintained by various local actors. In an ideal teristics and meaning of places as a fundamental
case, a local internet forum is managed by a local starting point for planning and development.
community or a maintenance group that constitutes Place-based knowledge or information has a
of actors from third, private and public sectors, geographical position.
as well as of active inhabitants and researchers. Process Tree: A process tree is a tool for
Local Knowledge: Local knowledge is con- visualizing and archiving the various stages of
sidered as the knowledge of inhabitants and other a given planning and development project in
local actors in the neighbourhood. This knowledge chronological order. It brings several types of
is often based on peoples every day experiences, information together in one place, thus creating
and it is formulated in many ways within the com- a general picture of the matter at hand.
munity and individuals. Thus, local knowledge Usability: Usability is related to interactive
is attached to the physical places where people tools and their users. Knowing the users, their
live, work and act. In a planning process local goals and the context they use the tool in are the
knowledge is often valued as common or informal main principles of usability. Efficiency of use,
knowledge, which is hard to specify and translate learnability, memorability and subjective satisfac-
into formal or technical language. tion can be considered as dimensions of usability,
Local Knowledge Map: A local knowledge but also other criteria can be defined. Usability
map is an interactive map application for exam- research explores the relationship between the
ining place-related information. This informa- user, his goals or tasks and the use context. The
tion could be, for example, formal information objective in usability design is to find harmony
concerning projects and plans, or informal local between these elements.
101
4P: 4P refers to public-private-people partner-

ship in planning and developing neighbourhoods
and local communities. It is an integrative practice
of planning and implementation emphasizing the
role of users and local knowledge in developing
the living environment.
102
103
Chapter 6
Does Computer Game
Experience Influence Visual
Scenario Assessment of
Urban Recreational Paths?
A Case Study Using 3-D
Computer Animation
Arne Arnberger
University of Natural Resources and Applied Life Sciences, Austria
Thomas Reichhart
University of Natural Resources and Applied Life Sciences, Austria
ABSTRACT
During the past decades, computer visualizations have been frequently used in urban e-Planning and
research. The question arises of whether the degree of experience with the computer during leisure time
can have an influence on the assessment of computer-visualized outdoor environment scenarios using
visualizations comparable to computer games. We used a computer-animated choice model to investi-
gate the influence of computer game experience on respondents preferences for an urban recreational
trail. Static and animated representations of use scenarios were produced with 3-D computer animation
techniques. Three social factors were investigated: number of trail users, user composition, and direc-
tion of movement: The scenarios were presented to respondents (N = 149), segmented into groups with
different computer game experience. The results indicate that the individual experience with computer
gaming and the presentation mode influences the evaluation of trail scenarios. Animated trail scenarios
seem to be more useful than static ones.
INTRODUCTION has become an important scientific field driven by

the rapid changes in urban and social structures of
Research on preferences for urban planning is- recent decades. At the same time, the systems of
sues, such as the design of public green spaces, governance for planning and managing urban public
space have changed, with a shift towards governance
DOI: 10.4018/978-1-61520-929-3.ch006
Computer Game Experience Influence Visual Scenario Assessment
at the local and regional level (Silva & Syrett, 2006) in psychology (Daniel & Meitner, 2001; Zube,
and increased public participation. Several tools Sell, & Taylor, 1982). Most of the approaches
for participatory planning have been developed. used the concept of preferences (Aoki, 1999).
The newest approaches use 3-D computer graphics Early methods applied in environment preference
or 3-D computer animations for presenting urban research, such as text-based descriptions or on-
and rural developments and recreational scenarios site visits, were limited in assessing the complex
(Karjalainen & Tyrvinen, 2002; Lange, 2001; dependences and interactions between a wide
Reichhart, Arnberger, & Muhar, 2007; Rohrmann range of social and physical factors (Tahvanainen,
& Bishop, 2002; Vallerie, Park, Hallo, Stanfield, Tyrvinen, Ihalainen, Vuorela, & Kolehmainen,
& Manning, 2006). In particular, the capability 2001; Manning & Freimund, 2004). Thus photo-
of these methodologies to assess the acceptance graphs were used as a visual stimulus and have a
of hypothetical and future scenarios is of great long history in the context of preference research
value for urban planners. Therefore, computer on natural and man-made environments (Aoki,
simulated environments are now widely used 1983; Daniel & Meitner, 2001; Nasar, 1983). In
in environmental planning (Lange, 2005; Chen, particular, the aesthetic evaluation of natural and
Bishop, & Hamid, 2002). urban landscapes in the field of environmental
Nowadays, Western urban societies are often psychology has relied on photographs (Daniel &
familiar with computer generated graphics. This Meitner, 2001; Van den Berg, Vlek, & Coeterier,
familiarity can be gained by work with the com- 1998). These studies have shown that humans
puter and/or video games. For example, 76% of prefer natural environments to built environments.
Austrian households have at least one computer During the last two decades, digital photo-
(Statistik Austria, 2008), and a high share of the montages have become relevant. Photomontages
population play computer games more or less regu- were often used for the assessment of hypotheti-
larly. Only 24% of the 11-18 year olds do not play cal planning scenarios and landscape changes,
computer games (Groegger & Zentner, 2008). and most research findings indicate that these
The question of whether this familiarity with computer supported approaches brought more
computer generated graphics can have an impact consolidated results. These studies investigated
on the individual assessment of virtual environ- a range of topics such as recreational scenarios
ments that are increasingly used in e-Planning of (Manning, 2007; Manning & Freimund, 2004;
urban environments arises. This topic is receiving Needham & Rollins, 2005), impact of recreation
added attention because research on video games use on the natural resource (Manning, 2007), land-
has found that there are interconnections between scape changes (Arnberger, Eder, Brandenburg,
real and virtual environments (Fischer, Kubitzki, & Reichhart, 2007), forest management (Tahva-
Guter, & Frey, 2007). nainen et al., 2001), and water-bodies (Junker &
Buchecker, 2008). For example, studies in urban
and suburban environments using manipulated
BACKGROUND photos investigated recreational trail scenarios
(Arnberger & Haider, 2007) and the design of
Methods Used In Perception urban park settings (Jorgensen, Hitchmough, &
Research on Outdoor Environments Calvert, 2002).
However, photographs and photomontages
Environmental perception research predominantly have several limitations, specifically when pre-
relies on the human perception-based approach senting motion related elements such as water flow
which derives from the psychophysical tradition or walking or bicycling behavior on multi-use trails
104
(Hetherington, Daniel, & Brown, 1994; Manning make it possible to produce interactive and ani-
& Freimund, 2004; Reichhart, Arnberger, & Mu- mated environments (Herwig, Kretzler, & Paar,
har, 2007). For example, Heft and Nasar (2000) 2005). These computer animations can show
found that differences in the preference results moving elements such as walking and cycling
appear when comparing static and dynamic visual behavior in detail (Reichhart, Arnberger, & Muhar,
stimuli. Additionally, non-visual environmental 2007). Such approaches are particularly useful for
elements in particular, sound and smell could presenting highly dynamic environments such as
have an impact on the validity of photographs heavily-used shared recreational trails.
(Newman, Manning, Pilcher, Trevino, & Savidge, Research on preferences for outdoor environ-
2006). Therefore, Daniel and Meitner (2001, p. ments has found that the results depend heavily on
63) argue that photographs should be used for the quality of the stimuli used (Daniel & Meitner,
relatively passive environmental experiences such 2001; Manning & Freimund, 2004). When using
as sightseeing, driving for pleasure, walking and visual stimuli, in the form of photos, films, static
picnicking. or animated computer visualization, one has to
Recent advances in computer simulation al- ask whether the respondents stated preferences
low for digital 3D-visualizations of natural and are valid. Modern 3-D computer graphics achieve
built environments using CAD- and GIS-based a high grade of realism, but such simulated en-
approaches (Lange, 2001). Simulations of urban vironments remain abstractions of the real world
and peri-urban environments are used to elicit (Bishop & Rohrmann, 2002; Daniel & Meitner,
city dwellers preferences for design variations 2001). A range of studies using visual presenta-
in public natural and built spaces and alternative tions of outdoor environments in the form of pho-
development scenarios (Laing, Davies, & Scott, tographs or computer-manipulated photographs
2005; Lange & Hehl-Lange, 2005; Loiterton (Manning & Freimund, 2004; Arnberger & Haider,
& Bishop, 2005). Additional tools enable the 2007; Daniel & Meitner, 2001) concludes that
animation of landscapes such as the growth of the results are suitable for the estimation of user
plants (Muhar, 2001). These tools are useful for preferences in a reliable way. Nevertheless, several
scenario development, presenting different stages studies indicate that there are serious limitations
for example of forest growth. regarding the validity of visualizations in par-
Real-time rendering provides the opportunity ticular, when the graphic quality is not close to
for observers to move dynamically through virtual photorealism (Daniel & Meitner, 2001; Rohrmann
environments. Thus, computer visualizations offer & Bishop, 2002).
the ability to view current and hypothetical envi-
ronments from different perspectives (Bishop, Ye, Research on the Influence
& Karadaglis, 2001; Loiterton & Bishop, 2005). of Computer Experience
The possibility of computer animations to be in-
teractive, and their capacity to control all visible In a study on the representational validity of vari-
features precisely, opens this technique up to a wide ous stimuli representing a building, Oh (1994)
field of research applications. Consequently, such found that people with experience in computer
approaches have become more and more important simulation and visual modeling differ in their
in the field of research on public preferences for evaluation from subjects without experience. The
urban and suburban environments (Rohrmann & latter group gave lower confidence ratings to the
Bishop, 2002; Lange, 2001). video textured and digitized photo representations.
Technologies and software developed by the A completely different research field focuses on
computer game and cartoon film industry now the impact of computer games on human behavior.
105
These studies document that experiences with nents of green spaces. Multiple and intense uses
video games have an influence on the respondents characterize many recreational trails, particularly
behavior insofar as violent video games lead to in urban und suburban settings (Arnberger &
aggressive real world behavior (Anderson, 2004; Haider, 2007; Gobster, 1995). In order to avoid
Fischer et al., 2007). The fact that video games can conflicts and improve the recreational quality of
influence reality is of interest for e-Planning. If urban pathways, trail managers and recreation
sensation patterns learned in virtual environments planers need information about users prefer-
have an impact on real-world sensations, it could ences and the influence of use levels in relation
probably be the case for other virtual scenarios. to user conflicts and other the trail environment
One has to ask whether and how experience determining factors.
with video games has an impact on the validity Trail research found that the visitor preferences
of computer graphic based preference research. depend on many social factors such as visitor
3-D visualizations are being increasingly used numbers, visitor activities, visitor behavior, group
for preference research and public participation size and visitor characteristics. In particular, user
processes. The more computer graphic approaches conflicts (Cessford, 2003; Jacob & Schreyer, 1980)
are applied, the more important the critical assess- and crowding (Arnberger & Haider, 2007; Man-
ment of its validity becomes. So far, research on ning, 2007; Needham & Rollins, 2005) received
the validity of computer graphics as surrogates much attention, while little research has so far
for the real world has focused either on the hu- addressed the role of the direction of movement,
man perceptions of virtual environments (Bishop, motion, the relative importance of various social
Ye, & Karadaglis, 2001; Rohrmann & Bishop, trail factors and the interactions between these
2002) or indirectly on the impact of violent me- factors.
dia content on actual human behavior (Fischer While photomontages have been widely used
et al., 2007). Whether the degree of experience in trail preference research (Manning, 2007), few
with computer graphics in computer gaming attempts exist for the urban context and the use of
has an impact on the assessment of semi-virtual 3-D animations. Reichhart, Arnberger and Muhar
recreational environments is to the best of our (2007), for example, compared use displacement
knowledge not sufficiently known, although an intentions from a recreation trail elicited by static
increasing number of people play these games. visualizations with those gathered from animated
This question addresses the validity of animated visualizations. They concluded that animated rep-
3-D-visualizations which can be comparable to resentations make a more accurate assessment of
computer game environments. the influence of trail factors possible than static
images.
The Survey This study investigated whether respondents
who play computer games have different prefer-
This empirical study explored the influence of ences for social trail scenes compared to non-
computer game experience on the assessment gamers, and whether the presentation mode has an
of trail preferences for social conditions in a influence. The research dealt with the following
standardized manner using static and animated questions:
computer visualizations. Investigations on trail
preferences have been a longstanding issue in Are animated trail use scenarios more val-
outdoor recreation research (Manning, 2007). id than static ones?
Trails provide access to, and within, recreational Do computer gamers express different trail
areas and are important infrastructure compo- preferences for social conditions compared
106
to non-gamers because of the similarity of the observer: 25/75%, 50/50% or 75/25%). The
the animated trail visualizations to com- number of trail users was defined as the number
puter game environments? of persons in the observers field of vision. These
Are computer gamers less influenced by factors were chosen because of their strong con-
the presentation mode than non-gamers nection to motion, which was one of our major
because of their familiarity with computer interests.
games? The still renderings and 3-D computer anima-
tions were created in 3-D Studio Max (Figure 1).
Methodology A marginally retouched digital photo of a shared
trail of a larger urban recreation area in Vienna,
This study relies on the human perception-based called the Prater, was used for the background of
approach which is frequently used in environmen- the trail environment. This trail is heavily used and
tal perception research (Daniel & Meitner, 2001). user conflicts frequently occur predominantly
In this study, 149 participants evaluated digitally between walkers and bicyclists.
calibrated still-rendering sets and 3-D animation The pedestrians and cyclists were modeled with
sets of trail scenarios. Each computer-generated 3-D polygon meshes and mapped with textures
image and 3-D animation contained exactly the (faces, clothes). For the dynamic animations, all
same systematic representations of the following the persons were rigged and the character anima-
three attributes, with three attribute levels each: tion was made via footstep animation for walkers
(1) trail users (4, 8, or 16 trail users), (2) user type and via free form animation, hierarchical motion
(shares of bikers to walkers: 25/75%, 50/50% connections, and path follow constrains for the
or 75/25%), (3) and the direction of movement bikers. Avoiding collisions was solved by estab-
(shares of trail users moving towards/away from lishing pre-defined tracks, which the characters
Figure 1. A virtual trail scenario with 3-D wire models
107
followed. For the still renderings, a typical mo- graphics. However, we have not differentiated
ment was extracted from the 20 second animation between different types of computer games. An
strip and saved as a static slide. Each animated additional question asked them about the aver-
filmstrip had 400 frames. In order to ensure that age number of hours they work on the computer.
only the investigated factors changed controlled The respondents feelings about the presentation
from animation to animation all the unchanged methods were evaluated using a Likert-scale
parts where copied from clip to clip. ranging from 1 to 5 for the following ques-
A full factorial design was used to compile tions: How realistic was the presentation of the
the trail scenarios, and 27 still renderings and 27 trail users behavior? How easily could you put
animations were produced. The trail scenarios, yourself into the scene?
and the way the scenarios were combined, were Binary logit regression (Hosmer & Lemeshow,
exactly the same for the animated and the static 2000) was used for the analyses and the factors
sets. All the choice sets where shown in a standard- were indicator coded. The regression produced
ized manner to landscape architecture students of a parameter estimate, standard error and the
the University for Natural Resources and Applied Wald-statistic for each attribute level, and the
Life Sciences, Vienna. Most students were about interactions between all attributes. Two segments
20 years old and mainly in the second semester of respondents with different computer game
of their landscape planning study. About 60% experience were defined and separate analyses of
were female and most of the students have had their preferences were undertaken and tested on
first experience with CAD and GIS which are group differences. A significance level of p < .05
frequently used in landscape planning. was chosen. The identified interactions improved
Each student evaluated eight dynamic 3-D the models compared to the main-effects-only
animation sets and eight still-rendering sets. Each models at least at the p < .01 level using the log
set of the choice model presented two trail use likelihood ratio test (Louviere, Hensher, & Swait,
scenarios. The order of presentation was changed 2000; p. 53). As multiple responses were given by
to avoid any starting point biases. Each pair of trail each respondent, the unobserved error component
scenarios, both static and animated, was shown in the logit model will be correlated across each
for exactly 60 seconds. Therefore, the 20-second respondents observations. Other analysis meth-
animation strips were looped three times. During ods, such as latent class modeling, could account
this period, the students had to choose their most for response heterogeneity.
pleasant trail scenario out of each visualized set.
After the presentations of the trail scenarios, Results
the respondents had to provide the following
information: The respondents feeling about the Respondents Computer Experience
presentation methods, their computer experience
and their socio-demographic background, as well On average, the respondents used the computer 1.6
as the importance of motives for visiting urban hours per week for playing games (Mdn = 0) and
green spaces, using 12 items and the frequency 9.5 hours per week for work (Mdn = 6). Women
of park visits during the last year. spent less time playing computer games (M = 0.8
To establish their degree of computer experi- hrs. per week) than men (M = 3.0 hrs. per week)
ence, the respondents were asked to specify the but no differences were found for the hours spent
average number of hours they play computer working. The hours playing computer games and
games per week. The experience with com- working on the computer were not correlated. No
puter games indicated experience with computer relationships were found between the frequency
108
of park visits and the hours spent working on the Respondents Preferences for Trail Use
computer or playing games.
Two groups of computer experience were The models correctly predicted about 70% of
formed. The respondents were divided into one all cases and explained between 24 and 30% of
group that did not play computer games (n = 99) variance (Table 1). All investigated attributes
and one that played at least one hour per week (n influenced respondents choices. Students dis-
= 41). Nine students who play computer games liked a high number of visitors, a high share of
for less than one hour were dropped from the bicyclists and mainly oncoming other visitors.
analysis. The decision to form these groups was The number of trail users was highly significant in
driven by the wish to contrast groups with either all models, no matter what computer experience
much or no computer game experience as well as the respondents had and which presentation mode
to have a reasonable sample size. was applied, and the most important predictor.
The factorial design allowed for analyzing 2-way
interactions. These indicated that, under specific
Table 1. Regression results for the computer game experience
Factor levels animated static

0 hrs. >=1 hrs. 0 hrs. >=1 hrs.
Number of trail users
4 0 0 0 0
8 ***-1.131 ***-.995 ***-1.213 ***-1.443
16 x
***-1.763 ***-2.070 ***-2.218
x
***-2.239
Direction of movement
25% oncoming/75% going away 0 0 0 0
50% oncoming/50% going away .081 -.307 .281 -.095
75% oncoming/25% going away ***-.685 -.287 **-.425 -.104
Composition of users
25% cycling/75% walking 0 0 0 0
50% cycling/50% walking a, y
***-.818 a
-.209 y
*-.282 -.344
75% cycling/25% walking -.361 **-.686 ***-.749 **-.674
Interactions
(8 trail users) x (50% cycling) ***.959 n.s. n.s. n.s.
(16 trail users) x (75% cycling) ***-1.387 *-.836 n.s. *-1.057
(50% oncoming) x (75% cycling) *-.639 n.s. *-.662 n.s.
(75% oncoming) x (50% cycling) n.s. **-1.393 n.s. n.s.
Intercept ***1.671 ***1.798 ***1.631 ***1.779
n 99 41 99 41
Log Likelihood -1801.41 -737.19 -1851.55 -752.69
Correctly predicted cases 69.7% 70.6% 68.5% 70.7%
Nagelkerkes R-Quadrat .269 .301 .243 .283
a
Significant differences at the p < .05 level between the segments
x
Significant differences at the p < .05 level; y at the p < .01 level between the presentation modes; n.s. = not significant
109
circumstances, cumulative effects, such as the tion, while non-gamers disfavored higher shares of
combination of many bicyclists and many trail oncoming trail users. Both groups disliked higher
users, which increase additionally the negative shares of bicyclists. For the gamers, however,
evaluation of trail scenarios, can exist. On the this dislike increased particularly under crowded
other hand, significant interactions and insignifi- trail conditions. For the non-gamers the interac-
cant main effects indicated that the dislike of one tion between the direction of movement and user
specific social factor was only given if it appeared composition indicated that a mixed movement
in combination with one other social factor. No direction in combination with many bicyclists
significant interactions were found between use scored negatively on their preferences.
levels and direction of movement. The animated approach showed that more in-
teractions played a role for both groups. However,
Differences between the only one interaction was relevant for both. The
Presentation Modes interactions between user numbers and composi-
tion indicate that, under crowded conditions, many
Overall, the results gained by both approaches bicyclists were disfavored. For the non-gamers,
pointed in the same direction and the variance two additional interactions between user composi-
explained was similar, although variance explanation and trail user numbers, as well as direction
tion was higher for the animated approach (Table of movement, contributed to their preferences: A
1). Few differences emerged for the presentation mixed movement direction in combination with
modes regarding the magnitude and significance many bicyclists was disliked, while a mix of trail
of factors and interactions. More significant in- user groups in combination with eight visitors
teractions were observed in the animated mode contributed positively to preferences. A difference
between user composition and use levels, and was found for the main effect describing user
between the direction of movement and use levels composition. Non-gamers scored more negatively
or user composition. For the gamers, no differences on a mix of user groups. For the gamers, the di-
between the presentation modes appeared. For rection of movement was only significant as an
participants without game experience, however, interaction between the approaching direction of
two factor levels were significantly different. Dif- movement and mixed user groups.
ferences appeared for the main effects 16 people
on the trail and the mixed user composition. In Respondents Perception of
the animated approach high numbers of trail us- Digital Visual Stimuli
ers received fewer negative evaluations, while
for the mixed user composition their negative For both approaches, more than half of the students
evaluation increased. could put themselves easily or very easily into
the shown scenarios (Table 2). They stated that
The Influence of Computer this was more the case when the trail scenarios
Game Experience were presented in an animated way (t = -2.345, p
= .020). However, respondents did not perceive
Several differences were found between the trail the image and animation based presentations dif-
preferences for social conditions of gamers and ferently based on their personal computer game
non-gamers (Table 1). The models of gamers experience.
explained more of the variance. The direction of The extent of realism perceived for the ani-
movement played no role for the gamers trail mated approach was additionally asked (Table 2).
preferences, neither as main effect nor as interac- Although the graphic style of the animations was
110
Table 2. Stated degree of realism and being able

modes static and animated and analyzed the
to put oneself into the scenes (N = 149)
influence of computer game experience on the
Answer scale Realism Images Animations perceptions of the visualizations (Table 1). We used
bad 1.4% 2.1% 0.7%
a fairly homogenous group, students in the same
not so good 15.9% 6.9% 5.5%
field of study and mostly in the same semester.
acceptable 15.9% 35.2% 34.5%
The results of the analysis of these images
containing three social variables controlled by an
good 61.4% 49.0% 43.4%
experimental design document that all variables
very good 5.5% 6.9% 15.9%
affected the respondents trail preferences. Con-
Mean 3.54 3.52 3.68
sequently, trail managers should take all these
into consideration for recreational trail planning
and management. Both modes of presentation
somewhat poor, two-thirds of the students evalu-
indicated that respondents preferred lower trail
ated the animations of the trail users as realistic
user numbers and less bicycling use. Specific
or very realistic. Again, we could not find any
trail conditions, such as those with high shares
differences between the segments based on their
of bicyclists in combination with high numbers
computer experience. A positive correlation was
of trail users, are increasingly disfavored. Use
found between the perceived degree of realism and
levels played a much more prominent role for the
the perception of putting oneself into the presented
preferences than user composition and direction of
static scenarios (rp = .301; p = .000) and animated
movement. These results are in line with previous
scenarios (rp = .456; p = .000).
trail use research about user conflicts (Cessford,
2003; Jacob & Schreyer, 1980) and crowding
(Manning, 2007; Needham & Rollins, 2005).
FUTURE RESEARCH DIRECTIONS
The perception of recreational conflict (Jacob &
Schreyer, 1980) is often associated with peoples
This study investigated the influence of computer
safety concerns, particularly on crowded shared
game experience on the assessment of non-inter-
trails with fast moving bicyclists.
active semi-virtual outdoor environments. So far,
Results indicate that the direction of movement
research on the validity of computer graphics as
plays a role for trail preferences. So far, this factor
surrogates for the real world has rather neglected
has not been researched extensively in recreation
the question of whether familiarity with computer
research (Arnberger & Haider, 2007; Fredman
gaming has an impact on the assessment of virtual
& Hrnsten, 2001), and the evaluation of it as a
environments. Because of the increasing use of
function of user composition brought new insights.
computer visualizations in research and planning
The finding that trail users are preferred walking
(Daniel & Meitner, 2001; Rohrmann & Bishop,
away from the observer than oncoming can be
2002) and, as a result of the increasing familiarity
interpreted as a coping strategy avoiding higher
with computer graphics in Western societies, this
levels of social stimulation. Arnberger and Haider
question has gained in importance.
(2007) assumed that respondents seem to dislike
Therefore, we analyzed whether computer
to be confronted with many fleeting social con-
game experience can have an influence on prefer-
tacts, and prefer to walk behind others. Arnberger
ences for computer visualized trail use scenarios
and Haider (2007) also found in their study an
in a standardized manner using digitally calibrated
interaction between direction of movement and
films and still renderings. We investigated whether
use levels. In this study an interaction was given
this influence differs between the presentation
between user composition in form of bicyclist-
111
rich trail situations and direction of movement, tions. One study assumption was that gamers
particularly in the animated approach. In this may be less influenced than non-gamers by the
presentation mode, the direction of movement animation because of their familiarity with such
became relevant for gamers only in combination visualizations. Oh (1994) found that people with
with the mixed user composition. experience in computer simulation and visual
The presentation mode of the visual stimuli, modeling gave higher confidence ratings to the
static versus animated, delivered different prefer- video textured and digitized photo representations
ence results. The inclusion of motion in the design of a building. In this study gamers evaluations
resulted not only in better regression models, but were more stable across both approaches, while
also in more interactions, predominantly between animations had more influence on non-gamers
user composition and other factors (Table 1). The trail use preferences. This may indicate that the
animation seems to increase the capability of representation mode can have an influence on trail
spondents to evaluate more precisely the influence preferences depending on the familiarity with
of different user groups on trail preferences and computer visualizations.
the presence of interactions allowed investigating Another assumption was that, because of the
public preferences for shared trail environments similarity of the animated trail visualizations to
in greater detail. 3-D computer game environments, computer
Most of the students found both modes of gamers may express different trail preferences
presentation easy to understand and evaluate. compared to non-gamers. While game research
Over 98% of all choice possibilities were an- is concerned with the influence of video games
swered validly, and most respondents expressed on real world behavior and cognitions (Fischer
that the computer visualized scenarios could be et al., 2007), this study indicates that there are
seen as surrogates for the real world (Table 2). relationships between the frequency of gaming
This evaluation was not influenced by computer and trail preferences. Our findings indicated that
game experience. In addition, main study results gamers focused on bicyclists and user numbers
are in line with findings from previous studies and specifically disliked a crowded bicyclist-rich
using static images. Furthermore, the existence situation, while they were hardly affected by
of significant interactions reflects the high qual- the direction of movement. This result could be
ity of the responses to these digitally calibrated interpreted as a specific dislike of user conflicts.
visual stimuli. These findings may support the More factors and factor levels influenced the
assumption made by several authors (Daniel & trail preferences of non-gamers. They disliked
Meitner, 2001; Reichhart, Arnberger, & Muhar, higher shares of oncoming trail users, a mix in the
2007; Rohrmann & Bishop, 2002) that results user composition and mixed movement directions
received from computer visualization approaches in combination with many bicyclists. The disfavor
are usable for the estimation of real world be- of mixes in social situations and the direction of
havior and animated approaches are more valid movement by non-gamers could be interpreted as
in presenting dynamic environments than static a dislike of crowded and heterogeneous situations.
ones, particularly when presenting shared trail This dislike was more relevant in the animated
environments. approach. On the other hand, a mix of trail user
Study findings indicate that computer game groups in combination with eight visitors contrib-
experience has an influence on stated trail prefer- uted positively to preferences.
ences (Table 1). Differences were not only found The question of why these different prefer-
in the relative importance of factor levels, but ence patterns emerged arises, although there were
also in the existence of various factor interac- no differences in the perception of both visual
112
stimuli between gamers and non-gamers (Table should be improved. In the real world, people also
2). Research on video games has found that there experience other sensations such as smell, taste and
are interconnections between real and virtual noise (Newman et al., 2006; Manning & Freimund,
environments (Fischer et al., 2007). A hypothesis 2004). Only three social factors were included in
could be that respondents who play computer this explorative study investigating the relative
games might have equated the presented trail importance of these on social trail preferences.
scenes with computer game scenes (Groegger However, animated choice experiments could
& Zentner, 2008); our 3-D visualizations were include many more social, as well as physical,
possibly similar to photographically highly re- attributes to investigate trail preferences in general
alistic game environments. This could mean that (Arnberger & Haider, 2007) and the influence of
computer gamers did not transform the scenarios computer game experience in particular. Future
into real recreational scenarios, and their prefer- studies may add factors describing vegetation, trail
ences could not be seen as absolutely valid. One characteristics, and larger variations in use levels
can also speculate that non-gamers may have paid and user composition. Animating environmental
more attention to the trail scenarios because of the factors and how the respondent would really
higher number of significant factors and interac- move through a virtual scenario (Bishop, Ye, &
tions. What these data definitely demonstrate is Karadaglis, 2001) are future aspects to analyze
that there are differences in trail preferences for whether this type of interactive behavior depends
social conditions depending on computer game on computer game experience. One specific issue
experience. Further research, therefore, should using 3D-animations for future shared trail re-
investigate whether computer gamers evaluate search is the exploration of speed. Different users,
virtual scenarios similar to real word scenarios, such as bicyclists and walkers, move at different
and whether people who like complex scenarios speed levels, which may result in user conflicts.
are more likely to take up computer games. The In order to avoid user conflicts, trail managers
fact that most computer game players were males need information about the influence of speed in
also has to be taken into account (Groegger & relation to the other trail environment determin-
Zentner, 2008). For example, Tlauka, Brolese, ing factors and how they can reduce the impact
Pomeroy, and Hobbs (2005) found significant of speed without excluding some user groups.
differences in the sexes preference for virtual
shopping centers.
The presented results provide only a lim- CONCLUSION
ited insight into the topic because of the small
sample size. On the other hand, the homogenous This explorative study found that the degree of
structure of the sample reduced the influence of computer game experience, as well as the presenta-
other individual factors such as age and allowed tion mode, resulted in different preferences for trail
studying differences more precisely. We collected scenarios. This research suggests that researchers
computer game experience data using only one and planners in the field of e-Planning have to be
variable and addressed only one specific segment aware of the potential influence of computer game
of the population. Further research might specify experience and presentation mode. Although the
experience with computer game graphics and found differences do not substantially impact the
include other population groups. overall results, data on computer game experience
There is also room for improvement in the should be regularly collected in trail preference
graphic quality of the presented virtual scenarios. surveys to identify its potential influence, particu-
The somewhat robotic motion of the trail users larly because of the increasing proportion of the
113
population who plays computer games (Groegger Aoki, Y. (1983). An empirical study on the ap-
& Zentner, 2008). praisals of landscape types by residential groups
Visualization technologies support the sustain- Tsukuba Science City. Landscape Planning, 10,
able and cost-efficient planning and design of 109130. doi:10.1016/0304-3924(83)90055-2
urban environments and are already widely used
Aoki,Y. (1999). Trends in the study of the psycholog-
in planning processes. Additionally, researchers
ical evaluation of landscape. Landscape Research,
and planners gain greater understanding of human
24(1), 8594. doi:10.1080/01426399908706552
perception and behavior in the urban environment
(Loiterton & Bishop, 2005). New planning and Arnberger, A., Eder, R., Brandenburg, C., & Reich-
research tools which rely on 3D-visualisation hart, T. (2007). Assessing landscape preferences
are becoming more and more available and the of urban population for terraced areas. In Faculty
application of animated and interactive visual- of Forestry (Ed.), Landscape Assessment - From
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development of visualization technologies, such Design (pp. 111-119). Beograd, Srbija: Planeta
as real-time render- and sound engines, and the Print.
trend towards photo-realism of computer graphics,
Arnberger, A., & Haider, W. (2007). Would you
preference research in complete virtual realities
displace? It depends! A multivariate visual ap-
will soon be a standard approach. 3D-visualiza-
proach to intended displacement from an urban
tions in combination with stated choice surveys
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345365.
range of urban planning related issues. Web 2.0
applications integrating such approaches could Bishop, I. D., Ye, W., & Kardaglis, C. (2001).
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be aware that the medium is not the message but
Cessford, G. R. (2003). Perception and reality
the contents which are conveyed by applying
of conflict: Walkers and mountain bikes on the
visualizations (Lange, 2005). Further research is
Queen Charlotte Track in New Zealand. Jour-
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nal for Nature Conservation, 11(4), 310316.
the interactions between human beings and the
doi:10.1078/1617-1381-00062
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(2002). Community exploration of changing land-
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118
Semi-Virtual Environments: These environ- Social Trail Preference: Preference of respon-

ments combine computer-generated elements, for dents for trail conditions which are characterized
example 3D animated trail users, with a photo of by social stimuli such as trail user numbers, user
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used by several user groups such as pedestrians a specific combination of three social attributes.
and bicyclists for recreational purposes.
119
120
Chapter 7
Communicating Geoinformation
Effectively With Virtual
3D City Models
Markus Jobst
Hasso-Plattner-Institute at University of Potsdam, Germany
Jrgen Dllner
Hasso-Plattner-Institute at University of Potsdam, Germany
Olaf Lubanski
Jobstmedia Prsentation Verlag, Austria
ABSTRACT
Planning situations are commonly managed by intensive discussions between all stakeholders. Virtual
3D city models enhance these communication procedures with additional visualization possibilities
(in opposite to physical models), which support spatial knowledge structuring and human learning
mechanisms. This chapter discusses key aspects of virtual 3D city creation, main components of virtual
environments and the framework for an efficient communication. It also explores future research for the
creation of virtual 3D environments.
INTRODUCTION instance, Gaerling and Golledge (1993), Keller

(1993) or Robinson (1976) see map-reading as
Virtual 3D city models include important tools subject to education processes: the reconstruction
for urban planning and management. Their power of coded information must be learned for specific
to support nave geography is used by the public cases of application (e.g., politics, topography,
and results in easy understandable geospatial pre- among other cases).
sentations. In contrast to traditional 2D maps with The effective use of virtual 3D city models as
highly abstract contents, elements in 3D maps fol- public communication tools requires the correct
low some natural and naive coding that can easily handling of the media, which means that the content
be accessed even by layman in map-reading. For on specific media must be unmistakably perceivable.
This handling of transmitting media will have to
bear in mind resolution, extension and interaction
DOI: 10.4018/978-1-61520-929-3.ch007
Communicating Geoinformation Effectively With Virtual 3D City Models
issues. In most cases transmitting media will be BACKGROUND

in form of computer displays, touchable points
of interest (touch-screens) or even multi-touch State-of-the-Art Virtual
large displays. Resolution issues mainly follow 3D City Modelling
rules of expressiveness, where the content has to
be adapted to the transmitting characteristics of Planning procedures make use of models that show
the media. Issues of transmitting media extension historic and present situations and communicate
underlie expressiveness as well as effectiveness planned situations (Marcinkowski, 2007). Up to
(Mackinlay 1986), especially when a large display now, maps and physical 3D models delivered
also enhances resolution and thus supports deeper graphics for this geospatial communication.
information contents. This aspect expands field Nowadays, digital 3D presentations provide a
of vision as important depth cue parameter at the more immersive interaction that may support un-
same time. Interaction issues are mainly subject derstanding, cognitive processing and expanding
to effectiveness, when the impact of contents can of individual spatial knowledge bases. This main
be enhanced via multiple coding and mouse over characteristic of 3D delivers important potential
events. All cases are focusing at appropriate use for an innovative geospatial communication in
of transmitting values. Picture elements are gen- terms of linguistics, nave geography, learning as
erally restricted and thus have to be specifically well as cognitive, affective and conative commu-
used. Each interface-pixel is able to transport nication aspects. The variations within virtual 3D
one information value. Therefore, the concentra- city models can support this spatial communica-
tion of several information values to one single tion more effectively in comparison to physical
pixel leads to perceptive problems that will cause models. This situation leads to considerations of
undifferentiated pixel areas. These areas can be state-of-the art virtual 3D city creation, commu-
called dead values of the presentation interface. nication frameworks and actual user interfaces
Especially, virtual 3D city models easily contain for virtual 3D city models.
dead value areas due to lacking generalization
algorithms for 3D building aggregation, simpli- Actual Aspects of Virtual 3D City
fication or appropriate highlighting. At least the Model Creation and Visualization
aim is to reduce dead value areas in virtual 3D
city models by view port variations and simple Nowadays easiness for the creation of virtual 3D city
cartography-oriented design. Furthermore, these models and its visualization makes this technique
specific preparations lead to a manipulation of more common. The following points will give an
mental images. overview of the state-of-the-art model creation
This chapter presents state-of-the-art virtual 3D and visualization. Techniques for surface model
city modelling, which considers actual creation creation, the control of light and aspects of vegeta-
processes of virtual 3D city models, geomedia tion in virtual city environments will be examined.
techniques as framework for efficient commu-
nication as well as the 3D user interface. Future Surface Models and Virtual 3D Cities
research directions for the work with virtual 3D
environments discuss smart approaches, explain The procedures to create virtual 3D cities vary
the enhancing of geospatial communication in from precise photogrammetry to block model
terms of expressiveness and effectiveness and extrusion and smart city algorithms. Each proce-
give a short insight into studies on the usage of dure results in a specific data model that allows
virtual 3D city models. for cartographic information preparation.
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Main production processes for virtual 3D city extrusion of its outline. This procedure cannot
models span various methods of airborne survey- reconstruct the roofs. Therefore the virtual 3D
ing and photogrammetry, terrestrial surveying with city model resulting from this technique is a
ground plan extrusion or smart city algorithms. simple block model, which may be sufficient for
Airborne surveying and photogrammetry make use many applications and analysis of districts at a
of high detailed remote sensing, aerial photographs medium scale level. Depending on the outline
and laser scanning (LIDAR). Detailed remote detail of buildings, simplifications have to be
sensing, if the resolution of satellite pictures is done to remove imperceptible details (Kada 2005).
high enough, and aerial photography produce The extrusion process is done automatically by
top view pictures that form a starting material delivered data (outline, height). Additionally,
for the analysis of ground plan. In addition ste- for reason of aesthetics synthetic roofs can be
reoscopic methods allow extracting heights and added by algorithms. These synthetic roofs will
therefore detailed structures of building roofs visualize main characteristics but not represent a
(Kraus 2007). Because a manual evaluation with reconstruction of real world objects.
its point wise recording is highly time consuming, Besides building reconstruction at various
semi-automated procedures were developed and scale levels, the modelling of terrain is another
can support the modelling of buildings and roofs part in topographic reconstruction that has to be
(Kraus 2007). As a result, a detailed and precise considered. Data structures for terrain models
structure of buildings including roofs is offered, span from regular grids to triangulated irregular
which is sufficient for fly troughs in very large networks (TIN) and regular grid with break lines
scales. For its cartographic usage these data mostly (Pfeifer 2002). The modelling of terrain is lead by
have to be simplified, aggregated and their most reduction of data size and modelling precision.
important characteristics highlighted for the bigger In terms of visualization it is important that the
part of transmitting media. This has to be done virtual 3D city model and the virtual terrain model
because this high detailed information cannot do not perceptibly diverge.
be successfully transmitted in most of the used In addition to geodetic recording methods and
scales in combination with low media resolution their precise results, further automatic approaches
(displays). Airborne laser scanning delivers data lead to useful results. The aim to adapt information
with similar precision. But the general result, contents to transmission media leads to automated
without any post-processing, is a point cloud building construction and generalized city models.
of single measurements in form of the regular Smart X approaches are able to satisfy these needs
raster of the laser scanner (Kraus 2007). A first and offer new possibilities in managing complex
post-processing leads to a covering hull of the virtual 3D city scenes.
recorded surface that does not include any object Following the model creation, the control
wise information than the height. At least filtering and modelling of light is a further step to make
and further post-processing lead to a covering virtual environments more attractive. Especially
hull of single buildings that can be enhanced with lighting has enormous impact on perception of
further (meta) information. Similar to the results the environment and its impact.
of aerial photogrammetry, laser scanning also
requires generalization for most of transmitting The Control of Light
media because of its detail richness.
Terrestrial surveying with ground plan extru- Lighting and its consequence within the environ-
sion uses building plots and the average height ment is a central factor for the understanding of
of buildings to reconstruct a building block by spatial representation. Shadowing is a key for
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Figure 1. An urban 3D model with a lightmap as texture. This situation emulates physical model char-
acteristics
referencing objects relatively to a ground plane environment and in this way incorporate complex
and to other objects. But if the graphical impact light situations in virtual real-time environments.
of shadowing mechanisms is too strong, a percep- One disadvantage is the static characteristic of bak-
tion of object silhouettes may be disturbed. For ing: a baked texture presents one specific moment
this reason more smooth solutions, like ambient of lighting situation and does not dynamically adapt.
occlusion, offer more natural lighting situations So this method cannot be used for moving light
that imitate a natural behaviour of smooth light sources. Instead, this method has to be combined
(light as it occurs with a cloudy sky). The prob- with dynamic shadowing methods.
lem for computer graphics arises with the need The techniques of multitexturing and light-
of dynamic applications. Lighting situations are mapping allow for simultaneous usage of several
for the most cases too complex to be rendered in textures, whereas each texture becomes mapped
real-time. Therefore various basic mechanisms, with the help of its UV coordinate set. Whereas
like texture baking and multitexturing, have to be previous GPUs needed two rendering passes,
used to improve dynamic lighting. several textures can be rendered in one single
The procedure of texture baking (unwrapping) pass nowadays. The combination of textures
describes a technique that allows for projecting uses various methods of calculation, which span
planes of a 3D object to a 2D plane. It is used from adding to multiplication. One of the most
to map texture coordinates of whole objects to a prominent examples of multitexturing is light-
single texture area/file. This is helpful for an easier mapping, which combines an object texture with
texturing and modification of these textures in an the lightmap of that object. The advantage of this
image. On the other hand this method is used to technique is its combination of multiresolution
render all the material characteristics of an object in textures: the resolution of the lightmap can be
a single file. These characteristics span from diffuse very low, because the depiction of light does not
behaviour, transparency to light and shadow. Thus need higher qualities. Due to the usage of UV
the complete light situation can be pre-rendered and coordinates the textures of various resolutions
stored as texture for all the objects in a scene. The can be combined.
advantage of texture baking lies in the possibility to An embedding of global illumination effects
render a light situation before a dynamic use of the dark model areas by brightening these areas
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Figure 2. Example for a hybrid tree model, where billboards are used for branches and leaves
up with light diffusion, which leads to lighting A L-grammar describes how and when parts of
that reminds of physical model characteristics. the existing model should be replaced. With this
This kind of lighting is very neutral, because technique high detailed trees and plants can be
the light sources are placed in any direction. created. Their detail, with hundred-thousands of
There is no dominant lighting direction, which polygons, blasts a useful level (in terms of real-time
makes it easier to copy instances of objects and applications) of complexity. Therefore, alternative
their baked lightmaps, like it is done with trees ways for vegetation models, like billboard-based
or street lights. models, simple geometries or hybrid tree models
City furnishing, especially vegetation, forms (billboards and simple geometries) were devel-
another challenge for virtual 3D city environ- oped (Colditz et. al. 2005, S97ff).
ments. In that process, resources are confronted Billboards are a very popular method for
with visualization details. The following section vegetation depiction, but it is not convincing.
presents some advanced techniques for the visu- Flat vertical polygons become textured with im-
alization of city furnishing. ages. The front side of the texture orients to the
camera, so that the whole texture is visible all the
A Glance on City Furnishing time. The main advantage is its resource-saving
Vegetation mechanism: only one or two polygons are needed
for texturing. A further step of development is the
The furnishing of a virtual city is a further aspect hybrid tree model. This uses simple structures
that calls for attention, especially those parts that of a L-system (small number of polygons) and
use a huge amount of processing resources. In combines this 3D model with billboards for the
particular virtual models of vegetation request leaves or even branches.
smart ideas of modelling. From a mathemati- The question arises if symbols for trees should
cal point of view the creation of a plant follows be introduced for smaller scales (e.g. a scale of
some basic principles and recurring patterns. 1:500 to 1:2000 in the physical model). This higher
Additionally further parameters like feasibility abstraction then simulates classical (physical)
or randomization have to be considered. Then, model-building, while small spheres and specific
all these parameters can be used in a description distortions of these spheres represent broad-leafed
model to automatically create specific virtual 3D trees. Further abstractions seem to be essential with
plants (specific kind of trees, etc.) (Paar 2005). decreasing scales, like 1:5000 and downwards.
One of the most important description models In these cases, physical models use areas of dash
is called L-system: originally this model was used to mark vegetation. In virtual 3D environments
for the development of multi-cellular organisms by the depiction of single trees is not useful either.
Aristid Lindenmayer (Prusinkiewicz et. al. 1990). Instead, vegetation areas can be extruded by their
L-systems recursively replace an initial structure polygons and simulate wooden areas. In this case
with a generation law similar to fractal models. straight edges should be avoided.
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As a matter of fact an abstraction of plants and many others in the field of learning theories are
vegetation areas follows the idea of cartography- convinced that individual knowledge structures
oriented design. Depending on the scale and the become more efficient when cognitive processed
transmission media used, the presentation form information follows spatial structures. In general,
has to be changed. Therefore, the transition of an these structures use similarities, sizes, appearance
objects representation, from one scale to another, and temporal behaviour. All of these characteris-
gains importance, especially because virtual 3D tics are accordingly incorporated in cartographic
environments are generally characterized by a coding, where geometric, semantic and temporal
combination of an infinite number of scales in classes as well as spatial hierarchies will be used
one central perspective view. (Buziek 2001). In this connection virtual 3D en-
Particularly lighting and vegetation can have vironments deliver further dimensions to establish
enormous impact on the understanding of virtual similarities, sizes, appearance, etc. especially by
space. These are the key factors for a compre- their natural combination of footprints and upright
hensive spatial transmission. Due to the fact that projections. As long as the transmitting media
physical models are still widely used, the actual (visual user interface) provides enough resolution
impact of virtual 3D models in planning situations for a visual differentiation of spatial information
is still limited. contents, these parts can be incorporated into a
The following section focuses on the mod- new knowledge structure. In doing so, an existing
ern framework for spatial communication (e.g., knowledge structure works as a filter for the new
geomedia techniques), which enhances nave knowledge acquisition (Neisser 1996). In the case
understanding and knowledge acquisition. of geospatial contents, knowledge creation refers
back to the psychological development of dealing
Geomedia Techniques as with space. The spatial environment forms the
Framework for Communication main fundament for any spatial reference of the
human individual. According to Piagets theory
Virtual 3D environments offer new potential for of mental development, where he identifies three
an innovative communication by combining im- main stages of psychological development in
mersive and interactive geospatial transmissions. space, a fully developed psychology is needed to
On one hand this potential is based on the nave respond to any received spatial stimulus (Piaget
understanding of space. On the other hand human 2003, S. 53 ff). This means that the usage of vir-
learn types and geospatial knowledge structuring tual 3D environments assumes the existence of
provoke affective and conative aspects of com- a completed development of spatial psychology.
munication. Otherwise the recipient will not be able to under-
stand the content, deal with occlusion, suggest
Nave Understanding spatial relations or come to a logical conclusion,
neither in real world nor in a virtual one. At least
The nave understanding of space is based on the success of this nave geospatial communication
human sensual modes and their processing of with virtual 3D environments can be measured
stimuli, which originate from space, spatial by cognitive maps. Cognitive mapping describes
related objects and their representation. The the conscious and motivated coding/drawing of
results of this treatment are organisational and spatial knowledge in a way that it can be used for
system-oriented structures (whereas the system solving questions like Where am I?, Where
describes the individual). Zimbardo (1997) and are special coded objects in space? or How
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do I reach place A?. Cognitive mapping forms observable. But a spatial application with the
an initial point for individual spatial planning demand to efficiently support exploration will
and communicating space to others (Golledge have to consider existing learning types. This
1999). We can conclude that virtual 3D environ- circumstance exceeds previous description of
ments offer an efficient geospatial presentation nave virtual environments and calls for highly
technique due to its congruence with real world interactive virtual 3D environments, which means
characteristics. The expansion of spatial knowl- that photo-realistic rendering and camera motion
edge by virtual space will be done similar to the is not enough to support all learn types. On the
nave exploration most recipients/users are used to contrary, non-photorealistic rendering, interactive
do in their daily life. But this task of exploration objects and the option for predefined fly-through
underlies some characteristics of learn-types. Not within the 3D environment should expand a use-
all users are confident with a holistic and active ful exploration application. These factors easily
exploration environment, which most of virtual provoke the affective and conative aspect of spatial
3D environments represent. communication. The affective aspect refers to the
experience of feeling or emotion at the recipient
Learning Issues in Space side, which is an emotional starting point for an
interaction with stimuli. As soon as virtual objects
Generally, learning processes for the creation of affect a recipient, a reaction can be expected.
mental representations of spatial information occur The conative aspect of communication covers
in two steps: in a first step new information be- the motivation for reaction. This component is
comes absorbed (Jonassen et al 1993); the second responsible for the reaction after a stimulus.
step covers information processing (Mayer 2000).
Learning applications have to consider both steps Knowledge Structuring
(Brunner-Friedrich 2004), which have their impact
on the classification of recipients. The step of The main potential for spatial communication
information absorption mainly divides recipients lies in the consideration of knowledge structuring
in active and passive (Mayer 2000) as well as in and human learning types. Therefore, innovative
holistic and serial (Jonassen et al 1993). An active approaches focus on non-photorealistic rendering,
user independently looks for specific information highly interactive contents and nave user inter-
in order to solve a problem, like I am looking for action for virtual 3D environments. In the case
a specific shop!. The passive user requests all the of geospatial information transmission, learning
relevant information. Additionally to these classes theories and aspects of human psychology illus-
of activity, a variation of information detail will trate the support of virtual 3D environments for
support the holistic or serial type. The holistic the transmission process (Edwardes, 2007). In fact,
type requires an overview before detailed informa- virtual 3D environments show new aspects in the
tion can be absorbed. The serial type starts with context of learning: virtual 3D environments allow
detailed information and successively completes for imitation and evaluation of learned knowledge
an overall view. The second step of information sequences directly inside the virtual environment.
processing classifies recipients by sensual modes In the end, all aspects of innovative approaches
(Blumenstengel 1998), like acoustic or visual, and highly depend on user interface characteristics and
by an abstract- / graphical-oriented user group their resolution. Thus, the role of user interfaces
(Paivio 1978). Of course, these learning types for a visual information transmission is the focus
are extreme cases and will not be distinctively of the next section.
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The 3D User Interface not go below the limit (the aligning power of the
eye). This circumstance of perceptive barrier and
User interfaces are the most important part within its critical values lead to a cartographic dilemma
the human computer interaction. These input- and (where the cartography-based aspect describes the
output-interfaces enable virtual real-world unmistakable transmission of geospatial informa-
movements in terms of psychological perception tion): on one hand the resolution of transmission
and form the technical fundament for information media has to be lower than the aligning power of
transmission. Besides specific interfaces that the eye in order to enable homogeneous areas. On
support nave input and movement, the visual the other hand graphical information must not go
transmission of information is a key factor for below the critical value. These facts are not the
cartography-based 3D environments. In this sec- dilemma itself. The dilemma starts with the fact
tion the focus of user interfaces simply lies on that the resolution of actual display technologies
visual information transmission. lie within the aligning power of the eye (of course
The visualization of virtual 3D environments depending from the viewing distance) (Ibrahim
becomes most effective on digital transmission 2007). Actual displays use a pitch of 0,19mm to
media, like displays or projectors. Although the 0,24mm within their picture mask. The aligning
rendering of a 3D scene on an analogue media power of the eye lies around 0,2mm in a viewing
(paper) may offer new possibilities for planning distance of about 30cm (Spiess et al 2002). This
situations, especially when planned situations can fact leads to the dilemma that there is few poten-
be shown in photo-realistic expression, an inter- tial left to build up clear perceivable signs. For
active virtual 3D environment can deliver much example, 10 pixels are needed to draw a homoge-
more impact in terms of knowledge acquisition, as neous circle in a contrast picture (Neudeck 2001).
it was discussed in the previous section. Whereas Geospatial information within virtual environ-
the dynamic and interactive visualization forms the ments mostly results in graphics on digital dis-
main advantage of digital transmission media, its plays, which leads to the need of high resolution.
relatively low resolution is a main disadvantage For digital reproduction an amount of 1200dpi is
compared to paper. Analogue media and their requested for high quality results. In some cases
reproduction techniques offer a resolution (e.g. 300dpi are sufficient (depending on the crispi-
printing granularity) that is much higher than the ness and contrast of graphics). In opposite to this
human eye can dissolve. Therefore information demand, a display delivers about 96dpi, depend-
that should be unmistakably transmitted has to ing from its pitch, size of the screen and overall
follow minimum values for perception. The mini- screen resolution. Due to the contrast graphic of
mum value describes a critical size of graphical geospatial contents, anti-aliasing and soft-focus
signs, which barely allows for differentiation of effects, as these are used in photographic depic-
form and dimension (Malic 1998). According to tions, can hardly be adapted. From this point of
theoretic considerations these critical values cor- view information depth, which is the amount of
respond to the aligning power of the eye. Hence differentiable elements, has to be adapted to the
the technical limitations of transmission media display resolution. This circumstance and the
and physiological limitations of the eye create a request for expressive and effective geospatial
perceptive barrier (Neudeck 2001). The perceptive information transmission lead to modern ways
barrier is a value in which graphics can just be to support cartographic communication concepts
perceived and interpreted. This barrier becomes in 3D.
maintained if critical values of cartographic ele- This section described actual aspects of virtual
ments and minimal distances between elements do 3D city creation, shortly focused on the framework
127
for spatial communication and the importance of Smart building approaches provide a concept
user interfaces for virtual 3D environments. The for continuous level-of-detail modelling of build-
next section expands these reflections to topics ing models and target at their incremental develop-
of actual research and future research directions ment. Due to their per-floor concept, they can be
in virtual 3D city creation and enhancement of perfectly used by direct-manipulation interfaces,
spatial communication. providing an intuitive tool for building refinement.
The main use case of project-driven and event-
driven customization and re-engineering of city
FUTURE RESEARCH DIRECTIONS model components drives this approach. It can be
observed that approximation of complex building
Virtual 3D City Models models in a timely efficient way can be done with
smart buildings in a variety of use cases. Smart
Future trends in virtual 3D city models cover buildings do not intend to substitute CAD models.
advanced creation methods, enhancements for But this approach provides a graphics-centred,
effective and expressive communication and application-centred modelling scheme. It is also
empirical studies on the usage of virtual 3D city suited for large-scale 3D city models that can be
models. Advanced creation methods describe easily mapped to an internal graphics representa-
automated procedures for virtual 3D city creation tion that allows for real-time photorealistic and
and their graphical abstraction techniques (Jiang non-photorealistic rendering (Dllner et al 2005).
2005). Enhancements for effective and expressive One possible application that would benefit of
communication evolve new approaches for the these approaches is a decision-support system
usage of user interfaces (more focused: geomedia in urban planning. A usage of smart buildings
techniques). Empirical studies on the usage of or smart cities enables interactively performed
virtual 3D city models focus on the acceptance of changes within the geovirtual 3D environment
virtual 3D environments, in opposition to physi- in a way that the effect of the modification can
cal 3D models. be evaluated and discussed immediately. Another
application is concerned with managing interactive
Smart Approaches Advanced 3D location maps. A smart-building editor may
Virtual 3D City Creation then create and maintain building models, which
exhibit characteristic exterior and interior features.
Smart approaches describe various kinds of con- Smart city algorithms use cell-based cluster-
cepts that focus on an incremental development ing to generate generalized 3D city models. The
of virtual 3D city objects, like buildings, vegeta- clustering bases on the infrastructure network and
tion or furniture. The main question arises how decomposes city areas into clusters. Therefore, the
virtual 3D city models can be maintained and infrastructure network uses an implicit hierarchy of
how the process of authoring and customization network elements that is used to create generaliza-
can be defined. For example urban planners want tions at various scales (Glander and Dllner 2007).
to incorporate a new planning situation for the As input data, the infrastructure network (street
development of a district into an existing virtual hierarchy, areas, etc.) is used for the clustering
3D city model. Therefore they have to remodel, process. The height of clusters is then calculated
rebuild and refine parts of the model. The most by the heights of a 3D city model, which may be
efficient way to do so would be an incremental the result of laser scanning, aerial photography or
and automated development of all estimable similar. The infrastructure network uses weighting
components. of its vectors to build up categories and thus follow
128
Figure 3. An example for a generalized virtual 3D city, which was generated by smart city algorithms
a desired degree of generalization. According to important classes, like Ground Area, Water Area,
a chosen weight and its selected polylines a cell Stair, Wall, Kerb and Barrier. Most terrain elements
structure can be computed (Glander and Dllner correspond to exactly one base vector-object. The
2007). By cartographic means this resulting cell attributes of a base vector-object determine the
structure of a virtual city is applicable for small specific class of a corresponding terrain element.
scale applications. On account of the underlying Depending on the respective class, the required
3D city model, which is used for the heights of attributes for 3D shape and appearance of a ter-
clusters, and the hierarchical structure of infra- rain element are also extracted out of the attribute
structure network various levels of generalization table of the base vector-object. The primary de-
can be visualized. This characteristic of the smart sign goal was to simplify the refinement of pure
city method seems to be most promising for car- 2D base vector-data to full smart surface-model
tographic applications that call for transmitting specification for typical cases. These cases can
media adapted scales. be intuitively described via 2D polygons or
A smart terrain model uses base vectors to polylines, which support optional refinement of
generate virtual 3D objects. It is organized in individual objects by external 3D tools. For this
Figure 4. Snapshot of the automatically created urban terrain model as redevelopment of a downtown
area in Potsdam
129
reason terrain elements and their automatically approaches for spatial communication have to
generated 3D models can be exported, externally focus on the enhancement of expressiveness and
refined and finally referenced by the terrain ele- effectiveness within geospatial communication.
ment again. This procedure helps to keep the 3D
models relation to the underlying base data and Enhancing Expressive And
avoids the need for fitting an externally created Effective Communication
3D model in the scenery again.
The presented smart approaches simplify and Since cartography was involved in spatial infor-
enhance the construction, manipulation and us- mation transmission, usable graphical variables
age of complex urban terrain models. Its major were a key factor for the graphical coding of
advantages include the rule-based and heuristic- information. By traditional means eight core
based automated model generation, the inherent variables can be identified. These are color, size,
functionality and smartness of virtual 3D city- brightness, form, pattern, orientation and position
and terrain objects. The procedures seamlessly (x, y) of the element (Bertin 1982). Bertin splitted
integrate basic 2D geodata from a GIS into the for x and y the variable of position in two parts.
3D modelling process. The ability of smart X In combination with the graphical elements point,
models to maintain semantic and thematic infor- line, area, diagram and font, all imaginable coding
mation provides a technical basis for smart 3D can be realized. The extension of this traditional
geovisualization tools. 2D semiotic structure with design mechanisms of
Smart approaches enable new and more effi- 3D does not only lead to an extension, but to an
cient procedures for the creation of virtual 3D city extended semiotic structure for 3D (see Figure 1).
models. On one hand, modern structures of geoba- An extension of Bertins list, like the one done by
sis data form the basement for smart approaches. MacEachren (1995) with the variables crispiness,
On the other hand, the question for the main usage resolution and transparency, is not sufficient for the
of these virtual city models arises. Therefore new field of 3D cartography and virtual 3D environ-
Figure 5. Extended semiotic structure for designing virtual 3D environments. The mutual impact of identi-
fied classes leads to unclear geospatial information transmission that has to be avoided in cartography-
based design. Therefore this structure has to be considered in design processes of virtual 3D applications
130
ments. An extension for 3D cartography means The critical interplay of graphical variables
that all added design mechanisms of 3D massively and design mechanisms show that composition
influence the coding with graphical variables and variables have to be precisely considered for
elements. Therefore a semiotic structure for 3D cartographic 3D applications. Then it becomes
includes variables of vision, composition and the possible to find an appropriate graphical expres-
psychological influences. Composition variables sion and an optimal information transmission.
consist of global and element-wise 3D design However, composition variables in 3D offer
mechanisms, graphical variables and graphical additional design mechanisms. The rendering
elements. These components will have mutual of the virtual 3D environment provides relevant
impact on each other. tools to incorporate and manipulate most graphi-
The following aspects discuss new semiotic cal variables and design mechanisms. The most
considerations, non-photorealistic rendering and important rendering techniques for enhancing
exemplary describe semiotic enhancements, which expressiveness in virtual 3D worlds are called
include viewport variations with the aim to reduce non-photorealistic rendering (NPR), which reach
dead pixel zones. beyond the establishment of virtual reality (VR).
New Semiotic Considerations Reaching Beyond VR
The semiotic structure for 3D results in a confronta- The field of non-photorealistic rendering within
tion of graphical variables and design mechanisms. computer graphics deals with abstraction and
As the core elements of graphical composition in stylization of virtual 3D elements. In opposite
2D lead to a visual clear result on the transmit- to the photorealistic paradigm of virtual reality,
ting media and their mutual impact in 2D (Bertin non-photorealism aims at supporting human per-
1982, Brunner 2001, Hake and Grnreich 1994, ception by enhancing a rendered depiction with
Spiess et al 2002), a dynamic 3D environment stylistic elements such as shape, structure, colour,
with its demand of intuitive geospatial informa- light, shading and shadowing. Most researchers
tion transfer, expands the semiotic model and agree that the term non-photorealistic is not
shows up new graphical conflicts, which should satisfying because neither the notion of realism
be described by Table 1. itself nor its complement, the non-photorealism, is
Table 1. Graphical conflicts of 3D design mechanisms with graphical variables
A.Form B.Size C.Colour D.Brightness E.Pattern

Global Mechanisms:
1.Lighting C1 D1
2.Shading A2 C2 D2 E2
3.Atmosphere C3 D3
4.Depth of field B4
Element wise mechanisms:
5.Material A5 B5 C5 D5 E5
6.Texture E6
7.Transparency C7 D7 E7
8.Orientation A8
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Figure 6. Example for simple scenery as non-photorealistic rendering. According to the needs of expression,
stylistic variables, as these are defined in a semiotic structure, are used as toolbox for graphical design
clearly defined. Nevertheless, non-photorealism To produce convincing photorealistic de-

(NPR) has established itself as a key category and pictions, complete data in high quality
discipline in computer graphics starting around have to be processed, for example an ex-
1990. An introduction to concepts and algorithms actly matching of faade textures and high-
of non-photorealistic computer graphics can be resolution aerial photography. The larger
found in Strothotte and Schlechtweg (2002) as the virtual 3D city model, the higher the
well as in Gooch and Gooch (2001). costs for data acquisition. In most cases,
The visualization concepts of virtual 3D city pre- required data will not be available for a
sentations use photorealistic and non-photorealistic whole 3D city model. As a consequence,
methods. Photorealistic methods try to reconstruct the images are faced by a breach of graph-
reality in virtual space. Therefore several graphical ics style.
variables are used for this simulation procedure To incorporate thematic information (e.g.,
and few potential is left for additional informa- state of repair, average rental fees) into
tion coding. Additionally the high resolution and photorealistic depictions, the information
detailed nuances are often not perceptible and needs to be visually combined with the vir-
have to be aggregated anyhow. In opposition to tual 3D city model. This turns out to be dif-
that, non-photorealistic rendering, like cartoon ficult, because textured faades, roofs, and
rendering, offers precise control over colours, sizes, road systems dominate the image space.
brightness, forms, etc. for appropriate information To visualize complex information, photo-
coding at various levels. The following points show realistic details increasingly interfere with
up the main limitations of photorealistic methods a growing number of information layers.
for virtual 3D city models. To express objects of city models in dif-
Photorealistic visualization implies a number of ferent states (e.g., existing, removed, and
limitations with respect to virtual 3D city models: planned buildings), photorealism does not
132
offer a broad range of graphics styles to expressively support information transfer. These
communicate these variations such as by problematic areas occur by variation of viewport
sketchy and outlined drawings. attributes.
To generate compact depictions for dis- The depiction of a virtual 3D environment
plays with minimal capacities (e.g., on on the transmitting interface/media is rendered
mobile devices), photorealism frequently according to viewport attributes. These attributes
fails due to the visual complexity inherent define a camera orientation, distance and field
to photorealistic images. For example, a of view (FoV) in case of perspective views, and
scaled-down version of a digital photog- camera orientation and orthographic height in case
raphy has a drastically lower information of parallel projections. The amount of dead values
level compared to a scaled-down version of changes according to these cameras attributes and
a hand-drawn sketch of the same scenery. to the transmitting interfaces resolution. Dead
values describe information pixels that are not
These drawbacks and limitations are the main appropriately used for information transfer. This
arguments for non-photorealistic rendering, which means that the information of a pixel cannot be
needs specific requirements of the virtual model. related to a specific element or the overall visu-
On one hand, geometry should follow a clear alization contents. Due to a restricted amount of
structure/outline for a most expressive cartoon pixels for an information transfer, a most efficient
rendering and on the other hand an object-oriented use of these pixels is the aim.
data structure splits up the element in smaller parts Central perspective views combine linear per-
that are individually render and combinable. The spective and multiple scales in one view, which
aspects beyond VR, namely non-photorealistic leads on one hand to geometric distortions of the
rendering, provide graphical methods to enhance elements and on the other hand to a high variance
geospatial visualization. The following section of element sizes (on the presentation plane/viewing
describes semiotic enhancements by examples, plane). Geometric distortions of elements assume
which help to maximize the amount of informa- that more than one element of the same sort exists
tion pixels on user interfaces and support viewport in the view in order to retrieve geometric relations
variations. (e.g., size, primitives). The high variance of scales
enables the direct comparison of large and very
Exemplary Semiotic Enhancements small scales in one directed view, but also leads to
dead values if elements fall below the resolution
The variation of rendering techniques provides of transmitting media. If this uniqueness-relation
a powerful toolbox to adapt the information between transmitting media and content element
contents to specific needs. Additionally the influ- is larger than one, a single picture element of
ence of transmitting medias resolution leads to transmitting media has to represent several pixels
problematic areas on the interface that does not of the content.
Figure 7. The area of dead values in a central perspective view is marked red in the right picture. The
picture on the left shows this undefined pixel area in detail
133
Parallel perspective views offer one single becomes arranged depending on the distance to
scale throughout the view, which allows a direct the camera. The grouping to view angle zones
comparison of element sizes and orientation. Due enables the specific element enhancement in
to the isometric character of this view, the scene that zone. For example, a ground-view generally
seems to arch upward in the background. Actu- delivers footprints that are combined with very
ally the geometric correct characters of parallel restricted front-view information. In this situation
perspectives create discrepancies with the human it is important to keep the footprint information
cognitive system. Thus the main disadvantage by its semantics, which will lead to highlighting
is its disturbance of nave perception. The main and aggregation for specific scales. On the other
advantage lies in a scale dependent illustration. hand, in a front-view zone the footprint almost
In the case of standard perspectives we can disappears. The main transferred information is
conclude that their use of transmitting medias build up by the upright projection. Therefore, the
viewplane for virtual 3D environments is not front-view and its semantic/outline has to be high-
perfect. Due to dead value areas for various cam- lighted for specific, orientation enabling elements.
era parameters the requirements of cartography- The Progressive Central Perspective makes
oriented design are mainly not met. In order to use of view angle zoning that allows for ele-
reduce these areas, viewport variations show one ment adjustment according to the view angle of
possible approach. viewport camera. In addition its perspective im-
pression becomes intensified. The enhancement
Viewport Variations for of the ground-view in the foreground presents
Reducing Dead Pixel Values an overview around the current camera position,
which mainly relies on buildings footprints and
A variation of viewport perspectives follows the topographic relations. The force for front-views
aim to reduce dead value areas and thus improve in the background enhances visual landmarks
the use of transmitting medias viewplane. This by their front-view. Highlighting important and
approach is guided by syntactic considerations in well known elements directly supports the usage
terms of expressive geospatial communication. of landmarks for orientation within the virtual
Hence the following collection of perspective 3D environment. Spatial relations between the
variations is evaluated by their impact on dead foregrounds overview and the backgrounds
value areas, communication of spatial relations landmarks are strengthened, especially because
and its syntactic dimension. standard perspectives will not provide the exten-
The progressive approach intensifies perspec- sion (on the transmitting interface) to show both.
tive impression by forcing ground-view zones Progressive Parallel Perspective uses the same
nearby the camera and front-view zones for far constellation of view angle zoning and results
elements. This means that the perspective view in the same argumentation for using ground-view
Figure 8. The conceptual view of a progressive central perspective and progressive parallel perspec-
tive easily shows the importance of depth cues that are heavily supported in central perspectives. The
front-view zones in the background enhance the depth cue of linear perspective
134
and front-view situations. Additionally its metric The main argument for the implementation of
constitution, which disturbs a nave perception, semiotic complexity lies in a better impact and
gets some perspective character. Thus the par- usage of virtual 3D city models (in comparison to
allel perspective can use its metric and simulates physical models). For this reason the next section
perspective characteristics. shortly describes studies on the employment and
In contrast, the degressive approach with a usage of virtual 3D city models.
Degressive Central Perspective generally destroys
any nave perspective perception by its use of The Impact of Virtual 3D City Models
front-view zones in the foreground and ground-
view zones in the back. Its aim is to simulate users 3D environments/models were established as ad-
perspective at the cameras position in order to ditional decision support for planning purposes in
generate high identification in the specific area the past. Whenever spatial decisions have to be
and deliver an overview of the prospective tour at discussed within a team of experts or the public,
the same time. The request in this case is a high photorealistic renderings, movies, physical mod-
detailed model in the front and a scale-dependent els or even virtual 3D environments translate an
map design in the back. The rendering style defi- abstracted knowledge/information of a map to
nitely has to change in order to reduce confusion easier understandable presentation forms. But the
when a map is used instead of clouds and sky. usage of virtual 3D environments, which enables
All viewport variations have in common that highly interactive contents and easy dissemination,
dead values on the transmission interface become is still demoted as side product of the planning
minimized. The reason is that view-angle zones process. One main reason is requirements on hard-,
reduce the infinite number of scales to several software and interaction, which often do not exist
groups and therefore allow for specific element at business clients equipment. There is a strong
generalization. The information transmitting area demand on easy handling, intuitive interaction
theoretically becomes more appropriate used and usability on standard office computers. In
according to its purpose (generating an overall addition to spatial communication, cartography-
overview with nave geography or supporting based design and the use of virtual 3D models,
navigation in virtual 3D environments). As result latest technological developments were a motiva-
of this reduction of dead values and a more exten- tion to perform user studies on the employment
sive use of transmission interface, spatial relations of virtual models.
are enhanced as well (because more information
pixels are available for overview generation). Studies on Employment of
This section focused on enhancing expres- Virtual 3D City Models
siveness and effectiveness of user interfaces in
geospatial communication. New semiotic con- In the course of rapid developments in computer-
siderations for virtual 3D environments showed graphics-processing since the eighties, several
up possible graphical conflicts that originate with studies and comparisons on the employment of
the characteristics in 3D (light, perspective, ). virtual 3D environments, especially in the field
Non-photorealistic rendering techniques described of architecture were done. Several results were
graphical accentuation, which goes beyond the published during the second architecture confer-
simple reconstruction of reality (VR) in terms of ence in 1995 in Vienna: for example a direct
communication. At least the exemplary appliance of comparison of CAD and physical models for urban
all these new techniques lead to semiotic enhance- development by courtesy of empirical studies was
ments, which cause a reduction of dead pixel zones. published by Keul (Keul et al 1995). This study
135
based on slides, recorded data by semantic dif- tion models can be considered and embedded in
ferential and included experts as well as laymen. real-time applications, even though the complexity
It showed that the opinion about the CADs or of vegetation calls for smart technologies. Many
physical models usefulness depended on which studies use depictions with various abstraction
slide had been shown at first. In one case the levels and compare these with pictures of real-
CAD model was preferred, in the other case the ity (Lange 1999). Thus simple two-dimensional
physical models slides lead to preference. From pictures are compared. Some studies focus on
this effect, the authors of this study concluded that dynamic visualizations: for example video simula-
the choice of communication media has impact tions were used to explore the impact of various
on the result of the study. abstraction levels of virtual 3D environments on
In another study an objective comparison of an the reaction of recipients compared to videos of
architectural endoscope model and CAD model physical models (Boerwinkel et al 1994).
was done by evaluating interviews (Siitonen 1995). In the following section a comparison between
Since both methods use a digital display as trans- physical models and their virtual pendant was the
mission media, these methods were comparable. focus of a study in order to quantify the practical
Thus a comparison list according to various criteria suitability of real-time 3D environments for geo-
could be established. The main criteria of this list spatial communication within a group of experts.
covered expense of modelling, staging, lighting,
animation, interface, image quality, dissemination, Comparing Virtual and
possibility of modification, overall costs, and Physical 3D Models
architectural sensation. At least the architectural
endoscope model won with 27 points instead of The following study focused on the practical
20 points for the CAD model, although the authors suitability of real-time virtual 3D environments
remarked that CAD is catching up due to increas- as comprehensive geospatial presentation method.
ingly powerful personal computers. Therefore two different environments were built.
For any judgement of previous studies and Both models were oriented towards their existing
comparisons it has to be seen that enormous per- physical models with the main aim to allow for
formance increases took place in terms of soft- and direct comparison within groups of experts.
hardware. Completely new possibilities for real- The two different environments were initiated
time visualization were created. Although interac- by the central problematic of scale: physical mod-
tive models were used in these previous studies, els precisely follow a specified scale. In opposition
their visual appearance was reduced and raw. to this general valid scale for the whole physical
These simple architectural models were not able model, virtual 3D environments generally do
to represent reality. Nowadays the requirements of not follow one specific scale, but incorporate an
landscape architecture with their detailed vegeta- infinite number of scales due to linear perspective
Figure 9. Example for a larger scale virtual building model with detailed objects and varying light situation
136
and camera movement. For this reason the first environment was explained. Then the participants
virtual 3D environment was designed according explored the model and filled out the question-
to the physical model in a scale from 1:100 to naire. A final discussion helped to collect further
1:200 and the second according to the physical comments and ideas: 13% of participants stated
model in a scale from 1:1000 to 1:2000. The their novice experience, which means that they
first environment with the bigger scale allows have never used a virtual 3D application before;
for incorporating precise design elements, like 57% of the participants stated their active usage of
trees, that are important for the planning process. virtual 3D environments for their planning issues.
Additionally, elements like human beings or cars
were embedded to demonstrate sizes and propor- Results of the Virtual- And
tions. A reference to a location could be supported Physical Model Comparison
by detailed building facades. The smaller scale
comes along with draft ideas, abstract vegetation The results of this study concerned immersion,
and buildings. Objects in this scale mainly serve aesthetical experience, navigation and additional
for the transmission of masses and proportions. information yield. These factors are still main argu-
Models of persons or cars were generally omitted. ments against virtual 3D environments, whereas
The impact of the virtual 3D environment on production cost and model flexibility are main
a group of experts was the main aim of this study, advantages. For this section most of the results,
which used a normalized questionnaire. Partici- which were explored for the two environments at
pating experts came from the fields of regional various scales with simultaneous comparison be-
planning, landscape planning, urban planning, tween virtual and physical model, were subsumed
architecture and civil engineering. The main to one single statement.
parameters of the questionnaire were aiming at The grade of immersion was very high for
practical suitability of virtual 3D environments about 48% of participants. For the smaller scale
and its acceptance for participating experts. Thus the effect of immersion was higher than for the
interaction/navigation within the virtual 3D envi- bigger scale. Immersion describes a transmission
ronment was one key factor in this survey. In the of reality in terms of nave experience and the
end a profile of polarity (according to Frohmann reference of virtual graphics to the real-world.
1997) helped to interpret the results. Men seem to imbibe this effect more than women.
During the procedure of this study both mod- They rate the grade of immersion higher.
els, the physical- and the virtual 3D environment, The aesthetical experience followed the results
were presented simultaneously, whereas the of immersion for some extend. The aesthetical
virtual model became projected to a wall. After impact of the smaller scale environment was
an explanation of main characteristics and differ- higher, whereas the experience within the bigger
ences, the navigation interface within the virtual scale was higher (~54%). Aesthetical experience
Figure 10. A comparison between reality and detailed virtual 3D city model, which is using non-photo-
realistic rendering, lightmaps and hybrid trees
137
describes the urgent impression of a planning along a path (like a movie). Only 17% were fully
situation in order to understand the design of satisfied with the interactive camera movement.
lighting, infrastructure and landscape/buildings. At least there remains the question for addition-
Again this parameter showed that female partici- al information yield. Is the virtual 3D environment
pants had problems to get an immersive spatial possible to enhance knowledge transfer? Only 13%
impression of the model. Hence a usage of virtual of participants experienced no new impressions
3D environments instead of physical models was by means of the virtual 3D application. 87% were
imaginable for only 50% of the participants. The able to gain new knowledge and further impres-
rest would use virtual 3D environments as addi- sions by virtual pedestrian perspectives. The most
tional presentation. No one was against the usage important of these additional impressions were
of virtual 3D environments. the relation of dimensions, scales, spatial depth,
Navigation within the virtual 3D environment visual axes, relations of sight, lighting situations
was a key factor for this study. Navigation issues (shadowing of trees or buildings).
have the potential to destroy an immersive spatial The study on virtual 3D environments enlight-
impression and aesthetical experience by steering ened on important factors for the usage of virtual
participants cognitive processing mainly to the 3D environments. The demographic structure of
interface for navigation. Therefore the navigation participants was not considered due to its possible
within these two virtual 3D environments of the empirical influence on the key factors for the
study was kept as simple as possible for standard usage of virtual 3D environments. If computer
interaction interfaces, the mouse and keyboard. scientists are very confident with the navigation
The mouse handled all the rotations of the camera, of a virtual 3D environment, these stakeholders
like the movement of the head. As it could be often forget that most of the others are not used to
expected for various learning-types, not all the deal with these interaction mechanisms. Similarly,
participants were confident with an interactive the importance of cartography-oriented design
camera movement. 79% of all the participants pre- may be overvalued. Maybe other parameters
ferred an additional automatic camera movement than graphical design aspects are more important.
Figure 11. A screenshot of the smaller scale 3d city model with abstracted trees and ambient occlusion
light map
138
Further studies will have a closer look on user city models had to be discussed and studied,
communities and try to embed their needs. This especially because physical 3D city models have
section easily showed that use and usability within been established in planning processes. At least
virtual 3D environments is indeed a key factor for all the theoretical and technological investiga-
an effective dissemination. tions lead to an overall impact of virtual 3D city
It could also have been shown that virtual 3D models, which is a prospective issue to mental
environments provide substantial potential for imagery research in cartography. For instance,
innovative geospatial communication. The main the precise needs of planning experts in terms of
assumption to develop this potential is appropriate lighting, relations of masses or sight, may be too
use of the semiotic toolbox as well as optimising detailed for a wide public. Sometimes very few,
the usage of the view plane. The semiotic toolbox but expressive information is needed for the spatial
bases on the semiotic structure for 3D, which communication process. Further investigations
highlights mutual impact of design components. will help to gain more insight in an effective use
The optimal usage of the view plane focuses on a of this interdisciplinary combination.
limited pixel amount with digital displays, which
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Chapter 8
Political Power, Governance,
and E-Planning
Kheir Al-Kodmany
University of Illinois at Chicago, USA
ABSTRACT
Spatial information is a crucial cornerstone of e-planning. This paper explains the process of construct-
ing a mega geospatial database for the Hajj, the annual Muslim Pilgrimage to Makkah, Saudi Arabia.
It discusses the complex process and influence of top-down political power on the comprehensive plan-
ning process for the Hajj. It specifically examines how the process led by a politically powerful agency
impacted the creation and adoption of a mega geospatial database. The chapter provides transferable
and useful lessons on GIS misconceptions and solutions, as well as insight on how and when political
power may help in advancing the planning process.
INTRODUCTION planning is essentially a spatial problem, spatial

data is vitally important for e-planning. This chapter
Since the beginning of this millennium, there has focuses on the geospatial database needed for plan-
been an ever-increasing volume of literature on ning purposes, specifically for Hajj.
e-planning. An e-planning model presented by Although there is an extensive research on
Budthimedhe, et. al, 2002, may help in contextu- e-planning and geographic information systems,
alizing this case study. The presented e-planning there is little research that documents the impact
model divides activities into three categories: of politics and power on the process of creating
debates, technologies, and applications. It further large geospatial database (Obermeyer and Pinto,
breaks technologies into three categories: geospatial 2007). Through a detailed case study, in a story-
data, geospatial analysis, and technology interface. telling format, this paper attempts to examine how
Budthimedhe, et. al argues that given that urban political power can dramatically steer the planning
process and profoundly influences the outcomes.
DOI: 10.4018/978-1-61520-929-3.ch008 It examines the positive and negative impact that
Political Power, Governance, and E-Planning
a politically powerful, government-sanctioned Third, Hajj is of paramount importance to

agency can have on leading the implementation the Saudi government for religious, political,
of a GIS database, in terms of quality and quantity and economic reasons. The government of Saudi
of data, participation by key stakeholders, and Arabia takes great pride in its role as the sole host
delivery timeframes. It also observes how politi- of the Hajj. Playing host to all Muslims from
cal leaders, despite their immense resources, had around the globe confers certain legitimacy upon
to seek compromised solutions in pursuing GIS. the government. In response, the government
The paper provides insights on common GIS mis- makes every possible effort to ensure the ease of
conceptions and intricacies about data, software, Hajj and the safety of pilgrims. The Custodian
hardware, basemaps, layers, and GIS expertise. of the Two Holy Mosques, HM1 King Abdullah
It also provides useful lessons on problems and a bin Abdulaziz, and his brother, the former king,
solution on the way for building GIS. These lessons HM King Fahd bin Abdulaziz, have taken a keen
are particularly applicable to projects concerned interest in the affairs of Hajj and matters that
with building large geospatial database. affect the two holiest cities of Islam, Makkah al
The case study presented in this chapter is Mukarramah (Makkah the dignified) and Madinah
unique for several reasons. First, it deals with a al Munawwarah (Madinah the illuminated). In
very complex planning problem. Hajj is a multi- recent years, the government has invested heavily
faceted event that requires considerable planning in research and planning to solve Hajj problems.
by more than 20 government agencies to safely Finally, the research presented in this chapter is
accommodate and transport three million pilgrims based on personal experience. The author of this
during a weeks time. It encompasses a large region paper worked on the project for two years in Saudi
(68,000 km2) with multiple activities happening Arabia (2004-2006).
at multiple sites at a given time. Hajj involves a This chapter first sets the overall context of
series of rituals conducted at various Holy Sites Hajj and its planning activities. It explains the
on different days and specific times with a slightly newly formed organization charged in planning
varied order. Therefore, planning for Hajj must for Hajj and speaks to the initial planning stages
take into account a complex spatial-temporal- that involve creating a mega geospatial database.
ritual phenomenon that involves moving of large Then, it details out the process of building the
masses of people and their services at multiple database. The paper dwells on the obstacles on
sites at different times. the road and the role of political power in easing
Second, the case study deals with an intricate the problems. The discussion section attempts
political context. There are more than 20 agencies to extract meaningful lessons. The conclusion
that are closely or remotely involved in planning, summarizes the case study and provides a future
preparing, and running Hajj. The audience of direction for research.
Hajj is immense as it concerns almost the entire
Muslim population for Hajj is obligatory on
every financially and physical capable Muslim. BACKGROUND
Collectively, this would make the process of
planning far more complex than a project with Hajj and Planning
fewer stakeholders. The involved agencies have
varying levels of political weight that must be Hajj is the fifth pillar of Islam. The pilgrimage to
observed and respected to ensure the smoothness Makkah is an obligation that must be carried out at
of the process. least once in the lifetime of every physically-able,
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Figure 1. Hajj prime geographic area (Source: Google Earth)
financially-capable Muslim. It is the largest annual Day Three: In the morning, the pilgrims go
pilgrimage in the world, with an estimated 3 mil- to the Stoning of the Devil Site, conduct
lion people participating in 2008. The geographic rituals, and then rest in Mina.
area involved in the Hajj includes the Makkah Days Four through Six: The pilgrims revis-
region (Makkah City and three Holy Sites: Mina, it the Stoning of the Devil Site. They con-
Muzdalifa, and Arafat) and Madina, as well as clude Hajj by paying a farewell visit to the
numerous entry points throughout Saudi Arabia Sacred Mosque in Makkah (Al-Qahtaani,
(Al-Qahtaani, 2002; Long, 1981). 2002), (Figure 1).
Hajj follows the lunar calendar and happens
on the twelfth month, known as Zil-Hijjah. The In the last half century the number of pilgrims
actual days of Hajj extend from the 8th through has increased exponentially, primarily due to the
the 13th. Although there are slight variations in the availability and affordability of transportation to
rituals based on the sub-type of Hajj, the common Makkah. The number of pilgrims has increased
rituals are as follows: from about 200,000 in the early 1950s to more than
three million in recent years. Such an increase has
Day One: Pilgrims visit the Sacred Mosque caused extreme overcrowding, which has resulted
in Makkah and then go to Mina, about in traffic congestion, shortages of services, and
3 miles southeast of Makkah, and stay tragic incidents, such as deadly stampedes in 2004
overnight. and 2006 that left hundreds dead and hundreds
Day Two: In the morning, the pilgrims de- more injured (Still, 2008).
part for Arafat, about 7 miles southeast of Such tragedies have compelled the Saudi gov-
Mina. At sunset, they make their way back ernment to undertake massive planning efforts.
and stay overnight in Muzdalifah, about 2 H.M. King Fahd bin Abdul Aziz has implemented
miles southeast of Mina. several planning initiatives, including the estab-
145
lishment of a new oversight planning organiza- the input of all of the participating organizations
tion, named the Development Commission of to quickly produce the desired outcome that is
Makkah, Madinah, and Mashair, (DCMMM). easing Hajj problems. Hajj problems have been
The DCMMMs role is to facilitate collaborative immense and planning for Hajj has been challeng-
planning among all governmental organizations ing for it deals with a wide spectrum of intercon-
that are involved in Hajj. The prime mission, nected issues. It involves transporting, housing,
as stated by the former King Fahd, is to ensure feeding, and ensuring the safety, security, and
ease in performing Hajj, safety, and security of health of millions of participants. What is more,
all pilgrims. The King authorized the agency to in the past two decades, there have been series
supervise all Hajj activities. In addition, the agency of tragic incidences that resulted in the death of
has the responsibility of setting strategic plans hundreds and the injuries of thousands individu-
(long-term and short-term) for cities involved als. Such tragic incidences have marred Hajj and
in Hajj (Makkah and Madina) and to ensure the the newly formed organization is looked at as the
well-being and prosperity of these cities. The problem-solver for Hajj.
agency enjoyed authority, power, and discretion The head of the DCMMM quickly gathered
in forming planning teams and in getting national his scientific advisory cabinet and assembled an
and international consultations. international planning team. The team is comprised
The budget of this project was anticipated as of planners of various specialities including urban
unlimited for several reasons. The project is very design, community development, economic de-
important to the country and to the Muslim world velopment, environment, housing, transportation
and the government has been extremely generous energy and natural resources, and engineers special-
on all Hajj related activities. The organization was izing in transportation, traffic, and infrastructure
formed by an order from the king and its lead- (electricity, water, sewer, etc). It also has remote
ers have direct connection to top officials of the sensing and GIS experts with various sub-special-
country and enjoy tremendous power. However, izations in spatial analysis, modelling, geospatial
there were various incidences as presented in the data management, and data collection. Finally, it
following sections that explain situations where consists of computer scientists, mathematicians,
budget considerations were of major concern in physicists, religious scholars, and lawyers. Consul-
making decisions and contracting work. tants and experts for specific advice on technical
The leader of the newly formed DCMMM is issues frequently assist this interdisciplinary team.
a political appointee, handpicked by HM King The team quickly reviewed e-planning tools. As
Fahd. This individual, who has the title of His a team member, the author of this chapter presented
Excellency (H.E.), is well respected and highly his work on e-planning tools. He has developed
admired throughout Saudi Arabia. He had previ- collaborative tools that facilitated e-planning
ously served in several important government between the University of Illinois at Chicago, and
positions including Minister of Transportation, neighboring communities such as the Pilsen and
earning him a reputation as an effective administra- North Lawndale communities. He also used GIS,
tor. Moreover, he has an engaging and charming virtual reality, linear and nodal movies, and still
personality, helping him to get things done in spite and animated photographs to engage participants
of political obstacles. Perhaps most importantly, in the planning process. He also utilized the Web
the new head of the DCMMM has the full con- and argued that it is an efficient medium for or-
fidence and political backing of HM King Fahd. ganizing and displaying immense visual images,
For the aforementioned reasons, it was expect- maps, and textual information (Al-Kodmany,
ed that H.E. would be able to effectively manage 2000a, 2000b, 2001, and 2002)
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After extensive reviews of e-planning tools, allow an openly participative and collaborative
the head of the DDMMM completely believed environment. The first step for e-planning is to
that GIS is the proper tool to plan for Hajj. GIS create a comprehensive geospatial database of
effectively integrates vast amounts of planning the Hajj geography.
data such as transportation, housing, economic,
geology, infrastructure, and the like. Much re- Building the Geospatial Database
search and literature suggest that GIS is a powerful
planning and decision-making tool. In addition, There is no clear road map to build the geospatial
GIS has powerful visualization capabilities that database for several reasons. First, the organization
would effectively present massive information in is newly formed and has no previous experience in
relatively easy to understand graphical formats. building geospatial database. Second, the project
Furthermore, other e-tools and applications such is large and complex; it is one of the largest geo-
as virtual reality can be integrated with GIS spatial database undertaken in the country. Third,
databases. there is little precedent and examples that could
The planning team also agreed that GIS is help in guiding the vision and the process because
a powerful e-planning tool. They viewed that Hajj is unique and different from other large scale
geography is central to planning and e-planning events. For example, the Maha Kumbh Mela in
makes geographic data available to all participants Allahabad, which happens every 12 years, has a
through a computer and the Internet. The team different agenda of activities and rituals. Literature
viewed that building a GIS is a prerequisite for shows that there is little GIS work done to help
e-planning. It is particularly an appropriate vehicle in this event. Furthermore, the Olympics have a
since there were more than twenty organizations different set of activities and it takes places in vari-
involved in planning. An online GIS would be a ous geographic locations. As such, the Olympics
suitable planning tool. Online GIS is increasingly experiences were viewed of little relevance. Over-
possible and supported by several commercial all, the pressure on the organization contributed
software such as ArcIMS and ArcSDE. to rushing the process and not taking the time to
New technological features provided by online do adequate ground research and planning for
GIS technology are making it a further attractive constructing the geospatial database.
e-planning tool. For example, new features allow
the planning team to create integrated documents, Overview
i.e. integrating text with intelligent and interac-
tive maps and map layers. Interactive documents The geospatial database had several prime com-
link specific sections of text to specific features ponents including:
on maps and allow users to click on map features
to view relevant text. Participants can also select A. The three cities that are involved in Hajj are
specific document text to identify the associ- Makkah, Madina, and Jeddah. This compo-
ated features and can comment on these docu- nent had to reflect the status of these cities
ments online. Additional features would allow (in terms of demand on city services) at
conducting comment analysis to sort, track, and each season of 1) Hajj, 2) Ramadan, and 3)
prepare responses on draft plans. Collectively, Umrah. It also needed to reflect these cities
as envisioned by the planning team and the head beyond these seasons. Therefore, it needed
of the organization, e-planning will establish a to represent the status of these cities at four
new mechanism for planning the Hajj that would distinct times, in three religious-intensive
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seasons and out of these seasons. This com- had to agree on who would be responsible to
ponent had extensive attribute data about the update the database, which would have rights to
cities infrastructure and services. modify the database, and who would have rights
B. Three Holy Sites: Mina, Muzdalifah, and to view it and to retrieve data.
Arafat. These sites are not used beyond a In addition, there was a lack of consensus
few specific days during Hajj. on the type of GIS that was to be adopted. The
C. Entry-points to Saudi Arabia through land, process went through several interrelated stages
air, and sea with their road networks con- for finding a GIS solution: Departmental GIS,
necting to Hajj geographic region. Enterprise GIS, Quick and Dirty GIS, The
Best GIS, and Best Possible GIS.
The database also needed to contain a spatial-
temporal component of the Hajj detailing the 1. Departmental GIS
sequence of Hajj activities in relation to their In the first stage, decision makers wanted to cre-
geographic areas. Core activities are spread over ate a gigantic centralized departmental GIS to be
a week, while ancillary activities are spread over hosted in a central location. The DCMMM pursued
two weeks. By relating spaces and activities to their this goal with the intention of serving as the host
specific times, there was a need to devise a Spatial for database and sharing it with its departments.
Temporal Model that fit into the overall geospatial However, the GIS data was fragmented and scat-
database scheme. Furthermore, topology of the tered across various agencies and institutions
database had to consider the various applications, with some level of undefined redundancies. The
e.g., for the transportation applications, the link DCMMM had to request data from the various
and node structure had to be accommodated. Also, agencies for building its geospatial database.
the database had to allow for continuous updates The DCMMM sent letters requesting all agen-
and annual archiving of Hajj. cies involved in Hajj to provide all types of data
they possessed about Hajj. The letters explained
The Process of Building the the new role of the DCMMM, the intended and
Geospatial Database symbiotic nature of the project, and the importance
of supplying the data. The request was ambitious
More than 20 organizations are closely or remotely in terms of asking for all data of different types
involved in planning and overseeing the Hajj each and formats including maps, attribute and descrip-
year, with some significant overlap in tasks and tive data, both analogue and digital. The request
responsibilities. The formation of the politically also pointed out to the need to provide the data
powerful DCMMM was an attempt by the Saudi quickly for the time sensitivity of the project and
government to coordinate these disparate agencies its importance to the government of Saudi Arabia.
in planning this significant event, with the first The responses varied tremendously in terms of
task being the implementation of a GIS. speed and supplied materials. While some agencies
One of the first challenges that emerged in responded immediately, others lagged behind, and
the implementation of the GIS was dealing with others did not respond at all. Follow-up letters
the considerable disparities in knowledge of GIS. were sent, resulting in some additional responses.
While some organizations were more techni- Some agencies still did not respond after repeated
cally sophisticated and possessed invaluable GIS requests. The delivered materials and data were
knowledge and data, others were in the beginning good but had some problems. Data arrived in
stages. Still others had no clue about GIS and had different formats, and some were outdated. The
no intention of adopting the system. Organizations lack of consistency could be blamed to some
148
extent on the request letter, as it was not specific data, under the second approach agencies were to
enough regarding the type of data requested. The share data. Each agency would benefit from the
letter used generic language and was open for project while maintaining its sovereignty.
discretionary interpretation. In order to avoid the lack of specificity about
The DCMMM realized through this process the requested data that happened in the first stage,
that the data was of great value to these agencies, the DCMMM designed a detailed questionnaire
and they were reluctant to give it up. Therefore for data acquisition. The lengthy questionnaire,
requesting data through letters needed a follow up about 60 pages long, was intended to be clear in
for agencies considered data as sources of great terms of the needed data. It also addressed the
power and importance. Agencies considered data technical issues of the data in great depth. For
as privately owned as they spent much time and example, it asked agencies to provide metadata
effort to create them. Data are crucial to conduct for each GIS file they possessed. Such metadata
their research, so data are the backbone of the included dates of production and modifications,
results of their research. Giving out the data would names of producer, nature of modifications, map
expose any errors and raise questions about the projections, topology, number and names of lay-
validity of the agencies research. If the data were ers, and the like.
complete and accurate, then giving such data for Overall, responses to the questionnaire were
free was inconceivable. For these reasons, many slow for several reasons. First, the questionnaire
of the delivered data were not in the best shape; was too long. Second, it contained technical sec-
some were disorganized, meaningless, or outdated. tions that only specialized staff could understand
Therefore, the DCMMM started to realize gradu- and intelligently answer. Finally, knowing that
ally that their political power was no match for the data would be shared with many other or-
the power inherent in the data. Some concluded ganizations, security issues and concerns arose.
that the data was the real power. For example, the Saudi Geological Survey was
Consequently, this direction, building a mega reluctant to provide their GIS data about the Hajj
centralized GIS database, received considerable region for they considered them to be sensitive
resistance from all of the other organizations. information.
They viewed such a project as a threat to their Therefore the decentralized enterprise solution
power in the Hajj planning process. Giving data also faced obstacles and serious technical issues.
as requested would empower the new and rival In addition, the lingering mistrust from the first
agency, the DCMMM. Since some agencies did phase resulted in a lack of cooperation in the
not send data, and others sent outdated data or second phase. Altogether, these issues impeded
disordered data, the outcome was disappointing. the implementation of a decentralized GIS. Par-
It became clear that building a mega-centralized ticipation was sometimes tense. Agencies were
GIS database was infeasible. sceptical about the real intention of the project,
resulting in a reluctance to actually share their data.
2. Enterprise GIS Schisms deepened and the process slowed down.
Decision makers then resorted to a decentralized
solution. A decentralized enterprise GIS solution 3. Quick and Dirty GIS
was practical since data resided in various orga- In the third stage, decision makers set about
nizations, departments, and locations. It was also creating a stand alone quick and dirty GIS that
an attractive solution to other agencies since they would be hosted, shared, and utilized only by the
would be partners in this project. In contrast to DCMMM. The rationale was shaped by the need
the first approach where agencies were to give to speed the process and use the GIS for planning
149
for the next event. Decision makers realized that bids received were too expensive. Providing such
obtaining a comprehensive GIS would take far maps at high resolution was extremely laborious
longer time than was expected. Therefore, the and would require expensive technology.
desperate nature of the project made a quick and Therefore, the best GIS solution needed op-
dirty solution attractive and fitting to the situation. erational and technical definitions. The definitions
However, the planning team soon advised should address questions such as: how precise do
that a quick and dirty GIS solution would be we want our maps to be versus how much can we
a disservice. It contradicted with the propagated afford? How much precision do we really need?
purpose of the GIS as an ideal collaborative plan- When is high precision a must and when it is un-
ning tool for Hajj. Since Hajj is an extremely necessary? What regions need to be at what best
complicated planning problem, a weak database resolution? For example, it was determined that
would hurt rather than serve the planning process. urban regions should have a higher resolution.
In e-planning, a strong database is the backbone The question then became: what is the best urban
of all planning. A thin database would not help resolution? What is the affordable resolution? The
produce trustworthy planning applications. Fur- same applied to the city core where density is
thermore, producing a poor GIS product would higher, and the same applied to rural areas where
hurt the DCMMMs image and credibility, given density is lower.
that other Hajj organizations had built sophisti- Consequently, the best GIS solution was
cated GIS databases. theoretically a great idea, but when it came to
implementation there were serious hurdles. The
4. Best GIS best GIS solution was prohibitively costly and
As a reaction to the quick and dirty solution, lacked clear operational and technical definitions.
and as a result of the DCMMM becoming bigger This phase of the project paved the way to a final
and stronger, there was a notion to build the best phase, explained in the next section of the chapter,
GIS and house it in the DCMMM for good. This a best possible solution that resided in between
solution matched the high expectations of the the quick and dirty and the best GIS.
agency as being equipped with state-of-the-art
knowledge and expertise. Best Possible GIS
However, the data contained at the DCMMM,
which were given by other agencies, were out- This approach manifested a negotiation approach
dated. For example, many of the basemaps were despite the strong political will and power in pursu-
built based on outdated aerial photographs. In ing the best GIS. The following section details out
other cases, basemaps were built based on low- the negotiation of technical and political issues in
resolution satellite imageries. In still other cases, the process of building the geospatial database.
basemaps were built based on low-resolution and A. Complete Data Sets. Planners often advo-
outdated imageries. cate the need for considering all scenarios in plan-
In response to these problems, the DCMMM ning. They look for data completeness particularly
decided to build up-to-date basemaps that would in modern planning, a data-driven planning (Hoch,
cover the entire region. Consultant agencies were 2007). In the case of Hajj, learning about the im-
contacted to bid on a project that involved flying portance of data to GIS, decision makers requested
over the region and then building high resolution acquiring complete data sets about all planning
and detailed GIS basemaps of topography, vegeta- topics and subtopics. Being fascinated with the
tion, geology, urban infrastructure and utilities, power of GIS and the importance of data to GIS,
transportation, and parcels. Unfortunately, the decision makers wanted to obtain complete data.
150
To boldly express their enthusiasm on gathering and consequences of uncertainty, knowledge that
all data, they often repeated the following phrase: can be used in plans to reduce uncertainty. Instead
we want every data concerning every aspect of of using comprehensive to means complete, the
Hajj and the cities involved; above ground and process resorted to a practical sense to describe a
underground. richer and more meaningful grasp of unfamiliar
In reality, it was impossible to obtain complete relationships in terms of more familiar ones. So
data for the five cities involved (Makkah, Madi- when considering comprehensive plans, it was
nah, Mina, Muzdalifah, and Arafat), and the data not necessary to insist on including a complete
of Hajj. In addition, getting too concerned with understanding of all elements of the region, but
data would shift the organizations focus from rather to describe important but unfamiliar and
planning to data gathering, or becoming a data meaningful relationships. Therefore, the process
warehouse organization. Furthermore, too much had to seek a practical approach and to compro-
data would be difficult to handle at technical, mise a complete and perfect database for one that
managerial, and financial levels. It could become was feasible.
more of a burden than power. The process ended B. Data for Specific Applications. At some
by taking a practical approach of seeking what point in the discourse, a few specific GIS applica-
was possible to acquire. tions were proposed including: 1) Establishing an
A complete GIS data set is difficult to acquire Operational GIS, 2) Developing Environmental
even in the most advanced countries. This is true Applications; 3) Developing Location-Based
particularly when it comes to data concerning Applications; and 4) Developing Real-Time
details. For example, in the U.S. forest manage- Navigation and Vehicle Tracking.
ment agencies are likely to have extensive data Tailoring the data gathering for specific ap-
regarding growth rates and distribution of complications was ideal for application developers.
mercial trees species. They are less likely to have However, it was too early to know what specific
readily available data regarding distribution and questions the applications should answer. The
growth of non-commercial species such as shrubs, following table shows the need for different data
grasses and bracken, which can also form impor- to answer different questions. The questions are
tant elements of the visual landscape (Williams organized in a progressive order, from simple to
et al., 2007). complex. Table 1 illustrates how a slight shift in
Ideally, comprehensive planning means com- the question may result in a considerable addition
plete knowledge that would help illustrate causes of required data.
Table 1.
Question The Needed Data

Where are the hospitals in Mina City? One Geocoded layer of data with symbols that represent locations of
hospitals
Where are the hospitals that have treatment for X problem? Plus, tabular information about the treatment available in each hospital
in Mina
What is the shortest path (in time) to the hospital from a spe- Plus, transportation and network data such as average daily traffic,
cific location for a particular treatment? average travel time of each road, speed limit, road conditions, etc.
During Hajj: Plus, real-time spatial-temporal transportation data and density of
What is the shortest path (in time) to the hospital for a particu- pedestrians intrusion on streets
lar treatment taking in considerations the issue of pedestrian
intrusion on streets?
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The fourth question embodies one of the (depending on available swath and resolution) at
most important uses of GIS and IT in addressing a Low Earth Orbit (LEO) and positioning them
Hajj problems. However, in reality, it is difficult straight over the Hajj scene. If this were achieved,
to obtain the needed data to answer this ques- then two-way communication and real-time data
tion. The practical need sounds right; however, via satellite imageries would tell the location
technical capacity could be limiting. Real-time of street closures and pedestrian intrusion on
spatial-temporal data would require freezing transportation routes (Figures 2 and 3). It would
one or more commercial remote sensing satellites also tell the location of traffic congestion. This is
Figure 2. Squatting and pedestrians encroachment on automobile roadway
Figure 3. Pedestrians encroachment on automobile roadway
152
difficult to attain since satellites are in constant national and international consultations. These
motion orbiting around the earth in a high speed, extensive discussions resulted in the identifica-
about 8 km/second. tion of eight areas of required data for planning
The process took on additional practical ap- Hajj: 1) Natural resources; 2) Transportation; 3)
proach. Rather than gathering data to answer Socioeconomic; 4) Environmental; 5) Hajj Ser-
specific research concerns and questions and to vices; 6) Local Municipalities and Land Use; 7)
serve specific applications, the process moved Urban Design, Zoning and Building Codes; and
toward gathering generic but essential data. The 8) Religious Affairs. Collecting data for these
aim became to create a container of GIS data topics led to bidding and selection process on
that could be utilized for multiple purposes, not eight separate projects.
to any specific research inquiry, or application C. Data Accuracy. Another example that il-
(Figure 4). The container could grow in the lustrates how the strong political power resorted
future to assist in building specific application to compromise in building the geospatial database
and planning decision support systems (PDSS). is related to data accuracy. Politically powerful
For the purpose of identifying the contents of decision makers were adamant to acquire the
the geospatial database, the Development Com- most precise and accurate data. This was partially
mission held several workshops and conducted a result of finding significant errors when maps
Figure 4. Creating a GIS container: Makkah, Madinah, and Holy Places (MM&Holy Places) geo-
spatial database scheme
153
were superimposed on recent and accurate satel- Topography is more crucial in urban areas.
lite imageries. However, they had to compromise For these reasons, for compiling precise Digital
accuracy based on several factors including costs, Elevation Models and Building Heights, the pro-
application need, geographic scale, and required cess distinguished among three levels of required
time of production. For example, maps and images accuracy:
of urban areas needed to be of higher resolution
than that of rural areas to incorporate greater 1. 15m grid spacing DEMs would be compiled
details about buildings, infrastructure, and street for the entire project area, 68,000 km2.
networks. A hierarchy of map accuracy needed 2. 10m grid spacing DEMs would be compiled
to respect geographic scales between regional, for Makkah, Madinah, and Holy Places and
rural, semi-urban, and urban areas (Figures 5, 6, their immediate surroundings, amounting to
7, 8, 9, and 10). about 20,000 km2.
Figure 5. The project area against 1/250,00 maps
154
3. 5m grid spacing DEMs would be produced In the same way, for developing imagebase
for Makkah-Madinah urban areas and Holy maps, the process distinguished between two
Places, amounting to about 2,000 km2. levels of accuracy:
Similarly, the process of compiling precise 1. Medium resolution. Orthorectified

Geodetic Control Points distinguished among LANDSAT-7, in the entire project area
two levels of accuracy: (68,000 km2) Rs. 15m panchromatic and
30m color, Accuracy = 1.5 pixels, 22.5m.
1. 50km spacing with meters accuracy in the 2. Very High resolution. Orthorectified
entire project area, 68,000 km2 QuickBird in Makkah Madinah urban
2. 5km spacing with dm-accuracy in Makkah, areas and Holy Places (2000km2), Rs. 0.6m
Madinah, and Holy Places, amounting to panchromatic, 2.4m color, Accuracy = 1.5
about 2000 km2. pixels, 1.0m (Figures 11, 12 and 13).
Figure 6. The project area against LANDSAT-7
155
Figure 7. 1/250,000 coverage of the project area
Prices of these maps varied tremendously some errors; for example, geological boundaries
(Figure 14). Therefore, as a guiding principle in can never be accurately mapped in GIS (Sprinkel
considering the multiple variables related to ac- and Brown, 2008). However, decision makers
curacy (costs, production time, and purpose), it observed that accuracy can always be enhanced
was later realized that only accuracy of data that by quality control, validation, and verification
would make a difference should be discussed and of raw data.
debated. If it would not make a difference, then D. Basemap. Another example of the best
there was no need to consider it. This led to an in- possible or practical approach is related to the
depth examination of the practical consequences establishment of the GIS basemap for the project.
of considering various levels of data accuracy. There have been misconceptions about obtaining
Satisfactory or sufficient accuracy was based on an ideal GIS basemap, as found in common plan-
its practical application and use. It was a surprise ning practices (Craig, et al., 1998). However, upon
to decision makers that even by deploying im- examining various theoretical definitions as well
mense resources absolute accuracy of GIS data is as examining the GIS databases, it became appar-
unattainable. It is common that boundaries have ent that there was no consensus on the definition
156
Figure 8. 1/50,000 coverage of the project area
or elements of a GIS basemap. In fact, definition fields of GIS. There are numerous specialization
and contents varied tremendously from one field and sub-specializations within GIS, and there are
to another. For example, in environmental plan- experts in various areas of GIS. The following is
ning, elements of a basemap are different from that not inclusive, but an illustrative list of some experts
of an urban design basemap. An environmental in GIS: GIS image analyst, GIS remote sensing
basemap may include basic natural elements such analyst, GIS developer, GIS technician, GIS soft-
as water body, greenery, soil types, and topography ware engineer, GIS photogrammetric technician,
(Arendt, 1996), while an urban design basemap GIS cartographer technician, GIS programmer,
may include building footprints, dimensions and GIS Internet developer, GIS mapping specialist,
heights, detailed street networks, and sidewalks GIS database specialist, GIS precision measure-
(Esnard, 2007). Decision makers had to give up ment vehicle operator, GIS program manager,
the idea that there is an ideal basemap. Enterprise GIS manager, etc.
E. GIS Experts. Another migration from best Although the resources allocated to the DC-
to best possible was that decision makers had to MMM were immense, having one expert in each
compromise on bringing to the table experts in all area of GIS would be extremely costly and difficult
157
Figure 9. 1/10,000 map coverage
to manage. On the other hand, it became apparent ent operating systems, computer science experts
that it would be impossible to have one GIS expert insisted that UNIX was most appropriate for the
who could span all of the required GIS expertise. project since it could handle a large geospatial
Therefore, decision makers resorted to a middle database for five cities combined. Also, UNIX is
ground, a practical solution that resulted in hiring superior for ensuring security of data and protec-
individuals with expertise in more than just one tion from computer viruses.
GIS area. Fewer experts who could cover multiple In examining GIS software, the ESRI product
areas of expertise seemed to be a practical solution. seemed to be the most practical for several reasons.
F. Software/hardware. As would be expected, ESRI had already made a strong presence in the
obtaining the best software and hardware was Middle East including Saudi Arabia, and several
desirable by powerful decision makers. After participating organizations used the ESRI product.
lengthy exploration and examination of differ- Also, expertise on the ESRI product was readily
158
Figure 10. 1/1,000 map coverage
available. Nevertheless, there were roadblocks. G. Contracting the work. After coming to
Planners discovered that the ESRI software did terms with the magnitude of data that needed to
not support the UNIX platform. The discussion be collected, the DCMMM determined that it
reverted to discussing operating system options. could not build the geospatial database by itself.
The process ended by giving up on UNIX and The Commission decided to contract the overall
adopting MS Windows. Although Windows has GIS project through competitive bidding as well.
much less power for handling large data sets, it The selected GIS organization would need to co-
does handle ESRI software effectively. Selecting ordinate with the eight agencies that won the data
software and operating systems for the project il- collection contracts and would dictate the techni-
lustrates another example of negotiating technical cal specifications for the data. The Development
issues throughout the process. Commission embarked on the lengthy process
159
Figure 11. LANDSAT-7 image of mina area
of writing the Terms of References (TORs) for planning process led by the DCMMM for Hajj
each of the eight data collection projects and for provides useful lessons and discussions on top-
the GIS project. Bids were submitted, evaluated, down processes, particularly as they relate to GIS.
and selected. The top-down approach used by the DCMMM
However, some of the data collection com- illustrates how political power can both challenge
panies were slow in collecting data and failed and benefit a complex planning process and its
to meet their deadlines. Since completing the outcomes. The political influence of the DCMMM
overall GIS project hinged on getting all the data impacted the process in terms of broad-based
in a timely manner and in the correct format, the planning participation, technical decision-making,
project was delayed. accomplishment of project objectives, and effec-
tiveness of the completed GIS as a planning tool.
Overall, political power was overwhelming.
FUTURE RESEARCH DIRECTIONS In the early stages, participating agencies were
afraid of the new rival organization, the DC-
This case study presents several lessons on the MMM, and were hesitant to provide services to
process of building a geospatial database. The it. Later on, the perceived problem of taking
160
Figure 12. High resolution QuickBird image of central Makkah (The Sacred Mosque at the center) is
used to check on topographic accuracy
advantage of the agencies was resolved by of- their existing geospatial databases by collect-
fering them profitable contracts. These agencies ing missing data and improving the database
received a double benefit. First, they already structure and format.
had a great portion of the data that needed to be Interestingly, the presence of the politically
collected and they were able to sell it, rather powerful DCMMM served to orchestrate the
than give it away for free. Thus, they were able meetings and mediate negotiations. Political as-
to make a considerable profit. Second, they sertiveness helped to sustain the project in the
were able to use part of their fees to enhance face of competing and conflicting interests among
161
Figure 13. GTC GTVS package for terrain visualization
Figure 14. Geodatabase prices for an area of 250 Km2
stakeholders. Political power that championed GIS gained the respect of all participants throughout
kept the project alive in the face of insurmountable the process.
organizational and technical obstacles. The power One interesting lesson to the politically power-
element contributed a venerated atmosphere that ful decision makers was that GIS data represented
162
real power and was tough to obtain, despite their to manipulate input and output of GIS, there are
supremacy and political influence. Pressuring situations where GIS visual representations will
others through power did not result in obtaining reveal mistakes in a vivid way.
satisfactory GIS data. Another important lesson is Decision makers were able to speed the process
that power must partner with sound GIS techni- of constructing large structures but were unable
cal and organizational knowledge since the early to speed building GIS. For example, through DD-
stages of the planning process. Politically powerful MMM, the government successfully replaced an
organizations and decision makers need to set a outdated, gigantic pedestrian bridge with a larger
plan from the start on how to adopt technology by one over one mile long. However, they were not
allocating adequate time and resources. This will expecting that building a large geospatial database
help to explore technical options and to find the to be time-consuming, and they had the assumption
best solutions. Technical issues in mega projects that it would be easy to speed it up. Upon viewing
are vague and complex, as it is the case in the GIS maps, decision makers may not realize that
Hajj project, and rushing the process could be the production of these maps could require vast
counterproductive or risk the delivered quality. amount of time.
The technical challenges of creating the mega Furthermore, vendors tend to propagate the
geospatial database were expected by the technical notion that there is a clear roadmap to create GIS
experts, not by political decision makers. Technical and it is easy and fast to create it. Building GIS
issues may appear easy, for example producing at a large scale takes a meandering rather than a
GIS maps could be viewed as a result of pushing straight path. It may follow unclear rather than a
view buttons. However, decision makers may not straightforward map. Therefore, one lesson that
know the necessary data needed to produce the came out of this case study was that building a
map. Politicians have agendas and visions and GIS could be more challenging than constructing
unless technical issues are laid out from the set large-scale engineering projects. The GIS process
go, there could be clashes between the technical was intricate and unique and political will could
requirements and visions. have a limit in speeding the process. Certain intri-
Another observation is that the GIS visual cacies must be observed in order to optimize the
representation of data is real power. GIS visual interplay between power and technical knowledge.
capabilities helped participants to focus discus- Planning profession is political in nature and
sions and to collectively analyze, diagnose, and planning and politics do intertwine. (Carson,
prescribe. In this sense, GIS served the partici- 2002). However, this chapter illustrates a new layer
pating agencies to collectively see the presented of politics, which concerns decisions for building
problems and solutions. Although they were not GIS for planning purposes. It suggests that politi-
involved in manipulating the geospatial database, cal power and technical knowledge do intertwine
the visual representation helped everyone to see as well. Politicians should be aware of this new
and follow the discussion. It helped to place ev- dimension and should deal more adequately with
eryone on the same page. the technical realities. Also, politicians need to
Interestingly, in rare incidents, when political recognize that there is much in the technical world
leaders found that the GIS data and visual outputs that would benefit planning and there is a whole
were not reinforcing their agenda, they removed art and science in dealing with technical issues.
GIS altogether and resorted to verbal discus- Given the diverse and constant change of tech-
sions. Therefore, there are situations when GIS nology and technical knowledge, this means that
can expose planning mistakes. Despite the ability revisions and changes of the initially envisioned
163
roadmap could be needed. Politicians may need to makers are aware of these intricacies and deal
learn how to manage these changes so they ensure with them tactfully.
a sound outcome (Herzele and Woerkum, 2008). Since numerous governmental and communi-
ty-based organizations are on the way to adopting
GIS, they may find lessons of this project useful
CONCLUSION and insightful. Regardless of whether GIS is being
adopted in a top-down or bottom-up approach,
Although politics is an integral part of the plan- there are useful lessons on the issue of power and
ning profession, research shows that planners tend GIS. It is important to fully realize the intricacies
to shy away from it. Richard Carson explained of the interplay between power and GIS. Orga-
Most planners disdain playing politics. Yet nizations need to acquire a nuanced understand-
political astuteness was, and continues to be, a ing of the role of power in the various stages of
predominant characteristic of the fields pioneers adopting GIS situations. They should explore the
and a prerequisite for achieving change (Carson, wide range of situations when power can serve
2002). With the proliferation of e-planning, plan- or harm the process. Education on these issues
ners are facing a new kind of politics that deal is a prerequisite for effective utilizations of GIS.
with technical issues. Planners need to be aware The story is incomplete as the geospatial
of the interplay between politics and technical database building process is unfinished and has
knowledge and they need to learn how to build not been fully tested on planning applications. It
consensus and negotiate technical differences. would be interesting to learn about the adequacy
The topic of political power and GIS in par- of the data collected around the eight planning
ticular has received little observation and analysis. arenas. Follow-up research will be required to
GIS has been employed in developed countries assess the efficacy of the geospatial database for
where democracy prevails. This chapter provides creating strategic plans and the necessary refine-
a detailed account of a top-down GIS adoption. ments over the long term. Researchers may be
The narrated story in this chapter illustrates the interested in examining the usefulness of gathered
immense intricacies of the process of adopting information for planning purposes and assessing
a GIS. Unexpectedly and contrary to vendors the need to gather additional data.
claims that it is easy to build a GIS, we find
that in the practical world the processes are not
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HM stands for His Majesty
166
Section 2
Citizen Participation
in E-Planning
168
Chapter 9
The Potential of E-Participation
in Urban Planning:
A European Perspective
Herbert Kubicek
University of Bremen, Germany
ABSTRACT
Because urban planning affects the living conditions of its inhabitants, most countries, at least western
democracies, require some kind of citizen participation by law. The rise of the World Wide Web has led
to recommendations to offer participation via the Internet (eParticipation) in various forms. However,
many eParticipation applications are not well accepted and fall short of the expectations associated
with them. This chapter argues that the electronic mode of participation per se does not change much.
Rather, electronic forms of participation have to be embedded in the context of the respective planning
processes and participation procedures. If citizens are not interested in participating in an urban plan-
ning process, they will not do so just because they could do it via the Internet. Therefore, an analysis
of the barriers and deficits of eParticipation has to start with a critical review of traditional offers of
participation. Against this background, the forms and methods of electronic participation are described
and assessed in regard to expectations and barriers associated with them. It becomes apparent that
eParticipation research has still not provided solid knowledge about the reasons for low acceptance of
eParticipation tools. This research is largely based on case studies dealing with quite different subject
areas. There is also high agreement that electronic tools will not substitute traditional devices for a long
time. Instead, they will only complement them. Therefore, online and traditional forms of participation
have to be designed as a multi-channel communication system and need to be analyzed against each
context together. Accordingly, this chapter starts with summarizing both the institutional context of urban
planning and traditional modes of citizen participation and the development and use of technical tools
as two backgrounds. Recognizing a certain degree of disappointment with the low use of eParticipation,
future eParticipation research should focus on fitting electronic tools better into their context and apply
more comprehensive and rigorous evaluation.
DOI: 10.4018/978-1-61520-929-3.ch009
The Potential of E-Participation in Urban Planning
INTRODUCTION countries offering some kind of participation via

the Internet, often supported by national funding
The outcome of urban planning affects the living programs.
conditions and wellbeing of individual inhabitants However, although a lot of money has been
in many ways as well as the social, economic and spent for these projects, not much has changed
ecological welfare of the population concerned. in general. Mirroring the fate of expectations
In most cases, different parts of the population are for new economic growth by a New Economy,
affected in different ways and prefer different out- some kind of disillusion has replaced optimism
comes of a planning process because of different in regard to the potential of electronic tools for
interests. Formal legitimization of urban planning improving democracy and the quality of decision-
by elected bodies was criticized as insufficient by making, including urban planning. Today there is
environmental groups and initiatives in the 1970s, high agreement in the research community that
supported by democracy movements in Europe citizens attitudes and behavior, such as trust in
and the United States. In order to overcome resis- political institutions and the readiness to engage
tance and to improve the quality of the outcome in public affairs, cannot be changed simply by
of urban and regional planning, the respective introducing new technical tools in existing pro-
laws were revised, requiring planning bodies to cedures and cultures. In a report for the Council
publish plans for public consultation and to pro- of Europe, Lawrence Pratchett summarizes this
vide for appellation procedures. However, quite position quite well:
often these kinds of formal citizen participation
did not achieve their objectives. Many observers New technologies, in whatever form, are so-
argued that the procedures did not provide for cially and politically neutral devices and have
real participation, and were more conducive to no inevitable consequences for democracy, par-
manufacturing dissent instead of consent. ticipation or political engagement. However, the
As a consequence, experiments with differ- way in which such technologies are used and the
ent forms of group-related participation were purposes to which they are put can have radical
conducted, such as round tables, focus groups, consequences for the practice of democracy. The
and consensus conferences. In some cases, these design of particular tools and their association
informal methods of participation reached their with existing democratic practices (and other
objectives. But they did not succeed on a broader aspects of governance) shapes their value and
scale. In the 1990s, citizens engagement in impact, as does the way in which citizens and
public affairs, voter turnout and trust in political intermediary bodies (such as the news media,
decision-makers declined even more. At the same political parties and so on) adopt and use the
time, the Internet made electronic information technologies. (Pratchett 2006, p. 3)
and communication services such as the World
Wide Web, e-Mail and electronic forums avail- Pratchett proposes to look at new electronic
able to local governments, business and citizens. devices in their relationship to institutions, actors,
The new technological possibilities gave rise to procedures and outcomes of democratic processes.
far-reaching expectations of entering a new stage This has seldom been done so far. And despite
of democracy with more direct participation of the many projects applying some kind of technol-
citizens (see Hagen 2000). Under the heading of ogy to provide for participation in some kind of
eDemocracy or Digital Democracy or eParticipa- urban planning, there is a lack of rigorous assess-
tion, experiments were started in many western ment of outcome and impact as well as a lack of
169
systematic analysis of barriers and success factors technical tools, but should start with the analysis
to exploit the potential of the technology. A recent of their respective contexts, as urban planning in
OECD report speaks of an evaluation gap: this case. Figure 1 tries to illustrate this approach:
Accordingly, this chapter requires reference
As noted in the 2001 OECD report, Citizens as to two overlapping backgrounds, i.e. participa-
Partners: Information, Consultation and Public tion in urban planning in general and options for
Participation in Policy Making, there is a striking electronic support of these participation processes.
imbalance between the amount of time, money and Future trends emerge from the identification
energy that governments in OECD countries invest of barriers and success factors and concern the
in engaging citizens and civil society in public organizational, cultural, legal, economic and
decision making and the amount of attention they technological context on the side of governments
pay to evaluating the effectiveness and impact of and citizens, the complex issue of trust building
such efforts. That a significant evaluation gap as well as the more comprehensive and rigorous
exists is hardly surprising. If public engagement in evaluation of the tools fit into these contexts.
policy making is a recent phenomenon and evalu-
ation is itself a relatively young discipline, then it
may safely be said that the evaluation of public BACKGROUND
participation is still very much in its infancy.
(OECD 2005, p. 9-10) Public Participation in
Urban Planning
This evaluation gap applies to traditional
participation as well as to its support by elec- The Domain of Urban Planning
tronic means. Only recently the research and grant
programmes have begun to address the issue of Urban planning is an established area of political
appropriate concepts and methods for evaluat- decision-making at the local level with estab-
ing eParticipation. It is now obvious that closing lished procedures and an established profession.
this gap requires inter- and multidisciplinary ap- It covers official plans and other activities by
proaches. It is not sufficient to assess the usability public authorities concerning land use, traffic
of the electronic tools with concepts and methods and transport, energy and water provision, waste
of information systems and human computer management, any measures with environmental
interaction research or to assess the outcome by effects, but also social infrastructure, e.g., schools,
counting the number of users or contributions. fighting poverty and promoting social integration
Rather the application of the technical tools has of minorities as well as local financial budgets.
to be analyzed in the context of the different par- This broad range of topics has been summarized
ticipatory procedures and the respective institu- under the heading of Sustainable Development
tional contexts. This requires contributions from by the Rio Declaration, and municipalities have
political science research on participation and, been asked to elaborate their own sustainable
with regard to urban planning, additional input development program called Local Agenda 21
from planning research, environmental research back in 1996.
and others. The underlying premise is that the
potential of electronic tools can only be exploited Public Participation in Urban Planning
if they are properly embedded in their procedural
and institutional context. Therefore eParticipation Almost all urban issues and plans concern a variety
research should no longer focus primarily on the of different stakeholders with often conflicting
170
Figure 1. E-Participation in the context of urban planning
interests. There is an obvious competition for The European Commission is party to the
different options of using certain pieces of land. Convention and has launched two directives
Therefore most laws on regional and urban plan- implementing the Convention in 2003 (Directive
ning require some kind of consultation. First of 2003/4/EC on public access to environmental
all, other administrative units or public entities information and Directive 2003/35/EC providing
responsible for aspects such as nature conserva- for public participation in respect of the drawing
tion or protection of historical monuments have up of certain plans and programs relating to the
to be consulted. In addition, responsible bodies environment).
of public concern, i.e. NGOs, often have to be The reasons for demanding public participation
consulted as well. They have to be formally in- considered in the Aarhus Convention are:
vited to formulate their concerns or objections,
and the planning offices are obliged to consider Recognizing that, in the field of the environ-
these arguments and also discuss them in public ment, improved access to information and public
meetings. If decisions are taken without these steps participation in decision-making
of participation, they may be reversed by courts.
Accordingly, there are formal rights of appeal. enhance the quality and the implementa-
The obligation to also consult ordinary citizens tion of decisions,
as well became generally accepted after the for- contribute to public awareness of environ-
mulation of the so-called Aarhus Convention only mental issues,
ten years ago. The full title UNECE Convention give the public the opportunity to express
on Access to Information, Public Participation in its concerns,
Decision-Making and Access to Justice in Envi- and enable public authorities to take due
ronmental Matters enumerates the three pillars account of such concerns,
on which the Convention is based (http://www.
unece.org/env/pp/).
171
Aiming thereby to further the accountability of the greatest possible involvement in politi-
and transparency in decision-making and to cal life of all inhabitants, whether or not
strengthen public support for decisions on the they are nationals of the country. (Congress
environment... (UNECE 1998, p. 1) of Local and Regional Authorities 2000,
sect. II)
Already in the early 1990s, the Congress of
Local and Regional Authorities of the Council of Since then several recommendations and reso-
Europe had passed resolutions aiming to reinforce lutions have been passed by the Congress of Local
local democracy. With Resolution 91 (2000) the and Regional Authorities as well as the Council
Congress approved the Guidelines for a policy of Ministers (see http://www.coe.int) touching
of responsible civic participation in municipal and every aspect and factor relevant for increasing
regional life, which among others recommend well-reflected deliberative opinion building and
to strengthen citizen participation at local and real influence of citizens on local plans and deci-
regional level: sions. These all apply to urban planning as well.
Similarly, since 2001 the Organization for
The participation of citizens in local politics must Economic Cooperation and Development advo-
be guaranteed at all political and administrative cates Engaging Citizens in Policy Making and
levels. The Congress of Local and Regional Au- recommends considering Citizens as Partners.
thorities of Europe therefore agreed with Agenda (OECD 2001a, b)
21 that one of the fundamental principles for the According to Innes and Booher (2004), most
achievement of sustainable development is broad claims to justify public participation in planning
public participation in decision-making. can be captured by five purposes:
In particular, this presupposes: 1. Through participation, decision-makers can

find out what the publics preferences are
the implementation of the subsidiarity and consider them in their decisions.
principle, according to which public busi- 2. Decisions can be improved by incorporating
ness should only be carried out by the ad- citizens local knowledge.
ministrative authorities if this cannot be 3. Public participation can advance fairness
successfully accomplished by the citizens and justice.
and their voluntary associations; 4. Public participation helps getting legitimacy
the right of citizens to be informed and for public decisions.
heard on every major plan or project be- 5. Participation is offered by planners and
fore decisions are taken (transparency en- public officials because the law requires it.
courages a sense of acting for the public
good!); Recently, another very important reason has
the use of the new information technolo- been identified in the context of measures against
gies to provide citizens with comprehen- climate change. Under the heading of Environ-
sive information and establish needs and mental Democracy, the Green Mountain Institute
problems; for Environmental Democracy (2005) argues that
the creation of a system of co-operation climate change is not only caused by sources
based on mutual trust between specialised which are subject to regulated decisions but also
staff on the one hand and the citizens and by the behavior of individuals and the choices
the representatives on the other; they make every day. As behaviors cannot be
172
changed by imposing restrictions and obligations, Limits of Existing Formal Participation

new forms of engagement and self-commitment,
which can be initiated via participation in plan- Empirical evidence shows that the offered kind
ning procedures and by making citizens partners of participation by publishing plans and inviting
of planning, are necessary as well to achieve the for written comments or public hearings is poorly
goals of environmental policies. accepted. There are at least two main arguments
The first four propositions mentioned by Innes why these traditional forms of consultation do not
and Booher, however, are not completely agreed meet their objectives.
upon and are not proven by empirical evidence. First, to many citizens they are not attractive,
because it is not transparent how their contribu-
Objections against Citizen tions will be handled and what degree of influence
Participation in Urban Planning they may exercise. In the planning literature some
authors maintain that what is called participation
There are good arguments questioning the propo- does not deserve this name. For example, Arnstein
sitions of quality improvement as well as those (1971) defines a ladder of participation with eight
of fairness and legitimacy (Creasy et al. 2007). steps of increasing citizen influence. Similarly,
Many professional urban planners claim that Wiedemann and Femers (1993) propose a slightly
they have the expertise to develop plans in the different public participation ladder (Table 1).
public interest. The public may be consulted, If participation offers are to be accepted and
but because they lack the expertise, they should if public engagement and trust shall be regained,
have no influence on the final decision. Political real participation has to be established.
obligations to give the public more influence are A second argument relates to the kind of com-
perceived as undermining their expertise and munication within the formal procedures. Innes
professional status. and Booher (2004) argue that the formal partici-
A second argument questions that participa- pation in planning processes does not achieve its
tion advances fairness and justice because certain objectives because, for example, public hearings
groups of people who have more time and engage put citizens against each other, and force them
more have their voices heard, while others do not to speak in polarizing terms. Each individual has
have the time and their concerns are not entered into to argue his or her point. Often there are many
the decision process. Therefore decision-makers heterogeneous single points which are not related
cannot find out what the publics preferences to each other. No attempts are made to look for
are, but only the preferences of certain groups. compromise. In fact, compromise can only be
And a further argument comes from elected achieved when there is a mutual understanding
representatives who appreciate a light amend- of interests and arguments. These, in turn, need
ment of representative democracy but fear that some time to grow. Therefore a longer process
this extension may not be kept under control and of exchange of arguments is necessary. In the
will lead to eroding representative democracy in planning and in the democracy literature, this is
the end. called deliberation or deliberative consultation
But with regard to the legitimacy proposition, (see Coleman and Goetze 2001).
much depends on how participation is set up. If Deliberative consultation is a necessary step to
contributions are asked for and it does not become well-reflected votes. According to Coleman and
transparent how they are handled, this may enforce Goetze (2001, p. 6), methods are needed which
distrust and not create legitimization at all. encourage citizens to scrutinize, discuss and
weigh up competing values and policy options.
173
Table 1. Different degrees of citizens participation
Arnsteins Ladder of Participation Public Participation Ladder by Wiedemann and Femers

Nonparticipation 1. Public right to know
1. Manipulation 2. Informing the public
2. Therapy 3. Public right to object
Degrees of Tokenism 4. Public participation in defining interests, actors and determining agenda
3. Informing 5. Public participation in assessing risks and recommending solutions
4. Consultation 6. Public participation in final decision
5. Placation
Degrees of Citizen Power
6. Partnership
7. Delegated Power
8. Citizen Control
Such methods encourage preference formation information

rather than simply preference assertion. communication
Deliberation does not only mean a dialogue cooperation
between individual citizens and public authori-
ties, but also a triangle situation where citizens For each of the main categories a variety of
can discuss the arguments of their fellow citi- devices is identified (Table 2).
zens. This could overcome the critique of Innes
and Booher that public hearings do not lead to a Preconditions and criteria for successful
public opinion in the sense of collectively shared participation in urban planning
views or preferences, but rather to a number of
contradictory individual statements. From the above observations, two preconditions
for successful participation of citizens in urban
Methods and Devices for planning can be derived:
Citizens Participation
1. They must offer some real influence of the
Out of the critique of the established formal public;
methods of citizen participation, experiments with 2. They must provide space for deliberation to
more group-oriented and deliberative forms have get to some common preferences.
been started in the 1980s. Several countries have
revised their legislation. And at the local level These theoretical conclusions are in line with
in particular, in order to involve more people, a the Recommendation of the Council of Ministers of
variety of new forms of participation including the Council of Europe regarding the participation
focus groups, citizen panels or boards, public of citizens in local life (Rec (2001)19) pointing
surveys and many more have been introduced to the need to
and tried within urban planning and the Agenda
21 programs. give citizens more influence over local planning
There are different approaches to classify this and budgetary and financial planning; ... to ensure
broad range of methods and devices. The Organiza- that direct participation has a real impact on the
tion for Economic Cooperation and Development decision-making process, that citizens are well
(OECD 2001a, p. 23) uses a broad classification informed about the impact of their participation
with three main forms of citizen participation: and that they see tangible results. Participation
174
Table 2. Devices for citizen participation (compilation by the author)
Information Consultation Cooperation

Written official plans with maps Surveys and polls Neighborhood planning office
Leaflets Complaint forms Development trusts (i. e. by independent
Booklets Appeal services organizations)
Visualization Citizens expertise Round tables
Games Ideas competition Focus groups
Newsletters Award scheme Workshops
Oral lectures/ presentations Simulation Neighborhood committees
Road shows Face to face /door to door Consensus conferences Advocacy plan-
Hotline Consultation ning
Site visits Townhall meetings Mediation procedures
Street stalls Community planning forum
Citizens request sessions
Invitation of NGOs to council meetings
Complaint hotlines
Action planning event
Experimentation
that is purely symbolic or used to simply grant 1. petitions/motions, proposals and complaints
legitimacy to pre-ordained decisions is unlikely filed by citizens with the local council or
to win public support. However, local authorities local authorities;
must be honest with the public about the limitations 2. popular initiatives, calling on elected bodies
of the forms of direct participation on offer, and to deal with the matters raised in the initiative
avoid arousing exaggerated expectations about the in order to provide citizens with a response
possibility of accommodating the various interests or initiate the referendum procedure;
involved, particularly when decisions are made 3. consultative or decision-making referendums
between conflicting interests or about rationing on matters of local concern, called by local
resources. (Council of Ministers 2001, sect. C5) authorities on their own initiative or at the
request of the local community;
The Council of Ministers also recommends 4. devices for co-opting citizens to decision-
deliberative consultation: making bodies, including representative
bodies;
3. Make full use, in particular, of ... more delib- 5. devices for involving citizens in management
erative forms of decision-making, i.e. involving (user committees, partnership boards, direct
the exchange of information and opinions, for management of services by citizens, etc.).
example: public meetings of citizens; citizens (Council of Ministers 2001, sect. C4)
juries and various types of forums, groups, public
committees whose function is to advise or make From the theories mentioned above and the
proposals; round tables, opinion polls, user literature on criteria for evaluating processes of
surveys, etc. (Council of Ministers 2001, ibid.) public participation (e.g. Rowe & Frewer 2000,
Macintosh & Whyte 2006, RTPI 2007), four ad-
But this may not be regarded as true participa- ditional requirements for successful participation
tion and has to be accompanied by other provisions. can be derived:
Accordingly, the Council recommends:
accessibility,
Introduce or, where necessary, improve the transparency of the consultation and deci-
legislation/regulations which enable: sion-making process,
175
responsiveness, 2.0 or participatory web (OECD 2007) and

accountability of public institutions. which raise new hopes for increasing citizen
engagement and participation. Another term for
These requirements also apply to any partici- the new tools and new modes of using existing
pation process, which is supported by electronic tools is user-generated content (UGC). Many
means, i.e. to eParticipation. of these tools are not really new because the early
newsgroups on the net, long before the World Wide
Electronic Participation and its Web, consisted only of user-generated content.
Potential for Urban Planning However, it was plain text, black and white (or
green or amber on black, referring to the mono-
Definitions and Forms of eParticipation chrome monitors widely in use at that time) and
produced by a few thousand people only. Today,
Following the classification of three forms of user-generated content is text, audio and video,
eParticipation, OECD (2001b) differentiates accessible by billions of people in portals, tagged
eParticipation into and ranked by other people. It covers webcasts,
RSS feeds, podcasts, photos and video portals,
Information (eEnabling) - a one-way re- i.e., features and platforms for distributing self-
lation in which government produces and produced audio and video files, which can be
delivers information for use by citizens. employed in urban planning processes as well.
Consultation (eEngaging) - a two-way re- But there are other participative dimensions of
lationship in which citizens provide feed- the Web 2.0 as shown in Figure 2.
back to government, based on the prior Of particular relevance for participation are
definition by government of the issue on Wikis, which allow for collaborative writing of
which citizens views are being sought. plans or other documents instead of single mes-
Active participation (eEmpowerment) - a sages and comments. Via a Wiki, a statement of
relation based on partnership with govern- public opinion, a shared view on a subject can
ment, in which citizens actively engage in evolve.
the policy-making process. It acknowledg- But not many citizens are willing to write.
es a role for citizens in proposing policy So far they could only read, and their voice was
options and shaping the policy dialogue, not heard. Now rating features allow for a form
although the responsibility for the final of comment appropriate to this group. Just by
decision or policy formulation rests with clicking one to five stars or agree/disagree
government. they can make their own voice heard.
Another relevant Web 2.0 feature is social
Electronic Tools and Web 2.0 tagging. People attach keywords to elements of
plans, which they choose themselves. The tools
For each form of citizen involvement, several can link one person to others who have used the
electronic devices or tools may be employed. same keyword, and so shared views across exist-
DEMO-net, following Macintosh et al. (2005), ing social groupings may emerge.
put together a comprehensive list of eParticipation
tools with short definitions (see Table 3). Consultation-Related Tools
This list includes tools such as Wikis and
Blogs, which are considered as prototypes of a Frequently, online consultation consists of offering
new generation of Internet services called Web an e-mail address or a response form or in providing
176
Table 3. eParticipation tools (Source: DEMO-net 2007)
eParticipation Chat Web applications where a chat session takes place in real time especially launched for eParticipation purposes
Rooms
eParticipation Discus- Web applications for online discussion groups where users, usually with common interests, can exchange open
sion forum/board messages on specific eParticipation issues. Users can pick a topic, see a thread of messages, reply and post
their own message
Decision-making Games These typically allow users to view and interact with animations that describe, illustrate or simulate relevant
aspects of an issue; here with the specific scope of policy decision-making
Virtual Communities Web applications in which users with a shared interest can meet in virtual space to communicate and build
relationships; the shared interest being within eParticipation contexts
ePanels Web applications where a recruited set, as opposed to a self-selected set, of participants give their views on a
variety of issues at specific intervals over a period of time
ePetitioning Web applications that host online petitions and allow citizens to sign in for a petition by adding their name and
address online
eDeliberative Polling Web applications which combine deliberation in small group discussions with random sampling to facilitate
public engagement on specific issues
eConsultation Web applications designed for consultations which allow a stakeholder to provide information on an issue and
others to answer specific questions and/or submit open comments
eVoting Remote Internet enabled voting or voting via mobile phone, providing a secure environment for casting a vote
and tallying of the votes
Suggestion Tools for Web applications supporting participation in formal planning procedures where citizens comments are expected
(formal) Planning Pro- to official documents within a restricted period
cedures
Webcasts Real time recordings of meetings transmitted over the Internet
Podcasts Publishing multimedia files (audio and video) over the Internet where the content can be downloaded automati-
cally using software capable of reading RSS feeds
Wikis Web applications that allow users to add and edit content collectively
Blogs Frequently modified web pages that look like a diary as dated entries are listed in reverse chronological order
Quick polls Web-based instant survey
Surveys Web-based, self-administered questionnaires, where the website shows a list of questions which users answer
and submit their responses online
GIS-tools Web applications that enable the users to have a look at maps underlying planning issues and to use them in
various ways
Search Engines Web applications to support users find and retrieve relevant information typically using keyword searching
Alert services One-way communication alerts to inform people of a news item or an event, e.g. email Alerts and RSS Feeds
Online newsletters One-way communication tools to inform a general audience or a pre-registered audience of specific news items
and events
Frequently asked ques- A tree of questions and answers that can be searched using keywords or by inputting a question or statement
tions (FAQ)
Web Portals Websites providing a gateway to a set of specific information and applications
Groupware tools Tool environment to support computer-based group works
LIST SERVS Tool for information provision and two-way interaction that can be used for Citizen2Citizen, Citizen2Admin-
istration, Citizen2Politicians etc
an online questionnaire. While the questionnaire messages can be handled in small pilots, but not
does not allow for deliberation and can only be a when thousand or ten thousand citizens or more
component within a broader procedure, individual are expected to participate.
177
Figure 2. Web 2.0 formats
Honor Fagan et al. (2006) in their report on As urban planning to a large extent consists
eConsultation in Ireland emphasize four stages of information with some spatial relation, it is
of an online consultation and discuss different important to link and integrate the participation
technical devices for each stage. tools with geographical information systems
(GIS) providing the reference points for the
a. Defining the problem: In order to find out consultation.
what shall be discussed in a consultation
and how a problem shall be defined from Monitoring
the point of view of different stakeholders
and interested parties, electronic forms, Transparency has been emphasized as being im-
issue forums or story-telling blogs are portant for motivating participation and building
recommended. trust. There are several ways to employ electronic
b. Exploring the problem, i.e. discovering dif- tools to improve transparency, either by public
ferent sub-problems and views, understand- authorities themselves or by third parties.
ing reasons for concerns etc. can be supported Transparency about the voting behavior of
by online chats, video conferences, uploads elected representatives is provided by a website
of photos and videos. Furthermore there is run by a non-government organization http://www.
a need for and there are tools for mapping theyworkforyou.com in the UK.
different arguments (e.g. mindmaps). Many city portals offer forms for notifying
c. Choosing and developing solutions: When local problems regarding pavement, street light-
a few solutions emerge, they can be coming etc. Via the portal http://www.fixmystreet.
mented and ranked. Or different people can com, citizens can enter a problem together with
change and add a draft, if it is offered as a postal code and details. The portal sends it to the
Wiki, a collaborative writing tool. respective council, tracks replies and produces
d. Managing the consultation process covers listings of responsiveness, i.e. how long it takes
issues of registration as well as structuring to get a confirmation and a report about fixing
contributions and producing reports. the problem.
178
Tracking and tracing features can be provided Expectations Regarding

by public authorities themselves regarding com- eParticipation and their Validation
plaints or appeals in the context of urban planning.
In the UK the planning department provides infor- There is high agreement about the technical
mation about open consultation on a web portal potential of the eParticipation tools with regard
(http://www.planningportal.gov.uk). Citizens can to improving information and communication in
enter appeals online, look for other appeals which participation processes (e.g., OECD 2003, p. 33).
have been accepted as valid and after having re-
ceived a reference number view the status of their Online offers of participation are easier
request and the final decision. And citizens can and cheaper to access than physical meet-
also comment on other peoples appeals. ings and allow for greater flexibility in
time, and thereby reach a larger number of
ePetitions people.
Many people do not like to speak in front
Petitions and referenda are means to give the public of a larger audience and prefer to write
a real say and therefore were recommended by comments in a forum.
the Committee of Ministers. Information can be visualized and
The Scottish Parliament was the first, after a animated.
five-year pilot phase, to allow online petitions. Different levels of aggregation of informa-
The system allows tion can be offered and linked.
Online offers allow for interactivity, allow-
to propose a text for a petition, ing more in-depth consultation and support
to collect signatures, deliberative debate.
to open a forum for comments on the pro- Individual replies and comments can be
posed petition, published and shared.
to moderate the forum, and Online offers allow for more transparency
to produce reports out of the comments. of dialogues, are easier to monitor and to
evaluate.
Because the petitions may be made public as
well as the signatures they have received, any There are cases where these effects have been
interested party can take a look, who and how observed. Therefore they bear witness to the po-
many have signed, read comments, and thus can tential of eParticipation tools. But as emphasized
take a better founded decision. The whole process in the introduction, these are no automatic effects;
is more transparent and effectively overcomes the whether they are achieved or not depends on
physical challenge in the offline world to collect how these tools are embedded into participatory
the necessary minimum of signatures. processes and how they are used.
Meanwhile other national parliaments have Based on the now available technical capa-
adopted the system (in Germany see http://www. bilities, there are still much wider hopes. Only
bundestag.de) as well as local councils, e.g. Bris- recently the Congress of Local and Regional
tol City Council (http://www.bristol.gov.uk/item/ Authorities of the Council of Europe in a resolu-
epetition.html) or the Royal Borough of Kingston tion on Electronic democracy and deliberative
upon Thames. consultation on urban projects has declared that:
179
Electronic democracy, also known as cyber- question of impact as well as for the right way
democracy, offers a powerful tool to counteract of using the technical devices.
citizen disengagement and disillusion and to The overall impression gained from these
develop the dialogue and trust essential for good studies is that the Internet is still used for dis-
governance. Electronic deliberative consultation seminating information and receiving questions
for sustainable urban spatial development offers a or comments from citizens. Very seldom there
way to revitalise local democracy and citizenship is a dialogue, which is a constitutive feature of
by facilitating peoples participation in shaping deliberative consultation.
policies and decisions which impact on their
lives and environment. (Congress of Local and Implementation of the
Regional Authorities 2008a, p.2) Aarhus Convention
However, there is no empirical evidence to The only international surveys covering a larger
sustain this hope on a general basis. It is also number of countries were conducted in order to as-
very unlikely that such positive impacts can be sess the implementation of the Aarhus Convention
assessed sufficiently. Because trust in politicians with its obligation to improve access to informa-
and political bodies depends on so many factors, tion, citizen participation and access to justice.
there is no valid method to assign a change in In 2005, the UNCEC tried to assess the imple-
trust or engagement to the employment of techni- mentation of these three pillars, based on national
cal tools or devices. If people are not interested reports by member states covering the national
in a certain subject, they will not participate in a level only. The national reports of 20 member
consultation, regardless of whether it is held of- states and the synthesis report are available at
fline or online. Only if there is an interest in the http://www.unec.org/env/pp/reports.
subject, the online mode may appear easier or Regarding access to environmental informa-
more attractive than offline devices. tion, the synthesis report summarizes that many
countries are using ICT for dissemination but that
State of the Art: Surveys and there are some restrictions:
Studies of eParticipation in
Urban Planning Projects not all public authorities submit their
information,
Research on eParticipation is largely case-orient- in many countries there is only one nation-
ed. There are only a few comparative studies on al centre (to publish information),
the state of the art of eParticipation within one Internet can make access easier, but in
country or across a few countries. Most of them many eastern and central European coun-
look at the national level only. None of these tries Internet penetration is so low that
surveys and studies shows a serious attempt to many citizens cannot make use of this new
evaluate the quality of the processes described. access channel.
They mainly count participatory acts such as
comments, participants, votes, etc. and rely to a Regarding public participation, implementa-
large extent on data provided by the organizer of tion by legislative measures is less advanced and
participation or on reports of national govern- quite dispersed. Again, the focus of the study here
ments. They are of poor data quality and have is on regulations and institutions at the national
almost no relevance for answering the crucial level, and the use of ICT is not mentioned at all.
180
In 2006, The Access Initiative, a global coali- offers for citizen participation. In 2005, compared
tion of public interest groups monitoring the imple- to 2004, there was an increase of the number of
mentation of the Aarhus Convention, published a cities offering some kind of citizen participation.
report on comparative levels of environmental While information about the government structure
democracy among a selected number of mostly and decision-making procedures is evaluated posi-
eastern European countries, i.e., Bulgaria, Esto- tively, there are only 13 cities offering some kind
nia, Hungary, Latvia, Lithuania, Poland, Portugal of informal participation on a few selected topics.
and Ukraine (Kiss et al. 2006). The summary of Regarding formal participation and consultation
this report confirms the general impression that processes, 48 out of 82 cities provide informa-
Access to information is generally satisfactory tion about the offline procedures, only 17 allow
in practice, in particular with regard to official for online submission of comments. The report
reports, while public accessibility of individual therefore summarizes that citizen participation
facility data is significantly worse. Participation via the Internet is still an exception, even where
in decision-making exists, but cannot guarantee it is required and recommended by law (Initiative
that the public is heard. While the report mentions ePartizipation 2005).
the use of ICT for information provision, there is In a comparative study on local eDemocracy
no information about eParticipation in this context initiatives covering Estonia, Hungary, Italy, Spain,
in the assessed countries. Switzerland, the United Kingdom and the United
Taking the implementation of the Aarhus States, Peart and Diaz (2007) also found only a few
Convention as an example, the state of the art cases of moderated forums, deliberative interac-
does not achieve a satisfactory level of accepted tion or participation by contract, for example. The
procedures into which electronic devices may be few good practice cases were not only found in
implemented in order to make them more effective the UK and US, but also in Hungary and Spain.
or to improve their quality. Rather there are a lot of Torres, Pina and Acerete (2006) conducted a
lacks and deficiencies in the institutional contexts survey of 35 cities with more than 500,000 in-
which cannot be healed by technical devices. habitants in 12 European countries. In 2003 and
2004, the websites of these cities were surveyed
Studies at the Local Level according to 173 criteria items. Items referring
to eDemocracy included information about the
This general finding applies to the local level as mayor and council members, minutes and reports,
well. press releases and offers for citizen dialogue such
as complaint boxes, forums and other ways of
(1) Local Governments Websites democratic engagement and participation. While
The Local eDemocracy National Project in the on average more than 60% of the cities websites
UK is probably the largest and best-documented contained informational items and even 65% a
set of experiments with eParticipation at the local complaint box, only 25% offered a forum and 37%
level in Europe. In their survey of local govern- other kinds of engagement or participation. The
ment websites, Pratchett et al. (2005) found that different items were put together to an index on
only 32% of all council websites offer some kind political information and citizen dialogue, reach-
of online forum, but it is not clear to what extent ing 45% and 30% respectively as mean values.
the discussion is moderated and to what extent
they are listened to by the councilors or officers. (2) Online Planning in Germany
In Germany, the Initiative ePartizipation ana- Only one larger quantitative study dealing with
lyzed the websites of all 82 larger cities in regard to online consultation in urban planning was found.
181
In 2006, the German Institute for Urban Studies While research papers show promising opportu-
(Deutsches Institut fr Urbanistik) wanted to nities for development in this field, realworld
assess the effects of a new clause in the German surveys on GIS-based public administration
Federal Building Act, which allowed the use of websites in Italy, Austria and Denmark) show as
electronic media in town planning procedures. a general trend a weak attitude of local communi-
Its scope extended to participation procedures for ties in developing online participatory processes
other public authorities and the general public. so far. (Campagna 2007)
Out of the sample of 235 responding municipali-
ties, 60% publish their maps and documents on Finally, low acceptance by the public is found
the Internet and use it for consultation of other for GIS-based participation systems as well. Stein-
authorities or the public, but only 9% publish mann et al. compared case studies of experiments
comments they receive (Strauss 2005). and pilot projects of GIS-based citizen participa-
The online offers did not meet their expectation in the US and Europe. They summarized that
tions. They did not increase the number of com- technology is well developed but not applied in
ments nor did they save costs in the majority of a useable way for citizens. Therefore, in their
cases. The most frequently mentioned obstacles empirical case studies, participation could not be
and difficulties concerned hardware and software increased significantly. The authors call this reac-
facilities of citizens and download time (23-60%), tion of citizens rational ignorance, meaning that
and readability of plans (37%). the cost of getting the information to participate
in a planning procedure, including learning how
(3) State of the Art of Geographical Information to use the GIS tools, is greater for many citizens
Systems in Participatory Processes than the gratification caused by this information,
As mentioned above, eParticipation tools have to and therefore it is rational not to use the systems
be linked with geographical information systems (Steinmann et al. 2004).
(GIS) in urban planning applications, where plans
are generated and administered for internal pur-
poses. Expectations are high, expressed among FUTURE RESEARCH DIRECTIONS
others by the term Public Participation GIS
(PPGIS). The term was coined at meetings of the Recently, DEMO-net, a network of eParticipation
US National Center for Geographic Information researchers funded by the European Commission,
and Analysis (NCGIA) and denotes the possibil- conducted a review of the state of the art of their
ity of empowering and including marginalized research area. Macintosh and Coleman state that
population groups in planning at the local level after 20 years this field of research is still explor-
by employing spatial and visual tools (e.g., Craig ative and descriptive. Acknowledging the start of
et al. 2002; Sieber 2006). Technically there are some explanatory and multi-disciplinary research
several concepts and pilot systems for spatial de- efforts they maintain:
cision support systems or collaborative planning
support systems. However, in a comparison of That a key challenge is to encourage more - and
the use of GIS-based websites for spatial plan- more sophisticated - collaborative multi-disciplin-
ning in Denmark and Italy, Campagna found that ary research in this area with a view to establish-
these websites offer mainly just one-directional ing a set of research questions and problems that
information, whereas interactivity is limited to are specific to eParticipation. Achieving this will
search functions. ultimately require more dialogue on the part of
eParticipation researchers. One initial and broad
182
suggestion is to focus on the commonalities and 3. More rigorous evaluation according to

links between our shared object of research, by multi-layer frameworks, including a stronger
analysing, differentiating and comparing ecolo- concern for context-related impact.
gies of eParticipation. This means refusing the
research convenience associated with treating E-Tools and their Fit within a
specific examples of eParticipation in isolation. Multi-Dimensional Context
It would mean exploring the commonalities and
links that exist between different eParticipa- The general requirement of putting eParticipation
tion activities, in terms of technology, systems, tools in their procedural and institutional context
structure, and patterns of use, as analysed by the can be operationalized by referring to organiza-
different research methodologies, expertises and tional, cultural, legal, economic and technical
perspectives outlined in this chapter (Macintosh aspects. Participation tools and procedures are
and Coleman 2006, p. 37). not autonomous or isolated entities but offerings
for communication between public authorities and
Similar conclusions were drawn by the inter- citizens, or more general the public, and have to
national ESF Research Conference on Electronic fit into the respective contexts on both sides to
Democracy, held in November 2007 in Sweden, the communication (Figure 3).
where leading eDemocracy researchers from
more than 10 countries discussed the state of the Organizational Fit
art and the challenges of eDemocracy research.
Present research was assessed as mostly oriented Organizational fit on the supply side of eParticipa-
to singular cases, which cannot be compared tion means that tasks for developing and applying
because subjects, target groups, ways of partici- the technical tools, managing the communication
pation, electronic tools and other communication process, and taking care of the output have to be
channels differ. Due to so many variables, no assigned to organizational entities. The relevant
case corresponds to another. Despite the diversity workflows have to be amended, adapted or re-
of the relevant aspects and the great number of engineered. In many cases, at least three parties
disciplines that have to join in, there is no trend are involved on the supply side: political decision-
toward joint theoretical or methodological founda- makers, one or more offices or departments re-
tions discernible. Before success factors can be sponsible for the subject at stake (zone planning,
theoretically determined and empirically proven, traffic, energy) and the ICT department, often with
there must be a common understanding of what a external providers as subcontractors. And often
success is and how it can be measured. This has to there is no clear agreement on the distribution of
be done through multidisciplinary collaboration tasks and the objective. Politicians may ask for a
(Kubicek 2008). forum, and a technical tool will be implemented.
There are three future trends, which promise But it is not clear who shall moderate according
major improvements in eParticipation research to which rules and to which regard contributions
in the context of urban planning: shall be summarized by whom and for whom. In
the UK review, Pratchett et al. (2005) found that
1. Analyzing e-tools in regard to their fit within the lack of subject and democracy related knowl-
a multi-dimensional context; edge on the side of the providers of the technical
2. More emphasis on trust and confidence tools prohibits clear and common objectives for
building; an eConsultation. So again many officials ques-
tion the benefits, but indeed have no clear objec-
183
Figure 3. Five-Dimensional double-sided fit of eParticipation tools
tives and strategies for exploiting the potential. urban planners, the norms of elected councilors
But as with any other large process innovation, and officers regarding local politics and democ-
eParticipation projects have to be organized and racy as well as the attitudes of citizens towards
managed well. Otherwise there is a vicious circle: politicians and the ideologies of political or civic
A poorly managed project will deliver poor results society organizations.
and reduce the readiness to put more efforts into In their interviews with local councilors and
this area. officials, Pratchett et al. found that a restricted
On the side of the citizens or public, it is im- understanding of local democracy is the main
portant to make a difference between individual barrier for limited offerings of eParticipation. To
citizens and communities or networks to be ad- many councilors, the primary role of local gov-
dressed. If communities or networks within the ernment is not democracy but service delivery.
target population exist, their internal organization They assume that this is what their customers
has to be considered when designing tools and want (2005, pp. 23f.).
processes. The same is true for urban planners who accord-
ing to Creasy et al. (2007) perceive their profes-
Cultural Fit sion as developing plans for the public and to the
public, but not with individual citizens. Therefore
E-Participation is culturally well embedded and many planners perceive citizen participation as a
successful when the communication via technical threat to the quality of plans and a critique of their
devices corresponds to the expectations, values professional expertise.
and informal norms of all participating organi- Both findings point to the existence of a vi-
zations and individuals. In the context of urban cious circle with self-fulfilling prophesies. Elected
projects this includes the professional norms of political decision-makers and officials assume that
184
citizens primarily expect high quality services limited financial resources appeared to be particu-
from their local government, just like commercial larly problematic. The organizational confusion,
services of banks, or insurance companies. They who is responsible for what in eParticipation see
regard citizens as customers and assume that above, directly leads to the financial confusion
they do not care for democracy. This assumption about who is to pay. While e-government activi-
is frequently confirmed when offline or online ties are expected to provide some cost savings
discussions are offered and only a few people take in service provision, eParticipation projects will
part. But the reason might not be lack of interest, cause additional expenditure for a long time be-
but rather the wrong offer. Surveys show that cause they will mainly be offered as an additional
many citizens are interested in having their voice communication channel as long as there is a digital
heard. But from most of the offerings today they divide. As many projects have a general political
do not expect that they are really listened to. In dimension and a specific subject, different budget
other words: Only when a culture of active local positions are affected. Another aspect in regard
democracy is developed and citizens regain trust to the economic dimension is an often prevalent
in their electorate, they will re-engage. concern that consensus reached in consultations
might lead to more expensive solutions.
Legal Fit Economic fit also concerns the side of the
addressed constituency. The use of the e-tools
As shown in the first chapter, there are several has to be affordable to everyone addressed. This
legal requirements for citizen participation in means that they cannot be limited to user groups
different areas of urban planning. If eParticipa- which have broadband access from their home.
tion and communication via e-tools is offered in In order to achieve some degree of equality of
these contexts, it has to conform to the respec- chances to participate, public access points and
tive legal requirements. As in eGovernment, the support have to be provided. However, these are
authentication of the consulted citizens and/or the very expensive.
integrity of the message may be required by law. As Internet access, even though very wide-
For e-devices this means that they have to provide spread now, will remain to be non-universal for
some authentication and encryption features. In quite some time, no formal consultation will be
Germany, planning offices in some formal pro- conducted online only. This means that for the
cedures accept e-mails as official contributions, foreseeable future no costs for traditional meth-
while others in other procedures require written ods can be saved and eParticipation tools will
and signed letters, which would require digitally be regarded as additional costs at least until a
signed messages for online appeals. There are culture develops which will demand it.
also concerns whether maps provided on a web
platform meet the integrity requirements of an Technical Fit
official document.
Technical fit means that the eParticipation appli-
Economic Fit cations offered, for example through a website,
have to be integrated into the existing ICT infra-
Of course e-consultation requires financial re- structure and the special software programs and
sources for the technical tools and the management tools used in the offices and departments involved.
of the communication process, i. e. moderation, The empirical evidence from the few examples
analysis and summaries, which cost often more of electronically supported formal consultation
than the hard- and software. In the UK survey, in urban planning showed that exchanging docu-
185
ments between the workflows of consulting party decision-making bodies committed themselves
and consulted agencies is a major barrier. Also, to adapt the result of the participation process,
maps could only be downloaded effectively if the if this process was fair and neutral (Kubicek/
participating citizens had broadband access. And Westholm 2009).
thirdly, the ease of use when accessing documents
from the outside largely depends on the quality of Balance Between Professional
internal document management systems. Expertise and Political Fairness
Building Trust and Confidence A second crucial aspect identified in recent re-
search on trust in eParticipation is the balance
One of the major objectives political bodies and between professional expertise and political
politicians want to achieve by offering participa- fairness. Physical ratios and technical norms in
tion is to regain trust and confidence of citizens an environmental impact assessment should not
in the democratic institutions and the decisions be overruled by majority votes of citizens. On
they take. However, many case studies show that the other hand, when there is a choice between
the eParticipation applications do not contribute different architectural designs for the renewal of a
to trust building. Instead, trust is already the pre- place in town, majority votes might be appropriate.
requisite for citizens engagement in participation Therefore the degree of leverage given to the
processes. If citizens do not trust political bodies, participating citizens should also depend on the
most frequently they will not follow the invitation subject of participation and the need for profes-
to participate in a participation process launched sional and scientific knowledge. Because there is
by this body. Still, recent research revealed some distrust in technical norms as well, the best solu-
relevant insight now being looked at by ePartici- tion is to offer cooperation procedures wherever
pation practice and research. possible, because here professional planners and
experts can work together with citizens and interest
Trust Building by an Appropriate groups. Through the course of several meetings,
Cultural and Legal Environment mutual understanding can grow.
There is a certain tension between the profes-
Trust can only be gained based on full transpar- sional self-esteem of planners and many other
ency. Therefore the rules of a consultation or highly educated public servants on the one side
cooperation offer have to be made clear from the and their obligation to consult and adhere to the
beginning. In particular the offering party has to public. Public servants can limit the potential of
determine how the contributions of the citizens citizen participation in many ways. To overcome
will be handled, who evaluates them, how they resistance of the public servants is therefore cru-
may be considered in decisions etc. cial and can be achieved in two ways (Creasy et
Greater motivation can be expected when the al. 2007). To better appreciate what citizens can
decision-making authorities commit themselves contribute, practical experience with cooperative
to adopt the outcome of a process. In this case, procedures is essential. Once a cooperative pro-
the conditions have to be precisely defined, and it cess has been started, prejudices disappear. And
has to be made transparent how these conditions the perception of citizens taking over the job of
are met. Contracts may be helpful. This was the planners disappears when cooperation is extended
case in a participation process dealing with the to coproduction. In coproduction, the process is
renewal of a public swimming pool in the Free not only about improving public plans but also
Hanseatic City of Bremen, Germany, where the about what citizens can contribute to solve the
186
problem at stake. Therefore a carefully designed intermediary and 40% in the outer circle (Osimo
trial with citizens participation can be the first 2008, p.18). If this is the case, trust could be built
step in a larger change process of participatory effectively by employing Web 2.0 based ratings
urban planning. and extending an active communication strategy
to traditional mass media. To assess this kind of
Considering Different impact, research methods cannot be limited to on-
Levels of Engagement line surveys of users but have to be complemented
by representative telephone surveys.
Public involvement is offered in many public areas.
No citizen has the time to engage in several of these Legally Binding Procedures and
at the same time. Therefore broad representation Multi-Channel Applications
in multiple concurrent participatory processes is
not to be expected. Only few people will be ready One result from the surveys was that there are
to engage in cooperative processes. almost no online offers for legally mandatory con-
But the impact of trust building may well go sultation procedures or local referenda. They are
beyond the small number of heavily engaged the form with the highest influence and therefore
citizens. There are at least three levels of engage- should be at the end of the deliberative process.
ment for which different technical tools can be But these procedures require equal chances for
provided, in particular by Web 2.0 technologies. all entitled to participate. eParticipation applica-
One can speak of three circles of engagement (cf. tions can make participation possible for people
Osimo 2008). who cannot come to an office to look at a hous-
ing plan because of mobility restrictions. But
There is an inner circle of heavily engaged online access is not evenly distributed (digital
citizens who write comments in electronic divide). eConsultation meets new barriers and, as
forums, attend meetings etc. In Web 2.0 the single channel of communication, can never
terminology, this group produces or gener- achieve equal chances. Therefore a multi-channel
ates content. approach is mandatory. And for the socially and
Around this inner circle is an intermediary economically disadvantaged additional support
circle of people interested in the subject. has to be organized.
For several reasons they do not want to Another reason why there are almost no formal
produce content, but are ready to review or online appeals or referenda is a lack of technical
comment in an anonymous way. For these security, which is the same problem as for eVoting.
groups ratings are an appropriate means of For a legally binding consultation procedure, the
involvement. same principle of one person, one vote applies.
Both circles are watched by a group of Only the principle of secrecy may not. However,
people reading the content generated by there must be a valid authentication procedure.
their fellow-citizens, who also pay atten- Digital signatures and electronic identity cards
tion to how the offering agency responds. may solve this problem eventually. But for the next
They often get interested via a newspaper ten years, they will not be the ubiquitous means
or local television report and only then of identification of citizens in most European
look at the respective webpage. countries. Therefore other means of authentication
have to be provided and probably be recognized
Osimo estimates that out of a total target group by legal directives or amendments to existing
of 100% there may be 3% in the inner, 10% in the legal participation regulation.
187
Systematic Evaluation So far this concept has not been applied in any
comparative assessment. From a methodologi-
From the point of view of planning authorities and cal point of view the three views do not meet the
funding agencies, there is an increasing concern requirements for valid classifications such as the
for assessing the effectiveness and efficiency of comprehensives of the classification and the exclu-
eParticipation. siveness between the classes, With regard to the
context related approach proposed in this chapter,
Multi-Level Frameworks the classification seems to focus too much on the
e-tools while at the same is disregarding the goal
According to the basic premise of this chapter achievements in the subject area of the respective
that eParticipation tools have to be analyzed and participation processes.
assessed in their context, a multi-level framework
Goal-Related Impact and Subject-
is required for evaluation. The European Research
Oriented Differentiation
Network DEMO-net has reviewed the state of the
art of evaluation research on eParticipation and
For many participation researchers participation
issued conceptual and methodological recom-
is a goal in itself, and they confine evaluation to
mendations. Based on the work of Macintosh/
the impact on strengthening democracy (i.e. the
Whyte (2006), a three-level framework has been democratic perspective). However, participation
proposed (Lippa 2008). is also a means in the political process to achieve
specific goals, such as gathering additional ideas
The first perspective adopts a socio-techni- and reaching better informed decisions, to get to
cal view and looks at the e-tools and their plans which are more highly accepted or in the
use. case of environmental issues to reduce emissions
The second perspective looks at the partic- To get hold of these aspects as well and to pro-
ipation process, which is mostly organized vide for a more systematic assessment the adoption
as a project. of a structural model developed for assessment of
Finally the democratic perspective deals projecrs within the UN environmental program and
with the long-term impact within the po- recommended by the OECD seems for promising.
litical system including the issue of trust. This model distinguishes five categories of factors
to be assessed:
Table 4. The DEMO-net proposal: three perspectives for evaluating eParticipation
Level Criteria Method

Tool Level (socio-technical usability, usefulness and usage of eParticipation tools expert reviews of the websites and usability
view) tests with selected users, content analyses
of forum contributions, log-file analyses of
use frequency, online questionnaires and
offline questionnaires.
Process Level (project view) different characteristics of participation processes such stakeholder analysis, expert interviews
as transparency, commitment, responsitivity, attitudes and focus groups, also online question-
and behaviour of actors involved, reasons for not par- naires and representative surveys (phone
ticipating interviews)
Political Level (Democratic long-term positive effects of (e-) participation, building online surveys and representative phone
Perspective) of trust in political institutions and politicians and the interviews
readiness to political and civic engagement
188
Input = available resources, assessment of more than 150 (e)participation

Activities = implementation of resources, processes, dividing them into six categories:
Output = product or produced service, e-participation / e-consultation, participatory
Outcome = immediate and direct effects, budgeting, petitions, redress, asset transfer and
Impact = conditioned long term and broad- citizen (self)-governance (Pratchett et al. 2009).
er effects Their comparative analysis, is based on available
reports. It is mainly looking for impacts on the
To adapt this model for the evaluation of (e) individual and community level and for success
participation processes we may add a category factors within each category. To compare and
process and propose more concrete indicators assess the impact of different communication
for each category (see Figure 4). A great advan- channels an international project,under the co-
tage of this model is the distinction between the ordination of the author of this chapter has just
participation offers as the output, the usage of started looking at the same form of participation
these offers as outcome and the impact of this within the same subject area to achieve the high-
usage. With regard to the impacts we propose to est possible degree of comparability. In Austria,
separate changes in attitudes, e.g. trust in political Germany and Spain in three cities each two panels
bodies, from changes in behaviour, e.g. increasing of hundred or more citizens commit themselves
political engagement or participating in elections, to support their city government in reaching the
but also changing consumer behaviour on the objectives of local CO2 saving policy goals by
individual level and the overall goal achievement changing their consumer behaviour and regularly
in the subject area as a consequence of these report data on their energy consumption, mobility
individual changes. and food related behaviour. For this purpose ad-
Rose, Lippa and Rios (2009) have com- ditional tools, in particular a CO2 calculator have
pared participatory budgeting at the local level. been introduced. Participants submit their data
Pratchett et al recently have submitted the most every two month and get a feedback where they
comprehensive and well founded comparative are standing in relation to comparable households.
Figure 4. A structural model for evaluating (e)Participation
189
According to Thaler and Sunstein (2008), this who are not ready for more extensive engagement.
kind of feedback creates n special motivation to Regarding eParticipation research there is a
compete and engage more strongly. In order to trend to go beyond individual case studies and
assess the overall impact the achievements of the to conduct comparative studies and to explain
panelists, i.e. the participation effect, their data on differences. This requires multi-disciplinary
energy consumption will be compared with the concepts and methods. Recently, proposals have
average of households in comparable neighbor- been made for more comprehensive and rigorous
hoods, provided by the local utility. The effects evaluation of the effectiveness of eParticipation.
of different communication channels will be ana- In practice, however, there are still several barriers
lyzed for the first time in a large field experiment to implement these recommendations. A crucial
design: One panel communicates online, enters question arising from these debates concerns the
the data via the Internet into the calculator and comparability of participation processes dealing
immediately gets feedback by statistical figures, with different subjects. The basic idea of putting
receives electronic newsletters and participates eParticipation into context in its final consequence
in online-fora, while the second panel employs a requires an evaluation, which needs to add content
paper-household book to file their consumption and context-related to the general democracy-
data and reports them via telephone interviews, related criteria. eParticipation in local budget plan-
receives a printed news letter and is invited to ning has to be evaluated by some different criteria
physical focus group meetings (for mor details than a land-use plan or local climate change policy.
see http://www.e2democry.eu). Such a differentiation raises new conceptual and
methodological issues and might even lead to a
paradigm shift in eParticipation research.
CONCLUSION
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Improving Decisions about Health, Wealth, and behavior in order to improve sustainable devel-
Happiness. Yale University Press 2008 opment.
eParticipation: The support of citizen partici-
Torres, L., Pina, V., & Acerete, B. (2006). E-Gov- pation in political decision-making supported by
ernance Developments in EU Cities, Reshaping information and communication technology, in
Government Relation to Citizens. Governancy, particular the Internet.
19(2), 687699. eTools: Applications of WorldWide Web func-
UNECE Convention on Access to Information. tions employed in eParticipation processes such
(1998, June 25). Public Participation in Decision- as online consultations. Most prominent tools
Making and Access to Justice in Environmental are electronic fora, polls/surveys, wikis, online
Matters, Aarhus, Denmark. Retrieved December newsletters or chat-rooms.
11, 2008, from http://www.unece.org/env/pp Evaluation of eParticipation: The systematic
assessment of the effectiveness and efficiency of
193
eParticipation projects or processes. There are dif- lar allow users to provide and publish their own
ferent suggestions for the definition of evaluation content (e.g. pictures or videos) and their com-
criteria, empirical indicators and measurement ments (as text or via rating scales). Synonyms are
methods. participatory web or user-generated content.
Web 2.0: Recent developments of the World
Wide Web within the Internet, which in particu-
194
195
Chapter 10
Beyond Citizen Participation
in Planning:
Multi-Agent Systems for
Complex Decision-Making
Domenico Camarda
Technical University of Bari, Italy
ABSTRACT
The new complexity of planning knowledge implies innovation of planning methods, in both substance and
procedure. The development of multi-agent cognitive processes, particularly when the agents are diverse
and dynamically associated to their interaction arenas, may have manifold implications. In particular,
interesting aspects are scale problems of distributed interaction, continuous feedback on problem set-
ting, language and representation (formal, informal, hybrid, etc.) differences among agents (Bousquet,
Le Page, 2004). In this concern, an increasing number of experiences on multi-agent interactions are
today located within the processes of spatial and environmental planning. Yet, the upcoming presence
of different human agents often acting au paire with artificial agents in a social physical environment
(see, e.g., with sensors or data-mining routines) often suggests the use of hybrid MAS-based approaches
(Al-Kodmany, 2002; Ron, 2005). In this framework, the chapter will scan experiences on the setting up of
cooperative multi-agent systems, in order to investigate the potentials of that approach on the interaction
of agents in planning processes, beyond participatory planning as such. This investigation will reflect
on agent roles, behaviours, actions in planning processes themselves. Also, an attempt will be carried
out to put down formal representation of supporting architectures for interaction and decision making.
INTRODUCTION development. Environmental laws and norms,

increasingly widespread in different Countries,
The increasing orientation of spatial planning to- legitimate a large social participation in planning
ward the so-called environmental sustainability debates. For example, the diffusion of environmental
has brought new agents into the process of plan impact assessment and strategic assessment regula-
tions in Europe, during the 1990s and 2000s, has
DOI: 10.4018/978-1-61520-929-3.ch010 generated a wide arena of discussion and also an
Beyond Citizen Participation in Planning
important occasion for the development of new In general, a large complexity comes out in
technologies. planning knowledge and exercises, implying in-
Different social groups enter both technical novation of planning methods, in both substance
and political debates on the two opposite faces of and procedure. The development of multi-agent
the environmental context. They contribute to the cognitive processes, particularly when the agents
setting up of spatial plans and projects, but mean- are diverse and dynamically associated to their in-
while they are able to delay or speed up them even teraction arenas, may have manifold implications.
wrongfully, in the attempt of defending their stakes, In particular, interesting aspects are scale problems
considered as absolute principles (Forester, 1999). in distributed interaction, continuous feedback
A space of mediation and negotiation is continu- on problem setting, language and representation
ously created in confrontations and conflicts, and it (formal, informal, hybrid, etc.) differences among
is managed by mediators or negotiators. They play agents (Bousquet & Le Page, 2004).
a role rather similar to the so-called intermediate In this concern, an increasing number of experi-
agents of the multi-agent distributed computer ences on multi-agent interactions are today located
science, who are essential in the coordination of within processes of spatial and environmental
such complex task organizations (Ferber, 1999). planning. Case studies have not been deliberately
To date, the theory and the practice about these set up using formalized and/or predefined multi-
planning multi-agencies is not able to clear up agent-system layouts, as described, i.e., by Ferber
some theoretical and practical problems that look (1999) or Wooldridge (2002). Basically, the need
significant. First, the democratic or oligarchic or for the involvement of a number of different agents
even aristocratic basis of multi-agencies (com- during the planning process induced issues of
monsense vs. expert agents, for example; Fischer, gathering and exchanging complex knowledge,
2000) is not clear in its process of building and representing structured concepts, supporting
legitimization, and is open to numerous theorems or different formal/informal languages, structuring
cases of impossibility (Arrow, 1963; Owen, 1995). complex problems, allowing synchronous and/
Further, the cooperative compromise approach to or asynchronous communication. Therefore, a
solutions is logically inappropriate to phenomena multi-agent approach and supporting system
that are external to the disputing agents. Finally, (MAS) emerged in a bottom-up fashion, driven
the System Theorys postulate on the super-sum by the needs of the activities being carried out.
of parts seems not always and not clearly affirm- Yet, the upcoming presence of different human
able in knowledge domains (Kalman, 1969). These agents often acting au pair with artificial agents in
are only few examples of the major problems that a social physical environment (e.g., with sensors
planning multi-agencies have to face. or data-mining routines) often suggests the use
But plans are technical and political exercises of hybrid MAS-based approaches (Al-Kodmany,
per se, in that they are both constructions of action 2002; Ron, 2005). However, such approaches have
optimization over time and social organizations not been formalized properly to date, due to both
toward action, therefore requiring coordination the lack of time allowed by grants associated to
and consensus. As a matter of facts, plans can be projects - mostly target-oriented - and to a research
also individual constructions, as occurring when attitude toward the improvement, rather than the
for example they are drawn out by a business formalization of methodologies during that little
manager. However, even individual plans may time available.
involve multiple agents, because they are typically In this framework, the chapter will scan some
built upon informational materials developed by experiences on the setting up of cooperative
other agents (Ferber, 1999). multi-agent systems, in order to investigate the
196
potentials of that approach on the interaction of Technical University of Bari, Italy. The first set of
agents in planning processes. Considerations research activities (1999-2003) has been financed
and discussions will be carried out not under the by the European Union, and oriented to building
perspectives of sociological or policy analysis up sustainable development scenarios in the Medi-
or methodologies of participation in planning. terranean region to support planning decisions. A
Rather, arguments will be developed with a further analysis is developed on a second set of
computer-science approach, regarding particularly case-studies carried out in some southern Italian
the potentials of system architectures aiming at cities (2004-2008), mainly oriented at setting up
supporting interaction and participation. hybrid human-artificial multi-agent interactions.
This investigation will reflect on agent roles, In the first set of research activities occurred
behaviors, and actions in planning processes from 1999 to 2003, the initial activity was con-
themselves. Also, an attempt will be carried out centrated on the Tunis case, and its topic was the
to put down formal representation of supporting interplay between agriculture and urbanization
architectures for interaction and decision-making. (Khakee et al., 2002a). Then, the activity in Izmir
In this concern, the discussion will be oriented (Turkey) dealt with coastal zone management
at singling out aspects, features and arguments and the sustainable use of coastal urban areas
beyond the traditional and substantial ontologys (Khakee et al., 2002b). The third activity occurred
of participatory planning. in Rabat (Morocco) and dealt with the impact of
More particularly, the chapter is organized as market globalization on the actual and potential
follows. A first section is devoted to the description use of local resources, under the perspective of the
of the case studies, with critical considerations, emerging Euro-Med free trade zone (Barbanente
comparisons and possible generalizations. A et al., 2007).
second section tries to sketch out the different The aim of all three cases was the setting
interaction models in the different interaction en- up of a collaborative, interactive, participated
vironments, as basic reference for the subsequent community-based process to build future (shared)
multi-agent research discussion. A third section scenarios to which public managers could orient
presents and discusses a possible taxonomy of policies and decision on socio-economic and
agents in multi-agent-based processes of environ- environmental domains. The scenario-building
mental planning, with reference to the multi-agent activity was based on a variant to the strategic
research literature (Ferber, 1999; Wooldridge, choice approach by Friend and Hickling (1997),
2002). Brief outcomes and remarks are drawn as developed by subsequent evolutions of futures
out in the fourth concluding chapter, particularly studies. In particular, the Tunis case was based in
addressed at outlining the possible learning for the well-known future workshop methodology by
urban and environmental planning activities. Jungk and Mullert (1996), by which a sequence
of face-to-face brainstorming forums is set up,
in order to cooperatively single out strategic
BACKGROUND lines to build alternative development scenarios.
Although paradigmatic in methodological terms,
Multi-Agent Interaction Systems the Tunis case was developed in a very simple
context of interaction, with few basic agents and
The key environment for the present work de- technological support, so raising less interest in
velops on a set of experiences carried out by the terms of MAS architecture.
Planning Research Group of the Department of
Architecture and Urban Planning (DAU) of the
197
Figure 1. The future workshop methodology (Khakee et al., 2002a, p.586)
Basic Process and Methodology some changes in the future-workshop approach.

In particular, the first two phases were extended
In its original framework, the future-workshop over a period of four months in order to structure
approach starts off with a preparatory phase fol- the issues relating to the impact of tourism in
lowed by three operative phases, called critique, the coastal areas of Izmir Province. These issues
fantasy and implementation (Figure 1). were wide in scope and were affected by many
The preparation phase is devoted to the interrelated factors, so being difficult for scenario
definition of the issue at hand and the practical analysis (Schnaars, 1987; Huss & Honton, 1987).
organization of the brainstorming sessions. When The choice of using ICT approaches only partially
envisioning future, it is commonly assumed that in the future workshop exercise was considered as
there is a previous general dissatisfaction with depending on the fact that the European partners
aspects of the present and an underlying desire to who had the methodological experience had not
change the current bases of development (Ziegler, previously applied computer method in scenario
1991). Therefore, in the phase called critique, building. It was decided to use the computer tool
the participants investigate the selected issues by in two phases only, i.e., in the critique and the
focusing on problems and negative experiences implementation phases.
connected to the present situation. In the phase The phase called critique started with a
called imagination, the participants are then questionnaire survey. The participating agents
asked to forget the limitations and the restrictions were asked to describe three major structural
of the current situation and to generate ideas freely changes occurred in the Province of Izmir in the
in the form of desires, opinions, dreams and fan- past ten years and three major problems of the
tasies concerning the future. In the phase called present situation. A modified version of Delphi
implementation, the participants are invited to method (Rowe & Wright, 2001) was applied
return to the real world, with its structures of power in order to acquire a common knowledge base
and constraints and discuss the actual feasibility on structural changes and current problems to
of the ideas generated in the previous phase. They be used for subsequent phases. The computer
are also called to find possible ways available to software MeetingWorks1 was used to support the
overcome them. participants focalisation on the major changes
Starting from this framework, the procedure and problems, to speed up the processing of the
subsequently designed for the Izmir case involved answers to the questionnaires and to improve the
198
Figure 2. An example of the ITC-based session in Izmir
quantity and quality of the knowledge collected although in practice a considerable flexibility
(Figure 2). was necessary to ensure the smooth running of
The subsequent fantasy and implementation the computer-aided session due to technical dif-
phases were carried out in the form of brain- ficulties in using the software tool.
storming sessions in two consecutive days. The
participants were divided into two groups, one Strengths and Weaknesses of
of which working in the traditional way, whereas A Multi-Agent Architecture
the other one making use of the software method.
The ICT approach was not used in the fantasy The ICT Base
phase in Izmir, in order to enhance the visioning
abilities of a distant future. The scenario time Because of the participatory orientation of the
horizon was year 2030: in fact, a crucial feature scenario building architecture, the main features
of future workshop is interactive learning and it of the software tool needed to be easy access,
was feared that a computer-mediated interaction adaptability and user-friendliness, especially for
might inhibit such a process in such a delicate people who were not familiar with computing.
and creative phase of the workshop as fantasy. Moreover, there should be no psychological bar-
Then, the implementation phase was devoted riers for participants in expressing opinions and
to transform visions into operational strategies. visualizing future. On the contrary, the technique
Thus the participants were invited to reflect on the should enhance flow of ideas and collaborative
obstacles that would prevent their groups visions mood among stakeholders.
from being implemented, to single out measures Another important feature of the system ar-
to remove these obstacles and mobilize necessary chitecture was related to the fact that typically
resources. For comparison aims, the process fol- automated routines lack the control of process
lowed two parallel paths, with and without the flows, when compared to manual, traditional face-
software facility. One day of intensive work was to-face interactions. In a traditional multi-agent
necessary in order to complete this final phase, interaction, issues come out during a continuous
199
process, attended and controlled by facilitators improvement of routines and steps. Given the
as well as by other participating agents. In an difficulty in setting up fully automated routines
automated routine process, on the contrary, this within the schedule of the project, it was decided
is often invisible, with a risk of hidden steps to replace such routines with semi-automated or
and false heuristics. Therefore, the architecture manual steps performed by a facilitator during the
had to be open enough to allow the control of Delphi sessions. A typical example of this work
the interaction process. During the preliminary was the re-formatting of stakeholders response
Delphi survey, the architecture had to make the protocols into manageable worksheets as inputs for
convergence process transparent and controllable subsequent steps and external data manipulation.
while during the implementation phase in scenario Admittedly, such operations using the im-
building it had to ease the building up and shar- provised technical expertise of the facilitator
ing of collective knowledge, without misunder- introduced a factor of unpredictability, since the
standings, errors or misallocated answers. In this data collected could be affected by a high rate of
light, as mentioned, it was decided to choose the human-generated errors. It is also able to introduce
MeetingWorks software, after an examination of an element of falsity in the interaction among
several software tools to assist decision-making, participants and affect the subsequent activities
build questionnaires and manage interactions in in scenario building (Sillince & Seedi, 1999). In
multi-agent-based architectures. the Izmir case, errors were few because the small
Looking at the planning of the computerized number of participants minimized data exchanges
session, a list of all the topics and tasks (called and manual manipulations. However, the human
steps) to be dealt with during the interaction was agents roles proved to be critical in this context
prepared. The steps not only represented the tasks and determined the need of building hybrid ICT-
but also the tools necessary to perform those tasks. human multi-agent systems (Ron, 2005).
Steps had to take place in a specified sequence and
the results of one step were automatically passed Further Features in Selected Stages
to the following step that used the information to
complete its task. If one task produced unexpected As said, the aims of the first two phases of the
results, steps could be added to explore the topic Future Workshop in Izmir were to constitute the
before returning to the agenda in order to proceed stakeholder group, to get the group aware of the
to the next planned step. aims, tools and rules of Future Workshop and to
Following literature, such groupware as Meet- acquire a shared knowledge on the problem to be
ingWorks are supposed to enhance productive studied. An important task in the first phase was
interaction (Shakun, 1996). However, the soft- the involvement and selection of the stakeholders.
ware was conceived as a tool for executive or It is not easy to involve a wide range of represen-
staff meetings in firms and agencies, where the tatives of local society in envisioning alternative
main goal is to achieve agreement on projects futures in the Mediterranean region because of
and issues. In the case of participatory scenario the dramatic urgency of the current problems that
building, the major aim is to enhance the sharing often hinder people in exploring distant futures.
of knowledge in the multi-agent system, in order Moreover, it is difficult to keep up the interest of
to develop alternative community scenarios and local stakeholders for any longer period of time
support development strategies. In this concern, and stimulate them to continue work with future
the developing of the knowledge base in the studies even after the European Union project
critique phase was not easily reachable by the has ended. Moreover, the selection of the stake-
standard MeetingWorks. It required ad-hoc holders proved difficult since a major group of
200
them were absentee secondary-home owners who issues and avoid possible combinatorial explo-
came to Izmir only for vacation, especially during sions. This could occur in the transition from the
summer. Despite all efforts, it was not possible fantasy to the implementation phases (when the
to involve this group in scenario building. This ideas were grouped in issue categories), as well
was only partially compensated by the fact that as when the stakeholders were asked to select the
almost all the municipalities in Izmir region were most important measures and resources to match
represented as well as several officials involved the obstacles. Perhaps, the above-mentioned
in environmental and health care, housing and shortcomings have to do with stakeholders un-
planning. They were well aware of the problems familiarity with the software. That was evident
connected to secondary homes. Moreover, all the in the steps devoted to the generation of ideas
participating NGOs were committed to environ- about measures and resources. Here the amount
mental issues, enhancing the significance of the of knowledge produced in the computer session
group composition. was greater than the traditional one. This is im-
In fact, the multi-agent group was dominated portant since a primary aim of Future Workshop
by public officials plus some NGOs and busi- is to stimulate creative thinking and to raise as
ness representatives. The average number of many ideas as possible (Ziegler, 1991).
participants present at each phase of the Future Anyway, a detailed analysis of the protocols
Workshop was about 30 (a pretty good quantity, shows redundancy in the greater number of ideas
especially when compared to previous activities generated in the computer session. The traditional
in Tunis; Khakee et al., 2002a), whereas about procedure was not free from this problem either,
60 agents were involved in total. but only a certain number of ideas produced in
There was a limited use of software method in each step were really taken up in subsequent steps,
the Izmirs Future Workshop. However, a number and repetitions were avoided by the free interac-
of general observations can be nevertheless drawn tion during collective brainstorming.
out about the procedure and outcomes of the A number of problems referred above have to
workshop, focusing on the differences between do with the intrinsic rigidity of the computerized
the traditional and the computer session. procedure. For example, in the traditional session
The use of the MeetingWorks software proved the organization of the knowledge according to
to be effective in the critique phase of the scenario issue categories is quite flexible, moving cards
building. It supported the stakeholders focaliza- from one place to another (Figure 3). In the com-
tion on major problems and made it easier and puter session, the same procedure is quite time-
quicker to process the answers to the question- consuming and cumbersome because the policy
naires. But in the brainstorming the computer actions need to be added for every generated idea.
session showed a number of limitations when Of course, the outcomes can be rearranged in a
compared with the traditional face-to-face one. more compact way. But such an operation mini-
First of all, the software slowed down the idea- mizes one of the advantages of the computer use,
generation process because it needed frequent i.e., the speed with which the workshop outcomes
manual operations by the chauffeur in order to are available in a digital format.
arrange intermediate outputs into a format recog- Moreover, it seemed that the computer ses-
nizable and usable as an input in the subsequent sion could not make use of the iterative aspect
steps. Moreover, the computer session seemed to of the Future Workshop. While the participants
be more wasteful than the traditional one because in the traditional session could go back to charts
a reduction of proposals was necessary so that displaying the results from the fantasy phase as
the software could manage a limited number of well as all the previous steps in the implementa-
201
Figure 3. Moving labeled cards under general

was not fully exploited. For example, a quick pri-
categories in face-to-face scenario building
oritization of ideas through the voting and ranking,
the use of the same-time-same-place feature
that makes the results available to all participants,
allowing them to discuss and modify the results
face to face. Moreover, the computer could not
be used in remote sessions, where stakeholders
interact regardless of the geographical distance.
Finally the break in the flow of interconnected
steps between the fantasy and the implementation
phase could be avoided if the software method
was used for the entire process.
Anyway, problems and limitations of the use
of computer software for the multi-agent system,
which emerged from our experimentation, need to
be evaluated in the light of the fast growth of the
information society. It is well known that technolo-
gies support a rapidly increasing range of activities
and processes throughout the society. A number
of initiatives are being promoted by international
and national institutions in order to enhance trust
and confidence in computer technologies, and
develop tools required by individuals and groups
tion phase, this opportunity was not available to to operate in new organizational environments
the participants in the computer session. In the (Wagenaar & Hajer, 2003).
words of one of the participants of the computer Constructivists say that computer technology
session we are not as aware of the complexity is socially shaped, rather than an autonomously
in the links and interrelationships between future developed by scientific and technological forces.
visions and our work in proposing measures and This approach stresses the flexibility of technol-
resources to implement these visions. ogy, the possibility for different choices, and the
The intensity of interaction between the par- basic insight of alternatives (Bijker et al., 1992).
ticipants in the traditional brainstorming session
reflected in a way the cultural and social inter- Some Improvements in
action that Mediterranean people are normally the MAS Architecture
accustomed to. While the requirement to work in
front of ones own keyboard created a sense of As an immediate follow up, the specific aim in
isolation. Moreover it contributed to unwilling- the Rabat/Casablanca case study was to explore
ness to share ideas with the others in the group. the impacts of globalization on regional social,
One of the participants in the computer session economic and cultural transformations. In the
complained that the enthusiasm and social in- beginning, this intriguing but intricate issue
teraction of working together was missing while was supposed to involve only stakeholders from
working with the software. many different private and public areas. This was
In conclusion, it should be remembered that in planned in order to be able to have an intuitive
the Izmir case all the advantages of the software feedback on this subject from different fields of
202
knowledge and experience and to build compre- session was devoted to contextual developments,
hensive future images. However, because of the particularly with respect to globalization. Within
complex and difficult theme for the allegedly the whole process, this step was supposed to de-
inadequate knowledge level of local stakehold- termine a common, although complex, awareness
ers, the usefulness of a participatory approach, of the variety and richness of the issues at hand,
also in the preparation of knowledge base, was as a basis on which to start constructing scenarios.
put forward (Bell, 1997). Therefore, it was de- The process of scenario building broadly fol-
cided to spend a significant initial time to define lowed the future workshop method suggested
the framework within which stakeholders could by Jungk and Mullert (1996), but modified as a
elaborate their visions and perspectives. This was result of applying the method in Tunis and Izmir
carried out before the scenario building activity, respectively (Khakee et al., 2002a, 2002b) (Figure
by interviewing government officials, research- 1). The Izmir case showed that the process was
ers, business representatives and World Bank generally suitable to be managed by automated
experts. The interviews added to the preliminary ICT-based routines, but with some limitations and
data gathered from books and public reports that necessary amendments. Moreover, in the case of
had been collected on the Rabat region to scan Rabat/Casablanca the theme of globalization and
the impact of globalization on an urban region in regional transformation suggested the intriguing
Southern Mediterranean. In fact, owing to eco- possibility to check if remote web-based brain-
nomic linkages, as well as to spatial implications storming sessions could encompass the same-
of globalization, the study area was extended to the time-same-place approach involving participants
entire Rabat-Casablanca. It gave the opportunity to that were not physically present at the scenario-
examine agricultural and industrial transformation building sessions. It was therefore decided to
in a region consisting of two cities together with implement the scenario-building process by using
several smaller cities and towns and an extensive an ICT-base multi-agent architecture for interac-
hinterland that are intertwined in many ways as tion and knowledge development, and at the same
they struggle to adjust to local and global forces. time explore the potentials and drawbacks of the
Within the region, there is substantial migration computer-aided approach. However, in order to
of rural households from stagnating agricultural try to avoid the risks of impersonal interactions,
areas primarily to the two cities and also to other as well as unmanageable black-box results, human
urban centers, leading to crowd and to the creation hybridization was enhanced as far as possible.
of illegal settlements, but also leading to migration An important aspect of such hybridization was
to northern Mediterranean countries. The region the use of scratchpad during brainstorming, as a
is also characterized by several environmental form of chat or informal communication. This
issues, such as desertification in rural areas and expedient was fairly successful and facilitated
water shortage in urban areas, pollution and deg- scenario-building in many ways.
radation of land. After this session, it was decided to end up the
After the expert interviews, the choice of the ap- scenario-building process in subsequent internet-
propriate region for futures study and preliminary based distant meetings (Figure 4).
discussion with the stakeholders about the meaning In fact, the web-based interaction involved few
of globalization, the first scenario-building ses- stakeholders. However, due to several problems
sion was organized in Rabat. Participating agents related to the network set up, deficient connec-
came mainly from universities, ministries, and also tions, high internet-call costs, the experiment was
from NGOs. The first part of the scenario-building cancelled. Instead the remaining part of scenario-
203
Figure 4. Example of MeetingWorks interaction agenda
building was carried out in Rabat few months process, i.e., an indoor environment followed by
later. The number of stakeholders was increased an internet-based remote one (Figure 5).
and included NGO representatives. The original principle for this remote exten-
sion was to allow the participation of agents
distributed over distant spaces, having interests
MULTI-AGENT ARCHITECTURE
FOR DECISION MAKING
Figure 5. The indoor/remote environments
The above modeling approaches and methodol-
ogy have been amended in their sequence and
environment, driven by the needs of enlarging the
number of interacting agents (that is, the demo-
cratic richness of knowledge exchanged) and of
making real-time interactions possible and effec-
tive with large participation. The initial interacting
conditions were then changed with the creation
of a more complex ITC-based architecture, and
the original process was substantially adapted
to those changes. In particular, the Izmir layout
was structured in sessions of knowledge agents
interacting by pc terminals in a formalized LAN-
based indoor (closed-room) environment, whereas
the Rabat layout was organized as a two-phase
204
on the context of study. Yet, in the experiences the redundancy of the concepts exchanged dur-
that followed the EU-funded project, a more ing the interaction, and facilitate the delivery of
complex rationale backed the quest for remote contribution on spatially contextualized issues,
interactions. Namely, this was the need of simulat- the open-room remote interaction was structured
ing the normal interaction environment of public so as to allow geo-referenced contributions.
spaces occurring among agents joining casually Similarly to what described in some literature,
and asynchronously (open-room environment), this layout proved to be a useful improvement
so as to minimize the risks of influencing and under many viewpoints (Al-Kodmany, 2002; Borri
forcing knowledge exchanges and maximize the & Camarda, 2006). First, the visualization of a
adherence to the complexity of each particular clickable geographic representation of the town
context (Axelrod, 1997). area stimulated agents to express their views with
Such situation occurred in the case study of an area-based orientation, so focusing issues on
Foggia (Italy), where an interactive community micro-scale subjects. Secondly, agents entering the
process was set up to draw the structure plan of its forum in subsequent times were in turn themselves
provincial area. Basing on a set of future visions of encouraged to deliver new or refined contributions
the province (prepared by the planning office and on the same area, following the thread of views
ranging from environmental to managerial issues), previously expressed. Lastly, by generally having
the process architecture aimed at supporting the a less dispersed contextualization of issues, com-
sharing, enrichment and evaluation of this set of ments tended to be deepened, so depicting issues
visions and letting decision-makers issue the final with positive and negative aspects.
plan with related policy programs. In this case, As a whole, the architecture of interaction
the sequence of iterated face-to-face interactions processes evolved and changed over years of case
was just paralleled by a web-based virtual forum studies. From being substantially target-oriented,
(Figure 6), so as to complement a closed-room so as to foster (and force) consensus on issues, it
approach with an open-room one, more coherently became knowledge-oriented, i.e., aimed at raising
with the social and environmental complexity of the level of involvement and information. The
the real context. increased number and diversity of interacting
A slight but important amendment of this agents raised the cognitive aspects of processes
framework was used in the case of a scenario- that in turn reverberated on a higher complexity
building activity for urban regeneration in the small of interaction-support systems. Thus, our up-
town of Cerignola (Italy). In order to minimize coming awareness is that multiple agent systems
Figure 6. The open/closed room framework
205
increasingly require architectures coherent with The Preparation Stage

their inherent complexity. These architectures
cannot be left to occasional and naive layouts any A preliminary phase (00) is needed to conceive
longer, but need to be studied, articulated and fine- and set up the layout of the whole process: this is
tuned in order to allow informed decision in the a strategic activity requiring high-level cognitive
social-environmental domain. To the exploration and organizational features, as often reported (An-
of the implementability of such potential issue is derson & Krathwohl, 2001; Franklin & Graesser,
therefore devoted the rest of the chapter. 1997; Van Dyke Parunak et al., 2004). This is an ex-
isting cognitive community in which human agents
A Possible Taxonomy carry out activities as organization or coordination
agents, at times supported by technical agents in
The flow chart of the setting up and carrying out a their use of operational tools (Figure 8). Given
hybrid knowledge-building process is schematized their higher level of cognitive and organizational
in Figure 7. Within each phase, numbered A to features involved, coordination agents can act as
G, actions are carried out by (single or collective) technical agents if necessary, by changing level
agents. An in-depth analysis of actions, roles and downward, the opposite being hardly possible, of
features of agents can help defining the type of course. However, the level of sector experience
each agent, her cognitive and operational level, and expertise is not equivalent, and this results in
so as to provide a raw taxonomy for the building occasional, rather than long-time, replacement (as
up of the system architecture. in the case of RFID-based agents) (Ahn & Lee,
Beyond the layout in Figure 7, agent actions, 2004). Similar level shifts do occur in different
roles and types are now discussed more in deep. phases of the whole process, involving a number
The analysis is carried out in all the stages, bas- of issues that need to be properly analyzed.
ing on compact tables in each stage (Figures In subsequent phase A, the quest for a new,
8,9,10,12), as visual guidelines for a better com- potential cognitive community is started off.
prehension. A preliminary knowledge base is collected by
Figure 7. Flowchart of the closed-open room interaction sessions
206
analysts (analysis agents), made up of existing synthesized into coherent and compact representa-
data-sets, maps, raw material, as well as of ad- tions, and communication agents make the initial
hoc reports and contributions by sector experts knowledge base available and manageable for
(knowledge agents) (Barbanente et al., 2007). subsequent process actions.
Knowledge agents and inference agents draw This preparation stage is aimed also at setting
out and interpret descriptive statistics and trends, up the interaction environments, and at singling out
aiming at achieving more manageable datasets. the agents to be involved in the actual interaction
Whereas the knowledge agents are essentially process (phases B and C, Figure 9). These phases
the human agents who deliver their formal expert play an important role in terms of contents setup,
contribution, analysts are often (at least partially) but are critical also under a procedural viewpoint.
represented by artificial agents, rule-based auto- In fact, although the presence of expert knowledge
matic routines, map/worksheet devices carrying agents is crucial for an adequate definition of
out programmed tasks. In some cases, they are initial knowledge, their availability and involve-
integrated routinary systems (ExSys, Meeting- ment into activities often need supplementary
works etc.), in other cases they are a collection ad-hoc agents. Such lobbying agents are usually
of inter-operational software programmes (search, provided with a good knowledge of societal roles,
indexing, inferring, statistical software such as organizations, political and/or cultural domains
Beagle, Business object, Gqview, SPSS, (intermediate agents) (Borri et al., 2004), and
SAS etc.). However, especially when deal- they are therefore essentially human agents. Very
ing with the environmental domain, the overall often, only through these agents is it possible to
interaction terrain is too complex to avoid a single out, gather and involve experts into the
hybrid human/IT agent involvement. In the end, forum arena, in the preliminary as well as in the
this informational material is then structured and subsequent phases.
Figure 8. Agent actions, roles and types in the first two stages
207
Figure 9. Agent actions, roles and types in the third and fourth stages
However, as written before, a univocal associa- ing interaction, but rather through dataset and
tion between one role/action and one agent is not literature analysis, added with series of interviews
always realized. Sometimes, an agent who plays an or Delphi-like iterations among the participants
assigned role and develops a typical set of actions (Barbanente et al., 2007). Within such more for-
decides (or is induced by circumstances) to play malized environment, the risks of influences of
even temporarily a role that is typical of another the above type are typically minimized. On the
agent, either unconsciously or deliberately. This contrary, such risks are far more evident in the
circumstance, which is typical in some hierarchi- proper interaction phase of the process.
cal-based networks (such as control networks)
(Ahn & Lee, 2004), depicts a multi-level agent, The Forum Interaction Stage
able to act and/or interact on different levels in
the same arena. Nevertheless, the actions of these The proper interaction phase is the core of the
agents may induce hidden impacts on interactions. knowledge-building process (Figure 10). It oc-
In the present interaction process, in particular, if curs under the form of a forum activity, in which
lobbying agents are actually knowledge experts each involved social stakeholder is a knowledge
as well, the need of decreasing the preliminary agent, bringing their knowledge contribution to
period may suggest to include them in the group the arena, changing their or other stakeholders
of expert agents. In this case, such agents may use knowledge contribution or even mind frame (Borri
their relational power to boost selected areas of et al., 2004), building shared future visions and
own interest to the detriment of other areas, i.e., scenarios.
to influence interaction. Therefore, it is clear that The knowledge base collected and synthesized
in many situations multi-level agents need to be in the previous phase is shown to forum partici-
provided with ad-hoc supporting models to avoid pants as a starting knowledge representation to
uncontrolled biases and attain effective interac- enrich and build on, by mutually interacting. The
tions (Jarupathirun & Zahedi, 2007). interaction process is far more complex than in
Admittedly, given the reduced size of this the preliminary phase, and its layout may vary
phase in the whole process, the building up of the according to the social/environmental context in
knowledge base is not set up through brainstorm- which it takes place (Borri et al., 2008). However,
208
Figure 10. Agent actions, roles and types in the core process
technical and/or methodological difficulties, as Also in order to minimize the interposition and
well as cultural diversities may frequently require influence of mediators, as well as to enhance the
ad-hoc coordination agents, working as facilita- randomness and democracy of process participa-
tors. Such agents address a number of different tion, an open-room interaction complements the
issues, ranging from soft expediting (answering closed-room session. A web-based space of inter-
methodological questions, overcoming com- action is supposed to create an Agora-like meeting
munication gaps, solving technical troubles), to point, where agents strolling throughout the Net
harder process intromission (fostering dialogue, leave their contribution in times and circumstances
matching language forms, aggregating scattered not forced and/or mediated by other agents (Borri
concepts, creating consensus) (Jarupathirun & & Camarda, 2006)2. Knowledge agents are essen-
Zahedi, 2007; Warren & Gibson, 2002). tial to deliver contributions to the virtual forum,
Rather clearly, many of these issues may but in this phase they cannot be left unsupported.
influence interaction and even affect results re- In fact, they need to be integrated and/or helped
markably, so challenging the actual effectiveness by different technical agents, devices and sensors
of the planning exercise. Facilitating agents are that are able to foster a proper, correct, complete,
either human or artificial, whereas artificial agents rich and unambiguous language exchange to the
are represented by complex supporting systems participants that make up for non-vis--vis con-
(groupware interaction programs, WebGISs etc.) tacts. In particular, the so-called rich language
or stand-alone software/routines. Although the needs to be introduced into the interaction as much
influence of human mediators may look more as possible, by complementing typical written
evident, also artificial mediators can influence in- sentences with oral, sketched, graphical, gesture
teractions rather strongly, particularly when forum languages. Many devices are today regularly
participants must rely on black-box, uncontrolled used for detecting this rich language (Figure 11)
routines to facilitate interactions (Barbanente et (Veloso et al., 2004; Bravo et al., 2006), that in
al., 2007). turn needs ad-hoc agents and software to decrypt
209
Figure 11. Intelligent motion-detection device (left); RFID-based conference management (right)
contributions and attach them to written statements monitored and supported in order to minimize
so as to complete them. With different features, dangerous influences on the process.
the agents act as analysts and can be defined and An intriguing aspect of this architecture is
dealt with as analysis agents. the identification of the agents involved, their
The last phase of the process concerns the veri- roles, their acting/interacting potentials. In par-
fication of issues, concepts and data collected and ticular, the existence of different possible level
their aggregation and synthesis in proper scenario of interaction for the same agent is an increas-
reports (Figure 12). This is usually considered as ingly frequent issue, due to diverse reasons and
necessary in order to avoid both logical inconsis- contingent opportunities. Chances and reasons for
tency and data redundancies, as well as to attain the application of such opportunity are variable,
more manageable representations for decision- particularly according to the situational contexts
making purposes (Jungk & Mullert, 1996). of the operation. In the real knowledge-building
The activity of further categories of agents processes which induced the MAS models dealt
is then involved: they can be called verification with in the present chapter, for example, some
agents for the purposes of the process. It is evi- issues suggested to reduce and compact the
dent that also these agents can, in turn, affect the number of human agents. Artificial agents, in
outcomes of the interaction process, and therefore turn, are more and more integrated in a complex
their activity needs to be deeply understood, inter-operational group of routines, or an ad-hoc
Figure 12. Agent actions, roles and types in the last part of the process
210
expert system (Ferber, 1999; Wooldridge, 2002). key element and play a significant role for the
A possible simplified configuration of involved effectiveness of the MAS-based decision support
agents, with multiple roles and actions, is reported system. However, on this particular side, a diverse
in Figure 13. scientific context of reference entails diverse
Of course, different levels of action involve a considerations of the space in the engineering of
certain ranking of agents according to their lower intelligent systems, which may in turn strongly
to higher contextual abilities. That is, agents affect the architecture and the performance of
deputed to supervise or coordinate processes the system.
(primary agents) can also act as routinary (sec- For example, on the side of planning and
ondary) agents upon request; or, similarly, some organization studies, space is dealt with either
higher-level agents are deliberately involved in as environment and container of human actions
routinary locations of the process because they (whose characteristics are considered only from
are expected to perform creative solutions to the viewpoint of its adaptability to humanization),
possible (but expected) problems. This is what or as a relevant, active entity per se (an agent,
usually occurs, e.g., in supply chains (Ahn & we could say). Its analysis and modeling reveals
Lee, 2004). parts of human behavior dependent on it (Lynch,
1960; Fischer, 2000; Weyns et al., 2007). On the
side of spatial cognition studies space as abiotic
FUTURE RESEARCH DIRECTIONS entity is largely dealt with not per se, but from
the point of view of biotic agents who use it to
The theory and practice of multi-agent systems, better adapt some of their behaviors that cannot
as applied to decision-making in planning, is par- ignore space. An example in elementary actions
ticularly addressed at emphasizing roles, behaviors could be the search for food in a given space,
and actions of possibly all agents living and whereas in higher-level actions an example could
artificial involved in knowledge transactions. be the enjoying of a spatial beauty (Ferber, 1999;
In this attempt, the spatial environment itself in Tversky, Hard, 2009). There are integrations of the
which transactions take place may represent a two sides of study, especially where theories and
Figure 13. Knowledge-building process with minimal agent involvement
211
actions of planning and spatial organization as activities. At present, it outlines one of the most
strongly occurred in recent years are influenced interesting study perspectives for the future of
by knowledge-based approaches (Mockler, 1989; participatory planning, both in a logical/ontologi-
Garling, Evans, 1991). cal and methodological/organizational ways.
In the approach that has been presented in this
chapter, a cognitivist research perspective has
been selected. In it, townscapes and cityscapes CONCLUSION
(i.e., space) are the prevalent, knowledge-in-
tensive, meaningful spaces and entities humans This chapter has carried out a discussion on the
interact with to carry out their life. However, potentials and problems of the setting up of multi-
because of their dynamic complexity, spacescapes agent systems supporting environmental planning
seem to offer ill-structured holds to the typical and decision-making processes. Through experi-
spatial behavior of an agent, and interactions ences and case studies some reflections have been
themselves occur in complex, non-obvious and developed toward problem solving and setting,
hardly reducible ways. but significantly relying also on the support of
That is, the space seems to act as an agent itself, cognitive and computer sciences. In particular,
and a question arises about the fundamentals of the todays rising up of an innovative need of
spacescapes from the point of view of the needs of non-expert knowledge, beyond the expert one,
living agents, having to live in and move through has determined a new interest toward the cogni-
them in resilient and intelligent ways. Furthermore, tion aspects of agents interactions, and toward the
the setting up of a system architecture based on ICT architectures able to ease their management.
a multi-agent environment in which the environ- However, in public actions, that awareness has not
ment is an agent per se may put difficult logical, yet succeeded in changing either the deterministic
conceptual and management problems. vision of expert agents or the underestimation of
There have been some experimental attempts non-expert agents, still intended as mere providers
to single out features, aspects, elements as prox- of cognitive contents through a passive delegation
ies able to structure space-environment into the to others.
MAS architecture as a proper agent, based on Yet, decision-makers need to rely on distributed
literature on spatial cognition and representation expert and non-expert agents to devise and imple-
(Danziger, Rafal, 2009; Hartley, 2004, Weyns et ment planning decisions in socio-environmental
al., 2007). For example, the problem connected domains. In such domains, the habitual cybernetic
with the general mechanism of spatial cognition- approach based on determinism and rational process
perception-decision seems interesting, particularly control is now challenged by the participatory and
in a human agent who navigates through a given argumentative approach to planning. Here, values
indoor space-environment for the execution of a become mutable and adaptive, and background
specific task. In this spatial activity, Goodman structures of thoughts and organizations become
(1951) emphasized the importance of the role flexible themselves. In both human and environ-
played by the environment structural compo- mental domains, systems evolve dynamically, at
nents (i.e., substances or essences such as the times creating cooperation, but even conflict among
walls that limit space), and by its ornamental multiple agents with multiple cultures. This is then
components (i.e., furniture, mobile stuff etc.). the picture of a weak rationality, not linear nor de-
In general, embedding the environment into terministic, but highly contextual, multi-logic and
a MAS-based system represents a hard but chal- multi-value, that is destined to replace the typical
lenging issue for an increasing number of research vision of a strong and absolute rationality.
212
More than achieving targets, new environ- ample, we can mention (i) the methods useful to
mental plans and decisions rely on the building single out agents and roles, (ii) the extent to which
of scenarios and visions related to evolving they are embedded or context-induced abilities
situations, in which different agents place their (particularly for human agents), (iii) the impact
stakes, behaviors and cultures while dialectically of a small number of primary agents on complex
interacting with other agents and environments. In- planning processes, (iv) the impact of compact
teraction processes then becomes the key element multi-agent routines on the controllability of data
by which to start off and explore environmental and outcomes (particularly for artificial agents).
planning paths. Such issues still remain mostly unaddressed.
The increasing development of ICT and of Yet they are very important for both the feasibil-
computer sciences gives new opportunities to ity and the efficacy of MAS-based architectures,
cognitive negotiations, as also witnessed by and some of them claim for complex evaluation
the described experiences in the Mediterranean by different discipline domains. This represents
context. Negotiations become increasingly multi- an intriguing research horizon, which deserves
cultural and extended in space and time and such further exploration, experimentation and discus-
expansion creates in turn inter-cultural and intra- sion. Therefore, it is not erroneous to predict an
cultural contexts in which negotiations take place. increasing attention to such research scenario for
Meanwhile, however, the roles of the agents MAS studies in a very near future.
involved in the MAS architecture are increasingly
critical and less and less obvious than before. Roles
change and become differentiated and multifari- ACKNOWLEDGMENT
ous, both in their relevant actions and hierarchical
location. Even different roles and behaviors are The author is grateful to A. Barbanente, D. Borri,
recognizable in the same agent, not necessarily A. De Liddo, L. Grassini, A. Khakee, M. Puglisi
in particular and exceptional processes, but in the for their cooperation in the research activities
normal decision-making contexts of life. Although that made the present chapter possible. He is
cognitive patrimony (Anderson & Krathwohl, particularly grateful to Dino Borri for his precious
2001; Van Dyke Parunak et al., 2004) is a major suggestions in the writing down of the first and
feature, operational attitudes and representational the last section of the present chapter.
abilities are rather important as well, even without
their own embedded cognitive abilities (Ferber,
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Springer. doi:10.1007/978-3-540-74459-7
1
MeetingWorks is a groupware product that
van Harmelen, F., Lifschitz, V., & Porter, B. (Eds.). includes tools for electronic brainstorming,
(2008). Handbook of Knowledge Representation. idea organization, ranking, voting, cross im-
Amsterdam: Elsevier. pact analysis, and multiple criteria analysis,
Weyns, D., Parunak, H. V. D., & Michel, F. (Eds.). with reports and graphics. A LAN-based
(2007). Environments for Multi-Agent Systems. system, MeetingWorks provides a Chauf-
Berlin: Springer. doi:10.1007/978-3-540-71103-2 feur station for use by the meeting facilita-
tor in order to create a meeting agenda and
run the meeting. The Chauffeur screen is
normally projected in the front of the room,
KEY TERMS AND DEFINITIONS for all participants to see. Participants have
access to participant stations where they
Agent: Human or artificial (or hybrid) element
can enter their ideas, votes, comments and
involved and acting in planning or decision-
other inputs, all anonymously. The partici-
making exercises.
pant information is collected and displayed
Cooperative Decision-Making: An organiza-
on the Chauffeur screen, allowing the group
tion of agents oriented to issue decisions founded
to view the collective input as well as other
of the exchange of information and/or cognitive
information e.g. the level of agreement
contents.
within the group (Shakun, 1996).
216
2
Unfortunately, access to Internet is today not the very foundations of this virtual-Agora
yet uniform and somehow elitist, and experi- approach are not yet verified, the engineering
ence shows that relatively few groups are able of the process should be intended as being
to join the process regularly. Therefore, since still explorative, to date.
217
218
Chapter 11
The E-Citizen in Planning:
U.S. Municipalities Views of
Who Participates Online
Maria Manta Conroy
The Ohio State University, USA
Jennifer Evans-Cowley
The Ohio State University, USA
ABSTRACT
Municipalities that plan have both a legal obligation and a professional directive to incorporate citizens
into the planning process, but garnering sufficient and diverse citizen participation is often a struggle.
Online participation tools as a component of e-government provide a potential venue for enhancing
the participation process. However, e-government participation raises challenges pertaining to trust,
exclusion, and responsiveness. This chapter contributes to the understanding of these issues by analyzing
how municipalities in the U.S. view the e-participant. The analysis is based on an ongoing longitudi-
nal study that examines planning department web sites for U.S. cities with 2000 census populations of
50,000 or more. The authors findings highlight respondents views of online tools as a means to further
efficiency and citizen satisfaction, rather than as a means by which to potentially enhance discussion
of community issues.
INTRODUCTION family, and other issues constrain both time and

interest (Chess & Purcell, 1999; Day, 1997). While
Local governments engage their citizens to provide planners are obligated to at least inform citizens of
them with information and gain support for policy and, preferably, to engage them on land use issues
initiatives, to identify unforeseen concerns, and through, for example, the comprehensive planning
to recognize potential conflicts (Conroy & Berke, process, it is often difficult to get input (Conroy &
2004; Conroy & Gordon, 2004; Wild & Marshall, Gordon, 2004). This lack of active participation
1999). Questions remain, however, on how best to has created a challenge for city planners, who are
engage citizens in local planning efforts when work, responsible for engaging citizens in making deci-
sions about the future of their communities (Brody,
DOI: 10.4018/978-1-61520-929-3.ch011 Godschalk, & Burby, 2004; Laurian, 2004).
The E-Citizen in Planning
The Internet has transformed the manner in 2007). Additionally, there is little insight on how
which people get news and information, shop, find governments themselves perceive the influence
entertainment, and interface with their government of the technology on participation.
(Waldon, 2006). In the 2008 U.S. presidential The purpose of this chapter is to examine the
election campaign, a survey from the Pew Internet use of e-government participation applications
& American Life Project found that 46% of all and insights for public participation in planning
adults are using the internet, email, or phone text processes in municipalities in the United States.
messaging for political purposes (Smith & Rainie, Specifically, we build upon previous studies
2008, p. 2). Another work by that same Project reviews of online municipal planning offerings
noted that the Internet is the second most popular by incorporating a survey of planners in certain
way for Americans to contact their government municipalities to understand their view of the
(Dimitrova & Chen, 2006, p. 174). This increased e-participant and the impact online technolo-
use of the Internet is global, crossing Europe, Af- gies have had on their relationships with citizen
rica, and Asia (see, e.g., Wohlers, 2009; Tiamiyu & participants. The study begins with a review of
Ogunsola, 2008; Kalu, 2007; Paul, 2007; and Hol- the citizen participation and technology literature
liday & Kwok, 2004). For example, according to to assess the potential of e-participation and the
Wohlers (2009), In 2000, the federal government key models that have been proposed. We then
in Germany initiated a series of policy initiatives examine planner views of the e-participant with
to spread the implementation of e-government a review of our methodology and a discussion of
throughout all levels of government (p. 112). the survey results. The chapter concludes with a
Local governments in the U.S. and elsewhere discussion of future trends in e-participation and
have been increasingly adopting applications a summary of our key findings.
ranging from simple document delivery to more
complex interactive online mapping in order to
increase responsiveness and community input and BACKGROUND
to enhance community renewal (Al-Kodmany,
1999; Conroy & Evans-Cowley, 2006; Kingston, Citizen Participation and Technology
2007; Lee et al., 2005). Therefore, incorporation
of information and communication technology The goal of citizen participation in planning is often
(ICT) into public planning processes represents an to enhance the outcomes of policy and project deci-
area of great promise in which better relationships sions in a community. There is a decades-old body
between government and its citizenry can be built of literature that points to improved outcomes,
(Lodge, 2003; Weber et al., 2003). both anecdotally and empirically, when there
While some studies have suggested that access is successful citizen participation. According to
to the Internet for information and local govern- Kingston (2007), Recent research by the Joseph
ment services may increase local participation Rowntree Foundation found that active citizen
levels, there is little clear empirical evidence one engagement is likely to improve the effectiveness
way or the other (Komito, 2007, p. 81). Local of neighbourhood regeneration projects both in
governments across the U.S. have been increasing building personal and community capacity, and
online information and participation opportunities in achieving tangible regeneration outcomes, par-
(see, e.g., Evans-Cowley & Conroy, 2004; Evans- ticularly in deprived neighbourhoods (Beresford
Cowley & Conroy, 2009). However, the impact of and Hoban, 2005) (p. 138). E-government, the
technology on increasing civic participation with use of technology such as the Internet to enhance
governments remains unclear at best (Komito, access to and delivery of government information
219
and services to citizens, businesses, government e-government (OMB, 2007). The E-Government
employees, and other agencies (Hernon, Reylea, Act of 2002 helped initiate state and local efforts
Dugan & Cheverie, 2002, p. 388 in Jaeger & that retained the federal governments views of
Thompson, 2004, p. 94), is the broad means by efficiency and access to information. This mana-
which online participation tools are packaged for gerial model of e-government has remained the
citizen engagement. In this section, we first review dominant model that governments in the U.S. and
basic models of e-government and ramifications elsewhere have adopted (Chadwick & May, 2003).
that they hold for online participation. Then we It is characterized by the goal of efficient delivery
examine the challenges faced in the pursuit of of services to citizens (Bekkers & Homburg, 2007),
e-government. and it emphasizes a customer-centric governance,
rooted in private sector managerial practices,
Models of E-Government [which] stems from an approach best captured by
Osborne and Gaeblers Reinventing Government
Models of e-government capture potential phases (1992) (Dutil et al., 2007, p. 78). The managerial
of its adoption, implementation, and use. The model aligns with Tolbert & Mossbergers (2006)
theoretical underpinnings of each phaseand es- consideration of an entrepreneurial e-government
pecially adoptionare often based on the technol- approach. The model is implicit in Asgarkhanis
ogy acceptance model (TAM). This model, which (2007) review of studies that summarize the fol-
examines the influence of individual attitudes on lowing local government objectives in adopting
intentions to use a specific technology, is based e-government: prompt, accurate service; improved
on the long-standing theories of reasoned action quality of service; removing barriers and tack-
(TRA) and planned behavior (TPB) (Horst et al., ling social exclusion; and providing local access
2007). According to TAM, use is based on both points for citizen inquiries (p. 132). In this regard,
attitude toward the technology and behavioral while citizens are viewed as users of the system
intent (ibid). While TAM may capture either the or, essentially, as customers (Dutil et al., 2007),
government provider or the citizen user, it does they do not interact with the system to broaden
not focus on the interface between the two. As or strengthen a sense of community.
noted by Benyon-Davies (2007), Most models of Evans-Cowley and Conroys (2009) longitu-
contemporary e-government do not satisfactorily dinal review of municipal planning department
include issues of e-democracy (p. 8). However, websites of U.S. cities with year 2000 populations
some e-government models do focus on the of at least 50,000 highlights the foundational nature
interaction between government and citizen as of the managerial model. The authors reviewed
a means to promote e-governance and democ- web-based informational offerings that are typi-
racy. These models are focused on the practice cally electronic alternatives to print-based options,
of e-government. Such models are valuable for such as zoning ordinances, community plans,
examining the roles of users and providers and and meeting agendas or minutes. These offerings
the anticipated benefits of use (Chadwick & May, represent a more efficient means of distributing
2003). The remainder of this section discusses information, both in terms of timeliness and
the managerial, consultative, and participatory cost. All surveyed municipalities increased their
models of e-government practice and each ones information offerings between 2003 and 2007,
relationship to the goals of this study. with 80% or more responding that they provided
The dawn of the 21st century in the U.S. brought zoning ordinances, plans, and planning meeting
with it a federal push to harness the potential ef- agendas electronically through their websites
ficiencies and promises of access associated with (Evans-Cowley & Conroy, 2009).
220
The managerial model evaluates e-government gins a transition towards an e-democracy through
technologies in light of enhancing efficiencies expanded citizen opportunities to engage in feed-
and reducing costs by, for example, making back and dialogue with planners, and governments
print documents available online for review. may employ it during a transition period toward
Government processes continue largely in the a more participatory engagement strategy (Red-
same manner that they did prior to the adoption del & Woolcock, 2004). Emails and online fill-in
of these technologies (Chadwick & May, 2003). forms are fundamental modes of communication
From a participation viewpoint, the managerial in the consultative model.
model aligns most closely with an information The growth of the consultative model in e-
distribution conceptualization of participation, government provisions is visible in the Evans-
where participants receive relevant information Cowley and Evans-Conroy (2009) study, where
from their government but have limited ability to 77 percent of the municipalities provided direct
affect content (Conroy & Evans-Cowley, 2006). email contact to their planning departments. The
The managerial model is often the introductory email addresses were general mailboxes (e.g.,
level at which local municipalities enter the e- planner@mytown.gov) or those of individual staff
government arena, because effective and efficient members. Over the 5-year period of the study,
government increases citizen goodwill and sus- the provisions of staff and planning commission
tains a healthy and robust democracy (Watson & email addresses each grew 9%. Nearly half of
Mundy, 2001, p. 30). It is a level that governments the respondents to the survey (44%) noted that
should approach with some caution, however, staff email was offered in 2007provision of
because, as Dutil et al. (2007, p. 83) highlight in planning commission email addresses rose 20%
their research, [b]eing thought of as a client from 2003 levels.
or customer ranks far behind and even below The participatory model of e-government, the
the category of taxpayer (Ekos, 2006). Such third model discussed by Chadwick and May,
a model may provide online administration, (2003) and the second presented by Tolbert &
communal and social services [which] certainly Mossberger (2006), takes the biggest step toward
facilitate and improve peoples lives (Netchaeva, an electronically based democracy. This model
2002, p. 470). However, the managerial model does is the basis for discussions of the potential of
little to engage citizens in democratic discourse. e-government to transform civic and political
A second model of e-government proposed participation (Tambini, 1999; Weber et al., 2003).
by Chadwick and May (2003) is the consulta- It most notably differs from the managerial and
tive model, which provides increasing focus on consultative models in that information flow
citizens and the communication of their opinions goes beyond the vertical municipality-to-citizen
to government. This occurs when, for example, direction. A participatory model conceives of a
citizen input is sought through online forms and more complex, horizontal, and multidirectional
surveys. It is at the consultative level that govern- interactivity (Chadwick & May, 2003, p. 280,
ments move away from streamlining information emphasis original). It validates citizens as knowl-
provision and towards offering opportunities for edge centers, rather than viewing knowledge as
online feedback on policies and projects. While a municipal holding. Citizens are engaged in
information is reciprocal between citizenry and the process, not simply informed thereof, and
staff, and it may influence content, it lacks a con- they have the ability to affect change in content
versational dynamic that enhances communication and decision-making processes. It is through
both among citizenry and between citizenry and this interaction that citizens can ask questions,
government. However, the consultative model be- get answers, express opinions, and see that they
221
have the capacity to alter policy, which is the mentation between managerial or consultative
essence of a democratic process (Komito, 2007; models and participatory models of e-government
Netchaeva, 2002). The transition from a user or will continue.
client of e-government services perspective to While Dutil et al. (2007) highlight the ex-
an e-democracy view rests in the success of a pressed desires of citizens to be thought of as
participatory model. citizens when using e-government services (as
Interaction opportunities in the participatory opposed to clients or customers), there are real
model, as described by Evans-Cowley and Conroy challenges faced by municipalities in making that
(2009), include a mix of consultative and par- transition. Some of the challenges are based on
ticipatory opportunities, depending in part on the technical or financial resource constraints, while
manner in which they are employed. Therefore, others are more fundamental and raise questions
the email addresses discussed previously not only regarding the core role e-government can or should
give citizens the opportunity to ask questions or play in municipal governance (Wohlers, 2009;
provide input, they may also serve as a means Asgarkhani, 2007).
by which a dialogue can begin between both
citizens and staff and among interested citizens. Challenges of Online Participation
Tools such as wikis, listservs, discussion forums,
and chat rooms hold an even greater promise to The provision of online information and services
enhance multidirectional interactions among and provides citizens with enhanced flexibility when
between planning staff and citizens. These tools interacting with their municipal governments. It
foster an online environment that mimics some has the potential to lower some of the costs of
of the characteristics of face-to-face interactions, participation in terms of time (e.g., transportation
such as turn taking (Tan & Tan, 2006), but they to/from meetings) and resources (e.g., gas to travel
lack some of the nuances inherent in a face-to-face to meetings, time from work or family). However,
meeting. For example, it can be challenging to it requires a dedication of resources and expertise
interpret intent or subtle meanings behind typed on the part of each municipality to provide an open
discussions. Use of capitalization, boldface, and and transparent web offering. This openness is a
italics, as well as emoticons, may help to convey key factor of advocates support, in which they
the tenor of a message. Tools such as wikis and assert that such factors will inherently raise the
listservs may also raise concerns regarding flaming publics ability to voice concerns and demands
and identity security, in which the perceived safety (e.g., La Port, 2005; Holliday & Kwok, 2004;
of the communicative environment is challenged. Tiamiyu & Ogunsola, 2008).
Evans-Cowley and Conroys survey results The potential of technology can be contrasted
highlight the lag that exists as communities slowly with a variety of obstacles that may be faced
transition to more consultative and participatory as a municipality moves toward e-government.
e-government models. While listservs were pro- Obstacles may be associated with the technol-
vided by over half of the respondents (56.1%), ogy itself (e.g., system errors and tampering
discussion forums (5.3%), chat rooms (2.6%), concerns), with access (both infrastructural and
and wikis (0%) each had only a minimal munici- individual), or with political and administrative
pal planning online presence (Evans-Cowley & reluctance (Wohlers, 2009; Asgarkhani 2007;
Conroy, 2009, p. 277). Additionally, between 84 Von Haldenwang, 2004). Such limitations may
to 100 percent of the respondents noted that the make envisioning an e-democracy future dif-
latter three are not planned in the next 5 years. ficult. Access issues are of critical concern, as
Therefore, the expectation is that this lag in imple- they underpin the essence of a democratic system.
222
Therefore, fundamental questions regarding is- safety, and privacy, as well as challenges to so-
sues of the digital divide and trust in government cial norms. According to Xie and Jaeger (2008),
raise doubts about the potential of democracy- older Americans may choose to not engage
related benefits derived from e-government (see in political discussions in order to not disturb
e.g., Asgarkhani, 2007; Tolbert & Mossberger, social networks with political disagreements
2006; Weber et al., 2003). (p. 11). This conceptualization may self-restrict
The concept of the digital divide is based on e-government usage to the managerial model
observed inequities related to the provision of rather than in a participatory model, in which
e-government services. Typical disenfranchised there is the risk of engagement. Interestingly, in
groups include minorities and lower income and/ a January 2009 Pew Internet Project Data Memo,
or elderly populations (Dimitrova & Chen, 2006; a shift had been noticed: The biggest increase in
Tolbert & Mossberger, 2006). Full participation internet use since 2005 can be seen in the 70-75
through government ICT demands that people are year-old age group. While just over one-fourth
not only able to access the technology, but that they (26%) of 70-75 year olds were online in 2005,
also know how to and want to use it (Netchaeva, 45% of that age group is currently online (Jones
2002). Therefore, there are fundamental issues of & Fox, 2009, p. 2).
technological access, self-efficacy regarding the Other changes are afoot as well. Surveys are
technology, and trust that the technology is safe showing increased Internet usage by all demo-
for use. The following discussion highlights these graphic groups in the U.S. The December 2008
factors in the digital divide and trust literature that tracking survey from the Pew Internet & American
are relevant to this study. Life Project shows the lowest usage demographic
Prior research that has focused on the demo- groups as those with less than a high school edu-
graphics of citizens who do use e-government cation (35%) and those over the age of 65 (41%)
services has coalesced around what may be seen (Pew, 2009). All other demographic categories had
as typical user characteristics. Dimitrova & Chens over 50% of the respondents using the Internet.
(2006) review of the divide literature notes that The increases may be due to better access to the
e-government users (e-citizens) are generally technology through publicly available sites, or
white professionals of higher income and edu- it may indicate an enhanced comfort level with
cation levels than their non-e-government user the technology. This is not to say that the digital
counterparts. African Americans, who may be less divide is a thing of the past, but it does highlight
likely to use the Internet overall, are more likely that there has been progress in extending the ac-
than other demographics to have visited a local cessibility of technology.
government website, according to an analysis of As alluded to previously, the digital divide deals
national survey data by Tolbert & Mossberger not only with physical access to technology, but
(2006). Further, while the Pew Internet Projects also with the manner in which people can use the
May 2008 survey noted that 73% of adults in the technology (Xie & Jaeger, 2008). Impediments due
U.S. go online and 55% of adults have broadband to differences in language and visual, auditory, and/
at home, the [o]ffline Americans are overwhelm- or physical capabilities illustrates that one website
ingly over age 70, have less than a high school will not necessarily fit all. Translation services and
education, and speak a language other than Eng- web accessibility guidelines, such as that promoted
lish (Fox & Vitak, 2008). by the Web Accessibility Initiative, are two ways
The reasons for youth dominance among in which municipalities have attempted to extend
e-government users are complex. They include the reach of their online services (Evans-Cowley
concerns about the physical use of technology, & Conroy, 2004; WIA, n.d.).
223
Improvements to access (physical and inter- who drop-out of Internet use do so based on their
pretive) may be resource dependent, but they perception of usage risk. Non-users are gener-
are relatively straightforward approaches to help ally more distrustful of the Internet. The risks
reduce the digital divide. Von Haldenwang (2004) experienced in using the Internet are most often
notes that In a number of countries, public In- less than the risks imagined by non-users, who
ternet access points (telecentres, kiosks, Internet also often underestimate the benefits of the Inter-
cafes) are already being used as nodal points of net (Dutton & Shepherd, 2006, p. 448). Dutton
civic organisation and debate (p. 428). However, and Shepherd also note that related digital divide
issues of self-efficacy and trust, each of which access issues are linked to trust, resulting in, for
is challenging for a municipality to address, are example, and lower trust among lower income
more dependent on the experience and education groups who have less access to technology. The
of users. Dimitrova and Chens (2006) U.S. study statistical probability of an online security breach
found that almost one fourth [of respondents] is higher for users of a technology than it is for
said that any information on the Internet raises nonusers. Therefore, municipal e-government
privacy issues (Dimitrova & Chen, 2006, p. 185). offerings must promote not only a comfort with
National and international news have highlighted technology use, but also a confidence about any
cases of identity theft, email scams, and computer information provided to the site by a user.
viruses, which have rightfully made Internet users The digital divide raises critical issues for
cautious. For some users, these threats have been municipalities that offer e-government services.
sufficient to resist use completely. Evidence exists that certain demographic-related
The success of e-government is dependent access gaps are getting smaller and that trust levels
upon users confidence in the reliability and se- are increasing as exposure to and comfort with
curity of online offerings. Tolbert & Mossberger technology grows. Managerial model e-govern-
(2006, pp. 357-358) present the following six ment offerings may serve as high comfort points
possible benefits of e-government that could lead of entry for newer users. Participatory offerings,
to increased trust and confidence in government: however, may retain more divide problems, as
responsiveness, accessibility, transparency, re- personal interactions with government staff and
sponsibleness, efficiency and effectiveness, and other citizens increase personal exposure to such
participatory. These are all user-based benefits things as criticism from those with opposing points
that can also increase accessibility (or a sense of view. These e-participation divide issues of
thereof). The authors reviewed national survey representativeness are also found in traditional
data in the U.S., and their analysis revealed that participation: Verba et al. (1995) found that citi-
visiting a local government Web site led to zens who participate politically at higher levels
enhanced trust in local government, controlling are unrepresentative of the larger public (Weber
for other attitudinal and demographic factors. E- et al. p. 29). As Watson & Mundy (2001) point
government at the local level was also perceived out, [r]ealistically, power will never be equally
by citizens as making government accessible and distributed within a democracy, but citizens are
responsive (Tolbert & Mossberger, 2006, accustomed to a long trend of reforming acts that
p. 366). The perceived usefulness of an online redress power imbalances. Indubitably, they will
service may also enhance trust in e-government expect Internet technology to sustain, and maybe
(Horst et al., 2007). accelerate, this course (p. 30).
The correlation between trust and usage of
online tools can also be negative. Research by
Dutton and Shepherd (2006) suggests that people
224
Planner Views of the E-Participant Online Participation Tools
This study has been conducted in coordination The survey began with a verification question,
with an annual audit of municipal planning de- asking if the department or municipality provided
partment websites of U.S. cities with populations online participation tools. Although the munici-
of more than 50,000 people. The audit examines palities had been screened based on responses to a
the characteristics of adoption of e-government related survey on e-government tools, 7% (4 total)
technologies. Planning departments have been of the respondents indicated that they did not offer
selected because of their frequent engagement any online participation tools. This may reflect that
with citizens both in rezoning transactions and different individuals responded to the two surveys,
long-range neighborhood and city-wide plan- a shift in a municipalitys online offerings, or a
ning efforts. Municipalities with populations of misunderstanding of what may constitute online
50,000 or more are considered to be likely to, at participation tools. The vast majority (75.4%) of
a minimum, have a web presence for both their respondents noted that their department or com-
communities and their planning departments munity offers some online participation tools, and
(when planning departments exist). There are 17.5% of the respondents said that they offer a
613 municipalities with populations of 50,000 or wide array of online participation tools.
greater in the United States (US Census). Within Given our interest in planners perceptions of
that set, approximately 600 had planning-related their e-participants, we then asked about registra-
websites as of 2007 (Evans-Cowley & Conroy, tion and tracking of online participants. Registra-
2009). tion and tracking would allow a municipality to
In an effort to understand planners percep- know more about both their participants and the
tions of their e-participants, this study began participants tool usage habits. Registration might
with a review of the characteristics of the 600 also give participants the ability to customize
planning-related websites to determine which their experience of their municipalitys website,
had online participation tools. These tools include to receive targeted emails based on interest areas,
online surveys, wikis, interactive GIS, discussion or to participate in an electronic bulletin board
forums, and streaming audio or video. There were or wiki. Tracking gives a municipality insight
279 planning-related municipal websites that had into how and when participation tools are being
such features noted. A link to an online survey used. However, these elements of a website can
created with SurveyMonkey.com was sent to also strike unease in potential participants, rais-
the email contact for each of these municipalities. ing questions of personal information security
Thirty-nine of the emails were returned as invalid and government big brother-ism. Over 84%
addresses, typically due to a change in personnel, of respondents noted that users do not have to
web address, or online forms; 27 of those returns register at all to make use of participation tools;
were unable to be resolved. the remaining respondents said that registration
The survey sent to the 252 valid email and was necessary for only a select group of tools.
form contacts addressed participation tools and Usage rate tracking was used for some or all
e-participant perceptions using thirteen closed- tools by 34.2% of the respondents. Almost 40%
and open-ended questions. Two weeks after the of respondents noted that their sites do not track
initial survey invitation was sent, a reminder was usage rates of their online participation tools. The
sent to the original or corrected email addresses. remaining respondents (26.3%) did not know if
A total of 58 contacts responded, giving an ap- tracking was done for their tools. Citizens may
proximately 23% response rate. object to tracking, often done through the use of
225
Table 1. Traditional versus online participation input comparison
Compared with traditional participation format AMOUNT of input received via USEFULNESS of input received via
online tools online tools
Online much more than traditional 2.8% 8.1%
Online some more than traditional 19.4% 13.5%
About the same 22.2% 43.2%
Traditional some more than online 38.9% 21.6%
Traditional much more than online 16.7% 13.5%
browser cookies, as an invasion of privacy or, or much more information from traditional input
possibly, out of concern for potentially malicious than from online participation tools, while 22.2%
ware that may be downloaded to their comput- noted that they received about the same amount of
ers. Decisions on tool tracking usage, however, information from each source. Online tools have
are likely outside the decision scope of the plan- been touted as a means for enhancing the citizen
ner, unless he or she also has web-development experience and their depth of participation in the
responsibilities. planning process. The responses here are likely an
indication that the tools provided to the citizens are
E-Participant Perceptions ones in which the e-participant receives rather than
provides information. Interactive GIS or streaming
The next ten questions of the survey examined the audio, for example, are ways in which a citizen
respondents views of their e-participants and the can learn more about what is taking placeor is
impacts that the provision of online participation planned to take placein his or her community.
tools have had. Specifically, respondents were Based on the responses, such tools are not being
asked to comparatively characterize the amount used as a means of providing information about
and usefulness of online input versus traditional abandoned buildings or pedestrian danger spots.
input sources, as well as to characterize online This may be a function of the provided tool, or it
participants versus those participating in a tradi- may be a comfort-level issue (e.g., with using web-
tional venue (see Tables 1 and 2). based GIS tools) on the part of the e-participant.
When asked about the amount of informa- When asked about the usefulness of the in-
tion their participants received, 55.6% of the put received by their participants, over 43% of
respondents noted that they received either some respondents felt that the usefulness of the input
received from online sources was about the same
as from traditional input sources. However, 35%
Table 2. Traditional versus online participant of respondents felt that traditional input is some-
characterization what or much more useful than that received from
online sources. This points to a shortcoming in
C o m p a re d w i t h t r a d i t i o n a l Participant knowledge
participation format / engagement the client orientation (managerial model) evident
Online much more than traditional 8.1%
in the e-government offerings of the surveyed
Online some more than traditional 16.2%
communities. If the intent of the offerings is ef-
About the same 54.1%
ficiencies, a priority is not placed on promoting a
dynamic dialogue that would simulate face-to-face
Traditional some more than online 16.2%
interaction. Therefore, the usefulness of a series
Traditional much more than online 5.4%
226
of singular inputs may be lacking in comparison respondents felt that online participants and tra-
with a format that includes a group dynamic where ditional participants are about the same in terms
ideas may be based on interaction. of knowledge or engagement. Over 24 percent
One hope for ICT tools for citizen participa- found e-participants to be much more or more
tion is that they may broaden the spectrum of knowledgeable and engaged than traditional par-
participants, ideally engaging citizens who might ticipants, while over 21 percent felt that traditional
not otherwise come to a public meeting or open participants had the knowledge or engagement
house (Conroy & Gordon 2004). Komito (2007) edge. The respondents made no indication that
has noted evidence that new technologies inten- citizen opinions are common in either traditional
sify existing contacts within localities, especially or online venues. However, the similarities in
by those already active in their localities (p. 79). knowledge and engagement levels may signify
Unfortunately, the author also notes that evidence that the digital divide is not immediately evident
has not supported the role of e-government in in this particular case. The divide may instead
increasing the number of people who choose to be between those who participate via any venue
participate. When respondents in this study were versus those who do not. It may also reflect what
asked if they felt that their e-participants were Jaeger & Thompson (2004, p. 101) refer to as
the same as the people who attended traditional information poverty, or ignorance about the
meetings or were new participants, the results existence or value of an online offering.
were mixed. While almost 38% felt that those
using online participation tools were largely the Online Participation Impacts
same people or many of the same people who at-
tended traditional formats, over 32% responded Another important consideration with respect
that the e-participants represented new partici- to online participation tools is to understand
pants. Almost 30% of respondents indicated that how the tools impact the participation process.
the e-participants represented about the same Multiple studies have demonstrated positive e-
amount of both traditional meeting participants government impacts on data access and efficiency
and new participants. While it is not possible to and productivity of government performance in
draw a conclusive insight from such results, it is both internal operations and external functions
evident that some new users are being served by (Holliday & Kwok, 2004, p. 551).Von Haldenwang
the availability of online participation tools. (2004) goes further, with the anticipated posi-
New users may not differ much from those with tive contributions of ICT on citizen participation
whom the respondents have typically engaged. based on the observation that the intensifica-
According to the respondents, online participants tion of information and communication flows
are viewed similarly to their traditional venue that characterizes e-government strengthens
counterparts (see Table 2). Fifty-four percent of the capacity of public institutions as well as the
Table 3. Planner view of online participation tool impacts
Sense of Government Department Perception of

Transparency Responsiveness Responsiveness
Greater with online tools 83.3% 48.6% 24.3%
Greater with traditional format 8.3% 21.6% 16.2%
About the same 8.3% 29.7% 59.5%
227
transparency and openness of political processes respondents feel that the format of participation has
(Von Haldenwang, 2004, p. 427). The perception no influence on feedback incorporation, perhaps
of planners regarding the influence of these tools they expect the citizenry to feel similarly.
on their citizenry provides new insight into the The next question attempted to get more insight
value each department may place on the tools, as into the attitudes held by respondents regarding
well as their perceived limits. online participation tools. Table 4 shows the level
Table 3 shows respondents views of the impact of agreement that respondents had with five state-
of online tools versus traditional participation ments about the impact and influence of online
formats with respect to citizens sense of govern- participation tools on the respondent communities.
ment transparency and the publics perception The overwhelming majority (77.4%) of respon-
of department responsiveness. We also asked dents either strongly agreed or somewhat agreed
respondents views of their own department re- with the assertion that the online tools allowed
sponsiveness. Respondents overwhelmingly noted the community to reach individuals who would
(83.3%) that the online tools provide citizens with otherwise not participate. These individuals may
a greater sense of government transparency. This be unwilling or unable to attend more traditional
supports previous research and is linked to easier participation venues, or they may simply feel more
access to materials previously held in a physical comfortable with the online experience (Conroy
office. Respondents themselves felt that their & Gordon, 2004). Komito (2007) argues that e-
own responsiveness to citizens was greater with government systems can, if properly designed
online tools (48.6%). Interestingly, nearly 60% of and implemented, involve citizens who have not
respondents felt that the publics perception of their previously been active in local community life
responsiveness was independent of the online or (p. 77). This study supports that finding, based on
traditional participation format. This may be the respondent views, although it does not address the
result of respondents perceptions of unreasonable more complex issues of participation equity and
expectations on the part of the public, or that the the digital divide. For example, one respondent
public is satisfied in each venue. It may also be offered the following cautionary note: More
supportive of Wohlers (2009) finding that a sophisticated individuals are provided with an
majority or plurality of city officials also believes additional avenue to participate, however, given
that the Internet has made no difference regarding that our population is largely disenfranchised, I
increased incorporation of citizen feedback and feel that traditional methods are best simply be-
citizen engagement in city politics (p. 124). If cause of our communitys demographic makeup.
Table 4. Planner agreement levels regarding online participation tool usage
Online participation tools Strongly Somewhat Neither Agree Somewhat Strongly

Agree Agee nor Disagree Disagree Disagree
Allow us to reach individuals who would
24.3% 54.1% 21.6% 0% 0%
otherwise not participate
Are all that is needed to do our com-
0% 5.4% 8.1% 8.1% 78.4%
munity outreach
Allow us to enhance the participation
48.6% 32.4% 16.2% 2.7% 0%
experience of our citizens
Exclude a significant part of our citizenry 2.7% 51.4% 18.9% 21.6% 5.4%
Are most useful as a supplement to tradi-
62.9% 34.3% 2.9% 0% 0%
tional participation approaches
228
Another noted, The online informational tools et al. 2007). The values of the tools for potential
are helpful to the more computer savy [sic], but increased community-building or alternate discus-
can be confusing for those who are not. Over half sion venue have not been considered.
of the respondents noted that the tools exclude a Finally, when asked about the impact that
significant part of their citizenry. The availability online participation tools have had on either each
of these online tools, as noted in the literature respondents own or each respondents depart-
discussion, may exacerbate the digital divide in a ments relationship with citizens, more than half
community. Providing publicly available centers noted that the tools have positively but marginally
(e.g., public libraries) may mitigate issues of ac- changed how they interact with citizens. No one
cess, but it does not address issues of participant indicated that the tools had a marginally negative
self-efficacy or technical capacity. impact on interaction with citizens, although one
While online participation tools provide a respondent noted that there had been a radically
means for some citizens who might not otherwise negative change as a result of the tool. Over 26%
participate to do so, most respondents (over 78%) of the respondents said that there had been a radi-
strongly disagreed that they were sufficient as cal change, but in a positive way. One respondent
the only means by which they should do com- noted that, All work products are created with the
munity outreach. On a related note, almost 63% thought that they will be on line. The electronic
of respondents strongly agreed that the tools are element of municipal planning has become, then,
most useful as a supplement to traditional par- the new foundation of a municipalitys community
ticipation practices, and another 34% somewhat interface. Almost 16% of respondents noted that
agreed with this role for the online participation online participation tools have had little or no
tools. Therefore, while researchers highlight the influence, positive or negative, on how the respon-
potential of online participation to actively engage dent or the respondents department interacts with
citizens and enhance democracy, practitioners citizens. This might be expected for e-government
experiences indicate that they see a permanent offerings which are, for example, information- or
role for conventional participation venues. This managerial-based and lack a threshold level of
supports Von Haldenwangs (2004) assertion that citizen interaction.
ICT-based direct democracy should not be seen
as an alternative to representative democracy but
rather as a means to improve interest articulation FUTURE RESEARCH DIRECTIONS
and decision-making (p. 427).
Most respondents (81%) somewhat or strongly Citizen participation tools in e-planning efforts
agreed that online participation tools have en- are typically unidirectional, sequential, and
hanced the participation experience of their citi- information based (see, e.g., Evans-Cowley &
zens. This is supported further by comments such Conroy, 2009). This characterization reflects the
as Quicker response [sic] in providing written, continued dominance of the managerial model of
comprehensive response; On-line info is really e-government. Insights from this study suggest
a convenience for certain segments of users and both why this remains the case and point to the
expedits [sic] getting info out into the commu- potential to move toward a participatory model.
nity; and Improved response time to issues. Planners responding to our survey noted that
Streamlines communuications [sic]. Respondent the online participation tools improve responsive-
comments further highlight the view that the tools ness from both their own points of view and their
are a means to create efficiencies and participant/ perception of their users points of view. Dimitrova
user convenience (Chadwick & May, 2003; Dutil and Chen (2006) conclude that the higher the
229
perceived usefulness of the new technology, the (Evans-Cowley & Conroy, 2009). A municipal-
more likely it is to be adopted by the consumer. ity may have started its online presence with
This proposition points to the fact that the decision electronic versions of print materials, but it has
to adopt a new technology service (e.g., electronic typically moved over time to offering interactive
government) is based on a subjective perception online geographic information systems (GIS).
on the part of the user (p. 175). This appears to One respondent in our survey noted, [o]ur city is
be a similar consideration for the provider. How- 97% internet active. On-line participation is used
ever, the online tools are considered most useful frequently. As interactive tools become easier to
by respondents when they are supplementary to use and install and less expensive to adopt and
traditional approaches. This may be due in part to maintain, we expect more municipalities to have
historical factors in the planning process, in which a high percentage of online offerings.
participation focuses on face-to-face interactions. Exclusion issues will likely broaden with the
Therefore, it is not surprising that the respondents, advent of the move to more consultative and
most of whom have been in their position for more participatory model of e-government. As noted by
than five years, would see traditional tools as the one of our respondents, [t]he online informational
rightful dominant mode. tools are helpful to the more computer savy [sic],
Another reason for the continued reliance on but can be confusing for those who are not. The
traditional participation tools rests with planners e-participation tools may engage participation
perception of their citizenry. As one respondent by a segment of the population that is already
in our survey noted, [m]ore sophisticated indi- locally active; for example, the knowledge that
viduals are provided with an additional avenue such tools are available online may arise from
to participate, however, given that our population announcements or fliers at meetings. As Komito
is largely disenfranchised, I feel that traditional (2007) points out, barriers to access are diminish-
methods are best simply because of our commu- ing over time and yet there still remain a large
nitys demographic makeup. It is unlikely that number of citizens who are disengaged from the
a move to a participatory model of e-government policy process and, indeed, from their community
will be possible unless the government side of the in general (p. 82). A concerted citizen training
interface (i.e., planners) see it as a way to engage effort in both technology and citizenship may be
the broader citizenry in a manner similar to face- a necessary component of the roll out of enhanced
to-face efforts. The generally positive view of how participation tools. The Internet is an experi-
online participation tools have influenced respon- ence technology, as it is difficult for people to
dents relationships with their citizens, however, understand how the Internet and Web work until
suggests that such a transition is possible. Future they use them (Dutton and Shepherd, 2006, pp.
evaluations of this survey groups perceptions 447-448). Therefore, outreach efforts will need
will continue to provide insight into whether the to go beyond informational mailings. We feel the
usefulness of the tools and their impact on citizen future will be best served through a coordination
interaction changes as municipal planning online between e-government functions and the efforts
tools become more interactive. of existing community groups, as this will en-
U.S. communities continue to expand their able citizens to explore electronic participation
offering of interactive planning tools, though options when they use the e-government services
technical and resource challenges limit the type (Komito, 2007, p. 90).
of offering to those requiring less direct oversight
230
CONCLUSION 2006). In conjunction with the managerial model

dominance, this may indicate a latent bias of re-
Our study has examined the e-government offer- spondents for non-Internet forms of engagement.
ings of municipal planning websites in light of The eventual success of e-government will be
planners perceptions. A survey of planners has tied to citizens willingness to use e-government
given insight into both the impact of online tools tools and engage in the online realm of participa-
compared to traditional participation measures tion. It will require not simply advanced software
and the planners views of the users of these tools. but also a demonstration that the use of such
Two key findings have come out of our review. software has an impact on policy. Lack of effi-
First, the focus of website offerings remains cacy and a consequent why bother response is a
dominated by the administratively oriented mana- significant issue (Komito, 2007, p. 91). Planners
gerial model. In this model, enhancements to also face challenges of participation in traditional
efficiency and transparency are seen as valuable venues. Incentives may be necessary to truly gar-
outcomes of online tools. Participants are users ner broad community-based participation, which
or clients to be served rather than a population may raise challenges fundamental to citizenship
to be engaged. Participant satisfaction is valued, and democracy. There will, of course, be some
and has been shown to correlate with trust in gov- people who never want to use new technologies,
ernment. This characterization of e-government so the alternative (face-to-face) offline government
users does not, however, attempt to transport the services should always be available (Netchaeva,
interactivity found in a face-to-face setting to the 2002, p. 476). There is no singular means of in-
online realm. It retains traditional participation formation dispersal or participation that will meet
venues as the default for community engage- the full needs of a community.
ment. This model highlights Wohlers (2009) The future of e-participation in planning may
findings where only a small proportion of involve a radical shift from the efficiency mindset
government Web sites [in the U.S. and Germany] promoted by planners and subscribed to by users
provide residents with meaningful opportunities or it may involve only marginal enhancements
to gain tangible benefits or to directly interact to increase convenience and responsiveness.
with and get involved in government processes Citizens and the municipal staff with whom they
and decisions (p. 123). interact will need to subscribe to the same vision
Second, while online tools may be introduc- of e-government and work together to achieve it.
ing some new participants to the general plan- The data suggests innovation in e-government
ning process, there is recognition that existing is driven by legislative professionalism rather
tools are not reaching the broadest population. than citizen demand (McNeal et al., 2003, p.
Expressed concerns stem from the experience, or 65). While our findings focused on state level
lack thereof, that citizens have interfacing with e-government offerings, they concur that the
technology. Although national surveys highlight administrative focus has been dominant, and that
increases in Internet use in general, this increase participatory goals are not presently a dominant
still may not be reaching members of underserved factor (McNeal et al., 2003, p. 66). It will only be
or disenfranchised populations. Traditional plan- possible to accomplish a radical shift if planners
ning outreach focusing on personal connections see the value of tools beyond an efficiency and
takes pride in reaching such populations (Waldon, responsiveness consideration.
231
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Gulia, M., & Haythornthwaite, C. (1996). Computer in planning that can capture, display, manage, and
Networks As Social Networks: Collaborative Work, analyze spatial data.
Telework, and Virtual Community. Annual Review
Planning: A government activity focused on
of Sociology, 22, 213238. doi:10.1146/annurev.
policies and projects related to community land.
soc.22.1.213
Typically includes housing, economic develop-
West, D. M. (2000). Assessing e-government: The ment, environment, land use, and transportation
Internet democracy, and service delivery. Retrieved considerations.
from http://www.insidepolitics.org/egovtreport00. Planning Department: An organizational unit
HTML within a municipal government that conducts plan-
ning activity. It is typically focused on determining
appropriate use of land through adoption of general
or comprehensive plan policies. A planning depart-
ment is also responsible for the application of these
Comprehensive Plan: A document typically policies, along with the requirements of codes and
generated by a municipal planning department in zoning regulations to permit approvals.
conjunction with citizens and public officials that Wiki: An Internet-based webpage (or collec-
reviews community social, economic, and envi- tion of webpages) to which users can contribute
comments or edits to proposed content.
236
237
Chapter 12
Planners Support of
E-Participation in the
Field of Urban Planning
Mikael Granberg
rebro University, Sweden
Joachim strm
rebro University, Sweden
ABSTRACT
The chapter questions what planners really mean when they display positive attitudes toward increased
citizen participation via ICTs? Are they aiming for change or the reinforcement of existing values and
practices? What are the assumptions that underlie and condition the explicit support for e-participation?
In addressing these questions, this chapter draws upon a survey mapping the support for e-participation
in the field of urban planning, targeting the heads of the planning departments in all Swedish local
governments in 2006. The results show confusing or conflicting attitudes among planners towards par-
ticipation, supporting as well as challenging the classic normative theories of participatory democracy
and communicative planning.
INTRODUCTION other key stakeholders during policy making. For

e-participation to possess true meaning, however,
A common argument is that new information and these material capacities must be put to work in
communication technologies (ICTs) represent a ways that reflect social intentions. Just as schools
vast array of technical improvements in our com- are not simply the buildings in which education
munication opportunities and that this would be a takes place, but spaces organized around cultur-
vital force in bringing about a closer relationship ally specific notions of education, e-technologies
between citizens and their governments. The unprec- cannot acquire a socio-political function without
edented degree of interactivity offered by new ICTs policy intentions (cf. Creasy et al. 2007; Coleman
has the potential to expand the scope, breadth and et al. 2008).
depth of government interfacing with citizens and In the case of e-participation, there has been
hardly any systematic work conducted aimed at
DOI: 10.4018/978-1-61520-929-3.ch012 identifying different normative positions. It is
Planners Support of E-Participation in the Field of Urban Planning
frequently assumed that all actors involved in technologies might affect attitudinal patterns,
e-participation share a common set of meanings either by reinforcing existing values and practices
about the nature of participation, technology and or by contributing to change. In this section we
politics. This chapter examines to what extent plan- also discussed some methodological issues. Third,
ners support e-participation in planning as well as the attitudinal survey, data, and measurement are
what they actually mean when they display positive described. In sections four and five, we describe
attitudes. To meet this objective, we draw upon a the diffusion of e-participation support among
survey questionnaire which maps attitudes towards Swedish urban planners in relation to individual
e-participation in the field of urban planning and and city characteristics. Furthermore we analyze
which was distributed by the authors in the spring the meaning of such support by examining whether
of 2006 to the heads of planning departments in the predominant beliefs and values found among
all 290 Swedish local governments. e-participation enthusiasts are different from
While developments towards e-participation those of other planners, when enthusiasts are
processes can be discerned in many countries, defined as those who state that Internet technolo-
the prospects for implementing e-participation gies to a very large extent should be used to
might be considered better in Sweden than in increase citizen participation in policy making.
many other countries. The rapid expansion of the Finally, the sixth section discusses the implications
Internet, combined with an ongoing broadband of the empirical evidence for the understanding
expansion, implies that a technological platform and development of e-participation in planning.
now exists on which to develop applications that Accordingly, we will now continue with a pre-
may strengthen citizen participation. According sentation of the Swedish planning context aiming
to 2005 statistics, 73% of the Swedish population at giving the reader a basic understanding of the
between 18 and 79 years of age had access to the Swedish planning system and some of the changes
Internet at home, and, out of these, 66% had a it has gone through.
broadband connection (Nordicom, 2006). Several
state-backed studies on the national level in recent The Swedish Planning Context
years have argued that the Internet should be used
to promote government accountability and to in- Swedish local governments have a planning mo-
crease public participation in politics and planning nopoly, the planning system is designed for local
(SOU 2000: 1; SOU 2001: 48). This proposition government, and each local government must have
is valid for various domains of political life, but and maintain a comprehensive plan (Fog et al.,
public participation is regarded as particularly 1989; Alfredsson & Wiman, 2001). The compre-
important for local planning processes: providing hensive plan should cover the whole municipal
opportunities and encouragement for citizens to territory and guide planning but it is not binding.
express their views on matters that affect their The next and more operational level of planning
everyday lives. documents is the detailed development plan, which
The disposition of the chapter is as follows. is a binding executive planning instrument. The
First, the Swedish planning context is presented general idea is that the intentions formulated in the
giving a background to the environment were plan- comprehensive plan should be realized through
ning is conducted. Second, a theoretical approach detailed plans and finally manifests themselves
and two ideal typical models for the development through infrastructure and housing. The process
of e-participation attitudes are developed. The between the initiation of planning and the formal
e-participation models hold that opportunities planning decision through which the plan is ad-
for information and communication via digital opted is punctuated by a number of formalized
238
control stations (Nystrm, 2003; Henecke & perts (Khakee, 1989, 2000; Granberg, 2004). One
Khan, 2002). The law regulates how the process way information was dominant, communication
should be pursued and also which stages should and substantial interaction lacking. Observers of
be included. One important stage is the consulta- the debate on the national level have emphasized
tion stage, where citizens are given opportunities continuity rather than change and the predomi-
to study and react to planning proposals. The nance of representative democracy and the expert
consultations address the demands for transpar- planner (Strmgren, 2007).
ency and for opportunities for citizens to access, To understand this phenomenon more fully,
understand and reflect upon planning proposals and to set the scene for understanding the role
(cf. Nilsson, 2003). of e-participation, we need to explore the is-
In the post-war period before the 1970s sue of e-participation in planning through the
Swedish planning was primarily geared towards theoretical lenses of planning, technology and
expansion and the production of housing and democracy.
infrastructure. During this period planning was
guided by instrumental rationality and based upon A Theoretical Approach and
a trust in systematic, scientific, knowledge and Methodological Issues
with planners as experts (Khakee, 1989). During
the 1970s new planning ideas focusing on citizen The roots of modern planning can be traced back to
involvement and increased communication sur- the late 18th century and enlightenment (cf. Camhis,
faced (Bohm, 1985). The planning and building 1979). This is important because the enlighten-
act introduced in 1987 further strengthened local ment tradition and its perception of knowledge
governments role in planning in relation to state and rationality have had an exceptional vigor in
and other actors. The law also aimed at increas- planning theory up to the present (Allmendinger,
ing citizen participation, influence and involve- 2001). The focus has been on instrumental ratio-
ment in other guises than as voters, landowners nality and on systematic, scientific, knowledge
or stakeholders (cf. Fog et al., 1989, Strmgren, and a focus on planners as experts.
2007). Meeting this objective turned out to be Traditional planning has for a long period
problematic, however, and during the 1990s the been subject to increasing critique. One aspect of
law was revised to further strengthen the potential the critique focused the perceived lack of aware-
for citizens to take part in planning. Despite these ness about the meaning and impact of politics
efforts, lack of citizen participation continued to (Lindblom, 1959; Etzioni, 1967; Wildavsky,
be a problem in Swedish urban planning. Some 1987). Another aspect of the critique concerned
observers concluded that citizens input was not the perception of relevant knowledge in the plan-
truly regarded as important, but was seen simply ning process which focused on expert-knowledge
as a step in the planning process that must be (Forester, 1989; Friedmann, 1987; Fischer, 1990).
completed to comply with state regulations. The The critique stated that citizens experienced-
gap between rhetoric and practice seemed to be as based knowledge was important for planning and
great as ever in many planning processes (Khakee, needed to be included in the planning process
1999; Henecke & Khan, 2002). through extensive interaction between planners
Critics have continued to stress the lack of and citizens (Fischer & Forester, 1993). This
citizen participation. In general, planning was an was, of course, paired with a critique of the role
activity characterized by expert knowledge and for citizen participation in traditional planning
instrumental rationality; it was a process in which which was very limited and framed by the ideal
experts primarily communicated with other ex- of representative democracy.
239
During the eighties and nineties this critique put another way, their reluctance to include lay
developed into a planning paradigm of its own, citizens in policy deliberations and decisions.
the communicative paradigm in planning theory Second, one has to find the means to make citizen
(cf. Forester, 1989; Fischer & Forester, 1993; participation more manageable for regulators
Healey, 1997). Much of the inspiration came increasing collaboration between citizens and
from the theory of communicative rationality as government (deLeon, 1992; Dryzek, 2000).
formulated by Jrgen Habermas, from American Today participation and active citizenship are
pragmatism but also from Foucault (Fainstein, widely celebrated by governments. While some
2000; Flyvbjerg, 1998). Communication is at commentators view this participatory turn in
the center of attention but also the perception of public policy as an important sign of revitalization
knowledge which is much inspired by the social and change, others are more skeptical, arguing that
constructivists (Healey, 1997). This paradigm en- there are different views about how participation
tails a direct challenge to the supreme position of should and could be implemented. What divides
expert knowledge in traditional planning. Since the participation into different objects, they argue, is
1980s the tendency has been to perceive planning primarily a matter of location in the structure of
as a political and democratic activity (Forester, power. As the planning process to some extent is a
1989, 1999). Accordingly, it must be understood in struggle of power it provides different experiences
its political and democratic institutional setting (cf. to those who hold power and those who do not:
March & Olsen, 1989). There are many theories as those traditionally in control are more likely to
to what democracy means, two particular theories adopt a defensive posture towards social change
stands out as dominant (Held, 1987; Birch, 2001). and are concerned with the protection of existing
These are elite democracy and participatory institutions from excessive and uncontrolled
democracy. Elite democracy has usually been participatory input. In this line of reasoning, the
linked to a bureaucratic or instrumental view attractiveness of participation for planners most
of government and the participatory theory to a likely does not reside in its potential to shift sover-
pluralist or empowering view of government. eignty from politicians and professionals to delib-
Citizen participation from the elitist perspective erating citizens. While the ethos of responsiveness
primarily focuses upon participating in public put citizens at the center by inviting their input,
elections (Schumpeter, 1950). The assumption there still is a desire to keep them away from the
is that governments know best and that citizen administrative work and actual decision-making
participation would simply lead to inefficiencies centers (Blaug, 2002; Vigoda-Gadot, 2004; Fung,
in the decision-making process with detrimental 2006; strm & Granberg, 2007).
effects on the quality of the decisions made. Par- The relationship between contemporary gov-
ticipatory perspectives on democracy, on the other ernance and ICTs makes this question even more
hand, criticize administrative decision making for interesting. Potentially, the rise of the Internet can
its concentration on instrumental rationality and influence planners predominant attitudes towards
systematic scientific knowledge and its view of participation, strengthening the value or changing
bureaucrats as experts. Participation is also consid- its purpose. Theorists of electronic democracy
ered to be good in itself, apart from the effects on often argue that ICTs, for the first time, make
political outcomes (Pateman, 1970; Barber, 1984). possible more participatory and deliberative forms
Accordingly, proponents of participatory policy of political decision making and of transforming
making usually argue in favor of two important purposive-rational action by experts into commu-
transitions. First, public officials must relinquish nicative action by citizens (Shulman et al., 2003;
their elaborately constructed aura of expertise or, Coglianese, 2004). Neil Postman (1993, p. 13), for
240
instance, claimed that there is an ideological bias in it, are more likely to support its extended use
in every technology, a predisposition to construct than are those who have not been as involved with
the world in one way rather than another, to value it. We will thus test the importance of individual
one thing over another, to amplify one sense or skill characteristics by using variables of age, gender,
or attitude more loudly than another. This bias of education and e-literacy. The last variable, e-
technology may lead to its use having influences literacy, is measured by the respondents perception
of which the user may not always be conscious, of their ICT competence on a four-point scale from
and which may not have been part of its original very good (1) to not good at all (4).
purpose. At the same time the new technology can Besides individual characteristics, e-participa-
provide planners with the opportunity to ask new tion attitudes may depend on city contexts. Based
questions and shift their attention. The struggle on previous literature on policy innovation and
over interpreting the democratic potential of ICTs diffusion, some of our explanatory variables will
is, however, far from over. Another view is that focus on resources. Among resource variables, size
the new opportunities on the Internet will only often turns out to be important when it comes to
serve to reinforce the grip of established political innovation (Schmidt 1986; Damanpour 1996), not
and administrative elites. least when it comes to innovation in e-government
When it comes to factors influencing diffusion (strm 2004). Large local governments are often
of e-participation support among planners, we in a better position when it comes to specialist
will test these both at the individual and the city competence and free resources. Their advantage
level. Both theories and empirical investigation can also be explained by a combination of costs and
in the field of the so-called digital divide have benefits. Bigger cities can profit from economies
so far provided us with a better understanding of of scale both when it comes to lower costs for ex-
the Internet diffusion processes among and within perimenting and risk-taking, and when it comes to
societies (Norris, 2001). They have found that gains made in cases of successful implementation.
socio-economic and demographic factors, such In this study size is measured by population 2005.
as age, gender and education has a significant A second potentially important resource-variable
impact on attitudes towards, and use of, the Inter- is the backend status of e-government. It is possible
net in modern societies. Less emphasized in this that the variation in e-participation support can be
literature, however, are factors directly linked to explained by the broader picture of the application
ICTs, such as computer literacy and trust in new of ICTs by government agencies. In this study the
technologies, which may also explain the variance backend status of e-government is measured by
in attitudes towards e-participation (strm, 2004; an index consisting of eight items derived from
Hoff, 2004). From such a technology-oriented the survey: agencies use (1) or lack of use (0) of
perspective, it might be expected that planners geographic information systems (GIS), 3-D mod-
own use of ICTs may produce greater incentives eling, virtual reality simulations, permit tracking
to move planning online. One argument is simply software, geographic positioning system (GPS),
that technology users may believe more strongly photo interpretation, remote sensing, and zoning
in the opportunities offered by the new technol- and code enforcement management software.
ogy than non-users. Another argument is that the Demand is another important factor in policy
integration of ICTs in planning presupposes a innovation (West, 2007; Tolbert et al., 2008).
change of behavior among those who are supposed First, use of the Internet by planning agencies
to use it. It is therefore reasonable to believe that could be conceived of as a response to demand
planners who already use the new technology to from an increasingly computer savvy populace
some extent, and have invested some capital (Norris et al., 2001; strm 2004). We measure
241
this by the availability of ICT- infrastructure in ter representation of citizen interests directly in
the area of the municipality 2002, which is closely governmental decision making. In this line of
related to Internet-usage. Second, we might ex- thinking, the interactive capacity of the new tech-
pect that e-participation support is influenced by nology represents an opportunity for citizens to
a participatory political culture and constituent engage more directly and individually in the plan-
demand for taking part in policy making (Yang, ning process. Most importantly for the planners,
2005). We test this by including voter turnout this kind of interaction has the potential to build
in the local governments 2002, as a measure of trust and therefore also to further legitimate the
participation in politics. planning process and its output (Granberg, 2004).
Central to the argument in this study is that Therefore a series of five statements in the
participation advances multiple purposes and questionnaire dealt more directly with the plan-
values in contemporary planning. We are therefore ners value orientations. They begun with percep-
forced to ask not only how much participation tions of expertise and the traditional institutions
planners really want, but what purpose or value of representative democracy and then moved
participation has. That is, what kind of citizen up to direct involvement of citizens in actual
participation do local planners really promote? decision-making processes. Agreement with the
In order to address this question, two models of statements was rated from 1 (strongly agree) to
e-participation attitudes are outlined. The rein- 4 (strongly disagree).
forcement model states that the emergence of new The theoretical discussion indicates that there
technologies primarily provides opportunities for is both a case for change and for continuity. In
handling large amounts of information and data, order to measure this, we will now look into the
which paves the way for comprehensive planning empirical evidence as we discuss the survey and
and a possible strengthening of the professional/ map out Swedish planners attitudes towards
expert planner in line with a neo-rational planning citizens e-participation in planning. We will
model (Sehestedt, 2001). Creating opportunities start with the methodological issues followed by
for direct e-participation in decision making, on a presentation of our results.
the other hand, is considered to contradict the value
of professionalism in planning because it forces
public servants to satisfy citizens even when such THE SURVEY
actions run counter to the general public interest.
Professionals become obliged to satisfy a vague The analysis carried out in this chapter draws
public will, primarily channeled via political par- upon two types of data: (1) a survey question-
ties and elected representatives. naire by the authors targeting the heads of the
In our model for change, the opportunities for planning departments in all 290 Swedish local
e-participation are changing the value and purpose governments, and (2) a database covering a wide
of participation in the direction of participatory range of structural data on Swedish local gov-
democracy and communicative planning (cf. ernments developed by Leif Johansson at Lund
Healey & Khakee, 1997; Sandercock, 1998; For- University, Sweden. The survey, conducted dur-
ester, 1999; Albrechts & Denayer, 2001). In line ing the spring of 2006 via the web followed by a
with arguments raised by Sherry Arnstein (1969) traditional postal survey, resulted in a 67 percent
this would include the right of individuals to be response rate. Since it is important to know who
informed, to be consulted, and to express their is interested in e-participation, the characteristics
views on governmental decisions (cf. Macintosh, of the 193 respondents and 97 non-respondents
2003). This model also stresses the need for bet- were compared. We found that planners in cities
242
with strong ICT-infrastructure (72 percent) were that remain more faithful to traditional channels
more likely to respond than planners in cities with of participation?
weak ICT-infrastructure (63 percent). Since the The analysis in figure 1 shows the percentage of
analysis in the next section will show that this planners that are most supportive of e-participation
variable is related to support for e-participation the e-participation enthusiasts within dif-
among respondents, it is important to keep this ferent social and technological groups. A slightly
bias in mind when reading the tables. bigger proportion of men than women strongly
The four-page survey contained mostly close- support e-participation, but at the same time men
ended questions, giving room for comments on are more often strong opponents of e-participation.
the last page. As discussed in the introduction, the Men thus seem to have stronger opinions, both
primary dependent variable in our analysis is sup- positive and negative, than women. When it comes
port for e-participation. This is measured by one to age and education, the attitudes follow the ex-
single question, of which the exact wording is: To pected pattern, but in this case the pattern is not
what extent do you think that Internet technologies particularly strong. Instead it is the technology-
should be used to increase citizen participation in oriented variable that stands out. Planners with
planning? Respondents were asked to indicate (perceived) more developed computer skills are
their appropriate position on a four-point scale, more often strong supporters of e-participation
ranging from a very little degree (1) to a very large than are planners with weaker computer skills.
degree (4). Based on this measure we compared The interrelationship between social and tech-
the characteristics and orientations of those who nological variables creates a problem here, since
we regard as e-participation enthusiasts, defined it is difficult to isolate the influence of each. By
as those scoring highest on the scale (4), and e- using multivariate cross-tabulations, however,
participation non-enthusiasts (scoring 1-3). we find that e-literacy has a positive effect for
each of the other groups. The way technology is
The Results used by individuals at one stage or in one area
thus seems to be of importance for the attitudes
One central finding of the survey is that 94 percent associated with the technology at a later stage
of the planners support e-participation in planning or in another area. This may be interpreted as a
(34 percent to a very large degree, and 60 percent cumulative technological effect, or a process in
to a fairly large degree). First, this indicates that which attitudes are gradually being adjusted to
Sherry Arnsteins (1969) proposition that par- the available means. Interesting, though, is how
ticipation has achieved an unassailable status of the relationships between the social variables and
motherhood, apple pie and spinach No one is e-literacy are played out. When it comes to gender,
against it in principle because it is good for you most notably, we find that the women planners
is still valid. Second, the strong support for the are younger, that they have higher education and
use of e-participation indicates that there is a strong are more e-literate than men. Still, men are more
faith in the positive democratic potential of ICTs enthusiastic about e-participation, which becomes
among Swedish urban planners. This does not, even more evident in a multivariate analysis. For
however, tell us whether e-participation is neutral, instance, we find that 67 percent of the e-literate
in the sense that it affects all categories of plan- men and only 36 percent of the e-literate women
ners to a similar degree. In other words, besides are e-participation enthusiasts. We may thus
choosing another mode of participation, are the conclude that even if the most obvious divides
individual and city profiles of e-participation concerning access and e-literacy are absent, other
enthusiasts significantly different from those more subtle divides are emerging.
243
Figure 1. E-participation enthusiasts by individual characteristics, percentage and number
The results given in figure 2 shows that nearly The overall results in this section therefore
all contextual factors analyzed here has the poten- suggest that the diffusion of e-participation sup-
tial to explain the attitudinal variations. At least port is primarily driven by ICT-oriented factors:
there are clear attitudinal differences by electoral on the individual level the respondents computer
turnout, e-government back-office developments competence and on the city level the availability of
and ICTs infrastructure. In some instances, relating ICT-infrastructure in the municipality. It is likely
the variables to each other through multivariate that these developments directly influences how
cross-tabulations reinforces these differences. For far planners can go to provide e-participation,
instance, 51 percent of the planners in a context and that they also produce greater incentives for
of high electoral turnout and well-developed the planners to do so, as the general public and
e-government back office are e-participation en- they themselves becomes wired. By looking at
thusiasts while this is the case for only 19 percent e-participation support, without analyzing the
of the planners in a context of low turnout and meaning of such support, our data thus support
less developed e-government back office. In other the model for change, emphasizing organizations
cases the variables are exchangeable, indicating adaptation to ICTs.
that the impact does not come from each of the One conclusion from table 1 is that e-partic-
variables per se, but through their close associa- ipation in planning is not related to representa-
tion with one another. To examine this further a tive democracy and party-based politics. A clear
regression analysis was made, showing that the majority of the planners do not think that citizen
infrastructure of ICTs is the most important context influence should be channeled through elected
variable explaining variations in attitudes (Beta representatives or political parties. Instead e-
.250 sig. .05). participation in planning is based on the idea of
244
Figure 2. E-participation enthusiasts by city characteristics, percentage and number
direct communication between planners and the have regarded parties with considerable suspicion,
individual citizen engaging in the planning pro- on the grounds that citizens should discuss issues
cess. On the one hand, this may be interpreted as and determine priorities within each community
the presence of communicative planning and par- uncontaminated by partisan bias (Norris, 2005).
ticipatory democracy ideals, where it is essential On the other hand, this may be interpreted as a
that planning should be done through interaction separation between planning and politics in line
among those who have an interest in the outcomes with the idea of a rational planner, who serves
of the planning process. Throughout history, many as a technical expert outside the political sphere
advocates of participatory or direct democracy so that issues are settled on their own merits.
Table 1. E-participation support and value orientations
Model 1 Model 2
E-participation E-participation Mean diff. Beta Sig.
enthusiasts non-enthusiasts
1. Citizen influence in planning should be 2.83 2.82 .01 .028
channeled through political parties
2. Planning is a professional activity based on 1.98 1.88 .10 -.001
expert knowledge
3. Citizen experienced-based knowledge is 1.32 1.46 .14 .180 *
important for planning
4. Planning receives its legitimacy through 1.40 1.59 .19 .158 *
public dialogue
5. Citizens should be able to participate directly 3.09 3.14 .05 .063
in planning decisions
Note: Model 1: The figures represent the mean scores of e-participation enthusiasts and non-enthusiasts on scales from strongly
disagree to strongly agree (1-4) without any controls.
Model 2: The figures represent standardized beta coefficient in regression models measuring the impact of the e-participation support on
statement agreement after controlling for gender, education and age.
* = Sig. .05 and ** = Sig. .01
245
E-participation in planning would then be about of citizens experience-based knowledge and

assessing which alternatives best meet politically public dialogue. These differences mainly take
established goals to make better recommenda- the form of the same, only more so, however,
tions to political decision makers about which and do not challenge either power relations or the
course of action to follow. In this line of reason- instrumental view of participation per se. Among
ing, the appeal of e-participation would not lie e-participation enthusiasts there is no less empha-
in its potential to shift sovereignty from elected sis on planning as a primarily professional activity
representatives to a mass of deliberating citizens. based on expert knowledge, and no more positive
Rather, it would be a means to better planning, as attitudes towards direct citizen participation in
defined by expert planners. decision making. In this context, the attitudinal
The attitudinal pattern in relation to question differences between e-participation enthusiasts
2-5 in table 1 leans more towards the second and other planners are therefore not likely to be
interpretation than the first, which means that the result of an ideological reorientation towards
it falls somewhere in between the ideal models the classic values of participatory democracy and
of reinforcement and change. On the one hand, communicative planning. They are more likely
a clear majority of the planners display positive to be the result of an instrumental calculation of
attitudes about receiving input from citizens and costs and benefits in relation to different modes of
debating issues with them. On the other hand, it participation. Those who perceive the administra-
is obvious that expert knowledge is still very im- tive costs of e-participation to be low relative to
portant and direct participation in decision making instrumental benefits, such as the quality of input
is still dismissed. This means that e-participation or the opportunities for increasing legitimacy, are
is not viewed as an alternative to expertise, as more positive than others about involving citizens.
is often suggested in the normative literature in
political science, public administration and plan-
ning literature, but can instead complement it by CONCLUSION
strengthening the planners position. This, in turn,
strengthens the notion that e-participation for plan- So what are the potential trends for the future? The
ners is not linked to the normative, intrinsic reasons evidence discussed above is somewhat ambivalent
to favor participation, but is instead guided by an and a clear cut answer is of course not possible.
instrumental view of benefits. While planners want The pressure towards amplified citizen participa-
to preserve a substantial part of their autonomy, tion is clearly increasing in the theoretical and
authority and power, problem solving rather than political debate with calls for interactive decision
power sharing must be the purpose of involving making heavily engaging the citizens in policy
the citizens. Potential benefits may include making processes from initiation to decision (cf. Blaug,
the work of government more palatable to citizens, 2002; Vigoda-Gadot, 2004; Fung, 2006). At the
as well as making decision-making more effec- same time planning practices are institutionalized
tive. If citizens possess essential local knowledge and planners attitudes do not change rapidly. The
that comes from close exposure to the context in tension between these two, the external pressure
which problems occur, for instance, their partici- and internal practices, values and attitudes of
pation may supplement and strengthen planners planning, can pave the way for e-participation
knowledge and make decisions more legitimate. practices in planning that comes closer to the ideal
E-participation enthusiasts have somewhat of participatory democracy and communicative
different attitudes towards participation than other planning. The expert role often attributed to plan-
planners, especially when it comes to the value ners has considerable resilience and could perhaps
246
withstand the increased pressure from normative the potential to streamline the planning process,
arguments and technological potentials. reducing reliance on intermediary bodies such as
This study shows confusing or conflicting political assemblies and parties. The impact of
attitudes towards citizen e-participation among new technologies on our representative structures
urban planners. Most respondents display posi- would then be centered on the conciliating, mediat-
tive attitudes towards the idea of receiving input ing, or even adjudicating role of public servants;
from citizens and debating issues with them, but fostering the increasing reliance on channeling the
they hold negative attitudes towards a more direct democratic expression of opinion and preferences
involvement of citizens in decision making. More- through bureaucratic processes (Snellen, 2001).
over, they are positive about including citizens If planners strengthen their role vis--vis local
experience-based knowledge in planning, but they representatives this might increase the legitimating
still view planning as a professional activity based problems for political parties and representatives.
on expert knowledge. While e-participation enthu- Since planners do not have a legitimate role in
siasts have somewhat different attitudes towards handling political conflicts or competing interests
participation than other planners, these differences and cannot be held responsible in elections, there
mainly take the form of the same, only more is also a risk for strong particularistic interests
so and do not challenge the general pattern or to become represented as the actual common
current practice. Accordingly, the result does not good. According to some researchers (cf. Klijn
indicate either the presence or the development & Koppenjan, 2000), the question in relation to
of an attitude in line with the normative literature these problems is not so much about whether we
on participatory democracy and communicative should have more collaborative forms of decision
planning. Instead, planners attitudes towards making, but about how to organize these forms
the new opportunities of e-participation seem to and what role politicians should take in them.
be guided by an instrumental view of costs and Challenging the distinction between politics and
benefits. Participation in planning seems to be planning that still seems to be strong, they argue
more about problem solving and problem sharing that politicians together with government officials
than about real power sharing. This means that must initiate and guide the societal discourses
e-participation is at best an add-on to traditional exploring the common interest.
planning processes and is not considered an al- We can also conclude that the classical ar-
ternative form of democratic deliberation and guments of participatory democracy and com-
engagement. municative planning somewhat fails to grasp
This is not to claim that nothing changes. If what planners believe is most attractive about
the new technology is considered to lower the e-participation. The problem of understanding
costs of public participation, the instrumental and developing e-participation is thus complex.
benefits of e-participation for democratic gover- On the one hand it involves challenging existing
nance may be substantial. Citizens could become understanding on how democracy and planning
important resources for the solution of collective work as well as challenging embedded structures
problems and the production of welfare. Along of political power in communities. On the other
with an instrumental adoption of e-participation hand it is about addressing the instrumental con-
can also follow structural change. For instance, if sequences and potential benefits of participation
electronic channels provide for more interactive for modern governance. At its best, e-participation
communication between planners and citizens, can work in synergy with representation and ad-
online consultation and government polls has ministration to yield more responsive democratic
247
and effective practices. This, however, demands Bohm, K. (1985). Med- och motborgare i stad-
more forward-looking and theoretical imagination splanering. En historia om medborgardeltagan-
from practitioners as well as from researchers. dets frutsttningar. Stockholm: Liber.
Camhis, M. (1979). Planning Theory and Phi-
losophy. London: Tavistock Publications.
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mocracy. Technology in the Evolution of Political
Power. Cambridge, UK: Cambridge University KEY TERMS AND DEFINITIONS
Press. doi:10.1017/CBO9780511615573
Citizen: An individual with rights to participate
Birch, A. H. (2001). The Concepts and Theories of in political life (citizen rights also include civil and
Modern Democracy (2nd ed.). London: Routledge. social rights). The term is integrated in citizen-
ship which means to be a full member of society.
Chadwick, A. (2006). Internet Politics. States,
Communication: A two way flow of informa-
Citizens, and New communication Technologies.
tion, knowledge and experiences between entities
Oxford, UK: Oxford University Press.
(individuals, organizations, etc.) in society.
Coleman, S. (2009). The Internet and Democratic Influence: To have actual impact in decision-
Citizenship. Theory, Practice and Policy. Cam- making. Accordingly, influence does not connote
bridge, UK: Cambridge University Press. control over decision-making.
Participation: Taking active part in political
life.
251
252
Chapter 13
Portals as a Tool for Public
Participation in Urban Planning
Jens Klessmann
Fraunhofer Institute for Open Communication Systems (FOKUS), Germany
ABSTRACT
In this article it will be shown how different general types of portals can be utilized to foster public
participation processes in urban and regional planning. First portals and the objectives of their use in
the public sector are explained. This happens before the background of different concepts of administra-
tive reform and a transition of government to an electronic manner. Then public participation will be
described and different categories thereof are presented. This part forms the basis for the delineation
of electronic participation in urban planning. Finally the already introduced general portal types will
be applied to distinguish several kinds of participation portals.
INTRODUCTION of government: from policy development through

budget planning towards urban land use planning.
Public administrations utilize the advantages of por- The different activities can be concentrated and
tals in various dimensions. Electronic government made accessible with the help of internet portals
supports a transformation of the way how govern- supporting participation. According to current
ments and their administrations conduct their daily research internet portals can be divided into four
business. Public institutions try to achieve a more categories: Entry points, information pools, service
open style of communication with their citizens. centers and service clusters.
Many, especially at the local level, even seek a Entry points provide the user with A-Z listings
stronger involvement of active residents. to the websites of public administrations, local
Information and communication technology can government, members of parliament, political or-
support the involvement of citizens in many fields ganizations, relevant media and public institutions.
Information pools make information from the public
DOI: 10.4018/978-1-61520-929-3.ch013
Portals as a Tool for Public Participation in Urban Planning
realm available in easy to understand language and BACKGROUND

different media formats. In the field of participa-
tion they might provide information about tools Portals: Objectives and
for publishing, participation and self-organizing Types of Internet Portals
for citizens like wikis, chats, blogs and news
groups. Service centers can offer direct participa- Internet portals play an important role in the
tion through different methods and tools. Citizens modernization of the public sector. Their ability
can get directly involved in budget planning or to provide a unified access to different services
urban land use planning activities. Service centers and IT-systems can enhance the service delivery
could also provide e-voting processes of public of public sector organizations. Thus in this chap-
bodies and political organizations. Service clusters ter the underlying conditions and goals for using
give an overall access to many different partici- portals in public authorities and the different types
patory portals. They provide one-stop-access to of such portals will be delineated.
all participation processes and support citizens In order to keep competitive as a city, region
by offering search and notification services (von or nation and at the same time cut costs public
Lucke, 2008). authorities constantly have to re-define their core
In this chapter two examples of public partici- mission and procedures. Reducing red tape and
pation processes relying in part on electronic por- thus becoming more attractive for citizens as well
tals in Germany will be depicted and categorized as businesses is a major goal. With the rise of the
according to the above described model. Instances Internet in the mid 1990s the focus of electronic
will be chosen from different administrative levels government initiatives became providing online
and thus differing geographical scopes. information and digital public sector services.
The objective is to illustrate the potential of With more and more services being accessible
portals for supporting public participation. By through electronic media further raising the bar in
depicting two current examples of internet portals electronic service delivery is increasingly difficult.
in Germany the potential as a tool for participa- The customers and clients of the public sector
tion is shown. expect better services as they are used to online
The research methods used include literature purchasing, banking, auctions and more complex
review and internet research. In order to iden- digital process chains like in the automobile sector.
tify, understand and classify selected examples Public authorities have realized the need to pro-
of e-participation portals in Germany relevant vide even more multifaceted electronic processes.
literature will be reviewed. This work will cover For this to happen though, still separate back-end
the fields of participation and e-participation as systems within the public administration have to
well as internet portals. Internet research will be be integrated (United Nations, 2008; Lenk, 2007).
conducted to identify the examples, especially in One approach to allow for more flexibility is to
the field of urban planning, for further analysis separate the customer facing parts from the general
and to gain knowledge about best practices of e- staff of a public authority. Traditionally public
participation portals. The objective of this design administrations are organized vertically. Every
is to understand the potential of internet portals officer fulfills both paperwork and customer care.
to provide an additional channel for participation Thus highly trained and specialized staff members
in the field of urban planning. often have to deal with more ordinary tasks like
guiding customers through filling out forms. By
253
separating the front office from the back office in accessing the correct resources. The point of
the officers can concentrate on their tasks without contact can be an institution with staff supporting
having to deal directly with customers. The front the customers requests. It can also be organized
office staff handles most of the clients requests. as an electronic internet portal. Depending on the
Some advantages of this setup are the following: development stage portals can be set up from pro-
viding help in finding the correct resources up to
The back offices can be relieved of re- allowing undertaking fully automated transactions
petitive and low level customer care tasks. themselves. Via internet portals different access
Therefore specialized manpower is freed channels to public administration can be used.
and can be utilized. Citizens expect being able to access the public
The staff in the front office can be trained administration through different channels. The
to serve the customer in the best way. A public sector is perceived as being like any other
better customer service can be reached. service provider. Thus flexibility and service men-
One back office could provide services tality are expected. This service quality should be
to front offices of different local authori- provided on all possible access channels, whether
ties. Public administrations could form this is via phone, e-mail, the internet or in person
networks of production. Each knot in the (Bertelsmann Stiftung, 2005).
network specializes on certain tasks and The electronic channel though is of special im-
provides those for the other administra- portance in a modern-day multi channel scenario.
tions front offices. It can provide access to information, services and
One front office can cover different back application systems. Intermediaries utilize the
offices or even all back offices of a single electronic channel in order to support users of other
public authority or even several different channels like phone or in person. The bundling
administrations. Therefore customers do of different access channels that can be provided
not need to know who is responsible for by the electronic channel relies on certain access
their concern within the public administra- systems, called portals, which allow regulating
tion. The unified front office can provide who has the right to use which information.
support in all matters. Thus the customers Portals are herein defined as easy to use,
can ideally solve all their governmental is- customizable and safe access systems. They
sues with one stop (Breitenstrom, Eckert, grant authorized users access to information,
von Lucke, 2008). applications, processes and persons, which are
available within the attached systems. According
The objective of such a One-Stop-Government to the multi channel principle access can happen
is a combined delivery of services for the admin- through different media and access channels (von
istrations customers. Citizens and businesses can Lucke, 2008).
access and use public services with few or only Portals are not confined to providing access via
one visit to the public administration. The concept one channel. Nonetheless the electronic channel is
is derived from the private sector, where one- the most important channel. It can form the basis
stop services are quite common. The customers for access to information and services through
should not have to deal with the structure of an all other channels. Portals within TCP/IP-based
organization in order to identify the correct contact networks often can be accessed worldwide. In-
responsible for their matter. Rather the organiza- termediaries from other channels like call center
tion appropriates a single point of contact. This agents can utilize the electronic portals and thus
point can either deal with the request itself or assist enhance their own work.
254
Different functions can be associated with integrated networks of service centers. In line with
portals. They provide A-Z-like information about the One-Stop-Government paradigm users can
organizations, security and access checks, process- access any information and transaction from any
ing of applications, purchase orders and payment partaking service center. The customers thus do
transactions. Further portals can provide access to not have to deal with identifying the correct public
and integration of back-office IT-systems. Portal entity and choose the corresponding portal. In a
technologies provide these functionalities. The service cluster the point of access is not important.
main functions are management, access services, A comprehensive service cluster in the public sec-
presentation, navigation and integration (von tor would include each and every portal from all
Lucke, 2008). public authorities. Such an arrangement supports
Portals can be categorized into different types. the reform of the current public administration.
These different categories can be found at the same Processes could be connected much closer and
time, but they can also be used to describe the with fewer barriers to data exchange. Of course
development of portals. From A-Z collections to the requirements of data privacy still have to be
integrated networks of portals with transactional met (von Lucke, 2008).
services very different depths of service can be
observed. Electronic Participation
Portals functioning as entry points provide
information pointing towards other resources Public participation is used in many different
where either information about ones request can situations by power-holding bodies. The aims are
be found, responsible agencies or even online diverse ranging from justifying decisions already
transactions can be accessed. Consequently such made to giving power to the people. Different
entry points can be described as guideposts sup- methods are used, like conducting surveys or
porting citizens and businesses in finding the organizing discussion forums. One of the main
correct point of contact. areas where participation is applied regularly
Portals designed as information pools yield not is the domain of urban planning. Land uses and
only guideposts to information at other websites, other urban issues often touch on the interests
they furthermore provide information themselves. of many different parties. The special interests
This content can be generated and structured by have to be resolved, thus many countries require
the portal carrier or an additional service entity. In public participation by law in urban planning
the context of public sector portals such pools can processes. Urban planning authorities are mostly
be used to gather information about any upcoming obliged to involve public stakeholders like non-
administrative procedures. governmental organizations. The involvement
The third kind of portals is called service of individual persons received wide-spread
centers. These portals give access to transactional recognition with the introduction of the Aarhus
administrative services. Customers can carry out Convention by the members of the UN Economic
electronic procedures for which they otherwise Commission for Europe in 1998 (Kubicek, 2007;
would have to visit a public agency in person. The United Nations, 1998).
digital services accessible have to be integrated Public participation is often used in very gen-
into the portal. Service centers also include guide- eral terms without further specification. In the sci-
posts to other websites and sources of information entific literature and subsequently in professional
as well as self-generated information. practice participation is differentiated into differ-
The most advanced form of internet portals ent degrees. Arnstein (1969) describes a ladder
are service clusters. These are basically tightly of participation on which she distinguishes eight
255
rungs from nonparticipation to citizen control. In of participation is rarely achieved, but citi-
her view informing and consulting of citizens is zens often strive for it.
more a form of tokenism than real participation.
Only if public bodies engage in partnerships or One can argue that Arnstein does not demon-
even start to delegate power, the public can start strate how the different rungs can be implemented.
to take part in decision making. She criticizes the lack of true participation and
The different stages of participation according describes what such involvement should look like
to Arnstein can be described as follows: in broad terms. Practitioners willing to thoroughly
involve the public have to identify the correct
Manipulation: People are made to be- methods themselves. Furthermore the model
lieve, their input is valued, when in fact it appears to leave no room for professionals and
is not. An example is the participation in their expertise in urban planning or other fields
committees without real influence. where public action is called for. Thus it can lead
Therapy: Citizens are involved in public to opposition by experts to involve the public.
planning processes with the sole goal to Win-Win Solutions have to be created, providing
cure them. Their different beliefs are to both, the layperson and the professional with an
be adjusted during the procedure. influential role (Goodspeed, 2008).
Informing: Giving information to the Real participatory processes should fulfill
people is considered as the basis for real certain criteria in order to become a successful
participation. It is criticized, that informing course of action of involvement. Macintosh &
is merely a one-way street. Whyte (2008) have developed six different di-
Consultation: Asking for the opinion of mensions for evaluating participation in public
the public without providing a clear meth- decision making. These are:
od of implementing their input into the de-
cision making process is not considered to Representation: The process should be
be full participation. supported by relevant key groups
Placation: Participants for the first time Engagement: The public should be en-
gain some degree of influence at this stage. couraged to take part in the process and
An example is the participation in com- influence its outcome
mittees with real influence, but the citizen Transparency: From the start of each par-
representatives can only form a minority ticipation project it should be clear how the
opinion. The power holders do not share results will be made public and be included
parts of their power. into the governmental processes.
Partnership: The public and power hold- Conflict and consensus: Fora for delib-
ers at this stage agree to share power and erative discourse among the participants
figure out how the control can be distrib- should be provided. Fostering a culture of
uted among the different stakeholders. friendly disagreement and collaborative
Delegated Power: The sharing of power from consensus building is necessary for suc-
the previous rung can lead to much power be- cessful participation.
ing delegated. Citizens may gain the majority Political equality: Different groups of so-
opinion in certain planning processes. ciety should be included equally in the de-
Citizen Control: Citizens are in control of cision making process.
certain public entities like schools or even Community control: For successful par-
a local authority like a district. This form ticipatory processes their results need
256
to really influence the governmental draft of the development plan was not formulated.
decisions. Thus two different types of electronic partici-
pation are to be distinguished in urban planning.
With the rise of the internet a new channel for Electronic participation can be part of the formal
participation has opened up. Information technol- planning processes or it is utilized for informal
ogy has been used before, to enhance participation involvement. The German federal building code
of the public. The ideas and comments of the people was adapted in 2004 to permit the use of informa-
have been entered into electronic documents on tion technology for public participation in formal
personal computers for easier processing. Even processes (Mrker & Wehner, 2008; BauGB,
plans on how to use television for participation 2006). Participation in informal processes sets in
processes were made. However, the internet is the at a much earlier stage. The involvement of the
medium which allows tools to be built for han- public can influence such decisions as whether
dling mass participation. Data highways make it a certain development should even take place.
possible to connect with the public. In addition to Participation in formal processes often has influ-
face-to-face meetings and questionnaires as well ence on the details of how a development should
as paper or phone based surveys more possibili- be implemented.
ties for participation, for electronic participation In planning processes which are supported
are developed. In urban planning in Germany the by electronic participation different components
start of electronic participation is attributed to the for online involvement can be utilized. These
EU-sponsored project Geographical Mediation. also provide different degrees of participation.
This project started in 1998 with the aim to allow Some of the available tools help with informa-
participation within the implementation phase tion provision, fostering dialogue, moderation
of a development plan in the city of Bonn. The or assisting participants in forming and issuing
groupware system consisted of a collaboration opinions (Mrker & Wehner, 2008).
platform, discussion fora and a map viewing ap- The objectives connected with the application
plication. Since then many different participation of electronic participation processes are diverse.
projects have been implemented in Germany. Ten On the one hand there is the mandatory use in
years later electronic participation is considered formal processes and the willingness to offer some
as an established channel for public involvement form of participation. On the other hand there are
in urban planning (Mrker & Wehner 2008). many other aspects driving the willingness of
Nonetheless the full scale of methods possible public authorities to involve different groups of
in electronic participation is often not utilized society. Many public administrations are aware
by public planning authorities. Many participa- that citizens can provide highly specialized input.
tion processes only climb up the lower rungs of They are the experts on their life circumstances
Arnsteins Ladder of Participation. Lots of in- and thus know best about the issues within the city
formation is given and possibilities for feedback district they live in. These many different views
are offered. In Germany, the input by citizens in and opinions often cannot be replicated by a few
formal participation processes has to be considered experts in urban planning. Public participation
in the planning process, which allows for a form in general can help to access the knowledge of
of consultation or placation. However, often the all these inhabitants. Electronic participation can
input at the officially considered stages is too late especially support receiving input by many dif-
to have a decisive impact on spatial development. ferent stakeholders as it makes mass participation
The main decisions about how a certain area should easier, faster and more efficient. Regarding the
be developed have been made before, even if the different rungs of participation and the described
257
evaluation criteria thereof input by citizens should important part of public services urban planning
not only be gathered. In fact procedures have to be issues in general can also be dealt with on the
agreed upon how to incorporate the input into the basis of a multi-channel strategy. The electronic
planning process. This should be communicated channel serves all other channels and can be used
to the stakeholders beforehand (Schulze-Wolf & directly through portals. Public participation pro-
Habekost, 2008; Mrker & Wehner 2008). cesses form a special part of urban planning. With
Electronic participation can foster modern- their objective of creating interaction between the
ization of public administrations. Inviting the public planning professionals and the affected
opinions and knowledge of many thousands of people sophisticated types of portals are needed.
citizens through mainly electronic means causes The division of portals into entry points, infor-
a large flow of information. In order to process mation pools, service centers and service clusters
all this information the electronic participation can be used to classify participation portals in urban
system should be integrated into the internal work- planning. Some portals are being built specifically
ing processes of the public sector. Consequently to fulfill the requests associated with one of the
these processes should be adapted and digitized categories. Others probably have developed over
in order to allow for a flow of digital information time from entry points to service centers.
without barriers. Communicating this aspect of Urban planning participation portals which
public involvement within local authorities as a act as entry points would consist of different
further advantage can be of special value. As a directories pointing towards other resources with
result public participation might be grasped as information about or possibilities for participa-
more than a democratic necessity. It can support tion. Such portals could comprise one of the
the ongoing efforts in creating modern administra- described directories, all of them or other similar
tions of the 21st century. A-Z listings (Table 1). A participation portal as
entry point could administrate a directory with
Online Participation as Part of a different participation projects within a political
Multi-Channel Strategy for Civic subdivision or beyond that. Such a portal could
Involvement in Urban Planning also provide a register with links to different
software systems specializing on the facilitation
Citizens want to have access to their government of electronic participation projects. In order to be
through all possible channels. Depending on the able to identify authorities from the field of public
preferences of the customers of public administra- participation be it practitioners or researchers a
tions it is necessary to provide the prevalent phone directory of eligible experts could support the
and face-to-face services as well as electronic urban planning community.
access. This multi-channel strategy can also be Participation portals in the form of information
found in public participation processes in urban pools provide edited information about different
planning. aspects of public involvement (Table 2). This could
The basis for such a strategy can be an efficient be a guide about public participation in general.
electronic channel. This channel can provide An information pool could deliver explanations
all sorts of information and transaction for the on how formal and informal participation are
public administration and its customers. Portals handled within a political subdivision. The pool
can represent the interface for this channel, with could give descriptions about the current formal
which administrative staff in town hall or in public and informal participation projects within a politi-
call centers or customers themselves can access cal subdivision. Further such a participation portal
the electronic services of the public sector. As an could provide information about how and where
258
Table 1. Possibilities for the implementation of entry points
Entry points
Directory of participation projects
Directory of software systems supporting electronic participation
Directory of experts in electronic participation processes
Table 2. Possibilities for the implementation of information pools
Information pools
How-to about public participation in general
Information about formal and informal participation in a political subdivision
Explanations about specific participation projects
Information how and where the public can get involved and influence the outcome of certain urban planning processes
the public can currently get involved and influence discussion thereof. More ambitious would it be
the outcome of certain urban planning processes. to follow the outcomes of a participation project
Portals for public participation in urban plan- through the administrative and political system. On
ning in the category of service centers directly the one hand this could be achieved rather easily
enable the involvement of the citizens. Different by the administration by creating status documents
mechanisms for issuing ones opinion or sketching and posting them online. On the other hand it
out ideas can be found within such a portal (Table would be challenging to connect the electronic
3). Furthermore a service center provides tools results of the participation process in the service
for fostering discussion among the participants. center portal with the resulting internal documents
It should be possible to comment on previously used by the administration. This would probably
made suggestions or to debate for example in chat ask for connecting the administrative document
rooms. Also of importance, such a portal should management system and the electronic meeting
allow for collaborative involvement. Groups of system of town halls with the participation portal.
citizens can find each other and agree to work Such an arrangement could give citizens insight
together on a suggestion and develop it online in into what happens with their input. They could
a collaboration environment (Dhr et. al., 2005). access the opinions and annotations of the public
Moreover a public participation portal as a officers and the politicians. Thus the important
service center should serve the means for tracking transparency criterion for real participation ac-
the whole process of civic involvement. It should cording to Macintosh & Whyte (2008) would be
be possible to follow different suggestions and the fulfilled. Service centers could also be used in
Table 3. Possibilities for the implementation of service centers
Service centers
Public participation within a political subdivision can be undertaken directly within the internet platform
Suggestions made in a local participation process can be discussed by commenting and in chat rooms
The outcome of participation processes in a political subdivision can be tracked via the portal
259
electronic voting procedures. These are currently are displayed within the internet portal used for
being developed in many different nations. So far the whole participation process. The gathering
only few political subdivisions have implemented of such a broad input would have been much
e-voting. more difficult without an efficient internet portal.
One example of a portal with some of the char- (Vorwerk, 2008).
acteristics of a service center is the citizen budget Another example of an urban and regional
portal of the German City of Cologne. To allow planning and public participation portal with
citizens to appoint parts of a public budget for their characteristics of a service center can be found
local government is called citizen budgeting. It in the agglomeration of Frankfurt / Rhine-Main.
was first introduced in the cities of Porto Alegre in This region created a regional planning associa-
Brazil and Christchurch in New Zealand. Already tion. This body is mandated by law to develop
in 1989 the Brazilian city established this form of a regional land use plan in place of its member
citizen involvement in order to curb corruption municipalities. The association decided to involve
and realize more transparent local politics. the public into the planning process by electronic
In Germany the first citizen budgets were initi- means.
ated at the end of the 1990s. Rather small towns Public participation, mainly in the form of
were among the first to test the new form of citizen information provision, via the internet was first
involvement. Accordingly smaller numbers of established in 1997 by the regional planning as-
citizens were engaged in deciding whether to spend sociation. In 2004 in order to prepare the new land
more money on bike paths, to improve playgrounds use plan for the first time the according mission
or to expand the neighborhood center. Since then statement was developed with public input. For
the participation has broadened. The administra- this moderated online discussions were utilized. In
tive bodies undertaking the steps to involve their 2007 a formal participation procedure according
citizens have learned from earlier experiences. to the German federal building code was under-
Participation processes are implemented through taken. Parallel to traditional participation means
different channels, with the electronic becoming like workshops and statements given in person
more important. In person citizen meetings, paper- at the planning office it was possible to provide
based surveys, proposals via phone hotlines or input online.
the consultation on the internet are all different The planning association aimed to replicate
methods for gathering public input (Bertelsmann the analog process of formal participation closely.
Stiftung, 2004; Vorwerk, 2008). Therefore it was possible to issue statements and
Cologne initiated citizen budgeting in the year commentary anonymously. Ease of use was of
2007 for the first time. With almost one million high priority in order to achieve a high percent-
inhabitants it is the largest local authority to age of online participation. Tips about how to
introduce such a measure to its residents. The get involved and make comments should help
according internet portal was heavily promoted novices. The public could access the proposed
and used to provide input. Although only three maps of the future land use plan and the accom-
topics (Streets, public green and sports) were panying written explanations. Statements on the
offered for discussion, about 10.000 suggestions future regional land use plan could be given via
were made. Submissions via phone or letters were electronic mail or online forms. The comments
entered by agents in the online-portal. The results could be enriched with the help of graphic tools
of the internet-dialogue were analyzed, ranked, for use in the provided online maps. Comments
evaluated by the administration and decided upon thus could be located within the maps, tied to
by the municipal council. The final resolutions a certain geographical reference point. Contact
260
Table 4. Possibilities for the implementation of service clusters
Service cluster
A network of participation portals allows for the exchange of the results of participation processes.
A network of urban planning portals.
details of the responsible planning officers from portals built for involving the public could support
the regional planning association were provided to exchanging the results of participation processes.
answer questions in person. Additionally an online Portals can support public participation in the
citizen office was implemented where citizens form of electronic participation in urban plan-
could ask questions. These were processed and ning. Depending on the type of portal different
answered by a professional editorial team (Richter degrees of participation can be fostered. Entry
& Blhm, 2008). points can help by pointing towards participation
The participation portal of the regional plan- possibilities. Information pools can provide valu-
ning association of Frankfurt / Rhine-Main was able information about ongoing urban planning
also used to conduct informal participation pro- projects. According to Arnstein, this constitutes
cesses, not mandated by the federal building code. the foundation for true participation. The lack of a
Examples are the development of the mission back-channel for the citizens though impedes true
statement, participation on landscape elements participation on the basis of this type of portals
and information provision through weblogs. alone. The third and fourth category of portals
Feedback on the realized electronic public can enable some forms of true participation in the
participation was said to be positive. The digital sense of Arnstein understanding and Macintosh
channel can be used without time and spatial and Whytes evaluation criteria. Service centers
constraints, participants do not have to visit the can provide tools for contributing ideas, comments
planning office to issue their statements nor do they and casting votes within and beyond active plan-
have to meet certain time windows. Of importance ning processes. They can further help to monitor
to the planning association was the possibility to the whole process and especially its outcome.
carry out electronic participation with reasonable Service clusters could support a better knowledge
spending. Information could be provided easy and exchange about participation processes, a tighter
fast to the public through the online portal. Further integration of urban planning portals leading to
the statements issued by e-mail or online forms higher visibility. The aggregation of results of
could be processed more easily, as the back-end participation processes could probably lead to a
processes are mostly electronic ones. Nonethe- benchmarking of these procedures.
less the electronic channel can only augment the Nonetheless, it is important to conclude, portals
existing participation channels. The success to the are only tools for facilitating public participation
public participation process in the agglomeration by electronic means. They cannot substitute the
Frankfurt / Rhine-Main was a balanced mixture will of public administrations and politicians
of all channels (Richter & Blhm, 2008). to share power with the people. Without such a
The fourth general type of portals, the service commitment of the stakeholders within the public
cluster can also be applied to participation por- sector participation processes cannot become true.
tals. Although there are, at least in Germany, no This counts for all channels of public involvement
implemented examples it is probably a step into including the electronic channel.
the future of urban planning portals. A network of
261
FUTURE RESEARCH DIRECTIONS aggregated and compared. The cumulative results

can support better public decision making by poli-
Portals as a tool for public participation in urban ticians and the administration. The comparison of
planning will become much more common in participation processes can help to improve civic
the future. Firstly the expected development path engagement activities. Additionally a network of
will probably follow the general trends of service urban planning portals would allow citizens to
oriented architectures in electronic government. access all planning processes independent from
In addition of such structures a network of par- their current location. Planning administrations
ticipation portals could share data and allow for can create new forms of service delivery, where
comparison of participatory processes. different administrations specialize on certain
Currently most portals for participation in ur- aspects of urban planning and public participa-
ban planning processes are set up separately from tion processes. However urban planning is very
other portals of the respective public body. Often location-sensitive in comparison to other public
already present information about building plans, sector services. So a spatial division of labor can
land use plans or planning regulations is reused, only be implemented within limits. Such a tighter
but has to be included in the participation portal integration and more efficient work balancing can
by hand. Similarly the results of the participa- strengthen the spatial planning sector within the
tion process often have to be transferred to other service portfolio of the public sector. Furthermore,
administrative IT-systems manually. In order to within such a network, topics like the explanation
deal with fragmented data and systems in a more of how formal participation works could be tackled
efficient way the approach of service oriented in cooperation by content sharing.
architectures (SOA) will be implemented more
broadly. Such an approach supports the integration
of different specialized applications without hav- CONCLUSION
ing to deal with requirements of various platforms
(Breitenstrom, Eckert, von Lucke, 2008, p. 38). Applying the portal model by von Lucke to the
The back office processes which are unified realm of electronic participation is helpful in
inside a participatory portal could thus be designed categorizing existing participation portals. The
as services which can be easily used within other systematization provides insight into the state of
contexts. Such a redesign of the processes for electronic participation in general in Germany
electronic participation in urban planning should and the use of internet portals in order to support
take place within a larger approach by a public such action. Transferring ideas from the portal
authority towards a service oriented architecture. research, especially the activities on high perfor-
With a service for public participation the city can mance portals in the public sector in general can
respond quickly and repeatedly to an ever chang- probably help to identify development paths for
ing urban dynamic (Zhu et. al., 2009). urban planning in the information age.
As mentioned above the fourth general type of Internet portals, as a special technical type of
portals, service clusters could form the future of portals, can serve as the main access points to
participatory portals. A network of portals built for public participation processes. Depending on their
involving the public could support exchanging the development stage the portals can provide over-
results of participation processes. A data exchange view (entry points), information on participation
standard for participation processes would prob- in general or on specific participation processes
ably be necessary. By achieving a high degree (information pools). Furthermore they can give
of standardization the different results could be access to the electronic participation process itself
262
(service center) or combine many different par- gathered electronically. With a tight integration
ticipation processes (service cluster). Examples, of electronic participation systems into the back
especially of the service center category can be office systems of an administration the input can
found in Germany. An integrated network of be directly inserted into different administrative
portals providing different participation processes ICT-systems. Geographic Information Systems
still has to be developed. can be enriched with citizen commentary. If a
From the perspective of the people, electronic high degree of standardization of the input can be
participation via portals can provide advantages. reached different planning alternatives could be
With more and better information and tools for weighed automatically. The information given by
online collaboration and commenting, public the citizens could also be included in document
involvement can become more convenient. Thus management systems in order to track its process-
more citizens might issue their statements and de- ing. The annotations made by the administrative
velop their own ideas how their built environment body and the political committees to the original
should evolve. For digital natives it might seem citizen statements could thus be attached to the
much more interesting to partake in political and digital representations of those statements. If parts
administrative processes through online portals. of these back-end systems then are accessible via
As this group of society will grow over time the the electronic participation portal the administra-
role of electronic participation in society will rise. tive and political processes would become more
Nonetheless it is important to state: electronic transparent.
participation and portals can nowadays and for the Overall, portals can play an important role in
foreseeable future only support traditional means fostering public participation, especially electronic
of civic engagement. First, there are groups of participation. Furthermore they can support the
society who cannot use digital channels. Elderly reform of public administration by enrichment of
and many handicapped persons on the one hand the decision making process with citizen input and
as well as illiterate and socially excluded persons allowing for easier processing of such massive
have a difficult time using or even accessing input. Nonetheless, portals can only augment the
the very prerequisite of the information age, the whole participation process, as true participation
personal computer. Secondly, there are people is primarily not determined by technology but
who just prefer using more traditional channels rather the willingness of the stakeholders in charge
like phone or face-to-face meetings for disposing to set up a process leading to a certain degree of
their tasks. Third, and probably the main reason, citizen control.
the whole participation process has to aim for true
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Retrieved December 17, 2008, from http://portal. livery of services for the public administrations
acm.org/citation.cfm?id=1255721 customers. Citizens and businesses can access and
use public services with few or only one visit to the
Tapscott, D., Williams, A. D., & Herman, D. public administration. The customers should not
(2007). Government 2.0: Transforming Gov- have to deal with the structure of an organization
ernment and Governance for the Twenty-First in order to identify the correct contact responsible
Century. Big Idea White Paper. New Paradigm for their matter. Rather the organization appropri-
Learning Corporation. Retrieved May 5, 2009, ates a single point of contact.
from http://business.twoday.net/static/foehren- Portal: System providing access to informa-
bergkreis/files/20080126gov20.pdf tion, applications, processes and persons available
United Nations, Economic Commission for Eu- within the attached systems. Such a system should
rope. (1998). Convention on Access to Informa- grant safe adaptable and easy access. It can be
tion, Public Participation in Decision Making used through different media and access channels.
and Access to Justice in Environmental Matters. Public Participation: Participation of the
Retrieved November 1, 2008, from http://unece. people in the decision-making process of poli-
org/env/pp/documents/cep43e.pdf tics and public administration. Different forms
of participation can be distinguished from non-
Vickery, G., & Wunsch-Vincent, S. (2007). Par- participation through informing, consulting and
ticipative Web and User-Created Content - Web partnerships to citizen control.
2.0, Wikis and Social Networking. Science & Infor- Service Center: These portals give access to
mation Technology. Paris: OECD. Retrieved May transactional administrative services. Customers
3, 2009, from http://www.oecd.org/document/40/ can carry out procedures online for which they
0,3343,en_2649_34223_39428648_1_1_1_1,00. otherwise would have to visit a public agency in
html person. The online services accessible have to
be integrated into the portal. Service centers also
266
include links to other websites and sources of information and transaction from any partaking
information as well as self-generated information. service center. The customers thus do not have to
Service Cluster: Tightly integrated networks deal with identifying the correct public entity and
of service centers. In line with the One-Stop- choose the corresponding internet portal.
Government paradigm users can access any
267
268
Chapter 14
Can Urban Planning,
Participation and ICT Co-Exist?
Developing a Curriculum and an
Interactive Virtual Reality Tool for
Agia Varvara, Athens, Greece
Vassilis Bourdakis
University of Thessaly, Greece
Alex Deffner
University of Thessaly, Greece
ABSTRACT
One of the recent main problems in urban planning is to find ways in order to employ practical, very broad
and commonly used theoretical principles such as participation. An additional issue is the exploitation
of the possibilities of new technologies. The process of developing a flexible three-part (common core,
public and planners) curriculum in the case of Agia Varvara (Athens, Greece) in the framework of the
Leonardo project PICT (2002-2005) showed that ICT (Information Communication Technologies) can
help in participation, mainly because it constitutes a relatively simple method of recording the views of
both the public and the planners in a variety of subjects (both open and closed).
INTRODUCTION nological advances (Fernndez-Maldonado, 2004).

However, this chapter focuses on the role of new
One of the recent main problems in urban planning technologies in public participation in planning.
is to find ways in order to employ practical, very The data are provided by the PICT (Planning
broad and commonly used theoretical principles Inclusion of Clients through E-Training) project
such as participation. An additional issue is the which was a three-year (2002-2005) pilot project
exploitation of the possibilities of new technologies. co-funded by the Leonardo da Vinci Programme
In relation to the latter, one important aspect is the of the European Commission. The project was in-
transformations of urban forms, urban processes spired by the on-going debate about the relationship
and the perceptions of urban life though the tech- of people with their cities launched by the initial
Charter of Athens (which took place in 1933, see
DOI: 10.4018/978-1-61520-929-3.ch014 Le Corbusier, 1943/1987) and re-defined by the
Can Urban Planning, Participation and ICT Co-Exist
New Charter of Athens adopted by European of the public. The most recent approach in relation
Council of Town Planners (ECTP) (1998/2003); to participation is collaborative planning which
and responded also to viewpoint that the involve- aims at fostering communication and collabora-
ment of communities in public decisions builds tive action (Healey, 1997/2005), and especially
social capital and strengthens the civil society. at fostering partnerships (McCarthy & Lloyd,
The continuing debate on the participation of the 2007). Although there is lack of experience of
public in official decisions is reflected on Euro- participation, and consequently of participatory
pean policy, as expressed in the European Spatial culture in Greece, Agia Varvara has demonstrated
Development Plan (European Commission, 1999), participatory experiences in the past.
Local Agenda 21 and the Sustainable Develop- A useful schema of public participation is
ment Framework of Gothenburg. Consequently, developed by Hampton, who claims that plan-
it has been widely accepted, at least in principle, ning authorities should consider the means and
in the European Union, that urban planning is techniques of public participation in planning
part of the sustainable development process and in terms of three separate aims: dispersing in-
as such requires consensus building through the formation to the public, gathering information
engagement of citizens (PICT, 2006). from the public, promoting interaction between
The chapter focuses on the curriculum devel- policy-makers and the public. He identifies two
oped for the Municipality of Agia Varvara in Athens, major objectives behind the introduction of greater
Greece. It has a population of approximately 30000 public participation in planning during the late
people with a multicultural identity and high unem- 1960s: policy-making and decisions can benefit
ployment rates. The developed curriculum consists from better information about public preferences
of three parts: a common core part that is shared and residents concerns, and public participation
by both planners and the public, and two distinct can draw people into a stronger and longer-term
parts: one addressing the public and the other the relationship with government and enhance their
planners. Each part consists of several modules, current and future ability to play a significant role
to cater for different learning levels, abilities and in policy-making (Hampton, 1977 cited in Darke,
interests. The structure is flexible and the whole 2000, pp. 391-392).
idea was to have a curriculum with a scientific, and Hampton builds on a crucial idea from the
not a journalistic curriculum basis that could, at governments Skeffington report (1969) that there
the same time, be simple but not simplistic. is no single or simple category of the public,
The main objective of the chapter is to dem- rather that there are many separate publics - a
onstrate if one of the main issues of urban gov- similar idea, albeit in relation to public opinion,
ernance, public participation in planning, can be is expressed by Pierre Bourdieu. Hampton also
helped through the use of ICT at the level of the claims that planners should recognize that the
community. stakeholders are distinguished in: major elites (e.g.
local business groups, major employers, Chambers
of Commerce, trade unions), minor elites (local
BACKGROUND interest groups, community associations, action
groups, and public as a collection of individuals
Participation in Urban Planning (Hampton, 1977 cited in Darke, 2000, p. 392).
The existence of equal opportunities consti-
There are different views of participation depend- tutes one of the important conditions for success
ing on the degree of involvement of the experts within Local Authorities, and, according to the
and the selection of criteria for the representation Equal Opportunities Guide, the concerned groups
269
of people are: disabled, racial minorities, women, al, 1996; Potaptchuk, 1996 cited in Conroy and
gays and lesbians, part time and casual workers, Evans-Cowley, 2006, p. 372). The challenge for
elderly, gypsies and children. For the success of planners has been to improve the means by which
equal opportunities (at the level both of employ- people participate and to provide a more meaning-
ment practice and service provision) there exist ful experience for citizens. ICT represents tools
a series of prerequisites: that can be used to improve citizen participation
(Conroy and Evans-Cowley, 2006, p. 372). Espe-
long term goals cially visual information can become a common
practical action plans language for all participants (Al Kodmany, 1999
openness to learning from experience cited in Conroy and Evans-Cowley, 2006, p. 373).
good relationship between members and The challenge faced by municipal decision-
officers makers, constrained as they are by limited budgets,
positive attitude towards fellow workers relates to the daunting tasks of determining what
and service users to implement and when in the face of uncertainty
effective dealing with attacks regarding what new technologies may emerge
encouragement and empowerment. once investment decisions and commitments have
(Brennan/ LGMB, 1991 cited in Darke, been made (Kaylor et al., 2001, p. 294). Thus,
2000, p. 409). the main problem is that poor software selection
may lead to the need for costly fixes in the future
The key principles for good practice in public (Conroy and Evans-Cowley, 2006, p. 382). In the
participation are the following: particular case of citizens visits to governmental
websites, which have become a major new form
clear aims of participation at the outset of the traditional citizen-initiated contact, the
insurances of the central role of local poli- usual situation is for one-way information obtain-
ticians at the programme ment rather than for two-way interaction (Thomas
link of motives, objectives and intentions and Streib, 2003, p. 83). This observation is even
of the participation programme with the more crucial if it is taken into account that in the
appropriate techniques citizens use of governmental sites the emphasis
interpretation of the nature and implica- is on everyday service delivery rather than large-
tions of policies and plans for the users scale policy (Thomas and Streib, 2003, p. 85).
identification of the procedures for infor- Regarding improved participation opportunities
mation collection from the public in order the issue that is raised is who is able to participate
to evaluate and act (Alty and Darke 1987, (Conroy and Evans-Cowley, 2006, p. 373). Thus,
cited in Darke, 2000: 410). one crucial question posed is that if people who
have more knowledge of ICT are less willing to
ICT and Participation in Planning participate, or, vice-versa, if people who are more
willing to participate have less knowledge of ICT.
The use of ICT limits the temporal-spatial con- The answer to this question depends on the
straints that exist in the process of public partici- particular local context of a community (economic,
pation (Kwan and Weber, 2003 cited in Conroy social and demographic information) which can
and Evans-Cowley, 2006, p. 371). When people influence local planning processes (Conroy and
are involved in planning it is more possible that Evans-Cowley, 2006, p. 379). However, the degree
they will support the elaboration and implemen- of possibility of e-government provision depends
tation of related policies and projects (Grant et on the size of the community, i.e. the larger the
270
community the greater the possibility (Kaylor et of the process, maintain momentum and use
al., 2001). mixture of methods, now is the right time, plan
for your own process carefully and for the local
context, prepare properly, process as important
ISSUES, CONTROVERSIES as product, professional enablers, quality not
AND PROBLEMS quantity, record and document, shared control,
spend money, think on your feet, trust in others
Community Planning honesty, use experts appropriately, facilitators,
local talent and (carefully) outsiders, walk before
In the context of participation in planning an ef- you run, work on location (Wates, 2000, pp.
fective type of planning has been community (or 11-21). These principles should be adopted and
even neighbourhood) planning. In this process, adapted according to the particular case.
the importance of local economic development In the case of Agia Varvara it can be argued that
is reflected in a type of new localism: from the attempt was to follow the principles (not men-
outward- to inward-looking societies. This implies tioned above): agree to the rules and boundaries,
encouraging local ownership, increasing import be honest, transparent and visionary yet realistic,
substitution, encouraging local control of money, build local capacity and communicate, encourage
and localising work to meet local demand (Wil- collaboration, have fun, learn from others, have
liams, 1999). The aim is to develop a sense for personal motivation and take initiatives, respect
integrated local development (housing and public the cultural context of others and local knowledge,
space and social-economic background). be receptive to training, visualisation of result. The
Community planning should include a plan, but next step in community planning is to organize
not necessarily a comprehensive one as Kelly and events, and this constitutes a cooperative and
Becker (2000) claim. However, the three crucial collaborative approach to planning that allows
questions that they raise are still valid: where are people from different walks of life to participate
we, where can we go and where do we want to and work together creatively (Wates, 2008).
go the latter refers to the citizens involvement
in making a plan. Urban Governance
Community planning should primarily focus
on the needs of particular groups. Examples in the The term government is confined to the formal
case study of Agia Varvara are the elderly and the structure of representatives and officials estab-
gypsies (Roma): the first, along with housewives, lished to coordinate and oversee this function,
were willing to participate in the PICT project but while the term governance refers to the process
are IT (Information Technology) illiterate; on the of government and, more broadly, to the ways in
other hand, young people are IT literate but did which a society manages its collective interests. It
not seem willing to participate in PICT. includes functions that may be helped by govern-
There exists a large variety of general ment actions: strengthening institutions for col-
principles of community planning irrespective lective decision-making, facilitating and forming
of the approach one chooses: accept different partnerships designed to secure collective goals,
agendas, limitations and varied commitment, ensuring the fair expression and adequate arbitra-
avoid jargon, flexibility and focus on attitudes, tion of a range of interests (Gilbert et al., 1996, p.
follow up, go at the right place and go for it, 16). The revitalisation of local government towards
human scale, involve all those affected and all the direction of governance is a cornerstone of city
sections of the community, local ownership recovery but it needs to be done from bottom up:
271
from neighbourhood, where people know what is Arriving in the city (transport): most suc-
going on, to the city where politicians, businesses cessful gateways and transport interchang-
and civic bodies link up. Rotterdam and Spanish es, first (and lasting) impressions really
cities function as characteristic examples (Rogers count, cities are not just places where peo-
and Power, 2000, pp. 264-265). ple live but they are destinations that many
Greece continues to rely on formal mechanisms people visit for brief period
of administration. The actual role of the private Getting around the city (transport): great
sector and civic society has to be invented. As far as challenge for most urban leaders: how to
the third sector is concerned, the non-governmental move people around in safety, comfort and
organizations are underrepresented, and in most speed, acute political trade-offs: pedestrian
cases they constitute a one man/ woman show - vs car, pollution vs clean air, communities
the public sector is unable to press the state and vs roads, a matter not only of huge public
vice versa (Economou et al., 2005). investment but also of ideas and good op-
The role of local governments in the urban erating practices
environment consists of the following: Enjoying the city (leisure): ingenious ap-
proaches that are taken to parks, shopping
They are the only bodies with the mandate, malls and public spaces, large number of
responsibility and potential to represent (usually) small-scale amenities that make
and act for the different and often conflict- a city fun to be in (Hazel and Parry, 2004,
ing interests pp. 24-183).
Although they are the bodies with the
greatest potential to take integrated ap- Venice is a classic case study (even if few, if
proaches to the environmental and social any, cities have canals), since its working prin-
challenges of urban areas they often have ciples can be applied to modern day cities (Hazel
neither the legitimacy nor the capacity and Parry, 2004, pp. 17-23).
Even if this happens there will be effec- Two additional examples are:
tive action only if it involves leadership of
elected officials and participatory and in- working in the city (work)
clusive style of governing living in the city (housing).
For most issues of urban sustainability they The main lessons learned from the study of the
should work with partners, other local govern- best practices in relation to making cities work
ments and international networks (Gilbert et al., are that cities have to find a solution to the car (the
1996). simplest way is that road space has to be rationed
since it is not a free public good), even the most
The Good Functioning of Cities spectacular developments have to be on a human
scale, information is the key, it is people (often
According to the initial Charter of Athens, there one individual) that make things happen. It is a
are four main urban planning functions: hous- cumulative effect of visionary ideas, sometimes
ing, work, leisure, and transport (Le Corbusier, small, that make cities work (Hazel and Parry,
1943/1987). Making cities work is directly 2004, p. 187).
related to these functions and depends on best The relationship of planning and participation
practice examples of: can be better illustrated through the example of
ICT and the use of a particular case study.
272
SOLUTIONS AND 1960s refugee apartment buildings accommo-

RECOMMENDATIONS dating 580 families. The main urban problems
experienced are lack of free space and accessibility
The PICT Case Study of Agia of communal space.
Varvara, Athens, Greece The population includes 15% Roma, refugees/
immigrants from the Black Sea and economic
The three-year (2002-2005) pilot project co- immigrants and a large number of elderly house-
funded by the Leonardo da Vinci Programme of holds. The area is a low income one, with half of
the European Commission addresses the inclu- the households below EU poverty line, illiteracy
sion of clients in the planning process through level is reaching 40% (compared to an estimated
e-training, the main objectives being to introduce 8% for Greece1), current school drop-out is 21%
key IT skills, fight technophobia and disbelief, (compared to 3% for Greece), high unemploy-
improve communication skills and help everyone ment rates (24%, half of it long term, compared to
in acquiring an understanding of the built environ- approximately 11% for Greece) and many single
ment through spatial representations. Four case parent families (NSSG).
studies were carried out: Knowsley UK, Brabant Part of the boroughs redevelopment agenda
Belgium, Abony Hungary and Agia Varvara was the renovation of two of its three main squares;
Greece, each one addressing e-training from a the one located centrally next to a welfare centre
different view point hence employing Computer for the elderly, whereas the other is an oblong
Aided Design (CAD), time based design, Geo- area by a cemetery to the south-east border of
graphical Information System (GIS) and Virtual the borough (Figure 1). Both squares were practi-
Reality (VR) technologies respectively. The PICT cally disused, with vegetation, street furniture and
partners were: pavements in a sorry state, no grass, no lighting
making it dangerous at nights, etc. The proposed
Knowsley Metropolitan Borough Council redevelopment focused on the design of small
(Project Contractor), Liverpool John parks, playgrounds, improvement of pedestrian
Moores University, School of the Built movement and street lighting.
Environment, and the European Council of Following the procurement of the project
Town Planners (ECTP) from the UK and the final draft of the proposed design by the
PRISMA Centre for Development Studies project architects, the research team developed
(Project Coordinator), the Municipality of a VR tool for the evaluation of the proposal and
Agia Varvara in the Prefecture of Athens, comparison to the existing conditions and layout
and the University of Thessaly from Greece through a custom made commenting and review-
Hogeschool voor Wetenschap & Kunst ing mechanism. Although not within the statutory
Sint Lucas Architectuur from Belgium, and terms and conditions of the typical public sector
Budapest University of Technology design and built contract, the project architects
and Economics, and WEBhu Kft. ICT agreed that they would consider favourably
Consultancy from Hungary. residents comments and try to integrate them to
their final design.
The Greek case study took place in Agia
Varvara, a southwestern municipality of Athens, The Developed Curriculum
covering 22Ha, with 62 urban blocks, 2163 build-
ings and a population of approximately 30000 The curriculum in Agia Varvara was developed
inhabitants. Amongst the building stock are 31 by the authors, at the Department of Planning and
273
Figure 1. Plan view of Agia Varvara [through the ICT tool]
Regional Development, University of Thessaly, Centre for Development Studies, the Municipal-
Volos, Greece. The curriculum consists of three ity of Agia Varvara and the University of Thes-
parts: a core part that is shared by both plan- saly) communicated extensively with the Local
ners and the public, and two distinct parts: one Consultative Committee to ensure relevance and
addressing the public and the other the planners. acceptance of the learning approach. The main
Each part consists of several modules (further tools used are power point slides and hands-on
organised in units), to cater for different learning experiencing in both portable and desktop PCs.
levels, abilities and interests guided by the needs As far as the learning material for the public is
survey. The structure is flexible and although the concerned, it relied heavily on visual information
written text seems rigid using an austere lan- in an attempt to attract attention and stimulate
guage, it functioned only as a basis for the oral discussion.
presentations which were more free and rather The main sections in the curricula modules refer
informal using everyday language. The rationale to planning, participation, and ICT. The common
was to have a curriculum with a scientific, and not core part has an introductory module which refers
journalistic, basis that could at the same time to general issues concerning the PICT programme.
be simple but not simplistic. Furthermore, the In total it has four teaching modules: Introduction
themes were developed in such a way as to allow to PICT, Planning, Participation, Methods and
members of the public to follow some sections techniques of ICT. The thematic emphasis is put
of the curriculum addressed to the planners, and on sustainability. As far as ICT is concerned, the
also planners to look back at some sections of reason for including a common core part is that
the curriculum addressing the public. addressing older planners may not be at all dif-
During curriculum development, the project ferent in terms of ICT skills needed to addressing
team members (representatives of PRISMA similarly aged members of the public.
274
The publics part (which is the largest one) standard for visualizing and communicating three
has five teaching modules in total: Introductory dimensional information on the web. The project
Themes to Urban Planning, Participation, Key was completed before the successor to VRML97,
skills in ICT, GIS, Virtual Reality. The various X3D was finalised and modelling/visualisation
key skills for the less educated members are tools released. Considering that most 3D modelling
necessary before embarking in any substantive animation software can read and write VRML97
learning on the subject of public involvement in files, the decision taken enhanced overall compat-
planning. This is in accordance with the project ibility, flexibility and accessibility of the produced
aim of empowering local communities. The the- data. The project can be experienced through a
matic emphasis is put on making cities work, web browser equipped with the appropriate plug-in
a section which includes many pictures of real (in this case the Cortona3D Viewer from Parallel-
international examples. As far as ICT is concerned, graphics) enabling anyone from any computer
the emphasis is in understanding information (home, office, internet caf, etc) to have immediate
presented, photomontages, drawings, renderings, access to the VR model. The environment features
video and most important the ability to interact a single-user set-up; each user enters the virtual
with the computer based VR models (Figure 2). space on his/her own, can organise his/her way
The planners part (which is the smallest one) of experiencing the space, spend as much time as
has five teaching modules in total: Advanced he/she feels necessary to comprehend the layout
Themes in Urban Planning, Participation, GIS, and give feed-back to the designers.
CAD and Virtual Reality. There is no particular Creating an urban model for VR use is a com-
thematic emphasis. As far as ICT is concerned, plex task and a series of technical issues need ad-
the focus is on operating the various ICT tools, dressing. The topic has been covered extensively
in terms of building new environments, 3D data (Dokonal et al, 2002; Bourdakis, 2004; Bourdakis,
formatting, converting, translating information 2008) hence the building steps will be briefly
from different platforms, etc. presented. First of all availability of digital maps
at an accepted quality level and scale (preferably
The Developed ICT Tool 1:2000) should be examined, lack of them means
a very expensive surveying process is necessary
The ICT tool developed employs the Virtual Real- or of similarly costly licensing fees must be paid.
ity Mark-up Language (VRML97), the undisputed Stereo aerial photogrammetric techniques should
Figure 2. Teaching sessions for the public
275
be avoided due to both cost and effort involved. above average graphics performance and large
Street level digital photographic survey data, if amount of memory to function properly.
collected properly, should be a sufficient source As far as the PICT case study is concerned,
of information together with digital video of the the relatively small area affected and the scale
area (for documentation purposes). Appropriate and type of redevelopments designed, generated
PC based tools (AutoDesk Imagemodeler, EOS a series of problems in terms of the low degree
Systems Photomodeler) should be used in order of abstraction in geometric modelling acceptable
to build the textured 3D model of the area. Three and the high level of realism and extensive use
Levels of detail (LOD) should be employed for of textures necessary to improve navigability and
the three distinct levels of modellingurban block sense of immersion. The non-geometric represen-
and general terrain, buildings and landmarks, tations for street furniture and mainly trees affect
street detailing. Modelling should focus on street the overall impression a visitor gets on the volume,
level interaction including enough information for foliage and subsequently shadow expected on
acceptable birds eye view navigation. Finally, a parts of the redeveloped area. This opposes the
careful balance of 3D detail versus texture data simplicity and non-photorealistic nature of VR
(digital imaging) should be achieved in order to applications instrumental in creating the intended
create a streamlined, relatively low bandwidth synthetic/digital reconstruction/artificial feel on
model experiencea 10MB urban model is not the visual experience (Figure 3).
accessible to everyone as it requires fast ADSL Concluding, the developed ICT tool did not
lines to download in an acceptable timeframe, a support shadow casting, direct and volumetric
fairly powerful computer with a fast processor, lighting and many more features available in vi-
Figure 3. Birds eye view of the VR model
276
sualisation software instrumental for introducing Interaction Modes for the 2 User
the unwanted high level of realism that typically Groups (Public and Planners)
fascinate inexperienced users/visitors. It is a de-
sign tool and as such a higher than usual level Exploring a Virtual Environment is an unfamil-
of abstraction is necessary, varying according to iar experience for any newcomer, often even
the task at hand and the expertise/training of the for experienced IT professionals. Navigation
participants. (metaphors and actual process of moving), way
Data security issues complicated the design finding and interaction (as in selecting, picking,
of the VR tool in regards to the commenting exploring objects) in digital spaces is an active
mechanism and in particular to the recording area of research for almost two decades (Ellis,
of comments on a remote database stored at a 1993; Charitos, 2008). A widely adopted solu-
University of Thessaly server. This demanded tion often employed in the gaming industry is the
complex coding addressing securely save and placement of a semi-translucent 2D map of the
retrieval of data. At the time of developing this area on a heads-up display (HUD) following the
tool VRML97 was the only viable solution. Tests user as he/she moves about the VR model. Initial
with open source as well as commercial game experiments with the residents showed that in this
engines failed in data logging and secure data particular setup the amount of detail available at
exchange. If the whole project was carried out street level is sufficient to orient and familiarize
now, it seems that the open source game engine oneself and considering their low level of edu-
of Blender would be capable of completing the cation and familiarity with map reading renders
task and would provide a much better rendering the abovementioned technique inappropriate.
engine supporting better texturing, shadow casting Subsequently, a compass was employed in the
and an overall inclusive lighting model. HUD together with the basic controls mainly for
Following the initial completion of the ICT the advantage of the planners and other relevant
tool and the development of the curriculum, pi- groups of professionals not familiar or local to
lot studies were conducted in two schools of the the area.
area with secondary school students aged 12-16. The feedback mechanism employed in the
The authors were aware that the sample and its design is worth analysing further. The user has
orientation were not representative of the area access to a commenting tool that he/she can use to
population, but due to time constraints and lack place comments in the exact spatial location that
of early support from the municipality it was not he/she considers appropriate. Such an experiment
possible to conduct a pilot study in a more repre- was first carried out during the Ijburg development
sentative sample. As such, the focus was on the project in the Netherlands in 1997 (see Bourdakis,
usability and robustness of the ICT tool and less 1997). The Agia Varvara commenting mechanism
on the actual curriculum. As already stated, the employed colour-coded objects/markers in space
curriculum was overly analytical in its base and and featured two types of comments (Figure 4):
the tutors/researchers were adapting to the audi-
ence, focus and interests in a subtractive manner, Negative visualised as red exclamation
by simply omitting material. Minor fine-tuning marks and
of the interaction mechanisms was necessary as Positive in the form of a green conical
the results were very promising. shapes
The comments, either in audio format (visitors

in a high bandwidth access point featuring high
277
Figure 4. Street level perspective with the commenting interface
performance computers not implemented in the coloured nodes segregated on the problematic or
Agia Varvara setting) or textual (visitors in low satisfactory areas of the model respectively hence
bandwidth access points) linked to the appropri- one can easily follow a discussion in a visual
ately coloured node. It is important to stress that manner (Figure 5).
all comment nodes are visible and accessible to
new visitors, so that the overall feel and trends The Planners Specific Tools
developing among the visiting public is clearly
visible and passed on to the next visitor as he/she The tool proposed for the planners interaction
can comment not only on the merits of the proposal with the available data was identical to the one
but also on the previously placed comments. for the public described above with the addition of
The ensuing dialogue or rather asynchronous being able to visualize planning and other spatial
discussion is of vital importance as far as the public data related of the area under examination. Such
participation process is concerned. The themed data can be pollution, traffic, building regulation,
threaded discussion attained is very interesting to permissible building volumes, etc. For example,
follow, however care must be taken not to overload maximum allowed building heights and volume
the model with comments and develop a method- can be visualised via a semi-translucent grey
ology for storing and streamlining comments block model, generated automatically based on
so that new users are neither overwhelmed nor the regulations permissions for each urban block
oblivious of the previous topics and issues dis- and super-imposed on the existing urban model.
cussed. This approach creates a visual feedback Such a tool highlights structures not in line with
to the designers as well as future visitors since a the current legislation (protruding from the semi-
birds eye view of the area presents the differently translucent grey blocks) as well as areas where
278
Figure 5. Proposed versus existing layout with comments
building activity is potentially expectedconsid- Keeping digital models of all categories and
ering current legislation and existing building technologies be it a website, a 3D model inter-
stock without counting age, condition and other active or not, a QuicktimeVR panorama, or
property status. other up to date, is the achilles heel of digital
It should be stressed that, setting up the 3D datasets. Based on authors 15year experience
datasets and underlying databases, collecting on urban digital modelling (Bourdakis, 2008),
and editing texture data managing other collected it is suggested that once the prototyping stages
data and finally building the urban model and are completed in a appropriately structured and
the VR application were issues not dealt by the organised manner, the updating process could be
planners as the authors strongly believe that the automated and a local team could be responsible
research team responsible for the creation of the for the subsequent changes (typically commercial
model should have an overview and be in charge property changes in name, logos, shop front de-
of such process. tails, colours, etc., as well as new buildings both
279
residential and commercial). However, this all 20% was at primary education level only. There
depends on the structure and capabilities of local were also a large percentage of illiterate people
groups as far as setup of a team responsible for (8%) closely matching the census data of the area
keeping digital models up to date is concerned. reported earlier (NSSG 2001). In terms of occupa-
This calls for systematic surveying of the area, tion, the vast majority were working or studying
photographic documentation of alterations, neces- 80%, 13% retired and 7% unemployed.
sary 3D modelling editing, digital photographic As far as the typology of comments is con-
image processing and overall VR model and cerned, 9% were positive, 31% negative and 60%
underlying database updating. were classified by the authors as suggestive con-
sidering the context of the comments irrespective
The Results Drawn of the actual type of comment selected. This can
be seen as a failure of the system employed since
The VR application as well as being available only positive and negative comments could be
on the internet, was also installed at the welfare added; future applications should either feature
centre for the elderly by the main square under a single category/shape for all comments, or em-
redevelopment. Following a period of almost two ploy at least 3 categories. The major suggestions
months, data were collected from two sources; the regarding the redevelopment of the two squares
mediated2 digital commenting mechanism that were to add some form of water (fountain, small
recorded 87 entries and a dozen semi-structured lake, springs, etc), create a playground, change the
interviews following one-to-one sessions on the street furniture (concrete benches were considered
VR tool. Keeping in mind that one subject would too cold, dustbins too large, too many and made
sometimes comment more than once, the estimated of the wrong material), improve security (with
overall number of people that interacted with the suggestions ranging from fences for the grass
system (mediated or interviewed) was around 65. covered areas to improved lighting), more/differ-
The discussion that follows is based on the com- ent plants, special needs facilities (access ramps
ments recorded and not on the estimated number were not shown in the ICT tool as they were not
of users since anonymity was protected and the provided in the drawings but due to EU regula-
comments recorded decipher this information. It tions would have been included anyway during
should also be noted that very few visited the VR the construction), general comments on traffic,
tool site via the internet although this could be pedestrian paths, etc. It is apparent that citizens
due to lack of appropriate publication, marketing did examine in great detail the proposed solutions,
and communicating inefficiencies from the local invested time in understanding the projects and
authority. commented responsibly on the design. Hence it
Starting with, 28% of the comments were made is important for such exercises to be addressed
by men and 72% by women not a representa- with great care by the decision makers in not
tive distribution and a possible indication that only incorporating the proposed ideas in the final
women tended to comment more than once. As design, but also in feeding back to the citizens.
far as age of the participants is concerned, 16%
were up to 25yrs old, 21% at the 26-35 age group,
28% 36-45, 15% at the 46-65 and 20% were over FUTURE RESEARCH DIRECTIONS
65, closely reflecting the age distribution in the
area. The majority of the users had completed Two emerging trends, as far as the theoretical
secondary education (46%) a quarter higher and background is concerned, have been observed.
280
Firstly, that although governance can be applied at CONCLUSION

the municipal level (Hannemann, 2008), it can also
constitute an important factor of competitiveness The principle of participation in urban planning
(Boddy and Parkinson, 2003), something that has can be made more practical through the imple-
an effect for the city as a whole at the national or mentation of governance. Thus, urban governance
even the international level. Secondly, planning interrelates with community planning leading to
re-emerges at the neighbourhood level (Barton et making cities work.
al. 2003), something that has its roots in the 1920s In relation to the (generally positive) role of ICT
(Perry, 1929/ 2000), with an ecological emphasis in public participation in planning, the following
(Friedman, 2007). conclusions can be drawn based on the research
Integrating public consultation in the urban done so far: the use of ICT limits the temporal-
planning implies that the public sector procure- spatial constraints in participation, participation
ment methods employed do cater for such process. increases the possibility of support in policies and
In the Greek legislation, this is not the case hence projects, ICT represents tools (especially visual)
the procurement methods must be radically altered that can improve citizen participation, the qual-
and all parties involved must be consulted eventu- ity of software relates to lower costs in the long
ally reaching to a mutual agreement. This can be a term, the larger the community the greater the
long term process to accomplish which will have possibility of e-government provision, concern-
knock on effects on a series of other procurement ing the publics use of ICT the emphasis is on
methods, rules and legislation employed by the everyday service delivery rather than large-scale
public sector. It is nevertheless a prerequisite for policy, and, finally, a crucial question that is raised
the development of meaningful processes leading is who is able to participate - the answer to this
to successful outcomes and confidence-building question depends on the particular local context
from the public. of a community. The process of developing a
Considering the complexities, effort needed flexible three-part (common core, public plan-
and expenditure involved in creating a digital ners) curriculum in the case of Agia Varvara (a
urban model in other words the backbone of relatively small community in Athens, Greece)
an interactive VR urban planning tool one in the framework of the Leonardo project PICT
should consider lower level of interaction and showed that ICT can help in participation, mainly
lower cost alternative technologies such as pho- because they constitute a relatively simple mean
tographic panoramas. Depending on the level/type of recording the views of both the public and the
of projected urban intervention, low bandwidth planners in a variety of subjects (both open and
and limited interactivity but higher visual qual- closed).
ity technologies such as QuickTimeVR may As far as the ICT tool and its implementation
be beneficial, however if new constructions and is concerned, it is important to carefully evaluate
elaborate investigation/exploration is expected, the potential versus the cost of employing different
the modelling limitations will be highlighted ICT methodologies and applications in the evalu-
and the suitability is questionable. Additionally ation stages of a design project. Local authorities
the issue of interacting with the VR application in general, and in Greece in particular, are having
should be thoroughly evaluated and mediation great difficulties in grasping the effort involved
should be addressed. in developing such tools and consequently are
unable to invest the necessary funds for this to
keep up to date, or even to materialize.
281
he VR tool produced for Agia Varvara is Bourdakis, V. (1997). Virtual Reality: A Commu-
sufficiently accurate, relatively efficient in time nication Tool for Urban Planning. In Asanowicz,
and effort spent to develop it and provides a high A., & Jakimowitz, A. (Eds.), CAAD-Towards
density of visual information to the viewer/visi- New Design Conventions (pp. 4559). Bialystok,
tor. The ability of each user to interact with the Poland: Technical University of Bialystok.
model, switch between alternatives (existing and
Bourdakis, V. (1998). Navigation in Large VR
proposed) and most importantly add comments
Urban Models. In Heudin, J. C. (Ed.), Virtual
(direct or mediated) to particular points within the
Worlds Lecture Notes in Artificial Intelligence (pp.
model is enhancing communication by creating a
345356). Berlin, Heidelberg: Springer-Verlag.
pseudo-multi-user environment without the extra
complexity, resources and problems involved. Bourdakis, V. (2004). Developing VR Tools for
Feeding back the proposals and comments to an Urban Planning Public Participation ICT Cur-
the experts and the local authority is vital as is the riculum; The PICT Approach. In B. Rudiger, B.
verification of the process that should follow with Tournay & H. Orbaek (Eds.), Architecture in the
the local authorities and the planners in an open Network Society: eCAADe2004 Proceedings (pp.
public consultation/validation meeting. This last 601-607). Copenhagen: eCAADe.
stage is instrumental in building up the necessary
Bourdakis, V. (2008). Low Tech Approach to 3D
entrustment links between the two since the public
Urban Modelling. In M. Muylle (Ed.), Architec-
is willing to (and will) help only if and to the extent
ture. in computro, eCAADe 26 Proceedings (pp.
that it feels and sees that this tool is helping
959-964). Antwerpen: eCAADe.
in improving living conditions. Consequently, it
could be argued that employing a VR planning Brennan, R./ LGMB [Local Government Man-
tool has paid off in terms of acceptance, use and agement Board] (1991). The Equal Opportunities
quality/usability of the attained results. Guide. Luton: LGMB.
Charitos, D. (2008). Precedents for the design of
Locative Media as hybrid spatial communication
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Von Uexkull, J., & Girardet, H. (2005). Shaping 1

Last decades substantial increase of eco-
Our Future: Creating the World Future Council. nomic immigrants that have not yet been
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Pre 1990 value was approximately 4%
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285
286
Chapter 15
The Role of Local Agencies
in Developing Community
Participation in E-Government
and E-Public Services
Bridgette Wessels
University of Sheffield, UK
ABSTRACT
This chapter discusses the way in which understanding of participation in e-services has evolved through
a social learning process within planning and implementation processes. The chapter traces the develop-
ment of methodologies, partnerships and design constituencies in pilot projects that inform the devel-
opment of inclusive e-services. It draws on case studies of e-services between 1995 and 2009 to show
how planning processes become embedded in cycles of learning and development. E-services involve
change in services as well socio-technological change and relate to change in forms of participation.
This has led to the development of partnerships to plan and implement e-services and to the develop-
ment of research and design methodologies that foster participation in the design and use of e-services.
INTRODUCTION beyond technological and organizational change to

the consideration of how people participate in the
The aim of this chapter is to discuss how local design and use of new services. Those involved in
agencies found that they had to create partnership the planning of e-services have had to adapt to ad-
approaches and experiment with research and de- dress these issues. This has led to the development
sign methodologies in the planning and design of of partnerships to plan and implement e-government
e-services. The design and planning of e-services and e-services and adaptations of participatory ap-
involves both technological and organizational proaches in designing e-services. The structure of
change, which has resulted in local service provid- the chapter is: first the background to e-services is
ers forming partnerships to plan and implement e- discussed; then the issues of design and partner-
services. The development of e-services raises issues ships are considered. This is followed by a section
exploring the rethinking of participation before an
DOI: 10.4018/978-1-61520-929-3.ch015 outline of the methods employed in the case stud-
The Role of Local Agencies in Developing Community Participation
Figure 1. The themes of eGovernment (Cornford et al. 2004)
ies. The case studies are then described. This is 2002, Office of Deputy Prime Minister
then followed by s discussion of solutions and and UK Online and the Local Government
recommendations as well as an identification of Association).
future trends before the conclusion of the chapter.
The above outline encompasses many of the
themes in the development of e-services more
BACKGROUND: E-SERVICES generally. The figure below gives a schematic
overview of the themes of e-services.
The development and use of information and These themes illustrate the ways in which
communication technologies (ICT) by the public e-services revolve around potential benefits that
sector is seen in the domains of e-government and can be gained through accessible and improved
public sector e-services. The aim of developing e- participation in services. For instance, if services
services goes beyond e-enabling existing services are more convenient to use with feedback loops
in that governments and administrations seek to then service provision can be more responsive and
modernize services, for example, the eGovernment cost effective. By transforming services in this
programme in England (2002) sought to: way, the accessibility, convenience and result-
ing responsiveness can be harnessed to efforts
1. Transform services by making them more to renew local democratic processes creating a
accessible, more convenient, more respon- more open and accountable approach to service
sive and more cost-effective. provision through improved communication
2. Renew local democracy by making councils and access to local politicians (Dunleavy et al.
more open, more accountable, more inclu- 2002). By developing e-services Local Authori-
sive and better able to lead their communities. ties and their partnerships contribute to regional
3. Promote local economic vitality through a strategies that seek to build ICT infrastructure
modern communications infrastructure. (The and skills base within regional economic plans
National Strategy for Local eGovernment, (Wessels, 2008b).
287
A priority in developing e-services in the public living in the EU do not regularly use the Internet
sector is that these services have to be available (Riga Dashboard Study, 2007). Divisions in use are
to everyone, and they need to meet the needs of clearly seen in relation to age, educational levels,
citizens. The development of e-services requires and employment status. For example:
that developers gain an understanding peoples
access to, and ability to use, ICT as well as their 10% of persons over 65 use Internet,
service needs (Alford, 2002). This concern relates against 68% of those aged 16-24.
to ideas of a digital divide, which can be defined 24% of persons with low education use the
as the: Internet, against 73% of those with high
education.
differentiation between Internet-haves and 32% of unemployed persons use the
have-nots [that] adds a fundamental cleavage to Internet against 54% of employed persons.
existing sources of inequality and social exclusion In relation for accessibility of ICT for those
in a complex interaction that appears to increase with disability (15% of the EU population)
the gap between the promise of the information only 3% of public web sites complied with
age and its bleak reality for many people around the minimum web accessibility standards
the world (Castells, 2001, p. 247.). (Riga Dashboard, 2007, p. 3).
When policy makers started to think about These statistics show how levels of ICT us-
using ICT in public services in the early to mid age can link with situations of exclusion, such
1990s they were aware of the risk of excluding as unemployment and lack of opportunities due
some people from services (Wessels, 2007). The to low levels of education, disability and ageing.
concern was that some people do not have access This context of providing services means that
to ICT in their everyday lives, and even if access planners and developers have to consider ways
could be obtained, people might not have the skills of gaining an understanding of a wide range of
to use ICT (Wessels, 2007). More recently, policy user requirements for e-services from those
makers have widened the scope of the idea of a with little education to people with disability as
digital divide and have expanded the scope of well as the more affluent users with good ICT
ICT in inclusion strategies. This is evidenced in skills who expect quality services (Alford, 2002).
the European Union Riga Ministerial Declaration These issues are demanding for planners, how-
(2006) on e-inclusion. The Declaration defines ever, another dimension of planning e-services is
e-inclusion as both inclusive Information and that they are new and emergent; hence planners,
Communication Technologies (ICT) and the use implementers, and providers are still learning how
of ICT to achieve wider inclusion objectives and to develop them, evaluate them and measure their
policies aiming at both reducing gaps in ICT us- cost and benefits.
age and promoting the use of ICT to overcome
exclusion (p. 2). The focus on e-inclusion and Issues of Design and
the priority of the universal provision of public Partnership in E-Services
services reinforces the need for e-services to be
user-centric and based on the needs of service us- E-services are based on the interactivity over a
ers. Furthermore, support needs to be available to network of information sources and service provi-
ensure that people can use ICT and are digitally sion (Bellamy and Taylor, 1998). In the planning
literate in using e-services. The background of ICT of services it is important to distinguish between
usage in Europe shows that 57% of individuals ICT and e-services. ICT is seen as a technol-
288
ogy, which is digital, convergent, and involves use of the technology. Research and development
computers and communication technologies. It of e-services often interacts with situated design
includes a combination of video, sound and text and use processes, and learning from it to further
and can involve video conferencing, scanning, develop e-services. Dittrich et al. (2009) calls this
interactive tracking and smart card technologies, situated innovation in which ICT in e-services
touch screens and so on. ICT requires content to are appropriated, adapted, and/or rejected in situ.
be interpolated on it, in that it has no intrinsic Furthermore, it is through the development and
content or context of its own (Wessels, 2007, p. use of pilot projects that knowledge is created in
3). A definition of e-services is that they involve the ongoing development of e-services.
the use of ICT to deliver various services. The To develop networked e-services planning
factors that contribute to the contextual definitions groups have found that they need to have a wide
are the ability of organisations to provide access range of expertise in order to address service pro-
for the public to information and services via ICT, vider and end-user perspectives and needs within
which promises an enhanced service for the public an e-service (Wessels et al., 2008). To this end the
(ibid.). The distinction between ICT as technology planning process involves forming partnerships
and e-services helps to locate the planning area that underpin and provide e-services. These part-
under consideration in this chapter, which is the nerships have developed from some of the early
development of service provision using ICT and 4th Framework European Commission funded
not the technological components of ICT as such. Telematics projects (between 1995 and 1998),
A defining feature of ICT as a technology is which consisted of five or six country partners,
that it is more malleable than many other tech- each contributing user needs research and techno-
nologies. This means that design in the form of logical development skills in the implementation
interpretation and adaptation is closely related to of pilot projects (Wessels, 2007). Other types of
situated practices and use (Dittrich et al., 2002). partnerships to emerge include those based on
The way in which users appropriate the technol- regional strategies that bring together local service
ogy, adapt it, or reject it feeds back into cycles of providers, technologists and researchers to build
design, planning and use (Pierson et al., 2008). single access networked e-services across a region
The ways in which ICT applications are shaped is (Wessels, 2008). Some partnerships focus more
therefore highly situational, which means that the the particular needs of a specific user group, such
successful deployment of ICT applications and as those with disability for example (Wessels, et
therefore their development is dependent on the al. 2008). Other types of partnership are those
contexts of use. The development and deployment aimed at empowering users, for example feminist
of ICT therefore takes this situational character led partnerships or those wanting to encourage
into account (Dittrich et al., 2009; Stewart, 2007). grassroots political participation in local demo-
The constituents of e-services, namely work cratic processes (Harrison and Wessels, 2005).
practices and organisation, ICT, and the practices In the development of pilot projects within dif-
of service users are highly situational. The interac- ferent types of partnerships, planners, developers
tion of these dimensions requires multi practice and researchers gain understanding of e-services.
design constituencies, methods for the interlac- The way in which e-services are gaining shape
ing of design and use, and an ethos of reflective and evolving is through the learning by doing
development of work practices that cover service (Arrow, 1962) and social learning processes of
organisation as well as technology. The develop- project-based work (Williams et al., 2005). Work
ment of e-services involves understanding how in the early Telematics projects between 1995 and
different situational factors affect development and 1998 shows that there is a lack of knowledge of
289
how to research user needs (Wessels, 2007). In have to focus on the development of services that
further pilot projects and through the implemen- could foster more participative interaction between
tation of services (with evaluation and learning, service providers and service users in order to
and further development loops) project partners meet need and improve their responsiveness. This
also found that they had to be able to link design involves developers designing in participation
and use together so that projects in e-services into service design and extending their work into
could constantly improve to meet the needs of more participative methodologies (Norman and
users. This led to partnerships experimenting with Draper, 1986; Dobson et al., 1994; Stewart, 2007).
various forms of participant design that is fed into Within design communities of ICT there is
ongoing planning processes (Dittrich, et al, 2009). considerable debate about how to research user
From these pilot projects, planning partnerships needs and include users in design-in-use meth-
could start to gain some understanding of user odologies. Suchman (2002) points out however
needs and design-in-use in pilot developments that there is little evidence of how to do this. One
of e-services. This involved a significant shift in approach that seeks to include users is that of
perspective because project methodology moved co-construction where technologists and user
from trying to capture user needs to realising that groups co-construct ICT system design. This
users needed to participate not only as service users moves research and development away from the
but also in the development and design of services traditional notion of a technical expert capturing
(c.f. Suchman 2000, 2002; Schuler and Namioka, user needs (Jirotka and Goguen, 1994; Crabtree
1993; Stewart, 2007; Pierson et al., 2008). et al., 1999). For example, Dobson et al. (1994)
argue that co-construction approaches facilitate
Rethinking Participation a symbiotic integration of user requirements and
design. This allows ICT systems to be constantly
Developers gain understanding in planning of refined during activities with the aim of developing
e-services through the lessons they learn in the something relevant to users, organizations, and
take-up and use of services that involve ICT infra- institutions. There is an array of specific meth-
structure and interfaces, back office re-engineering odologies to foster participation in design such as
and end-user practices. Given the malleability and user-centered design, participatory-design (PD)
interactivity of ICT, the way e-services are shaped and meta-design. User-centered design (Norman
is influenced by different users groups (Castells, and Draper, 1986) focuses on user activities and
2001). Thus a key part of planning and designing e- processes but it does not enable users to develop
services involves understanding what service users the system beyond that fixed in the design process
want - and will use. This dynamic informs one of itself. PD approaches (Schuler and Namioka,
the key characteristics of the changes to planning 1993) expand user-centered design by involving
and implementation, which is the move to more users in design more deeply by empowering them
user-centric methodologies in design processes to propose and generate design alternatives them-
(Dittrich et al., 2002). In particular this has lead selves, as co-designers. PD, however, does not sup-
to an overarching trend in research and develop- port ongoing change in applied ICT. Meta-design
ment cycles that aims to foster participation in the tries to address this by creating open systems that
design and use of e-services (Wessels, et al., 2008; are modified by users. It is a co-adaptive process
Pierson et al., 2008; Jirotka, and Goguen, 1994). in which users are co-developers within an inte-
In differing ways participation is now understood grated design space of technologies and supported
as an important dimension in the successful plan- learning facilities (Fischer and Giaccardi, 2004).
ning of e-services. In the first instance, planners These methodologies seek to include users in the
290
design and development of ICT based systems. user-interfaces, policy makers and any related
However, they do not consider how this research interest groups (Wessels et al, 2008, p. 36).
and design can be integrated into planning and
implementation processes. The constituency can be formed either in re-
To bring in user centred methodologies in sponse to a specific socio-technical design project
addressing participation and inclusion, planners or for longer term socio-technical change seen,
and developers develop partnership approaches. for example, in the ongoing organizational and
Molina (1995) recognises that the design and ICT changes in e-services. The members of the
implementation of services based on ICT involve constituency develop a research design through
building design constituencies. Molina (1995) internal discussion and in dialogue with other
stresses the inseparability of technical and so- relevant parties. The design of the research has
cial constituents in technical development. He an ethnographic dimension in that it seeks to
argues that expertise is needed in technological, understand the different user perspectives in net-
organisational and user needs research to develop worked and interactive e-services. Furthermore,
socio-technical systems. To bring these sets of the research also seeks to address e-services from
expertise together he points out developers create within the various perspectives of users, technolo-
sociotechnical constituencies in which knowl- gists, and service providers; research is therefore
edge can be exchanged as systems are developed. conducted from within each of these areas. The
Many of the practical partnerships discussed findings of the user centred research and design
above take the form of a constituency. However, is integrated within the design constituency to
Molinas constituencies tend to come together inform planning and implementation processes.
around particular projects or programmes and do The trajectory of the methodological lifecycle
not necessarily integrate end-user communities can vary with the nature of the design problem,
into their core organisation. but it does have the potential to develop a more
To address the inclusion of users in design and iterative approach to design, so developing a
in the planning and implementation processes, design-in-use ethos, or at least a reflective and
Wessels, et al. (2008) extend Molinas concept user-designer feedback process during design and
of sociotechnical constituencies into a broader development. The aim is to balance the agency of
and more dynamic social formation methodol- all groups in socio-technical change, such as user
ogy. Wessels et al.s methodology is based on the groups, social and organizational researchers, ICT
premise that technology is socially shaped and it system designers, service providers and planning
includes a design constituency, an ethnographic and implementation groups (Wessels et al., 2008).
sensibility and a dynamic positioning of research
in design and use processes. They define a design Methodology and Case Studies
constituency as:
The argument made in this chapter is based on a
the [formal] development of a constituency of series of case studies that provide a longitudinal
social actors that has a remit to facilitate in- analysis of change in planning and developing e-
clusive and democratic socio-technical change services in the public sector over a 14 year period
through multi-disciplinary, multi-perspective (1995 to 2009). In each study researchers spent
and multi-positional approaches to design. The between 1 and 2 years in the field. They combined
core constituency is made of a variety of user participant observation with interviews, document
groups, social researchers, organizational change analysis and surveys. The case studies cover the
researchers, designers of hardware, software and development of:
291
Telematics services in London (UK), sought to develop user-driven multimedia

focusing specifically on the exemplar e-services for comprehensive services
European Commission (EC) funded proj- Telematics Applications and Strategies
ect Advanced TransEuropean Telematics Combating Social and Economic
Applications for Community Help Exclusion (PERIHERA) project, which
(ATTACH) running from 1995 to1998 addresses training and employment for
User generated web-services in Ronneby groups at risk of exclusion
(Sweden), Lewisham (UK) and Bologna Citizens Access Networks and Services
(Italy) in the EC funded Dialogue Project (CANS), which focuses on the needs of
running from 1999 to 2001 older, disabled citizens and migrant groups
E-services for multi-agency health and through skills and language training
social care focusing on Newcastle (UK) Advanced TransEuropean Telematics
in the Economic and Physical Research Applications for Community Help
Council (UK) funded Advanced Multi (ATTACH), which sought to developing
Agency Service Environments (AMASE) interactive multimedia service kiosks with
project running between 2001 and 2004 local administrations, police and local or-
Local E-government in England and Wales ganizations for community services.
funded by the UK Office of Deputy Prime
Minister running between 2002 and 2003 These projects have common aspects, such as
Regional e-inclusion programme focusing a concern with accessibility of services address-
on South Yorkshire (UK) funded through ing the needs of people in society who may be
various sources of EC, national, and re- excluded for various reasons, including elderly,
gional funds from 2002 and 2009 disabled or ethnic groups and those marginalized
by lack of employment.
These case studies are predominantly based The developers of these pilot projects and
in urban areas, although the South Yorkshire and other service providers formed a partnership
Ronneby cases also include rural areas called Telematics for London. The members of
the partnership thought that each of these projects
Case Studies promised, in quite different ways, to become ef-
fective and efficient carriers of vital ingredients
1995- 1998: Early Approaches of democracy and improve services. The services
to Planning and Developing could, for instance:
E-Services: The Case of
Telematics Services in London receive information about citizens concerns,
support decentralization of bureaucracy,
This section covers the early ways in which devel- help to develop one-stop approaches to ac-
opers use pilot projects to gain an understanding cess to information and services,
of e-services. The Telematics projects, which were contribute to the development of market
all funded by the EC, represent some of the early testing approaches,
approaches in developing e-services. The projects develop more effective machinery in sup-
in London were: port of community groups, and
provide a useful resource for the emerg-
Delivery and Access to Local Information ing citizens juries and similar approaches
and Services (DALI) project, which (Wessels, 2007, p. 104).
292
To avoid exclusion from these new types of This meant that the team with local planners had
pilot services, the London group felt that there is to develop an iterative research and design process
need for initial simplicity and user-friendliness involving service providers, researchers and end
as well as making sure services would address user groups in the development of new services. To
inequality (Wessels, 2007). The group started to get a deeper understanding of end-user needs, the
foster partnership approaches in the development Local Authority funded 10 in-depth focus groups
of e-services and sought to build networks that to explore service user needs (sampling across age,
might enable multi-agency services to be delivered socio-economic status and ethnicity) that built
to help counter exclusion. on their existing community research. The key
The project teams had to learn how to build finding of the research was that people wanted
e-services based on multi-agency networks that information online to be joined-up and targeted
were user-driven. In the ATTACH project (which to specific situations as well as access to off-line
acts as an exemplar) the team utilized established personal advice and services. To gain insights
project methodologies to capture user needs, build into how services could evolve as e-services, the
a prototype, test and develop the technologies, ATTACH team also organized service provider
pilot and implement new services (Wessels, 2000; information days for service providers from the
Wessels, 2007). However, from the outset of the public, private and voluntary sectors. The aim of
project the team was aware of the difficulties of these days was to raise awareness of e-services
capturing user needs for totally new services. with the objectives of fostering the sharing of
The team first undertook a conventional piece of information and improving access to services to
survey research but service users found it difficult build one-stop e-services (Wessels, 2007).
to articulate their needs because they could not The knowledge gained by these methodologies
envisage what e-services would look like. To get led the ATTACH team and the Local Authority
richer picture of user needs, the team set up a planners to build a community online information
network of local service providers and undertook service that is adapted to a range of user access
user needs workshops. The team also conducted points. This resulted in eight Local Service Centres
interviews and mock-ups with potential end users. sited across the Borough, which offer online infor-
This gave the team basic user needs such as the mation and offline personal advice and support.
technology needs to be easy to use and reliable Other access points are public computer access
and the information needs to be up to date. De- points in libraries, community centres and schools.
spite having very little real insight of user needs, Residents can also access the information via home
the team decided to build and test a prototype in computers. From the ATTACH project (and the
public settings. other London projects) developers realized that
The use and evaluation of prototype kiosks the planning of e-services involved networks of
made the team realize that the project was not actors and iterative design-in-use methodologies.
a technology one but a service one (Project Without these two components it is difficult to
manager). The evaluation showed that people design and deliver e-services that are inclusive and
could use the technology but they wanted access meet specific needs. The Local Service Centres
to quality information and services that met their supported by the online information system are
needs. This feedback meant that the team had to now established as a core part of the Boroughs
focus on the services that the technology would service strategy. User feedback surveys show that
provide access to. To achieve this, the team had they are meeting the needs of local people, with
to get agencies to share information, re-engineer the level of service satisfaction rated at excel-
access to services and develop joined up services. lent. They are proving to be a cost effective way
293
of providing services as they are reducing the researchers working in the project in Ronneby
cost of face-to-face support and phone inquiries (Sweden) took a strong participatory design and
by 40% whilst still offering face-to-face support inclusive development approach by working with
when needed. the women to empower them to develop their own
services. The researchers and the women based
1999 2001: Developing Inclusive their development work on Virginia Woolfs
Approaches in E-Services for argument that women need their own space to
Community Participation: The write. From this basic idea the researchers and the
Case of the Dialogue Project women in the community developed four virtual
writing rooms. Their design-in-use process created
From the early pilot projects described above, different rooms based on the ways in which the
planners started to consider ways of fostering women wanted to write and communicate: room
participation by providing interactive services to one is for participants personal presentations; the
generate inclusion and enhance local democracy. second room is the collaborative writing of the
One EC funded pilot project called the Dialogue Virtual Cookbook; the third room is for poems
project sought to develop community participa- and short stories; and the fourth room is a chat
tion through the Web. The EC project team from room (Harrison and Wessels, 2005). The evalu-
Ronneby (Sweden), Bologna (Italy) and Lewisham ation of the project shows that the women, who
(London, UK) wanted to see how interactive had no experience of ICT, felt they had become
ICT could foster grass-root participation. The competent users and developers of Website de-
team needed to explore various methodologies sign and use. They felt that they had learnt how
for developing participation in ICT based com- to have a voice in the public sphere and that they
munication. The project team in each country were better connected with other women, and they
developed a partnership with local people and had learnt to self-organize. All the women felt
the local authority to see how they could develop empowered by the experience (Dialogue Project
participative fora. The team in Sweden focused on Report, 2002).
women writing on the Web. The team in Italy Using a participatory design approach the re-
and the UK focused on children taking part in searchers in Lewisham (UK) fostered participation
video-conferencing to discuss issues and cultural in local democratic processes through On-line
events across these nations. The UK group devel- Live Chat. The researchers worked with existing
oped local interactive policy fora in which local community fora and local intermediaries to create
residents (in Lewisham) discussed their concerns local democracy websites with interactive chat-
and political perspectives. The development of rooms. Members of each forum posts concerns
these services was achieved through adapting of on the website and then debate issues online,
participatory design to enable these user groups once a discussion is closed the issues raised are
to shape the technology and service for their sent to the local council. Thus opinions of local
practices, needs and desires (Dittrich et al., 2002). people expressed in the chat rooms are fed into
The aim of the project was to train citizens formal council debates and procedures and when
to use the Web, with use understood in a broad local politicians have considered the issues, they
way through the metaphor of communication as feedback to residents through the Local Author-
a network, as a cyberspace, and as participative. ity web site. At the start of the project, many of
This ethos of the project was: we teach you the the residents were not sure that local politicians
techniques; you teach us the content to which they would listen to them, however, as the project
can be applied (project worker, 1999). Feminist progressed, they found that their concerns were
294
heard and addressed to create change at the local not, however, necessarily facilitate the ongoing
level. This aspect of the Dialogue project improved development of e-services based on networks.
local participation in democratic processes and The rise of networked e-services coincided with
improved trust between local people and their the quest for multi-agency services, which re-
local politicians and councillors (Dialogue Project quired planners to gain understanding of holistic
Report, 2002). multi-agency approaches to care (c.f. Leat et al.,
Another aspect of the Dialogue project is the 2002). In this context policy frameworks were
development of videoconferencing for children. also pushing for service-users to participate in the
Videoconferencing was developed for participa- development of services (e.g. the UKs Childrens
tion by schoolchildren in Lewisham (UK) and National Service Framework, 2002). These factors
Bologna (Italy). The children from these places prompted the development of a social formation
took part in videoconferences with each other and methodology as described above, which incorpo-
they discussed issues that are important to them. rates the various perspectives of actors involved
These range from the fabric of their everyday lives, in the planning, design, implementation and use
their hobbies and school-life to issues such as bul- of multi-agency e-services in community based
lying, racism and migration. The schoolchildren settings. The area in which this methodology was
say that they got used to using the technology developed and used is in community health and
and found it easy to use. In the evaluation of this social care services for children with disabilities
aspect of the project, the children report that they (Wessels et al., 2008).
feel that connecting through the screen with A central part of a social formation methodol-
other children helps them understand what life ogy is the design constituency. In the case of
is like in Bologna and Lewisham, which widens services for children with disability the constitu-
their understanding of other cultures (Dialogue ency was made up of a practitioner group made up
Project Report, 2002). of 6 community key-workers with backgrounds in
The work in the Dialogue project shows how nursing, social work and education; 3 health and
researchers using participatory design involving social care policy makers with a childrens services
users developed different ways to involve people planning remit; 6 university researchers with back-
and to foster participation. By involving local grounds in systems design, organizational change
people and local intermediaries in the design pro- management and sociology; and 2 private sector
cess they could inform the planning of e-services ICT designers. In providing multi-agency services
by suggesting the types of services people want for children in the community, research and design
(Stewart, 2007). This project shows that by get- has to be able to involve a variety of perspectives
ting people involved in the design process helps of highly skilled actors and understand the myriad
to promote participation in services. of sensitive and complex social activities. To this
end, the research for design and planning included
2001 2004: Beyond Participatory interviews with service providers and practitioners
Design to Social Formation across all the agencies in the multi-agency team,
Methodology: The Case of namely nurses and doctors, social workers and
the Multi-Agency Services for educational health and social care workers. This
Children With Disability was followed by a one-year participant observation
of the work done by key-workers in the multi-
Participatory design helps in the development of agency centre. The understanding gained of the
e-services, particularly in the area of user interfaces work in these two phases was analysed within
and in the identification of service needs. It does the constituency, and the resulting analysis then
295
formed the foundation for a series of focus groups partnership develop paths through a complex
and workshops to explore the issues of user ac- change programme involving not only changes
cess and needs, working practices and ICT, and in technologies and business processes but also
policy making that are integral in the planning of changes in working practices, culture, and at-
services (Wessels et al., 2008). titudes that influence rates of participation by
The qualitative methods provide an ethno- citizens and businesses in e-services. Following
graphic sensibility (Wessels and Craglia, 2007) on from the lessons learnt through such projects
that enables members of a design constituency to as described above, e-government planners seek
become more reflective of the research process. to develop a joined up approach to e-services
It raises awareness of different actor perspec- to provide a seamless delivery of services from
tives within e-services and their resources and various providers. Cornford et al.s (2004) study
learning processes, and through this awareness found that the main path to joining up service
the design constituency and its stakeholders can is through partnership working. Drawing on a
plan and produce change reflexively (Wessels, Local eGovernment Survey as well as their own
et al., 2008). The methodology includes dis- research, Cornford et al. point out that 94% of
semination workshops that aim to consolidate the local authorities set up e-government partnerships
relationships built up in the constituency and the to help them implement e-government (Cornford
knowledge embedded within the community, and et al., 2004). The aim of these partnerships was
ensures that this is filtered into further planning to change the delivery of services away from
and development. The planning of new services single services individually accessed to joined-up
involves the re-configuration and adaptation of services with single access.
new and existing tools, a re-thinking of practices To plan and manage this change, partnerships
and skills, and re-imagining service provision undertook an iterative change management pro-
within a social formation of developer and user cess. Initially they took an established approach to
groups (Wessels et al., 2008). The development change management based on a model of change
of the social formation methodology within this involving a process of:
project informed the UK National Framework
for Multi-agency Environment (FAME) program. 1. the development of a vision and establishing
This program has produced a generic framework aims and objectives
and a software demonstrator to support multi- 2. a planning phase to identify and secure the
agency development and operation including resources to achieve the aims and objectives
multi-agency childrens services in the UK. 3. the implementation of the plan
4. monitoring to establish whether the ob-
2002 2003: Cycles of Learning jectives have been met and identify other
in Planning and Implementation: outcomes
The Case of E-Government
in England and Wales In relation to e-government, these general
change processes also need to incorporate changes
Cornford et als (2004) study addresses the in a socio-technical system. Socio-technical
planning and implementation of e-government change requires the simultaneous configuration
in England and Wales between 2002 and 2003 and co-ordination of technical, organisational
and it shows how the change process is shaped and social aspects of a new system. For example,
by specific local contexts as well as generic e-government requires the integration of the four
development processes. Local e-government dimensions of change, which are: the configuration
296
of the technologies; the re-engineering of business consultation improved the development and take-
processes; changing working practices; and the up of e-services (Cornford et al., 2004p., 44). The
alignment of active participation by individu- need to understand the needs of service users is
als and businesses as customers, interlocutors, important in ensuring that services meet needs
clients and citizens (Cornford et al., 2004). In and are accessible and useable. Furthermore, the
socio-technical change programs including e- improvement of take-up of services also enhance
government this means that the traditional stages the ability of service providers to be responsive
of change management cycles described above, to service users, thus improving performance in-
which although significant, need to be matched dicators in responsiveness of services (ibid. p.45)
in importance with the progression between each The development of e-government in the Eng-
stage (Orlikowski and Hofman, 1997). It is in the land shows how the development of e-services
progression between stages that the learning and requires the space for ongoing learning from the
preparation for the planning of ongoing develop- implementation process that feeds into the subse-
ment and implementation occurs. This means that quent planning of the next stages of the evolve-
the transitions between the phases are significant ment of e-services. Local authorities and their
in planning processes and these involve: partners are learning to foster participation in the
planning, research, and implementation processes
1. strategic planning that involves a process of of e-services. They consider issues of accessibil-
moving from a vision to a plan ity and participation in the design of e-services,
2. transition phase of mobilizing of resources and find that consultation with stakeholders and
that links planning with implementation the public is important in ensuring take up of
3. evaluation of the transition between imple- services and in improving the responsiveness of
mentation and monitoring service providers to their user groups (Cornford
4. these processes feed into a learning process et al., 2004).
that takes monitoring to back to envisaging
to inform further planning and development 2002- 2009: Regional Strategy
cycles (Cornford et al. 2004) for E-Inclusion: The Case
of South Yorkshire
One of the key dimensions in this cycle of
developing e-government is consultation with So far the cases studies show how different plan-
stakeholders and the public. 95% of local authority ning strategies and research and development
e-government partnerships undertook consultation methodologies have been adapted and developed
with stakeholder groups and the public (Cornford as e-services have evolved. However, planning
et al., 2004). In the development process the groups groups are pushing participation further as they
consulted include: other partners in the Public seek to construct strategies for e-inclusion (Wes-
Sector; partners in the Private, Community and sels, 2008). For example, South Yorkshire (UK) is
Voluntary Sector; Local Strategic Partnerships; planning to develop regional e-services to foster
stakeholders in the local community including e-inclusion by facilitating participation of those
public consultation; and local business. Most of the living in the region. The planning process has to
authorities have a separate corporate e-government address issues of a digital divide in a region that
strategy, which are publicly available (82% of Lo- underwent de-industrialization because it lost its
cal Authorities) (Cornford et al., 2004). Although main industries of coal and steel that resulted in
the way in which local authorities undertook high levels of poverty and unemployment. The
consultation varied, they nonetheless found that region is seeking to regenerate through informa-
297
tion society policy and activity. To do this it needs Digital Knowledge Exchange element of
to build capacity within the region. It has built a Doncaster Education City
high quality infrastructure and a strong emerg- A range of digital SME initiatives around
ing New Media sector, and it is now seeking to CENT@Magna, Rotherham
find ways to raise the levels of ICT knowledge Business Innovation Centres in Barnsley,
of local business and people so that they can Doncaster, North East Derbyshire,
participate in the emerging economy and shape Bassetlaw, and Chesterfield (South
the social and political landscape of the region Yorkshire Partnership, 2006).
(Wessels, 2008).
The population of South Yorkshire maps trends The economic policy in relation to these in-
in low take-up of ICT, for example: dustries includes the regional investment in fast,
high-width broadband and other digital technol-
people over the UK retirement age is 18.9% ogy. This means that the region has a good ICT
Pakistanis (36%); mixed race (19.5%); infrastructure and is using ICT to transform itself
Black Caribbean (10.0%) from an industrial region to an information society
24% are not economically active and knowledge economy. This is the economic
9.3% claim Incapacity Benefit and Severe base for developments in policy for e-inclusion.
Disability Allowance The economic planning for the region moves to
a focus on e-inclusion to address social cohesion
These regional figures provide an indication and participation in a regional information soci-
of the issues of participation in economic terms, ety. The regional policy makers have developed
which when looked at in relation to the broader a partnership for ICT strategy, development and
population statistics show a region with a diverse implementation called the South Yorkshire Public
population in relation to age, employment and Sector E-Forum. This network of partners is made
ethnicity. The regional strategy combines eco- up of the 4 Local Authorities (Sheffield, Barnsley,
nomic and social policy to plan for an inclusive Rotherham and Doncaster) and other local organi-
digital region. sations from the public and voluntary sectors. The
In relation to economic policy, the development forum links closely to e@syconnects, which is a
of the Cultural, Creative and Digital Industries as public sector partnership consisting of the South
a key sector in the area (http://www.sypartnership. Yorkshire local authorities, health authorities,
org.uk/coredocs.php) is important. The sector emergency services (Ambulance, Fire and Police),
employs 60,000 people across the region and there voluntary sector organisations, Yorkshire Forward
is a strong business base in many of the key sub (Regional Development Agency), South Yorkshire
sectors, with over 2,700 employees involved in Passenger Transport Executive, Job Centre Plus
Visual Arts, over 1,300 employees in Audio Visual and a myriad of other organisations who work
and 600 employees in Books and Press. The sector together to offer joined-up services.
is characterised by new starts and rapid growth, The regional partnership, with 10 years of
and a comprehensive programme of creative and planning, research and development experience
digital flagship projects with the ability to catalyse has a deep and grounded understanding of devel-
the growth more widely are being developed in oping e-enabled projects from a community base
the region including: and citizen perspective. It uses the e@syconnects
partnership to undertake innovative projects that
E-Campus, Sheffield have a citizen centric approach. Using knowledge
Digital Media Centre, Barnsley gained from focus groups, interviews and obser-
298
vation of service provider settings and domestic points in the community - to ensure existing ICT
settings, the partnership implement a range of initiatives are meaningfully connected, commu-
pilot projects. They undertake evaluation of the nicated and accessible to all. The key challenge is
projects that feed into the development of new to ensure that everyone has the skills to make ICT
services. The partnership builds services on a an integral part of their lives and to participate in
range of channels including interactive digital inclusive change in the region. This means that
television (DiTV) and mobile phones as well as the strategy must involve people across ages from
home computers and public access computers children to the elderly, across educational and
and kiosks. (non) employment capacities, as well as ethnic
The regions easy-to-use system enables people minority groups. The main argument is that the
to access the information and services from a range technology exists. The services are online. The
of service providers through one point of access. community vehicles are in place. The missing
For example, e@syconnects links with health element is people. Rather than introduce new
services to allow people to book appointments Gizmos, we believe the real Digital Challenge
with their doctor 24/7 through the Internet, mobile is to empower people to shape their own lives
telephones and DiTV. This approach reduces the (e-Forum, ICT Director).
demands upon service providers enabling tangible The plan has two core components, which are
benefits to be realised by both the citizens who Digital Outreach Teams (DOTs) and a Digital
use the services and the service partners who col- Directory where personal ICT outreach and edu-
laborate to offer these new services. The online cation links with e-services that are accessible
appointments service has reduced missed doctors to all. The Digital Outreach Teams (DOTs) will
appointment by 30%, improving efficiency of doc- teach people about the potential of ICT for their
tors surgeries. Service users report that they find own lives. Local people will be coached in their
it easier to contact their GP than via the phone and homes, bingo halls, community centres, libraries,
one unexpected benefit emerged when an older post offices and new media start-up businesses
woman said that she always checks the doctors and so on. The coaching will range from novice
appointments before going to bed to be sure that to advanced in ICT knowledge and literacy. The
an appointment is available should she need one, DOTs will be made up of volunteers from commu-
which she found very reassuring (Wessels, 2008). nity programmes such as: Age Concern; National
Evaluation of service costs in 2007 shows that the Youth Volunteers; other National Initiatives, and
transaction costs are reduced by 20%. volunteers from public, private and voluntary
Building on this knowledge, the e-forum and sectors. They will receive ICT and community
e@syconnects seek to address e-inclusion and par- training as well as being security checked and
ticipation by integrating ICT in the everyday life registered with the e-forum. The teams will have
of local people, local business and local services. a clear identity and branding in the community
It seeks to facilitate a genuinely connected com- and they will support inclusion by:
munity in which every sector of society - citizens,
service providers, businesses - are personally Sustaining existing progress
empowered to improve their lives and strengthen Providing equal opportunities
their communities (e-forum member). Innovate service design and delivery
The basis for this vision is to use personalised Feedback to redesign workflow
ICT where people want it and need it most in Anticipate and plan for future challenges
the home, streets, shops and personal interaction and trends.
299
The second part of the strategy is a social ment planning and implementation has adapted
delivery model that connects with the work of various research and design methodologies into
the DOTs to provide a structural underpinning the development cycles of e-services. This proj-
for future developments by the communities ect is still at the strategic stage and has yet to be
themselves. This is based on a Digital Directory, funded but its points to the ways policy makers are
which seeks to gather feedback from people to drawing on past experience and are envisaging and
inform the improvement of services and to en- planning the further development of e-services.
able local priorities to be linked to mainstream
services. The Directory as an information source Solutions and Recommendations:
will help connect citizens with citizens and com- Partnerships and Design
munity organisations. It will provide companies Constituencies in
with listings of neighbourhood resources, and is Planning Processes
a resource to advertise existing initiatives and
to promote e-transactions. In total the strategy The interactive character of ICT and the develop-
involves DOTs who will foster and deepen coor- ment of complex networked e-services are found
dination and integration between community and in public settings, work settings, home settings and
voluntary organisations by cross selling their in personal settings. The development of e-services
expertise and educating the community about raises interesting questions regarding who should
their efforts. The Directory will underpin this be included in the design of the technology and
initiative by acting as an online knowledge base services. ICT is to some degree structuring the
for information sharing (e-forum ICT Director). ways in which people can participate in society
The e-forum envisages the DOTs and the Digital and the policy trend to include users in the shaping
Directory working together to: e-services raises questions of design methodology
and the planning process. The complexity gener-
Give everyone skills to make technology ated through networks of users and networked
integral to life technology demands a methodology that goes
Give everyone opportunity to benefit from beyond traditional requirements engineering
ICT initiatives and beyond traditional forms of action research.
Eradicate top-down, fragmented service A more sophisticated methodological approach
provision needs to be able to address multi perspectives
Ensure existing ICT initiatives are and positions of a variety of users and needs to
connected build a flexible and secure network with acces-
Create citizen centric governance ideas sible user-interfaces. To achieve this requires an
Drive service transformation through interdisciplinary and multi perspective/positional
feedback approach, which has led to the development of
Enhance develop of public service culture design constituencies within social formation
Connect neighbourhoods across the re- methodologies. Furthermore, the social learning
gion. (e-Forum, ICT Director) involved in the implementation process is feeding
into cycles of development in which planners gain
This case shows how the development of knowledge and understanding of the evolvement
partnerships for the planning and implementation of e-services.
of e-services has evolved over time. A central This approach differs from traditional user
dimension in planning e-services is the creation needs research that often involves engineers
of partnership approaches and with their develop- going into a particular environment to study us-
300
ers and their patterns of behaviour. Researchers knowledge can be achieved, which in turn allows
observe social settings to produce finely grained for more informed decision-making by the actors
descriptions of social activity and the meanings of involved in planning socio-technical change.
that activity (Randall et al. 1994). This approach
however produces a dichotomy of experts who
design and implement the technology and the users FUTURE RESEARCH DIRECTIONS
who have to adapt and learn to use the technology.
This can be difficult for some people who experi- Early developments shows that traditional user
ence problems using or accessing new services needs research could not identify user needs. They
due to the design of the technological interface also found that without building in user feedback
(Suchman, 1987). It can also lead to people having cycles into design and development processes they
to work around (Cornford and Pollock, 2003) could not maximize participation in e-services.
the technology because the design of the system With basic e-services in place partnerships started
restricts usage. Both of these consequences can to work with the ideas of participant design,
limit participation in e-services. which helped to foster participation in the design
Another research approach to change and and use of e-services. The quest for user shaped
planning change is action research, which seeks multi-agency services meant that developers
to change a set of circumstances by research in- expanded participant design into social forma-
forming strategies for change. In a benign sense, tion methodologies with design constituencies.
action research can support the efforts of those These constituencies include a range of users
who are excluded by research that identifies their and developers and using a variety of methods
needs and concerns that can inform the plan- they designed and implemented e-services. The
ning and design of services. It can also work for knowledge gained by these constituencies is fed
governments and corporate business to further into planning groups as they develop e-services
their goals and interests perhaps at the expense further. This iterative approach is evident in the
of wider populations especially if policy does not implementation of e-government. A distinctive
cover inclusion in its framework. Neither of these factor that emerged in this context is the impor-
approaches really touches on inclusive design tance of learning within cycles of planning and
by users and designers in relation to planning implementation.
processes. Part of the aim of inclusive design is Another important factor in planning e-services
that it fosters more participation in services and is that public sector e-service partnerships are
it helps to ensure that services meet the needs recognising the importance of e-inclusion in the
and aspirations of users. Participant design ad- development of information society policy. To this
dresses the concerns of inclusion by fostering end strategic planning by regional partnerships
more open and democratic design processes. is now focusing on participation and inclusion
There are however difficulties with this approach across populations within regions. In this context
especially when trying to integrate it within the planning is part of the participation and inclusion
planning of broader socio-technical change. The agenda because users and the outreach teams feed
use and development of design constituencies information into the directory that forms the user-
within e-service partnerships builds in a more driven structure for e-services. This information
flexible, context sensitive approach to socio- also feeds directly into policy-making group to
technical change and in the planning of e-services. inform further developments of e-services. In the
The constituency forms a learning agency in that social learning process within the planning pro-
greater understanding between perspectives and cess of e-services and e-government knowledge
301
is accrued and continues to be developed through Dialogue Project Report. (2002). Retrieved from
feedback mechanism instituted through the vari- http://www.beepknowledgesystem.org/Search/
ous planning partnerships, which is now being ShowCase.asp?CaseTitleID=182&CaseID=574
expanded into including regional populations.
Dittrich, Y., Eriksen, S., & Wessels, B. (2009).
From Knowledge Transfer to Situated Innovation:
cultivating spaces for co-operation in innovation
CONCLUSION
and design between academics, user-groups and
ICT providers. Karlskrona, Sweden: Blekinge
The case studies show how local government,
Institute of Technology.
public services and voluntary agencies have had
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varied and diverse which is triggering the forma- R. (1994). The ORDIT approach to organisational
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knowledge of users and their needs and how ser- Issues (pp. 87-106). London: Academic Press.
vices can foster participation. This ability to access
Dunleavy, P., Margetts, H., Bastow, S., Callaghan,
and understand users and their needs has evolved
R., & Yared, H. (2002). Progress in implementing
as e-services have become more established. In
e-Government in Britain: Supporting Evidence
conclusion e-services partnerships and forms of
participative research and development are an for the National Audit Office Report Government
important aspect in cycles of planning e-services. on the Web II. London: LSE Public Policy Group
and School of Public Policy UCL.
European Commission. (2006). The Riga Minis-
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Local Agencies: Organisations that deliver
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national public sector organisations and regional
KEY TERMS AND DEFINITIONS organisations as well as local voluntary agencies.
Participant Design: Seeks to involve users
Digital Divide: The way how access to the in design more deeply by empowering them to
Internet can add to existing inequalities, namely propose and generate design alternatives them-
due to lack of access to and lack of skills in in- selves, as co-designers.
ternet usage. Partnerships: The configuration of public
E-Government: The delivery of government sector service providers, voluntary agencies and
services using electronic means. private sector companies to develop and deliver
E-Inclusion: A term devised by the European e-services.
Union, which refers inclusive Information and
Communication Technologies and the use of ICT
to achieve wider inclusion objectives.
305
306
Chapter 16
ICTs and Participation
in Developing Cities
Alexandre Repetti
Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
Jean-Claude Bolay
Ecole polytechnique fdrale de Lausanne EPFL, Switzerland
ABSTRACT
Developing cities are experiencing substantial gaps in urban planning. They are due to approaches and
instruments that do not correspond to the realities of the developing city including the prevalence of
informal sector and slums, urban governance problem, and few resources. Information and communi-
cation technologies (ICTs) now offer enormous possibilities to use information flows, communication,
and land-use models better. ICTs offer solutions that take greater account of informal activities, enable
discussions with civil society and Internet forums to take place, etc. ICTs can enhance the planning of
developing cities, if conditions are right. The chapter provides a review of the situation in developing
cities. It analyses the challenges and potential of using ICTs to improve urban planning. Lastly, it puts
forward key conditions for the successful and relevant implementation of ICTs in order to create the best
conditions for real technological added value.
INTRODUCTION make it possible to adopt innovative e-planning ap-

proaches, strengthen communication between urban
The objective of this chapter is to discuss the stakeholders, and make communication available
potential use of information and communication at various stages of the planning process.
technologies (ICTs) in urban planning of cities At the moment, urban planning in developing
outside Europe and North America that have the cities has serious flaws and the most notable con-
highest growth rates and the most chaotic processes sequence of this failure is slums. In order to cope
of urbanisation. with urban planning in developing cities, it is crucial
New urban planning instruments are becoming that we understand the mechanisms that contribute
available with the worldwide spread of ICTs. They to these failures as well as the situation as far as
informal activities and land tenure are concerned.
DOI: 10.4018/978-1-61520-929-3.ch016 One of the reasons for this is the lack of communi-
ICTs and Participation in Developing Cities
cation and information exchange between urban Cities outside Europe and North America are
stakeholders. experiencing a population explosion. They are
In the future, it will be essential that we are known as developing cities and double in size
able to put forward innovative solutions for urban every 25 years on average and every 15 years in
planning. ICTs can play a crucial role, improving some regions (UN-Habitat, 2008). Megacities,
communication and information flow. However, such as Mumbai, Djakarta, Sao Paulo, Cairo or
ICTs will not be equal to this challenge on their Lagos are the most impressive examples of rapid
own. They must be accompanied by more ex- urban growth, but smaller cities face even higher
tensive approaches that meet the key conditions growth rates and are home to more people overall.
of tackling the challenges of urban planning in Managing this high rate of change in urban
developing cities. sprawl and demography is not only limited by a
The chapter begins with a definition of the lack of financial and human resources. Developing
concepts of developing cities and slums, which cities also have to cope with seasonal residents,
are the most obvious manifestation of planning informal market activities, a complex land-tenure
failures in developing cities. It also presents the situation, uncertain real estate conditions, corrup-
case of the city of This in Senegal, which will be tion, complex governance questions, and diverse
used as an example to illustrate the theories we socio-political practices. These realities result in
develop. The second part provides more detailed chaotic urbanization, social disparities, limited
background information. It presents the planning or dilapidated infrastructure, insufficient access
instruments that are generally used in developing to basic services, and numerous governance
cities, the failure of these instruments and the conflicts.
reasons behind this failure. The second part also
reviews some innovative approaches that deal Slums
better with slums and other informal conditions
that are a general feature of developing cities. Slums are the clearer evidence of the failures of
Part III focuses on future trends. It discusses the urban planning in developing cities. Slums are the
potential use of ICTs in developing cities and the result of various conditions including their precari-
key conditions for successful ICT implementation ous habitat, and their lack of ownership security
based on experiences conducted in West Africa and infrastructure. They are the materialization in
and Latin America. The chapter ends with our habitat of a broader phenomenon - the informal
conclusions about the potential of ICTs for urban sector. It is characterised by conditions that do not
planning in developing countries. obey administrative rules and the law, but which
are acknowledged and generally tolerated. The
co-existence of informal and formal conditions
DEFINITIONS AND CASE STUDY and habitat is the core feature of developing cities.
Slums are mainly a result of uncontrolled
Developing Cities urban sprawl. With high demographic growth,
residents and new migrants look for attractive ac-
World population was estimated at 6.7 billion on commodation. They make arrangements to settle
January 1st 2009. Three out of four people live on the outskirts of town with farmers, neighbours,
in countries with an intermediate or low Human villages or local dignitaries although these do not
Development Index (below 0.8) and every second formally own the land. They build temporary shel-
person lives in a city. ters or real houses as their own quick solutions for
307
urban integration, disregarding any building laws This, Senegal

or land allocation plan. Urban authorities often
tolerate these new slums as they are tangled up This is a regional administrative centre and the
in urban governance conflicts and cannot provide third largest city in Senegal (350,000 inhabit-
better alternatives. ants). The economy of the city is mainly based
Slums are the site of various manifestation of on industry and trade. This medium-sized city
urban poverty and marginalization, as well as a faces several classical problems of underdevelop-
population segregation by income, land owner- ment such as steep demographic growth (it had
ship, infrastructure, living standards, access to 200,000 inhabitants in 1990), a weak economy,
goods and services, criminal activity, corruption, lack of infrastructure, informal and unsanitary
environmental degradation, and financial and city settlements, poverty and environmental degrada-
management deficits. Slums are also often social tion. However, the city is a leading regional trade
melting pots and hotspots of cultural creativity. centre and boasts an important network of public
The issue of land ownership is fundamental. and private infrastructure and services.
Most house owners do not own the land on which Since the introduction of decentralization poli-
they have built their house (Durand-Lasserve & cies in Senegal (1996), urban planning has come
Royston, 2002). In certain cases, customary forms under the responsibility of local government. The
of land occupancy exist and the plot is allocated state, the regional government, local associations
to a family by the local community. On rare occa- and NGOs play a particularly important role in
sions, this solution is legally recognized. Generally various sectors of local development, some of
though, land occupancy is deliberately ignored by them with the support of multinational backers.
the authorities in favour of existing administrative, Thus land-use planning involves a wide variety
financial and regulatory procedures, often based of stakeholders. The reality of urban planning
on European legislation imposed just after the in This provides evidence of planners difficul-
colonial era (Bolay, 2006). ties of managing a fast-growing city (Repetti &
Poor citizens recognize the importance of infra- Prlaz-Droux, 2003). Some of the reasons that
structure and urban services for their wellbeing, but might explain this situation are a lack of informa-
they do not have minimum requirement to move tion and technical skills to prepare decisions as
into areas where this infrastructure is available. well as the means to implement them, a lack of
Rather, they develop an informal infrastructure knowledge and coordination between the actors,
network. They rely on their own solutions to and administrative services (technical) that are
have access to basic services at a local and often caught between the central state and the decen-
household scale. In most cases, the result is a tralized authorities and mostly limit themselves
collection of individual solutions that are either to managing their current business.
illegal or exist by informal agreement. They use In reality, the official planning instruments
the water from wells and canals, although this are hardly ever used. A set of classic planning
is not always suitable for drinking. They install instruments exists, some of them inherited from
homemade electricity networks to avoid paying the period prior to decentralization. Most do not
for the power they use and thus disregard all safety meet the needs of the various actors and have not
precautions. Roads are of poor quality and most been fully negotiated. In 1999, a participatory fo-
alleyways are only wide enough for pedestrians rum arose following a demand from the municipal
and motorcycle. authorities for an experimental project that made
use of new urban planning methods. In order to
facilitate the exchange and storage of information,
308
an ICT application has been specifically developed ing cities generally resorts to relatively classic
and made available to the main stakeholders in approaches, we will review these approaches in
urban planning (elected representatives, techni- order to understand their failures, especially the
cal services, representatives and services of the failures in communication. We will then provide
administration, one association and one NGO) an overview of innovative approaches and discuss
since summer 2000 (Repetti & Prlaz-Droux, the importance of information and communica-
2003; Repetti et al., 2006; Soutter & Repetti, tion for the implementation of new planning
2009). The participatory forum brings together models that are better adapted to the situation in
elected representatives of the City of This and developing cities.
of the suburban communities, state representa-
tives, administrative services responsible for Classic Urban Planning
local development and a couple of associations
and NGOs. The forums general objective is to Adapting the results of research by Borja & Cas-
strengthen the development of the urban area tells (1997), Sachs (1997) and ADEME (2006),
through information-sharing, consultation and we can define six main challenges to planning an
joint decision-making. urban community:
Setting out with this objective, the SMURF
instrument was integrated into the process to sup- Providing space for economic activities
port appropriation of land-use and participatory and habitat,
planning. More specifically, the SMURF instru- Building the necessary urban infrastructure,
ment aimed at improving the supply of information Ensuring social integration and an equi-
about land use, monitoring urban development and table distribution of goods, services and
supporting the exchange of information between other benefits,
the various stakeholders involved. SMURF was Ensuring environmental sustainability,
integrated into the activities of the development Improving the quality of life, and
forum, which were coordinated by the city coun- Guaranteeing good governance.
cil. The director of technical services collected
the data updates, checked them for errors and Land-use planning must face up to these chal-
presented the adjusted to the forum once or twice lenges through visionary strategies and plans that
a year. The instrument was installed on about 30 support an appropriate organization of infrastruc-
computers in the urban area at the city hall, the ture and activities on the land.
regional hall, at local and regional administrative Classic urban planning foresees a long-term
services (technical), associations and NGOs, and plan for the city in the shape of guidelines or
at a cyber caf that provided the public with access master plans. In practice, the master plan is the
to the information. result of concrete analysis of land use, activities,
economy, social conditions and environmental
issues. It is composed of guidelines, land-use
BACKGROUND regulations and a plan that specifies the limits
of the various regulation zones. The master plan
In order to understand the potential of ICTs in de- is generally completed with more detailed plans
veloping cities planning processes, it is necessary defining the guidelines, regulations and limits for
to analyse the specificities of developing cities and smaller areas (Randolph, 2004; Berke et al., 2006).
the limits of planning approaches when confronted Master plans consist of simple rules that are
with these specificities. As planning in develop- as mandatory and constant as possible on matters
309
of land allocation, precise boundaries, land-use North American cities, due to the importance of
restrictions, land-use density, etc. These rules informal realities, for which the slum is the clearer
are set by law. They simultaneously define the manifestation. The slum begins with poor people
strategic objectives and the manner of achieving and informal settlements setting up. It results in
them through the organization land. Master plans precarious shelters, lack of infrastructure and
limit the uncertainty and control the future of land disengagement of urban managers, with conse-
use, in order to create an overall urban project. quences on water supply, energy supply, waste
Classic urban planning is complemented by disposal, access to schools and health centers,
land-ownership procedures. The planning is environmental risks, etc. Finally, the outcomes
done through the land-ownership register, which are increased health problems, illiteracy and
constitutes the legal inventory of parcels of land, informal urban planning that reinforce poverty
land-ownership regimes, land owners, or usufruc- (Bolay, 2006).
tuary and land-use constraints. Land ownership Certainly, the informal conditions are wider
rules are specific to each particular context as a ranging than the simple question of shelter. It
result of local traditions, historical specificities also includes economic activities that are not
and postcolonial policies. taxed or regulated according to institutional and
Urban equipment and infrastructure are legal norms. Informal economic activity is mainly
generally planned as the logical consequence of made up of small economic channels, generated
the master planning. The biggest infrastructural by low-level traders or small-scale activities. But
projects, however, necessitate a revision of the it also includes larger, regular enterprises with
master plan, as they have a wider impact on the permanent employers (ILO, 2002). This informal
general urban project (Fritsch et al., 2008). Urban sector bypasses tax as well as social security and
equipment and infrastructure respond to the needs, environmental regulation. In developing cities,
norms, and regulations of planning. They take into the informal sector often involves more than
account land allocation and land-ownership. The half of the citys labour force; for example 51%
funding of equipment and infrastructures is shared of non-agricultural employment takes place in
between public bodies, private developers, land the informal economy in Latin America, 65% in
owners, and consumer fees, as the result of the Asia, and 72% in Sub-Saharan Africa (ILO, 2002).
application of the law, case-by-case discussions, Nevertheless, there are no obvious solutions
and funding opportunities. since legal activities are not neatly divided from
Classic urban planning approaches have been informal or illegal. In the example of This, our
tested many times. They have been validated investigations (Repetti & Prlaz-Droux, 2003;
in many European and North American cities, Tepe, 2005) show that farmers allocated land
where informal habitat and land tenure remains without any consideration for legal procedures.
marginal, even if the trend towards discriminatory However, due to an obsolete master plan, it was
and inequitable urbanization is ubiquitous in both no longer possible to allocate land following legal
rich and poor countries. procedure. Therefore, informal land allocation
was regarded positively by most state bodies.
Developing Cities, Slums, Employees of the service responsible for land-
and Informal Conditions ownership even participated in the land allocation,
albeit not in an official capacity. We encountered
The urban reality is a complex pattern of human- many similar cases in other developing cities.
environment interactions. In developing cities, this Informal land tenure and poverty have con-
pattern is even more complex than in European and sequences for all aspects of urban management.
310
Figure 1. Diagram of the complex human-environment interactions in a slum
Our analysis in This and other cities (Repetti & planning referred more to what should have been
Desthieux, 2006) shows that they are at the very done than to the actual situation.
root of informal urban conditions, as summarized This situation may lead to two opposite tenden-
in Figure 1. cies. On the one hand, the denial of the informal-
Even confronted with severe problems of ity by urban managers results in a suppressive
applicability, we observe that in practice most policy aimed at ignoring and destroying whatever
cities rely on classic planning approaches. For infrastructure or housing is created outside of-
technical, economic and ideological reasons, ficial regulations and standards. This approach
there is an apparent inability to look beyond the remains the most widespread practice, as in This
usual approaches. In the context of developing for instance. On the other hand, denial resulted
cities, most investment takes place in the formal in the adoption of alternative policies aimed at
districts of the city. Most interventions in slums reorganizing and rehabilitating slums on the basis
are targeted at urgent problems and implementing of what resident communities have undertaken
remedial solutions linked to the existing social themselves (Gaye, 1996; Mukhija, 2001).
and technical conditions. Winarso & Mattingly Local, national and international policies have
(1999) demonstrate that most developing cities steadily evolved from suppressive approaches
have a master plan, but that few are adequate and aimed at eradicating slums to an integration of the
realistic. In the case of This, the administration poor sectors of the population. Authorities offer
was always referring to the master plan, even if it support as facilitators rather than as infrastructure-
was not updated and became obsolete. The land builders. At best, this strategy has resulted in
allocation procedures got lost in the bureaucratic improved legislation, collective infrastructure and
system that could not deliver any formal authori- services. At worst, it has exacerbated corruption
zation without a new master plan. Thus all urban and forced the poor to become micro-entrepreneurs
311
responsible for their own livelihoods. However concerning owners and property rights are not
desirable some aspects of this transition may solved. Classical instruments rely on the register
be, it means that the majority of the urban poor of land ownership and land-owner requirements.
are still living in highly vulnerable conditions Their implementation generally breaks down if
(Bolay, 2006). there are not clear land-owner responsibilities.
In many countries, there is even a co-existence
The Limits of Classic Planning of two land tenure regimes: the traditional and
in Developing Cities the colonial regimes. They co-exist in different
ways in each situation, depending on local tradi-
Classic urban planning encounters limitations tion, colonial history and post-colonial policy.
in developing cities, especially where there are In This (as in most parts of Africa) for instance,
numerous slums and informal activities. land is generally an inalienable collective heri-
First, analysis of land use, activities, the tage; land management is controlled by the first
economy, social conditions and environmental cultivator, land is shared between the community
issues is problematic, especially where there members according to the needs, but it belongs to
are informal activities and land occupation. It everybody. In most African situations, a colonial
requires time, skills and a deep understanding of land-ownership based on private property replaced
the socio-economic realities of the inhabitants, the traditional regime, but the population didnt
including slum residents that are often more respond to the call to register, resulting in the
or less intentionally ignored by the authorities. superposition of two land management regimes
Therefore, master plans do not generally address and a great deal of confusion.
conditions in slums. Often it suggests a complete Land-ownership confusion and informal settle-
redevelopment of the slums, or considers the slum ments are central problems in planning. Without
as an uncertain part of the plan. Consequently, recognized land tenure, it is impossible to impose
there is a gap between the planned urban project the rules defined by the master plan. They make tax
and the realities of city-dwellers. Most cities collection tricky as slum dwellers are generally not
have an unrealistic or irrelevant master plan, an registered, avoid paying the tax and regularly do
out-of-date land-ownership register, and do not not pay for water or electricity. They make access
take account of informal realities. In reality, many to mortgages impossible; in informal conditions,
developing cities do not rely on master plans and a bank will rarely give credit without collateral, a
land-owner registers, or only partially. Many ad- private provider will rarely develop infrastructure
ministrative bodies prefer having out-of-date or without a guarantee of durability, and a public
obsolete plans rather than attempting to manage provider will rarely develop infrastructure in a
the informal setting. zone that is not formally recognized.
Attempts have been made to propose a com- Finally, observers recognize the barriers plan-
plete diagnosis for slums, and then developing ners face in managing urban development in devel-
infrastructure and land-tenure registers. Such oping countries. Latouche (2001) such as Sudhira
approaches have failed almost without exception & Ramachandra (2009) highlight the realities of
(Bolay, 2006), mostly because they do not question urban development, which brings with it social
the urban model that generates the slums and do and environmental problems, especially exclusion,
not address the slum residents needs, expectations poverty and pollution. Wright (1996) stresses that
and available resources. urban planning is conditioned by economical
Second, land-ownership registers are not often rules. He demonstrates that infrastructure plan-
up-to-date in developing cities, and many conflicts ning follows criteria such as financial feasibility,
312
ratios of cost and profit, and return on investment. The participation techniques include participa-
This urban realpolitik complicates investment in tory forums, participatory appraisal techniques
infrastructure for slums and in the informal sector, (Chambers, 1994; ICLEI, 1996), rapid diagnosis
where there is no tax collection and it is difficult (Santandreu, 2001), public GIS (Abbot et al.,
to measure the economic added value. De Graaf 1998), research-action (Ndione et al., 1993),
& Dewulf (2002) note an important difference self-development (Gaye, 1996), societal diagnosis
between the plan and the inhabitants real situation, (Noisette, 1996), and other participatory diag-
as well as gaps in the planners diagnosis. One nostics. This participation often brings results in
main reason that is invoked to explain the limits of more adapted and appropriated projects. It raises,
classical planning approaches in developing cities however, the whole question of urban governance,
or their restriction to some central districts is the of the involvement of the informal sector, and the
poor communication between decision-makers role of the different city stakeholders.
and urban residents, especially poor residents. There is also a shift in the urban planning ap-
It clearly appears that the quality of interactions proach from the master plan towards instruments
between urban decision-makers and representa- that are more adapted to complex and unobvious
tives of the various residents factions influences realities through the integration of a strategic
the quality of any urban planning process. global scheme and local planning dynamics. It
addresses urban strategic project, which corre-
Alternative Approaches sponds to flexible tools for management and com-
Leading to Success munication established at the conurbation level
(Carmona & Burgess, 2001). The strategic urban
To address the limits of classic planning ap- project is accompanied by management tools for
proaches, there have been some modifications analysis and monitoring, as well as control of the
and reactions in how situations are analysed over strategic objectives (Allen, 2001; Repetti et al.,
recent years. These alternative approaches are 2006). In practice, this approach is increasingly
generally more dynamic and often derived from used to complement the classic approach since the
economic management principles with reinforced legal base of the master plan remains mandatory.
information and communication. In addition, urban planning instruments
The urban reality is regarded as a vast and increasingly involve powerful databases and in-
complex system of human-environment interac- formation systems. To deal with the considerable
tions. In a system like this, planning must address volumes of information, there is a need for tools
heterogeneity and complexity (Vilmin, 1999). that generate an overview of the goals and an ap-
It is thus necessary to understand the variety of propriate level of synthesis (Klosterman, 2001;
socio-economic realities, needs, and expectations Geertman & Stillwell, 2003; Geertman & Stillwell,
in order to organize planning actions (Le Gals, 2009). Decision-makers and managers must be
1998; Bolay & Ciss, 2001). Furthermore, devel- able to access all the relevant data without getting
oping cities follow complex planning logics, with lost in details or puzzled by information that does
overlapping administrative, social, economic and not provide a clear picture (Repetti & Desthieux,
informal forces. In these conditions, how planning 2006; Allen, 2001; Joerin et al., 2001). Planning
is organized is the result of interactions between support systems are used in urban management
social, political, and economic stakeholders to allow more objective and rational planning.
(Repetti & Prlaz-Droux, 2003). Finally, policies have steadily evolved from
At the same time, the participation of stakehold- repressive approaches aiming at eradicating slums
ers in the planning process is being reinforced. and controlling migrants to policies that assimilate
313
slum residents. From this perspective, the state, engineers, architects, economists, social scientists,
in its role as facilitator, offers services and acts and administrators.
as a coordinator of policies and actions in the One important line of improvement of urban
urban area. This approach has often resulted in planning involves ICTs. As stated in the UN Global
improved legislation, and collective infrastructure Report on Human Settlements (Un-Habitat, 2007),
and services. However, it has also exacerbated improvement strategies related to rapid urban
corruption and led to the poor becoming micro- development can be achieved through improved
entrepreneurs who are responsible for their own access to information, with the involvement - and
livelihoods. possibly the empowerment - of slum dwellers.
Urban managers do have to develop appropri- Several authors (Bell, 1986; Boon, 1992; Camble,
ate methods to cope with slums and the informal 1994; Castells, 1996; Sturges & Neill, 1998;
sector. They must develop truly integrated urban Chapman & Slaymaker, 2002) have referred to
projects to construct roads and drainage systems, situations where information was a key condition
install collective services, regulate land-owner- for success or where the lack of information had a
ship, relocate families affected by construction negative impact on urban planning. Our experience
projects, promote crafts and other employment, in This and other cities demonstrated that com-
and support grassroots community organizations. munication is a central aspect in planning. When
They have to accept the conditions of slum resi- the dynamics of planning are lead by informal
dents who have organized themselves to cope with stakeholders rather than by official planners, the
the most pressing problems prior to the launch communication among these stakeholders is a
of rehabilitation projects, and who have built condition for a coherent urban vision to emerge
schools, paths, drains, water wells, or/and electric (Repetti & Prelaz-Droux, 2003).
networks. It also requires financial backers that
are prepared to grant credit on a different basis, ICTs in Developing Cities
accommodating poor peoples capacity to pay
loans back and the possible credit guarantees of ICTs are instruments and technologies that have
the informal sector. This is the kind of logic that been developed through the combination of tele-
is essential for sustainable urban improvement in communication, computer sciences and audiovi-
developing cities. sual applications. They are unequally distributed
around the world and this creates an imbalance
in access to information, to technology, and to
FUTURE RESEARCH DIRECTIONS infrastructure.
The cell phone is certainly the most successful
Planning in developing cities is clearly multi- application of ICTs in developing cities. Due to the
faceted, multi-dimensional, and touches on funda- lack of landline telephone infrastructure, mobile
mental governance questions. The right response phones represent a good alternative. According
involves a variety of approaches that include a to the International Telecommunication Union
range of aspects, with a reinforced communica- (ITU), the number of mobile phone subscriptions
tion that associates the representatives of all urban in Africa rose from 15 to 274 million between
residents, and at different scales: intra-urban, 2000 and 2007, passing from 1.9 to 28.4 mobile
peri-urban, regional. It must include coordinated phone subscriptions per 100 inhabitants. In 2007,
contribution by specific public, private and com- Asia had 37.6 mobile phone subscriptions per 100
munity-based stakeholders, taking account of the inhabitants and Latin America 66.7. According to
expertise of professional groups such as planners, the GSM Association, networks in Africa covered
314
10% of the population in 2000 and 60% in 2007. Thus, the question is not to decide if ICTs are
In addition, users in developing countries have good, but rather how to make optimum use of
invented a variety of ways to share cell phones ICTs in a given context.
among several users. For instance, 97% of all ICTs are powerful tools that are efficient when
Tanzanians say they can access a mobile phone, they are used well. In this way, appropriate ICT
whereas there are only 20.6 subscriptions for 100 applications have been developed in the fields of
inhabitants. health or education to reduce poverty. ICTs can
Internet has had greater difficulty establishing have a positive impact on spreading democracy
itself in developing cities. In 2007, 5.5% of the and on economic development. But more than
African population was Internet users, 14.4% anything, the objectives of ICTs resemble the
in Asia and 26.1% in Latin America, while this objectives of the media - to allow access to infor-
reached 70% to 80% in Western Europe and the mation, to generate knowledge, and to promote
US. In 2007, Senegal reported one computer, 0.3 mass communication. Used well, ICTs are an
Internet connections and 6.6 Internet users per 100 excellent tool to support knowledge acquisition,
inhabitants. The imbalance is significant between analysis, decision-making and social discussion.
rich and poor, between literate and illiterate, and Like any communication tool, ICTs are double-
between cities and rural villages. edged and can have severe social repercussions
Facts and figures highlight the spread of ICTs, when access is withheld (exclusion and isolation),
but also the gap between rich and poor countries in other words, they are sometimes unexpected
and neighbourhoods. and not always positive.
With the success of cell phones, Internet and
other ICTs, we could assume that developing cities What Role for ICTs in
have the opportunity to adapt the technology to Developing Cities Planning?
their specific needs, to propose new technologic
components and new Internet or GSM applica- We have demonstrated that the sharing of infor-
tions. However, the reality appears somewhat mation among decision-makers and stakeholders
different. Developing cities almost only use is a key factor in increasing the efficiency of
standard technology and make products under developing cities management. ICTs today are
patents registered in industrial countries. powerful tools that can potentially improve data
Developing cities are currently facing enor- storage, structuring, consultation and publication.
mous challenges including an explosion of their Geographic information systems (GIS) and plan-
population, limited resources, poverty, and gov- ning support systems (PSS) have confirmed their
ernance problems. In such conditions, ICTs are potential to support and improve urban planning
extremely promising, but must take account of the processes. New instruments are available for
specific difficulties if they are to be implemented planning such as agent-based modelling (An et
with success and add value. al., 2005), Google maps (Gibin et al., 2009), new
The worldwide information society is a reality GIS modules, GSM applications, and many others.
that cannot be ignored. It is accompanied by a dy- Yet, there are still too few ICT success stories in
namic and growing telecommunication economy. the planning of developing cities.
Furthermore, the appropriation and impact of One challenge is to adapt technology to a par-
ICTs are largely determined by the specific social ticular context. ICT applications must be adapted
and political context. As information control is a to the specific nature of dealing with the informal
form of power, it inevitably interferes with the sector such as a lower level of IT infrastructure
expected results of ICT development projects. and skills, the difficulty experts, decision-makers
315
and social representatives have in handling the a particular city and other factors, the set of data
instruments, and the need for them to be part of an must be well-balanced and adapted to the needs.
integrated approach to urban planning. According The second role for ICTs consists of monitoring
to Klosterman (2001) and Geertman & Stillwell urban development and controlling the planning
(2003), support systems for urban planning are scenarios. Urban planning in developing cities
on the whole not fulfilling the expectations of is an open and dynamic process, influenced by
planners and managers and are still underused, numerous internal and external constraints and by
especially in developing cities. uncertainty. ICTs can analyze and monitor urban
One other challenge is to reinforce the link be- development through urban indicators, strategic
tween technology and planning needs. Chambers objectives, and comparison with other cities. It can
(1997) raised the concern that contents are often evaluate planning scenarios or planning measures
secondary in information-based development proj- to check that the developments fulfil the objectives
ects since priority is given to the technology and and expectations. For example, indicators for the
information infrastructure. Moreover, information effectiveness of planning prove the value of the
is often introduced only into institutional environ- urban planning assessment in Bangalore (Sudhira
ments, which favours politically or individually & Ramachandra, 2009).
driven decisions instead of decisions based on The third role for ICTs is linked to models.
diagnosis and facts (Heek, 2003). Models are used to support planning in many
If these challenges can be overcome, experience sectors of urban development such as mobility,
shows that the provision of adequate information water management, habitat, pollution, etc. ICTs
and information-handling capacities contribute to have enormous potential to produce the required
more informed decision-making and can enhance data and run the models. For example, integrated
local communities involvement in planning. land-use and transport modelling for Caracas (Ven-
Castells (1996) proposes that good management ezuela) highlighted the impact of various planning
of metropolitan areas in the information age will scenarios on traffic flows (De la Barra, 2001).
depend on the capacity for overall management The fourth role for ICTs lies in exchanges
and coordination. Borja & Castells (1997), as between urban planning stakeholders. This role
well as Berghll & Koncitz (1997) demonstrate is special in developing cities because there are
the effectiveness of new combinations of greater many stakeholders - both formal and informal
information, new instruments, and participation. - carrying out urban development actions. ICT-
Such instruments can help to overcome problems, based information exchange must reach the many
improve the allocation of resources, and mitigate stakeholders involved in planning affairs and
some of the negative impacts of poorly managed support their participation. This type of informa-
developing cities. tion forum is able to ensure that comprehensive
The first role for ICTs in planning consists information is available. Furthermore, it can
of supporting data storage as well as spatial or support the exchange of ideas, constraints and
statistical treatment (Klosterman, 2001; Geert- needs, thereby developing a common ideal that
man & Stillwell, 2003). The design of the data binds stakeholders together.
to be stored is crucial. Too much data leads to The fifth role consists of providing the public
information overload and reduces the readabil- with information.
ity of the system. But a lack of vital data limits Information about the project and opportuni-
ICTs potential contribution to decision-making ties to influence the project design are the starting
and diagnosis. Depending of the objectives, the points for genuine stakeholder involvement. How-
planning priorities, strengths and weaknesses of ever, their support for the project will ultimately
316
be a question of costs and benefits, the degree and poor education coverage (education index
of involvement in the project planning process, 20%) when comparing with other cities with simi-
whether they are considered as social partners, lar UN-Habitat indexes and indicators. Further,
and overall urban governance. Regarding the GIS analysis that collated school statistics with
involvement of urban citizen, we can refer to demography showed that some schools had to
Turner (1976) and state once more that the par- accommodate more than 80 pupils per classroom
ticipatory process is important because citizens whereas other schools in other districts had less
can control the decisions, contribute to the design than 40. By providing such information, ICTs can
and administration of their city and will be more play a crucial role in identifying strategic projects
likely to accept conditions that come about as a and evaluating their potential benefits.
result of their decisions. The importance of the The use of the instrument in This led to
project is not what it delivers in material terms, improved knowledge and better coordination
but its overall impact on citizens lives. between decision-makers and stakeholders.
Participation is used as a way of gathering data,
ICTs in Practice which is made possible as long as users perceive
the added value of using and maintaining the
Our experience in This illustrates the positive proposed technology. The field studies show that
role that ICTs can play in the planning processes even if all projects and scenarios are not included
of a developing city. The SMURF instrument in the technologic instrument for evaluation, each
(Repetti et al., 2006) has been developed for the decision-maker and stakeholder will take the com-
needs of managers of medium-sized African cities mon diagnosis and strategies into account during
and follows a complete methodological approach his own particular planning process.
(diagnosis, instrument development, instrument In contrast to existing projects in this field,
evaluation, and impact assessment). The instru- the proposed approach is focusing on building
ment does not automatically try to identify the consensual information and strategic objectives
best planning scenario, but aims to reinforce the rather than on evaluating scenarios. In our ex-
stakeholders and their interrelationships through periments, participation is used to constitute a
various supplementary sub-objectives, e.g. im- knowledge base that supports decision-making
proving knowledge of land and development and consensus building. The process results in a
projects, serving as a data-exchange platform, better level of knowledge for all participants and
instrumentalizing participatory and collaborative in a strong consensus around the diagnosis of
structures through cartographic support, moni- the actual situation and the strategic objectives
toring changes in land-use using indicators, and of local development. The role of the forum is
informing and consulting the public. The instru- central as some information cannot be shared
ment does not try to revolutionize the stakeholder through a database.
system by dogmatically imposing participation. We overcame the technology challenges by
It aims to get public authorities, land technicians, means of an ICT application that had been specifi-
business representatives, and citizens rights cally developed for a developing city. The instru-
defenders to coordinate their actions as much as ments had a positive impact on planning capacities
possible through a formalized space for exchange. such as the elaboration of a strategic plan and the
For example, the comparison of the city of exchange of information between stakeholders.
This with other West African cities (Repetti & The This experience clearly demonstrates the
Desthieux, 2006) revealed that This had high potential of ICTs to contribute to the sharing of
health infrastructure coverage (health index 70%) information about land-use.
317
This is one experiment among many oth- pre-payment, tax collection or the charge for a
ers that tries to develop up-to-date technologies given service.
for urban planning. It demonstrated that ICTs There are still very few ICT applications in
have enormous potential to support planning in developing cities that help to involve the local
developing cities, but also that the challenge of population or other social representatives in a
planning in developing cities goes beyond simply project process; this is due to limited ICT access,
developing powerful technologies. illiteracy, cost and other issues. Participatory GIS
or planning support systems are often far too dif-
A Global Negotiation That ficult for people to access and are thus reserved
Includes the Informal Sector for experts. Many cities have elaborate websites
that provide no space for constructive debate
As has been described above, developing cities about urban affairs. Still, ICTs are potentially an
face many challenges including a high number of appropriate medium to organize the participatory
seasonal inhabitants, slums, informal activities, presentation of a project or a debate with local
complex land-tenure systems, real-estate specula- people or their representatives.
tion, corruption, complex governance regimes, and
various socio-political legacies. Too many projects Designing Specific ICT Applications
have failed because they did not take sufficient for Developing Cities
account of these complex formal and informal
processes. Thus, it is essential to accompany the Enabling ICTs in developing cities must overcome
technological side of projects with an integrated limited infrastructure, incomplete data about the
approach that will help representatives of all inter- informal sector, limited resources, and consider-
est groups to take part in the discussion. able disparities in education. In such conditions,
The integrated approach aims at including instruments that were initially designed for Eu-
marginalized social groups in city planning ropean or US cities are not always transferable.
through representation. It also aims to gain a better In developing cities, ICT applications must
understanding of social realities in the city and primarily overcome a lack of infrastructure and
thereby contribute to the projects objectives and data. The largest cities generally provide high
feasibility. One symptomatic example is when speed Internet access for the administration and
scientific experts were asked to implement a political authorities, but smaller cities may not
presidential decision to supply subsidized housing have any connection or only a slow analogue
for the poorest urban residents in Bolivia (Bolay, one. A demand for Internet access has led to the
1998). The conclusion was that it was necessary spread of private connections and cyber cafs,
to find financial backers who would be ready to even in slum areas. Today, the quality of services,
supply credit on a different basis by adapting computer skills, level of literacy and income is
loans to residents ability to repay them and to correlated to social segregation; most cities still
how quickly they would be able to complete have a digital divide between their richest and
the construction work. This required a complete poorest areas.
change in perspective. ICT use must also cope with uneven data
This approach also includes organizing the quality. Good quality data may be available for
participation and representation of the various some districts or sectors, whereas for others
social groups, and formalizing this process in no information is available. The information is
the form of a contract. It then involves negoti- often out-of-date or only partially accurate. In
ating the project conditions in detail including slums and in the informal sector, civil society,
318
NGOs and associations often take over from the and unequal urban development in general. Po-
administration, but their data is not centralized. litical authorities must tackle the problem and
Additionally, some data reflects informal situa- put forward long-term strategies. This includes
tions and cannot be combined with other official mobilizing all stakeholders, especially the slum
data. For example, in This (Senegal), land plots dwellers and their representatives.
were allocated by night with the silent agree- Secondly, there is a need for a change in admin-
ment of all parties including the administration, istrative practice. Instead of expecting inhabitants
but this was not entered in the land-ownership to adapt to inappropriate bureaucratic practices
register, nor did it give rise to a formal title deed. that encourage social exclusion and corruption,
ICTs must cope with this type of conditions and alternatives must propose new approaches that
therefore mesa-information is essential. Technol- are appropriate to the situation.
ogy will have to cope with stakeholders who do Thirdly, the growing informal sector should be
not have transparent information. ICT applica- redesigned so that it is a driving force for devel-
tions must also adapt to their users. Authorities opment that is both socially and environmentally
and social representatives generally dont have beneficial. This requires structural economic
any computing or specific planning skills. This change so that these activities can be controlled
means that specific visualization and monitoring and regulated.
tools must be developed. Fourthly, the credit and mortgage system is an
essential factor in the production of slums. There
Access and Training is therefore a need for alternative forms of credit
that are socially and financially appropriate.
Finally, the success of ICTs depends on accessi-
bility. Infrastructure development is a priority for
the International Telecommunication Union and CONCLUSION
private companies. It includes basic infrastructure,
connection quality, data flows, and accessibility. There is great potential to make ICTs available
With constant improvements in infrastructure, that can be used in urban planning and they are
education and training become increasingly impor- now spreading quickly. In the particular context
tant factor to ensure that people in developing cities of developing cities, which are experiencing a
can make the best of being digitally connected. major crisis, powerful ICTs offer a real oppor-
There are many public and private initiatives tunity to develop new planning approaches that
that promote better access and training. There are adapted to the complexity and constraints of
is still a demand for applications and initiatives such situations. The potential of ICTs depends
that will incite poor urban dwellers to access the primarily on knowledge support, by proposing
Internet. relevant information on land use and activities.
It also involves communication interfaces that
Beyond ICTs allow a shared system of information, the develop-
ment of a common spatial language, and for this
From a critical perspective, ICTs will not solve information to be shared between stakeholders.
all the problems of planning in developing cities It then moves on to support systems for plan-
on their own. It is therefore essential to make ning and decision-making that includes specific
progress on other fronts at the same time. information-processing modules to make analysis
Firstly, there is an urgent need to develop easier. Finally, it requires new exchange spaces,
concerted policies aimed at combating slums real and virtual, to encourage the exchange of
319
information between urban stakeholders, decision- An, L., Lindsernman, M., Qi, J., Shortridge, A., &
makers and the users of a citys facilities, no matter Lui, J. (2005). Exploring complexity in a human-
if the stakeholders are implied through political, environment system: an agent based spatial model
technical, economic or associative functions. for multidisciplinary and multiscale integration. An-
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attractive for everyone. The number of Internet 5479. doi:10.1111/j.1467-8306.2005.00450.x
users in developing countries increased tenfold
Bell, S. (1986). Information systems planning
over the last five years and almost every city in
and operation in less developed countries, part
the world has cell phone coverage. This boom
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problem. The effectiveness of technological instru-
doi:10.1177/016555158601200503
ments, however powerful they may be, remains
dependent on how well they are used. Despite Berghll, E., & Koncitz, J. (1997). Urbanisation
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1314. ADDITIONAL READING
Soutter, M., & Repetti, A. (2009). Land Manage- Borja, J., & Castells, M. (1997). Local and global:
ment with the SMURF Planning Support System. management of cities in the information age.
In Geertman, S., & Stillwell, J. (Eds.), Planning London: Earthscan.
support systems best practices and new methods
(pp. 369388). London: Springer. doi:10.1007/978- Brail, R. K., & Klosterman, R. E. (2001). Plan-
1-4020-8952-7_18 ning support systems. Redlands, CA: ESRI Press.
322
Castells, M. (1996). The rise of the network society. Informality: Organization and administration
Oxford, UK: Blackwell Publishers. mode that do not follow the administrative rules
and the law, but that is generally recognized and
Geertman, S., & Stillwell, J. (2003). Planning
tolerated.
support systems in practice. London: Springer.
Slums: Poor neighborhoods in developing
Geertman, S., & Stillwell, J. (2009). Planning cities characterized by precarious habitat, lack
support systems best practices and new methods. of ownership security and lack of infrastructure.
London: Springer. Urban Governance: Systemic interrelations
resulting from the balance in power and liability
between the city authorities, the central govern-
ment, the local stakeholders and other governmen-
tal or non-governmental stakeholders, and their
capacity to effectively manage the urban affairs
Classic Urban Planning: Urban planning
with recourse to participatory mechanisms.
based on a master plan composed of guidelines,
land-use regulations and a plan that specifies the
limits of the various regulation zones.
Developing Cities: Cities outside of Europe
and North America, where the growth rate is the
highest and the urbanization the most chaotic.
323
324
Chapter 17
Public Participation in
E-Government:
Some Questions about Social
Inclusion in the Singapore Model
Scott Baum
Griffith University, Australia
Arun Mahizhnan
National University of Singapore, Singapore
ABSTRACT
Singapores E-government model is considered to be among the best in the world. Over the past decade
the Singapore government has constantly developed and re-developed its on-line presence. International
comparisons have consistently rated Singapore as one of the most advanced E-government nations.
However, despite significant progress towards full E-government maturity, some issues of full public
participation remain. It is these issues which this chapter discusses. In particular, it will consider the
ways in which a digital divide within the Singapore model has emerged, despite specific policies to ad-
dress such a problem.
INTRODUCTION ciency, proper accountability and public trust, and

a renewed focus on delivering better service and
A trend towards reforming the public sector has results. (United Nations 2008, p. xii).
emerged in many countries in recent years spurred,
primarily by the aspirations of citizens around the Technology is energizing grassroots politics of all
world, who are placing new demands on govern- stripes: call it powering up. (Alex Perry 2001).
ments. The success of government leaders is in-
creasingly being measured by the benefits they are The powering up of grassroots organizations
creating for their constituents, namely, the private and local citizenry has been an enduring though
sector, citizens and communities. These clients not always an intended aspect of what is called the
of government demand top performance and effi- ICT revolution. Where once politics at all levels was
about merely electing officials and leaving it to them
DOI: 10.4018/978-1-61520-929-3.ch017
Public Participation in E-Government
to do what is best for the country until the next 2001, Bains, 2002, Van Der Meer and Van Winden
election, the contemporary political landscape in 2003, Jho 2005).
many countries is now a two-way street whereby From a social inclusion paradigm, it is ques-
communication and consultation between the tions of accessibility that are of most importance.
electorate and the elected is an ongoing process. Accessibility issues relate not only to the degree
The ability of local citizens to provide feedback to which the required hardware is available across
to those who are elected to lead and to deal with society, but also the extent to which potential users
government bureaucracy in more efficient ways have the capability to access and understand online
is now greater than before. The revolution that is content and services. This relates to the widely
leading to this transformation of government sys- discussed digital divide and has serious implica-
tems is electronic government or E-government. tions if only certain groups in society are able to
E-government refers to the use of ICTs such access online services and information (Silcock
as the internet and mobile phone as a platform for 2001). Interest in the digital divide grew in promi-
exchanging information, providing services and nence during the mid-1990s and today it remains
transacting with citizens, businesses, and other an important component of public policy debate
arms of government. The more common type of and encompasses a range of social, economic and
E-government model focuses on providing easy political factors (Helbig et al. 2009, Warschauer
access to citizen centered services and generating 2003). Often discussion about the digital divide
efficiencies in government administration. How- concentrates on the interaction between individu-
ever, it is widely acknowledged that a mature and als, technology and society and tends to present on
robust E-government is not simply technologizing a technological determinist argument. From this
the business of government. Rather it is about point of view the argument is that once on-line
government harnessing IT to redefine its social there is no gap and that everyone can utilize the
technologies in order to remain relevant in a more internet and benefit from the information society.
participative, more interactive and more informa- In terms of broad social inclusion goals it is a
tional era (Allen et al. 2001, 94). Moreover, as broader multi-dimensional view of the digital
noted by advocates of E-government, developing divide that is needed. This broader focus looks
a successful E-government sector is associated at not only the technological questions but also
with a range of beneficial outcomes including questions the extent to which everyone can utilize
the potential to foster strong and robust political E-government content once on-line (DiMaggio
debate, enhanced civil society and strengthened and Hargittai 2001)
relations between citizens and those who govern For a start, the provision of a basic level of
(Martin and Byrne 2003). telecommunications infrastructure is an important
Following the increasing roll-out of E-gov- step in the E-government process as inadequate
ernment programs there has been a commensu- provision may well hinder the widespread adop-
rate increase in academic debate and research tion of E-government services (Graham 1998,
focusing on a range of aspects of E-government. Healey and Baker Consultants 2001). The success
While those on the supply side have focused on of E-government will also depend significantly
issues of the supposed cost savings, increased ef- on the extent to which online content is usable,
ficiency and improved public face of government relevant and up-to-date. Potential users will be
the focus of those dealing with the emergence turned away if online content does not meet their
of E-government from the consumers point of needs and if information is frequently out of date.
view have tended to focus on the impacts across Without wide acceptance and usage by the public,
a range of social areas (Abbott 2001, Silcock the potential for a growing digital divide within
325
the citizenry is high. Furthermore, in addition to (NCB) in 1981 to spearhead Singapores entry
access to hardware and infrastructure, if a broader into the Information Age. NCBs stated mission
concept of the digital divide is considered, then was to drive Singapore to excel in the information
a complex collection of factors need to be ac- age by exploiting IT extensively to enhance our
counted for (Warschauer 2003). Social inclusion economic competitiveness and quality of life.
is one such factor. Thus began a series of transformational initiatives
It is within the context of understanding the that collectively could be called an ICT revolution
social inclusion issues surrounding E-government in Singapore. Among these visionary blueprints for
that this chapter is set. It aims to make a contri- ICT development, special attention was directed
bution to the growing literature dealing with the at the governments own transformation into E-
development of E-government and its broad social government. This chapter examines those specific
implications by considering the development of initiatives that pertain to the development of the
E-government in the Republic of Singapore. In E-government in Singapore.
what follows the chapter first considers the broader The computerization of the government was
development of an E-government presence in the at first introduced in stages and in limited arenas.
Singapore context and the extent to which local This was in a way part of the start small, ramp
citizens are accessing E-government content. The up fast philosophy of the government in initiat-
chapter then examines the issue of social inclu- ing new and unfamiliar technologies. However,
sion and the Singapore model before considering once a certain level of confidence and competence
future trends and conclusions. was reached, the government accelerated its in-
novations on a wide scale. The first such whole
of government approach was taken with the
BACKGROUND introduction of the E-government Action Plan 1
(eGAP1) in 2000.
E-Government in Singapore: eGAP1 identified three critical and funda-
The Genesis of a Revolution mental relationships as its target: Government to
Citizens; Government to Business; and Govern-
On a global scale, Singapore is among the leaders ment to Employee. Based on these relationships,
in the adoption of information and communica- the government set out five strategic thrusts:
tions technologies and ICTs have now become
an integral part of most facets of daily life in the Reinventing government through continu-
country. The E-government project undertaken by ous rethinking of all aspects of government
Singapore could be seen as the leading edge of an to explore the nature and quality of gov-
ICT revolution that has been sweeping across the ernment interactions with its citizens, busi-
country. Unlike many other governments which nesses and employees.
tend to react to changes in the operating environ- Delivering integrated electronic services
ment, the Singapore government typically initiates centered on customers needs.
changes from within, as a preemptive measure Being proactive and responsive by adopt-
to prepare for the future. The E-government ing a sense and respond approach.
initiatives are clearly in this category of forward Using ICT to build new capabilities and
planning measures. capacities for achieving quantum leaps in
Long before the term E-governmentcame into service delivery.
common usage, the Singapore government had set Innovating with ICT by embracing enter-
up a special body the National Computer Board prise and experimentation.
326
It is interesting to note that these statements e-services (improving the quality of e-services);
by a government includes words and phrases that increase the citizens mindshare in e-engagement
are uncharacteristic of bureaucracies: the notion (improve online information and encourage
of a customer instead of a member of the public; greater participation); enhancing capacity and
sense and respond instead of waiting for persistent synergy in government (improve the internal
and categorical requests; quantum leaps instead running of the bureaucracy); and enhancing na-
of step by step; and experimentation instead of tional competitive advantage (transform industry
certainty of outcome. The lexicon of Singapores sectors and foster a pro-business environment)
E-government already suggested a sea change in (iGOV2010 Project Steering Committee 2006).
the bureaucracys way of thinking. The effect of Among other things iGOV2010 aims to move
this mindset change was felt in the implementa- towards full E-government maturity whereby
tion of the plan. agencies act as seamless entities, information is
Two examples illustrate how far the govern- shared and citizens are increasingly active in the
ment has succeeded in bringing citizens into its business of government.
e-fold. Singaporeans can now interact online
with the Government 24 hours a day, seven days E-Government for Citizens
a week. The eCitizen Portal, www.ecitizen.gov.
sg, provides a single access point to government While the Singapore E-government project
information and services. An indication of the involves portals for business (Government-to-
reception to this new service is that hit rates for Business or G2B) and internal portals for the
this portal increased from 240,000 per month in bureaucracy (Government-to-Employees or G2E),
2001 to 24 million hits per month in 2004. All it is the citizen portal which is most important
Singapore residents above 15 are eligible for the for the issue of social inclusion. An underlying
Singapore Personal Access (SingPass). It is a focus of Singapores E-government framework
nation-wide personal authentication system for is the acknowledgment of interactions that exist
accessing government for e-services. between the government and citizens and the po-
With the successful completion of eGAPI, tential for these to be improved and streamlined
the government launched its second plan in 2003 under a well developed E-government. In short,
(eGAPII) with the objective of achieving three the government recognizes the need to make the
higher level goals: Delighted Customers, Con- business of government more citizen-centric. It
nected Citizens and Networked Government. is ironic that in many cases politicians who are
Again, the emphasis on getting citizens to use elected and bureaucrats who are paid to serve
e-services more widely and more easily and to the people often end up as civil masters instead
engage citizens in consultation on government of being civil servants. They place their own ad-
matters indicates a strong desire towards social ministrative convenience above citizens needs.
inclusion. But the concept of citizens as paying customers,
In the wake of eGAPII, the Singapore govern- much as in the business world, tries to balance
ment released its third and most ambitious plan this relationship in favor of the citizen.
yet the iGov2010. This 5-year plan, stretching In its attempt to cater to the wide-ranging
between 2006 and 2010, is the most crucial in needs of the citizen, the Singapore Government
moving towards a fully integrated model of E- has taken the approach of delineating key domains
government. As with previous strategic plans, of the ordinary citizens life and building informa-
the iGOV2010 plan aims to fulfill several goals tion and service clusters for them. The eCitizen
including: increasing the reach and richness of portal provides one-stop online information and
327
Figure 1. Singapore e-citizen web portal (Source: www.ecitizen.gov.sg)
services that are intuitively grouped along those facilities and download government publications
domains. The eCitizen Centre is currently home through the online portal. Using mobile technol-
to a significant array of services and the further ogy, citizens can check traffic conditions, pay
development of mobile technology has meant traffic related payments such as fines, receive
that E-government services can now be accessed notification of statistical releases and receive in-
using handheld devices, thereby significantly information on health and well-being. In addition,
creasing accessibility. The services available are for those unfamiliar with the new technologies, the
categorized into 7 towns which cater for various e-citizen portal provides assistance to use online
aspects of social and economic life: services through links to citizen-connect centers
and e-citizen helper outlets. Users are also encour-
Culture, recreation and sports; aged to personalize their e-citizen experience by
Defence and security; configuring their personal homepage with alerts
Education, learning and employment; regarding payments and renewals.
Family and community development; In its effort to engage its citizens and enable
Health and environment; them to interact actively, the Singapore govern-
Housing; and ment has opened up the Internet as one of the
Transport ad travel (see figure 1). channels available for public feedback. The E-
government Action Plan II itself is the result of
Citizens can pay taxes and fines, apply for a consultative process involving both members
licenses, obtain information relating to community of the public as well as the business community.
328
The Feedback Unit, the traditional channel for the the portals for Cut Red Tape and Cut Waste
general public, now offers an online portal http:// Panel. The Singapore government introduced
www.reach.gov.sg for the citizens to give their these two initiatives as part of its effort to gather
views on national policies. REACH stands for public feedback on cost-cutting measures and
reaching everyone for active citizenry@ home, improving competitiveness. The Cut Red Tape
a rather labored acronym but in its short form does program aims to streamline bureaucratic regula-
covey the intent of the government to reach out tions in three areas: Life as a citizen, Working as
to its citizens instead of just waiting for feedback a public officer and Doing business. Similarly,
from it s citizens. It was set up in 2006 as part of the Cut Waste Panel has been formed to improve
the restructuring plans to move the Feedback Unit on the governments delivery of public services
beyond gathering public feedback, and to become in its drive to ease fiscal pressures.
the lead agency for engaging and connecting with
citizens. Within the government consultation Getting On-Board the E-Society
portal, citizens can comment on discussion papers
posted by government departments, take part in As mentioned earlier, the availability of hardware
e-polls, join in discussion forums and engage with is one of the first issues in terms of the social in-
feed back groups. The initiation of m-gov (mobile clusion, E-government debate. Very early on the
government) as part of iGOV2010 has also meant Singapore government recognized the importance
that citizens can make use of mobile technology of ensuring wide spread availability and take up
and send SMS (short message service) contain- of computer and internet technologies. Computer
ing feedback to dedicated feedback numbers. ownership has risen significantly with almost 80
Two other initiatives with a specific focus that percent of households owning a computer in 2007,
are increasingly used by the general public are up from 60 percent in 2000. Of this 80 percent,
Figure 2. Access to a computer at home, 2000 to 2007 (Source: Infocomm Development Authority, in-
focomm usage surveys, various years)
329
almost half had two or more computers, a signifi- Infocomm Infrastructure, Services and Technol-
cant change from 2000 when only approximately ogy Development Sub-Committee 2006).
15 percent had two or more computers (figure 2). This constant infrastructure investment has
These are even more significant when earlier data paid off with Singapore being ranked highly in
is also considered. Figures for 1988, (the earliest the World Economic Forums Global Information
year data is available) suggest that only 11 percent Technology Report (Dutta et al. 2006), which
of households had a personal computer, with this considers the extent of a countrys readiness and
percentage doubling by 1992 and doubling again usage of infocomm in business, government and
(40 percent) in 1997 (Singapore Department of society. The percentage of households with Inter-
Statistics 1997). net access (broadband and dial-up) has increased
While hardware is important, the supply of from 50 percent in 2000 to almost 75 percent in
and access to telecommunications infrastructure 2007 (IDA 2007), while the rate of broad band
is also a critical factor. Within its goals of creating penetration (the number of broadband subscrip-
an intelligent nation, the Singapore governments tions divided by the number of households) has
infocomm strategy has continually invested in increased at a faster rate. Figure 3 shows that
crucial infrastructure through a range of related penetration has raised from 33 percent in 2003 to
programs. Key foci have been the widespread 77 percent just four years later in 2007.
computerization of civil service, programs that The mere availability of hardware and infra-
have established electronic data interchanges and structure, however, do not necessarily lead to active
the establishment of Singapore ONE, the worlds engagement by the citizen. Though Singaporeans
first nationwide broadband infrastructure (iN2015 have proven themselves to be very active on the
Figure 3. Household Broadband Penetration, 2003 to 2007 (Source: Infocomm Development Authority,
Statistics on telecom services, various years)
330
net, E-government related activities represent known as the Socially Inclusive Governance
relatively small proportions of internet activity. Framework (United Nations 2005), there is recog-
According to the governments own survey in nition that a fully mature E-government presence
2007 and 2008, only 12 percent of internet users requires a multi-pronged approach to promoting
accessed information from government organiza- meaningful ICT-led access, with a particular focus
tions (Table 1); 10 percent made online payments to on promoting access to marginal groups. Silcock
government (IDA 2008) and 7 percent completed (2001, 101) identifies some of these issues when
and lodged forms (IDA 2008). However, despite she asserts that the extent to which E-government
this small take-up of online government resources, will make a difference and add value will de-
those who do access government online content pend on three factors: strong leadership, to ensure
are largely satisfied. E-government perception that the public sector workforce is ready to meet
surveys found that of a sample of on-line users, the challenges ahead; management of the digital
a large proportion (86 percent) were satisfied or divide, to ensure that already excluded groups
extremely satisfied with the quality of government do not become further disadvantaged; and well
on-line services (IDA 2007). managed innovation (emphasis added).
The digital divide that does exist between
Being Off-Line: The Digital those able and unable to access online services
Divide and Singapores has the potential to limit the effectiveness of E-
E-Government Revolution government plans. Put simply, the information
poor are unlikely to be able to successfully access
While being on-line and accessing services government services online even if they wanted
appear, in the Singapore context, to be having to. Furthermore, it is ironic that those citizens
varying degrees of success, the most important most likely to benefit from access to government
social question around successful E-government information and services may not be able to. Across
relates to the issue of the digital divide. A move to the world, novel programs have been developed
a mature fully integrated E-government requires to try to overcome this growing digital divide.
more than simply an online presence. Importantly, However, its existence will remain a barrier to
it requires a high level of citizen integration into developing the full potential of the E-government
E-government processes. In what has become sector. Within Singapore, programs have included
providing public access to information technology
through community centers and libraries, an almost
Table 1. Main internet activity, 2007
free PC scheme for poor families and equipping
Internet activity 2007 the populace with basic IT literacy.
1 Sending receiving emails 69%
Despite the programs to aid all Singaporeans
2 General web browsing 35%
to get online, there will remain some potential
3 Instant messaging 22%
users who will be unable or unwilling to access
online resources, thereby potentially limiting
4 Getting information about goods and services 21%
the reach of policy. A review of responses to the
5 Checking account information 20%
annual household infocomm usage survey con-
6 Bill paying 15%
ducted by the Infocomm Development Author-
7 Education or training activities (e-learning) 15%
ity of Singapore provides an indication of those
8 Downloading music 15%
who are most likely to be out of reach. Table 2
9 Transfer funds between accounts 13%
provides the most important reasons for not hav-
10 Getting information from govt websites 12%
ing access to a computer at home, while table 3
331
presents reasons for lack of internet access. In E-government perception surveys suggested that
2007 approximately 26 percent of Singaporean the typical profile of users was young (20 to 39
households did not have access to a computer at years) and typically white-collar workers. Those
home. The majority of these stated that the main not using e-services tend to be 50 or older, likely
reason they did not have a computer was that they to be blue-collar workers, housewives and retir-
had no need. Significant markers of the digital ees (IDA 2006, 2007). Among the reasons given
divide cost, lack of skills and age were also for not using e-services, the following were the
important reasons. In the 2007 survey 29 percent key: No need to use Government e-services; Not
of respondents who did not have a computer familiar (with e-services); Do not know how to ac-
claimed that they lacked the necessary skills to cess internet/ not familiar with internet; Preferred
use a computer, while 11 percent stated that the personal contact; Did not have computer access.
purchase price was too high. Eight percent said The surveys do not provide much detail and
that old age was a barrier. For internet access, the it is difficult to pinpoint why exactly many feel
main reason for the lack of connectivity was that they do not need to use e-services. It could be
the respondent had no need (55 percent in 2007). that the offline alternatives are readily available,
A lack of skills (11 percent) and cost (8 percent) easier or even that they dont use any government
were also important. service at all.
These findings reflect the results of an earlier Though statistics are not available, it is reason-
Singapore internet use study which illustrates able to raise two related issues as to why some
that non-users resemble, across several socio- segments of the Singapore population may be
economic characteristics, the profiles of the excluded from E-government.
information poor in other societies and nations. First, the economic divide. Though the price
Like elsewhere, young people are likely to be more of computers has been falling down over time,
net savvy than their parents or older generations, it is still not within the reach of every family in
leading to a divide between parents and the next Singapore. Compounding this problem, there is a
generation (Kuo et al. 2002). While this profile tendency the world over and in Singapore more
of the digital divide is a characteristic of ICT so than many other countries whereby newer
use generally, it also has a specific dimension in generation of computers and software are replac-
terms of E-government; users of E-government ing older ones far too frequently for the general
services tend to be those most often thought to be
already net-savvy. The 2006 and 2007 Singapore Table 3. Main reason for not having internet ac-
cess at home, 2007
Table 2. Main reason for not having access to a Main reason 2007
computer at home, 2007
Lack of interest/ no need 55%
Main reason 2007 Lack of knowledge/ skills/ confidence 11%
No necessity to use 46% Have access elsewhere 9%
Lack of skills 29% Other 14%

-lack of equipment 7%
Too costly to purchase a computer 11%
Costly equipment 8%
Other 6%
Subscription to the internet is too costly 3%
Old age is a barrier to learning computer skills 7%
Concern about exposure to inappropriate or harmful 1%
Children are too young 2% content
Total 100% Total 100%
332
population to cope with. It is not just a matter study English as their first language. However,
of increasing costs but also greater difficulties this will be a long time in the future. It also flies
in re-learning the use of the computer with each in the face of a number of successful non-English
new software or hardware. Even for those who language E-government applications and other
are familiar with computers, this has become a internet sites world-wide (see Yong 2003).
serious problem and all the more so for the less- While many Singaporeans do speak and read
or un-initiated. Thus, the Singapore government English, there is a minority for whom English is not
may inadvertently widen the digital divide simply their first language, not even a familiar language
by upgrading the software and hardware without and therefore for whom access to an English-
corresponding uplift within the general popula- only citizen portal is not appropriate. Figure 4
tion. Even in the business sector, there have been presents census data relating to the percentage
numerous examples of how firms have not been of literate resident population who speak only a
able to cope with different browsers in use and non-English language (Chinese, Malay, Tamil,
have had to invest in costly upgrades and diver- other non-official language). The divide in English
sifications. Interestingly, there has not been much language use is stark with older residents being
public debate about this issue nor has there been much less likely to speak English than younger
any publicly available research data to support or groups. Decomposing these figures we see that of
discount this view. However, few can deny the the one million people who speak one language
inevitable digital divide between those who can only, 57.2 percent speak Chinese only, 6.2 percent
constantly upgrade and those who cannot, unless speak Malay only and 1.5 per cent speaks Tamil
there is a fundamental remedy. This is both a cost only. For those aged over 65 years, 70.4 percent
and a computer literacy issue. speak Chinese only, 9.1 percent speak Malay
Still within the domain of the digital divide, only and 4 percent speak Tamil only (Singapore
there is also the issue of the language divide, Department of Statistics 2001).
whereby local language and cultural constraints There is, however, a question of practicality that
may adversely impact on online usage (Vassilakis, could be raised: Should all E-government services
2004, Metaxiotis and Psarras, 2004, Maenpaa be available in all four official languages in order
2004, Kovacic 2005). Globally, English is the to be inclusive? Even in the past, not every service
most common language of the Web (OECD was made available in all four languages but some
1997). Within its E-government framework, the like the Income Tax return forms, which is still
Singaporean government has made a decision one of the most widely used service, were. The
to make English the sole official E-government least the government has to do is to go through
language. This is in sharp contrast to the policy a thorough analysis of what e-services would be
which in the analog world makes allowances language sensitive and what additional measures
for four official languagesthe Mother-Tongue need to be taken to redress the problem. It is not
languages, as spoken by the three major ethnic evident that the Singapore government has done
groups, namely the Chinese language, the Malay this in the past or plans to do this in the future.
language and the Tamil language, together with the
English language. There was no public debate as
to why this should be so nor was there any public FUTURE RESEARCH DIRECTIONS
research to justify this major policy change. It
simply seems to be based on an assumption that Clearly then there still remains some potential
eventually everyone in Singapore will be English digital divide. A significant question relates to
literate as all school going children in Singapore what this means in terms of reaching a fully
333
Figure 4. Percent speaking only other non-English language
mature and integrated E-government? Regard- CONCLUSION

less of what programs are put in place there will
always remain some residual accessibility issues. This chapter has discussed the advent of infor-
Some of this will be in terms of resistance by mation and communication technologies and in
some citizens to transact online even when other particular the emergence of E-government as a new
issues of infrastructure and content have been form of government-citizen relationship. Specifi-
successfully dealt with as is the case in Singapore. cally, the paper has focused on the development
This potentially is only a serious social issue in of an online presence by the Singaporean govern-
cases where online transacting is virtually the ment and the strategies and outcomes associated
only option available. The more serious problem with this increased use of online facilities. As an
for Singapores E-government strategy relates to example of world best practice the Singapore
the issue of the language divide. Although some model is held by many to be exemplary. Many of
relate the issue of a language divide to develop- the issues associated with successfully moving to
ing countries (Barnard et al. 2004), it is likely full E-government maturity have been dealt with
that Singapore will also face potential constraints and the three strategic plans that have been the
introduced by the language barrier. Given that a driving force behind E-government development
large proportion of citizens aged 65 years and have proven to successfully reach many of their
above speaks (and presumably reads) a language goals. The development of a functional e-citizen
other than English means that despite programs portal, e-business portal and a significant online
to encourage all Singaporeans to get online, the component within the civil service has gone a
true potential of online services will be lost in significant way towards building a system that
terms of these people. is world class and one which delights customers
and connects citizens.
334
Despite this, the Singapore model is still evolv- DiMaggio, P., & Hargittai, E. (2001). From the
ing. The third E-government strategy iGOV2010 Digital Divide to Digital Inequality: Studying
recognizes that full E-government maturity is Internet Use as Penetration Increases. Woodrow
still a future goal to be achieved. Although the Wilson School, Centre for the Arts and Cultural
performance to-date has been impressive and Policy Studies, Princeton University.
many issues associated with access, content and
Dutta, S., Lopez-Carlos, A., & Mia, I. (2006).
trust have been dealt with, there still remain some
Global Information Technology Report, 2005-
impediments including the existence of a digital
2006. New York: Palgrave-Macmillian.
divide characterized by age and language. Within
this context, it is clear that there will always re- Graham, S. (1998). The end of geography
main some residual non-utilization. However, the or the explosion of space? Conceptualizing
significant constraint faced by Singapore is the space, place and information technology.
digital divide associated with a citizenry which Progress in Human Geography, 2, 165185.
has a significant proportion of mono-lingual doi:10.1191/030913298671334137
non-English speakers. While such a language
Healey and Baker Consultants. (2001). European
divide remains, the potential for a fully mature
E-locations Monitor. London: Healey and Baker
E-government may be limited and questions of a
Consultants.
fully inclusive E-government process will remain.
Helbig, N., Gil-Garcia, J., & Ferro, E. (2009).
Understanding the complexity of electronic
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KEY TERMS AND DEFINITIONS Digital Divide: The gap between people with
effective access to digital and informational tech-
E-Governance: The use of ICTs such as nology and those with very limited or no access
the internet and mobile phone as a platform for at all.
exchanging information, providing services and Civil Society: Comprises the totality of volun-
transacting with citizens, businesses, and other tary civic and social organizations and institutions
arms of government. that form the basis of a functioning society and is
Social Inclusion: The use of policies and contrasted with the formal structures of the state
programs to reduce inequality, exclusion and and commercial/market institutions
disadvantage.
Public Participation: The belief that those
who are effected by a decision have a right to be
involved in the decision making process.
338
Section 3
Innovations and Challenges
in Urban Management
340
Chapter 18
Integrating ICT into
Sustainable Local Policies
Antonio Caperna
Universit degli Studi Roma Tre, Italy
ABSTRACT
This chapter analyses the Information and Communication Technologies (hereafter referred to as ICT)
phenomenon, the opportunities it offers, the potential problems, and the relationship with local policies.
It moves on the actions needed to develop, within the Agenda 21 process, a framework able to define
some fundamental features for a new spatial theory in the information age, which will eventually consider
Information and Communication Technology not just a simple tool, but a crucial aspect of a sustainable
policy, capable, if well addressed, to mitigate various current or emerging territorial challenges such
as literacy and education, public participation in the planning process, social and geographical divide,
institutional transparency, etc.. This chapter will illustrate a framework able to assist politicians and
planners in planning a sustainable development through ICT.
INTRODUCTION sustainable development principles have induced

governments and public authorities to open up
As claimed by several authors, we live in the infor- access to environmental information as a means
mation age (Masuda, 1981; Castells, 1996, 2002). An to improve public participation in environmental
era where knowledge and information have become decision making and awareness. On the other side
key factors in the growth of contemporary society the growth of ICT is a tool that not only constitutes
triggering socio-political and economical as well an industry in its own right but which also pervades
as cultural and spatial changes (e.g. the emergence all sectors of economy, where it acts as integrating
of the space of flows, Castells, 1996). and enabling technologies. ICT have a profound
On one side, new political and environmen- impact on society, and their production and use have
tal challenges inspired by the acceptance of the important effects on the development of economic,
social and environmental areas, promoting new
DOI: 10.4018/978-1-61520-929-3.ch018
Integrating ICT into Sustainable Local Policies
questions discussed by theorists and planners. But groves characterize these piedmont areas, with
the extent of ICT in everyday life and its strong skilfully built terracing dating back to Roman
relationship with socio-cultural and economic times (Mantero & Giacopini, 1997). The vegeta-
aspects produce a complex equation which is tion is composed of large woods (beech, chestnut
difficult to understand and solve. and hornbeam) and mountain pastures.
This chapter aims to explain some fundamen- The labour market showed, in the last decade,
tal aspects about ICT, and to offer a framework a reduction in workers. A detailed analysis, shows
that will allow: planning a sustainable policy; that there has been a strong reduction for small
addressing ICT in a sustainable way; developing and medium commercial concerns that is not
an analytical process of understanding environ- compensated by the increase of other sectors as
mental information use, and supporting public firms, utility companies, and tourism (Caperna,
access, improving awareness and participation 2007). The local economy is characterized by
processes. This assumption is based on the cur- agriculture: about 75% of the entire territory is
rent trend within public authorities to use ICT as agricultural with excellent products as olive oil,
a major delivery medium. wine, orchards and citrus orchards; 10% sowable
land, and 34% pasturage (Caperna, 2007). Finally
activities linked to agriculture as bed & breakfast
BACKGROUND or trekking are proliferating (Mantero, 2000).
In synthesis the data describe an ageing of the
Case Study population and economical difficulties. On the
other side there are some aspects that should be
The context is represented by a district near Rome: meant as an opportunity: I mean natural treasures
Parco Naturale Regionale dei Monti Lucretili. It is represented by natural landscape, food culture, few
a mountain landscape including 13 Municipalities excellent agricultural products and the possibility
with a total extension of 18 hectares and about of developing sustainable tourism.
35,000 inhabitants. Politically it is governed by With regard to development of tourism, we can
the Park Agency. The administrative structure of talk about sustainable tourism if there is balance
this agency is a consortium formed by the repre- between environmental, social, and economical
sentatives of the 13 Municipalities and by 9th and aspects of tourism, and the need to implement
10th Mountain Communities. sustainability principles in all segments of tour-
The territory has an agricultural and natu- ism (WTO, 2004).
ralistic vocation (Mantero & Giacopini, 1997). According to these principles, sustainable
The naturalistic richness of the Park lies in the tourism should (WTO, 2004): make optimal use
particular configuration of the pre-Apennine of environmental resources; respect the socio-
landscape, where the proximity to the sea has cultural authenticity of host communities, con-
contributed to the formation and coexistence of serve their built and living cultural heritage and
biotypes determined by different microclimates, traditional values, and contribute to inter-cultural
the latter given to different exposures and influ- understanding and tolerance, and ensure viable,
enced by the variation of the circulation of the air long-term economic operations, providing socio-
masses within the mountain group. The current economic benefits to all stakeholders that are
vegetation features on Lucretili Mountains derive fairly distributed, including stable employment
from a wavering series of events produced by hu- and income-earning opportunities and social
man action leading to the change of the original services to host communities, and contributing
aspects. Vineyards, cherry cultivation, and olive to poverty alleviation.
341
This means that sustainable tourism requires But at the early of 1900 it was necessary to furnish
the informed participation of all relevant stake- answer about some anomalies of the Physics and
holders, as well as strong political leadership to nonlinear behavior showed by simple systems. In
ensure wide participation and consensus building. these context, the classical laws based on mechani-
Achieving sustainable tourism is a continuous cal and linear principles, werent able to predict the
process and it requires constant monitoring of evolution of a structure becoming increasingly
impacts, introducing the necessary preventive ineffective to address modern problems (Kofman,
and/or corrective measures whenever necessary. 1993; Kelly, 1998; Hjort & Bagheri, 2006).
In this regard, NDS provides a new theory-
General Overview driven framework to think about, understand, and
influence the dynamics of complex structures,
The challenges we face today, and those we will issues, and emerging situations. The NDS theory
have to cope with in the future, require new ways has generated a new paradigm that tries to model
of thinking about and understanding the complex, and to study phenomena that undergo spatial and
interconnected, and rapidly changing world in temporal evolution. These phenomena range from
which we live and work. Thus, the proposed simple system to complex structures as population
model will be structured according with three dynamics or biological organisms, and it is applied
basic elements that are mutually interconnected: to a wide spectrum of disciplines including phys-
non-linear dynamic system (NDS) theory, inter- ics, chemistry, biochemistry, biology, economy
national agreement, and sustainable development. and even sociology.
This paradigm is based on relationship between
Nonlinear Dynamics System (NDS) three terms: system, dynamic, and nonlinear.
Among the several existing definitions of
First of all, Id like to introduce the concept of system, there are some that appear more com-
paradigm. The term was formulated by Thomas monly than others, although in slightly different
Kuhn in The Structure of Scientific Revolutions. shapes. The term system was adopted for the first
He argued that science does not progress through time by the biochemist Henderson (Lilienfeld,
a linear accumulation of new knowledge, but un- 1978) concerning living organisms as well as
dergoes periodic revolutions, also called paradigm social structures, since system is an assemblage
shifts, in which the nature of scientific inquiry of interrelated parts that work together by way of
within a particular field is abruptly transformed. some driving process. These are the features of
According to Kuhn, we can talk in terms of old a complex system: a large number of interacting
scientific paradigm called Cartesian, since its main components, whose aggregated activity is nonlin-
characteristics were formulated by Descartes, ear and typically exhibits self-organization under
Newton and Bacon. This paradigm is character- selective pressures; components are different each
ized by the fact that considers the world and its other; the relationships structure change continu-
elements as mechanical structure and we can ex- ously; inputs derived from each component and
plain the phenomena in terms of linear causality. its internal variables form sub-systems.
This means that any problem can be divided into Nonlinearity means that a change is not based
components, and that the dynamics of the whole on a simple proportional relationship between
could be understood from the properties of the cause and effect. Therefore, such changes are
parts. In addition, this method is characterized often abrupt, unexpected, and difficult to predict.
by the fact that an event is independent from hu- Dynamics refers to forces or processes that
man observer. produce change inside a group or system.
342
Subsequently the development in several fields to address the pressing problem of the contempo-
provided a theoretical support able to assert this rary world, and to do this, its been structured in
new paradigm called holistic or systemic: a new four sections such as social and economic dimen-
way of thinking about our world as the art and sions, conservation and management of resources,
science of linking structure to performance, and strengthening the role of major groups, and means
performance to structure, often for purposes of of implementation.
changing structure (relationships) so as to im- In particular, chapter 28 describes the local
prove performance (Richmond, 1993, Hjort & authorities initiatives in support of A21, because
Bagheri, 2006). many of the problems and solutions being ad-
Moreover it includes the following five criteria dressed by A21 have their roots in local activities.
(Capra, Steindl-Rast, Matus, 1992), that provide a In this regard, each local authority should start
paradigmatic passage from: the part to the whole; a dialogue with its citizens, local associations,
structure to process; objective science to epistemic productive systems (business, industrial, farms,
science, or epistemology (the understanding of the etc.) in order to formulate the best strategies. The
process of knowledge is to be included explicitly process of consultation would increase household
in the description of natural phenomena); building awareness of sustainable development issues. So
to network as metaphor for knowledge; truth to the participation and cooperation of local authori-
approximate descriptions. ties will be a determining factor in fulfilling its
The system approach is not only a tool for objectives.
studying innovation processes, but also a concep- The political lines proposed by this document
tual framework for innovation policies and strate- aims at indicating a more sustainable environ-
gies (Edquist, 1997). Schienstock and Hmlinen ment and bottom-up processes. In this regard,
(2001) suggest that a system approach-based the A21 dedicates a whole chapter to the plan-
is an appropriate way to enhance the regional ning and management of land resources. The text
innovation policy. This innovation policy pays recognizes that the increasing pressures on land
particular attention to the communication, co- and land resources are creating conflicts and an
operation and networking processes among firms unsustainable use of land and natural resources.
and supports organizations aiming to tackle all Thus, in order to promote a sustainable develop-
areas of systematically weak performance in the ment, its necessary to examine all uses of land in
regional innovation system (Schienstock and an integrated manner through the coordination of
Hmlinen, 2001). the sectorial planning and management activities
concerned with the various aspects of land use
International Agreement and land resources.
Subsequently from A21 other documents as
The political background is supported by several Aarhus Convention, Ferrara and alborg Charters
international documents, in particular by Agenda have arisen. With regard to these international
21 (A21) adopted by more than 170 governments agreements, we can underline some fundamental
at the United Nations Conference on Environment elements. Aarhus Convention (UN/ECE, 1998) de-
and Development (UNCED) held in Rio de Ja- mands to improve access to information and public
neiro (Brazil) 1992. It is a comprehensive action participation in decision-making, suggesting that
plan to be taken globally, nationally and locally environmental information will progressively
by organizations of the United Nations system, become available in electronic databases, which
governments, and major groups in every area in are easily accessible to the public through public
which humans impact on the environment. It aims telecommunication networks (UN/ECE, 1998).
343
alborg Charter (1994) is an European initia- Common Future (also known as Brundtland
tive launched at the end of the first European Con- Report). It ties problems together and, for the first
ference on Sustainable Cities and Towns which time, gives some direction for comprehensive
took place in alborg, (Denmark), that provides global solutions, and it also popularizes the term
a framework for the delivery of local sustainable sustainable development giving the following
development and calls on local authorities to description: development that meets the needs
engage in local A21 processes. of the present, without compromising the ability
Finally, the charter of Ferrara is an Italian initia- of future generations to meet their own needs
tive that aims to promote the adoption of local A21, (WCED 1987).
and to spread knowledge, best practices, promotion Even though there is no accepted definition
of information sharing to local authorities, and about sustainable development, there is a substan-
to develop research on environmental problems. tial agreement about the three pillars of sustainable
development: economical, environmental, and
Sustainable Development social aspect.
So a sustainable system must achieve distribu-
There are over 200 definitions of sustainable de- tional equity, adequate provision of social services
velopment (SD), and various graphic schemes have including health and education, gender equality,
been developed to portray the multi-dimensional and political accountability and participation.
nature of sustainability (Adam 1993; Elliott 2004). It has been underlined that sustainable develop-
Over the past three decades there have been ment must also take into account the institutional
many events that have contributed to the develop- policy (Brandt, 1980; Cernea, 1987), and cultural
ment of the concept of sustainable development. environments (Cernea, 1987; Korten, 1990) of
Many people consider 1962 as the seminal year the local governments in which such efforts are
in which people began to understand how closely initiated.
linked environment and development are. Rachel Clearly, these three elements of sustainability
Carsons Silent Spring, a book that collects re- introduce many potential complications to the
searches on toxicology, ecology and epidemiology, original simple definition. The goals expressed
suggested that agricultural pesticides were built at or implied are multidimensional, raising the issue
catastrophic levels and there was a link between of how to balance objectives and how to judge
the damages to animal species and those caused success or failure.
to human health. It shattered the assumption that Each of these three areas is commonly referred
environment had an infinite capacity to absorb to as a system: economic system, environmental
pollutants. system, and social system. According to Balaton
Even though from then on there was a growth Groups report on sustainability indicators: The
of researches about the connection between human total system of which human society is a part,
population, resource exploitation, economical and on which it depends for support, is made up
pattern and environment, only in 1980 the World of a large number of component systems. The
Conservation Strategy defined the word devel- whole cannot function properly and is not viable
opment as the modification of the biosphere and sustainable if individual component systems
and the application of human, financial, living cannot function properly... sustainable develop-
and non-living resources to satisfy human needs ment is possible only if component systems as
and improve the quality of human life, and in well as the total system are viable. Despite the
1987 the United Nations World Commission on uncertainty of the direction of sustainable devel-
Environment and Development published Our opment, it is necessary to identify the essential
344
Table 1. Evolving views of planning and information technology
1960s System Planning as applied sciences

Optimization Information Technology are considered as providing the information needed for a value and politi-
cally neutral process of rational planning
1970s Politics Planning as politics
Information Technology are considered as inherently political, reinforcing existing structures of
influence, hiding political choices, and transforming the policy-making process
1980s Discourse Planning as communication
Information Technology and the context of planners technical analyses are often considered less
important than the ways in which planners transmit this information to others
1990s Intelligence Planning as reasoning together
Information Technology considered as providing the information infrastructure that facilitates so-
cial interaction, interpersonal communication, and debate that attempts to achieve collective goals
and deal with common concerns
Source: R.K. Brail and R.E Klosterman (eds), 2001, Planning Support Systems: Integrating Geographic Information System, Models and
Visualization Tools. U.S.A., ESRI Press
component systems and to define indicators that through the identification of the best plan within
can provide essential and reliable information the range of possible alternatives (Harris & Batty,
about the viability of each and of the total system 1993; Brail, 2001).
(Bossel, 1999, p.6). But, as stated above, many problems have been
faced through an old methodological approach by
ICT and Planning the planners as they found it difficult to define
new methods and models concerning this matter.
The transition from an industrial society to a In an article published in 1991, Manuel Castells
knowledge society poses several challenges for addressed urban planners asking The world has
the planners and politicians. If the concept of changed: can planning change?. Indeed, most
the information society has been successfully of the political and economical processes that
developed over the last 30 years by a number of are affecting our present world were already in
distinguished proponents, such as Bell (1974), motion during the early 1990s. Again Castells
Masuda (1981) and Castells (1996, 2002), there (1997) explained the situation: Confronted by
is again a great difficulty in the development of this whirlwind of social and spatial transforma-
new planning theories, methods and models. So, tion, the intellectual categories that constituted
if on one side the introduction of computers into the foundation of planning in general, and of
planning in 1960s was part of a fundamental city planning in particular, have been made ob-
transition allowing the collecting, storing and solete and the danger for the profession is to
analysis of myriad of data, on the other side the face this transformation defensively. Moreover,
diffusion of information technology and the ever he underlined that as in all major processes of
increasing social complexity have showed an social change there are extraordinary opportuni-
inappropriate methodological approach about ties to be seized, but also serious costs for those
the planning matter. In Table 1, we can see how institutions and individuals unable or unwilling
computers were assumed to play an important role to adapt. Thus, there is an obvious danger of
in collecting and storing the required data trying digging the trenches of cultural resistance and
to provide, from time to time, system models that resisting change by refining old concepts, or by
could describe the present and project the future embarking in a process of self-reflection in which
345
planning itself becomes the goal, rather than the We must take into account the fact that, in
means. While in the professional world, the harsh most cases, the actors involved, especially local
reality of bureaucracies, politics and markets will governments, are just beginning to wrestle with the
leave little room for intellectual escapism, in the wider economical and societal implications of the
academic planning field the building of fantasy information revolution (Evans, 2002; Cohen, van
worlds made of abstract categories, or the attempt Geenhuizen, Nijkamp, 2001), and with the wide
to justify planning by inventing a new academic range of possible interventions which can lead to
discipline around an ad hoc theoretical foundation, different ICT policies for cities. Van Winden in his
could substitute for the harsh task of reinventing research (2003) clearly showed the fact that cities
what to do out there, in an increasingly complex are searching for appropriate strategies to deal
world. It must not be. with new realities. In his comparative example he
In the same way, in their seminal work Tele- showed how the various goals referred to aspects of
communications and the city, Graham and Marvin urban environment: in particular, it emerged clearly
(1996) denounced the lack of consideration for that a local access policy can give a substantial
telecommunication issues in urban studies and contribution to sustainable urban development and
planning, stressing on the invisibility and intan- the promotion of social equity when these goals
gibility of ICT infrastructures, the conceptual are complemented with educational and social
challenge regarding the increasing space-time components. In other cities, it has been noted that
complexity that digital technologies bring, and where the private sector was favoured, there has
the conservatism of urban and regional planning been less social equity and a more conflictual
disciplines, still focused on the industrial city relationship between private and public sectors.
concepts and models. Aurigi (2005) analysed So, this tumultuous situation needed a politi-
the dichotomy between the continuing rapid de- cal and theoretical effort to address and balance
velopment of the information society and, on the the latent socio-economical conflict, in particular
other side, the city planners and managers need between public and private interests, and to answer
to reconsider their level of awareness and their several crucial questions such as: the changing
degree of control of the impact Information nature of space and time and their impact on
Technology has on contemporary cities. urban environment; a fluid socio-economical
Moreover, Talvitie (2003) argued that ICT, as and cultural scenario that produces a substantial
the main driving force of the development of the uncertainty in the planning processes, and the
information/knowledge/network society should extreme difficulty to predict possible scenarios;
be more specifically taken into account in urban the difficulty, most of all for local decision mak-
and regional planning, whereas he also pointed ers, to define a comprehensive policy capable of
out the details about the need for further research escaping the traditional way of thinking and where
on the spatial impact of ICT. Obviously, in addi- ICT will be considered not just a technical prob-
tion, the programmes of planning education and lem, but a central question in new policy models;
further training should be updated, as should the the substantial methodological lag of planners to
legal provisions for planning. With regard to the understand how to conceptualize and incorporate
Italian situation, in my previous research ICT and the impacts of ICT; sustainability issues, or how to
urban planning (2005) I analysed the use of ICT in promote a sustainable low-impact socio-political
a little sample of medium size cities. Several plan- and economical growth and incorporate ICT into
ners and decision-makers were interviewed and urban and regional planning.
the result was a situation of substantial uncertainty The concept of network society (Castells, 1996)
about the policies and the planning processes. can summarize the complexity of all these ques-
346
tions and the power of the forces which influence actions, in democracy, knowledge, transparency
the spatial structure. A system where the power and participatory design, etc.
of changing, as demonstrated by a remarkable
number of social and economical studies (Caso, Prerequisites for a
1999; Castells, 1996; Graham & Marvin, 1996; Sustainable Approach
Mitchell, 1995; Roberts et al., 1999; Sassen, 2000),
has created a strong relationship between several According to the general background showed
environments (social and cultural, as well as eco- above, in this section we will outline a framework
nomical) and the substantial request of answers able to permit a sustainable planning approach
from local governments, taking into consideration through the use of ICT. The Park Agency is work-
the fact that the complexity of these processes ing according to this framework. Actually it is in
generates a high level of uncertainty, especially the early stages.
concerning local policies (van Geenuizen, 2001; Several times in this chapter I have underlined
Caperna, 2005). the necessity to develop an effective policy which
In the last few years we have registered contra- takes into account the intrinsic complexity of the
dictory situations: on one side, a strong role of ICT contemporary world, at the same time able to
as fundamental element in the political programs; incorporate the ICT impact in a sustainable way.
but on the other side, we have met many uncer- According to this, I have identified the follow-
tainties related to: a fragmented knowledge and ing prerequisites: vision, governmental culture,
absence of coordinate policies with no effective resources and skills.
final goal; value of strategic choices, especially The first prerequisite is to imagine a vision of
referred to the local government; insufficient and the communitys future. The local Government
inadequate knowledge and/or resistance from should cooperate with all citizens and stakehold-
planners, decision makers and stakeholders about ers to establish a clear, challenging vision about
the spatial impacts of the new technology and the the future of local community. It seems to be an
high levels of uncertainty. indispensable prerequisite because it can support
The impact of ICT needs to be analysed at the local Government in choosing the common
different spatial levels, considering that it cant direction where to concentrate all the efforts
be conceptualized as a new type of infrastructure, needed to promote a socio-cultural and economical
catering for the transport of data or information, growth without a dispersion in terms of human and
as well as a power able to bring on socio-cultural economical capital. As all the effective policies,
and economical transformations. it needs a long-term perspective supported by a
As I stated above in the text, complexity can dynamical agenda with concrete, easily compre-
be considered as a new paradigm able to provide hensible goals that can be adapted according to
a methodological support for politicians and the evolution of events. Finally, the citizen has to
planner. So the main challenge for a sustainable feel that the ICT contains the cultural values which
spatial planning is trying to furnish knowledge make a community alive and that its possible to
and an organization concerning this complex and promote and support a sustainable development
interactive environment. Organized complexity through the use of ICT due to its technological
means thinking in terms of multiple options and and economical aspects.
promoting interdisciplinary models. On the basis The second prerequisite is a governmental
of what is set out above, I will delineate a frame- culture. This means the necessity to promote,
work which incorporates ICT into the planning through an on-going relationship with research
process as a tool capable of supporting virtuous centres and universities, a new ruling class
347
able to adopt a new approach based on holistic variables, is fundamental. All the efforts must
structure and where a social contract commits be directed towards the vision through a holistic
the politicians to the respect of ethical values in approach able to manage and combine the com-
conformity with the vision. Only in this way it plexity of urban and territorial structures with a
will be possible to develop a new administrative shared future scenario.
architecture, where ICT becomes an essential
tool for promoting political actions, a bottom-up A Framework to Apply
democracy, and for generating social inclusion ICT to Local Policies
and a sustainable economy that pays attention to
the local requirements. In this context, another Goals
interesting question concerns the responsibility.
To put a plan into practice and promote sustain- According to Cullingworth and Nadin (2006),
ability, its necessary that everyone is aware of spatial planning is concerned with the problem of
his own responsibility. coordination or integration of the spatial dimension
The third prerequisite concerns the capabil- of sectoral policies through a territorially-based
ity of the local government to obtain and attract strategy. The European Commission (1997) de-
resources, both public and private. In both cases a fines spatial planning as methods largely used by
governmental action is indispensable to combine the public sector to influence the future distribution
several factors as the aptitude to promote local of activities in space. In this context the key role
plans using EU funds for development of local of spatial planning is clear in: promoting a more
economy or infrastructure, or to support local rational arrangement of activities; reconciling
companies and encourage them in new invest- competing policy goals; creating a more rational
ments. The local government should encourage territorial organization of land uses and the link-
all relevant actors to report how much they invest ages between them; balancing the demands for
and how they work to combine ICT development development with the need to protect the environ-
with sustainable development. ment and to achieve social and economic develop-
The fourth, and final prerequisite, concerns ment goals; promoting sustainable development
the necessity to increase the knowledge and and improving the quality of life.
skills about new methodological and complex Thus, one of the main problems in recent
approaches to planning. Previously we have dis- spatial planning is how to make very broad and
cussed about this necessity, originated by a sub- commonly used theoretical interrelated principles,
stantial inadequacy of the educational structures. such as sustainability, governance and ICT, more
Of course this aspect relates to the national system. practical and operative.
Furthermore, according to Castells, we can give The goal is to establish sustainable rural com-
indication about the education of city and regional munities by balancing economic development,
planners in the information age. It must contain and environmental protection according to the
a wide range of issues such as: the overarching carrying capacity of the land. As illustrated be-
issue of sustainability; the planning of urban and fore, the area has a great agricultural and natural
metropolitan infrastructures; the reconstruction of potentiality, and in the past there has been a
cultural meaning in spatial forms and processes; strong link between human presence and natural
the shift towards local and regional governments environment. Thus, this plan treats conservation
as decisive instances of governance. of the natural environment and development of
Briefly, a strong political action, which of the human community as equally important. We
course takes into account and balances several must take into account that rural, in this context,
348
means open or sparsely populated areas as well According to this target, the framework consists
as villages and small towns, and environmental of: Political Action Plan (PAP) to delineate all the
means all the context, social and cultural, eco- actions needed for a new local policy; and a Tech-
nomical as well as physical. (Sargent F.O., Lusk nical Plan (TP). This plan concerns the capability
P., Rivera J., Varela M., 1993). to develop a conceptual model (anthropospheric
The challenges of this plan are twofold: on system) able to translate the real environment into a
one side to develop the ability of the local com- set of interactive sub-systems. Thus, an interactive
munity to manage a sustainable environment, a information system denominated Environmental
viable economy, and other aspects that make up Data-flow Analysis and Visualizing Information
the natural and rural ecosystem and, on the other (EDAVI) will be illustrated. This specific system
side, to accept the challenge and the opportunity will be able to give support in management and
offered by ICTs. analysis willing to increase the efficiency of ser-
In particular, we are developing the following vices, land resource management, monitoring, etc.
actions: It will permit to address the policies.
Internal to the territory. It consists in devel-
oping a plan, structured on ICT, and directed to Political Action Plan
increase the: management and monitoring capa-
bility of the natural environment; local services, According to international documents and a vast
assuring more efficiency and transparency of literature (Florida, 1995; Storper, 1997; Scott,
local governments and agencies; efficiency in the 2000; Cooke et al.,1997, 1998; Camagni, 2002;
communicational exchange between all the actors Tura & Harmaakorpi, 2005), we can see a region as
supporting the traditional communication media; a reasonable entity in assessing economic growth
diffusion of computer literacy skills among the and socio-institutional adjustment. Accordingly,
population; participatory policies and participa- sustainable competitiveness is the main source
tory planning processes. for the success of an economic actor, and the
External to the territory. It consists in facilitat- competitiveness of the economic actors is strongly
ing the integration of the territory in the regional related to their adaptability to the emerging techno-
environmental network, and more generally in the economic environment (Tura and Harmaakorpi,
space of flows. In addition to what stated above, 2005; Schienstock and Hmlinen, 2001 citing
the digital technology will provide more economic Abramovitz, 1995 and Lipsey, 1997).
and cultural opportunities to this territory. Thus, the necessity to combine a political and
Hereinafter a framework will be illustrated. socio-economic growth with sustainable develop-
ment principles, means the planning of an institu-
Structure of the Proposed tional environment able to support theoretical and
Framework technological changes. According to this view, the
main objective of winning local policy is based
The elaborated procedure aims at furnishing a on promoting productivity and innovativeness
general framework able to support a sustainable by reconfiguring the socio-institutional settings
policy plan through ICT tools, in which it will be (Tura and Harmaakorpi, 2005).
possible to both manage and storage structured With regard to this, Storper (1995) says that
data, as well as obtain information and knowledge the sources of competitiveness are determined in
in several formats for all the citizens as well as for a non-market environment rather than in a market
several stakeholders or other agencies. environment, including the untraded interdepen-
349
Figure 1. Actors involved in the implementation of Figure 2. Political action plan. It consists in
local policy. (Copyright 2009, IGI Global, the planning actions that are in relationship to one
distribution of IGI Global in print or electronic another, and where ICT can reinforce this action.
formats without written permission is prohibited) (Copyright 2009, IGI Global, the distribution of
IGI Global in print or electronic formats without
written permission is prohibited)
dencies as the institutional, social, cognitive and Thus, the administrative adjustment concern, at
cultural conventions being formed during history back office level, knowledge management. Today
in a region. Actually, according to several scholars it is not realistic not to have this capability for
(Kostiainen, 2002; Tura and Harmaakorpi, 2005) both technological and human resources. Only a
the Park Agency is working hardly to develop a balanced support by these two elements can as-
system of innovative networks and institutions sure an optimal functionality and avoid wastes of
(Figure 1) located within this geographic area, money. A bad use of new technologies does not
with regular and strong internal interaction that facilitate the public administrations; on the con-
will promote the innovativeness of the territory trary, it can cause a rise in costs or an unbalanced
and its management and monitoring. relationship between benefits and costs; efficiency
The Park Agency is the political core and the and agile bureaucracy. One of the most important
qualified structure in charge of the management goals should be improving the efficiency. Many
and monitoring of the territory. TerLab is a Territo- studies suggest that ICT can bring a substantial
rial Laboratory created to elaborate and develop efficiency, but it demands a strong leadership
educational and research projects. and a clear policy supported by an appropriate
In order to facilitate these actions, its necessary administrative structure. Oversized structures
to adopt a policy that will be a governance, or to increase the costs, make the functionality heavy
encourage relationships between numerous actors and produce an inefficacious informational flow
and give a clear vision able to address soft factors and a slow decisional process. The processes
of competition as identity or institution as much bound for a more sustainable development could
as hard factors such as tax level (Tura and Har- be optimized through prescriptive rules, or defin-
maakorpi, 2005; Boschma, 2003; Storper, 1997). ing clear and simple norms able to give inputs for
The Park Agency is developing a political ac- the local socio-economical growing processes.
tion plan stressing on three main topics (Figure This should be a priority area, because through
2): ethic and policies, planning principles, and this action supported by ICT, its possible to as-
adjustment of local administrative architecture. sure a correct and balanced development of the
350
several components, social, economical as well to empty catchwords to which everyone pays lip-
as natural environment. service, while no concrete results are achieved.
At the same time, it is necessary to re-organize
and increase the efficiency relative to the front Technical Action Plan
office needs. This implies an efficient use of ICT
as tools able to furnish bigger and better: online This plan concerns the capability to develop a
E-service based on citizens demand, cultural and conceptual model (anthropospheric system) which
business life events; support to the traditional could translate the real environment into a set of
services and channels, human, organizational interactive sub-systems. It is based on other similar
and physical; E-democracy, or greater account- experiences (Haklay, 2002; Bossell, 1999) and
ability, openness, transparency, accessibility, and structured according to complex systems theory,
participation into planning processes. and it describes the local environment and the
According to these policy actions, it is neces- dependencies of human and natural activities
sary to improve internet local access. This must through six sub-systems structured according to
be planned through a careful discussion in order qualitative and quantitative indicators.
to balance and properly combine financial and The model takes into account the financial
socio-political factors. Indeed, one of the main aspect and the fact that many other experiences
problems in this context is the relationship be- failed because it has been impossible, for lo-
tween public and private sectors and the best way cal communities, to manage and update the
to combine it. The private company which offers databases as it often turned out to be a really
internet access does not consider a profitable expensive operation. Thus, I have decided to
business deal to invest in little communities that examine only those data strictly necessary to
are geographically far away from main towns. develop an efficient informational system able
Thus, in our case, its possible to use the UMTS to provide the basic and necessary data-set. The
structure and/or develop agreement between com- framework tries to take into account several fac-
munities and companies interested in increasing tors or trends which have influenced the political
the number of customers. Another opportunity and social environment in the last few decades
should be offered by the development of a few such as: the concept of sustainable development
digital piazzas, or the use of a public library as as a framework to integrate environmental con-
library and digital piazzas with computer equip- siderations with economical development; the
ment and also the opportunity to attend computer attempt to modernize democracy and urge
and internet courses. a more participatory and inclusive mode of
This is particularly important, because through decision making and to combine it with more
a careful analysis and intelligent projects it should efficiency in the local administrations; helping
be possible to reinforce and encourage various syn- the local economy, through ICT, and promoting
ergic political (e.g. transparency, e-government, the interaction between local and global entities;
etc.), economical (e.g. e-commerce), and socio- more opportunities for young people according
cultural (e.g. preservation of local culture, health to the notion of information age, acknowledg-
service, etc.) effects. Every single area must have ing the crucial importance of information and
a clear goal according to the vision, and the goals knowledge in the economy.
must be followed up and evaluated during the time. In this regard, the anthropospheric system
Without this kind of focus, the concept of ICT and is structured on the following six sub-systems:
sustainable development could easily be reduced right of the individual, or the promotion of equity,
351
social inclusion, health, job opportunities, etc.; its important that the indicators respond quickly
social system, or the capability to increase social and reliably to those social, economic, or ecologi-
cohesion through sanitary system, welfare, ability cal changes which may significantly influence a
of economical system to distribute local wealth, community; data availability: relevant data must
etc.; governance, or the capability of the local be obtained within a period of time sufficient to
authorities to furnish transparency and effective- determine trends; comprehensibility: the indica-
ness in the management of local government; tors must be easy to understand for the potential
infrastructure and services, or the incidence of end users.
the infrastructural web on the park territory, the Data availability may not be a long-term
availability of services, and the capability of the constraint since ways of generating information
policy system to assure a sustainable develop- may be developed over time, or sources of data
ment concerning all the components; economical previously unknown to the community may be
system, or production and consumption, com- discovered. As for what concerns comprehensibil-
merce, local market, job opportunities, income, ity, in a limited number of cases, there is a role for
consumption models, etc.; natural resources and indicators that may be technical in nature (e.g., a
environment, or safeguard of ecosystem, waste biodiversity index) and therefore not immediately
of natural resources, pollution, etc. understandable for laymen, a difficulty that can
Then a data set of significant indicators has usually be overcome by explaining the indicator
been identified. This data set must furnish the in a clear and simple language.
description of the system. It consists of three Now we are able to develop an Environmental
sub-systems, or anthropospheric sub-system, Data-flow Analysis and Visualizing Information
economical sub-system and environmental sub- (EDAVI).
system. In general, the data sets must be flexible, Some of the most important policy advances
not expensive, including only the required data. linking the information society and sustainable
The indicator selection process is designed development have occurred in the areas of ac-
to satisfy three objectives: to identify the goals cess to information and participation since 1992,
of the community; to understand and describe when the 10th Principle of the Rio Declaration
the environment (natural, socio-economical and called upon signatory governments to encourage
urban); to identify a set of potential sustainability actions addressed at facilitating the publics right
indicators. of access to information, stating that participation
In order to accomplish these objectives, several and justice in decision-making are instrumental
focus groups and a research team will be formed. in protecting the environment and in integrat-
The community advisory committee, supported ing environmental values into development
by researchers, will evaluate these potential indica- choices. In that occasion, global policy-makers
tors and combine them with a set of criteria culled acknowledged the importance of information to
from the literature. It is desirable that the indica- decision-making declaring that in sustainable
tors have the following characteristics: validity: development, everyone is a user and provider of
the capability to measure an aspect of community information considered in the broad sense. That
sustainability; measurability: it should be possible includes data, information, appropriately pack-
to express indicators in terms of nominal, ordinal, aged experience and knowledge. The need for
interval, or ratio data; reliability. We must assess information arises at all levels, from that of senior
if the data can be reliably obtained: i.e., are the decision-makers at the national and international
scope and quality of the data consistent from one levels to the grass-roots and individual levels
period to another? responsiveness (sensitivity): (Chapter 40 of Agenda 21).
352
Worldwide demand for access to information selection is difficult to achieve when the planning
has grown in recent years, driven by the increase process is not clear about the goals.
of ICT becoming a primary factor capable of EDAVI is a light environmental system
promoting better decisions for decision-makers, based on GIS open source core. It aims at support-
empowering citizens to hold a more active role ing the local authorities in the management and
in decision-making and participatory processes. monitoring actions, and at assisting the display
Most of the early researches (Kersten, and query of information through a user-friendly
Gregory, Mikolajuk, Gar-On Yeh, 1999; Halder, interface especially for users without or with lim-
Willard, 2003) on linkages between sustainable ited computer skills. As said above, its extremely
development and information society focused important to balance qualitative and quantitative
on the potential for information systems to assist data and to calibrate them to real necessity and
decision-makers in monitoring and evaluating the financial capacity of the territory.
state of the environment. The above introduced EDAVI display capabilities are also utilized
system, EDAVI, seeks to increase the quality, for the purpose of public participation which is
efficiency and accountability of decision-making legally required in preparing development plans.
processes through applications that systematically It is important to gain feedback from the public
use anthropospheric system information. In this for the review of plans. As said before, the core
regard EDAVI development seeks to: enhance of this system is based on Geographical Informa-
the use of harmonized environmental data sets tion System (GIS). The introduction of the use of
through improving data availability; facilitate GIS provide an exciting potential for geographic
access to data both for decision makers as well information to be used more systematically and
as citizens. This will encourage and support par-
ticipatory democracy and planning; ensure that
data are internally consistent and that different Figure 3. Conceptual framework. From the citi-
data sets match. zen vision to an anthropospheric system able to
We must take into account that information describe the environment in its main components.
processing is, according to Herbert Simon (1973), Subsequently we have a data set of indicators
the essence of decision making. So it becomes im- analysed by GIS system. These analyses can be
portant trying to organize this complexity because communicated to end users via internet (Copy-
any effective attack on problems of organized right 2009, IGI Global, the distribution of IGI
complexity must usually be mounted on several Global in print or electronic formats without
fronts and a conceptually sound, practical, and written permission is prohibited)
well-executed information strategy will, as Mason
and Mitroff (1981) pointed out, be at the heart of
every successful attack. Appropriate, high quality,
easily accessible information is, therefore, vital
to the success of any planning and management
process. However, its very important to remember
that an excess of information becomes expensive
and difficult to manage. Its therefore highly
desirable to have a clear perspective on which
information is essential, which is useful but not
vital, and which is extraneous, even though this
353
by a greater diversity of disciplines than even Lucretili territory, the use of GIS for planning
before. GIS has proved to be an invaluable tool and monitoring is managed by the park agency
for evaluating alternative solutions to urban plan- and the GIS database is made up of integrated
ning problems. Planning database can be exten- information provided by the local authorities
sively interrogated to generate several alternative directly involved in planning and monitoring of
solutions to urban strategic planning problems. development in the territory. As such, the Park
Various scenarios which take into account the Agency, consisting of local members, will have
socio-economic characteristic, the constraints of full control of informational system. The web
physical development, availability of land and land developed application, apart from encouraging
suitability for different kind of development can data sharing between the various local authorities,
be generated within GIS or through the incorpo- will be, in the next future, an effective channel for
ration of modelling packages and other planning the integration of the available data sets. The use
support systems. of web-based GIS as a new medium to exchange
EDAVI aims at being not just a planning data and gather information will brings numerous
support system for decision makers in planning benefits: it will provide a simple means for the local
and monitoring the area, but a communication authorities, and exchange of spatial information
tool as well. It permits, through the data set, to on-line. Data integration through the distributed
describe the countries environment through an GIS database is expected to minimize redundancy
environmental information system, where in- in data preparation as well as overlapping of in-
formation system includes natural environment, formation, apart from reducing time consumption
basic infrastructure, social and economical data and cost for database development.
for a holistic decision-making. The system so However, it should be noted that the imple-
developed provides access to a comprehensive mentation of these technologies involves far more
database which includes spatial data and analysis than hardware and software decisions. Effective
results, policies and guidelines for the purpose of implementation rests on a thorough and systematic
planning and reviewing where development plan evaluation encompassing planning, operational,
preparation is concerned. Of course a web-based organizational, institutional, personnel, financial
GIS application is expected. Web-based GIS is and technical aspects. More research and attention
seen as an evolving approach that provides large need to be directed towards organizational and
opportunities to GIS users in enhancing their institutional issues, as well as developing the tech-
involvement in planning and management for a nology for planning and management purposes.
more efficient and well organised project. It is seen
as a good means to encourage public participa-
tion as well as a gateway to data integration and FUTURE RESEARCH DIRECTIONS
sharing between the planning agencies involved,
especially through distributed data access. Over the last 10 years, digital technology has
Public participation in local planning must be changed the way the world works, plays, com-
a strategic choice for the local policy, and a tool municates and shops. These changes have been so
to improve transparency and democracy. The pervasive that it has become very hard to formulate
use of internet will contribute to this process as a whole scenario, especially referred to the city and
it will facilitate the access to information giving, its complexity. This chapter has highlighted the
amongst other things, the possibility to consult fact that we are far from defining a clear picture
the maps representative of the territory. For the of the impact of ICT on urban environment but, at
purpose of coordinating the development in Monti the same time, it aims at furnishing a theoretical
354
contribution in the direction of a balanced rela- planners and politicians is certainly to promote
tionship between ICT impact and a sustainable policies and planning procedures able to guarantee
spatial planning process. access to digital connectivity to all people, and
In the next 5-10 years much more people than a good level of telecommunication services for
today will be connected, and in this wired new the local urban economy, and to combine these
world, digital connectivity becomes essential to aspects with the relationship between private
achieve social and economic sustainability in cities companies and public policies. This will be the
of both the developed and developing world. We main challenge.
will use Internet for all aspects of our lives, and The factor most likely to be crucial in the
this will involve more efficiency and knowledge emergent digital city will be the ability of mu-
from decision-makers and planners. No longer will nicipalities and technological entrepreneurs in
government web sites be sufficient. Computing is general to mobilise a wide spectrum of knowledge
moving from a tool for the rich and educated to a and expertise to address tensions such as those
standard part of life. Governments must use these highlighted here. The digital city has to deal with
tools because people will expect more from their complexity just as the traditional city did.
governments in terms of transparency, efficiency,
and services.
I have taken into consideration several re- CONCLUSION
searches that analyzed the impact of ICT on several
fields of urban environment, and we have also seen In this chapter I have explained that the issue of
which situations can produce negative scenarios. ICT and its impact on urban environment is a
However, a lot of research work still needs to complex and multifaceted one. The flexible nature
be done in the field of ICT and spatial planning. of ICT permits to adapt it to several environments
Hereafter, I list a number of research topics and producing strong relationships with economical
questions as: ICT role in global and local socio- and social aspects. For what concerns its pos-
economical changes and its effects on urban sible development, we have attended to several
environment; on the rural environment, due to its positions: from visionary positions that have
peculiar socio-economical features, in which way hypothesized the end of physical city or the death
we can combine a potential economical growth of distance, to a position that considered ICT just
with a sustainable development that preserves the as an economical tool capable of increasing the
local identity; which role the policy (especially economical growth, to come with scholars that
local policy) must take and how to balance the pos- have underlined the fact that ICT does not have
sible contrast between public and private sectors; a neutral nature. Anyway, it seems to be indis-
planners education, or in which way its possible pensable to incorporate it in urban policies and
to update the planners role. Now planners need in urban planning processes. This is an inevitable
to think hard both how to grasp and interpret the and necessary topic that we must tackle.
complex changes that cities are going through in A careful analysis of the planning literature
the information age, and how to turn this under- shows a complex situation with many uncertain-
standing into action, successfully addressing the ties. But its clear that ICT development concerns,
problem of setting strategies for the regeneration in particular, the metropolitan areas where the
of the increasingly digital city. interaction between information technologies
The complexity of these issues and their and the metropolis creates a mutual reinforce-
transversality require a multidisciplinary and co- ment. Within this scale global scale we can
operative approach. The new challenge for urban observe new relationships between these global
355
cities and their surroundings (Castells & Hall, main decisions and promote participatory design;
1994; Sassen, 2001), new social and economical responsibility: public and private bodies should
dynamics. On the other side, we have a local scale interact. So its necessary to define distinctly the
which concerns the medium-little size cities. In responsibilities every subject holds.
this set there are the country towns and very small In this way ICT can have the capability to
villages that are cut out from economical oppor- furnish new energy and provide answers to few
tunities. In this last context ICT can provide an fundamental needs and improve the quality of life.
appropriate support to increase a socio-cultural and Finally, I would like to underline the fact that the
economical growth as long as there is a citizens framework compiled by no means constitutes a
vision about what the city is and what it will be, a complete list but rather a starting point for any
clear policy able to address the strategic choices, local institution aiming at incorporating ICT into
and a planning system to put a plan into practice. its policies and planning processes.
As far as policies matter, I have noted that
urban ICT policies, in particular referring to local
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ICT tools for participatory planning. Paper pre- KEY TERMS AND DEFINITIONS
sented at European Federation for Information
Technology in Agriculture, Food and the Envi- Framework: An instrument providing a gen-
ronment (EFITA) Conference, 5-9. July 2003, eral spatial framework for a town or a territory
Debrecen, Hungary Information and Communications Technology
(ICT). We can refer the relationship, through digital
Peraro, F., & Vecchiato, G. (2007). Responsabilit technology, between information and communi-
sociale del territorio. Manuale operativo di svi- cation and how we can storage, analyze, and to
luppo sostenibile e best practices (Angeli, F., Ed.). spread information. It includes any communica-
Rambaldi, G., Corbett, J., Olsen, R., McCall, M., tion device or application, encompassing: radio,
Muchemi, J., Kwaku Kyem, P., et al. (Eds.). (2006 television, cellular phones, computer and network
April). Mapping for change: practice, technologies hardware and software, satellite systems and so
and communication. Participatory Learning and on, as well as the various services and applications
Action, 54. associated with them, such as videoconferencing
and distance learning. About the ICT sectors, in
Rotondo, F., Selicato, F., & Torre, C. (2001). A 1998, OECD member countries agreed to define
Collaborative Approach To An Environmental the ICT sector as a combination of manufactur-
Planning Process: The Lama Belvedere Urban ing and services industries that capture, transmit
Park in Monopoli. and display data and information electronically.
363
Infrastructure: Basic services necessary for Stakeholder: An institution, organization, or

development to take place (roads, electricity, water, group that has some interest in a particular sector.
education, health facilities, communications, etc.). Strategic Planning: Preparation of a strat-
Land Use: The way land is used or developed. egy identifying the broad patterns of growth;
Local Authority / Local Government: The it is generally long-term and comprehensive,
lowest tier of elected government. bringing together social, economic and spatial
Local Plan: A plan that sets out detailed poli- considerations.
cies and specific proposals for the development Sustainable Development (SD): According
and use of land in a district and guides most day- to the WCED, SD is development that meets the
to-day planning decisions. needs of the present without compromising the
Local Policy: A comprehensive view about a ability of future generations to meet their own
territory able to address the strategic choices of needs. The essence of this form of development
a community. is a stable relationship between human activities
Spatial Development: Changes in the distribu- and the natural world, which does not diminish
tion of activities in space and the linkages between the prospects for future generations to enjoy a
them through the conversion of land and property. quality of life at least as good as our own.
364
365
Chapter 19
Architectures of Motility:
ICT Systems, Transport and Planning
for Complex Urban Spaces
Darren J. Reed
University of York, UK
Andrew Webster
University of York, UK
ABSTRACT
This chapter engages with contemporary approaches to urban planning by introducing an analytic strat-
egy rooted in the sociological approach of Science and Technology Studies. By demarcating a social
frame and comparing this to the established engineering frame through different architectures, the
chapter reveals hitherto unrecognised features of the implementation of an intelligent transportation
system called BLISS (the Bus Location and Information SubSystem). Through the mobilities conceptual
approach, the relationships between various aspects, including the urban space, the experience of pas-
sengers, drivers and managers, and component technologies, are revealed as forming an assemblage
of conflicting features, that at the same time move toward a form of stabilization. The underlying point,
is that we need to engage not only with the technical difficulties of technology implementation in the
city, but also with the contingent and experiential processes of those who use, and are affected by such
implementations.
INTRODUCTION a proposed urban mobility system: 1. users needs

and behaviours; 2. the urban structure; 3. integrated
The notion of e-planning in urban contexts is, in mobility services (usually based on Information
important ways, linked to facilitating and disciplin- Communication Technologies ICTs); and integrated
ing the movement of people, their mobility within transport systems. The first two relate to transport
urban space. The Strategic Research Agenda of demand, the second two to transport supply. The
The European Research Forum for Urban Mobility agenda therefore prioritizes users and user-related
(EURFORUM) identifies four main components of organisations in the development of effective and
sustainable transport policy and practice. E-planning
DOI: 10.4018/978-1-61520-929-3.ch019 is increasingly geared towards understanding the
Architectures of Motility
impact of policy measures and system innovations breakdowns as occurring at points of intersection
on mobility behaviour. or interaction between differing architectures.
In this chapter we suggest how e-planning can Our motivation here is to engage with engineer-
be strengthened through undertaking a sociologi- ing understandings, yet disrupt taken for granted
cal analysis of mobility based upon the study of notions of the term. The descriptive elements are
the design and implementation of an Intelligent then combined with theoretical and conceptual
Transport System (ITS) in a northern city in the resources to form a deep reading of the system
UK. Key to our analysis is an understanding of and its social consequences. Our conclusions
the way different configurations of urban ar- suggest the need for a perceptual or paradigmatic
rangements, technology interventions, and user shift in this aspect of e-planning (within design,
experiences result in varying degrees of mobility as much as research). The resulting sensitivity to
(Urry, 2007) for different people. We discuss this the multifaceted features of the ITS, and other
understanding in relation to the social theory of such large-scale, ubiquitous, urban technologies
mobilities that provides an analytic frame for de- that feature in e-planning, should carry forward
veloping a nuanced understanding of the complex into research and design activities by orienting
relationships between physical spaces, behaviour, practitioners to the socio-technical, temporal and
experience and technologies (Kaufman, 2002). essentially interpretive aspects of the technical
Our substantive focus is on the bus, seen as a crucial system itself.
public transport in urban centres; and much of our The description and discussion are based
story is about matters of detail that might seem upon a three-year study of the design and imple-
mundane. In fact, however, any future e-planning mentation of the system. The research involved
will need to understand how innovation will only a combination of interviews, focus groups, and
become normalised if it articulates with everyday fieldwork observations. Regular semi-structured
existing arrangements and practices. interviews were carried out with the primary
A defining feature of transport management project collaborator at the Network Management
systems is that while they are integrated into team as well as with related staff from the transport
multiple aspects of the urban environment and section, complemented by informal telephone
a key component of e-planning, they are largely interviews throughout the fieldwork stage of the
invisible as a form of ubiquitous computing project. Interviews and day-long discussions were
(Weiser, 1993). Much of this chapter seeks to also carried out with members of the technol-
reveal the details the features of the ITS central ogy development team, and members of the bus
to the process of reconstructing (or reassembling companys operational management team. These
(Latour, 2005)) the system as an understandable formal interviews (n=10) were underpinned by
social object. These descriptions lead off from a more informal strategy, whereby results of the
moments of breakdown, wherein the system analysis were presented in successive feedback
is seen to fail. Importantly, these failures are and discussion meetings. Interviews were also
seen as such by the users and stakeholders of the conducted with bus drivers during the latter part
system, rather than the consequence of an objec- of the fieldwork to determine their views on the
tive assessment on the part of the researcher, as system and the changes it would bring to their
some sort of evaluator or arbiter of worth. They work practices. Focus groups (made up from
are also characterized by multiple features, at 25 passengers) were carried out throughout the
once technical, perceptual, and social. They are implementation of the system (n=4). Initially
far from mere technical failures. To bring out these were characterized by facilitated discus-
these cross cutting features, we conceive of these sion centering on the passengers practices and
366
attitudes towards bus travel in the York area and organizational structure and relationships between
scenario and personal based material to explore different stakeholder groups. In relation to plan-
perceptions of utility in such systems (Cooper, ning theory the dynamic nature of ICTs interven-
2004). We also carried out a design exercise based tion in the city extends and questions traditional
upon the Participatory Design method and asked comprehensive planning notions because the
our participants to design travel information sys- city space becomes fluid and dynamic shaped
tems. At regular intervals in the implementation by the technology itself.
a researcher undertook field studies within the From a technological point of view, the integra-
city. These were in part to record the status of the tion of ICT into urban planning is seen as a means
installation, but also used to collect photographic to better manage the movement of people and
and video data of the interface. When appropriate, transport through the city environment. Planning
passengers standing at bus stops were engaged in then becomes a contingent matter of movement
informal discussion about the passenger informa- and flows and moves beyond a simple materialist
tion panels (PIP). notion of space management. The interpretive
turn in urban planning theory (Healey, 2002/1997)
(also known as communicative planning, see
BACKGROUND Woltjer, 2002) rests on the social construction of
the city and the need to recognize the collabora-
Perry (2003) argues that urban planning is con- tive realization of meaning through contingent
cerned with the intersection between two types practices in and through the cityspace. Hence
of plans: the planned city or la ville cre and planning work is both embedded in its context
the lived or everyday practices of people in the of social relations through its day to day practices,
city or la ville spontane. Accordingly planning and has a capacity to challenge and change these
mediates between the freedom of the city as ville relations through the approach to these practices;
spontane and the orderly production of the city as context and practice are not therefore separated but
ville cre (p.143). Into this formulation we must socially constituted together (p. 499). The urban
add the mediating role of ICTs. Such technolo- is for Graham (1999) a matter of local agency,
gies fit with a new urbanism approach to urban and with the introduction of ICTs these local and
planning which promotes a revitalized vision contingent influences are unpredictable. As Mc-
of high-density, transit-and-pedestrian-friendly Guigan (1999) argues, There is no inevitability
neighborhoods as an antidote to faceless suburban in the making and deployment of technologies
sprawl (Campbell and Fainstein, 2003 p.10), yet (p. 1). Graham asks why there is little recognition
their introduction is often undertheorised, and its of local agencies within urban studies, what he
role in the relationship between the city as physical calls maneuvering space (ibid, p. 11). He decides
constraint and its meaningful social construction that this is because of a dominant technological
goes unquestioned. At the same time, technology determinism in play, which assumes a grand
implementation gathers apace. narrative of objective, and revolutionary moves
The confluence of urban planning and ICTs towards an information society. Hence [i]n
brings the potential for two distinct orientations. this rush to describe this re-creation of the world,
The first we will describe in terms of the tech- actual telecommunications-based developments
nological architecture or engineering frame; the in real contemporary cities are rarely analyzed
second is the social frame, that incorporates the in detail (p.12).
technological architecture into the social archi- In 2005, the UK Department for Transport
tectures of passengers and driver interpretations, (DfT, 2005) published its Ten Year Plan, a
367
central feature of which was the allocation of through the prioritising of late buses through traffic
over 20m to support the pilot introduction of light junctions (so providing more consistent bus
real time information (RTI) initiatives on bus and running times), and traffic report data, enabling
public transport services, funding for which Local responsive management and the development of
Authorities were invited to compete. However, more effective timetables. Its most public facing
public transport RTI is a long way behind that for element is the electronic PIP positioned at some
roads. There is a very low level of geographical (though not all) bus stops. The system is made
coverage for real time information, particularly up of various components, shown in Figure 1.
for buses, and generally the quality is inconsistent A comprehensive list of the components can be
and complaints are relatively high (DfT, 2005). found in the appendix.
RTI in a public transport context, the DfT In brief, the design of BLISS is distributed
believed, would have a number of otherwise elu- across various sites and components: equipment
sive benefits. RTI might for instance improve the at bus stops - the PIPs; that found on buses (GPS
moment-by-moment coordination of public trans- receivers and onboard controllers that receive
port, preventing for instance the perennial problem information from the ticket machine); and traffic
of bunching whereby buses on a particular route lights (additional controllers). Computers act as
will over a period of hours converge. Crucially, in consoles, showing simple map based tracking
addition to service management improvements it of vehicles, at various places (including the bus
is believed that better access to information on drivers cafeteria, and the city network manage-
a real time basis will encourage a modal shift ment offices); an instation is located at the
away from private transportation. In turn, modal Council buildings and main servers receiving
shift is seen, not only in the UK but globally, as and relaying information about bus movements
an important means of local authorities meeting to the supplier and bus operator. The server is
their air quality and environmental targets now located remotely in London, though initially
One of the private sector initiatives that re- was sited at the Council. Traffic lights are fitted
sponded to this new funding was the BLISS (Bus with additional controllers. With respect to
Location and Information Sub System) system, information that is of interest to bus operators,
which had been under development through the BLISS offers the operational and management
combination of discrete elements brought together software Busnetlive, which provides real time
through the merger of competing companies dur- and historical performance information on the
ing the late 1990s. Wherever such systems are movement of buses. The software can be used for
introduced they have to contend with differing audit and reporting purposes. Such information is
local urban settings, and the physical and technical of interest because bus operators can be penalised
legacies they carry, such as existing urban traffic financially by the Traffic Commissioner if their
management programmes that focus especially on reliability levels fall below a certain threshold.
the car. As elsewhere, one key initiative of this This sketch is a technology-based description
particular Citys transport planning department of BLISS, one that can be found in the System
has been the development of the park-and-ride Specification document provided by the designers
services to lower the number of cars coming into and implementers of the system. This document
the centre by providing frequent bus services from is a fixed reference point, an immutable mobile
car parks on the outskirts of the town. (Latour, 1987), that provides for a common under-
The system as a whole provides passenger standing of BLISS. It also provides a contractual
information at bus stops in terms of predicted ar- basis for judging what the system is, and what
rival times of buses, automated traffic management the suppliers are expected to provide. Yet it does
368
Figure 1. Components of BLISS
not include how the system is actually used, nor ferent architectures intersect. Such breakdowns
the details of the urban context into which it is prompt a form of questioning of the system. In
added and the various other computer systems the sociological literature there are a number of
already in place. Crucially it does not detail the instances when breakdown is used as means to
implementation process nor take account of the carry out analysis. Garfinkel (1967) for example
interpretations attributed to BLISS over the period proposed to deliberately undermine taken for
of implementation. granted expectations in social life, through what
The system is, as noted above, typically hid- he called causing trouble, as a means to reveal
den but becomes visible when there is break- how order is achieved revealing the methods by
down in its readiness-to-hand (Urry, 2007; which people make sense of their world. Dewsbury
Wright & Monk, 1991; Heidegger, 1962). These (2000) identifies asignifying rupture (p.477) as a
moments often occur at points where the dif- useful analytical moment by saying, only when
369
there is a disturbance of some sort do we appear Intersecting Architectures

to ourselves as agents, with beliefs and desires
directed toward goals that require some particular The term architecture is typically applied to the
action (Dewsbury, 2000: 477). In this case it is total built environment and refers to form and
the person who is under question in terms of the function within material or spatial constraints. The
performativity (Jacucci et al, 2005; Michael, architecture of software systems on the other hand
2000) of a particular role. Taken together, mo- refers to the structure of components and their
ments of breakdown can then instigate questions interrelationships over time. These traditional uses
about performativity and the meaning and nature of the term usually relate purely to the technical
of a technology. object (building, features such as traffic lights,
computer systems etc.). The metaphor allows
Moments of Breakdown for a material appreciation of BLISS that, while
essentially an invisible (pervasive) computer
We first then introduce three moments of break- system, is situated in the physical contingencies
down that were identified in the research, we of an historic town.
will then go on to detail our conception of the The word architecture also speaks to the real-
different architectures involved and then discuss ization and reification of structures of relevance
the relation between our examples of breakdown (Chambers Dictionary, 2008). This allows us
and architecture. Breakdown was seen: to extend architecture as a metaphor to include
people and places as something like components
1. In the cab: the BLISS system fails to recog- and the dynamic relationships of people to the
nise individual buses and so the prediction system over time in terms of their attributions of
of bus arrival and the prioritisation of bus meanings and values.
movement and provision of information are We can, then, think in terms of four architec-
undermined. tures: the architecture of BLISS (understood as
2. At the bus stop: the information panel displays a distinct thing); the contextual architecture into
confusing and inconsistent information. which BLISS was placed (other systems, the
3. In the control room: the calculation of bus physical environment etc.); the temporal archi-
running efficiency undermines the bus tectures in play across the system-human divide;
managers position. and the architectures of meanings attributed to it
by passengers, bus drivers, traffic managers etc.
These range from tangible instances when In each case we pursue relationships within and
BLISS simply did not function (in the cab), through between architectures as moments of intersec-
an instance of perceptual breakdown (at the bus tion through selected examples based on two key
stop), to an interpretative breakdown, in that technical objectives, bus priority and predicted
BLISS was seen to contradict appropriate work- arrival time.
ing parameters (in the control room) for particular
stakeholders. We order them in this way so as to Architecture of BLISS
broaden the applicability of the conception of
breakdown to include technological, experiential, As we have seen, BLISS is a highly complex
perspectival, and finally configurational questions. system that incorporates a range of components.
We first need to sketch out our architectures, so as Some are installed on buses, while others are
to detail how these moments of breakdown occur situated at particular places. This may be in a
at points of intersection between architectures. control room, at a bus stop, or at a traffic light.
370
We saw the various technical aspects of BLISS in by Wrightbus based upon a Volvo B7LA engine
Figure 1. The different components are themselves and chassis.
self-contained technologies and manufactured by As an historic centre, the city is partially sur-
different companies. In addition to configuring rounded by a medieval wall with gates through
these new components, BLISS has to articulate which buses must traverse. There are strict build-
with existing elements. For example the PIPs are ing controls that limit the possible approaches
installed at pre-existing bus shelters and these to traffic management such as the creation of
physical constructions comprise backdrop for the additional bus lanes. BLISS was seen as a way to
information screen. An interesting design choice circumvent these restrictions through electronic
utilises the existing physical bus shelter to affect means, a viable alternative to physical adapta-
ownership by the bus passengers. The PIPs are tions. The city is characterised by straight roads
installed to be seen by passengers standing facing extending from the centre cutting the suburbs into
the oncoming traffic, and hence invisible to the triangular segments. Movement from one seg-
drivers of the buses. This was a deliberate move, ment to another is impeded by rivers, which are
according to the suppliers, to alleviate drivers only bridged nearer the centre. The net effect is
concerns that they were being monitored by the that there is a great deal of traffic on these radial
customers. Another appropriated technology is roads. At the same time, the city is characterised
the ticket machine on the bus, which acts as an by tourism. At different times of the year there is
interface between the driver and the onboard an influx of visitors and hence there is a need for
controller. As we will see, this was initially unsuc- adequate public transportation services. Around
cessful, and caused system failure. the outskirts of the city are positioned a number
of Park and Ride stations at which visitors (and
Contextual Architecture everyday commuters) can park their cars and then
travel into the city centre by bus. It was on one of
BLISS was introduced into a situation containing these Park and Ride routes that the information
a vast array of existing material and non-material and control system was first tested.
features. These included already installed and To simplify matters we can think of some as-
working computer systems, organisational ar- pects of this contextual architecture as subordinate
rangements and practices, the traffic infrastruc- to BLISS (e.g. the existing equipment on buses)
ture, including the physical traffic lights; and the incorporated as a component. Other features can be
matrices of documentary artefacts, including bus seen as acting in parallel in a sibling relation (e.g.
schedules and human and equipment resource other traffic management systems). Still further
scheduling. All of which have a history of devel- features can be seen to be super-ordinate (e.g. the
opment and a level of permanence. urban environment). It is important to maintain
The city under study has a population of recognition of the irreducible interconnectedness
137,500 people and is served by a number of of the features. So, for example, the ticket ma-
national bus companies. The transport market chine, which is in a subordinate relationship to
is dominated by one company that has 62000 BLISS, and that communicates with the onboard
employees in the UK and US. The company controller, is configured in line with the physical
operates 20 routes in the city, is competitive and bus stops on a route that is itself situated in rela-
looks to develop its service in a number of ways. tion to the existing road system and hence based
This includes the introduction of novel streetcar upon the super-ordinate architecture of the city.
buses, which emulate traditional city trams, built
371
Temporal Architectures there is a financial penalty levied when buses do

not maintain a particular level of efficiency (at the
There are two identifiable temporal aspects of the time of the study this was that 95% of the buses
BLISS system: that concerned with the everyday were running within a five minute variance of
moment-by-moment management of buses; and the scheduled times). While it is the bus operator
that concerned with providing information to who creates these standardised timings (the timing
potential passengers at the bus stop. As we will points are typically the same for each weekday
see however, these aspects are not unrelated, and and for each weekend day), the guarantee to meet
both rely upon the tracking of buses. These new them on every occasion can cause problems due
temporal architectures are built upon existing to varying changes across different days in the
architectures, including the historical produc- week, and different points in the year. In addition,
tion of the timetable by the bus operator and the ad hoc influences such as road works or weather
formulation and distribution of chapter timetables conditions may dramatically influence the buses
to passengers. progress. The skill in writing a schedule and the
accompanying running board is in balancing all
Existing Temporal Structures: these changes while writing a standardized tim-
(I) Bus Management ing document. In addition, as has already been
intimated, the different running boards must
Any bus service has a public facing timetable complement each other and fit together to form
and an administration oriented running board. a complete service, that has multiple routes, and
This second set of timings is an administrative tool tens of drivers: they must fit together to provide an
and includes not only the points in time that a bus adequate service, while at the same time meeting
should be at a particular bus stop (as in the public the contracted working hours of different sets of
facing timetable), but also emphasizes various drivers (part time, full time etc.).
timing points when a bus should arrive and rest at Historically, the bus operator has moved from
a particular point on a route. If a bus arrives earlier a pencil and paper system to one based upon
than the stipulated timing point, it has to wait. In various monitoring tools. For example, on-street
addition the running board is organised to show supervisors sample the arrivals at a particular
a series of individual bus journeys in sequence, timing points and report these back to the manage-
and may include those from different routes, such ment. It cannot be emphasized enough however,
that a bus driver following a particular running how random these activities are. In addition,
board first drives one route, and then journeys supervisors are typically ex-drivers and are seen
to another route and drives the bus on this route. to be on the drivers side. Historically, aside
The running board therefore includes such tim- from customer feedback and complaints, there
ings as walking time between different routes, have been few other indicators of an individual
rest periods (including lunch break and short cab buss progress and hence the efficiency of the
breaks) and acts as the main standard by which bus service.
the organisation, in terms of ongoing manage-
ment of the bus service, is judged. However it is Existing Temporal Structures:
only the timing points that are used to calculate (Ii) Bus Information
whether a bus is running to time and are the only
measures of the services efficiency. The timing The schedules mentioned above are publicized
points for the total bus service are registered with through paper leaflets and on bus stop notice-
the UK government, and as mentioned earlier, boards. One set of resources that sits alongside
372
the published timetabled schedules is the local to-green) or holding the lights for longer (stay-
knowledge of regular passengers. This can be on-green). At the same time the GPS information
based on repeated journeys taken at the same is transmitted across the city to all PIPs. Each PIP
time each day, or may be in terms of mental listens for relevant information based on bus route
representations of service regularities, such that and journey number and with this calculates the
a particular route has a bus every ten minutes. predicted arrival time for a particular bus. This
The published timetables take advantage of this is displayed to waiting passengers.
kind of local knowledge by firstly incorporating We now turn to consider such aspects as a form
regularities such as this and also by publishing a of architecture of meaning and practice.
service as having a regular character. Indeed often
the printed timetables will give specific times at Architectures of Meaning
the beginning and end of the table and then denote and Practice
regular intervals in the intervening period. These
local understandings are a form of local meaning The BLISS computer system relies upon, and
and result in repeated practices. affects a large number of people who comprise
GPS equipment calculates the location of the sets of stakeholders, which includes passengers,
bus every thirty seconds. This information is drivers, the designers, the Network Manage-
transmitted to the BLISS instation and compared ment team and bus managers. In addition there
to a bus schedule and a degree of lateness is are other road and city users: pedestrians, car
calculated (from 1 to more than 5 minutes). drivers, and passengers of other bus services. We
Figure 2 describes this process. The degree of consider here four main stakeholders: the network
lateness is transmitted back to the bus, and as it managers, the bus operator, the bus drivers, and
reaches a particular location the ascribed degree the bus passengers.
of lateness is relayed to equipped traffic lights.
The traffic light, based on communication with Network Managers
the Traffic Congestion Management System
(TCMS), decides whether or not to give priority The story of the implementation of BLISS plays
to the approaching bus and then decides to do this out against a backdrop of ascribed meanings and
either by changing the lights more quickly (fast- expectations. For example it was assumed by the
Figure 2. Process and temporal dynamic of the BLISS
373
local councils transport Network Management the scenes robbed it of being a visible addition
team that the incremental implementation of the to the bus service.
system elements would be enough to persuade
the bus management of the benefits of BLISS Bus Drivers
in that it would show that the system would
indicate the potential for consistency of journey The onboard equipment was installed such that it
time. They hoped that the private bus operator was not immediately visible or accessible to the
would recognize these benefits and agree to help bus driver. What information had been given to the
finance the maintenance of the system over time. drivers (and this was limited) emphasized the GPS
The benefits imagined by the Network manager aspect, which recorded the location of the bus and
were not realised because the limited initial imple- transmitted it to the instation. The advantages of
mentation did not have a noticeable effect on the the bus priority aspect were completely obscured.
efficient running of the total bus service, in part The bus drivers experience of the system was
because of the limited number of equipped traffic purely via the passengers experience of the PIPs,
junctions and the range of technical problems, but which, as we have seen, were installed so that
more importantly because the bus operations team they could only be seen by the passengers and
had a different notion of quite what the benefits not the bus drivers. BLISS resulted in additional
might be. monitoring by the passengers.
Bus drivers are largely self-managing. There
Bus Operators are a small number of bus supervisors, who are,
or who have been, drivers. The decisions that
The bus operator understood the potential benefits affect efficient running are made at street level.
of the BLISS system in terms of customer satisfac- One of the clearest examples of street level
tion. This would ideally have been seen in a more control of buses comes in terms of managing
regular and efficient bus system, but could also headway (the time between buses on the same
be improved through the impression that the bus route). As headway reduces and buses bunch,
company was investing in new equipment. Yet, the decision will be made (either between bus
the bus operators accumulated knowledge and drivers over radio communication, or by a su-
experience told him that the response of customers pervisor) that the relatively empty bus overtakes
to changes in the bus service were typically some the one running late. This results in a reordering
time after the changes had been affected - normally of the buses on the route and hence the BLISS
eighteen months after a change had taken place journey numbers. A consequence of which is
(a new route, improved bus conditions etc.). In that PIPs are listening for the wrong buses. The
terms of timescales, the network managers and the new technical arrangements effectively move
bus managers were working to two different time control from the street-level to the operations
periods. The Network managers were expecting management offices.
an immediate response from bus operators, which The issue of journey number brings us to an
the operators (looking to customer responses) were example that points up the social aspects of the
thinking in terms of years, not months. From the BLISS computer system. While notionally part
beginning the bus operator was sceptical about of existing bus driver practice, journey numbers
the systems pervasive but invisible character, had far less importance. Historically when a driver
saying that BLISS amounted to priority by starts a route she or he must enter information into
stealth. The fact that the system works behind the ticket machine to bring up the correct fare
374
table (based upon the companies fare structur- function. The first explanation formulated for this
ing). To do this all that the driver needs to do is was a technical one.
enter the correct route, and the correct direction The existing ticket machine acts as an interface
of travel. They do not have to enter the correct between the existing equipment on the bus and
journey number. Given that at best the BLISS the new BLISS equipment. It transpired that the
system is invisible to them, and at worst it is a communication between them was problematic.
new form of monitoring, it is unsurprising that As an issue of configuration it was seen as a
this practice changed only slowly. technical problem to be addressed by the system
developers. It later transpired that the situation
Passengers was more complicated. There were in fact two
different types of ticket machines installed on
Bus passengers bring a wealth of accumulated the buses. The Wayfairer 3 was installed on all
understandings and expectations. For example normal routes and the ERG was installed on the
passengers on the Park and Ride service are used newer Park and Ride buses (although at times the
to driving to a car park and there being two or three buses from one type of route could be sequestered
buses waiting to take them into town. Passengers for the other). The latter ticket machines were
in the research focus groups expressed detailed more likely to work with the new equipment, the
knowledge of which particular bus stops to catch former, older ticket machines did not work at
a bus at. Park and Ride passengers would go to all. The Park and Ride buses were the first to be
the bus stop immediately before the one typically installed with the BLISS equipment and so the
used by tourists (near to a city attraction), so as true nature of the problem did not manifest itself
to be assured a seat. On other routes, experienced until later in the installation process.
passengers shared a common understanding of The older ticket machine became talked
when a particular service ran from their local stop. about in terms of redundancy, rather than a tech-
Infrequent passengers rely on journey frequency nical problem of the design of the communica-
information that mimics this understanding. tion between the ticket machine and the onboard
controller, and the bus operator agree to upgrade
Intersecting Architectures the ticket machines on all the buses. However,
the technology problem later turned to one of
We have introduced the different architectures driver volition.
of BLISS and suggested how they relate to one An alternative explanation was offered for the
another. Drawing on our ethnographic material, non-functioning system. Each progression of bus
we identify three instances of breakdown, when from one end of a route to the other has a unique
these architectures interact or intersect, and use journey number. Without the correct identify-
them to pursue a detailed analysis of the system. ing number the bus is invisible to BLISS. While
an operational feature, journey numbers were
In the Cab new to the drivers. It was suggested that, either
through inexperience or deliberate act, the drivers
The first moment of intersection and breakdown were inputting an incorrect number into the ticket
that we would like to consider was pivotal to the machine at the beginning of a route. The BLISS
functioning of the total system. For some time a developer suspected that it was deliberate: in other
number of individual buses were not recognised installations of GPS tracking systems there had
by BLISS; hence both the bus priority and cus- been instances of vandalism premised upon driver
tomer information aspects of the system did not concerns about monitoring.
375
We are not in a position to decide whether and meaning and results in the potential of system
drivers were deliberately using an incorrect failure and worsening management relations.
number, however the issue of monitoring draws
out two conflicting meanings attributed to BLISS At the Bus Stop
by the bus drivers and the bus operator. To the
bus driver the GPS aspects of the system was This following instance is another intersection
indeed a form of behaviour monitoring; to the bus between the system architecture and the architec-
operator the system is a tool for attaining better ture of meaning and practice. This time it is the
management of the bus drivers from a distance. passenger at the bus stop who is centre stage. Our
These interpretations speak to, and reinforce, the analysis revealed themes within the passengers
existing antipathy between drivers and manage- discussions about the PIPs, which we can under-
ment that is premised upon driver resistance to stand in terms of the ambiguity and account-
office-bound management control. The contrast ability of the interface content. The following
is best seen in the managers decision to place photographs, taken by the researcher, depict a PIP
one of the first BLISS consoles (displaying bus over a period of 6 minutes (according to the clock
movement over a map) in the canteen of the bus in the bottom right hand corner of the display) and
drivers, even before a place had been found in the show inconsistencies in the predicted times.
offices of the operations team for the console (and At 15:46 the first bus is predicted to be nine
the additional Busnetlive software). The Opera- minutes away, and the second fifteen. One minute
tions manager confided in an interview that this later and the second bus is still fifteen minutes
was a deliberate move to press on the drivers the away and the first eight minutes.
monitoring features. As an aside, at the end of the One minute later and the second bus is ap-
research period there was not a console installed parently a minute closer, but the first bus is now
in the Operations office and no member of Op- going to arrive in six minutes.
erations staff had been trained to use the console Four minutes later and the first bus is DUE,
and there was uncertainty about how it would be yet the second bus is twelve minutes away. From
incorporated into work practices. being six minutes apart, there appears to be double
The imposition of sequential journey numbers that time now.
by the BLISS system runs contrary to established The reasons for the inconsistencies are techni-
on-the-ground management practices. Being able cal. BLISS does not in fact calculate its output
to re-order, and redirect buses allows on-street su- in real time: the position of the bus is only
pervisors to respond to contingencies in real time calculated and transmitted every thirty seconds.
such as bunching that results naturally from the This positional information is then turned into
mobility dynamics of buses (as a bus is delayed an estimate of progression (and hence speed of
it picks up more customers, which incurs greater the vehicle) through comparison with following
loading time and delays it further. The bus behind position information. The accuracy is greater the
has fewer customers and proceeds quicker). BLISS number of instances plotted. This may take three,
threatens to undermine the role of the on-street perhaps four instances, which introduces a delay
supervisor that has mediated management power of at least ninety seconds. In addition if a bus is
and control in the past. stationary over consecutive positioning events
In this case then the architecture of BLISS has (loading passengers at a bus stop for example)
the journey number as a software component. the process is restarted.
This simple architectural feature however inter- We have an instance in our data that highlights
sects with established architectures of practice these features. A passenger information panel was
376
fitted to a bus stop that was only a short distance for the passenger at the bus stop to not trust the
from the beginning of the route. It took the bus information again.
perhaps two to three minutes to travel this distance
and hence the PIP, if it displayed any informa- In the Control Room
tion at all, moved directly to display Due. This
was in part because Due is display when a bus Our third example is based on a less tangible
is two or less minutes away, but mainly because moment of intersection because it concerns the
the system did not have enough time to calculate perspective of the transport network managers
the progress of the bus from its resting position at behind closed doors and concerns a question
the beginning of the route. Added to this, the bus of configuration. It serves as an example of the
stop in question was positioned on a long straight intersection between BLISS and the architecture
road, which meant that a person standing at the of existing transport computer systems. It speaks
bus stop could see the bus long before the PIP told to a breakdown in BLISS due to the software
them the bus was due. This particular instance is configuration that switches off the prioritization
an intersection between the built environment, of BLISS buses at certain times.
the system architecture and the architectures of One of the other systems in the UTMC is called
meaning and practice. SCOOT (not an acronym). It exists in a sibling
A simple way to interpret the inconsistencies in relationship to BLISS and has its own objective.
the PIP display is to read into the information a SCOOT seeks to create and maintain a so-called
mundane cause: the second bus has been delayed greenwaving effect - the steady flow of all traffic
and the first bus has sped up. This requires an through successive traffic lights (see Figure 3).
understanding of congestions and other traffic When a BLISS enabled bus joins from a side
features that influences bus movement. However, street a corridor on which SCOOT is working, a
and this is the key issue here, if predicted time decision has to be made by the central computer
is hostage to the everyday contingencies of traffic system (the UTMC) about which objective to
movement, what use is it, and more importantly, pursue, either the greenwaving objective, or
how reliable is it? One suggestion made by the the prioritisation of the BLISS enabled bus.
developers, is that the intervening time denoted Should the main traffics progress be interrupted
by the prediction could be used to do other ac- by giving the bus priority, or should the bus wait?
tivities away from the stop. However if a person This question was a matter of ongoing discussion
had read the display at 15:46 and come back eight between the Network Management staff and the
minutes later, they would have missed their bus. developers of the system (and had not been de-
It only takes a few instances of this happening cided by the end of the study). The key point is
Figure 3. SCOOTs greenwaving objective as described in interview with the network manager
377
Figure 4.
that even with a fully working BLISS, it could be 2006) conceives the city in terms of movement
possible for the prioritization request of BLISS and a set of flows (people, transport, information
equipped buses to fail. etc.). At the same time this fluidity is afforded
This single issue of configuration highlights a through dynamic ordering processes which have
number of interesting features. First we should note produced our chief sense of urban space and time
that SCOOT is not limited to one bus company and [and is] produced through the design of mundane
is owned by the councils transport management instruments of encounter (Amin & Thrift, 2002,
office rather than the bus operator. It acts on bus p. 83). Hannam et al. (2006) similarly note that
movements, but is also seen as a way to control mobilities are reliant upon moorings (p.3), a
all traffic through the city. Interestingly buses variety of geographically fixed features such as
are seen as thermometers of all traffic move- roads, traffic lights, mobile phone transmitters and
ment. SCOOT effects changes in the total traffic the like. In terms of public transportation and the
movement, and hence exists at a higher level of movement of people through the city then, bus
traffic management than the bus based BLISS. It management and information technologies can be
is likely (although only hinted at by the Network conceived as forms of moorings or mundane
manager in interview) that SCOOTs objective instruments of encounter.
will prevail. If this were to be the case, BLISSs The mobilities approach is valuable here.
prioritisation function would be undermined, and Transportation is engendered by movement of
the system would fail to function in its objective people, equipment and information and the BLISS
of helping the buses run to time. system is positioned as a means to augment and
We have detailed three instances of break- enhance such movement by speeding the flow
down: the first premised upon the interface be- of the bus through the city, easing the transition
tween the system and the bus driver, the second from one mode of movement (walking) to another
between the system and the bus passenger, and (the bus) for passengers, through contingent and
third the system and the network manager. We will dynamic information provision and enabling the
now use these readings of moments of intersec- management of bus movement through the provi-
tion, interaction and breakdown to address our sion of detailed timing reports, that in turn enables
initial concerns about mobility and their wider iterative writing and rewriting of timing schedules.
implications for e-planning. There are at least two ways to conceptualise
the relationships between the city, technology
Discussion: BLISS, and human activity. Graham and Marvin (2001)
Mobility and Motility analyse the city as constituted by multilayered
landscapes that include the technological infra-
Instead of fixed geographical regions the emerg- structures of utilities, information and transport
ing field of Mobilities (Urry, 1999, Hannam et al, and understand the city as a sociotechnical object
378
borne of the complex interconnections of these inherent in technology but is also a performative
and other scapes. Our use of the term architec- outcome of ongoing interaction with technology.
tures mirrors this idea of landscapes. Graham and Our moments of breakdown not only reveal
Marvin assert that these urban arrangements of system failures but also contingent processes
technology and space embody congealed social of meaning attribution, moments of resistance
interests (ibid. p. 11) and produce sociotechnical and appropriation. Rather than the technology
geometrics of power. Further [t]he construction determining particular structures of power, we
of spaces of mobility and flow for some, however, have seen that the meaning of BLISS is dynamic.
always involves the construction of barriers for It is contested and such alternate meanings lead
others (ibid. p.11). Rather than providing for a to instances of resistance, such as when bus
static and taken for granted backdrop for human drivers undermine the system through a single
activities in the city, the various technological action. Rather than looking for increased mobil-
infrastructures result in a splintered urbanism ity through the e-planning afforded by ITS, it is
in which inequality is central. Different spatial clear that we need to attend to the differential
arrangements and technologies are seen to afford motilities that are enabled by the intersection of
different degrees of motility or potential for the architectures we have sketched out above. The
mobility (Kaufman, 2002), with motility being uneven, contingent and so performative aspect of
a crucial dimension of unequal power relations ITS explains how patterns of (uneven) motility
(Hannam et al, 2006, p.3). rather than the production of uniformly improved
Coutard and Guy (2007) in contrast present a mobility characterise the e-planned urban transport
less deterministic analysis of the technologised system. This is especially important of course
city, by emphasizing the ambivalence inherent for those the ITS implementation is supposed to
to all technologies, the significant potential of serve, the passenger.
contestation of, and resistance, (sic) to technology-
supported forms of discrimination, and the deeply Passenger Motility and BLISS
contingent nature of the process of appropriation of
new technologies (p. 713). Their argument has the Flamm and Kaufman (2006) set out a structure
active human working to incorporate and change for understanding motility that makes the abstract
the technologies appearing in the city into their own concept amenable to analytic processes. They de-
practices and understandings. Key here is the ideas fine motility as how an individual or group takes
of resistance and contingent appropriation that possession of the realm of possibilities for mobility
leads us to drill down to those moments of mean- and builds on it to develop personal projects (p.
ingful interaction between a person and the urban 168). They identify three main factors involved
technology. Such approaches are part of a new in motility: (i) access rights, (ii) skill or aptitude
kind of urbanism that emphasises the ongoing and for mobility and (iii) cognitive appropriation.
contingent nature of cities as emerging from the Access rights: The first of these they list as such
dynamic relationships between technologies and factors as ownership of an automobile, access to
people and where the regulation of cities through reserved parking place, privately owned light
technology is constantly contested and renegoti- vehicles, public transportation passes, etc. To this
ated (Coutard and Guy, 2007, quoting Amin and list we might add in terms of bus transportation,
Thrift, 2002). Accordingly each urban moment an appropriately placed bus stop and well timed
can spark performative improvisations which are bus routes.
unforeseen and unforeseeable (Amin & Thrift, Skills: Travel is so common that we tend to
2002:4). Motility here is not only afforded by and forget that it is necessary for a person to pos-
379
sess specific skills and aptitudes. This may be as 180). For planned journeys on unfamiliar routes
obvious as having a driving license but can also punctuality is key, while improvised trips require
extend to the ability to walk short distances, or temporal flexibility and spatial accessibility
manoeuvre up a bus step. For bus travel a person are important.
needs skills in timing their travel, including the Flamm and Kaufman highlight cognitive ap-
skilled use of a timetable schedule, they need to propriation as what people do with access and
understand the customs and practices involved in skills (p. 169) in that an individual must con-
taking a bus (and the ability to remain calm when sciously incorporate the technology into their lives
the behaviour of others is troubling or the bus is based upon the resources to hand (in themselves,
running late), and they also need local knowledge and in the world). What is interesting and relevant
about the area, and perhaps alternative routes for our analysis is that Flamm and Kaufmann con-
and facilities. Flamm and Kaufman concludes nect across the social, individual and perceptual
that learning to master a transportation mode domains and their prioritisation of cognitive ap-
is first and foremost a question of accumulating propriation fits well with our methodology that
experience which therefore requires a medium to pursues wider issues of social, organisational
long-term learning process (p. 168). When start- and individual mobility through single moments
ing to accumulate this experience it is essential of user perception. Our moments of intersection
that there be an accommodating environment in and interaction similarly combine these different
which to learn new skills and fail if necessary. In aspects. Also in contrast to engineering notions
terms of our use of architectures, the passengers of dependability and reliability, such notions
history of experience is an essential element of prioritise the contingent interpretations of those
their motility, but also these experience struc- attempting to use the technology.
tures set up interpretations, expectations and In our discussion of the PIP interface we
preferences. showed that the system is judged in the context
Cognitive appropriation: This starts from the of experience and interpretation. The motility
idea that to cope with the range of possibilities afforded is then highly contingent. The access
involved in transportation, people create simpli- rights assigned are dependent upon the progres-
fied representations of the opportunities and sive and emergent interaction with the system. At
form evaluations of their different merits and one moment this might be stable or perceived
usefulness. There are numerous factors involved to be when a person first looks at the display.
in these representations including rapidity, ac- Continued and conscious waiting and watching
cessibility, independence, cost, safety, reliability, has, however, the potential on every next turn to
comfort, quality of services and environmental undermine this. The cognitive appropriation is then
impact (energy efficiency, polluting emissions, continually in flux, as is the authenticity of the
noise (p. 180). However, key, according to skilled passenger role. Only at some time later will
Flamm and Kaufman, are safety and reliability. a representation of the experience be engineered
Reliability is defined as any means of travel and added to the accumulated experiences to
that functions well and that we can trust to take form an evaluation. And hence only over some
us to the right destination and in a timely manner period (a quite extended period according to both
through all the days activities (p. 180). This Flamm and Kaufman and the bus operator) will
implies that a means of travel is predictable and the decision be formed.
that the aids for finding ones direction along the So what does this say about the motility of
way are sufficient for first-time journeys, and the BLISS? According to our analysis, it is difficult
trip can be organised to suit ones activities (p. to see how motility can be improved at this stage.
380
One response might be to say that only when the is assumed that sequential time expressed in nu-
ambiguities of the PIP can be countered when merals is the answer, this being a technical answer
the interface presents reliable information in to a social and experiential concern. It imposes
the sequence of predictions can we imagine the a technical frame on the history of experience of
information displays to impact upon passenger the bus passengers, instead of understanding the
experience, public acceptance and non-bus-using accepted ambiguities of catching a bus.
public awareness of the benefits of the computer With regard the priority system of BLISS,
system. In regards to the prioritisation, again we we have seen instances of when the intersections
could look to some future date when the ambigui- between the understandings of the system can
ties in the system are diminished. This would entail undermine its working, and we have begun to
agreement over the relationships between BLISS appreciate the contested nature of these purposes.
and other computer objectives such as SCOOT We might then speak to a broader metric for a
and also when drivers are adequately informed working system, one not based solely on the
and reassured about their place in the system and technical readout, and numerical output of the
the benefits it will bring. In sociological terms we system itself. There is an issue here of circular-
would be looking toward a form of stabilization ity. The technical judge of whether BLISS works
(Kline & Pinch, 1996). as a means to effects efficiency is BLISS itself,
The key point is that stabilization does not expressed as a numerical percentage of the num-
rely purely on technical progression. Any technol- ber of buses running within five minutes of their
ogy implementation is entwined with social and registered timing points. The BLISS system does
physical aspects. And more, the consequences of not mean that journey times will be shorter since
a technology are the outcome of a combination of its underlying objective is to bring buses in line
human and machinic agency (Pickering, 1995) with the schedules. Given what has already been
and do not rest purely on the technological design. said about the nature of the technical and social
The best that we can say is that technology affords temporalities within the system, success, in terms
a range of outcomes, that are specified in line with of efficiency, is as contested and variable as any
social interpretations and physical contexts, which other aspect of the system.
are themselves premised upon a range of more
or less established constraints and expectations.
All of which does not leave us powerless. We FUTURE RESEARCH DIRECTIONS
can still criticize aspects of the design and make
recommendations for future systems. The study above was based upon a particular in-
We might for example criticise the form of the stance of the implementation of ICTs into public
information display as part of the overall design transport management and provision. It repre-
of the system. Perhaps predicted arrival time sents then a specific example, and the analysis
is the wrong information to show, or perhaps is specific to this example. Our concerns have
presenting a prediction with no means to appre- been local rather than at a more national or long
ciate how this information was calculated is the term level. This means that it is difficult for us to
problem. The information is meant to effect a make predictions about the future trends of these
sense of reliability when it never will, even if the kinds of interventions. What we are able to do is
technical aspects are changed and the prediction talk to the immediate aftermath of this particular
is presented in a way that does not open the pos- implementation and from it make generalized
sibility of questioning (as a picture of a bus on a claims about the nature and likely character of
map for example). Perhaps the problem is that it future implementations.
381
BLISS became a platform on which to build CONCLUSION

the service of the bus company situated within the
ICT structure of the city. Whether this connec- Mobility is better understood in terms of motil-
tion was planned in advance is unknown, yet the ity, the potential for mobility. We sought to reveal
relationship between BLISS and the next stage of the motility of an intelligent transport system
development was central to these developments. called BLISS by conceptualising the system in
In other words the connection was contingent its interpretive, physical and machinic locales
and highly consequential. It is quite likely that by understanding different architectures and
similarly contingent development happens in other looking to see how these architectures relate to
urban contexts given the iterative nature of the one another. We understood these as moments of
development and adoption of innovation systems. intersection and interaction and looked to reveal
Despite such contingency, what we can see is these assemblages of socio-technical features
the emergence of complementary informational through specific instances. As those moments
infrastructures such as new street-based infor- when the social technical arrangements become
mation kiosks that exploit yet add to elements visible to interpretation, they are also moments
of the transport system, and in turn a recursive when there is an empirical warrant for approaching
development as bus operators go on to refine their them analytically. In ethno-methodological terms
fleet to exploit what are seen to be economies of they are moments of trouble, and hence become
scale and saving on labor costs. However, the contingent matters of ethno-methods for making
social relationship between the bus and its pas- sense of the world. The BLISS implementation
senger constrained how far such changes could is one that has taken considerable labour across
go. Elongated bendy buses and a particular novel all the social actors discussed above. As May and
arrangement of bus driver and ticket provision Finch (2009) have argued elsewhere, all social
such that passengers were not able to interact processes are complex and emergent and can
with the driver to buy a ticket but instead had to be transformed by the proximity of, or interaction
use an onboard ticketing machine. It was found with, some other process or event. Implementa-
that this caused problems for passenger loading tion processes are no different. This means
times, especially when the person mounting the that predictions of the outcome of a complex and
bus was elderly. Journey times were doubled, emergent process are a problem. After all, social
and the timetables accuracy threatened. The bus processes transform as they are produced and
company eventually removed the machines and reproduced. (p. 548)
returned to a conductor (renamed a customer This conceptual line leads to an appreciation
services representative). It is certainly ironic that of the complexity of BLISS understood through
the attempted modernization actually resulted in a social and urban frame of reference, which con-
more traditional arrangements. trasted with the simplistic engineering frame that
These two aspects of the study contingent equated such features as passenger reliability with
innovation across different actors coupled with numerical efficiency, and imposed a rationale that
a workability that requires continued reference requires the elimination of ambiguities. The social
to the social relationships of the service will frame instead would embrace these ambiguities
be likely to shape future trends in this form of and so inform future e-planning for improved
e-transport in years to come. motility and so genuine mobility.
382
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for sustainable change. Transport Policy, 7(3), afforded greater mobility than others, the term
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Thrift, N., & Dewsbury, J. (2000). Dead geogra- Social Frame: An analytical approach to
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Webster, A., & Reed, D. (2007). Use of ICT in over time by heterogeneous social actors and so
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mobility impaired. CSAU seminar, department
for transport.
385
APPENDIX: BLISS COMPONENTS
On Bus Equipment (1 Per Vehicle)
CR120 Power Supply and Radio Unit

DT110 DeltaTrak on board Computer
Panorama Dual-band whip, or LP VHF and GPS antennae.
SC100 Low Power Traffic Signal Priority Transmitter
PIP Installation Kit (1 Per PIP)
Red LED 3 line 30 character display with 29mm character height, with 30 character spaces per line,
fitted with DT102 DeltaTrak board and Radio programmed with network file.
Panorama whip, or LP antenna as appropriate
Or
Pole mounting LCD display, fitted with DT102 DeltaTrak board and Radio programmed with network
file.
Panorama whip, or LP antenna as appropriate
Base Station Kit
1 Key KF510 20A Base Stations

1 Key PS114 Power Supply
1 19 Rack assembly
1 Antenna
In-station Kit
1 19 Rack Assembly
1 Dell PowerEdge 1650 computer
1 Dell PowerEdge 1650 computer Web Server)
Bus Operator Workstation
Dell Optiplex 240 - 17 LCD - specification:

Fast Intel. Pentium 4 processors up to 2.2 GHz, with 400MHz system bus
256KB Advanced Transfer Cache
Up to 1,024MB 133MHz SDRAM Memory
Enhanced Quietkey (Spacesaver) keyboard with 3 programmable hotkeys
Microsoft Intellimouse 2 Button Wheel PS/2 Mouse (+#5)
SD chassis stand for tower orientation
386
Microsoft. Windows. 2000 Professional (SP2) (Excluding Docs. & Recovery CD)
NTFS Hard Drive File Format System
Traffic Signal Junctions (1 Kit Per Junction)
SC135 TSPU Assembly

SC160 PSU
387
388
Chapter 20
RFID in Urban Planning
Les Pang
University of Maryland University College, USA
Vanessa Morgan-Morris
Constellation Energy and Community College of Baltimore County, USA
Angela Howell
Department of Defense, USA
ABSTRACT
Radio Frequency Identification (RFID) is a significant emerging technology that enables the automation
of numerous applications globally. Professions, businesses and industries have integrated this technology
into their procedures and it has resulted in great advances in the accuracy of data, operational efficien-
cies, logistical enhancements and other process improvements. This chapter discusses the application
of RFID technology to support the needs and requirements within the realm of urban planning. First,
the historic and technical background behind RFID is reviewed. Illustrative examples of its use are
presented. Next, the technologys potential is explored in terms of a practical tool for urban planners.
Consequently, issues and challenges associated with RFID are identified and considerations to be made
when applying the technology are offered. Finally, the outlook for RFID technology is examined as an
instrument in urban development and the expected exponential growth of the technology is discussed.
INTRODUCTION Current methodologies include the use of remote

sensing technology in the form of satellite data col-
Urban planners face major challenges in the collection to determine land use trends in urban as well
lection of data towards analyzing the constantly as rural areas. State-of-the-art data collection tech-
changing social, economic and environmental niques also include surveys and interviews, traffic
conditions in cities. This data is instrumental in the monitoring devices and ethnographic observations.
development of accurate models used to plan urban RFID technology offers a new and innovative
communities -- many of which are facing critical approach to data collection that will revolutionize
issues and challenges. urban design and planning. Through the use of these
small monitoring devices, data accuracy will be
DOI: 10.4018/978-1-61520-929-3.ch020 significantly improved thus resulting in planning
models with higher precision. These devices data entry error and free people up to perform
can detect trends at the pedestrian and vehicular more productive jobs and functions. (RFID4U,
level as opposed to the remote sensing satellite 2006, pgs. 1-2, 1-3)
techniques at the atmospheric level. However, as RFID utilizes radio frequency waves to transfer
with all technologies, the use of RFID presents data between a reader and movable or stationary
challenges to the urban planner that must be objects called tags. This data is used to identify,
considered and addressed accordingly. Also, the categorize and track objects as they move through
outlook of this technology needs to be examined a controlled environment. This technology consists
to see where it will take the urban planning pro- of a combination of technology components:
fession in the future.
This chapter starts with the background of Tags - a microchip packaged with an an-
RFID in terms of its technical underpinnings and tenna used to identify objects. Radio
its history and provides illustrative applications. Frequency is used to transfer data between
Next, it examines the relevance of RFID to the the tag and a reader.
urban planning profession, namely as a planning Readers - Reads data from a tag (inter-
tool for data collection. This chapter then iden- rogates a tag) and writes data to the tag.
tifies the key issues and challenges associated It communicates with the tag through an
with RFID that are pertinent to its application antenna that emits radio waves. Some
in the urban design and planning environment. readers can provide power to tags without
Based on the identified issues and challenges, their own battery. Readers are also called
considerations when implementing RFID technol- scanners.
ogy are explored. Finally, the outlook for RFID Antennas - Two types of antennas in an
technology is examined in terms of its use as an RFID system, one is in the tag and the oth-
instrument in urban development and projections er is connected to the reader. Usually it is
of the expected growth and expansion of the RFID referred to the one that is connected to the
technology are presented. RFID reader.
Networking - Transports data and
commands.
BACKGROUND Software - Helps manage business pro-
cesses; device drivers, filters, databases,
RFID Technology middleware and user applications such as
warehouse and supply chain management
RFID is one of many technologies known as systems.
auto-identification (Auto-ID) technology. Auto-
ID is a very broad term that relates to several In basic terms, the RFID information flow
technologies that assist machines in identifying begins when a reader and tag communicate with
objects with automatic data capture. Besides RFID one another using radio frequency. The carrier
devices, common forms of Auto-ID technology signal is generated by the reader on request from
are barcodes, smart cards, voice recognition, the host application. This host manages the reader
biometrics, optical character recognition (OCR) and issues commands. The carrier signal is sent
and others. This automation approach is used out through the readers antenna and hits the tag.
to identify items, capture item information and The tag receives and modifies the carrier signal
transport the data to a computer without manual and reflects back a modulated signal. The reader
entry. These systems increase efficiency, reduce antenna receives the modulated signal and then
389
sends it to the reader. The reader will decode the are a lower read range and high power readers
signal into data in a digital format that is then are needed.
returned to the host application. (RFID4U, 2006, Semi-passive tags generally have batteries but
pgs. 1-6, 1-7) may only be powering the circuit while it is ac-
There are three basic types of RFID tags; tive and then operating at a very low level while
passive, semi-passive and active. Table 1 shows waiting for a readers signal. Semi-passive tags
the U.S. Government Accountability Offices generally live longer than active tags but have
summary of tag characteristics and several ways shorter lives than passive tags. The advantages
to distinguish between RFID tags. of a semi-passive tag are that it can store more
Passive tags are tags that do not contain a power data on the tag due to the fact one does not need
source such as a battery or radio transmitter. They to power the tag from the reader. This tag can
work by using the readers energy, radio frequency operate under longer read ranges -- up to 100
(RF) waves, to power their integrated circuits feet. One can couple the tag with environmental
and transmit the digital reply back to the reader. sensors and capture and record information such
By not having a battery, the passive tags are less as temperature, pressure and relative humidity.
expensive but they can only communicate when Compared with passive tags, the disadvantages
inside the read zone and energized by the readers include higher cost, larger and heavier tag and
RF waves. Examples of passive tags are access limited life constrained by the battery capacity.
control cards and badges and car keys. Cards and (RFID4U, 2006, pgs. 2-8)
badges utilize readers mounted on the wall for Active tags have a battery and radio transmitter
individuals to bring their card or badge within and are used for longer range applications -- nor-
four to six feet to gain access. The tag, powered mally 300 to 750 feet. Typical applications are in
by the readers magnetic field energy, responds warehouses to track pallets or large shipping cases.
to the reader with a digital signal with a unique These active tags often contain environmental
code to the card and that particular employee. sensors. For example, refrigerated trucks can be
This information is then sent over a network to a equipped with active RFID tags and temperature
computer systems that will allow access or a door sensors. When these are placed in the truck they
to be unlocked if the tags code is in the facility can continuously monitor the inside temperature of
access control database. Passive tags are primarily the truck and then the tags can be interrogated and
used in applications requiring low cost, simple identify the temperature profile inside the truck.
and lightweight tags. The advantages of passive It is very important to ensure the merchandise has
tags are its small size and weight, low cost and been kept within the appropriate temperature range
longer life -- 20 or more years. The disadvantages while in the truck. Individuals can also change
Table 1. Typical characteristics of RFID tags
Passive Tags Semi-Passive Tags Active Tags

Power Supply External (from reader) Internal battery Internal battery
Read Range Up to 20 feet Up to 100 feet Up to 750 feet
Type of Memory Mostly read-only Read-write Read-write
Cost $0.15 to $0.20 $2 to $10 $20 or more
Life of Tag Up to 20 years 2 to 7 years 5 to 10 years
(United States Government Accountability Office, 2005, pg. 8)
390
the temperature settings within trucks based on on input from over 60 technology, manufacturing
the temperature readings on the tag. Active tags and retail companies to detail the signaling layer
are highest in costs, larger, heavier and have a of the communication link between the tag and
limited life due to the battery. (RFID4U, 2006, reader. (RFID4U, 2006, pg. 2-19)
pgs. 2-8, 2-9) Although Generation 2 brought new capa-
As an example of the technology behind bilities, it still needs to overcome issues with
RFID, in January 2008, Fujitsu developed the first the alignment with the International Standards
64-kilobyte high-capacity Ferroelectric Random Organization and it is not compatible with existing
Access Memory (FRAM) RFID tags for the avia- pre-Gen 2 tags and equipment. (Kleist, 2005, pg.
tion industry. These tags have the highest capac- 45) These protocols, whether proprietary or open,
ity for handling the storage of large volumes of must be the same between the tag and reader to
aircraft parts and maintenance history while still communicate. Readers can be handheld, mobile
supporting traceability worldwide. The aviation or stationary and have the capability of reading
industry has been driven to raise the quality and single or multi-protocols and frequencies. The
efficiency of aircraft maintenance by being able selection criteria for choosing the type of reader
to track parts not just by identification codes but are as follows:
also by product and parts maintenance history.
These chips support: Operating Frequency Must match tag
requirements.
Traceability of various products. Multi-Protocol Desirable if a variety of
Traceability of maintenance information different tags need to be read which may
for parts exchange between companies and have utilized different protocols.
across nations of the world with the com- Encode If the reader is expected to write
patibility with different frequencies used data to the tags this capability is required.
around the world. Meets Local Regulations United States
High-speed data writing capability and and Europe have different power output
high durability. requirements.
State-of-the-art security functions; pass- Memory Necessary for tag buffering and
word management for each part of the tag list management.
memory area. Networking Capability Capability to
This technology allows for aviation indus- network several readers together and com-
try and its customers to realize improved municate with a host computer; and the
supply chain management through lower ability of the reader to be configurable and
costs and shorter cycle times worldwide upgradeable through the network.
(Fujitsu, 2008).
Other selection criteria to be considered are
Tag and readers operate on a protocol that location of reader, surrounding environment,
is set and defined by the manufacturers or vari- weight, size, ruggedness and price. The readers
ous standards-setting organizations. EPCglobal antennas are the most sensitive component of
is a non-profit organization that is working to an RFID system. They are usually housed in an
standardize electronic product codes and RFID enclosure that can be easily mounted. Readers
technology. In December 2004 EPCglobal re- must be placed in a position where powering the
leased the electronic product code Generation 2 tag and receiving the data can be at its optimum.
protocol. Generation 2 specifications were based (Kleist, 2005, pgs. 62-63)
391
The read range or the distance at which a Verify origin of items

tag can be read depends on the following: the Reduce inventory loss
frequency, the antenna gain (effectiveness of an
antenna in a given direction), the orientation and Information can be attached to item to be pro-
polarization of the reader antenna and the tag cessed at a later time; history and environmental
antenna, as well as the placement of the tag on the data can be captured and retained
object to be identified. (Technovelgy, 2008) Also Opens possibilities to further automate or
environmental factors may affect its performance fine-tune business processes
(this will be discussed later).
RFID tags can come in many different form RFID History and Applications
factors. These include contactless smart cards,
smart labels (barcode label with an embedded RFID is not a new techology. The technology
chip), tickets, ear tags (livestock), glass bead, was first documented by Harry Stockman with
encapsulated in plastic and rigid casing. (RFID the publication of his 1948 report Communi-
Soup, 2008) cation by Means of Reflective Power. (Brach,
For human tracking purposes, RFID tags can 1997) During World War II, the British placed
be configured in various ways. Tags can be placed transponders on planes flying over France to de-
on wristbands and serve as a replacement for, say, termine if the aircraft was their own, friendly,
identification bracelets on hospital patients. At- or an enemys, foe. The transponder in the plane
tached to laces on a shoe, one type of RFID tag is had to appropriately respond to an interogating
called a ChampionChip which has the capability of signal to be considered friendly, if not, they
tracking a large number of runners along a course. knew it was their enemy. This IFF or Identify:
Tags can be embedded into human subjects. This Friend or Foe system is still utilized for the cur-
technique is done currently using the VeriChip rent aviation traffic control for commercial and
technology. The tag is roughly the size of a rice private planes. (Goodman, pg. 4) Patents for the
grain and it contains a unique verification number. technology began in the 1950s.
Using a local anesthetic, it is painlessly implanted Over the decades, one can see how RFID ap-
in an inconspicuous location on the body such plications have evolved in diverse environments.
as in the triceps area between the elbow and the In the 1960s and 1970s there was a strong need
shoulder of the right arm. (FuturePundit, 2003) for a secure method for the surveilance of sensi-
All in all, RFID technology is a tool that enables tive materials, particularly during the transport
business to improve data quality, capture data real- of nuclear material. Therefore, developments in
time, reduce collection time, human intervention RFID tagging were accellerated for tracking this
and cost. Each organization has many different type of sensitive material.
reasons for implementing RFID: In the late 1970s and 1980s RFID was utilized
in animal tracking. At the University of Chicago,
Cost Savings No need to scan or open transponders were placed in the back of a dairy
boxes, crates and other containers cow. This transponder contained the animals
Time Savings Faster check-in/checkout identification and tracked its temperature. The
procedures thought was that the animals health, ovulation
Automated real-time inventory of and feeding habits could be tracked by identifying
information the cow and its temperature as well as tracking
Automated real-time tracking and tracing its feeding patterns. (Eagles Nest, 2002, p. 1-3)
392
Today the United States Department of Agriculture RFID tags on all of its cases and pallets. (Kleist,
is considering implanting RFID tags in every cow 2004, pgs. 138-147)
in the United States to better track diseases, such The Department of Defense has been using
as mad cow, as well the specific farm location active tags for identification of large containers.
history of each cow. (RFID Gazette, 2004) It is now the largest operational tagging system
In the 1990s, the railroad industry quickly in the world. If the United States Department of
moved to RFID after numerous challenges in Defenses Defense Logistics Agency (DLA) were
attempting to implement barcode technologies a commercial enterprise it would be the second
to track rolling stock. On significant issue with largest distributor in the world. The DLAs mission
barcode technologies is that the readers require is to support rapid deployment and sustain warfare
line-of-sight so it is impossible to read through anywhere in the world at a moments notice. Even
containers or walls to identify the cargo -- all the if there is no infrastructure or set location, DLA
containers would have to be unloaded or the truck must meet the demands and needs of supply chain
opened. With RFID the radio waves can penetrate requirements. RFID has proven to be a scalable
the walls of a truck or container so they do not technology that can address these requirements.
have to be unloaded. Also, barcode scanners utilize (Kleist, 2004, pgs. 166-167)
visual light or infrared to read the barcodes. RFID Presently, the Los Angeles County Police De-
has longer read distances, do not require line of partment plans to launch a pilot program to track
sight and it has the ability to read through vari- 10 percent of their 18,000 prison inmates using
ous and extreme weather conditions required in RFID devices. RFID use on the incarcerated is
the industry such as rain, fog, snow, dirt, oil and not new, but this appears to be a first in the United
sun. (Eagles Nest, 2002) Based on the tracking of States. Inmates will be required to wear a RFID
materials on railroad cars, many other industries bracelet which emits a beacon every two seconds;
took this type of application and modified it to officers and staff will carry a similar device on
their unique business requirements. These appli- their belts. RFID readers will transfer the data back
cations included identifying fleet vehicles (such to a central computer to track such unacceptable
as tractors, trailers and containerized cargo), toll behavior as entering restricted areas and escaping
collection on highways, personnel badges and car containment. (Engadget, 2005)
remote keyless entry. (Landt, 2006) There are numerous other examples of RFID
In the early 2000s, several large retailers use. Here is a growing list of areas where RFID
(namely, Wal-mart, Target and Best Buy), the technology has been applied:
United States Department of Defense and oth-
ers published their supply chain requirements Supply chain
pertaining the use of RFID and placed demands Shipping and receiving
and timelines on all their vendors worldwide to Warehousing
place tags on all shipments of pallets and cases. Retail outlet
(Brewin, 2007) This mandate drove thousands Inventory management
of supply chain companies worldwide to make Pharmaceutical
RFID investments. No matter what their size Pedigree management
they had to implement and revise their way of Product authentication
doing business in order to comply and develop Documents for the Food and Drug
their own RFID systems, otherwise, they would Administration
lose a profitable business partner. Wal-mart, since Healthcare
2005, has required its top 100 suppliers to place Patient tracking
393
Equipment tracking for addressing these implementation issues and

Service tracking concerns are discussed later.
Library and video stores
Cashless payment - credit or debit cards RFID as an Urban Planning Tool
Hospitality - gambling chips
Amusement parks Pedestrian Movement
Document management
Lawyers office In the Netherlands, RFID technology has been
Hospitals used recently to analyze the space utilization of
Government Offices - passports, mail se- a building by its occupants. Participants were
curity and tracking provided a tag and the RFID system was able to
Transportation management record their movements with high precision. Thirty
Rail cars and trucks tracking seven employees working on a floor agreed to
Toll and other payment collection - E-Z wear a tag for three months. Sixteen readers were
Pass and SmarTrip installed on the floor and positioned so that it could
Vehicle theft detection - keyless entry track employee movement throughout the floor.
Vehicle speed tracking During the study period, a total of 360,000 events
Automobile tires were recorded representing employee movements
Animal tracking pets and livestock among different zones on the floor. (Tabak, 2008)
Airlines Using a similar RFID concept but on a wider
Baggage tracking scale geographically, data on person movements
Supply management parts can be collected within an urban environment.
The relatively low cost of the RFID tags makes
RFID and Urban Planning this possible and therefore a large sample size can
be attained. In addition, combining RFID, Global
RFID promises to take the urban planner profes- Positioning Systems (GPS) and geographic map-
sion to a new level. As an automatic identification ping systems, people can be accurately tracked
technology, RFID has the potential to significantly real time on an urban regional map.
improve the quality, accuracy and efficiencies For an urban planner, a potential application
of data collection for urban planning and devel- of this nature can assist in the identification of
opment purposes. RFID is the highest level of land use and transportation requirements for ur-
technology to help the urban planner and the final ban locations such as a central business district,
result is better planned cities, particularly those major shopping malls and schools and colleges.
currently beleaguered with urban issues. For example, equipping a sample of people with
This section looks at actual implementations RFID tags and strategically placing the read-
of RFID to support urban planning and then ers, one can readily identify their movements
extrapolates these implementations to potential throughout the city. Compared to current surveys
applications for the future. For these extrapola- and interview, this information gained from RFID
tions, it will assume the economic viability of data will provide much more accurate data on land
the widespread distribution of tags and readers, use characteristics, traffic patterns and congestion
privacy and security issues are not a concern and issues that an urban planner could use.
that technical issues such as interference and the A specific example of how RFID technology
limited range of RFID are resolved. Suggestions can be used is based on an application in Den-
394
mark. In 2004, an amusement park placed RFID when it introduced the SmarTrip card in 1999.
wristbands on children in order that they could be Currently, the microchip-embedded card is used
quickly located by a distributed network of readers as a contact-less stored value fare card by pas-
in the park if they were lost or abducted. Using sengers to facilitate paying for transit trips and
similar technology, children can be fitted with parking lot fees. This card system can determine
these RFID wristbands to track their movements payment required based on the stations entered
in the central business district. Their movements and exited. (SmarTrip, 2008)
could be plotted and special security require- The RFID technology behind the SmarTrip
ments could be implemented in urban corridors card has the potential to be used to monitor origin
frequented by the children. and destination transit passenger flow patterns,
An urban planner could use this RFID data locate congested areas throughout the system
to identify locations for satellite police stations, and identify passenger traffic behavior during
security kiosks and/or special monitoring stations rush hour periods.
within these corridors. On a broader scale, loca- Urban planners would find this information
tions for new schools can be identified by studying gained from RFID-based cards to be very use-
cluster diagrams which specify the origins of the ful. It could identify where new transit routes are
trips made by the school children. This is just one needed. For example, most Metrorail transit lines
example where RFID can be use to determine land in the Washington, D.C. area extend out from
use requirements. the downtown area in a radial manner similar to
If this approach is expanded to more citizens, spokes of a wheel. RFID technology could estab-
RFID technology could be also be used for demand lish transit demand patterns that would identify
forecasting of urban facilities such as municipal needed routes that would connect stations in a
buildings, libraries and museums by monitoring more circumferential configuration in the Me-
data over time. As a result, projections can be made trorail transit network.
on whether these facilities need to be expanded, In addition, the RFID data could be used to
reduced in size or even relocated. identify congestion patterns which would lead
A province in Indonesia is expected to pass to determining if and where transit stations and
a law that would require people infected with adjacent parking areas need to be addressed.
HIV/AIDS to be implanted with an RFID chip. Specifically, transit platforms may need to be
The chip would used to track their movements expanded, additional parking space and structures
and discourage these individuals from infecting required and supplemental equipment such as fare
healthy individuals. (Reuters, 2008) In addition, machines added.
various hospitals are using RFID systems to track For a transit planner, RFID data can be used
a patients location using RFID wristbands. It to determine if trains need to increase or decrease
also provides real-time tracking of the location its arrival frequency. The data could also be ap-
of doctors and nurses in the hospital. Expanding plied to determine optimal routing of trains in the
this concept regionally, RFID information can system particularly during the rush hour periods.
be used to assist the urban planner in locating RFID can also be used to support the require-
hospitals, satellite medical centers and outpatient ments of other modes of transportation. The
medical clinics. Chicago Transit Authority has offered the Chicago
Card and the Chicago Card Plus for bus payments
Transit Passenger Behavior since 2005. (Card Plus, 2008) This technology can
be used to track bus passenger movements. This
The Washington, D.C. Metrorail was the first U.S. information can be used to determine the optimized
urban mass transit system to use RFID technology locations of bus terminals and storage facilities
395
identify the most effective bus routing with the range of over 100 meters, it is an active tag with
urban area and establish bus service requirements its own built-in battery having a life of up to 10
such as arrival frequency. years. (Hawley, 2004)
In addition, EZPass is a relatively established
Vehicular Movement RFID technology used on the east coast of the
United States to facilitate the payment of bridge
A key aspect of urban planning is the design of and highway tolls. EZPass tags are mounted
transport facilities including the layout of streets onto cars, trucks and other vehicles. (Ashton,
and highways, bridges and tunnels within the ur- 2008) The RFID readers are permanently installed
ban environment. RFID technology addresses this in toll plazas but, as an alternative, researchers
aspect by providing an improved technique for the at Rensselaer Polytechnic Institute and the New
collection of data related to vehicular movements. York State Department of Transportation (DOT)
A consortium of researchers, college represen- are testing solar-powered mobile RFID readers.
tatives and private industry in India is investigating This portable device can be deployed in areas and
RFID technology to improve traffic management under conditions for which a permanent RFID
and reduce pollution in Canada, India and globally installation would be too expensive or impracti-
as part of a $2.5 million initiative. This consortium cal. (Swedberg, 2006)
is to develop a technology solution to power a RFID systems using vehicular-mounted tags
concept called an intelligent vehicle-highway can be used to identify congested routes and traffic
system (IVHS) framework. IVHS is frequently patterns within an urban area. An urban planner can
referred to as smart cars and smart highways establish origin and destination behavior, identify
and incorporates advances in electronics, com- bottlenecks and monitor rush hour behavior. This
munications and information processing which data will lead to the better design of transportation
includes RFID technology. (Weiner, 1999) networks and facilities.
RFID can capture data related to traffic use For example, RFID systems can be used in
and capacity without significantly increasing in an urban area to determine parking activity and
the investment in road infrastructure. According determine related projected land use within a given
the consortiums project manager: community. Researchers at MIT have developed an
Pacing traffic to flow more evenly can reduce ad hoc sensor network based on RFID technology
commuting time, fossil fuel use and harmful ex- that can help drivers in urban areas find available
haust emissions. Managing existing road capacity parking spots on the street. (Roberti, 2006)
more efficiently through intelligent transportation Using a similar system, a planner can use this
systems is also much more affordable than under- sensor network to analyze and assess the parking
taking large infrastructure projects. (McMaster demand and capacity characteristics then plan and
University, 2008) design an effective strategy which could involve
There are several RFID techniques to support the addition of parking spaces, new parking regu-
the concept of IVHS. Non-destructive RFID pas- lations, additional parking lots and structures and
sive tags can be embedded into the road in the other actions.
middle of every lane at a predetermined spacing. Using this RFID parking data, an urban planner
Serving as beacons, these tags can be used to can consider the application of the congestion
precisely track vehicles on the road. pricing concept, a novel strategy of requiring
Another approach involves the use of the elec- drivers entering the central business district to
tronic number plate or e-Plate which is a license pay a surcharge during the rush hour period in
plate with an embedded broadcast tag. With a order to reduce traffic congestion. This approach
396
has been used in London, Singapore, Milan and with tracking devices for medical purposes. Us-
Stockholm and is being contemplated in New ing a special scanner hospital staff can retrieve
York City. (Transportation Alternatives, 2008) information from the impanted chips, such as
Urban planners are often responsible for es- patients identity, their blood type and details of
tablishing an optimal bicycle network in the city. their condition all in hopes to speed treatment. It
Bicycle lanes and paths can be determined by is not an intention to store any medical history or
equipping bicyclists with RFID tags and monitor- private information. (Gilbert, 2004) This technol-
ing their travel patterns. ogy targets patients suffering from Alzheimers
disease, diabetes, cardiovascular disease and other
Other Applications conditions requiring complex treatement. Many
countries such as Mexico and Italy are testing and
RFID tags have used for many years in tagging utilizing this technology, not only in the medical
merchandise in retail stores. For clothing stores, field but also as an authentication tool for use in
they are often removed when customers leave building access security and to complete financial
the store whereas the tags are frequently left on transactions. The attorney general of Mexico
for other establishments. Having operating RFID and approximately 200 people on his staff were
tags on merchandise after leaving the retail store implanted with a chip to control access to areas
can be used to study the traffic patterns of the where confidential documents are kept. (RFID
customers. The resultant data can be useful for Gazette, 2004) Companies such as Advanced
land use projections, specifically, identifying Digital Solutions have announced embedded
areas needing retail stores, shopping centers and RFID cash and credit card technology. The idea is
even regional malls. to walk into a store, pick up the merchandise and
A number of libraries are presently utilizing leave the store without interacting with another
RFID tags to quickly check out and check in human. (Future Pundit, 2003)
books and videos. Urban planners can use these In October 2006, Digital Angel, a company that
tags to learn the geographic dispersion of library develops GPS and RFID products for consumer,
patrons. It could help locate communities where a commercial and government sectors, was granted
library, satellite library or bookmobile is needed. a patent for an implantable RFID microchip
RFID tags have been used to track airport that can determine glucose levels in the bod-
luggage. Through a coordinated system, one ies of animals and humans. They already had a
can track the movement of airline passengers temperature-sensing implantable RFID microchip
throughout the network of airports. It can then that can quickly and easily read the temperature
be used to estimate passenger demand for each of surrounding body tempature. These chips are
airport which will influence the growth of the sold mainly in the animal market and especially in
airport terminal facilities. the horse industry. The other potential bio-sensing
application they are researching is monitoring
RFID Issues and Challenges pulse, oxygen levels and blood pressure. (Digital
Angel, 2008)
Human Implantation and Privacy Another company in Canada, Tribal Expres-
sions, advertised itself as the first company in the
One of most interesting, but also very controversal world to professionally offer subdermal RFID
uses, is the implantation of RFID tags in humans. placements as a service. Implants would provide
On October 14, 2004, the Federal Drug Adminis- access control to doors, lighting, alarm system,
tration approved the practice of injecting humans computers and even ones car. A smart house
397
would be controlled by a tag implanted between depends on the limited range of the tags. Until
the thumb and finger. (Kennedy, 2006) now the kill command that can be applied to
In July 2007, CityWatcher.com, a small a tag appears to be the solution with the greatest
Cincinnati-based company that provides surveil- potential. However, there is no confirmation of
lance equipment, implanted two of its employees successful disablement made to the customer.
with RFID tags. They did this to restrict access In certain schools in California, RFID wrist-
to vaults that held sensitive data and images for bands were considered for use in tracking atten-
police departments. They said they required a more dance when students walk through the door. The
sophisticated technique to protect high-end data plan also entails placing readers around schools to
and their chief executive likened the implanted monitor student movement throughout the day, but
chips to retina scans or fingerprints. Some people the initiative has not been implemented because
considered this as a significant assault on the parents have rallied against the system due to
employees rights and privacy. (Dallas Morning privacy concerns. Legislation is still pending in
News, 2007) the California legislature to impose restrictions
In June 2007, California passed a bill that on ID technologies that communicate via radio
outlawed the forced subdermal RFID tagging of frequency waves.
humans, Senate Bill No. 362. (California State
Senate, 2008) The forced RFID tagging was Security
considered by many as the ultimate invasion of
privacy. (Anderson, 2007) Both Wisconsin and RFID is emerging as a key technology enabler for
North Dakota already have similar laws on the commercial supply chains which span the globe.
books. (Jardin, 2007) California legislature for the However, there is the possibility of competitors,
past several years has focused on RFID privacy industrial spies and disgruntled employees to in-
and passed several bills that mandate privacy and tercept RFID data for nefarious purposes. There
security requirements for technology. There is also are a number of safeguards such as encryption
a draft report from the Department Homeland Se- and shielding, but not all industries and business
curity on the use of RFID for human identification have implemented these security controls.
to identify and track individuals. The Department Military applications of RFID may also be
did not recommend the use of the technology vulnerable to data interception by foreign ad-
for tracking humans because it offered little to versaries. The Department of Defense needs to
no benefits when compared to the consequences be concerned that RFID can be used as a way to
relating to privacy and data integrity. If and when identify of military personnel and their geographi-
it is used, specific security and privacy safeguards cal location.
measures need to be implemented. (Department RFID backend systems such as the EPCglobal
of Homeland Security, 2008) network can be targets of denial of service attacks
Even when human embedding of RFID is by hackers.
not involved, there has been significant privacy
concerns over the use of the technology. For ex- Technological Limitations
ample, there has been significant concern over
the tracking of a persons tagged merchandise Depending on the type, RFID tags have a lim-
from a retail store. ited range, so the number and distribution of the
Existing solutions to prevent privacy breach corresponding reader network becomes critical.
either places the burden on the consumer or Although the cost of the individual tags may be
398
minimal, the price of multiple readers may be urban cities more innovative and competitive in
prohibitive even although technological progress the global economy.
has been made in reducing this cost.
High humidity environments and the presence RFID Implementation Considerations
of water (such as in bottled water, humans and
cattle) can dampen RFID radio frequencies. Active Clearly the issues and challenges that face RFID
rather than passive tags are needed within these technologies need to be addressed when imple-
challenging situations. menting an urban planning effort.
A significant challenge is that metal, such
as those in bullets, guns and armor, used by the Human Implantation The legal, moral
Department of Defense, can interfere with radio and social implications of human implan-
signals. Radio signals can also trigger certain tation of RFID needs to be well- under-
types of ordnance. (Kleist, 2004, pgs 166-167) stood before embarking on this approach.
Privacy The use and purpose of the
Standards and International RFID must be fully disclosed to all par-
Compatibility ticipating users. Also, all personal data
collected through the RFID system need
Globally, RFID data can not be easily exchanged to be protected including the provision of
among different systems and proprietary system backup data storage.
components. One reason is that the metadata Security Encryption, network controls,
or record structure of the RFID data can vary physical safeguards and other techniques
and another is that the frequencies may be in- are needed to prevent unauthorized access
compatible. As mentioned earlier, EPCglobals to RFID data.
Generation 2 protocol is not compatible with Technological Limitations It is impor-
the International Standards Organization speci- tant to avoid radio-frequency challenged
fications nor with existing pre-Gen 2 tags and environments; otherwise, the use of active
equipment. In the United States, the RFID fre- tags may be required. For a geographical-
quencies used do not match those in Japan or ly dispersed survey, more readers will be
Europe. Unlike barcodes which have a universal required and placed at strategic locations.
standard, no such standard is emerging among This may be cost prohibitive so a detailed
the major RFID players. cost analysis is required.
Perhaps this is a role that a United Nations Standards and International
Committee on RFID technology can assume. Compatibility The standards that fa-
Besides developing a truly global RFID standard, cilitate data exchange and equipment
the committee could address the major controver- compatibility should be selected. If other
sies surrounding the safety and security of this countries involved, there is a need to in-
technology and enable the world to fully embrace vestigate their applicable RFID standards
and utilize RFID technology. for compatibility.
Common Vision All stakeholders need
Common Vision to meet and agree on the purpose of the
proposed RFID system and the desired
One key challenge for all decision-makers is to outcomes. RFID is a tool and an enabler
create a shared vision and a common set of goals of improved processes and not an end to
and objective on how RFID technology can keep itself.
399
FUTURE RESEARCH DIRECTIONS Growth and Expansion of RFID
RFID as an Instrument of The RFID market is expected to grow exponen-

Urban Development tially. There were 600 million RFID tags sold in
2005 alone, and the value of the market, includ-
South Korea is building a large ubiquitous city ing hardware, systems and services, is expected
or what they term a U-city using extensive gov- to increase by a factor of ten between 2006 and
ernment investments. RFID technology is playing 2016. The number of tags delivered in 2016 will
a major role in its development. This city, New be over 450 times the number delivered in 2006.
Songdom, is located on a man-made island about (Das, 2008)
40 miles from Seoul and is being built based on the Studies show that industrial applications using
concept of ubiquitous computing from the ground RFID -- particularly transport and logistics, access
up. Everything is in an environment that is con- control, real-time location, supply chain manage-
nected to a computer and RFID tags and sensors. ment, manufacturing and processing, agriculture,
Data is transmitted through wireless connections medicine and pharmaceuticals -- are expected to
linking the home with life in and around the city. grow strongly. But RFID devices will also influ-
(Campbell, 2005) ence Government (e.g., eGovernment, national
Songdo is being built by Songdo IBD which defense and security and military logistics) and
is a Joint Venture Partnership between Gale consumer sectors (e.g., personal safety, sports and
International, one of the largest United States leisure, smart homes and smart cities).
real estate developers and POSCO E&C, a sub- Counter to intuition, RFID will not replace
sidiary of POSCO Steel, the second largest steel barcodes for many years except in certain sec-
company in the world. John Kim, one of the tors. The reason for this prolonged coexistence
leaders in developing this city, has termed this of the two technologies is primarily cost. RFID
new way of life to be the U-life with massive tags costs range from $0.15 to $20 or even more
implimentation of RFID, smart cards and sensor whereas printed barcodes are less than a penny
based devices. (OConnel, 2005) The city is not each. (United States Government Accountability
scheduled to be completed until 2014 but already Office, 2005, pg. 8) However, costs are expected
people are already applying to live there. (Gale to drop as demand increases and technology
International, 2008) advances.
This is one example of the role RFID technol- Although not yet operational, chipless RFID
ogy will take in this new city: allows for identifying tags without the use of an
integrated circuit. Instead the tag uses threaded
Imagine public recycling bins that use radio- fibers that reflect a portion of the readers signal
frequency identification technology to credit back. This unique return signal can be used as
recyclers every time they toss in a bottle; pressure- an identifier of the object. This will allow tags to
sensitive floors in the homes of older people that be printed on the object itself thereby lowering
can detect the impact of a fall and immediately costs. (Technovelgy, 2008)
contact help; cell phones that store health records
and can be used to pay for prescriptions. These
are among the services dreamed up by industrial- CONCLUSION
design students at California State University,
Long Beach, for possible use in New Songdo City. Clearly, RFID is an exploding technology that has
(Campbell, 2005) and will impact society in many ways. The urban
400
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Dallas Morning News. (2007). ChippingAway at
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United States Government Accountability Office. radio frequency waves to transfer data between a
(2005). Information Security: Radio Frequency reader and a tag attached or embedded in movable
Identification Technology in the Federal Govern- or stationary objects.
ment, Publication No. GAO-05-551. Readers: A device that reads data from a tag
(interrogates a tag) as well as writes data to
the tag. It communicates with the tag through an
antenna that emits radio waves. Readers are also
called scanners.
Active Tags: Tags that have a battery and RFID Software: Programs which help man-
radio transmitter. They are used for longer range age business processes. These include device
applications, normally 300 to 750 feet. drivers, filters, databases, middleware and user
Antennas: Devices used to communicate applications such as warehouse and supply chain
between the tag and the reader. There are two management systems.
types of antennas in an RFID system, one is in Semi-Passive Tags: Tags that generally have
the tag and the other is connected to the reader. batteries but may only be powering the circuit
Usually it is referred to the one that is connected while it is active and then operating at a very low
to the RFID reader. level while waiting for a readers signal.
EPCglobal Networks: A non-profit organi- Tags: A microchip with an integrated circuit
zation that is working to standardize electronic packaged with an antenna used to identify objects.
product codes and RFID technology. Radio Frequency is used to transfer data between
Passive Tag: Tags that do not contain a power the tag and a reader.
source such as a battery.
Radio Frequency Identification (RFID):
An auto-identification technology which utilizes
403
404
Chapter 21
E-Planning:
Information Security Risks and
Management Implications
Stephen Kwamena Aikins
University of South Florida, USA
ABSTRACT
This chapter discusses the security risks and management implications for the use of information tech-
nology to manage urban and regional planning and development processes. The advancement in GIS
technology and planning support systems has provided the opportunity for planning agencies to adopt
innovative processes to aid and improve decision-making. Although studies show that a number of im-
pediments to the widespread adoption these technologies exist, emerging trends point to opportunities
for the integration of planning supporting systems with various models to help estimate urban growth,
environmental, economic and social impact, as well as to facilitate participatory planning. At the same
time, information security infrastructure and security preparedness of most public agencies lag behind
vulnerabilities. Drawing on the literature on planning, e-planning and information security, the author
argues that the emergence of e-planning as an efficient approach to urban planning and development
also poses enormous security challenges that need to be managed to ensure integrity, confidentiality
and availability of critical planning information for decision-making.
INTRODUCTION AND BACKGROUND regional planning agencies, including urban growth,

unemployment and economic revitalization, trans-
The purpose of this chapter is to discuss the security portation, environmental degradation and protec-
risks and management implications for the use of tion, neighbourhood decline and redevelopment,
information technology (IT) in managing urban conservation of land and natural resources, provi-
planning and development. Numerous societal sion of open space, parks and recreational facilities,
problems are explored and addressed in urban and etc. Planning is therefore a future-oriented activity,
strongly conditioned by the past and present. It links
DOI: 10.4018/978-1-61520-929-3.ch021 scientific and technical knowledge to actions in
E-Planning
the public domain (Friedmann 1987, 38). Ideally, storing data in digital format to reduce storage
planning happens via public discourse between space and minimize loss of critical information,
all groups and individuals interested in and/or and by keeping data centrally to facilitate access
affected by urban development and management and enhance data security.
activities pursued by the public and or private Effective automation of the planning and
sector, although such comprehensive sharing of development processes, however, requires the
information and decision making is rarely found design and development of multi-department
in practice (Nedovic-Budic 2000). systems that require integration of key compo-
E-planning is the use of IT-based systems such nents with various security implications that if
as geographical information system (GIS), data- unaddressed, could compromise the integrity,
base management system (DBMS) and planning confidentiality and availability of critical informa-
support system (PSS) for managing urban and tion used for decision making. These components
regional planning and development processes. include workflow applications, data model for
The advancement in IT and related hardware, information sharing, the agency-wide network,
particularly in relation to computer aided design as well as hardware and software to support the
(CAD), GIS, DBMS and PSS has provided the op- applications. Although several studies have been
portunity for local government authorities to adopt conducted on the use of information technology
innovative and effective technologies to aid and to aid urban planning and development, (e.g.
improve the management and decision-making French & Wiggins 1990, French &Skiles 1996,
in urban development process. With CAD, maps Warnecke et al. 1998, Yaakup et al. 2004) few
and plans can now be prepared digitally. DBMS studies are yet to be performed on the informa-
allows all the maps, plans and other data to be tion security risks of e-planning and potential
properly kept and easily retrieved. Using GIS, solutions. Drawing on the literature on planning,
digital data represented on the maps and plans e-planning and information security, this chapter
can then be retrieved and spatially analysed for aims at filling the existing research gap by arguing
decision-making purposes. that the emergence of e-planning as an efficient
IT-based systems can also overcome the prob- approach to urban planning and development pro-
lems of paper-based systems. Smooth and swift vides enormous technological opportunities and
flow of data and information between various security challenges for the planning profession.
stages of urban development enhances promptness Therefore comprehensive information security
and accuracy of decision-making and facilitates management solutions are needed to ensure the
effective and efficient management. However, integrity, confidentiality and availability of plan-
prompt and accurate decision-making can only ning information for decision-making.
be achieved if sufficient and accurate data and
information are readily available to decision-
makers. With a paper based system, files and E-PLANNING EFFICIENCY AND
folders that are physically moved from one office NETWORK SECURITY CONTROLS
or department to another can only be accessed by
one officer at a time, resulting in potential loss In planning analysis, information is derived from
of documents and delay in decision making. In printed maps, field surveys, aerial photographs
addition, a paper-based system is error prone and and satellite images. GIS systems enable data
requires large storage space. If properly designed from a wide variety of sources and data formats
and implemented, an IT-based system can help to be integrated together in a common scheme of
resolve the problems of paper-based system by geographical referencing, thereby providing up-
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E-Planning
to-date information (Coulson & Bromley 1990) situations (Mandelbaum 1996; Brail & Klosterman
and enhancing operational efficiency. GIS is part 2001). However, adjusting generic multipurpose
of a planning support system (PSS) which alone technology such as GIS and related software to
can support decision-making and urban prob- specific applications and methodological require-
lem solving to a considerable extent. However, ments still presents a significant challenge. Vonk,
planners will have to adopt existing GIS tools to Geertman & Schot (2005) identified a number
support their needs. PSS facilitate the process of impediments to the widespread adoption of
of planning via integrated developments usually planning support systems, including lack of
based on multiple technologies and common awareness of such systems, lack of experience
interface (Nedovic-Budic2000). The integra- with them, and lack of recognition of their value.
tion of multiple technologies exposes planning The lack of proficiency in the use of PSS and GIS
data and information to security risks that needs raises security concerns regarding unauthorized
to be addressed through a security management modification and disclosure of planning data on
framework to ensure effective information security agency network.
controls over e-planning resources such as aerial Planning agencies can implement proficiency
photographs, plans, field survey data, outputs of training and controls to install auditing/logging
analytical models, satellite images, etc. software to detect, log and store any adverse ac-
A good security management framework ad- tivity, in addition to access restriction to specific
dresses monitoring and control of network secu- PSS applications. Access restriction includes
rity issues related to security policy compliance, having a data center with access cards to prevent
technologies, and actions based on decisions made the bad guys from having unrestricted physi-
by humans. Additionally, it has the objective of cal access to systems (Microsoft Corporation,
ensuring availability, confidentiality and integrity 2003), and having other physical devices such as
of the information within an organization (Hen- routers hopefully located within a wiring closet.
tea 2007). Availability refers to the information The agencies can also use internal routers to
system running for the required amount of time segment their networks into smaller networks
to meet service level agreements. Confidentiality for security reasons, such as isolating networks
is the protection against unauthorized disclosure from each other, and for performance and system
of sensitive information. Integrity refers to the availability reasons such as increasing available
protection against unauthorized modification routes for data to travel and increase bandwidth
of data. With good security controls, PSS can for users. In addition, border routers could
contribute to secure data management, analysis, also be used to connect to the local governments
problem solving, design, decision-making, and Internet Service Provider (Pastore, 2003). Addi-
communication activities. tionally, the agencies should maintain up-to-date
Klosterman (1997) describes a useful PSS as network configuration documentation, and ensure
one that allows the user to select the appropriate logical configurations within the routers, firewalls
tool from a planning toolbox; link it to the appro- and servers are not open to attack and possibly
priate database; perform the required calculations compromised. This can be achieved by keeping
based on user assumptions of current and future up-to-date with vendor patches, ensuring there are
conditions and quickly present the results in the complex administrative passwords and settings,
form of charts, maps, and other media. Thus, with as hackers usually scan and probe networks for
the advancement of GIS and other visualization insecure factory default passwords and settings
technologies, planning decision tools have been (McClure et al., 2002; Ruth and Hudson and
substantially improved and applied in a variety of Microsoft Corporation 2003).
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E-Planning
A more recent development, which has mo- sity, and productivity of these lands for the use
tivated the development of PSS, is the view of and enjoyment of future generations. As part of
planning as a process for articulation and nego- the e-planning project, BLM has partnered with
tiation among stakeholders, consensus building ESRI to build a common planning data model
and dispute resolution (Susskind and Cruikshank and core land management tools for the BLM
1987; Leung 2003;p. 22). Taking advantage of enterprise. Powered by ESRI software programs
ubiquitous data, neighbourhoods and environmen- ArcIMS and ArcSDE, the project is run from
tal groups have adopted GIS to support advocacy the Planning, Assessment and Community Sup-
activities (Carver, Evans, Kingston & Thurston port Group in the BLMs Washington office, the
2001; Sieber 2006). As argued by Forester (1989) BLM National Science and Technology Center
and Innes (1996), the key to claiming validity of in Denver, Colorado, and the BLM Alaska state
negotiated conclusions and planning actions are in- office in Anchorage, Alaska (Zulick 2003). BLM
stitutions and the personnel that facilitate inclusive also uses Documentums content management
and sincere conversations. As a key component system that centralizes the storage, classification
of PSS, the simplest forms of participation GIS and security of enterprise content. The geographic
(PGIS) can make data available to neighborhood dispersion of the e-planning system, however,
groups, while the most sophisticated ones can requires information system security controls
solicit input from participation about conditions, to help secure the Wide Area Network of BLM.
plans, and proposals (Talen 2000), and link these This is especially important, considering the risks
comments to map locations when appropriate. In posed by the exponential growth of the Internet
this regard, the use of tools and technology such and organizational data networks, as well as
as PSS help participants in the planning process to convergence of Internet, wireless multi-media
visualize alternative scenarios and their impacts, applications and services (Miller 2001).
and to actively make and examine assumptions Planning agencies can use firewalls to filter the
in real time. traffic between their network and the Internet to
PGIS provides the framework for collaborative address the numerous threats resulting from Web
decision making (Shiffer 1992). For example, the related attacks, unauthorized access and privacy
National Neighbourhood Indicators Partnership of stakeholders. Studies by the Federal Trade
(NNIP) aims to capture grassroots information on Commission (FTC 2004) revealed that 53% of all
neighbourhood conditions and make it available reported fraud were Internet related (e.g. spam,
to neighborhood groups for use in community phishing, spyware, and other malware threats).
development activities. This democratization of Another study by the National Association of
information has empowered a number of non- State Chief Information Officers (NASCIO 2006a)
traditional groups by providing them with GIS data shows nearly 5% of Americans have been victims
analysis capabilities (Drummond & French2008). of identity theft many of which were Internet
In the area of land use planning, the United States related, within the past five years, resulting in
Department of Interiors bureau of land manage- estimated financial losses of $48 billion per year.
ment (BLM) has launched a new program that It is generally agreed that a properly configured
creates more efficient business practices and firewall would be set to use a default-deny
encourages an open and collaborative land use rule (Pastore, 2003; Internet Security Systems,
planning process through leveraging information 2002). What this means is that the agency would
technology. lock down all ports, and then open any desired
BLM administers 261 million acres of public ports as needed, to enable the firewall to block
lands in a manner that sustains the health, diver- any unwanted traffic. Multi-department planning
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E-Planning
agencies can consider two firewalls a border or software to support the applications can help
perimeter firewall to the external world, and an various planning agencies to overcome problems
internal firewall to protect various entity servers of paper-based systems, and ensure smooth and
from internal users in order to reduce or prevent swift flow of data and information between vari-
internal data theft (Cisco Systems, 2002; Fred- ous stages of urban development for prompt and
erick, 2001). accurate decision-making. Such a system can also
Content filtering can also be used by planning help address the problems of paper-based system
agencies to block access to specific types of web by storing data in digital format to reduce storage
content, which may be deemed inappropriate for space and minimize loss of critical information,
the entities Internet users (N2H2, 2003; Fred- and also keep data centrally to facilitate access
erick, 2001). A solution for content filtering can and enhance data security.
be either appliance based or software based. An One concern that every e-planning agency data
appliance is an all-in-one black box that con- network needs to address is the issue of anti-virus
tains its own software and databases. A software protection. Over the past couple of years, some of
solution would need a separate server running a the most damages done to many networks have
mainstream operating system. What may be ap- been virus attacks. For any anti-virus network
plicable in the planning agency environment can be software development, a planning agency can
determined by the size of the network, bandwidth focus on a comprehensive solution that addresses
availability, vendor support, degree of testing, etc. the desktop, server, gateway, firewall and email
If implemented properly, content filtering systems servers for example. This defense-in-depth ap-
have the potential to yield significant benefits to proach is essential, as the agency cannot trust the
planning agencies. desktop solution 100%. Desktops must be kept
A key benefit of e-planning through the use up-to-date and protected at all times with the anti-
of PSS is that it provides the framework for an virus product that is managed centrally for control.
integrated workflow process across governmental As part of its comprehensive security management
organizations for creating, enhancing and updating program, the State of Michigan installed software
agency databases that can be easily shared both that filters spam and serves as anti-virus solution
within and between the agencies and organiza- for incoming and outgoing email. Through this
tions. The integrated software can work together solution the state stopped monthly averages of
to handle the entire workflow from data creation 74,519 viruses in 2003, 657,271 viruses in 2004
to information distribution in an environment and 181,238 viruses in 2005 (NASCIO, 2006b).
that supports information technology standards Virtual Private Network (VPN) access can
and interoperability with existing systems. In also be granted to remote users in an effort to
the management of the urban development pro- protect the agencys data. To minimize the risk
cess, an electronic development review process of unauthorized intrusion, the VPN concentra-
can be implemented to ensure that plans for tor could be located outside the firewall. This
development adhere to inter-governmental and is necessary to avoid compromise of network
regional requirements and also protect citizens security through tunnel connection. In addition,
from environmental or public safety hazards and an Intrusion detection system (IDS), or an Intru-
support economic development. For example, a sion Prevention System (IPS) may be considered
web-based multi-department land use approval in the efforts to provide defense-in-depth security
system that encompasses workflow applications, for the data network. For large planning agencies
data model for information sharing, local area with complex networks such as the BLM, it is a
and wide area networks, as well as hardware and good idea to have intrusion detection mechanism
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E-Planning
in place quickly to detect serious probing or built within appropriate time frames and budgets,
threat activities (Frederick 2001). In addition to and with flexibility needed to meet the agencys
the agency network, appropriate controls should ever-evolving requirements.
be put in place to secure the e-planning database. A key feature of a good database system is
data integrity, which refers to the protection of
Securing E-Planning Database data from defacement and replacement. Plan-
ners have the responsibility for ensuring that all
Data collection and storage take up a considerable documents on the GIS, PSS and related systems
proportion of planning resources. As argued by are unalterable by untrusted sources. To accom-
Arbeit (1993), the effort put in database develop- plish this, file integrity should be maintained
ment is sometimes so immense that little time and examined on a regular basis. The number of
is left for analysis and for creative activities in trusted sources with the ability to publish content
designing plans and/or policies. To address this should be limited to the fewest possible, and the
problem, urban planning and development related publishing mechanism should be separate from
databases must be based on clear understanding of the delivery mechanism (Herzog et al., 2001).
planning problems, process, and context (leClercq To enhance integrity, access to the agencys data
1990). Furthermore, since planning databases are should follow a least privilege model. All public
usually derived by compiling data from multiple access should be restricted and enforced at mul-
sources and varying quality and scales, it is nec- tiple layers. For example, separate user IDs and
essary to apply the rules of interoperability and passwords can be required when logging onto the
integration (Devogele et al. 1998). Therefore, the network, and onto specific workflow and database
integration of readily available data sets is one way applications. Additionally, concurrency control
to reduce database development and maintenance should be implemented to allow multi-task access
time (NevodicBudic 2000). without undermining data integrity.
In addition to collecting primary data, plan- As noted by Panda and Giordano (1999),
ners draw on numerous secondary data sources, protection of the system from unauthorized users,
including other agencies and government census, detection of any hostile activities and recovery
to acquire and integrate data into a useful database. from any damage caused by intruders are the three
This implies as part of planning support systems, major activities in building a secure system. Data
databases on properties, streets, utilities, and integrity rules are the recommended approach for
detailed neighborhood characteristics have to be enforcing data quality in operational databases
developed and secured, either internally or exter- (Lee et al. 2004). These rules are well-grounded
nally by other government agencies, with plan- in relational database theory (Codd 1970, 1990)
ners having access to the database. Most of these and are widely used. Despite established theory
systems will be employed in local government and history of the practical use of integrity rules,
settings where the nature, intensity, and impact data quality problems persist in organizations
of urban development and re-development are (Becker 1998; Brodie 1980). The failure to link
contested daily between various public and private integrity rules to organizational changes and the
stakeholders and decision-makers (Nevovic- conventional practice of viewing the application
Budic 2000). Regardless of the type of database of data integrity as a one-time static process are
system used for e-planning decision-making, among the reasons that data quality problems
the topologies for developing the system should plague organizations. Lee et al. (2004) therefore
enable critical business intelligence functionality propose that the application of data integrity be
(Bontempo & Zagelow 1998). They should be viewed as a dynamic, continuous process em-
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E-Planning
bedded in an overall data quality improvement cies, training, habits, awareness, procedures, and
process. a variety of other less technical and non-technical
As stated by Amman, Jajodia, McCollum and issues (Heimerl & Voight 2005) such as social
Blaustein (1997), the damage to an entitys data engineering. However, security education and
can spread to other parts of the database through awareness have been lagging behind the rapid and
legitimate users as they update fresh data after widespread use of the new digital infrastructure
reading any damaged data. Therefore, timely (Tassabehji 2005). All these factors make secu-
and faster recovery is required to stop further rity a process which is based on interdisciplinary
spreading of damage. To help minimize unau- techniques (Maiwald 2004; Mena 2004).
thorized access and damage to e-planning data, Efficient e-planning security management im-
and to detect, track and response effectively to all plies the need for an event management approach
computer incidents and alerts, a planning agency with enhanced real-time capabilities, adaptation,
can implement a computer and human reporting and generalization to predict possible attacks and to
system. The computer system tracks all alerts as support human actions. Dowd & McHenry (1998)
they occur, and classifies them initially as high, argue network security must be better understood
medium or low priority. Alerts such as an auto- and embraced and recommend strategies such
mated scan of the file transfer protocol (FTP) port as knowing the potential attacker, the value of
would generate a low priority, whereas a Denial of protected assets, and understanding the sources of
Service signature would generate a high priority risk such as poorly administered system, social en-
alert (Frederick, 2001). To ensure effectiveness, gineering, external or internal intrusion. To deliver
all alerts should be reviewed by daily security protection against the latest generation of cyber
monitoring personnel, depending on the size of threats, the rules of pre-emptive protection have to
the agency and the complexity of the network, in meet criteria for effectiveness, performance, and
order to investigate, take appropriate action, and protection. Therefore, effectiveness of e-planning
document the entire process for late evidentiary security management system is determined by the
and reference usage. intelligence of the system, defined as the ability to
detect unknown attacks with accuracy, along with
Management Challenges enough time to strategically take action against
and Implications intruders (Wang 2005).
Effective e-planning can only be achieved if
Implementing the necessary controls to protect reliable and accurate information from a variety
a planning agencys network and database is a of sources is organized, stored and utilized by
proactive security management approach that decision-makers. Typically, a well organized
minimizes vulnerabilities. Unfortunately, informa- e-planning system has information on sensing,
tion security infrastructure of most organizations, cartography, surveying, spatial statistics and other
including planning agencies, is a reactive-based pertinent data residing on systems like GIS and
approach such as detection of vulnerabilities and PSS, and such information needs to be protected
applying software updates (Cardoso & Freire against unauthorized attack. This implies urban
2005) as opposed to a proactive approach (Gordon, and regional planning agencies and their informa-
Loeb & Lucyshyn 2003) that is based on planning. tion security managers have the responsibility for
In addition to technical security controls such as containing damage from compromised systems,
firewalls, passwords, intrusion detection, etc., a preventing internally and Internet launched at-
planning agencys security includes issues that are tacks, providing systems for logging and intrusion
typically process and people issues such as poli- detection, and building frameworks for admin-
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E-Planning
istrators to securely manage agency networks. Aligning security policy with management
Unfortunately, information technology security controls, operational controls and technical con-
initiatives often must compete with other infor- trols is useful in ensuring effective vulnerability
mation technology resource demands that appear assessment mapping. Providing visible and regu-
to provide more tangible and immediate business lar security awareness training, including email
value. The funding and resource constraints facing updates and newsletters, is critical to effective
many state and local governments make it impera- enforcement of the program. To ensure adequate
tive for urban and regional planners to design and understanding of the planning agencys security
implement network and database security models posture, the security program should provide for
that take into account the necessary steps and a central management of incident handling. The
control measures that provide basic information program should also provide for compliance re-
security at the most cost-effective means. views and enforcement of the policies, procedures
Implementing a cost-effective security model and standards (OMB, 2000). This could be ac-
implies going beyond the obvious items such complished through self-assessment and reporting,
as physical security, routers, firewalls and anti- vulnerability and penetration testing, site security
virus, and looking at several other important reviews, and a tool that queries agents on every
issues, which includes confidentiality, data in- desktop to give the security configuration status
tegrity, content filtering and incidence response. (NSA, 2002). A planning agency can thus manage
A cost-effective means of securing a planning its network and database risks by balancing the
agencys network and database begins with need for security and cost-effectiveness through
the documentation of an information security information security decisions that restrict access
program that reflects the goals of the agency, to its network and databases, protect against virus,
a realistic assessment of the risks faced by control network traffic, ensure policy compliance
the agency and identification of the resources and provide information assurance within the
(manpower, hardware, budget) that are available confines of available funding structure.
(Oxenhanlder, 2003). The implementation of the
program begins with the risk assessment and the
development of an enterprise-wide information FUTURE RESEARCH DIRECTIONS
security plan. Managing e-planning security
implies understanding planners environments Despite their potential to revolutionalize the plan-
and conducting IT risk assessment to determine ning profession, studies conclude that with the
their security needs and formulate plans that exception of metropolitan transportation planning
include strategic goals to protect critical infra- applications, the use of many e-planning tools like
structure and citizen privacy. Once the plan is GIS and PPS is limited because of their complex-
in place an information security program that ity and voracious appetite for input data, resulting
embodies security management structure and in basic mismatch between their functions and
comprehensive policy, related standards and what planners really do (Drummond & French
procedural guidelines should be developed to 2008). Although several researchers have used
equip the planners and their information security GIS tools and other software for the purpose of
managers with the tools needed to implement the various type of impact assessment (e.g. Lindsey
policy (GAO, 2001). This includes guidelines and & Nguyen 2004; Shadewald et al. 2001) the prac-
standards for Authorization and Authentication, tical attempts to integrate development impact
Logging, Auditing and Monitoring, Vulnerability methodology with decision tools and GIS have
and Patch Management, and Virus Management. been slow. This is in spite of the need for closer
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E-Planning
consideration of development impacts relative better understand the consequences of alternative

to a variety of interests expressed by public and causes of action is the integration of GIS with vari-
private stakeholders in increasingly complex ous models like traffic impact models, stormwater
decision settings (Appleton & Lovett 2005). A models, as well as economic, fiscal impact and
number of authors have therefore argued for the social impact models. Although the vision for hav-
development of planning support systems that ing these systems remains elusive at the moment,
would integrate GIS, urban and environmental significant progress appears to have been made in
models and visualization (Brail & Klosterman the efforts to produce them. Previously, GIS had
2001). As suggested by Vonk, Geertman and been unsuccessful in supporting design but with
Schot (2005), the impediments to the widespread the recent ArchSketch extension for ArcGIS, we
adoption of PSS include the lack of awareness may see some integration of informal drawing into
of such systems, lack of experience with them, GIS whereby a sketch-friendly GIS design interface
and lack of recognition of their value. It follows allows planners to explore alternative designs and
therefore that GIS-based planning support systems model the fiscal, traffic, and environmental impacts
that are user friendly and capable of supporting of each alternative (Drummond & French 2008). In
economic, demographic and land use forecast- the arena of participatory planning, PGIS has the
ing, environmental modelling and transportation potential to move beyond solicitation of inputs in
planning are needed. the plan making process when linked to the distrib-
GIS has traditionally contributed to planning uted platform of Internet GIS, thereby supporting
in the area of analytic thinking by easing the task unprecedented levels of citizen participation.
of data collection and manipulation of geospa- The above-mentioned trends, especially in
tial data. Although techniques such as overlays, the area of modelling and functional integration,
buffers, routing, and gravity models are now a have impact on efficient information security
routine part of the planners tool kits, there is management from the standpoint of both data and
still a significant room for improvement in mod- network vulnerability. Many security technologies
elling and planning as most urban models have are not integrated and each technology provides
focused on forecasting the amount and location information in its own format and meaning. Many
of urban growth (Drummond & French 2008). An devises and systems generate hundreds of events,
emerging trend is the development of a class of and report various problems or symptoms. They
models that estimate the consequences of urban may all come at different times and from different
growth in addition to the traditional capabilities. vendors with different reporting and management
For example, Index and CommunityViz are two capabilities and different update schedules. Hentea
GIS-based software tools that have the capabil- (2007) argues these technologies lack features of
ity to estimate land consumption, traffic, and aggregation and analysis of the data collected,
environmental impacts of plans and proposed and vendors may provide little or no consistent
development projects. Another GIS-based model characterization of events that represent the same
developed by the Federal Emergency Management symptom. Thus, security analysts must choose
Agency (FEMA) that can be useful to planners how best to select observations, isolating aspects
is HAZUS-MH, which is capable of estimating of interest. Additionally, the limitations of each
the physical damage and the resulting social security technology combined with the growth
and economic impacts of floods, hurricanes and of attacks impact the efficiency of information
earthquakes. security management and increase the activi-
A potential for robust planning support systems ties to be performed by network administrators
that could enable planners and stakeholders to (Hentea 2007).
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E-Planning
Consequently, comprehensive solutions are needed to manage integrated e-planning systems

needed to include attack detection and filtering, require an economic perspective that recognizes
attack source trace back and identification, and that while investment in information security is
attack prevention and pre-emption (Chang 2002) good, more investment beyond a certain level is
in order to securely integrate GIS with other not always worth the cost. Given that public sec-
planning models. Also needed is the increase tor organizations possess limited resources, the
of automated auditing and intelligent reporting adoption of an information security framework
mechanisms that support security assessment and for considering decisions regarding the alloca-
threat management. With systems becoming too tion of scarce information security dollars may
complex for even the most skilled system integra- be appropriate. In a study that considers how the
tors to install, configure, optimize and maintain, vulnerability of information and the loss associated
(Kephart & Chess 2003) a proposed solution is with such vulnerability affect the optimal level
autonomic computing systems that can manage of resources that should be devoted to securing
themselves given high-level objectives from ad- information, Gordon & Loeb (2002) concluded
ministrators. According to Hentea (2007), these that for a broad class of security breach prob-
systems require capabilities for self-configuration, ability functions, the optimal amount to spend
self-optimization, self-healing and self-protection on information security is an increasing function
but unfortunately, successful autonomic comput- of the level of vulnerability of such information.
ing is still in the future, many years away. The study also found that for a second class of
Contrary to autonomic systems, an emerging breach probability functions, the optimal amount
trend is the focus on systems that are based on increases, but ultimately decreases with the level of
human-agent effective interaction. For example, vulnerability, suggesting that managers allocating
security policies can control agent execution and information security budget should normally focus
communicate with a human to ensure that agent on information that falls into the mid-range vulner-
behaviour conforms to desired constraints and ability to security breaches. Hence a meaningful
objectives of the security policies (Bhatt, Ber- endeavor for e-planning security managers may
tino, Ghafoor & Joshi 2004; Bradshaw, Cabri & be to partition information sets into low, middle,
Montanari 2003). Thus, for effective and secure and high levels of security breach vulnerability.
integration of e-planning software such as linking The analysis by Gordon & Loeb (2002) shows
GIS to various models or PGIS to Internet GIS, that for two broad of classes of security breach
security event management solutions are needed to probability functions, the optimal amount to spend
integrate data from various security and network on information security never exceeds 37% of the
products to discard false alarms, correlate events expected loss resulting from a security breach.
from multiple sources, and identify significant Hence the optimal amount to spend may be far
events to reduce the unmanaged risks and improve less than even the expected loss from a security
the operational security efficiency. breach. Naturally, information security vendors
As discussed, the funding and resource con- and consultants will focus on huge potential
straints facing many state and local governments losses from security breaches in order to sell their
make it imperative for urban and regional plan- products and service. The information security
ners to design and implement network security manager of the planning agency should be astute
models that take into account the necessary steps enough to be aware that the expected losses are
and control measures that provide information typically an order of magnitude smaller than such
security at the most cost-effective means. The potential losses. The implication here is that the
comprehensive security management solutions planning agency and its security manager must
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E-Planning
carefully balance the agencys security needs REFERENCES

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419
420
Chapter 22
E-Planning Applications in
Turkish Local Governments
Koray Velibeyoglu
Izmir Institute of Technology, Turkey
ABSTRACT
This chapter examines the pivotal relationship between e-planning applications and their organizational
context. It employs various evaluation frameworks by searching explicit and implicit structures behind
the implementation process. The study is largely based on the statement that the organizational and
user dimension of implementation factors more than technical ones, constitute the main obstacles to the
improvement of e-planning tools in urban planning agencies. The empirical part of the study scrutinizes
the personal and situational factors of users in the process of implementation, benefits and constraints
of an e-planning implementation and planning practitioners perception of new technologies on urban
planning practice and debate. Using a case study research in Turkish local governments, the findings of
this study reveal that the organizational and human aspects of high order information systems are still
the biggest obstacle in the implementation process.
INTRODUCTION velopment, inhibiting social inequality, controlling

and managing urban development and supporting
An increasingly developmental role beyond the accessibility to local information and services. In
traditional role of service provision pushes city urban development, ICTs contribute to management
governments to be more proactive and inventive in and monitoring of urban development through vari-
the application of information and communication ous e-applications and spatial information systems
technologies (ICTs). For the purposes of city gov- like geographical information systems (GIS). ICTs
ernments the role of ICTs encompasses a number contribution to urban development, however, is
of fields and actions like catalyzing economic de- closely aligned with the soft organizational realities
(e.g., cultural, structural, political, personal factors)
DOI: 10.4018/978-1-61520-929-3.ch022 that are highly influential in the implementation
E-Planning Applications in Turkish Local Governments
of ICT-based systems and policies. Therefore, This study has three parts. Firstly, as a back-
in order to understand the impacts of ICTs in ground, the chapter includes a historical overview
organizations one should carefully look into the of ICTs and e-planning in Turkish case. Then,
computer-aided work practice and everyday use soft organizational realities of e-planning are
of sound technological systems. exemplified in the selected Turkish local gov-
The chapter heavily draws on a comprehen- ernments. An empirical study reveals the current
sive field study conducted in a sample of local state of e-planning applications in respondent
government urban planning agencies of Turkey. local governments. It also scrutinizes planning
The major question that lies behind this study is practitioners commitment and dependence on
how organizational and human aspects of tech- e-planning applications in practice. The chapter
nological applications affect success and failure concludes with lessons learnt from e-planning in
of e-planning. The study, then, addresses the soft the case study organizations and with a prospective
organizational realities of e-planning applications. research agenda on the organizational dimension
The term e-planning applications used in this of ICTs for urban planning agencies.
chapter refer to the use of ICTs and information
systems to advance urban planning and man-
agement. Technological applications on which BACKGROUND
e-planning are based could be grouped into three
categories (Budthimedhee et al., 2002). The first Development of Urban Technologies
group of technologies refers to technologies about in Turkish Local Governments
data management and distribution. The second is
related with mapping and processing of spatial According to data provided from the 2000 Gen-
data that is vital for urban planning and manage- eral Population Census, 32% of the population
ment. The last group is composed of interface live in 16 cities with metropolitan municipal-
technologies, which are concerned with creating ity organizations, and 22 million people live in
more effective information environments via municipal jurisdictions which comprise 41% of
representation and modeling. Turkeys population (DIE, 2000). The model of
The basis of the study is largely determined by metropolitan municipality has been redesigned
the human factor. Therefore, e-planning applica- in recent years and the new municipal legislation
tions of selected planning agencies is measured (Law 5216), enforced the use of spatial information
by using qualitative methods (through surveys systems (e.g., GIS) for inter-municipal activities.
and interviews), and the supporting documents Although such legal provisions about GIS can be
based on respondents perceptions. The user sur- considered a positive reform, they created new
veys sketch the profile of a planning practitioner implementation problems for the metropolitan
in three ways: (1) personal and technological municipalities. As growing IS literature indicates,
background (e.g. age, sex, education, computer setting up and running a high order information
literacy, job title, duration of work), (2) technical system is not just a mere technical process but a
knowledge on e-planning applications (3) attitude process that, to a large extent, is affected by many
toward new technologies and their future role in complex factors such as human resources, orga-
planning practice and debate. Interviews also nizational and socio-political structure (Cavric,
provide background information on the obstacles 2002; Klosterman, 2001; Vonk 2003).
and benefits derived from e-planning applications Municipalities in Turkey are responsible for
in case study organizations. delivering basic urban services (e.g., infrastruc-
421
ture development, fire department operations, local governments should cope with more prob-
garbage collection, planning services etc.) to the lems within the current organizational structure.
public that require collecting accurate information Problems in running and using UIS in Turkish
about their environment and efficient use of these metropolitan municipalities can be summarized
data to perform their tasks. Municipalities collect in three major points:
and manage both spatial data (e.g., master plan Software: When we look into the current state
and application plans, land-use maps, cadastre of municipal e-planning applications, it is seen
maps) and non-spatial data (e.g., water system that technology investments are primarily focused
revenues, environmental taxation, and building on CAD-based systems. The rationale behind this
permits) in their operations. Almost 80% of total tendency is the complexity of the GIS packages
data exploited by municipalities is spatial data. and their requirements for having a good command
Municipalities are increasingly using GIS, spatial of a foreign language and advanced knowledge
decision support systems (SDSS), management of programming and computer literacy. For this
information systems (MIS), and the Internet to reason, many municipalities turned to CAD-based
carry out administrative, auditing, and planning applications instead of costly GIS investments.
tasks more efficiently. Among these technologies, Staffing and Management Structures: There
GIS is the key for municipal operations with its are major bottlenecks in recruiting trained staff
enormous strength to process spatial data. in terms of obtaining and processing spatial data.
Plan making, programming and decision- This is largely because of the problem of public
making are largely dependent on the collection, sector employment policy that neither computer
storing, preservation and management of spatial skills nor individual productivity is encouraged
information and information related to urban and rewarded by the administrative system.
land use. Therefore, public works and urban Data Issues: Digitalization of spatial data is in
planning are the major issues of Municipal GIS its initial stages, and lacks quality and quantity.
operations. In the Turkish case, Eskisehir, Istan- For this reason, the concept of UIS in Turkey is
bul, and Bursa are the leading cities, in which frequently considered for digital map production.
implementation process of GIS projects is still in In terms of data sharing, municipal organizations
progress (Velibeyoglu & Yigitcanlar, 2008). Since cannot competently interact with the public and
municipalities are the primary customers for the other public initiatives on-line. In recent years,
GIS market in Turkey the term urban information however, some promising implementations have
system (UIS) has become more popular in recent been done. Telecommunications infrastructure of
years (Velibeyoglu, 2005). By combining many of Izmir Metropolitan Municipality called Izmir-
the municipal services into UIS, it is aimed that NET has provided data exchange between district
many municipal services will be integrated with municipalities and public institutions in the city
local e-government applications. Thus the system of Izmir (Velibeyoglu & Yigitcanlar, 2008).
will be shared with other local governments and
central public organizations in the city, and thus History of E-Planning in Turkey
service integration will be obtained.
This trend encompasses a strategy that aims Turkey was first confronted with computer systems
to increase sharing of information both within in the early 1960s. In the same period, started state
and among institutions (Cavric, 2002). How- planning and, within this process, the concept
ever, compared to the types of departmental and of urban planning gained prevalence. After the
individual system implementation, this approach 1960s, land use models and transportation models
needs accumulation of knowledge, which means applied contemporary planning techniques, in
422
Metropolitan Planning Offices set up in Istan- the early adopters of these systems local govern-
bul, Ankara and Izmir. But considering the fact ment institutions in Turkey have gained important
that mainframe computers were less in number achievements in the automation of basic urban
and costly in prices and run only by computer services. However, no innovative use of various
experts, it can be said that scientific methods for e-planning applications such as remote sensing,
urban planning and systems approach could not spatial modeling, simulation and forecasting, for
find true place in the practice of Turkish urban example, in the institutional practice of urban
planning in this decade, a period in which the planning and management has been observed so
impacts of rapid urbanization were more severe far (Velibeyoglu & Saygin, 2005). Beginning in
(Velibeyoglu, 2004). the pre-implementation stage there are serious
The 1980s witnessed technological transfor- obstacles in this process. The following section
mation as much as it did economic and political examines the problems and the opportunities faced
changes. Parallel to the liberal economic policies by planning organizations.
implemented, there was a rapid development in the
telecommunications sector and microcomputers E-Planning in Practice: The
(PCs) entered the Turkish market very quickly Case of Turkish Metropolitan
(Wolcott & Cagiltay, 2001). Local governments Planning Agencies
began to gain financial and administrative au-
tonomy, and the reconstruction plans delegated The empirical research was based on the assump-
to them after 1985 (with the Reconstruction Law tion that organizational and user dimensions, more
3194) pave the way to important developments than technical factors, constitute the main obstacles
in the professional practice. In the same period, faced by urban planning agencies in the utilization
metropolitan municipalities were established by of e-planning applications (Velibeyoglu, 2004).
Law 3030. The first applications in the area of The implementation environment incorporates
information systems in planning were carried not just technological but also social and orga-
out by metropolitan municipalities. During this nizational factors. The role of user values and
period, the Istanbul Metropolitan Municipality organizational environment is even more impor-
opened tender for the production of digital maps tant in developing countries. In order to test this
covering its jurisdictions. Since then, many local argument, planning departments of three Turkish
governments adopted institutional GIS systems metropolitan municipalities (Ankara, Izmir, and
(Velibeyoglu, 2004). Bursa) were selected as a major unit of analysis
In recent years, spatial information systems according to criteria below:
in urban planning, especially GIS, have been
mentioned frequently but they have not been fully awareness and operation of various e-plan-
adopted yet. In the metropolitan municipalities ning applications;
of big Turkish cities such as Istanbul, Ankara, existence of a planning department as a
Izmir and Bursa, and in some metropolitan district single, defined unit within the organization;
municipalities (e.g., Kadky-Istanbul, Nilfer- easy access to richer financial resources
Bursa), GIS has been in use. Despite a number of and larger size of planning staff;
opportunities such as design, visualization, partici- availability of different planning issues
pation, decision making and modeling provided by in different operational levels that creates
information technologies and systems, very few further opportunities to observe intra/inter
of them have been used in planning agencies. As organizational context.
423
Figure 1. The variables and their relationships with the objectives of the survey
A user survey was conducted in the planning organizations. The interviewees were selected
departments of selected Metropolitan Municipali- based on their influence on the development of
ties - Ankara, Izmir, Bursa - in 2004 (Velibeyoglu, e-planning applications in the department and
2004). The user survey was applied to all staff professional reputation preferably the chief
members in the planning departments (n=47). executive of the department. All interviews were
The participants were asked to fill out all the 17 carried out at the interviewees place of work.
structured questions within three major parts even To verify and supplement the interview, other
if they were not familiar with the e-planning ap- complementary data was also used.
plications. This survey had three major aims: (1)
to draw a profile of planning practitioners working User Characteristics
in the respondent municipal organizations (e.g.
age, sex, education, computer literacy, job title, Personal and situational characteristics may in-
duration of work), (2) to measure the degree of fluence ones perception of information and the
their knowledge of planning technologies and way one processes such information. Individuals
their perception of implementation of e-planning with distinct characteristics and backgrounds are
applications in the department, (3) to identify their expected to have unique ways of interacting with
attitude toward new technologies and their future information systems and, consequently, have dif-
role in planning practice and debate. Variables that ferent attitudes and behavior toward such systems
were used in this survey are listed in Figure 1. (Khalil & Elkordy 2001). In this context, the first
Additionally, interviews were conducted with part of the survey investigated the relationship of
managers in the case study organizations to learn users age, sex, education background, division
more about implementation process. This step of work, tenure in the job, organizational level,
consisted of six structured qualitative interviews ICT training and duration of computer use (Tables
and ten complementary interviews with other 1 and 2).
responsible interviewees in and out of respondent
424
Table 1. Frequency distribution of personal and

Correlation Analysis
situational variables
Frequencies Percent In this part of the study, the selected variables

Age:
of personal and situational characteristics are
(1) 20-25 2 4.3
compared to the uses of e-planning applications
(2) 26-31 15 31.9
expressed by the staff in respondent organizations.
All possible e-planning applications were grouped
(3) 32-37 17 36.2
according to Piracha and Kammeiers (2002)
(4) 38-43 9 19.1
classification of planners knowledge namely,
(5) 44-49 3 6.4
hands-on use and advanced level use:
(6) 50+ 1 2.1
Sex:
Hands-on use includes basic CAD, basic
Female 31 66
GIS, Office Programs and Internet-based
Male 16 34
tools.
Education background:
Advanced level use requires some ad-
Undergraduate Degree 40 85.1 ditional knowledge including Planning
Master Degree 7 14.9 Support Systems (PSS), MIS and Project
Tenure in the job: Management tools (PM), Statistical and
(1) Less than one year 1 2.1 Modeling programs, and knowledge of
(2) 1-2 years 2 4.3 computer programming (Table 3). The re-
(3) 3-5 years 5 10.6 sults of correlation analysis have been ob-
(4) 6-10 years 18 38.3 tained as follows:
(5) 11-15 years 14 29.8
(6) 16 years or more 7 14.9 Age: A persons willingness to accept a new
Organizational Level: technology or a change may differ with the per-
(1) City planner and Other Staff 37 (+7) 93.6 sons age. Since younger users generally display
(2) Department manager 2 4.3 a more positive attitude toward the information
(3) Division Manager 1 2.1 system, they are more ready to accept the change.
Computer Training: A negative correlation between hands-on software
(1) Formal Computer Training 26 55.3 use and age (r=-0.39, p<0.01) has been found.
(2) Informal or no computer 21 44.7
Tenure in the Job: User attitude and behavior
training toward e-planning applications are expected to
vary with the users work experience, measured
as tenure in the industry, organization, or job. A
Table 2. Mean rankings of users
Mean (years) S.D.

Age 2.98 (32-37) 1.07
Tenure in the job 4.34 (6-10) 1.12
Duration of computer use 5.11 2.88
425
Table 3. Frequency distribution of planners knowledge of e-planning applications (n=47)
Knowledge on E-Planning Applications

Dont know (1) Heard of/read Worked with (3) Mean S.D.
about (2)
Hands-on Software Freq. % Freq. % Freq. %
CAD 5 10.6 13 27.7 29 61.7 2.51 .69
GIS 9 19.1 23 48.9 15 31.9 2.13 .71
Office 1 2.1 8 17 38 80.9 2.79 .46
Internet 2 4.3 6 12.8 39 83 2.79 .50
Advance Level Software Applications
Programming Tools 24 51.1 21 44.7 2 4.3 1.53 .58
PSS 40 85.1 7 14.9 0 0 1.15 .36
MIS/ PM 32 68.1 15 31.9 0 0 1.32 .47
Spreadsheet 28 59.6 16 34 3 6.4 1.47 .62
negative correlation also found between hands- increase his/her use of the system. In this survey,
on software use and tenure in the job (r=-0.53, the positive correlation between hands-on soft-
p<0.01) on sampling data. ware use and duration of computer use (r=0.41,
Organizational Level: The organizational level p<0.01) supports this statement. Lengthy use of
of the users job determines his/her responsibili- e-planning applications by planning practitioners
ties and decisions and, consequently, his/her in- (mean= 5.11 years) has had a positive impact on
formational needs. Therefore, computer use may hands-on software use.
vary at different managerial levels. A negative Computer Training: It was found that there
correlation found between hands-on software use was no significant correlation between computer
and organizational level (r=-0.33, p<0.05). This training and hands-on software use. It was also
indicates that people at the managerial positions found that although 55.3% of the people (26/47)
do not need to improve their knowledge in terms have received formal computer training, they do
of hands-on software use. Besides, findings also not use e-planning applications related to their
support the results in the tenure in the job everyday tasks at work; in practice, it may be one
category. However, since the proportion of the of the likely explanations for this inconsistency.
people at managerial position is low (6.4%) and Another explanation is that even though 44.7%
the study does not focus directly on the use of of the people (21/47) have not received formal
ICT by managers, it may be difficult to reach a computer training, they may be able to use soft-
generalization from these findings. ware packages in practice with the help of the
Computer use: Of the people working in the knowledge gained during informal processes.
planning departments surveyed, 72% of them
(37/47) use computers on their daily work practice. Other Findings
All the ones who do not use computers do not use
any type of ICT software either. Education background, gender, and divi-
Duration of Computer use: Lengthy use of e- sion of work were found to have no effect
planning applications may strengthen the users on users attitudes toward hands-on soft-
belief in its usefulness, which, consequently, may ware use.
426
No correlation has been encountered be- The majority of the respondents (89.4%)
tween software requiring advance level also need to use e-planning applications
knowledge (e.g., planning support sys- in their daily planning tasks. While the ra-
tems, electronic spreadsheet, or hyperme- tio of computer use is 72.4% and hands-
dia tools) and personal and situational vari- on software use 63.8%, the need to use
ables. Advance level software applications e-planning applications is far above these
have not yet been utilized in the respondent numbers. This situation confirms respon-
organizations since the planning practitio- dents positive attitude towards e-planning
ners knowledge that has related to them is applications without being influenced by
very limited. There is a positive correla- the organizational environment. As a mat-
tion encountered, although small, between ter of fact, 93.7% of the respondents found
software requiring advance knowledge e-planning applications useful in their dai-
and duration of computer use in terms of ly work. Another result obtained, in terms
programming (r=0.35, p<0.05) and elec- of organizational determinants, is that the
tronic spreadsheet (r=0.29, p<00.5) soft- respondents ability to use e-planning ap-
ware. On the other hand, the ratio of hands- plications has no positive impact on their
on software use is relatively high (63.8%) organizational levels. Although the manag-
within the respondent organizations that ers claims that capability to use ICT-based
provide an opportunity in terms of aware- software was one of the most important
ness rising for advance level e-planning criteria to be considered during the recruit-
applications. ment process, as survey results suggest, us-
Another set of variables affecting the using e-planning applications does not play
age of e-planning applications are organi- an important role in personal carrier devel-
zational variables namely user involve- opment at work.
ment and management support. User
involvement is defined as a psychological Regression Analysis
state, which refers to the importance and
personal relevance of a system to its users. Following the results of correlation analysis, the
Management support is defined as the ex- total numbers of independent variables were con-
tent to which the upper managerial levels densed into four personal-situational dimensions
provide an appropriate amount of support and two organizational dimensions respectively.
for information technologies and systems A stepwise regression analysis was performed on
(Seliem et al., 2003). It is expected that the data set. The objective was to use the several
both user involvement and management
support lead to an increase in the system us-
age. When scrutinizing hands-on software Figure 2. Relations of independent variables and
usage there was no significant relationship dependent variable
found in terms of management support and
user involvement. However, management
support seems to have positive influence on
user involvement (r=0.35, p<0.05). More
than half of the respondents (31/47) say
that they are encouraged to use e-planning
applications within their organizations.
427
independent variables whose values were known fluence of these applications as an enabler on the
to predict the single dependent value. This tech- participation process in planning was evaluated
nique was repeated until it was determined that all as the least important (mean=4.17). E-planning
significant predictor variables had been included applications were not considered as a new partici-
(Figure 2). The given three models have predicted pation means by the respondents. This result also
the independent variable (Hands-on Software use) confirms the common idea that new technologies
in various degrees (Table 4). support the techno-rational side of planning (see
Wheeler, 2001).
Planners Perception of Thirdly, respondents were asked to rank at
E-Planning Applications which level of the planning process were e-
planning applications used most effectively on
The second part of the survey is devoted to planning a 4-point Likert scale from the the most to the
practitioners perception of new technologies on least. These applications were said to be used
urban planning practice and debate. The findings the most frequently at the urban design and
of this part can be summarized as follows: community planning levels. Considering that
Firstly, respondents were asked whether the majority of software packages used in urban
widespread use of e-planning applications make planning practice is CAD-based and mostly ef-
significant changes in urban planning practice or fective on architectural scale, one may find the
not. The majority of the planners (38/47) who have results reasonable. Findings alternatively indicate
answered this question think that using e-planning the need for the establishment of an urban informa-
applications will have significant transformational tion system that would be appropriate at planning
effects on the nature of urban planning practice. levels such as regional or metropolitan planning.
This underlines the fact that technological develop- Lastly, respondents were asked to rank the
ments have a stronger impact on the respondents benefits of using e-planning applications dur-
than the view of new tools to perform old tasks ing urban planning process from the most
(see Klosterman, 2001). to the least on a 5-point Likert scale. They
Secondly, respondents were asked to rank the gave more importance to data collection and
frequency of using e-planning applications during processing (mean=1.36), considering that these
urban planning process from the most to the applications can also substitute routine planning
least on a 5-point Likert scale. Findings sug- tasks (mean=2.38). Here, too, functions such as
gested that data collecting, issuing and evaluating decision-support, participation and data-sharing
features of e-planning applications were pointed capability of e-planning applications seemed to
as the most important (mean=1.58) whereas in- have been neglected by respondents. It would be
Table 4. Stepwise regression: (n=47) ((1) Dependent Variable: hands-on software use)
Model R R Square Adj. R Square Std. Error of the F

Estimate
1 .442 a .196 173 .380 8.51
2 .608 b
.370 .332 .341 9.96
3 .675 c .456 .407 .321 9.22
a. Predictors: tenure in the job
b. Predictors: tenure in the job, duration of computer use
c. Predictors: tenure in the job, duration of computer use, computer training
428
possible to have improvements in these areas if Shortage of staff which is open to ICT-
a complete urban information system with all its based work processes (quantity).
functions working efficiently was established and
if the participants knowledge and skills to use the Dataware
software was substantially improved.
Insufficient and unreliable supply of base
Obstacles and Benefits about maps, cadastre maps and other spatial data
Implementation Process that would be essential for urban planning
functions;
Interviews with managerial staff in respondent or- Problem of updating digital data
ganizations indicated some obstacles and benefits periodically;
derived from e-planning applications. It is obvious Insufficient planning information shared
that despite increasing use of e-planning applica- with the public that reduces the opportu-
tions in planning departments, it will take some nity of participatory practices;
time to realize the benefits of their implementation. Digital data repetitions due to miscommu-
In fact, even though the planning departments of nication between organizations.
respondent municipal organizations may have
more advantages in particular areas compared Orgware
to the other small scale municipalities, these se-
lected organizations have a very short history of Existing ICT technologies which do not
implementation. Therefore, while the obstacles match the idea of e-local government;
were mentioned in detail by the interviewees, the Canceling investments on e-planning ap-
benefits derived from implementation remained plications as a result of constant changes in
relatively peripheral for them. Besides, since the the managerial levels;
interviewees were planning heads or professional Authorities approve technical reports not
staff members, views of elected officials, other having full comprehension of them and give
decision-making bodies, and citizens on obstacles limited support for their implementation.
and benefits from e-planning applications were
reflected only indirectly. Planning Task & Work Process
In order to form a systematic framework to
summarize implementation hurdles, a pentagon There is an urgent need to form teams that
prism model was adopted (see Vonk 2003): would work on contemporary planning of
good quality rather than on the quantity of
Software-Hardware plan making;
Although e-planning applications have
Software and hardware systems are not ad- been established, most of the analysis es-
justed to perform daily planning tasks and sential for urban planning is still done
they are incompatible with current plan- through traditional methods and in a two-
ning rules and legislations. dimensional environment;
Production of digital data (both spatial and
Humanware attribute data) has not been fully adjusted
to the needs of urban planning tasks;
Personnel who do not follow up techno- There is considerable waste of time during
logical innovations (quality); auditing and approval processes as a result
429
of not having office automation and digital Improvement in Work Process

archive that consists of information such as
planning decisions and planning approval There is efficient use of time through use
dates. of planning software that is in compli-
ance with plan making procedure and con-
External World (e.g., Legal sequently the efficiency in daily routine
Rules, Finance, Politics) tasks,
There is considerable reduction in errors
Digitally-produced plans have not legal during routine planning tasks and hence
validity; improvement in planning accuracy;
It is not possible to encourage the person- It is possible to facilitate control among
nel to use e-planning applications within different planning scales, and there is an
the existing legislation; opportunity for design and presentation at
Establishing legal procedures related to any required scale;
selling, sharing and copywriting of plans Analysis and synthesis in planning studies
created in a digital environment is still are faster and accurate since various data
lacking in terms of organizational bodies layers may be superimposed easily in a
that would deal with such problems. computerized environment.
Possible benefits derived from implementation

of e-planning applications can be summarized FUTURE RESEARCH DIRECTIONS
in two main categories. Increase in the possible
benefits derived from implementation depends Studies of Obermeyer and Pinto (2008) bring
on the elements such as diversification in areas of forth a body of literature that draws attention
use, reorganization of work process and increase to the different kinds of ICT research. To them,
in duration of utilization. ICT research would follow a pattern that begins
with technological problems, proceeds through
Improvement in Decision-Making financial aspects, continues with institutional is-
sues, and finally culminates in examinations of the
Accuracy in technical information col- effect of the technology on society. In the future,
lected through e-planning applications en- ICT research in developing countries should give
courages decision-makers towards techno- priority to social and organizational dimensions
rational accuracy; contrary to what happened until now, as the case
Carrying planning tasks into a digital envi- of Turkey seems to suggest.
ronment provides an opportunity for plan- It is also necessary to undertake future studies
ning departments to communicate with on the measurement of tangible and intangible ben-
other departmental units and politicians efits of e-planning projects. Cost-benefit analysis
more easily and to convey the problems to on tangible benefits can be used as an effective
them more quickly and accurately; tool. Intangible benefits (e.g. better working mo-
During quantitative plan audits the risk of rale, better communication within the organiza-
wasting time gets smaller and the process tion, responsibility, organizational effectiveness)
of decision making and implementation bear great importance in the implementation of
gets easier. information systems (see Pick, 2005). Strategic
tools such as stakeholders analysis and SWOT
430
analysis could provide important clues for insti- Another important point is environmental
tutions to be aware of their own characteristics instability and change. It is also known
and to be able to design strategies to overcome that the effect of external macro factors
implementation problems. is highly important during the process of
implementation especially in developing
countries.
CONCLUSION
Like many things in the knowledge era, it seems
This chapter revealed a high level of awareness inevitable that there must be some changes in the
about e-planning applications among planning role of planners. The results of the research indicate
practitioners. The major findings of this study that the planners working in respondent municipal
confirm that the organizational factors are impor- organizations are young (70% age between 26-37),
tant obstacles to the improvement of e-planning have high job tenures (6-10 years) and more than
applications in urban planning agencies. Espe- half have taken formal computer training (55.3%).
cially the organizational aspects of higher order More than half (78%) of the practitioners have
information systems, like GIS, are among the most experience of 5 years in computer use. The three
important barriers in the implementation process. variables namely tenure on the job, duration
The key points identified in the user survey and of computer use, and computer training were
interviews in the case study organizations can be able to account for approximately 40% of the total
summed up as follows: causes of hands on software usage.
In conclusion, e-planning technologies are not
Potential benefits expected from e-plan- value-neutral and these tools have the possibility
ning applications are closely related with to shape the goals and the agenda of the profession
the elements such as the diversification (Wheeler, 2001). In the case study organizations,
of the areas of use, re-organization of the an important part of urban planners think that
work process, and the extension of the im- applying e-planning technologies would have
plementation period. an important role in the future planning practice.
In the case study organizations, it has been Even e-planning technologies have not replaced
seen that the most important obstacles that most of the routine planning tasks, and a great
could affect the functioning of planning majority of respondents found these technolo-
technologies are orgware and dataware. gies to be an important contribution to their work
One of the interesting results is that hu- practice. Since planners jobs mostly cover other
manware does not constitute an important than non-routine tasks, unlike clerical staff, they
obstacle for implementation. In the inter- are feared about their job satisfaction in a lesser
views, staff quality was defined by the extent. Although using e-planning applications
head of planning departments as one of does not constitute justification for job ranks within
the most important strengths of the insti- the organization being equipped with high level
tution. The fact that the mean age of the of computer competency gave ample opportunity
planners in these institutions is relatively for autonomy, variety and feedback in work ex-
low (mean=2.98 equivalent of 32-37) perience, and also provides collaborations with
and that duration of computer use is high other non-planner professionals such as computer
(mean=5.11 years), and users involvement experts. Eventually, this study illustrates that, in
is quite high (90% of total respondents) is spite of the optimism, a considerable amount of
effective. time is still needed for Turkish public planning
431
agencies in their quest for computer-aided plan- Pick, J. (2005). Costs and benefits of GIS in Busi-
ning to be fully tailored into daily work practice. ness. In Pick, J. (Ed.), Geographic Information
Systems in Business. Hershey, PA: IGI Publishing.
Piracha, A. L., & Kammeier, D. H. (2002).
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Spatial Decision Support System (SDSS): Is
a spatial information system supporting decision
making process related to complex spatial prob-
lems such as determining the optimal location of
Local e-Government: Refers to information, public services such as educational institutions
services or transactions that local governments or public parks.
provide online to citizens using Internet and SWOT Analysis: Is a scan of the internal
Web sites. and external environment as an important part
Planning Support System (PSS): Is an inte- of the strategic planning process. Environmental
grative system in urban planning consisting of a factors internal to the organization usually can
combination of geographic information system, be categorized as strengths (S) or weaknesses
a broad range of computer-based models and a (W), and those external to the organization can
variety of visualization tools for presenting the be classified as opportunities (O) or threats (T).
results of the models. Urban Information System (UIS): Is a
Pentagon-Prism Model: An assessment meth- powerful means for governments in meeting
odology in order to identify critical success factors long-term strategic planning and management
in urban policy. It includes a systematic investiga- challenges. It provides a heightened awareness of
tion into five necessary conditions: hardware (the the interdependency among environmental, social,
tangible investments), software (the investment and economic health and the impact of decisions
in knowledge), orgware (the organizational struc- made by neighboring jurisdictions, government
agencies, and private business.
434
435
Chapter 23
GIS Implementation
in Malaysian Statutory
Development Plan System
Muhammad Faris Abdullah
International Islamic University Malaysia, Malaysia
Alias Abdullah
Rustam Khairi Zahari

ABSTRACT
The chapter presents the current state of GIS implementation in Malaysian development plan system.
It offers an overview of GIS implementation worldwide, touching briefly on the history of GIS, plan-
ners early acceptance of the system, factors that promote GIS implementation, level of usage among
planners, and factors that impede successful GIS implementation. At the end, the chapter provides a
comparison between the state of GIS implementation in Malaysian statutory development plan system
with the state of GIS implementation worldwide. The evidence was derived from three main sources:
literature, empirical observation of GIS implementation in Malaysia, and a survey conducted in 2008.
INTRODUCTION of the systems (Budic, 2000; Ceccato & Snickars,

2000; Geertman, 2002; Gilfoyle & Wong, 1998;
After over two decades since its introduction into the Gocmen, 2009). In describing planners early resent-
planning fields, geographical information systems ment towards GIS, Klosterman (1997) points out
(GIS) has become one of the important tools-of- that this was largely due to past failures of efforts to
the-trade for planners (Ceccato & Snickars, 2000; computerize planning, such as the failure of large-
Drummond & French, 2008; Gocmen, 2009). De- scale urban modelling. Early GIS implementation
spite planners early resentment towards GIS, they was also expensive, and the software was highly
have now become one of the most frequent users complicated for planners liking.
Beginning in the middle of 1980s, the adoption
of GIS among local governments in the United
DOI: 10.4018/978-1-61520-929-3.ch023
GIS Implementation in Malaysian Statutory Development Plan System
States of America began to increase slowly, and mainly because such assessment is highly sub-
then sharply in the 1990s (Drummond & French, jective and timing-dependent (Heeks, 2002).
2008). Researchers attributed this change in GIS What is considered a success to one person may
adoption rate to better and cheaper hardware and be a failure to another, and what is considered a
software availability, as well as better GIS data ac- success today may be a failure tomorrow. The
cessibility (Drummond & French, 2008; Geertman, difficulty in assessing the success and failure of
2002; Gilfoyle & Wong, 1998; Klosterman, 1999). GIS-based information systems is made worst
Key actions by governments also helped to ac- by the propensity of system developers to only
celerate GIS adoption in the 1990s. For instance, report success story. However, several authors
the publication of Chorley Report in 1987 has suggest that there are many cases of failed GIS-
helped to increase GIS awareness and provided based information systems (Abdullah et al, 2002;
fundamental directions for GIS development in Heeks, 2002; Lee & Ahmad, 2000). For instance,
Britain (Gilfoyle & Wong, 1998). In Wisconsin, Heeks (2002) says that,
U.S.A., the state-funded Wisconsin Land Informa-
tion Program and the enactment of the Compre- On the basis ofthese surveys, one may estimate
hensive Planning Law of 1999 have significantly that something like one-fifth to one-quarter of
contributed to increase GIS adoption in the state industrialized-country IS (i.e. information system)
(Gocmen, 2009). projects fall into the category of total failure
Since the 1990s, the use of GIS among planners category; something like one-third to three-fifths
has been widespread. Planners began to adopt this fall into the partial failure category; and only a
newmethod in the course of their work, especially minority fall into success category. (p. 102)
in terms of map-making and land data storing.
GIS-based information systems were developed Nevertheless, researchers tend to agree that
and deployed to allow planners and stakeholders organisational factors are more important than
better access to information and data (Craglia & technological ones in ensuring a successful
Signoretta, 2000; Gilfoyle & Wong, 1998; Heeks, implementation of an information system (Abdul-
2002). However, widespread implementation lah et al., 2002; Heeks, 2002; Innes & Simpson,
of GIS in the planning field does not translate 1993; Ramasubramanian, 1999). Organisational
into full utilization of GIS application. Research mission to implement and support information
indicates that planners regular use of GIS has system, retaining key and trained staff involved
been largely limited to the basic functions of the in the development and implementation of the
systems, such as mapping and accessing land system, data availability, and system designers
information, for routine operational and manage- understanding of users needs are among the or-
ment tasks including permit processing, land data ganisational factors identified as key ingredients
storing and map presentation (Budic, 2000; Gill, for a successful information system.
Higgs, & Nevitt, 1999; Klosterman, 1997; Men-
necke & West, 2001). Even at present, prevalent
use of GIS among planners continues to centre BACKGROUND
on rudimentary applications while advanced ap-
plications, such as spatial analysis and modelling, Malaysian Statutory
remain underutilized (Gocmen, 2009). Development Plan System
While GIS application among planners con-
tinues to be underutilized, the fate of GIS-based Town and country planning system in Malaysia is
information systems is more difficult to assess, governed by the Town and Country Planning Act
436
Figure 1. Malaysian statutory development plan

local plans. Following the amendment, the system
hierarchy
now consists of a hierarchy of development plans
ranging from national to local levels. At the top of
the hierarchy is the national physical plan. This
is followed by the state structure plan, the local
plan and the special area plan (Figure 1).
The national physical plan sits at the top of
the hierarchy of statutory development plans in
Malaysia. Prepared by the Federal Department of
Town and Country Planning (FDTCP), the plan
provides strategic development framework for the
whole of West Malaysia. The plan was approved
by the National Physical Planning Council in 2005
and shall be in effect until 2020. It is subject to
revision every five years.
The state structure plan is prepared by the
State Department of Town and Country Planning
(State DTCP). The plan translates the development
19761 (Johar, 2003; Abdullah & Ariffin, 2003).
framework of national physical plan to state level,
Central to this Act are the requirements for plan-
and provides planning policies and proposals for
ning authorities in Malaysia to formulate planning
the whole area within the state boundary. The
and development policies through preparation of
form and functions of state structure plan remain
statutory development plans and to regulate de-
similar to the old structure plan prior to the 2001
velopment through development control process.
amendment of the Town and Country Planning
The statutory development plans required under
Act 1976. The only difference is that the current
the Act are national physical plan, state structure
state structure plan is a state-wide plan, while the
plan, local plan and special area plan.
previous structure plan was prepared for a part of
The administration of this Act is carried out
an area within state boundary. At present, eight
at three different governmental levels which are
out of eleven states in West Malaysia already had
the Federal, the State and the Local Government
their state structure plans published in the official
(Ahmad Sarkawi, 2006). Planning authorities are
gazette. Once published, the plan becomes a legal
established at each level of the government to un-
document that guides the planning and develop-
dertake planning of different scale and functions.
ment within the state.
The Town and Country Planning Act 1976
The 2001 amendment also affects the local
was amended in 2001 to make provision for an
plan. Although the form and functions of local
improved system of statutory development plans
plan remain the same as before the amendment,
in Malaysia. The 2001 amendment introduced
the plan is now a district-wide plan. Previously,
additional set of plans into the system, which
it covered only a part of an area under a local
aims at introducing a more integrated and holistic
planning authoritys jurisdiction. Thus, the present
approach to planning, and enhancing the control
local plan is commonly referred to as the district
and regulation of planning in Malaysia (Ahmad
local plan in order to distinguish it from the old
Sarkawi, 2006). Prior to the amendment, the Ma-
local plan.
laysian statutory development plan system was a
Local plan is prepared by local planning
two-tier system consisted of structure plans and
authority to set out detail policies and proposals
437
pertaining to development and use of land in the by the planning authorities. Once finalised, the
district. The plan also translates strategic policies plan will be put on public display before being
and proposals of state structure plan into details to published in the governments gazette. Figure 2
be implemented at the district level. Usually this presents the flow chart of a typical statutory de-
involves detailing the exact location, components velopment plan preparation process in Malaysia.
and the cost of development. At present, a total of Although there are other types of development
108 local plans have been published throughout plans prepared by planning authorities in Malaysia,
West Malaysia. such as regional plans and rural growth centre
Similar to the local plan, the special area plans, their preparations are not bounded by the
plan is also prepared by local planning authority. requirements in the Town and Country Planning
Nevertheless, special area plan covers a smaller Act 1976. Thus, these plans are sometimes termed
area in comparison to the local plan and contains as non-statutory development plans. For the pur-
proposals that are more detailed in nature. Special pose of this chapter, any reference to development
area plan is prepared for an area that requires plans in the following discussions will refer to the
special planning because of its unique character. statutory development plans.
At present, special area plans have been prepared
for areas that require special conservation efforts History of GIS Implementation
because of their historical or natural environmental in Malaysian Statutory
value, and for areas that are subjected to intense Development Plan System
development pressure.
In general, the contents of these statutory GIS was introduced in Malaysia in the early
development plans consist of written statements 1980s. Early record shows that GIS was first
and maps. The written statements present the used by Malaysian Department of Agriculture in
planning policies and development proposals for 1981 (Idrus & Harman Shah, 2006). It was only
the planned area, while the maps act as supporting over a decade later that GIS was officially used
documents that clarify the policies and proposals in planning in Malaysia.
through graphical representations. The national The year 1993 marked the first GIS use in
physical plan and the state structure plan are subject Malaysian planning when Putrajaya, the new
to revision every five years. On the other hand, Malaysian Federal Government Centre, was being
the revision of a local plan can be performed by planned (Abu Bakar, 2004). In the process, GIS
the local planning authority whenever necessary. (MapInfo version 1) was used, but only for map
Preparations of all statutory development plans presentation. In that same year, the Local Plan for
in Malaysia are outsourced to private planning Parit Buntar and Bagan Serai area was also being
consultants. A team of planning consultants is prepared. This presented another opportunity for
appointed for each statutory development plan FDTCP to try to use GIS in planning. Thus, the
preparation project and is responsible for collect- first executive information system for a develop-
ing data, performing analyses and writing reports. ment plan, known as SMaRT, short for Sistem
Meanwhile, the planning authorities administer Maklumat Rancangan Tempatan, or Local Plan
the preparation process by providing supervision Information System, was developed for that local
and funds, as well as handling the publicity and plan (Abu Bakar, 2004).
the gazette process of the plan. The planning Beginning with these two GIS initiatives, GIS
consultants, based on analyses of the collected use in Malaysian planning gradually increased.
data, propose planning policies and development Early widespread implementation of GIS centred
proposals for the planned area for commentary on its implementation in the preparation of devel-
438
Figure 2. Typical development plan preparation process and integration with GIS (Adapted from Jabatan
Perancangan Bandar dan Desa Semenanjung Malaysia, 2001 and Jabatan Perancangan Bandar dan
Desa Semenanjung Malaysia, 2007)
opment plans. By 1997, GIS was already embed- offered to all planning graduates at all planning
ded into the preparation process of development schools in the country (Ibrahim et al., 2004).
plans in Malaysia (Ibrahim et al., 2004). From the On-demand GIS trainings are also offered by
initial focus on development plan preparation, GIS various parties, including universities and private
was then implemented in other activities of plan- GIS companies, to public and private planners.
ning including development control and land use GIS research and development are being pursued
change monitoring, as well as being the platform actively with universities playing significant roles
on which tailor-made e-planning systems were in developing GIS model and exploring new areas
developed (Abdullah, 2004). where GIS can add value in the planning process
Today, GIS is a common knowledge among (Abdullah, Abdullah, & Ibrahim, 2009; Samat,
planners in Malaysia. Formal GIS training is now 2006; Tan, 2005).
439
Information System promote GIS use in planning, especially in the

Planning Masterplan development plan preparation process.
In 1996, the Malaysian Government launched GIS Implementation in

e-government initiatives as part of its efforts to Statutory Development Plan
employ information and communication technol- Preparation Process
ogy (ICT) in order to reinvent the way it operates.
E-government was one of the seven flagship ap- The Information System Planning Masterplans
plications initiated under the Multimedia Super proposal to promote GIS use in development
Corridor programme (Lee & Ahmad, 2000). Under plan preparation process is perfectly appropriate
the programme, government departments were for several reasons. Firstly, development plan
required to formulate and implement proposals preparation involves the production of a signifi-
for integration of ICT in their work in order to cant number of maps. For instance, Terengganu
achieve speedier and better service delivery. In line State Structure Plan contains 62 maps and Perak
with the Malaysian Governments e-government State Structure Plan contains 52 maps (Table 1).
aspiration, in 1997, FDTCP introduced its Infor- Nevertheless, it has to be noted that these are just
mation System Planning Masterplan. This master- the number of maps included in the published
plan outlines the departments approach towards plan. The number of maps prepared throughout
integration of ICT into planning in Malaysia. the entire plan preparation process is notably
Nevertheless, many of the ICT systems proposed higher since there are also other reports like the
to be developed under the masterplan have some inception report and the report of survey (Figure
GIS elements in them. According to Mohd. Nazri 2), which have to be produced in the process
Abdullah (2004), based on the detail explanation and these reports contain a sizeable number of
in the masterplan, it can be concluded that 80% maps as well. In fact, report of survey usually
of the proposed systems would lead to some GIS contains more maps than the published plan
applications in planning. Among the ICT systems itself. Therefore, even though the number of
proposed by the masterplan are: maps included in Pahang State Structure Plan
is only 15 (Figure 2), the total number of maps
Development and Planning System; produced during the Plans entire preparation
Planning Monitoring System; process is considerably higher. Due to the high
Planning Approval System; number of maps produced during development
Counter Service System; plan preparation process, many opportunities
Appeal Board System; to use GIS arise in that process. Maps, which
State Planning Council Decision Support were usually prepared using computer-aided
System; and design (CAD) software (and in some cases using
Data Warehousing and Information Microsoft PowerPoint) previously, can now be
System. prepared using GIS software.
Secondly, statutory development plan forms
The masterplan recognizes the benefits of the basis for development control for the planned
GIS to planning, and thus outlines measures to area. The plan would determine the type of de-
integrate GIS into planning in a more coordinated velopment allowable in an area, or land parcel,
approach. Among the key thrusts of the masterplan as well as any restrictions (such as development
pertaining to GIS are to increase GIS awareness density, plot ratio and building height) associated
and knowledge among FDTCP officers, and to to that land. The use of GIS would development
440
Table 1. Number of maps in published state structure plans
No. State Structure Plan No. of maps No. of policies

1. Terengganu State Structure Plan 69 158
2. Perak State Structure Plan 52 49
3. Melaka State Structure Plan 29 165
4. Pulau Pinang State Structure Plan 29 79
5. Selangor State Structure Plan 26 100
6. Negeri Sembilan State Structure Plan 25 111
7. Pahang State Structure Plan 15 29
8. Johor State Structure Plan n/a n/a
of an information system and its usage in the Early attempts to integrate GIS into Malaysian
development control process. Such information statutory development plan preparation process
system would allow users, especially council were not without problems. When initially in-
planners, to quickly search for the land parcel troduced, GIS received lukewarm reaction from
affected by a planning application using com- FDTCP officers, created confusion among private
puter and to ascertain the planning policies and planning consultants and failed to achieve what it
the development control requirements related to was intended to do. Mohd Ali Abu Bakar (2004)
that land. Such system would also help speed up reports that despite the promotion and the road
the development control process considerably as shows, GIS was not initially well received by
compared to manual search and reference tasks, many officers from the professional category,
especially when a plan may consist of more than such as planners. Many of them perceived GIS
one hundred policies (refer Table 1). The less time merely as a mapping tool and thus only useful
taken to process a planning application would fit to sub-professional officers, such as technical
very well into the e-government initiatives, which assistants and technicians.
seek for speedier service delivery. When GIS was introduced to private planning
consultants, the reception was not any better as
Problems Faced During Early well. To many of them, GIS was completely a
GIS Implementation Period new thing and most were unclear about how GIS
was to be integrated into the development plan
Following the introduction of the Information preparation process. When further clarification
System Planning Masterplan, FDTCP began its was sought, FDTCPs response suggested that
promotion of GIS. Officers from the department what the department wanted was for digital maps
were sent to GIS trainings and road shows were to be used in the preparation of the plans. How-
conducted at various town planning departments ever, as stated by Mansor, et al. (2004), initially
in the country. FDTCP also conducted several many consultants still decided not to use GIS. As
workshops to discuss in detail the areas where digital plans and maps could be produced easily
GIS can be used in the development plan prepa- using CAD software, not all consultants decided
ration process and, later on, introduced GIS to to venture into using GIS software in their work.
private planning consultants who were involved Instead, many of them opted to continue using
in development plan preparation projects (Ibrahim CAD software, which they were already using
et al., 2004). prior to the GIS introduction.
441
Early implementation of GIS in the develop- cerning map preparation, metadata and database
ment plan preparation process also faced the structure were also produced. These guidelines
problem of standardisation, or the lack of it (Ba- are constantly revised and improved. Today, the
hagian Teknologi Maklumat, 2006). At that time, level of details provided in these guidelines is
FDTCP did not provide any detail guidelines on quite remarkable. For instance, the latest version
land use colour classification, database structure, of FDTCPs Manual Penyediaan Pelan GIS (or
metadata structure and the like. Lack of detailed GIS Plan Preparation Manual) goes to the extent
guidelines led to non-standardised GIS outputs of providing step-by-step instructions on how to
prepared by the few consultants who decided to prepare land use data layers (Bahagian Teknologi
use GIS in the plan preparation. Maklumat, 2007b). The guideline for Format
The absence of detailed guidelines from Metadata dan Struktur Pengkalan Data Sistem
FDTCP and lack of GIS knowledge among con- Maklumat Geografi (GIS) Kajian Rancangan Tem-
sultants also resulted in limited use of GIS in the patan (or Format for Metadata and GIS Database
development plan preparation process. GIS was Systems for Local Plan) is similarly detailed in
viewed as a map drawing tool and thus, used as contents. The 78-page guideline includes samples
one. Maps were drawn using GIS software but of metadata format for each land use layer and
without data attributes. Spatial analyses were pre-determines the name of each of the layers
still conducted manually despite the availability (Bahagian Teknologi Maklumat, 2007a).
of GIS software and digital maps. However, the Another measure taken by FDTCP to ensure
results of these analyses were then drawn onto standardisation of GIS outputs is the appointment
the maps using GIS. of GIS consultant into the team of consultants
that are involved in preparing a development
Quality Control of GIS Outputs plan. When GIS was initially introduced into
the development plan preparation process, the
Having learnt lessons from the problems faced responsibility to prepare GIS maps was on each
during the early period of GIS implementation of the planning consultant in the team. Such ar-
in the development plan preparation process, in rangement lacked the necessary coordination to
1999, FDTCP introduced measures to control ensure that all the maps produced were uniformly
the quality of GIS outputs from the process. formatted. With GIS consultant in the team, the
A guideline on GIS application for local plan responsibility to coordinate maps preparation is
preparation process was produced (Abu Bakar, on the GIS consultant. Because of their advanced
2004). Although brief in nature, the guideline was knowledge in GIS technologies, GIS consultants
rather useful as foundation towards standardisa- are also tasked to conduct GIS analyses, develop
tion of GIS outputs. The guideline was tested on GIS database and develop executive information
several local plan preparation projects before it system for the plan (Jabatan Perancangan Bandar
was finally improved. In 2001, it was officially dan Desa Semenanjung Malaysia, 2007). In terms
included in the revised FDTCPs Manual for of map preparation per se, the responsibility
Local Plan Preparation (Jabatan Perancangan remains with individual consultants in the team.
Bandar dan Desa Semenanjung Malaysia, 2001; However, increasingly, in many development plan
Abu Bakar, 2004). preparation projects, GIS consultants are also
Similarly, the FDTCPs Manual for State given the task to prepare maps on behalf of the
Structure Plan Preparation was also revised in planning consultants. In such cases, the planning
2003 to include guidelines for GIS application in consultants still provide the required information
the plan preparation process. Other guidelines con- for GIS maps preparation to GIS consultants..
442
Level of GIS Application in Statutory used to replace what they have been doing manu-
Development Plan Preparation ally. In the same time, GIS consultants also tend
to overlook their responsibility to advice planning
Despite having GIS consultants expertise at dis- consultants on GIS analyses because they are
posal, present GIS use in most statutory develop- too preoccupied with developing GIS database
ment plan preparation projects is still limited to and the executive information system, which are
map preparation and presentation with minimum deemed as the core of their work. Additionally,
GIS analyses being performed (Ibrahim et al., they receive no request for GIS analyses to be
2004; Nor Salehi Kassim, personal communica- performed from planning consultants (G.L. Chua,
tion, December 11, 2008). In most instances, GIS personal communication, December 12, 2008).
analyses performed are restricted to basic analyses The superficial knowledge of GIS among
like overlays and catchment (buffer) analyses (G. planning consultants, as described above, can be
L. Chua, personal communication, December attributed to the lack of GIS training received. It
12, 2008). Nevertheless, although rare, there should be noted that many of the planning consul-
were cases of advanced GIS analyses performed tants involved in preparing development plans are
in development plan preparation, such as in the seniors in their fields. Many never received any
preparation of the national physical plan and the formal GIS training during their university days.
Kulim District Local Plan (Abdullah, Abdullah, & Although commercial GIS training is available at
Shahbuddin et al., 2009). In both cases, GIS was present, senior consultants prefer to not attend the
coupled with decision support systems to conduct training sessions. Instead, younger staff are sent
analysis and generate maps for land suitability for the training. A common idea shared by many
(Amandus Jr, 2006; Kassim & Islam, 2009). senior planning consultants is that GIS (and ICT)
In explaining the reason behind the limited use suits younger people better.
of GIS analyses in the development plan prepara-
tion process, Ibrahim, et al. (2004) states that: Executive Information System for
Statutory Development Plan
the current limitations in terms of GIS use in
development plan preparation arisen due to in- Executive information system (EIS) is another
adequate comprehension among private planning aspect of GIS application in the statutory develop-
consultants on the analyses capability of GIS and ment plan preparation process. The requirement
also on how GIS can help to ease their work. In to produce EIS for development plan is now
addition, the preparation of development plan mandatory in all development plan preparation
does not solely involve analyses of spatial data, projects (Jabatan Perancangan Bandar dan Desa
in many instances, analyses of aspatial data, or Semenanjung Malaysia, 2007). EIS for develop-
a combination of both, are equally important. ment plan is basically a computer system that stores
Marrying the spatial analyses with aspatial ones all GIS maps prepared for a development plan.
might be a little on the complicated side to many Users can then access these maps through the EIS
planning consultants. (p. 3) and perform some GIS functions using the toolbar
on the systems graphical user interface. Usually,
Although planning consultants who are in- the toolbar includes only basic GIS functions such
volved in the development plan preparation are as calculating distance, accessing information
aware of GIS functions, they are not aware of GIS of land parcels and displaying selected layers of
full capability for analysis. In particular, they do information. There are also EIS that stores the
not know whether any of the GIS analyses can be digital version of the published development plan
443
as well. As such, the system is frequently used by development control, counter services and public
the planning authorities officers as a substitute exhibition of development plan. FDTCP has also
for the hardcopy version of the plan. begun to encourage the development of internet-
The development of EIS for development plan based EIS (Jabatan Perancangan Bandar dan Desa
is advancing. Earlier, EIS was developed mainly as Semenanjung Malaysia, 2007). It is hoped that by
a stand-alone system to store GIS maps and reports being internet-based, future EIS can be accessed
produced during the development plan preparation more easily by users, especially the public. With
process. The database of the system was fixed and the present system, public users can only access
only updated when revision was done to the plan. the system at planning authorities offices, either
However, recently, EIS began to be developed as at the information kiosk or service counter.
a multi-user system and deployed over local area
network. The system also now includes features EIS Implementation Problems
of a charting2 system, where the database can be
easily updated through the systems interface. While EIS development is mandatory for all
With these features, planners are able to update the statutory development plans in Malaysia, the
land information in the database without having success of its implementation is uncertain due
to actually use GIS software. to lack of research on this issue. Nonetheless, it
EIS for development plan targets three types seems that some planning authorities are more
of users, which are: successful in implementing EIS than others. EIS
implementation at planning authorities such as at
Executives, including council planners, Melaka State DTCP, Petaling Jaya City Council
who make decisions about planning and Seberang Perai Municipal Council are often
applications; referred to, by those in the planning fraternity,
System administrators who are usually as examples of successful EIS (G. L. Chua, per-
planners and technical staff of planning sonal communication, December 12, 2008; Mohd
authorities; Ramzi Mohd Hussain, personal communication,
The general public, including developers December 10, 2008).
and land owners. As mentioned previously, EIS for development
plan is developed during the plan preparation
Access to information stored in EIS data- process. The cost to prepare the plan, including
base is restricted according to the type of users. EIS, is jointly funded by FDTCP and the plan-
Executive users have access to all information ning authority whose area is being planned for.
including the digital version of both the report In most cases, the former contributes towards a
of survey and the published development plan. major portion of the funding. Once EIS develop-
However, they do not have access to update the ment is completed, the GIS consultant will create
GIS database. Public users neither have access to an installation disc of the system and hand it over
the reports nor to update GIS database. Instead, to the planning authority. A manual on how to use
they can only access information regarding the the system is also prepared and printed out by the
proposed land use of a particular land parcel and GIS consultant for the planning authoritys use. It
the development restrictions attached to that land. is then up to the planning authority to install, main-
System administrators, obviously, have access to tain and upgrade the system. Yet, it is common for
all information and to update the GIS database. planning authorities to fail to maintain the system.
Besides being used as a medium for quick ac- Often times, the reasons cited for such failure are
cess to planning information, EIS is also used in lack of personnel and financial capacities.
444
In hindsight, the EIS for development plan Although the monitoring of development plan
is actually forced upon planning authorities by implementation is not widely practiced, the need
FDTCP. When EIS became a mandatory require- for it is clearly identified, especially for the state
ment in development plan preparation, planning structure plan. The Manual for Preparation of
authorities had to accept the system when it is Structure Plan proposes a procedure that can be
handed over to them although they may not have employed by States DTCP to monitor their state
the resources to maintain the system. Unfortunately, structure plans (Jabatan Perancangan Bandar dan
many of the planning authorities do not have the Desa Semenanjung Malaysia, 2007). Additionally,
resources to maintain the system. The problem of all published state structure plans include a section
not having sufficient personnel, especially trained that outlines the monitoring programme that the
personnel, and funds to maintain EIS is quite States DTCP intend to undertake. Interestingly,
significant among many planning authorities, es- while the manual does not specifically propose the
pecially those operating in the rural area. In terms use of any ICT application in state structure plan
of personnel, some planning authorities in the rural monitoring, the plans describe the possibility of
area do not even have a planner on their payroll. In GIS being used for monitoring purposes.
cases like this, it is usually the technical assistant The only GIS-based monitoring system for
who will act as the planner for the area. There are state structure plan in Malaysia is the one devel-
also cases where a planning authority has only oped by Negeri Sembilan State DTCP. Known as
one staff, either a planner or a technical assistant, GIS9, the system was developed for the purpose
to handle planning matters of the area. To worsen of monitoring land use change in the state and
the matter, some of these planning authorities are evaluating the change in relation to the land use
not even equipped with a computer in which the allocation proposed in Negeri Sembilan State
system can be installed (Aishah Abdullah, personal Structure Plan. The system is placed on a server
communication, November 18, 2008; Muhammad located at the Negeri Sembilan State DTCP office.
Hakimi Mohd. Hussain, personal communication, The system is also connected to all local planning
November 18, 2008). Their existing computers are authorities in the state in order to enable them
obsolete that they do not have the right specifica- to update the systems database when change of
tions to run EIS applications. land use occurs in their area. The updated data
will then be used to determine the actual land
GIS-Based Statutory Development use allocation in the state. This information will
Plan Monitoring System then be compared with the land use allocation
proposed by the state structure plan. Thereafter,
The monitoring of statutory development plan the difference between actual land use allocation
implementation has not been given sufficient and the proposed one will be calculated and the
attention by planning authorities in Malaysia, results will be presented in terms of percentage
even at present. In fact, many planning authori- (UGisP, 2006).
ties do not monitor the implementation of their
development plans. In the event where monitor- GIS-Based Monitoring System
ing of development plan is undertaken, the focus Implementation Problems
is solely on land use change. Meanwhile, other
aspects of the plans, such as protection of envi- Despite being potentially useful, the implementa-
ronmental resources, management of traffic and tion of GIS9 is rather unsuccessful. This is due to
provision of public facilities, are not included in the failure of local planning authorities in updating
the monitoring exercise. the data for their area and poor systems infra-
445
structure. As aforementioned, the system is very to 1984. So, while it was already 13 years that
dependent on local planning authorities updating planners elsewhere in the world have been using
the land use data for their area whenever there is GIS in their work, many Malaysian planners still
a change of land use. However, the local planning found GIS a completely new invention when it
authorities failed to do this. As in the case of EIS was officially introduced into Malaysian develop-
previously, lack of personnel was often cited as ment plan preparation process in 1997 (Mansor
one of the reasons for their failure to update the Ibrahim et al., 2004). However, the result of a
data (Anuar Maidin, personal communication, survey conducted among planners in Malaysia
November 11, 2008). As a result, the land use data revealed that by 2004, already more than 50% of
in the system database is outdated and does not the planners have used GIS software. A similar
reflect the actual land use allocation in the state. survey in 2007 showed that the figure had risen
Thus, the data cannot be used to provide accurate to almost 70% (Abdullah, Abdullah, & Ibrahim et
monitoring results. al., 2005). Looking from this angle, one can see
The system is also plagued by poor infra- the profound impact of GIS implementation in
structure set up. The server experiences too development plan preparation process in creating
many problems that lead to numerous down time, GIS critical mass in Malaysian planning. It took
which at times extending well over two months only 10 years since GIS was officially introduced
(Haibernarisal Baijuri, personal communication, into the development plan preparation process for it
November 16, 2008). The long down time leads to become widespread among Malaysian planners.
to data updating exercise being put on hold and Based on our observation, we would like to
discourages users from using the system. offer two main reasons for the popularity of GIS
among Malaysian planners after its use was made
Impacts of GIS Implementation in mandatory in the development plan preparation
Statutory Development Plan System process. Firstly, in the late 1990s, Malaysia and
several other countries in the Asian region were
The implementation of GIS in statutory devel- faced with economic recession due to the cur-
opment plan system has impacted Malaysian rency crisis. Prior to the recession, Malaysia was
planning scene in a number of ways. Perhaps, the developing rapidly and many private planners
biggest impact is how it has contributed towards were involved as consultants in the construc-
the increase of GIS critical mass in the country. tion industry, especially in terms of formulating
Although Rogers diffusion of innovation theory masterplans for new townships and submitting
(as cited in Ramasubramanian, 1999) suggests that planning applications for new development.
critical mass precedes adoption of technology, in However, during the recession, the construction
the case of GIS implementation in Malaysia, the industry in Malaysia was badly hit that it almost
reverse may have happened. When FDTCP intro- halted. Suddenly, many of the private planners
duced GIS in the development plan preparation found that there was no job in the construction
process, few planners were aware of what GIS industry. Around the same time, FDTCP began
was all about. Nevertheless, FDTCP had already commissioning a new batch of development plan
decided to make GIS implementation in the plan preparation projects and was looking for private
preparation process mandatory. This created the planners to be appointed as consultants in order
demand for planners with knowledge on GIS. to prepare these plans. Since planning jobs were
Warnecke, Beatie & Lyday (as cited in Drum- scarce, many private planners had no choice but to
mond & French, 2008) traced the beginning of get involved in those development plan prepara-
large-scale introduction of GIS into planning back tion projects. It was through their involvement in
446
those projects that they began to obtain exposure it helps to retain the critical mass needed to sup-
to GIS and GIS software. port continued use of GIS in Malaysian planning.
Planners from the public sector also involved
in development plan preparation projects, al-
though not as consultants, but usually as a project FUTURE RESEARCH DIRECTIONS
manager, as a technical committee member or as IN GIS APPLICATION IN
owner of the plan. Thus, similar to private plan- MALAYSIAN STATUTORY
ners, their involvement in the projects helped to DEVELOPMENT PLAN SYSTEM
expose them to GIS. Additionally, many of them
had the benefit of attending formal GIS training. Recent developments indicate that the use of GIS
FDTCP, for instance, had established a programme in Malaysian statutory development plan system
under which GIS trainings are offered to planners will continue to flourish. Two areas of great op-
from the public sector. The programme, known as portunity lie in the integration of GIS with decision
Geotechnical Spatial Analysis Research and De- support systems in the process of development
velopment, was established in 2000 as a platform plan preparation and the development of GIS-
for FDTCP to undertake research and training based systems for monitoring development plan
on spatial planning and decision-making tools implementation.
relevant to planning such as GIS, multi-criteria Within the past few years, efforts to institu-
evaluation and spatial decision support systems tionalise decision support systems into Malaysian
(Jabatan Perancangan Bandar dan Desa Semenan- planning have been on-going (Abdullah, Abdullah,
jung Malaysia, 2008). & Ibrahim, 2009). Experimental projects in which
Secondly, the implementation of GIS in the GIS was coupled with decision support systems
development plan preparation process has also in order to provide better decision making during
led to planning schools in the country to begin the development plan preparation process were
to offer, or place greater emphasis on, GIS sub- undertaken. Whether those projects have added
jects with the aim of producing more marketable value to the plan preparation process is, however,
graduates. Graduates are not only trained through unclear at the moment. Presently, it seems that
GIS-specific subjects, but also through heavy GIS there is lack of research on this issue. Nevertheless,
integration, both theoretically and practically, those projects had contributed towards creating
within other subjects such as design studios, urban among Malaysian planners on the integration of
design, planning theory and practice, environmen- GIS with decision support systems and had laid
tal planning and so on (Ibrahim et al., 2004). In fact, the foundation for further application of GIS and
during the late 1990s and early 2000s, having the decision support systems. FDTCP is also work-
knowledge to operate GIS software became one of ing on a guideline on decision support systems
the, if not the most, important criteria for planning implementation in the development plan prepara-
graduates to secure employment at planning firms tion process at the moment. How this guideline
and authorities. Today, although the importance will turn out remains to be seen.
of GIS knowledge in securing employment has Recently, the development plan monitoring
reduced slightly (but still important nonetheless), is getting increasing attention from planning au-
planning schools continue to offer GIS-specific thorities. FDTCP is currently working to develop
subjects and the integration of GIS in other related a GIS-based development plan monitoring model
subjects remains high. These ensure that planning (Nor Salehi Kassim, personal communication,
graduates in the country continue to get exposure November 4, 2008). There are also efforts to
to GIS, at least into the foreseeable future. In turn, develop GIS-based systems for development
447
plan monitoring at other planning authorities. For taken during the state structure plan preparation
instance, Selangor DTCP will begin developing process. These analyses include, for example,
their own GIS-based systems soon and Kuala consistency analysis between plans objectives
Lumpur City Hall is also looking into the idea of and policies, policy impact analysis, land require-
having GIS-based systems to help them monitor ment analysis and cost benefit analysis (Jabatan
their local plan. Perancangan Bandar dan Desa Semenanjung
Malaysia, 2007). Similar approach may be taken
by FDTCP for GIS analyses.
CONCLUSION In the long run, the number of GIS analyses
used in the development plan preparation may
Looking at GIS implementation in Malaysian increase as younger planners with GIS technical
statutory development plan system, one can iden- know-how become planning consultants in the
tify several common problems in relation to GIS future. Since GIS is relatively new in Malaysia,
implementation in planning worldwide. so are GIS courses at planning schools in the
These are: country. While the senior planners may not have
the opportunity to learn GIS during their univer-
The use of GIS is largely limited to basic sity days, younger planners have had formal GIS
functions. training at university.
The implementation failure is due to or- Many researchers point out that strong organi-
ganisational factors rather than technical. sational support is important to ensure successful
Data availability limits the success of GIS- GIS implementation (Abdullah, A. et al., 2002;
based information systems. Innes & Simpson, 1993; Ramasubramanian,
1999). Thus, relevant parties must continue the
The implementation of GIS in Malaysian de- drive towards advanced application of GIS in
velopment plan preparation process faces several statutory development plan system. More GIS re-
persistent problems. For instance, advanced GIS search should be encouraged to discover the areas
applications in the preparation of development in which advanced GIS application can add value
plans are still underutilized. Despite increased GIS to the development plan preparation process, and
awareness among planners, GIS application in the funds must be made available for such research.
development plan preparation process continues The need for strong organisational support is
to be rudimentary in nature. This is most likely more visible in the case of GIS-based information
caused by insufficient GIS knowledge among systems implementation. EIS for development
senior planning consultants who are involved in plan could prove useful for planning authori-
the plan preparation. To mitigate the problem, in ties in implementing the policies and proposals
the short term, it may be necessary for FDTCP of their development plans, and as a medium
to produce a guideline that details out the types to convey planning information to the general
of GIS analyses required in the plan preparation public. However, its implementation, especially
process. At present, the same measure is already at local authority level, is plagued by the problem
undertaken by FDTCP in order to promote the of inadequate financial and personnel resources.
use of planning analyses in development plan Although FDTCP has been funding the develop-
preparation process. In its Manual for Preparation ment cost of EIS, it is one-off in nature and this
of Structure Plan, FDTCP has identified a list of proved to be insufficient. As Alias Abdullah,
required planning analyses that need to be under- Muhammad Faris Abdullah & Fauzan Nordin
448
(2003) point out, information system like EIS is edge of, decision support systems, it could be
a living system and thus: a daunting task to apply it in their work. If its
implementation is rushed, it would only lead to
...require maintenance and system capacity build- planners finding it too difficult and consequently
ing from time to time. Accordingly, sufficient losing interest to continue to use decision support
funding must be made available. Funding is re- systems. Researchers have suggested that one of
quired for manpower to operate and maintain the the important characteristics of successful tech-
system, and for capacity building, which include nological implementation is that it must allow for
hardware and software upgrades as well as the incremental and small trials (Innes & Simpson,
overall improvement of the system. (p. 79) 1993; Ramasubramanian, 1999). Planners must be
exposed slowly to decision support systems. The
For planning authorities that face financial decision support technology and models adopted
restriction in maintaining their EIS, regular fund- must be able to sustain planners interest in the
ing from FDTCP may be necessary to subsidise system and relevant to the planning tasks. We
part of the maintenance cost. Additionally, the must not adopt complex models which are only
planning authorities must be committed to EIS of pedagogic value but not useful for plan making
and not use the subsidy for other purposes, except purposes (Batty, 2004).
for maintaining the EIS.
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State Town and Country Planning Department
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development control affairs for areas within the
decision over complex and ill-structured problems.
453
state, which are not under the jurisdiction of any 2

Charting is a process where information
local authority. about planning applications is drawn onto
Statutory Development Plan: Development standard cadastral map. Traditionally, this
plan which preparation is required by law. was done by hand where draughtsman would
draw on the map the boundary of land parcel
where planning applications were submitted,
ENDNOTES as well as other basic information about the
applications. Many planning authorities have
1
States in East Malaysia (e.g., Sabah and now replaced their manual charting with
Sarawak), and the three Federal Territories GIS.
(e.g., Kuala Lumpur, Putrajaya and Labuan)
in Malaysia are not bounded by the Town
and Country Planning Act 1976. They, how-
ever, have their own planning acts which are
almost similar to the Act.
454
455
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About the Contributors
Carlos Nunes Silva, PhD, is Professor Auxiliar in the Institute of Geography and Spatial Planning
at the University of Lisbon, Portugal. He has a degree in Geography (University of Coimbra), a post-
graduation in European Studies (University of Coimbra - Faculty of Law), a master degree in Human
Geography: Regional and Local Planning (University of Lisbon), and a PhD in Geography: Regional and
Local Planning (University of Lisbon). His research interests are mainly focused on local government
policies, history and theory of urban planning, urban and metropolitan governance, urban planning
ethics, research methods, e-government and e-planning.
***
Muhammad Faris Abdullah is a town planner by training. He began his career as a project officer
at a consulting firm before moving on to academic. He is currently attached to the Department of Urban
and Regional Planning, International Islamic University Malaysia, where he was formerly Head of that
Department. As a project officer, he was involved in a number of planning projects including develop-
ment plan preparation projects. He was among the first to use geographical information systems (GIS)
in development plan preparation in Malaysia. His experience with GIS is not limited to development
plan preparation alone, but also in development of planning and decision support systems for local and
international clients. As a lecturer, his involvement in planning projects is significantly reduced, but
he still consulting on strategic environmental assessment and sustainability appraisal of development
plans for the Government of Malaysia. He also maintains his interest in development plans, GIS and
decision support systems by undertaking research and writing academic articles for journals, books
and conferences.
Alias Abdullah holds the post of Professor of Urban and Regional Planning at the International
Islamic University Malaysia. His specialisation lies in the fields of urban and regional planning as well
as geographic information systems (GIS) and spatial planning and decision support systems (SPDSS).
Throughout his academic career, he has published numerous articles and books relating to urban plan-
ning, GIS and SPDSS. He has also been actively involved in research and consulting for local and
international clients. Dr. Alias also sits on a number of Government advisory boards, the latest being
his appointment as a member of the Public Hearing Panel for the Kuala Lumpur 2020 Local Plan. He
is also a Director of IIUM Holdings Ltd. and the Executive Director of IIUM Entrepreneurship and
Consultancies Ltd. He is a Registered Town Planner with the Malaysian Board of Town Planners and
a Fellow Member of the Malaysian Institute of Planners and Commonwealth Association of Planners.
Stephen Kwamena Aikins is a faculty member in the Department of Government and International
Affairs. He holds graduate degrees in Public Administration, Information Systems Management and Busi-
ness Administration. He is a Certified Public Accountant, a Certified Information Systems Auditor and
a Certified Business Manager. He has published in the areas of information security and e-government.
His research interests include risk management policy, government auditing and public economics.
Kheir Al-Kodmanys recent research agenda reflects on recent planning experience of Hajj dur-
ing a two-year fellowship in Saudi Arabia. Hajj, the annual Muslims pilgrimage to Makkah is the
largest congregational event in the world. Multiple research themes have emerged including defining
critical information for planning; crowed dynamic modeling; real-time monitoring systems; complex
spatial modeling; and power and planning. New research builds on previous extensive studies he made
on participatory planning and technology including GIS, visualization and the Internet. Al-Kodmany
continues teaching in the area of computer applications for planners and is presently the Co-Director of
the Urban Data Visualization Laboratory and the Director of the Graduate Studies of the Urban Plan-
ning and Policy Department.
Arne Arnberger (Priv.Doz. Dipl.-Ing. Dr.) holds a master degree in landscape planning and land-
scape architecture as well as in environmental engineering and a doctoral degree in landscape planning
and resource management. He is an associate professor teaching and researching at the Institute of
Landscape Development, Recreation and Conservation Planning of the University of Natural Resources
and Applied Life Sciences Vienna. His professional and research interests include outdoor recreation
in protected areas, forests as well as in urban settings, green space and stress reduction effects, land-
scape aesthetics, social and ecological carrying capacities, crowding, ecotourism, and environmental
education. He was involved in several national and international projects in urban parks and suburban
recreation and conservation areas.
Joachim strm holds a PhD in political science. strm is a member of the Centre for Urban and
Regional Studies (CUReS) and the School of Humanities, Education and Social Sciences (HumES),
rebro University, Sweden. He is also a member of the Network of Excellence DEMO-net funded under
the European Commissions sixth framework program.
Scott Baum is Associate Professor and research fellow in the Urban Research Program at Griffith
University, Queensland Australia. Since completing his PhD he has developed a strong research interest
in understanding questions of social disadvantage at a community and individual level. His research
has included work on social polarisation in global cities, community social disadvantage in cities and
regions of Australia, the social vulnerability of climate change and extreme weather events and issues
of e-governance development in Singapore. He has published over 50 journal articles, 20 book chapters,
4 books and 3 edited books.
Jean-Claude Bolay got his PhD in Political Sciences from University of Lausanne in 1985, after
having spent 2 years in Colegio de Mexico, Mexico City, and one year in University of California
Berkeley, working on rural urban migrations. He has worked 4 years as project manager for the Swiss
Agency for Development and Cooperation, in an urban project of slum upgrading in Duala, Cameroun,
before being contracted by Ecole Polytechnique Fdrale de Lausanne (EPFL) as urban researcher. He
504
is currently professor of urban sociology at the Laboratory of Urban Sociology Faculty of Natural and
Built Environment, EPFL. He is director of the scientific cooperation at EPFL, heading the Coopera-
tion@epfl unit and the UNESCO Chair in Technologies for Development. He has more than 25 years
of experience in urban planning, specialized in habitat, urban environment, social action, institutional
issues, and participatory approach, doubled with a long practice of projects and programs evaluation.
He has published around 80 papers and book chapters on the subject.
Alan Borning is Professor in the Department of Computer Science & Engineering, and Adjunct
Professor in the Information School, at the University of Washington. He received a BA in Mathemat-
ics from Reed College, and a PhD in Computer Science from Stanford University, and is a Fellow of
the Association for Computing Machinery. His current research is primarily in the areas of integrated
urban simulation of land use, transportation, and environmental impacts; and in design methodologies
for human values (in particular Value Sensitive Design). He has also done research in constraint-based
languages and systems, object-oriented programming, and human computer interaction more broadly,
and has published in all of these areas.
Vassilis Bourdakis, Dipl. Arch. NTUA (Athens), PhD on building evaluation and performance
(University of Bath). Worked and taught at the Centre for Advanced Studies in Architecture (CASA) at
the University of Bath until 1998. Since 1999, he is working at the University of Thessaly where hes
currently an associate professor. He has researched and written extensively on the topics of 3d model-
ling and applications in large scale digital city models, use of computers in architectural design, virtual
reality focusing in communication of ideas / designs, development of interactive virtual environments
and their use as a visualisation tool for urban planning and policy making and lately intelligent environ-
ments their design implementation and implications. While in CASA, he was the prime investigator and
developer of the first, virtual reality, architectural oriented model of the Georgian city of Bath as well
as the Londons Map of the Future.
Domenico Camarda is Assistant Professor in Spatial Planning at the Technical University of Bari,
Italy. He has a Master degree in Civil Engineering, a Master of Science in Economic Policy and Plan-
ning, a PhD in Spatial Planning. His interests include Governance and environmental planning, Scenario
building, Participation and multiagent systems in planning, Decision support systems, that are subjects
of his recent research activities and published papers in international journals. He has coordinated Italian
and international meetings and seminars, in many of which he participated as lecturer as well as speaker,
presenting about 40 papers. He published about 30 scientific papers and a dozen scientific-informational
articles, on those topics, in which an increasing importance was given to the linkages between planning
and information and communication technology, today his main object of research interest.
Antonio Caperna is Senior Lecturer and member of MetaUniversitys team at postgraduate Master
Course in Interactive Sustainable Design and Multimedia (Universit di Roma Tre). He has a PhD in
Sustainable Urban Planning, MA in Urban Planning, BA in Architecture, PGCert in Inclusive Design
and PGDip. in Interactive Sustainable Design and Multimedia. Current research and writing focuses on
numerous aspects related to sustainability, the role of Information Communication Technology (ICT)
and, in particular, the application of the most exciting scientific developments of the past decade, such as
505
fractals, complexity theory, and artificial intelligence to understand the fundamental processes behind
urban design and able to create a new human-oriented architecture. In 2008, He was invited at XXIII
U.I.A. world congress of Architecture (Turin) contributing as guest lecturer and co-tutor during the
international workshop Transmitting the sustainable city.
Yun Chen was awarded PhD title in ePlanning Systems Development by the University of Salford
(UK) in 2007. During her PhD period, she held the highly prized Overseas Research Scholarship (ORS)
from UK government (i.e. Universities UK). Currently, Dr. Chen is a research assistant in the University
of Salford, working on a UK government EPSRC funded project called Sustainable Urban Regeneration
(SURegen) (2.5 Million, 2008-2012) to design Regeneration Simulator Workbench (RSW). She was
working on an EU-funded project called Virtual Environmental Planning systems (VEPs) (INTEREG
3B, 4.7 million Euros) from 2005 to March 2008, contributing to design and implement ePlanning
systems. She also achieved the Certificate of Professional Development in consultation services and
techniques from the Consultation Institute in the UK in 2008.
Maria Manta Conroy is an Associate Professor of City & Regional Planning at The Ohio State
University. She received a B.S. (Systems Engineering) from the University of Pennsylvania, Masters of
Science (Systems Engineering) and Planning (Environmental Planning) from the University of Virginia,
and a Ph.D. in City & Regional Planning from the University of North Carolina Chapel Hill. She is
a member of the Association of Collegiate Schools of Planning, and the American Planning Associa-
tion. Dr. Conroys primary research area is evaluating sustainable development as it relates to local
comprehensive planning. Her research extends to technology enhanced public participation, especially
focused on impacts on the planning process.
Alex M. Deffner, Dipl. Arch. NTUA (Athens), MSc Urban & Regional Planning (London School
of Economics and Political Science: LSE), Ph.D. Planning Studies (LSE). Since 2008 he is Associate
Professor of Urban and Leisure Planning, and since 2003 he is Director of the Laboratory of Tourism
Planning, Research and Policy at the Department of Planning and Regional Development, University
of Thessaly, Volos, Greece. His research experience includes: parks and culture - museum marketing -
city networks - urban green - place marketing of cultural heritage - participation in planning - marine
parks - sustainable tourism planning - strategic and sustainable planning and development - integration,
planning and metropolitan development in Southeastern Europe - observatories of spatial planning -
European Cities of Culture - Atlas of Greece - second homes. He has been scientific co-ordinator of the
various programmes relating to cultural heritage. His publications in English focus on urban cultural
and time planning, as well as city marketing.
Jrgen Dllner studied mathematics and computer science at the University of Siegen, Germany. He
got his Ph.D. in computer science from the University of Mnster, Germany, in 1996; he also received
here his habilitation degree in 2001. In 2001 he became full professor for computer science at the Hasso-
Plattner-Institute at the University of Potsdam, where he is leading the computer graphics and visual-
ization research division. His research interests include 3D real-time rendering, 3D non-photorealistic
rendering, geovisualization, virtual city and landscape models, and software visualization.
506
Jennifer Evans-Cowley is an Associate Professor and Section Head of City & Regional Planning at
The Ohio State University. She received a B.S. (Political Science) from Texas A&M University, Master
of Urban Planning from Texas A&M University, Master of Public Administration from University of
North Texas, and a Ph.D. in Urban and Regional Science from Texas A&M University. She is a member
of the American Institute of Certified Planners. Dr. Evans-Cowleys research interests include informa-
tion technology in planning, public participation, and zoning policy.
Mikael Granberg holds a PhD in political science. Granberg is a member of the Centre for Urban
and Regional Studies (CUReS) and the School of Humanities, Education and Social Sciences (HumES),
rebro University, Sweden. He is also a member of the Network of Excellence DEMO-net funded under
the European Commissions sixth framework program.
Andy Hamilton is the Director of the Virtual Planning Research Group in the Research Institute for
the Built and Human Environment, (BuHu). BuHu is the top rated Research unit in its field in the UK.
Andy is an EC appointed senior expert in Urban Information Systems and, in this capacity, has recently
advised Yantai City, China on development of systems to manage sustainable urban change. He is cur-
rently technical director of the project Sustainable Urban Regeneration, SURegen, (UK Government
EPSRC funded, 2.5 Million, 2008-2012) and has been the technical director of European projects such
as Virtual Environmental Planning systems (VEPs - INTEREG 3b 2005 -2008) and INTELCITIES
(FP6 IP 2004-5). He has published over 50 papers.
Liisa Horelli, PhD, is adjunct professor of environmental psychology at the Centre for Urban and
Regional Studies of the Helsinki University of Technology. She has conducted action research on par-
ticipatory planning and evaluation with children, young people and women for over two decades. She
has also coordinated the EuroFEM - Gender and Human Settlements network and is an active mem-
ber of the international Women in Defense of Place group. She is currently interested in community
informatics-assisted time planning and development.
Angela Howell was raised in Maryland and obtained an Associate Degree in Computer Programming
from Prince Georges Community College and her Bachelors Degree in Information Systems Manage-
ment, Summa Cum Laude, from the University of Maryland Baltimore County. She is currently pursuing
her Masters Degree in Information Technology with a concentration in Information Assurance from the
University of Maryland University College. Following graduation, Ms. Howell was employed 23 years
at Xerox Corporation in various technical, sales, marketing and managerial positions. Her main focus
was as a technology engineer responsible for the analysis of customer requirements to design, develop
and implement integrated and custom document management and workflow systems. She has worked
with Fortune 500 companies throughout the world to improve business processes through technology
and workflow advances. During her time at Xerox she received numerous awards for her outstanding
achievements, dedication and customer satisfaction. In 2008 Ms. Howell was presented with a wonderful
new career opportunity at the Department of Defense where she is currently employed. At the Depart-
ment of Defense she is a Technical Project Manager in the field of Information Assurance.
Markus Jobst, born in 1972, graduated 2003 at the Vienna University of Technology with his thesis
on Multimedia Technologies in Map-related Depictions. From 2003 to 2007 he worked as research
507
scientist at the Institute of Geoinformation and Cartography, where he received his PhD in 2008 with
the topic A semiotic model for the cartographic communication with 3D. He followed with a Post-
Doc grant at the Research School on Service-Oriented Architectures at the Hasso Plattner Institute
at University of Potsdam in the field of geovisualization. Besides several multimedia-cartographic
businesses and the management of various scientific projects, Markus Jobst owns funded knowledge of
digital photography, x-media cartography and Service-Oriented geoinformation. His main interest lies
in the field of geocommunication, multimedia 3D cartography and geo-process management. At the
moment Markus Jobst manages the implementation of the EU-directive INSPIRE at the Federal Office
of Metrology and Surveying in Austria.
Jens Klessmann works, since January 2008, as a scientific officer in the Work Group High Per-
formance Portals at the Fraunhofer Institute for Open Communication Systems in Berlin, Germany.
During the years 2006/2007 he was a project manager at the Information Office d-NRW. There he was
responsible for developing and operating the Model Environment eGovernment. Beginning in 2005
Jens was a staff member at the office of the Task Force for Innovation and High Technology of the State
of North Rhine-Westphalia at the State Ministry of Economics. He graduated as a Dipl.-Ing. for Spatial
Planning (Urban and Regional Planning) at the Technical University of Dortmund. His thesis was on
strategic economic development in the areas of cluster development and local economies. It was funded
in part by a grant from the EU Cost Action 26.
Herbert Kubicek was born in Cologne, Germany, in 1946. He studied Business Administration
at the University of Cologne (diploma 1971; Ph.D. (Dr. rer. pol ) 1974). 1978-1988 he was professor of
business administration, in particular organization theory, at the University of Trier. Since 1988, he is
professor of applied computer science in the Department of Computer Science and Mathematics of the
University of Bremen, Germany, and since 2003 director of the Institute for Information Management
Bremen (ifib) as well as scientific director of the Digital Opportunities Foundation. He was consultant
to the German Federal Parliament and to Federal Ministries on e-participation and digital divide. His
research covers practical development of web-based systems as well as analytical and empirical stud-
ies in e-government and e-democracy with particular focus on usability and usefulness (more: http://
www.ifib.de).
Olaf Lubanski, born in 1975, in Poland, studied landscape architecture at the University of Natural
Resources and Applied Life Sciences, Vienna. His diploma thesis is about real time virtual scale models.
Since 2003 he works at RaumUmwelt Gmbh as 3d-artist and CAD-designer.
Arun Mahizhnan is Deputy Director of the Institute of Policy Studies (IPS). Until June 2008, he
was also an Adjunct Professor at the Wee Kim Wee School of Communication & Information at the
Nanyang Technological University. Mr Mahizhnans research interests at IPS include policy issues
relating to information communication technology (ICT) and mass media; development of Singapore
as an Information Society; and arts and cultural developments in Singapore. He has edited books and
contributed articles on the above topics. He has also co-authored policy-oriented reports such as Future
of Broadcasting; Singapore as a Renaissance City; Developing Creative Industries in Singapore;
and Partnership among Public, Private and People Sectors in Developing the Arts and Culture. His
508
co-authored/co-edited books include Impressions of Goh Chok Tong Years in Singapore, Broadcast
Media in ASEAN; Singapore: Re-Engineering Success, and Selves: State of the Arts In Singapore.
Vanessa Morris is a strategic leader who has a wealth of global and corporate experience in the
Human Resources, Health & Safety, Renewable Energy and Program Management arenas. She has
a B.S. degree in Business Administration, a B.A. in Management and is currently pursuing a dual MBA
& Master of Science in Information Technology degree. In 2005, Vanessa joined the Baltimore Gas
and Electric Company (BGE), a Constellation Energy company where she has partnered with several
Vision 2020 initiatives including Workforce Planning and Knowledge Management. These initiatives
were designed to help define BGEs strategic planning to attract, develop and retain a future workforce.
Most recently, she is working in Utility Training where she has developed a new program to support
testing qualification for technical and constructions positions at BGE. In addition, Vanessa is an Adjunct
Professor at the Community College of Baltimore County and serves on several Board of Directors for
non-profit organizations. She currently resides in the Maryland area.
Pilvi Nummi is an architect (M.Sc. in architecture), born in 1976. She is specialized in urban plan-
ning and user-centered design. She was working as a researcher in OPUS project in Helsinki University
of Technology years 2006-2008. Her main focus in the research project was the usability of ePlanning
tools. She will continue her post-graduate studies in the fields of user experience design and ePlanning.
From the year 2008, she has been working as a detail planner in the City of Jrvenp, which is a grow-
ing city near Helsinki in Southern Finland. In her present work she has an opportunity to apply and test
interactive web based tools as a planner in real life situations in detail planning projects.
Les Pang is a Program Director at the University of Maryland University College and teaches
courses on database technologies, information technology foundations and homeland security. He is
a former professor at the Information Resources Management College, which is part of the National
Defense University in Washington, D.C. He has taught military and civilian leaders in the areas of data
management, enterprise applications, multimedia, simulation, the Internet, and software technologies.
He received a PhD in engineering from the University of Utah and a Masters in Business Administra-
tion (concentrating on Management Information Systems) from the University of Maryland College
Park. He is the 2004 recipient of the Stanley J. Drazek Teaching Excellence Award at the University of
Maryland University College.
Heli Rantanen is an architect (M.Sc. in architecture), born in 1963. For over ten years, she was
developing and studying Internet-based tools for participative land use planning as a researcher in the
Helsinki University of Technology, Finland. Her main interests are the production and utilization of
formal and informal knowledge in local land use planning using web applications and forums, and the
web based interaction between the citizens and local governance in general. She is working on her dis-
sertation which deals with the combination of the Internet, urban planning and local knowledge. From
the year 2008, she has been developing web based feedback systems and interactive mapping applica-
tions in the City of Helsinki as a project manager in the IT Division of Economic and Planning Centre.
Darren Reed is a sociologist who has worked within Human Computer Interaction and Science
and Technology Studies for nine years. Working in Computer Science at York and then the Science and
509
Technology Studies Unit (SATSU), he undertook analysis of a large-scale bus management and infor-
mation system in York called BLISS. Given his breadth of experience, he undertook both a computer
science research fellow role and complemented this with a sociology fellowship in the second half of
the project. Since that time he has worked in the area of the inclusive design of technology to support
older people in various guises. First as a Research Fellow on the iDesign project, and later as a leading
member of the Inclusive Digital Economy Network
Thomas Reichhart (Dipl.-Ing., Dipl.-Ing.) holds a master degree in landscape planning and landscape
architecture from the BOKU - University of Natural Resources and Applied Life Sciences, Vienna as
well as a Master degree in architecture form the Technical University of Vienna. He is specialised in
3d-visualisation and digital architecture as well as tourism and recreation planning. In his academic
work he combines the very technical aspects of modern computer technologies with environmental and
social important issues. Beside this he works as project manager and architect for tourism projects and
contributed to a row of important Austrian tourism hot spots. His professional and research interests
include outdoor recreation, leisure behaviour, 3d-graphics, social and ecological carrying capacities,
and the development of regional tourism concepts.
Alexandre Repetti got his Engineering degree and his Doctorate from Ecole Polytechnique Fdrale
de Lausanne (EPFL). He was a postdoc researcher in GIS and Environmental Planning at University of
California Berkeley. He is currently the head of an Environnmental Planning company, mainly active
in Switzerland. He is also a scientific consultant at Cooperation@epfl, the EPFL group specialized in
enabling technology for developing countries. Alexandre Repetti has a solid experience of environmental
planning, in Switzerland and in Africa. He works on the potential of ICTs for improving the sustainability
of urban planning and natural resources management. He has published about 10 journal papers and
book chapters on the subject. His work won him the 2004 Lausanne Research and Innovation Award.
Aija Staffans is an architect and D.Sc. (tech.), born in 1957. She is an expert in collaborative land use
planning and sustainable urban development. She has been the forerunner of developing and research-
ing local, participative methods in urban planning in Finland. During the last ten years the main focus
has been on the exploitation of Internet in the processes of land use planning. She is the manager of the
Laboratory of Urban Planning and Design in the Helsinki University of Technology, Department of
Architecture, and the initiator and leader of the research group working with the local internet forums.
During the years of 2005-2008 she was the project manager of the OPUS project. Since 2004 she has
also been the chair of Helka, which is a civic organization of 76 neighbourhood associations in Helsinki.
Koray Velibeyoglu is an Assistant Professor at the Department of Urban and Regional Planning,
Izmir Institute of Technology, Izmir, Turkey. His teaching interests and methods cover project-based
courses in urban planning and urban design as well as urban ICT policy for planning. The main foci of
his research are urban design, urban ICT policy-making and knowledge-based development processes.
He is an expert in understanding networked urbanism and the impacts at the metropolitan and local
level and the role of ICTs in sustainable urban development.
Sirkku Wallin M.Sc. (planning geography) is a researcher at the Centre for Urban and Regional
Studies at Helsinki University of Technology. She has been involved in research projects on European
510
structural and regional policies, evaluation of regional development and planning, and development of
participatory methods in planning. During last five years, she has worked with a local action research
project that applies the coordination of time and space from the everyday life perspective and ubiquitous
technology in practise.
Andrew Webster is Director of the Science and Technology Studies Unit (SATSU), and Head of
Department of Sociology at the University of York. He was Director of the 5m ESRC/MRC Innovative
Health Technologies Programme, is member of various national Boards and Committees relating to
innovation and was Specialist Advisor to the House of Commons Health Select Committee. He was a
member of the Royal Societys Expert Working Group on Health Informatics. His most recent book is
Health, Technology and Society: A Sociological Critique (Palgrave Macmillan) 2007. He was elected a
Fellow of the Academy of the Social Sciences in 2006.
Bridgette Wessels is Lecturer in Sociology at the University of Sheffield. She has worked on European
projects that have addressed information and communication technologies in public services, everyday
life, and in the public sphere. She was expert on EU Fifth Framework IST programme, OST/DTI and
Royal Society cybertrust programmes. Her books include Inside the Digital Revolution: policing and
changing communication with the public (Ashgate, 2007); Information and joining up services: the
case of an information guide for parents of disabled children (Policy Press, 2002); Understanding
the Internet: a socio-cultural perspective (Palgrave, 2009). She publishes in journals including The
Information Society, New Media and Society, Journal of Computer Mediated Communication and the
European Journal of ePractice. She is book reviews editor for the International Journal of Media and
Cultural Politics.
Tan Yigitcanlar is a senior lecturer in urban and regional planning at the Queensland University
of Technology in Australia. He has a multi-disciplinary background and extensive work experience in
private consulting, government and academia. The focus of his research is promoting knowledge-based
and sustainable urban development. He has been responsible for a wide variety of teaching, training
and capacity building programmes on urban planning, environmental science, policy analysis and in-
formation and communication technologies in Turkish, Japanese and Australian universities. He is the
Editor-in-Chief of the International Journal of Knowledge Based Development.
Rustam Khairi Zahari was trained as an urban planner and did his undergraduate studies at the
Arizona State University and the University of Louisiana. This was followed by graduate studies at
the California State University at Fresno. He then joined the International Islamic University Malaysia
as a project manager at the Universitys Development Division. He later did his doctorate studies at
the University of Nottingham with a focus on urban hazards. Upon obtaining his PhD, he re-joined the
University as a lecturer. He is now an Assistant Professor and also the Head of the Department of Urban
and Regional Planning at the University.
511
512
Index
Symbols bus drivers 366, 368, 370, 373, 374, 376,

379
3-D visualizations 106, 113
Bus Location and Information SubSystem
4D 40
(BLISS) 365, 368, 369, 370, 371,
A 372, 373, 374, 375, 376, 377, 378,
379, 380, 381, 382, 385, 386
Aarhus convention 171, 180, 181, 193, 255 bus operators 368, 374, 382
accessibility 273, 275, 283
active tags 390, 393, 399, 403 C
adaptability 199, 211
cartography 121, 122, 125, 127, 129, 130,
Advanced TransEuropean Telematics Applica-
131, 134, 135, 138, 139
tions for Community Help (ATTACH)
chronotope 62
292, 293
chronotopic 61, 62, 68, 72, 73
Agenda 21 340, 343, 352, 356
citizen control 256, 263, 266
aggregation 121, 134
citizen participation 218, 219, 227, 232, 235
algorithms 121, 122, 128, 129, 132
City Beautiful movement 2
ambiguity 376
city planners 218
analog process 260
civil engineering 137
analysis agents 207, 210
civil society 325, 336, 338
analytical approach 385
classic urban planning 323
analytical models 406, 419
cognitive appropriation 379, 380
architecture 367, 370, 371, 373, 376, 377,
cognitive mapping 126
385
collaboration environment 259
artificial agents 195, 196, 207, 209, 213
collaborative planning 269
attitudinal survey 238
collaborative spatial decision support systems
au pair 196
(CSDSS) 20
Auto-ID 389
collective memory 91
B combinatorial explosions 201
common core 268, 274, 281
basemap 144, 150, 156, 157 common good 247
best GIS 150 communication agents 207
binary logit regression 108 communicative planning 1, 2, 3, 237, 242,
brainstorming 197, 198, 199, 201, 202, 245, 246, 247, 367
203, 208, 215, 216 community-based Internet GIS approach
bureaucracy 325, 327 (CIGA) 23, 24, 25, 26, 27, 29
Index
community knowledge 84 deliberative consultation

community planning 271, 281, 285 173, 175, 179, 180, 191, 193
compatibility 275 Delphi survey 200
complete data sets 150 departmental GIS 148
complex coevolving systems 64 Department of Town and Country Planning
comprehensive plan 236, 437, 450, 453
comprehensive planning 367 design methodologies 286, 300
computer-aided 199, 203, 215 developing cities 306, 307, 309, 310, 311,
computer-aided design (CAD) 20, 273, 275 312, 313, 314, 315, 316, 318, 319,
computer games 103, 104, 105, 106, 107, 320, 322, 323
108, 109, 113, 114 development forum 86, 87, 88, 91, 92, 93,
computer scientists 146 95, 96, 97, 101
computer supported collaborative work development plan 435, 437, 438, 439, 440,
(CSCW) 19, 20, 24 441, 442, 443, 444, 445, 446, 447,
conceptual models 43 448, 449, 452, 453
constructivists 202 digital citizens 80, 82, 93
consultation 256, 257, 260 digital citizenship 58, 59, 81
contextual analysis 58, 59, 69, 78 digital divide 41, 223, 224, 227, 228, 229,
contextual architecture 370, 371 236, 241, 288, 297, 305, 324, 325,
contextualization 205 326, 331, 332, 333, 335, 338
continuous feedback 195, 196 digital elevation model (DEM) 154
control stations 239 digital models 279, 280
conurbation 313 digital outreach teams (DOTs) 299, 300
convergent 289 digital services 255
coordination agents 206, 209 digital terminology 59
cost-efficiency 39 direct democracy 93
disseminating 22, 28
D distance learning 363
data accuracy 153, 156 distributed interaction 195, 196
database management 405, 419
E
database management system (DBMS)
405, 419 ecoware 434
data collection 388, 389, 394 e-democracy 60, 169, 181, 183, 192, 220,
data-driven planning 150 221, 222
data management 146, 406, 419 e-governance 59, 60, 71, 336, 338
data mining routines 195, 196 e-government 60, 218, 219, 220, 221, 222,
data source level 96 223, 224, 225, 226, 227, 228, 229,
dead values 121, 133, 134, 135 230, 231, 232, 233, 235, 236, 253,
decision making 15, 16, 17, 18, 19, 20, 262, 266, 286, 287, 296, 297, 301,
21, 22, 23, 24, 25, 27, 28, 29, 31, 305
32, 34, 35, 80, 82, 83, 86, 93, 94, e-government action plan 1 (eGAP1) 326
95, 98, 340, 351, 353, 404, 405, e-inclusion 288, 292, 297, 298, 299, 301,
406, 408, 409, 419 305
decision support system (DSS) 15, 17, 20, 22, elite democracy 240
24, 31, 34, 443, 447, 449, 452, 453 emoticon 236
delegated power 256 empirical study 106, 114
513
Index
engineering frame 365, 367, 382, 385 framework 340, 341, 342, 343, 344, 347,
enterprise GIS 149 349, 351, 353, 356, 363
entry point 258, 266 free resources 241
environmental democracy 181, 193 future-making assessment 58, 59, 61, 66, 71
environmental planning 104, 114, 195, 196, future-making assessment approach (FMA) 58,
197, 212, 213, 214 59, 60, 61, 65, 66, 70, 71, 72, 73,
environmental sustainability 195 74, 78
Environmental Systems Research Institute future workshop 197, 198, 199, 203
(ESRI) 21, 30, 32, 158, 159 fuzziness 59
e-participant 218, 219, 225, 226, 236
e-participation 168, 169, 170, 176, 177, G
179, 180, 181, 182, 183, 184, 185, Garden City movement 2
186, 187, 188, 190, 191, 192, 193, geographical information system (GIS) 15,
194, 237, 238, 239, 241, 242, 243, 16, 17, 18, 19, 20, 21, 22, 23, 24,
244, 245, 246, 247, 252, 257, 258, 25, 27, 28, 29, 30, 31, 32, 33, 34,
259, 261, 262, 263, 266 35, 177, 178, 182, 193, 225, 226,
e-petitions 179 230, 236, 241, 273, 275, 313, 315,
epidemiology 344 317, 318, 320, 404, 405, 406, 407,
epistemological 2, 14 409, 410, 411, 412, 413, 414, 415,
e-planning 365, 366, 378, 379, 382, 404, 417, 418, 419, 435, 436, 438, 439,
405, 406, 407, 408, 409, 410, 411, 440, 441, 442, 443, 444, 445, 446,
413, 419 447, 448, 449, 450, 451, 452, 453,
e-planning model 143 454
e-Planning systems 36, 37, 38, 39, 40, 41, geographical mediation 257
42, 43, 44, 47, 48, 49, 52, 57 geographic information systems 37, 53, 54
equal opportunities 269, 270, 282 geometric distortions 133
e-services 286, 287, 288, 289, 290, 291, geospatial 15, 28, 120, 121, 125, 126,
292, 293, 295, 296, 297, 299, 300, 127, 130, 131, 134, 135, 136, 137,
301, 302, 305 139, 142, 143, 144, 146, 147, 148,
e-training 268, 273 150, 153, 158, 159, 160, 161, 163,
evaluation gap 170 164
exacerbated 311, 314 geospatial analytic ability 39
executive information systems 453 geospatial database 143, 144, 147, 148,
executive planning 238 150, 153, 158, 159, 160, 163, 164
expert agents 196, 208, 212 geospatial technologies 15
geovisualization 130, 139
F
GIS-based systems 447, 448, 449, 453
feasibility 39, 42, 43, 44 global positioning system (GPS)
ferroelectric random access memory (FRAM) 241, 394, 397
391, 401 glocal 63, 72, 74, 76
field of view (FoV) 133 glocal networks 63
finware 434 Google Earth 28
flaming 222, 236 government-to-business (G2B) 327
flexibility 199, 202, 271, 275 government-to-employees (G2E) 327
forecasting 62 granularity 127
grassroots 324
514
Index
greenwaving 377 interpretivism 43

groupware 17, 19, 32, 200, 209, 216 interrelationships 202
inventory forum 86, 87, 101
H
K
Hajj 143, 144, 145, 146, 147, 148, 149,
150, 151, 152, 153, 160, 163, 165, knowledge agents 204, 207
166, knowledge building
human agents 195, 196, 200, 206, 207, 81, 83, 85, 87, 93, 98, 101
210, 213 knowledge management 91, 95, 96, 97, 100
human computer interaction (HCI) 40 knowledge management level 95, 96
hybrid tree model 124 knowledge structuring 120, 125, 126
I L
informality 311, 323 ladder of participation 255, 257
informational era 325 land use 343, 364
information media 39 land use models 15
information pools linear system 62
252, 255, 258, 259, 262, 266 lobbying agents 207, 208
information poverty 227 local agencies 286, 305
information security management local authority 343, 364
405, 412, 415, 419 local content 88, 89, 98
information society 27, 81, 367 local e-government 422, 434
information system development methodology local government 347, 348, 352, 364
(ISDM) 37, 42 local knowledge 82, 83, 84, 85, 86, 89,
information systems 313, 315 90, 98, 100, 101, 102, 172
information transmission local knowledge map 86, 89, 90, 101
126, 127, 130, 131, 139 local plan 364
infrastructure 238, 239, 242, 243, 244, local planning 313
287, 290, 298, 303, 307, 308, 309, local planning authority 437, 438, 453
310, 311, 312, 313, 314, 315, 316, local policy 349, 350, 354, 355, 356, 364
317, 318, 319, 322, 323, 345, 347, location based services 28
348, 352, 354, 364 longitudinal study 218
instrumental rationality 239, 240 low earth orbit (LEO) 152
integrated mobility services 365
intelligent transport system (ITS) 366, 379 M
intelligent vehicle-highway system (IVHS) 396 managerial model
interactional theory 49 220, 221, 223, 226, 229, 231
interactive tools 88, 101 maneuvering space 367
interactive tracking 289 manipulation 256
interactive whiteboards 63 map accuracy 154
interconnectedness 371 MeetingWorks 200, 201, 204, 216
interconnections 104, 113 meta-design 290
intermediate agents 196, 207 mobility 365, 366, 376, 378, 379, 380,
Internet mapping 21, 22, 29 382, 385
interoperability 39, 42, 43, 44
interpretive turn 367
515
Index
modelling & matching methodology (M&M) participatory design (PD) 290

36, 37, 38, 42, 43, 45, 46, 47, 48, participatory e-planning 59, 60, 61, 64
52, 56 participatory planning 61, 64, 65, 72, 75,
monolithic 18 195, 197, 212, 214
motility 379, 380, 382, 385 participatory turn 240
mullti-agent system (MAS) 195, 196, 197, participatory web 176, 194
202, 210, 211, 212, 213 passenger information panels (PIP) 367, 368,
multi-agent interactions 195, 196, 197, 215 373, 376, 377, 380, 381, 386
multichannel marketing 93 passive tag 390, 403
multidirectional interactivity 221 Pentagon-Prism model 434
multi-level agents 208 photogrammetric 275
multi-methodology 42 photogrammetry 121, 122
multitexturing 123 photomontages 104, 106
photorealistic 126, 128, 131, 132, 133,
N 135, 137
National Computer Board (NCB) 326 pilot study 25, 27
networking capability 391 placelessness 81
networking tools 95 planning association 260, 261
new media 298, 299, 302, 303, 304 planning decision support systems (PDSS) 153
nonlinear dynamics system (NDS) 342 planning department 220, 225, 236,
nonlinearity 342 planning forum 86, 101
non-photorealistic rendering (NPR) 131, 132 Planning Inclusion of Clients through E-Train-
ing (PICT) 268, 269, 271, 273, 274,
O 276, 281, 282, 284
planning knowledge 195, 196
objectivist 43
planning methods 195, 196
one-stop government 254, 255, 266, 267
planning support system (PSS) 17, 315, 405,
online discussion platform 27
406, 407, 408, 409, 410, 412, 414,
online GIS 147
419, 425, 426, 433, 434
online participation tools 218, 220, 225,
planning theory 1, 2, 3, 6, 7, 8, 9, 10, 12,
226, 227, 228, 229, 230
13, 14, 239, 240
online planning 16, 17, 18, 22, 28, 33
plurality 228
operating frequency 391
policy clients 82
OPUS 82, 83, 84, 85, 86, 88, 89, 90, 91,
policy making 237, 238, 240, 242
92, 93, 94, 95, 98, 99, 101
political equality 256
organizational knowledge 163
polygons 124, 129
orgware 431, 434
portal 252, 254, 255, 258, 259, 260, 261,
orthorectified 155
262, 263, 265, 266, 267
P pragmatism 240
prioritisation 370, 377, 378, 380, 381
panchromatic 155 process tree 89, 90, 101
paradigmatic 197 professional communication 40
participant design 290, 301, 305 project perspective 66, 68, 70
participation portals 252, 253, 258, 261, 262 public green spaces 103
participatory democracy public opinion 269
237, 240, 242, 245, 246, 247
516
Index
public participation 16, 17, 18, 19, 20, 21, S

22, 23, 26, 28, 32, 34, 170, 171,
172, 173, 175, 180, 252, 253, 255, scenario analysis 198
257, 258, 259, 260, 261, 262, 263, scenario building
266, 268, 269, 270, 278, 281, 282, 198, 199, 200, 201, 202, 203
283, 285, 324, 338 schema 269
public participation ladder 173 scratchpad 203
public participatory geographi- script 63, 64, 69, 70, 73, 79
cal information system (PPGIS) security policy 406, 411, 419
19, 22, 28, 31, 40, 54, 182 self-organization 342
public sector 252, 253, 254, 255, 258, 261, semiotic structure 130, 131, 132, 139
262, 263, 287, 288, 291, 298, 301, semi-passive tags 403
305 sensory networks 59, 63, 79
punctuality 380 service center 255, 259, 260, 263, 266, 267
service cluster 255, 261, 263, 267
Q short message service (SMS) 329
slums 306, 307, 308, 311, 312, 313, 314,
qualitative 42, 49 318, 319, 323
quantitative 42, 49 smart approaches 121, 130
quick and dirty GIS 149 smart card 289
R SMURF 309, 317, 322
social formation 291, 295, 296, 300, 301
radio frequency identification (RFID) 388, social frame 365, 367, 382, 385
389, 390, 391, 392, 393, 394, 395, social inclusion 325, 326, 327, 329, 338
396, 397, 398, 399, 400, 401, 402, social media 59, 63
403 sociotechnical constituencies 291
radio frequency (RF) 390 sociotechnical perspective 66, 68, 70, 71
rapid development methodology 43 soft systems methodology 43, 45, 56
rational planner 245 spatial accessibility 380
rational planning 313 spatial analysis 146
rational theory 2, 3, 4, 6 spatial data 143, 421, 422, 429, 434
realpolitik 313 spatial decision support system (SDSS)
real time information (RTI) 368 422, 434
reassembling 366 spatial development 364
recommendation machine 67 spatial division 262
redevelopment 273, 280 spatial information 28, 35
regional planning 252, 260, 261 spatial knowledge 120, 121, 125, 126
regression analysis 244 spatial planning 126, 195
regulation zones 309, 323 spatial-temporal data 152
representational validity 105 stakeholder 45, 47, 48, 51, 52, 364
representation technologies 40 stakeholder group 47
representative democracy 239, 242, 244 stakeholders 2, 3, 4, 5, 7, 8, 14, 144, 162,
responsiveness 176, 178 199, 200, 201, 202, 203, 204, 208,
rich language 209 237, 239, 269, 306, 307, 308, 309,
road-mapping 62 313, 314, 315, 316, 317, 319, 320,
running board 372 323
517
Index
statutory development plan 435, 436, 437, transportation routes 152

438, 440, 441, 443, 445, 446, 447, triangulated irregular networks (TIN) 122
448, 449, 454
strategic decisions 24 U
strategic planning 354, 364, 434 ubiquitous computing 59, 62, 63, 72, 366
subdivision 258, 259 UNIX 158, 159
survey data 406, 419 unwrapping 123
sustainable development (SD) 340, 342, 343, urban context 106
344, 347, 348, 349, 350, 351, 352, urban governance 269, 281, 285, 306, 308,
353, 355, 357, 359, 361, 363, 364 313, 317, 320, 323
sustainable tourism 341, 342 urban information system (UIS) 97, 422, 434
SWOT analysis 430, 434 urban integration 308
synthetic roofs 122 urbanisation 41
system development 37, 41, 42, 43, 45, 46, urbanism 2, 3, 9, 11, 12, 13
48, 52, 57 urbanization 307, 310, 323
system failures 379 urban management 310, 313
systemic interrelations 323 urban model 275, 276, 278, 279, 281
systemic perspective 66, 68 urban planning 1, 2, 3, 4, 5, 6, 7, 8, 9,
system theory 1, 2, 3, 4, 6 10, 13, 14, 15, 16, 17, 18, 19, 21,
22, 23, 24, 25, 28, 29, 30, 32, 37,
T
38, 39, 41, 42, 43, 44, 48, 49, 50,
tacit knowledge 85, 93 52, 57, 80, 81, 82, 83, 85, 88, 95,
taxonomy 197, 206, 214, 215 97, 98, 100, 101, 103, 120, 128, 137,
technical agents 206, 209 168, 169, 170, 171, 172, 174, 176,
technologies interoperability 39 178, 179, 181, 182, 183, 185, 187,
technology acceptance model (TAM) 220 190, 237, 238, 239, 252, 285, 388,
temporal flexibility 380 419
terms of references (TORs) 160 urban planning paradigm 1, 2
texture baking 123 urban planning theory 367
theory of planned behavior (TPB) 220 urban policy 434
theory of reasoned action (TRA) 220 urban public space 103
timetable 372, 380, 382 urban regeneration 47, 57
timing points 372, 381 UrbanSim 36, 50, 52, 53, 55, 56, 57
top-down 60 urban sprawl 307, 322
topography 120, 122, 134 urban structure 365
toxicology 344 user-centered design 290
tracking services 28 user-friendliness 199
traffic congestion management system (TCMS) user-generated content (UGC) 176
373
trail scenarios 103, 104, 107, 108, 110, 113 V
transformation process 46 value sensitive design (VSD) 36, 37, 38, 42,
transmitting media 120, 121, 122, 125, 48, 49, 50, 51, 52, 57
129, 131, 133, 134, 142 videoconferencing 289, 363
transparency 172, 175, 178, 179, 186, 188, view angle 134
256, 259 virtual cities 21
518
Index
virtual environment W
104, 105, 106, 111, 113, 277
virtual reality modelling language (VRML) weak signals 62
20, 21 Weltanschauung 46
virtual reality (VR) 16, 37, 131, 133, 135, wiki 236
273, 275, 276, 277, 279, 280, 281,
282, 285,
volunteered geographical information (VGI)
85
vulnerability 411, 412, 413, 419
519

Carlos Nunes Silva Handbook of Research On E-Planning ICTs For Urban Development and Monitoring

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Handbook of Research

Carlos Nunes Silva

InformatIon scIence reference

Published in the United States of America by

Library of Congress Cataloging-in-Publication Data

British Cataloguing in Publication Data

Abdullah, Alias / International Islamic University Malaysia, Malaysia........................................... 435

Compilation of References ............................................................................................................... 455

About the Contributors .................................................................................................................... 503

Index ................................................................................................................................................... 512

Compilation of References ............................................................................................................... 455

About the Contributors .................................................................................................................... 503

Index ................................................................................................................................................... 512

Carlos Nunes Silva

Carlos Nunes Silva

INTRODUCTION man, 1996; Hall, 2002; Peterson, 2003; Silva, 1994;

FUTURE RESEARCH DIRECTIONS privacy and confidentiality in the transactions

Silva, C. N. (2007a). Urban Planning and Ethics. In ADITIONAL READING

INTRODUCTION processes. In the field of urban planning, physical

Figure 1. GIS and urban planning process (Batty, 1995:9)

Computer Supported Collaborative

In the broad sense, a computer supported collab-

Figure 3. Groupware applications (Lloyd, 1994:39)

TerraServer (http://terraserver.homeadvisor.msn. an integrated geographic multi-attribute utility

SHIBUYA COMMUNITY-BASED as the public, technicians and decision-makers

Figure 4. Community-based Internet GIS approach (Yigitcanlar, 2008:350)

Figure 5. System architecture of CIGA (Yigitcanlar, 2008:353)

Figure 6. System overview of CIGA (Yigitcanlar, 2008:355)

Figure 7. System flow chart of CIGA (Yigitcanlar, 2008:356)

INTRODUCTION problems include: transport, pollution, crime,

that attempts to account for human values in a BACKGROUND TO

Geo-spatial analytic ability: Since the Current E-Planning

called Nachhaltiges Bauflchenmanagement better collaboration between public admin-

Figure 1. A four-process framework

Figure 2. Modelling and matching process of M&M

Methodology (2): Value VSD is an interactional theory: values are

possible integration of the two methodologies CONCLUSION

multi-disciplinary cooperation, such as e-Planning UrbanSim: a simulation system for projecting

INTRODUCTION tion technology (ICT). However, the history of the

communities of practice to single organisations. or measured by various methods, such as observa-

Mitleton-Kelly, E. (2003). Complexity Research Saad-Sulonen, J. (2005). Mediaattori Urban Me-

individual users, either by themselves or by the 2

INTRODUCTION The connection of land use planning to policy-

Figure 1. Learning-based urban planning

Figure 2. The concept design of the OPUS forums

Figure 3. Forums for different stages of urban development

Figure 4. The inventory forum for the Lillhemt residential area

Development Forum A editing of the site; it decides on the local policies

the district centre for 30,000 residents in Espoo. 2. Interactive tools

Figure 5. The tools and contents of the OPUS forums

Local Content and news items. The conversations are moderated

Figure 6. The local knowledge map

User Feedback User Survey

Figure 7. Formal and informal web sites in Espoo

Figure 8. Knowledge management model of the development forum

4. Knowledge presentation level. Information sources to be searched in an easy way and in

4P: 4P refers to public-private-people partner-

INTRODUCTION has become an important scientific field driven by

Figure 1. A virtual trail scenario with 3-D wire models

Table 1. Regression results for the computer game experience

Factor levels animated static

Table 2. Stated degree of realism and being able

Semi-Virtual Environments: These environ- Social Trail Preference: Preference of respon-