Course PL4202 Development Control

Module 1.1 IMPLEMENTATION PROBLEMS of

URBAN PLANS and DESIGNS

Lecturers Denny Zulkaidi

Sugiyantoro

Undergraduate Program in Urban and Regional Planning

School of Architecture, Planning, and Policy Development
Institut Teknologi Bandung
Sem I 2021/2022
PL4202 DZ/22 - 1.1 Implementation Problems

Students are able:

• To explain briefly definition, scope, stages and conditions of plan
implementation
• To explain briefly the decisions making process and a number of
tools for plan implementation
OBJECTIVES • To explain briefly problems in plan/design implementations and
their influencing factors
• To describe the conditions to improve the performance of a
project/plan

Week 2 2
CONTENT
• The need of implementation
• Definitions, stages, scopes and conditions of
implementation
• Tools for implementation
• Suggestions for (project) implementation
• Some questions
• Criteria for assessing plan/design
implementation
• Manifestation of failures
• Why implementation fails?
• Assumptions causing the problems
• Problems in enforcement
• The role of planners
Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 3
PL4202 DZ/22 - 1.1 Implementation Problems

Plans and designs are USELESS if they are not followed by

forthcoming development
• HOWEVER,
• Almost any plan is better than no plan
• No plan fails in all aspects
• Any plan is a step toward promoting development

THE NEED of • IN FACT:

• …implementation varies from one situation to the next, and
IMPLEMENTATION what might cause implementation to occur as it does. (Goggin,
1986)

INVOLVING:
– Taken decision
– set goals
– approved plan/design
– taken actions

Week 2 4
 DEFINITIONS of IMPLEMENTATION
• “The stage between a decision and operations”
(William, in Hugkuntod and Tips 1986)

• “A process of interaction between the setting of goals and actions to achieving them”
(Pressman and Wildavsky, in Hugkuntod and Tips 1986)

• “The actual transformation of what has been put on paper during planning process into physical
structures, social welfare improvements, etc”
(Tips, in Hugkuntod and Tips 1986)

• “Carrying a plan through action”

(Eisner, Galion, Eisner, 1993)

• “a complex and dynamic process, characterized by a variety of participants - with a wide range of
perspectives - whose interpretation and operationalization of earlier authoritative decisions had
multiple effects, some anticipated, others not”.
(Goggin, 1986)

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 5

 • Create the features in the plan (highways, parks, etc)

STAGES in • Influence the activities of the private sector so that:

IMPLEMENTATION • developments indicated in the plan materialize in the
time and place specified
• undesired developments do not occur

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 6

 • “Priming decisions” are made:
• in the public sector (eg. major highway or utility
locations), and
DECISIONS in • in private sector (eg. major industries, shopping centers)
PLANNING
• “Secondary decisions”:
• including small scale subdivision, mortgage financing, lot
purchasing, or home building

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 7

 Planning/design must seek to provide the condition and
stimulation for the desired development

• Specific conditions: technical - politics - comprehension -

coordination - public participation - policy - legal instruments -
REQUIREMENTS for administrative practices
IMPLEMENTATION • Technically possible (art of planners) and politically feasible
(1) (art of politician and administrators) (Walker, 1975)

Ideally justifiable – technically possible – legally permissible –

economically viable – financially feasible – environmentally
sound/sustainable – socially and politically acceptable –
administratively operable

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 8

 REQUIREMENTS for • Program’s standards and objectives should be understood by
IMPLEMENTATION (2) individuals responsible for their achievement (Hugkuntod and Tips, 1986)
• Coordinates development in the public sector, find ways to
integrates the effects of all tools, keeps the community abreast
and involve in planning policies and implementation decision
(Hodge, 1991)

• Involves participation in several types of political action on

administrative, legislative, and citizen-action levels, laws must be
prepared and subject to public hearings (Eisner, Galion, Eisner, 1993)
• Must be based on the comprehensive plan (Eisner, Galion, Eisner, 1993)
• (1) the form and content of the policy itself; (2) the capacity of
the organization(s) responsible for making the program work;
and (3) the qualifications of the people in charge of operations
(Goggin, 1986)

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 9

 • Permissive
• preparation/adoption of laws/ordinances permits/encourages the
development plans/programs
• Directive
• Actions by legislative authority that permit the first stages of a
TYPES of ACTIONS program to be initiated and define scope of the work to be
in DEVELOPMENT accomplished
IMPLEMENTATION • Supportive
(Eisner, Gallion, Eisner, 1993) • The arrangement of the financial programs through the budgeting
process to permit the projects/programs to become reality
• Active
• The launching of social/economic program; the construction of a
building; the acquisition of goods and services; the acquisition of
land for open space/other essential purposes

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 10

PL4202 DZ/22 - 1.1 Implementation Problems

• Capital Works Programming

• Includes major infrastructures, urban renewal, social
and welfare oriented projects (“soft services”),etc
• No public capital works can proceed which do not
comply with the plan
TOOLS for PLAN • Plan is implemented through the location, timing and
capacity of the major infrastructure
IMPLEMENTATION(1) • Priming decisions which will trigger responses from
(Hok 1989) the private sector
• Land Assembly
• Tools to implement planning, regulate land prices,
recapture increases in land values

Week 2 11
 TOOLS for PLAN • Development Corporations
IMPLEMENTATION (2) • Project oriented (urban renewal, waterfront redevelopment,
industrial park development, etc)
• Involve some or all of: planning & design, land acquisition and
preparation, construction, operation and maintenance, financing,
marketing, management
• Municipal, different levels of governments, or public-private joint
venture
• Community Improvement
• Enhance the locational and spatial quality for existing uses by
improving the quality of the building stock, and the physical and
social infrastructure and amenities
• Involves a combination of tools, from regulation to public
investment
• Development Fees
• Including lot levies, impact fees, cash contributions etc which are
charged to developer at a variable rate

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 12

 TOOLS for PLAN • Basic financial mechanisms:
IMPLEMENTATION (3) • Tax structure (property tax, tax abatement)
(Shirvani 1985)
• Bond issuance (general obligation bonds, revenue or industrial
bonds)
• Loan mechanisms (equity participation loans, municipal loans for
rehabilitation, revolving loans funds)
• Alternative financing:
• Aids to lenders (inner-city value estimation, community
investment program, etc)
• Other innovative techniques (urban homesteading, shared land
cost, land buy-back)
• Public-Private Partnership

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 13

PL4202 DZ/22 - 1.1 Implementation Problems

1. Project should provide opportunity for progressive development

coupled with a comprehensive structure plan
2. Each component should be independently implementable, but
integrated within its associated component area
3. The process is standardized to streamline implementation, but site
specific to meet the special needs, circumstances and priorities of
SUGGESTIONS for given locality
PROJECT 4. Public agency should assume a role of minimum direct intervention,
coupled with one of maximum support
IMPLEMENTATION 5. Projects are on a one-time cost basis with respect to government
(Hamdi & Goethert 1985) intervention
6. Proposals should be coupled with realisable recovery plans
7. Project planning and design should be cost effective
8. Project impact should be immediately felt
9. Explicit and clear design objectives, design principles and design
controls;
10. Design control instruments should be politically and legally
acceptable
Week 2 14
PL4202 DZ/22 - 1.1 Implementation Problems

• Why plan/design cannot be implemented effectively?

• “Why was X so well implemented, particularlyin
comparison with the less successful implementation
of Y?” (Mazmanian and Sabatier 1983: 3, in Goggin, 1986)
• “Why was X so well implemented in stateA, compared
SOME to state B?” (Abolafia 1979; Goggin forthcoming, in Goggin, 1986).
QUESTIONS • How can performance of plans/ designs/projects be
improved?
• What are the implications to design strategy?

[Implementation] “varies from one situation to

the next, and what might cause implementaton
to occur as it does”. (Goggin, 1986)

Week 2 15
PL4202 DZ/22 - 1.1 Implementation Problems

• Principles:
• Assessment needs valid criteria: realistic measures for
the achievement of reasonable targets

• Problems:
CRITERIA for • target achievements are unrealistic
ASSESSING • instruments for starting/advancing/ completing the
projects are not prepared
PLAN/DESIGN • policies/measures without the plan
IMPLEMENTATION • Some beliefs:
• Almost any plan is better than no plan
• No plan fails in all aspects
• Any plan is a step toward promoting development
• Criteria:
• Reasonable targets: within capacity of resources and
other capabilities
Week 2 16
 • Overemphasis on financial targets
• Underspending
• Delays in execution
MANIFESTATIONS • High cost
OF FAILURES • Inferior construction
• Low yields
• Unused capacity/occupancy/function
• etc

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PL4202 DZ/22 - 1.1 Implementation Problems

• Little control (external factors):

• Civil disturbances, political upsets, natural calamities, etc

• Partial influence (internal factors):

WHY • Poor financial control
• Lack of discipline
IMPLEMENTATION • Inadequate preparatory work
FAILS?
• Poor planning/design:
• Ambitious targets
• Inaccurate cost
• Lack of engineering supervision
• Administrative and procedural delays

Week 2 18
WHY IMPLEMENTATION • Different views of the future, comprehensive plan is not
FAILS?? (2) followed up with sound growth management (Eisner, Galion,
Eisner, 1993)

• Inconsistency (plan is respected if the politicians see it fit,

disregarded if short-range personal gain is considered
paramount (Eisner, Galion, Eisner, 1993)
• Political process that permits the plan to be amended or
ignored the plan (Eisner, Galion, Eisner, 1993)
• No schedule and instruments for development (phases,
infrastructure, indication of where, how, and when) (Eisner,
Galion, Eisner, 1993)

• Objections by citizen groups (Eisner, Galion, Eisner, 1993)

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 19

 General problems (Hamdi and Goethert 1985) :
• Those that have been implemented are difficult to sustain, and
those that have been sustained are difficult to replicate

• Excessively high standards which strained limited resources

IMPLEMENTATION • Ad hoc responses, or too ambitiously comprehensive
PROBLEMS (1)
(Hamdi and Goethert 1985) • Lack of local capacity and fund to maintain and administer
projects once built
• Substantial incompatibility:
• Objectives vs. outcome
• Project planning vs. project implementation
• Political aspirations vs. social, technical, economic realities

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 20

 • Theoretically unfounded
• Strategically and programmatically ill
PROJECT conceived
FAILURES
• Politically too ambitious, or not at all
• Technically wrong

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 21

PL4202 DZ/22 - 1.1 Implementation Problems

Assumption 1: three dilemmas

• Division of responsibilities:
FUNDAMENTAL • program makers are not project makers
ASSUMPTIONS • Process vs product :
CAUSING THE • good programs/process ≠ good product

PROBLEMS (1) • Discreet activities:

• highly professional vs user-less
• timing of project vs program

Week 2 22
 FUNDAMENTAL
ASSUMPTIONS CAUSING
Assumption 2 : the need for agreements
THE PROBLEMS (2)

• Lack of agreement about the issues/problems

vs agreement of objectives and solutions
 Conflicting priorities, standards,
objectives and values

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 23

 • Different treatment for:
• Intentional violation
PROBLEMS in • Accidental violation
ENFORCEMENT
• Obstacles, delays, legalities, and conflict in
enforcement

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 24

 THE ROLE of PLANNERS
• if implementation is defined and
measured in terms of conformance,
plans and planners have an
important influence on
implementation success.
Alternatively,
• if implementation is defined and
measured in terms of performance,
plans and planners are less
influential in implementation
(Barke, et.al., 2006)

Week 2 PL4202 DZ/22 - 1.1 Implementation Problems 25

PL4202 DZ/22 - 1.1 Implementation Problems

References: • Berke, Philip, et.al. (2006). What makes plan implementation successful? An evaluation of local
plans and implementation practices in New Zealand. Environment and Planning B: Planning
and Design, vol 33, pp 581-600.
• Branch, Melville, ed. (1975). Urban Planning Theory. Stroudsburg: Dowden, Hutchinson, &
Ross, Inc
• Eisner, Simon; Arthur Gallion; Stanley Eisner (1993). The Urban Pattern, 6th ed. New York: Van
Nostrand Reinhold.
• Goggin, Malcolm L. (1986). The "Too Few Cases/Too Many Variables“ Problem In
Implementation Research. Political Research Quarterly, 39: pp 328-347
• Hamdi, Nabeel; Reinhard Goethert (1985). “Implementation: Theories, Strategies and Practice.”
Habitat International, Vol. 9, No. 1, pp. 33-44
• Harrison, M.L,; R. Mordney (1987). Planning Control: Philosophies, Prospects, and Practice.
London: Croom Helm.
• Hok Lin Leung (1989). Land Use Planning Made Plain. Kingston: Ronald P. Frye & Co.
• Hodge, Gerald (1991). Planning Canadian Communities: An Introduction to the Principles,
Practice and Participants Scarborough: Nelson Canada.
• Hugkuntod, Ubon; Walter E.J. Tips, eds. (1986). The Non-formal Education Planning Process
and Its Implementation in Thai Government Organizations. Bangkok: Div. of HSD - AIT,
Research Monograph No. 6
• Lang, Jon (1996). “Implementing Urban Design in America: Project Types and Methodological
Implications.” Journal of Urban Design, Vol 1, No. 1, pp. 7-21
• Shirvani, Hamid (1985). Urban Design Process. New York: Van Nostrand Reinhold
• Waterston, Albert (1969). Development Planning: Lessons of Experience. Baltimore: The Johns
Hopkins University Press.

Week 2 26