TRIBHUVAN UNIVERITY

INSTITUTE OF ENGINEERING, PULCHOWK CAMPUS

DEPARTMENT OF ARCHITECTURE
PULCHOWK, LALITPUR

TERM PAPER
PLANNING THEORY

28th March 2022

SUBMITTED TO: SUBMITTED BY:

Asso. Prof. Dr. Sanjaya Uprety Manisha k. Sah
Course Tutor: Ar. Barsha Shrestha CRN: 078MSURP008
DAY 1: (14th Feb) THEORY, PLANNING, AND THEORY OF PLANNING, Its Benefit

Before discussing to our chapter matter, you surfacially start with the utopian society, modern, pre-
modern society,, mid 13th & 14th – roman civilization,18th century – renaissance, environmental ethics.
Vastu Purusha mandala, public-oriented planning example- neighborhood planning, social sector –
housing, water resources, health services, decrease mother death rate, decrease infant mortality rate,
GDP (gross domestic product), FDI.

Theory is basically a set of independent propositions to explain a certain phenomenon. Theory is a set
of assumptions, propositions, or accepted facts that attempts to provide a plausible or rational
explanation of cause-and-effect (causal) relationships among a group of observed phenomena. There
are two types of theories: a theory which is related to “natural science” and “social science”. The natural
science theory is a cause and effect theory; and is objective in nature. Whereas the social science theory
deals with people and its subjective in nature. Theory aims to make an activity more practicable by
not actually doing ‘it’ but telling how to do ‘it’. There are two types of theory: Basic or Fundamental
theory and Applied theory. The fundamental theory is applicable to wide variety of subjects, while
Applied theory is subject-specific and has limitations on where it can be applied.
Planning is simply a process of figuring out what needs to be done at present to meet the needs of
the future. It is the process of setting goals, developing strategies, and outlining tasks and schedules
to accomplish the goals. Although there are no universally agreed definitions of planning, depending
upon what constitutes planning, planning can be defined as means to end product i.e. description of
objectives and benefits such as land use planning, sustainable development planning; planning as
methodology such as participatory planning, strategic planning; and planning as a process of decision
making such as Rational planning, disjointed incremental planning. In general, planning should include:

• Definition: What is Planning?

• Types of planning- ▪ National Planning (Development Planning), Regional Planning (Dev. /
Spatial Planning), Urban Planning (Spatial/Physical Planning).
• Substantive: What are we planning for? For whom?
• Process: How should planning take place? How are they implemented?
• Normative: What do we plan for? Why should we plan?
Also, different theories of planning have been introduced over time which provides a basis for planner
to work in the field. SITAR planning theories, modern theorization of planning (environmental
planning, ecology planning), postmodern critique of planning (theory of communicative rationality,
feminism, multicultural planning theory) are some of the planning theories introduced over the time.
Depending upon the area covered by the plan, planning types are National Planning in which the policy
plan to direct/ guide investments and resources; regional planning in which economic and spatial
planning of supra- urban regions is carried out; and urban planning in which physical planning with
social and economic consideration of urban areas is done.

Submitted by: Manisha K.Sah (078MSURP008) Page | 1

 DAY 2:(16TH FEB) URBAN DEVELOPMENT CONCEPTS: VILLAGE, TOWN, AND
NEIGHBORHOOD
human settlement
Relation people to people i.e sustain in climate or social, cultural, etc in the environment. Road is the
basic infrastructure. Easter Western influence in the planning of Nepal.
Valley Urbanization
when Rana diminish, then urbanization occur
1950`s starts- early slow
1990`s – democracy, alogarimisation of infrastructure.
Terai Urbanization
Transportation linkage migrates to terai for employment. east-west highway, connecting Nepaljung,
movements of town, Birendranagar, Industry development -raw material and water resources in
60s,shifting economic investment policies with a limited spatial focus, King Mahendra’s policies pull
factor

Village is a ‘small’ physical group of shelters where there is predomination of primary activity, usually
common to everyone, commonly agriculture which results in hand to mouth economy (subsistence
economy). Town is a large settlement with reduced sense of community/closeness or belonging. There
is a predomination of secondary and tertiary activities with surplus economy. Density, population, and
revenue are the defining characters of any town. Neighborhood is the building lock of urban area. It is
an abstract word which gives more of a sense of space rather than physical space.

Hierarchy of Human Settlements:

• Isolated Dwellings: 2-3 Houses

• Hamlets: Less than 100 Population
• Villages: Up to 1000 Population
• Towns: More than 1000 Population
• City: 1-3 Lakh Population
• Metropolis: Over 1 Million Population
• Conurbation: More than 3 Million Population
• Megalopolis: More than 10 Million Population

Characteristics of a settlement:
1. Site: Location, Citing.
2. Situation: Relation to the surrounding areas, Rural Urban continuum
3. Size: Population, Density
4. Function: Land use function, Economic
5. Form: Shape, Size, Density, Configuration
6. Structure: Spatial arrangement/configuration of elements-streets, blocks, identifiable pattern,
forms, social interactions and control, social structure.
Urban planning is done for orderly management of land and its use such as living, working, resting and
recreation with consideration of social equity and social justice. It includes spatial planning and physical
Submitted by: Manisha K.Sah (078MSURP008) Page | 2
 planning. Urban Planning leads to benefits in various aspects:

• Convenience Benefit: access to services, locational arrangement of land uses and intensity, etc.
• Social Equity Benefits: fairness in access to services, fairness in distribution of cost and benefits,
participation in decision making.
• Health and Safety Benefits: reduction of traffic dangers and environmental hazard, better
sanitation and water systems, better light, and ventilation.
• Efficiency Benefits: reduction of costs of land development, transport and energy cost.
• Environmental Benefits: reduction of air, water and noise pollution and protect ecological and
open areas.
• Amenities Benefits: better living environment, conservation of nature and culture, space and
values.
Urban Planning Outputs:
1. Land use Plan
2. Infrastructure Development Plan
3. Zoning
4. Zoning Ordinances
5. Sub-division Regulations
6. Building Bylaw

DAY 3: (Feb 23) planning theory/review of town

After 50s, location attributes, land and land value (culture, space into place, social values) greek
– organic planning (democratic space/roman-formal planning admin central and peripheral,
political space, exchange, civilization, ruled by authoritative organization.
Political/social, central planning, maximum profit for larger goods, transportation, early and
modern theorization of urban planning. Vedic plan- mandala planning,1350- medieval time,
situnakha-cleaning and maintenance of water spout, lettering on the wall of Saraswati temple in
Saraswati puja, traditional town planning,
an overview of past lecture
Historical urban development as well as east shows planning in the same form or other-
A. social political and economical situation, grid pattern – to new planning
B. transportation system / streamlining
C. Landuse and power structure of societies
D. Problem approach since renaissance.
URBANIZATION AND URBAN CENTERS IN NEPAL
Urbanization refers to increasing number of people that live in urban areas which results in the physical
growth areas, either horizontal or vertical. In case of Nepal, the urbanization rate has been increased
from 13% urban in 58 municipalities to 52% urban in 293 municipalities. The inter migration pattern is
changing over intra-regional migration increasing the population of urban centers.
Urbanization in Valley as a result of strategic location and primate role of Kathmandu valley while
Urbanization in terai as a result of proximity to Indian Border and flat and fertile lands with easy
development of infrastructures.

Submitted by: Manisha K.Sah (078MSURP008) Page | 3

The substantial increase of rate of urbanization is explained by mainly three factors in the article: rural-
urban migration, focusing on rural push factors (agricultural modernization and rural poverty) and urban
pull factors (industrialization and urban-biased policies). Even though the pace of urbanization in Nepal
has been rapid, level of urbanization remains low, there are no proper land- use controls, the population
growth is higher than services growth causing scarcity of water, road and vehicular congestions and high
residential density. The housing units are sub- standard and overcrowded with poor lighting, ventilation
and insufficient toilets and other services. Similarly, the haphazard urbanization has caused land
pollution, air pollution, water pollution, unmanaged waste collection and disposal, lack of adequate
sewerage and drainage services. The loss of open and green spaces is evident and has caused loss of
cultural heritages.

DAY 4: (Feb 24) POLITICAL ECONOMY AND APPROACH OF URBAN PLANNING

/NEED TO THEORIZE IN URBAN PLANNING
- East-west town.
- Politics -decision-making process through a normative statement to make planning./ policy
environment made for public goods for the empowerment of individuals authorities.
- Literal policies,liberal society,democracy after 1990s, free marketing.
- twist and turn – contextualizing – adopting
strategic planning example Australia, FDI, Barry`s policy model urban system. policy model: urban
system Minimum size of road-7.15 km/sqft, 20km/sqft going on. A meliorative :problem solving
Starting from medieval towns, urban centers are evolving from Industrial cities back in the era of
Industrial revolution to service oriented or commercial centers till late 20 th century and now towards
Information and Communication centers. Due to this changing nature of urban centers, there is a need
of theories in urban planning. With increasing rate of urbanization more and more urban problems
regarding housing, services and the environment appear. Therefore, to address these problems theories
related to urban planning are required for proper understanding of the underlying causes of these
problems and to solve them in an innovative manner.
Urban Planning Efforts in Nepal:

1944: Rajbiraj, first planned administrative town

1956: National Level Periodic Plan
1962: Kathmandu Beautification Program on Royal visit of Elizabeth
1963: Town Development Act, 1963
1965: Third National Plan (1965-1970)
1969: The Physical Development Plan of the Kathmandu Valley
1973: PDP of the Kathmandu Valley, 1969 revised and Land use plan of Kathmandu Valley prepared
1975: Construction of Ring road in Kathmandu Valley
1974-84: Bhaktapur Development Project
1977: Comprehensive general plan for Kathmandu
1987-88: Structural Plan of major Urban Centers
1990: Integrated Action Plan (IAP) preparation
1991: Kathmandu Valley Urban Development plans and programs
1993: Study of Kathmandu Valley Urban Road Development- JICA
1999: Kathmandu Valley Mapping Program
2002: Long term vision for Kathmandu Valley
2005: Periodic Planning of Municipalities
2014: IUDP, Smart City Planning, Satellite City Planning
Manisha k. Sah (076MSURP008) Page | 2
Present Planning approaches in Nepal:

• 12 new cities along Mid-Hill Highway: Fidim, Khurkot, Sindhuli, Baitadi

• 10 new cities along Postal Highway: Kanchanpur, Bardiya, Gauriganj
• 5 new cities in Terai Madhesh: Balawa Gadhawa
• 13 smart cities: Nijgadh, Lumbini, Palungtar
• One city, One Identity: Palpa
• 3 Mega Cities: Biratnagar, Itahari, Dharan
• IUDP (Integrated Urban Development Plan) of 185 municipalities
• Satellite cities: Pokhara
Smart city is a ‘sustainable city’ which uses ICT as a tool. Smart city is identified by 4 pillars, 30
components and 106 indicators. Social (equity), environment, economy and institution are considered
to be the four universal pillars for a smart city. In the context of Nepal, smart people, smart
infrastructure, smart economy, and smart governance are taken as the four pillars of a smart city. There
are certain criteria which defines the indicators as well. They are:

• SMART (Specific, Measurable, Articulate, Reliable, Time Bound)

• Focus on performance, not on Tools.

• DAY 5: (Feb 25) THEORY OF CHOICE AND DECISIONS; RATIONALITY IN DECISIONS/

substantial theory
Synoptic/ normative planning

Data collection- sector data

Emerging pattern from data collection

Stakeholder analysis

Rationality is a logical and defined way of doing something. Therefore, rational decision making can
be understood as a decision-making process where each decision is backed up by certain theoretical
logic.

Axioms of Rationality:

• Expression of Values and Preference should be ranked intransitive order.

• Probabilities and Utilities are independent
• Unaffected Outcomes are irrelevant
• Dominant choices are to be excluded

Synoptic or rational Planning approach

Synoptic planning, or the rational comprehensive approach, is the dominant tradition, and the point of
departure for most other planning approaches, which represent either modifications of synoptic
rationality or reactions against it. Synoptic planning has roughly four classical elements: (1) goal setting,
(2) identification of policy alternatives, (3) evaluation of means against ends, and (4) implementation
of policy. The process is not always undertaken in this sequence, and each stage permits multiple
iterations, feedback loops and elaboration of sub-processes. Synoptic planning typically looks at
problems from a systems viewpoint, using conceptual or mathematical models relating ends (objectives)
Manisha k. Sah (076MSURP008) Page | 3
to means (resources and constraints) with heavy reliance on numbers and quantitative analysis.

Substantial theory
Disjoint incrementalism and mixed scan, incremental(part of rational not participatory)
Decision making-science of mudding through
Imperical methos, cost benefit analysis.

DAY 6: (Feb 27) SITAR

MODEL
Basic Rational Planning Process

• Identifying and Diagnosing the problem

• Setting up objectives and goals
• Designing alternative solutions (Strategies and Actions)
• Projecting outcomes and Evaluating against goal criteria
• Choosing and Recommending an option

Incremental Planning theory

The case for incremental planning derives from a series of criticisms leveled at synoptic rationality: its
insensitivity to existing institutional performances capabilities; its reductionist epistemology; its failure
to appreciate the cognitive limits of decision-makers, who cannot "optimize" but only "satisfy" choices
by successive approximations. Incrementalists also take issue with the synoptic tradition of expressing
social values (a priori goal setting; artificial separation of ends from means; presumption of a general
public interest rather than pluralist interests). Finally, synoptic planning is criticized for its bias toward
central control-in the definition of problems and solutions, in the evaluation of alternatives, and in the
implementation of decisions. Criticizing the synoptic approach as un-realistic, it stresses that policy
decisions are better understood, and better arrived at, in terms of the push and tug of established
institutions that are adept at getting things done through decentralized bargaining processes best suited
to a free market and a democratic political economy.
Disjointed incrementalism is the planning tradition based on mutual adjustments of the partisans. The
incremental planning was derived from a series of criticism leveled at synoptic planning which was
insensitive to existing performances capabilities; its reductionist epistemology; its failure to appreciate
the cognitive limitations of decision makers. There are various uncertainties that may emerge during
planning, incremental planning tends to manage these uncertainties by recommending actions that can
be corrected in case of failure. The effects of the plan are monitored and amended in each step so as to
ensure the reliability of the plan. The uncertainty is also reduced choosing the policies which are very
close to the status quo. It is a decision-making process through the so called “science of muddling
through”, integrating knowledge and experience as an alternative to the rational model of choice and
decision. The decisions are made based on experience of disagreeing parties through negotiation. The
gaps between perceived problems or between action or between allocated resources are each considered
individually and in disjointed manner. It tries to replace ‘planner’s values’ by ‘bargaining process and
values of existing institutions’ or different parties.

Manisha k. Sah (076MSURP008) Page | 4

Transactive Planning

The transactive planning approach focuses on the intact experience of people's lives revealing policy
issues to be addressed. Planning is not carried out with respect to an anonymous target community of
beneficiaries, but in face-to-face contact with the people affected by decisions. Planning consists less
of field surveys and data analyses, and more of inter-personal dialogue marked by a process of mutual
learning. In contrast to incremental planning, more emphasis is given to processes of personal and
organizational development, and not just the achievement of specific functional objectives. Plans are
evaluated not merely in terms of what they do for people through delivery of goods and services, but in
terms of the plans effect on people-on their dignity and sense of effectiveness, their values and behavior,
their capacity for growth through cooperation, their spirit of generosity. By contrast, incremental
planning adheres more closely to the economic logic of individuals pursuing their own self-interest.
Advocacy planning
The advocacy planning movement grew up in the sixties rooted in adversary procedures modeled upon
the legal profession, and usually applied to defending the interests of weak against strong-community
groups, environmental causes, the poor, and the disenfranchised against the established powers of
business and government. Advocacy planning has proven successful as a means of blocking insensitive
plans and challenging traditional views of a unitary public interest. In theory, advocacy calls for
development of plural plans rather than a unit plan. In practice, however, advocacy planning has been
criticized for posing stumbling blocks without being able to mobilize equally effective support for
constructive alternatives.
Radical planning
Radical planning is an ambiguous tradition, with two mainstreams of thinking that occasionally flow
together. One version is associated with spontaneous activism, guided by an idealistic but pragmatic
vision of self-reliance and mutual aid. Like transactive planning, it stresses the importance of personal
growth, cooperative spirit, and freedom from manipulation by anonymous forces. More than other
planning approaches, however, its point of departure consists of specific substantive ideas about
collective actions that can achieve concrete results in the immediate future. It draws on varying sources
of inspiration-economics and the ecological ethic, social architecture, humanistic philosophy, and
historical precedents

DAY 7: (Feb 28) STRATEGIC PLANNING / PLANNING ETHICS

Strategic Planning
Implementation of planning process is difficult and not suited to dwindling resource condition. Strategic
planning theory was developed for adverse and competing circumstances. It was developed in corporate
world in 80’. Though it was developed for corporate world it was applied in city, state and regional
levels where cites are taken as public corporation in competition for the resources that are limited.
This planning approach were done in several steps. Firstly, quick scan of the environment is executed,
and key issues are selected. Then selection of broad goals is done followed by undertaking external and
internal analyses. Goals, objectives, and strategies are developed for each issue. Then implementation
plans are developed to fulfill strategic actions. Finally monitoring of the implementation is done and
changes are done where required.
Strategic approach is action and result oriented approach within the constraints of resources. SWOT
analysis that is used to analyze strength and weakness is communicative action hence producing
responsible and realistic plans.

Manisha k. Sah (076MSURP008) Page | 5

Planning Ethics

• Teleological ethics: goodness of the results of action: In planning terms this would mean an ethical
concern with the goals of action. This basically concerns with output i.e. higher cost benefits
(utilitarianism- act oriented). In utilitarianism, the public good is an aggregate concept i.e. sum of
all preferences or the balance of pleasure over pain for all. However, the problems with teleological
ethics is that it fails to appropriately consider non- monetized values such as aesthetic values or/
and environmental values, and moral values which cannot be substituted by utility values.

• Deontological ethics: rightness of the action itself: Deontological ethic concerns with rule of
process. It is focused on right or wrongs of actions and not of their results or benefits and harms.
Deontological ethics was developed as a reaction to utilitarianism which concerns with prioritizing
the needs of people from urban poor, slums, squatters; environment and ecological issues, etc. so
that no one can benefit at the cost of others.

DAY 8: (March 02) planning theory

Planning Process:

• Desk Study/ Collection of Secondary Data: Review of Existing Development Plans

• Initial Contact and Start up meeting
• Field investigation and Primary Data collection
• Data Compilation and analysis: Trend, Spatial, Suitability, Gap, Accessibility Analysis
• Preparation of GIS based urban maps
• Preparation of Plan
• Preparation of Detailed Project Report

DAY 9: (March 03) NEW DIRECTIONS; SUSTAINABLE DEVELOPMENT/SUSTAINABILITY:

LESSONS FROM HISTORY

Sustainable Development
As per WCED, sustainable development aims to meet ‘the needs of the present without compromising
the ability of the future generation to meet their own needs.’ Sustainable development aims to have a
closed production cycle that is self-organizing and self-producing i.e. either no waste product is reduced,
or the waste product is fed again into the cycle as input.
For urban sustainability, a balance needs to be achieved between the economic system, social system,
and natural system by:

• Economic pursuit: changed from the economy of luxury, plenty, and surplus towards the
economics of sufficiency and ethics of economic competitiveness i.e. limitation of waste generation,
management against decay and assimilation of waste into resource field, etc.
• Social heterogeneity: the extent of harmony and communication within heterogeneity, urban

Manisha k. Sah (076MSURP008) Page | 6

 poverty alleviation, dematerialized social stratification, deontological ethics, equity in share of
nature, etc.

• Nature: preservation of natural resources, incorporation of natural ecological precepts to urban

ecology, nature held higher than human ‘process’, etc.

DAY 11: INTEGRATED ACTION PLAN AND LAND DEVELOPMENT TOOLS

Sustainable Development Goal No. 11: Sustainable Cities and Communities

11.1 Safe and affordable Housing

11.2 Affordable and Sustainable transport Systems
11.3 Inclusive and sustainable urbanization
11.4 Protect the cultural and natural heritage
11.5 Reduce the adverse effect of natural disasters
11.6 Reduce the environmental impact of cities
11.7 Green and Public Spaces
11.A Rural-urban Linkages
11.B Inclusion, resource efficiency and disaster risk reduction
11.C Support least developed countries in sustainable building

Integrated Action Plan

An Integrated Action Plan (IAP) is a form of urban planning where the planning incorporates the
affected community people’s participation to develop the policies which brings a sense of ownership to
the community with an aim to be more effective in its implementation. It mainly refers to follow the
physical plans and considers the local government level financial resources as prime necessary to carry
out a rolling or periodic investment plan for the next five years of project. In other words, it schedules
investments in construction and land improvement actions, relates them to physical planning policies,
involves stakeholders in the process, and concerns itself with how the local government will finance its
share of the costs.

Components of Integrated Action Plans:

• Physical and Environment Development Plan (PEDP)

• List of Investment Projects
• Multi-sectoral Investment Plan (MSIP)
Land management Tools
Land pooling is a method of readjustment of land parcels, which is commonly applied to manage urban
land. Raw and irregular land parcels are converted into developed regular land plors with access to basic
infrastructure at a cost of certain percentage of existing land area, which is either used as service plot
for infrastructure development or developed as sales plot to overcome the cost of the infrastructure
development.

Manisha k. Sah (076MSURP008) Page | 7

DAY 12: URBAN STRUCTURES
An urban structure depends upon kind, location and density of activities distributed across the space in
urban areas. For example: an urban neighborhood has physical elements as buildings, landscapes, open
spaces and transport networks. The pattern of an urban structure is influenced by:

• Concentration: different distribution of population and economic activities focused on the

center of the city and clustering around important activity points such as transportation routes,
factories, and major stores
• Decentralization: location of activity away from the center of the city
• Segregation: sorting out of population groups, the individual’s role in the total organization of
urban life.

The most widely used urban structure models are:

• Concentric model: Burgess, 1923

• Sectoral Model: Hoyt, 1939
• Multiple Nuclei Model: Harris and Ullman, 1945

DAY 13: URBAN INDICATORS

Data of an urban system is a must for preparation, implementation, monitoring and review of plans,
strategies, and policies. The amount of detail and scale of analysis of scientific data will differ depending
on the intended audience. The information used could be raw data, statistic or highly aggregated
indicators and indices for the assessment of national, federal or local level policies and plan. Raw data
are used in operational level of neighborhood projects, statistics are used in local decision making at
ward level. Similarly, indicators are used at strategy making and monitoring of City level programs and
indices are used for evaluation of National level plan and policy cycle.

The Urban Indicators Program of the United Nations Human Settlements Program (UNCHS) was
established in 1988 to address the urgent global need to improve the base of urban knowledge by helping
countries and cities design, collect and apply policy- oriented indicators data. The global indicators
provide vivid picture and status of housing and other urban issues, state of human settlements and
provide a comprehensive means for monitoring, evaluating and reviewing global urban conditions,
trends and issues through gender perspective and an adequate tool for evaluating the implementation of
the Habitat Agenda.
The Urban Indicators Program of the United Nations Human Settlements Program (UNCHS) was
established in 1988 to address the urgent global need to improve the base of urban knowledge by helping
countries and cities design, collect and apply policy- oriented indicators data. The global indicators
provide vivid picture and status of housing and other urban issues, state of human settlements and
provide a comprehensive means for monitoring, evaluating and reviewing global urban conditions,
trends and issues through gender perspective and an adequate tool for evaluating the implementation of
the Habitat Agenda.
City Development Index was developed in 1997 by Urban Indicators program of UN- habitat which
measures average well- being and access to facilities by urban residents, the CDI was based on 5 sub-
indices: Infrastructure, waste, health, Education and city product. The five modules of urban indicators
are:

• Housing development

Manisha k. Sah (076MSURP008) Page | 8

 • Infrastructure and environment management
• Transport
• Local government
• Housing

Manisha k. Sah (076MSURP008) Page | 9

Manisha k. Sah (076MSURP008) Page |
10