Content uploaded by Ijaud Journal of Architecture and Urban Development
Author content
All content in this area was uploaded by Ijaud Journal of Architecture and Urban Development on Jun 16, 2022
Content may be subject to copyright.
73
Institutionalism in Strategic Structural Plans
(A Grounded Theory Approach)
1*Maryam Daneshvar, 2 Ali Ghafari, 3Hamid Majedi
1Ph.D., Department of Urbanism, Science and Research Branch, Islamic Azad Univesity, Tehran, Iran.
2Assistant Professor, Shahid Beheshti University, Tehran, Iran.
3Associate Professor, Department of Urbanism, Science and Research Branch, Islamic Azad Univesity, Tehran, Iran.
Recieved 09.06.2015; Accepted 12.21.2015
ABSTRACT: Nowadays, planning is no longer considered merely a scientic and technical career nor a
government responsibity. It rather functions as a bridge connecting the planners to institutional changes. In other
words, the planning theory does not develop in a social, economic and political vacuum, but is formulated by
individuals in social situations with the aim of clarifying the enviroment recommending appropriate procedures and
processes. The purpose of this research was to identify the explanatory and normative capability of the Strategic
Structural Plans theory in the context of institutionalism so as to enhance the capacity of its application in practice. For
this purpose, the grounded theory was adopted as a research strategy within the framework of qualitative methodology.
The data collection instruments involved desk study, interviews with experts, managers and specialists, collaborative
observations on the environment. The research environment included macro and micro levels. At the macro level, the
focus was on comprehensible conditions and components of Iranian spatial planning system, while the micro level
served to examine on the local scale the urban planning and management through sample mining in Mashhad, Iran.
As a result of this analysis, a total of 159 concepts, 44 categories and 9 major categories and 6 topics were recognized.
Among the categories identied, institutionalism in the theory of Strategic Structural Plans was selected because of the
frequent appearance in the data and its relation to other categories as axial category, where the paradigm model was
outlined emphasizing on the causal and context condition, intervention, strategies and consequences.
Keywords: Strategic Structural Plans, Iranian spatial planning system, Iinstitutionalism, Grounded theory.
After a few decades, various research efforts were made in Iran
proved that the selected inefcient strategy leads the urban
development and promotion of environmental quality of all
the involved factors in spearheading the urban development.
Based on the substantial knowledge of the shortcomings and
failures in the traditional planning model (comprehensive) in
preparation of urban development plans on the one hand, and
the new development needs and goals for the development of
urbanization on the other hand, the Strategic Structural Plans
were proposed as a corrective approach to guide the urban
development in Iran. Having adopted this approach in urban
development plans and assessed the rst practical examples
provided, it was revealed what was prepared and approved
as Strategic Structural Plans (whether in the process of
preparation, adoption and implementation or documents and
outputs of the plan), were conicting in terms of content and
INTRODUCTION
Planning in each society undertakes a unique role, purpose
and motive. The emergence of planning system in Iran can
be traced back to ofcial records as old as nearly 70 years.
There are different reasons in the relevant literature about
the nature of Iranian planning. However, some believe that
planning is inevitable since it is rational, and that is why the
Iranian government ofcially shifted its focus in 1946 onto
development planning (Harvard Advisory Group Report).
The preparation of urban development plans as a strategy
for application of planning in Iran took the rst steps in the
1970s inuenced by the current practices of urban planning
and plans as well as the Western dominant approach initially
implemented based on the notion of comprehensive plans.
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
*Corresponding Author Email: a-ghaffari@sbu.ac.ir
74
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
procedural aspects with the conceptual-theoretical nature of the
strategic approach, even though they in some ways strived to
remain in concidence with the principles and features of this
approach.
The importance of this issue becomes clearer when we recall
that the Strategic Structural Plans have been suggested in
the Iranian urban planning as a desirable model against the
traditional method of plan preparation (which has a poor
implementation rate. The research has shown that the nal
product of the strategic structural plan has partly digressed
from the revolutionized structure of the approach because of
all the theoretical and practical difculties and faults as well
as the respective legal problems concerning the application
of strategic structural plan instead of the comprehensive plan.
The point is what has happened in the world as a structural
or strategic planning is the result of radical changes in
planning environment (in terms of social, intellectual and legal
framework, etc.). This in turns signies the need to engage the
Iranian spatial planning system with the theory of Strategic
Structural Plans in preparation of national urban development
plans.
In this respect, the relationship between theory and practice
of planning has been the limelight nowadays, where planning
is counted as an integral part of the society. Thus, it should
be acknowledged that any reform effort made in the planning
system as an element linking the government and the public
sector would require basic conditions, tools and supplies.
The absence of practical implementation of planning is
not implemented. Moreover, it remains limited to build
communication with the existing trends of urban management
activities. In this study, the key question under discussion is
what development framework there are in the Iranian spatial
planning system where the theory of Strategic Structural Plans
can be applied. Accordingly, we note that the establishment of
an efcient planning system, success in the implementation and
application of procedures, require an awareness of the essential
conditions for the establishment and sustainability of the system.
Therefore, the basic features of the strategic structural approach
are identied as a strategy to preparation of urban development
plans. Afterwards, the characteristics of the dominant discourse
on Iranian urban planning, procedures and mechanisms in the
spatial planning system will be evaluated. The current research
adopted the grounded theory with an emphasis on the planning
theory as an evolving dialogue so as to explore the concepts and
categories associated with this theory affected by the processes
of institutional change, referring to the documents, resolutions,
instructions and relevant literature based on qualitative content
analysis of various sources, including strategic planning both
in theory and practice. Thus, this study attempts to explain
the characteristics of the strategic structural plans on the one
hand, and identication of the components of spatial planning
system through interviews, participant observation and study
of relevant texts on the other hand. Then, the identied conict
will help formulate the transformation in Iranian spatial
planning system within a conceptual and paradigmatic model
through qualitative analysis methods and encryption methods.
Literature Review
Urban Planning Traditions
Planning relies upon a number of models working together
in very different elds. The basic question of how power is
exercised provides us with an initial understanding of the
opportunities available in order to incorporate an explicit
power strategy into planning (Albrechts, 2003). Studying the
most recent planning theories for their practical experience is
a good strat in putting forward a selected model for addressing
the research questions.
Although some of the past planning theories failed to address
urban issues in certain aspects (some of the relevant ones will
be discussed in the following paraghraphs), many of them
managed to deal with a specic situation at a particular point
in time. Generally, planning policies are conceived through
time, based on the constitution of each country, while taking
into account social, economic and cultural constraints. This
does not mean that different planning theories have to be used
for different contexts, but the context has to considered and
will affect the way the theory is used. Before explaining and
analyzing the selected theory of this research, it is benecial to
briey review and evaluate some of the relevant theories and
models of planning.
In the 1960s and 1970s, different ‘modern’ planning theories
and traditions were developed and implemented; a brief
summary review reveals that while they add some strength to
the practice of planning, they have certain weaknesses:
- The rational, comprehensive model is based upon a belief in
the existence of common interest in planning as a continuous
and voluntary process, as a means to create a better future
by using a ‘systems approach’ (Hall, 1979), and a clear
methodology with sequential phases related to each other:
long-term goal setting, goal- and action-oriented research,
forecasting and development of alternatives and nally action,
monitoring and feedback combined with decision-making
in different phases of the process. Already in the 1960s, this
approach was criticised by different authors, faulted for the
fact that the model did not t with the irrationality of reality
(Hall, 1979). Also practitioners using the model pointed out the
obvious weaknesses of the approach.
- Disjointed incrementalism or the ‘science of muddling
through’ can also be seen as a reaction to ‘ideal rational’
planning and as a form of ‘non-belief’ in the long-term
dimension of planning. Lindblom states that “the synoptic
ideal is not adapted to man’s limited intellectual capacities,
the inadequacy of information, the costliness of analysis, not
adapted to failure nor to the relationship between fact and value
in policy making.” His alternative, which he terms ‘disjointed
incrementalism,’ is based upon a step-by-step approach using
the existing situation as the standard and problem-solving as
the proper approach.
75
International Journal of Architecture and Urban Development
- Advocacy, trans-active, radical planning, and other models
for social learning and communicative action, all generated
in the United States, deal with addressing basic human values
(equity, justice, sustainability) and interests, especially of the
poor and the weak. These models, with their specic methods
and tools, today retain a certain importance as they are often
used by non-prot organisations (community work, and action
groups) and NGOs (Greenpeace, Amnesty International, etc.).
In many UN programmes and practices, the tools of these
traditions of ‘social learning’ form the cornerstone of the
techniques employed for ‘identifying problems and priorities,
setting goals, exercising legal rights, determining service
standards, mobilising resources and implementing policies,
programmes and projects.’ However, the basic aim of these
traditions does not inuence daily policy but changes social
and environmental conditions in the long term, mainly by
social learning through ‘action’ and by creating ‘movements’
dealing with a clear objective.
Strategic Planning
In the 1960s and 1970s, the strategic spatial planning in a
number of Western countries evolved towards a system of
comprehensive planning at different administrative levels.
In the 1980s, one could witness a retreat from planning
fuelled not only by the neo-conservative and liberal disdain for
planning, but also by post-modernist scepticism, and both of
them tended to view progress as something which, if it happens,
cannot be planned (Healey, 1997b). Instead, the focus was on
the realisation of projects but not any more on ‘plan making,’
often only used as legal frames for development. A distinction
can be made between two movements. A rst movement
starts from the changing role of the public sector. The lack
of public nances implies that more and more, the private
sector, developers and investors bring with them market-led
methods and techniques to inuence urban development. What
is interesting and very positive is the fact that this approach
deals with opportunities and assets instead of merely with
problems. It is a development-led approach instead of classic
regulatory land-use planning. However, within this approach,
the question remains if public interests and values are taken
into account; in reality, most of the time they are not. If we
look at the prevalent practices, urban and social improvement
is often not an objective and neither is the need for a coherent
urban policy. The main driving force remains prot-making.
For politicians, this approach is seductive politically and
nancially, because it delivers fast results. According to several
authors with architectural and urban planning backgrounds, the
total mastering of urban development is simply not possible
or even desirable. They advocate another kind of project-
oriented approach based upon a detailed reading of the city,
the potentialities of strategic and structuring places, and their
characteristics and qualities. They maintain that the scale of
regions and cities is too general and too abstract for ‘action
planning.’ Such an approach aims at the development of a
package of urban interrelated interventions — urban projects
— and measures on different scales and levels. Although
the implementation, quality and spatial orientation of this
approach should be a characteristic of every planning effort,
it is somewhat ‘elitist’ in nature and cannot solve the more
fundamental issues faced by cities. It is an attractive model
for politicians, architects and investors because it is in fact a
project- and market-led approach founded upon feasibility,
opportunity and quick realisation of projects. Promoters of this
approach hope that such interventions will have a renewing
and structural impact on city development and in many cases
they do. Barcelona is possibly the best case illustrating this
approach, using the ‘pulsar’ effect of the Olympics and of the
political changes in Spain in the late 1980s and early 1990s.
There is a large amount of literature in the USA about the use
of strategy and strategic planning in business and nonprot
organizations and growing literature in Europe about strategic
planning (Faludi, 2000 ؛ Albrechts, 2001; 2003; 2006 ؛ Albrechts
et al, 2001 ؛ Albrechts et al, 2003; Balducci, 2003؛ Balducci
et al, 2011 ؛ Healey et al, 1997 ؛ Healey,1997a, ; 1997b; 2004;
2006, 2007; 2008 ؛ Kunzmann, 1996; 2001 ؛ Salet & Faludi,
2000 ؛ Janin Rivolin, 2008; 2010; Balducci et al., 2011). Also, an
increasing number of practices (Examples include the Flemish
Diamond (Albrechts, 2001), Hanover City Region (Albrechts
et al., 2003), the Milan City Region (Balducci, 2003; Healey,
2007), the ESDP (CSD, 1999; Faludi & Waterhoud, 2002), the
Randstad (Lambregts & Zonneveld, 2004), the Rhine-Ruhr
Metropolitan Region (Knapp et al., 2004), and more recently
the devolved nations of Wales, Scotland and Northern Ireland
and the English regions (Davoudi & Strange, 2009; Harris &
Hooper, 2004; Haughton et al., 2010), all over the world seem
to suggest that strategic spatial planning may be looked upon as
a possible approach able to cope with the challenges and able to
embed with structural change.
Reecting on the challenges spatial planning is facing and
relying on the experience accumulated from business, planning
practice, and a study of the planning literature leads us to the
following viewpoint on the ‘what’ of strategic spatial planning:
strategic spatial planning is a public-sector-led (Salet &
Faludi, 2000) sociospatial (Healey, 1997b) process through
which a vision, actions, and means for implementation are
produced that shape and frame what a place is and may become
(Albrechts, 2004).
A combination of characteristics related to the ‘how’ of strategic
planning gives a specic coloring to the concept. Some of this
characteristics include below:
It focuses on a limited number of strategic key issues;
It takes a critical view of the environment in terms of
determining strengths and weaknesses in the context of
opportunities and threats;
It analyses problems, external trends, forces opportunities and
resources;
It identies and gathers major actors (public and private);
It allows for a broad (multilevel governance) and diverse
76
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
(public, private, economic, civil society… ) involvement
during the planning process;
It creates solid, workable, longterm visions/perspectives and
strategies at different levels taking into account the power
structures political, economic, gender, cultural, ethnic,
uncertainties and competing values;
It designs planmaking structures and develops content, images
and decision frameworks for inuencing and managing spatial
change;
It is about building new ideas and processes that can carry them
forward, generating ways of understanding, providing some
building agreements, and organizing and mobilizing for the
purpose of exerting inuence in different arenas;
It focuses, both in the short and the long term, on framing
decisions, actions, projects, results and implementation and
incorporates a clear link to the budget, monitoring, evaluation,
feedback, adjustment and revision (Healey,1997a;1997b; 2007;
Faludi & Van der Valk,1994; Kunzmann, 2000; Mintzberg,1994;
Poister & Streib, 1999; Albrechts, 2003; 2004).
MATERIALS AND METHODS
Grounded Theory
The number of research strategies summarized under the
qualitative umbrella has increased signicantly in the past
two decades, and is still increasing. Each additional eld that
works more intensely with these methods gives them a new
twist, adds ideas, and develops its own techniques (Denzin
& Lincoln, 2000). Some of the different types of qualitative
research strategies include hermeneutic and phenomenological
research, naturalistic inquiry, ethnomethodology, ethnography,
qualitative case study, participatory action research, and
grounded theory.
Grounded theory, rst published in 1967 by Glaser & Strauss,
is the master metaphor of qualitative research. It presents a
way to understand a phenomenon through analyzing the data
that composes the phenomenon itself. Strauss & Corbin (1990)
maintain that “A grounded theory is one that is inductively
derived from the study of the phenomenon it represents. That is,
it is discovered, developed, and provisionally veried through
systematic data collection and analysis of data pertaining to that
phenomenon… One does not begin with a theory, then prove it.
Rather, one begins with an area of study and what is relevant
to that area is allowed to emerge”. This means understanding
behavior like the participant does, learning their perspective,
analyzing it, and giving a name to reoccurring behaviors and
ideas (Jourdan, 2008). Essentially, grounded theory starts with
a story and tries to gure out what is happening in that story
(Charmaz, 2003).
One of the unique aspects of grounded theory is the way in
which the data are handled. Data are simultaneously collected
and analyzed. Through the process of collecting and analyzing
data, major themes emerge and are continuously categorized,
rened, and integrated into the theory development (Charmaz,
2003). This process, the gathering, conceptualizing, and
interpretation, is integral to the building of theory (Jourdan,
2004).
The Grounded Theory Research process
The process of building grounded theory consists of different
phases, which include deciding on a research problem, framing
the research question, data collection, data coding and analysis,
and theory development (Fig.1). A grounded theory project
typically does not begin with a theory from which hypotheses
are deducted, but with a eld of study or a research question,
and what is relevant to this question is allowed to emerge
during the research process.
Like other research projects, the process starts with identifying
the research problem and the framing of a research question that
demarcates the phenomenon to be studied. The literature review
is, however, not a key part of a grounded theory approach.
Personal and professional experiences of the researcher or
research team, the study sites and materials accessible, and
the level of sophistication brought to the analytical process are
considered more important than being familiar with previous
research—the rationale being that preconceptions can get in the
way of critical thinking and discovery.
A key concept for this approach is “theoretical sensitivity”
(Glaser, 1978), which reects the ability to think about data
in theoretical terms and integrate complex knowledge in the
research situation. Sampling procedures differ from those of
quantitative studies and are based on the concept of “theoretical
sampling” (Strauss & Corbin, 1990, 176). Sampling decisions
are to be grounded in the emerging concepts that become
relevant to the developing theory. This means sampling
decisions evolve during the research process, and sampling
cannot be planned before embarking on the study. Similar
to other qualitative research strategies, the grounded theory
approach applies one or more techniques to collect empirical
data. These techniques range from different interview types
and observational techniques.
The analytic procedures in data coding and analysis are based
on the method of constant comparison. After noting an event,
it is compared to other events with respect to commonalities
and differences. Constant comparison serves to uncover and
explain patterns and variations. During the research process,
hypotheses about the relationships between categories are
developed and tested. Hypotheses are revised and qualied
until they pertain to all data material, in preparation of the
development and grounding of the emerging theory. One of the
quality control procedures is the search for negative cases and
qualifying material (Glaser & Strauss, 1967).
Collection and analysis of data are closely related and carried
out in constant alternation. Theory generation is not based
on the raw data; it is based on concepts and categories being
developed out of the raw data. The data coding and analysis
phase of grounded theory studies builds on three analytic
techniques: open coding, axial coding, and selective coding
(Strauss, 1987; Strauss & Corbin, 1990).
77
International Journal of Architecture and Urban Development
RESULTS AND DISCUSSION
Urban Spatial Planning in Iran
Urbanization and urban planning trends in Iran are similar
to those of other developing nations: as the number of cities
and their populations increase, the physical structures of the
urban areas develop. The current system of urban development
and planning in Iran is highly centralized and relatively rigid
(Ghanbari & Madanipour, 1988). The constraints created
by centralized and rigid urban development plans in Iran
have inadvertently resulted in the rapid spread of slum areas
and informal settlements in and around large and medium-
sized cities (Aladdin, et al., 2011; Cities Alliance, 2005).
The dominant urban planning approach in Iran consists of
comprehensive and detailed plans. Several studies have already
demonstrated the ineffectiveness of this approach and the need
for a more strategic approach to urban planning (Panahandeh
Khah et al., 2009; Sharmand Consulting Engineers, 2003; Zista
Consulting Engineers, 1993; Sharmand Consulting Engineers,
1999; Farnahad Consulting Engineers, 2008). The existing
system in Iran also makes it difcult for stakeholders to access
local information, ensure transparency, and participate in the
preparation and implementation of the urban plan (Panahandeh
Khah et al., 2009). Furthermore, urban plans must be sufciently
exible to accommodate changes during rapid urban and
global development. The fragmentation of responsibilities and
management in urban development presents additional urban
planning problems (Cities Alliance, 2005). These problems
affect the effectiveness of the current planning approach
in Iran, highlighting the need for a shift toward a more
dynamic, exible, and participatory-based planning approach
(Panahandeh Khah et al., 2009). City conditions and urban
planning approaches have become more diversied as a result
of rapid urban population growth, globalization, and economic
effects (especially the urban economy). Cities require new
tools to cope with these shifts. However, the centralized and
rigid urban planning approaches used in the Iranian context
have thus far failed to adequately respond to these conditions,
thus resulting in problems during their implementation.
Urban plans of Mashhad City, as a Case of
Study
Mashhad is the second largest city after Tehran, is the main
migration pole the in northeast of Iran. Mashhad is the main
Fig.1: Grounded Theory ow chart
78
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
religious city in Iran and second holy city one after Mecca. It
receives yearly an enormous number of visitors and immigrants.
Based on the development plan of Mashhad, approved in 2014,
the population of this city will reach 3.65 million people in 10
years (2015) (Farnahad Consulting Engineers, 2015).
The rst comprehensive plan to oversee and develop Mashhad
City was approved in 1975. The main challenge that the plan
had to address was rapid urban population growth. The second
comprehensive plan for Mashhad was implemented after the
Islamic Revolution of Iran. The investigation (Sharmand
Consulting Engineers, 2003) revealed a lack of attention
to the determining factors during implementation and the
disparity between plan formulation and implementation. The
investigation also revealed major problems associated with
poor implementation of the Mashhad comprehensive plan,
including the municipality’s lack of power, authority, and
implementation capabilities as well as the lack of nancial
support, stakeholder participation, institutionalization, and
necessary skills to perform the implementation (Sharmand
Consulting Engineers, 2003). In response to the poor evaluation
results of the comprehensive planning approach in Mashhad,
the local authorities applied Strategic Structural plan to cope
with new urban challenges and to overcome the shortcomings
of the previously employed urban planning approach.
Step One: Open coding
This study began with the basic assumption that the application
of Strategic Structural Plans theory in practice indicates the
poor implementation of this idea in the Iranian spatial planning
system. Accordingly, this research intended to evaluate the
components of Iranian spatial planning system (in both general
and specic levels) as well as the theory of Strategic Structural
Plans.
The Iranian spatial planning system was examined at
general level through research on a national scale (Center of
Tehran planning, nancial management and infrastructural
management, 2013; Karimi, 2012; Zista Consulting Engineers,
1993; Farnahad Consulting Engineers, 2008; Center of
Tehran planning, nancial management and infrastructural
management, 2013; Sharmand Consulting Engineers, 1999;
2000; Kazemian & Rezvani., 2004; Ministry of Housing and
Urban Development, 2009) with an emphasis on strategic
structural plan carried out in Tehran. The reason behind this
level is called "general" lies in the comprehensiveness of
process properties and mainstreams at all levels of the planning
system in general. In this respect, according to this fact that the
actions taken in the capital city have always been acting as a
model to be followed rapidly nationwide and the availability of
feedback to the Tehran development plan based on the theory
of Strategic Structural Plans, desk study was carried out to
review the library documents. Comments and views expressed
in connection with the preparation of a Tehran master plan
with Strategic Structural approach can be assessed a series of
critique workshops for Tehran plan held at ISNA (Mansouri,
2006; Mansouri, et al., 2006; Mansouri, et al., 2006a; Mansouri,
et al., 2006b; Mansouri, et al., 2006c; Mansouri, et al., 2006d;
Mansouri, et al., 2007a; Mansouri, et al., 2007b; Mansouri &
Mousavi, 2007; Mansouri, et al., 2008; Motavaf, 2006; Barati,
2006; Zekavat, 2010; Ghalibaf, 2006; Tehran City Council,
2006). Furthermore, several studies have been conducted as
ordered by the Iranian urban development institutions, where
in urban planning framework has proved effective (Andalib,
et al., 2009; Andalib, et al., 2010; Apour, 2005). As a result of
this reviews, in general scale, given the three major categories
of specic episodes, the processes and cultur of governance
identied a total of 146 concepts and 42 categories.
In order to become familiar with the specic level (based on
theoretical sampling) literature review and reports were used
in addition to participatory observation techniques and regular
interviews. Given the nature of the sampling in grounded
theory, the snowball sampling method was used at the local
level until theoretical saturation was achieved. For this
purpose, 24 interviews were conducted. In specic level, the
Iranian urbanization system relied on the theorists' emphasis
on the need for adapting to developments plan with the
environmental characteristics, the three areas of knowledge,
resources, communication resource and mobilization capacity
was identied (Healey, 2007; Waterhoud, 2008; Khakee, 2002;
Janin Rivolin, 2012).
Step Two: Axial coding
The purpose of this step was to establish the relationship
between the generated categories identied during the open
coding. This was accomplished through a comprehensive basis
and model of the traditional paradigm (Creswell, 2005, 401). In
order to analyze the Iranian spatial planning system, according
to the theory of Strategic Structural Plans, the categories were
axial coded and one of the categories obtained by open coding
was from identied as the axial category constituting the basis
of the theory. The selection criteria of categories were based
on the ideas of Strauss (1987) as emerged repeatedly in case
studies, its logical and solid relation with other categories,
abstract nature in order to maintain the applicability in
other substantive areas. In this respect, institutionalism was
introduced in the theory of Strategic Structural Plans due to the
multiplicity of emphases in interviews and reviewed relevant
documents as an axial category. The essence of planning in
this theory is the institutional design, about which numerous
researchers have emphasized today on institutional capacity-
building. The institutionalist objective in planning is to nd
creative solutions to adapt to changes through the institutional
channels and structural forces. The institutional capacity-
building can determine how progress is made from government
to governance.
Institutionalism in Iranian Urban Planning
In the Regional Development literature, "institution" can refer
to an organization, community, or the like, or the building
79
International Journal of Architecture and Urban Development
assigned to such a task or organized action and implementation
(Webster, 1970). In accordance with the ordinary speech,
some authors consider the term "institution" synonymous
with the concept of organization. As a metaphor, organization
can be seen a player while an institution as the game rule.
Organizations are inuenced by the institutions (rules), while
at the same time, they are inuenced through their activities the
formal and informal rules (Dale, 2002,5).
Historically, planning has been closely connected with
government action and state intervention but now operates
within far more complex and blurred governance boundaries.
While institutional frameworks around policymaking have
long been a core part of the urban planning landscape, the
planning related literature has recently been largely disengaged
from the debates around institutionalism. This changed with
the rise of the “new institutionalism” approach in 1990s
(Verma, 2007). This oversight is shifting as variations of the
new institutionalism approach gain greater recognition as
an alternative approach to planning theory with insights for
practice.
One of the main theoretical foundations of neo-institutionalism
currently being used in urban planning involves the
communicative and collaborative approach in the form of a
space strategy generation (Forester, 1999; Innes & Booher,
2003; Healey, 1997a). In this respect, Healey in his recent
work (2005; 2006; 2007) suggested spatial strategy as an
institutional approach. This approach discusses the planning
in link with changes related to the political, social, cultural
features. According to Innes (1995), the essence of planning is
institutional design. In this regard, numerous researchers have
emphasized the institutional capacity-building in recent years.
This study intended mainly to nd innovative ways to adapt to
changes, break down the institutional channels and structural
forces (Healey, 1997a). Institutional capacity-building is
an organizational structure that governs the progress from
government to governance. This approach seeks to distribute
the power in the central government to the local level. This
takes place at the local governments horizontally through
collaboration among the interest organizations and groups
based on the criteria of knowledge resource, communication
resource and mobilization capacity (Healey, 1999).
Since the middle of the twentieth century, all three sectors have
been concerned by politicians, planners and academics. The
urban government have shifted direction away from the market
organized the institutions (business logic), hierarchy (the
logic behind the welfare state established over the twentieth
century) or networks (the logic of social relationships and
the Web) as well as a matter of space-time to a plan-based
action rearranging the relationships between society, economy,
politics, and spatial elements (Healey, 1997a, 300).
Institutionalism was selected in strategic structural planning as
an axial category, given that the approach seeks to distribute
the power of the central government to lower levels. This is
accomplished at the level of local government horizontally
through cooperation between organizations and interest groups
based on the criteria of knowledge resource, communication
resource and mobilization capacity. Accordingly, strategies for
implementing this axial category was presented in three levels.
In the process of theoretical consistency with the framework
of Iranian urban development, the two major categories of
government processes and specic episodes were identied
along with a series of categories related to the inuential causal
conditions. The government culture and external trend in the
Iranian spatial planning system was introduced respectively
as context and intervention categories in efciency or scrutiny
into the institutionalism strategies in the strategic structural
plan.
According to the ndings of this research and eld desk
studies, if institutionalism is applied in the planning theory, the
rest of the features introduced to the planning action as "good"
or its comprehensiveness regardless of being whether strategic
or participatory within global approaches or strategic structural
plan in Iran, will be archived. In this regard, planning is
considered a collective action seeking to improve the physical
environment in the context of social institutionalization. Hence,
it seems possible to regard the planning system as institutional
knowledge and link between governance and land use systems.
In other words, if the institutions function as an axial link
between the government authorities and public land use, the
planning procedure will fulll the requirements of allocating
the land use rights, thus helping to improve the physical
environment to certain extent. As a result, the government and
state are among the aspects of planning process, which cannot
be juxtaposed or perceived as an alternative topic.
Step Three: Application of Selective Coding and
Theory Generation
The selective coding is the main stage of theory generation
based on the results of two previous coding stages functioning
as preliminary grounding stages for theorization. At this
level, effort was made to put together categories around the
axial category so as to present a theoretical account for the
phenomenon. Furthermore, a relationship was intended to be
build revolving around the major subject between the concepts
and categories so as to gure out a systematic relationship.
For this purpose, the other categories were classied into the
following groups, Causal conditions, Context conditions,
Axial category, Intervention conditions, Strategies, and
Consequences.
Based on the paradigmatic model in the grounded theory,
axial coding and selecting the elements of analytical model of
Iranian spatial planning system, the application of the theory of
Strategic Structural Plans was illustrated in Fig.2.
Validation of Theory
Finally, it is important to determine whether the theoretical
explanation makes sense for the participants, where it is
reasonable to render an accurate translation of the events and the
80
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
sequencing. In the grounded theory, validation is an active part
of the research process (Creswell, 2005). In order to assess the
validity of the results in terms of concepts, categories and axial/
core coding, a set of strategies were employed in this study.
The strategies used in this regard included the conrmation
from participants (The ndings were presented from three of
the respondents whose comments were applied.), involvement
of the researcher with the phenomenon (The researcher
worked for 7 years as expert and head of the group responsible
for master plan at Mashhad urban studies Institution.), and
collaborative nature of the research and hypotheses (At the
beginning of this article, the attitudes and orientations were
clearly described.) multiplicity of methods and data collection
resources (Participatory observations made in preparation
of the Master Plan in Mashhad through a strategic structural
approach; examining the literature and documents concerning
the preparation of the Master Plan in Tehran through a strategic
structural approach; interviews with people involved in the
preparation procedure, review and approval of development
and construction plans; reviewing the relevant research and
articles related to Iranian spatial planning systems and urban
development plans).
CONCLUTION
Nowadays, the relationship between theory and practice of
planning has been the limelight, where planning is counted
for an integral part of the society. This paper attempted to
provide a solution within the framework of the theory of
Strategic Structural Plans in order to overcome the separation
of planning theory and practice in Iran. The analysis of the
Iranian spatial planning system according to the theory of
Strategic Structural Plans revealed that the nature and function
of planning were inuenced by various groups of legal
regulations and governmental structures on the one hand and
the planning theory on the other hand. Therefore, it wasn’t easy
to introduce a general theory of planning. In the contemporary
world, theories similar to the truth are social constructs and
can be considered as discourses that give meaning to the
society at specic eras. The application of Strategic Structural
Plans in the Iranian urban development planning indicates the
non-compliance of processes and outputs with the theoretical
foundations proposed in this approach. Accordingly, it is crucial
to investigate the relationship between the characteristics and
principles of this approach and the circumstances of the Iranian
urban development system. The results of this study showed
Fig.2: Axial coding based on the paradigmatic model and the proposed research model.
81
International Journal of Architecture and Urban Development
how a strategic structural theory could be applied to the current
circumstances of the Iranian planning system. Moreover, what
kind change it reects on the Iranian spatial planning system
components based on the features of the theory of Strategic
Structural Plans. It is essential to note that any corrective action
in the planning process of the country will require major reform
of procedural and substantive aspects of urban development
plans. On the one hand, the strategic structural approach of
exibility and uncertainty. Flexibility in decision-making
levels ensuring the interests of society needs some change in
the legal context and urban management. On the other hand,
reform made throughout the process and content of the theory
requires extensive development efforts in order to understand
and analyze the components of the plan, monitoring how the
policies are prepared as well as priorities more reasonable
according to the latest physical and non-physical aspects.
Any planning with strategic approach should offer a model
appropriate to the nature of the political, social and economic
system at national and local levels. The Iranian planning model
under the framework of strategic approach should be devised
in the light of the valuable experience from the past 5 decades.
This is in turn a never-ending process so that the model should
be permanently placed under criticism and correction. At
the same time, as the methodology evolves or even before
that, there must be new organizational and essential laws in
accomplishing such a mission.
AKNOWLEDGMENT
The paper is part of Ph.D. Dissertation written by Maryam
Daneshvar, supervised by Dr. Ali Ghafari and advised by Dr.
Hamid Majedi, titled “Analysis of Iranian Spatial Planning
System with Regard to the Theory of Strategic Structural
Plans”.
REFERENCES
Aladdin, D., Dayshmn, U., & Shahriari, H. (2011). Informal
settlements in Iran: Evaluation of Bandar Abbas, Kermanshah,
Zahedan. Iranian Anthropological Research, 1(1), 35–59.
Albrechts, L. (2003). Planning and Power: Towards an
emancipatory planning approach, Environment and Planning
C: Government and Policy.
Albrechts, L. (2001). How to proceed from image and
discourse to action: as applied to the Flemish Diamond. Urban
Studies, 38(4).
Albrechts, L., Healey, P., & Kunzmann, K. R. (2003).
Strategic spatial planning and regional governance in Europe.
the American Planning Association, 69.
Albrechts, L., Alden, J. & Da Rosa Pires, A. (Eds) (2001)
The Changing Institutional Landscape of Planning, ldershot:
Ashgate.
Albrechts, L. (2006). Shifts in strategic spatial planning?
Evidence from Europe and Australi. Environment and Planning
A, 38.
Andalib, A. R., Daneshpour, A. H., Motavaf, S., Zaker
Haghighi, Barati, N. & Kazemian, Gh., (2009). Special letters
of the Tehran Urban Development Planning. Manzar, Issues 1,
2, 3 and 4.
Andalib, A. R., Daneshpour, A. H., Motavaf, S., Zaker
Haghighi, Barati, N & Kazemian, G. h., (2010). Special letters
of the Tehran Urban Development Planning. Manzar, Issues 5,
6 , 7, 8, 9 and 10.
Apour (Paris Institute of Urban Development), (2005),
Technical Cooperation Agreement with the Tehran Center of
Urban Planning. Tehran: Tehran Center of Urban Planning.
Barati, N., (2006), A response from doctor Naser Barati
to the article composed by Tehran Urban Studies Institution.
Retrieved December 29, 2014, from http://www.isna.ir/fa/
news/8510-08725/.
Balducci, A.m (2003), Policies, plans and projects:
governing the city-region of Milan, DISP, 152.
Balducci, A., Fedelli, V. & Pasqui, G. (2011), Strategic
Planning for Contemporary Urban Regions, Aldershot:
Ashgate.
Center of Tehran planning, nancial management
and infrastructural management, (2013), A draft of the
comprehensive urban management law, Tehran: planning and
research center.
Charmaz, k,. (2003), Grounded Theory., In J. A. Smith,
Qualitative psychology: A practical guide to research methods.
London: Sage.
CSD, (1999), European Spatial Development Perspective
(ESDP). Towards Balanced and Sustainable Development of
the Territory of the European Union, Brussels, Potsdam: Ofce
for Ofcial Publications of the European Communittes.
Creswell, J. W. (2005). Educational research: Planning,
conducting, and evaluating quantitative and qualitative
research. NJ: Pearson.
Cities Alliance. (2005). Submission of proposal:
Preparatory assistance to the Ministry of Housing and Urban
Development (MHUD) of CDS into the urban planning process
in Iran. Iran: Cities Alliance & Ministry of Housing and Urban
Development (MHUD) of Iran.
Dale, B., (2002), Using an Institutionalism Approach as
Analytic Framework in Regional Studies, Oslo:University of
Oslo.
Davoudi, S. & Strange, I. (Eds) (2009). Conceptions
of Space and Place in Strategic Spatial Planning, London:
Routledge.
Denzin, N. K., & Y. Lincoln. (2000). Introduction: The
discipline and practice of qualitative research. In N. K. Denzin
and Y. S. Lincoln (Eds). The Handbook of Qualitative Research,
2nd ed. (pp. 1S28). Thousand Oaks, CA: Sage Publications.
82
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
Farnahad Consulting Engineers, (2008). Reforming
the urban development management in Iran based on the
strategic approach. Tehran: Ministry of Housing and Urban
Development.
Farnahad Consulting Engineers, (2015), Mashhad Master
plan. Mashhad: Mashhad urban studies institution.
Faludi, A. (2000) The Performance of Spatial Planning.
Planning Practice and Research, 14(4).
Faludi A., & Van der Valk A., (1994), Rule and Order:
Dutch Planning Doctrine in the Twentieth century. Dordrecht:
Kluwer Academic.
Faludi, A. & Waterhout, B., (2002), The Making of the
European Spatial Development Perspective: No Materplan,
London: Routledge.
Forester, J., (1999). The Deliberative practitioner:
Encouraging Participatory Planning Processes. London: MIT
Press.
Ghalibaf, M. b., (2006). A comprehensive plan,
requirements and strategies Tehran. Retrieved December 29,
2014, from http://www.isna.ir/fa/news/8510-10803/.
Glaser, B. G., & Strauss, A. L. (1967) The Discovery
of Grounded Theory: Strategies for Qualitative Research.
Chicago: Aldine Publication Co.
Glaser, B. G., (1978). Theoretical Sensitivity. Mill Valley,
CA: Sociological Press.
Ghanbari, P. & Madanipour, A. (1988). A Review of
Methods of Public Land Ownership and Allocation for Housing
in Iran. Enviroment, Planning and Management, 31(2): 110-
115.
Harris, N. & Hooper, A., (2004). Rediscovering the
‘spatial’ in public policy and planning: an examinal on of the
spatial content of sectoral policy documents. Planning Theory
& Practice, 5(2), pp. 147-169.
Healey, P., (2008). Knowledge ows, spatial strategy
making, and the roles of academics. Environment and Planning
C, 26.
Healey, P., (2007) .Urban Complexity and Spatial
Strategies: Towards a Relational Planning for Our Times,
London: Routledge.
Healey, P., (2006). Transforming Governance: challenges
of institutional adaptation and a new politics of space.
European Planning Studies, 14(3).
Healey, P., (2005), The Communicative Turn in Planning
Theory and its Implications for Spatial Strategy Formation,
in Campbell, S. and Fanstein,S. Readings in Planning Theory,
Balck Publishing, Oxford.
Healey, P., (2004). The treatment of space and place in the
new strategic spatial planning in Europe, International Journal
of Urban and Regional Research, 28(1).
Healey, P,. (1999), Institutionalist Analysis, Communicative
Planning and Shaping Places, Journal of Planning and
Environment Research 19(2).
Healey, P., Khakee, A., Motte, A. & Needham, B. (1997)
(Eds). Making Strategic Spatial Plans: Innovation in Europe,
London: UCL Press.
Healey, P., (1997a). Collaborative Planning. Shaping
Places in Fragmented Societies. London: Macmillan Press.
Healey, P. (1997b). An Institutional Approach to spatial
planning In Making Strategic Plans. London: University
College of London Press.
Hall, P. (1979). Methods and processes in urban planning,
the experience of Great Britain London: Papers and
Proceedings.
Innes, J. E., (1995), Planning theory's emerging paradigm:
communicative action and interactive practice, Journal of
Planning Education and Research 14.
Innes, J. & Booher, D. (2003). Collaborative policy-
making: Governance through dialogue, in Hajer, M. and
Waagner, H. (eds.) (2003) Deliberative Policy Analysis:
Understanding Governance in the Network Society, Cambridge
University Press, Cambridge.
Janin Rivolin, U., (2012). Planning System as Institutional
Technologies: a Proposed Conseptualization and the
Implementation for Comparison, Planning Practice &
Research, 27(1).
Janin Rivolin, U., (2008). Conforming and performing
planning systems in Europe: an unbearable cohabitation.
Planning Practice & Research, 23(2).
Jourdan, D. (2008). Grounding theory in intergenerational
citizen participation employing a grounded theory approach
in the context of housing research. Qualitative methodology,
(10)249-270.
Jourdan, D. (2004). Planning to reduce worry: Designing
an intergenerational planning process to lessen relocation-
related anxieties experiences by those displaced in the pursuit
of a Hope VI revitalization grant. Unpublished Doctoral
Dissertation.
Kazemian, Gh. & Rezvani, H., (2004). The feasibility of
transferring new responsibilities to municipalities, Volume IV:
Analysis of tasks assigned to municipalities in Iran, National
Organization for Municipalities Publications, Tehran.
Khakee, A., (2002). Assessing Institutional Capital
Building in a Local Agenda 21 Process in Goteborg, Planning
Theory and Practice, 3(1).
Knapp, W., Kunzmann, K.R. & Schmitt, P., (2004). A
cooperative spatial future for RheinRhur, European Planning
83
International Journal of Architecture and Urban Development
Studies, 12(3), pp. 323-349.
Kunzmann, K. R., (2001). State planning: a German
success story? , International Planning Studies, 6(2).
Kunzmann, K. R., (1996). Euro-megalopolis or themepark
Europe? Scenarios for European spatial development.
International Planning Studies, 1(2).
Lambregts, B. & Zonneveld, W., (2004). From Randstad
to Deltametropolis: changing attitudes towards the scattered
metropolis. European Planning Studies, 12(3), pp. 299-321.
Karimi, (2012). The draft bill of the Law of Planning
and Architecture. Tehran: Ministry of Housing and Urban
Development.
Mansouri A., (2006). A response from Doctor Amir
Mansouri to the article composed by Tehran Studies Institution.
Retrieved December 29, 2014, from http://www.isna.ir/fa/
service/Social/3001/.
Mansouri, A., Barati, N., Ghamami, M., Azadi, J., (2006).
A detailed report criticizing Tehran Comprehensive Plan, rst
workshop: Process and the designing organizations. Retrieved
December 29, 2014, from http://www.isna.ir/fa/news/8504-
14520/.
Mansouri, Motavaf , Shaq, Barati, Daneshpour, Ghamami,
Sadri & Habib Allhyan Jalil, (2006a). A detailed report
criticizing Tehran Comprehensive Plan, second workshop:
Methodology of plan formulation. Retrieved December 29,
2014, from http://www.isna.ir/fa/news/8505-11835.43414/.
Mansouri, Mousavi, Dolatabadi, Motavaf, Daneshpour,
Barati, Elahian, (2006b). A detailed report criticizing Tehran
Comprehensive Plan, the third workshop: Plan content.
Retrieved December 29, 2014, from http://www.isna.ir/fa/
news/8507-08740/.
Mansouri, Motavaf, Mousavi, Dolatabadi, Fariborz,
Daneshpour, Behzadfar, (2006c). A detailed report criticizing
Tehran Comprehensive Plan, fourth workshop: Plan goals.
Retrieved December 29, 2014, from http://www.isna.ir/fa/
news/8505-11835.43414/.
Mansouri, Motavaf, Sharif, Dolatabadi, Behzadfar,
Shie, Elahian (2006d). A detailed report criticizing Tehran
Comprehensive Plan, Workshop ve: Plan goals. Retrieved
December 29, 2014, from http://www.isna.ir/fa/news/8504-
14198/.
Mansouri, Sattarian, Ziyari, Farjami, Athari, Khatam,
(2007a). A detailed report criticizing Tehran Comprehensive
Plan, the sixth workshop: Housing. Retrieved December 29,
2014, from http://www.isna.ir/fa/news/8505-11835.43414/.
Mansouri, A., & Mousavi. M., (2007). A detailed report
criticizing Tehran Comprehensive Plan, the seventh workshop:
Worn textures. Retrieved December 29, 2014, from http://
Mansouri, A., Sattarian, Athari, K., & Khatam, A., (2007b).
A detailed report criticizing Tehran Comprehensive Plan, the
eighth workshop: Housing plans. Retrieved December 29,
2014, from http://www.isna.ir/fa/news/8609-11948/.
Mansouri, Sattarian , Pourmusavi, Barati, Khoshchehreh,
Farjami, Haeri (2008). A detailed report criticizing Tehran
Comprehensive Plan, the ninth workshop: The process of
evaluation and approval of the plan at the Iranian Urban
Council. Retrieved December 29, 2014, from http://www.isna.
ir/fa/news/8612-14239/.
Ministry of Housing and Urban Development. (2009). The
provisions of Planning and Architecture in development plans
adopted by the Planning and Architecture Council. Tehran:
Iran publication development.
Mintzberg, H., (1994). The rise and fall of Strategic
Planning. New York: The Free Press.
Motavaf, S., (2006). A response from doctor Sharif
Motavaf to the article composed by Tehran Studies Institution.
Retrieved December 29, 2014, from http://www.isna.ir/fa/
news/8510-11869/.
Panahandeh Khah, M., Farhoodi, R., Gharakhlou-N, M., &
Ghadami, M. (2009). A critique of the prevailing comprehensive
urban planning paradigm in Iran: The need strategic planning.
Planning Theory, 8(4), 335–361.
Poister, T.H. & Streib, G. (1999). Strategic management
in the public sector: concepts, models and processes, Public
Management and Productivity Review, 22(3).
Salet, W. & Faludi, A. (2000). (Eds). The revival of
Strategic Spatial Planning. Amsterdam: Royal Netherlands
Academy of Arts and Sciences.
Sharmand Consulting Engineers. (2003). Methods of
Urban Development Realization. Tehran: Municipalities
Organizations Press.
Sharmand, Consulting Engineers. (2000). Formulation
of Iranian development and urban planning, Volume II:
Experiences in preparing and implementing urban development
plans in Iran. Tehran: Municipalities Organizations Press.
Sharmand, Consulting Engineers. (1999). Formulation
of Iranian development and urban planning, Volume III:
Experiences in devising and preparing urban development
plans in Iran. Tehran: Municipalities Organizations Press.
Strauss, A. (1987). Qualitative Analysis for Social
Scientists. Cambridge: Cambridge University Press.
Strauss, A., & Corbin, J., (1990). Basics of Qualitative
Research: Grounded Theory Procedures and Techniques.
Newbury Park, CA: Sage Publications.
Tehran City Council (2006). Questions of Tehran's City
Council from the institution devising the Tehran comprehensive
84
International Journal of Architecture and Urban Development
Vol.6, No.1, Winter 2016
and detailed plans. Retrieved December 29, 2014, from http://
www.isna.ir/fa/news/8512-12550/
Verma, N. (ed.) (2007). Institutions and Planning, Elsevier,
Oxford.
Haughton, G., Allmendinger, P., Counsell, D. & Vigar, G.
(2010). The New Spatial Planning: Territorial Management
with So Spaces and Fuzzy Boundaries, Abingdon: Routledge.
Waterhoud, B. (2008). The institutionalization of European
spatial planning, Sustainable Urban Areas, 18.
Webster, (1970). Webster’s Seventh New Collegiate
Dictionary. Merriam Webster, Springeld, MA.
Zekavat, K., (2010). Tehran Development Program
Discours., Bon (77)64-72.
Zista Consulting Engineers. (1993). Assessment of urban
master plans in Iran's Management and Planning Organization,
Tehran:Management and Planning Organization Press.
