1 A Methodology for Geographical Information Systems Based Participatory Decision Making Approach By Tan YİĞİTCANLAR A Dissertation Submitted to the Graduate School in Partial Fulfillment of the Requirements for the Degree of DOCTOR OF PHILOSOPHY Department: City and Regional Planning Major: City Planning İzmir Institute of Technology İzmir, Turkey April, 2001
2 We approve the thesis of Tan YİĞİTCANLAR
3 NEGOTIATORS It drives us mad, but we have to, midnight alley walking, thinking the conflicts, keep working and planning and breaking plans, laughing through tears. It hits like a ton of iron over time or like a road roller passing on through and smiling like a cartoon character, if it is not actually real. It drives us mad, but we have to, with the devil like decision makers in the cold huge meeting rooms. It sounds like cracking ankles and chafed dry skin like sisters or mothers or brothers or fathers or friends weeping into pillows or sometimes it sounds like a sigh of relief like a job well done. It drives us mad, but we have to, midnight gazing, eye crossing, stepping back, stepping forward, standing still while other eyes are on us with a chance for negotiation. It is like dancing around with words or maps or pictures or presentations, but can't give much more than a silhouette that keeps changing in other minds. It looks like the vast cracks in between what you know and think, what really is and what they guess. June 13, 2000 Tan Yiğitcanlar
4 ACKNOWLEDGMENTS I wish to thank people who directed the formation of the study and helped to get the necessary information for the formation of this dissertation. I would like to thank to my advisors Prof. Dr. Cemal Arkon and Assist. Prof. Dr. Erkal Serim and other PhD Committee Members; Prof. Dr. Halis Püskülcü, Prof. Dr. Akõn Süel, Assoc. Prof. Dr. Semahat Özdemir, Assoc. Prof. Dr. Başak İpekoğlu and Assoc. Prof. Dr. Yusuf Kurucu. I would like to thank Inst. Ömür Saygõn for getting me involved with GIS world, giving me the very first lecture on GIS, helping me for the establishment of the Remote Sensing, GIS and CAD Laboratories in the Faculty and more than all of these for his precious friendship. In addition I wish to thank Assoc. Prof. Dr. Ziya Gencel, Assist. Prof. Dr. Murat Günaydõn, Inst. Dr. Yavuz Duvarcõ, Res. Assist. Deniz Özkut, Res. Assist. Yüksel Pöğün, Res. Asst. Nevin Ay and Tuğyan Yiğitcanlar for their reviews and useful comments on the draft of this dissertation. I also want to thank some of the other people who made graduate school what it was for me. All my colleagues, especially Nursen Kaya, Hande Ağan, Kõvõlcõm Duruk, Didem Caylan, Can Özcan, Deniz Güner, Feral Geçer, Tankut Gökçen and Gökhan Kutlu. I thank to the graduate school beyond my committee as well. Additionally, I appreciate help of Dr. Ilhan Ekinci from Konak Municipality and Nedim Ören from İzmir Municipality for data supplying. And thanks to Nicel Saygin for helping me to reach the necessary information, articles, dissertations and other sources from USA. Many thanks are due to Major Harun Kõlõç from Aegean Army Geographical Information Science Office, Turkey, Brenda Faber from Fore Site Consulting Inc. USA, Prof. Dr. John Friend from Stradspan Limited, UK, Assoc. Prof. Dr. Lik Meng Lee from University Sains Malaysia and Dr. Halil Söğüt from Islem Inc. Esri Turkey for consultation, training, support and encouragement. Particularly I want to thank my beloved fiancée Nevin Ay one more time for her moral support and encouragements. And finally I thank to my family for making me who I am today: Cahide Kalkan, Tuğyan Yiğitcanlar, Burak Yiğitcanlar and Barõş Yiğitcanlar.
5 ABSTRACT A Methodology for Geographical Information Systems Based Participatory Decision Making Approach By Tan Yiğitcanlar Geographical Information Systems (GIS) to come up with better planning can be utilized. But unless the final decisions contain strategic and participatory decisions and are indeed an improvement upon previous solutions and are in fact turned into actions, using a GIS will just not necessarily increase the cost of the planning activities. In this thesis a new approach, which is called Geographical Information Systems Based Participatory Decision Making Approach (GISbPDM) is proposed to overcome current planning problems and also to answer most of the debates about traditional GIS. GISbPDM employs three basic components in its body. Collaborative GIS is the first component of GISbPDM and represents the spatial decision support system and makes new GIS trends available - especially Public Participation GIS - for public, urban planners and decision makers. Strategic Choice Approach is the second component of GISbPDM and it is a sophisticated technique for making decisions and developing action plans in situations with many options and uncertainties in a participatory manner. Computer Supported Collaborative Work System (CSCW) is the third component of GISbPDM and has an involving structure - by cooperative work and participatory design supported by computers - for utilization of the collaborative and participatory decision models. The system architecture of GISbPDM has quite a simple mechanism. GIS including the local and central databases is used for data manipulation, visualization, queries and interactive sketching on an easily accessible platform. Strategic Choice Approach is the policy and decision-making model that works interconnected to this GIS platform. Accordingly participants can visualize the alternatives, submit them to the decisionmakers and other participants, allow them to modify the alternatives and create their own
6 proposals. The participation can be realized in different levels such as information participation, collaborative work, public participation and elite participation. Proposed system architecture has an encouraging power for participatory planning and besides CSCW helps in increasing participation in all levels. The case is taken from a real planning problem that is; allocating the most suitable land uses for Şaraphane Region in İzmir. The aim of this pilot project is to show the capability and ability of the approach on a participatory planning process and also pragmatically to underline the basic and distinguished points of the approach rather than to struggle with the long, detailed and very complex participation providing processes. Therefore, instead of concerning with a massive case study, a simple pilot project, which mirrors the main characteristics and logic of the proposed system approach, has been held with real data and hypothetic participation. An experiment with this pilot study showed that GISbPDM facilitates and helps in following several aspects. Interest groups and individuals can be represented in the mechanisms that are giving decisions about shaping their future and environs. Decisions can be made with a consensus and being accepted with a broader group of stakeholders by the wide range of participation. Finally it can help in broadening democracy, transparency and participation issues into the planning practice.
7 ÖZ Coğrafi Bilgi Sistemlerinde Katõlõmcõ Karar Verme Yaklaşõmõ İçin Bir Metodoloji Tan Yiğitcanlar Coğrafi Bilgi Sistemleri (GIS) ile daha başarõlõ planlara ulaşmak, ancak sonuçlarõn stratejik ve katõlõmcõ anlayõşlarõ içermesi, bir önceki çözüme göre gelişme sağlamasõ ve bunlarõn eyleme geçirilebilmesi ile mümkündür. Aksi taktirde GIS in kullanõmõ sadece planlama aktivitelerinin maaliyetini artõran bir araçtan öteye gidememektedir. Bu tez çalõşmasõnda, Coğrafi Bilgi Sistemleri Tabanlõ Katõlõmcõ Karar Verme Yaklaşõmõ (GISbPDM) adlõ yeni bir yaklaşõm, mevcut planlama problemlerinin üstesinden gelmek ve aynõ zamanda geleneksel GIS e yönelik tartõşma ve eleştirilere yanõt verebilmek için geliştirilmiştir. GISbPDM bünyesinde üç temel bileşeni barõndõrmaktadõr. Katõlõmcõ GIS, GISbPDM nõn ilk bileşenidir ve özellikle halk katõlõmõna ilişkin yeni GIS trendlerini, halk, plancõlar ve karar vericiler için kullanõlabilir kõlan bir mekansal karar destek sistemi içerir. Stratejik Seçim Yaklaşõmõ, GISbPDM nõn ikinci bileşenidir ve katõlõmcõ bir yapõyla belirsizlik ve çoklu seçenekler altõnda eylem planlarõ geliştirmekte kullanõlan gelişmiş bir karar verme tekniğidir. Bilgisayar Destekli Ortak Çalõşma Sistemi (CSCW), GISbPDM nõn üçüncü bileşenidir, katõlõmcõ ve işbirlikçi bir karar verme modelinin kurulmasõnõ teşvik eden bilgisayar destekli yapõ içeren işbirlikçi çalõşma ve katõlõmcõ tasarõma yönelik bir sistemdir. GISbPDM nõn sistem mimarisi oldukça basit bir mekanizma içermektedir. Lokal ve merkezi veri tabanlarõ da dahil olmak üzere GIS, veri depolanmasõ, işlenmesi, görselleştirme, sorgulama ve interaktif senaryo üretiminde kullanõlõr. Stratejik Seçim Yaklaşõmõ, GIS platformuna entegre olarak çalõşan bir politika ve karar üretim modelidir. Bu sistemde karar vericiler, teknik uzmanlar ve katõlõmcõlar plan alternatiflerini
8 oluşturarak, yada onlarõ değiştirerek üzerinde uzlaşõlan plan önerisini belirlerler. Katõlõm bilgi paylaşõmõ, işbirlikçi çalõşma, halk katõlõmõ ve elit katõlõmõ gibi çeşitli düzeylerde gerçekleşebilir. Öneri sistem mimarisi, katõlõmcõ planlamayõ teşvik edecek bir güç ve bunun yanõsõra CSCW ile katõlõmõn her düzeyde arttõrõlmasõnõ sağlayabilecek biryapõ içermektedir. Örnek çalõşma alanõ olarak, gerçek bir planlama problemi içeren, İzmir Şaraphane bölgesi seçilmiş olup, Şaraphane için en uygun arazi kullanõmlarõnõn seçimine yönelik bir çalõşma yapõlmõştõr. Bu pilot projenin amacõ, katõlõmcõ planlama süreci üzerinde öneri yaklaşõmõn yetenek ve yeterliliklerinin sõnanmasõdõr ve bunu gerçekleştirirken pragmatik olarak, uzun, detaylõ ve karmaşõk katõlõm sürecinin realizasyonu yerine, yaklaşõmõn temel ve farklõlaşan yönlerinin gösterilmesi hususlarõnõn altõ önemle çizilmiştir. Böylece, çok kapsamlõ bir örnek çalõşma yerine öneri yaklaşõmõn mantõk ve temel karaktesistiklerinin yansõtõldõğõ, gerçek verilere ve hipotetik katõlõma dayanan bir pilot proje gerçekleştirilmiştir. Pilot çalõşma ile yapõlan bu deneyim GISbPDM nõn çeşitli açõlardan etkin ve faydalõ olduğunu göstermiştir. Bunlar; bireylerin ve çõkar gruplarõnõn kendi gelecekleri hakkõnda karar mekanizmalarõnda daha etkin temsil edilebilmeleri; kararlarõn fikirbirliği ile geniş bir katõlõmcõ grup tarafõndan, tüm çõkar gruplarõnõ temsil edecek bir şekilde verilebilmesi; ve son olarakta, demokrasi, şeffaflõk ve katõlõm konularõnõn planlama pratiğindeki önem ve uygulamalarõnõn genişletilebilmesidir.
9 ABBREVIATIONS ARGIS: BUGIS: CAD: CBO: CSCW: CSDSS: DSS: GIS: GISbPDM: IT: LPA: NGO: PPGIS: PPV: PSS: SCA: SCO: SCTP: SDSS: SGDSS: Active Response Geographical Information System Bottom Up Geographical Information System Computer Aided Design Community Based Organization Computer Supported Collaborative Work Collaborative Spatial Decision Support System Decision Support System Geographical Information System(s) GIS-Based Participatory Decision-Making Approach Information Technology Local Planning Authority Non-Governmental Organization Public Participation Geographical Information System Public Participation Visualization Planning Support System Strategic Choice Approach Şaraphane Community Organization Synchronous Collaboration Transport Protocol Spatial Decision Support System Spatial Group Decision Support System
10 TABLE OF CONTENTS ABBREVIATIONS TABLE OF CONTENTS LIST OF FIGURES LIST OF TABLES LIST OF MAPS Chapter One 1 INTRODUCTION 1.1 The Background 1.2 The Thesis 1.3 Aim of the Study 1.4 Methodology Chapter Two 2 GEOGRAPHICAL INFORMATION SYSTEMS 2.1 Definition of GIS 2.2 Evolution of GIS Adoption and Impacts 2.3 Critical Literature Review on GIS 2.4 GIS in the Urban Planning Discipline 2.5 Discourses on GIS Ontological Inadequacy and Representation in the Electronic Age Inevitability of Ethical Inconsistency The S in GIS: System or Science? Insufficiency in Participation, Decision Making and Democracy 2.6 Broadening Participation and Democracy with Public Participation GIS 2.7 Models for Making GIS Available for Communities Community Based (in House) GIS
11 2.7.2 University and Community Partnerships GIS Facilities in Universities and Public Libraries Map Rooms Internet Map Server Neighborhood GIS Centers 2.8 Developing Alternative GIS 2.9 Future Prospects of GIS in Urban Planning Chapter Three 3 PUBLIC PARTICIPATION IN URBAN PLANNING 3.1 Roots and Benefits of the Public Participation 3.2 Public Participation and Broadening Democracy 3.3 Public Participation in the Different Planning Philosophies Comprehensive, Technocratic or Top-Down Planning Incremental, Liberal or Non-Planning Radical, Advocacy or Bottom-Up Planning 3.4 Public Participation Models 3.5 Public Participation Before The Information Age 3.6 Technologies Shaping Public Participation Telephone as a Participatory Mechanism Computer Technologies and New Public Sphere Internet 3.7 Community-Based Organizations for Broadening Participation Chapter Four 4 DECISION MAKING IN URBAN PLANNING PROCESS 4.1 Urban Planning Process in the Information Age 4.2 The Decision Making Concept Decision Theory and Overcoming Uncertainties Assistance in Choosing; the Decision Making Group Decision for Democracy Decision Process and Decision Support Systems Types and Benefits of the Decision Models
12 4.3 The Strategic Choice Approach Chapter Five 5 A NEW METHODOLOGY FOR GIS BASED PLANNING: GEOGRAPHICAL INFORMATION SYSTEMS BASED PARTICIPATORY DECISION MAKING APPROACH 5.1 The Methodology of GIS Based Participatory Decision Making Approach Collaborative GIS Active Response GIS: Smart Places Previously Applied Smart Places Projects The Future of Smart Places Strategic Choice Approach Strategic Advisor: STRAD Previously Applied STRAD Projects Groupware Platform for Urban Planning Computer Supported Collaborative Work Different Ways of Groupware 5.2 The System Architecture for GISbPDM 5.3 Evaluation Advantages of GISbPDM Limitations of GISbPDM Chapter Six 6 PROCESS OF GISbPDM AND ŞARAPHANE PILOT STUDY 6.1 Pilot Area Selection and Project Description 6.2 Şaraphane Community-Based Organization 6.3 Prerequisites for Adopting GIS in the Pilot Project 6.4 Participation Model and Components of GISbPDM Participation Model for Şaraphane Basic Data Requirements for the Pilot Study Spatial Data Requirements Non-Spatial Data Requirements
13 6.4.3 Basic Hardware and Software Requirements 6.5 Introducing the Steps of GISbPDM and Running the Model Running the Scanning Step Running the Shaping Step Running the Designing Step Running the Comparing Step Running the Choosing Step Running the Doing Step 6.6 Evaluation of the Pilot Study Chapter Seven 7 CONCLUSIONS BIBLIOGRAPHY APPENDICES APPENDIX A: GIS Implementation Model Types APPENDIX B: GIS Strategies for CBOs APPENDIX C: GIS and Access APPENDIX D: Framework for GIS Supported CNP APPENDIX E: Additional Data of the Pilot Project APPENDIX F: Glossary
14 LIST OF FIGURES FIGURE 2.1: WhatIf? (Klosterman 1998a) FIGURE 2.2: Index (Criterion 1999) FIGURE 2.3: CommunityViz (Orton 2000) FIGURE 2.4: ARGIS for Enhancing Group Debate (Foute 1997) FIGURE 2.5: GeoChoicePerspectives (GeoChoice 2001) FIGURE 3.1: Ladder of Participation (Heckman 1999) FIGURE 3.2: Ladder of Empowerment (Heckman 1999) FIGURE 4.1: Planning Process as a Sequence of Computable Methods (Batty 1995) FIGURE 4.2: Components of Decision-Making (Thompson 1996) FIGURE 4.3: Decision-Model (Bross 1966) FIGURE 4.4: Decision Process FIGURE 4.5: The View of Realities and the Strategic Choice (Friend 1997a) FIGURE 4.6: Three Types of Uncertainty in Decision-Making (Friend 1997a) FIGURE 4.7: Process of Strategic Choice (Friend 1997a) FIGURE 4.8: CyberQuest (Ideaplex 2001) FIGURE 4.9: Expert Choice (Choice 2001) FIGURE 4.10: Strategizer (Dickey 2000) FIGURE 5.1: GIS Based Participatory Decision Making Approach (GISbPDM) FIGURE 5.2: Conceptual Framework of GISbPDM in the Planning Process FIGURE 5.3: The Scenario Builder Window (Foute 1997) FIGURE 5.4: The Radix Evaluation Window (Foute 1997) FIGURE 5.5: The Denver Smart Places Project (Foute 1997) FIGURE 5.6: Decision Making with Strategic Choice Approach (Friend 1997b) FIGURE 5.7: The Overview Window (Friend 1997b) FIGURE 5.8: The Focus Window (Friend 1997b) FIGURE 5.9: The Compatibility Window (Friend 1997b) FIGURE 5.10: The Schemes Window (Friend 1997b)
15 FIGURE 5.11: The Option Assessment Window (Friend 1997b) FIGURE 5.12: The Combined Scheme Assessment Window (Friend 1997b) FIGURE 5.13: The Balance Window (Friend 1997b) FIGURE 5.14: The Uncertainty Window (Friend 1997b) FIGURE 5.15: The Progress Window (Friend 1997b) FIGURE 5.16: System Architecture for CSCW FIGURE 6.1: System Architecture of the CSCW for Şaraphane Pilot Project FIGURE 6.2: Actors and Tasks of the Şaraphane Project FIGURE 6.3: Summary of the Residents Characteristics FIGURE 6.4: The Project Scheme of the Şaraphane Pilot Project FIGURE 6.5: Sample Reference Material (Özkan 1998) FIGURE 6 6: GISbPDM Web Page I FIGURE 6.7: GISbPDM Web Page II FIGURE 6.8: Overview FIGURE 6.9: Focus FIGURE 6.10: Compatibility FIGURE 6.11: Schemes FIGURE 6.12: Assess FIGURE 6.13: Balance FIGURE 6.14: Uncertainty FIGURE 6.15: Progress FIGURE 6.16: Strategic Decision FIGURE 6.17: Sample Advertisement for Encouraging Participation FIGURE E.1: Photos from Saraphane FIGURE E.2: Photos from Saraphane TABLE E.1: Work Groups in Quarters FIGURE E.3: Şaraphane Project Scheme
16 LIST OF TABLES TABLE 2.1: Views of Planning in the Last Decades (Klosterman 1997a) TABLE 2.2: Differentiating Models of Availability (Leitner 1998) TABLE 2.3: Advantages Disadvantages of Community Based GIS (Leitner 1998) TABLE 2.4: Advantages Disadvantages of Univer./Comm. Partnership (Leitner 1998) TABLE 2.5: Advantages Disadvantages of GIS in Universities/Libraries (Leitner 1998) TABLE 2.6: Advantages Disadvantages of Map Rooms (Leitner 1998) TABLE 2.7: Advantages Disadvantages of Internet Map Server (Leitner 1998) TABLE 2.8: Advantages Disadvantages of Neighborhood GIS Center (Leitner 1998) TABLE 3.1: Summary of Participatory Planning Models (Martin 1999) TABLE 3.2: Descriptive Dimensions of Public Involvement (Sarjakovski 1998) TABLE 5.1: GISbPDM and Planning Processes TABLE 5.2: The Steps of GISbPDM TABLE 5.3:Tasks of GISbPDM Steps TABLE 5.4: Definitions of Groupware, (Nunamaker 1995) TABLE 6.1: Prerequisites for Successful GIS Adoption (Kellogg 1999) TABLE 6.2: Sample Participation Model for Şaraphane TABLE 6.3: Tasks of Şaraphane Pilot Project TABLE 6.4: Tasks and Tools of GISbPDM Steps TABLE 6.5: The Negotiation Process of Interest Groups TABLE 6.6: Abbreviations of the Interest Groups Landuse Types TABLE A.1: GIS Implementation Model Types (Sieber 1999) TABLE A.2: Who should or should not and does and does not use GIS? (Sieber 1999) TABLE B.1: Technical GIS Strategies for CBOs (Kellogg 1999) TABLE B.2: Organizational GIS Strategies for CBOs (Kellogg 1999) TABLE B.3: Personal GIS Strategies for CBOs (Kellogg 1999) TABLE D.1: Framework for GIS Supported CNP (Heckman 1999) TABLE D.2: Characteristics and Variables of GIS Supported CNP (Heckman 1999) TABLE E.2: Characteristics of the Şaraphane Residents
17 TABLE E.3: Report Card of Şaraphane Scenario TABLE E.4: Pocket Attributes of Şaraphane Project
18 LIST OF MAPS MAP 6.1: Location of The Pilot Project Area MAP 6.2: Izmir Master Plan MAP 6.3: Şaraphane Development Plan and Orthophoto MAP 6.4: Şaraphane Land-Use MAP 6.5: Scanning with ArcView MAP 6.6: Şaraphane Existing Structure MAP 6.7: Şaraphane 3D Model I MAP 6.8: Şaraphane 3D Model II MAP 6.8: STRAD Scheme Alternatives MAP 6.9: Scenario Builder MAP 6.10: Radix Evaluation System MAP 6.11: Report Card and Radix Evaluation MAP 6.12: Visualization of the Criteria MAP 6.13: Chosen Scenario for Şaraphane Development Plan