Table Of ContentPlanning with Complexity
In an era of rapid change, uncertainty, and hyperpartisanship, when wicked problems
abound, tools for solving public problems are more essential than ever. The authors lay
out anew theory for collaborative practice in planning, public administration, and public
policy. Planning with Complexity provides both theoretical underpinnings and extensive
case material on collaboration and offers ways of understanding and conducting effective
practice. Collaborative rationality means collaboration that is inclusive, informed,
grounded in authentic dialogue, and that results in wise and durable outcomes.
The scholar-practitioner author team builds on more than 40 years of research, teach-
ing, and practice addressing environmental issues, housing, and transportation. This
second edition updates the case studies and adds new examples reflecting the global
spread of collaborative practices. It builds on insights that have recently emerged in the
literature. More than 75 new references have been incorporated, along with new tables.
This book is essential for students, educators, scholars, and reflective practitioners in
public policy fields in the 21st century.
Judith E. Innes retired after 40 years from the University of California Berkeley, where
she studied consensus building processes and taught theory and collaborative planning in
the Department of City and Regional Planning. She also directed the Institute of Urban
and Regional Development. She has published dozens of articles and books.
David E. Booher has 40 years’ professional experience in negotiation and collaborative
planning as a planner, lobbyist, scholar, teacher, and consultant, most recently for the
Center for Collaborative Policy. He is an author of numerous articles on collaboration in
public policy and planning.
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Planning with Complexity
An Introduction to Collaborative Rationality for
Public Policy
Second edition
Judith E. Innes and David E. Booher
Secondeditionpublished2018
byRoutledge
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andbyRoutledge
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RoutledgeisanimprintoftheTaylor&FrancisGroup,aninformabusiness
©2018JudithE.InnesandDavidE.Booher
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Trademarknotice:Productorcorporatenamesmaybetrademarksorregistered
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FirsteditionpublishedbyRoutledge2010
LibraryofCongressCataloginginPublicationData
Names:Innes,JudithEleanor,author.|Booher,DavidE.,author.
Title:Planningwithcomplexity:anintroductiontocollaborativerationalityforpublic
policy/JudithE.InnesandDavidE.Booher.
Description:Secondedition.|NewYork,NY:Routledge,2018.
Identifiers:LCCN2017038501|ISBN9781138552050(hardback)|
ISBN9781138552067(pbk.)
Subjects:LCSH:Communitydevelopment,Urban.|Politicalplanning.|Social
participation.
Classification:LCCHN49.C6I5362018|DDC302/.14--dc23
LCrecordavailableathttps://lccn.loc.gov/2017038501
ISBN:978-1-138-55205-0(hbk)
ISBN:978-1-138-55206-7(pbk)
ISBN:978-1-315-14794-9(ebk)
TypesetinSabon
byTaylor&FrancisBooks
Contents
List of illustrations ix
Glossary of Acronyms x
Acknowledgments xii
Preface xiii
Introduction 1
What Is New in the Second Edition 2
Notes 3
1 Thinking Differently for an Age of Complexity 4
Water Planning as a Wicked Problem 4
Purpose of the Book 5
Context and Origins of Collaborative Public Decision Making 6
Trends 7
Collaborative Rationality 8
Collaborative Dialogues in Practice 9
The Importance of Institutional Change 10
Our Basic Argument 11
Outline of the Book 12
Notes 15
2 How Can Theory Improve Practice? 17
Why Practice Needs Theory 17
Our Conception of Theory 18
Knowledge and Rationality in Planning and Public Policy 19
Positivist Analysis in a Political World 19
The Rational Model Works Perversely in Pluralist Politics 20
The Rational Choice School Discovers Collaboration Is
Rational 21
Interpretive Knowing: A Foundation for Collaborative
Dialogue 22
An Alternative Rationality for Collaborative Dialogue 24
Applications in Planning 25
vi Contents
Communities of Inquiry 27
Negotiation Theory and Alternative Dispute Resolution 28
Interpretive Knowing: A Framing for Collaborative Planning and
Deliberative Public Policy 29
Complexity Science 30
Collaborative Policy Processes Are Complex Adaptive Systems 33
The DIAD Theory of Collaborative Rationality 34
Critiques and Challenges 38
Summary 39
Notes 40
3 Stories from the Field 42
Why Collaborations Should Not Be Regarded as Black Boxes 42
Collaborative Rationality in Action: The Sacramento Area Water Forum 43
Reducing Racial Tensions: The Cincinnati Police Community Relations
Collaborative 52
Cross Acceptance: The New Jersey State Planning Process 57
Interagency Collaboration in CALFED: Informality as a Planning
Strategy 64
A Coalition Approach: The Bay Area Alliance for Sustainable Communities
(BAASC) 69
Politics and Parliamentary Procedure: The East Bay Conversion and
Reinvestment Commission (EBCRC) 76
Other Collaborative Efforts 80
Summary and Conclusion 80
Notes 81
4 The Praxis of Collaboration 83
Necessary Conditions for Successful Policy Dialogues 83
Structuring the Process 91
Authentic Dialogue: The Praxis of Process 98
Agonism 105
Power in Collaborative Dialogues 106
Contradictions and Paradoxes 110
When Collaborative Dialogues Are Appropriate 112
Conclusion 113
Notes 113
5 Dialogue as a Community of Inquiry 115
Communities of Inquiry 115
Dialogue Is Transformative 118
Collaboration in High Performance Groups 119
Unpacking Collaborative Policy Dialogues 120
Role Playing and Drama 129
Contents vii
Creating a Community of Inquiry 134
Conclusion 135
Notes 136
6 Knowledge into Action: The Role of Dialogue 137
How We Make Decisions in Daily Life 137
Challenges for Building Informed Plans and Policies 137
Purpose of the Chapter 138
Exploding the Myth 139
Types of Information Used in Policy Making Arenas 142
How Dialogue Can Make Information Influential 146
Scientific Conflicts 150
Institutional Models for Addressing Scientific Conflict 151
Examples of Joint Fact Finding 154
Potential Roles for Digital Knowledge Technologies 161
Conclusion 161
Notes 162
7 Local Knowledge 164
The Importance of Local and Lay Knowledge 164
Multiple Knowledges 165
Anxieties: Epistemology, Difference, and Uncertainty 167
The Risks of Ignoring Local Knowledge 169
Environmental Justice 172
Strategies for Incorporating Local Knowledge 174
Local Knowledge for Resilience in Complex Socio-ecological Systems:
Fisheries Management 179
Knowledge of the Marginalized in Collaborative Stakeholder Dialogues 182
Strategies for Integrating Local with Expert Knowledge 184
Relationships of Experts with Local Knowers: Typologies 185
Conclusion 186
Notes 187
8 Collaborative Governance for a Resilient Society 188
The Crisis in Governance 189
How Collaborative Governance Emerges 190
The Mental Model behind Traditional Governing Institutions 191
The Mental Model behind Collaborative Governance 192
Contrasting Governance Institutions and Practices 193
Citizens Engaging in Collaborative Governance 196
Adaptiveness and Resilience 196
Three Features of Adaptive Governance 198
Networks: The Core of Adaptive Governance 199
viii Contents
Recommendations for Changes in the Practices and Role of Government
Actors 200
Limitations and Challenges 202
The Way Forward 203
Notes 204
References 205
Index 222
Illustrations
Figure
2.1 DIAD Network Dynamics 35
Tables
2.1 Features of Complex Adaptive Systems 33
3.1 Summary of Case Studies 44
4.1 Comparison of Case Studies in Terms of Conditions for Successful
Collaboration 84
4.2 Stages of a Collaborative Process 94
4.3 Sample Ground Rules for Authentic Dialogue 96
8.1 Ideas about Traditional and Collaborative Governance 193
