Theoretical Framework and Approach

1.1 The role of transport policy in society

Transport is a phenomenon which plays a central role in every society. The essence of transport systems, however, vary from one society to another: in an African village the transport system consists of a network of well-known routes for carrying water pots, canoeing etc. In a modern metropolis, the transport system means pavements, streets, motorways, metros, buses, traffic management, parking, pricing etc.. In both cases, however, there are other forces and systems related to transport that explain the demand, supply and actions.

In every case, a certain transport system including infrastructure, rules, traffic and impacts can be identified. Furthermore, a number of things in the surrounding society can be identified as driving forces towards the transport system. Finally, there is a system where the decisions to change the existing system are made. The conceptual framework of transport policy is portrayed in figure 1 and discussed below.

   Figure 1
   A schematic presentation of the interactions between a transport system, driving forces and policy response

The demand for mobility emerges from human needs and activities in terms of for example economic and leisure activities. Transportation, on the other hand, has two different faces: increased access to many facilities (potentiality) and increased deterioration of the quality of life (externalities). The desired relation between the benefits and social costs of the transportation is to be defined in policies.

Current status of the transportation system consists of the existing infrastructure (capacity…), management policies (regulations, taxation, pricing…) and the impacts (user costs, maintenance/capital costs, accidents, pollution, noise …).

Decision-making authorities need information about both the driving force and the existing system in order to make premeditated decisions concerning the transport system.

Derived from this definition of the role of the transport system in society, the role of transport policy may be defined as follows: Transport policy aims to the improvement of welfare by planning and implementing measures that change the transport system to meet the needs of mobility in a way that is economically, socially and environmentally sustainable.

In principle, the instruments of transport policy may be divided into four categories (see table 1).

Table 1
   Examples of the measures to affect demand and supply of the transport system

1.2 The hierarchical dimensions of transport planning

1.2.1 The definition of planning

Taking the schematic presentation of the role of transport in society (figure 2.1) as the point of departure, transport planning can be defined as follows: When there are changes in population or its structure, economic activity, values etc (driving force), the needs for mobility change. It is possible to forecast these changes to some extent. Furthermore, it may be proved that the existing transport system cannot satisfy the foreseeable changes in the demand. The changes in the driving force are reflected to decision-making as targets or goals to change the existing transport system. The process of specifying measures to achieve these targets can be defined as transport planning.

There are various definitions for the term ‘planning’. All of these definitions, however, have something in common. These conjunctive factors can be listed as follows:

• planning is preparation of decisions

• planning is about processing groups of decisions

• planning is directed to future

• planning should lead to action

• planning is an ongoing process

• planning is instructional, logical and target-oriented action.

1.2.2 The hierarchical structure of planning in theory

Transport planning has a hierarchical structure. A common classification of the different levels is as follows:

• Normative planning aims to the definition of the general targets and their interrelationships. Norms are rules that help to derive alternative solutions from prevailing values in the society. Thus, normative planning forms the basis for the next planning levels.

• Strategic planning is about deriving more precise targets from the general targets. Thus, strategic planning leads to a medium or long-term development strategy. Logically, strategic planning forms the basis for operative planning.

• Operative planning is directed to implementation. In a wider sense, also the definition of the administrative work distribution and the timing of the implementation are parts of operative planning.

In practise, all planning including transport planning is a mix of the above presented planning levels.

1.2.3 Theories of planning

Theories of planning have traditionally been divided into procedural and substantial theories:

• According to procedural theories, planning process is somewhat neutral from the surrounding society. It is assumed that there is a commonly acceptable definition of public good and a best possible solution for each problem. Thus, the optimal solutions can be achieved by developing better planning methodologies.

• Substantial planning theories, on the other hand, emphasise the object of planning and its qualities. The social context is taken into account. It is also assumed that there are structural conflicts in the society. It is accepted that what is good for some can be bad for others. Furthermore, the conflict resolution should be an essential part of the planning process, which would also include negotiations of the most acceptable solution.

Rationalistic procedural theory of planning has been the mainstream since 1950’s. The fundamental hypothesis is that decision-making is rational and all the information needed is available. The hierarchical structure of planning is adopted exactly: the targets set at the upper level lead the planning at lower levels. The pursuit of financial efficiency (later economic efficiency) is typical for rationalistic procedural planning.

Incremental theory of planning has been a natural modification of the rationalistic approach. Since it is obvious that comprehensive knowledge of all possible alternatives and their impacts is not within reach, it has been accepted to focus on the most relevant alternatives. Nevertheless, the problem of the definition of the relevant issues remains. The choice is arbitrary to some extent. A characteristic incremental planning process could be as follows: A certain problem, say, a bottleneck has been identified. The solution is sought by assessing available policy instruments: improvement of the existing infrastructure, construction of new infrastructure or traffic management concept. Finally, one of these alternatives has been selected after a rational impact analysis.

The new theories of planning emphasise interaction between various ‘players’ like administration, economic life and citizens. This trend has been named the theory of communicative or social rationality. The fundamental idea is that planning is based on continuous discussions and transactions. ‘Grass root democracy’ and public participation are one of the key issues.

1.2.4 The hierarchy of decision-making in transport planning

A more practical hierarchy of transport planning emerges from the hierarchy of decision-making. An example of the interrelationships between the transport system and various decision-makers is presented in figure 2.

Figure 2
   A schematic presentation of the hierarchy of decision-making that is of importance to the transport system in Finland

International agreements like the Kyoto agreement and EU directives set a certain framework and general targets for transport planning. Decisions made at this level are usually normative or strategic, rarely operative.

At the national level there are various decision-makers. The decisions concerning sector policies, national budget and legislation are the duties of the government, ministries, parliament and the president. Also the approval of land use plans (that affect the demand for mobility) is at least partly the duty of the ministry of the environment. Regional councils are part of central administration and duty-bound to give a statement on all significant development projects in their area. As to the transport sector, the road, rail and maritime administrations are part of central administration, too. Thus, the hierarchical path from normative transport planning led by the Ministry of Transport and Communications to the operative planning led by transport sector administrations is clear.

Municipal administrations are in charge of spatial and transport planning within their area. Local public transport authority is typically part of municipal administration. The decisions concerning the maintenance and development of the street network are the duties of local authorities, too. As regards the planning hierarchy, there are no official links between the central and local transport administration. Of course, there are several common interests and continuous co-operation, but also obvious conflict areas.

Unions and organisations of citizens lobby the decision-makers at the national level as well as at the local level. Individual citizens and households along with the economic life use their power as consumers in the transport market. They choose to make certain trips and not to make others. They choose the mode of transport for the delivery of goods or the mode of transport on business trips. In addition to this, citizens elect the members of the parliament and the municipal councils.

1.2.5 The operative hierarchy of transport planning

A conjunctive description of transport planning process is presented in figure 3 and discussed below.

Figure 3
   A schematic presentation of the transport system improvement process

The rationalistic theory of planning would require a comprehensive understanding of the reality. However, this may be considered to be impossible. To get an idea of what is taking place in the real world, there is a possibility to use a set of images of reality. In this context, the images consist of data and indicators concerning traffic, land-use, environmental and socio-economic issues. According to the incremental theory of planning, the indicators would be selected based on availability. Communicative rationality, on the other hand, would mean that the set of indicators is selected by taking into account the opinions of various interest groups and decision-making authorities.

The concept of images of future has two dimensions. On one hand, it means scenarios and forecasts based on the selected images of reality. On the other hand, images of reality consist of strategies, policies and visions which present the future in the way the decision-makers see it. In both cases, images of future are normative or strategic planning and formed at all levels of decision-making hierarchy: international, national and local. These images of future guide the detailed project or action planning. But before that, an analysis of the alternative images of future must be carried out.

Detailed planning of policies, action programmes, individual projects is the next step. It is specifically at this level where the communicative planning has gained its importance. Individual citizens, landowners etc. are more often given the possibility to be heard in the planning process. Decisions of action programme lead to project implementation and finally to changes in the reality.