The rational planning model is a model of the planning process involving a number of rational actions or steps. Taylor (1998) outlines five steps, as follows: Definition of the problems and/or goals; Identification of alternative plans/policies; Evaluation of alternative plans/policies; Implementation of plans/policies; Monitoring of effects of plans/policies. The rational planning model is used in planning and designing neighborhoods, cities, and regions. It has been central in the development of modern urban planning and transportation planning. The model has many limitations, particularly the lack of guidance on involving stakeholders and the community affected by planning, and other models of planning, such as collaborative planning, are now also widely used.
The very similar rational decision-making model, as it is called in organizational behavior, is a process for making logically sound decisions. This multi-step model aims to be logical and follow the orderly path from problem identification through solution. Rational decision making is a multi-step process for making logically sound decisions that aims to follow the orderly path from problem identification through solution.
Method Rational decision-making or planning follows a series of steps detailed below:
Verify, define, detail the problem, give solution or alternative to the problem Verifying, defining & detailing the problem (problem definition, goal definition, information gathering). This step includes recognizing the problem, defining an initial solution, and starting primary analysis. Examples of this are creative devising, creative ideas, inspirations, breakthroughs, and brainstorms.
The very first step which is normally overlooked by the top level management is defining the exact problem. Though we think that the problem identification is obvious, many times it is not. When defining the problem situation, framing is an essential part of the process. With correct framing, the situation is identified and possible previous experience with same kind of situation can be utilized. The rational decision making model is a group-based decision making process. If the problem is not identified properly then we may face a problem as each and every member of the group might have a different definition of the problem.
Generate all possible solutions This step encloses two to three final solutions to the problem and preliminary implementation to the site. In planning, examples of this are Planned Units of Development and downtown revitalizations.
This activity is best done in groups, as different people may contribute different ideas or alternative solutions to the problem. Without alternative solutions, there is a chance of arriving at a non-optimal or a rational decision. For exploring the alternatives it is necessary to gather information. Technology may help with gathering this information.
Generate objective assessment criteria Evaluative criteria are measurements to determine success and failure of alternatives. This step contains secondary and final analysis along with secondary solutions to the problem. Examples of this are site suitability and site sensitivity analysis. After going thoroughly through the process of defining the problem, exploring for all the possible alternatives for that problem and gathering information this step says evaluate the information and the possible options to anticipate the consequences of each and every possible alternative that is thought of. At this point optional criteria for measuring the success or failure of the decision taken needs to be considered. The rational model of planning rest largely on objective assessment.
Choose the best solution generated This step comprises a final solution and secondary implementation to the site. At this point the process has developed into different strategies of how to apply the solutions to the site.
Based on the criteria of assessment and the analysis done in previous steps, choose the best solution generated. These four steps form the core of the Rational Decision Making Model.
Implement the preferred alternative This step includes final implementation to the site and preliminary monitoring of the outcome and results of the site. This step is the building/renovations part of the process.
Monitor and evaluate outcomes and results
Feedback Modify future decisions and actions taken based on the above evaluation of outcomes.
Discourse of rational planning model used in policy making The rational model of decision-making is a process for making sound decisions in policy making in the public sector. Rationality is defined as “a style of behavior that is appropriate to the achievement of given goals, within the limits imposed by given conditions and constraints”. The model makes a series of assumptions in order for it to work, such as:
The model must be applied in a system that is stable, The government is a rational and unitary actor and that its actions are perceived as rational choices, The policy problem is unambiguous, There are no limitations of time or cost.
Some of the assumptions identified above are also pointed out in a study written by the historian H.A. Drake, as he states:
Furthermore, in the context of policy, rational models are intended to achieve maximum social gain. For this purpose, Simon identifies an outline of a step by step mode of analysis to achieve rational decisions. Ian Thomas describes Simon's steps as follows:
Intelligence gathering— data and potential problems and opportunities are identified, collected and analyzed. Identifying problems Assessing the consequences of all options Relating consequences to values— with all decisions and policies there will be a set of values which will be more relevant (for example, economic feasibility and environmental protection) and which can be expressed as a set of criteria, against which performance (or consequences) of each option can be judged. Choosing the preferred option— given the full understanding of all the problems and opportunities, all the consequences and the criteria for judging options.
In similar lines, Wiktorowicz and Deber describe through their study on ‘Regulating biotechnology: a rational-political model of policy development’ the rational approach to policy development. The main steps involved in making a rational decision for these authors are the following:
The comprehensive organization and analysis of the information The potential consequences of each option The probability that each potential outcome would materialize The value (or utility) placed on each potential outcome.
The approach of Wiktorowicz and Deber is similar to Simon and they assert that the rational model tends to deal with “the facts” (data, probabilities) in steps 1 to 3, leaving the issue of assessing values to the final step. According to Wiktorowicz and Deber values are introduced in the final step of the rational model, where the utility of each policy option is assessed.
Many authors have attempted to interpret the above-mentioned steps, amongst others, Patton and Sawicki who summarize the model as presented in the following figure (missing):
Defining the problem by analyzing the data and the information gathered. Identifying the decision criteria that will be important in solving the problem. The decision maker must determine the relevant factors to take into account when making the decision. A critical analyses and evaluation of each criterion is brought through. For example, strength and weakness tables of each alternative are drawn and used for comparative basis. The decision maker then weights the previously identified criteria in order to give the alternative policies a correct priority in the decision. The decision-maker evaluates each alternative against the criteria and selects the preferred alternative. The policy is brought through.
The model of rational decision-making has also proven to be very useful to several decision making processes in industries outside the public sphere. Nonetheless, many criticisms of the model arise due to claim of the model being impractical and lying on unrealistic assumptions. For instance, it is a difficult model to apply in the public sector because social problems can be very complex, ill-defined and interdependent. The problem lies in the thinking procedure implied by the model which is linear and can face difficulties in extra ordinary problems or social problems which have no sequences of happenings. This latter argument can be best illustrated by the words of Thomas R. Dye, the president of the Lincoln Center for Public Service, who wrote in his book `Understanding Public Policy´ the following passage:
The problems faced when using the rational model arise in practice because social and environmental values can be difficult to quantify and forge consensus around. Furthermore, the assumptions stated by Simon are never fully valid in a real world context.
However, as Thomas states the rational model provides a good perspective since in modern society rationality plays a central role and everything that is rational tends to be prized. Thus, it does not seem strange that “we ought to be trying for rational decision-making”.
Decision criteria for policy analysis — Step 2
As illustrated in Figure 1, rational policy analysis can be broken into 6 distinct stages of analysis. Step 2 highlights the need to understand which factors should be considered as part of the decision making process. At this part of the process, all the economic, social, and environmental factors that are important to the policy decision need to be identified and then expressed as policy decision criteria. For example, the decision criteria used in the analysis of environmental policy is often a mix of —
Ecological impacts — such as biodiversity, water quality, air quality, habitat quality, species population, etc. Economic efficiency — commonly expressed as benefits and costs. Distributional equity — how policy impacts are distributed amongst different demographics. Factors that can affect the distribution of impacts include location, ethnicity, income, and occupation. Social/Cultural acceptability — the extent to which the policy action may be opposed by current social norms or cultural values. Operational practicality — the capacity required to actually operationalize the policy. Legality — the potential for the policy to be implemented under current legislation versus the need to pass new legislation that accommodates the policy. Uncertainty — the degree to which the level of policy impacts can be known.
Some criteria, such as economic benefit, will be more easily measurable or definable, while others such as environmental quality will be harder to measure or express quantitatively. Ultimately though, the set of decision criteria needs to embody all of the policy goals, and overemphasising the more easily definable or measurable criteria, will have the undesirable impact of biasing the analysis towards a subset of the policy goals.
The process of identifying a suitably comprehensive decision criteria set is also vulnerable to being skewed by pressures arising at the political interface. For example, decision makers may tend to give "more weight to policy impacts that are concentrated, tangible, certain, and immediate than to impacts that are diffuse, intangible, uncertain, and delayed."^8. For example, with a cap-and-trade system for carbon emissions the net financial cost in the first five years of policy implementation is a far easier impact to conceptualise than the more diffuse and uncertain impact of a country's improved position to influence global negotiations on climate change action.
Decision methods for policy analysis — Step 5