GRADUATE SCHOOL OF SOCIAL SCIENCES URBAN AND REGIONAL PLANNING MASTER
Organic area development:
Governmental stimulation strategies of bottom-up
initiatives in organic development processes
Lars Westman
August 2016
Thesis project: Metropolis in transition
Master thesis
3
Colofon
Organic area development: Governmental stimulation strategies of bottom-up
initiatives in organic development processes
15
thof August, 2016
University of Amsterdam
Graduate School of Social Sciences
Urban and Regional Planning Master
Author
Lars Westman
Jacques Veltmanstraat 1301
1065DZ Amsterdam
lars-westman@live.nl
06-52016083
Supervisor
Dr. B.M. Hissink Muller
B.M.HissinkMuller@uva.nl
4
Table of contents
Chapter 1:
Introduction
6
1.1 Background
6
1.2 Problem statement
6
1.3 Relevance
7
1.4 Motivation
7
1.5 Outline
8
Chapter 2:
Organic area development
9
2.1 Introduction
9
2.2 Context of organic area development
10
2.3 Bottom-up initiatives
12
2.3.1 Types of initiatives
13
2.3.2 Conditions for initiatives
14
2.3.3 Initiatives as form of collaborative governance
14
2.4 Stimulation strategies
15
2.4.1 Network structuration
15
2.4.2 Process management
16
2.5 Relation between stimulation strategies and bottom-up initiatives
16
2.6 Conclusion
17
Chapter 3:
Methodology
18
3.1 Introduction
18
3.2 Research question
18
3.3 Research design
19
3.3.1 Units of analysis
19
3.4 Case selection
20
3.5 Case descriptions
21
3.5.1 Binckhorst
21
3.5.2 Havenkwartier
21
3.6 Data collection
22
3.6.1 Interviews
22
3.6.2 Documents
24
3.7 Data analysis
24
3.8 Operationalisation
24
3.9 Conceptual framework
24
3.10 Conclusion
26
5
Chapter 4:
Case study: Binckhorst, The Hague
27
4.1 Introduction
27
4.2 Binckhorst
27
4.2.1 Planning process
28
4.3 Description of interviewees
29
4.4 Data analysis
29
4.4.1 Role of local governments
29
4.4.2 Role of initiatives
30
4.5 Conclusion
30
Chapter 5:
Case study: Havenkwartier, Deventer
32
5.1 Introduction
32
5.2 Havenkwartier
32
5.2.1 Planning process
32
5.3 Description of interviewees
33
5.4 Data analysis
34
5.4.1 Role of local governments
34
5.4.2 Role of initiatives
34
5.5 Conclusion
35
Chapter 6:
Case comparison
36
6.1 Introduction
36
6.2 Similarities
36
6.3 Differences
36
6.4 Conclusion
37
Chapter 7:
Conclusion
38
7.1 Conclusions
38
7.2 Future recommendations
39
Attachments
40
Attachment 1: Interview Mark van den Broek
40
Attachment 2: Interview Fred Lansbergen & Frank Immerzeel
46
Attachment 3: Interview Sabrina Lindemann
51
Attachment 4: Interview Nanko Borsboom
58
Attachment 5: Interview Bart Kerner
61
Attachment 6: Interview Frank Hulscher & Tjeerd Ettema
71
Attachment 7: Interview Bart Folmer
76
Attachment 8: Interview Meindert Pesman
83
Attachment 9: Interview Linda Velderman
89
Attachment 10: Interview Guido de Vries
96
Attachment 11: Interview Jan Pieter Romijn
102
6
Chapter 1
Introduction
1.1 Background
In the past years the field of urban
planning and area development has
faced a transition in which new
development processes were designed
and used. After a time of economic
prosperity the global financial crisis of
2008 turned things around. Because of
this crisis a lot of area development
projects got under pressure. The result
was that these projects got delayed,
were phased up or stopped completely.
The most important factor was the
decreasing amount of invested money.
This caused urban planners in the
Netherlands to come up with new
solutions
regarding
development
projects and processes in order to keep
accommodating business, housing and
services. One of these solutions is aimed
at area development processes and will
be discussed in this research.
A new approach and a new way of
thinking about area development arose
which should tackle these problems.
This new approach is called organic area
development and as its name suggests it
is a more organic way of developing. It
means that the developing process is
structured different compared to
traditional development processes. This
organic way of developing consists of
more dependence on citizens and
entrepreneurs to develop their ideas
and put them into practice. This in
contrast to the pro-active role
governments often had in processes of
area
development.
The
organic
approach has a gradual development
process and puts an emphasis on a
different approach for governmental
actors. Within this approach the
governmental actors are taking a
facilitating role in which they only
establish certain frameworks and
encourage
bottom-up
initiatives
(Buitelaar et. al, 2012). Over the past
years this approach of organic area
development has been put into practice
in all sorts of places and has gained
popularity in the Netherlands as well.
Business parks and old industrial areas
nowadays often have an organic
development process.
One of the designated advantages of this
approach is that it would increase the
diversity of the urban fabric. It is also a
way to get more citizens and locals
involved in the planning process of an
area they are using themselves. Another
advantage
of
such
an
organic
development process is that the small
developments within the process are
loosely coupled, and thereby making the
system as a whole less vulnerable for
unforeseen circumstances (Buitelaar et.
al, 2012). Overall this flexible attitude
should lead to a decrease of uncertainty
while increasing diversity.
1.2 Problem statement
With this new approach being put into
practice,
local
governments
are
depending
more
on
bottom-up
initiatives because of their facilitating
role in the development process. The
challenge lies in how to attract and
stimulate these initiatives in organic
7
development processes. The focus of
this research will be on how local
governments try to do this in practice.
Especially in the early phase of the
organic development process it is
important to attract initiatives as it
could be a catalyst for further
developments. It is important to
overcome the challenges of an organic
development process in order to
accomplish developments within the
process.
It could be tempting for local
governments to pull their hands away
from certain organic development
processes but it should not be a permit
to do nothing at all. In fact, this new role
of the local government within this
process of organic development asks for
new strategies and solutions being
developed and used. This should be
done in order to ensure a smooth
interaction in this new type of process.
The local governments are namely very
dependent on bottom-up initiatives. The
input of those initiatives is what brings
processes of organic area development
forward. Otherwise the developments
will come to a stand still, as the local
governments
are
not
actively
developing. That is why attracting and
stimulating such initiatives in organic
development processes is so important.
Some important questions which could
be raised taking this into account are:
what kind of strategies could be used to
to do so? How are these strategies being
used in practice and how do they work
out?
1.3 Relevance
The
concept
of
organic
area
development
is
gaining
serious
attention, as well in literature as in
practice. In the past years this approach
has been increasingly used in practice
and thus covered more in academic
literature. On the other side there is still
much left to explore in the field of
organic area development since it is
such a relatively new approach.
Therefore
implications
of
this
development strategy in practice over a
longer timespan are not much evaluated.
This less explored segment of organic
area development therefore is the focus
of my research. It could be of great
importance to see how the theoretical
thoughts
behind
organic
area
development
are
approached
in
practice. It also could be valuable to
review cases in practice to draw lessons
for the future. Therefore this transition
within area development processes can
be seen as relevant as it tries to respond
and adapt to the changing context of the
world we are living in. This new strategy
can be a catalysor for certain areas to
(re)develop in a way that suits the area
best. It can greatly revitalise these areas
and also can be of great benefit for the
users of the area. These users can shape
their own area according to their needs
within these processes of organic
development, as they often have more
power in this process than before.
1.4 Motivation
At first my interest was sparked by
transitions in the field of urban
planning, which has led me to
participate in my current thesis project
group. Over the past years spatial
planning has faced new transitions and
in the years to come I am convinced that
more transitions will happen or existing
transitions will take shape. These
transitions are definitely something I am
interested in and I think that these
transitions keep our field of study
interesting as well. Therefore I wanted
to research one of these transitions to
understand more of the processes
behind it. As my interests in the field of
spatial planning are widespread I have
8
thought much about the exact transition
I wanted to focus on.
Urban redevelopment projects always
catch my eye and seem to fascinate me.
The idea of redeveloping certain areas in
urban places to give them a new life and
incorporating different functions to
create a new identity in such areas is
really interesting for me. These areas
are not being used as before and in some
sense even become useless. These areas
now often are being redeveloped to give
a new meaning to those areas with new
functions to suit the changing demands
of the city. Adding to that is the
underlying
process-oriented
development of these projects. Where in
former years often such urban
(re)development plans were shaped as
strategic masterplans in which was
precisely described what the outcome
would be and how the process should
look like, nowadays these plans have a
more organic nature in which there is
room for flexibility because of the
uncertainty that the future will bring. In
the recent past I have also been to such
areas and one of them really caused me
to choose for this transition of area
development processes. Therefore I
wanted to focus my thesis on the topic of
organic area development and take a
look at the underlying processes of such
developments. I think this topic suits
well within the framework of a
metropolis in transition, as it is a
relatively new approach in urban
planning and definitely is a break with
the
more
conventional
planning
methods.
1.5 Outline
The research is structured as follows.
Chapter 2 will be an overview of the
subject of organic area development. It
will go deeper into the content of this
specific type of developing within urban
planning. The chapter will explain the
concept of organic area development
while relating it to its context. It also will
address the components which are
essential to this type of area
development. Overall it will scope the
way the rest of the research is being
layed out. This scope will be narrowed
down in chapter 3. In this chapter the
methodology of this research will be
addressed. It will explain the choices
being made concerning the methodology
of the research. Chapters 4, 5 and 6
consist of the actual analysis of the
collected data. Chapter 4 will go deeper
into the first case study, the ‘Binckhorst’
in The Hague. This includes background
and context, policy processes and
empirical data obtained from actors
within the case. Chapter 5 will do the
same for the second case, the
‘Havenkwartier’ in Deventer. Chapter 6
will compare the findings of both cases.
Chapter 7 is the last chapter within this
research and consists of a conclusion
which formulates an answer of the
research question and also presents
recommendations for policies and future
research.
9
Chapter 2
Organic area development
2.1 Introduction
Within this section I will structure and
use theories from literature on organic
development
processes.
These
processes are the context in which my
research will take place. Therefore I am
addressing theories about organic
development processes first. Also
theories about bottom-up initiatives, the
game of actors, and the stimulation
strategies of governments will be
addressed. After discussing the context
of organic area development (2.2) there
will be a look on bottom-up initiatives
and how they link with processes of
organic development (2.3). Then, there
will be discussed what kind of strategies
can be used to attract and stimulate
bottom-up initiatives (2.4). Within the
context
of
organic
development
processes this is important because
these organic developments are heavily
relying on bottom-up initiatives.
The paper of Bakker et. al (2012) has
been used as a starting point to provide
a background on theories of citizen
participation
and
facilitating
governments. They combine different
theoretical perspectives to analyse the
institutional setting of participation
initiatives and how local governments
try to facilitate these initiatives. This
paper thus will provide a theoretical
basis for this thesis for at the one hand
participation initiatives in (organic) area
developments and the other hand how
local governments try to facilitate those
initiatives. This paper is used as a
starting point within this theoretical
framework because their research is
closest to the research I will be
conducting. Their paper is namely based
upon the question of how local
authorities try to stimulate and facilitate
the
development
of
bottom-up
initiatives.
From this theoretical starting point on,
other theories have been used to extend
on the subjects of actor networks,
bottom-up initiatives and governmental
stimulation
strategies.
The
used
literature and theories have been
carefully selected to suit the topic of this
research. These selected and very usable
theories are therefore the guidance
throughout this research and are the
reason there is no super extensive
theoretical elaboration as the current
theories provide enough guidance to
conduct the research. Thus a focus has
been developed within all academic
literature about organic development
processes. A focus which zooms in on
the two most important parts of organic
development processes. On the one
hand the role of bottom-up initiatives
and on the other hand stimulation
strategies to attract such initiatives.
These are the key factors in organic
development processes and also the link
to the empirical part of this thesis. This
relationship between the used literature
and the empirical findings from practice
are the main focus of this research.
10
2.2
Context
of
organic
area
development
Several institutions and academics in the
Netherlands already have researched
the rise of organic area development. A
key feature of organic area development
is that it increases the flexibility of plans
while
it’s
decreasing
uncertainty
(Buitelaar & Sorel, 2010). This topic of
organic urban development is being
elaborated on by Urhahn Urban Design
with their concept of ‘The Spontaneous
City’ (Urhahn Urban Design, 2010). With
this concept they envision a city which
acts in terms of flexibility, openness and
adaptability. They state that the time of
large scale urban planning is over and
that the new era is demanding a shift
towards another approach. Thus, a
spontaneous city is a city which
embraces this new process-oriented
approach and makes space for
spontaneous and thus organic urban
development. Another important aspect
of this concept of a spontaneous city is
the involvement of citizens and local
communities within the planning
process. The involvement of these
people gives them the opportunity to
contribute to the organic development
process (Urhahn Urban Design, 2010).
This extensive involvement, including
participation, is one of the core features
of organic development processes and
self-organised collective action. The
latter will be discussed further along
this theoretical framework. Attention is
also paid to how to achieve flexibility in
urban planning with this approach of
organic urban development.
In an organic area development process
outcomes are often unknown and there
is no certainty about bottom-up
initiatives.
Therefore
a
different
approach is asked from the actor who is
initiating a change of development, in
most cases the municipality. Developing
an area under renewed circumstances
also asks for a different attitude and
different actions. This means other actor
arrangements,
changes
within
organizations, a different vision and
implementation of planning documents,
and a different way of dealing with legal
planning instruments (Buitelaar et. al,
2012). This indicates that it is not an
easy job to make the transition from a
traditional development process to an
organic development process. Such a
transition requires a lot of expertise,
determination and perseverance. Within
this most of the challenges of organic
area development are.
This
new
approach
of
organic
development is being elaborated on in
different literature. Next to this
approach some other concepts are
covered which comprise the same
message. Organic area development thus
is related to these other concepts. One of
them is the ‘enabling state’, which
basically is a term to indicate that the
role of the state is to enable others to
develop their plans (Hajer, 2011). Hajer
puts an emphasis on the facilitating role
of the state in order to give others the
capacity to develop plans and become
part of planning processes. Other
concepts being used in the literature are
‘invitation planning’ (RLI, 2011) and
‘allowance planning’ (Dammers et. al,
2004). Invitation planning puts an
emphasis on a development process in
which governments invite others to
come up with plans for developments.
Within this type of planning process the
government is adopting a facilitating
role, though working together with
other actors by inviting them to come up
with plans for future developments.
Allowance planning is about the idea
that governments are allowing specific
initiatives which are within the
boundaries of a specific framework. By
doing so governments still can steer the
development process but are relying on
11
other
actors
to
execute
the
developments. Overall all these concepts
thus are about a new way of shaping the
planning process in area developments.
They are also referring to the fact that
the role of the state in planning has
changed towards a facilitating role in
which they invite others to develop
plans on the basis of what the
municipality allows. This leads to a
different approach of governments in
area development processes and puts an
emphasis on the importance of local
citizens and companies to participate in
the planning process and develop their
own plans.
Below the discussed characteristics of
organic area development are included
in a figure. This figure sums up the most
important aspects of organic area
development in comparison with
traditional area development processes.
All these changing conditions of this
newly adopted approach will request a
different role of the involved actors. The
question is how this is translated into
practice.
All
of
the
changing
characteristics and the changing roles of
the actors are the starting point and
essentially form a framework in which
this research will be conducted. This
knowledge will be used to investigate
processes of organic development and
their relation with citizen participation
and bottom-up initiatives, as well as the
role of the involved governments.
Figure 1: Differences between traditional and organic (re)development
Source: Buitelaar et. al (2012)
As
shown
above
organic
area
development distinguishes itself from
traditional area development in several
aspects. The spatial development in an
organic
development
process
is
gradually instead of simultaneously. The
developments within the organic
development process are often small
scale instead of big scale. Besides this,
the planning process is open ended
whereas
traditional
development
processes
are
mostly
tied
to
predetermined objectives. There is also
a difference outlined of the involved
actors and their role within the
development processes. Within an
organic development process the
government is changing its role to
facilitating instead of being active in
developing.
Due to its relatively short existence,
organic area development has mainly be
researched in a way that it is a new
approach of area development and in
what ways it differs from traditional
area development processes. Not much
research has been done on specific steps
within this new planning approach
(Bakker et. al, 2012). This includes how
governments
stimulate
starting
initiatives within organic planning
processes. Buitelaar et. al (2012)
though, point out that this is a
challenging step within the process of
organic area development.
Organic area development in general as
research subject has been studied much
over the past years, as this process of
area development is increasingly being
used. The process surrounding the
organic area development consists of a
playing field in which actors have to
interact with each other in order to set
up developments and bring the area
development forward. This process of
governance can be described and
supported by a lot of literature, which
12
focuses on the changing roles of the
involved actors and the influence and
importance
of
initiatives
within
processes of area development.
Overall three main points come back in
the literature, being the importance of
initiatives
within
organic
area
development processes, the change of
governmental role towards facilitating
and the gradual and open ended process
of organic area development. The first
two have to do with the changing role of
actors involved in processes of organic
area development. On the one hand the
role of the government thus has shifted
towards facilitating and on the other
hand participation from citizens within
the process is part of the strategy. The
latter is about the nature of the process.
This new approach leads to more
flexibility within the process in which
more different types of developments
are possible, and in which more actors
can participate.
2.3 Bottom-up initiatives
As stated in the first paragraph,
involvement of citizens is an essential
part in organic area developments.
Therefore, according to Bakker et. al
(2012), bottom-up initiatives are seen as
an attractive alternative by Dutch
municipalities
to
keep
area
developments alive in times of financial
crises. These initiatives are namely seen
as a cheap and fitting solution in urban
area development programmes, which
can contribute to the liveability of an
area. This though comes with a
challenge for the municipalities, as they
are looking how to stimulate and attract
these bottom-up initiatives. Overall a
desire to create a climate that enables
and empowers local people and
communities to start up these initiatives
can be noticed (Bakker et. al, 2012). This
desire is what drives municipalities
within processes of area development.
However, this desire alone is not enough
to stimulate initiatives. There are
several strategies which can lead to an
environment in which local people and
their initiatives can become part of area
development processes. These strategies
will be discussed in the next paragraph.
Bakker et. al (2012) define citizens’
initiatives as: ‘’Collective activities by
citizens aimed at providing local ‘public
goods or services’ (e.g. regarding
livability, safety and social cohesion) in
their street, neighborhood or town, in
which citizens decide themselves both
about the aims and means of their
project and in which local authorities
have a supporting or facilitating role’’
(Bakker et. al, 2012; p.97). Within this
definition
several
distinguishing
features can be identified. The first
feature is that these initiatives are in
principle collective actions, in which
there is usually a group of people
involved and the public good is pursued.
The second feature is about the
self-organisation of these initiatives, which
points out that the ways and means of
the initiated project are determined by
the citizens themselves. The third
feature is about the involvement of
facilitating parties. Initiatives are part of
a process in which they are somewhat
dependent
on
governmental
or
professional organizations. Some form
of public facilitation is thus often used
within the process of enabling and
developing bottom-up initiatives, as
these initiatives often contribute to
wider developments within streets,
neighborhoods or towns. This requires
initiatives to work together with public
actors in order to develop their plans.
The initiatives therefore cannot simply
be seen loose from other actors. For
these initiatives to develop and unfold
they
are
participating
in
area
development processes together with
other actors on which they are in some
13
cases dependent, such as a municipality
who has set particular requirements
regarding the development of initiatives.
2.3.1 Types of initiatives
Initiatives within area development
projects come in different shapes and
size. There are a lot of variations
possible and often these initiatives are
unique projects. These projects however
can be categorized. Different types of
initiatives can be identified and also the
initiators behind the initiatives are of
great importance. Buitelaar et. al (2012)
have studied several initiatives in the
Netherlands
in
organic
area
development projects. They have
researched a range of different
initiatives and processed them into a
visual scheme. This scheme is enclosed
below and shows different types of
initiatives listed by the origin of the
initiators behind the initiatives.
Figure 2: Type of initiators and the different types of initiatives
Source: Buitelaar et. al, 2012 (translated and edited version)
First there are several types of initiators,
which all can have various means and
goals in regard to their initiative.
Investors and commercial operators
often tend to be into these initiatives for
their own financial benefit. They have
invested money in these initiatives and
have done so to make money out of it.
These types of initiators therefore often
can be found in bigger initiatives,
spanning from housing projects and
offices to restaurants. Other types of
initiators who often are starting an
initiative for business purposes as well
are entrepreneurs. These could be single
entrepreneurs but also a small group or
a greater collective. The initiatives from
entrepreneurs range from festivals and
activities to facilities and personal work
spaces. The remaining types of initiators
are social organisations and residents
collectives.
14
These initiatives often act in the name of
a bigger goal. For a social organisation
this could be for example a cultural or
social goal. Residents collective often try
to serve the interests of all the involved
residents and then together try to
achieve a common goal or purpose.
Overall, the types of initiatives can even
be more diverse than the group of
initiators. In each case there will be
aimed at addressing different kinds of
initiatives in order to address as much
different views and people as possible
within organic development processes.
Each type of initiative or initiator also
could have different needs in regard to
their
initiative.
Therefore
it
is
interesting to keep this group of
researched initiatives as differentiated
as possible.
2.3.2 Conditions for initiatives
The influence that facilitating actors,
such as the municipality, can have on
initiatives is really diverse. Besides
these actors a lot of other factors are
influencing these initiatives as well.
Social and physical neighbourhood
conditions are important factors that
shape these initiatives (Bakker et. al,
2012). These conditions can be broken
down and consist of different parts
which together determine these social
and physical neighbourhood conditions.
Social capital for instance is part of the
social neighbourhood conditions. Social
capital can influence the chance that
citizens will find each other and
collaborate in certain projects. The
presence of social capital thus influences
initiatives in a positive way (Bakker et.
al, 2012). Social conditions in terms of a
lack of social cohesion or an ethnically
mixed neighbourhood can lead to a
difficult environment for initiatives to
emerge and evolve. This namely reduces
the change that initiators can develop
successful initiatives within their
neighbourhood. This is not a guiding
principle but the odds would be more in
your favor if there is great social
cohesion and the background/origin of
the residents in line with the type of
initiative. On the other hand, initiatives
which have social objectives like
increasing social cohesion could be
triggered exactly because of that.
Physical features of a neighbourhood
also have a great importance. The
availability of local meeting places is in
this case of influence on the emergence
of initiatives (Bakker et. al, 2012). By
giving residents a local platform to meet
and share ideas and thoughts, the
process of developing initiatives is
served. These physical and social
conditions of neighbourhoods are the
starting conditions that influence the
process and thus the outcome of
initiatives.
Translating all of the above to the
research of the thesis, these conditions
should be specifically looked at when
addressing different cases in which
these will be researched. Therefore two
cases will be selected in which these
social and physical neighbourhood
conditions are as equal as possible. More
will be elaborated on this in the
paragraph about case selection in the
next chapter.
2.3.3
Initiatives
as
form
of
collaborative governance
In its basic form, bottom-up initiatives
are seen as alternative development
strategies
in
urban
development
programs which can contribute to the
safety and liveability of neighbourhoods
and communities. These initiatives
namely can become lively locations in
which local people come together and
thus are enhancing the liveability in an
area. This can also contribute to the
perceived safety within the area. Besides
this it is also seen as a way to empower
and educate citizens and reduce their
15
reliance on social organisations and
public authorities (Bakker et. al, 2012).
Studies have shown that bottom-up
initiatives often are a form of ‘blended
social action’, in which both citizens and
(non) governmental agencies such as
municipalities and housing corporations
are involved (Sampson, 2005). These
initiatives can therefore be seen as a
hybrid rather than a pure form of civic
activism as citizens take the lead in this
process but are collaborating with
public authorities (Hurenkamp et. al,
2006).
Some scholars also point at bottom-up
initiatives as a particular mode of
collaborative governance (Ansell and
Gash, 2007; Bakker et. al, 2012), or
self-organised collective action (Ostrom,
2005). The main points in these ideas
are that these initiatives are part of
governance models in which they
collaborate with other actors, and that
initiatives themselves are seen as
collective actions organised by their
initiators. Ostrom has developed several
insights that contributed to the
empirically grounded theory of
self-organised collective action. Within this
theory Ostrom has made a framework
called
institutional
analysis
and
development (IAD). In this framework
an overview is made of self-organised
collective action within the perspective
of governance. Ostrom situates so called
self-governance in the context of ‘action
arenas’, in which the interactions
between the participants take place and
particular outcomes are produced
(Ostrom, 2005). Thus, self-organised
collective action is according to Ostrom
a form of collaborative governance.
Following this reasoning and throughout
this thesis, the bottom-up initiatives
being addressed will not be seen as
stand-alone projects but as a part of the
wider perspective of collaborative
governance in which they interact with
other actors.
2.4 Stimulation strategies
To come back to the point of stimulating
bottom-up initiatives; municipalities
have different strategies which pursue
this stimulation. These strategies can be
divided into two main categories of
facilitation; facilitation by network
structuration and facilitation by process
management (Kickert and Koppenjan,
1997; De Bruijn and Ten Heuvelhof,
2000). By using such instruments
municipalities can influence several
different factors like motivations,
personal resources, social capital and
expected responsiveness (Bakker et. al,
2012). These theories state that these
strategies, under different conditions,
are likely to have different impacts on
the success of bottom-up initiatives
(Bakker et. al, 2012). Bakker et. al
concluded
that
both
network
structuration and process management
are used to stimulate initiatives.
2.4.1 Network structuration
This type of strategy is about structuring
actor networks and relations. Actor
networks are networks of people and
organisations which are involved in
organic development processes in this
case. All together they form a network of
actors in which they interact. These
actor networks are structured by
formulating specific formal and informal
rules that structure the action arena in
which bottom-up initiatives operate.
This action arena in fact is the playing
field in which the actor networks
operate. Setting such specific rules is
seen as an important instrument for
network management (Bakker et. al,
2012). Bakker et. al state that by
specifying appropriate rules facilitators
can both mobilize citizens or create a
fruitful
climate
for
successful
collaboration (Bakker et. al, 2012, p.
16
400). On the other hand, the
introduction of certain rules can also
discourage potential initiatives and
prevent them from emerging. Rules may
also indirectly have an impact on the
motivations of citizens (Bakker et. al,
2012). Examples of rules are rules which
influence the access of actors, the
powers and rights of these actors or the
decision rules. These rules are seen as a
set of instructions for creating an action
situation in a particular environment
(Ostrom, 2005). This theory and
strategy of structuring a network
through a certain set of rules draws back
on the previous discussed theory of
self-governance, which is situated in the
context of action arenas. Municipalities
have both the power and the legitimacy
to set up these rules which can be part of
municipal policies that structure action
arenas for neighborhood participation.
But by setting up rules there is a
tendency of lessening flexibility. Overall,
setting up formal and informal rules is a
prime example of (actor) network
structuration. By doing so local
governments can steer these actor
networks en thus structure them
according to their goals or needs. In fact
they can filter out the actors they wish
to include and exclude in the actor
network of an area. This is done by
setting up these formal and informal
rules.
2.4.2 Process management
Process management refers to activities
aimed at steering the interactions,
within a certain action arena, in such a
way as to solve joint problems or
achieve particular collective goals
(Bakker et. al, 2012, p.401). In contrast
to
structuration,
which
implies
regulation, process management is
referring to acts of physical or
communicative nature. An example of a
physical act of process management is
the transfer of resources. Examples of a
communicative
act
of
process
management
are
informing
or
encouraging citizens. By doing so,
municipalities can steer interactions
within organic development processes
by informing actors within the area or
helping them in certain processes. They
could be helped by giving certain
information or through communication
but also by physical acts such as
financial support. Ansell and Gash
(2007) have extended on the topic of
process management and their activities
and strategies. These include trust
building,
developing
interpersonal
contacts,
creating
a
sense
of
commitment,
creating
a
shared
understand and agenda control (Ansell
and Gash, 2007). Municipalities can aim
for these strategies by getting involved
in the initiators en their initiatives.
Overall, this type of strategy is more
oriented on interaction between the
facilitating actor and the bottom-up
initiatives by managing the process
within the action arena. Network
structuration is more about structuring
relations within and setting up rules
about the action arena at forehand.
2.5
Relation between stimulation
strategies and bottom-up initiatives
The discussed strategies for stimulating
initiatives in organic development
processes can influence these initiatives
in different ways. To explain this a
model of Lowndes et. al (2006) is being
used. They have developed an acronym
model called CLEAR, which is referring
to different factors which influence
citizens whether to participate or not in
development processes. Thus these
factors can be influenced by the
stimulation strategies which local
governments are using. The different
factors are the resources (CAN DO), the
motives (LIKE TO), social networks and
social capital (ENABLES TO), the
mobilization of citizens (ASKED TO), and
17
the citizens’ perception of the likeliness
that the collective action will have an
impact (RESPONDED TO). Together
these factors are abbreviated as CLEAR.
This CLEAR model provides a good basis
for
predicting
and
analyzing
governmental strategies as it is a
systematic way of thinking about
possible strategies and interventions of
the facilitating actors, in this case the
local governments.
Lowndes et. al (2006), but also Verba et.
al (1995) have already come up with
some strategies that facilitating actors
can use in order to mobilize potential
participants (ASKED TO). This part of
the CLEAR model is the most relevant
for this research as I am investigating
how municipalities mobilize citizens to
come up with initiatives. The other parts
of the model are somehow already
included in the previous discussed
network structuration and process
management. Resources and social
networks plus social capital can be
counted as process management. The
motives and mobilization can be
influenced by network structuration as
municipalities can steer in these by
setting up rules or ambitions.
Besides this, the facilitating actors may
also use the CLEAR model as a way to
assess possible interventions in regards
to an increase of chances for successful
initiatives. Many Dutch municipalities
have subsidies in the form of grants
aimed
at
supporting
bottom-up
initiatives. Some municipalities even
have set up a neighborhood budget
especially for supporting bottom-up
initiatives in each neighborhood. In
reaction to this, Bakker et. al state that
these subsidies undoubtedly provide an
important incentive for the mobilization
of initiatives. This kind of strategy can
be addressed as an activity of process
management.
2.6 Conclusion
In contrast to traditional development
processes organic development is
fundamentally different. It changes the
role of actors, their relations and even
the outcome of such processes.
Flexibility is an important feature of
organic development processes. But the
two most important parts to a organic
development process are bottom-up
initiatives and governmental stimulation
strategies. These make or break the
developments in such processes. Both
the initiatives as well as the stimulation
strategies come in different sizes and
forms. All of which have a different
impact on one and another. Fact is that
they are influencing eachother. The
stimulation strategies however can be
categorized into two categories, network
structuration and process management.
This makes it interesting to see how the
relationship between these two key
parts of organic development is in
practice. Therefore certain cases will be
researched in order to find out how this
relationship is formed in practice. In the
next chapter these cases will be
introduced and explained how this
research
will
be
conducted.
18
Chapter 3:
Methodology
3.1 Introduction
In this chapter the methodology used in
this research will be discussed. After this
introduction the research question of
this research will be formulated. In the
third paragraph the research design will
be explained, including a description of
the units of analysis. In the fourth and
fifth paragraph the case selection and
the cases will be introduced and
described. Then the data of this research
will be addressed. First the way in which
the data will be collected and second the
way in which the data will be analysed.
Furthermore the operationalistion of the
variables of this research will be
explained.
The problem statement of this research
is aimed at addressing the nature of area
development processes. The traditional
approach in these planning processes is
often titled as blueprint planning. In this
approach the developments are often
large scale projects, with set goals and
outcomes. In the past years and
especially in years of economic
stagnation this approach of traditional
area development has not been a vital
choice for planning projects. This
traditional approach has jammed and
new solutions had to be found.
Therefore a new and different approach
is often used nowadays. This approach,
organic area development,d could be
seen as a counterpart of the traditional
blueprint planning. In this approach the
focus is on flexibility, small scale
developments and a process with an
open end (Buitelaar et. al, 2012). This
development can be seen as a transition
within the field of urban planning.
Though, this new approach demands a
new starting point in area development
processes and is changing actor roles
and relations. The most striking is the
facilitating role of local governments, in
which they want to attract and stimulate
initiatives to take part in the area
development process.
3.2 Research question
Local governments have to be more
flexible in this approach and have to
prickle citizens and companies to invest
and participate in the area development
process. Looking at this transition the
following research question has been
formulated,
which
is
aimed
at
researching the stimulation of these
initiatives
by
local
governments.
Therefore, the subject of my thesis and
especially the way I am framing my
research fits the most within a
qualitative research approach.
How do local governments stimulate
bottom-up initiatives in the urban
redevelopment
projects
of
the
‘Binckhorst’ and the ‘Havenkwartier’,
which use an organic development
process?
The concept of organic development
processes has been discussed in chapter
2 and thus will be the central theme in
the research I am conducting. Chapter 2
has also led me to focus on the role of
19
local governments within this process.
Therefore I am investigating how these
local governments have adapted to their
new role in this specific type of a
planning process and how they make
sure initiatives are able to develop
within these processes. Important
strategies to do so can be grouped under
two types, previously discussed in
chapter
2.
These
are
network
structuration and process management.
These two types will be used to see
whether and how local governments put
these into practice to attract and
stimulate bottom-up initiatives within
organic development processes. The
Binckhorst and the Havenkwartier are
two cases which use an organic
development process. In these processes
the local governments are involved, as
well as different bottom-up initiatives.
More details about these cases and their
selection will follow further along in this
chapter.
3.3 Research design
This type of research fits within
qualitative research because the studied
process is an in depth process and can
only be analysed by obtaining specific
details. These details can be obtained by
speaking to local governments and
bottom-up initiatives in such organic
development processes. The research
design of this qualitative research will
be that of a case study research. A
research question starting with a ‘how’
question should fit within a case study
research, because this implicates that
you want to find out specific details of
the subject you want to analyse (Yin,
2009). When addressing the research
question formulated before, actor
networks
including
the
local
governments who are involved in
organic urban redevelopment projects
are being analysed. These have to be
analysed to find out how they influence
starting
initiatives
in
organic
development processes.
Taking the formulated research question
into account, I want to use a holistic
comparative case study (Yin, 2009), in
which two cases are used to be able to
answer the research question. The
research question itself namely is
referring to the plural form of urban
redevelopment projects and includes the
selected cases. By addressing a
comparative case study it is possible to
see how the different actor networks are
influencing the process and how local
governments in different contexts
stimulate initiatives in organic area
developments. By doing so, different
contexts in which local governments act
can be researched to see whether there
are differences in stimulation strategies
and their outcomes. This enables me to
execute an in depth and extensive
analysis of strategies local governments
use to stimulate starting initiatives. My
aim is to analyse two different cases of
organic area development processes.
These two cases are my units of analysis
and are the actor networks within two
different organic area development
projects. With this research scope
specific stimulation strategies of local
governments can be identified and
described extensively. The cases are
selected based on theoretical sampling
(Bryman, 2008).
3.3.1 Units of analysis
This research design leads to a process
in which the organic nature of organic
area developments will be researched.
This process includes a network of
actors, in which the focus will be on the
role of the local government and the
initiatives. I will do so because this is
being addressed in my research
question. I have chosen for this
approach because local governments
have a main role in initiating an organic
20
area development process by including
this in policies. After they initiated this
process they take a facilitating role
within the process. This process is thus
not only shaped by the local government
but also by other actors within the actor
arena. These other actors, often
bottom-up initiatives, are a vital key to
developing an area within such an
organic process. Therefore I am looking
at these actor networks as my cases, as
these networks and the interactions
between the involved actors shape the
process of organic development. At the
same time these actor networks are my
units of analysis as I am researching the
relationships of the involved actors
within these actor networks. Therefore I
see these two actor networks each as an
individual unit of analysis, in which
different parts of that unit interact with
eachother.
The research is structured according to
the empirical analysis of the two cases.
First the context of both cases will be
discussed. Attention is payed to the
history of the area developments and
the main characteristics of each case.
Second, the process of both cases will be
described. Here the emphasis is on the
process of the actor networks and how
starting initiatives have emerged within
those networks. Third, the focus will be
on the stimulation of the process. This
specific part will be about how different
actors within the actor network,
especially local governments, have
influenced the process of emerging
initiatives. Here the role the government
has played in the process of stimulating
initiatives in the cases will be
investigated. These steps will be
executed for both cases in chapter 4 and
5, and will be compared in chapter 6 to
see whether there are differences and
similarities.
3.4 Case selection
The case selection is heavily influenced
by the addressed theory and the
subsequent research question. This
logical reasoning is used to develop
theories into a research objective and
direction, which result in selecting cases
which can tell something about this
objective and direction. The theoretical
basis of chapter 2 thus provides a
framework in which the research will be
conducted, which is discussed in the
beginning of this chapter.
Several criteria have been set up to
come to a case selection within this
research. Taking the addressed theories
into account some of these criteria were
developed. Other criteria are chosen out
of practical matters, for instance the
access to data. This is an important
criterium as collecting usable and
sufficient data is needed in order to
answer the research question (Yin,
2009). In selecting the cases this
therefore has been taken into account,
resulting in selecting cases which are
located in the Netherlands. In this way it
was possible to visit these cases in
person and come in contact with actors
in each of the cases. It also made sure
that there was information available
about the organic development process
of these cases which I could access.
These organic processes are seen as a
criterium as well. It may sound obvious
but it is necessary to select cases in
which an organic development process
is aanwezig as the research question is
explicitly referring to this type of
process. Next to these processes the
emergence and existence of bottom-up
initiatives within these processes has
been a selection criteria as well. In order
to research the relationship between
governmental stimulation strategies and
bottom-up initiatives these initiatives
have to be present in the selected cases.
Otherwise it is hard, if not impossible, to
21
