Evaluating the effects of planning support systems on transit-oriented development strategies.

(1)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 1

Evaluating the effects

of Planning Support Systems

on Transit-Oriented

Development Strategies

Model behind PSS Sprintcity (Deltametropool, 2013)

Master Thesis Urban and Regional Planning Lecturer: Luca Bertolini

Writer: Max Niekus Meeuwenlaan 157a

10112313 0650499573 Date:18-8-2014

(2)

Abstract

There have been many studies on Transit-Oriented Development (TOD), but the translation to policy often caused problems. This has led to renewed interest in TOD strategies (TODS) within academic, practice and policy arenas in various cities and regions around the world in the recent years, including the Netherlands. TODS can be seen as a governance challenge with different levels of actors, who all have big stakes in this development. Planning Support Systems (PSS) are tools used to assist in dealing with this increasing complexity of present planning tasks. It brings groups in contact with each other. The main research question is): ““How do PSS affect the interaction of stakeholders in TODS processes and how does

stakeholder interaction affect the outcomes of TODS?” Using thematic analyses these

questions have been answered in a structured way. The researched PSS had an influence on especially the awareness of interaction. Because of the lack of concrete new interaction, the outcomes of the TODS only changed slightly because of the new awareness in the regions. The institutional context also played a key role in understanding certain dynamics in the relationship between PSS and TODS.

(4)

Chapter 1: Introduction

In a world of planning where sustainability has become an increasingly important policy and societal goal, Transit-Oriented Development (TOD) is widely embraced by planner and politicians in various cities and regions. TOD itself is a broad concept, which is urban

development combined with the following characteristics: dense and mixed-use development, development that is close to and well-served by transit and development that is conducive to transit riding (Cervero et al, 2002). TOD is an acronym that gets planners and policy makers buzzing (Falconer and Richardson, 2010). It is not a new concept; the principles behind it are as old as the process of human settlement which has always been orchestrated by nodes of mobility flows. Despite the overflow of literature and examples, TOD itself remains elusory. There have been many studies on TOD, but the translation to policy often caused problems (e.g. Tan, 2013, Curtis et al. 2009, Tan et al., 2013 & Kosmeijer, 2011). This has led to renewed interest in TOD strategies (TODS) within academic, practice and policy arenas in various cities and regions around the world in the recent years, including the Netherlands. TODS encompass plans, policies and projects within cities and regions that seek sustainable development by gathering urban development around transit nodes to encourage transit use, and develop transit infrastructure to connect current and new pockets of development (Curtis et al., 2009). TODS in the Netherlands have faced implementation challenges, despite the large amount of discussions in both scientific and professional arenas, successful examples from other cases, and the initiatives and visions created by people involved (Tan, 2013).

An example of this is the Amsterdam Metropolitan Area and its surroundings. The importance of concentrating urban development around public transport network is

recognized by policy makers and administrators in the Amsterdam Metropolitan Area. In the Northwest Netherlands regional agendas from the national government (MRA, 2009), it was decided that by 2020 60 percent of the housing program should and must be built within the urban core. In total this will be amount to approximately 60,000 houses. Synergy between spatial developments and improvements of the regional public transport is critical. In the 2040 image development for the Amsterdam Metropolitan Area, the Ontwikkelingsbeeld

Noordvleugel 2040, the Amsterdam Metropolitan Area recognizes that the spatial clustering of developments around public transport infrastructure is a major challenge (MRA, 2008). So there seems to be a broad base for promoting transit oriented development. However, when looking at the plans for residential development in the Amsterdam Metropolitan Area, these

(5)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 5 images do not match. More than three-quarters of the housing projects will be outside the immediate vicinity of existing public transport nodes. This is not because there is no more room for development as plans around the stations are not realized, a quick scan of existing stations in the Metropolitan Region shows that between 50,000 and 100,000 houses could be developed around nodes (Straatemeier et al., 2011). These issues have also been found in other parts of the Randstad-region, for example in the Haaglanden region and the City Region of Rotterdam (Stedenbaan Plus, 2013)

The strong population growth in the metropolitan region necessitates further intensification and transformation of the future construction tasks. The landscape qualities should be

preserved and space requirements of economic engines such as Schiphol Airport and the ports should be provided for to keep a healthy, functional region (MRA, 2009)

The Development Scenario 2040, adopted by the councils in the region in 2008, is still the basis for cooperation in the Amsterdam Metropolitan Area. Since that time, the world has changed dramatically, however, the period of high economic growth in the years 1995 - 2008 is over. But despite sitting against the economic tide, in the Amsterdam metropolitan

population growth is still visible. Many settle in this are for longer or shorter time, to live, to work or to study, driven by what the region's economic, urban, landscape and cultural fields has to offer here. The North Wing Development Scenario 2040 is an outline policy document which pinpoints five basic impulses that are crucial to a strong metropolitan region:

1. concentrated urban development 2. a unified transport system

3. conservation and development of

4. the metropolitan landscape and economic strength 5. sustainability (MRA, 2009)

Both the Zaanarea above the North Wing of the Randstad Area and

Zuid-Kennemerland/IJmond-region can have an important role in fulfilling this metropolitan wish of the different actors in the North Wing of the Randstad area. Both regions have good connectivity to the city of Amsterdam and have showed willingness to be part of the metropolitan region of Amsterdam (Province of Noord-Holland, 2014). The metropolitan region of Amsterdam is interested in Transit-Oriented Development to comply with the above-mentioned basic impulses (MRA, 2013). The document Maak Plaats showed that there still is a lot usable space in the station areas and public transport-nodes (Province of Noord-Holland, 2014)

(6)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 6 The question that remains is: What caused the lack of creating suitable TODS in the

Amsterdam Metropolitan Region and the Randstad-area and how can this implementation of TODS be improved? Cities and regions are experiencing difficulties in TODS implementation and are in a vicious cycle where different parties are reinforcing formal and informal

institutional barriers and created an environment wherein TODS implementation is not possible (Tan, 2013). TOD is a uniquely complex process; it combines two directions, that of transport development and that of urban development, which have to be brought together in this development. A shift towards TOD requires that reciprocally reinforcing processes, which involves intensifying or diversifying urban cores and connecting urban centres through transit, are developed and maintained (Curtis et al. 2012). A better integration of transport and land use planning is believed to be crucial in achieving more sustainable mobility patterns in urban areas (Te Brömmelstroet & Bertolini, 2010). Curtis et al (2012) describe the development of TODS as a governance challenge with different levels of the public administration, different transportation providers and market actors, which are developers, investors, and users, who all have big stakes in this development. It all depends on a context with a huge variety of

different actors, which will influence the implementation of TODS (Curtis et al. 2012). Planning Support Systems (PSS) have been of help when dealing with this challenge. PSS are tools used to assist in dealing with the increasing complexity of present planning tasks. They are geographical information and communication technology instruments that support planning processes and they deal with planning tasks and transform general data into

information that provides the driving force for modelling and design (Geertman et al. 2013 & Harris and Batty, 1993). The Deltametropool is an important organization within the

Netherland that uses PSS to support and improve TODS. It feels responsible for the

sustainable development of the Randstad (Deltametropool, 2014). The Deltametropool brings government agencies, businesses, research institutions and public interest groups in contact with each other. It is a laboratory for setting innovative issues on the agenda, a platform for increasing the debate about the future of the Randstad and to help ideas being applied in practice. It sees Transit-Oriented Development as an important concept for developing station areas within the Randstad. Academic literature suggests that PSS can be valuable support tools that will better enable planners to deal with the complexity of aforementioned complex planning processes, leading to plans of higher quality and savings in terms of both time and resources (Stillwell et al. 1999 & Geertman et al. 2013). The Deltametropool has multiple PSS for the development of station areas within the Randstad-area. These are Sprintcity,

(7)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 7 TOD: Typology and Butterfly-model and iNode. They all have a different focus,

implementation and characteristics, but a common goal: improving the way TODS and sustainable planning are being implemented in the Netherlands and especially the Randstad area. Across Western Europe, efforts to reform governance institutions to make them fit for contemporary purposes are visible. A number of such efforts have implications for planning practice. They consist mainly out of the following two efforts: the re-scaling of the

distribution of powers and responsibilities in a governance system, often through attempts at devolving power, and attempts at policy integration (Vigar, 2009). These efforts are also visible within the Dutch context. In 2011 there has been an administrative agreement between different forms of government on the decentralization of different tasks related to spatial and transport planning, such as the construction of new infrastructure and the operation of public transport (Dutch Government, 2011) These changes have caused the existing relationship between local governments and actors to change and become more complex due to the new actor relationships and responsibilities. There is an intention to integrate public policies more closely, in part to make them more citizen-oriented. This integration project has many

meanings in practice and while often promoted as a means of more effective and efficient governance, it can also have great distributional effects on what is integrated in spatial and transport planning and what is not (Healey, 2006b & Vigar et al., 2000). Planning systems are implicated in these trends not least as there has been something of a return to using spatial planning to integrate policies across sectoral, organizational and territorial boundaries, which can be seen as crucial for the correct development and implementation of TOD initiatives (Kidd, 2007 & Te Brömmelstroet & Bertolini, 2010). PSS have been used as valuable support tools that will better enable planners to deal with the complexity of aforementioned complex planning processes, leading to plans of higher quality and savings in terms of both time and resources.

In this thesis I evaluate the effectiveness of one of these PSS. I have chosen to evaluate the Sprintcity-initiative by the Deltametropool. This PSS has been in development for over a few years and has been implemented in different settings in both the academic and the institutional context in the Randstad area. Since a planning process is a broad and general term, I have mainly focused on whether this PSS has increased the interaction within these TODS. There is an increasingly widely held view that encouraging citizens and stakeholders to participate in planning and decision making is a necessary component for healthy, sustainable and

(8)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 8 seen as a means to generate solutions that are more useful to a planning process and its

outcomes (Geertman et al., 2013). Research related to TOD programmes suggests the necessity of involving multiple actors in different sectors at the regional and local levels, which in turn is a requirement for coordination in complex planning processes (Curtis et al., 2009 & Switzer et al., 2012). The main focus of my research has been to evaluate how the PSS created by the Deltametropool influenced the interaction and communication of

stakeholders involved in TODS, whether it has led to new TODS initiatives and outcomes and to identify how the evaluation can help making these PSS more successful in terms of

(9)

Chapter 2: Relevant Concepts & Theories

It is necessary to map the scientific literature in order to understand better the relevance of TODS and PSS and how they can be used together. Without this scientific base, the final reports will have less to no meaning. The main literature relevant to this research can be split into the following elements, which are described as followed: The definition of Transit-Oriented Development and its strategies, the institutional aspects related to implementing Transit-Oriented Development, the role of incentives each stakeholders has in the planning process, how to improve interaction and collaboration of stakeholders, what are Planning Support Systems, what kind of Planning Support Systems can be helpful in the planning process of implementing Transit Oriented Development and the debate about the usefulness of PSS in practice. Each category will be described below with some key literature related to the categories of Transit-Oriented Development and its strategies, Stakeholders in the planning process and Planning Support Systems.

2.1 Transit-Oriented Development and its strategies

Key literature for the definition and implementation of Transit-Oriented Development is work by Curtis et al (2009). It brings together the different disciplines and stakeholders that are involved in the conception and implementation of TOD to provide a comprehensive overview of the realization of this concept in different continents around the world. They try to lay out the actual strategies needed for establishing Transit-Oriented Development as a pattern of urban development. This is mainly because there was already enough literature on the theoretical benefits of Transit-Oriented Development, but it was lacking practical

implementations and considerations. It gives a good general framework of aspects related to Transit-Oriented Development and brings forward some very interesting chapters directly related to the aspects related to the process of implementing Transit-Oriented Development (e.g., Mouritz and Ainsworth, 2009). This work shows that often goals are dramatically lowered or abandoned in the phase from planning to implementation. This is caused by the complex state of TOD implementation and the stakeholders involved. It is lacking real engagement and has trouble linking different sectors and different government organizations (Mouritz and Ainsworth, 2009).

(10)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 10 Another key work is by Tan et al., (2013b). This work describes the more practical aspects of Transit-Oriented Development in the Netherlands. It provides a broad history of TODs in the Netherlands and how they have been implemented, and shows how stakeholders have looked at TOD in previous projects. It tries to combine scientific aspects of Transit-Oriented

Development with the more practical aspects of implementation in the Netherlands. It gives an overview of the institutional context and barriers and how this can influence decision-making of stakeholders in the process. This research found that the complex institutional context with many different actors and interest put some pressure on the strategies and its implementation. Many solutions were created, but few were implemented. This is also the focus of the PhD thesis by Tan (2013c). The thesis focuses on the institutional aspect of TODS implementation. Current discussions focus predominantly on the q question if TODS is „good‟ or „sustainable‟. The fields of economics, engineering and social science have provided conflicting answers to these discussions. However, Tan claims that there has been little

attention paid on how to make TOD happen, if it is indeed desired. The research contributes to these discussions and knowledge gap by seeking to understand how TODS implementation can be achieved through institutional change. The most important findings relevant to my research were that formal barriers that were identified are institutional complexity,

fragmentation of governance contributing to lack of clarity in roles and responsibilities. The informal barriers identified were indifference towards transit, lack of urgency and knowledge sharing between stakeholders. The role of key actors should not be underestimated. Dialogue and consensus should be sought within these networks and with their constituents (Tan, 2013c).

2.2 Collaboration and Interaction of stakeholders

As mentioned above and as others have noted (e.g. Bertolini et al., 2012, Tan, 2013c & Mouritz and Ainsworth, 2009), strategies regarding Transit Oriented Development are influenced by the multi-actor context in which it will be implemented. Transit Oriented Development Strategies need collaboration and PSS can facilitate this collaboration in a structured way. Westerman (1998) and Curtis (1999) both argue that the best results are achieved where stakeholders participate in determining what is to be achieved and reconcile their competing interests when they are involved in a project where both land use and transport planning are needed. Therefore it is necessary to know how stakeholders can and should be involved in the planning process. Information on collaboration between

(11)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 11 rationality in transport planning. Key literature on collaborative planning are the works by Healey (1998 & 2006), titled respectively “Collaborative Planning in a Stakeholder Society” and “Collaborative Planning: Shaping Places in Fragmented Societies”. Her first work explores emerging forms for the system and practice of British planning, set in the context of managing conflicts over the use and development of land, and promoting particular qualities of places, which encouraged reintegration. This presented a challenge as it required both the invention of new ways of working and changes in the formal arrangements of the planning system. It promises a more sustainable approach to addressing contemporary concerns with qualities of place in a 'stakeholder society'. Her more recent work points a way forward for spatial planning activities, from a narrow technical and procedural focus toward a

communicative and collaborative model for achieving common purposes in the shared spaces of our fragmented societies. Key literature on the communicative rationality in transportation planning is a paper by Wilson (2001). The paper describes the characteristics of a

“communicative” form of transportation planning and compares them with conventional practices. A communicative rationality paradigm would place language and discourse at the core of transportation planning. The paper argues that it would lead to greater attention to desired transportation ends (goals), better integration of means and ends, new forms of interaction and learning, and enhanced deliberative capacity

2.3 Planning Support Systems

As mentioned above and noted in other works, Planning Support Systems are advocated to assist in dealing with the increasing complexity of present planning tasks. They can help stakeholders to articulate their thoughts, express their visions, and discuss their ideas with others in the planning process, which is needed according to key literature on collaborative planning (Geertman et al., 2013; Healey, 2006). When trying to describe the main aspects of Planning Support Systems and its implementations for spatial planning, the literature

“Planning Support Systems for Sustainable Urban Development” by Geertman et al., (2013) is key literature on the aspects of PSS. Planning Support Systems (PSS) are geo-information-technology-based instruments that are dedicated to supporting those involved in planning in the performance of their specific tasks (Batty 1995; Klosterman 1997). Geertman et al., (2013) link this concept to the increasing notion of sustainability in planning, which is of course directly related to the concept of Transit-Oriented Development and its strategies. Given the place, time and scale dependency of the implications indicated above, to attain a

(12)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 12 process of sustainable urban development requires informed policy measures that will vary in time and place and context too. This implies the need for appropriate knowledge production and consumption. Therefore there are a number of associated institutions or stakeholders such as the private sector or the wider public, besides government organizations, which will need to have a say in policy making and will try to influence the decisions that are to be taken. Different parties will often have different and often conflicting views. To be able to deal with this complexity, it is necessary to have available a range of support tools of which the present generation of PSS suffice. PSS are envisioned to support stakeholders to improve their knowledge base and to integrate and balance the various demands on space (Geertman and Stillwell 2003).

Other helpful literature is provided by literature of Te Brömmelstroet and Bertolini (2008). They identify that a main problem of the integration of land use and transport planning is the lack of a “common language” that can combine both domains in developing shared visions and integrated strategies. Many of such tools and indicators have been developed in recent years, but not often implemented in practice. This paper discusses the evolution of the PSS, showing the most useful aspects which can be used in other land use and transport planning projects. A question that remains is whether or not PSS have proved to be functional in supporting planning strategies. Key literature relevant for this thesis is the literature by Te Brömmelstroet (2013). Many authors (e.g. Lee (1973), Te Brömmelstroet (2010) and Vonk, Geertman, and Schot (2005)) claim that there is a gap between the high expectations that PSS developers have about the usefulness of their instruments and the application in the planning practice. Academics have proposed several ways to close this implementation gap through a range of different approaches and many have been applied in practical planning settings. There is however a lack of consistent and structured evaluation on the functioning of these approaches in improving PSS performance. Therefore, it is hard to distinguish between successful and less successful strategies, and it is difficult to draw overall lessons. This article is helpful for identifying different goals and dimensions PSS have and how this should be evaluated. It shows the need to create a systematic approach to evaluate the effects of PSS and the complexity of the urban context influencing PSS (Te Brömmelstroet, 2013).

2.4 Gap in the knowledge and literature

Whilst doing literature research, it became clear that there have been a number of researches on the main concepts and the relation between two of them, but not between all of them.

(13)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 13 There is research on the way in which PSS can increase communication and interaction

between different stakeholders (E.g. Geertman et al., 2003, Stillwell & Geertman, 2004 & Carsjens & Ligtenberg, 2007), how PSS can help land-use and transport processes (Geertman, 2006 & Te Brömmelstroet & Schrijnen, 2010) and why TODS are more complex and should be treated differently than independent land use or transport planning strategies (Tan, 2013 & Bertolini et al., 2012). This research combines different aspects of these main concepts, especially the integration and see whether or not they also are valid in a different context. This applies to the different contexts, processes and outcomes of TODS compared to other development strategies, the interaction of stakeholders influencing the TODS and the PSS designed to improve the functioning of TODS.

(14)

Chapter 3: Problem Statement

Given the variety of benefits claimed by TODS, the question that remained was: why it is not extensively and successfully implemented even when explicitly sought after in planning strategies in a variety of contexts globally. This is the so-called burden of implementation. Transportation networks and urban structure enjoy and suffer from a relationship resulting from planning processes playing catch up with technological improvements and societal trends (Hall, 1994). Plans for transit projects and related developments have ranged in the Netherlands from extremely costly high-speed rail station locations to regional transit corridors. They both deal with political goals, a complexity of stakeholders and regulatory instruments (Tan, 2013). Transit Oriented Development and its strategies have received a great amount of attention in the Netherlands. Dutch planning since the 1980s is directed at a compact development around infrastructure. However this has not resulted in TODS in which development is done in an integrative way at the scale of whole urban and metropolitan regions, and not just of some scattered locations in the given context. Responsibilities and possibilities in and around station areas are spread amongst multiple actors, which prevent TODS from being implemented (Van der Vliet, 2011). Examples from other countries have shown that successful implementation of TODS need a package of different incentives (Tan, 2013). These are not always available or straightforward in a Dutch context (Straatemeier et al., 2011). According to Tan (2013), planners and policy makers are advised to cultivate their ability to develop on the aspects of change by being aware of political trends and societal trends. The role of key actors should not be underestimated. Interaction and communication should be sought within these networks and with their constituents (Tan, 2013). The research therefore focused on the role PSS have had on enhancing interaction and communication in TODS within the Netherlands and whether a change of interaction has influenced the process and outcomes of decision-making in the research areas. The key focus within this is on PSS developed and applied by the Deltametropool in the last few years as they can be seen as fairly unique in this planning context. They are the clearest examples of implementation of PSS to change TODS within corridors in the Randstad area. The cases where PSS were used by the Deltametropoool serve as an example that PSS can help TODS within the Netherlands. Furthermore, my geographical focus will be on the Randstad Area and city regions within it, its outskirts related to needs that can be found in the Randstad Area and the PSS applied within the region, which is a context that has had many attempts to develop TODS, but most of them failed.

(15)

Chapter 4: Conceptual framework and research question

The six concepts incorporated in the conceptual framework are the most important for my study. The conceptual framework shows that a relation between Planning Support Systems and interaction, in which PSS should change the interaction of stakeholders. This change should bring forward a change in the planning process and, indirectly, its outcomes. The institutional context also influences the planning process, because it sets a context in which planning is possible, but also defined by the institutional context. Transit Oriented

Development Strategies encompass the context, process and outcome of the process.

The focus of this research is on the three groups of concepts and their (inter)-relations. The first one is the relation between Planning Support Systems and the interaction of stakeholders. The second one is the way in which the interaction of stakeholders has altered the planning process and its outcomes. The last one is a reflection on the first and second one by

comparing these results with the institutional context of TODS and its influence on the process and its outcomes.

4.1 Main concepts

Planning Support Systems: Geographical information and communication technology

instruments that support planning processes

Interaction of Stakeholders: The involvement of stakeholders in the planning process Planning Support Systems Interaction of Stakeholders

TODS

Institutional Context Planning process Outcome of process

(16)

Transit Oriented Development Strategies (TODS): TODS encompass plans, policies and

projects within cities and regions that seek sustainable development by gathering urban development around transit nodes to encourage transit use, and develop transit infrastructure to connect current and new pockets of development.

Institutional Context: The rules and incentives that govern the roles and relationships of

actors and agencies

Planning Process: The planning process is the process in which decisions are made by

stakeholders regarding development and implementation of planning strategies, plans and projects.

Outcome of process: These are the strategies, plans and projects that follow out of a planning

process

4.2 Research question

The main research question for my thesis is:

“How do PSS affect the interaction of stakeholders in TODS processes and how does stakeholder interaction affect the outcomes of TODS?”

Sub-questions that needed to be answered are the following:

1. “How did the PSS affect interaction?”

2. “How did the change of interaction affect the outcomes?"

3. “How did the context and its barriers influence the relationship between PSS, interaction and outcomes?”

These three questions led to the following three hypotheses:

1. The PSS affected interaction in a positive way

2. Interaction has led to better integrated and supported outcomes

3. The context and its plays a crucial role in the way the stakeholders are related to each other in the planning process and therefor will influence interaction and its outcomes.

(17)

Chapter 5: Research design

The research has been focusing on evaluating the PSS used by the Deltametropool. As explained above, the research consists of three sub-questions to answer the main research question. These research questions will give structure to the research and therefore the

research design should also be structured accordingly. The first part was about the relationship between PSS and interaction. The second part focused on the relationship between interaction and the outcomes of the process. The last part will focus on the role the context played on relationship between interaction and outcomes.

The research has a single embedded case study. A case study is an in-depth study of a particular research problem rather than a statistical survey. It is often used to narrow down a very broad field of research into one or a few easily researchable examples. It is a useful design when not much is known about a phenomenon (Yin, 2003). The case study design is an empirical form of inquiry appropriate for descriptive studies, where the goal is to describe the features, context, and process of a phenomenon. Case studies are often used in both planning practice and research. The ability of case study to integrate different methods to answer complex questions also makes it a common research methodology in a multidisciplinary field such as planning (Bertolini & Thomas, 2014)

A case study‟s research methodology relies on multiple sources of evidence to add depth to data collection, to assist in bringing a richness of data together through triangulation and contributing to the validity of the research (Yin, 2003). The strength of this approach is its ability to combine a variety of information sources including documentation, interviews, and questionnaires. According to Yin (2003), “the case study is preferred in examining

contemporary events, when the relevant behaviors cannot be manipulated.” (Yin, 2003, p.7).

The ability of case study as a methodology to integrate multiple methods makes it particularly useful in planning. Planners are often interested in actors, processes and institutions, which are difficult to understand using a single research method (Bertolini & Thomas, 2014). The advantages of this design are that the approach gives an understanding of a complex issue through detailed contextual analysis of a limited number of events or conditions and their relationships; it can extend experience or add strength to what is already known through previous research; and a researcher using a case study design can apply a variety of

(18)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 18 methodologies and rely on a variety of sources to investigate a research problem.

Disadvantages of this method are that it offers little basis for establishing reliability or to generalize the findings to a wider population; the case may not be representative or typical of the larger problem being investigated and the intense exposure to study of the case may bias a researcher's interpretation of the findings (Yin, 2003). I chose the case study design because of its previously mentioned advantages and the possibility to add depth to data gathered in a complex situation, such as a TODS. The main reason I chose to do an embedded design is that the PSS has been used in different projects throughout the Randstad and its surroundings. The main advantage is that it is a way of integrating quantitative and qualitative methods into a single research study and describes the features, context, and process of a phenomenon.

The thesis focuses on the evaluation phase and is a single-case study with embedded multiple units of analysis using primarily qualitative data collection and analysis techniques. The main reason I chose to do an embedded design is that the PSS have been used in different projects throughout the Randstad. The case in this research is the PSS created and used by the

Deltametropool. I chose this case due to its previously mentioned importance within the Dutch spatial planning scene, considering the number of failed attempts and the claimed success by the Deltametropool through PSS. The embedded multiple units of analysis have been completed projects in which PSS created by the Deltametropool have been used. Due to its evaluative nature, my research can only focus on completed projects in which the PSS have been used. The case selection has focused on selecting embedded units of analysis with both a similar and different context to increase validity and compare them among each other. For this research, I therefore chose the following three simulations in which the PSS has been implemented: Zaancorridor-simulation, Zuid-Kennemerland-simulation and the Utrecht-Rhenen-simulation. These three have all been held in single sessions over the past three years. I chose these sessions because of the way the simulation was performed and what kinds of actors were present during the simulation. For this simulation, I was looking for an

implementation of the serious game Project Sprintstad in which a simulation was held with different employees from both spatial and transport planners from different public actors involved in spatial and transport planning in a corridor. As mentioned above, all simulations that were included in the research are held with the Sprintstad-software created by the Deltametropool. One important difference that should be noted is the different versions used in the simulations. The Utrecht-Rhenen-simulation was held with Project Sprintstad v1, the Zaancorridor-simulation and the Zuid-Kennemerland-simulation were held with Project

(19)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 19 Sprintstad v2. The difference between both versions will be mentioned in the chapters

dedicated to the case descriptions and the difference will be part of the evaluation of the results.

During the research I kept in touch with others, contemplating different aspects and results within my research such as how certain results can be interpreted and how they should fit within the theoretical framework. The group of people I was in contact with during my

research was my supervisor, other planning students at my university and planners in practice, so I could keep a clear look on both academic and practical considerations. It increased the moments of reflections during my research and the steps I was making and also give me the possibility to have a clearer and open view on different aspects of my research.

The first step of my research design was focused on answering the first sub-question. It focused on how PSS have influenced interaction in TODS. To gather this, I used the performance dimensions related to interaction and communication described in Te

Brömmelstroet (2013) combined with the statements and lessons in the conclusions of his paper. For this step of my research I collected publications by the different public actors on spatial and transport planning and analyzed whether interaction and communication has changed by Project Sprintstad. To get more background information I interviewed different employees of the public actors who were involved in the simulation of Project Sprintstad and have played the “serious game”. The main reason for these interviews was the changing context and different factors that can influence the interaction between stakeholders over a certain period of time. These interviews mainly focused on how they experienced Project Sprintstad and its effects on interaction and communication between stakeholders. The data used for the analysis will be described at the beginning of the analysis chapter. This data has been analyzed with Atlas.ti and Nvivo through content and document analysis of the

documents and (semi-) structured interviews I gathered. With these documents and interviews, I was able to compare how these PSS have influenced TODS over time during the planning process. I have used the Before and After Ex Post Evaluation Comparison Strategy described in Meyer and Miller (2013) and Billheimer and Lave (1975). This strategy compares two states of a project in which an innovation is introduced, over time.

The second step of my research focused on answering the second sub-question. It focuses on the relationship between the interaction by stakeholders in the TODS and the process and its

(20)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 20 outcomes. In this step I used the data collected in the first step on interaction of stakeholders in the process of TODS. For this step of my research I collected publications by the different public actors on spatial and transport planning and analyzed whether the process and

outcomes has changed by Project Sprintstad. To get more background information I

interviewed different employees of the public actors who were involved in the simulation of Project Sprintstad and had) played the “serious game”. The main reason for these interviews was the changing context and different factors that can influence the interaction between stakeholders over a certain period of time. These interviews mainly focused on how they experienced Project Sprintstad and its effects on interaction and communication between stakeholders. The data used for the analysis will be described at the beginning of the analysis chapter. The data on the outcomes of TODS will be gathered through content analysis of document on these TODS and interviews with the main stakeholders that were involved in the TODS. These data have been analyzed with Atlas.ti or Nvivo through content and/or a

document analysis of the documents and (semi-)structured interviews. When this was finished, I compared the results from the first and second step in the research and tried to establish whether or not there was a correlation between the interaction and communication and the process and outcomes within TODS.

The last step of the research involved understanding the influence of the context in which TODS have been applied; this is an important aspect when dealing with this kind of development strategies (Tan, 2013c). The rules and incentives that govern the roles and relationships of actors and agencies. Evidence was gathered by using firstly an institutional analysis in which the roles and relationships of actors and agencies involved are described. After this used semi-structured interviews with stakeholders involved to gather their own beliefs. My research has followed the same collection methods and is a qualitative research, because a very large majority of studies assessing interaction adopt a qualitative approach and rely mainly on participatory methods and practice stories to gain insights into public

involvement in and influence on decision-making. In determining interaction levels, studies usually assess the perceptions and beliefs of a number of key actors regarding their

contribution to, ownership of, and satisfaction relative to a particular policy process. It allows contextualizing interaction and exploring the diverging perceptions of stakeholders. It will give a schematic of the forum process with the stakeholders involved and their relations. When this was done, I compared the results between the different embedded units of analysis and come to a conclusion.

(21)

5.1 Interview

Each stakeholder involved in the projects was interviewed with both a semi-structured and structured interview on each of the three sub-questions, but the last sub-question will only have a semi-structured interview, due to its more descriptive and qualitative nature. It analyses in what way people feel influenced by certain rules and incentives, so in total there are five parts. The first part was semi-structured and gave insight on in what way the stakeholder involved general views and first responses on interaction changed before and after the implementation of the PSS. The second part was a closed, structured interview in which the respondents get a few statements which they can answer. This makes it easier to categorize certain answers and beliefs and compare them between stakeholders. It was also easier to give a certain score or grade on how the actors viewed the change in interaction during the

implementation. The third part was a semi-structured interview on how the PSS have caused the possible creation of TOD outcomes and how they are related. It is a good opportunity to find out how and if policy is made or if it has already been implemented by the stakeholder. The fourth part was a closed, structured interview to collect data on the question whether the process led to policy and if they think it influenced the process and to what extent it did. The fifth part was an open interview on how the stakeholders view the institutional context involved in Transit-Oriented Development in their corridor and whether this had led to

problems or opportunities. This seemed more appropriate given the fact that it is more relative to the stakeholder‟s actions inside of these formal and informal rules and how they view them. The questions asked in the interview were based on themes most related to the concepts in each sub-questions. These themes have been selected by a literature study on the literature mentioned in the “Relevant concepts and theories”-chapter. The interview questions and coding manual can be found in the appendix. I chose to do semi-structured interviews over open interviews, due to the possibility of doing a content analysis and the classification of content, but still have the option to ask case-specific questions. In the interviews I followed the criteria by Kvale (1996) on how to be an effective interviewer. All parts of the interview have short, clear and non-suggestive questions, which leads to a clear and structured

interview. Each semi-structured interview and structured interview has the same interview guide and coding manual, which can be found in the appendix. This structure made it possible to test the hypotheses mentioned before, due to its deductive nature.

(22)

5.2 Thematic analysis

For the first and second research sub-question it is necessary to do a thematic analysis on how the main themes are described in the documents gathered for this thesis. The documents that were analyzed for the first research sub-question are publications by the different public actors on spatial and transport planning and whether interaction and communication has changed by Project Sprintstad. The documents that were analyzed for the second research sub-question are the publications by the different public actors on spatial and transport planning and analyzed whether the process and outcomes has changed by Project Sprintstad. The first thematic analysis therefore focused mainly on themes surrounding the interaction of actors, such as interaction of stakeholders and interaction among stakeholders. The second thematic analysis focused on whether it has led to policy regarding the principles of TOD discussed in the Sprintstad seminars. Thematic analysis is a way of seeing, as well as a process for coding qualitative information. It forces the researcher to make many decisions about the process of identifying themes, and forces to inform others why specific categories were chosen. It gives the opportunity to decide how to code the data to enable categorization and themes to emerge. Another decision to be made when analyzing data is whether to analyze the interview data obtained from each participant independently or whether to use cross-case analysis. For the thematic analysis, I have used the phases of thematic analysis described by Braun & Clarke (2006):

1. Familiarizing oneself with your data: Transcribing data, reading and re-reading the data, noting down initial ideas.

2. Generating initial codes: Coding interesting features of the data in a systemic fashion across the entire data set, collating data relevant to each code.

3. Searching for themes: Collating codes into potential themes, gathering all data relevant to each potential theme.

4. Reviewing themes: Checking if themes work in relation to the coded extracts (Level1), and the entire data set (Level 2), generating a thematic „map‟ of the analysis.

5. Defining and naming themes: Ongoing analysis to refine the specifics of each theme, and the overall story the analysis tells, generating clear definitions and names for each theme. 6. Producing the report: The final opportunity for analysis. Selection of vivid, compelling extract examples, final analysis of selected extracts, relating back of the analysis to their search question and literature, producing a scholarly report of the analysis.

(23)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 23 For the thematic analysis, I have used Nvivo 10 to code the data and Excel to analyze the reports produced by Nvivo 10.

5.3 Institutional analysis

This kind of analysis shows how institutions, the structures and mechanisms of social order and cooperation governing the behavior of two or more individuals, behave and function to both empirical rules (informal rules-in-use and norms) and theoretical rules (formal rules and law). It deals with how individuals, stakeholders and groups develop institutions, how

institutions function in reality, and the effects of institutions on society as a whole and stakeholders interacting in the society (Algica, 2006). Institutional analysis responds to the question: which organizations carry out policy reforms, and what are their characteristics? It can be conceived as the stakeholder analysis of the government agencies, non-government organizations and firms that implement or support the public action choices that underlie a policy reform. Institutional analysis informed by three central premises: government is not a unitary actor; different actors within government compete for power and resources; decisions made in central hierarchies are modified at the local level. Institutional analysis can be conducted through either of two approaches or a combination of each. An institutional analysis of urban planning is a practical tool because it uses the institutional framework of analysis to examine the nature and purpose of the principal actors to explain specific

outcomes in planning. For this research, the context is seen through the analytical lens of the concept of institutions, because of the growing interest on the role of social institutions as determinants of spatial change (O‟Riordan and Jordan, 1999). In the broadest sense,

institutions refer to a social regularity or convention. There are however several and different perceptions, definitions and operationalization‟s of the concept of institutions, political

science, in economics and sociology. Definitions of institutions range from the more concrete, such as laws and rights to certain spaces, to the more abstract, such as societal norms, cultural differences, dominant discourses and ideologies (Bakker, 1999). There is no such thing as the right definition of institutions, but different conceptions or definitions suitable for different analytical purposes and questions. This analysis will be conducted for each of the stakeholder involved in the simulation of Sprintcity. A description will be given of the institutional

characteristics of each stakeholder and what kind of barriers there perhaps may be. This analysis will be used as a more descriptive part within the research and to reflect on the results of the analysis of the two other sub-questions.

(24)

Chapter 6: Case Description and units of analysis

Project Sprintcity (Deltametropool, 2013)

The SprintCity project is a collaborative, multi-disciplinary research project. Using simulation software, SprintCity tries to bring together stakeholders to analyze the opportunities for transit-oriented development. The SprintCity project started in 2009 and focuses on the scientific concept that efficient public transport is a necessity for the accessibility of a metropolitan region, for the economic functioning of a region and its competitiveness with other metropolitan regions. The Deltametropool tries to identify opportunities for

development around existing rail infrastructures and to improve rail transport services on a corridor. The objectives of the project are as follows:

“- To promote Transit-Oriented Development (TOD) in the Randstad region - To investigate the interaction between mobility and spatial development

- to improve the coordination and collaboration amongst the various stakeholders” (Deltametropool, 2014).

The main reason behind this TOD project is that in the last few decades, development has been planned outside of the railway network, which has led to stagnating transport system, and contributed suburban sprawl, congestion, and the decrease of recreational and agricultural land in multiple regions. To avoid these in the future and keep multiple region around the

(25)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 25 Randstad economically vital, the national government has set two goals for future

development in urban areas: “to increase densification around existing train stations and to almost double train frequency levels in the Randstad to achieve “Olympic Quality"”

(Rijksoverheid, 2008, p.8), which used to be a goal in planning policy of different institutions in the Netherlands.

The current financial situation for many governments, the economic crisis and political situation has created additional challenges and shifts in priorities. Government spending on station area development has decreased over the last few years and other, less expensive, choices are being made.

To change this and maximize efficiency, the future for Transit-oriented development in the Netherlands lies in transforming existing infrastructure on a smaller scale requiring multiple actors and stakeholders. SprintCity focuses on exactly that, by facilitating close collaboration between the railways and the municipalities, which gives the possibility to interact,

collaborate, align and understand future developments from different actors involved (Deltametropool, 2014).

The SprintCity PSS is based on the serious game sprintcity, which simulated station area development, job growth, ridership and the change in train frequency for several stations along a rail corridor until the year 2030 with different stakeholders involved with Transit-oriented development. This was the predecessor for the PSS and created a realistic model on how spatial and transport developments influence each other on a corridor. It also shows development specific opportunities and diversity in urban areas around public transport nodes. SprintCity v. 1.2, launched in the first semester of 2012, was applied to the corridor in

Utrecht, with real stakeholders, a developed projection of the corridor and different market demand scenarios. The user interface of the public transport company and the possibilities for intervention by the province were still in development at that time.

The new SprintCity v2.0 has been launched in the first months of 2013 and featured the following improvements:

1. Dynamic timetables for the public transport company

The new public transport model was combined with the already existing software of the simulation. During a simulation, the timetable could be adjusted in periods of four years, to change levels of service and the stations where stop trains and Intercity trains stop, together

(26)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 26 with an evaluation whether trains where too full or too empty. At each station, the increase in ridership can be evaluated and an estimate for the next four years can be made based on the spatial plans of the municipalities. In this way the public transport company, province and municipalities are given information to optimize new service arrangements and spatial developments on a corridor level.

2. Stimulating development by vacancy in urban transformation areas

To increase how realistic the simulation was and to improve how the game was played, planned areas with existing urban characteristics would lose population and employment when no replacing functions were established, which encouraged developments and interactions during the sessions.

3. Adding the role of the province

The province or city region player promotes overall cooperation and strategy, and controls development at the corridor level. The following features have been developed:

“A) the possibility of overview charts and other information on the corridor level can be shown during the session, so that the province can control the process and carry out discussions with all stakeholders, based on facts and figures.

b) The province or region can choose an optimal location for the construction of a regional function (such as a hospital, school campus or recreation facility) that will increase traveler numbers” (Deltametropool, 2014, p. 16).

For this thesis, I used two projects in which the new SprintCity v2.0 and the one that featured the Sprintcity v1.2. The first two projects are the Zaancorridor-project and the Kennemerland-project. The Sprintcity v1.2 project is the Utrechtcorridor-Kennemerland-project. These projects have been selected on the criteria that the tool has been fully implemented, has a realistic setting of actors and has had the potential to create new policy for a larger region. The results of the analyses of the different simulations will be reflected on these changed implemented in v2.0.

(27)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 27 Simulation Version of Sprintcity Developed specifically for corridor? Date Number of actors involved Multiple mediators All municipalities involved? Utrechtcorridor 1.2 Yes 14- 06-2012 7 Yes No Kennemerlandcorridor 2.0 Yes 13- 09-2013 11 Yes Yes Zaancorridor 2.0 Yes 01- 03-2013 6 Yes No

(28)

6.1 Zaancorridor

Corridors in Noord-Holland (Deltametropool, 2014)

The Sprintcity Planning Support Tool was implemented in the Zaancorridor on March 20th 2013. The Deltametropool collaborated with Movares, the province, the Dutch Railways and the municipalities next to the railroad corridor. The goal was exploring the qualities en

opportunities each station has and to experiment with an integrated strategy for both the urban environment and mobility. The province stated in their structure vision (Province Noord-Holland, 2010) that it is important for municipalities to focus on Transit-Oriented

Development and building in the city center. The stakeholders involved think the corridor could be really promising and therefor are all willing to participate in the simulation

(Deltametropool, 2014). The hypothesis of the Deltametropool was: if the alignment between the stakeholders involved improves, it will be possible to create more spatial development in the area, the collaboration with market parties will improve and it will be possible to seize the opportunities discusses in the Programma Hoogfrequent Spoorvervoer.

The Sprintcity Planning Support Tool used three types of actors in this corridor:

Municipalities, the province and the transport company. The following municipalities were present: Alkmaar, Heerhugowaard and Zaanstad. The simulation consisted of five rounds of each four years and took place between 2013 and 2030. The area was physically restricted to the station areas, which consisted of 1200 meters around the station, and formed a buffer

(29)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 29 which can be seen as a daily urban system. The mechanism of Sprintcity assumes that there is a feedback between land use and mobility: The frequency increase resulted in improved accessibility, hence additional demand for spatial plans for that location and thus spatial developments, which in turn lead to more demand for public transport.

The Sprintcity Planning Support Tool requires a data input to simulate a corridor, which need to include spatial and transport expert characteristics of the stations. The recent data collected for the study "Make Place "are also used for Sprint City. There are also forecasts needed for the developable areas around each station and the demand for spatial program in the region until 2030. This led to the scenario for the simulation (Deltametropool, 2014). The timetable of the Dutch Railways was used as a starting point for the mobility side of the simulation. The development of highways is too uncertain to incorporate in the project. The spatial aspect of the simulation included current land use, mixed use and densities in the area. The study “Make Place” inventoried the development locations that will be available between 2013 and 2030 in the station areas, and was partly based on this simulation.

6.2 Kennemerlandcorridor

On September 12, 2013 the simulation session was held with all municipalities, NS and the province Noord-Holland on the potential of the Zuid-Kennemerland en IJmond-corridor. The Independent Task Force Space of the Province of Noord-Holland presented on February 12, 2014 its vision “Multimodal Accessibility” on the Corridor South Kennemerland, which consisted of a junction strategy for the South Kennemerland region and Ijmond. The advice was to reinforce and to improve accessibility in the region and the urban centers of both cities and villages through stimulating developments surrounding nodes. Within the Space Task Force worked Consortium Grontmij, VenhoevenCS and the Deltametropool on this vision. Both the Planning Support Tool and the “Maak Plaats” study have been used in this process.

For the simulation of South Kennemerland and IJmond-corridor, there have been two sets of assumptions. The first set is based on the current plans and demand (business-as-usual). The second set of assumptions is that supply of plan space in the station areas is used to the utmost (TOD optimal). With these last principles the best scenario to simulate TOD was created. For this simulation some innovations in the planning support tool planning implemented:

- Simulation of the current problematic situation, which means that at the start of the game a number of stations have too few travelers for the number of trains.

(30)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 30 - New regional facilities, such as a Factory Outlet Center and a mixed living-care

combination.

- Simulation of the rivalry with HOV-connection, which runs parallel to the rail and has not been cross-linked with a station.

- Input of the node environments of the “Make Place!” study

The planning support tool showed that the business-as-usual scenario can have a major impact on the accessibility of South Kennemerland and IJmond, which can lead to a less attractive region (Deltametropool, 2014). However, Sprint City also showed that along the corridors around Haarlem there certainly are opportunities for better utilization of the station area and a more profitable timetable. A more differentiated train service, in which urban environments station are used more than those in a green and village setting, is promising. Regional services can also make a significant contribution to the vitality of the station environments and

profitable timetables, together with opportunities in optimizing the existing planning capacity within existing built-up area. That is for both denser, mixed drive environments, such as Beverwijk, Haarlem, Haarlem Spaarnwoude, but also for Overveen and Halfweg-Zwanenburg (Deltametropool, 2014).

6.3 Utrechtcorridor

To gain better insight in the opportunities for transit-oriented development on the Utrecht-Rhenen-corridor, the province of Utrecht and the regional government of Utrecht (BRU) started a collaborative project for a simulation using the simulation software of PSS Project Sprintstad. Implementation and coordination was carried out by the Deltametropool and its partner for the project, Movares. The simulation concerned the Utrecht-Rhenen corridor, including the Utrecht Vaartsche Rijn station, which is under construction and the branch to Veenendaal- De Klomp and Ede-Wageningen. All of the municipalities on the Utrecht corridor supplied their knowledge for the simulation and played their own role during the simulation session. The center of the corridor crosses the Utrechtse Heuvelrug nature reserve, where building restrictions and ecological and recreational developments play an important role. The Food Valley area to the east of the corridor presents potential for growth and further urbanization. Because of the abundance of municipalities around the city of Utrecht, several larger station areas are intersected by municipal boundaries, such as Driebergen-Zeist,

Veenendaal- De Klomp and the possible new station to the south of Veenendaal. The corridor is located next to the A12 motorway, which means that there is a variety of functions and

(31)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 31 living environments. The corridor is part of the national high-frequency rail program, which will increase its service levels around 2020. To the west of this corridor lies the urban area of Utrecht; a spatially dynamic area which includes the stations Vaartsche Rijn and Utrecht Central. These situations could have made the simulation more interesting, because interaction and alignment is necessary for the efficient functioning of these areas

For the simulation, hypotheses and market scenarios were investigated and elaborated with a variety of stakeholders, consisting of the municipalities of Utrecht and Veenendaal, the province and the regional government of Utrecht

.

The following questions were addressed:

“• What is the spatial capacity of the corridor, and when does that capacity become available? • Is it possible to create enough ridership within different scenarios to support frequency increase of the train services on the corridor?

• What types of station areas are located on this corridor, and which stations are likely to compete or cooperate in development?

• Can the province and city region play a coordinating role in the development of the corridor?” (Deltametropool, 2013, p. 7)

Two different market scenarios were created, both of which take into account the current real estate crisis and the overarching need for new homes on the corridor: Scenario 1 „Compact Progressive‟ allows for a high degree of control on transit-oriented development.

Through coordination of province and region, in collaboration with the municipalities, a large part of the market demand for the urban program was able to be realized near public

transportation clusters. This scenario was based on an increasing demand for high density urban environments around the clusters. In this scenario, the capacity of the station area could be fully developed. Scenario 2 „Suburban‟ featured less possibilities for government control and emphasized on a more liberal idea of the market. In this scenario, there was a

considerable demand for living and work environments in low and medium-high densities. The demand for high densities increases after the crisis, but much less than in the first

scenario. This scenario explored the possibilities of increasing train frequencies in a non-TOD situation. The plans and ambitions of the municipalities on the corridor were surveyed and mapped. It gave insight where developments could take place, but also when this moment probably would be (Deltametropool, 2013).

(32)

Evaluating the effects of PSS on TODS Max Niekus 10112413 Page 32 On the 14th of April 2012, a simulation session was held with the province, regional

government and many municipalities on the corridor. The simulation confirmed some well-known phenomena: for instance the fact that the two strongest urban regions on the

corridor are Food Valley and Utrecht and that many small municipalities desire to remain green and rural, whilst the province has the conflicting desire to make optimal use of the main infrastructure through compact city development. From collaboration with and between municipalities better results can be achieved at both the station and corridor levels. Directing TOD through the province was regarded as a positive step by all stakeholders.

Evaluating the effects of planning support systems on transit-oriented development strategies.