How Plan Implementation Fails: Examining the Role of Experience, Expectations, and Externalities
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How Plan Implementation Fails: Examining the role of Experience, Expectations, and Externalities DISSERTATION Presented in Partial Fulfillment of the Requirements for the Degree Doctor of Philosophy in the Graduate School of The Ohio State University By Zachary E. Kenitzer Graduate Program in City and Regional Planning The Ohio State University 2016 Dissertation Committee: Dr. Jennifer Evans-Cowley AICP, Advisor Dr. Rachel G. Kleit Dr. Bernadette Hanlon Copyrighted by Zachary E. Kenitzer 2016 Abstract Plans developed as a result of Hurricane Katrina and the Mississippi Renewal Forum, including the de facto nullified SmartCode, three vacated SmartCode Community Plans, and two tabled and non-adopted Comprehensive Plans failed. Further indicated by a gap between Plan vision and on-the-ground results, other authors and scholars point to the process of Plan implementation as the key to this failure. Despite this observation, a case study of implementation does not exist. Also, few academic case studies that explore the implementation of Plans exist. To explore ‘Why Plans Fail’ this dissertation employs a Case Study approach, rooted in Grounded Theory Methodology and the Constant Comparative method. Five methods of analysis include two forms of Plan evaluation, document analysis, semi-structured interviews, and a new exploratory method of Tenure Analysis. Findings derived from analysis explore the roles of implementation experience, expectations, and externalities in Plan and policy failure. The research concludes by arguing for further case studies, a careful rethinking of how the American Planning Association approaches their advocate role, and that Planners should stop treating implementation like the ‘black box’ of the Planning and Plan-Making process. ii Dedication For Darcy; My best friend and future wife. My parents, Keith and Terri; Your love and support guided me through this process, and I am forever grateful. iii Acknowledgements My sincerest Thank You to all who have helped me along the way; In particular, my Faculty Advisor and mentor Dr. Jennifer Evans-Cowley, Committee Members Dr. Rachel Kleit and Dr. Bernadette Hanlon; Other mentors Kyle Ezell & Dr. John Gilderbloom; Ken Holland and staff past and present at the Gulf Regional Planning Commission, the Southern Mississippi Planning and Development District, Kelsey Johnson with staff at Gulf Coast Community Design Studio, and Jason Reece and Matthew Martin at The Kirwan Institute; Friends at the Gulfport Historical Society, with a special thanks to Paul Jermyn and Betty Shaw for your resources and support; Harrison County’s Paul Barnes and employees in the Chancery Clerks office; Ben Requet; My friends at Ohio State including Vijay Gadepally, Allison and Jonathan Vecchiet, Allen Cochran, Jonathan Nutt, Brittany Port, David Foust, Nick Balow, Jacob Hindin; Other friends in my life including Harrison White, Derrick Drake, Eric Kiser, Kirk Laughlin; my fellow PhD Candidates and Students in the Department of City and Regional Planning; and lastly, my two furry research assistants Peaches and Bourbon, the French Bulldogs. iv Vita May 2005 .......................................................Seneca High School, Louisville, Kentucky May 2009 .......................................................B.S. Political Science, University of Louisville May 2011 .......................................................Master of Urban Planning, University of Louisville August 2011 to present .................................Graduate Teaching and Research Associate, Department of City and Regional Planning, Knowlton School, The Ohio State University Publications Cowley, J. S. E., Sanchez, T. W., Afzalan, N., Lizcano, A. S., Kenitzer, Z. E., & Evans, T. (2014). Learning About E-Planning: The Results of a Massive Open Online Course Experiment. International Journal of E-Planning Research (IJEPR), 3(3), 53-76. Gilderbloom, J.I. Ambrosius, J.D. Squires, G., Hanka, M.J., Kenitzer, Z.E. (2012). Investors: The Missing Piece of the Foreclosure Racial Gap Debate. Journal Urban Affairs (JUA). (34:5), 559-582. v Gilderbloom, J.I., O’Neill, B., DeJarnett, N., Kenitzer, Z.E., (2012). The Sustainable City and Biking: Implications for Health, Environment, and Economy. Sustain. (26), 23-30. Fields of Study Major Field: City and Regional Planning vi Table of Contents Abstract ................................................................................................................................ ii Dedication ........................................................................................................................... iii Acknowledgements ............................................................................................................. iv Vita.......................................................................................................................................v Publications ..........................................................................................................................v Fields of Study .....................................................................................................................v List of Figures ..................................................................................................................... ix List of Tables ..................................................................................................................... xii Chapter 1. Dissertation Introduction, Problem Statement, Research Question, Outline .... 1 Dissertation Introduction......................................................................................... 1 Problem Statement ................................................................................................ 24 Research Question................................................................................................. 30 Dissertation Outline .............................................................................................. 31 Chapter 2. Literature Review ............................................................................................ 34 Describing Policy and Plan Opportunity Windows .............................................. 36 Planning Is Planners Making Plans....................................................................... 43 The Implementation Gap ...................................................................................... 47 vii Three Generations of Implementation Study in Public Policy ............................. 51 Literature Review Conclusion .............................................................................. 65 Chapter 3. Research Design .............................................................................................. 67 Corbin and Strauss’s (2015) Grounded Theory .................................................... 68 Review and Summary of Other Research Designs ............................................... 73 Dissertation Research Design ............................................................................... 77 Research Design Conclusion and Limitations ...................................................... 97 Chapter 4. Plan Analysis ................................................................................................... 99 Methods 1. APA CPSSP ....................................................................................... 99 Methods 2. Ryan’s (2011) ‘Plan Reading’ Analysis .......................................... 117 Plan Analysis Conclusion ................................................................................... 187 Chapter 5. Document, Interview, and Tenure Analysis .................................................. 188 Methods 3. Document Analysis Open and Axial Coding Results ...................... 188 Methods 4. Interview Analysis Axial Coding Results ........................................ 198 Methods 5. ad hoc Tenure Analysis Results....................................................... 198 Chapter 6. Findings, or Why Plans Fail .......................................................................... 215 Experience and Plan Failure ............................................................................... 218 Expectations and Plan Failure............................................................................. 261 Externalities and Plan Failure ............................................................................. 287 Findings Conclusion ........................................................................................... 292 Chapter 7. Dissertation Summary, Implications, Future Research, and Conclusion ...... 293 Dissertation Summary......................................................................................... 293 Findings and Implications for Plan Implementation Literature .......................... 295 Implications for Planning Theory and Practice .................................................. 299 viii Future Research Directions ................................................................................. 306 Dissertation Conclusion ...................................................................................... 308 References ....................................................................................................................... 310 Appendix A: Approved IRB Protocol No. 2015B0179 Interview Script ....................... 327 Appendix B: APA CPSSP (2015) Plan Grading............................................................. 333 ix List of Figures