Citation
"One nahat'a"

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Title:
"One nahat'a" a comparison of U.S. traditional planning and Diné traditional planning
Creator:
Wolf, Susan Diane
Place of Publication:
Denver, CO
Publisher:
University of Colorado Denver
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Language:
English
Physical Description:
2 volumes (565 leaves) : ; 28 cm

Subjects

Subjects / Keywords:
Planning -- Cross-cultural studies ( lcsh )
Navajo Indians ( lcsh )
Navajo Indians -- Land tenure ( lcsh )
Planning -- History -- United States ( lcsh )
Navajo Indians ( fast )
Navajo Indians -- Land tenure ( fast )
Planning ( fast )
United States ( fast )
Genre:
Cross-cultural studies. ( fast )
History. ( fast )
bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )
Cross-cultural studies ( fast )
History ( fast )

Notes

Bibliography:
Includes bibliographical references (leaves 533-565).
Thesis:
Design and planning
General Note:
College of Architecture and Planning
Statement of Responsibility:
by Susan Diane Wolf.

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Source Institution:
|University of Colorado Denver
Holding Location:
|Auraria Library
Rights Management:
All applicable rights reserved by the source institution and holding location.
Resource Identifier:
57543545 ( OCLC )
ocm57543545
Classification:
LD1190.A735 2004d W64 ( lcc )

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Full Text
ONE NAHATA A COMPARISON OF U.S. TRADITIONAL PLANNING
AND DIN& TRADITIONAL PLANNING
by
Susan Diane Wolf
B.S., Western Washington University, 1980
M.S., University of Califbmia-Davis, 1984
M.P., University of Wyoming, 1994
A dissertation submitted to the
University of Colorado at Denver
in partial fulfillment
of the requirements of the degree of
Doctor of Philosophy
Design and Planning
2004


Copyright 2004 by Susan Diane Wolf
All rights reserved.


This dissertation for the Doctor of Philosophy
degree by
Susan Diane Wolf
has been approved by
Charles Wilkinson
Oswald Werner
04 [zo lZOO f
Date


The day broke with vermillion skies
and as the light came up,
I saw a cloud enveloping the sky
in the shape of an eagle.
It remained in that position all day,
and I knew that I had finally
reached the conclusion
of the dissertation.
Sue D. Wolf
January 19,2004


Wolf, Susan Diane (Ph.D., Design and Planning)
One Nahata A Comparison of U.S. Traditional Planning and Dind Traditional
Planning
Dissertation directed by Professor Raymond Studer
ABSTRACT
Cross-cultural comparisons of planning paradigms have not previously been
conducted, although differences in values, styles of communication, and methods of
decision-making have been noted among diverse cultures. This investigation
addresses modernist foundations of the planning discipline as part of the
monocultural orientation of the discipline, and presents a research framework for
cross-cultural analysis. A framework of naturalistic inquiry, ethnographic methods
and grounded theory are combined to develop a comparative analysis of two
American traditions of planning: the U.S. planning profession; and, Dine traditional
planning (nahatd).
Interviews with planning experts in both cultures provide the basis for delineating
characteristics of each planning paradigm. Interviews are structured to gather
parallel information in thematic areas including roles, goals, and process of planning
for comparative analysis. Focus of research is on identifying traditional
characteristics of planning in both cultures. All characteristics of nahata are
considered traditional, as this is the knowledge of Dind planning which has been
transmitted orally from generation to generation, and is considered by the Dine
v


people to be the traditional knowledge of planning. Traditional characteristics of
U.S. planning are identified through historical analysis of planning literature.
Comparative analysis of traditional characteristics provides understanding of both
similarities and differences between the two cultures of planning. Differences
provide insight into conflicts which have erupted at the interface of Tribal and non-
Tribal planning in the U.S. Unexpected similarities provide insight into historic
common ground, and lessons for future evolution of the U.S. planning paradigm.
This abstract accurately represents the content of the candidates dissertation. I
recommend its publication
Signed.
Raymond Studer
vi


DEDICATION
To my Mother who was h6zh6 reflected in her life
in the quilts and clothing she made to wrap us all in warmth and beauty,
in the joy with which she met each day,
in the herbs and ornaments she packaged each Christmas to celebrate the
season,
in her love of nature,
in her beauty, patience, and strong presence in those last days,
in the harvests of her fields and garden after she passed
which produced an unusually and inexplicably bountiful harvest... and
in her love and kindness
which taught us all how to walk in beauty.
And to my Father,
who continues to keep the home fires burning through his love, and has kept
me on this path in recent months, when I wanted to walk away,
To my Aunt Sylvia Wolf,
who encouraged laughter, and independence of spirit in life,
And to Marilyn,
who has stood with me on this path, seen it through the eyes of heart and soul,
and walked with me all along the way, reminding me why I began this
journey, and why I must complete it.


ACKNOWLEDGMENTS
To the many people who shared their knowledge, ideals, and the joy of the vision of
planning through participation in interviews, thank you. Your words are the heart of
the dissertation, around which everything else has developed. To Martha Austin-
Garrison, thank you for starting me on the path of nahata in such a good way.
A special thanks to Frank C. Young whose knowledge became the framework around
which the dissertation flowed, leading me to one nahata. Thanks also to Mike
Mitchell, whose description of nahata as something or someone that leads, allowed
me to respect the process of nahatd and to be led by it. Thanks to the U.S. planning
professors whose enthusiasm for and descriptions of what the U.S. planning
discipline could be, restored my hope in its potential
Among individuals who participated in the development of this dissertation through
their thoughts and words from the U.S. discipline of planning include:
Dr. Raymond Studer (RS), University of Colorado
Dr. Thomas Clark (TC), University of Colorado
Dr. Michael Holleran (MH), University of Colorado
Dr. Richard Margerum (RM), (now with University of Oregon)
Dr. Bill Gribb (BG), University of Wyoming
Dr. Claudia Isaac (Cl), University of New Mexico
Dr. David S. Henkle (DH), University of New Mexico
Mr. James R. Rick Richardson (RR), University of New Mexico
Dr. William Fleming, University of New Mexico
Dr. Larry L. Lawhon (LL), Kansas State University


Mr. Claude A. Al Keithley (AK), Kansas State University
Mr. Ray B. Weisberger (RW), Kansas State University; and,
Dr. Vernon P. Deines (VD), Kansas State University
Among individuals who participated in the development of this dissertation through
their thoughts and words from the Dind understanding of nahatd include:
Mr. Harry Walters (HW), Director, Ned Hatathli Museum, Dine College ;
Mr. Anthony Lee, Sr (AL), Dind Educational Philosophy Instructor, Dind
College
Dr. Wilson Aronilth, Jr. (WA), Dind Philosopher and Educator, Dind College
Dr. Frank C. Young (FY), Nahaldii, Chilchinbito, AZ;
Dr. Mike Mitchell (MM), Dind cultural specialist-Navajo Nation,Round Rock,
AZ
Mrs. Esther J. Willie Cambridge (EC), Traditional Dind elder, Hogback, NM.
Three of the interviewees chose to speak in the Dind language (Dr. Frank C. Young;
Dr. Mike Mitchell, and Mrs. Esther J. Willie Cambridge), and I appreciate those who
carefully and thoughtfully provided translations into English, giving up many hours
to this end. Many thanks to Lina Young and Rose Young, daughters of Frank C.
Young, who provided translations for his words and knowledge; and, thank you
especially for your special support on my last visit. Many thanks to Anthony Lee, Sr.
for translating for his uncle, Mike Mitchell, and for going that extra mile on my last
visit. Thanks also to Frank Morgan for translating for Esther Cambridge.
To Ron Maldonado, of the Historic Preservation Office of the Navajo Nation, thank
you for your commitment to the Dind people, and for your strong presence and
friendship through the course of this dissertation. Thanks to Thomas Bennett, Dine
College HRC Board, for seeing this research as a conversation between colleagues;


and to Dr. Jim McNeley, Dine College, for his wonderful dissertation written several
decades ago, and for his support of this pursuit in its early stages.
To the chair of my committee, Ray Studer, thank you for your adventurous spirit and
courage in choosing to become involved in this project. Thank you standing by me in
the course of this PhD process, and for having the courage to allow the research
framework to develop over time. Thank you for respecting my knowledge, and for
respecting the confidentiality in the Dine side of research. Thank you for helping me
to crystallize ideas and to reduce the size of the project when it was needed.
To Charles Wilkinson, thank you for challenging me to be a warrior, in a sense,
recognizing frill well the difficulties I would have walking through and on this path,
but knowing that this was a journey I needed to take.
To my other committee membersDr. Joan Draper, Dr. Brian Muller, and Dr.
Oswald Werner, thank you for your questions and comments during the
comprehensive exam which remained considerations during my research.
To Dr. Margaret LeCompte, thank you for introducing me to triangulation, and
NVivo; for emphasizing the importance of systematically and rigorously
documenting qualitative analysis; and, for setting me on the path of discovering
grounded theory, and naturalistic inquiry through your ethnographic methods course
-without which I would not have had the background and confidence to develop the
research framework.
To Kim Kelley, PhD secretary, many thanks for calmness in the midst of little storms,
for helping with all the final details of the defense and graduation process, and for
such a positive and encouraging spirit; and to Cynthia Carter, thanks for always being
there with a smile and a warm heart to help coordinate Charles Wilkinsons very busy


life.
To all my friends and family for their support in so many ways, thank you for putting
up with me-especially these last two years when I had so little time for anything. A
special thanks to Vama and Bill Robson for always having an open home, even when
you were so busy, for sharing your warmth, wonderful meals, and conversation, and
your dedication to causes you believe in. MaryBeth Baptiste, thanks for visiting me
in every little place I lived in during this process, for exclaiming how cute they all
were and meaning it, and for reminding me that there is life and hiking after the
dissertation. Gary TodikQzhf, thanks for carrying a smile, your nizhonf tortillas
which kept me going in those early mornings of final writing, and for helping me to
greet nahata this winter. Li and Lin Yi, thank you for all the wonderful meals and
hikes that took some of the stress off the process. Aunt Nancy, my cousins, my
brother, Kris Korfanta, and Holly Smith; and to, all others who sent prayers and e-
mails, thank you for your support in the final months of this project. Janet Carey,
thank you for your recent PhD experience and wise advice. Marilyn Troje, thank
you for always being there in dialogue, spirit and heart; helping to bring clarity out
of confusion, blessing out of trial, beauty out of pain, and for being, yourself, a
Doctor of Philosophy.
Thanks to sponsors of several small grants, which helped defray some of the costs
related to travel for fieldwork, and purchase of NVivo software1) Sigma Xi
Grant-In-Aid of Research from the National Academy of Sciences, administered by
Sigma Xi, the Scientific Research Society; 2) Annies Homegrown Environmental
Studies Scholarship; and, 3) College of Architecture and Planning, University of
Colorado. Without the generosity of my parents, and my Aunt Sylvia Wolf; however,
this work would not have been possible. They provided primary support for my
research and study.


And finally, a special thanks to my parents, who provided me the foundation as I was
growing up, through their teaching and their lives, for taking the roadless
traveled.


CONTENTS
Figures ...................................................................xix
Tables......................................................................xx
Preface: Ya&datdeh ....................................................xxi
Chapter
1. Background; Nitsahakees (Thinking about the idea; the problem).........1
1.1. Cross-cultural Comparisons of Tribal/non-Tribal Planning................2
1.1.1 Previous Research on Indigenous Structures of Planning...............3
1.2 Mufticulturalism in the Planning Field...................................3
1.3 Monoculturalism in the Planning Field....................................4
1.3.1 Ethnicity in Planning .................................................8
1.4 Postmodernism in Planning...............................................11
1.5 The Modem/Postmodem Interface......................................... 13
1.6 Redefinition and Reconceptualization of the U.S. Planning Paradigm.....15
1.7 Focus of This Research..................................................15
1.7.1 Strength of the Comparative Approach..................................16
1.8 Paradigm: Organizing Concept ...........................................17
1.8.1 Traditional Paradigms.................................................19
1.9 U.S. Planning Paradigm: A Long-term Debate..............................20
xm


1.9.1 Previous Analyses of a Traditional U.S. Planning Paradigm..............22
1.9.2 Historical Analyses of Profession and Discipline.......................24
1.10 Current Tribal Planning: An Amalgam....................................24
1.10.1 Cultural Policies Towards Tribes.......................................25
1.10.2 Tribal Dissent and Tribal Planning...................................31
1.10.3 Navajo Traditional Planning...........................................34
1.10.4 Current Navajo Government Planning ..................................35
1.10.5 Current Tribal Planning...............................................41
1.11 Dind Traditional Planning: Nahata .....................................44
2. Research Framework; Nahatd (Gathering Together the Elements; Planning) .. 45
2.1 A Framework for Postmodern Research......................................47
2.1.1 Naturalistic Inquiry....................................................48
2.1.2 Defining Pattems-Grounded Theory ......................................52
2.1.3 Focus on CultureEthnographic Methods .................................54
2.2 Structure of Analysis....................................................58
2.2.1 Traditional Planning Paradigm...........................................58
2.2.2 Traditional Planning...................................................60
2.2.3 Defining Characteristics of the Paradigm...............................61
2.2.4 Summary: Defining the Traditional Planning Paradigm in Each Culture___63
2.2.5 Comparisons Between Cultures ..........................................65
2.3 Data Gathering...........................................................66
xiv


2.3.1 Semi-structured Interviews
66
2.3.2 Identification of Planning Experts........................................67
2.3.3 Interview Protocol........................................................72
2.4 Data analysis-Thematic Analysis.............................................76
2.4.1 Identification of Paradigms...............................................77
2.4.2 Literature Review and Archival Analysis ..................................84
2.4.3 Comparative Analysis .....................................................90
3. Presentation of Results; find (Putting into Practice; Living; Life)........92
3.1 U.S. Planning Results.......................................................92
3.1.1 What Is Planning?..........................................................93
3.1.2 Need for Planning ........................................................96
3.1.3 Need for the Planning Discipline ........................................101
3.1.4 Origin of the U.S. Planning Discipline ..................................107
3.1.5 Process(es) of Planning .................................................133
3.1.6 Goals of Planning........................................................149
3.1.7 Role of the Planner .....................................................169
3.1.8 Characteristics of Planners ........................................... 186
3.1.9 Planners Knowledge/Skills...............................................200
3.1.10 Role of Values in Planning ............................................220
3.1.11 Role of Feelings and Emotions...........................................237
3.1.12 Environmental Planning..................................................245
xv


3.1.13 Characteristics of the Planning Discipline..........................268
3.1.14 U.S. Planning in a Nutshell.........................................327
3.2 Nahatd Results ......................................................330
3.2.1 Organization of Sections.............................................332
3.2.2 Interviews...........................................................332
3.2.3 Supplemental Literature .............................................333
3.2.4. What Is.............................................................333
3.2.5 Why Needed ..........................................................339
3.2.6 Goals................................................................343
3.2.7 Origin ..............................................................351
3.2.8 Process .............................................................371
3.2.9 Time and Place for Nahatd...........................................397
3.2.10 Training...........................................................402
3.2.11 Knowledge and Skills...............................................412
3.2.12 Character of a Planner.............................................426
3.2.13 Who Practices? ....................................................435
3.2.14 Local Governance ..................................................441
3.2.15 Nahatd: Two Examples..............................................446
3.2.16 Summary of Nahatd ................................................450
4. Conclusions; Siihasin (Bringing Back the Balance)......................452
4.1 Why Needed............................................................453
xvi


4.1.1 Similarities
453

4.1.2 Differences..............................................................454
4.2 Origin...................................................................455
4.2.1 Nahata..................................................................456
4.2.2 U.S. Planning............................................................456
4.2.3 Implications for the Structure of Planning...............................457
4.3 What Is..................................................................458
4.3.1 Similiarities..............................................................458
4.3.2 Differences ...............................................................460
4.4 Goals.....................................................................462
4.4.1 Similarities.............................................................462
4.4.2 Differences .............................................................463
4.5 Process...................................................................465
4.5.1 Similarities...............................................................466
4.5.2 Differences................................................................466
4.6 Role......................................................................468
4.6.1 Similarities.............................................................469
4.6.2 Differences .............................................................469
4.7 Knowledge and Training .....................................................471
4.7.1 Similarities.............................................................472
4.7.2 Differences..............................................................473
xvn


4.8 Character of the Practitioner.......................................475
4.8.1 Similarities.......................................................476
4.8.2 Differences .......................................................477
4.9 Characteristics of Nahatd and U.S. Traditional Planning............478
4.9.1. Similarities......................................................480
4.9.2 Differences .......................................................483
4.10 Conflict Between Cultural Planning Concepts .......................486
4.10.1 Directional Planning..............................................487
4.10.2 Time and Planning.................................................488
4.10.3 Reverence and Respect ............................................489
4.10.4 Who Practices.....................................................490
4.11 OneNahata........................................................ 491
Appendix
A: ASSORTED DOCUMENTS....................................................498
Editorial
Navajo Nation Local Governance Act (Selected portions)
A Standard State Zoning Enabling Act (Selected portions)
A Standard City Planning Enabling Act (Selected portions)
B: CHARACTERISTICS OF U.S. PLANNING PROFESSORS ..........................522
C: INTERVIEW QUESTIONS ..................................................526
D: CONSENT FORMS ........................................................530
Literature Cited.........................................................533
xviu


FIGURES
1-1 Comparison of Current and Traditional Tribal Planning Structures in the
United States............................................................43
2-1 Determination of Traditional Characteristics of and Comparison of Two
Planning Paradigms.......................................................64
2-2 Multiple Coding of Statements in NVivo ....................................79
2-3 NVivo Coding Report for future-oriented..................................80
2-4 Analysis of Coding: Rough Summary of All U.S. Transcripts for Planners
Role....................................................................82
2- 5 Analysis of Coding: Identification of Phrases Identifying Main Categories
Addressed by Interviewees in Need for U.S. Planning....................83
3- 1 General Planning Process..................................................135
3-2 U.S. Planning Process Goals ..............................................151
3-3 U.S. Substantive Planning Goals ..........................................153
3-4 U.S. Planners Role.......................................................171
3-5 U.S. Planner Characteristics..............................................187
3-6 U.S. Planning Knowledge Areas.............................................202
3-7 U.S. Planners Knowledge/Skills ..........................................203
3-8 U.S. Planning Characteristics.............................................270
XIX


TABLES
Table 2-1 Contrasting Positivist and Naturalist Axioms ...............49
Table 4-1 Why Needed.......................................................453
Table 4-2 Origin...........................................................455
Table 4-3 What Is .........................................................459
Table 4-4 Goals............................................................462
Table 4-5 Process..........................................................465
Table 4-6 Role.............................................................468
Table 4-7 Knowledge and Training...........................................471
Table 4-8 Character of the Practitioner....................................475
Table 4-9 Characteristics of Nahatd and U.S. Traditional Planning ........478
Table B-l Pre-questionnaire for Selecting U.S. Planning Faculty
Interviewees...................................................523
Table B-2 Location, Decade and Type of Planning Degree Received by
Interviewees...................................................524
Table B-3 Specialties and Sub-disciplines of Planning Faculty Interviewed
Compared to ACSP Faculty.......................................525
Table C-1 Questions in Semi-Structured Interviews with U.S. Planning
Professors.................................................... 527
Table C-2 Questions in Semi-structured Interviews with Dind Experts .......529
xx


PREFACE
Yddddteeh
Genesis of this dissertation began while on faculty at Dine College (1995-1998), a
tribally controlled College, where I was teaching environmental science,
environmental planning; working on tribal college curriculum in environmental
science; and, was also engaged in community planning within the local Shiprock
community.
Dine College contained, as part of its mission and foundation, Navajo philosophy
underpinning the goals and framework of Navajo education. This mission and
foundation were to inform the structure of our classes. Through teamwork with a
Navajo cultural specialist at the college, and coursework in Dind education
philosophy-- which was provided to train new faculty in basic concepts of Navajo
philosophy related to education, I became aware there was a Navajo concept of
planning called nahatd. I also became aware that this concept was embedded in a
complex philosophy of the environment.
Through a community forum, organized by several of us in 1996 at the College to
focus on Remembering Nahatd , it became clear from community members that
there were particular procedures and training associated with this concept of nahatd.
In addition, it became clear that maintenance of environmental relations was integral
to this Navajo philosophy of planning.
I became increasingly confused as to why outside consultants were brought in to
conduct strategic planning in Shiprock; why planning didnt emerge from the
community when this traditional framework existed. I wondered why planning for
xxi


the architecture and site of the new Shiprock Campus of Din6 College was conducted
primarily by a group of consultants from outside the Navajo Nation, rather than
following traditional thinking. I wondered why environmental impacts of projects
were never discussed in Planning Commission meetings in Shiprock, and at one point
wrote a short document to the chair of the commission citing difficulties which had
resulted from U.S. planning in U.S. cities which would likely become problems of
Shiprock if the same structure was followed.
I became increasingly aware of the lack of consideration of community member
concerns with projects such as powerline extensions through their grazing lands,
uranium development, logging, and mining, and the articulation by many Navajos
that traditional philosophies concerning the sacredness of land were being ignored in
these economic development decisions. I also became aware of developments
undertaken in areas that should have been left alone in Navajo beliefs, due to the
nature of past settlements existing there. Individuals had described many economic
development decisions which had negatively impacted individual Navajos or
communities of Navajos. Many also described the change in quality of the
environment, and attributed it, in part, to lack of understanding of and appreciation of
traditional philosophies.
It appeared that unique components of traditional Navajo thinking regarding planning
had been excluded from the formal structure of planning in the Navajo Nation.
Planning practices in the Navajo Nation appeared to mirror western planning
practices, and an act passed shortly before I left, the Local Governance Act,
developed to transfer control of planning to the local areas from the central tribal
government, contained many components of western planning such as the
XXII


comprehensive plan, zoning, and eminent domain. Emphasis of this planning
structure was on government reform, development and revenue generation (Appendix
A; Office and Commission of Government Development, 1998, p. 2,12-14).
As an environmental planner who had dealt with the fragmented approach to the
environment in planning, and resultant environmental problems, my goal as an
educator had been to reduce the fragmentation by bringing together concepts of
community, environment, and sustainability in planning. The knowledge I brought
into the process came from my training and research in environmental science,
community planning, and natural resource management. It did not exist as a unified
whole in western-based planning.
From my understanding of the Navajo philosophy of the environment, and the
relationship of nahatd to the environment, it seemed that these concepts would exist
as a unified whole in Navajo planning, and that Navajo planning would have
embedded within it an inherent framework for addressing these concepts. This was
important to me, not only from the standpoint of struggling with trying to bring these
concepts together in western education, but from the standpoint of sustainability of
the Navajo Nation. It appeared that within the Navajo Nation was an inherent
structure of planning, nahatd, with concepts better adapted to sustaining people in
their traditional lands than the U.S. planning framework which was, after 100 years,
struggling to figure out how to incorporate the environment and sustainability in its
structure.
Disseminating knowledge of similarities and differences in planning paradigms of
different cultures is one way of encouraging the support of different frameworks and
xxm


potential outcomes of planning. This research is designed to provide a comparison
of traditional planning concepts in two American cultures of planning- the U.S.
planning profession, and the Dind (Navajo).
My desire in completing this research is to:
1) Support Dind who are in the midst of the comprehensive planning
processes or other planning activities within the Navajo Nation that
would like to reform planning processes to reflect nahatd more fully;
2) Provide respect for other cultural paradigms of planning through
application of a research structure and methodology which puts these
systems on equal footing with western planning systems;
3) Provide recognition within the research literature that nahata is a
complete system of planning, with the hope that planners at the federal, state
or local level will respect this structure;
4) Encourage other Tribes to bring traditional knowledge of planning
back into their formal planning processes; and,
5) Support efforts to redefine the relationship of people to their
environment in planning, and subsequently, to redefine concepts of
sustainability, as well as, the pathways and structures of thinking and
acting which might be needed to achieve it.
XXIV


It is with these thoughts in mind, that the research structure was created, and the
background literature was explored. It is with these thoughts that the seed, planted
almost a decade ago, has waited quietly and patiently for nurturing. As this sprout
works its way into this spring, after several winters, I hope that it will grow with
courage into the sunlight, and bring beauty into the world.
Ahehee, shikis
XXV


1. Background;
Nits&h&kees (Thinking about the idea; the problem)
The discipline and practice of planning provide a forum for public discourse
regarding present problems and future visions, a framework for resolving potential
differences in perceptions of problems and potential solutions, and a forum for
shaping local environments and institutional frameworks to achieve desired fixtures.
Until the cultural basis and bias of planning are recognized; however, it is unlikely
that the full range of potential discussions including understanding of problems,
potential solutions, and resultant plans, will be included in the planning process,
causing a source of conflict for cultures or subcultures with differing cosmologies,
teleologies, and epistemologies from those embedded in the planning paradigm1.
Conflicts have already become apparent with regard to public lands planning in the
U.S., and Native American views of problems and solutions related to management
of sacred sites, traditional cultural properties, and resource management in
general (Begay, Saresa, 2002; Ling, 2001; Masse, 1999; Neaiy, 1996; Pinkham,
1996; Shebala, 2002,2003 ; Tallbull, et al, 1996 ). Legal cases related to planning
these lands also indicate the inability of the U.S. planning framework to adequately
address and incorporate Tribal views of the environment into planning (Brown,
1999; Loftin, 1989; Badoni v. Higginson, 1980; Wilson v. Block, 1983).
'Two definitions of paradigm are used in the research, both attributed to Kuhn (1996): 1) a
philosophical and theoretical framework of a scientific school or discipline within which theories, laws,
and generalizations and the experiments performed in support of them are formulated. (Paradigm.
Def. 3. Merriam-Websters Collegiate Dictionary, 11th ed. 2003); 2) entire constellation of beliefs,
values, techniques, and so on shared by the members of a given community(Kuhn, 1996, p. 175)
-1-


These disagreements are part of a larger, more pervasive conflict between Tribal and
non-Tribal entities regarding Tribal sovereignty, federal trust responsibilities, and the
Tribal-federal-state relationship-all of which affect the structure of tribal
governance, provision of tribal services, ownership and allocation of resources within
Tribal reservation boundaries (Tsosie, 1996; West, 1992; Wilkinson, 1987), and
Tribal planning (Keller, 1996; Winchell, 1992 ; Zaferetos, 1996; Zaferetos, 1998;).
Basic goals, processes, time frames, values and norms appear in conflict.
Although much has been written about differences in views of Native American
culture and western culture regarding the environment, decision-making processes,
communication styles, values, and forms of governance ( Broome, 1995;
Champagne, 1996; Jostad, 1996; Jojola, 1998; Tsosie, 1996; Winchell, 1992;
Zaferetos, 1996) little discussion has focused on potential differences between
traditional indigenous planning paradigms and western planning paradigms which
affect not only values and goals, but the entire framework for thinking about the
future, and making decisions regarding the future (Wolf and Morgan, 2000).
1.1. Cross-cultural Comparisons of Tribal/non-Tribal
Planning
Systematic, cross-cultural comparisons of Tribal and non-Tribal planning have not
previously been undertaken; however researchers and practitioners have studied
elements of planning which appear to be conflictuai in planning processes which
include both Tribal and non-Tribal entities (Lane, 2003; Neary, 1996; Pinkham, 1996;
Zaferetos, 1996,1998). These conflicts suggest the need for different structures of
planning processes and structures of decision-making (Ndubisi, 1991; Tallbull,
1996; Zaferetos, 1998;) and the addition of unique elements to the structure of the
Comprehensive Plan when engaged in Tribal planning (Winchell, 1992).
-2-


Focus of research has been primarily on elements or concepts within planning which
appear to provide the source of conflict including: values underlying decision-
making (Jostad, 1994; Lertzman, 1999; Ndubisi, 1991; Neaiy, 1996; Pinkham, 1996;
Tallbull, 1996; Winchell, 1992) and plan-development (Winchell, 1992); types of
knowledge brought into the planning process (Jostad, 1994; Lertzman, 1999);
methods of communication ( Zaferetos, 1996); decision-making structure (Jojola,
1998; Nbdusi, 1991); and political/legal structure under which planning takes place
(Jojola, 1998; Nbdusi, 1991; Neary, 1996; Winchell, 1992; Zaferetos, 1996).
1.1.1 Previous Research on Indigenous Structures
of Planning
Studies and reports generally focus on no more than two or three of these elements of
cultural difference. In most cases, the idea that a traditional Tribal planning
paradigm might exist which may have much larger structural conflicts with U.S.
planning, is not posited. Only Jojola, a Tribal member, refers to the existence of
complete Tribal planning paradigms in his statement regarding the persistence of
American Indian tribes:
Survival was accomplished through decisive action using indigenous
planning models that were integrated into our own cultural pattern.
(Jojola, 1998, p. 100).
The potential effect of differing cosmologies, teleologies, and epistemologies on the
entire planning structure has not been explored.
1.2 Multiculturalism in the Planning Field
In general, multicultural or cross/cultural research in the planning discipline is
focused on identifying cultural differences which are potential sources of conflict in
multicultural planning arenas, and in suggesting ways in which cultural differences in
-3-


styles of communicating, learning, values, etc. can be adapted to or integrated into
the western model of planning (Buyayidi, 2000; Qadeer, 1997; Smith, 1985) to:
create more compatible and relevant development projects (Smith, 1985); improve
the democratic nature of societal decisions and strengthen democracy (Beauregard,
1989, p.393; Bollens, p. 38; Lane, 2003; Thomas, 1996, p. 179;); empower the
disenfranchised (Berke, et al., 2002); offer new insights, creativity, knowledge and
organizing principles for the planning field (Cullingworth, 1993; Lertzman, 1999;
Sandercock, 1995; Thomas, 1996, p. 180); and, develop unified planning education
(Afshar, 1990; Buyaridi, 1993; Thomas, 1996)
Three other strands of multicultural research focus on: 1) planning organizations,
planning activities, and planning leaders in the U.S. which are active outside the
planning profession (Jojola, 1998; Sandercock, 1998; Woods, 1998); 2)
deconstruction of planning theory, history, and research focus for cultural bias,
inequity in the profession, and discriminatory results of professional practice (Catlin,
1993; Burayidi, 2000a; James, 2000; Sandercock, 1995; Thomas, 1998) to create a
more equitable fixture (Catlin, 1993; Sandercock, 1995 Thomas, 1998;), culture-
sensitive planning programs (Afshar, 1990; James, 2000), and a truly inclusive and
democratic planning (Sandercock, 1995, p. 85); and, 3) reciprocal learning between
cultures regarding planning solutions and frameworks (Qadeer, 2000).
1.3 Monoculturalism in the Planning Field
The planning discipline has been described as monocultural (Sen, 2000 p. 207;
Thomas, 1996, p. 172) and unitary (Burayidi, 1993, p. 223) in its educational
approach, and ethnocentric in general approach (Ndubisi, 1991; Smith, 1985;
Sanyal, 1990). Sandercock, writing in 1995, noted: we need to develop ways of
planning (and theorizing planning) which acknowledge and respect difference and
reflect diversity (p. 86). The monocultural orientation of planning is due, in part, to
-4-


the modemist/rationalist framework upon which planning is based (Burayidi, 2000b;
Stein and Harper, 2000).
This modernist approach was dominant in architecture, humanities, and the sciences
at the time the planning discipline in the US was developing, and was, in part, a
reaction to problems which had arisen during the machine age of industrialism such
as serious poverty and poor living conditions; class conflict, and lack of democratic
participation in government; impoverished cultural and intellectual development of
the general public; and, lack of civic responsibility (Eardley, 1973; Mumford, 1938).
The following passages from the International Congress on Modem Architecture in
the late 1930s and early 1940s (CLAM), translated by Eardley (1973); and, Lewis
Mumfords Culture of Cities provide greater insight into the problems modernism
confronted:
..the disorder wrought by machinism...In every one of these cities,
man finds himself being molested. Everything that surrounds him
stifles and crushes him. None of the things necessary for his physical
and moral health has been preserved or introduced. A human crisis is
raging in the major cities with repercussions throughout the land. The
city is no longer serving its function, which is to shelter human beings,
and to shelter them well. (Eardly, 1973, p. 93)
...Masquerading under the noble slogans of the rights of man,
pretending to continue its old war on despotic power, individualism
established itself as the claim of small groups of privileged people to
exploit the work of other men on the basis of a monopoly, partial or
complete, of land, capital, credit, and the machinery of production.
For the single despotism of the kind, it substituted a multitude of petty,
and not so petty, despots: industrialists, financiers, robber barons...
(Mumford, 1938, p. 455);
and, the potential envisioned for modernist approaches:
-5-


...An implacable legislation is needed to ensure that a certain quality
of well-being is accessible to everyone, regardless of monetary
considerations... (Eardley, 1973, p. 57)
The great aristocracies of the past knew that the labor of a thousand
serfs...might not be too extravagant a price to pay for the culture of a
truly enlightened and disciplined individual....Today with our vast
accession of energies, with our abundant collective resources, we have
the opportunity of upholding these principles, not for the sake of an
oligarchy, but for the welfare of every member of the community. The
base must be generic, equalized, standardized... (Mumford, 1938, p.
458)
The modernist framework in planning encouraged a universalist view (Burayidi,
2000a; Mumford, 1938; Stein and Harper, 2000) with definition of one public and
one public good, unitary plans for collective goals, standard solutions, and
universal truths (Beauregard, 1989, Beauregard, 1991; Burayidi, 2000a; Fischler,
1998; Mumford, 1938; Sandercock, 2000b; Vasu, 1979, p. 42):
The dominant epistemology on which current planning is based is
universalist. This universalist approach is predicated on deductive
logic, instrumental rationality, a hierarchical social structure, and a
unidirectional causal flow... (Burayidi, 2000a, p. 37).
While the history of planning thought contains many streams
(Friedman, 1987), all of them come from the same headwaters of
Enlightenment epistemology..to produce...the heroic model of
modernist planning. The five pillars of this heroic model..can be
restated succinctly here as rationality; comprehensiveness, scientific
method, faith in state-directed futures; and frith in planners ability to
know what is good for people generally, the public interest...
(Sandercock, 2000b, p. 62).
-6-


...planners developed universal schemes to solve societal problems on
a large scale...it is here that we can find the archetype of modem
planning. ..exemplified by the systems of national standards published
by governments and professional associations... (Fischler, 1998, p.
390).
Beauregard summarized this approach as one based on the belief that one plan could
be created which would help to create the good life for all, through knowledge and
neutral experts making decisions for the benefit of the public. Underlying this belief
was the assumption that the logic underlying the world could be uncovered,
manipulated, and perfected to create a world freed from greed, constraints of
scarcity, and social problems through knowledge ( Harper and Stein, 1995;
Beauregard, 1989, p. 394-385).
Knowledge, obtained primarily through rational frameworks and based on
quantitative analysis, was value neutral and, gender- and race-neutral
(Sandercock, 1998b, p. 27). A unitary public was emphasized in development of
theories, methods and goals, and curriculum of the discipline; and, creation of a
rational, orderly, homogenous city (Sandercock, 1998b, p. 27) was one of the
disciplinary goals (Beauregard, 1991, p. 190,192; Burayidi, 2000a p. 39; Burayidi,
2000b).
Universal planning education and planning principles were also generally
envisioned, developed, and taught until the 1960s (Burayidi, 2000a; Burayidi,
2000b), and were considered to aid all onto the path of economic development and a
better life (Burayidi, 1993; Sanyal, 1990), both within and outside the U.S.- being
generally unconcerned regarding how unitary policies and approaches affected
cultural and ethnic groups (Burayidi, 2000; James, 2000, p. 16):
The beginnings of planning education in the developed countries
-7-


presupposed a unitary and scientific value-system that is applicable to
all countries. As a result no effort was made to fine tune planning
education to meet the needs of specific cultures and country situations.
Planning, like many other fields of social science inquiry, was
regarded as value neutral and application anywhere. (Burayidi,
1993; p. 223).
1.3.1 Ethnicity in Planning
The discipline of planning, as it developed in the United States, generally paralleled
U.S. policies towards and programs regarding minorities (Burayidi, 2000; Dippie,
1982), and assumed that all would evolve to the same state (i.e, assumption of a
good city, good life). Weber (1963) stated the following regarding the early period
of the planning field:
Acculturation of ethnic, racial, and other minority groups to the
American, middle-class urban ways-of-life but awaited their
introduction to the American, middle-class, physical environment.
(p. 233)
Planners generally ascribed to the existence of a single public interest, and the
assumption that planners and elected officials knew what was in the public interest.
Although the importance of understanding the culture and social organization of the
community (Sasaki, 1956, p. 307 ) was noted by agricultural researchers involved in
planning in the 40s and 50s to be needed for successful outcomes in rural areas and
with Tribes (Kimball and Provinse, 1942; Sasaki, 1956; Wilson, 1940); problems
with a universal approach to planning were not generally recognized by the planning
discipline until the civil unrest of the 1960s in the United States.
During the 1960s, a diversity of public values became apparent (Milroy, 1991)
through the conversation of movements, protests, and riots (Peattie, 1969; Sanyal,
1990, p. 25 ; Thomas, 1996, p. 175). Racism and/or inequitable decision-making
-8-


with regard to minorities was recognized in housing, zoning, urban renewal and other
development planning, and comprehensive planning, in general. (Bollens, 2002, p.
23; Burayidi, 2000a; Catlin, 1993, p. 27; Stafford and Ladner, 1969). Urban Renewal
programs of the 1950s-1960s had bulldozed ethnic enclaves :
Modernist planning in the postwar years did a good job of
eliminating the vestiges of cultural identity in urban form and
architecture as ethnic enclaves were bulldozed to make way for new
development.. (Burayidi, 2000b, p. 1);
...ethnic enclaves in cities were regarded by planners as aberrations to
the normal development of the urban landscape... (Burayidi, 2000a,
P-40)
Sandercock states that ...the modernist project in planning and architecture has
worked in totalizing and decontextualizing ways to erase history, culture,
difference.. (Sandercock, 1998b, p. 227).
Even into the early 1960s; however, there was lack of real consideration of ethnic
differences in planning, and efforts still appeared to be directed toward integration or
assimilation-the general U.S. policy towards minorities at the time (Cornell, 1987).
Discussions focused primarily on structuring the planning process to allow equal
opportunity and democratic participation (Davidoff, 1965; Goodman and Freund,
1968; Perlofif, 1965), and subsequently better informed participation and debate to
meet the general needs and desires of all:
...our planning proposal or project is for the long-range good of the
entire community... (Goodman and Freund, 1968, p. 566)
Not until the 1970s was culture discussed in planning, and the need for potentially
different planning approaches within different ethnic communities (Maruyama,
-9-


1973). Maruyama (1973) indicated; however, that such considerations were not
widely accepted in American society:
...The American culture has never learned to be a nontotalitarian
gemeinschaft which knows how to live with heterogeneity. American
culture has a fear of heterogeneity... (p. 354)
In the 1979 edition of the planning training manual, also known as the Green
Book, (So, Frank S., Israel Stollman, and Frank Beal, and Davis S. Arnold, 1979;
See section 2.4.2.2.1), a chapter emphasizing diversity appeared Planning for
Diverse Human Needs. The existence of a pluralistic society was recognized as a
current and future reality in contrast to the unitary society that had been the focus of
planning since its inception. The focus remained; however on the creation of one
public interest from this plurality:
...The profession has claimed to deal with pluralism at least since the
1960s...the response by planners was to try to find methods to resolve
plural interests... (Milroy, 1991, p. 186)
...The socially responsible planner should help identify and define
goals which will induce groups to organize around common
interests... (So, et al., 1979, p. 503)
...conflicting goals must be reconciled for the sake of an effective
plan... (So, et aL, 1979, p. 501)
...effective social programs are better designed and much more
quickly and successfully implemented when they address the overall
interests of society... (So, et al., 1979, p. 508).
Since the 1990s, the planning discipline has supported much broader conversation
regarding multiculturalism (See section 1.4) with discussions focusing on
incorporation of multiculturalism into planning education; and, scholarly research
-10-


into alternative planning histories, and planning processes (Catlin, 1993; Forsyth,
1995; Sandercock, 1995, 1998a; Thomas, 1996).
The most recent edition of the planning training manual; however, de-emphasizes
ethnicity in a discussion of cultural communities (Hoch, Charles, Linda C. Dalton
and Frank S. So, 2000, p. 442-443)-defining these communities, instead, in terms of
different social groups who may or may not share ethnicity.
1.4 Postmodernism in Planning
Beginning in the late 1960s, accompanying the recognition of failures in modernism
to address diversity and solve societal problems, a new orientation in theory and
methodology of the humanities and social sciences for studying culture arose known
as postmodernism (Dear, 1986; Harper and Stein, 1995; Feldman, 1994; Mugerauer,
1995, p. xvii-xviii). This new approach diffused into planning in the 1980s and 1990s
(Milroy, 1991); however, Sandercock noted in 1998 its minimal application to theory
in the discipline:
...Our planning theory literature has been largely devoid of attempts to
view planning through the lens of postmodern cultural critiques...
(Sandercock, 1998b, p. 29)
In contrast to modernism, postmodernism encourages:
1) multiple voices regarding history of events (Friedman, 1996; Milroy, 1991;
Sandercock, 1995, 1998a); 2
2) understanding of diversity in cultures and values (Friedman and Keuster,
1995; Milroy, 1991; Sandercock, 1998a, 1998b);
-11-


3) incorporation of non-quantititative methods of analysis, and local or folk
knowledge (Innes, 1995; Mandelbaum, 1991; Sandercock, 1995,1998b);
4) understanding of bias inherent in planning (Friedman and Keuster, p. 39;
Sandercock, 1995); and,
5) application of grounded theory and deconstruction as methods of analysis
and theory formulation (Dear, 1986; Feldman, 1994; Innes, 1995; Sandercock,
1995).
The postmodernist approach opens up the door to different models of planning (Innes,
1995; Sandercock, 1995)-something which would not have made sense in the
modernist era, which strove for universally-applicable models.
Recent papers in the U.S. planning discipline address the potential need for different
approaches in planning among varied cultures (Baum, 2000; Burayidi, 1993;
Burayidi, 2000; Forester, 2000) approaches which are context-specific or local
(Beauregard, 1989; 1991). Curriculum development for the U.S. planning discipline
is expanding to include an understanding of cultural bias in planning (Frank, 2002;
Sandercock, 1995; Thomas, 1996); understanding of diversity (Bollens, 2000;
Friedman, 1996; Friedman and Keuster, 1995; Forsyth, 1995; Sen, 2002); and,
inclusion of alternative planning histories based on viewpoints of different genders
and cultures (Beauregard, 1998; Kramsch, 1998; Sandercock, 1998a; Thomas, 1996,
1998).
Current research focuses on creating flexibility within the planning process for varied
cultures including: methods to incorporate alternative views, and values of multiple
cultural groups (Bollens, 2002; Dalton, 1986; Ndbusi, 1991); recognition of
-12-


structural inequalities obstructing equitable planning with diverse groups (Hooper,
1992; Lane, 2003;); multiple ways of communicating (AI-Kodmany, 1999; Forester,
2000; Innes, 1998; Mandelbaum, 1991; Sandercock, 1995 ); inclusion of local or
folk knowledge (Al-Kodmany, 1999; Innes, 1995,1998; Sandercock, 1995; 1998b);
and alternate planning processes (Innes, 1995,1998).
Authors note; however, that there is generally a lack of coordinated direction by the
planning discipline regarding inclusion of postmodern concepts (Beauregard, 1989,
1991) including multiculturalism (Bollens, 2002; Forsyth, 1995; Ndubisi, 1991; Sen,
2000; Thomas, 1996). Recent planning publications question the ability of planning
to accept diverse cultural viewpoints and approaches in curriculum and practice
(Baum, 2000; Bollens, 2002; Ndubisi, 1991; Thomas, 1996).
Disciplinary theory current^ struggles at the interlace of modernist and
postmodernist views (Alexander, 1984; Beauregard, 1989,1991; Dear, 1986; Harper
and Stein, 1995; Sandercock, 1995;) regarding appropriate goals of the profession
(Alexander, 1984; Beauregard, 1989; Feldman, 1994; Friedman, 1996; Harper and
Stein, 1995; Sandercock, 1995; 1998b; Vasu, 1979); role of the professional
(Alexander, 1984; Friedman, 1996; Friedman and Keuster, 1995), theories and
methods (Albrecht and Lim, 1986; Beauregard, 1989; Dear, 1986; Frank, 2002;
Hooper, 1992; Sandercock, 1995,1998b), curriculum (Feldman, 1994; Frank, 2002;
Friedman, 1996; Friedman and Keuster; Ozawa and Selzer, 1999); values (Alexander,
1984; Feldman, 1994 Frank, 2002); and, methods of evaluation of planning and plans
(Feldman, 1994).
1.5 The Modern/Postmodern Interface
Most recent theoretical discussions in the planning discipline focus on retaining
elements of modernism, while incorporating postmodernist views (Milroy, 1991).
-13-


There is concern by many that the relativity of postmodemism-where goals and
decisions are relative to time, space, and culture (Beauregard, 1989, p. 390;
Beauregard, 1991, p.193; Harper and Stein, 1995), will make planning virtually
impossible as currently conceived and leave it in a state of impotence (Harper and
Stein, p. 239), on the brink of an abyss of indeterminacy (Harper and Stein, 1995,
p. 233) or in nihilism and despair and without standards for constructing or
evaluating good planning (Feldman, 1994, p. 98).
In addition, there is recognition that certain components of the modernist framework
are useful and should be retained (Beauregard, 1989; Feldman, 1994; Sandercock,
1998b), such as the goal of advocating for the public good/well-being of all (Brooks,
1988; Beauregard, 1991; Feldman, 1994, p. 101); justice and equality (Sandercock,
1995; Thomas, 1996), equity, improved society or better city (Brooks, 1988, p. 246;
Feldman, 1994); reform (Beauregard, 1989, p. 392; Thomas, 1996, p. 177;); and,
enhancement of democracy (Beauregard, 1989, p. 393).
The tension between postmodern and modernist aspects of the discipline are evident
in the following two statements discussing incorporation of muticuhuralism, and the
outcome of cross-cultural planning:
Within the larger processes of American urban planning, the
deliberations of local planning commissions will increasingly reveal
the continuing emergence of America as a multicultural society in
three related dimensions. First, in their efforts to construct a value
consensus by which to guide public decision-making, local planning
commissions will seek to reweave the tapestry of American culture.
This will require a continuing acceptance of accommodation to, and
integration with very diverse immigrant cultures. The current
dominant culture, one largely Northern European-American, will give
way to an expanding constellation of cultures within which it is one
significant minority. In turn, the current minority cultures, most
notably the Native American, Appalachian, African American, and
-14-


Hispanic American, will have to reassess their position, contribution,
and visibility within that expanding tapestry. (Allor and Spence,
2000, p. 193)
...planning is a cross-cultural encounter where principles of the
planning culture must prevail. (Baum, 2000, p. 119)
1.6 Redefinition and Reconceptualization of the
U.S. Planning Paradigm
Some authors; however, view the postmodern era as an opportunity to:
1) redefine concepts and reconceptualize ideas which have been part of the
planning field (Beauregard, 1989, p. 392; Milroy, 1991) such as home,
community, equality, justice (Sandercock, 1995;), rationality (Alexander,
2000; Dalton, 1986; Friedman and Keuster, 1996; Sandercock, 1998b; Smith,
1985); comprehensive planning (Garcia, 1993, p. 290); and, healthy
communities and the relation of people to place (Lucy, 1994);
2) develop theories based on practice (Innes, 1995); and understanding of
planning in relation to culture and history (Beauregard, 1998; Fischler, 1995;
Sandercock, 1995,1998a; Thomas; 1998); and,
3) develop alternative approaches to planning (Dalton, 1986, p. 151), new
versions of utopian space (Hooper, 1992, p. 71), new insights and
creativity (Thomas, 1996, p. 180); and, new techniques and knowledge
bases (Beauregard, 1989, p. 393).
1.7 Focus of This Research
As the planning discipline struggles to redefine its character, embracing some
historical concepts, redefining others, and creating new concepts to meet the current
-15-


understanding of society and the relationship of planning to it, this investigation
focuses on developing comparative knowledge of planning in two U.S. cultures of
planning.
One culture chosen for study is the traditional discipline of planning which is
represented by professional organizations such as American Planning Association
(A.P.A), American Institute of Certified Planners ( A.I.C.P), and American Collegiate
Schools of Planning (A.C.S.P), and their publications (e.g., Journal of Planning
Education and Research; Journal of the American Planning Association; Green
Books (See section 2.4.2.2.1); the second, is the traditional Tribal culture of
planning of the Dine (Navajo) which exists orally and is transmitted by elders,
medicine people, traditional scholars, and others who have been raised in a traditional
way.
1.7.1 Strength of the Comparative Approach
Disseminating knowledge of similarities and differences in planning frameworks of
different cultures is one way of encouraging the support of different frameworks and
potential outcomes of planning. Some of these frameworks may be better suited to
solving current and future problems, than current planning paradigms (Afshar, 1990;
Qadeer, 2000). An example regards the inherent difficulty the U.S. planning
paradigm faces in incorporating the concept of sustainability within its structure
(Berke and Conroy, 2000; Blowers, 2000; Campbell, 1996; Lucy, 1994; McDonald,
1996; Slocombe, 1993 ). Although the discipline is assumed to have the capacity for
evolution through accretion of methods and theories (Perloff, 1957; 3.1.13.1.1), there
may be concepts which are incompatible with the framework of planning, requiring
restructuring to allow their incorporation.
Planning has been assumed a universal process which could be transported to any
-16-


culture, and was transported through international education to developing nations
(Burayidi, 1993; Sanyal, 1990; Thomas, 1996, p. 175), and to Tribes through federal
planning processes of the Bureau of Indian Affairs (BIA) and other agencies (Senese,
1991, p. 22-23 ). The planning framework only recently has been recognized as a
process and structure which is not neutral but contains cultural bias ( Beauregard,
1989; Bobo, 2000; Burayidi, 1993;Ndubisi, 1991, p. 53; Thomas, 1996). These
biases may obstruct application of Tribal cultural knowledge regarding planning for
and decision-making regarding the future, and instead of aiding in the creation of
future well-being, may actually interfere with the Tribes ability to maintain future
well-being (Jensen, et al, 1998; Wolf and Morgan, 2000).
Comparative analysis provides the potential to illuminate differences between
cultural concepts of planning which provide sources of conflict in cross-cultural
planning. Numerous conflicts were previously indicated in Tribal and non-Tribal
planning of lands within and outside reservation boundaries.
Comparative analysis also provides the opportunity to identify similarities among
planning frameworks. Several authors indicate interest in creating a unified vision of
planning through identification of commonalities among cultures regarding planning
processes and methods (Afshar, 1990; Burayidi, 1993; Sanyal, 1990).
1.8 Paradigm: Organizing Concept
To pursue understanding of conceptions of planning in both cultures, paradigm is
chosen as an organizing concept. Two definitions of paradigm utilized in this
investigation are the following:
the entire constellation of beliefs, values, techniques, and so on
shared by the members of a given community (Kuhn, 1996, p. 175).
-17-


a philosophical and theoretical framework of a scientific school or
discipline within which theories, laws, and generalizations and the
experiments performed in support of them are formulated.
(Paradigm. Def. 3. Merriam-Websters Collegiate Dictionary, 11 *
ed. 2003)
In general, a paradigm is considered a normative set of beliefs and practices which
result in the culture of a discipline, and includes knowledge of the precepts
(philosophy), principles (theory), and practices (methods) of that discipline.
Embedded within the planning paradigm are worldviews of the particular culture,
including unspoken assumptions for thought and action which affect structures for
understanding and solving problems, identifying and implementing goals or visions,
and conceptions of why planning is done in each society, how it is done, how the
planner should act, etc.:
A paradigm is a world view, a general perspective, a way of breaking
down the complexity of the real world. As such, paradigms are deeply
embedded in the socialization of adherents and practitioners:
paradigms tell them what is important, legitimate, and reasonable.
Paradigms are also normative, telling the practitioner what to do
without the necessity of long existential or epistemological
consideration... (qtd. in Lincoln and Guba, 1985, p. 15).
Kuhn (1996) also indicates that the paradigm, in providing the framework for
knowledge development and practice of a discipline, constrains the subsequent type
of knowledge developed and applied. For example, Western scientific disciplines
emphasize the use of the scientific method to construct theories; and, resulting
practice, thinking, analysis, professional-behavior, and problem-solving are
constrained within this framework
-18-


1.8.1 Traditional Paradigms
Focus of this investigation is on identifying characteristics of traditional paradigms
in both cultures, and the invisible structures underlying methods and goals of
planning in each culture which are likely to guide planning in the future. Traditional
cultures of planning have been chosen for two reasons:
1) U.S. planning is noted to evolve through time (See 3.1.4-3.1.4.5) and a
snapshot at any point in time might provide a seemingly different planning
philosophy than one at a previous or future time-- thus focus is on identifying
strands of philosophy which have defined the discipline through time, and are
likely to guide it into the future; and,
2) Current tribal planning is an amalgam of U.S. planning and tribal
traditions, and deconstruction of this planning structure would result in a
fragmented understanding of traditional and non-traditional components,
rather than understanding of a holistic philosophy of planning. Nahata is the
holistic philosophy of Din6 planning which is invariant with time.
The traditional Navajo planning paradigm is defined as that based on nahata.
Nahata predates the existence of Navajos in their oral history, and is taught orally
from generation to generation. It contains precepts, principles, and practice of
planning from a traditional Navajo perspective.
The U.S. planning paradigm is defined as that which is perpetuated by the academic
discipline of planning in the U.S., for it is within planning programs at universities
that precepts, principles, and practice of U.S. planning are taught. The framework is
considered, for this research, to begin with national planning meetings in the U.S.
(1909), and the subsequent formalization of the planning profession and academic
-19-


discipline.
Sections following will provide a summary of previously recorded knowledge of U.S.
traditional planning (1.9- 1.9.2), and nahatd (1.11). A brief discussion is also
provided regarding the evolution of current tribal planning as an amalgam of U.S.
planning and tribal traditions (1.10-1.10.6), which bears on the research framework
developed to investigate traditional tribal planning.
1.9 U.S. Planning Paradigm: A Long-term Debate
Today there is no consensus on how to plan or what to learn or teach
(Feldman, p.99, 1994)
There is considerable controversy about. ..whether the field lacks
both a clear intellectual paradigm and a central core of professional
practice. (Lucy, 1994, p. 305)
For much of the history of the profession, existence of a planning paradigm has been
debated (Adams, 1954; Alexander, 1984; Baum, 1983; Friedman, 1987, 1996;
Galloy and Mahayni, 1977; Howard, 1955; Kain, 1970; Perloff, 1957, 1974; Schon
and Nutt, 1974; Segoe, ed., 1941, p. 13; Thomas, 1996)1. Development of
standardized methods of planning practice (e.g., appropriate street widths, regulatory
structure for planning, etc.) were always a focus of the field (Fischler, 1998; Nolen,
ed., 1916), but broader debate in the discipline ensued as the purview of the planning
field expanded from city functions to rural, regional, economic, and other foci during
the National Planning of the Depression (See section 3.1.4.4.1). 2
2 Kuhns work identifying the paradigm in a theory of discipline stasis and change was first published
in 1962; however, discussions of appropriate theories, methods, and curriculum are essentially
discussions regarding the paradigm of a discipline, and have existed in the planning field since its
inception.
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Debate regarding goals, methods and roles of planners, and the need to redefine the
boundaries of the discipline were sharply noted in reports of the1940s and 1950s.
Serious confusion in the field was apparent in the first planning training manual
published by ICMA in 1941:
The last ten years have been years of confusion and turmoil, or
experimentation, with some successes and a good many Mures. It is
important to examine the significance of this transition period that we
are going through, in an effort to understand what planning is to mean
today and in the years to come. (Segoe, 1941, p. 13)
Reports and papers in the 1940s and 1950s discussed the importance of identifying
and standardizing appropriate planning curriculum to distinguish planning from
other professions; identifying a body of theory and philosophies specific to the
discipline; and, identifying of core values and role of the planner, and goals of
planning in society (Adams, 1954; Howard, 1955;Perloff, 1957).
Debate in the 1970s and 1980s focused on the appropriate purview of the discipline;
methodology, values, roles and goals; revising the rational/modem foundation of the
discipline, and potentially developing a new paradigm and curriculum (Alexander,
1984; Brooks, 1988; Dalton, 1986; Godschalk, 1974; Nutt and Suskind, 1970; Vasu,
1979):
When the rate of social change increases steadily while our control
over change appears to decrease, we perceive the times as
turbulent....[one strategy is to] plan from within the turbulence; trying
to understand its unfamiliar order while building new methods and
theories appropriate to the changing conditions... (Godschalk, p. 1,
1974)
Debate currently continues to focus on whether a planning paradigm exists
(Alexander, 2000; Beauregard, 1990; Friedman andKeuster, 1996;
-21-


Garcia, 1993, p. 1; lanes, 1995 p. 183; Levy, p. 81; Lucy, p. 305; Sanyal, 1990);
appropriate elements of a planning curriculum (Feldman, 1994; Friedman, 1996;
Lucy, 1994; Ozawa and Seltzer, 1999;) and planning theory (Beauregard, 1990;
Frank, 2002; Hendler, ed., p. 8; Innes; 1995; Ozawa and Seltzer; Sandercock, 1995,
1998; Teitz, 1996; Vasu, p. 42); the appropriate role of the planner in planning
process (Brooks, 1988), appropriate goals (Beauregard, 1990; Brooks; 1990; Lucy,
1994), and appropriate planning processes.
1.9.1 Previous Analyses of a Traditional
U.S. Planning Paradigm
Analyses which focus on characteristics of the traditional U.S. planning paradigm
are few in number (Alexander, 1984; Beauregard, 1989; Dalton, 1986; Kaiser and
Godshalk, 1995, Galloway and Mahayni, 1977; Garcia, 1993; Sandercock, 1998b;
Vasu, 1979). Papers focus primarily on the paradigm which developed post-WWO
and is currently shifting or in a state of revision (Alexander, 1984; Beauregard,
1989; Galloway and Mahayini; Garcia, 1993; Sandercock, 1998b), rather than on
identifying core strands of the discipline which existed from the early 1900s and
remain to the present.
Analyses are generally limited in scope to several parameters of the paradigm (e.g.,
theory, methods, or role). Taylor (1999) focused on changing roles of the planner,
and changing skills and methods of the profession. Garcia, in a review of the
evolution of the discipline, focuses on educational program development, primarily
curriculum (knowledge areas) and general program focus (i.e., civic design, public
service, applied research (Garcia, 1993, p. 271). Galloway and Mahayni(1977)
focus on process and theory. Vasu (1979) provides the broadest analysis, focusing on
planners attitudes and values in relation to roles, goals, values, expected from
ideology and standards of the traditional planning doctrine.
-22-


The paradigm which is expressed by most authors as having been the traditional
planning paradigm, existing from after WWII until the paradigmatic crisis beginning
in the 1960s, is generally called the modernist or comprehensive rationalist
paradigm. Tenets of the modernist (Sandercock, 1998b; Beauregard, 1998) or
comprehensive rationalist paradigm (Dalton, 1986; Garcia, 1993) are generally
agreed to include:
1) State-directed futures for the public good and reform (Beauregard, 1998;
Sandercock, 1998b; Vasu, 1979)
2) Positivist, rationalist, and objective basis for decision-making (Dalton,
1986; Garcia, 1993; Sandercock, 1998b;)
3) Comprehensive nature (Garcia, 1993; Sandercock, 1998b; Vasu, 1979)
4) Scientific management and efficiency (Dalton, 1986; Vasu, 1979)
Vasu (1977) included these tenets of the comprehensive rational planning paradigm
in his discussion of the paradigm, but additionally included utopian vision, and
environmental determinism as two primary elements.
Two authors offer a truncated paradigm, which they argue has existed since the
beginning of the discipline land-use planning (Galloway and Mahyini, 1977; Kaiser
and Godschalk, 1995), and suggest the master, general, or comprehensive plan as the
focus of this paradigm (Galloway and Mahyini, 1977, p. 67; Kaiser and Godschalk,
1995, p. 366).
-23-


1.9.2 Historical Analyses of Profession and Discipline
Historical analyses and theoretical works have been developed by a number of
authors regarding continuity and change in the profession which provide insight into
elements of the discipline which might be considered defining features of the
paradigm. These include such elements as: planners role, goals, knowledge base,
and curriculum (Adams and Hodge, 1965; Birch, 2001; Birch, 1980; Burgess, 1997;
Dalton, 2001; Feldman, 1994; Fishier, 1998; Friedman, 1997; Hancock, 1967;
Perloff, 1957; Walker, 1941).
In general; however, no systematic analysis has been conducted defining
characteristics of the U.S. traditional planning paradigm, requiring construction of
this knowledge prior to development of comparative analysis with Dine traditional
planning. Detailed research design is discussed in detail in Chapter 2.
1.10 Current Tribal Planning: An Amalgam
Sections 1.10-1.10.5 provide insight into the genesis of current tribal planning. This
discussion is provided primarily for those who are unfamiliar with the history of
Tribal-federal relations, and the subsequent effect of this history on the structure of
current Tribal institutions and processes. The discussion also provides insight into
the choice to focus on oral traditions of planning, rather than current structures of
Dine Tribal planning practice to understand nahata.
Cursory review of the history of U.S.-Tribal relations indicates that structures in
which traditional Tribal concepts of planning predominate are likely to be the
exception within current Tribal planning. Reservation planning has developed within
the general framework of government planning in the United States (Buyaridi, 2000),
overlain with social views in each particular era regarding Indians-whether to be
-24-


isolated or assimilated (Dippie, 1982; Philp, 1995); the particular view of the
Commission of Indian Aflairs3 regarding appropriate Indian programs; direct
guidance/programs of Congress or the President; and, Supreme Court decisions
(Kvasnicka and Viola, eds., 1979; OBrien, 1989, p. 267-275; Philp, 1995;
Wilkinson, 1987). Structures of U.S. policy continue to affect structure of Tribal
programs as Indian nations remain in a domestic-dependent status with respect to
U.S. laws:
Although tribal values and norms regarding environmental use should
serve as the basis for tribal environmental policy under the principle of
self-determination, tribal policy is in fact heavily impacted by the
values and norms of Anglo-American society, embodied in federal
environmental law and policy. (Tsosie, 1996, p. 232)
1.10.1 Cultural Policies Towards Tribes
As previously noted (see Section 1.3), planning in the United States has been
monoculturalfollowing US policy, in general, towards ethnicity. Dippie (1982)
describes two primary paths in U.S. policy towards tribes: isolation and assimilation,
dependent, in part, on the attitudes prevalent toward Indians during a particular
period. In addition to policies of isolation and assimilation, policies of overt cultural
repression existed within the Bureau of Indian Affairs (BIA) in the late 1800s, and
were legally sanctioned until 1935 (See section 1.10.1.3).
Isolation resulted in creation and support of the reservation system, while
assimilation resulted in programs such as allotment, termination, and urban relocation
(Philp, 1995; Senese, 1991). As recently as 1967, during a dispute between Interior
Department and Office of Economic Opportunity officials over control of indian
Commissioner of Indian Affairs is in charge of the Bureau of Indian Affairs, the federal agency
responsible for reservation policy in the United States.
-25-


economic development programs, the constant tension between these two poles of
policy was noted:
...a constant dialectic between the concepts of self-determination and
termination, separation versus integration, and distinctness verus
assimilation (Cobb, 1998, p. 80).
1.10.1.1 Isolation
Policies of isolation existed primarily when Tribes were recognized as political
sovereigns with distinct governmental structures, legal systems, religions, etc. The
reservation can be seen as an outgrowth of this thinking, and although developed
primarily to free external lands for settlement, was also developed to protect both
whites and Indians from perceived cultural differences. (Collier, 1963) later explained
the benefits of isolation for the conservation of Native American culture, for both
the benefit of both Tribes and American society in general. At various points in
history (e.g., post-WWI; 1970s, 1990s environmental movement), native knowledge
has been understood as providing potential solutions to American societal problems
(Brown, 1999; Collier, 1963; Cornell, 1982,1985; Dippie,1982).
Isolation also appears to be required by district and supreme courts in federal lands
management cases regarding Indian sacred lands where Tribes must show that their
religion is conserved over time and practiced by large portion of the tribe to be a
valid concern (Brown, 1999); or that lands have been systematically managed to
keep out non-Tribal members to allow the Tribe to manage non-Indian land holdings
within Tribal boundaries (Brendale v. Confederated Tribes and Bands of Yakima
(1989).
-26-


1.10.1.2 Assimilation
Isolation was increasingly viewed as unnecessary when Indians were viewed as a
potential subculture, minority or race of America, or individuals who would become
American through education, or through generations of intermarriage (Dippie, 1982).
With the potential for assimilation of Indians into American society accepted by
progressive groups in the 19th century such as the Indian Rights Association, Society
of American Indians (Taylor,1980) and post-civil War abolkionists(Dippie, 1982);
efforts were directed to free Indians from subcitizenship and to encourage their full
assimilation into society.
Similar actions occurred post-WWII, when the potential of Indians for integration
into society was recognized due to their contribution in the war effort (Fey and
McNickle, 1959; Iverson, 1981; Senese,1991); the presence of the liberal value of
non-segregation (Philp, 1995, p. 168); and, the appointment of Commissioner
Meyer, who had been in charge of Japanese internment camps and perceived
reservations as concentration camps which should be abolished (Collier, 1963; Fey
and McNickle, 1959; Philp, 1995;).
More recently, policies of assimilation and termination appear in Congressional
efforts to reduce or potentially eliminate trust responsibilities towards gaming tribes.
Policies which tend towards assimilation have historically provided the bulk of
institutional support for Tribes. The federal land-use planning process treats Tribes
as just one of the many publics, or special interest groups that must be considered
during the public participation process (Brown, 1999); and, general social and
planning policies of the U.S. are extended to Tribes through contracts and grants
(Cobb, 1998; Philp, 1995).
-27-


1.10.1.3 Suppression of Indian Culture
From 1884-1935 (Cohen, 1942, p.175), strict BIA policy existed regarding the
cultural practices of Tribes on Tribal lands. Tribal language and other cultural
practices were banned and punished (Collier, 1963; Jackson and Galli, 1977, p. 91-
92; Kvasnicka and Viola, 1979, p. 175):
..By administrative regulation the Indian Bureau made the practice of
Indian religions a misdemeanor, punishable by imprisonment...
(Collier, 1963, p. 13).
...[Indian] Commissioner Charles H. Burke...accompanied by
Interior Secretary Hubert Work, invaded the Taos Pueblos Council, to
tell them that they were half animals by virtue of their pagan
worship. And how the Taos Governor and Council refused
compliance with an Indian Bureau order forbidding the withdrawal of
Indian boys from school for their tribal religious initiation. The
Bureau had them arrested-all the governing body, the old men, of the
tribe-and confined in a Santa Fe jail... (Collier, 1963, p. 136).
Not until the Collier Era4, when BIA ordinances were repealed, were Tribes free
to begin practicing religion, speaking their language, etc. John Collier was
committed to scientific management, conservation planning (Collier, 1963; Dippie,
1982), and the fiiture viability of Tribal populations. During this period on the
Navajo reservation, bilingual programs were developed on the Navajo reservation for
education, local school boards were organized with Navajos involved in planning
childrens education; and, the chapter system was developed (Parman, 1976).
Control of programs; however, remained with the BIA.
4 John Collier was appointed as Commissioner of Indian Affairs from 1933-1945, and thus in charge
of BIA policy. During his tenure, previous ordinances of the BIA prohibiting practice of tribal customs
and use of tribal language were abolished.
-28-


Tribes were also encouraged to form Tribal governmental structures during this
period; however, to receive federal support, structures were required to be similar to
U.S. governmental structures with constitutions framing governmental activities
(Champagne, 1986; Pevar,1992; Philps, 1995 ). Constitutions approved during this
time were known as IRA Constitutions and were often in conflict with traditional
Tribal political systems. Champagne (1996) notes that under the authorizing
legislation (Indian Reorganization Act), constitutions were required to be organized
around principles of representative democracy, rather than consensus; national
government structure, rather than kinship structure; and, include separation of church
and state, rather than a form of government in which both were united (p.25).
Although the Navajo Tribe did not organize under IRA provisions and has no
constitution, the Indian Commissioner provided both a structure of Tribal
government and a basic legal code of operation (Wilkins, 2003, p. 87; Williams,
1970, p. 20-21)-precursors to the current Tribal Code and Tribal Council. Both
forms of government are patterned after U.S. institutional structures (Williams, 1970,
p. 21). The current form of Tribal government is a representative government with
three branches-judicial, legislative and executive. Representatives are elected from
the chapter, and the Navajo President and vice president are elected from the
population at large. A Tribal Code provides the legal structure for its operation, and
associated ordinances for the structure and operation of other departments in the
Navajo Nation.
Tribes organizing under the IRA were allowed to form federally chartered
corporations and receive loans for housing, economic enterprises, and education
(AIRI, 1990; p. 21). Taylor (1980) notes; however, that even after implementation
of the IRA; Tribal councils complained that they were not allowed enough
responsibility in managing loans and tribal land assignments, levying taxes and
-29-


licensing fees, and participating with federal technical advisors in planning the long-
range development of reservation resources.
In general, US and BIA policy precluded overt tribal planning until the economic
development policies of the 1960s when Tribes were provided budgetary aid in
developing their own programs through the Office of Economic Opportunity, and
thus provided some support to develop plans on their own. Structure of these plans
and planning processes; however, was primarily determined by BIA personnel.
Williams (1970) notes the following concerning the Navajo government structure:
...all of the current self-government organizations among the Navajo
on the community, regional, and tribal level were introduced and
sponsored by Government agencies in an attempt to modify the
Navajo cultural system.. (P. 53)
The chapter system, currently the basis of local planning in the Navajo Nation, was
set up by the BIA in 1927 to aid in establishing community meetings to tell Navajos
about government programs, to find out what they wanted, but also to instill western
cultural values. A Community Services Department was created within the evolving
Navajo Nation governmental structure in the 1950s to coordinate chapters and
administer community services (Williams, 1970, p. 42), but also to encourage social
and cultural change:
The role of the Community Development Department as a tribal-wide
agency is neither neutral or passive, for it is in the process of
transforming the Navajo chapters from a town meeting type of
gathering dominated by political consideration to one that serves as a
local agency for social and cultural change.. (Williams, 1970, p. 45).
...The director of the Community Development Department has
organized a program of culture change. He has oriented his program
of community development around the concept that a change in a
-30-


groups material culture will bring about a change in cultural
behavior...
An elemental feature of the tribes community development
program is the installation of a modem chapter house in a community
which allows the people of an area to see, use, and experience many
new items of a material nature... (Williams, 1970, p. 45).
As previously mentioned, the 1950s were a period during which federal Indian policy
was focused on termination of Tribes, and assimilation of Native Americans through
relocation to job-training programs off-reservation (BIA, 1952; Fey and McNickle,
1959, p. 183-187 ; Senese, 1991), industrialization and on-reservation cultural
change. This trend toward industrialization of Indians and development of their
resources continued in BIA policy through early 1960s (Senese, 1991, p. 73):
...[Assimilation is] the dominant goal within the Bureau of Indian
Affairs...the sentiment in Congress is solidly behind the goal of
assimilation...It is in the public interest and in the interest of the Indian
to see that Indian people fit into the economic an social structure of
this country. (qtd. in Senese, 1991 p. 8)
1.10.2 Tribal Dissent and Tribal Planning
In general, Tribal planning was undertaken by the BIA. BIA set up systems for
agriculture, grazing, homes, minerals and other resources, and determined leasing
agreements for non-Tribal companies or individuals to develop Tribal minerals and
forests, and graze Tribal lands (U.S. Code of Federal Regulations, Title 25 (Indians)).
Decisions regarding location of facilities, and types and extent of economic
development, educational curriculum and form of delivery were also generally made
by the BIA. Early efforts by Tribal members to negotiate leasing agreements for oil
(Williams, 1970, p. 20) and timber (Kinney, 1950, p. 5) were invalidated by the
Secretary of the Interior.
-31-


The Merriam Report, undertaken to assess the socio-economic condition of Indians
and the quality of Indian programs, stated in 1928, What is done for the Indians is
largely done without consulting them or giving them an opportunity to express an
opinion (Merriam, 1928, p. 535). Taylor, discussing reservation conservation
programs in the depression noted ...the Soil Conservation Service habitually gave
low priority to economic projects that would encourage Indian participation,
preferring instead to draw up more orthodox and ambitious plans in which the Indians
would play no part. (Taylor, 1980, p. 117)
Tribal members repeatedly voiced complaints against policies made without their
approval. Fey and McNickle (1959) discuss an intertribal gathering against allotment
policy in 1887. Gordon-McCutchan (1991) mention protests of Tribes against the
formation of national forests from Tribal land. (Frisbie and McAllester, 1978;
Iverson, 1981; Wiliams, 1970, p. 10) describes the protests of parents and Tribes
against the BIA boarding school system on the Navajo reservation in the late 1800s.
The Merriam report, as well as other historical documents, indicate the frustration of
tribal members with provision of services by the BIA, and their lack of involvement
with planning for these services (Iverson, 1981, p. 114). Although the Collier Era
provided some flexibility to Tribes to engage in economic development (Fey and
McNickle, 1959), BIA generally continued to plan for Tribes during this era (Taylor,
1980). Tribes were not given the power to take over provision of education, health,
probate or sale of allotments (Cohen, 1942; p. 86); and were allowed limited
responsibility in ..managing loans and tribal land assignments, levying taxes and
licensing fees, and participating with federal technical advisers in planning the long-
range development of reservation resources... (Taylor, 1980, p. 117). The 1952 BIA
plan for the Navajo Reservation indicated only that the Tribe would be kept
informed as to the development of this program and be given the opportunity to
-32-


discuss all phases (BIA, 1952, p. 42)
Not until the federal economic development policies of the 1960s which began to
focus on a form of local empowerment for low income and minority populations
(Community Action Programs, etc.) and self-determination legislation of the 1970s
(Getches, Wilkinson, and Williams, 1998) were tribes provided budgetary aid in
developing their own programs, and thus provided support to develop plans of their
own. Support initially came primarily from programs outside the BIA, such as
Office of Economic Opportunity (OEO) and Health, Education, and Welfare (HEW)
(Schulz, 1994, p. 69). Later, Tribes were provided an opportunity to contract directly
with the BIA or Indian Health Service to plan and administer programs including
social services, health, education, housing, and community development, law
enforcement and natural resource management (OBrien, 1989,
P- 89)
Recently, with funding from mineral revenues, casinos, tourism, contracting from
BIA, and other sources, Tribes have begun to gain control of natural resource
management programs, housing, health, and justice. With this control, is also gained
the opportunity to take control of planning functions and structures, previously
provided by BIA and consultants external to the Tribe (Wolf and Morgan, 2000).
Although Tribes are currently managing and administering programs in natural
resource management, environmental protection, social and education programs, and
economic development; federal control still exists in the form of program design,
compliance with federal regulations, oversight authority of the Secretary of the
Interior, Congressional allocation of funds, and BIA trust responsibility for tribal
resources. (Champagne, 1986, p. 29) notes that BIA officials play a major role in
seeing that tribal government action conforms with written laws and regulation.
-33-


1.10.3 Navajo Traditional Planning
Navajo traditional planning has always existed in teachings from ceremony and
philosophy; however, teachings of this knowledge and practice were disrupted by
boarding schools which removed children from teachings of parents, grandparents,
and other community members and supplanted Navajo concepts with Western
concepts through the system of education, punishment, and lack of contact with
families (Iverson, 1981).
As noted previously, there was a brief period in 1930-1940s when Tribes were
encouraged to practice culture by Secretary Collier, but this was followed by the
termination era in which efforts of federal policies focused again on assimilation.
The boarding school in Shiprock was constructed in the 1950s (Schultz, 1994, p. 66),
and still operated into the 60s, continuing to punish students for speaking language
and participating in their culture.
In the late 1960s, the Navajo Nation began development of a formal educational
system integrating Navajo culture and philosophy. Curricular materials were
developed in the Navajo language. Navajo Community College (now Din6 College),
the first Tribally controlled college, was organized in the late 1960s with a mission
and educational philosophy based on Navajo traditional concepts. Schwarz (2001)
noted recently that this educational program has now expanded to include all
educational levels in the Navajo Nation:
...Navajo tenets of philosophy are currently taught at all grade levels,
as well as in courses at Din6 College, the first tribally operated college
in the country. (P. 9)
The Navajo court system began reorganizing in thel980s based on traditional
principles (Yazzie, 1994, p. 186). A recent Tribal resolution (Fundamental Laws of
-34-


the Dine. CN-69-02) amended the Navajo Nation Tribal Code to recognize the
natural laws which traditionally guided and sustained the Dine. These fundamental
laws had not previously been acknowledged and recognized in the Tribal Code, but
were left to the Judicial Branch to enforce.
The Fundamental Law of the Dine formally incorporates the natural laws into the
Tribal Code by reference. In addition, it states that all elements of the government
must learn, practice and educate the Dine on the values and principles of these laws;
and, that government structure, written laws, leadership, and all knowledge, wisdom,
and practices...must be developed and exercised in harmony with the values and
principles... of these natural laws. Natural laws require honor, protection, and
respect of natural elements, and protection and preservation of beauty. Only those
practices, principles, and values of other cultures which are not contrary to these
traditional principles and values may be incorporated into Dine government.
Incorporation of these traditional concepts will require a restructuring of the current
Tribal government. At present, the system of planning and many governmental
structures existing in the Navajo Nation have developed primarily through U.S.
federal programs and structures. These current structures of planning will be
discussed in the following sections (1.10.4-1.10.5).
1.10.4 Current Navajo Government Planning
Three general types of Navajo government planning exist -all with roots in federal
programs and structures: chapter (local), district or agency (regional), and Navajo
Nation (central government). Local structures called chapters were developed
beginning in 1927 by BIA primarily for information dissemination. They are also
utilized by the Tribal government headquarters in Window Rock for dissemination of
information and distribution of funding, and are the primary units for community
-35-


development planning. National planning has focused primarily on tribal
economic and land development. Planning of this type began in the 1950s for the
Tribe by BIA, and shifted to the Tribe in the 1960s.
Two types of regional structures called districts and agencies, were developed by
BIA. The Navajo Nation was divided into six agencies by the BIA during the
period from 1901-1934 to improve administration ofNavajo affairs (Williams, 1970,
p. 18). Districts were circumscribed within these boundaries in 1952 (Wilkins,
2003, p. 151, 208) to provide for dissemination of information regarding
conservation and livestock management. Agencies have recently provided regional
structures for technical staff to aid chapter governments in complying with the Local
Governance Act (Office and Commission on Navajo Government Development,
1998, p. 30-31), and currently provide general support for capital improvements and
other land development projects5.
The following sections provide greater detail regarding the origin and focus of
chapter and national Navajo planning, two primary forms of planning in the Navajo
Nation. Information is derived primarily from literature sources. A much fuller
understanding could be gained through interview of individuals involved in planning
within the Navajo Nation; however, such an effort is a research project in itself, and
is beyond the means of this investigation.
1.10.4.1 Chapter
Chapter organization provided a geographical division of the reservation into
approximately 110 units (Wilkins, 2003). In 1927, the first chapter was set up by
BIA agent, John Hunter, to aid in establishing community meetings to tell them of
5 Capital Improvements Office, Division of Community Development, Navajo Nation
-36-


our [U.S. Governments] programs and we could find out what they wanted. It was
noted by Hunter that the model for this community meeting was the New England
town meeting with a set of elected officials (Williams, 1970, p. 1):
We were told to organize Town Meetings among the Navajo
people. But as most everybody knows, Navajos dont live in towns;
and they had never heard of town meetings, elected officers, or the
majority rule. However, we went out and found headmen of outfits,
told them about our plans for community meetings and projects, and in
almost all cases we got them interested and chapters started. (qtd. in
Williams, 1970, p. 36)
Function of chapters in the 1960s remained similar to that in the 1930s, focusing on
discussion and dissemination of information, rather than more broadly focused
local planning (Williams, 1970, p. 63). The chapter was indicated in a 1955
resolution of the Tribal Council to be a center for local planning and discussion
(Williams, 1970, p. 41).
Chapter organization provided the basis in the 1960s for the distribution of Office of
Economic Opportunity funds and other governmental programs which were to aid in
solving community problems (Office of Program Development, 1974, p. 52).
These funds were part of broader federal programs to involve community members in
local problem-solving (e.g., Model Cities Programs; Community Action Programs)
which were being advocated by the Johnson Administration (Senese, p. 103-106;
So, et al., 1979, p. 556-557 ). Power was not granted to chapters for land-use
planning or dealing with economic issues; however. Plans were generally written for
large communities by the Tribal government departments in Window Rock in the
1970s-1980s, and leasing was handled by departments in Window Rock and the BIA.
Currently, the chapter structure provides the basis for implementation of the Local
-37-


Governance Act. The Local Governance Act, passed in 1998 by the Tribal Council,
provides an opportunity for local communities to determine patterns of local
economic and land development, which had previously been controlled by BIA and
Window Rock. The structure of planning described in the Act is similar to western
planning, requiring development of a government management structure, and a
comprehensive plan with open space, transportation, land-use and community
facilities components; and, allowing the use of zoning and eminent domain (See
Appendix A).
1.10.4.2 Central Navajo Government
Tribal planning occurs primarily in Window Rock, the governmental headquarters of
the Navajo Nation. A brief review of plans for the Navajo Nation indicates that they
were first developed in the late 1950s with Congressional funding set aside for
Navajo/Hopi planning in recognition of severe drought and economic conditions on
the reservation, and were done on behalf of the Navajos by the Bureau of Indian
Affairs (Office of Program Development, 1977, p. 4). Focus of the initial plan was
on project development and implementation to improve the Navajo standard of living
through development of physical infrastructure (e.g., roads, irrigation, housing,
telephone, hospitals), industrial development, natural development, and tribal
commercial enterprises on-reservation, and off-reservation training and employment.
Tribal planning within the Navajo Nation, itself, began in the 1960s with funding
support from the Area Redevelopment Act, and the Office of Economic Opportunity.
Focus was primarily on development of economic develop plans, although a zoning
system for the Navajo Nation was also being suggested during this time (Chambers
and Campbell, Inc., 1963). Planning during most of the 1960s was being undertaken
by consultants and BIA staff (Office of Program Development, 1977, p. 4).
-38-


The concepts of comprehensive plan and zoning were codified into the Navajo Nation
Code in 1963 (ACMY 72-63) and 1965, respectively (CS-76-65). Comprehensive
plans were initially stated to include a land-use plan, thoroughfare plan, community
facilities plan, and zoning, subdivision regulations, and public improvement
programs (NNC T.6,4B), but were later defined to include open space, land-use,
transportation (throughfare), and community facilities components (NNC T.6,1101).
Tribal department structure and staffing for planning appears to have begun in the
early 1970s with establishment through Tribal Council Resolution of an Office of
Program Development, and a Division of Planning responsible for creation of and
compliance with comprehensive plans (Office of Program Development, 1974).
The Office was to provide technical advise necessary to carefully and rationally
direct Navajo economic efforts towards the achievement of goals and objectives set
by the Navajo Tribal Council (Office of Program Development, 1974, p. 13).
This structure superceded previous structures for planning on the reservation. It was
staffed with planners, lawyers, designers, engineers, economic and industrial
development specialists. Among activities the Office of Program Development was
involved in were: support in oversight of business site-leasing; development of
reservation and community overlay maps; preparation of a rural public transportation
plan and an air systems plan; preparation of eight comprehensive community plans
for major reservation communities; feasibility study and site plans for a shopping
center in one major community; assessment of tourism potential and motels; and,
construction of community water and sewer systems. (Office of Program
Development, 1974, p. 15; Office of Program Development, 1977, p. 5-6).
This structure was supported by several funding sources: 1) contracting of BIA
industrial, commercial and tourism development functions (Office of Program
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Development, 1977, p. 5); and, 2) grants from a variety of sources including
Department of Housing and Urban Development, and the Economic Development
Administration. One report noted that priorities, such as industrial development,
were defined, in part, by funding sources (Office of Program Development, 1977,
p. 5).
The planning office was abolished in 1983 for political reasons, and was re-
established four years later. It operated for ten more years and was again abolished in
1997, under the pretext of a new local governance structure which was to include
local planning- the Local Governance Act (LGA). The LGA was passed by the
Tribal Council to decentralize planning decisions regarding economic and land
development to the local level (chapters). Communities are currently being aided in
development of plans by consultants (both Navajo and non-Navajo), and the Capital
Improvement Programs of the Division of Community Development; however, many
indicate that planning proceeds much as it did prior to passage of the LGA, with
central government control (Snyder, 2004).
Many other departments and divisions within the Navajo Nation currently engage in
planning. A survey was undertaken of 29 Navajo Nation departments or programs
dealing with management and/or protection of resources (Wolf, 1995). Seventeen
returned surveys, and 93% of these engage in annual planning. Fifty percent engage
in long-range planning, generally of 3 years. Impetus for planning in these groups
comes from within and outside the Navajo Nation. Sixty-three percent responded to
external funding or federal laws; 81% to Tribal codes; and 50% to Tribal presidential
directives.
Economic Development, the focus of initial Navajo Nation planning, has remained a
focus of planning through the Division of Economic Development. The first Ten-
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Year Plan for Economic Development of the reservation was published in 1972.
Economic Development Plans continue to be produced annually by the Tribe.
1.10.5 Current Tribal Planning
U.S. policy towards tribes from approximately the 1850s to the 1970s precluded
overt tribal planning. Tribal cultural concepts, whether overtly integrated into
current amalgamated Tribal planning structures, likely remain part of the planning
process of the Tribewhether informally or formally practiced (Champagne, 1986;
Fey and McNickle, p. 113; Jojola, 1998; Jostad, 1994; Lyons, et al, 1995, p. 245;
Tsosie, 1996, p. 226).
Williams (1970), in discussing incorporation of U.S. political structures into Navajo
Nation governance, indicated that the philosophies underpinning these structures
were not necessarily subscribed to, but that different interpretations based on Navajo
philosophy existed:
...As the Navajo adjusted to the new forms of political organization
derived from Indo-European cultural models, they began to
incorporate such political principles as majority rule, quorum, standing
vote, and parliamentary procedures such as tabling a motion.
However, the meaning each of these political features has for Anglo-
Americans is different from the meaning it has for the Navajo (p. 53).
In addition, chapter meetings are conducted to try to achieve harmony and
consensus-traditional values, through a forum which is not time-limited, but
continues all day (Williams, 1970, p. 43):
...Speeches, debate, and discussion, sometimes all but endless, were
consequently the normal means used to create unanimity. (Williams,
1970, p.7)
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...In terms of the traditional Navajo culture, the socially acceptable
means to achieve uniform collective behavior was to talk and to
discuss the issue until all were convinced (or too embarrassed to raise
further objections) and thereby achieve consensus. (Williams, 1970,
p. 12)
Current Tribal planning structures are; therefore, an amalgamation of Tribal and U.S.
planning frameworks. Figure 1-1 shows some conceptual diagrams of the range of
different planning structures and characteristics which might result from this
interactionfrom mostly traditional structure and characteristics, to mostly U.S.
structure and characteristics, to totally new structures and characteristics.
The degree to which components of Tribal and U.S. planning inform current planning
frameworks and associated characteristics is dependent on a large number of factors
including: 1) when the planning structure was developed and degree of Tribal
autonomy for providing programs at the time; 2) which federal programs were
contracted by or entered into by the Tribe when the structure was developed, and
requirements of these programs; 3) whether the Tribe is an IRA constitutional
government framework (Porter, 1999); 4) the presence of a large percentage of
allotted lands within Tribal planning region; and, 5) the presence of native language
and education programs.
Several authors also note the presence of different factions within Tribes (Broome,
1995; Taylor, 1980) with differing points of view regarding structures of Tribal
governance (Senese, 1991; Taylor, 1980), resource use, and economic development
(Lewis, 1995). Relative balance of the population by these groups will also affect
the types of programs sought within the Tribe, and the relative commitment within
the Tribe to language and other Tribal traditions.
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Figure 1-1. Comparison of Current and Traditional Tribal Planning Structures
in the United States
Traditional U.S. Traditional Tribal
Potential Current Tribal Planning Structures
U.S. framework; Tribal content Tribal framework; U.S. content
Amalgam of framework and content
New structure and content
Susan Diane Wolf 2004
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Four main groups described by Senese are: 1) traditionalist-nationalists who were
often tribal spiritual leaders whose loyalty is to the Tribe; 2) secular nationalists
who were members of AIM, or other organizations which engaged in a public
struggle whose loyalty is also to the Tribe; 3) tribal pragmatists who were members
of NCAI and NTCA or other councils recognized by Washington, D.C. who are
loyal to the US and the BIA; and 4) American of Indian descent who played
reservation power politics from a base of corporate influence and big money and
would have been absorbed into the white community long ago, had it not been for
prejudice or other interfering factors (Senese, 1991, p. 153).
1.11 Dine Traditional Planning: Nahata
Navajo traditional planning has always existed in teachings from ceremony and
philosophy; however, written records of these teachings do not exist. Research is
required; therefore, to develop some understanding of concepts of nahata prior to
development of the comparison with U. S. planning. Research design is discussed in
detail in Chapter 2.
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2. Research Framework;
Nahat5 (Gathering Together the Elements; Planning)
As previously discussed (See sections 1.9 and 1.11), literature provides neither
delineation of a U.S. traditional planning paradigm, nor discussion of characteristics
and tenets of nahata, thus the research framework for this investigation was
constructed to delineate characteristics of traditional planning paradigms in both
cultures, as well as, to provide a comparative conceptual framework for investigation
of their similarities and differences.
This investigation focuses on the derivation of understanding of paradigms in both
cultures through development of a parallel research structure. Foci of analysis in
both cultures is on planning experts who are knowledgeable about theories, methods,
and philosophies of planning in that culture. Experts chosen to aid in understanding
characteristics of U.S. planning are planning professors in U.S. universities.6 Experts
chosen to aid in understanding characteristics of nahata are elders, medicine people,
naataanii, and cultural teachers. A combination of ethnographic methods, grounded
theory, and naturalistic inquiry provide the tools, and methodological framework for
this analysis.
Integral to the formulation of the research structure are definitions of paradigm,
traditional, and normative. Paradigm was previously discussed (1.8).
Definitions of traditional (2.2.2) and normative (2.2.1.1) are particularly important to
6 Practicing planners should also hold understanding of the paradigm, but are one-step removed in
their practice. Planning literature often mentions the disj tincture between planning practice, and the
ideals and values of the discipline (Brooks, 1988; Dalton, 2001; Feldman, 1994). In addition,
individuals working in the planning field do not necessarily have formal planning degrees (Vasu, 1979;
Baum, 1983), and thus may not be trained in philosophies and theories of the discipline, although AICP
certification provides exposure to these philosophies and theories.
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the delineation of the U.S. planning paradigm, for which circumscribing the paradigm
is expected to be problematic due to the evolutionary nature of the discipline, and
multiple views of the paradigm which exist among theorists and practitioners
(Friedman, 1987; Vasu, 1979; see Section 1.9,1.9.1). Nahata is agreed by the Dine
to be their normative, traditional planning, and thus does not present similar
definitional problems.
This chapter is divided into four primary sections:
1) Overall research framework-naturalistic inquiry, grounded theory,
ethnographic methods (2.1 -2.1.3.2);
2) Structure of analysis definitions, operationalization of definitions
(2.2-2.2.4);
3) Data gathering: interview structure and protocol (2.3-2.3.3.2); and,
4) Data analysis: analysis of transcripts and literature sources (2.4-
2.4.3).
Sections 2.1-2.1.3.2 are provided primarily to introduce research tools not
previously applied in planning research, which are useful in both postmodern studies
and cross-cultural analysis, and examples of how they were applied in this
investigation. Sections 2.2-2.2.4 provide insight on how the boundaries of the
paradigm were constructed in each culture through definition of thematic areas, and
construction of parallel and contrasting questions for interviews. Sections 2.3-
2.3.3.2 discuss the selection of interviewees, and interview structure and protocol.
Sections 2.4.1.1-2.4.1.4 provide discussion of transcript analysis through coding and
summary. Sections 2.4.2-2.4.2.2.1 provide description of literature analysis; and,
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Section 2.4.3 describes construction of tables for comparative analysis.
2.1 A Framework for Postmodern Research
Many planning authors have complained about the fragmented framework that
postmodernism creates with lack of a systematic method, framework for analysis, and
basis for action (Feldman, 1994; Harper and Stein, 1995). Several different methods
for research within the postmodern approach are suggested by researchers such as:
deconstruction (Boyer, 1983; Dear, 1986; Feldman, 1994; Harper and Stein, 1995;
Milroy, 1991; Sandercock, 1995) or geneological analysis (Fischler, 1998); feminist
critique (Borden, et al, 1998; Hooper, 1992; Ritzdorf, 1995; Sandercock, 1998a);
hermeneutics or literature analysis (Dear, 1986; Kramsch, 1998a); and, critical
analysis or theory (Albrecht and Lim, 1984; Alexander, 1984; Harper and Stein,
2000; Friedman and Keuster, 1996; Sandercock, 1998a). An overall structure for
postmodern research is not generally discussed by these authors; however, and the
lack of such a structure is noted as a point of concern for many.
Although considered a methodological framework in development (Erlandson,
Harris, Skipper and Allen, 1993, p. xi), naturalistic inquiry, also known as
constructivism (Erlandson, et al., 1993, p. 8), provides a systematic framework for
postmodern research design, analysis and theory generation (Erlandson, et al., 1993;
Lincoln and Guba, 1985). Tenets of this framework are utilized in generation of
research design, data analysis structure, and theory generation for this investigation.
The methodology and framework of naturalistic inquiry are derived, in part, from
research practice and patterns of research protocol emerging during conduct of
comparative analyses (Erlandson, et al., 1993 p. xi; Glaser and Straus, 1967). One
author describes naturalistic inquiry as hermaneutic-dialectic interaction
(Erlandson,et al., 1993, p.xiv), or an interpretive framework based on comparison
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and contrast. The result of application of this framework are pattern theories or
grounded theories regarding interconnections and relations between multiple
elements or themes related to the subject of study (Lincoln and Guba, 1985, p. 49;
See section 2.1.2).
The following section provides some discussion of this framework, comparison of its
tenets to those of the positivistic framework, and discussion of its application to this
research. In addition, grounded theory and ethnographic methods, both of which are
particularly suited to this type of inquiry, the study of culture, and the conduct of this
investigation are discussed.
2.1.1 Naturalistic Inquiry
Table 2-1, reprinted from Lincoln and Guba (1985), shows some differences between
assumptions of naturalistic inquiry and positivist inquiry. As noted in the previous
chapter, planning is a field organized within the modemistic/positivist framework,
thus theories, methods, etc. primarily follow the positivist structure of research with
focus on development of universal models, standards, etc. which can applied
independent of context and culture. Studies have not previously been conducted in
the planning field regarding alternative worldviews of planning.
This investigation is based on the assumption that theories, methods and other
characteristics of planning are dependent on culture, and thus are likely to differ as
cosmologies, teleologies and epistemologies differ between cultures. In Lincoln and
Gubas (1985) terminology, the assumption is that multiple realities exist, and
subsequently, the search to understand multiple worldviews of planning underlies this
research. It lies; therefore, in the realm of the naturalistic inquiry.
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Table 2-1. Contrasting Positivist and Naturalist Axioms (Lincoln and Guba,
Naturalistic Inquiry, pp. 37-38, copyright (c) 1985 by Sage Publications. Reprinted
by Permission of Sage Publications, Inc.
Axioms About Positivist Paradigm Naturalist Paradigm
The nature of reality Reality is single, tangible, and fragmentable Realities are multiple, constructed, and holistic
The relationship of knower to the known Knowers and known are independent, a dualism knower and known are interactive, inseparable
The possibility of generalization Time-and context-free generalizations (nomothetic statement) are possible Only time-and context- bound working hypotheses (idiographic statements) are possible
The possibility of causal linkages There are real causes, temporally precedent to or simultaneous with their effects All entities are in a state of mutual simultaneous shaping, so that it is impossible to distinguish causes from effects
The role of values Inquiry is value-free Inquiry is value-bound
Contrasts in applying this postpositivist or postmodern approach rather than the
positivist approach are discussed below with focus on several elements of particular
relevance to this investigation: theory underlying research, research design, location
of research, and focus of data sampling (Erlandson, et al, 1993; Lincoln and Guba,
1985).
2.1.I.1 Theory
Design is not predicated on testing a general proposition or theory as is often the
approach in positivist/modemist research, but is developed with limited structure to
allow propositions and theories to emerge from data. Grounded theory is noted as
the type of theory which develops from this approach, is described in more detail in
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Section 2.1.2 and was used to structure comparative analysis in this investigation.
2.1.1.2 Emergent Design
In naturalistic inquiry, the research design is modified during the course of research
to better reflect the nature of data, important categories related to the question of
focus, and relationships which emerge during the course of research (Lincoln and
Guba, 1985). Changes may be as broad as redefinition of the research question,
sampling design, and form of data analysis. This approach differs significantly from
the modemistic/positivist approach in which design, including definition of research
question, sampling design, and analysis techniques are all defined prior to data
collection, and adhered to during the course of research.
In this investigation, a major change in design emerged during the course of research
which shifted focus in Navajo planning from four concepts (e.g., nitsahakees, nahata,
iina, siihasin) to one (nahata). Although nahata had been loosely translated as
planning by Navajo colleagues while working within the Navajo Nation, it was not
until August, 2002, at least one year after beginning to design the framework for
Navajo research, that my notes indicate that nahatd would be the focus of research.
Prior to that time, my notes focused on the four concepts as related to planning, and
to some fragments of phrases related to the origin, characteristics and process of
Navajo planning.
2.1.1.3 Location of Research
Research in naturalistic inquiry occurs primarily in the field, rather than in the
laboratory or through use of questionnaires, literature, or other means which remove
the researcher from the context of the research often selected for in
positivist/modemist research. Participation in the field provides the researcher with
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understanding of the context under which research is taking place. It additionally
allows development of understanding of how questions are perceived in interviews,
and provides opportunity for additional observations which may aid in understanding
the research problem, relationships, or the fit of research techniques to the particular
field situation.
In this investigation, field work provided understanding of the effect of season or the
particular events in a persons day on the interviewees focus during the interview;
discussion is context dependent. During the course of interviews with Dine experts
both the season (winter) during which the interview was being conducted, and recent
concerns about the Iraqi War affected direction of discussions. During interviews
with U.S. planning professors, recent experiences such as attendance at conferences,
recent visits with their children, or inability to afford housing also affected underlying
tenor of discussions.
2.1.1.4 Purposive Sampling
Research design focuses on purposive sampling, rather than random or
representational sampling in a general population which would more likely be
undertaken in positivist studies. Purposive sampling is noted as technique in
grounded theoiy (i.e. theoretical sampling), and is described as one of the methods of
ethnographic sampling (Werner and Schoepfle, vol. 1, 1987, p. 183-185).
In purposive sampling, the sampling framework selects for information rich cases
for study in depth...[which] will illuminate the questions under study (Erlandson, et
al. 1993, p. 82). In this research, experts in the philosophies and theories of
planning are selected for in both U.S. and Navajo cultures.
Purposive sampling may also result in an emergent sampling framework-within
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which interviewees are identified during the course of research, and for which the
total number of interviewees will often be unknown at the initiation of the study.
Only two of the eight Navajo interviewees were identified prior to entering the field.
The remaining six were identified in the field through referral by others who regarded
them as knowledgeable in the subject. With U.S. planning interviews, 6 faculty were
identified for the pilot study from local planning universities, and the remaining
sample was determined after analysis of the first set of interviews and subsequent
identification of factors which should be considered in the selection of remaining
interviewees.
2.1.2 Defining PatternsGrounded Theory
Erlandson (1993) states that grounded theories are theories that follow from data
rather than preceding them (p. 112). Grounded theory, although appropriately
considered a method of data analysis and research design, is also a theory about the
development of knowledge from data. Central to grounded theory is the assumption
that theory cannot be divorced from the process by which it is generated (Glaser and
Straus, 1967, p. 5).
Glaser and Straus (1967) note that a theoretical framework provides modes of
conceptualization for describing and explaining and a strategy for data handling.
A framework developed by logico-deductive thinking limits conceptualization of
important variables, relationships between variables, and characteristics of data to
previously hypothesized relationships- which may or may not have relevance to the
particular scope of research.
In grounded theory, theory about the best way to handle data, and to describe and
explain data is generated during the research process. Initial decisions regarding
data collection are based on general subjects or problem areas, rather than a
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preconceived theoretical framework with variables and relationship chosen from
this previously developed theory (Glaser and Straus, 1967, p. 45).
The method of grounded theory is that of comparative analysis. General subject areas
are studied within a comparative framework. In this case, the general subject of the
planning paradigm was studied within a comparative framework of two cultures.
Grounded theory stresses comparative analyses in all phases of research to elicit
categories of analysis, properties of these categories and their relationships to each
other (Glaser and Straus, 1967, p. 55), and to delineate patterns in cultures.
Comparative analysis was used in all phases of this investigation: 1) to construct the
overall research structure; 2) identify thematic areas and parallel interview questions;
3) analyze data within each paradigm, and between paradigms; and, 4) to construct
summary tables of planning characteristics, and develop conclusions about broad
similarities and differences.
At the core of the comparative method is an iterative process of deductive and
inductive analysis, of conceptualization and reconceptualization of patterns and
relationships in data until a stable cultural pattern appears (LeCompte and
Schensul, 1999a, p. 15).
2.1.2.1 Previous Use of Grounded Theory in Planning
Although grounded theory has been directly mentioned or alluded to as one of the
methods of postmodernism utilized by planning practitioners (Innes, 1995; Milroy,
1991), it has not previously been applied to understanding the culture or paradigm of
planning, either within or outside the United States. Comparative analysis of
cultures has been suggested; however, as a means of creating modified planning
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curriculum and development strategies in cross-cultural planning education and
projects (SanyaL, 1990; Smith, 1985). Bolan, noted in 1974, that methodologies were
needed within the planning field which recognize dialectical relationships among
man, nature, and the social world. (Bolan, 1974, p. 31).
2.1.3 Focus On CultureEthnographic Methods
Prior to the development of current postmodern inquiries, methods for studying
culture had been developed, known as ethnographic methods. These methods were
used in the fields of anthropology and the social sciences, primarily, to study cultural
patterns, test theories of culture, describe cultures, etc. Culture was generally
defined for these studies as follows from Tylor (1951):
Culture or civilization, taken in its ethnographic sense is that complex
whole which includes knowledge, belief, art, morals, law, custom, and
any other capabilities and habits acquired by man as a member of
society (Pasquinelli, 1996; p. 55)
LeCompte and Schensul (1999) note that the concept of culture provides a
framework for interpreting results in ethnographic work:
...concept of culture as a lens through which to interpret results.
(P-9)
...[ethnography] generates or builds theories of culture-or
explanations of how people think, believe, and behave-that are
situated in local time and space... (p. 8).
Ethnography is used in this investigation to understand how people think, believe and
behave within the planning profession. The focus is on defining cultural patterns of
normative characteristics which guide the practice of planning (See section 2.2.1.1).
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Use of a combination of information sources such as interviews, questionnaires,
archival analysis, and observations are encouraged in ethnographic research to
provide a range of data sources to better understand relationships in data; expand the
pool of interviewees; validate data by triangulating a concept from different
sources; and provide an opportunity to consider information from a variety of
viewpoints (Glaser and Straus, 1967, p. 65; LeCompte, 1999a). A variety of sources
of information were utilized in developing the research framework for this inquiry
including:
-personal experience
-workshops/public meetings
-professional planning publications/conference proceedings
-dissertations
-autobiographies
-interviews
-general literature review
2.1.3.1 Previous Use of Ethnographic Methods in Planning
Ethnographic methods have not traditionally been considered part of the knowledge
and training of planners, although their value was noted in the 1920s-40s (Perry,
1929), in the 1960s (Maruyama, 1973), and in the recent postmodern discussions in
planning- all periods when ethnicity, subcultures, pluralism (Matthews, 1970) or
cultural localism (Fischler,1998, p. 399) were of particular interest within U.S.
society.
Ethnographic methods were used by sociologists to study U.S. communities during
the 1920s-1940s at the University of Chicago (Smith, 1988; Fishman, 2000), and the
planning profession drew heavily from this research (Birch, 2001) for development of
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planning theory to explain urban form and urban problems (Beauregard, 1989,
p. 383).
Efforts to develop a general planning curriculum framework in the late 1950s were
expected to incorporate methods and tools from other disciplines which had been
found useful to the discipline of planning (Perloff, 1957, p. 136-7). Understanding of
the preparation and uses of social surveys in planning were listed as part of the basic
methods and tools of planners in this suggested curriculum (Perloffj 1957, p. 43),
however, the focus appeared to be on analytical aspects of the survey, rather than
broader ethnographic methods.
Inclusion of ethnographic methods were part of the dialogue of developing the social
planning subdiscipline during the 1960s when the discipline also grappled with
diversity and ethnicity (Maruyama, 1973; Peattie, 1967; So, et al., 1979):
There is currently much discussion in the field concerning social
planning-what it is and how it should be related to existing planning
programs....the kind of work done by social anthropologists-and by
sociologists, psychologists, and others who report on social reality at
the small scale through fieldwork techniques of interview and
observation-constitutes a somewhat more radical addition to planning
than planners generally recognize. This way of working does not
merely provide a data input to social planning, or a description of
social factors which other kinds of planning may need to take into
account; it also tends to develop views of social reality, and of
planning, somewhat different from those commonly held by
planners... (Peattie, 1967, p. 266)
With recent concerns regarding incorporation of multiculturalism into the planning
discipline, ethnographic methods or case studies are again being suggested as tools
which should be introduced to students (Baum, 2000, p. 132-133; Friedman, 1996, p.
101), and are methods finding some application in planning research (Bollens, 2002;
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Qadeer, 1997; Sandercock, 1995); however, these methods have not been internalized
within the discipline:
While planning theorists often draw upon a variety of academic
disciplines for ideas, their forays are biased: economics and public
administration but not anthropology and history, the social sciences
but not cultural studies and literary theory. (Beauregard, 1991, p.
192)
Ethnographic studies have generally been considered the expertise of consultants who
are brought into planning projects:
Anthropological surveys are highly refined tools, but they must be
developed and conducted by professional and thus they require costly
time and labor... (So, et al., 1979, p. 509).
Socioeconomic impact analyses of planning project have generally been conducted
by development consultants ( So and Getzels, 1988, p. 348) or professionals in other
disciplines such as anthropology, sociology, rather than from within the planning
discipline (Peattie, 1967; Schoepfle, Burton and Begishe, 1984).
2.1.3.2 Culture of Planning
Although many authors indicate that there is a culture of planning (Alexander, 1994;
Baum, 2000; Fischler, 1995); this culture has not been studied systematically using
ethnographic methods. Interviews/questionnaires have been used at times throughout
the history of planning to probe professional values/roles (Baum, 1983 ; Vasu, 1979);
however. This study focuses on a portion of the culture of planning by analyzing
the paradigm of planning. Other aspects of the culture, such as professional practice,
are not the focus of this investigation, but provide opportunities for future
investigators.
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2.2 Structure of Analysis
Research has been structured to:
1) Provide understanding of traditional planning concepts in two
cultures; and,
2) Allow comparison of characteristics of traditional planning in two
cultures.
The overall research framework evolved through an iterative process of pilot study,
literature review, and discussion with Dine individuals over a period of 3 years to
determine overall structure, thematic areas of inquiry, and interview design. The final
research design is derived from understanding gained through this process; previous
background knowledge of the structure of planning in the two cultural systems,
supplemented by selection of three concepts to provide the structure and boundaries
of research (i.e., paradigm, normative, tradition). Definitions of all three using
Websters New International Dictionary and Merriam-Websters Collegiate
Dictionary further delimit the scope of research-determining what is included and
what is excluded from focus (See sections 2.2.1.1 and 2.2.2)
2.2.1 Traditional Planning Paradigm
Three broad areas of inquiry provide the focus for establishing characteristics of
traditional planning paradigms in both cultures:
1) the philosophical or normative position of what planning should bewhat
are the goals, role of the planner, etc.;
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2) the origin or foundation of the concepts-where did they come from and
why; and,
3) traditional components of each conceptual framework-components which
have continuity through time.
The following sections provide discussion regarding how normative and
traditional are operationalized through the use of definitions, and the structure of
data analysis. In addition, discussion is provided regarding the selection of thematic
areas to identify characteristics of planning paradigms (2.2.3).
2.2.1.1 Normative: Ideal Characteristics
This investigation focuses on ideal or normative views of what planning should be.
Norm is defined as the following7:
1) an ideal standard binding upon the members of a group and
serving to guide, control, or regulate proper and acceptable behavior;
2) a pattern or trait taken or estimated to be typical in the behavior of
a social group because more frequently observed.
Normative has been chosen, for this study, to refer not only to the behavior of
planners, but to other characteristics of the paradigm which define the precepts,
principles and practices of the ideal of planning in each culture.
2.2.1.2 Operationalizing the Normative-U.S. Paradigm
Werner and Bernard (1994) state that when three or more consultants agree on a
7 Norm. Def. 3; 4c. 1993. Websters New International Dictionary Unabridged, 3d ed.
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fact within a homogeneous social system it is time to move on to another group that
views things somewhat differently (p.9).
The US planning profession, for this research, will be considered a homogenous
social system; however, current disagreement within the field regarding the paradigm
and potential for divergent views of the paradigm by interviewees are expected;
therefore, a majority (over 50%) of respondents will be deemed necessary to provide
indication of the normative. In addition, current professional literature is reviewed to
corroborate majority views (2A.2.2)
2.2.1.3 The Normative-Dine
Frequency of expression regarding Navajo concepts of nahata will also be explored
among interviewees; however, a majority will not be determinative for defining
characteristics of nahatd, as there is agreement among interviewees regarding the
source and structure of nahatd. Most interviewees specifically mention that
knowledge regarding the practice, principles, guidelines, and goals of nahatd is
found in songs and prayers of Blessingway; therefore, the normative is assumed to
be reflected in their collective statements. During the course of interviews, it
appeared that one large story was unfolding, also supporting this approach.
2.2.2 Traditional Planning
Tradition in this study is defined as the following8:
1) cultural continuity in social attitudes, customs, and institutions,
2) an inherited, established, or customary pattern of thought, action or
8 Tradition. Def. la; 3. Merriam-Websters Collegiate Dictionary, 11th edition, 2003.
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behavior
2.2.2.1 Operationalizing the Traditional: U.S. Paradigm
Traditional concepts of the U.S. planning paradigm are operationalized in this
research as those concepts of the current paradigm which have historical continuity,
or have become customary to the professioa This is established primarily through
archival analysis (See section 2.4.2.2.1), supplemented by comments of interviewees
regarding planning traditions, or use of phrases such as even today, for a long
time, its always kind of been there, and a troubling aspect of the discipline
through history.
2.2.2.2 Dine Traditional Concepts
Nahata is considered by the Dine people to be the traditional knowledge of planning,
which has been present since prior to creation of the earth surface people, and is
recorded in prayers, songs, ceremonies, and legends which are transmitted orally.
Knowledge of nahata is traditional knowledge of Navajo planning and has been
transmitted from generation to generation. Interviews focus on this knowledge, and it
is all assumed to be traditional knowledge.
2.2.3 Defining Characteristics of the Paradigm
Planning paradigms are investigated and defined through identification of thematic
areas relevant to both cultures which aid in characterizing precepts, principles, and
practices of planning paradigms (Wolf, 2001b). Several parallel thematic areas
were previously identified as part of informal research conducted while at Dine
College (Wolf and Morgan, 2000). These included.
1) role of the planner,
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2) goals of planning,
3) the process of planning; and.
4) knowledge/skills needed for planning.
Review of current U.S. planning literature indicates that these are also areas of
current debate regarding characteristics of the planning discipline and planning
paradigm(See 1.4).
Additional areas selected for focus of questions in both cultures of planning include:
5) character or characteristics of the planner;
6) origin of planning; and,
7) need for planning.
Characteristics of the planner is another focus of debate in the planning literature
(Baum, 1983; Vasu, 1979), and thus chosen as an element of the planning paradigm.
It was not known if this thematic area was important within the Dine planning
paradigm.
Origin is extremely important to Dine philosophies of life and embedded within are
explanations of Dine worldviews, in general (Benally; McNeley, 1975; Remington,
1982). It was not known if there would be similar relation between origins of U.S.
planning and the planning paradigm.
Four areas of questioning were developed to aid in contrasting the two forms of
planning, and were not asked in a parallel fashion:
9) environmental planning (U.S. planning)
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10) Local Governance Initiative (Dine planning)
11) values
12) feelings and emotions
Environmental planning exists as a subdiscipline in U.S. planning. Local Governance
is specific to the Dine. The role of values, and feelings and emotions is specifically
asked about for the U.S. planning profession because the discipline is currently
struggling with post-rationalist thinking and understanding what that means. The
discipline has generally been assumed to be rational, objective, and disempassioned
(Birch, 2001; Harris, 1967; Hoch, et al., 2000; Sandercock, 1998b; Solin, 1997;).
These thematic areas provide the basis of interview questions (See Tables C-l and C-
2, Appendix C), and subsequent analysis of the paradigms (See sections 2.4- 2.4.3).
2.2.4 Summary: Defining the Traditional Planning
Paradigm in Each Culture
Figure 2-1 shows the difference in pathways for determination of traditional
characteristics of the traditional planning paradigm in each culture. Determination of
characteristics of the U.S. traditional planning paradigm is accomplished in a three-
pronged approach.
1) Normative characteristics are determined as those described by a majority
of U.S. planning professors;
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Figure 2-1. Determination of Traditional Characteristics of and Comparison
of Two Planning Paradigms
Comparative
Summary Tables
Conclusions about
Paradigms
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2) Current literature is reviewed to corroborate these views, and to expand
understanding of these characteristics; and,
3) Historical analysis of literature is conducted to determine which
characteristics have been maintained through time.
Characteristics which are normative, and are defined in current and historical
literature are determined to be part of the U.S. traditional planning paradigm.
Characteristics of nahata are determined in one step directly from interviewees.
Nahata is the traditional planning paradigm of the Dine, so there is no need to
engage in historical analysis to determine traditional characteristics. More frequently
expressed characteristics are emphasized; however, the normative is assumed to be
reflected in the collective statements of interviewees and does not require a separate
step to determine (See section 2.2.1.3).
Characteristics of each paradigm are summarized by thematic area in Chapter 3.
2.2.5 Comparisons Between Cultures
Parallel interview questions were developed for both cultures to aid in comparative
analysis. The example provided below shows the construction of questions in both
cultures addressing the thematic area of planning goals:
U.S. planning: What are the goals of planning? Have these changed
overtime? How?Why?
Nahata: What are its [nahata] goals, desired result? Why is it done?
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Similarities and differences in normative, traditional characteristics are tabulated
(Tables 4.1-4.9), and provide the basis of summaries presented discussing
similarities and differences between the two concepts of planning in the final chapter
(Chapter 4). A more detailed discussion of the comparative analysis is found in
section 2.4.3. Figure 2-1 shows the overall structure of the analysis.
23 Data Gathering
The following section provides understanding of the structure and approach to data
gathering regarding paradigms of planning in the two cultures. Semi-structured
interviews are the primary tools of data gathering in this research.
2.3.1 Semi-structured Interviews
Semistructured inteviews combine the flexibility of the unstructured,
open-ended interview with the directionality and agenda of the survey
instrument to produce focused, qualitative, textual data at the factor
level. The questions on a semistructured interview guide are pre-
formulated, but the answers to those questions are open-ended...
(Schensul, Schensul, andLecompte, 1999, p. 149)
Semi-structured interviews (Schensul, et ai., 1999) provide a flexible structure for
interviewing, creating talking points to move the interview along, and to get people
talking and thinking in broad areas of interest; however they require research of the
topic and delineation of relevant domains for topic inquiry prior to initiation of
interviews (Schensul, et al, 1999, p. 15). As previously discussed (2.2.3), thematic
areas for this investigation were defined prior to development of interview questions
from a combination of personal experience, and research.
Semi-structured interviews lie in between grand-tour type of interviewing
(Sprague, 1979) where one would ask a question such as Tell me about planning
and subsequently develop categories for future interviews based on domains and
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themes resulting from the interview; and, structured interviews where one develops
a questionnaire with predetermined responses from which an individual must select
(Schensul, et al., 1999, p. 170).
Questions in the semi-structured interviews are developed to stimulate thinking about
general thematic areas and may not be asked in the same order, or in exactly the same
way with all interviewees. In addition, an interviewee may discuss one thematic area
in several parts of the interview as subsequent questions may stimulate thinking about
a previously asked question. Interviewees often interjected information about a
previous question as a later question jogged their memory of additional information
they wanted to provide. Transcript analysis; therefore, requires analysis of the entire
interview for information regarding a thematic area, rather than just responses to the
question designed to probe that area of inquiry.
Literature references which were of particular aid to developing interview protocol
and structure, in addition to Schensul, et al., (1999), were Spradley(1979) and
Erlandson, et al (1993). Questions developed for interviews are listed in Table C-l
for U.S. planning experts, and in Table C-2 for Din6 planning experts.
2.3.2 Identification of Planning Experts
Individuals expected to hold and transmit philosophical and theoretical knowledge of
planning in each culture were chosen for interviews. Within the U.S. planning
culture, these individuals were identified as planning faculty within U.S. University
planning programs. Faculty are expected to have knowledge of and perpetuate the
planning paradigm to their planning students.
To understand concepts of Navajo traditional planning-- nahata, a combination of
medicine men, naataanii (traditional leaders), cultural specialists, and community
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elders who are similarly expected to have knowledge of and perpetuate the traditional
concepts of planning within the Navajo Nation were chosen for interview.
2.3.2.1 Selection of U.S. Planning Professors
Interviewees for the U.S. planning paradigm were chosen from universities in the
Rocky Mountain region. Selection of universities were based on variety of factors
including: 1) presence of a large percentage of faculty with planning degrees; 2)
professors who specialized in courses or research in planning theory or history; 3)
professors trained in a range of decades; 4) professors who had grown up and
received planning training in the U.S.; 5) diversity of planning specialties exhibited
by faculty (e.g., economic, physical, social, environmental or natural resources; and,
6) range of emphasis of planning programs (e.g., community planning, urban
planning, etc.)
The ACSP Guide to Undergraduate and Graduate Education in Urban and Regional
Planning was used initially to determine specialties and background of professors,
and approximate decade of training. This was supplemented by review of department
websites, and finalized with pre-questionnaire surveys sent via email (Appendix B,
Table B-l). Information regarding emphasis of planning programs was also gained
from the ACSP guide, supplemented through personal experience (i.e., student at
University of Wyoming and University of Colorado), and previous exposure to the
University of New Mexico program through recruitment literature and published
literature (Sargent, Lusk, Rivera, and Varela, 1991).
Fourteen interviewees were chosen from four university planning programs:
University of Colorado, University of Wyoming, University of New Mexico, and
Kansas State University. All but one individual interviewed was male. Appendix B
provides a summary of interviewee characteristics. Participating faculty follow from:
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University of Colorado-Denver, College of Architecture and Planning, Department of
Planning and Design:
Dr. Raymond Studer (RS);
Dr. Thomas Clark (TC);
Dr. Michael Holleran (Mil);
Dr. Richard Margerum (RM) (now with University of Oregon, Department of
Planning, Public Policy, and Management);
University of Wyoming,Department of Geography and Recreation:
Dr. Bill Gribb (BG);
University of New Mexico, School of Architecture and Planning, Community and
Regional Planning Program:
Dr. Claudia Isaac (Cl);
Dr. David S. Henkle (DH);
Mr. James R Rick Richardson (RR);
Dr. William Fleming;
Kansas State University, College of Architecture, Planning and Design, Department
of Landscape Architecture and Regional and Community Planning:
Dr. Larry L. Lawhon (LL);
Mr. Claude A. Al Keithley (AK);
Mr. Ray B. Weisberger (RW); and,
Dr. Vernon P. Deines (VD)
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One faculty member chose to remain anonymous (U.S. Planning Faculty). Only 13
responses were used in developing characteristics as Dr. Bill Fleming participated in
discussions regarding the scope of environmental planning, but did not consider
himself a planner, having received graduate degrees in water resources engineering
and watershed management. His responses were used to provide insight into the
difference in understanding of the planning paradigm and planning discipline-specific
knowledge between those who have formal planning training and those who do not.
Although universities were chosen in the Rocky Mountain region for ease of travel,
initial investigation of university and faculty characteristics in the western U.S.
indicated characteristics similar to those in universities chosen. In addition, faculty
involved in this study were trained at a variety of locations across the U.S. (Appendix
B, Table B-2), providing geographical representation of different planning programs
in the U.S. Planning training is expected; however, to be similar across the United
States with professors carrying similar understanding of general principles,
processes, and characteristics of the planning field-this is the basic assumption
underlying the existence of a paradigm. Planning faculty from any University
might; therefore, provide knowledge of the planning paradigm.
2.3.2.2 Dine Interviewees
Knowledge of nahata was hypothesized to be held by a fairly small pool of experts,
similar to the knowledge of the U. S. planning paradigm. Twelve interviews were
planned to parallel the 13 conducted with U.S. planning faculty. Navajo experts were
expected to be located within teaching facilities where Navajo culture is taught, and
as elders within the community. Elders had the responsibility, prior to initiation of
boarding schools and other U.S. institutional structures, of teaching children about
nahata and other cultural concepts. Teaching was largely oral, and remains so today
supplemented in teaching facilities by written materials, such as outlines and
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summaries. Today, elders often come into primary and secondary schools to teach
about Navajo cultural concepts.
Din6 interviewees were identified through previous experience while a faculty
member at Dine College, and from suggestions of Din6 who were familiar with
both concepts of nahata and individuals knowledgeable in this body of knowledge.
Eight interviewees were identified who agreed to be involved in this investigation.
Dine College has been instrumental in both developing curricular materials for and
teaching Dind language and culture and thus was chosen as the primary institution to
identify faculty knowledgeable in nahata. Three faculty chosen for interviews are
cultural specialists or traditional scholars and teach cultural classes at Dine College
(Tsaile campus). These individuals are:
Mr. Harry Walters (HW), Director, Ned Hatathli Museum, Dine College;
Mr. Anthony Lee, Sr (AL), Dine Educational Philosophy Instructor, Dine
College
Dr. Wilson Aronilth, Jr. (WA), Dine Philosopher and Educator, Dine College
The remainder of interviewees include medicine men, naataanii, and community
elders with knowledge of nahata. Individuals live or work within a variety of
locations within the Navajo Nation including Hogback, Chilchinbito, and Round
Rock, and range in age from 29 to 84 years old. All but one individual interviewed
were male. Knowledge presented is primarily from the Blessingway side. Among
these individuals are:
Dr. Frank C. Young (FY), NahaJaii, Chilchinbito, AZ;
Dr. Mike Mitchell (MM), Dine cultural specialist-Navajo Nation, Round
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Rock, AZ
Mrs. Esther J. Willie Cambridge (EC), Traditional Din6 elder, Hogback, NM;.
Two interviewees chose to remain anonymous (Medicine Man; Naataanii).
2.3.3 Interview Protocol
Interview protocol will be described in more detail for U.S. planning professors
(section 2.3.3.1) and Din£ planning experts (Section 2.3.3.2) in the following
sections. In both cases, human subject approvals were received by appropriate
governing bodies, potential interviewees were contacted, intent of research and
research questions were described, consent forms were discussed and signed (See
Appendix D), interviews were conducted and taped, notes were taken during the
interviews, and transcriptions were completed in the field. Analyses are based on
transcriptions of U.S. planning professors, and a combination of notes and
transcriptions for Din6 experts.
Interviews generally lasted from 30 minutes to 2.5 hours, averaging about 1 hour.
Equipment utilized for taping consisted of a small hand-held tape recorder (Optimus
CTR-115), with a Radio-Shack Dynamic Mike microphone (33-2001 A), which was
placed in a location near the interviewee. Transcription was accomplished using a
Dictaphone ExpressWriter Model 2740 Voice Processor.
2.3.3.1 U.S. Planning Faculty
Research was conducted in Spring, 2001, and Spring, 2002. Six planning professors
were initially queried to pilot test research design. Eight additional professors were
selected to expand the sample size.
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Research protocol was approved by the University of Colorado at Denver, and
Appendix D provides a copy of the consent form provided to interviewees. Consent
forms (See Appendix D) were reviewed by interviewees and signed prior to the
interviews. Faculty were asked whether they wanted to remain anonymous or to be
recognized for their knowledge. One faculty member chose to remain anonymous.
Copies of signed consent forms were sent to all participants. Several faculty
requested review of quotations prior to their use, and were later sent draft pages of
the dissertation on which their quotations appeared for review. Faculty were
provided an opportunity to receive copies of the transcripts made from interviews.
Prior to initiation of the interview, faculty members were asked if they had any
questions concerning the research, and were given a copy of interview questions.
Faculty were often curious regarding details of the study, especially with respect to
what I wanted to find in the study. I indicated that there was another portion of the
study that I would be doing that required understanding of the U.S. planning
paradigm, but only two interviewees were aware of the cross-cultural focus of
research (RS, Cl).
The reason for introducing the investigation as Creating a Conceptual Map of the
Traditional U.S. Planning Paradigm (See Appendix D), rather than a cross-cultural
analysis of planning, was to preclude a potentially biased response to questions
regarding the planning paradigm. This was deemed prudent since presentation of the
proposal for this research to the graduate program in Design and Planning at
University of Colorado was met with a certain amount of defensiveness regarding
the planning paradigm, particularly with respect to its inclusiveness (public good) and
consideration of environmental concerns, and I wanted to construct understanding of
the paradigm without this induced bias.
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Interviews lasted between 1 and 1.5 hours. Questions in Table C-l provided the
framework for semi-structured interviews. Ordering of questions, although varying
among interviewees, generally began with asking about the origin of planning, and
the need for planning. Interviews were conducted in professors offices in most
cases. In one case, the interview was conducted in a coffee shop, and in four other
cases, in conference rooms or available class rooms. Tapes were made of all
interviews. Transcriptions were completed primarily in the field
2.3.3.2 Dine Experts
Research was conducted in January and February, 2002. Approvals of research
protocol were received from Navajo Nation Historic Preservation Department and the
University of Colorado Human Subjects Review Board. In addition, verbal approval
to conduct research within Dine College was received from Thomas Bennett, chair of
the Dine College review board, who considered this research among colleagues.
A copy of the consent form provided to interviewees is included in Appendix D.
Individuals who participated in the study were asked whether they wanted to receive
copies of transcripts from the interview; were given the choice of remaining
anonymous, or being recognized for their knowledge; and were asked for permission
to tape the interview. All interviews were taped except one (WA). Two
interviewees chose to remain anonymous (Medicine Man; Naataanii)
Consent forms were provided to all interviewees, and were signed by interviewees
either before or after the interview. Copies of signed consent forms were provided to
interviewees. Copies of transcripts were sent to interviewees, when requested.
Copies of tapes were sent to one individual who made this request, and to another to
aid in transcribing Navajo phrases which were interspersed throughout the interview.
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Prior to conducting interviews, interviewees were informed that the dissertation was a
comparative study with western planning. In four cases, the preface to the
dissertation was read to interviewees to more folly inform them regarding the
thinking underlying questions I was asking, and my goals in conducting the study. I
needed to do this, in general, to inform interviewees of my intent regarding
application of the research which almost all interviewees asked about, and to help
them determine what knowledge regarding nahata should be shared. Almost all
asked what type of nahata I wanted to know about, and I chose not to limit to home
nahata, or everyday nahata, but to allow interviewees to determine what
knowledge of nahata they would share based on the purpose of my research.
Interviews were conducted at a variety of locations-homes, offices, and a library.
The locations were determined either by the interviewees, or the translator. In one
case, I chose the location, as the suggested location (coffee shop) would have resulted
in too much background noise. Total time involved in each interview was
approximately 30 minutes-2.5 hours. Follow-ups were conducted with several
individuals to further clarify concepts.
Questions in Table C-2 provided the framework for semi-structured interviews. In
general, ordering of questions began with asking how and where the individual was
trained in nahata, what nahata is, and why nahata was needed. In two instances,
interviews did not follow this framework. Individuals talked, instead, about
particular aspects of nahata they believed would be helpful to my research.
Five interviews were conducted without a translator, as these individuals spoke
English fluently (Medicine man, Naataanii, HW, AL, WA). Translators were
required in 3 interviews (FY, MM, EC). Three different translators were involved.
Translators provided a brief summary of interviewee responses to questions during
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Full Text

PAGE 1

"ONE NAHATA": A COMPARISON OF U.S. TRADITIONAL PLANNING AND DINE TRADITIONAL PLANNING by Susan Diane Wolf B.S., Western Washington University, 1980 M.S., University of California-Davis, 1984 M.P., University of Wyoming, 1994 A dissertation submitted to the University of Colorado at Denver in partial fulfillment of the requirements of the degree of Doctor of Philosophy Design and Planning 2004 . l!\Lj

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Copyright 2004 by Susan Diane Wolf All rights reserved.

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This dissertation for the Doctor of Philosophy degree by Susan Diane Wolf has been approved by Ray Studer Oswald Werner OLf (zo fZoo'f Date

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I I I I I I I I i I I I i I The day broke with vermillion skies and as the light came up, I saw a cloud enveloping the sky in the shape of an eagle. It remained in that position all day, and I knew that I had finally reached the conclusion of the dissertation. SueD. Wolf January 19, 2004

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Wolf: Susan Diane (Ph.D., Design and Planning) "One Nahat'a ": A Comparison of U .S. Traditional Planning and Dine Traditional Planning Dissertation directed by Professor Raymond Studer ABSTRACT Cross-cultural comparisons of planning paradigms have not previously been conducted, although differences in values, styles of communication, and methods of decision-making have been noted among diverse cultures. This investigation addresses modernist foundations of the planning discipline as part of the monocultural orientation of the discipline, and presents a research framework for cross-cultural analysis. A framework of naturalistic inquiry, etlmographic methods and grounded theory are combined to develop a comparative analysis of two American traditions of planning: the U.S. planning profession; and, Dine traditional planning (nahat'a). Interviews with planning experts in both cultures provide the basis for delineating characteristics of each planning paradigm. Interviews are structured to gather parallel information in thematic areas including roles, goals, and process of p)anning for comparative analysis. Focus of research is on identifying traditional characteristics of planning in both cultures. All characteristics ofnahat'a are considered traditional, as this is the knowledge of Dine planning which has been transmitted orally :from generation to generation, and is considered by the Dine v

PAGE 6

people to be the traditional knowledge of planning. Traditional characteristics of U.S. planning are identified through historical analysis of planning literature. Comparative analysis of traditional characteristics provides understanding of both similarities and differences between the two cultures of pJanning. Differences provide insight into conflicts which have erupted at the interfuce ofTn'bal and nonTn'bal planning in the U.S. Unexpected similarities provide insight into historic common ground, and lessons for future evolution of the U.S. p1anning paradigm. This abstract accurately represents the content of the candidate's dissertation. I recommend its publication. Raymond Studer vi

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DEDICATION To my Mother who was h6zh6 --reflected in her life in the quilts and clothing she made to wrap us all in warmth and beauty, in the joy with which she met each day, in the herbs and ornaments she packaged each Christmas to celebrate the season, in her love of nature, in her beauty, patience, and strong presence in those last days, in the harvests ofher fieJds and garden after she passed--which produced an unusually and inexplicably bountiful harvest ... and in her love and kindness which taught us all how to walk in beauty. And to my Father, who continues to keep the home fires burning through his love, and has kept me on this path in recent months, when I wanted to walk away, To my Aunt Sylvia Wolf, who encouraged laughter, and independence of spirit in life, And to Marilyn, who has stood with me on this path, seen it through the eyes of heart and soul, and walked with me all along the way, reminding me why I began this journey, and why I must complete it.

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ACKNOWLEDGMENTS To the many people who shared their knowledge, ideals, and the joy of the vision of planning through participation in interviews, thank you. Your words are the heart of the dissertation, around which everything else has developed. To Martha AustinGarrison, thank you for starting me on the path ofnahat'a in such a good way. A special thanks to Frank C. Young whose knowledge became the framework around which the dissertation flowed, leading me to "one nahat'a". Thanks also to Mike Mitchell, whose description ofnahat'a as something or someone that leads, allowed me to respect the process ofnahat'a and to be led by it. Thanks to the U.S. planning professors whose enthusiasm for and descriptions of what the U.S. planning discipline could be, restored my hope in its potential. Among individuals who participated in the development of this dissertation through their thoughts and words from the U.S. discipline of planning include: Dr. Raymond Studer (RS), University of Colorado Dr. Thomas Clark (TC), University of Colorado Dr. Michael Holleran (MH), University of Colorado Dr. Richard Margerum (RM), (now with University of Oregon) Dr. Bill Gnbb (BG), University of Wyoming Dr. Claudia Isaac (CI), University ofNew Mexico Dr. David S. Henkle (DH), University ofNew Mexico Mr. James R "Rick" Richardson (RR), University ofNew Mexico Dr. William Fleming, University ofNew Mexico Dr. Larry L. Lawhon (LL), Kansas State University

PAGE 9

Mr. Claude A. "AI" Keithley (AK), Kansas State University Mr. Ray B. Weisberger (RW), Kansas State University; and, Dr. Vernon P. Deines (VD), Kansas State University Among individualS who participated in the development of this dissertation through their thoughts and words from the Dine understanding ofnahat'a include: Mr. Harry Walters (HW), Director, Ned Hatathli Museum, Dine College ; Mr. Anthony Lee, Sr (AL), Dine Educational Philosophy Instructor, Dine College Dr. Wilson Aroniltb, Jr. (WA), Dine Philosopher and Educator, Dine College Dr Frank C. Young (FY), Nahalaii, Chilchinbito, AZ; Dr. Mike Mitchell (MM), Dine cultural specialist-Navajo Nation,Round Rock, AZ Mrs. Esther J. Willie Cambridge (EC), Traditional Dine elder, Hogback, NM. Three of the interviewees chose to speak in the Dine language (Dr. Frank C. Young; Dr. Mike Mitchell, and Mrs. Esther J. Willie Cambridge), and I appreciate those who carefully and thoughtfully provided translations into English, giving up many hours to this end. Many thanks to Lina Young and Rose Young, daughters of Frank C. Young, who provided translations for his words and knowledge; and, thank you especially for your special support on my last visit. Many thanks to Anthony Lee, Sr. for translating for his uncle, Mike Mitchell, and for going that "extra mile" on my last visit. Thanks also to Frank Morgan for translating for Esther Cambridge. To Ron Maldonado, of the Historic Preservation Office of the Navajo Nation, thank you for your commitment to the Dine people, and for your strong presence and friendship through the course of this dissertation. Thanks to Thomas Bennett, Dine College HRC Board, for seeing this research as a "conversation between colleagues";

PAGE 10

and to Dr. Jim McNeley, Dine College, for his wonderful dissertation written several decades ago, and for his support of this pursuit in its early stages. To the chair of my connnittee, Ray Studer, thank you for your adventurous spirit and courage in choosing to become involved in this project Thank you standing by me in the course of this PhD process, and for having the courage to allow the research framework to develop over time. Thank you for respecting my knowledge, and for respecting the confidentiality in the Dine side of research. Thank you for helping me to crystallize ideas and to reduce the size of the project when it was needed. To Charles Wilkinson, thank you for challenging me to be a warrior, in a sense, recognizing full well the difficulties I would have walking through and on this path, but knowing that this was a journey I needed to take. To my other committee members-Dr. Joan Draper, Dr. Brian Muller, and Dr. Oswald Werner, thank you for your questions and comments during the comprehensive exam which remained considerations during my research. To Dr. Margaret LeCompte, thank you for introducing me to triangulation, and NVivo; for emphasizing the importance of systematically and rigorously documenting qualitative analysis; and, for setting me on the path of discovering grounded theory, and naturalistic inquiry through your ethnographic methods course -without which I would not have had the background and confidence to develop the research framework. To Kim Kelley, PhD secretary, many thanks for calmness in the midst of little storms, for helping with all the final details of the defense and graduation process, and for such a positive and encouraging spirit; and to Cynthia Carter, thanks for always being there with a smile and a warm heart to help coordinate Charles Wilkinson's very busy

PAGE 11

life. To all my friends and family for their support in so many ways, thank you for putting up with me-especially these last two years when I had so little time for anything. A special thanks to V ama and Bill Robson for always having an open home, even when you were so busy, for sharing your warmth, wonderful meals, and conversation, and your dedication to causes you believe in. MaryBeth Baptiste, thanks for visiting me in every little place I lived in during this process, for exclaiming how cute they all were and meaning it, and for reminding me that there is life and hiking after the dissertation. Gary T6dik'Qzhi, thanks for carrying a smile, your nizh6ni tortillas which kept me going in those early mornings of final writing, and for helping me to greet nahat'a this winter. Li and Lin Yi, thank you for all the wonderful meals and hikes that took some of the stress off the process. Aunt Nancy, my cousins, my brother, Kris Korfanta, and Holly Smith; and to, all others who sent prayers and e mails, thank you for your support in the final months of this project. Janet Carey, thank you for your recent PhD experience and wise advice. Marilyn Troje, thank you for always being there in dialogue, spirit and heart; helping to bring clarity out of confusion, blessing out of trial, beauty out of pain, and for being, yourself, a Doctor of Philosophy. Thanks to sponsors of several small grants, which helped defray some of the costs related to travel for fieldwork, and purchase of NVivo software--I) Sigma Xi "Grant-In-Aid" of Research from the National Academy of Sciences, administered by Sigma Xi, the Scientific Research Society; 2) Annie's Homegrown Environmental Studies Scholarship; and, 3) College of Architecture and Planning, University of Colorado Without the generosity of my parents, and my Aunt Sylvia Wolf; however, this work would not have been possible. They provided primary support for my research and study.

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And finally, a special thanks to my parents, who provided me the foundation as I was growing up, through their teaching and their lives, for taking the ''road less traveled".

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CONTENTS Figures ..................... ................................... XIX Tables .......................................................... xx Pre:fuce; "Yaa'aa.t'eeh" ............................................. XXI Chapter 1. Background; Nitsah8kees (Thinking about the idea; the problem) . . . . . . 1 1.1. Cross-cuhural Comparisons ofTnba1/non-Tn'bal Planning ................ 2 1.1.1 Previous Research on Indigenous Structures ofPJanning . . . . . . . . 3 1.2 Multiculturalism in the Planning Field . . . . .. . . . . . . . . . .. . 3 1.3 Monoculturalism in the PJanning Field . . . . . . . . . . . . . . . . 4 1.3.1 EthnicityinPlanning ........................................... 8 1.4 Postmodernism in Planning . . . . . . . . . . . . . . . . . . . 11 1.5 The Modern!Postmodern Inter:fuce . . . . . . . . . . . . . . . . 13 1.6 Redefinition and Reconceptualization of the U.S. PJanning Paradigm ....... 15 1.7 Focus ofThis Research .......................................... 15 I. 7.1 Strength of the Comparative Approach . . . . . . . . . . . . . . 16 1.8 Paradigm Organizing Concept . . . . . . . . .. . . . . . . . . .. 17 1.8.1 Traditional Paradigms . . . . . . . . . . . . . . . . . . . . 19 1.9 U.S. Planning Paradigm: A Long-term Debate . . . . . . . . . . . . 20 Xl1l

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1.9.1 Previous Analyses of a Traditional U.S. Planning Paradigm ............. 22 1.9.2 Historical Analyses of Profession and Discipline ..................... 24 1.10 Current Tnbal Planning: An Amalgam . . . . . . . . . . . . . . 24 1.10.1 Cultural Policies Towards TnlJes ................................. 25 1.10.2 Tn"bal Dissent and Tribal Planning ............................... 31 1.1 0.3 Navajo Traditional Planning . . . . . . . . . . . . . . . . . 34 1.10.4 Current Navajo Government Planning ............................ 35 1.1 0.5 Current Tnbal Planning . . . . . . . . . . . . . . . . . . . 41 1.11 Dine Traditional Planning: Nahat'a ................................ 44 2. Research Framework; Nahat'a (Gathering Together the Elements; Planning) .. 45 2.1 A Framework for Postmodern Research ............................. 47 2.1.1 Naturalistic Inquiry . . . . . . . . . . . . . . . . . . . . . 48 2.1.2 Defining Patterns--Grounded Theory . . . . . . . . . . . . . . 52 2.1.3 Focus on Culture-Ethnographic Methods . . . . . . . . . . . . 54 2.2 Structure of Analysis ............................................ 58 2.2.1 Traditional Planning Paradigm . . . . . . . . . . . . . . . . . 58 2.2.2 Traditional Planning . . . . . . . . . . . . . . . . . . . . . 60 2.2.3 Defining Characteristics of the Paradigm . . . . . . . . . . . . . 61 2.2.4 Summary: Defining the Traditional Planning Paradigm in Each Culture . . 63 2.2.5 Comparisons Between Cultures . . . . . . . . . . . . . . . . . 65 2.3 Data Gathering ................................................ 66 XIV

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2.3 .1 Semi-structured Interviews . . . . . . . . . . . . . . . . . . 66 2.3.2 Identification of Planning Experts ................................ 67 2.3.3 Interview Protocol ............................................ 72 2.4 Data analysis-Thematic Analysis ................................... 76 2.4.1 Identification of Paradigms ...................................... 77 2.4.2 Literature Review and Archival Analysis . . . . . . . . . . . . . 84 2.4.3 Comparative Analysis . . . . . . . . . . . . . . . . . . . . 90 3. Presentation of Results; Iina (Putting into Practice; Living; Life) ............ 92 3.1 U.S. Planning Results ........................................... 92 3 .1.1 What Is Planning? . . . . . . . . . . . . . . . . . . . . . . 93 3 .1.2 Need for Planning . . . . . . . . . . . . . . . . . . . . . 96 3.1.3 NeedforthePlanningDiscipline ............................... 101 3.1.4 Origin of the U.S. Planning Discipline ............................ 107 3.1.5 Process(es) ofPJanning ....................................... 133 3.1.6 Goals of Planning ........................................... 149 3.1.7 Role of the Planner .......................................... 169 3.1.8 Characteristics of Planners .................................... 186 3.1.9 Planner's Knowledge/Skills ................................... 200 3.1.10 Role of Values inPJanning .................................. 220 3.1.11 Role of Feelings and Emotions ................................ 237 3.1.12 Environmental Planning ...................................... 245 XV

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3.1.13 Characteristics of the Planning Discipline ......................... 268 3.1.14 U.S. Planning in a Nutshell .................................... 327 3.2 Nahat'a Resuhs .............................................. 330 3.2.1 Organization of Sections ....................................... 332 3.2.2 Interviews . . . . . . . . . . . . . . . . . . . . . . . . 332 3.2.3 Supplemental Literature . . . . . . . . . . . . . . . . . . . 333 3.2.4. What Is ................................................... 333 3.2.5 Why Needed ............................................... 339 3.2.6 Goals ..................................................... 343 3.2.7 Origin ................................................... 351 3.2.8 Process ................................................... 371 3.2.9 Time and Place for Nahat'a . . . . . . . . . . . . . . . . . . 397 3.2.10 Training .................................................. 402 3.2.11 Knowledge and Skills ........................................ 412 3.2.12 Character of a Planner ....................................... 426 3.2.13 Who Practices? ............................................ 435 3.2.14 Local Governance .......................................... 441 3.2.15 Nabat'a: Two Examples ...................................... 446 3.2.16 Summary ofNahat'a ........................................ 450 4. Conclusions; Siihasin (Bringing Back the Balance) ..................... 452 4.1 Why Needed . . . . . . . . . . . . . . . . . . . . . . . . 453 XVl

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4.1.1 Similarities ................................................. 453 4.1.2 Differences . . . . . . . . . . . . . . . . . . . . . . . . 454 4.2 Origin . . . . . . . . . . . . . . . . . . . . . . . . . . . 455 4.2.1 Nahat'a ................................................... 456 4.2.2 U.S. Planning ............................................... 456 4.2.3 Implications for the Structure of Planning .......................... 457 4.3 What Is . . . . . . . . . . . . . . . . . . . . . . . . . . 458 4.3.1 Similiarities ................................................ 458 4.3.2 Differences ................................................ 460 4.4 Goals . . . . . . . . . . . . . . . . . . . . . . . . . . . 462 4.4.1 Similarities . . . . . . . . . . . . . . . . . . . . . . . . 462 4.4.2 Differences ................................................ 463 4.5 Process ..................................................... 465 4.5.1 Similarities . . . . . . . . . . . . . . . . . . . . . . . . 466 4.5.2 Differences ................................................ 466 4.6 Role . . . . . . . . . . . . . . . . . . . . . . . . . . . 468 4.6.1 Similarities . . . . . . . . . . . . . . . . . . . . . . . . 469 4.6.2 Differences . . . . . . . . . . . . . . . . . . . . . . . . 469 4.7 Knowledge and Training ........................................ 471 4.7.1 Similarities ................................................. 472 4.7.2 Differences ................................................. 473 xvii

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4.8 Character of the Practitioner ..................................... 475 4.8.1 Sinillarities . . . . . . . . . . . . . . . . . . . . . . . . 4 76 4.8.2 Differences ................................................ 477 4.9 Characteristics ofNahat'a and U.S. Traditional Planning ................ 478 4.9.1. Sinillarities ................................................. 480 4.9.2 Differences ................................................ 483 4.10 Conflict Between Cultural Planning Concepts ....................... 486 4.1 0.1 Directional Planning . . . . . . . . . . . . . . . . . . . . 487 4.10.2 Time and Planning .......................................... 488 4.10.3 Reverence and Respect ...................................... 489 4.1 0.4 Who Practices . . . . . . . . . . . . . . . . . . . . . . 490 4.11 One Nahat'a ................................................. 491 ApjJendix A: ASSORTED DOCUMENTS ..................................... 498 Editorial Navajo Nation Local Governance Act (Selected portions) A Standard State Zoning Enabling Act (Selected portions) A Standard City Planning Enabling Act (Selected portions) B: CHARACTERISTICS OF U.S. PLANNING PROFESSORS ............ 522 C: INTERVIEW QUESTIONS ..................................... 526 D: CONSENT FORMS ........................................... 530 Literature Cited .................................................. 533 XV1U

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FIGURES 1-1 Comparison of Current and Traditional TnDal Planning Structures in the United States ............................................... 43 2-1 Detennination of Traditional Characteristics of and Comparison of Two Planning Paradigms . . . . . . . . . . . . . . . . . . . . . 64 2-2 Multiple Coding of Statements in NVivo .......................... 79 2-3 NVivo Coding Report for ''future-oriented" ........................ 80 2-4 Analysis of Coding: Rough Swnmary of All U.S. Transcripts for "Planner's Role" ..................................................... 82 2-5 Analysis of Coding: Identification of Phrases Identifying Main Categories Addressed by Interviewees in "Need for U.S. Planning" ............... 83 3-1 General Planning Process ..................................... 135 3-2 U.S. Planning Process Goals .................................. 151 3-3 U.S. Substantive Planning Goals ............................... 153 3-4 U.S. Planner's Role . . . . . . . . . . . . . . . . . . . . 171 3-5 U.S. Planner Characteristics . . . . . . . . . . . . . . . . . 187 3-6 U.S. Planning Knowledge Areas ............................... 202 3-7 U.S. Planner's Knowledge/Skills ............................... 203 3-8 U.S. Planning Characteristics .................................. 270 xix

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Table 2-1 Table 4-1 Table 4-2 Table 4-3 Table 4-4 Table4-5 Table 4-6 Table 4-7 Table 4-8 Table 4-9 Table B-1 Table B-2 Table B-3 Table C-1 Table C-2 TABLES Contrasting Positivist and Naturalist Axioms ................. 49 Why Needed . . . . . . . . . . . . . . . . . . . . 453 Origin .............................................. 455 What Is ............................................ 459 Goals ............................................... 462 Process . . . . . . . . . . . . . . . . . . . . . . 465 Role ............................................... 468 Knowledge and Training ................................ 471 Character of the Practitioner ............................. 475 Characteristics ofNahat'a and U.S. Traditional Planning ....... 478 Pre-questionnaire for Selecting U.S. Planning Faculty Interviewees ......................................... 523 Location, Decade and Type of Planning Degree Received by Interviewees . . . . . . . . . . . . . . . . . . . . 524 Specialties and Sub-disciplines of Planning Faculty Interviewed Compared to ACSP Faculty . . . . . . . . . . . . . . 525 Questions in Semi-Structured Interviews with U.S. Planning Professors . . . . . . . . . . . . . . . . . . . . . 527 Questions in Semi-structured Interviews with Dine Experts . . 529 XX

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PREFACE "Yaa'Mt'eeh" Genesis of this dissertation began while on faculty at Dine College (1995-1998), a tribally controlled College, where I was teaching environmental science, environmental p1anning; working on tribal college curriculum in environmental science; and, was also engaged in community pJanning within the local Shiprock community. Dine College contained, as part of its mission and foundation, Navajo philosophy underpinning the goals and framework ofNavajo education. This mission and foundation were to inform the structure of our classes. Through teamwork with a Navajo cultural specialist at the college, and coursework in Dine education philosophy-which was provided to train new facuhy in basic concepts ofNavajo philosophy related to education, I became aware there was a Navajo concept of planning called nahat'a. I also became aware that this concept was embedded in a complex philosophy of the environment. Through a community forum, organized by several of us in 1996 at the College to focus on "Remembering Nahat'a ", it became clear from community members that there were particular procedures and training associated with this concept ofnahat'a. In addition, it became clear that maintenance of environmental relations was integral to this Navajo philosophy of planning. I became increasingly confused as to why outside consultants were brought in to conduct strategic planning in Shiprock; why planning didn't emerge from the community when this traditional framework existed. I wondered why pJanning for XXI

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the architecture and site of the new Shiprock Campus ofDine College was conducted primarily by a group of consultants from outside the Navajo Nation, rather than following traditional thinking. I wondered why environmental impacts of projects were never discussed in Planning Commission meetings in Shiprock, and at one point wrote a short document to the chair of the commission citing difficulties which had resulted from U.S. planning in U.S. cities which would likely become problems of Shiprock if the same structure was followed. I became increasingly aware of the lack of consideration of community member concerns with projects such as powerline extensions through their grazing lands, uranium development, logging, and mining, and the articulation by many Navajos that traditional philosophies concerning the sacredness of land were being ignored in these economic development decisions. I also became aware of developments undertaken in areas that should have been "left alone" in Navajo beliefs, due to the nature of past settlements existing there. Individuals had described many economic development decisions which had negatively impacted individual Navajos or communities of Navajos Many also descn"bed the change in quality of the environment, and attn"buted it, in part, to lack of understanding of and appreciation of traditional philosophies. It appeared that unique components oftraditional Navajo thinking regarding planning had been excluded from the formal structure of planning in the Navajo Nation Planning practices in the Navajo Nation appeared to mirror western planning practices, and an act passed shortly before I left, the Local Governance Act, developed to transfer control of planning to the local areas from the central tribal government, contained many components of western planning such as the xxii

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"comprehensive plan", zoning, and eminent domain. Emphasis of this planning structure was on government reform, development and revenue generation (Appendix A; Office and Commission of Government Development, 1998, p. 2, 12-14). As an environmental planner who bad dealt with the fragmented approach to the environment in planning, and resultant environmental problems, my goal as an educator had been to reduce the fragmentation by bringing together concepts of community, environment, and sustainability in planning. The knowledge I brought into the process came from my training and research in environmental science, conmunity planning, and natural resource management. It did not exist as a unified whole in western-based planning. From my understanding of the Navajo philosophy of the environment, and the relationship ofnahat'a to the environment, it seemed that these concepts would exist as a unified whole in Navajo planning, and that Navajo planning would have embedded within it an inherent framework for addressing these concepts. This was important to me, not only from the standpoint of struggling with trying to bring these concepts together in western education, but from the standpoint of sUstainability of the Navajo Nation. It appeared that within the Navajo Nation was an inherent structure of planning, nahat' a, with concepts better adapted to sustaining people in their traditional lands than the U.S. planning framework which was, after 100 years, struggling to figure out how to incorporate the environment and sustainability in its structure. Disseminating knowledge of similarities and differences in planning paradigms of different cultures is one way of encouraging the support of different frameworks and xxiii

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potential outcomes of planning. This research is designed to provide a comparison of traditional planning concepts in two American cultures of planning-the U.S. planning profession, and the Dine (Navajo). My desire in completing this research is to: 1) Support Dine who are in the midst of the comprehensive planning processes or other planning activities within the Navajo Nation that would like to reform planning processes to reflect nahat'a more fully; 2) Provide respect for other cultural paradigms of planning through application of a research structure and methodology which puts these systems on equal footing with western planning systems; 3) Provide recognition within the research literature that nahat'a is a complete system of planning, with the hope that planners at the federal, state or local level will respect this structure; 4) Encourage other Tribes to bring traditional knowledge of planning back into their formal planning processes; and, 5) Support efforts to redefine the relationship of people to their environment in planning, and subsequently, to redefine concepts of sustainability, as well as, the pathways and structures of thinking and acting which might be needed to achieve it. XXIV

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It is with these thoughts in mind, that the research structure was created, and the background literature was explored. It is with these thoughts that the seed, planted almost a decade ago, has waited quietly and patiently for nurturing. As this sprout works its way into this spring, after several winters, I hope that it will grow with courage into the sunlight and bring beauty into the world. 'Ahehee', shik'is XXV

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1. Background; Nitsahakees (Thinking about the idea; the problem) The discipline and practice of planning provide a forwn for public discourse regarding present problems and future visions, a framework for resolving potential differences in perceptions of problems and potential solutions, and a forwn for shaping local environments and institutional frameworks to achieve desired futures. Until the cultural basis and bias of planning are recognized; however, it is unlikely that the full range of potential discussions including understanding of problems, potential solutions, and resuhant plans, will be included in the planning process, causing a source of conflict for cultures or subcultures with differing cosmologies, teleologies, and epistemologies from those embedded in the planning paradigm1 Conflicts have already become apparent with regard to public lands planning in the U.S., and Native American views of problems and solutions related to management of"sacred sites", ''traditional cultural properties", and resource management in general (Begay, Saresa, 2002; Ling, 2001; Masse', 1999; Neary, 1996; Pinkham, 1996; Shebala, 2002, 2003 ; Tallbull, et al, 1996 ). Legal cases related to planning these lands also indicate the inability of the U.S. planning framework to adequately address and incorporate Tribal views of the environment into planning (Brown, 1999; Loftin, 1989; Badoni v. Higginson, 1980; Wilson v. Block, 1983). 1Two definitions of paradigm are used in the research, both attributed to Kuhn ( 1996): 1) a philosophical and theoretical framework of a scientific school or discipline within which theories, laws, and generalizations and the experiments perfonned in support of them are fonnulated". ("Paradigm". Def. 3 Merriam-Webster s Collegiate Dictionary, lllh ed. 2003); 2) "entire constellation of beliefs, values, techniques, and so on shared by the members of a given community''(Kuhn, 1996, p. 175) -1-

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These disagreements are part of a Jarger, more pervasive conflict between Tribal and non-Tribal entities regarding Tnbal sovereignty, federal trust responsibilities, and the Tribal-federal-state relationship--all of which affect the structure of tribal governance, provision of tnbal services, ownership and allocation of resources within Tribal reservation boundaries (Tsosie, 1996; West, 1992; Wilkinson, 1987), and Tnbal planning (Keller, 1996; Winchell, 1992; Zaferetos, 1996; Zaferetos, 1998;). Basic goals, processes, time frames, values and norms appear in conflict. Although much has been written about differences in views ofNative American cuhure and western culture regarding the environment, decision-making processes, communication styles, values, and forms of governance (Broome, 1995; Champagne, 1996; Jostad, 1996; Jojola, 1998; Tsosie, 1996; Wmchell, 1992; Zaferetos, 1996) little discussion has focused on potential differences between traditional indigenous planning paradigms and western planning paradigms which affect not only values and goals, but the entire framework for thinking about the future, and making decisions regarding the future (Wolf and Morgan, 2000) 1.1. Cross-cultural Comparisons of Tribal/non-Tribal Planning Systematic, cross-cultural comparisons of Tribal and non-Tribal planning have not previously been undertaken; however researchers and practitioners have studied elements of planning which appear to be conflictual in planning processes which include both Tn"bal and non-Tribal entities (Lane, 2003; Neary, 1996; Pinkham, 1996; Zaferetos, 1996, 1998). These conflicts suggest the need for different structures of planning processes and structures of decision-making (Ndubisi, 1991; Tallbull, 1996; Zaferetos, 1998; ) and the addition of unique elements to the structure of the Comprehensive PJan when engaged in Tn"bal planning (Winchell, 1992). -2-

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Focus of research has been primarily on elements concepts within planning which appear to provide the source of conflict including: values underlying decisionmaking 1994; Lertzman, 1999; Ndubisi, 1991; Neary, 1996; Pinkham, 1996; Tallbull, 1996;Winchell, 1992) and plan-development (Winchell, 1992); types of knowledge brought into the planning process (Jostad, 1994; Lertzman, 1999); methods of conununication ( Zaferetos, 1996); decision-making structure ( Jojo1a, 1998; Nbdusi, 1991); and politicaVlegal structure under which planning takes place (Jojo1a, 1998; Nbdusi, 1991; Neary, 1996; Winchell, 1992; Zaferetos, 1996). 1.1.1 Previous Research on Indigenous Stmetures of Planning Studies and reports generally focus on no more than two or three of these elements of cultural difference. In most cases, the idea that a traditional Tribal planning paradigm might exist which may have much larger structural conflicts with U.S. planning, is not posited. Only Jojo1a, a Tribal member, refers to the existence of complete Tribal planning paradigms in his statement regarding the persistence of American Indian tn"bes: "Survival was accomplished through decisive action using indigenous planning models that were integrated into our own cultural pattern." (Jojo1a, 1998, p. 1 00). The potential effect of differing cosmologies, teleologies, and epistemologies on the entire planning structure has not been explored; 1.2 Multiculturalism in the Planning Field In general, multicultural or cross/cultural research in the planning discipline is focused on identifYing cultural differences which are potential sources of conflict in multicultural planning arenas, and in suggesting ways in which cultural differences in -3-

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styles of communicating, learning, values, etc. can be adapted to or integrated into the western model of planning (Buyayidi, 2000; Qadeer, 1997; Smith, 1985) to: create more compatible and relevant development projects (Smith, 1985); improve the democratic nature of societal decisions and strengthen democracy (Beauregard, 1989, p.393; Bollens, p. 38; Lane, 2003; Thomas, 1996, p. 179;); empower the disenfranchised (Berke, et al., 2002); offer new insights, creativity, knowledge and organizing principles for the planning field (Cullingworth, 1993; Lertzman, 1999; Sandercock, 1995; Thomas, 1996, p. 180); and, develop unified planning education (Afshar, 1990; Buyaridi, 1993; Thomas, 1996) Three other strands of multicultural research focus on: 1) planning organizations, pJanning activities, and planning leaders in the U.S. which are active outside the planning profession (Jojola, 1998; Sandercock, 1998; Woods, 1998); 2) deconstruction of pJanning theory, history, and research focus for cultural bias, inequity in the profession, and discriminatory results of professional practice (Catlin, 1993; Burayidi, 2000a; James, 2000; Sandercock, 1995; Thomas, 1998) to create a more equitable future (Catlin, 1993; Sandercock, 1995 Thomas, 1998; ), culture sensitive planning programs ( Afshar, 1990; James, 2000), and "a truly inclusive and democratic planning" (Sandercock, 1995, p. 85); and, 3) reciprocal learning between cultures regarding planning solutions and :frameworks (Qadeer, 2000). 1.3 Monoculturalism in the Planning Field The planning discipline has been described as ''monocultural" (Sen, 2000 p. 207; Thomas, 1996, p. 172) and "unitary" (Burayidi, 1993, p. 223) in its educational approach, and "ethnocentric" in general approach 1991; Smith, 1985; Sanyal, 1990). Sandercock, writing in 1995, noted: ''we need to develop ways of planning (and theorizing planning) which acknowledge and respect difference and reflect diversity'' (p. 86). The monocultural orientation of planning is due, in part, to -4-

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the modernist/rationalist framework upon which planning is based (Burayidi, 2000b; Stein and Harper, 2000). This modernist approach was dominant in architecture, humanities, and the sciences at the time the planning discipline in the US was developing, and was, in part, a reaction to problems which had arisen during the ''machine age" of industrialism such as serious poverty and poor living conditions; class conflict, and lack of democratic participation in government; impoverished cultural and intellectual development of the general public; and, lack of civic responsibility (Eardley, 1973; Mumford, 1938). The following passages from the International Congress on Modem Architecture in the late 1930s and early 1940s (ClAM), translated by Eardley (1973); and, Lewis Mumford's Culture of Cities provide greater insight into the problems modernism confronted: .. the disorder wrought by machinism. .. ln every one of these cities, man finds himself being molested. Everything that surrounds him stifles and crushes him. None of the things necessary for his physical and moral health has been preserved or introduced. A human crisis is raging in the major cities with repercussions throughout the land. The city is no longer serving its function, which is to shelter human beings, and to shelter them well." (Eardly, 1973, p. 93) ... Masquerading under the noble slogans of the rights of man, pretending to continue its old war on despotic power, individualism established itself as the claim of small groups of privileged people to exploit the work of other men on the basis of a monopoly, partial or complete, of land, capital, credit, and the machinery of production. For the single despotism of the kind, it substituted a multitude of petty, and not so petty, despots: industrialists, financiers, robber barons ... (Mumford, 1938, p. 455); and, the potential envisioned for modernist approaches: -5-

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" ... An implacable legislation is needed to ensure that a certain quality of well-being is accessible to everyone, regardless of monetary considerations ... (Eardley, 1973, p. 57) ''The great aristocracies of the past knew that the labor of a thousand serfs ... might not be too extravagant a price to pay for the culture of a truly enlightened and disciplined individual. ... Today with our vast accession of energies, with our abundant collective resources, we have the opportunity of upholding these principles, not for the sake of an oligarchy, but for the welfure of every member of the community. The base must be generic, equalized, standardized ... (Mumford, 1938, p. 458) The modernist framework in planning encouraged a universalist view 2000a; Mumford, 1938; Stein and Harper, 2000) with definition of one "public" and one public good, ''unitary plans for collective goals", standard solutions, and universal truths (Beauregard, 1989, Beauregard, 1991; 2000a; Fischler, 1998; Mumford, 1938; Sandercock, 2000b; Vasu, 1979, p. 42): ''The dominant epistemology on which current planning is based is universalist. This universalist approach is predicated on deductive logic, instrumental rationality, a hierarchical social structure, and a unidirectional causal flow ... 2000a, p. 37). "While the history of pJanning thought contains many streams (Friedman, 1987), all of them come from the same headwaters of Enlightenment epistemology .. to produce ... 'the heroic model' of modernist planning. The five pillars of this heroic modeL .. can be restated succinctly here as rationality; comprehensiveness, scientific method, filith in state-directed futures; and faith in planners' ability to know what is good for people generally, 'the public interest' ... (Sandercock, 2000b, p. 62). -6-

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" ... planners developed universal schemes to solve societal problems on a large scale .. .it is here that we can find the archetype of modem planning ... exemplified by the systems of national standards published by governments and professional associations ... (Fischler, 1998, p. 390). Beauregard summarized this approach as one based on the belief that one plan could be created which would help to create the good life for all, through knowledge and neutral experts making decisions for the benefit of the public. Underlying this belief was the assumption that the logic underlying the world could be "uncovered, manipulated, and perfected" to create a world freed from greed, "constraints of scarcity'', and social problems through knowledge (Harper and Stein, 1995; Beauregard, 1989, p. 394-385). Knowledge, obtained primarily through rational frameworks and based on quantitative analysis, was ''value neutral" and, "genderand race-neutral" (Sandercock, 1998b, p. 27). A unitary ''public" was emphasized in development of theories, methods and goals, and curriculum of the discipline; and, creation of a ''rational, orderly, homogenous city" (Sandercock, 1998b, p. 27) was one of the disciplinary goals (Beauregard, 1991, p. 190, 192; Burayid4 2000a p. 39; Burayidi, 2000b). ''Universal" planning education and planning principles were also generally envisioned, developed, and taught until the 1960s (Burayidi, 2000a; Burayid4 2000b ), and were considered to aid all onto the path of economic development and a better life (Burayid4 1993; Sanyal, 1990), both within and outside the U.S.-being generally unconcerned regarding how unitary policies and approaches affected cuhural and ethnic groups (Burayid4 2000; James, 2000, p. 16): "The beginnings of planning education in the developed countries -7-

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presupposed a unitary and scientific value-system that is applicable to all countries. As a result no effort was made to fine tune planning education to meet the needs of specific cuhures and country situations. Planning, like many other fields of social science inquiry, was regarded as value neutral and application anywhere." ( Burayidi, 1993; p 223). 1.3.1 Ethnicity in Planning The discipline of planning, as it developed in the United States, generally paralleled U.S. policies towards and programs regarding minorities (Burayidi, 2000; Dippie, 1982), and assumed that all would "evolve" to the same "state" (i.e, assumption of a "good city, good life). Weber (1963) stated the following regarding the early period of the planning field: "Acculturation of ethnic, racial, and other minority groups to the American, middle-class urban ways-of-life but awaited their introduction to the American, middle-class, physical environment." (p. 233) Planners generally ascribed to the existence of a single public interest, and the assumption that planners and elected officials knew what was in the public interest. Although the importance of understanding the "cuhure and social organization of the connnunity'' (Sasaki, 1956, p. 307 ) was noted by agricuhural researchers involved in planning in the 40s and 50s to be needed for successful outcomes in rural areas and with Tnres (Kimball and Provinse, 1942; Sasaki, 1956; Wilson, 1940); problems with a universal approach to planning were not generally recognized by the planning discipline until the civil unrest of the 1960s in the United States. During the 1960s, a diversity of public values became apparent (Milroy, 1991) through the "conversation" of movements, protests, and riots (Peattie, 1969; Sanyal, 1990, p. 25; Thomas, 1996, p. 175). Racism and/or inequitable decision-making -8-

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with regard to minorities was recognized in housing, zoning, urban renewal and other development planning, and comprehensive planning, in general. (Bollens, 2002, p. 23; Burayidi, 2000a; Catlin, 1993, p. 27; Stafford and Ladner, 1969). Urban Renewal programs of the 1950s-1960s had bulldozed ethnic enclaves : "Modernist planning in the postwar years did a good job of eliminating the vestiges of cultural identity in urban form and architecture as ethnic enclaves were bulldozed to make way for new development.." (Burayidi, 2000b, p. 1 ); ... ethnic enclaves in cities were regarded by planners as aberrations to the nonnal development of the urban landscape ... (Burayidi, 2000a, p. 40) Sandercock states that ... the modernist project in planning and architecture has worked in totalizing and decontextualizing ways to erase history, culture, di:fference .. (Sandercock, 1998b, p. 227). Even into the early 1960s; however, there was lack of real consideration of ethnic di:fferences in planning, and efforts still appeared to be directed toward integration or assimilation-the general U.S. policy towards minorities at the time (Cornell, 1987). Discussions focused primarily on structuring the planning process to allow equal opportunity and democratic participation (Davidoff, 1965; Goodman and Freund, 1968; Perloff, 1965), and subsequently better informed participation and debate to meet the general needs and desires of all: ... our planning proposal or project is for the long-range good of the entire community ... (Goodman and Freund, 1968, p. 566) Not until the 1970s was culture discussed in planning, and the need for potentially di:fferent planning approaches within di:fferent ethnic communities ( Maruyama, -9-

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1973). Maruyama (1973) indicated; however, that such considerations were not widely accepted in American society: ... The American culture has never learned to be a nontotalitarian gemeinschaft which knows how to live with heterogeneity. American culture has a fear ofheterogeneity ... (p. 354) In the 1979 edition of the planning training manual, also known as the "Green Book", (So, FrankS., Israel Stollman, and Frank Beal, and Davis S. Arnold, 1979; See section 2.4.2.2.1 ), a chapter emphasizing diversity appeared-"Planning for Diverse Hwnan Needs". The existence of a pluralistic society was recognized as a current and future reality in contrast to the unitary society that had been the focus of planning since its inception. The focus remained; however on the creation of one public interest from this plurality: ... The profession has claimed to deal with pluralism at least since the 1960s ... the response by planners was to try to find methods to resolve plural interests ... (Milroy, 1991, p. 186) ... The socially responsible planner should help identify and define goals which will induce groups to organize around common interests ... (So, et al., 1979, p. 503) ... conflicting goals must be reconciled for the sake of an effective plan. .. (So, et al, 1979, p. 501) ... effective social programs are better designed and much more quickly and successfully implemented when they address the overall interests of society ... (So, et al., 1979, p. 508). Since the 1990s, the planning discipline has supported much broader conversation regarding "multiculturalism" (See section 1.4) with discussions focusing on incorporation of muhiculturalism into planning education; and, scholarly research -10-

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into alternative planning histories, and planning processes (Catlin, 1993; Forsyth, 1995; 1995, 1998a; Thomas, 1996). The most recent edition of the planning training manual; however, de-emphasizes ethnicity in a discussion of"cultural communities (Hoch, Charles, Linda C. Dalton and Frank S. So, 2000, p. 442-443}-defining these communities, instead, in terms of different social groups who may or may not share ethnicity. 1.4 Postmodemism in Planning Beginning in the late 1960s, accompanying the recognition of failures in modernism to address diversity and solve societal problems, a new orientation in theory and methodology of the humanities and social sciences for studying culture arose known as postmodernism (Dear, 1986; Harper and Stein, 1995; Feldman, 1994; Mugerauer, 1995, p. xvii-xviii). This new approach diffused into planning in the 1980s and 1990s (Milroy, 1991); however, Sandercock noted in 1998 its minimal application to theory in the discipline: ... Our planning theory literature has been largely devoid of attempts to view planning through the lens of postmodern cultural critiques ... 1998b, p. 29) In contrast to modernism, postmodernism encourages: 1) multiple voices regarding history of events (Friedman, 1996; Milroy, 1991; 1995, 1998a); 2) understanding of diversity in cultures and values (Friedman and Keuster, 1995; Milroy, 1991; Sandercock, 1998a, 1998b); -11-

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3) incorporation ofnon-quantititative methods of analysis, and local or folk knowledge (Innes, 1995; Mandelbaum, 1991; Sandercock, 1995, 1998b); 4) understanding ofbias inherent in planning (Friedman and Keuster, p. 39; Sandercock, 1995); and, 5) application of grounded theory and deconstruction as methods of analysis and theory formulation (Dear, 1986; Feldman, 1994; Innes, 1995; Sandercock, 1995). The postmodernist approach opens up the door to different models of planning (Innes, 1995; Sandercock, 1995)-something which would not have made sense in the modernist era, which strove for universally-applicable models. Recent papers in the U.S. planning discipline address the potential need for different approaches in planning among varied cultures (Baum, 2000; Burayidi, 1993; Burayidi, 2000; Forester, 2000)-approaches which are context-specific or local (Beauregard, 1989; 1991). Curriculum development for the U.S. planning discipline is expanding to include an understanding of cultural bias in planning (Frank, 2002; Sandercock, 1995; Thomas, 1996); understanding of diversity (Bollens, 2000; Friedman, 1996; Friedman and Keuster, 1995; Forsyth, 1995; Sen, 2002); and, inclusion of alternative planning histories based on viewpoints of different genders and cultures (Beauregard, 1998; Kramsch, 1998; Sandercock, 1998a; Thomas, 1996, 1998). Current research focuses on creating flexibility within the planning process for varied cultures including: methods to incorporate alternative views, and values of multiple cultural groups (Bollens, 2002; Dalton, 1986; Ndbusi, 1991); recognition of -12-

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structural inequalities obstructing equitable planning with diverse groups (Hooper, 1992; Lane, 2003;); multiple ways ofcommwlicating (Al-Kodmany, 1999; Forester, 2000; Innes, 1998; Mandelbaum, 1991; Sandercock, 1995 ); inclusion of local or folk knowledge (Al-Kodmany, 1999; Innes, 1995, 1998; Sandercock, 1995; 1998b); and alternate planning processes (Innes, 1995,1998). Authors note; however, that there is generally a lack of coordinated direction by the planning discipline regarding inclusion ofpostmodem concepts (Beauregard, 1989, 1991) including multiculturalism (Bollens, 2002; Forsyth, 1995; 1991; Sen, 2000; Thomas, 1996). Recent planning publications question the ability of planning to accept diverse cultural viewpoints and approaches in curriculum and practice (Baum, 2000; Bollens, 2002; 1991; Thomas, 1996). Disciplinary theory currently struggles at the interfuce of modernist and postmodemist views (Alexander, 1984; Beauregard, 1989, 1991; Dear, 1986; Harper and Stein, 1995; Sandercock, 1995;) regarding appropriate goals ofthe profession (Alexander, 1984; Beauregard, 1989; Feldman, 1994; Friedman, 1996; Harper and Stein, 1995; Sandercock, 1995; 1998b; Vasu, 1979); role of the professional (Alexander, 1984; Friedman, 1996; Friedman and Keuster, 1995), theories and methods (Albrecht and Lim, 1986; Beauregard, 1989; Dear, 1986; Frank, 2002; Hooper, 1992; Sandercock, 1995, 1998b), curriculum (Feldman, 1994; Frank, 2002; Friedman, 1996; Friedman and Keuster; Ozawa and Selzer, 1999); values (Alexander, 1984; Feldman, 1994 Frank, 2002); and, methods of evaluation of planning and plans (Feldman, 1994). 1.5 The Modem/Postmodem Interface Most recent theoretical discussions in the planning discipline focus on retaining elements of modernism, while incorporating postmodernist views (Mi1roy, 1991). -13-

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There is concern by many that the relativity of postmodernism-where goals and decisions are relative to time, space, and culture (Beauregard, 1989, p. 390; Beauregard, 1991, p.193; Harper and Stein, 1995), will make planning virtually impossible as currently conceived and leave it in a "state of impotence" (Harper and Stein, p. 239), "on the brink of an abyss of indeterminacy'' (Harper and Stein, 1995, p. 233) or in ''nihilism and despair" and without standards for constructing or evaluating "good" planning (Feldman, 1994, p. 98). In addition, there is recognition that certain components of the modernist framework are useful and should be retained (Beauregard, 1989; Feldman, 1994; Sandercock, 1998b ), such as the goal of advocating for the public good/well-being of all (Brooks, 1988; Beauregard, 1991; Feldman, 1994, p. 101);justice and equality (Sandercock, 1995; Thomas, 1996), equity, improved society or better city (Brooks, 1988, p. 246; Feldman, 1994); reform (Beauregard, 1989, p. 392; Thomas, 1996, p. 177; ); and, enhancement of democracy (Beauregard, 1989, p. 393). The tension between postmodem and modernist aspects of the discipline are evident in the following two statements discussing incorporation ofmuticulturalism, and the outcome of cross-cultural planning: "Wrthin the larger processes of American urban planning, the dehoorations oflocal planning commissions will increasingly reveal the continuing emergence of America as a muhicuhural society in three related dimensions. First, in their efforts to construct a value consensus by which to guide public decision-making, local planning commissions will seek to reweave the tapestry of American culture. This will require a continuing acceptance o:t: accommodation to, and integration with very diverse immigrant cultures. The current dominant culture, one largely Northern European-American, will give way to an expanding constellation of cultures within which it is one significant minority. In turn, the current minority cultures, most notably the Native American, Appalachian, African American, and -14-

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Hispanic American, will have to reassess their position, contribution, and visibility within that expanding tapestry." (Allor and Spence, 2000,p. 193) ... planning is a cross-cultural encounter where principles of the planning culture must prevail." (Baum, 2000, p. 119) 1.6 Redefinition and Reeonceptualization of the U.S. Planning Paradigm Some authors; however, view the postmodem era as an opportunity to: I) redefine concepts and reconceptualize ideas which have been part of the planning field (Beauregard, 1989, p. 392; Milroy, 1991) such as home, community, equality, justice (Sandercock, 1995; ), rationality (Alexander, 2000; Dalton, 1986; Friedman and Keuster, 1996; Sandercock, 1998b; Smith, 1985); comprehensive planning (Garcia, 1993, p. 290); and, healthy communities and the relation of people to place (Lucy, 1994); 2) develop theories based on practice (Innes, 1995); and understanding of planning in relation to culture and history (Beauregard, 1998; Fischler, 1995; Sandercock, 1995, 1998a; Thomas; 1998); and, 3) "develop alternative approaches to planning" (Dalton, 1986, p 151), ''new versions ofutopian space" (Hooper, 1992, p. 71), ''new insights and creativity" (Thomas, 1996, p. 180); and, ''new techniques and knowledge bases" (Beauregard, 1989, p. 393). 1.7 Focus of This Research As the planning discipline struggles to redefine its character, embracing some historical concepts, redefining others, and creating new concepts to meet the current -15-

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understanding of society and the reJationship of planning to it, this investigation focuses on developing comparative knowledge ofpJanning in two U.S. cuhures of planning. One culture chosen for study is the traditional discipline of planning which is represented by professional organizations such as American Planning Association (A.P.A), American Institute of Certified PJanners ( A.I.C.P), and American Collegiate Schools ofPJanning (A.C.S.P), and their publications (e.g., Journal of Planning Education and Research; Journal of the American Planning Association; "Green Books" (See section 2.4.2.2.1 ); the second, is the traditional Tribal culture of planning of the Dine (Navajo) which exists orally and is transmitted by elders, medicine people, traditional scholars, and others who have been raised in a traditional way. 1.7.1 Strength of the Comparative Approach Disseminating knowledge of similarities and differences in planning frameworks of different cultures is one way of encouraging the support of different frameworks and potential outcomes of pJanning. Some of these frameworks may be better suited to solving current and future problems, than current planning paradigms (Afshar, 1990; Qadeer, 2000). An example regards the inherent difficulty the U.S. planning paradigm faces in incorporating the concept of sustainability within its structure (Berke and Conroy, 2000; Blowers, 2000; Campbell, 1996; Lucy, 1994; McDonald, 1996; Slocombe, 1993 ). Although the discipline is assumed to have the capacity for evolution through accretion of methods and theories 1957; 3.1.13.1.1), there may be concepts which are incompatible with the framework of planning, requiring restructuring to allow their incorporation. Planning has been assumed a universal process which could be transported to any -16-

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cuhure, and was transported through international education to "developing nations" (Burayidi, 1993; Sanyal, 1990; Thomas, 1996, p. 175), and to Tnbes through federal pJanning processes of the Bureau oflndian Affairs (BIA) and other agencies (Senese, 1991, p. 22-23 ). The planning framework only recently has been recognized as a process and structure which is not neutral but contains cultural bias ( Beauregard, 1989; Bobo, 2000; Burayidi, 1993; Ndubisi, 1991, p. 53; Thomas, 1996). These biases may obstruct application of Tribal cultural knowledge regarding planning for and decision-making regarding the future, and instead of aiding in the creation of future well-being, may actually interfere with the Tnbes ,ability to maintain future well-being (Jensen, et al, 1998; Wolf and Morgan, 2000). Comparative analysis provides the potential to illuminate differences between cuhural concepts of planning which provide sources of conflict in cross-cultural planning. Numerous conflicts were previously indicated in Tribal and non-Tribal planning of lands within and outside reservation boundaries. Comparative analysis also provides the opportunity to identify similarities among planning frameworks. Several authors indicate interest in creating a unified vision of planning through identification of commonalities among cultures regarding planning processes and methods (Afshar, 1990; Burayidi, 1993; Sanyal, 1990). 1.8 Paradigm: Organizing Concept To pursue understanding of conceptions of pJanning in both cultures, paradigm is chosen as an organizing concept. Two definitions of paradigm utilized in this investigation are the following: "the entire constellation of beliefs, values, techniques, and so on shared by the members of a given community" (Kuhn, 1996, p. 175). -17-

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"a philosophical and theoretical framework of a scientific school or discipline within which theories, laws, and generalizations and the experiments performed in support of them are formulated." (''Paradigm''. Def. 3. MerriamWebster's Collegiate Dictionary, 11th ed.2003) In general, a paradigm is considered a normative set of beliefs and practices which result in the culture of a discipline, and includes knowledge of the precepts (philosophy), principles (theory), and practices (methods) of that discipline. Embedded within the planning paradigm are worldviews of the particular culture, including unspoken assumptions for thought and action which affect structures for understanding and solving problems, identifYing and implementing goals or visions, and conceptions of why planning is done in each society, how it is done, how the planner should act, etc.: "A paradigm is a world view, a general perspective, a way of breaking down the complexity of the real world. As such, paradigms are deeply embedded in the socialization of adherents and practitioners: paradigms tell them what is important, legitimate, and reasonable. Paradigms are also normative, telling the practitioner what to do without the necessity of long existential or epistemological consideration ... (qtd. in Lincoln and Guba, 1985, p. 15). Kuhn (1996) also indicates that the paradigm, in providing the framework for knowledge development and practice of a discipline, constrains the subsequent type of knowledge developed and applied. For example, Western scientific disciplines emphasize the use of the scientific method to construct theories; and, resulting practice, thinking, analysis, professional-behavior, and problem-solving are constrained within this framework -18-

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1.8.1 Traditional Paradigms Focus of this investigation is on identifying characteristics of traditional paradigms in both cultures, and the "invisible" structures underlying methods and goals of planning in each cuhure which are likely to guide planning in the future. Traditional cultures of planning have been chosen for two reasons: 1) U.S. planning is noted to evolve through time (See 3.1.4-3.1.4.5) and a snapshot at any point in time might provide a seemingly different planning philosophy than one at a previous or future time-thus focus is on identifying strands of philosophy which have defined the discipline through time, and are likely to guide it into the future; and, 2) Current tribal planning is an amalgam ofU.S. planning and tribal traditions, and deconstruction of this planning structure would result in a fragmented understanding of traditional and non-traditional components, rather than understanding of a holistic philosophy of planning. Nahat'a is the holistic philosophy of Dine planning which is invariant with time. The traditional Navajo planning paradigm is defined as that based on nahat'a. Nahat'a predates the existence ofNavajos in their oral history, and is taught orally from generation to generation. It contains precepts, principles, and practice of planning from a traditional Navajo perspective. The U.S. planning paradigm is defined as that which is perpetuated by the academic discipline of planning in the U.S., for it is within planning programs at universities that precepts, principles, and practice ofU.S. planning are taught. The framework is considered, for this research, to begin with national planning meetings in the U.S. (1909), and the subsequent formalization of the planning profession and academic -19-

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discipline. Sections following will provide a summary of previously recorded knowledge ofU.S. traditional p1anning (1.91.9.2), and nahat'a (1.11 ). A brief discussion is also provided regarding the evolution of current tnbal planning as an amalgam of U.S. planning and tnbal traditions (1.10-1.10.6), which bears on the research framework developed to investigate traditional tnbal planning. 1.9 U.S. Planning Paradigm: A Long-term Debate "Today there is no consensus on how to plan or what to learn or teach" (Feldman, p .99, 1994) "There is considerable controversy about. .. whether the field lacks both a clear intellectual paradigm and a central core of professional practice." (Lucy, 1994, p. 305) For much of the history of the profession, existence of a planning paradigm has been debated (Adams, 1954; Alexander, 1984; Baum, 1983; Friedman, 1987, 1996; Galloy and Mahayni, 1977; Howard, 1955; Kain, 1970; Perlofl: 1957, 1974; Schon and Nutt, 1974; Segoe, ed., 1941, p. 13; Thomas, 1996)1 Development of standardized methods of planning practice (e.g., appropriate street widths, regulatory structure for planning, etc.) were always a focus of the field (Fischler, 1998; Nolen, ed. 1916), but broader debate in the discipline ensued as the purview of the planning field expanded from city functions to rural, regional, economic, and other foci during the National Planning of the Depression (See section 3.1.4.4.1). 2 Kuhn's work identifying the paradigm in a theory of discipline stasis and change was first published in 1962; however, discussions of appropriate theories, methods, and curriculum are essentially discussions regarding the paradigm of a discipline, and have existed in the planning field since its inception. -20-

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Debate regarding goals, methods and roles of planners, and the need to redefine the boundaries of the discipline were sharply noted in reports ofthel940s and 1950s. Serious confusion in the field was apparent in the first planning training manual published by ICMA in 1941: ''The last ten years have been years of confusion and turmoil, or experimentation, with some successes and a good many fu.ilures. It is important to examine the significance of this transition period that we are going through, in an effort to understand what planning is to mean today and in the years to come." (Segoe, 1941, p. 13) Reports and papers in the 1940s and 1950s discussed the importance of identifying and standardizing appropriate planning curriculum to distinguish planning from other professions; identifYing a body of theory and philosophies specific to the discipline; and, identifying of core values and role of the planner, and goals of planning in society (Adams, 1954; Howard, 1955; Perloff, 1957). Debate in the 1970s and 1980s focused on the appropriate purview of the discipline; methodology, values, roles and goals; revising the rational/modem foundation of the discipline, and potentially developing a new paradigm and curriculum (Alexander, 1984; Brooks, 1988; Dalton, 1986; Godschalk, 1974; Nutt and Suskind, 1970; Vasu, 1979): "When the rate of social change increases steadily while our control over change appears to decrease, we perceive the times as turbulent. ... [one strategy is to] plan from within the turbulence; trying to understand its unfamiliar order while building new methods and theories appropriate to the changing conditions ... (Godschalk, p. I, 1974) Debate currently continues to focus on whether a planning paradigm exists (Alexander, 2000; Beauregard, 1990; Friedman and Keuster, 1996; -21-

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Garcia, 1993, p. 1; Innes, 1995 p. 183; Levy, p. 81; Lucy, p. 305; Sanyal, 1990); appropriate elements of a planning curriculum (Feldman, 1994; Friedman, 1996; Lucy, 1994; Ozawa and Seltzer, 1999;) and planning theory (Beauregard, 1990; Frank, 2002; Hendler, ed., p. 8; Innes; 1995; Ozawa and Sehzer; Sandercock, 1995, 1998; Teitz, 1996; Vasu, p. 42); the appropriate role of the planner in planning process (Brooks, 1988), appropriate goals (Beauregard, 1990; Brooks; 1990; Lucy, 1994), and appropriate pJanning processes. 1.9.1 Previous Analyses of a Traditional U.S. Planning Paradigm Analyses which focus on characteristics of the "traditional" U.S. planning paradigm are few in number (Alexander, 1984; Beauregard, 1989; Dalton, 1986; Kaiser and Godshalk, 1995, Galloway and Mahayni, 1977; Garcia, 1993; Sandercock, 1998b; Vasu, 1979). Papers focus primarily on the paradigm which developed post-WWTI and is currently "shifting" or in a state of revision (Alexander, 1984; Beauregard, 1989; Galloway and Mahayini; Garcia, 1993; Sandercock, 1998b), rather than on identifying core strands of the discipline which existed from the early 1900s and remain to the present. Analyses are generally limited in scope to several parameters of the paradigm (e.g., theory, methods, or role). Taylor (1999) focused on changing roles of the planner, and changing skills and methods of the profession. Garcia, in a review of the evolution of the discipline, focuses on educational program development, primarily curriculum (knowledge areas) and general program focus (i.e., civic design, public service, applied research (Garcia, 1993, p. 271). Galloway and Mahayni(1977) focus on process and theory. Vasu (1979) provides the broadest analysis, focusing on planner's attitudes and values in relation to roles, goals, values, expected from ideology and standards of the "traditional planning doctrine". -22-

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I i i i I I The paradigm which is expressed by most authors as having been the traditional planning paradigm, existing from after WWII until the paradigmatic crisis beginning in the 1960s, is generally called the modernist or comprehensive rationalist paradigm. Tenets ofthe modernist (Sandercock, 1998b; Beauregard, 1998) or comprehensive rationalist paradigm (Dalton, 1986; Garcia, 1993) are generally agreed to include: 1) State-directed futures for the public good and reform (Beauregard, 1998; Sandercock, 1998b; V asu, 1979) 2) Positivist, rationalist, and objective basis for decision-making (Dalton, 1986; Garcia, 1993; Sandercock, 1998b;) 3) Comprehensive nature (Garcia, 1993; Sandercock, 1998b; Vasu, 1979) 4) Scientific management and efficiency (Dalton, 1986; Vasu, 1979) Vasu (1977) included these tenets of the comprehensive rational planning paradigm in his discussion of the paradigm, but additionally included utopian vision, and environmental determinism as two primary elements. Two authors offer a truncated paradigm, which they argue has existed since the beginning of the discipline-land-use planning (Galloway and Mahyini, 1977; Kaiser and Godschalk, 1995), and suggest the master, general, or comprehensive plan as the focus of this paradigm (Galloway and Mahyini, 1977, p. 67; Kaiser and Godschalk, 1995, p. 366). -23-

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1.9.2 Historical Analyses of Profession and Discipline Historical analyses and theoretical works have been developed by a number of authors regarding continuity and change in the profession which provide insight into elements of the discipline which might be considered defining features of the paradigm. These include such elements as: planner's role, goals, knowledge base, and curriculum (Adams and Hodge, 1965; Birch, 2001; Birch, 1980; Burgess, 1997; Dalton, 2001; Feldman, 1994; Fishier, 1998; Friedman, 1997; Hancock, 1967; Perlo:ff, 1957; Walker, 1941). In general; however, no systematic analysis has been conducted defining characteristics of the U.S. traditional planning paradigm, requiring construction of this knowledge prior to development of comparative analysis with Dine traditional planning. Detailed research design is discussed in detail in Chapter 2. 1.10 Current Tribal Planning: An Amalgam Sections 1.10-1.10. 5 provide insight into the genesis of current tribal planning. This discussion is provided primarily for those who are unfamiliar with the history of Tribal-federal relations, and the subsequent effect of this history on the structure of current Tribal institutions and processes. The discussion also provides insight into the choice to focus on oral traditions of planning, rather than current structures of Dine Tribal planning practice to understand nahat'a. Cursory review of the history ofU.S.-Tribal relations indicates that structures in which traditional Tribal concepts of planning predominate are likely to be the exception within current Tribal planning. Reservation planning has developed within the general framework of government planning in the United States (Buyaridi, 2000), overlain with social views in each particular era regarding Indians-whether to be -24-

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isolated or assimilated (Dippie, 1982; Philp, 1995); the particular view of the Commission oflndian Affairs3 regarding appropriate Indian programs; direct guidance/programs of Congress or the President; and, Supreme Court decisions (Kvasnicka and Viola, eds., 1979; O'Brien, 1989, p. 267-275; Philp, 1995; Wtlkinson, 1987). Structures of U.S. policy continue to affect structure ofTribal programs as Indian nations remain in a "domestic-dependent" status with respect to U.S. laws: "Although tnbal values and norms regarding environmental use should serve as the basis for tnbal environmental policy under the principle of self-determination, tribal policy is in fact heavily impacted by the values and nonns of Anglo-American society, embodied in federal environmental law and policy." (Tsosie, 1996, p. 232) 1.10.1 Cultural Policies Towards Tribes As previously noted (see Section 1.3), planning in the United States has been monocultural--following US policy, in general, towards ethnicity. Dippie (1982) describes two primary paths in U.S. policy towards tribes: isolation and assimilation, dependent, in part, on the attitudes prevalent toward Indians during a particular period. In addition to policies of isolation and assimilation, policies of overt cultural repression existed within the Bureau of Indian Affairs (BIA) in the late 1800s, and were legally sanctioned unti11935 (See section 1.10.1.3). Isolation resulted in creation and support of the reservation system, while assimilation resulted in programs such as allotment, termination, and urban relocation (Philp, 1995; Senese, 1991). As recently as 1967, during a dispute between Interior Department and Office of Economic Opportunity officials over control of indian 3Commissioner of Indian Affairs is in charge of the Bureau of Indian Affairs, the federal agency responsible for reservation policy in the United States. -25-

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economic development programs, the constant tension between these two poles of policy was noted: ... a constant dialectic between the concepts ofself-detennination and tennination, separation versus integration, and distinctness verus assimilation" (Cobb, 1998, p. 80). 1.10.1.1 Isolation Policies of isolation existed primarily when Tribes were recognized as political sovereigns with distinct governmental structures, legal systems, religions, etc. The reservation can be seen as an outgrowth of this thinking, and although developed primarily to free external lands for settlement, was also developed to protect both whites and Indians from perceived cultural differences. (Collier,1963) later explained the benefits of"isolation" for the conservation ofNative American culture, for both the benefit of both Tribes and American society in general. At various points in history (e.g., post-WWI; 1970s, 1990s environmental movement), native knowledge has been understood as providing potential solutions to American societal problems (Brown,1999; Collier, 1963; Cornell, 1982,1985; Dippie,1982). Isolation also appears to be required by district and supreme courts in federal lands management cases regarding Indian sacred lands where Tribes must show that their religion is conserved over time and practiced by large portion of the tribe to be a valid concern (Brown, 1999); or that lands have been systematically managed to keep out non-Tribal members to allow the Tribe to manage non-Indian land holdings within Tribal boundaries (Brendale v. Confederated Tribes and Bands of Yakima (1989) -26-

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I I i I I I I I i I I I I I l I 1.10.1.2 Assimilation IsoJation was increasingly viewed as unnecessary when Indians were viewed as a potential subculture, minority or race of America, or individuals who would become American through education, or through generations of intermarriage (Dippie, 1982). With the potential for assimiJation oflndians into American society accepted by progressive groups in the 19th century such as the Indian Rights Association, Society of American Indians (Taylor, 1980) and post-civil War abolitionists(Dippie, 1982); efforts were directed to free Indians from "subcitizenship" and to encourage their full assimiJation into society. Similar actions occurred post-WWTI, when the potential of Indians for integration into society was recognized due to their contribution in the war effort ( Fey and McNickle, Iverson, 1981; Senese,1991 ); the presence of the "liberal value of non-segregation" (Philp, 1995, p. 168); and, the appointment of Commissioner Meyer, who had been in charge of Japanese internment camps and perceived reservations as concentration camps which should be abolished (Collier, 1963; Fey and McNickle, 1959; Philp, 1995;). More recently, policies of assimilation and termination appear in Congressional efforts to reduce or potentially eliminate trust responsibilities towards gaming tribes. Policies which tend towards assimilation have historically provided the bulk of institutional support for Tribes. The federal land-use planning process treats Tnoes as just one of the many "publics", or special interest groups that must be considered during the public participation process (Brown, 1999); and, general social and planning policies of the U.S. are extended to Tribes through contracts and grants (Cobb, 1998; Philp, 1995). -27-

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1.10.1.3 Suppression of Indian Culture From 1884-1935 (Cohen, 1942, p.175), strict BIA policy existed regarding the cuhural practices of Tribes on Tnbal lands. Tribal language and other cultural practices were banned and punished (Collier, 1963; Jackson and Galli, 1977, p. 91-92; Kvasnicka and VioJa, 1979, p. 175): .. By administrative regulation the Indian Bureau made the practice of Indian religions a misdemeanor, punishable by imprisonment. .. (Collier, 1963, p. 13). ... [Indian] Commissioner Charles H. Burke ... accompanied by Interior Secretary Hubert Work, invaded the Taos Pueblo's Council, to tell them that they were "half animals" by virtue of their "pagan worship." And how the Taos Governor and Council refused compliance with an Indian Bureau order forbidding the withdrawal of Indian boys from school for their tribal religious initiation. The Bureau had them arrested-all the governing body, the old men, of the tribe-and confined in a Santa Fe jail ... (Collier, 1963, p. 136). Not until the "Collier Era'"', when BIA ordinances were repealed, were Tribes "free" to begin practicing religion, speaking their language, etc John Collier was committed to scientific management, conservation planning (Collier, 1963; Dippie, 1982), and the future viability of Tribal populations. During this period on the Navajo reservation, bilingual programs were developed on the Navajo reservation for education, local school boards were organized with Navajos involved in planning children's education; and, the chapter system was developed (Parman, 1976). Control of programs; however, remained with the BIA 4 John Collier was appointed as Commissioner of Indian Affairs from 1933-1945, and thus in charge of BIA policy. During his tenure, previous ordinances of the BIA prohibiting practice of tribal customs and use of tribal language were abolished -28-

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Tn"bes were also encouraged to form TnOal governmental structures during this period; however, to receive federal support, structures were required to be similar to U.S. governmental structures with constitutions :framing governmental activities (Champagne, 1986; Pevar,1992; Philps, 1995 ). Constitutions approved during this time were known as "IRA'' Constitutions and were often in conflict with traditional TnOal political systems. Champagne (1996) notes that under the authorizing legislation (Indian Reorganization Act), constitutions were required to be organized around principles of representative democracy, rather than consensus; national government structure, rather than kinship structure; and, include separation of church and state, rather than a form of government in which both were united (p.25). Although the Navajo Tribe did not organize under IRA provisions and has no constitution, the Indian Commissioner provided both a structure of Tribal government and a basic legal code of operation (W"tlkins, 2003, p. 87; Williams, 1970, p. to the current Tribal Code and Tribal Council. Both forms of government are patterned after U.S. institutional structures (W"illiams, 1970, p. 21). The current form ofTribal government is a representative government with three branches-judicial, legislative and executive. Representatives are elected from the chapter, and the Navajo President and vice president are elected from the population at large. A Tribal Code provides the legal structure for its operation, and associated ordinances for the structure and operation of other departments in the Navajo Nation. Tribes organizing under the IRA were allowed to form federally chartered corporations and receive loans for housing, economic enterprises, and education (AIRI, 1990; p. 21). Taylor (1980) notes; however, that even after implementation of the IRA; Tribal councils complained that they were not allowed enough responsibility in managing loans and tribal land assignments, levying taxes and -29-

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licensing fees, and participating with federal technical advisors in planning the longrange development of reservation resources." In general, US and BIA policy precluded "overt" tribal planning until the economic development policies of the 1960s when Tribes were provided budgetary aid in developing their own programs through the Office of Economic Opportunity, and thus provided some support to develop plans on their own Structure of these plans and planning processes; however, was primarily determined by BIA personnel. Williams (1970) notes the following concerning the Navajo government structure: ... all of the current self-government organizations among the Navajo on the community, regional, and tribal level were introduced and sponsored by Government agencies in an attempt to modify the Navajo cultural system .. (P. 53) The chapter system, currently the basis of local planning in the Navajo Nation, was set up by the BIA in 1927 to aid in establishing community meetings to tell Navajos about government programs, to find out what they wanted, but also to instill western cultural values. A Community Services Department was created within the evolving Navajo Nation governmental structure in the 1950s to coordinate chapters and administer community services (Williams, 1970, p. 42), but also to encourage social and cultural change: "The role of the Community Development Department as a tribal-wide agency is neither neutral or passive, for it is in the process of transforming the Navajo chapters from a town meeting type of gathering dominated by political consideration to one that serves as a local agency for social and cultural change .. (Williams, 1970, p. 45). ... The director of the Community Development Department has organized a program of culture change. He has oriented his program of community development around the concept that a change in a -30-

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group's material culture will bring about a change in cultural behavior ... An elemental feature of the tribe's community development program is the installation of a modem chapter house in a community which allows the people of an area to see, use, and experience many new items of a material nature ... (Williams, 1970, p. 45). As previously mentioned, the 1950s were a period during which federal Indian policy was focused on termination ofTn"bes, and assimilation ofNative Americans through relocation to job-training programs off-reservation (BIA, 1952; Fey and McNickle, 1959, p. 183-187; Senese, 1991), industrialization and on-reservation cultural change. This trend toward industrialization of Indians and development of their resources continued in BIA policy through early 1960s (Senese, 1991, p. 73) : ... [Assimilation is] the dominant goal within the Bureau of Indian Affairs ... the sentiment in Congress is solidly behind the goal of assimilation .. .It is in the public interest and in the interest of the Indian to see that Indian people fit into the economic an social structure of this country." (qtd. in Senese, 1991 p. 8) 1.10.2 Tribal Dissent and Tribal Planning In general, Tribal planning was undertaken by the BIA. BIA set up systems for agriculture, grazing, homes, minerals and other resources, and determined leasing agreements for nonTribal companies or individuals to develop Tribal minerals and forests, and graze Tribal lands (U.S. Code ofFederal Regulations, Title 25 (Indians)). Decisions regarding location of facilities, and types and extent of economic development, educational curriculum and form of delivery were also generally made by the BIA. Early efforts by Tribal members to negotiate leasing agreements for oil (Williams, 1970, p. 20) and timber (Kinney, 1950, p. 5) were invalidated by the Secretary of the Interior. -31-

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The Merriam Report, undertaken to assess the socio-economic condition of Indians and the quality oflndian programs, stated in 1928, "What is done for the Indians is largely done without consulting them or giving them an opportunity to express an opinion" (Merriam, 1928, p. 535). Taylor, discussing reservation conservation programs in the depression noted" ... the Soil Conservation Service habitually gave low priority to economic projects that would encourage Indian participation, preferring instead to draw up more orthodox and ambitious plans in which the Indians would play no part." (Taylor, 1980, p. 117) Tribal members repeatedly voiced complaints against policies made without their approval. Fey and McNickle (1959) discuss an intertribal gathering against allotment policy in 1887. Gordon-McCutchan (1991) mention protests of Tribes against the formation of national forests from Tribal land. (Frisbie and McAllester, 1978; Iverson, 1981; Wtlliams, 1970, p. 10) describes the protests of parents and Tribes against the BIA boarding school system on the Navajo reservation in the late 1800s The Merriam report, as well as other historical documents, indicate the fiustration of tribal members with provision of services by the BIA, and their lack of involvement with planning for these services (Iverson, 1981, p. 114). Although the Collier Era provided some flexibility to Tribes to engage in economic development (Fey and McNickle, 1959), BIA generally continued to plan for Tribes during this era (Taylor, 1980) Tribes were not given the power to take over provision of education, health, probate or sale of allotments (Cohen, 1942; p. 86); and were allowed limited responsibility in .. managing loans and tribal land assignments, levying taxes and licensing fees, and participating with federal technical advisers in planning the long range development of reservation resources ... (Taylor, 1980, p. 117). The 1952 BIA plan for the Navajo Reservation indicated only that the Tribe would be "kept informed as to the development of this program" and be "given the opportunity to -32-

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discuss all phases" (BIA, 1952, p. 42) Not until the federal economic development policies of the 1960s which began to focus on a form of"local empowerment" for low income and minority populations (Conununity Action Programs, etc.), and self-determination legislation of the 1970s (Getches, Wilkinson, and Wtlliams, 1998) were tnoos provided budgetary aid in developing their own programs, and thus provided support to develop plans of their own. Support initially came primarily from programs outside the BIA, such as Office ofEconomic Opportunity (OEO) and Health, Education, and Welfare (HEW) (Schulz, 1994, p. 69). Later, Tribes were provided an opportunity to contract directly with the BIA or Indian Health Service to plan and administer programs including social services, health, education, housing, and community development, law enforcement and natural resource management (O'Brien, 1989, p 89) Recently, with funding from mineral revenues, casinos, tourism, contracting from BIA, and other sources, Tribes have begun to gain control of natural resource management programs, housing, health, and justice. With this is also gained the opportunity to take control of planning functions and structures, previously provided by BIA and consultants external to the Tribe (Wolf and Morgan, 2000). Although Tribes are currently managing and administering programs in natural resource management, environmental protection, social and education programs, and economic development; federal control still exists in the form of program design, compliance with federal regulations, oversight authority of the Secretary of the Interior, Congressional allocation of funds, and BIA trust responsibility for tribal resources. (Champagne, 1986, p. 29) notes that "BIA officials play a major role in seeing that tribal government action conforms with written laws and regulation -33-

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1.10.3 Navajo Traditional Planning Navajo traditional planning has always existed in teachings from ceremony and philosophy; however, teachings of this knowledge and practice were disrupted by boarding schools which removed children from teachings of parents, grandparents, and other community members and supplanted Navajo concepts with Western concepts through the system of education, punishment, and lack of contact with families (Iverson, 1981). As noted previously, there was a brief period in 1930-1940s when Tribes were encouraged to practice culture by Secretary Collier, but this was followed by the termination era in which efforts of federal policies focused again on assimilation. The boarding school in Shiprock was constructed in the 1950s (Schultz, 1994, p. 66), and still operated into the 60s, continuing to punish students for speaking language and participating in their culture. In the late 1960s, the Navajo Nation began development of a formal educational system integrating Navajo culture and philosophy. Curricular materials were developed in the Navajo language. Navajo Community College (now Dine College), the first Tribally controlled college, was organized in the late 1960s with a mission and educational philosophy based on Navajo traditional concepts. Schwarz (200 1) noted recently that this educational program has now expanded to include all educational levels in the Navajo Nation : ... Navajo tenets of philosophy are currently taught at all grade levels, as well as in courses at Dine College, the first tribally operated college in the country." (P. 9) The Navajo court system began reorganizing in the1980s based on traditional principles (Yazzie, 1994, p 186). A recent Tribal resolution (Fundamental Laws of -34-

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the Dine, CN-69-02) amended the Navajo Nation Tnbal Code to recognize the natural laws which traditionally guided and sustained the Dine. These fundamental laws had not previously been acknowledged and recognized in the Tribal Code, but were left to the Judicial Branch to enforce. The Fundamental Law of the Dine formally incorporates the natural laws into the Tribal Code by reference. In addition, it states that "all elements of the government must learn, practice and educate the Dine on the values and principles of these laws"; and, that government structure, written laws, leadership, and all "knowledge, wisdom, and practices ... must be developed and exercised in harmony with the values and principles ... of these natural laws. Natural laws require honor, protection, and respect of natural elements, and protection and preservation ofbeauty. Only those practices, principles, and values of other cultures which are not contrary to these traditional principles and values may be incorporated into Dine government. Incorporation of these traditional concepts will require a restructuring of the current Tribal government. At present, the system of planning and many governmental structures existing in the Navajo Nation have developed primarily through U.S. federal programs and structures. These current structures of planning will be discussed in the following sections ( 1.10 4-1.10. 5). 1.10.4 Current Navajo Government Planning Three general types of Navajo government planning exist -all with roots in federal programs and structures: chapter (local), district or agency (regional), and Navajo Nation (central government) Local structures called "chapters" were developed beginning in 1927 by BIA primarily for information dissemination They are also utilized by the Tribal government headquarters in Window Rock for dissemination of information and distribution of funding, and are the primary units for community -35-

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development planning. "National" planning has focused primarily on tribal economic and land development. PJanning of this type began in the 1950s for the Tribe by BIA, and shifted to the Tnoo in the 1960s. Two types of regional structures called districts and agencies, were developed by BIA. The Navajo Nation was divided into six "agencies" by the BIA during the period from 1901-1934 to improve administration ofNavajo affairs (Williams, 1970, p. 18). "Districts" were circumscribed within these boundaries in 1952 (Wilkins, 2003, p 151, 208) to provide for dissemination of information regarding conservation and livestock management. Agencies have recently provided regional structures for technical staff to aid chapter governments in complying with the Local Governance Act (Office and Commission on Navajo Government Development, 1998, p. 30-31 ), and currently provide general support for capital improvements and other land development projects5 The following sections provide greater detail regarding the origin and focus of chapter and national Navajo planning, two primary forms of planning in the Navajo Nation. Information is derived primarily from literature sources A much fuller understanding could be gained through interview of individuals involved in planning within the Navajo Nation; however, such an effort is a research project in itself, and is beyond the means of this investigation. 1.10.4.1 Chapter Chapter organization provided a geographical division of the reservation into approximately 110 units (Wtlkins, 2003). In 1927, the first chapter was set up by BIA agent, John Hunter, to aid in establishing community meetings to "tell them of s Capital Improvements Office, Division of Community Development, Navajo Nation -36-

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our [U.S. Government's] programs and we could find out what they wanted." It was noted by Hunter that the ''model for this community meeting was the New England town meeting with a set of elected officials" (Williams, 1970, p. 1 ): "We were told to organize 'Town Meetings' among the Navajo people. But as most everybody knows, Navajos don't live in towns; and they had never heard of town meetings, elected officers, or the majority rule. However, we went out and found headmen of outfits, told them about our plans for community meetings and projects, and in almost all cases we got them interested and chapters started." ( qtd. in Williams, 1970,p.36) Function of chapters in the 1960s remained similar to that in the 1930s, focusing on "discussion and dissemination of information", rather than more broadly focused local planning (Williams, 1970, p. 63). The chapter was indicated in a 1955 resolution of the Tribal Council to be "a center for local planning and discussion" (Williams, 1970, p. 41). Chapter organization provided the basis in the 1960s for the distribution of Office of Economic Opportunity funds and other governmental programs which were to aid in "solving community problems" (Office of Program Development, 1974, p. 52). These funds were part of broader federal programs to involve community members in local problem-solving (e.g., Model Cities Programs; Community Action Programs) which were being advocated by the Johnson Administration (Senese, p. 103-1 06; So, et al., 1979, p. 556-557 ) Power was not granted to chapters for land-use planning or dealing with economic issues; however. Plans were generally written for large communities by the Tribal government departments in Window Rock in the 1970s-1980s, and leasing was handled by departments in Wmdow Rock and the BIA. Currently, the chapter structure provides the basis for implementation of the Local -37-

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Governance Act. The Local Governance Act, passed in 1998 by the Tn'bal Council, provides an opportunity for local communities to determine patterns oflocal economic and land development, which had previously been controlled by BIA and Window Rock. The structure of planning described in the Act is similar to western planning, requiring development of a government management structure, and a comprehensive plan with open space, transportation, land-use and community fucilities components; and, allowing the use of zoning and eminent domain (See Appendix A). 1.10.4.2 Central Navajo Government Tribal planning occurs primarily in Window Rock, the governmental headquarters of the Navajo Nation A brief review of plans for the Navajo Nation indicates that they were first developed in the late 1950s with Congressional funding set aside for Navajo/Hopi planning in recognition of severe drought and economic conditions on the reservation, and were "done on behalf of the Navajos by the Bureau of Indian Affairs (Office of Program Development, 1977, p 4). Focus of the initial plan was on project development and implementation to improve the Navajo standard ofliving through development of physical infrastructure (e.g., roads, irrigation, housing, telephone, hospitals), industrial development, natural development, and tribal commercial enterprises on-reservation, and off-reservation training and employment. Tribal planning within the Navajo Nation, itself, began in the 1960s with funding support from the Area Redevelopment Act, and the Office ofEconomic Opportunity. Focus was primarily on development of economic develop plans, although a zoning system for the Navajo Nation was also being suggested during this time (Chambers and CampbelL Inc. 1963). Planning during most of the 1960s was being undertaken by consultants and BIA staff(Office ofProgram Development, 1977, p. 4). -38-

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The concepts of comprehensive plan and zoning were codified into the Navajo Nation Code in 1963 (ACMY 72-63) and 1965, respectively (CS-76-65). Comprehensive plans were initially stated to include a land-use plan, thoroughfare plan, community fucilities plan, and zoning, subdivision regulations, and public improvement programs (NNC T.6, 4B), but were later defined to include open space, land-use, transportation (throughfare), and community fucilities components (NNC T.6, 1101). Tnbal department structure and staffing for planning appears to have begun in the early 1970s with establishment through Tribal Council Resolution of an Office of Program Development, and a Division of Planning responsible for creation of and compliance with comprehensive plans (Office ofProgram Development, 1974). The Office was ''to provide technical advise necessary to carefully and rationally direct Navajo economic efforts towards the achievement of goals and objectives set by the Navajo Tribal Council" (Office of Program Development, 1974, p. 13). This structure superceded previous structures for planning on the reservation. It was staffed with planners, lawyers, designers, engineers, economic and industrial development specialists. Among activities the Office of Program Development was involved in were: support in oversight of business site-leasing; development of reservation and community overlay maps; preparation of a rural public transportation plan and an air systems plan; preparation of eight comprehensive community plans for major reservation communities; feasibility study and site plans for a shopping center in one major community; assessment of tourism potential and motels; and, construction of community water and sewer systems. (Office of Program Development, 1974, p. 15; Office ofProgram Development, 1977, p. 5-6). This structure was supported by several funding sources: 1) contracting ofBIA industrial, commercial and tourism development functions (Office of Program -39-

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I I I Development, 1977, p. 5); and, 2) grants from a variety of sources including Department of Housing and Urban Development, and the Economic Development Administration. One report noted that priorities, such as industrial development, were defined, in part, by funding sources (Office of Program Development, 1977, p 5) The planning office was abolished in 1983 for political reasons, and was re established four years later. It operated for ten more years and was again abolished in 1997, under the pretext of a new local governance structure which was to include local planningthe Local Governance Act (LGA). The LGA was passed by the Tribal Council to decentralize planning decisions regarding economic and land development to the local level (chapters). Communities are currently being aided in development of plans by consultants (both Navajo and non-Navajo), and the Capital Improvement Programs of the Division of Community Development; however, many indicate that planning proceeds much as it did prior to passage of the LGA, with central government control (Snyder, 2004). Many other departments and divisions within the Navajo Nation currently engage in planning. A survey was undertaken of29 Navajo Nation departments or programs dealing with management and/or protection of resources (Wolf, 1995). Seventeen returned surveys, and 93% of these engage in annual planning. Fifty percent engage in long-range planning, generally of 3 years. Impetus for planning in these groups comes from within and outside the Navajo Nation. Sixty-three percent responded to external funding or federal laws; 81% to Tribal codes; and 50% to Tribal presidential directives. Economic Development, the focus of initial Navajo Nation planning, has remained a focus of planning through the Division of Economic Development. The first Ten-40-

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Year Plan for Economic Development of the reservation was published in 1972. Economic Development Plans continue to be produced annually by the Tribe. 1.10.5 Current Tribal Planning U.S. policy towards tribes from approximately the 1850s to the 1970s precluded "overt" tnbal planning. Tnbal cultural concepts, whether overtly integrated into current amalgamated Tnbal planning structures, likely remain part of the planning process of the Tribe--whether informally or formally practiced (Champagne, 1986; Fey and McNickle, p. 113; Jojola, 1998; Jostad, 1994; Lyons, et al., 1995, p. 245; Tsosie, 1996, p. 226). Wtlliams (1970), in discussing incorporation ofU.S. political structures into Navajo Nation governance, indicated that the philosophies underpinning these structures were not necessarily subscribed to, but that different interpretations based on Navajo philosophy existed: . As the Navajo adjusted to the new forms of political organization derived from Indo-European cultural models, they began to incorporate such political principles as majority rule, quorum, standing vote, and parliamentary procedures such as tabling a motion. However, the meaning each of these political features has for Anglo Americans is different from the meaning it has for the Navajo" (p. 53). In addition, chapter meetings are conducted to try to achieve harmony and consensus-traditional values, through a forum which is not time-limited, but continues all day (Williams, 1970, p. 43): ... Speeches, debate, and discussion, sometimes all but endless, were consequently the normal means used to create unanimity." (Williams, 1970, p.7) -41-

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" .. .In terms of the traditional Navajo culture, the socially acceptable means to achieve uniform collective behavior was to talk and to discuss the issue until all were convinced (or too embarrassed to raise further objections) and thereby achieve consensus." (Williams, 1970, p. 12) Current Tribal planning structures are; therefore, an amalgamation of Tribal and U.S. planning frameworks. Figure 1-1 shows some conceptual diagrams of the range of different planning structures and characteristics which might result from this interaction--from mostly traditional structure and characteristics, to mostly U.S. structure and characteristics, to totally new structures and characteristics The degree to which components ofTribal and U.S. planning inform current planning frameworks and associated characteristics is dependent on a large number of factors including: 1) when the planning structure was developed and degree of Tribal autonomy for providing programs at the time; 2) which federal programs were contracted by or entered into by the Tribe when the structure was developed, and requirements of these programs; 3) whether the Tribe is an IRA constitutional government framework (Porter, 1999); 4) the presence of a large percentage of allotted lands within Tribal planning region; and, 5) the presence of native language and education programs. Several authors also note the presence of different factions within Tribes (Broome, 1995; Taylor, 1980) with differing points of view regarding structures of Tribal governance (Senese, 1991; Taylor, 1980), resource use, and economic development (Lewis, 1995). Relative balance of the population by these groups will also affect the types of programs sought within the Tribe, and the relative commitment within the Tribe to language and other Tribal traditions. -42-

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Figure 1-1. Comparison of Current and Traditional Tribal Planning Structures in the United States TRADITIONAL U.S TRADITIONAL TRIBAL POTENTIAL CURRENT TRIBAL PLANNING STRUCI'URES U.S framework ; Tribal content Tribal framework; U.S content New structure and content Amalgam of framework and content Susan Diane Wolf 2004 -43-

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Four main groups described by Senese are: 1) ''traditionalist-nationalists who were often tnbal spiritual leaders" whose loyalty is to the Tnbe; 2) "secular nationalists" who were members of AIM, or other organizations which engaged in a public struggle whose loyalty is also to the Tnbe; 3) ''tribal pragmatists "who were members of NCAI and NTCA or other councils recognized by Washington, D.C. who are loyal to the US and the BIA; and 4) American oflndian descent who 'lJlayed reservation power politics from a base of corporate influence and big money'' and ''would have been absorbed into the white community long ago, had it not been for prejudice" or other interfering factors (Senese, 1991, p. 153). 1.11 Dine Traditional Planning: Nahat'a Navajo traditional planning has always existed in teachings from ceremony and philosophy; however, written records of these teachings do not exist. Research is required; therefore, to develop some understanding of concepts of nahat' a prior to development of the comparison with U.S. planning. Research design is discussed in detail in Chapter 2. -44-

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I I I I I I I I I I I I I 2. Research Framework; Nahat'a (Gathering Together the Elements; Planning) As previously discussed (See sections 1. 9 and 1.11 ), literature provides neither delineation of a U.S. traditional planning paradigm, nor discussion of characteristics and tenets ofnahat'8, thus the research framework for this investigation was constructed to delineate characteristics of traditional planning "paradigms" in both cultures, as well as, to provide a comparative conceptual framework for investigation of their similarities and differences. This investigation focuses on the derivation of understanding of paradigms in both cultures through development of a parallel research structure. Foci of analysis in both cultures is on planning experts who are knowledgeable about theories, methods, and philosophies of planning in that culture. Experts chosen to aid in understanding characteristics of U.S. planning are planning professors in U.S. universities.6 Experts chosen to aid in understanding characteristics of nahat' a are elders, medicine people, naat'a.anii, and cultural teachers. A combination of ethnographic methods, grounded theory, and naturalistic inquiry provide the tools, and methodological framework for this analysis. Integral to the formulation of the research structure are definitions of"paradigm", "traditional", and "normative". Paradigm was previously discussed (1.8). Definitions of traditional (2.2.2) and normative (2. 2.1.1) are particularly important to 6 Practicing planners should also hold understanding of the paradigm, but are one-step removed in their practice. Planning literature often mentions the disjunctw'e between planning practice, and the ideals and values of the discipline (Brooks, Dalton, 200 1 Feldman. 1994 ). In addition, individuals working in the planning field do not necessarily have formal planning degrees (Vasu, 1979; Baum, 1983), and thus may not be trained in philosophies and theories of the discipline, although AICP certification provides exposure to these philosophies and theories -45-

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the delineation of the U.S. planning for which circumscnbing the paradigm is expected to be problematic due to the evolutionary nature of the discipline, and multiple views of the paradigm which exist among theorists and practitioners (Friedman, 1987; Vasu, 1979; see Section 1.9, 1.9.1). Nabat'a is agreed by the Dine to be their nonnative, traditional planning, and thus does not present similar definitional problems. This chapter is divided into four primary sections: Q 1) Overall research framework-naturalistic inquiry, grounded theory, ethnographic methods (2.1-2.1.3.2); 2) Structure of analysis-definitions, operationalization of definitions (2.2-2.2.4); a 3) Data gathering: interview structure and protocol {2.3-2.3.3.2); and, a 4) Data analysis: analysis of transcripts and literature sources (2.4-2.4.3). Sections 2.1-2.1.3 .2 are provided primarily to introduce research tools not previously applied in planning research, which are useful in both postmodem studies and cross-cultural analysis, and examples of how they were applied in this investigation. Sections 2.2-2.2.4 provide insight on how the boundaries of the paradigm were constructed in each culture through definition of thematic areas, and construction of parallel and contrasting questions for interviews. Sections 2.3-2.3.3.2 discuss the selection of interviewees, and interview structure and protocol. Sections 2.4.1.1-2.4.1.4 provide discussion of transcript analysis through coding and summary. Sections 2.4.2-2.4.2.2.1 provide description of literature analysis; and, -46-

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Section 2.4.3 describes construction of tables for comparative analysis. 2.1 A Framework for Postmodem Research Many planning authors have complained about the fragmented framework that postmodernism creates with lack of a systematic method, framework for analysis, and basis for action (Feldman, 1994; Harper and Stein, 1995). Several different methods for research within the postmodem approach are suggested by researchers such as: deconstruction (Boyer, 1983; Dear, 1986; Feldman, 1994; Harper and Stein, 1995; Milroy, 1991; Sandercock, 1995) or geneological analysis (Fischler, 1998); feminist critique (Borden, et al, 1998; Hooper, 1992; Ritzdorf, 1995; Sandercock, 1998a); hermeneutics or literature analysis (Dear, 1986; Kramsch, 1998a); and, critical analysis or theory (Albrecht and Lim, 1984; Alexander, 1984; Harper and Stein, 2000; Friedman and Keuster, 1996; Sandercock, 1998a). An overall structure for postmodem research is not generally discussed by these authors; however, and the lack of such a structure is noted as a point of concern for many. Although considered a methodological framework in development (Erlandson, Harris, Skipper and Allen, 1993, p. xi), "naturalistic inquiry", also known as "constructivism" (Erlandson, et al., 1993, p. 8), provides a systematic framework for postmodem research design, analysis and theory generation (Erlandson, et al., 1993; Lincoln and Guba, 1985). Tenets of this framework are utilized in generation of research design, data analysis structure, and theory generation for this investigation. The methodology and framework of naturalistic inquiry are derived, in part, from research practice and patterns of research "protocol" emerging during conduct of comparative analyses (Erlandson, et al., 1993 p. xi; Glaser and Straus, 1967). One author describes naturalistic inquiry as "hermaneutic-dialectic interaction" (Erlandson,et al., 1993, p.xiv), or an interpretive framework based on comparison -47-

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and contrast. The result of application ofthis framework are ''pattern theories" or grounded theories regarding interconnections and relations between multiple elements or themes related to the subject of study (Lincoln and Guba, 1985, p. 49; See section 2.1.2). The following section provides some discussion of this framework, comparison of its tenets to those of the positivistic framework, and discussion of its application to this research. In addition, grounded theory and ethnographic methods, both of which are particularly suited to this type of inquiry, the study of culture, and the conduct of this investigation are discussed. 2.1.1 Naturalistic Inquiry Table 2-1, reprinted from Lincoln and Guba (1985), shows some differences between assumptions of naturalistic inquiry and positivist inquiry. As noted in the previous chapter, planning is a field organized within the modernistic/positivist framework, thus theories, methods, etc. primarily follow the positivist structure of research with focus on development of universal models, standards, etc. which can applied independent of context and culture. Studies have not previously been conducted in the planning field regarding alternative worldviews of planning. This investigation is based on the assumption that theories, methods and other characteristics of planning are dependent on culture, and thus are likely to differ as cosmologies, teleologies and epistemologies differ between cultures. In Lincoln and Guba's (1985) terminology, the assumption is that multiple realities exist, and subsequently, the search to understand multiple worldviews of planning underlies this research. It lies; therefore, in the realm of the naturalistic inquiry. -48-

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Table 2-1. Contrasting Positivist and Naturalist Axioms (Lincoln and Guba, Naturalistic Inquiry, pp. 37-38, copyright (c) 1985 by Sage Publications. Reprinted by Permission of Sage Publications, Inc. Axioms About Positivist Paradigm Naturalist Paradigm The nature of reality Reality is single, tangible, Realities are multiple, and fragmentable constructed, and holistic The relationship of knower Knowers and known are knower and known are to the known independent, a dualism interactive, inseparable The possibility of Time-and context-free Only time-and context-generalization generalizations (nomothetic bound working hypotheses statement) are possible (idiographic statements) are The possibility of causal There are real causes, All entities are in a state of linkages temporally precedent to or mutual simultaneous simultaneous with their shaping, so that it is effects impossible to distinguish causes from effects The role of values Inquiry is value-free lnquity is value-bound Contrasts in applying this postpositivist or postmodem approach rather than the positivist approach are discussed below with focus on several elements of particular relevance to this investigation : theory underlying research, research design, location of research, and focus of data sampling (Erlandson, et al, 1993; Lincoln and Guba, 1985). 2.1.1.1 Theory Design is not predicated on testing a general proposition or theory as is often the approach in positivist/modernist research, but is developed with limited structure to allow propositions and theories to emerge from data. Grounded theory is noted as the type of theory which develops from this approach, is described in more detail in -49-

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Section 2.1. 2 and was used to structure comparative analysis in this investigation 2.1.1.2 Emergent Design In naturalistic inquiry, the research design is modified during the course of research to better reflect the nature of data, important categories related to the question of focus and relationships which emerge during the course of research (Lincoln and Guba, 1985). Changes may be as broad as redefinition of the research question, sampling design, and form of data analysis. This approach differs significantly from the modernistic/positivist approach in which design, including definition of research question, sampling design, and analysis techniques are all defined prior to data collection, and adhered to during the course of research. In this investigation, a major change in design emerged during the course of research which shifted focus in Navajo planning from four concepts (e.g nitsahiikees, nahat'8, iin8, siihasin) to one (nahat'a) Although nahat'a had been loosely translated as planning by Navajo colleagues while working within the Navajo Nation, it was not until August, 2002, at least one year after beginning to design the framework for Navajo research, that my notes indicate that nahat'a would be the focus of research Prior to that time, my notes focused on the four concepts as related to planning, and to some fragments of phrases related to the origin, characteristics and process of Navajo planning. 2.1.1.3 Location of Research Research in naturalistic inquiry occurs primarily in the field, rather than in the laboratory or through use of questionnaires, literature, or other means which remove the researcher from the context of the researchoften selected for in positivist/modernist research Participation in the field provides the researcher with -50-

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understanding of the context under which research is taking place. It additionally allows development of understanding of how questions are perceived in interviews, and provides opportunity for additional observations which may aid in understanding the research problem, relationships, or the fit of research techniques to the particular field situation In this investigation, field work provided understanding of the effect of season or the particular events in a person's day on the interviewee's focus during the interview; discussion is context dependent. During the course of interviews with Dine experts both the season (winter) during which the interview was being conducted, and recent concerns about the Iraqi War affected direction of discussions. During interviews with U.S. planning professors, recent experiences such as attendance at conferences, recent visits with their children, or inability to afford housing also affected underlying tenor of discussions. 2.1.1.4 Purposive Sampling Research design focuses on purposive sampling, rather than random or representational sampling in a general population which would more likely be undertaken in positivist studies. Purposive sampling is noted as technique in grounded theory (i.e. theoretical sampling), and is described as one of the methods of ethnographic sampling (Werner and Schoepfle, vol. I, 1987, p. 183-185). In purposive sampling, the sampling framework selects for "information rich cases for study in depth ... [which] will illuminate the questions under study'' (Erlandson, et al. 1993, p. 82). In this research, experts in the philosophies and theories of planning are selected for in both U.S. and Navajo cultures. Purposive sampling may also resuh in an emergent sampling framework-within -51-

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which interviewees are identified during the course of research, and for which the total number of interviewees will often be unknown at the initiation of the study. Only two of the eight Navajo interviewees were identified prior to entering the field. The remaining six were identified in the field through referral by others who regarded them as knowledgeable in the subject. With U.S. planning interviews, 6 fuculty were identified for the pilot study from local planning universities, and the remaining sample was determined after analysis of the first set of interviews and subsequent identification of fuctors which should be considered in the selection of remaining interviewees. 2.1.2 Defining Patterns-Grounded Theory Erlandson (1993) states that grounded theories are "theories that follow from data rather than preceding them" (p. 112). Grounded theory, although appropriately considered a method of data analysis and research design, is also a theory about the development of knowledge from data. Central to grounded theory is the assumption that theory cannot be divorced from the process by which it is generated (Glaser and Straus, 1967, p. 5). Glaser and Straus (1967) note that a theoretical framework "provides modes of conceptualization for describing and explaining'' and a "strategy for data handling". A framework developed by "logico-deductive thinking" limits conceptualization of important variables, relationships between variables, and characteristics of data to previously hypothesized relationships-which may or may not have relevance to the particular scope of research In grounded theory, theory about the best way to "handle data", and to "describe and explain data" is generated during the research process. Initial decisions regarding data collection are based on general subjects or problem areas, rather than a -52-

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"preconceived theoretical framework" with variables and relationship chosen from this previously developed theory (Glaser and Straus, 1967, p. 45). The method of grounded theory is that of comparative analysis. General subject areas are studied within a comparative framework. In this case, the general subject of the planning paradigm was studied within a comparative framework of two cultures. Grounded theory stresses comparative analyses in all phases of research to elicit categories of analysis, properties of these categories and their relationships to each other (Glaser and Straus, 1967, p. 55), and to delineate patterns in cultures. Comparative analysis was used in all phases of this investigation: I) to construct the overall research structure; 2) identify thematic areas and parallel interview questions; 3) analyze data within each paradigm, and between paradigms; and, 4) to construct summary tables of planning characteristics, and develop conclusions about broad similarities and differences. At the core of the comparative method is an iterative process of deductive and inductive analysis, of conceptualization and reconceptualization of patterns and relationships in data ''until a stable cultural pattern appears" (LeCompte and Schensul, 1999a, p. 15). 2.1.2.1 Previous Use of Grounded Theory in Planning Although grounded theory has been directly mentioned or alluded to as one of the methods ofpostmodernism utilized by planning practitioners (Innes, 1995; Milroy, 1991 ), it has not previously been applied to understanding the culture or paradigm of planning, either within or outside the United States. Comparative analysis of cultures has been suggested; however, as a means of creating modified planning -53-

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curriculum and development strategies in cross-cultural planning education and projects (Sanyal, 1990; 1985). noted in 1974, that methodologies were needed within the planning field which recognize "dialectical relationships among man, nature, and the social world." 1974, p. 31). 2.1.3 Focus On Culture-Ethnographic Methods Prior to the development of current postmodem inquiries, methods for studying culture had been developed, known as ethnographic methods. These methods were used in the fields of anthropology and the social sciences, primarily, to study cultural patterns, test theories of culture, describe cultures, etc. Culture was generally defined for these studies as follows from Tylor (1951): "Culture or civilization, taken in its ethnographic sense is that complex whole which includes knowledge, belief, art, morals, law, custom, and any other capabilities and habits acquired by man as a member of society" (Pasquinelli, 1996; p. 55) LeCompte and Schensul (1999) note that the concept of culture provides a framework for interpreting results in ethnographic work: ... concept of culture as a lens through which to interpret results." (p. 9) ... [ethnography] generates or builds theories of culture-or explanations of how people think, believe, and behave-that are situated in local time and space ... (p. 8). Ethnography is used in this investigation to understand how people think, believe and behave within the planning profession. The focus is on defining cultural patterns of normative characteristics which guide the practice of planning (See section 2.2.1.1 ). -54-

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Use of a combination of information sources such as interviews, questionnaires, archival analysis, and observations are encouraged in ethnographic research to provide a range of data sources to better understand relationships in data; expand the pool of''interviewees"; validate data by ''triangulating" a concept from different sources; and provide an opportunity to consider information from a variety of viewpoints (Glaser and Straus, 1967, p. 65; LeCompte, 1999a). A variety of sources of information were utilized in developing the research framework for this inquiry including: -personal experience -workshops/public meetings -professional planning publications/conference proceedings -dissertations -autobiographies -interviews -general literature review 2.1.3.1 Previous Use of Ethnographic Methods in Planning Ethnographic methods have not traditionally been considered part of the knowledge and training of planners, although their value was noted in the 1920s-40s (Perry, 1929), in the 1960s (Maruyama, 1973), and in the recent postmodem discussions in planning-all periods when ethnicity, subcultures, pluralism (Matthews, 1970) or 'cultural localism' (Fischler,1998, p. 399) were of particular interest within U.S. society. Ethnographic methods were used by sociologists to study U.S. communities during the 1920s-1940s at the University of Chicago (Smith, Fishman, 2000), and the planning profession drew heavily from this research (Birch, 2001) for development of -55-

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planning theory "to expJain urban form and urban problems" 1989, p. 383). Efforts to develop a general planning curriculwn framework in the late 1950s were expected to incorporate methods and tools from other disciplines which had been found useful to the discipline of planning (Perlofl: 1957, p. 136-7). Understanding of the preparation and uses of social surveys in planning were listed as part of the "basic methods and tools" of planners in this suggested curriculwn (Perlofl: 1957, p. 43), however, the focus appeared to be on analytical aspects of the survey, rather than broader etlmographic methods Inclusion of etlmographic methods were part of the dialogue of developing the social planning subdiscipline during the 1960s when the discipline also grappled with diversity and ethnicity (Maruyama, 1973; Peattie, 1967; So, et al., 1979): "There is currently much discussion in the field concerning social planning-what it is and how it should be related to existing planning programs .... the kind ofwork done by social anthropologists-and by sociologists, psychologists, and others who report on social reality at the small scale through fieldwork techniques of interview and observation---ronstitutes a somewhat more radical addition to planning than planners generally recognize This way of working does not merely provide a data input to social planning, or a description of social factors which other kinds of planning may need to take into account; it also tends to develop views of social reality, and of planning, somewhat different from those commonly held by planners ... (Peattie, 1967, p. 266) With recent concerns regarding incorporation of multiculturalism into the planning discipline, etlmographic methods or case studies are again being suggested as tools which should be introduced to students (Baum, 2000, p. 132-133; Friedman, 1996, p 10 I), and are methods finding some application in planning research (Bollens, 2002; -56-

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Qadeer, 1997; Sandercock, 1995); however, these methods have not been internalized within the discipline: "While planning theorists often draw upon a variety of academic disciplines for ideas, their forays are biased: economics and public administration but not anthropology and history, the social sciences but not cultural studies and literary theory." (Beauregard, 1991, p. 192) Ethnographic studies have generally been considered the expertise of consultants who are brought into planning projects: "Anthropological surveys are highly refined tools, but they must be developed and conducted by professional and thus they require costly time and labor ... (So, et al. 1979, p. 509). Socioeconomic impact analyses of planning project have generally been conducted by development consultants (So and Getzels, 1988, p. 348) or professionals in other disciplines such as anthropology, sociology, rather than from within the planning discipline (Peattie, 1967; Schoepfle, Burton and Begishe, 1984). 2.1.3.2 Culture of Planning Although many authors indicate that there is a culture of planning (Alexander, 1994; Baum, 2000; Fischler, 1995); this culture has not been studied systematically using ethnographic methods. Interviews/questionnaires have been used at times throughout the history of planning to probe professional values/roles (Baum, 1983; Vasu, 1979); however This study focuses on a portion of the culture of planning by analyzing the paradigm of planning. Other aspects of the culture, such as professional practice, are not the focus of this investigation, but provide opportunities for future investigators. -57-

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I I I I I I I I I I I I I I I 2.2 Structure of Analysis Research has been structured to: 0 1) Provide understanding of traditional planning concepts in two cultures; and, 0 2) Allow comparison of characteristics of traditional planning in two cultures. The overall research framework evolved through an iterative process of pilot study, literature review, and discussion with Dine individuals over a period of3 years to detennine overall structure, thematic areas of inquiry, and interview design. The final research design is derived from understanding gained through this previous background knowledge of the structure of planning in the two cultural systems, supplemented by selection of three concepts to provide the structure and boundaries of research (i.e., paradigm, nonnative, tradition) Definitions of all three using Webster's New International Dictionazy and Merriam-Webster's Collegiate Dictionary further delimit the scope of research-determining what is included and what is excluded from focus (See sections 2.2.1. 1 and 2.2.2) 2.2.1 Traditional Planning Paradigm Three broad areas of inquiry provide the focus for establishing characteristics of traditional planning paradigms in both cultures: I) the philosophical or nonnative position of what planning should are the goals, role of the planner, -58-

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I I I I I I I I I I I I I I I I I 2) the origin or foundation of the concepts-where did they come from and why; and, 3) traditional components of each conceptual framework-<:omponents which have continuity through time. The following sections provide discussion regarding how ''normative" and ''traditional" are operationalized through the use of definitions, and the structure of data analysis. In addition, discussion is provided regarding the selection of thematic areas to identity characteristics of planning paradigms (2.2.3). 2.2.1.1 Normative: Ideal Characteristics This investigation focuses on ideal or normative views of what planning should be. Norm is defined as the following7 : I) "an ideal standard binding upon the members of a group and serving to guide, control, or regulate proper and acceptable behavior''; 2) "a pattern or trait taken or estimated to be typical in the behavior of a social group because more frequently observed". Normative has been chosen, for this study, to refer not only to the behavior of planners, but to other characteristics of the paradigm which define the precepts, principles and practices of the ideal of planning in each culture. 2.2.1.2 Operationalizing the Normative-U.S. Paradigm Werner and Bernard (1994) state that when "three or more consultants agree on a 1 "Norm". Def 3; 4c. 1993. Webster's New International Dictionary Unabridged. 3d ed. -59-

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fact within a homogeneous social system it is time to move on to another group that views things somewhat differently'' (p.9). The US planning profession, for this research, will be considered a homogenous social system; however, current disagreement within the field regarding the paradigm and potential for divergent views of the paradigm by interviewees are expected; therefore, a majority (over 50%) of respondents will be deemed necessary to provide indication of the normative. In addition, current professional literature is reviewed to corroborate majority views (2.4.2.2) 2.2.1.3 The Normative-Dine Frequency of expression regarding Navajo concepts of nahat' a will also be explored among interviewees; however, a majority will not be determinative for defining characteristics ofnahat'8., as there is agreement among interviewees regarding the source and structure ofnahat'a. Most interviewees specifically mention that knowledge regarding the practice, principles, guidelines, and goals of nahat' a is found in songs and prayers of Blessingway; therefore, the normative is assumed to be reflected in their collective statements. During the course of interviews, it appeared that one large story was unfolding, also supporting this approach. 2.2.2 Traditional Planning Tradition in this study is defined as the following': I) "cultural continuity in social attitudes, customs, and institutions", 2) "an inherited, established, or customary pattern of thought, action or 8 "Tradition Def. Is; 3. Merriam-Webster's Collegiate Dictionary 11th edition, 2003. -60-

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I I I I I I I I i I I I I I behavior" 2.2.2.1 Operationalizing the Traditional: U.S. Paradigm Traditional concepts of the U.S. planning paradigm are operationalized in this research as those concepts of the current paradigm which have historical continuity, or have become customary to the profession. This is established primarily through archival analysis (See section 2.4.2.2.1 ), supplemented by comments of interviewees regarding planning traditions, or use of phrases such as "even today, ''for a long time", "its always kind ofbeen there", and "a troubling aspect of the discipline through history. 2.2.2.2 Dine Traditional Concepts Nahat'a is considered by the Dine people to be the traditional knowledge of planning, which has been present since prior to creation of the earth surface people, and is recorded in prayers, songs, ceremonies, and legends which are transmitted orally. Knowledge ofnahat'a is traditional knowledge ofNavajo planning and has been transmitted from generation to generation Interviews focus on this knowledge, and it is all assumed to be traditional knowledge. 2.2.3 Defining Characteristics of the Paradigm Planning paradigms are investigated and defined through identification of thematic areas relevant to both cultures which aid in characterizing precepts, principles, and practices of planning paradigms (Wolf: 200lb). Several "parallel" thematic areas were previously identified as part of informal research conducted while at Dine College (Wolf and Morgan, 2000). These included: 1) role of the planner, -61-

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2) goals of planning, 3) the process of planning; and. 4) knowledge/skills needed for planning. Review of current U.S. planning literature indicates that these are also areas of current debate regarding characteristics of the planning discipline and planning paradigm(See 1.4). Additional areas selected for focus of questions in both cultures of planning include: 5) character or characteristics of the planner; 6) origin of planning; and, 7) need for planning. Characteristics of the planner is another focus of debate in the planning literature (Baum, 1983; Vasu, 1979), and thus chosen as an element of the planning paradigm. It was not known if this thematic area was important within the Dine planning paradigm Origin is extremely important to Dine philosophies of life and embedded within are explanations ofDine worldviews, in general (Benally; McNeley, 1975; Remington, 1982). It was not known if there would be similar relation between origins ofU.S. planning and the planning paradigm. Four areas of questioning were developed to aid in contrasting the two forms of planning, and were not asked in a parallel fashion: 9) environmental planning (U.S. planning) -62-

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I 0) Local Governance Initiative (Dine p]anning) II) values I2) feelings and emotions Environmental planning exists as a subdiscipline in U.S. planning. Local Governance is specific to the Dine'. The role of values, and feelings and emotions is specifically asked about for the U.S. planning profession because the discipline is currently struggling with post-rationalist thinking and understanding what that means. The discipline has generally been assumed to be rational, objective, and disempassioned (Birch, 200I; Hanis, I967; Hoch, et al., 2000; Sandercock, 1998b; SoJin, 1997; ). These thematic areas provide the basis of interview questions (See Tables C-I and C-2, Appendix C), and subsequent analysis of the paradigms (See sections 2.42.4.3). 2.2.4 Summary: Defining tbe Traditional Planning Paradigm in Eacb Culture Figure 2-1 shows the difference in pathways for determination of traditional characteristics of the traditional planning paradigm in each culture. Determination of characteristics of the U.S. traditional planning paradigm is accomplished in a three pronged approach: 0 I) Nonnative characteristics are determined as those described by a majority ofU.S. planning professors; -63-

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Figure 2-1. Determination of Traditional Characteristics of and Comparison of Two Planning Paradigms + Comparative Summary Tables Conclusions about Paradigms -64-

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I i I I I I I I I I 0 2) Current literature is reviewed to corroborate these views, and to expand understanding of these characteristics; and, 0 3) Historical analysis of literature is conducted to determine which characteristics have been maintained through time. Characteristics which are nonnative, and are defined in current and historical literature are determined to be part of the U.S. traditional pJanning paradigm. Characteristics ofnahat'a are determined in one step directly from interviewees. Nahat'a is the traditional planning paradigm of the Dine, so there is no need to engage in historical analysis to determine traditional characteristics. More frequently expressed characteristics are emphasized; however, the normative is assumed to be reflected in the collective statements of interviewees and does not require a separate step to determine (See section 2 2 1 .3). Characteristics of each paradigm are summarized by thematic area in Chapter 3 2.2.5 Comparisons Between Cultures Parallel interview questions were developed for both cultures to aid in comparative analysis. The example provided below shows the construction of questions in both cultures addressing the thematic area of planning goals: 0 U.S. planning: "What are the goals of planning? Have these changed over time? How? Why?" 0 Nahat'a: What are its [nahat'a] goals, desired result? Why is it done? -65-

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! I I I I I I I I I I I I i I I I I I I I I Similarities and differences in normative, traditional characteristics are tabulated (Tables 4 1-4.9), and provide the basis of summaries presented discussing similarities and differences between the two concepts of planning in the final chapter (Chapter 4). A more detailed discussion of the comparative analysis is found in section 2.4.3 Figure 2-1 shows the overall structure of the analysis. 2.3 Data Gathering The following section provides understanding of the structure and approach to data gathering regarding paradigms of pJanning in the two cultures. Semi-structured interviews are the primary tools of data gathering in this research 2.3.1 Semi-structured Interviews "Semistructured inteviews combine the flexibility of the unstructured, open-ended interview with the directionality and agenda of the survey instrument to produce focused, qualitative, textual data at the factor level. The questions on a semistructured interview guide are pre formulated, but the answers to those questions are open-ended ... (Schensul, Schensul, and Lecompte, 1999, p 149) Semi-structured interviews (SchensuL et al., 1999) provide a flexible structure for interviewing, creating 'talking points' to move the interview along, and to get people talking and thinking in broad areas of interest; however they require research of the topic and delineation of relevant 'domains' for topic inquiry prior to initiation of interviews (Schensul, et al,1999 p. 15). As previously discussed (2.2.3), thematic areas for this investigation were defined prior to development of interview questions from a combination of personal experience, and research. Semi-structured interviews lie in between 'grand-tour' type of interviewing (Sprague, 1979) where one would ask a question such as "Tell me about planning" and subsequently develop categories for future interviews based on domains and -66-

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themes resuhing from the interview; and, structured interviews where one develops a questionnaire with predetermined responses from which an individual must select (Schensul, et al., 1999, p. 170). Questions in the semi-structured interviews are developed to stimulate thinking about general thematic areas and may not be asked in the same order, or in exactly the same way with all interviewees. In addition, an interviewee may discuss one thematic area in several parts of the interview as subsequent questions may stimulate thinking about a previously asked question. Interviewees often intetjected information about a previous question as a later question jogged their memory of additional information they wanted to provide. Transcript analysis; therefore, requires analysis of the entire interview for information regarding a thematic area, rather than just responses to the question designed to probe that area of inquiry. Literature references which were of particular aid to developing interview protocol and structure, in addition to Schensul, et al., (1999), were Spradley(1979) and Erlandson, et al (1993). Questions developed for interviews are listed in Table C-1 for U.S. planning experts, and in Table C-2 for Dine planning experts. 2.3.2 Identification of Planning Experts Individuals expected to hold and transmit philosophical and theoretical knowledge of planning in each culture were chosen for interviews. Within the U.S. planning culture, these individuals were identified as planning faculty within U.S. University planning programs. Faculty are expected to have knowledge of and perpetuate the planning paradigm to their planning students. To understand concepts ofNavajo traditional planning-nahat'8, a combination of medicine men, naat'8anii (traditional leaders), cultural specialists, and community -67-

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elders who are similarly expected to have knowledge of and perpetuate the traditional concepts of planning within the Navajo Nation were chosen for interview. 2.3.2.1 Selection of U.S. Planning Professors Interviewees for the U.S. planning paradigm were chosen from universities in the Rocky Mountain region. Selection of universities were based on variety of factors including: 1) presence of a large percentage of faculty with planning degrees; 2) professors who specialized in courses or research in planning theory or history; 3) professors trained in a range of decades; 4) professors who had grown up and received planning training in the U .S.; 5) diversity of planning specialties exhibited by faculty (e g economic, physical, social, environmental or natural resources; and, 6) range of emphasis of planning programs (e.g., community planning, urban planning, etc ) The ACSP Guide to Undergraduate and Graduate Education in Urban and Regional Planning was used initially to determine specialties and background of professors, and approximate decade of training This was supplemented by review of department websites, and finalized with pre-questionnaire surveys sent via email (Appendix B, Table B-1). Information regarding emphasis of planning programs was also gained from the ACSP guide, supplemented through personal experience (i.e., student at University of Wyoming and University of Colorado), and previous exposure to the University ofNew Mexico program through recruitment literature and published literature (Sargent, Lusk, Rivera, and Varela, 1991). Fourteen interviewees were chosen from four university planning programs: University of Colorado, University of Wyoming, University of New Mexico, and Kansas State University. All but one individual interviewed was male. Appendix B provides a summary of interviewee characteristics. Participating faculty follow from: -68-

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University of Colorado-Denver, College of Architecture and Planning, Department of Planning and Design: Dr. Raymond Studer (RS); Dr. Thomas Clark (TC); Dr. Michael Holleran (MI-l); Dr. Richard Margerum (RM) (now with University of Oregon, Department of Planning, Public Policy, and Management); University ofWyoming,Department of Geography and Recreation : Dr. Bill Gribb (BG); University ofNew Mexico, School of Architecture and Planning, Community and Regional Planning Program : Dr. Claudia Isaac (CI); Dr. David S. Henkle (DH); Mr. James R ''Rick" Richardson (RR); Dr. William Fleming; Kansas State University, College of Architecture, Planning and Design, Department of Landscape Architecture and Regional and Community Planning: Dr. Larry L. Lawhon (LL); Mr. Claude A. "AI" Keithley (AK); Mr. Ray B. Weisberger (RW); and, Dr. Vernon P Deines (VD) -69-

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One faculty member chose to remain anonymous (U.S. Planning Faculty). Only 13 responses were used in developing characteristics as Dr. Bill Fleming participated in discussions regarding the scope of environmental planning, but did not consider himself a planner, having received graduate degrees in water resources engineering and watershed management. His responses were used to provide insight into the difference in understanding of the planning paradigm and planning discipline-specific knowledge between those who have formal planning training and those who do not. Although universities were chosen in the Rocky Mountain region for ease of initial investigation of university and faculty characteristics in the western U.S. indicated characteristics similar to those in universities chosen. In addition, faculty involved in this study were trained at a variety of locations across the U.S. (Appendix B, Table B-2) providing geographical representation of different planning programs in the U.S. Planning training is expected; however, to be similar across the United States with professors carrying similar understanding of general principles, processes, and characteristics of the planning field-this is the basic assumption underlying the existence of a paradigm. Planning faculty from any University might; therefore, provide knowledge of the planning paradigm. 2.3.2.2 Dine Interviewees Knowledge of nahat' a was hypothesized to be held by a fairly small pool of experts, similar to the knowledge of the U.S. planning paradigm. Twelve interviews were planned to parallel the 13 conducted with U.S. planning faculty. Navajo experts were expected to be located within teaching facilities where Navajo culture is taught, and as elders within the community. Elders had the responsibility, prior to initiation of boarding schools and other U.S. institutional structures, of teaching children about nahat'a and other cultural concepts. Teaching was largely oral, and remains so today supplemented in teaching facilities by written materials, such as outlines and -70-

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sunnnaries. Today, elders often come into primary and secondary schools to teach about Navajo cultural concepts. Dine interviewees were identified through previous experience while a faculty member at Dine College, and from suggestions of Dine who were fami1iar with both concepts ofnahat'a and individuals knowledgeable in this body of .knowledge. Eight interviewees were identified who agreed to be involved in this investigation. Dine College has been instrumental in both developing curricular materials for and teaching Dine language and culture and thus was chosen as the primary institution to identify faculty knowledgeable in nabat'a Three faculty chosen for interviews are cultural specialists or traditional scholars and teach cultural classes at Dine College (Tsaile campus). These individuals are: Mr. Harry Walters (HW), Director, Ned Hatathli Museum, Dine College ; Mr. Anthony Lee, Sr (AL), Dine Educational Philosophy Instructor, Dine College Dr. Wtlson Aronilth, Jr. (W A), Dine Philosopher and Educator, Dine College The remainder of interviewees include medicine men, naat'8anii, and community elders with knowledge of nahat' a. Individuals live or work within a variety of locations within the Navajo Nation including Hogback, Chilchinbito, and Round Rock, and range in age from 29 to 84 years old. All but one individual interviewed were male. Knowledge presented is primarily from the Blessingway side. Among these individuals are: Dr. Frank C. Young (FY), Nahalaii, Chilchinbito, AZ; Dr. Mike Mitchell (MM), Dine cultural specialist-Navajo Nation, Round -71-

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Rock, AZ Mrs. Esther J. Willie Cambridge (EC), Traditional Dine elder, Hogback, NM;. Two interviewees chose to remain anonymous (Medicine Man; Naat'aanii). 2.3.3 Interview Protocol Interview protocol will be described in more detail for U.S. planning professors (section 2.3.3.1) and Dine planning experts (Section 2.3.3 2) in the following sections. In both cases, ''human subject" approvals were received by appropriate governing bodies, potential interviewees were contacted, intent of research and research questions were described, consent forms were discussed and signed (See Appendix D), interviews were conducted and taped, notes were taken during the interviews, and transcriptions were completed in the field. Analyses are based on transcriptions ofU.S. planning professors, and a combination of notes and transcriptions for Dine experts. Interviews generally lasted from 30 minutes to 2.5 hours, averaging about 1 hour. Equipment utilized for taping consisted of a small hand-held tape recorder (Optimus CTR-115), with a Radio-Shack Dynamic Mike microphone (33-2001A), which was placed in a location near the interviewee. Transcription was accomplished using a Dictaphone ExpressWriter1MModel2740 Voice Processor. 2.3.3.1 U.S. Planning Faculty Research was conducted in Spring, 2001, and Spring, 2002. Six planning professors were initially queried to pilot test research design. Eight additional professors were selected to expand the sample size. -72-

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Research protocol was approved by the University of Colorado at Denver, and Appendix D provides a copy ofthe consent form provided to interviewees. Consent forms (See Appendix D) were reviewed by interviewees and signed prior to the interviews. Facuhy were asked whether they wanted to remain anonymous or to be recognized for their knowledge. One faculty member chose to remain anonymous. Copies of signed consent forms were sent to all participants. Several faculty requested review of quotations prior to their use, and were later sent draft pages of the dissertation on which their quotations appeared for review. Faculty were provided an opportunity to receive copies of the transcripts made from interviews. Prior to initiation of the interview faculty members were asked if they had any questions concerning the research, and were given a copy of interview questions. Faculty were often curious regarding details of the study, especially with respect to what I wanted to find in the study I indicated that there was another portion of the study that I would be doing that required understanding of the U.S planning paradigm, but only two interviewees were aware of the cross-cultural focus of research (RS, CI). The reason for introducing the investigation as "Creating a Conceptual Map of the Traditional U.S. Planning Paradigm" (See Appendix D), rather than a cross-cultural analysis of planning, was to preclude a potentially biased response to questions regarding the planning paradigm. This was deemed prudent since presentation of the proposal for this research to the graduate program in Design and Planning at University of Colorado was met with a certain amount of defensiveness regarding the planning paradigm, particularly with respect to its inclusiveness (public good) and consideration of environmental concerns, and I wanted to construct understanding of the paradigm without this induced bias. -73-

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Interviews lasted between 1 and 1.5 hours. Questions in Table C-1 provided the framework for semi-structured interviews. Ordering of questions, although varying among interviewees, generally began with asking about the origin of planning, and the need for planning. Interviews were conducted in professor's offices in most cases. In one case, the interview was conducted in a coffee shop, and in four other cases, in conference rooms or available class rooms. Tapes were made of all interviews. Transcriptions were completed primarily in the field 2.3.3.2 Dine Experts Research was conducted in January and February, 2002. Approvals of research protocol were received from Navajo Nation Historic Preservation Department and the University of Colorado Human Subjects Review Board. In addition, verbal approval to conduct research within Dine College was received from Thomas Bennett, chair of the Dine College review board, who considered this research among colleagues. A copy of the consent form provided to interviewees is included in Appendix D. Individuals who participated in the study were asked whether they wanted to receive copies of transcripts from the interview; were given the choice of remaining anonymous, or being recognized for their knowledge; and were asked for permission to tape the interview. All interviews were taped except one (W A). Two interviewees chose to remain anonymous (Medicine Man; Naat'ilanii) Consent forms were provided to all interviewees, and were signed by interviewees either before or after the interview. Copies of signed consent forms were provided to interviewees. Copies of transcripts were sent to interviewees, when requested. Copies of tapes were sent to one individual who made this request, and to another to aid in transcribing Navajo phrases which were interspersed throughout the interview -74-

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Prior to conducting interviews, interviewees were informed that the dissertation was a comparative study with ''western planning". In four cases, the preface to the dissertation was read to interviewees to more fully inform them regarding the thinking underlying questions I was asking, and my goals in conducting the study. I needed to do this, in general, to inform interviewees of my intent regarding application of the research--which almost all interviewees asked about, and to help them determine what knowledge regarding nahat'a should be shared. Almost all asked what type ofnahat'a I wanted to know about, and I chose not to limit to "home nahat'a", or "everyday nahat'a", but to allow interviewees to determine what knowledge ofnahat'a they would share based on the purpose of my research. Interviews were conducted at a variety oflocations-homes, offices, and a library. The locations were determined either by the interviewees, or the translator. In one case, I chose the location, as the suggested location (coffee shop) would have resulted in too much background noise. Total time involved in each interview was approximately 30 minutes-2.5 hours. Follow-ups were conducted with several individuals to further clarify concepts Questions in Table C-2 provided the framework for semi-structured interviews. In general, ordering of questions began with asking how and where the individual was trained in nahat'a, what nahat'a is, and why nahat'a was needed In two instances, interviews did not follow this framework. Individuals talked, instead, about particular aspects of nahat' a they believed would be helpful to my research. Five interviews were conducted without a translator, as these individuals spoke English fluently (Medicine man, Naat'8anii, HW, AL, WA). Translators were required in 3 interviews (FY, MM, EC). Three different translators were involved. Translators provided a brief summary of interviewee responses to questions during -75-

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the interview, allowing me an opportunity to clarifY questions, and to ask additional questions. Notes were taken during all interviews to supplement tapes, and were summarized in the field. When translators were present, the tape-recorder was turned on and off at various times, and additional infonnation was often shared when the tape-recorder was off. Some of this infonnation was written down in notes, while other infonnation was just listened to, in respect of the oral tradition. Although the intention was originally to analyze full transcriptions of interviews for all Navajo speakers, difficulty in receiving transcriptions from the translator chosen to translate tapes of Esther Cambridge and Dr. Mike Mitchell resulted in focus, instead, on notes taken during interviews conducted in the Dine language (FY, MM, EC). Quotations from these interviews should be considered; therefore, to be paraphrased, rather than direct translations. What is lost in such a process is the color, texture, and rhythm of a direct translation, although the overall meaning is conveyed. One additional trip to the Navajo Nation was undertaken in February, 2004, to talk with several interviewees regarding my understanding of the knowledge they had imparted; and to review interview notes or sections of this document. This was undertaken primarily with interviewees who had conducted interviews in the Dine language. 2.4 Data AnalysisThematic Analysis Analysis was conducted in two parts: 1) identification and description of planning "paradigms" in each culture through transcript analysis and literature review of thematic areas (2.4-2.4 2.2.1) ; and, 2) comparison of characteristics of planning in -76-

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both cultures through comparison of these ''paradigms" (2.4.3). 2.4.1 Identification of Paradigms As previously mentioned, the identification of characteristics of planning in each culture was detennined through slightly different pathways (Figure 2-1; 2.2.4). Analysis of transcripts; however, was undertaken in a similar fashion for both cultures, and is discussed in the following sections (2.4.1.1-2.4.1.4). The first two sections descnbe coding of transcripts, followed by the method of summarizing information. 2.4.1.1 Transcript Analysis: Coding Transcripts of both cultures, and notes taken during interviews conducted in the Dine language were analyzed using techniques of thematic analysis and coding (Boyatzis, 1998; LeCompte and Schensul, 1999). Although both can be conducted by hand, computer-assisted coding and analysis is much more rapid. NVivo (Version 2. 0.161 ), a qualitative software analysis tool, was used to identify sections of the transcripts in which a particular thematic area was discussed, collate these sections for each interview, and subsequently collate all sections in all interviews for each culture for analysis. Two types of computer-assisted coding were used: computer generated, and "hand-coding" through line by line analysis of transcripts for thematic areas, and storage of highlighted areas through point-and-click technology. Computer-generated codes are obtained through use of the "Code Sections" function ofNVivo which recognizes questions, and stores responses to each question. Each question was developed as a broad thematic area (See Tables C-1 and C-2; Section 2.2.3). Results obtained in this way contain only a small portion of information related to a particular thematic area. -77-

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Computer-generated codes can also be obtained through use of the general search technology ofNVivo. NVivo allows the user to query ''text strings" which can be used to identify thematic areas throughout the text, and to allow more in-depth analysis of subconcepts within thematic areas. This ability to query subconcepts aids in further clarifying, defining, and detennining normative characteristics. Line-by-line coding through point-and-click technology provides an opportunity to include all ofthe interviewee's comments related to a thematic area, rather than just those that are in response to a particular question, or in particular text string (e.g., role) and are generally more informative. Figure 2-2 shows the number of locations in the transcript where one code is located, and an example of the multiple codes which were attached to a particular portion of the transcript. This example is provided to show that information on a particular thematic area is scattered throughout the transcript, rather than just in response to a particular question The two sets of coding (computer-generated; line-by-line) result in two different coding files (''Free" and "Tree" nodes) which are combined into one "Coding Report" through use of the 'Boolean Union' function of NVivo. A Coding Report was printed out for each thematic area in each cultures and included both sets of coding for all transcripts. Figure 2-3 shows a section of the Coding Report for the subconcept "future-oriented" within the thematic area of "Planning Characteristics" for the U.S. planning profession -78-

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I -....l \0 I Figure 2-2. Multiple Coding of Statements in NVivo T: Well, I think, aa a profession we have a.rtain valuu that are pree<:riptive, that are MOrth pursuing and educating the pll!>lic about JpubRe but where there are ciiffe:r:ent groupe where there are ciifferent values ... precepta such u treating unequala unequally ao u to lll&b tha lua WIIQU&l give ua aoiDe guiclance u to how to intervene. But planning ia DOt only about matters of ciiatribution of reciiatribution. Pl&llning ill &lao abOut beauty, functionality, auatainability .. theae are 11111tavaluaa that are the atop and go lights of our prof .. aion and when we're led down a road which ia in violation of wbat tbia profeaaion I believe abould atand for we should go againat thoae wbo MOuld violate thoae 1g: The precepts of wbat thia prof11aion should atend for, are thole OOO!:tied 101111 where, or bow do you, T: Jlo, they're in notiona of fairnua, equity, 1uatainab11ity, beauty, reuonableneaa. Notion& that oonnect meana end endl, that weigh the elida against tha B11ana by which tha.l lnda would be proc!uced. Y .. I think there ia an etJiioal ... t:M protueion ia intueld with an ethical ltaJidam, I think thare be Harkabla CIODIIIIIIUI &J)out wllat that etaJidam ia and ao Whan we' :r:e aalr.ed u prof11aional to do -thino that i1 in violation Of tboH ataDdal:da, 1 th1nt it' our ,ol)ligation to aay no and ay to o11aag1 tbinga. tiDfortunately pl&Daera i'llllo MOrlc for looal cant .. acm.tiDIII .can't aay no, 101111timea don't want to 117 no. Many of th1111 opposed AIDIIldment 24 and aillply eapouaed the party line o:t their local which in turn wu the party line of the powerful in tha local ,part of tha Jc.........av ;rowth machine that benefit frc:a UDriQUlated and ao they lay have wanted to do ;ood, but thay ciid bad by oc:aiDg out agaiut pllllllinq :r:etora. I to aay eft;ryone bad to aqzee with 24, but yea, looal pll!>lio planners are lillitld. Even privata plannara IIIIo are in JPIII>IIo conaulting fi:aaa ara lilllited and I el&o want to inaert into earlin an obaanation which ia that not all planning ia looal or pll!>lic ]public MOtor and that ID&IIy are in tha private nctor and many addraaa change withollt regard to tha built enviro-t aDd that's okay too and I'd lib to au 1110re of our graduates MOrk with the state and gove:m.nt and overaeu and in a wllola variety of capacitill. I th1nt our ;raduatea 'have bean too tilaid in aeelcin; out a broadar array o:t opportuniti11 to illpoae change I like to olll.y educate atudenta who will take that lalowledqe and r .. lly puah it to the limit. Cban;e tha world. It' failure when 1aaeone ;on out and doe& eaDething that' a alwaye been done. ]J-.. ' t t ] ................ ]--

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Figure 2-3 NVivo Coding Report for "future-oriented" NVIvo revision 2.0.161 NODE CODING REPORT Node: Created Modified future-oriented 2/3/2002 104223 AM 3/14/2002 44450 PM Documents in Set All Documents Document 1 of 7 Interviewee I Passage 1 of 5 Section 4, Para 70, 60 chars. 7 Othe future is a fundamental argument in support of planning Passage 2 of5 Section 5, Para 79,618 chars. 7 9the future is a place. The future is a place and is time meets space and they think of that future as a vision that they can image in their own mind and everything stems from that. Moreover, the prime tools available to communities to shape their communities are largely ones that work through land use. And you shape land use and you expect other things to follow. I'm not an environmental determinist, but there are other ways to characterize this function that produce good results without depending overly on any simplistic notion that the built environment automatically alters those who live in it or use it. Passage 3 of 5 Section 6, Para 95, 434 chars. 95 Planners are bad at prescribing, and good at predicting and they ought to be more prescribing and less predicting and really that for us to do that, we have to look back at the tools available to us and the way we think about the future and I think that's one of the larger challenges today to reinvent the way we posit the future, and then having made our choices about the future, how we shape strategies to get from here to there Document 2 of 7 Interviewee 2 Passage 1 of3 Section 6, Para 27,69 chars. 2 7 Plan for the future of the community is the foundation of planning Passage 2 of 3 Section 13, Para 68, 90 chars. 68coming together to try and plan for the future of the community is a major goal or process Passage 3 of 3 Section 23, Para 152, 282 chars. 152 If you think of planning as trying to meet the goals and objectives for the future well-being of a community, an element of that would be the environment, and environmental -80-

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2.4.1.2 Transcript Analysis: Summary Coding reports were used in two primary ways: 1) to develop a one-page summary indicating broad norms and range of thinking on the coded topic (Figure 2.4); and, 2) to create a detailed review of each interviewee's statement on the coded topicoften resulting in several pages of summary. After completing draft sununaries of each coded topic (thematic area), each transcript was reviewed and summarized for the knowledge presented overall. (Boyatzis, 1998, p 45) suggests this technique ''provides for close contact and familiarity with the raw information", and aids in development of themes. In many cases, this approach resulted in identification of additional sections of text to be re-coded for a particular thematic area, resulting in a third round of coding. General statements or short phrases, indicative of general views of a thematic area, were derived from these reports (Figure 2-5) and were used to aid in determining frequencies and percentages (U.S. planning) of experts with particular views regarding a particular thematic area. Research results were finalized through review of each transcript to verify frequencies and statements regarding each thematic area. The final results represent at least 5 full reviews of each transcript. -81-

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Figure 2-4. Analysis of Coding: Rough Summary of all U.S. Transcripts for "Planner's Role" -82-

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Figure 2-5. Analysis of Coding: Identification of Phrases Identifying Main Categories Addressed by Interviewees in "Need for U.S. planning" ,, (--;.) LawL..kj -83-

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2.4.1.3 U.S. Planning: Identification of Normative Characteristics Results subsequently provided the basis for determining nonnative views of the U.S. planning paradigm, and for constructing bar charts, where appropriate, illustrating frequencies of planning characteristics (e.g., Figure 3-5). A summary of both nonnative characteristics, and less frequently discussed characteristics was developed for each thematic area (e.g., Section 3.1.6.2). Current literature review supplemented this analysis to corroborate normative characteristics (See section 2.4.2.2). 2.4.1.4 Navajo Data Analysis: Identification of Traditional Characteristics Analyses of interview notes and full-transcripts through procedures previously discussed (2.4.1.1, 2.4.1.2) provided understanding of characteristics ofnahat'a in general thematic areas reviewed: origin, need for, what is, training, knowledge/skills, goals, character, process, and local governance. A summary of characteristics is provided after each thematic area analyzed (e.g., Section 3.2.6.4). 2.4.2 Literature Review and Archival Analysis As mentioned previously, literature analysis was undertaken in different ways and for different purposes with regards to U.S. planning and nahat'a. In the analysis of nahat'a, literature review was not used to identify characteristics of the Dine planning paradigm, but to create greater clarification and understanding of characteristics identified by interviewees, primarily for those unfamiliar with Navajo culture and philosophy. Literature reviewed focused on concepts mentioned by interviewees which are important to nahat'a and to Navajo traditional life in general, and to provide additional insight into the Blessingway ceremony and the origin of the Dine. -84-

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For U.S. planning, the literature review and analysis is part of the process of identifying the U.S. traditional planning paradigm. Two general types of literature are reviewed: 1) current literature of U.S. planning professional organizations; 2) historical archives of the profession and discipline. Current literature is used to corroborate and expand understanding of characteristics of the current paradigm identified in interviews. Historical literature is analyzed to identify traditional characteristics through analysis of those characteristics which are persistent. The following sections provide a general listing of major sources used in literature analysis for each culture (2.4.2 .1, and 2.4.2 2.-2.4.2.2.1) and the general method used in analyzing this literature 2.4.2.1 Navajo Literature Literature was identified relating to thematic areas of interest and coded into areas such as: origin, hogans, prayer and songs, and leadership Small portions of documents related to these thematic areas were scanned into NVivo and coded (Gill, Griffin-Pierce, McNeley, 1975, Remington, Williams, Wyman, 1975), and reports printed out summarizing information from printed sources related to thematic areas coded Due to the time-consuming nature of this process, additional literature reviewed was summarized by hand, in relation to thematic areas of interest. Literature reviewed and utilized in analysis included sources related to: 0 1) Navajo education and philosophy (Benally, Benally, Benally, Benally Benally Parella, Griffen-Pierce, McNeley, 1975; McNeley, 1981; Office of DPL, 1992; Witherspoon, 1977); 0 2) Dine origins (Hadley, Haile, Father Berard, 1935; Hasteen Klah, -85-

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1942; McAllester and McAllester; Spencer, 1977; 1975; Zolbrod, 1984; ); 0 3) Autobiography of Dine (Frisbie and McAllester, eds., 1978 ); 0 4) Navajo community, political, and legal structure (Goldfrank, 1945; Levy, 1962; Pearson, 1969; Schoepfle, et al, 1979; Wilkins, 2003; Williams, 1970; Yazzie, 1994); and, 0 5) Ceremony and religious practices (Gill, 1981; Remington, 1982). 2.4.2.2 U.S Planning Paradigm: Current Planning Literature Once normative characteristics of each thematic area of the U.S. planning paradigm were summarized, current planning literature was reviewed to verify these characteristics, and to provide additional understanding, where needed, of their current definition. In addition, characteristics that had been mentioned by a minority of interviewees, but indicated as part of the paradigm in current literature were identified. These were considered as potentially part of the current planning paradigm. After completing this review, a joint summary of interviewee normative statements and current literature review was developed to determine the normative. Reviews were conducted separately for each thematic area. Guidance and information documents of the three major organizations responsible for articulating the "paradigm" of the planning discipline in the U.S. [American Planning Association (APA); Association of Collegiate Schools ofPlanning (ACSP); American Institute of Certified Planners (AICP)] were chosen for review, in addition to the joint AP A-AICP-ACSP Planning Accreditation Board (P AB) which -86-

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recently developed curriculum guidelines: 0 The Accreditation Document: Criteria and Procedures of the Planning Accreditation Program (PAB, 2001); Documents reviewed included the following: 0 l)ACSP: a) ''Choosing a Career in Urban and Regional Planning" b) Guide to Undergraduate and Graduate Education in Urban and Regional Planning (ACSP, 2000) Cl 2)AICP: a) Professional Practice Manual of the American Institute of Certified Planners (Solin, 1997). b) AICP Code of Ethics and Professional Conduct: A Critical Review and Audit (Salkin and Whiteley, 2002) Cl 3) AP A (on-line references: http: www.planning.org): a) 2004-2005 Development Plan of the American Planning Association (APA, 2003a) b) Legislative Policy and Guidelines (2002a, 20003b ) c) AP A Policy Guides (AP A, 1999a, 1999b,2002c, 2002d) Additional sources used were the most recent edition of the "Green Book" (Hoch, et al., 2000) which is a reference manual and text for the planning discipline (See discussion below). -87-

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2.4.2.2.1 U.S. Paradigm: Traditional Characteristics Once normative characteristics of the U.S. planning paradigm were detennined, historical analysis was conducted to detennine which characteristics are traditional for the paradigm Historical documents were reviewed to search for nonnative characteristics defined for the discipline, and to summarize other characteristics which might have been important to the discipline during its history. Two major series of historical documents of the planning profession provided the primary basis for analysis: ICMA "Green Books" for the period 1941-2000: 0 Segoe, Ladislas. 1941. Local Planning Administration. Cl Menhinick, Howard K. 1948. Local Planning Administration Cl McLean, Mary, ed. 1959. Local Planning Administration Cl Goodman, Wtlliam I. And Eric C Freund, eds 1968. Principles and Practice of Urban Planning. Cl So, FrankS., Israel Stallman, Frank Beal, and DavidS. Arnold 1979. The Practice of Local Government Planning. Cl So, FrankS. and Judith Getzels, eds. 1988. The Practice of Local Government Planning. Cl Hoch, Charles, Linda C. Dalton and Frank S. So, eds. 2000. The Practice of Local Government Planning and National Conference on City Planning Proceedings (NCCP) for the period 19101941. "Green Books" were initially developed as instructional manuals for municipal officials (Segoe, 1941, p. 4), are used in historical research of the planning field (Birch, 200 I; Burgess, 1997), and are used as planning texts. Handbooks are -88-

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published at approximately 10 year intervals beginning in 1941 (1941, 1948, 1959, 1968, 1979, 1988, 2000). Views in these handbooks may Jag behind advancements in the research literature, but are believed to provide the accepted views of the discipline at a particular point in time (Birch, 2001). National City Conference Proceedings provide the record of dialogue in the newly developing discipline and were published, beginning in 191 0, with the second planning conference. Volumes reviewed for this investigation are those published from 1910-1941 which were available at the University of Colorado-Boulder hbrru-Y. These sources were supplemented by several other sets of papers and books: 0 1) On-line bibliography of historical references (http:www.library.cornell.edu/Reps/Docs ): (Ford, Haldeman, Howe, 1912; Nolen, 1910) 0 2) References regarding evolution of planning educational programs (Adams, 1954; Adams and Hodge, 1965 Gaus, 1943; Friedman, Klosterman, Perloff, 1957; Ozawa and Selzer, 1999; Sarbib, 1983), 0 3) References related to the history of planning (Alchon, Birch, 1980, Boyer, Burgess, Fischler, 1998; Galloway, 1941; Godschalk, 1974; Hancock, 1967; Raney, 1969; VanNest Black, 1967; Walker, 1941); and, 4) classic references in the field (Lewis, 1923; Lewis, 1949; Mumford, 1938 9 Years 1935-1936, 1939-1940 missing -89-

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Nolen, 1910), and papers related to the state of planning given by professional organization presidents or others involved in detennining the direction of the discipline (Howard, 1955; Weber, 1963). Documents were first reviewed to detennine which thematic areas were addressed. NCCP proceedings were the most helpful historical series in analyzing values and goals. ICMA manuals were the most helpful historical references for addressing process, subdisciplines, and goals: Sources related to curriculum were most helpful for reviewing roles, goals, and knowledge/skills of the planning discipline. Reviews of the history of planning provided insight into goals, roles, and values of the discipline. Papers written at particular points in history regarding the planning discipline (Howard, Weber, 1963) provided insight to roles, goals, values, and knowledge/skills which were deemed important at various points in history This type of historical analysis provides snapshots of the profession at various points in history, and the basis for understanding the historical continuity of these concepts Snapshots provide an indication of the "paradigm" of planning at a particular timecharacteristics of the profession which were accepted, and those which were being debated, and aid in describing the subsequent evolution of the discipline. Characteristics which appear through time, albeit intennittently (i.e., beauty) and those which have become embedded in the profession more recently, but are now fully incorporated (i.e., Code of Ethics), are considered traditional components of the U.S. planning paradigm 2.4.3 Comparative Analysis Summaries of traditional characteristics developed for each thematic area in each culture provide the initial basis for comparative analysis. These summaries are found in Chapter 3, after each of the thematic areas (e.g., 3.2.6.4). -90-

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After completing summaries, characteristics of parallel thematic areas in each culture were extracted :from text, and used to develop comparative tables of similarities and differences in characteristics of both paradigms (See sections 4.1-4.9.2.5). During the process of developing comparative tables, overall similarities and differences between the two structures of planning became apparent which are summarized and discussed in relation to the two concepts of planning, in general, in Sections 4.10-4.11 -91-

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3. Presentation of Results; Iina(Putting into Practice; Living; Life) Results are presented in two primary sections: 3.1U.S. planning; and 3.2-Nahat'a Both sections are developed from semi-structured interviews, supplemented by literature review or analysis, as discussed in Chapter 2 (Nahat'a) 3.1 U.S. Planning Results Results are organized in thematic areas chosen for focus of interviews: Need for planning, Origin of profession, Goals of planning, Process of planning, Role of the planner, Planner's knowledge/skills, Values in planning, Role of feelings and emotions, Characteristics of planners, Characteristics of planning, and Environmental Planning which correspond to Questions 2-12, Table C-1 (Appendix C). One additional area, "What is planningT', was derived from interview transcripts to aid in comparison ofU.S. planning and nahat'{l. Results are presented in five parts for each thematic area: 1) interview summary of thematic areas; 2) nonnative view (view of majority of interviewees) of thematic areas; 3) current planning literature to corroborate the normative view; 4) review of historical literature on thematic area; and, 5) traditional characteristics. Time was not spent developing nonnative views of what planning is, or the origin and need for planning. Origin and need for planning are thematic areas of the "paradigm" in which there is generally agreement within the planning discipline (Sections 3.1.33.1.4 .5), subsequently, include only a general summary of interviewee statements, followed by discussion of historical literature to provide more detail regarding the societal conditions under which planning developed, and the -92-

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I I I I I I I I organization and focus of the discipline. 3.1.1 What Is Planning? Responses to questions about the need for the planning discipline or characteristics of planning often began with ''planning is ... ". Results from this section are derived from those statements. Planning was noted by respondents to have existed in the early history of the U.S. in the physical design of Spanish, English, and French colonial settlements, L'Enfant's plan for Washington, D.C. and in Pueblo settlements, and in the community processes of organizing and "getting group work done"; however, all indicated that the current framework of planning began developing in the late 1800s. Interviewees describe planning as the following: 0 Process for organizing process to meet a goal; 0 Regulatory framework for protecting the public interest/welfare; 0 Forum and framework for discourse and decision-making regarding the future; a Method of problem-solving in the public arena for the future with a combination of public and private resources, and a combination of social, economic, and physical knowledge; a Basket/bundle of tools to mobilize/access resources or power for community goals; and, an a Orderly way to allocate resources. 3.1.1.1 Historical Literature Historical literature indicates that planning is generally considered a systematic, -93-

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unified way (Haldeman, 1911; McLean, 1959, p. 4; Olmstead; 1916; Williams, 1915, p. 145;) to control or direct city growth (Lewis, 1949; Williams, 1916); solve problems related to ''making cities" (Olmstead, 1913; Swain, 1912, p. 30); develop a collective vision of the future {Ackerman, 1915; Overstreet, 1928); and, develop conditions for the good life (Mumford, 1938;) and the common good (Williams, 1915): "City planning is a science. In its application to different localities it varies greatly, but everywhere the same principles hold true, everywhere the main aim of city planning is the same. The main purpose of city planning is to bring about a unity in the construction of the given community. Community life is a network of interests, each seeking its expression in the physical development of the community. It is the lesson of city planning that these interests, for their common good, must be harmonized and that this harmony is attained only in the unity of the community ... (Williams, 1915, p. 145) "City planning is an attempt to exert a well-considered control on behalf of the people of a city over the development of their physical environment as a whole." (Olmstead, 1916, p. 1) ... City planning is the act of providing a more adequate physical expression for the composite ideals of groups of people thrown together by social and economic forces in our communities. Our composite thought, our culture, is expressed in our physical environment. .. City planning is not a substitute for these forces; it is rather a conscious effort to transform our vague ideals of community living into forms which will accurately express such ideals ... (Ackerman, 1915, p. 108) Planning has been considered a process, structure, device, treatment, methods and techniques or set of controls (Lewis, 1949; McLean, 1959, p. 10, 41-43; Olmstead, 1917) for obtaining order, efficiency, convenience, and healthy living conditions in the city, and addressing questions of construction, health, beauty, and social and -94-

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moral welfare (Swain, 1912, p. 30): "City planning simply means getting ready for the future in city growth. It is the guidance into proper channels of a community's impulses towards a larger and broader life. On the face it has to do with things physical-the laying out of streets and parks and rapid transit lines. But its real significance is far deeper: a proper city plan has a powerful influence for good upon the mental and moral development of the people. It is the firm base for the building of a happy and healthy community ... (George McAneny qtd. in Lewis, 1923, p. 9) ... The deliberative process which we call planning consists of an analysis of the facts, of an appraisal of the situation, and of the resulting considered opinion which comes forth as a plan .... (EarleS. Draper qtd. in Lewis, 1949 p. 7). "We know that city planning does not mean mere civic adornment or street decoration, and that it is a rational treatment of a city to promote the convenience and health of its citizens ... (Brunner, 1912, p 22-23) .. all [types of planning] have a common interest in forethought and organization-the development of order and direction out of a chaos of rugged individualism .. (Bettman, 1933, p. 32) "City planning thus consists of methods and techniques to coordinate and bring into harmony the uses made of land and the numerous and varied public and private structures placed on it..." (McLean, 1959, p. 10) This process or structure is considered to be a combination of art, science and policy with a focus primarily on the pattern of city growth: "City and town planning is a science, an art, and a movement of policy concerned with the shaping and guiding of the physical growth and arrangement of towns in harmony with their social and economic need. We pursue it as a science to obtain knowledge of urban -95-

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structure and services and the relation of its constituent parts and processes of circulation; as an art to detennine the layout of the ground, the arrangement of land uses and ways of communication and the design of the buildings on principles that will secure order, health, and e:fficience in development; and as a movement of policy to give effect to our principles ... (Thomas Adams qtd. in Lewis, 1949, p. 7) 3.1.2 Need for Planning ... the desire on the part of the social reformers at the time to clean up the inner cities which were quite frankly, nests of disease and cholera ... very, very, very poor housing conditions located next to burgeoning fuctories ,and that was the start ... (RR) "I think planning emerged in the United States because of the costs of irrationality in capital investment in city form, both public and private ... tremendous amounts of wasted asset of land and investment that were laid out iil ways that then became inappropriate when things developed differently than folks had anticipated ... (MH) "The idea of zoning-of separating functions in space, was a response to environmental misbehavior or poor design .. (DH) ... goals of planning at the tum of the century were to bring order to what was perceived by those who were engaged in commercial practices as chaotic urban practices-chaotic, unhealthful... "(CI) Twelve interviewees were asked why planning was needed in the United States and why it developed as a profession, and field of study. A majority of interviewees (58%) indicate that planning was needed to address chaos and inefficiency in urban areas during rapid economic and population growth occurring concurrent with industrialization of this period. In particular, the following general problems were noted by interviewees: -96-

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1) Inequities/imperfection in market/capitalism which led to lack of available housing and other social goods (infrastructure, power, water, etc.; 2) Uncoordinated design and development of infrastructure which resulted in inefficiency/waste in investment and chaotic/incomplete networks for distnbution of services; 3) Incompatible land-uses in adjacent areas resulting in loss of real estate value and environmental quality issues; and, 4) Overcrowding, lack of sanitation, ventilation, light, and recreation for urban populations resulting in poor health and high rates of disease. Planning essentially developed as a discipline and a legal framework to remedy these problems, and to create a better future. Two interviewees also noted that the discipline focused on changing people within the city, or demonstrating "how to live" to create this better future: ... planning . originated in an elitist movement by social reformers to both better living conditions, but also demonstrate how the other half ought to live ... (RR) ... The Columbian Exposition in the late 191h century in Chicago was an effort on the part of Daniel Burnham and others to depict what planning could achieve and of course it emphasized the physical landscapes and created mock facades of grandiose urban landscape to entice the populous into believing that altering the face of the city could change the people that lived within it. .. (TC) 3.1.2.1 Historical Literature All reasons expressed by interviewees as needs for planning in the U .S. are also -97-

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evident in early years of the development ofU.S. planning and include concerns with confusion and disorder (Lewis, 1923; Mwnford, 1938), chaos (Ackerman, 1915; Bettman, 1933), Jack of unified direction (Haldeman, 1911; Mwnford, 1938), congestion, inefficiency and waste (Ford, 1910; Lewis, 1923; Nolen, 1910;); inequities/imperfections in the market system (Howe, 1912; McLean, 1959); prevalence of diseases such as cholera, yellow fever (Pearson, 1969; Walker, 1941), tuberculosis and typhoid (Ford, 1916); skyrocketing real estate values (Howe, 1912); intolerable living and housing conditions (Howe, 1912; Riis, 1970; Walker, 1941); incompatible land use development (Walker, 1941); and pollution of water resources (Downer, 1917), noise and air pollution (Segoe, 1937, p 8); and lack ofbeauty (Howe, 1912; Nolen; 1910): .. the building of a city, our most important and complicated enterprise, often proceeds in a haphazard fashion without preparation for change or growth. The result is the confusion and congestion with which we are all so familiar." (Lewis, 1923, p. 10) ... our cities are lacking in almost all of those essentials of convenience, comfort, orderliness, and appropriate beauty that characterize the cities of other nations ... (Nolen, 1910) ... The American city is inconvenient, dirty, lacking in charm and beauty because the individual land owner has been permitted to plan it, to build, to do as he willed with his land. There has been no community control, no sense of the public as opposed to private rights." (Howe, 1912) "A million men are thinking only of their individual lot lines, of their inviolable right to do as they will with their own, irrespective of the community ... Our cities have been permitted to grow with no concern for the future and with no thought of the community ... This failure to think in community terms, to appreciate that the city is a physical thing involves costs which the future cannot repair." (Howe, 1912) -98-

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" ... people are deteriorating both physically and morally, in large cities ... (Wacker, 1913 p. 224) "The ugliness, the inadequacy of our surroundings are ... due to ... plain ignorance-a chaotic condition of thought which set up a false standard of values. Our battle .. is not so much against a definite or an established order of things as it is against chaos ... (Ackerman, 1915, p. 119) ''The average city is about the most wasteful of all the creations of man. Increased debt and ever mounting taxes are manifestations of deep-seated economic ills. Unsatisfactory living conditions from which so much of our population has attempted to escape are plain evidence of unsound social standards." (Bartholomew, 1932, p 1) Lack of sense of community, and social purpose (Mumford, 1938; Perry, 1929), vitality (Overstreet, 1928); lack of a forum for community meetings and discussions (Mumford, 1938); vice, and crime (Howe, 1912; Perry, 1929; Segoe, 1937) were also noted as general problems within cities: ... The weakness of modem political life lies in the fact that the older group formation of our social life has been disintegrated into a kind of futile atomicity ... in large measure, vitality of interest has disappeared from our communities. The greatest problem, perhaps the greatest, that we face is the revitalization of community life." (Overstreet, 1928, p 139) ... crime, vice, and delinquency ... Deep rooted as they may be in he defects of our economic and social system, much could be accomplished by more emphasis on preventative and curative treatment in place of punishment .... by the fostering of neighborhood and community spirit, better provision for wholesome recreation and guidance and opportunity for self-expression and self-development." (Segoe, 1937, p 8-9) ... Our citizens do not produce their full contribution to the sinews of American life and character. The moral and social issues can only be -99-

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I I I solved by a new conception of city building." (Hoover, 1928, p. 3 7) ... vitality of interest has disappeared from our communities ... (Overstreet, 1928, p. 130) Early planners discussed ''uplifting all who dwell within [the city] .. (Purdy, 1913, p. 217) to a higher moral purpose or intellectual level (Wacker, 1913, p. 240) or cultural state (Mumford, 1938) through improvement of the appearance or arrangement of the city (Wacker, 1913) or city programs, of which pJanning was one part (Mumford, 1938). Planners also discussed rebuilding community (Perry, 1929), with concommitant creation of a "better citizen" (Haldeman, 1911; Wacker, 1913), creation of unified community goals (Williams, 1915), and the transformation of ''vague ideals of community living into forms which accurately express those ideals" (Ackerman, 1915, p. 108): ... While the rational definition of the ideal framework does not alone effect the necessary transition, it is an important element in changing the direction of the blind process ... The strongest social organizations and social pressures, without such well-defined goals, dissipate their energies in uneasy random efforts occasioned by passing opportunities. No goal, then no direction: no underlying plan, no consensus, then no effective practical action. If society is paralyzed today, it is not for lack of means but for lack of purpose." (Mumford, 1938, p. 299) In addition to concerns expressed about inefficiency, chaos, and poor health conditions, historical literature also indicated the presence of widespread municipal political corruption (Ford, 1910; Howe, 1912; Perry, 1929; Segoe, 1941, p. 19), with planning also developed to address this corruption through replacement of an unsystematic framework of decision-making by one based on scientific management (Alchon, 1985; }-an approach embraced by progressives, in general (Dalton, 1986), for federal agency management during that period (Alchon, 1985; Stegner, 1954) -100-

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3.1.2.3 Summary Planning was needed to address conditions which had developed in urban areas of the United States during the rapid growth of industrialization in the late 1800s and early 1900s. In particular, life and development within the city was chaotic and unhealthy. High rates of disease such as cholera and yellow fever; overcrowding in tenements, and generally poor physical condition of city inhabitants. Problems existed with high rates of crime, and other moral issues of the population, as well as widespread corruption within the government. Aspirations of citizens and participation of citizens in governance seemed lacking in spirit and energy, and a forum for conception of the future by the community into a unified whole was lacking. To ensure progress toward a strong and healthy future democratic state, with good physical, social, economic and moral conditions, and civic participation, planning was perceived as a "cure". 3.1.3 Need for the Planning Discipline Ten respondents addressed the issue of why a discipline/profession of planning was needed which was distinct from the professions which were involved in early planning in the United States: architecture, landscape architecture, and civil engineering. Four major reasons were expressed: 1) projection of future actions and development of tools and methods for this purpose ... There was also a need for somewhat different methods. There was a need to project future actions in a way that got into economic and political and social forecasting that was again, beyond the level of neatness of what engineers could do ... 2) development of a comprehensive approach to dealing with city problems: -101-

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" ... there was a need for people to work. .. at a scale and degree of comprehensiveness that did not fit the professions that existed." (MH); 3)development of a framework of tools for intervention into market processes in the interests of equity and rational development: ... the planning rules and regulations we have out there are designed to sort of make sure the market doesn't mess things up ... these regulations are designed to protect the public, in my estimation." (LL ); and, 4) Routinization of the profession. A need to systematize decision-making, "routinize" procedure and approaches, and develop technical skills to "legitimize" the profession was also a major reason for development of the discipline. Routinized or systematized procedures and approaches was noted by several respondents to be important to current planning--both legally to ensure consistency and fairness in planning processes, and to gain support and respect of the public. Need for a discipline separate from other professions available to undertake planning at the time were noted by several interviewees: "They needed to have people who could connect the social values .. of physical realities. The architects connected the physical value and physical realities, and the landscape architects looked at the natural values and natural realities, but the social component is absent, and . the early social sciences ... all of which became disciplines of their own out of a European focus of a field ofinquiry ... didn't connect really to the practical decision of day-to-day life, and planning grew up to do that. .. They were trying to solve problems of a technical nature which related to location and function and dis-function of municipal services." (DH) -102-

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The discipline developed initially as a focus on technical and design solutions to create a better environment through efforts such as the City Beautiful Movement and associated city master plans, the design of subdivisions, design specifications for ventilation and light and roads, and a regulatory structure for land-use planning (e.g., zoning; subdivision regulations). The formal structure of planning was created in 1917 to routinize procedures and approaches, provide technical training, and legitimate the profession through development of a professional identity and associated competencies. Planning differed from other professions present at that time in future-orientation, comprehensiveness, and focus on intervention. 3.1.3.1 Historical Literature The planning movement began as an informal coalition ofbusinessmen, civic reformers, and professionals from a variety of disciplines (Birch, 1980; Hancock, 1967; Swain, 1912); was being taught in some middle and high schools (Ackerman, 1915; Nolen, 1921, p. 165) and presented in college programs ranging from engineering, architecture, and landscape architecture to government sociology, forestry, art, and agriculture (Adams and Hodge, 1965; Eliot, 1925). By 1917; however, it had been organized into a professional organization, and membership would be limited primarily to architects, landscape architects, and engineers,and later, lawyers (Birch, 1980). Why did planning develop as a separate discipline rather than continuing on as a subject area within other disciplines such as landscape architecture, architecture, and engineering, or as an informal association of community groups? Comments at the first national planning conferences (National Conference on City Planning (NCCP) indicated a need to spread the word of planning, and to gain greater public support for this collection of concepts and methods (Wacker, 1913), to subsequently allow development of a legal framework which would integrate the -103-

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planning function into city administration, rather than existing solely as a peripheral activity of civic groups (Birch, 1980); and, to address private property issues which were involved in incompatible landuse development, inadequate infrastructure, and substandard housing (OJmstead, 1910; Veiller, 1914). Planning had previously been of limited utility and scope as a function of civic groups which had focused primarily on city beautification. In addition, planning had only been sporadically applied to cities during the City Beautiful movement, and was not widely embraced by the country until after the Depression (Menhinick, 1948). Consultants who were primarily landscape architects and architects provided the professional guidance for such planning: "The process of building the modem American city plans would appear to have been about this: A little group of men and women, aroused to the opportunity to prevent the further development of problems and to solve problems already developed, had organized a City Planning Commission. I know of one in a city in Iowa which puts the last, final hall-mark of social exaltation upon its members; I know of another which is made up primarily of Rotarians; I know of still another which is made up exclusively of bankers. In any case, this little group organized a local Commission, and the local Commission then reached out and obtained a planner; the planner then reached for his square and compass and paint box, and drew a series of very beautiful pictures ... (Albert, 1926, p. 165-166) Piecemeal efforts at zoning, and housing standard laws had also developed during this period; however, no unified structure or standards existed for the practice of planning (Ford, 1913; Ford, 1915): .. .I am fully convinced that the sort of facts we want to hunt for and the method of bringing down our game can actually be standardized, and it is one of my minor ambitions to change this hitherto rather capricious procedure into that highly respectable thing known as an -104-

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exact science." (Ford, 1913, p. 31) A new discipline was needed to standardize education in and methodology for planning, to develop a unified message about the goals of planning, and to create a comprehensive framework for planning. A new discipline was also needed which would address the complicated political-legal structure which would develop to define the boundaries and foundation of planning practice, and the problems which planning had a responsibility to address : "City planning stands not only for a longer look ahead in planning municipal improvements than has been customary in the past, but especially for a broader and more penetrating vision of the interrelations between apparently distinct lines of planning in cities ... City planning thus conceived has a breadth and ramification at once inspiring and appalling ... Nothing which may conceivably become a part of the city or affect the city's future can logically be excluded from the field ... (Olmstead, 1916, p. 2) It was recognized that no existing "organization" performed or would likely perform those functions which were being performed by planners: .. .It is clear, however, that there are certain functions to be performed which no existing organization is doing and which, in the nature of things, are not likely to be effectively performed by any existing organization ... (Report of the Committee on Future Organization, 1910, p. 7) Initial focus in development of the planning discipline was on "quasi-technical" matters (Olmstead, 1911, p.3) to gain better knowledge of facts, clearer definition of purpose and improved techniques (Olmstead, 1910, p. 18); standardization of procedures and, "proper education" to keep city planning from "running amuck through lack ofinformation .... regarding good practice" (Ford, 1915, p. 232-233). The Committee on the Future Organization of comprehensive city planning indicated -105-

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that the focus of discipline development, initially, was on creation of "an impartial, humble and colorless instrument for assisting in the search for truth." (Report of the Committee on the Future Organization, 1910, p.8). 3.1.3.2 Summary Routinization of procedures, approaches, and the message of planning were needed to expand credibility of and spread the idea of planning broadly across American cities, as planning had not been accepted by U.S. cities, in general. The initial focus was on development of technical guidelines and design solutions for physical development, and development of "neutral tools" to aid in urban planning. A discipline was envisioned; however, which would cover the comprehensive nature, future orientation, and complex socio-political-economic-legal issues of urban problems and development. -106-

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3.1.4 Origin of the U.S. Planning Discipline ... the history of pJanning is emblazoned in the structure of contemporary planning which is largely local, largely public sector, largely focused on the buili environment, and largely endowed with the powers associated with regulation, fiscal policy, and education." (TC) "Planning has been practiced in this continent well before any Europeans got here, and so from that standpoint, there are valid notions of pJanning legitimate, sound, scientific, which preceded the arrival of Europeans in this hemisphere ... They have been obscured, though, by the formal institutions of planning ... (DH) Results regarding the origin of the U.S. planning discipline were derived primarily from the question, ''Why was planning needed in the U.S.? Why was it developed as a profession, and then as a field of study?" In addition, each transcript was reviewed for statements regarding history of the field, and questions regarding changes in the goals and role of the planner through time. Respondents mentioned two phases of the origin ofU.S. planning: the initiation of the profession, and its evolution. Both are discussed below, in sections 3.1.4.2 and 3.1.4.3, respectively, followed by historical literature review 3.1.4.1 Not the Only Response Several interviewees indicate, either directly or indirectly, that although development of the profession of planning and its associated tenets was one response to chaos, public health problems, and congestion of the city, it was not the only possible or "necessary" response or organization which could have developed to meet the problems of urban America. One individual indicated that the process generally used in planning (see Figure 3 .I) is fairly linear and hierarchical, and that other cultures may have different forms of decision-making and planning which are equally valid. -107-

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One respondent noted that the framework of planning is based on a combination of enlightenment philosophies and on the American idea of democracy. Six interviewees also stated that the U.S. conception of planning is bound to land-use: ... there's an assumption that in the end, all of this relates in some fashion to land use. In fact, the statutes in the United States clearly indicate that ... (DH) 3.1.4.1.1 Historical Several early planners indicated that different forms of planning would develop in different cultures, and that a unique form of planning was developing in the U.S.: ... We speak lightly of a ''universal art"; that does not now nor will it ever exist until there shall have been a complete standardization of ideas-or cultures ... . We possess a group of ideas or conceptions which differ in a fundamental way :from those ofEurope, both past and present ... (Ackerman, 1915, p. 110). Although some tools and techniques of planning might be borrowed from Europe, the structure of the U.S. democracy--the Constitution, state's rights, Bill of Rights and private property rights set up much different constraints under which a planning :framework would develop in the United States (Ackerman, 1915; Adams, 1911; Bettman, 1914; Purdy, 1913; Williams, 1915): "It is not of value here to discuss the agencies through which other peoples have expressed their composite natures. Our concern is with the agencies in our democracy through which our peculiar culture may find an adequate expression. If it be true that we have a definite ideal which we have failed to adequately express in our institutions and in our physical surroundings; if it also be true that progress or evolution can only result from a series of tangible expressions of our aspirations or our -108-

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ideas; then the question arises: What are the elements lacking and how can they be supplied?'' (Ackerman, 1915, p. 113) The first planning training manual, published in 1941, recognized the 'particular response' of the discipline of planning to deal with problems of urban development. The framework was noted to operate within a laisse faire market, and within a structure where property rights were tantamount: ... American city planning must adapt itself to this basic assumption and must develop techniques for planning in communities in which land and buildings are predominantly in private ownership. A large part of the complexity of both city planning and city planning administration derives from the basic problem of reconciling community responsibilities for planning with the institution of private enterprise." (Menhinick, 1948, p. 13-14) 3.1.4.2 Origin Interviewees indicate that the informal genesis of the planning field began when solutions to problems of chaotic urban development were being developed by elite civic groups, businessmen and professionals employed by these groups, and presented to the cities. Little general public involvement existed in planning during the early years of its development. Professionals involved in this early planning were noted to include architects, landscape architects, engineers, and individuals trained in some aspect of social reform, thus the framework for planning was derived primarily from these disciplines. 3.1.4.3 Evolution of the Field All interviewees note the evolutionary or expanding nature of the planning field: ... where things started was sorting out land-use and where we've gone is sorting out society .. (MH) -109-

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" ... Going back a hundred years, it was essentially physical planning. Today, planners have such a wide range of specialiutions ranging from conflict resolution to socioeconomic change .. (VD) Evolution is noted by several interviewees to occur in response to the changing problems of society and changes in the "lense" through which these problems are viewed, including changes in societal values and expanded scientific knowledge: ... the goals of planning, I think, have always aimed at making a better place, creating a better society. The view, the lense through which you decide what that change should be and how it should transpire have changed tremendously over time." (RR) .. .its (planning) necessity in the United States has shifted as the economic, social and political conditions have shifted in the U.S.''(CI) Response to change is noted to be primarily through accretion of tools and theories from other disciplines, and expansion of the planning discipline to include broader subject area and process definitions. A majority of interviewees note the evolution and expansion of the field to encompass knowledge, methods and subdisciplines in areas of social, economic, and environmental knowledge required to meet new needs of the field. Two major periods of change were noted: the New Deal era, and the 1960s-1970s. During the New Deal era, planning expanded to a national and federal focus to deal with economic problems of the Depression, and subsequently economic planning. Increasing use of scientific analysis and objective techniques for problem-solving occurred during this period. Several also note that social and natural resource planning were part of the federal program of planning during this time. Conservation was noted to be a focus in these programs. -110-

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During the 1960s-1970s, three interviewees indicated that there was a ''big shift", "massive change", or the "classic watershed" in the profession. In particular, emphasis expanded to public participation in planning, and "democratization of planning", which had not been a focus of the field prior to that time. Equity and entitlement issues became a focus of the profession. In addition, many social scientists entered the field, and theories and methods from social science were integrated into the field. Social planning became an emphasis of the profession Advocacy planning was noted to be born during this era Environmental planning became a subdiscipline of the field with the passage of the National Environmental Policy Act (NEPA) and other environmental laws. Use of analytical techniques continued to develop through the 50s and 60s, and mathematical modeling was used to predict land-use and transportation uses ; however this large-scale analytical modeling was noted by one respondent to be in tension with the increasing push for democratization of planning, and local planning emphases. Failure of urban renewal, social engineering, and rational comprehensive planning eventually resulted in a backlash against the solely technical nature of the field. Since the 1980s, few respondents noted much change in the field other than the introduction of collaborative planning, focus on growth management, consideration of consensus-building in public participation, introduction of the concept of environmental justice, and an effort in the discipline to find alternative theories and processes to rational comprehensive planning. One also noted that the federal urban agenda, which had been present during the 1960s and 1970s in Model Cities and other programs had disappeared -111-

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3.1.4.4 Historical Literature The roots of planning have been developing informally in the U.S. since the late 1800s (Pearson, 1969). National planning meetings, which began in 1909, provided a forum for professionals and civic reformers to share insights regarding needs for and approaches to planning in the United States, and to begin developing systematic technical, and legal approaches to urban planning. Out of these meetings, the discipline of planning began to "crystallize", and subsequently emerge. The first two national planning meetings, 1909-1910, brought together individuals involved in these informal city planning ventures from a variety of organizations including: Committee on Congestion of Population in New York, American Institute of Architects, American Society of Landscape Architects, League of American Municipalities, American Civic Association, and National Conference of Charities and Corrections (Proceedings of the Second National Conference on City Planning and the Problems of Congestion, 1910, p. v), and a number who noted no affiliation (Proceedings of the Second National Conference on City Planning and the Problems of Congestion, 1910, p. vii-viii). Conferences were noted to provide "a broad and somewhat popular consideration of city planning subjects", and to be "valuable stimulators of public thought" ("The American City Planning Institute," 1917, p. 1 ). An effort to create a formal structure of planning was requested at the second national meeting through resolution: "That a Committee be formed to arrange for a more complete National Conference on City Planning and the Congestion Problem, .... and to submit to the conference a well considered project of organization for developing comprehensive city planning in America .... (Proceedings of the Second National Conference on City Planning and the Problems ofCongestion, 1910, p. vi); however, -112-

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the committee declined to provide a formal structure, noting that the fruitful informal association and wide breadth of thinking represented at that stage of planning was needed to clarify and crystallize the ''paradigm" of planning in the future: ... the proper scope and limitations of the subject are as yet so illdefined in the minds of those most interested in it that any attempt to crystallize the movement into a permanent and fixed organization with a statement of objects heading a formal constitution and by-laws is exceedingly difficult at best, and if attempted at the present time would probably prove premature and embarrassing. Moreover your committee has been strongly impressed with the great interest which is now being taken in city planning and the amount of thought and study which is now being given to its many different aspects not only by individuals but by a number of existing organizations. Many of these are local, but others, including those represented officially on your general committee, are national and international in scope, and each from its own angle or approach or with regard to its own technical problems and upon its own initiative is contributing valuable and well-directed efforts to the advancement of the science and art of city planning ... For these reasons your committee feels that any form of organization which this conference may establish should carefully avoid drawing from or weakening these spontaneous and vigorous activities of well-established bodies ... "(Report of the Committee on Future Organization, 1910, p. 6-7). Statements of the committee however, portend a future unique field, with technical and rational bases: "What your committee believes most to be needed at present that is not already well supplied, is a common form for discussion and study of the subject from all these points of view, an impartial, humble, and colorless instrument for assisting in the search for the truth, which all of these organizations and individuals are anxious to get at in order that they may apply it in the various ways which most appeal to each of them." (Report of the Committee on Future Organization, 1910, p. 8) -113-

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Only three years passed before a second request was made for an outline of city planning. F.L. Olmstead provided his vision of how a city planning department would be organized, and function, and types of information it would utilize (OJmstead, I913). At the same conference, G. Ford, noted his interest in the scientific development of the field: ''Except on the aesthetic side, city planning is rapidly becoming as definite a science as pure engineering. The best plans for development of a city can be determined upon in advance as clearly as can the plans for a bridge or for a reservoir .... (Ford, I913, P. 3 I) By I9I 7, a formal planning association had formed-the American City Planning Institute (ACPI), for the purpose of"advancing the science and art of planning" ("Organization of the Tenth Conference", I 9 I 7). This association began replacing the informal network of organizations involved in planning. Membership included primarily architects, landscape architects, engineers, and lawyers (Hancock, I 967). The nature of the group which was defining the scope of"planning" was changing from a combination of civic-minded businessmen, philanthropists, and an eclectic array of professionals to a two-pronged approach to the development of the planning structure: I) technical standards and guidelines; and, 2) legal framework. Citizen participation in planning was absent in these early phases of"paradigm development", while the planning experts developed a structure based on their experience and ideals. National meetings of the National Conference on City Planning for the next two decades focused primarily on technical standards and guidelines for transportation, zoning, development of master plans, subdivision design, forecasting population growth and density; recreation areas; legal and administrative framework of -114-

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planning; and financing and gaining public support for city planning. Housing was discussed only in terms of zoning, and slum clearance, not in terms of the need to study underlying social and economic problems. The environment was discussed peripherally in terms of planning for parks and recreations and aesthetic concerns. Routinization in ''the field" involved primarily development of systematic methods for design planning which would change little from 1916 into the 1940s: "Tremendous strides have been made in city planning throughout the world since the publication of Planning of the Modern City ... there has, however, been little change in the general principles governing the theory or practice of city planning" (Lewis, 1949, p.v). Education during this period focused on developing and transmitting technical standards of the field through university city planning courses within programs in landscape architecture, and civil engineering (Adams and Hodge; p. 48). Planning was sporadically discussed at National Meetings ( 1921,1924,1926, 1938), with an occasional discussion on the training of citizens in planning {1921, 1924, 1938). The first school of city planning, located at Harvard, was organized in 1929, with the field of planning recognized as a new field of study: ... the ultimate aim of city planning is the improvement of the environment of the individual, giving him a fair chance to win for himself a whole and useful life. Obviously, thus regarded, city planning does not lie wholly within the province of any previously established profession or activity." ("First School of City Planning", (1929), p. 256) Planner as a separate professional description first appeared in the civil service in 1926, focused on park planning and required landscape architecture background (Hancock, 1967, p. 298). -115-

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The regulatory structure for planning also developed during this time, providing a standard structure at the level of the city overseen by the state (Appendix A [Standard State Zoning Enabling Act; Standard City Planning Enabling Act]; See section 3.1.13.4.9). The structure is based on planning practice, as it had developed in the United States, and emphasized two tools planners had been using to control land development-zoning and comprehensive planning. The authority for this planning structure was based on the state's ''police power'' which allows the state to regulate based on the health, safety, and welfare of citizens. These ''templates" for structures of planning were suggested in 1928 and 1929, and remain the basis of planning today. Pertinent sections related to zoning, the comprehensive plan, and general purposes of the Acts are provided in Appendix A 3.1.4.4.1 Evolution As early as 1920, limitations in the scope of the planning field were beginning to be recognized: "City planning has been too largely a study of city problems and has ignored to too great an extent problems of broader significance which involve national and state interests." (Haldeman, 1920, p. 119) Social and environmental concerns had for all intensive purposes, been excluded from planning conference discussions during the period from 1910 until the Depression. The tenor and focus of national planning meetings changed with the Depression(1929-1940), reflecting a shake-up of the profession: "And then, with a burst of glory, the structure that we had built on a foundation of limitless opportunity and hope blew up and collapsed. We found ourselves faced with vast numbers of unemployed ... with spreading blight and bankruptcy in our industries and our cities .. Those spacious times had served their purpose of giving us a technology of -116-

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vast power; rational and economical methods of production; and markets education to the hope of a better standard of living. But all these advantages had been gained at the price of disregard for the conditions of human life and for mistreatment of our natural resources .. .It is becoming evident that planning-for city, state, region and nation-is one of the fundamental processes which will have to be employed in making an adjustment to an era of relative stability .. A new awareness of government responsibility was first evidenced in the emergency measures taken during the early years of the depression..they represent official recognition of the fact that effective attack upon the basic unbalances of our national life st come from the agency which, in theory at least, has at heart the common interests of all of the groups that make up our nation" (Segoe, 1941, p. 14-15) ..... If the planning concepts is to develop roots which can withstand the stresses of depression and the ups and downs of politics and the seasonal variations of public opinion or clamor, and planning is to justify itself as a special art or its technicians as a special profession, we must be able and willing to reach and fight for a moral and intellectual integrity in our own concepts and in our own definitions (Bettman, 1933, p. 2-3) Traditional planners and designers were out of work during this period, as cities budgets could not support them (Bettman, 1933, p 2); however, Franklin Roosevelt embraced planning at a national level as a cure for inefficiency. Planners and others with technical expertise were hired on federal relief roles to develop economic, social and natural resource data through development of inventories, and surveys to aid in developing plans and planning-at the regional, national and local levels (Bettman, 1933, pp. 10-12; Walker, 1941, p. 38, 192-194). National land-use planning committees, rural planning, regional planning, state planning, county planning, economic planning and social planning were all embraced and promoted by President Roosevelt during this period: ... Planning is a part of the ''New Deal". As a result, planning agencies of the Federal Government have been increased in number -117-

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and in activity dwing the last six months. In fact, there are not so many different kinds of planning going on in Washington, and so many agencies concerned with these different kinds of planning, that a guidebook needs to be written so that the intelligent citizen can find hiswayaround." (Eliot, 1933,p.31) Social aspects of the city, which had not been a direct focus of the discipline, were focused on as social scientists became involved in national planning. Focus on housing expanded from slum removal to a general focus on provision and availability. Economists entered into planning, and economic development planning was undertaken. Natural resource conservation and restoration planning became the focus of a new agency, the Soil Conservation Service (Steiner, 1990), and the National Resources Board (1934): .... planners during the Depression were also broadening the focus of their activities. Social problems assumed equal stature with physical layout as a legitimate claim on professional attention." (Goodman and Freund, 1968, p. 26). "In those early days of depression the hard facts of maturity were forced upon us. We had at last to take notice ofthe conditions of the lower third of our population; of the forests and mines and field that we'd stripped; of our bankrupt, congested, blighted cities." (Segoe, 1941, p. 14) A larger consortium of organizations-National Economic and Social Planning Association, American Planning and Civic Association, American Society of planning Officials and American City Planning Institute co-sponsored national conferences, changing overall tenor of the meetings. In 1937 the title of the conference was changed from an emphasis on "city planning" to "planning". As planning shifted to include social and economic analysis, the role of the planner expanded, and the focus of planning expanded to include the planning process. The -118-

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definition of planning, planning education, and planning were noted to be in transition (Lewis, 1949; Walker, 1941): "., .. there is still more or less uncertainty as to just what city p1anning or town p1anning means" (Lewis, 1949, p 7). .. the word ''planner" has as yet no more accepted meaning than has the term ''planning (Walker, 1941, p. 215) In 1941, Galloway mentioned the breadth that p1anning had achieved in the United States and its unique evolution from a combination of city planning, conservation movement, scientific management, and social science: "American planning stems from at least four native American sources: from the planning movement in American cities; from the conservation movement in natural resources, which dates back to the early years of this century and owes its inception to the efforts of Theodore Roosevelt and Gifford Pinchot; from the scientific management or industrial engineering movement in American industry fathered by Frederick W. Taylor; and from the contribution of the social sciences to an understanding of human institutions, values, and activities. Thus the intellectual paternity of American planning is not of foreign importation, but is found in the gradual collaboration and synthesis of domestic theory and practice under the exigencies of depression, unemployment, and war. American city and regional planners, architects, engineers, builders, conservationists, and social scientists have cooperated with public-spirited citizens to create the American planning movement and have fused their skills and techniques in a joint attack upon their common problems." (Galloway, 1941, p. 5). In the same year as Galloway's publication; however, the first "Green Book" indicated turmoil in the field as the transition was being made to broaden planning from its traditional physical roots: -119-

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''The last ten years have been years of confusion and tunnoil, or experimentation with some successes and a good many failures. It is important to examine the significance of this transition period that we are going through, in an effort to understand what planning is to mean today and in the years to come." (Segoe, 1941, p. 13). From the late 1930s-1950s, educational committees of the National Conference on City Planning (1938), American City Planning Institute (Feiss, 1938b, p. 146), the American Society of Planning Officials (''Report of the Committee", 1941, p. 263; Perloff, 1957), and researchers in the field (Adams, 1954; Walker, 1941) addressed the need to modify planning education to incorporate changes in the field resulting from the broadening scope of planning in the Depression-era: "The broadening scope and objectives of planning have increased the demands made on the professional planner and this had brought into focus some of the deficiencies in education and training in the field of urban planning ... To meet present day requirements, the planner must be grounded in social, economic, and physical aspects of urban development which must be integrated if an effective job of planning is to be done ... (Adams, 1954, p. 3). Professional associations and researchers indicated the need for systematization of planning education, and no longer perceived an emphasis on architectural/engineering approaches: ... training in these professions (engineering, architecture) is not essential for the over-all planner, Equally important as engineering, architecture, or landscape architecture in the educational background of the prospective planner are economics, public administration, geography, and perhaps some law." (Walker, 1941, p. 216). A general framework for planning education was proposed in 1945, which was no longer an 'appendage to schools of architecture and engineering.' (Perloff, 1957, p. 137). Informal accreditation ofuniversity planning programs began in 1956 by -120-

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AlP (Birch, 2001, p. 412). ACSP formed in 1959 to focus on "curriculum development and research" (Birch, 2001, p. 418)., and developed a formal accreditation program in 1984 (PAB, 2001, p. 7) The framework included a planning core with planning theory, history, law, and focus on process, not just plans, and social and economic analysis in addition to physical design. This general structure was first proposed at University of Chicago in 1945: "The education for planning and for planners, should be broadly considered as professional education resting upon (1) a foundation of general education, (2) the acquisition of a systematic body of specialized knowledge in those disciplines which have a special contribution to make to planning, and (3) a systematic body of theory or philosophy underlying planning, and 4) specialized skills and techniques which have been found relevant, necessary, and sound in the course of empirical 1957, p. 137); was reworked and detailed by Perloffin 1957; and, is the basic framework of planning education today Focus shifted from development of plans to planning as a process: .. the Chicago group used "planning" as a generic term to refer broadly to the ways in which men and women, acting through organized entities endeavor to guide developments so as to solve the pressing problems around them and approximate the vision of the future which they hold." (Perlofl: 1957, p 141); and, systematizing and making this process scientific and rational through use of demographic and economic forecasting (McLean, 1959). An increased emphasis was also apparent in the 1950s on defining theoretical and philosophical foundations of the field (Howard, 1955; McLean, 1959); defining the role of the public in the -121-

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planning process; and, redefining the role of the planner to aid in formulating planning goals, which had previously been the purview of legislators and administrators: ''The planner must take a responsible part in the identification and agreement by the community upon social and economic goals as well as in their translation into a three-dimensional physical pattern." (Adams, 1954, p. 2). ... the idea of our responsibility to serve as the binoculars of the community, to raise its sights, to tell not only what is coming in the future, but also what might be coming and what might be made to come." (Howard, 1955, p. 64) In addition, reorganization/development of the administrative structure for planning at the local level was emphasized. Focus remained primarily on physical aspects of city development. Early theories focused on development of physical space (e.g., zone theory, sector theory, neighborhood theory), and unti11967, AlP indicated the profession's purpose was tied to land-use: "The planning of the unified development of urban communities and their environs and of states, regions, and the nation, as expressed through determination of the comprehensive arrangement of land uses and land occupancy and regulation thereof." (Howard, 1955, p. 62). In 1967, the mission was revised to ... planning of unified development ofurban communities and their environs and of states, regions, and the nation. "(Birch, 2001 ), without an emphasis on land-use. It would not be until the 1978 Charter of Incorporation of AP A and AICP ; however, that the breadth of subject areas described by Galloway in 1941 as part of the planning field would be incorporated -122-

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into its mission and teaching: ''The American Planning Association and its professional institute, the American Institute of Certified Planners, are organized to advance the art and science of planning and to foster the activity of planning-physical, economic, and social-at the local, regional, state and national levels. The objective of the Association is to encourage pJanning that will contribute to the public well-being by developing communities and environments that meet the needs of people and society more effectively .,, (Birch, 2001, p. 413) The current mission statement of AP A indicates a similar breadth in focus: ... provides leadership in the development of vital communities by advocating excellence in community planning, promoting education and citizen empowerment, and providing the tools and support necessary to effect positive change.,, (AP A, 2003a) 3.1.4.4.1.1 Postmodern Crisis As previously discussed (See sections 1.3-1.3.1), U.S. planning and other western based planning models increasingly focused on a unitary model of planning until the 1960s and the civil rights movement in the United States when differential and disastrous effects of planning on minorities through urban renewal projects were recognized, as well as the fact that planning had not met its ideals of creating a better life for everyone (Sanyal, 1990; Webber, 1963) This perceived failure of the discipline to solve societal problems, and create equitable social groups caused a widespread questioning of all tenets of planning which had been perceived as the basis of the discipline prior to that time including roles, goals, theories and curriculum. In particular, universal laws and publics, concepts of reform and power, and, the physical-basis of the discipline were scrutizined. The following sections provide discussion of subdisciplines and elements of the planning discipline which evolved during this "postmodem period" -1960 to the present. -123-

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3.1.4.4.1.2. Social and Eeonomic Development Planning Although economic and social concerns have peripherally been part of the discipline through concerns about inflated real estate values, inefficiencies in infrastructure development, affordable and adequate housing in pre-Depression planning, and a direct focus in Depression planning, it was not until the 1968 edition of the International City Management Association planning training manual ("Green Book") that these issues were addressed as separate subjects or subdisciplines of planning. In the first edition of the "Green Book", the potential expansion into these areas was noted; however, the profession continued to remain anchored in physical planning: "As the necessity for broader coordination of numerous economic and social processes grows more evident, planning becomes more and more a public responsibility-the duty of the government as the agent of the people ... The official planner must assume new and greater responsibility as the country attempts to gear its new techniques to the American dream of a decent and reasonably secure living for all of our people (Segoe, 1941, p. 15) ... That planning agencies should concern themselves with problems of economic development-should appropriately take the lead in planning for a sounder, more stable, better balanced and articulated economic structure for the community-has been stressed by some, and quite properly." (Segoe, 1941, p. 94} .. .It should be clear ... that planning agencies have a cardinal interest in and a major responsibility for strengthening the economic structure of their communities and should be eager to assume this responsibility ... (Segoe, 1941, p. 99); Emphasis in the 1940s and 1950s was on development of land-use, economic, housing and social surveys, capital improvements programming; projections of population, and employment (McLean, 1959); capital improvements programming -124-

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(Segoe, 1941 ), and cost-benefit analysis (Menhinick, 1948, p. 15) to aid in development of the city master plan-which remained primarily a physical design (Segoe, 1941, p. 43). The broad socioeconomic planning ofthe Depression (Segoe, 1941, p. 19-20) was not embraced by the profession, due, in part to loss of federal funding in post-Rooseveh administrations for planning activities, rising public fear of socialism, and lack oflocal funding, organizational structure, and staffing to manage such programs (McLean, 1959, p. 14-16). The profession appeared to be poised during the 1960s to expand into socioeconomic planning with creation of new federal programs such as the "War on Poverty'', the development of the Office ofEconomic Opportunity and its local Community Action Programs and Model Cities Programs ( Fey and McNickle, 1959, p. 248; Senese, 1991; So, et al., 1979); and, "greatly increased allocation of public expenditures to combat poverty'' (Goodman and Freund, 1968, p. 297): .. successful planning requires a more complete view of the community than is permitted under the definition of the planner's function adopted by the AlP. Proponents of this position .. have suggested that the AlP amend its constitution to broaden the scope of the field beyond the present limits ... (Goodman and Freund, 1968, p. 297). Chapters on social planning which appeared in1968-1988 editions of the "Green Book had; however, disappeared by the 2000 edition, presaged, perhaps by a statement in the 1988 edition that ... most social service planning ... bears little or no relation to local land use planning" (So and Getzels, 1988, p. 33). Economic development, on the other hand, expanded to four chapters in the 2000 edition. Economic planning had clearly been embraced by the planning profession, while the inclusion of social planning appeared dependent on federal programs and grants directed towards urban areas. -125-

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3.1.4.4.1.3 Environmental Planning and Natural Resource Management Environmental concerns initially focused on the physical design and allocation of land-uses in the urban "environment" to provide for health and safety of residents through the work of landscape architects and civil engineers. Open-space, parks, and zoning for ventilation and light, and concerns about water pollution are "environmental" subjects which have traditionally been included in this design (Downer, 1917; Hubbard, 1922; OJmstead, 1924; Stein, 1925). Resource management concerns have always been mentioned in the field; however, it was not until Depression-era planning (Galloway; 1941; National Conference on City Planning, 1933) that natural resource conservation and restoration became part of the dialogue of the discipline and integral to the discipline. After the Depression, similarly to social planning; however, these concerns did not remain central to the discipline, but were retained as the purview of other levels of government (Albright, 1930; Hoch, et al., 2000; Steiner, 1991). The subdiscipline of environmental planning arose in the 1970s and 1980s in response to a broad, citizen-based environmental movement. More detail regarding the evolution and scope of environmental planning may be found in section 3 .1.12.4. Initially, the focus was on the civil-engineering aspect of planning (So, et al., 1979); later considerations broadened to overall land-use planning (So and Getzels, 1988); and then environmental analysis and environmental policy (Hoch, et al., 2000). Environmental land-use planning initially included discussion of environmental impact assessment, land suitability analysis, and performance zoning. Chapters in the 2000 training manual focused on the complex relationship of local to state and federal laws-which include much of the regulatory framework for environmental protection, sustainability, ecosystem management, risk assessment and management, site -126-

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analysis, and environmental justice. The environment is considered one of the factors to be considered and balanced in development: .. In the case of environmental policy, planners help governments and private developers balance the protection of natural resources against the economic and social benefits of resource use." (Hoch, et al., 2000, p. 171.) Consideration of the "integrity of the natural environment" became part of the planner's Code of Ethics in approximately 1981 (Kaufinan, 1990) 3.1.4.4.1.4 Public Interest Since the 1960s and the associated civil rights and environmental movements, planning has expanded to include recognition of diversity in society, introduction of 'advocacy planning' to help give voice to minorities and underprivileged in planning process. Prior to the 1960s, emphasis of the profession was on planning for one "public good" Concern was expressed in 1959 that planning commissions might not be representative of communities: . studies indicate the noticeable absence of planning commission members drawn from labor, minority groups, from the welfare profession, and from housewives. The homogenous character of planning commissions raises a question about how well such boards are able to "represent" even in a general way the various economic and social groups in communities. Furthermore, their ability to interpret planning and promote interest in planning activity among large portions of the community may also be impaired (McLean, 1959, p. 59); however, it was not until1968 that the ICMA handbook indicated potential -127-

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differences in values among different sectors of the public which might effect both planning education and the structure of the planning process: "A planner's education ought to include exposure to the ways of life and attitudes of mind of the whole range of peoples he is to service in his future plan-making. Empathy for those affected by planning proposals can contnbute greatly to the success of planning." (Goodman and Freund, 1968, p.565). "A new view of planning ... begins with the values, behavior, or priorities of many people and accommodates these through political compromise ... The new view encourages diversity with criteria sensitive to the particular needs of a social group or planning area .... Citizen participation is essential and is taken seriously at every step of the process." (So, et al., 1979, p. 283). Methods for and scope of citizen participation in the planning process appeared as ICMA chapters in 1979 and 2000 editions of the "Green Book". Methods for gaining "consensus" through collaborative planning are currently one are of research emphasis of the planning field (Hoch, et al., 2000; Stein and Harper, 2003). Diversity in values of the public (e.g., based on culture, age, sex, socioeconomic status, etc.) was first addressed as a separate chapter in the 1979 edition of the "Green Book", and is emphasized within introductory and concluding chapters in the 2000 edition. Mayurama (1973) indicated the need for multicultural education in planning in the early 1970s; however, current journals and research indicate difficulty in determining how best to incorporate multiculturalism and diversity (Beauregard, 1991; Harper and Stein, 1995; Milroy, 1991) within the US planning framework, which is based on democracy with majority decision-making (Buyaridi, 2000b, p. 1,7; Howard, 1955). The public interest was noted, in 1979 and 1988 editions of the "Green Books" to -128-

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include: "serving the interests of democratic majorities; improving the condition of the weak, poor, or handicapped; protecting resources in the long run; economizing in the use of public fimds; living up to our laws; protecting health and safety; preserving human rights." (So, et al., 1979, p. 18). It was also noted; however, that the profession did not provide guidance regarding how to balance these interests: ''We cannot codify a consensus or a permanent balance among these competing elements of the public interest nor a permanent balance between the public interest and the right to pursue private interests. It is a planner's professional responsibility to achieve such a balance and use it as a personal guide." (So and Getzels, 1988, p. 512). 3.1.4.4.1.5 Values/Ethics The first chapters addressing the issue of values in planning appeared in 1979 and 1988 editions ofiCMA. The professional Code ofEthics of the American Institute of Planners was first enacted in 1959 to regulate business practices, and revised in 1970 to address "minority community involvement, public participation", and "the disadvantaged in the planning process." (Salkin and Whiteley, 2002, p. 6). The Code ofEthics was revised two more times-in 1981 (Kaufinan, 1990) and 1991 (Salkin and Whiteley, 2002, p. 6). In addition to previous goals, the revised code includes protection of the "integrity of the natural environment and the heritage of the built environment; and "long-range consequences of present actions." The Code of Ethics is noted to be derived from "both general values of society and from the planning profession's special responsibility to serve the "public interest"' (Salkin and Whiteley, 2002, p. 7). Values/ethics are now part of AICP certification (Salkin and Whiteley, 2002, p. 7), and accreditation of planning programs (P AB, 2001, p. 19-20; 22-23). -129-

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3.1.4.4.1.6 Legitimation of U.S. Planning Legitimation, systematization and routinization of the planning field is currently maintained by three primary planning bodies with differing foci: 1) American Planning Association (APA); 2) American Institute of Certified Planners (AICP); and, 3) Association of Collegiate Schools of Planning (ACSP). American Planning association (AP A), is the 'umbrella' organization with the largest and broadest membership. There are 33,000 members who are planners, officials, and citizens (www.planning.org). The organization produces several journals discussing planning practice and research (Journal of the American Planning Association (JAP A); Planning); maintains a 'book store' on methods and tools of planning; publishes books related to methods and tools of planning; organizes annual national conferences, and state and regional conferences to bring together planners across the country to discuss planning innovations, and methods, and to gain experience with new planning tools; and, organizes continuing education programs on topics such as current legal decisions related to planning. AP A provides updates on legal issues related to planning; and upports 17 specialty divisions in the profession ranging from law to natural resources to minority interests-providing more specialized focus of planning interests. Many of these divisions publish newsletters with current planning knowledge related to division interests. American Institute of Certified Planners (AICP) certifies knowledge of professional planners through exams, and currently has approximately 14,000 members. The Code of Ethics which provides ethicaJ boundaries of actions, prescribes character of the planner, and provides general goals for planners and a1l those in the planning process to follow was originally developed within AlP-the precursor of AICP -130-

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(Salkin and Whiteley, 2002, p. 6) Association of Collegiate Schools ofPlanning (ACSP) provides accreditation for planning programs, guidance on curriculum, and annual conferences for researchers to present results, and publishes Journal of Planning and which discuss curriculum, theories and methods of the profession. There are currently 124 member schools in ACSP, with 20 located outside of the U.S.10 3.1.4.5 Summary of the Origin and Evolution of the U.S. Planning The planning discipline developed primarily from a base of professionals trained in architecture, landscape architecture, civil engineering, and law, with a focus on technical standards and design solutions for urban problems of the city. This emphasis remained until the Depression, when the value of planning as a process for a variety of governmental programs was recognized for increasing efficiency, wise management of resources, and strengthening democracy. A broadening of planning to include social, economic and natural resource planning occurred during the Depression as planning was undertaken at levels of government, and a National Planning Board was created. National planning was not embraced; however, in post Depression years and National Boards were disbanded in the 1950s. Planning had originated at the level of the city, with state oversight, and this structure continues to be the focus of the field today. Methods and the regulatory structure had focused primarily on land-use issues, and this remains the focus of the field today. Evolutionary nature of the planning discipline throughout its history was noted by interviewees and through archival analysis. The discipline continues to adapt to 10 Dodd, Donna, ACSP. Personal comnumication. August 29, 2003 -131-

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societal changes and opportunities through accretion of knowledge and methods from other disciplines. Subdisciplines of planning are generally noted by interviewees to include economic planning, social planning, and environmental planning. Environmental planning has only been addressed in training manuals since 1988. Social planning appears to ebb and flow with federal social programs related to local planning, and appeared primarily during the 1930s and 1960s. Economics and efficiency have appeared as underlying considerations throughout the history of the profession. Planning process and theory became a focus of the discipline in the 1950s. The planner originally worked for civic groups, not the public-at-large, so public participation in the process, as designed by the discipline, did not occur until planning became a public function, after creation of the legal structures and offices of planning in the cities. Full public participation in planning did not begin; however, until the 1960s, when problems of urban renewal and legal requirements for public participation required and opening of the planning process. Formalization of the planning discipline began with formation of the American City Planning Institute in 1917 which focused on standardization of technical aspects of the profession. Attempts to standardize planning curriculum and planner's professional behavior would not begin unti11959 with the creation of an accreditation body, and the first "Code of Ethics Currently, three primary organizations are responsible for standardizing and overseeing the practice and discipline of planning: 1) American Planning Association; 2) American Institute of Certified Planners; and, 3) Association of Collegiate Schools of Planning. -132-

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3.1.5 Process(es) of Planning ... the process is generally looked at more importantly than the plan itself." (R W) .... planning is a process that integrates in the citizens of that community with the administrative/political aspects of the community ... to try and plan for the future of the community ... (BG) ''There's several processes-all of them get at about the same thing whether you go with a linear process or Edmond Bacon's circular process. I think that's one of the key things that comes out of any of the pJanning programs. If the students don't now a process, they're not going to make it . (AK). This section provides discussion of the planning process( es) of the planning discipline as informed by interviewees, followed by "validation" by current literature, followed by archival analysis to determine whether "process" is a traditional characteristic of the field. Interviewee transcripts were first reviewed for responses to the question, "Is there a general planning process?", followed by review of each transcript for statements made in other portions of the interview regarding planning process(es). 3.1.5.1 Interviews Process is one of the characteristics of the planning discipline noted by respondents to distinguish the field from other disciplines (See section 3 .1.13 .I). Eight respondents ( 62%) described planning as a process for decision-making, building consensus, achieving goals, or solving problems: ... the decision-making skills that come out of planning-that's the primary venue, I think, in terms of the whole planning process. It's a decision-making framework ... (AK) -133-

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Four interviewees said there are several processes; however, ten (77 %) described or indicate through reference the same general pathway in planning beginning with defining the problem or goal, and ending with implementation and monitoring. Figure 3-1 shows "steps" of this general process, which correspond with what is generally described as the rational or comprehensive planning process. The process generally begins with identification of''what is" -defining and verifying the problem or present state of affairs, followed by defining ''what ought to be" -determining goals or visions. The next "step" is to define ''what could be" -generate alternative policies and actions to meet goals or visions; followed by systematically finding the best alternative policies or actions, either through analytic tools or discussion. Decision-makers then choose the best alternatives, which are implemented. After implementation, the results of policies or actions are tested against goals, and the process begins again to either reanalyze the problem or goals, or to improve policies and actions. Three interviewees noted the circularity in this process which is "never complete", but continues to be revised at statutorily-defined intervals, or if results do not meet goals. Time horizon of a Comprehensive Plan generated through this process is generally 5-20 years. One interviewee; however, mentioned that the process is inherently linear with a hierarchy of steps from goal definition to prioritization of alternatives: .. the linear process is a very Aristotelian one ... there is a kind of unidirectionality to it ... They start off with some kind of visioning, goal-setting by somebody, and they go through to the implementation and review, and they all assume that over time, these things will be reformulated. And they all assume that the best way of deciding on the -134-

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Figure 3-1. General Planning Step 1. DefineNerify Problem; What is Step 2. Define Goals; What ought to be Generate Alternatives; What coul be ,J Step 4. Evaluate alternatives Step 5. Choose Alternatives Step 6. Implement Alternative( s) Monitor policy; Test results agains goals Step 8. Repeat process -135-

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course of action, is to Jay out as many alternatives as seem to be reasonable at the time, and then prioritizing among them, so that's linear--that kind ofunidirectionality of it. There's a hierarchy of steps." (DH) Overall, 11 (85%) interviewees mention the comprehensive or rational p1anning process as either the planning process, or one of the planning processes. Two interviewees indicated that this is the process that was defined in the early stages of planning education, and is the ''traditional" planning process. Nine ( 69%) interviewees note that underlying the process is the existence of an ethical and nonnative framework which affects the way the process is conducted, who is included in the process, and the types of desired endpoints sought in the process. (See sections 3.1.6, 3.1.10). Frequently mentioned endpoint of the process is that of determining the public good. Marshaling divergent values to a common good is noted by five interviewees to be a goal of the process (See section 3.1.6). Some of the embedded ethical standards to be adhered to in the planning process, which are noted by interviewees to be codified in the discipline's Code include: advocacy of disadvantaged groups; inclusion of diverse publics and values; and a civil, respectful, open and unbiased public process with information used responsibly. One interviewee noted that values are "entwined in the whole process". Interviewees note that the process has changed over time, particularly with regard to the role of the public, role of the planner, and the role of and types of knowledge used in the process. One respondent described the evolution in the following way: .. in the teens it was a design process, but in the progressive movement, it was a design process + involvement of what people nonnally think of as elite boards, etc., so ... driven by technicians and -136-

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with review by elite groups and then in the 30s ... the process switched .. .it became much more national in focus .. focused on the federal bureaucracies and on Congress ... then. .. beginning in the 60s, the sort of public participation movement which had two aspects, one of which was the Environmental Impact Assessment sort of public comment aspect, the second is the Community Development aspect. .. beginning in the 1980s, there's the collaborative movement." (U.S. planning fuculty) Eleven (85%) interviewees include public participation as an important part of the planning process, and knowledge of how to conduct/fucilitate this process was noted an important part of the planner's education by seven (See section 3.1.9): ... A planner who graduates from this program highly skilled in multivariate analysis or GIS-I'm sort of thinking of the standard list of planning skills, but who can't facilitate a good process, is not a technically qualified planner ... (CI) Eight ( 62%) indicate that the public was not initially included directly in the process. Six discuss the expansion of public participation through the history of the profession. Several indicate that public participation continues to evolve in response to a desire to "democratize" the process, as well as, from legal requirements : .. .It's illegal to plan without participation .. .it's mandated that all planning has a heavy participatory component in it ... (RS) Five indicate that democratization of the process and a high level of participation are currently goals of the profession. The nature and extent of public involvement in planning processes differs depending on such factors as statutes, local customs, and agency guidelines One respondent indicated that public meetings in Manhattan, KS are not time-limited, in contrast to normal practice in Kansas. Citizens were allowed to speak, for as long a period as they desired, and public meetings would often end after midnight: -137-

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" .. the urge to have an open meeting is one thing, but the urge that everyone can speak, and there really isn't any time limit put on them, is unique, I think .. we've had ... some meetings that have gone on until 12:30 pm or I :OOam in the morning, starting at 7pm. .. .l've been to some planning commission meetings in suburban areas in Kansas where they give a limit on the amount you can have .. (R W) The process is noted by most interviewees to be a combination of a rational decision-making structure with rigorous data collection and analysis to define problems and solutions, with the emotional or value-laden process of defining public goals, and choosing alternatives to meet them "I think planning is sometimes viewed as a technical or informational process and we're looking at data, when in fact, a lot if it is sort of emotions and feelings of place and sense of place and those kinds of hin (RM) t gs ... Several interviewees make reference to the historical development of the process-which was initially designed as an entirely rational decision-making structure in which values and goals could be "optimized", and the best solution could be determined entirely through technical means and modeling, to the current dilemma about how to make decisions, understanding that it is impossible to have all the necessary knowledge needed to make the best decision: "When scientification broke down, when the rational planning model broke down, you realized that it was absolutely impossible to look at an exhaustive set [of planning options]. If you don't look at an exhaustive set, you don't know whether you have the best one or not. Herbert Simon's contribution was to talk about the fact that you couldn't do that. It is not cognitively possible. There is too much uncertainty. It is too costly ... We don't have the models to do it. We can't scientifically say this is the best solution, because there's wide disagreement about what the problem was. So all these actions require -138-

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some deliberation. .. dialectical discourse, .. that's what Postmodemism and postpositivism is all about. Honor both valuative and tactual knowledge that can be brought to the table by all stakeholders with the legitimacy of alternative points of view. Science doesn't determine the best alternative ... arguments among stakeholders produce the best alternative .... (RS) .it's impossible to imagine a truly rational process for assessing the goals of a city because you have to figure out how to calculate all the individual interest of citizens and then mesh them together in some fashion ... (U.S. planning fuculty) Two interviewees indicated that the process is more of an art than a science: "I would say there is not a science of planning ... there is an art of planning and in that sense there is a process in the sense that art is a process." (MH) A second type of"process" mentioned by five respondents is that related to "current planning." This process includes day-to-day planning procedures dealing with landuse and design issues which often depend on statutes and local customs in the planning department. Process, although part of the practical, applied, component of the field, is also considered part of the theoretical aspect of the profession, and is included in Planning Theory courses. Several mention the usefulness ofFriedman's work (Planning in the Public Domain, 1987) for understanding differences in the planning process (i.e., relative role of the planner, data, etc. in decision-making for or with the public) which may result from differences in the planner's view or the client's view of the "planning paradigm" (i.e., Social Reform; Social Learning; Social Mobilization; or, Policy Analysis). -139-

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An additional area of focus in planning theory mentioned by several interviewees regards communicative and collaborative processes in achieving "consensus" or improved democratization of the process, and the constraints for achieving truly rational planning (i.e., insufficient data regarding current conditions, values/preferences, and inability to optimize values). 3.1.5.2 Normative View of Process Planning is described by a majority of interviewees as a process for decision-making, building consensus, achieving goals, or solving problems. A majority descnbe the same general pathway of the process which is shown in Figure 3-1, which is generally described as the rational or comprehensive planning process. Underlying the process is the existence of an ethical and normative framework which affects the way the process is conducted, who is included in the process, and the types of desired endpoints sought in the process. Public participation is an important part of the planning process, and knowledge of how to conduct/facilitate this process is an important part of the planner's knowledge and education. 3.1.5.3 Current Planning Literature ... Planners use a variety of approaches to conduct planning processes and make plans, yet all share common elements involving analysis, vision, implementation and public participation ... "(Hoch, et al., 2000, p. 15) The process is a systematic way of developing a plan, and is described in the recnt edition of the planning training manual as a "model for decision-making" and a "plan-making process" to guide public decisions (Hoch, et al. 2000, p. 23). Most planners follow rational decision-making models which roughly parallel the model described by interviewees (Hoch, et al., 2000, p. 25). Recent planning references -140-

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also indicate that the rational or comprehensive planning model is the predominant form used by planners (Cullingworth, 1997, p. 8,20; Levy, 1997, p. 323-324). Technical Standards for Professional Practice of AICP state that the planning process must be rational and include "sound fuctual foundation, as well as deliberative analysis". A minimum of three fundamental steps must be included: 1) research and analysis, 2) formulation of a plan or program responsive to program objectives; and, 3) implementation of the plan or program. (Solin, 1997, p. 14) Curriculum areas which focus on the planning process are theories of planning processes, processes by which plans are made and implemented, and understanding of"planning as a process" (PAB, 2001, p. 20). Ethical standards underlie planning processes Two sections of the Code ofEthics (Solin, 1997) are devoted to the way planning processes are conducted and include how participants should behave, goals of the process, and public participation. Planners must "give citizens the opportunity to have a meaningful impact of the development of plans and programs .. and participation should be "broad enough to include people who lack formal organization or influence." AP A legislative priorities for 2003 also address broad inclusion of the public by stating that the organization will promote ... solutions and incentives to make communities and planning processes more inclusive ... ", and current planning research is addressing methods of and considerations in broadening public participation in planning processes (AI-Kodomany, 1999; Bayuridi, 2000b) Planning is currently conceived of within the discipline as a process which strives for broad public participation and primarily follows a rational decision-making model. -141-

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3.1.5.4 Historical Overview Process might be considered embedded in planning from the early years in which the discipline was forming, through the steps required to develop comprehensive plans, which were being completed by consultants for many cities. This process was descnbed by Olmstead in 1916 as the common procedure among "planning specialties" present at that time, and included the following steps: a 1) Study conditions and trends a 2) Define goals (''primary purposes to be attained") 0 3) Choose objectives (''planning of physical results suitable to those purposes") 4) Implement plans through legal and administrative structures. As early as 1921, two additional 'steps' were suggested for inclusion in the process: 1) public discussion; and, 2) follow-up to check on progress in implementation of plans (Nolen, 1921, p. 173-174). It was not until the period between 1950 and however, that these two steps would be added to the planning process (Meyerson, 1956), through recognition of: then differential impacts on minorities and unintended consequences of urban renewal (McLean, 1959) for which both monitoring and public participation were and, the existence of diverse viewpoints within communities (Goodman and Freund, 1968, p. 332): "Currently, we in the planning agencies have no systematic means of analyzing the effect of planning measures or programs of action. It is astonishing, for example, that we have never analyzed the effects of zoning ... (Meyerson, 1956, p. 62) -142-

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The need for the planner to be involved in goal formulationpreviously assumed a function of elected officials or appointed administration is also a more recent change in the second step of the planning process (Goodman and Freund, 1968, p. 330): ''The planner must take a responsible part in the identification and agreement by the community upon social and economic goals as well as in their translation into a three-dimensional physical pattern." (Adams, 1954, p. 2). Prior to the 1950s, the focus of the planning process remained on fact gathering and analysis; and, development, choice, and implementation of alternatives: ... As it is known and practiced today, city planning is a fairly recent phenomenon. Its rise and development has followed the advent of industrialization and the development of science. The scientific rules of procedure-collection of facts, classification and analysis of facts, and explanation of facts and development of a hypothesis-are the essence of the planning process." (McLean, 1959, p. 1) Steps of the process were summarized as follows: "These half-dozen descriptions of the planning process taken from widely different areas in the literature on planning illustrate the common core: a series of related steps moving toward the accomplishment of a stated objective. While the number of steps varies from three to five, the scope or range of activities covered by these steps uniformly covers the following: (1) specification of the objective; (2) survey of the present situation and research and analysis to discover alternate ways to achieve the objective; and (3) choice among the alternative and development of a detailed procedure for implementing this decision." (McLean, ed., 1959, p. 43) Monitoring was included formally as one of the process steps in the 2000 edition of the "Green Book" (Hoch, et al., 2000), and public participation has become wellintegrated into the planning process. The following sections provide further -143-

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discussion on the evolution of the focus of the process as a focus of the discipline, and expanded public participation in that process. 3.1.5.4.1 Process or Plan Although the comprehensive plan, itself, had been the focus of early planning; shift to a primary focus on the process of creating the plan was suggested early in the formation of the discipline (OJmstead, 1916; Whitten, 1915): ''The creation, adoption, application, development and revision of the comprehensive tentative plan constitutes an imposing program." (Whitten; 1915) By the late 1930s, planning was generally described as a process, and this remains the focus of planning today: "The application of forethought to the affairs of civilization and that city planning, regional planning etc. is the process as it applies ... to whatever geographic unit is concerned"(qtd in Birch, 1980, p. 32). 3.1.5.4.2 Process: Not Static or Linear The process of planning was criticized in 1968 (Goodman and Freund, 1968, p. 329) as having taken on a static nature with emphasis on development of the plan, rather than continued concern with its implementation and subsequent determination of whether goals had been achieved. Historical references indicate that the plan, as conceived of initially, was not a static product, but one in continual evolution: "The 'once and for all' method of city planning is ... impracticable. We cannot adopt a plan and make that the Procrustean mold for all future time. City planning, to be effectual, must be sustained and continuous." (Whitten, 1915). -144-

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(McLean, ed., 1959, p. 45):''The image of planning as a continuing and cumulative process can be captured in the notion of a cyclical pattern of activity'' 3.1.5.4.3 Public Participation "In the 1920s, plans and development regulations were often developed without broad-based public involvement. Today, in virtually every conununity, citizens now expect to be engaged in conununity planning processes, and, when they participate, they expect to see results from their efforts." (Weitz, 2002, p. 9). Public participation in planning was initially occurred through involvement in civic associations and foundations which supported development of city plans and research related to housing reform, city beautification, and efficiency in government (Albert, 1926; Brunner, 1912; Kimball, 1928). Citizens advisory councils were also noted to be responsible for overseeing planning until the 1930s: "Organization for planning was in the hands of quasi-independent commissions composed of business executives, realtors, and the high priests of the economic order-lawyers, architects, and engineers." (Goodman and Freund, 1968, p. 24). "The unpaid citizen commission has been almost universally adopted as the agency for carrying on the function of city planning ... (Walker, 1941, p. 133). The need for broader public support of planning was noted; however, throughout the history of discipline development and was initially sought through newspapers and other publicity campaigns: "In every locality it is wise, and in a real democracy it is necessary, to begin by winning public support before making considerable public -145-

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expenditures either in preparing plans or executing them." 1913, p.l) Approximately fifty percent of the national planning meetings from 1910-1941 discussed "selling planning" to the public in some form. The Standard City Planning Enabling Act required one public hearing prior to adoption of or amendment/extension to the city plan. Reasons provided were to reduce dissent to the plan, and to increase publicity: "The public hearing previous to the adoption of the plan or substantial part thereof has at least two values of importance. One of these is that those who are or may be dissatisfied with the plan, for economic, sentimental, or other reasons, will have the opportunity to present their objections and thus get the satisfaction of having their objections produce amendments which they desire, or alleast the feeling that their objections have been given courteous and thorough consideration. The other great value of the public hearing is as an educating force; that is, it draws the public's attention to the plan, causes some members of the public to examine it, to discuss it, to hear about it, and gets publicity upon the plan and planning. Thus the plan begins its life with some public interest in it and recognition of its importance." (Advisory Committee on City Planning and Zoning, 1928, p. 18, Footnote 42). In addition, there was an emphasis on an "educated public" regarding planning (Wacker, 1913), and on the importance of public discussion in the process as a principle of democracy (Olmstead, 1917, p.85). Literature indicates that the public had not embraced planning until popularized through programs of the Depression and the administration ofFranklin Delano Roosevelt (Elliot, 1933). Although the national planning of the Depression extended planning to a broad range of individuals from a variety of fields, and several sessions at the National Conference discussed the potential for general citizen involvement in -146-

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' i i I I I I planning (1921, 1924, 1938); the early editions ofiCMA planning handbooks (1941, 1949, 1959) carry the view of citizen participation from the early days of the profession: ''Planning agencies have a vital concern with citizen reaction to planning proposals because, in the final analysis, plans are carried out by citizens, either through their day-to-day private building or through the actions taken by their representatives in government." (Menhinick, 1948 p. 5) Not until the 1960s and subsequent recognition of the fuilures of planning with regard to minorities (Thomas, 1996, p. 175; Webber, 1963); differential impacts of planning ofvarious socioeconomic sectors (Gans, and, federal legislation requiring broader public participation (Goodman and Fruend, 1968, p. 567, 573), did planning training manuals indicate a need for methods to gain general public participation in planning: ... it has olily been during the last few years that most citizens cared about planning enough to enter into debate over a planning proposal Planning has been an intellectual nicety, an abstraction that rarely touched the lives of most citizens It mattered not, therefore, whether the planning approach was conducive to public participation (Goodman and Freund, 1968, p. 332) ... direct participation in the affairs of government by groups that have heretofore had no public voice is being institutionalized by programs, such as the War on Poverty, where the poor are represented on advisory councils and where legal aid may be provided to help the poor in their struggle against, not olily loan companies and landlords, but also against welfare departments and departments of urban renewal." (Goodman and Freund, 1968, p 332) "A new view of planning ... begins with the values, behavior, or priorities of many people and accommodates these through political compromise ... The new view encourages diversity with criteria sensitive to the particular needs of a social group or planning area .... -147-

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Citizen participation is essential and is taken seriously at every step of the process." (So, et al., 1979, p. 283). Methods for and scope of citizen participation in the planning process appeared as separate chapters in the 1979 and 2000 editions ofthe "Green Book". 3.1.5.5 Traditional Planning Process Planning, as a process, has been a focus of the discipline from its initiation, with four primary steps always indicated as included: 1) Study conditions and trends 2) Define goals ("primary purposes to be attained") 3) Choose objectives ("planning of physical results suitable to those purposes") 4) Implement plans through legal and administrative structures. Public participation has been considered an important part of planning since its inception (See section 3 .1.13 .4. 7), has been increasingly included in the planning process since the 1950s, is embedded in the Code ofEthics as part of the process (Solin, 1997, p. 4), and thus is considered a traditional characteristic of the planning process. Evaluation or monitoring of the plan, and focus on continual revision of plans in now considered a step of the planning process; however, it is not yet firmly embedded in the discipline; is not part of planning process identified by AICP, and thus is not considered a traditional characteristic of the U .S. planning process. -148-

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3.1.6 Goals of Planning .. the goals of planning, I think, have always aimed at making a better place, creating a better society. The view, the lense through which you decide what the changes should be and how it should transpire have changed tremendously over time." (RR) "The planner has to learn how to work, first of all, with that sort of excitement that they want to create this whole new huge vision, better, world ... (LL) ... the American Institute of Planners started first, and carried over to the American Planning Association-they have a very strong code of ethics, and within this, they have essentially stated the goals of planning ... (VD) This section provides discussion of the planning process( es) of the planning discipline as informed by interviewees, followed by ''validation" by current literature, and archival analysis to detennine which goals are traditional components of the planning discipline. 3.1.6.1 Interviews ... Goals are set by .. in one sense you can say they're set by the enabling act. The other is that the goals are set by the community that you're in, so you don't dictate them ... (BG) Interviewee transcripts were first reviewed for responses to the question, "What are the goals of planning", or ''What are the major goals of planning?", followed by review of each transcript for statements made in other portions of the interview regarding goals. -149-

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Two major categories of goals are identified by interviewees: I) goals of the discipline; and, 2) goals identified by the community or other planning groups in planning processes. Goals of the discipline are further divided into process and substantive goals. 3.1.6.1.1 Discipline Goals Twelve respondents indicate that the discipline of planning has overarching goals, related to its normative nature (See section 3.1.13.1.3), which affect the process and outcome of planning. Figures 3-2 and 3-3 indicate the frequency with which these goals are mentioned. 3.1.6.1.1.1 Process Goals Goals which are related to the way in which the planning process is conducted were briefly discussed in the previous section on the Processes of Planning, and are shown in Figure 3-2. Most frequently mentioned, by 8 interviewees, is the goal to include a broad and diverse public representing the diversity of values in the community or planning region. Similar to this goal is that of maximizing public participation in planning processes, noted by 5 interviewees. Five also mentioned that due to the diversity of values often represented, one of the goals of the planning process is to develop or define a "collective" representation of these values, or to direct these to a common good: ... when we look at the different values, we hope to marshal most of the citizen values to a common good ... (AK) ... city planning is sort of built on the foundation of a collective public interest ... making sure the public interest that you've defined is representative of the public ... (LL) -150-

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0 0 ...... N <0 -151-

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Other goals, each indicated by four interviewees, are: civil, respectful, open, unbiased processes; and, advocacy of the disadvantaged in processes. 3.1.6.1.1.2 Substantive Goals Substantive goals are those related to the outcome of the planning process. What is the desired end of the process? Several note that these goals exist at. many different levels of specificity from ''putting a pedestrian way along a river corridor", "everyone should be able to have a single-family house", "allocate land uses", to more general concepts of "healthy cities", ''public, healt.b, safety, and welfare", or "sustainability''. One respondent mentioned that planning goals are essentially stated in the Code of Ethics and relate primarily to the "planner's responsibility for carrying out the public interest." Figure 3-3 shows the frequency with which goals are noted. Most frequently mentioned, by 10 interviewees, is the goal of serving, carrying out, or protecting the public interest; or public health, safety and welfare. Two respondents noted; however, the difficulty in determining the public health, safety, and welfare: .. the public health, safety, and welfare is almost a cliche'. We say it, it sort of rolls off the tongue, but those words have meaning, and then we ask what publics, whose health, and what does it mean to be safe? And what in the world does welfare mean? That becomes an extraordinarily complicated political question (CI) "There is no general welfare. There are many specific welfares and they're often different, so planning is an arbiter of rival views of the future ... (TC) -152-

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I ...... Vl w I Figure 3-3. U.S. Substantive Planning Goals (n=13) Percent of interviewees Ill Number of interviewees 77 50 0 r} q_.> ,$-0 & ,{;' ;:P "'-0., -?:-0.:$ -o,rG d' 4

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Creating a better future is mentioned by 7 interviewees with statements such as "achieve a better world", ''better the lives of people", "creating a better society", and ''making a better place". The definition of better is also noted to differ through time, and, how problems and solutions are viewed: ... So the goals of planning, I think, have always aimed at making a better place, creating a better society. The view, the lense through which you decide what that change should be and how it should transpire have changed tremendously through time. One might view the goals of planning through the lense of a visionary much like the New Urbanist Movement today, saying this is the way we should live ... and its very much like the social reformers ... One might view the goal of planning to produce an elegant analysis of a very complicated set of environmental dynamics of hydrologic and geologic and habitat interactions ... One might view the goal of planning as building consensus among citizens about what degree and to what extent the community should grow ... so those are goals and they depend on how you view the problem and they have evolved over time ... (RR) Environmental quality is broadly addressed by 7 interviewees, with focus on "healthy communities", "safe and affordable environments", public health, "sustainability", and reduction of environmental impacts during development: ... you've got to figure out a way to accommodate that [what the community wants] and still not degrade the environment too much .. (BG) Five indicate well-being, quality of life, or the good life as goals: ... a lot of planning is and that is sometimes good ... to the degree that certain spaces make you happy, or depressed, or to the degree that community evokes certain kinds of emotional the ability to easily see your mends, or to easily have dinner family members, I think all these things make a good life, right? And in that sense, that's what planning is all about.. (U.S. planning faculty) -154-

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" ... Planning is aimed at creating better communities, enhancing the quality of life, and that's the intermarriage, you know-the built environment, plus the regulations, finances, and political forces that transform a place ... (RR) Equity is also mentioned by six as one of planning's goals and relates primarily to provision and distribution of public goods and services, housing and jobs, and reduction of social costs of private development: .. .1 think what's happened since the middle of the last century has been that we've become more sensitized to equity issues, and therefore the distribution, not really the accumulation of wealth, in the interests of a idealistically and ideally, of a more just society ... (DH) Goals mentioned by four interviewees are: affordable housing; and, order or efficiency. Additional goals mentioned by fewer than three interviewees include resource conservation 2), greenbelts and paths around cities (2), moving population to industry (1), upgrading cities (1), allocating land uses/values (2), and identifying a body of knowledge that distinguishes planning from other fields (I). Most of the goals are indicated by interviewees to have historically been part of the field. Eight mentioned public health concerns in and outside structures (e g., water quality, light, ventilation, recreation, sanitation, tuberculosis), as an early focus of planning. Efficiency/organization/order, and, correction of market inequities were both mentioned by four interviewees. Other goals mentioned as historically part of the profession are better future; resource conservation; greenbelts/parks; safe and affordable housing; and, the public interest. Seven respondents indicate that definitions of these general goals have changed and approaches to achieve these goals have changed over time with changes in societal objectives, perceptions regarding the source and solution of problems, definitions of -155-

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the public good, and extent of public participation in planning processes: ''The hilarious thing about the history of professional practice in planning is how radically those assumptions (public good) can change in a generation. .. urban renewal and widespread demolition of cities, and preservation or new urbanist re-creation of urban fabric, are all the current ideas of their generations." (MH) 3.1.6.1.2 Goals Derived in Planning Process The goals right now pretty much are, I guess, are whatever the public forum sets up. I think it's the responsibility of the planners, wherever they might be, to sort of give some overall direction, but typically, now, we're into participatory panning and we invite people to participate in the Comprehensive Planning process. They, in effect, will be establishing what those goals are ... (LL) As previous discussed (Section 3.1.5.1; Figure 3-1), setting of goals or visions is the second step of the general planning process, and is the step around which the remaining steps are directed to determine how to implement the goals. Seven respondents mentioned that goals are context-specific, locally-derived, communitybased, and based on local values: "Goals of planning are as diverse as the communities we serve" (TC) ... there (isn't) this work of booklet of goals that you can carry around and apply to every, single situation." (RM) In general; however, it is assumed that these goals are defined by the community or other process participants for the community future well-being, or the public good. Four indicate that the planner is responsible for channeling diverse public welfares through the process into one public welfare, and to ensure public health, safety, and -156-

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welfare are embedded within these local goals In the early history of planning, goals were derived for the public by elite boards or planner-experts Interviewees indicate that the public determination of goals is a fairly recent phenomenon, existing since approximately the 1960s. One of the current planning challenges is in determining how to elicit and aggregate goals expressed by the community: "Once you've finished, then, you have a comprehensive plan, or a revised comprehensive plan that supposedly would be an aggregation of all the people's ideas and goals and visions in the city .. .it's hard if you have 44,000 people in town, it's hard to represent every one of those 44,000 specifically, I guess, so it's basically sort of an aggregation of those comments that are made, those goals, those ideas and vision, that we call to be in our comprehensive plan ... (LL) 3.1.6.2 Normative Planning Goals Normative planning goals are those mentioned by a majority of interviewees. A majority of interviewees indicate that setting goals is one of the steps of the planning process, and that goals coming out of these processes are context-specific, locallyderived, and community-based. In addition; however, the profession has overlying goals which guide the way the planning process is conducted. Normative disciplinary goals identified are: 1) Including a broad and diverse public in planning processes which represents the diversity of values in the community and planning region, 2) Serving, canying out or protecting the public interest or public health, safety, and welfare; -157-

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I I I i I I : I i ! I I I I I I I I I I I I l I I I I 3) Creating a better future (i.e ., bettering the lives of people, making a better place, creating a better society); 4) Environmental quality (i.e., public health, safe environment, reduction of environmental impacts during development). Historically, public health concerns in and outside physical structures were a focus of the discipline. A majority of interviewees indicate that the definitions and conceptions of public good and environmental quality; however, have changed over time with changes in societal objectives, and perceptions regarding the source and solution of problems which planning addresses. 3.1.6.3 Current Planning Literature Planning principles of APA and AICP state that serving and protecting the public interest is one of the primary goals of the profession (Solin, 1997, p 3). Although the public interest is noted to be "formulated through conscientiously attained continuous debate" in the planning process (Solin, 1997, p. 6), the Professional Practice Manual defines a number of goals which underlie the public interest and subsequently, the planning process (Solin, 1997, p. 4). These goals include consideration of environmental quality, social justice, long-range consequences of current actions, and "interrelatedness of decisions". Goals of environmental quality and social justice are further expanded upon by planning literature. Environmental quality goals relate to physical, natural, cultural, and social environments and include conservation, preservation, protection and enhancement of resources. AICP professional guidelines state that planners must strive to "protect the integrity of the natural environment", "conserve the heritage of the built environment," and "promote excellence in environmental design" in planning -158-

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processes (Solin, 1997, p. 6). ACSP recruitment materials state that one of the functions of the planner is to assist communities and other planning units in ''preserving and enhancing .. quality of life" and ''protecting the natural and built environment" (ACSP, 2000, p. i). APA Policy guides additionally indicate that good fimnlands, and biodiversity should be protected and preserved (AP A, 1999a; AP A, 1999b;), there should be no additional loss of wetlands (APA, 2002c), and water should be used sustainably (AP A, 2002d). Social justice goals include equity, inclusion and nondiscrimination which are all currently stated as goals or principles of the planning "movement" in the 2004-2005 AP A Development Plan (AP A, 2003a) "Serving a diverse society" is stated as the central mission of academic planning programs (PAB, 2001, p. 14). AICP Code of Ethics states the importance of expanding choice and opportunity for all, including as broad a spectrum of the community as possible in planning, and as well as, advocating for the needs of the disadvantaged (Solin, 1997, p. 6). A goal that relates to both social justice and environmental quality is that of sustainability. AP A currently emphasizes sustainability as one of the attributes of a good community (Hoch, et al., 2000, p. 269), and one of the principles which the planning "movement" currently promotes (AP A, 2003a). Planning literature also notes the importance of local goals in planning by stating that the planning process helps communities to develop their own goals or "visions of the future" (ACSP, 2000, p.i; Solin, 1997), and that a desirable community is one that engages in "self-determination" (Hoch, et al., 2000, p. 269). Although no longer directly stating a "better world" or "better future" as goals, AP A's recent legislative priorities state that planning works towards "positive -159-

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change", and a "high quality of life (2003b). Improvement of the quality of development decisions "affecting people and places" is stated as one of the goals of planning in the P AB accreditation guide (P AB, 2001, p. 19). Focus remains on development of the "good community'' or ''vital community''. The most current edition of the "Green Book" indicates the good community as being defined by characteristics of"sustainability, safety, and self-determination" (Hoch, et al, 2000, p. 269). The current AP A development plan defines the archetypal ''vital community'' as a ''vision" which "is the basis of our mission, goals, and strategies"(APA, 2003a). This vision is one of a healthy and safe community with protection from environmental hazards; good public services and education; affordable and quality housing; diverse transportation modes; recreational and cultural opportunities; social, economical and racial integration; preservation of natural resources; active participation of citizens in planning for the future; public officials who support planning; and, sustainability as the basis of decision-making (AP A, 2003a). 3.1.6.3.1 Summary Serving the public interest appears as a primary goal of planning in both current planning literature and in statements of planning faculty. This public interest includes environmental quality, and the inclusion of a broad and diverse public in planning processes The goal of a better future is indicated through statements regarding improved quality of life and improved development decisions and description of a visionary community which is noted to drive current planning strategies. Development of local goals, derived by communities, is also noted in both planning literature and by interviewees to be part of the planning process and part of the planner's role. -160-

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I I I I I I I I I I 3.1.6.4 Historical Overview "Of comse we must design beautiful cities and we must dream great dreams of the future, otherwise there is no reason or excuse for om profession ... (Brunner, 1912) ''Ethical codes say that planners serve the public interest, primarily ... the public interest is an amalgam of many interests. These interests include the interests of democratic majorities; improving the conditions of poor and handicapped people; protecting resomces; economizing the use of public funds; living up to om laws; protecting health and safety; preserving human rights-in short, doing all the things that affirm om abiding values. Even the ability to pursue private interests is part of the public interest, given om view of the government as the servant of the individual. (So and Getzels, 1988, p. 512). Goals of planning have focused on a "better" future, creation of the "good city'' or good society, and protection of the public welfare since the initial organized discomse on planning in the United States in 1910: "The design for a better, more orderly, more liveable city is abroad in the land." (Brunner, 1912, p. 22) Since the 1960s, there has been recognition that there are diverse publics within the public welfare. Serving and protecting the public welfare now includes consideration of this diverse public and its differential needs and goals. however, Conference proceedings emphasized that there was one public welfare that all planning goals would serve: "A town should be developed that every man, woman and child in it has a wholesome chance for the right kind of growth." (Dealey, 1917, p. 131) -161-

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" ... conditions must be visualized that are reasonably efficient, convenient, safe, happy and beautiful, and these conditions must be provided for all city dwellers and not merely for a fuvored few.". (Nolen, 1927, p. 3) Visions of a better future and the good city or good society initially focused on environmental quality in the city as a means to achieve these goals, as noted by this statement of James Pray, head of the School of City Planning (Harvard University) in 1929: ... the filet will be continually borne in mind that the ultimate aim of city planning is the improvement of the environment of the individual, giving him a fair chance to win for himself a whole and useful life." (qtd. in Adams and Hodge, 1965, p 50) Environmental quality was generally characterized as health and safety in the physical environment, efficiency, and beauty (See sections 3 .1.12. 4 .I and 3.1.12.4.1.1). These characteristics, and order and convenience were believed to lead to comfort, happiness, and well-being of the members of the town or city: ''The idea of city planning is one in which all these activities-all the plannings that shape each one of the fragments that go to make up the physical city-shall be so harmonized that as to reduce the conflict of purposes and the waste of constructive effort to a minimum, and thus secure for the people of the city conditions adapted to their attaining the maximum of productive efficiency, of health, and of enjoyment of life." (Olmstead, 1910, p. 15). "City planning simply means getting ready for the future in city growth. It is the guidance into proper channels of a community's impulses towards a larger and broader life. On the face it has to do with things physical-the laying out of streets and parks and rapid transit lines. But its real significance is far deeper; a proper city plan has a powerful influence for good upon the mental and moral development of the people. It is the firm base for the building of a healthy and happy community." (Lewis, 1923, p. 9) -162-

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! i 1 ,1 j I I "[City planning deals with] the general problem of the laying out and planning of cities in such manner as to best conduce to the comfort, happiness and well-being of the population .It deals with questions of construction, questions of health, questions of beauty, questions of social and moral welfare. It treats the causes of prevention of congestion of population .It deals, indeed, with all problems involved in making our cities-in their physical arrangement and equipment-healthier, pleasanter and more desirable to live in, to come to and to move about in ... (Swain, 1912, p. 30) In addition, equity was also expressed as a goal, though not specifically defined under this term until the 1940s. Instead, such concerns were discussed in terms of "improvements ... for the benefit and enjoyment of everybody" (Nolen, 1910); decent living conditions for all (Nolen, 1927); an opportunity for "wholesome growth" for all (Dealey, 1917); enrichment of life for all (Albert, 1926); or creation of an environment in which each individual could reach his/her own potential-with an equalized basis from which to pursue this potential (Mumford, 1938, p. 458, 492 ) I Planning goals were subsequently codified in the Standard City Planning and Zoning l / Acts of 1928 which identified public health, safety, welfare, and morality as purposes / underpinning planning. The following goal was stated for the comprehensive l j plan11-which was to guide city development: 11 "The be with the general purpose of guiding and a. and development of the muruCipality and tts envrrons which will, in accordance with present. and future needs, best promote health, safety morals order converuence, prosperity, and general welfare, as wen' as efficiency or purposes of the Comprehensive Plan remain essen gwde to updating state enabling legislation. the folio tial1y uncl1anged today. In the recent SUggested: "direct the coordinated, effi wmg purpose for the Comprehensive Plan is environments that will. based 00 of the local government and its safety, morals, and general welfare... (Meek, 20028, p 7 -68). neOOs. best promote the public health, liJ.

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economy in the process of development ... (Advisory Connnittee on City Planning and Zoning, 1928, p. 17) Planning goals were also "codified" in "Green Books". In editions published from 1941 through 1958, goals focus on protecting and serving the public welfure, creating a better future and creation of the good city or good society through improved environmental quality: ''The broad objective of city planning is to promote the welfare of the people in the community by helping to create an increasingly better-more healthful, convenient, efficient, and attractive environment." (McLean, 1959, p. 10). As mentioned by interviewees, definitions and concepts of better future, public welfare, and environmental quality changed throughout planning history. 3.1.6.4.1 Evolution of Goals: Better Future and Environmental Quality During the post-Depression and WWII era, as planning began to expand beyond physical planning into social, economic planning, and natural resource planning, ''better future" was expanded to include a public welfare in which the public had economic security, freedom was protected, and considerations of equity were expressed: "As the necessity for broader coordination of numerous economic and social processes grows more event, planning becomes more and more a public responsibility-the duty of government as the agent of the people ... The official planner must assume new and greater responsibility as the country attempts to gear its new techniques to the American dream of a decent and reasonable secure living for all of our people ... Planning in a wealthy democracy merely attempts, with the support of public opinion, to strike an equitable balance of public interest with private interest-so as to create and economic and social -164-

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climate suitable to a mature and stable nation, with better living conditions and more freedom for all." (Segoe, 1941, p. 15) Expansion of the conception of environmental quality in planning is discussed in Section 3.1.12.4.1. In general, the focus expanded from improved urban living conditions to conservation and restoration of resources: ''It is becoming evident that planning for city, state, region and nation-is one of the fundamental processes which will have to be employed in making an adjustment to an era of relative stability ... a great plenty of goods and services that must be distributed equitable; and a no longer limitless supply of human and material resources that must now be carefully conserved and restored ... (Segoe, 1941, p. and then to protection of the "integrity of the natural environment" (Solin, 1997, p. 6). The following sections describe changes in definitions and conceptions of public welfare. 3.1.6.4.2 Expansion of the Public Welfare As previously indicated (Section 1.3), public interest or welfare was generally perceived of as a unitary welfare until the 1960s. During the civil unrest of this however, it became clear that there was diversity within the public interest: "The increased public involvement in planning has highlighted the existence of multiple urban life styles with distinct goals that vary widely between social and economic groups .... (Goodman and Freund, 1968,P. 332) This diversity was recognized as a new goal to be pursued in some form by planning: -165-

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''There is now a growing appreciation. .. that cultural diversity is an intrinsic characteristic of our society, and we are coming to accept his kind of pluralism as a societal goal deliberately to be pursued. As one of its paramount functions, then, planning in a democratic society is being seen as a process by which the conmunity seeks to increase the individual's opportunities to choose for himself. .. (Webber, 1963, p. 239) "A new view of planning ... begins with the values, behavior, or priorities of many people and accommodates these through political compromise ... The new view encourages diversity with criteria sensitive to the particular needs of a social group or planning area .. Citizen participation is taken seriously at every step of the process ... (So, et al., 1979, p. 283); and, is now generally described as increasing opportunity to all, advocating for the disadvantaged, and seeking broad and diverse participation in planning processes. Increased emphasis is placed on locally-derived goals in planning processes: ''Planning like other professions, presumes to bring some order to a sector of human experience. Planners bring some order to community change, satisfying a sense of progress. The valued ends of progress are community goals that emerge from debate around the political table ... (So and Getzels, 1988, p. 515). Overarching goals of the discipline remain; however, which guide community planning processes. This dichotomy is expressed in the following statements: ... The goals ... must in some way represent majority decisions if the plans are to be valid ... the planner must never be put into position to decide the goals for his planning... This is quite apart from the responsibility of planners banded together into a profession, and acting as one of the nongovernmental forces working for the betterment of society, to offer to both government and society leadership in formulating and crystallizing the goals for their collective work." (Howard, 1955, p. 64). -166-

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''Planners share community goals, but their concerns emphasize longer-run consequences and the coordination of independent decisions. As a resuh, planners often represent minority values and find themselves speaking for the voiceless majority that will people the future ... "(So and Getzels, I 988, p. 5 I 5) Planning literature during the last 50 years; however, indicates the difficulty in achieving these normative goals both due to planner's Jack ofproactivity: "We may do all these things [create a better future], if we as individual planners fully use our talents, and if we are fully used. Whether or not we are fully used in not entirely up to us to say, as individual local civil servants or consultants. But we may be fully used, if our profession as a profession performs more fully one of its duties that it has thus far shirked; if we talk less to ourselves, and more to our government and our society, about what can be dontrabout what desirable changes in our environment can be made to happen, through planning ... (Howard, I955, p. 65) and political processes affecting planning: "The creative interplay between the political process and the objectives of the planning movement has indeed been a hallmark of urban planning in the U.S. But the problem remains that the full range of planning objectives cannot be accommodated within most local political systems." (Goodman and Freund, 1968, p.327) "In a society that strongly values individual rights, private property, and the free market, identifYing and pursuing a broader public interest is a difficult task ... Throughout the twentieth century, planners struggled to develop plans that would respect the American commitment to individual rights while successfully addressing a range of problems-from inefficiency to ugliness, injustice, and pollution-that develop where individual purpose and collective welfare meet. Planning advocates did obtain legal authorization for local planning. But the diffusion of planning ideals as important cultural values inspiring population support proved more illusive. Consequently, acceptance of planning has been an uphill battle in -167-

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many communities ... (Hoch, et al., 2000, p. 22) 3.1.6.5 Traditional Goals Traditional goals of planning include creation of a better future and the good city; protection ofthe public welfare; and, environmental quality. The good city was initially defined with characteristics of order, efficiency, beauty, convenience, and health and safety of the physical environment. Current planning efforts appear directed at a "good community'' with characteristics of .. sustainability, safety, and self-determination". The public welfare initially focused on environmental quality of the built environment to create a better future, but expanded to include conservation and restoration of natural resources and "integrity of the natural environment"; and considerations of social justice such as equity and respect of diversity. One public welfare was initially assumed in planning, while it is now generally assumed that diverse interests exist within the public welfare. Respect of diversity is a new goal and cannot be considered traditional, while equity, in different forms, appears throughout the history of planning development and thus can be considered a traditional goal. Local goals are generally noted to be part of the planning process, and the local orientation of the discipline is a traditionally characteristic (See 3.1. 13.4.8). Overarching goals of the profession remain; however, which serve the public. It has been noted for at least 50 years that these goals are difficult to implement politically. -168-

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3.1. 7 Role of the Planner ... as a planner, when you go out there, you're reconnnending an institution in itself'. (AK) ... The planner's role in planning is to be the hidden hand, the grand orchestrator and yet, remarkably unobtrusive in its ideal form. .. (TC) This section provides discussion of the planning process(es) of the planning discipline as informed by interviewees, followed by ''validation" by current literature and archival analysis to determine which roles are traditional characteristics of the field. 3.1.7.1 Interviews Interviewee transcripts were first reviewed for responses to the question, "What is the role of the planner" or "What is the planner's role in planning?", followed by review of each transcript for statements made in other portions of the interview regarding planning process(es) Twelve respondents (92%) indicate that the planner's general role is to develop or aid in the development of policy, programs, or plans that are for the well-being, or good of the public. All interviewees indicate that the planner does not play just one role in achieving this goal, but multiple roles depending on : 1) differing needs of various planning projects and employers; 2) differing specialty emphases (e.g., conflict resolution versus socioeconomic analysis); 3) expansion and evolution of the planning field and subsequent expansion of roles; and, 4) the planner's view of the role of the planner in society (e g., advocate versus neutral technician): "You can't just sort of think of a planner as a well-defined person like -169-

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a dentist and you know what they do .it might depend very much on who they work for, what their job responsibilities are, what levels of government they're dealing with.. what kind of work they're doing." (RM) Nine ( 69%) respondents note that planners currently play both technical and political roles. Technical roles focus on gathering and analyzing data, while political roles focus on procedural issues and facilitation, negotiation, mediation, and advocacy of the public interest. Several interviewees mentioned that there are four major theoretical orientations in planning (Friedman, 1987) with four associated roles which have developed through planning history: I) social reformer with role ofvisionary-designer-decisionmaker; 2) policy analyst with role of technical analyst; 3) social mobilizer with role of social advocate; and, 4) social learner with roles of facilitator/educator. All roles are noted to exist today, and are included by interviewees in their enumeration of roles. Roles noted by interviewees are: technician/analyst, advocate/community organizer, facilitator, consensus-builder/collaborator, educator, regulator, negotiator/mediator, shaper/orchestrator, visionary, manager, and designer. Frequency with which these roles are noted is indicated in Figure 3-4, and discussed below. Roles indicated by a majority of interviewees are technician/analyst, and advocate/community organizer. Technician/analyst is more frequently mentioned, with II (85%) interviewees. This is the role of data gatherer, analyst, and provider of technical advice to those in the planning process. Advocate or community organizer is the next most frequently mentioned by 8 ( 62%) interviewees. In this role, the planner aids under-represented groups or groups not previously organized to prepare for participation in the planning process, and works around power -170-

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I ......:! I Figure 3-4 U.S. Planner's Role (n=13) 85 50 0 .(fV A...#' c.P<:< .q) l::J'>(J &q) .g (),
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I I I I I structures to ensure their participation. Consensus/collaboration-builder and facilitator are the next most frequently mentioned roles, indicated by 6 interviewees (46%). The consensus/collaborator seeks to build consensus/ collaboration in planning processes to reach a collective public good, while the facilitator is a helping hand moving the public planning process along to develop goals, objectives, and understanding of planning issues. Five indicate that the p1anner is also an educator and a mediator/negotiator. The educator teaches the public about the planning process and the values underlying planning, transfers planning skills to the public, and educates regarding how to bring local knowledge into the planning process. The mediator/negotiator helps to resolve conflicts and bring the public and public processes to a common end, or public good by helping in mediation and negotiation of goals and outcomes. Shaper/orchestrator was mentioned by 4 interviewees as the role of shaping projects or designs to fit into comprehensive plans, to promote good growth, the future, and the public interest. Three indicate that the planner is a visionary, thinking about and working towards desired future states. Three indicate the planner is also a regulator, enforcing and revising land-use and design regulations. Roles mentioned by two or fewer interviewees are manager, and designer. All respondents indicate that roles have expanded over time, as the profession has expanded to meet changing societal needs, goals, and values, and as the public's role in planning has expanded. Two indicate that roles continue to emerge. Seven respondents (54%) indicate that initially, the planner was a designer or visionary, who either independently or with a group of aristocratic, or civic-minded individuals defined what was best for society. The role included decision-making regarding city or policy design, and did not allow the public, in general, to be involved in the -172-

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planning process: .. at one time, they [planners] thought, "I'm just designing the city and that's the way it's gonna be" ... Designing for, not with-that's the change that's taken place .. /' (RS) "In you think of Rexford Tugwell, who was one of the models for the planner in the 1930s, he was sort of aristocratic, arrogant, exceedingly self confident, believed absolutely in the role of government in all kinds of activities. Now planners tend to be tentative, consensus builders, less interested in promoting their own views and more interested in sort of facilitating processes ... (U.S. planning faculty) Only one interviewee indicated that the planner's role remains that of designer, although four indicate that planner's influence community design through regulations, economics and other tools Additionally, nine respondents ( 690/o) indicate that planners today do not make decisions, but instead provide recommendations, and guide or facilitate planning processes. Planning is described as a service profession by five respondents. Four mentioned the planner's role is either in the middle of the process, or acting without direct control: "They're stuck in the middle. Their role is the person in the middle ... they are in the middle between the administration and the citizens ... (BG) .. the planner acts upon the shape of the built environment without direct control. Whenever the planner has got direct then she or he is not acting as a planner, acting as something else ... so the planner operates at one remove. The planner operates by shaping any available piece ... (MH) -173-

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Two indicate that the lack of this leadership or decision-making role of the planner inherently affects the planner's ability to carry out the public good: ... politics is very much a part of planning and it certainly can stalemate things. It can cause planners to not be as effective as they'd like to be. In some political situations planners are rendered ineffective or can't do anything, basically because the political groups will not allow them to do anything like that. So, politics now, is very much a part of determining outcomes in planning. Iflocal government doesn't want you to do a comprehensive plan, or if they limit your funds, or if they limit your orchestration of the whole process .... outcomes are going to be somewhat limited ... (LL) . What are the goals? What vision do you have for the future? When you have a vision, then you might be able to say, "hey, what we're projecting is what is desirable". Now, we all know that the politician has a four-year desire list and his end tennis to try to get re elected ... values change over those 4 years ... it's politiCal. Planning is political from the standpoint of you have to deal with the politicians and you have to recognize that.. .. (AK.) Several respondents indicate that the field has, in recent decades, lost its visionary aspect: .... into the 60s in particular, we became more analytic... And that was good because it made us more able to acknowledge our own shortcomings and paradigms ... but in the process we lost our soul. We became Hamlet. Self-doubt compromised our vision and so we largely lost the visionary aspects and we've become a discipline of implementers and predictors ... (TC) "If we go back to City Beautiful Movement, for example, we really have a different type of process. Daniel Burnham, for example, in Chicago Plan, was a design person that was designing a huge, grand vision for this particular city. He was not affected by politics. He was not affected by whims of local, elected officials, so he was free and his assistant to develop this grand plan for Chicago . in city planning -174-

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today ... the city planner does not, in effect, do this grandiose plan. .. a few buildings may be built or not built or whatever ... (LL); however, six note that an important characteristic of the planner is being proactive towards change (See section 3.1.8), so the visionary aspects remains, but in a different fonn. Currently, the ability to involve a broad and diverse public, and maximize public participation is an important role of the planner as the planner fucilitates the public forum in which goals and plans are developed: .. the early City Beautiful things, plans were just organizations that probably were composed of local business people that had a vested interest in making the city more beautiful. You had a private group or a couple private groups that came together. They hired a consultant to do a plan, then they approached the city after the plan was done and said we'd like you to adopt this .. .I tell my students we don't do that any more. We involved the public from a public forum to come up with a plan they want. The planner's job is to provide guidance and expertise .... (LL) 3.1.7.2 Nonnative Planner's Role The planner's role indicated by a majority of interviewees is to develop or aid in the development of policy, programs or plans that are for the well-being or good of the public. All interviewees indicate that the planner does not play just one role in achieving this goal, but multiple roles depending on: 1) differing needs of various planning projects and employers; 2) differing specialty emphases (e.g., conflict resolution versus socioeconomic analysis); 3) expansion and evolution of the planning field and subsequent expansion of roles; and, 4) the planner's view of the role of the planner in society (e.g., advocate versus neutral technician) : A majority of interviewees indicate the planner plays both technical and political roles. The technical role is that of gathering and analyzing data, while political roles -175-

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focus on facilitation, negotiation, mediation and advocacy of the public interest. The two most frequently mentioned roles, indicated by a majority of interviewees are those of technician/analyst and advocate or community organizer. The technician, as previously mentioned, gathers and analyzes data and provides technical advice to those in the pJanning process. The advocate or community organizer aids under represented groups or groups not previously organized to prepare for participation in the planning process, and also works around power structures to ensure their participation. Planners do not make decisions, but instead provide recommendations and guide or facilitate processes. All interviewees indicate that roles have expanded over time as the profession has expanded to meet changing societal needs, goals, and values, and as the public role in planning has expanded. A majority indicate that the planner was initially a designer or visionary who defined what was best for society, either independently or with a group of aristocratic, civic-minded individuals. The role included decision-making and did not allow the public, in general, to be involved in the planning process 3.1. 7.3 Current Planning Literature Serving the public interest is noted by all three professional and academic planning organizations as the primary role and responsibility of the planner (Solin, 1997). Public interest is served by the planner engaging in a multiplicity of roles to aid in creating a better future. Among those indicated are educator, advocate, technician, negotiator, coalition or consensus-builder, advisor, facilitator, and regulator (AP A, 2003a.; Hoch, et al. 2000, p. 3-4, 423, 440-441; Solin, 1997) All three organizations also indicate that the planner is NOT the decision-maker, instead providing recommendations on courses of action and helping communities develop their visions and solve problems (ACSP, 2000, i-ii; Hoch, et al., 2000, p. 440; Solin, 1997, p. 6). The idea of an invisible hand, guiding decisions of others, is however part of the role -176-

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indicated: "Most pJanners would say that their goal is to get planning participants to think more rationally about issues and choose actions that service public interests. This intention. .. means trying to influence people to act differently than they nonnally would: this is the rational for planning ... (Hoch, et al., 2000, p. 439); as is ''visionary and utopian thinking" (P AB, 2001, p. 19). Dual political and technical roles are also frequently mentioned in literature of ACSP, AICP and AP A. ACSP recruitment materials indicate that planners are facilitators, helping communities to meet their needs, and technicians helping to "analyze qualitative and quantitative information to suggest solutions to complex problems" "evaluate cost-effectiveness ofplans"(ACSP, 2000, p. i). AICP certification indicates the dual role in technical competency required in data gathering, analysis, and presentation; research design; and, critical analysis of situations; and, the political ability to communicate and work with people in public processes to aid in negotiation and coalition building (Solin, 1997, p. 22-23). 3.1.7.3.1 Summary of Current Literature All three planning organizations which are responsible for identifying and perpetuating the U.S. planning paradigm indicate that the planner plays multiple roles to serve the public interest. Among roles mentioned are: educator, advocate, technician, negotiator, coalition or consensus-builder, advisor, facilitator, and regulator In general, the planner plays a dual political/technical role which includes such technical activities as gathering and analyzing data; and, the political ability to work within political processes to help communities meet their needs The planner is not the decision-maker in planning processes, but instead facilitates, advises, and -177-

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provides data, analysis, and recommendations. 3.1.7.4 Historical Overview Muhiple roles of the planner are indicated throughout the history of planning: "A competent city planner must be able to coordinate the physical aspects as well as the functions .. making up any scheme of civic development. He must be able to give to the contributions of knowledge coming to the problem from many sources a common language and a unified and worthy expression. .. he must be trained to design. .. able to coordinate the efforts of other specialists in any project of research, teaching or practice" ( qtd in Gaus, 1943, p. 49-50) "City planning is a science and an art concerned primarily with the city's ever-changing pattern. As a pure science it examines causes (history, etiology) and reciprocal influences of man and environment (urban geography and ecology) As applied science it synthesizes these findings ... As an art it utilizes these materials, instructs or organizes citizens, molds events, and thwarts of guides trends to bring about the changes in city design it contemplates." (James Ford qtd. in Lewis, 1949, p 7) "Whatever his professional affiliation, the governmental planner may boast that proud title only if he is at once insightful critic, informed analyst, and ingenious designer of actions programs, in tum aimed by images of social betterment that are built of reason and wisdom." (Webber, 1963, p. 236) ... planning requires collaboration of trained talent, coordination of means, continuing reallocation of resources, full public empowerment and intelligent human subscription-a slow and gradual process whose success depends largely upon education to its human purposes-for layman and planner alike. The planner's role herein is as analyst, creative designer, critic, and coordinator, at the very least." (Hancock, 1967, p 298) Multiplicity may result, in part, from the many professions from underlie the origin of -178-

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planning -lawyers, engineers, architects and landscape architects, and social reformers and subsequent roles of regulation, analyst, designer, and reformer; and, from the comprehensive nature of planning and the subsequent need of the planner to act as coordinator in planning processes. Roles include visionary, educator, and the dual roles of designer/technical analyst or political/technical. Dual roles of designer/technical analyst or dual political /technical roles are noted throughout the history of the profession: "Planning strives hard to be a science but it will always remain fundamentally an art. Which is to say that while the techniques are important and constant improvement is desirable, the personal skill of the planner-of the artist-is paramount..." (Goodman and Fruend, 1968, preface) ... The city planner is not concerned merely with wishing for a better city, but is equally concerned with the administrative steps necessary to bring that better city into being." (Menhinick, 1948, p. 20) although designer and political aspects were de-emphasized in early years to promote the development of technical guidelines and standards of the profession in early years (See section 3.1.9.4)the "science of planning" (Birch,1980, p. 24), and to maintain 'political neutrality' (Birch, 1980, p. 29): The role of designer is indicated to have remained in such varied forms as the development of design regulations, and the creative development of alternatives to solve problems (Burgess, 1997). Political roles are noted as necessary to ensure plans are carried out, to help communities identify and agree upon social and economic goals through facilitation or coordination (Adams, 1954, p. 2; Walker, 1941). The role of advocate for the disadvantaged was formally accepted by the profession in the mid-60s (Birch, 1980, p. 38) A political arm of the profession also developed in the -179-

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1940s and 1950s when ASPO and AlP developed policy papers and began lobbying for planning policies (Birch, 1980, p. 32, 35). Although the planner has often been considered a technical expert or expert advisor (Beauregard, 1989; Birch, 2001; Burgess, 1997, Hancock, 1967, p. 293; Walker, 1941, p. 155}, the planner's role has never been indicated as the decision-maker regarding planning or plans: ... a collective responsibility rests upon citizens of the present generation for making or marring their city's future in countless ways. It is utterly beyond their power, or that of their agents, to discharge that responsibility ... (Olmstead, 1916, p. 3) "It is obviously not the function of city planning to dictate how the residents of the city shall lead their lives. Event though the city planner may disapprove of the things that they value or may place a high value on goals or activities in which the city residents are disinterested, it is not his function to supplant their values with his. (Menhinick, 1948, p. 11): ... The goals themselves, like the actions to be taken to make progress toward them, must in some way represent majority decisions if the plans are to be valid. So the planning professional must be in an advisory relationship to that majority-which means to the part of government that represents it. In drawing the organizational chart, the planner must never be put into position to decide the goals for his planning. To contribute to a decision by analyzing consequences and posing reasonable alternatives, yes. Even to exert the influence of strongly expressions convictions; this, indeed, is a professional duty rather than a mere right. But planning, and the planner, as part of the structure of government, cannot assume authority without violating a fundamental principle (Howard, 1955, p. 64) "One's conclusion as to how far it is desirable to substitute group decisions for individual decisions is closely with one's general attitude toward control and freedom in society as a whole -180-

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I I I I I I I I j I The city p1anner of course is not permitted to decide this question for himself. He must work within the framework of community institutions." (McLean, 1959, p. 16). ... No matter how much information planners collect and organize in their analyses, they rarely make final decisions about problems. In the end, decisions-that is, potential solutions for problems-are made by elected officials, their appointees, agency administrators, or councils. The planner only renders advice to these decision-makers ... (Baum, 1983, p. 4) The planner's role as visionary has; however, been noted since beginning of profession: "City design is an attempt to create a shell favorable to the best life possible. It can succeed only when the city planner tries to fathom and express, .... what the best life possible is, and refuses ..... to let any particular convention of institution stand in the way of his provision for it." (Mumford, 1927, p. 58). "If the planner has a conception of the city that goes beyond the public's present aspirations and goals, he has a prime responsibility to bring an appreciation and an understanding of that conception .... (McLean, 1959, p. 22) ... Implicitly based on a belief in environmental determinism, design ideas led to the self-image of the planner as visionary expert when they were incorporated into city planning. The planner theoretically had both the vision and the expertise to design the ideal city . (Burgess, 1997, p. 92)"With the current development of designed communities, contemporary planning mirrors the profession's late nineteenth century origins" (Burgess, 1997, p. 100) creating a dichotomy between leading or guiding (Webber, 1963), and not being the decision-maker (Adams, 1954, p. 4). This dichotomy is also apparent in discussions of goal formulation where community and political leaders are responsible for -181-

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detennining local goals, yet the profession has nonnative goals which underlie planning processes (See section 3.1.6.5): ... decision-making is the responsibility ofthe client...But if the client is to be better informed in order to arrive at a proper decision, it would seem to place responsibility on the professional planner to participate actively in the determination of objectives as well as in the preparation of specific long-range programs." (Adams, 1954, p. 4) "Policy at this level [goal formulation] is properly the concern of the public and its elected representatives, although the planning agency would provide assistance in proposing and evaluating different sets of policies." (Goodman and Freund, 1968, p. 331). "Most planners would say that their goals is to get planning participants to think more rationally about issues and choose actions that serve public interests ... (Hoch, et al., 2000, P. 439) During the 1950s, the discipline grappled with whether this visionary aspect and potential normative components of this vision should become part of the planning curriculum: "A parallel question is .. whether a planner is supposed to be a 'norm setter' or not.. should the school education have a normative bias ... or should the school expose the student to a continuum of possibilities without any normative suggestions ... (Adams, 1954, p. 52). Beginning in 1959, normative components of planner's professional behavior were the focus of a Code of Ethics developed by the American Institute of Planners to regulate business practices and conduct (Salkin and Whiteley, 2002), and part of the planner's role is to ensure maintenance of respect for the planning process (Solin, 1997, p. 4) -182-

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Educator was also mentioned as a role of the planner throughout planning history although the conception and goals of education varied. Focus was initially on providing publicity for planning (Wacker, 1913), "arousing public interest" (Brunner, 1912, p. 26) and subsequent financial support (Nolen, 1921) through the presentation to the public of plans and planning goals (Ackerman, 1915; Olmstead, 1911; Olmstead, 1913). "We must cultivate in our own minds and in the minds of the people the conception of a city plan as a devise or piece of administration machinery for preparing., and keeping constantly up to date, a unified forecast and definition of all important changes, additions and extensions of the physical equipment and arrangement of the city which a sound judgment holds likely to become desirable and practicable in the course oftime ... (Olmstead, 1911, p. 12) In addition; a number of planners indicated the need to educate citizens regarding concepts of a better future, the meaning of citizen-participation, and the qualities of a good city: "If it be true that we have a definite ideal which we have failed to adequately express in our institutions and in our physical surroundings ... education is the foundation upon which we must build ... (Ackennan, 1915, p. 113) ... There should be direct education in city planning, especially as related to local problems. But also, broad education in art and good taste, design, composition, aesthetics and beauty, .. (Nolen, 1921, p. 171) Education efforts have expanded more recently to focus on improving understanding of the planning process, and to increase and facilitate public participation (Goodman and Freund, 1968, eds.). Although many roles of the planner have been described through time, underlying all -183-

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roles is the conception that the planner is primarily a public servant who meets the needs of the public by engaging in various roles prescnood by society, the profession, or the particular planning problem: "Our philosophy of planning does not bestow on us the right or duty to impose a bright new world upon our own or other peoples. It does place upon us the responsibility to put our 'art and science of city, regional, state, and national planning' at the service of our society ... we most firmly believe that our own particular professional skills, imperfect as they may be, are an essential aid to the various levels of government in our country, in their services to society, toward providing a physical environment within which every individual may more fully enjoy life, liberty, and the pursuit of happiness (Howard, 1955, p. 65) ... one of the things that the city planner can do most successfully in the smaller city is to become a sensitive and skillful instrument to interpret to the community its own ideals and its own tradition, and to bring out its individuality ... (Crane, 1928, p. 112); and, who works towards creating a better future: "The importance of vision in planning education : the ability to understand society and to conceptualize grand designs should remain part of planning education .... If we train public versions of corporate managers, planners will perform competently the difficult tasks of managing the present But without a critical understanding of their function in society, they will not contribute much to a better future ... (Sarbib, 1983, p. 81) 3.1.7.5 Traditional Role The planner is a public servant who is also an 'invisible hand' working towards a better future through application of multiple roles containing design, technical, and political aspects. The technical role focuses on gathering, analyzing. and communicating data; and, the political role includes acting as coordinator/facilitator, -184-

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consensus-builder, negotiator/mediator, or advocate who is responsible for bringing together diverse professions or publics and aiding in communication among them. The role of the planner is never noted to be that of a decision-maker; however, the planner's role is to aid the public or elected officials in making better decisions in the public interest for a better future. Acting as a visionary is also part of the traditional role of the planner. Education of the public regarding the "planning paradigm", although not mentioned by a majority of interviewees has historically been indicated as one of the planner's roles and is also noted in recent planning literature. -185-

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3.1.8 Characteristics of Planners "Students that come into the profession are typically self-selected because they feel that what they see or what they experience out there in the real world in the towns and connnunities in which they grew up or lived isn't right.. .could be better and so they want to help change that" (RR) .. 1 think that connnunication skills are hugely important, maybe the most important of all and this means both clear writing, but also the ability to connnunicate at different registers, that is, different levels for different groups-not to dumb down, but to be heard and to hear, so, connnunication then is two-way here ... (DH) This section provides discussion of the characteristics of planners as informed by interviewees followed by "validation" by current literature, followed by archival analysis to determine which characteristics are traditionally those of the planner. 3.1.8.1 Interviews Interviewee transcripts were first reviewed for responses to the question, "What are the most important characteristics and/or skills of a planner?", followed by review of each transcript for statements made in other portions of the interview regarding characteristics of the planner Most characteristics were derived from the general review of transcripts, as interviewees tended to respond to the question with discussion of skills, rather than characteristics of the planner Eleven interviewees provided connnents on planner characteristics. Figure 3-5 indicates the frequency of most often mentioned planner characteristics. -186-

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I -OQ -....} I Percentage at Interviewees Figure 3-5. U.S. Planner Characteristics (n=11) 1 00 II Number of interviewees 64 64 50 0 S'..;:) gs "0 ,<::-':1'. J> e:;0 0 rF ,}' 00"/::, sf''

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Good communicator or listener was noted by 7 (64%) interviewees as the most important characteristic of a planner: ... planners, nwnber I, have to be very good communicators, both written and verbally. Verbally, in terms of when they are at a public meeting and know how to both read the attendees and also know how to communicate what they are trying to say ... (BG) ... The most effective planners are the ones who can listen to techniques and solutions from people that are in the community ... (VD) One interviewee stated that if" You cannot communicate. You cannot be a planner." The importance of communication is noted primarily in relation to the public planning process and accurately communicating ideas, for promoting positive interpersonal relations, and understanding the values, goals, and potential solutions to problems perceived by the public. Being proactive toward change was also mentioned by seven interviewees as an important characteristic of a planner. Change is circumscribed by values and goals of the profession, and links to normative and change-oriented characteristics of the profession (See sections 3.1.13.1.3 and 3.1.13.1.5). Several respondents indicate that there is an "is" and an "ought" and the planner is involved in working towards the "ought". To do this, a planner cannot be a ''wallflower'', but must sometimes work around bureaucracies, build coalitions, and advocate for the disadvantaged, orchestrate planning processes, mobilize resources, and inspire or empower. Four indicated that the planner should "inspire", "empower'', "be excited", or have "passion" in thinking about the future, and in planning processes: -188-

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" .. .1 think the people that practice planning tend to have a passion to see things the way they are and want them to be better. I think that their feelings and emotions are very strong. They're willing to accept lower saJaries for a longer period of time with the return being to see things for them or their children better .... (RR) Four noted the importance of self-confidence, assertiveness, or persuasiveness, as important to the pJanner in planning processes. Having a "balanced view of stakeholders", ''not biasing", "having an image of objectivity", or ''being value-neutral" in the process is indicated by four interviewees, This character reflects the technical role of the planner, but also the goal of including a broad and diverse public in planning. Being "neighborly'', "empathetic", or "human" is also noted as an important characteristic by four interviewees. Ability to deal with politics is another characteristic noted by three respondents and is reflective of the political aspect of the discipline. The comprehensive nature of the field (See section 3 .1.13 .1. 4) is expressed in a characteristic noted by one individual that the planner must be "renaissance" in outlook, and "deep and wide". Three indicated that the planner must be a life-long learner, and willing to keep up to date with the field, indicating both comprehensiveness and its expanding and evolving nature. Two also indicate that a planner must be a "team-player" due to the coordination of many fields and the many actors involved in planning. Two additionally note the importance of an "open-mind" as a characteristic of the planner in promoting discussions of both problems and solutions in planning: ... planners ought to be willing to have an openness that is not just a -189-

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token, but a true openness to listening to people ... (RW) Additional characteristics noted by two interviewees or less are those of being humble, honest, respectful, adaptable, liberal, and enjoy problem-solving. Two respondents also indicated that characteristics depend on the role the planner plays. Two respondents noted that characteristics have changed over time. Several respondents noted that historically, planners tended to be arrogant, but were broad thinkers with a vision. Political skill was needed with regards to gaining support of community leaders for city and landscape plans, but there was no need to understand the diversity of opinions in the community : "The Planner in the 1930s, he was sort of aristocratic, arrogant, exceedingly self confident. Believed absolutely in the role of government in organizing all kinds of activities and now planners tend to be tentative, consensus builders, less interested in promoting their own views and more interest in sort of facilitating processes (U S planning professor) 3.1.8.2 Normative Views of Planner's Characteristics Two characteristics are noted by a majority of interviewees as being important for a planner: 1) Good communicator or listener Importance of communication is noted primarily in relation to the public planning process and accurately expressing community ideas, promoting positive interpersonal relations, and understanding the values, goals and potential solutions to problems perceived by the public. 2) Being proactive towards change. Importance of this characteristic is noted in relation to the normative stance of the profession towards creating a better future and -190-

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moving from ''what is" to ''what ought to be." To do this, a planner cannot be a wallflower, but must sometimes work around bureaucracies, build coalitions, advocate for the disadvantage, orchestrate planning processes, mobilize resources, and inspire or empower. 3.1.8.3 Current Planning Literature The proactive nature of the planner is indicated as an important characteristic in statements regarding the advocacy role ofthe planner and the planner's interest in change. ACSP recruitment materials indicate that an individual who is interested in change, in working with others to "develop a better community'', and in thinking about ''what could be, rather than what is", is a good candidate for the planning profession. AICP Ethical Planning Principles indicate that planner must "strive to expand choice and opportunity for all persons" and ''urge the alteration of policies" which adversely affect disadvantaged people (Solin, 1997, p. 6). This proactivity is coupled with the ability to act powerfully, influence and persuade people, promote plans, and to "see things through to completion" or persevere (Hoch, et al., 2000, p 449, 450, 457; Frank, 2002). Proactivity is noted to be motivated by another characteristic of the planner-an interest in public service, rather than serving self-interests (Solin,1997). Ability to work with and communicate with a diverse group of people is also indicated as an important characteristic of a planner in ACSP recruitment materials and curriculum, and AICP' s guidelines for professional practice. Sensitivity to values of community members in planning processes is noted as an important characteristic of the planner (PAB, 2001, p. 20), as well as, respect for diversity of opinions, fairness, and lack of discrimination (PAB, 2001, p. 6-7). Ability to accurately communicate ideas and technical knowledge is emphasized in AICP ethics. -191-

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AICP Code of Ethics focus on ethical characteristics of the p1anner. The Code states that the planner should have integrity, honesty, respect for alternative viewpoints serve the public interest, be a life-long learner, diligent, conscientious, creative and independent in working for a client. AICP technical standards indicate that when acting as an "expert" the planner should be "objective, :factual and dispassionate"; disagreements between planners should "stem only from objectively determined differences in professional judgement and opinion."; and, advocacy must be based on "objective professional analysis" (Solin, 1997, p. 18). An additional characteristic stated in current planning literature is enjoyment of complex problem-solving (ACSP). 3.1.8.3.1 Summary Review of current planning literature corroborates the two characteristics of planners noted by a majority of interviewees-proactivity and good communication Proactivity is oriented towards public interest, not self-serving, and requires perseverance, persuasion and the ability to intervene. Good communication involves both the ability to accurately communicate ideas and technical knowledge; and to work with a diverse group of people with respect, fairness, lack of discrimination and sensitivity. Additional characteristics noted in current planning literature which are also indicated by one or more interviewees are: ethical behavior including integrity and honesty; diligence and conscientiousness; creativity and independence; the ability to be objective or dispassionate; enjoyment of problem solving; and, a life-long learner. 3.1.8.4 Historical Overview "Wisdom of Solomon, the heart of a prophet, the patience of Job, and the hide of a rhinoceros ... (Hancock, 1967 p. 298) -192-

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''foresight; social consciousness, ability to analyze broad situations and to synthesize multitudinous details in order to grasp common elements; the broadest sort of imagination and interests; and the ability to engage in constructive and creative efforts involving relationships between the problems and :fuctors of modem living ... (Adams, 1947, p. 8) Proactivity towards bringing into being a better future is a characteristic of the planner which has been noted as important since inception of the discipline: "The first step in successful city planning it seems to me, is to become enthusiastically devoted to an ideal, to hold that ideal always before us and to strive constantly to spread among our men and women a belief in it..." (Wacker, 1913, p. 225) "City design is an attempt to create a shell favorable to the best life possible. It can succeed only when the city planner tries to fathom and express .... what the best life possible is, and refuses ..... to let any particular convention of institution stand in the way of his provision for it." (Mumford, 1927, P. 58). ... we must look ahead as far as we can see clearly, and perhaps a little farther ... our responsibility to serve as the binoculars of the community, to raise its sights ... (Howard, 1955, p. 64) ... The city planners who have earned our highest respect are those whose visions of betterment became epidemic in their communities, raising civic aspirations and forcing solutions of specific problems to be sought within the larger and longer-term policy frameworks they helped establish ... (Webber, 1963, p. 238) Along with this proactivity, is social responsibility (Adams, 1947; Baum, 1983; Perloff, 1957, p. 40; Webber, 1963), noted from early times. The planner should be interested in serving the public interest, rather than serving self-interests: -193-

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''If we could demonstrate to the student that his ideal ofhDerty, when expressed in terms of community life, means a subordination of selfinterest; that it is alone through the acceptance of such an idea that he who lives in a community can actually possess in the concrete that liberty which he assumes the Constitution to give him; if we can give up a sufficient number of our theorems and our formulas to find time for such things, then we shall have established the solid foundation upon which city planning must stand if it is to be other than an empty phrase ... (Ackerman, 1915, p. 116) "The contemporary planners inherit a proud tradition of service, an egalitarian ethic, and a pragmatic orientation to betterment that are as old as the early social reform movements that spawned the profession ... (Webber, 1963, p. 241) Perseverance (So, et al., 1979, p. 20; Wacker, 1913, p. 234) and patience (Hancock, 1967, p. 298; Nolen, 1921; Sarbib, 1983, p. 80; So and Getzels, 1988, p. 16), self confidence and assertiveness (Wacker, 1913, p. 223, 225, 226) are also noted as characteristics important to the success of planning. Ability to think holistically or broadly is also a characteristic of the planner noted through time (Adams, 1954, p. 4; Burgess, 1997, p. 97; Ozawa and Seltzer, 1999; So and Getzels, 1988, p. 16; Webber, 1963, p. 238; ), indicating the comprehensive nature of the planning field: ... A city planner is necessarily a broad-minded man who understand how all the requirements of the community must be considered together in making one workable scheme. He also has the technique to record this scheme in words or on plans ... (Adams, 1954, p. 3) "The planners have long occupied a uniquely important position in local government, having been the custodians of the holistic view and the utopian tradition ... (Webber, 1963 p. 238) ''Planners ... balancing a loyalty to localism and to decisions that -194-

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originate among those who are closest to the problem with a loyalty to coordination and to decisions that span all parts of the problem. .. (So and Getzels, 1988, p. 514) Communication has always important part of the planning profession (Adams, 1954, p. 20; Ozawa and Sehzer, 1999, p.261), although initially focusing on the planner's ability to "sell" planning through public presentations (Bartholomew, 1931; Nolen, 1921; Overstreet, 1928; Wacker, 1913): ... To my mind, the American who is devoted to having his home city developed in accordance with the best ideals, and who determines to do pioneer work in city planning, must be an exhorter. He must being with an appeal to the best instincts of the citizens of his city, and win them to his standard by sound, logical, and intelligent arguments ... ".(Wacker, 1913, p. 223-224) "The city planner is not a professional publicity man, and he is not usually a citizen of the city for which the plan is prepared. It is not likely that he has any marked ability as an nor that the city plan commission would welcome his participation in local politics It would seem, therefore that his contribution would naturally be limited to the preparation, in as popular a form as possible, of his plans and reports, together with a personal and effective presentation of those plans and reports to the public ... (Nolen, 1921, p. 172) "Local planning, although basically a technical process, depends in large part of its effectiveness on the attention paid to its relations with the public ... The presentation of plans, the communication of planning ideas, the education of people concerned with specific problems-all these are aspects of the relations ofboth the local planning agency and the planner with the public ... (Goodman and Freund, 1968, p.564); and, coordination and communication among the many disciplines involved in planning (Gaus, 1943, p. 49). Although the ability to also listen was mentioned in the late 1920s, it was not until -195-

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the 1960s that this aspect of communication was considered an important characteristic of the planner: .. .It strikes me that a good deal of city planning publicity work and what is termed public education is unconsciously aimed at cudgeling the public into an acceptance of the city planner's theories of what the city should become and of the means to attain that end. The converse of this point of view is in reality more nearly sound. The 'publicity' campaign should be aimed to arouse the citizenship to a free consideration of the city's destinies and problems and the city planner should properly be sensitive and responsive to the townspeople's own ambitions and ideaJs and not solely to his own." (Crane, 1928, p. 102) Life-long learner is also indicated as a characteristic of the planner noted historically (Perloff, 1957, p. 51). 3.1.8.4.1 Dualisms Several dualisms are noted in characteristics of the planner which relate, in part, to the dualism existed in the roles planners play such as technical/politician, and analyst/artist (See 3 .1. 7. 4): "A rational balance does not require a choice between inordinate faith in computer products and strictly neutral intuitive decision making ... The most rational rationality is leavened with emotion." (So, et al. 1979, p 509) ... the city planner's realistic idealism, his orientation to the whole city, and his focus upon future conditions have placed him in a position of intellectual leadership ... (Webber, 1963, p. 238) Ability to engage in rational, technical analysis (Baum, 1983) is complemented by the ability to be imaginative, artistic, and creative (Adams, 1954; Baum, 1983; -196-

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Burgess, 1997 Perloff, 1957; Webber, 1963). Optimism, enthusiasm, inspiration, and idealism (Burgess, 1997, p. 98; Howard, 1955, p. 62, Ozawa and Seltzer, 1999, p. 264; Wacker, 1913, p 234; Webber, 1963, p. 238): "Optimism is another elemental necessity. Have the pessimists ever accomplished any very constructive work? Is it a sign of strength to doubt your own power and your own responsibilities? The optimist is the man who pushes forward himself: his business, and his community." (Wacker, 1913, p. 234) "Of course we must design beautiful cities, and we must dream great dreams of the future, otherwise there is no reason or excuse for our profession ... (Brunner, 1912, P. 25) are tempered with the somewhat juxtaposed characteristics of pragmatism, realism, and problem-solving ability (Baum, 1983, p. 144; Brunner, 1912, p 23; Burgess, 1997, p.98; Hancock, 1967, p 301; Olmstead, 1910, p 15; Perloff, 1957; So, et al., 1979, p. 7; Webber, 1963): ... The governmental planner may boast that proud title only if he is at once insightful critic, informed analyst, and ingenious designer of action programs, in turn aimed by images of social betterment that are built of reason and wisdom." (Webber, 1963, p. 236) "; .. A constructive imagination, a :fine sense of form, color, and composition are absolutely necessary, besides a knowledge of the complicated practical problems that present themselves ... (Brunner, 1912, p. 25) Empathy (Goodman and Freund, 1968, p. 565), and sensitivity (Baum, 1983; Goodman and Freund, 1968) are balanced with the ability to be objective, neutral, dispassionate, calm (Galloway, p. 28-29; So, et al. 1979): -197-

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"As an advisor and arbiter at public hearings, his [the planner] public relations ability must be at its best. Objectivity and impartiality, supplemented by tact, are essential ingredients." (Goodman and Freund, 1968, p. 571) Although indicated as a public servant, leadership is noted to be a characteristic by several authors as important to the success of the plan (Ozawa and Seltzer, 1999, p. 264; So, et al., 1979, p. 8; Webber, 1963, p. 238). Beginning in the 1950s, humility/ modesty were also noted as important (Perlofl: 1957; Sarbib, 1983) to ensure that planner did not usurp other creative solutions, and oversell the successes of planning (So, et al., 1979, p. 20): . their social science training would establish the basis of a scientific kind of politics, but their personal qualities (humility, patience, foresight) would prevent them from usurping the traditional decision making functions in a democracy on the basis of technical expertise (Sarbib, 1983, p. 80) 3.1.8.5 Traditional Characteristics of the Planner The planner is a proactive individual, serving the public rather than self-interest to create a better future This proactive nature may require building coalitions, inspiring, empowering, persuading, orchestrating processes, and more recently-advocating for the disadvantaged. Enthusiasm, optimism, inspiration, perseverance self-confidence and assertiveness, are important characteristics of the planner which aid in supporting this proactivity. Ability to effectively communicate with a diversity of groups, ranging from a variety of professions to a diverse public is important for the success of planning and of the planner. This communication has always included persuasion, accurate presentation of technical information, and translation among disciplines of planning ideas. More recently, the ability to aid in negotiation has become important. The planner must be -198-

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able to think holistically and broadly to envision solutions to problems, and to communicate effectively with the broad range of disciplines involved in solving the multidisciplinary problems in planning. Perseverance is also indicated in both current and historical literature as an important characteristic. Several dualisms noted in characteristics of the planner which relate to the artistic/analyst and technical/political roles of the planner are apparent from interviews and literature reviews. The planner is creative and visionary, but at the same time, pragmatic and practical. Since the 1960s, literature indicates the planner must have the ability to be neutral and dispassionate, but at the same time to empathize and be sensitive to those involved in the planning process The Code ofEthics, although not existing in its current form until1992, includes additional characteristics of the planner which underlie ethical behavior in the profession and include: honesty, integrity, fairness, and respect. Additional characteristics of the planner noted since the 1950s are life-long learner, humility and modesty -199-

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3.1.9 Planner's Knowledge/Skills "Planning requires brilliance and it requires people to be renaissance in their outlook. We have to be deep and wide like the Mississippi and too many of us are like the South P1atte." (TC) ... because of the nature of the people who started it, and the complexity of cities, its important to understand legal issues, physical design and p1anning issues, social and economic issues ... (VD) ... the students don't understand the value of theory until they're out ofhere .. that's the underpinning of why they're doing things .. What good are all these skills if you have no theory that links them together. You don't understand why you're doing this ... (AK) This section provides discussion of the knowledge and skills of the planning discipline as informed by interviewees, followed by "validation" by current literature, and archival analysis to detennine which knowledge and skills are traditionally part of the field: 3.1.9.1 Interviews Interviewee transcripts were first reviewed for responses to the question, "What are the most important subjects to be taught?" and/or ''What is the most important knowledge for a planner to have?", followed by review of each transcript for statements made in other portions of the interview regarding planner's knowledge and skills. Twelve interviewees discussed knowledge and skills, which can be placed in four general categories: 1) planning specific knowledge (planning theory, planning history, planning law, p1anning processes, current planning), 2) technical skills for rational decision-making or critical analysis (e.g., graphic representation, statistics, projects, quant/qual analysis), 3) skills for participatory/public process (e.g., -200-

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connnunication; :facilitation; public presentations), and 4) substantive knowledge (e.g., social science, economics, political science, environment/land-use/resources). Figure 3.6 indicates the frequency with which these knowledge areas were indicated by interviewees. Twelve interviewees mentioned technical skills, and p1anningspecific knowledge. Eleven respondents (92%) indicate that planners need knowledge in each of these four general areas. Specific skills and knowledge mentioned by respondents are shown in Figure 3. 7. Knowledge and skills discussed by respondents reflect the interdisciplinary and comprehensive characteristics of the profession, its physical basis (GIS, graphical skills), orientation towards local, public interest (participatory process), and the legal framework of the discipline (See section 3 1.13) The most frequently noted skill, indicated by 8 ( 67%) of interviewees, is G.I. S and other graphic/spatial representation and analysis (e.g., reading maps, ) reflecting the physical basis of the field. Understanding of planning iheory is the most frequently noted type of knowledge needed by planners, indicated by 10 (83%). The response by all interviewees that some type of planning-specific knowledge is necessary to a planner's education, indicates that a planning paradigm exists, and the planning field is not just an eclectic combination of knowledge from other fields. -201-

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I N t:3 I Figure 3-6. U.S. Planning Knowledge Areas (n=12) 100 100 50 0 100 "rzf; .C":i 't-.
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I N 0 w I Figure 3-7. U.S. Planner's Knowledge/Skills(n=12) [i?ercentage of interviewees a Number of interviewees I 100 I 83 58 50 0 Ot::-r$ -$-0, "0 rJ> <:'' /,& Q.. t:-0 0o v e;..S Cj 'f:f.;:j 'lt<:'-v 42 42 42 & ri'C:j Q..o &o "fl) Q..''b' Q..'q,<:'-Q..<..04i

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3.1.9.1.1 Planning-specific Knowledge ... we really do believe you can't practice without theory. In fact, nobody does practice without theory and so, we want people to be really conscious ofwbat that theory is ... We want to have really transparent theoretical groundings for what we're doing, and what we're analyzing, what we're seeing ... (CI) Ten respondents (83%) indicate that planning theory is important. Theory focuses on process, roles, goals, ethics, and values in planning. Four interviewees mentioned that acting without theory; a planner potentially works without understanding the underlying theory of the discipline, biases in existing power structures (e.g planning commission), and personal ideologies or biases which may result in a mismatch between the planner's and constituent's approaches in the planning process or result in Jack of "transparency'' in the planning process ... Understanding those different models and theoretical frameworks are important for, sort of, analyzing a job situation or setting to think about. . how could I make some interpretation of why something is working or not working, or how come these people are having different views about what the role of this agency is ... one might view their role as a technical expert and somebody else might view their role as sort of more of a collaborative, and someone else might view themselves as more of an advocacy type of person . you can't understand why you're not solving the problem and maybe part of it is understanding the people and how they view the profession differently ... (RM) Planning law is mentioned by 6 respondents as important knowledge. Planning history/traditions, and current or physical planning are mentioned by 5 respondents each (42%) One respondent indicated that knowledge of successful planning solutions in the past would aid to solving current problems. Current planning and planning law provide the statutory and regulatory framework for planning interventions, and tools, methods, and procedure utilized primarily to shape the local -204-

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urban environment for the protection of the public health, safety, welfilre within legal and political boundaries. 3.1.9.1.2 Public Skills ''Unfortunately there are planners that try that approach of telling people what to do instead of listening ... The most effective planners are the ones who can listen to techniques and solutions from people that are in the community ... (VD) Skills related to working with the public and political structures in planning processes are indicated as important knowledge by 11 interviewees Communication and facilitation are most frequently mentioned skills, both by 7 interviewees. Both are needed to engage the public in the planning process, guide the public through the planning process, develop dialogue with the public, resolve conflicts, include local knowledge in the planning process, develop collective analysis of problems and solutions in public arena, develop consensus, and mediate between different stakeholder groups. Communication skills needed are indicated to be both written and verbal. Four particularly note the importance of skills in oral and graphic presentation to clearly present ideas, as well as to ensure accurate transmission of technical knowledge. One interviewee mentions the need for planners to be able to "think on their feet and be able to answer questions ... Seven respondents indicated the importance of citizen-defined goals in development of plans; and, the ability of the planner to know how to: 1) understand local issues, 2) elicit and communicate local knowledge, issues and values; and, 3)resolve conflicts: -205-

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" ... planning allows a connection when it's done right--if it's community-based planning, in my estimation, between one version of knowledge which is highly schooled and institutionalized in formal ways, with vernacular knowledge and the wisdom that comes from being in a space over time, and across generations that isn't all dressed up the same way. What it allows people to do is to take their vernacular knowledge, and refashion it so that it can be used effectively in public discourse and in public struggle over land-use, over access to resources, over the simple question of what is enough ... (DH) ... know how to both read the attendees and also know how to communicate what they are trying to say ... and [what] the planning and administrators are trying to portray to the community .... (BG) In addition, interpersonal relations and/or the ability to work on a team are noted as important by four interviewees: ... interpersonal communications ... how you deal with citizens .. and knowing how to interact with other human beings is critical . (BG) One area in which two respondents noted knowledge and tools of the field are insufficient is in the area of constructively including public emotions or values in the planning process: ... we need to able to acknowledge emotion and engage emotion, recognize that emotion is part of the way in which we absorb experience, and assess and analyze it. We don't just do it in our heads ... collective analysis that's truly participatory has to allow for emotional analysis ... The problem is, I think we ... generate processes that elicit tremendous emotional response without sufficient skill in being able to work through that response to productive outcomes ... (CI) ... making values explicit and learning to do that.. .developing tools for exploring values and not shying away from that as a question is -206-

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important. This has turned out to be the most difficult thing I'm doing in the comse I'm teaching now ... (MH) In addition to communication and facilitation six interviewees indicate that political knowledge and skills ( e .. g., how to work around bureaucratic structures and with politicians, how to influence decision-making, understanding the political context of planning situations) are needed by a planner to effectively work at the interface between the public, public officials, and administrators in carrying out planning processes in the public interest: ... being able to sort ofunderstand and analyze ... situations so they can think about some of the power issues involved and how it relates to public involvement processes or institutional issues ... (RM) . being part of that political process is important, and this of course means that they've got to understand values of the citizens in the community, and the differing values. They've got to be aware of issues where different groups are really in contention with each other, whether it's for jobs or a place to get housing . (VD) One interviewee noted; however, that teaching skills in this area is not welldeveloped in the planning discipline. Theory courses do; however, touch on related ideas such as power relations, and theoretical bases for planning. 3.1.9.1.3 Substantive Areas .. Ifyou think of planning as different elements, you should know something about the social processes in a community ... about the physical environment ... about economics of a community. I think you should know something about fulfilling the needs of the citizens, whether that be housing, or employment or social needs or psychological needs-relative to what a community can do ... (BG) Knowledge/skills in social science issues/analysis, economic analysis, and land-207-

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use/environmentaVnatural resources were each noted by 6 respondents, reflecting the comprehensive and interdisciplinary nature of the field. Respondents indicate the importance of having general knowledge in these broad areas to conduct planning processes, and to develop comprehensive plans. Planning processes, in general, include the analysis of present socioeconomic conditions, land-use patterns, and so on, prior to setting goals for the future. Training in these subject areas also provides tools of analysis for future economic, and environmental goals. Regarding substantive areas in which planner's knowledge is deficient, two interviewees indicate that knowledge of economics is generally lacking. Economic development is also noted as a fairly new and active focus of the planning field. Comprehensive plan development requires analysis of diverse elements including: transportation, land-use, urban design, open-space, historic preservation, economics, and demographics. Respondents at fifty percent of schools interviewed indicated that preparation of comprehensive plans is an important part of a student's training and knowledge. Six interviewees indicate that planners often obtain additional tools and methods in a particular substantive planning area by specializing in social planning, economic planning, transportation planning, environmental planning, or urban design. Five interviewees indicate that understanding of interrelationships between substantive areas is also necessary: "I think that being able to understand the dynamic and interactive relationship between people and natural systems are important. .. (DH) -208-

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" ... You can't talk about physical systems independent of their economic impacts. You can't talk about either of those things unless you talk about the social outcomes that are associated with them. .. planning is comprehensive ... (RS) 3.1.9.1.4 Technical Skills ... skills as a planner relative to helping you to make rational decisions-whatever skill it takes to help you make that rational decision, so it might be quantitative, or it might be qualitative or it might be perception, then those are the skills, or it might be GIS or remote sensing. Whatever skill you need to help you make a rational decision is the skill that the pJanner needs at that point in time ... (BG) All interviewees mention the importance of technical skills as part of the planner's training. These skills focus primarily on gathering, manipulating, and analyzing data. Specifically mentioned are: GIS; map development and interpretation; remote sensing; statistics including multivariate analysis; economic and demographic forecasting; and, general research skills in "quantitative and qualitative analysis". Several mentioned that these skills support the rational decision-making framework of planning. Five indicate that not only data gathering and analysis are important, but the ability to critically analyze information gathered: .. .I think sometimes too much emphasis on research methods as statistics .. .! think it's almost more important they understand the formulation of research problems and how research and information supports decision-making or doesn't support it and being able to look critically at information ... (RM) Critical analysis relates to questioning the way in which the problem is defined, biases that are inherent in the process, and limitations in data sources which are used in defining and solving problems: -209-

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" ... what we know is what we see and what we see is dependent on information available to us .... students need to understand that data are horse-blinders to the extent that the very act of deciding what it is we tabu1ate carries with it an opportunity cost because we don't tabulate something else ... we may not have the whole picture revealed in the major, primary data sources which are largely federal ... (TC) 3.1.9.2 Nonnative View of Knowledge and Skills Needed by Planners Four primary areas of knowledge and skills are noted by a majority of interviewees as needed by planners.: Q 1) Planning specific knowledge (i.e., planning theory, planning history, planning law, planning process, current planning). Q 2) Technical skills for rational decision-making or critical analysis (i.e., graphic representation, statistics) Q 3) Skills for participatory/public process (i.e., communication, facilitation, public presentations, team work); Q 4) Substantive knowledge (e.g., social science, economics, political science, environment/land-use' resources). Most frequently mentioned specific areas of knowledge are GIS and other forms of graphical/spatial representation and analysis, and understanding of planning theory. Planning theory focuses on process, roles, goals, ethics, and values in planning. Also mentioned by a majority of interviewees are communication and facilitation skills which are both needed to guide the public through the planning process. Planners need both written and verbal communication skills to clearly and accurately transmit -210-

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I I I I I I I I I information. In addition, the planner needs to know how to understand local issues, elicit and communicate local knowledge issues and values, and resolve conflicts. 3.1.9.3 Current Literature Competency areas are a large focus of both planning accreditation (P AB, 200 I), and certification of professional planners (Solin, I997). The following sections provide sunnnaried of these knowledge areas identified by PAB and AICP, respectively. 3.1.9.3.1 Planning Accreditation P AB accreditation guidelines (P AB, 200 I) divide knowledge and skills needed by planning programs into ten main areas: I) structure and functions of urban settlements 2) history and theory of planning processes and practices 3) administrative, legal and political aspects of plan-making and policy implementation 4) specialty area 5) problem formulation, research skills and data gathering 6) quantitative analysis and computers 7) communication 8) collaboration 9) applied knowledge I 0) values and ethics The four general categories of knowledge identified by interviewees are indicated in these 12 areas. Planning-specific components mentioned by both interviewees and P AB curriculum include history and theory of planning, current planning, planning -211-

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law, planning processes, and planning values and ethics. Substantive knowledge is indicated through specialty areas listed in the curriculwn guide. Areas listed which concurred with those listed by interviewees include economic development, urban environment, and transportation. Lacking in PAB-defined specialty areas; however, is a focus on social science. Public skills of teamwork, mediation, negotiation, public speaking, written and visual communication, collaboration, and knowledge of political behavior, are noted by both interviewees and PAB. One area discussed by interviewees which were not included in P AB guidelines is the ability of the planner to understand local issues and to elicit and communicate local knowledge. Technical skills included in both the P AB curriculum and noted by interviewees are those of gathering, manipulating, representing and analyzing data Specifically mentioned in both cases are statistics, and general research skills in quantitative analysis and qualitative analysis. 3.1.9.3.2 Planning Certification The AICP Exam presents 6 areas of competency for planners: 1) history, theory, and law, 2) planning futures, 3) plan making, 4) functional topics, 5) plan implementation, 6) public interest, social justice, code of ethics. Subject areas parallel the four areas identified by interviewees. Planning-specific knowledge which is noted to be on the exam and is also identified by interviewees includes planning history, planning theory, planning processes, planning law, current planning, and planning ethics. Substantive knowledge noted by -212-

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both interviewees and in the AICP exam is economic development and natural resources/environmental quality. Lacking is a focus on social sciences, and political science. Technical skills noted in both include data gathering and analysis, demographics, quantitative and qualitative analysis, and computer applications. Ability to read and measure maps, and competency in GIS are also noted. Public skills noted which were mentioned by both interviewees and in the AI CP exam include public participation, negotiation and coalition building, and public presentations. Communication skills are indicated in the technical standards portion of the professional guide: "the certified planner must communicate (in narrative, quantitative, and/or graphic form) each finding, opinion, and recommendation in a fair manner that is not likely to mislead any future user of the work product." (Solin, 1997, p 16). Teamwork, and ability to elicit local information are not specifically mentioned in the AICP professional standards. (Solin, 1997, p. 22-23). Additional areas noted in the exam guidelines which were not emphasized by interviewees include historic preservation, urban design, infrastructure and energy, budgets, project and program review. 3.1.9.3.3 Summary The four general knowledge and skills areas identified by interviewees as needed by planners are also indicated in curriculum and certification guidelines of the planning profession and discipline: I) planning-specific knowledge including planning law, planning history, current planning, planning theory, and planning ethics; 2) technical -213-

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skills including GIS, map analysis, and graphic presentations, research problems formulation, data collection and analysis-particularly quantitative analysis; 3) substantive or specialty knowledge, although social science and political science are not included in AICP competency areas or suggested substantive areas ofP AB; and, 4) public skills--in particular, facilitating public participation, negotiating, and providing public presentations. 3.1.9.4 Historical Overview Two major periods of curriculum development in planning are indicated by the historical literature: 1900-1950, and 1950-present. The first period focused primarily on technical design standards for physical planning of the city and the development of master plans for cities. The second period focused on the comprehensive nature of planning; and, planning as a process and a discipline with theories and history, with an expanding focus on public involvement in planning, and an political and administrative function. Planning curriculum and academic programs have evolved in accordance with changes in the field. All respondents noted the evolutionary nature of the field, and provided statements indicating that old features of the discipline were retained as new tools and subjects were added. Perloff(I957) noted this evolutionary aspect of planning in response to changes in social attitudes, ideas, and the scope of government: ... city planning in the United States has developed through a series of additions and extensions, continually absorbing new techniques and adding new tasks. This absorptive quality has been true of planning education as well." (Perloff, 1957, p. 18). Accreditation of planning programs has only been formalized since 1984 (Birch, -214-

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2001, p. 414). Prior to the 1950s, planning curriculum varied from university to university: ... The planning concept has not yet been brought into a systematic form. Students of the subject follow various approaches and formulate different institutional patterns ... (qtd. in Walker, 1941, p. 217). Current curricula aJso contain flexibility (PAB, 2001, p.20); however, as previously discussed, core areas have been identified which should be included in a planner's education. Early education focused primarily on developing and transmitting technical standards of city planning, and design of master plans within programs in landscape architecture, architecture, civil engineering, sociology, government, and art (Adams and Hodge, 1967, p. 48; Eliot, 1925; Robinson, 1913). Education was primarily an "extension of planning practice" taught by architects, landscape architects or engineers (Perlofl: 1957, p. 21). When the first school of city planning was formed in 1928, focus continued on physical and design aspects of planning. Two primary areas of expertise: 1) design; and 2) coordination of other specialists (Gaus, 1943, p. 5) were indicated as the core foci of planning education at a "conference" on instruction in city and regional planning held that same year at Columbia University (Gaus, 1943, p. 5). The field was noted to change little from 1916 to the 1940s (Lewis, 1949): "Tremendous strides have been made in city planning throughout the world since the publication ofPlanning the Modem City ... there has, however, been little change in the general principles governing the theory or practice of city planning'' (Lewis, 1949, p.v). -215-

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The Depression and the subsequent increase in planning at all levels of government to address social, economic and resource problems, which were recognized as deeply interre1ated, p1aced increasing pressure on the p1anning discipline to expand beyond its traditional focus on physical planning of the city. In addition, there was increasing emphasis on recognizing the political and administrative nature of p1anning (Walker, 1941 ), and on identification of p1anning as a unique discipline of study (Perloff, p. 22). A general framework for planning education, recognizing these additions, and seeking to distinguish planning from other disciplines, was proposed in 1945 (Perloff, p. 34-49, 137). The framework included a planning core with planning theory, history, law, and focus on process, not just plans. Social and economic analysis were included, in addition to physical design. Emphasis was also placed on research design. This general curriculum was first utilized at University of Chicago, and is the basic framework of planning education today: ... for all the theoretical changes that have marked the discourse of planning since the mid-50s, the practice of planning education continues to reproduce itself from decade to decade ... (Friedman, 1996, p. 90) The framework includes the following: 0 I) general education prior to planning training; a 2) planning core-systematic body of theory and philosophy underlying planning (e.g., general principles, methods, theories, responsibilities and attitude of the planner to the public/public service, planning process, history of city development, planning history, socio-economic, physical, -216-

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political/administrative elements of planning); 0 3) skills and techniques for empirical practice including analytical methods (e.g., modeling, projection/prediction, surveys, economic and transportation analysis), design tools, and problem-solving experiences; 0 4) specialized area of substantive knowledge (e.g., transportation, planning administration and law; urban design; socioeconomic analysis and research) Increasing emphasis, since the 1960s, has focused on public participation processes; multiple roles of the planner (technician, advocate, mediator and negotiator); alternative perspectives of planning politics (Klosterman, 1992, p. 132) and ethics due in part to, the recognition of the differential negative impact of planning (Nutt and Suskind, p. 239) Theory expanded beyond a focus on physical development to critique of the rational model of planning, consideration of communication, and methods of public participation. Klosterman indicated that the majority of theory courses at universities in the late 1980s included history of the profession, planning process, politics of planning, and professional ethics (Klosterman, 1992, p. 133). 3.1.9.5 Traditional Knowledge Comparison of current planning programs with early curriculum in the profession indicate that technical and design components of the field have consistently been part of the profession. Curriculum was systematized, to some extent, in the 1950s with components which parallel current curriculum, thus this general curriculum design appears to be embedded in the discipline and may be considered traditional. Four broad areas of this traditional curriculum design which include core knowledge of the -217-

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discipline may be descn"bed as: 1) planning core 2) technical knowledge 3) substantive knowledge 4) public knowledge Specific skills and knowledge areas within these broad areas are prescribed generally, with specifics left to the universities. This has been the historical trend within the discipline (Perloff, 1957; PAB, 2001), resulting in flexibility in training among planners. The planning core traditionally includes planning law, planning history, planning theory, and current planning. Planning theory currently includes topics ranging from processes of planning, to roles of the planner, and planning ethics Technical knowledge includes data gathering and analysis skills including statistics and quantitative and qualitative analysis, and has historically considered some type of spatial/graphic analysis or design. Public knowledge includes understanding how to facilitate planning processes, negotiate, and the presence of oral and written communication skills. Substantive knowledge is generally indicated through specialty areas such as economic development; transportation; land-use; urban design; environment; or housing (ACSP, 2000, p. iii-iv; PAB, 2001, p. 21); and through knowledge needed to complete components of the comprehensive plan (e.g., demographics, transportation, land-use; economics). Traditional knowledge and skills of planning indicate a discipline with a strong technical emphasis and comprehensive knowledge base, and emphasis on -218-

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communication and working with the public. In addition, the discipline has developed a body of planning-specific knowledge which embodies theories, history, Jaws, ethics and the day-to-day practice undergirding the profession. -219-

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3.1.10 Role of Values in Planning ''The role of values is .. .I can't stress its importance .. (RR) ... everything's not some technical problem to be solved, we have to deal with differences in values ... (VD) ... each community has its own sense of what it is, or the values, the aesthetics of the community ... the planner has to help the commwlity translate that into something that can be integrated into a plan and into a policy ... (BG) This section provides discussion of the values of the planning discipline as informed by interviewees, followed by ''validation" by current literature. followed by archival analysis to determine which the traditional role of values in planning. 3.1.10.1 Interviews Interviewee transcripts were first reviewed for responses to "The role of values in planning", followed by review of each transcript for statements made in other portions of the interview regarding the role of values in planning. Values are a very important part of planning, as indicated indirectly by the overall response to this question which generated the third largest number of pages of coded transcript for any question, and directly by the statements of individual respondents regarding the importance of values: ... those values [community] are the sole foundation for the legitimacy ofplanning ... Ifwe cannot legitimate what we do through the consent of the governed and the citizenry, there is no point of rational reference. Values furnish our marching orders ... "(TC) -220-

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Values are noted to be "important", "intrinsic/integral", "central to planning", the "sole foundation" by four respondents, and in a sense, shape the outcome of planning processes. Values are noted to come from the community or society, in general, but also from the planning discipline. Community values mentioned by respondents are those related to aesthetics, environment, history of place, sense of place, and culture of place. Value differences are noted by interviewees to exist among professions, regions, and communities, sub-communities/neighborhoods, and groups of varying socioeconomic status, and ethnic background: ... everybody that's involved in some process is going to have a different values, different sets of values ... (LL) Marshaling these to a common public interest is noted to be one of the biggest challenges in planning: .. the hardest conflicts to resolve are value differences, because you can't negotiate over a value difference. You can't say you give up half your value and I'll give up half of mine." (RM) . .I think that's probably one of the most challenging issues in planning-first of all, to encourage participation, and then to figure out how you deal with all those diverse values ... (LL) Eight ( 62%) respondents note that the planning process is, in large part, an effort to aggregate, negotiate, or address differences in values in coming up with future visions, plans, and actions: ... societally it [planning] is a way of trying to address quality of life issues and resource issues on behalf of large groups of people with -221-

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varying values ... (DH) Several note that the process is easier in small communities or subgroups with more homogenous values, and suggest dividing constituents into neighborhoods or other subgroups with more common values to facilitate planning processes. Vern Deines mentioned that the easiest planning project he had been involved in was for a Mennonite community with a planning student from that community helping to facilitate the process: ... Probably the easiest city in the state to plan, I worked as a consultant and did a plan for Heston, Kansas, which is a Mennonite community-no federal dollars ... but we raised money by donations. Everybody that gave five dollars or more showed up at every meeting It was a town of1200 people and I'd have 200-300 people at every meeting ... .I hired a graduate student to work with me that's from there, who was Mennonite. You know, he knew the people and so that was a bridge to them. Someone that they knew that built a link." (VD) A majority of interviewees noted that it is the planner's responsibility to include the diverse values of the community in the planning process, and to serve and protect the public health, safety, welfare or public interest. Five interviewees noted the importance of a planner's ability to empathize with/understand/be sensitive to divergent community values, and to respect these in the public forum: ... It was the early understanding that I got through people who questioned me relentlessly about what I saw and how it could be transformed, whether what I saw was right, or whether it was wrong and how, then could it be transformed, really is a query into so, what role do my values play? How ought those values be reflected in the professional actions I take? How should they be nested in ethics? How should they be explored as a reflection of or contradiction with the community in which I'm working?" (RR) -222-

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Regarding the individual planner's own values, four interviewees stated that they should be ''transparent" to the planner and the groups with which the planner is working. Several mention the planner should be neutral in the planning process. Goals should reflect the values of the conmunities or stakeholder groups for which planning is being accomplished. Eight ( 62%) indicated that the planner should always be acting in the public interest: "Some of the readings imply that you don't always have to step outside of your own values and biases, but I think that ultimate, the way I vew it, is that the planner is supposed to make sure that the public interest is protected ... (LL) Six interviewees; however, indicate that values underlie the planner's particular approach to, and emphasis in planning (e.g., policy analysis, social reform, social learning, social mobilization; affordable housing, aesthetics), and may affect the way in which the process is conducted, issues which are emphasized, and the role the planner plays in the process. The planning program at UNM emphasizes understanding of this underlying "bias" as part of the curriculum: "I think a good planning program is a process of actually .. surfacing a set of values-surfacing those values that brought the student here in the first place, and instilling a point of view that the tools of analysis, that the process of politics and the administration of programs is a very, very powerful set of tools which should be applied responsible and in a sophisticated way and in a knowledgeable way that is selfreflective .. .I want to do the very best I can to engender the greatest amount of change in the interest of those it is that I am working with or to empower those that I am working with to engender the most amount of change ... (RR) Five interviewees additionally indicate that if there is a strong divergence between the planner's personal values and that of the group he/she is working for, the planner will likely need to seek employment elsewhere. -223-

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Ten interviewees (77%) indicated that there is a professional (AICP/APA) code of ethics which codifies values of planners. Two respondents noted that the public would benefit from understanding these values: ... as a profession, we have certain values that are prescriptive, that are worth pursuing and educating the public about. .. precepts such as treating unequal unequally so as to make them less unequal give us some guidance as to how to intervene; but, planning is not only about matter of distnbution or redistribution. Planning is also about beauty, functionality, sustainability-these are metavalues that are the stop and go lights of our profession and when we're led down a road which is in violation of what this profession, I believe, should stand for, we should go against those who would violate those precepts ... (TC) Values of the planning discipline relate to both the way in which the planning process is conducted and the desired outcome of the process and include: equity; "more just society'' "good growth" beauty reasonableness aesthetics fairness ' ' sustainability; environmental quality; fair, open, and unbiased processes without discrimination; recognition and respect of diversity of values; honesty and transparency in planning processes; and, the responsible use of information. One interviewee indicated that values which the planning profession internalizes come from society: ... those decisions are given to us-environmental values, social values about race and class are, those decisions are made outside the frame of planning and if things are working well, they are made in an open and explicit way. They are made in ways that are in some kind of accordance with our own personal, as well as, larger societal values and we as planners then get to take those explicit goals and figure out how to put them into practice ... (MH) Values are described by five respondents as part of the political or theoretical aspect -224-

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of planning. Training in planning ethics is currently part of theory classes at two Universities queried. One respondent noted that accreditation of their planning program required inclusion of ethics. Two respondents mentioned that professional and academic module/exams for teaching and testing ethics had been created by AICP and ACSP. ACSP had developed a module on ethics which was being used to teach values/ ethics, while situational ethics were part of the AICP exam and training for students. One respondent mentioned that planning education did not historically include training in values/ethics. One noted the need to "develop tools for exploring values." Three interviewees additionally indicate that greater training is needed in learning how to work with public values, and to articulate professional values: ... That is one area [role of values, feelings and emotions in planning] where I think we've probably been the weakest. In fact, we've had to change some courses ... on that very issue ..... the one area we still need to have more emphasis is on identifying conimunity values in the making of our plans and not just having them become a technocrat's plan ... (VD) ... The world of values is-you've already heard me say that I think we do not do a good enough job at articulating what we're up to and why we're up to it. That is a question of values, I think, so I would say the role of values is central and that we are not comfortable with that and therefore we shy away from it. We do not wish to acknowledge it. .. (MH) 3.1.10.2 Normative View of Values A majority of interviewees indicate that values are codified in the AICP/APA Code of Ethics which underlie and frame both the way the planning process is conducted and the desired outcomes of the process. Values mentioned by interviewees include: equity; "more just society", "good growth"; beauty; reasonableness; aesthetics; -225-

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fairness; sustainability, environmental quality; fair, open, and unbiased processes without discrimination, recognition and respect of diversity of values, honesty and transparency in planning processes; and, the responsible use of information. A majority indicate that the planning process is, in large part, an effort to aggregate, negotiate, or address differences in values. A majority indicate that it is the planner's responsibility to serve and protect the public health, safety, welfare, or the public interest in the planning process; and to include the diverse values of the cmmnunity in the planning process. Community values mentioned by interviewees include those related to aesthetics, environment, history of place, sense of place, and culture of place 3.1.10.3 Current Literature Values/ethics are now part of AICP certification (Salkin and Whiteley, 2002, p Solin, 1997, p 23), and PAB accreditation {PAB, 2001, p 19-20, 22-23). A joint Code of Ethics exists for AICP/ AP A which focuses on both ethical conduct in professional practice, and underlying values guiding the planning process in the public interest. The following values are indicated by the Code (Solin, 1997, p. 6-8, 10): I) Substantive values: Integrity of the natural Excellence in design; Conservation of the built environment heritage; Choice and opportunity for Public 2) Process values : Concern for long-range consequences of and interrelatedness of decisions; Broad and meaningful participation of citizens in planning; Special attention to needs of the disadvantaged; Maintaining integrity of discipline; and, -226-

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3) Planner behavior: Serve/protect the public interest; Avoid conflict of interest in employment/Do not use power of any office to seek special advantage not in the public interest; Personal integrity, fuirness, honesty, respect of others, loyalty, responsibility, ethical behavior, professional competence, independence in judgement, and accuracy and clarity in presentation of information Additional values mentioned in two or more of the following sources--PAB curriculum (PAB, 2001, p. 19, 22,23), APA Development Plan for 2003-2004 (2003a); the most recent edition of the "Green Book" (Hoch, et al., 2000., p. 453), and ACSP recruitment materials, include: I) Equity 2) Quality of life (healthy communities; affordable housing; education; jobs) 3) Efficiency 4) Balance of individual and collective rights 5) Social and cultural heritage of plare'Sense of community and place 6) Natural resource conservation and protection 8) Recognition and respect of diversity The Code of Ethics is noted to be derived from "both general values of society and from the planning profession's special responsibility to serve the "public interest"' (Salkin and Whiteley, 2002, p. 7). The 2000 edition of the "Green Book'' notes; however, the presence of conflict in implementing planning ideals within U.S. society throughout planning history: "Throughout the twentieth century, planners struggled to develop plans that would respect the American commitment to individual rights while successfully addressing a range of problems-from -227-

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inefficiency to ugliness, injustice and pollution-that develop where individual purpose and collective welfare meet ... the diffusion of planning ideals as important cultural values inspiring popular support proved more illusive. Consequently acceptance of planning has been an uphill battle in many communities." (Hoch, et al., 2000, p. 22). Conflicts are noted to exist among social values, themselves: "Ethical planning principles derive both from the general values of society and from the planner's special responsibility to serve the public interest. As the basic values of society are often in competitions with each other, so do these principles sometimes complete .. Plans and programs often result from a balancing among divergent interest." (Solin, 1997, p. 3). necessitating particular roles and responsibilities of the planner for "balancing among divergent interests", and ensuring "fairness and honesty among all participants." (Solin, 1997, p.3): "Planning issues commonly involve a conflict of values and often there are large private interests at stake. These accentuate the necessity for the highest standards of fairness and honesty among all participants ... (Solin, 1997, p. 3) Balancing these interests is noted to be based on facts, the context of situation, and the entire set of ethical principles (Solin, 1997, p. 3). The most recent edition of the "Green Book" indicates the difficulty of determining public interest, and limitations of rationality, objectivity, efficiency in planning: "Different political goals, social beliefs, and theoretical outlooks challenge the norms of objectivity and efficiency on which the rational model relies" (Hoch, et al., 2000, p. 22). P AB curriculum guidelines indicate that values are one of three primary areas of education in the planning curriculum (PAB, 2001, p. 19): -228-

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''The planning program shall provide students with the basis for becoming ethical practitioners, who are aware of, and responsible for, the way their activities affect and promote important values ... (PAB, 2001, p. 22) Planning curriculum is to ensure planners are "sensitive to the ways in which planning affects individual and community values", "aware of their own roles in this process." (PAB, 2001, p. 20), and .. understand and serve a diverse society" (p. 14). In a paper reviewing planning theory curriculum, (Frank, 2002) indicated that 50% of syllabi contained ethics or values in sOme form. She suggested that in addition to covering the discipline's values and ethics, a planner should develop a personal planning ethic within the framework of professional ethics: "Students should learn more about their own values and their own conceptions of the "good society." (Frank, 2002, p. 323). Summary Values, and subsequently ethics underlie the planning profession. AICP/APA have a joint Code of Ethics, knowledge of which is required for professional certification of the planner. Curriculum standards also require knowledge of and discussion of how planning promotes certain values; the responsibility of the planner to promote these values; and, sensitivity of the planner to the way in which the planner and planning process affect community values. Values are noted to be derived from the community and the planning profession; however, conflicts in societal values are noted to be part of the focus of planning processes, and the planner must aid in resolving these conflicts through the plarining process, application of facts, understanding the context of situation, and the entire set of ethical principles. -229-

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A multiplicity of values are embedded in planning goals and ethics. Mentioned in both interviews and current planning publications are: equity, environmental quality, excellence in design or beauty/aesthetics, social and cultural heritage of place, and respect of diversity. Additional values mentioned in planning literature are efficiency, resource conservation or preservation, choice and opportunity for all, special attention to the disadvantaged, public education, balance of individual and collective rights, and meaningful citizen participation. Underlying the profession is an ethical foundation for behavior which includes values of fairness, honesty, respect, responsibility, loyalty, and integrity, and independent judgement. Protecting the public interest and maintaining the integrity of the profession are also important values. 3.1.10.4 Historical Overview "Every element in their physical environment affects the people in some degree both on the economic side, as determining their efficiency, and on the esthetic side, as determining their enjoyment in life. Therefore, in the design of everything which enters into the city, both of these aspects must be given equal weight" (Olmstead, 1916, p. 17) "Of course we must design beautiful cities and we must dream great dreams of the future, otherwise there is no reason or excuse for our profession ... (Brunner, 1912, p. 25) Values of planning were initially codified in planning enabling acts which provided the statutory basis of planning (See Section 3 1.13. 4. 9; Appendix A). Values listed initially included : 1) Efficiency and economy; 2) Order; -230-

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3) Prosperity; 4) Convenience; 5) Good design; and, 6) Health, safety, welfare, morals Beauty was often mentioned in the initial development of the discipline (Brunner, 1912, p. 25; Day, 1911, p. 56; Ford, 1913, p. 32; Olmstead, 1910, p. 30; Olmstead, 1913, p. 2; Shurtlefl: 1915, p. 33; Swain, 1912, p. 30; Wacker, 1913 p. 229); however, there was concern that this value was not legally defensible or fiscally sound and should not initially be included in statutes (Bettman, 1914, p. 112; Ford, 1921, p. 198). Cases in which beauty was recognized as an appropriate exercise of the police power; however, were noted beginning in 1921, (Cheney, 1928; Ford, 1921, p. 201-202) and subsequently provided the legal basis for its inclusion in planning. By 1928, the need to include beauty to be in step with public values: .. .It is true that this Conference in preceding decades found it necessary to emphasize economic and social considerations in order to have city planning established on a firm basis. The old "City Beautiful" slogans and campaigns of 20 or more years ago lacked the solid economic and social foundations necessary to make them succeed, and we had to soft-pedal them until better public understanding of all three phases of city building was achieved. Now the country has caught up to us-in fact, the country is ahead of us; beauty has become the watchword of business and industry; city planners lag behind. Wake up, City Planners, or you will soon be cast aside for leaders with better grasp of the public demands of our time." (Cheney, 1928, p. 32-33) Additional values which were expressed early within the development of the profession were democracy and public education/participation (Ackerman, 1915; Wacker, 1913), historic preservation (Brunner, 1912, p. 23), resource conservation (Nolan, 1910) and natural resource conservation (Haldeman, 1920; Stein, 1925); the -231-

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promotion of the good of all inhabitants, or the public good (Purdy, 1913; Wacker, 1913), rational or objective discourse and decision-making (Brunner, 1912, p. 23; Wacker, 1913, p. 223); and, qualityoflife (Dealey, 1917, p. 131; Haldeman, 1911; Veiller, 1914, p. 92; Wacker, 1913, p. 230). Goodman and Fruend (1968) and Hancock (1967, p. 301) indicate the persistence of values of convenience, order, efficiency, economy, beauty, pragmatism, and an egalitarian ethic through the history ofp1anning (Goodman and Freund, 1968, p. 328; Hancock, 1967, p. 301). 1979 and 1988 editions ofthe "Green Books" also indicate the persistence of values underlying planning including: health, resource conservation, beauty, equity, efficiency, pluralism, individuality, democratic participation and responsibility, and rational management (So, et al., 1979, pp. 8-14). Conflict among these values is; however, noted in the planning literature: ... three independent ideas emerged in the 19111 century to shape American city planning: scientific efficiency, civic beauty, and social equity ... In some ways, these three themes reflect conflicting values of efficiency, creative expression, and humanitarianism ... (Dalton, 1986, p. 148). Although the relative relationship between community rights and private interest was considered in the early development of the planning discipline (Ackerman, 1915; Bettman, 1914; Howe, 1912; Purdy, 1913; Veiller, 1914), balancing these interests for the public good has become a focus of the discipline more recently: ... A large part of the complexity ofboth city planning and city planning administration in this country derives from the basic problem of reconciling community responsibilities for planning with the institution of private enterprise." (McLean, 1959, p. 16); -232-

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" ... Planning in a wealthy democracy merely attempts, with the support of public opinion, to strike an equitable balance of public interest with private interest-so as to create an economic and social climate suitable to a mature and stable nation, with better living conditions and more freedom for all." (Segoe, 1941, p. 15) The profession has no set guidelines for providing this balance; however: "We cannot codify a consensus or a pennanent balance among these competing elements of the public interest nor a permanent balance between the public interest and the right to pursue private interests. It is a planner's professional responsibility to achieve such a balance and use it as a personal guide (So, et at., 1979, p 512). The Code of Ethics continues to expand and include additional values which planners must consider in planning processes. Revisions in 1981 and 1991-1992 expanded to include historic preservation, consideration of"long-range consequences of present actions", environmental protection and excellence in design. The following sections provide more detailed historical understanding of the unitary public interest and its relation to values, and planner's values in relation to the planning process. 3.1.10.4.1 Homogenous Values A unitary public interest has generally been assumed for most of the historical development of the discipline (See section 1.3). It has also been assumed that planner's and societal values are the same: "The planner's values are not special to the planner. They are widely held and generally shared. Everyone favors health, happiness, prosperity, and justice." (So, et al., 1979, p 9) -233-

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Not until the 1960s were a diversity of values among different sectors of society noted, and the importance of recognition of and understanding ofthese diverse values noted: "A planner's education ought to include exposure to the ways of life and attitudes of mind of the whole range of peoples he is to serve in his future plan-making. Empathy for those affected by planning proposals can contribute greatly to the success of planning." (Goodman and Freund, 1968, p. 565) "Planners have indeed contributed to ... majority visions of what urban development everywhere should be like ... yet planners have also concerned themselves with satisfying plural tastes and meeting minority needs ... (So, et al., 1979, p. 12) Currently, part of planning training is focused on understanding, and respecting a "diversity of views and ideologies" in planning (PAB, 2001, p. 22-23). 3.1.10.4.2 The Planner and Public Values The need for the planner to defer to values of residents in planning has been noted throughout planning history : ... the city planner should properly be sensitive and responsive to the townspeople's own ambitions and ideals and not solely to his own ... "(Crane, 1928, p. 102) "It is not the function of city planning to dictate how the residents of the city shall lead their lives. Even though an individual city planner may disapprove of the things that the public values, or may place a high value on goals or activities in which the city residents are disinterested, it is not his function to supplant the public's values by his. Rather he must take their values and incorporate them in the plan itself. Practically all city planners accept this point ofview ... (Menhinick, 1948, p. 11); -234-

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however, the planner is also responsible for promoting and protecting the public interest, and ideals of the profession: "If the planner has a conception of the city that goes beyond the public's present aspirations and goals, he has a prime responsibility to bring an appreciation and understanding of that concept." (McLean, 1959, p. 22). "Education can help carry out the city plan in two important ways. First, it can bring before the public a picture of what the good city is likethat is, it can point out the possibilities open to a city and help develop community goals .... (McLean, 1959, p.21) The 1979 edition of the ICMA manual indicated that the planner should proactively focus on protecting and maintaining values of the discipline: ... Planners used to advertise the objective of a city plan as that of making the community a better place to work, live, and play in. What is now special to the planner is an inclination toward those public values that are fragile and hard to maintain ... (So, et al., 1979, p. 10) 3.1.10.5 Traditional Values Beauty, efficiency, health, safety, welfare, and morals, planning for the good or benefit of all, quality of life, democratic participation, equity, and pragmatism or rationality are all values which have been present since the inception of the planning profession. Although order, efficiency, and convenience are not mentioned in current planning organization materials, they are embedded in planning statutes (See Appendix A) and were mentioned in planning materials for over seventy years, and thus are considered traditional goals of the discipline. Beauty is embedded in historical conceptions of environmental quality (3.1.12.5), and thus can be considered one of the discipline goals. -235-

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Resource conservation has been discussed in regional, state, and county planning as a value of open space and land-use planning (Clark, 1934; Gray, 1933; Haldeman, 1920; Stein, 1925; See section 3.1.12.4.1.2) for at least seventy years; and in city Jand-use planning more recently (Goodman and Freund, 1968). It is considered a traditional value ofthe discipline, although its importance varies with overall societal values. A more recent value, which can not yet be considered traditional, is recognition and respect of diversity of values in society. Values are noted to conflict at times, and part of the planning process is working towards balancing those values. This balancing has been expressed for at least 60 years and thus can be considered a traditional part of discipline. Historical conflict between planner's ideals and societal acceptance of these ideals is also noted, and may also be considered a traditional part of the discipline. A Code of Ethics delimiting acceptable professional behavior of the planner, and indicating goals and values of the planning process, has been in existence in some form since 1959, is now embedded in the profession, and can be considered traditional. The code includes values such as honesty, integrity, fairness, professional competence, respect, responsibility, and loyalty, and continues to evolve through time. -236-

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3.1.11 Role of Feelings and Emotions ... people are often most emotional about the things they hold near and dear to themselves in tenns of the way they look at the history of a place, or the culture, or the environment of a place ... .I think planning is sometimes viewed as a technical or informational process, and we're looking at data, when in fact, a lot of it is sort of emotions and feelings of place and sense of place and those kinds of things .. what gets people excited, energized, and interested in places is those kind of feelings and emotions." (RM) This section provides discussion of the planning process( es) of the planning discipline as informed by interviewees, followed by "validation" by current literature, and archival analysis to determine what the traditional role of feelings and emotions has been in the field. 3.1.11.1 Interviews Interviewee transcripts were first reviewed for responses to the question, "What is the role of feelings and emotions in planning?", followed by review of each transcript for statements made in other portions of the interview regarding feelings and emotions in planning. Eleven respondents discussed the role of feelings and emotions in planning. Seven (64%) indicated that they are a legitimate part of the planning process, primarily with regard to citizen participation. Five indicate that feelings and emotions of both planners and citizens provide motivation or inspiration for citizen participation in the planning process. Two respondents indicated that feelings and emotions provide a bridge of understanding and communication between the public and planners: "Feeling is the route to empathy, and empathy is the heart of the response of planning. Above all, planning needs to inspire people to worthy goals and to action. Humans are a passionate animal. We -237-

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need to be excited to act. Feelings are everything. If you can't feel, you can't empathize. If you can't empathize, you can't communicate because you don't know the terms of the language." {TC) "I think that in working with the community ... you must speak ... from your heart .. if you don't speak with feeling, if you don't understand the role that passion plays, in working with people, in working with other humans, then you're going to miss the boat for them and for you." (RR) Six (55%) noted that feelings and emotions influence values and subsequently goals of and decision-making in the planning process: ... the danger in terms of thinking of planning only as a technical profession, you ... might be potentially losing the excitement of what might be going on ... I'd almost rather see people get more emotional and excited about what's this place going to look like ... that's the way the community responds and reacts to it, and I think it's probably healthy for the profession to recognize that's an important part of the decision. It's not just a technical decision or issue ... (RM) Four respondents indicated that a lot of planning is emotional with people coming to meetings who are already passionate, angry, or who may become emotional during the and, whether recognized or not, emotions and feelings play a part in decision-making in the planning process: "This town like many other towns, seems to have a strong feeling and strong emotion against Walmart and so any time Walmart wants to do something, all those feelings and emotions surface and they certainly do influence decisions ... W almart projects that come through this town, take a year before they are resolved, simply because of feelings and emotions .. (LL) Two noted the importance of reading and translating community feelings and emotions into plans-in particular, feelings and emotions which relate people to a -238-

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place such as historic preservation, aesthetics, "sense of connmmity'', sense of place", and, culture. Two noted that feelings and emotions are part of the way in which experiences are analyzed and assessed: ... we need to be able to acknowledge emotion and engage emotion, recognize that emotion is part of the way in which we absorb experience, and assess and analyze it. We don't just do it in our heads. We do it emotionally, as well. So collective analysis that's truly participatory has to allow for emotional analysis ... (CI) Regarding the role of the planner's own feelings and emotions in the planning process, respondents generally expressed a lack of certainty on this aspect. Several interviewees indicate that feelings and emotions are important motivators of the planner, and feel that planning is more accurately and honestly presented as a fusion of the heart and dreams for the future with technical aspects of analysis-rather than just a teclmical exercise. The planner's excitement is noted to energize and impart excitement to the public for participation in determining their community's future. Four indicate the planner's feelings and emotions should not interfere; however, with the process ofbringing out the goals and desires of the community, and serving the public interest: "It seems to me that some of the programs that we've been introduced to are ones which the planners, here in Manhattan, have had strong feelings or emotions about, and I think that they have maybe orchestrated some of these organizations to come before us that have similar feelings and emotions, so I think that they do have feeling and emotions about subjects or issues that they want to make sure get represented and I don't think that's bad. I think that's just part of bringing forth ideas, if you will ... a planner shouldn't, it seems to me, when his or her pet project gets defeated, turn into a raging table thumping person .. .It would be kind of be the start of the end of your career ... (RW) -239-

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" ... in certain situations, there might be conflicts between your personal feelings and emotions versus maybe what a community is deciding, or a council is deciding, or your firm is deciding ... ifit's a consistent thing, maybe they [the planners] need to find a different place to work." (RM) One interviewee noted that the acceptance of and inclusion of emotions into the process was a fairly new phenomenon that the discipline has not yet found a tractable way to include: ... we're still a profession fairly weak on technique for recognizing our own emotional responses and working through them, and engaging responses in public settings, and collective analysis in a productive way. We either squash them or open up the pandora's box and step back ... as I think ofit. .. in terms of the skill sets that planners have developed .. that's one of the least well [dealing with feelings and emotions] ... there's lots of procedural justice, and the communicative action people have talked a lot about how people actually engage ... but I don't think that dealing with that reflective cognition ... we've really moved as far as we could I certainly don't have any answers to it ... (CI) 3.1.11.2 Normative View of Role of Feelings and Emotions A majority of interviewees indicate that values and emotions are a legitimate part of the planning process, primarily with regard to citizen participationproviding motivation, inspiration, and a bridge for understanding and communication between planners and the public. A majority note that feelings and emotions influence values and subsequently, goals and decision-making in the planning process-with people coming to meetings who are passionate or angry about issues of place. They note the need for translating emotions into plans that are prepared, and recognize that feelings and emotions are part of the way in which experiences are analyzed and assessed. A majority do not -240-

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agree; however, regarding the role of planner's own feelings and emotions in planning. 3.1.11.3 Current Literature Feelings and emotions are not acknowledged in P AB curricUlum or recruitment materials. Feelings and emotions are downplayed in the AICP Code and the most recent edition of the APAIICMA training manual Authority of the planner is based on ''professional detachment" (Hoch, et al, p. 22), and expert testimony and presentations of the planner are to be "objective, fuctual, and dispassionate." (Solin, 1997, p. 18). Advocacy is to be based only on objective opinions (Solin, 1997, p.20). 3.1.11.3.1 Summary A role for feelings and emotions in planning is generally not acknowledged in recruitment and professional guidelines for the practice of planning, with focus being placed instead on objective and dispassionate analysis and presentations; however interviewees indicate that feelings and emotions have a legitimate part in the planning process, primarily as a motivator of both the public and planner. 3.1.1l.4 Historical Overview Scientific management rationality, and a focus on objectivity -characteristics and concepts with which the practice of planning were developed, were assumed to be in conflict with feelings and emotions (Dalton, 1986). The process and methods of planning developed, in fact, to support systematic decisions based on analysis versus perceptions, feelings and emotions, or politics (Sandercock, 1998b, p. 26) "A central goal of both the administrative planner and the public -241-

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planner is the gradual replacement of seat-of-the-pants judgements with reasoned judgements. The evolution of planning methods has stressed the validity and pertinence of information, the logic of analysis, the worth of evaluating the consequences of alternative decisions, and the effectiveness of standards and policies in achieving goals." (So and GetzeiS, 1988, p. 508) ... Tired of passion and interpretation, we often welcome the reversion to 'facts' as a way of both avoiding and transcending conflict..." (Mandlebaum, 1991, p. 211) ... Our problem is not only to reconcile conflicting views and to synthesize a broad range of scattered knowledge, but also to do so with a certain measure of dispassion and objectivity ... (Harris, 1967, p.334) The role of the planner was stressed as being "apolitical and neutral" from the 1930s1960s (Birch, 2001, p. 409). It was also noted initially; however, that the planner needed to inspire; and, that public excitement regarding planning needed to exist for the planning movement to gain public support: . it is quite justifiable that American city planning began with the "city beautiful". The "city scientific" would never have aroused such enthusiasm ... (Ford, 1913, p. 32-33). Wacker (1913) indicated that the planner needed the ability to "stir the hearts of men to inspire in their minds that desire for better city conditions ... (p. 223-225) Even in the 1940s, when a strongly rational approach to planning existed, it was indicated that inspiration was still needed in developing and accomplishing plans: -242-

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''The comprehensive city plan or master plan, while it must be thoroughly practical and sound economically, must give expression also to other than the purely materialistic aspirations of the people of the community. Only then will the plan possess-in addition to its influence toward a more convenient, efficient, and economical development-the inspirational force that will foster civic interest, devotion and loyalty essential for building better cities." (Segoe, 1941, p. 43) During the period between the 1950s-1980s, little discussion is apparent in planning literature regarding inspiration and public enthusiasm as planning focused increasingly focused on analytical methods, rational decision-making, and computer modeling (Beauregard, 1989; Harris, 1967; Webber, 1963), chaos of civil unrest, and then the loss of"Great Society" programs. Lynch (1976, 1981) did; however, mention the importance of emotions and feelings relating to a sense of place in his critiques of current planning, and suggestions for new directions in the discipline. Recent publications indicate the importance of re-integrating the visionary and inspirational role of the planner into the profession (Brooks, 1988; Friedman and Keuster, 1995, p. 57) the design and planning of places and events which encourage "deep feelings" emanating from the spirit (Sandercock, 1998b, p. 213); and consideration of intuition as a type of knowledge to be included in the planning process (Innes, 1998, p. 59). 3.1.11.5 Traditional The discipline of planning has focused on objectivity and neutrality throughout its history; however, there is also recognition throughout planning history that public emotions and professional inspiration are important to the success of planning ideals. Feelings and emotions; therefore, are covertly part of the planning process as motivators, and are traditional components of planning, but are not yet directly -243-

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included in the planning process. -244-

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3.1.12 Environmental Planning .. environmental pJanning came out ofN.E.P.A, above all .. .I never heard of an environmental planner before 1969 .. what we call environmental planning ... exists, in part, on the edge of planning as it bridges with other disciplines ... "(TC) ... the passage ofN.E.P.A in the early 1970s was the genesis of environmental planning, but I think it sells the field short to say that that's when it started. I think it started back when Jacob Riis was walking around downtown Manhattan, taking photographs, and publishing books called, 'How the Other Half Lives'; or, the American Health Associations with Perry and others in proposing a better layout for what turned out to be suburban America. You know it was all about how we live, and it's both ideological, political, and it's a healthier way to live ... (RR) This section provides discussion of the relationship of the sub-discipline of environmental planning to planning, as discussed by interviewees, followed by "validation" by current literature, and archival analysis to determine whether environmental planning is a traditional aspect of the planning discipline. 3.1.12.1 Interviews Interviewee transcripts were first reviewed for responses to questions generally asked as: ''What is planning? Has it always been part of the planning field or is it something separate?", "How does it relate to planning concepts we've talked about?", followed by review of each transcript for statements made in other portions of the interview regarding environmental planning. Twelve interviewees discussed environmental planning. Eight (67%) indicate environmental planning is a subdiscipline of planning similar to social or economic planning. The "environment" discussed in environmental planning is primarily defined as the "natural" environment, as opposed to built environments, including -245-

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such elements as open space, wildlife, watersheds and airsheds, soil, and wildlife habitat. Although environmental concerns are noted by seven interviewees to have always been part of planning in some form, five respondents indicate that the impetus for environmental planning came from outside the planning field, through the environmental movement, environmental groups, and federal environmental legislation in the late 1960s and early 1970s: ... the environmental movement has ... given a new dimension to planning, in the sense that urban areas aren't just seen as social and economic areas, but also places that have impacts on the environment. .. (RM) .. the major input for environmental planning in this country has really come from the environmental groups-Sierra Club, Audubon Society ... (VD) Public concern about the environment led to the creation and passage of a plethora of environmental laws during this period (e.g., National Environmental Policy Act, Clean Water Act, etc.) and subsequently the legal requirement for the consideration of the environment in planning. In particular, several interviewees mentioned that the preparation of Environmental Impact Statements, required by the National Environmental Policy Act (NEPA), created work and a niche for environmental planners Prior to development of the environmental planning specialty, interviewees indicate that civil engineers and landscape architects handled environmental concerns related to public health, aesthetics, and recreation. Three indicate environmental planning was previously peripheral to the planning field through statements such as it is an -246-

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I I "appendage" of planning, "a distant cousin" of planning, or "on the edge" of planning. Two interviewees indicate that the knowledge the environmental planner emphasizes is that of natural systems and environmental laws. Several respondents indicate that the spatial focus of environmental planning can range from a very comprehensive regional analysis to a cursory environmental impact analysis, and differs from the usual administrative boundaries of planning such as the city or county. Subject areas focused on by environmental planners are noted to be those related primarily to the interface between built and natural systems: environmental consequences of siting facilities; designing to reduce negative environmental consequences of development; landfills, brownfields development, solar access, flood cotrol, agricultural preservation, growth management, water supply, riparian areas preservation, visual environments, watershed planning, open-space and recreation, and pollution control. Two also include historic preservation as part of environmental planning. Goals of environmental planning are noted to be a subset of the goals of planning, in general. Environmental quality was previously noted as one of the goals of the profession (See section 3.1.6.5). Three interviewees express the goal of managing human impacts on the environment during development, so environmental quality is "not degraded too much". Four mention improving environmental quality either directly or through statements regarding rehabilitation, or Brownfields development-considered to be an environmental improvement. Three indicate balance or sustainability as a goal of environmental planning. Balance -247-

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is indicated as a balance between human needs (jobs and development), and needs of the environment (environmental protection) or livability of the environment (environmental quality). Sustainability is noted to have many definitions, but is generally meant to balance current and future resource needs with the ability of the environment to provide these needs. Five interviewees indicate that environmental planning provides either a different kind of inquiry, new tools and methods, or new concerns, ethics and insights to the planning field: "There's another paradigm that may revolve around environmental planning and that is associated with the concept again of sustainability or what people talk about then they say 'Deep Ecology'. You know, it's a very,very different orientation when one views oneself as part of the earth, and the earth is part of a living organism, and then your identity is one that's more associated, not as a dominating force, but as one who is a temporary resident and part of an organism that needs nurturing." (RR) ... natural resources and environmental planning invites us ... to get beyond the levels of administrative authority and jurisdiction which have often set the stage for planning in the past .. .it has given us different notions of shape ... wildlife moves, so you can't talk about wildlife living in neighborhoods, where you can people, because wildlife ... will forage widely, will adapt behavior to environmental changes in order to be able to feed ... bears coming down out of the mountains this last winter .. other kinds of adaptations-the elastic breeding and reproduction times of certain kinds of reptiles ... those kinds of things are simply not part, conventionally, of the human relationship to planning .. part of that different notion of static an dynamic relations to space is different concepts of patch and corridor ... instead of saying we've got a section of land here, which is by Jeffersonian definition, square, and that that's what we're going to be looking at ... The concern and the learning that planners who have been dedicated to the human defined senses of space, the way they're being affected by new knowledge of natural systems is forcing us all -248-

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I I I I i to readjust our thinking about people in space and our interventions and these uses." (DH) 3.1.12.1.1. Planning and the Environment Interviewees discuss the relation of pJanning to the environment in four primary ways: 1) improving the future quality of life through improving the environment; 2) reducing the environmental impact of development; 3) including local environmental values in plans; and, 4) balancing human demands with needs of the natural environment. Two mentioned that the presence of natural features such as rivers or parks in the midst of built environments allow people to interact with nature and/or to bring in its "liveliness". One interviewee also mentioned that the presence of these features (i.e., rivers) was, in some cases, a deterrent to particular kinds of development. Seven interviewees (58%) indicate that consideration of environmental quality has always been part of the profession, although initially focused on environmental health issues, or aesthetic concerns of the City Beautiful. Early concerns focused on housing regulations, infrastructure for sewer and water quality, subdivision design, zoning and building regulations for adequate light, and ventillation, freedom from pollution, safety from fire; as well as, designs of parks and structures of the City Beautiful movement for aesthetic and other purposes . Two respondents noted that the recognition and consideration of the negative effects of wban development on surrounding environments is a fairly recent phenomenon in planning, and that more comprehensive inclusion of environmental considerations into planning have resulted primarily from the environmental movement, and subsequent federal environmental regulations passed in the 1970s-1980s. -249-

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Interviewees indicate that environmental considerations are currently included in planning through the comprehensive planning process, environmental impact analysis, and site design and review. The environment is generally considered to be one of elements of analysis in planning, one of the types of values affecting, and one of the types of goals and objectives to be considered in planning and design. Seven (58%) indicate that the environment considerations are one element of the planning process and are balanced with others: ... any topical area is going to be a subset of planning. If you think of planning as trying to meet the goals and objectives for the future wellbeing of a community, an element of that would be the environment, and the environmental characteristics that the community wants to preserve or protect or rehabilitate as part of their well-being ... (BG); and that some knowledge of environmental issues is needed by all students: ... the questions of environmental effect and impact aren't just green things or tree-hugging things, they're ... increasingly part of the normal set of questions raised by planning inquiries of all sorts ... (DH) Several respondents noted that values concerning the environment are locallyderived: "The role the community wants the environment to play in that community." (BG) Some communities may be interested in historic preservation and scenic views, others in protecting prairie grasses, other in resource extraction. The community defines the goal for the environment, depending on the values they hold with regard to their local environment, and the role they believe it should play in their plans for -250-

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the future: ... people have a value of preserving that visual appearance of the Front Range (Colorado) .. What do we preserve in Kansas? The wheatfields. There are areas ofTallgrass Parries. It has value. It' never been cultivated, and the people have said in Kansas, yes, that's worth preserving. "(AK) ... it can be a whole spectrum of what role citizens want. Unfortunately, there could be more roles than you ever anticipated like land fills and nuclear dumps and everything e}se-Qil extraction, surface coal mining, which makes it a bit tougher, but again, if that s what the connnunity wants, then you've got to figure out a way to accommodate that and still not degrade the environment too much." (BG) Several interviewees noted the existence of special interest groups which focus on the environment (i. e Sierra Club; Audobon Society; Sustainable Manhattan), advocate for these values, and ensure they are brought into the planning process. One notes that the typical planning commission tends to exclude the environmental perspective Two indicate that it is the planner's responsibility to advocate for the environment: "I think that within the planning profession ... the public staff in planning can be very responsive to the desire and needs of the private development interest-realtors, builders, contractors, and if you look at the composition of the typical planning commission, you'll find that group tends to be dominant and what we don't have are the interests and needs of the environmentalists .. on those committees ... so I think in that sense that planners need to be able to speak for that group, and often they don't..." (VD) Several indicated ethical obligations to the environment are part of the discourse of planning. -251-

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Two interviewees also indicated that the public and/or planning students hold widely divergent values regarding the environment, and that this is a difficult arena in planning for gaining consensus or compromise: "I think environmental planning is probably one of the more difficult areas to deal with because ... there are so often value differences that exist in terms of conflicts" (RM) In a class exercise at UNM, where students stand near the center of the room(neutral) or left or right walls depending on their ideological position with regard to various ethical questions, Claudia Isaac noted the following response regarding environmental issues : "In Planning Theory and Process, we do a .. exercise ... and one of the questions I ask is Is the environment an actor in planning, and should there be advocates who speak for the environment, since it can't participate in the process itself'? And it's very interesting, because that's one of the questions that gets the most divergent, standing closer to the wall kinds of answers. Usually people are trying to figure out how they can get closer to the middle, but not on that one ... (CI) 3.1.12.2 Normative View of Environmental Planning Approximately 700/o indicated that environmental planning is a sub-specialty of planning, similar to social or economic planning. Approximately 60% indicate that the environment is an additional knowledge base or variable to be included in the planning process and balanced with others. Environmental considerations have always been part of the planning discipline, although civil engineers and landscape architects were primarily responsible for handling these concerns which were related primarily to public health, aesthetics, and recreation; and broader inclusion of the environment in planning has resulted more recently through factors external to the planning discipline (i.e., environmental movement, federal environmental laws) -252-

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Environmental considerations are currently included in planning through the comprehensive planning process, environmental impact analysis, and site design and review. Subject areas focused on by environmental planners are primarily those related to the interface between built and natural systems. Goals for the environment represent a dichotomy between improving environmental quality in general, and "not degrading the natural environment too much" during development. 3.1.12.3 Current Literature ACSP lists environmental planning as one of the five planning specializations in recruitment materials (ACSP, 2000, p. iii). The focus of environmental planning is stated "to enhance the physical environment and minimize the adverse impacts of development". Spatial scales focused on by the environmental planner are noted to range from a particular site to ecosystems, and topics of focus range from pollution to conservation of natural resources. It is noted that environmental planners may work on technical or political aspects of policies or plans, and "work to integrate a concern about pollution and the conservation of non-renewable resources into the plans developed in other substantive areas like transportation or economic development." (ACSP, 2000, p. iii) Environmental quality, natural resources and energy are listed as functional topics planners must be familiar with to gain certification from AICP (Solin, 1997, p. 23). Environmental analysis is one of three types of analyses presented in a chapter focusing on "Planning analysis"; and, environmental policy is listed as one of seven "functional planning elements" in the most recent edition of the "Green Book" (Hoch, et al., 2000). Protection of the "integrity of the natural environment", and "heritage of the built environment" are listed as the planner's obligations and part of serving the public interest (Solin, 1997, p. 6). Sustainability is indicated as part of the future vision for communities (AP A, 2003a). -253-

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Although a planner's obligation to consider the environment in planning decisions is noted in the most recent edition of the "Green Book": "With increased understanding of the interrelationship of plants, animals, and Earth processes, we know that any project or proposed action that involved land use will affect the Earth and its processes. In the past, decisions were made on the basis of costs and then later, on the basis of the ration of costs to benefits ... Besides considering costs, planners now have an ethical obligation to consider the environmental impacts of any land use decision." (Hoch, et al., 2000, p. 87); balancing of economic, social and environmental factors is also noted as a goal: ... planners help governments and private developers balance the protection of natural resources against the economic and social benefits of resource use." (Hoch, et al., 2000, p. 171) 3.1.12.3.1 Summary Environmental planning is one of five planning specializations. Environmental considerations are an additional knowledge base to be included in general in planning, and balance with social and economic considerations Focus is primarily on the interface between built and natural environments, and goals of environmental quality for built environments. A dichotomous goal of"enhancing physical environment, and minimizing adverse impacts of development" is present within the discipline. Specific environmental goals and values are "protection of the integrity of the natural environment and heritage of the built environment"; and, balancing environmental considerations with economic and social needs. Sustainability, although listed as a goal by AP A for American cities, is not currently part of curriculum or certification or the Code of Ethics, and is not yet integrated into the planning paradigm. -254-

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I I I 3.1.12.4 Historical Overview "City planning, as we now understand it, is an attempt to create a complete and satisfactory environment for the inhabitants of cities. It is only within recent times that cities have made any attempt at being perfect, complete organisms ... (1914, Hubbard, p. 265). ''Rather than integrating biophysical concerns into urban and regional planning, a separate discipline and profession of environmental planning seems to have emerged" (Slocombe, 1993, p. 291) Environmental planning did not appear as a subdiscipline within planning until the 1970s and 1980s (Briassoulis, 1989; Slocombe, 1993; So, et al., 1979) with the introduction of a broad spectrum of environmental laws and subsequent requirements for consideration of the environment in planning, particularly on federal lands, federal projects, or with federal grants. Its importance in planning has been dependent, in part, on public opinion regarding environmental values, and relative acceptance of restrictions on private property rights to protect environmental quality. Environmental planning was first introduced in the 1979 edition ofiCMA, with very limited scope of focus: "Environmental planning is a new area of concern for the professional planner and the planning student. It is an area traditionally controlled by civil and environmental engineers but one in which there is increasing need for integration with the more traditional areas of planning ... (So, et al. 1979, p. 212) Future change and expansion in the subdiscipline was presaged in a separate discussion on recreation planning in the same edition of the "Green Book": "The traditional parks or recreation department is becoming part of -255-

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new agencies with a broader mission, such as human services, life enrichment, and environmental planning and management." (So, et al., 1979, p. 275) Public concern regarding environmental issues was considered the driving force behind changes in the way environment was handled in planning: "Preeminent among community concerns in the late 1960s and 1970s was the environment. In response to this concern, strategies for environmental and resource conservation were introduced into the comprehensive planning process. Plans indicated how future development could be more energy efficient and protect the natural environment." (So and Getzels, 1988, p. 67). This force, described as the "ecology movement", was responsible for the "greening of America" (So, et al., 1979, p 281), and was also described as the "main thematic thrust of American life in the early 70s ... ", replacing the focus on civil rights in the 1960s (So, et al., 1979, p 251). By the 1988 edition of the "Green Book'', the discussion of environmental planning had shifted from a focus on water, wastewater and solid waste management to land use decision-making. Roots of this part of environmental planning were noted to be derived from conservation programs, parks planning, new town planning, and Depression-era rural planning. Environmental planner's work was described as the "preparation of land use plans, assessment of proposed developments, and preparation of land use regulations" based on knowledge of "natural and health sciences" (So and Getzels, 1988, p. 117, 125), and was considered part of a newly developing subdiscipline: ... The field of environmental land planning and regulation is likely to be expanding its focus for years to come ... (So and Getzels, 1988, p. 134) -256-

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"Although any planner should be sensitive to environmental values and incorporate those values into his or her environmental land planning is developing into a specialty in itself." (So and Getzels, 1988, p. 124). Environmental planning was noted at that time be a well-accepted approach by society: "In the past twenty-five years, environmental planning has become an American institution. .. (So and Getzels, 1988, p. 117) .. environmental land planning is well accepted by most people and well integrated into American society." (So and Getzels, 1988, p. 117) This acceptance; however, had waned by the publishing of the 2000 edition ofiCMA. Contests over the relation between private property rights and environmental protection had resulted in a backlash against environmental planning. Congress pulled back support for general environmental policy in the 1990s. Several court cases held private property rights above public values (APA, n.d.), reducing the ability of planning departments to protect environments. The divisive nature of environmental decision-making is noted in the 2000 edition of the "Green Book": "U.S. environmental policy has been the subject of considerable public conflict ... (Hoch, et al., 2000, p. 175) ... The conflict between ecologically based preservation and efficiency-based conservation remains with us today." (Hoch, et al., 2000, p. 172); and indicates a shift from public consensus regarding support for environmental -257-

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planning in the late 80s to an arena of conflict which must be negotiated. Negotiated goals for the environment, rather than environmental protection appear to be the focus, with the planner's role in environmental policy development noted to be one of fucilitating consensus (Hoch, et al., 2000, p. 196). Goals of environmental planning; however, may always have been less protective of the environment than those of the environmental movement. Slocombe (1993) noted the following regarding the role of the planner with regards to the environment: .. planning for development remains largely the work of economists and mainstream urban and regional planners, while planning for the biophysical environment remains the separate work of environmentalists, ecologists, and resource managers of various kinds ... (Slocombe, 1993, p. 289) The 1988 edition of the ICMA focuses on balancing environmental protection with economic development to promote public health, safety, and welfare: ... the environmental planner ... must be able to develop plans and land use regulations that will serve two broad goals: First, to protect people and property from natural and man-made hazards; second to protect and maintain important natural and man-made values (So and Getzels, 1988, p. 124) Both "hazards" and "values" are defined in relation to "health, safety, welfare of people and property" .. (So and Getzels, 1988, p. 124). The 2000 edition of the "Green Book" notes that planners ... help governments and private developers balance the protection of natural resources against the economic and social benefits of resource use." (Hoch, et al., 2000, p. 171). The role of the planner is to "ensure that both stakeholders and decision makers understand the assumptions and uncertainties associated with environmental analysis ... (Hoch, et al., 2000, p. 117), -258-

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which is noted to be facilitated by taking a neutral stance on environmental issues. Both the 2000 edition of the "Green Book" and recent literature (Campbell, 1996; Margerum, 1997; McDonald, 1996; Slocombe, 1993) suggest that the environmental planning framework may be broadening its spatial scope to include concepts such as ecosystem management, risk management, and sustainable development ; however, definitions of sustainable development and risk are variable and somewhat elusive making development of structures based on these concepts difficult (Berke and Conroy, 2000; Campbell, 1996; McDonald, 1996; Shaw and Kidd, 1996). In addition, ecosystem management is based on regional-level management (Margerum, 1997; McDonald, 1996), for which planning structures do not have the force oflaw, with planning statutes based at the local or state level. Finally, it is noted that ... The United States has not chosen to use sustainability as the basis for national environmental policy.'' (Hoch, et al., 2000, p. 185), thus a reinforcing structure does not exist at the national level to support goals related to this concept. 3.1.12.4.1 Environment in Planning: Health, Safety and Welfare The comprehensive plan generally contains two primary categories of the environment: "built" and "natural". Focus of planning was initially on improvement of the built environment to remedy concerns of health and welfare (Haldeman, 1911; Howe, 1912; Nolen, 1910); however, promotion of health was also linked to the presence of "natural environments" within and around the city through the provision of parks and other "open spaces" (Day, 1911; Hubbard, 1914; Olmstead, 1924; Whitten, 1923). A separate land-use category in comprehensive planning and zoning known as "open space" was created to maintain these unbuilt areas : "It is this value of mere breathing space, as apart from the more -259-

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obvious use or lack of use of a piece of open ground, that is so difficult to establish when a proposition is made to convert that piece of ground into a site for a specific building. No such place 'is safe until public sentiment is education to a controlling belief that breathing space in a city is quite as essential to the mental, moral, and physical health of its people as building space, and that the very best use to which certain portions of its territory can be put, is to ... keep buildings off of it."' (Day, 1911, p. 55) ''Open space is defined in the broadest of terms as space which is not used for buildings or structure; in other words, it is the counterpart of development. It may be air, land, or water-located in the 'big city' or in the open countryside, remote from urban development .. .It may be an active recreation area ... or a vista ... a large national forest ... or a treelined street. It may be used for recreation, water supply, tourism, economic development, resource development, or amenity. How it is built into the environment and what functions are emphasized is highly relative to the needs and the opportunities presently by location to the community.'' (Goodman and Freund, 1968, p. 186). ... Areas where development will be discouraged are often called open space, rural, conservation, or critical environmental districts; implementation policies for these areas promote appropriate agriculture, forestry, and ecological uses and discourage urban development." (Hoch, et al., 2000, p. 147). Open space was significant enough to be included in the Standard City Planning Enabling Act of 1928 (Appendix A). Justification was based primarily on meeting needs of the public health, safety, and welfare. Goals for open-space expanded through time as the definition of health, safety, and welfare were expanded in public opinion and through the courts. Goals for open space began with the physical need for exercise and ventilation, "psychological" needs for the "refreshment to town strained nerves"and inspiration (Day, 1911; Olmstead, 1924, p.215; Whitten, 1923), buffers around cities (Ihlder, 1921, p. 15), reservation of areas for future parks, and other development; and later, conservation (Harper, 1933; Segoe, 1931): -260-

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" ... for most of us this contact with nature means the renewal of life, the literal recreation of our vital powers .... (Whitten, 1923, p. 91) ''There are basically three functions which open space serves: ( 1) it can meet positive human needs-both physically and psychologically-in recreation amenities; (2) it can enhance and protect the resource base the air, water, soil, plants-and in turn, the animals; and (3) it can affect economic development decisions like tourism, development patterns, employment, real estate values, etc." (Goodman and Freund, 1968, p. 187). Concern with the natural environment throughout the history of planning, in general, has been based on meeting needs of the public health, safety, and welfare: ... the (environmental planner) must be able to develop plans and land use regulations that will serve two broad goals: First, to protect people and property from natural and man-made hazards; second to protect and maintain important natural and man-made values ..... A hazard is a natural or man-made feature that threatens the health, safety, or welfare of people or their property .... A value is a natural of man-made feature or process that enhances the health, safety, or welfare of people or their property." (So and Getzels, 1988, p. 124)." Definitions of health, safety, and welfare have changed over time, in relation to court decisions and public perception, and have expanded or contracted the planner's role in relation to aesthetics, wildlife protection, soil and water conservation, renewable energy resources, and other environmental concerns. Although the city was initially described as an organism (Olmstead, 1911; Olmstead, 1913; Mumford, 1938 ), and some visionaries in the field described "garden cities" or "self-sustaining cities (Hewitt, 1914) in harmony with the environment (Lynch, 1981, p.88-95); the discipline moved towards a narrower definition of the health, safety, and welfare based primarily on property protection, and public health and safety. -261-

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Environmental concerns of planners initially focused primarily on provision of parks and open spaces in zoning and comprehensive planning for recreation and aesthetics (Hubbard, 1922; Olmstead, 1924), and provision of adequate light, ventilation, water, and management of waste for healthy living conditions (Ford, 1923; Veiller, 1929 p. 124+). Broader environmental concerns appear to have been brought into planning practice through external forces, rather than generated within the field. Public concern has driven development of state and federal environmental legislation, and other environmental policies to which the planning field has subsequently responded: ... As local residents have voiced concern about the environment, planning efforts have become significantly 'greener' ... (Hoch, et al., 2000, p. 178). Planner's values with regard to the environment, and subsequent role in relation to the environment, were not indicated in "Green Books" until 1979, and became part ofboth AICP's Code ofEthics in approximately 1981(Kaufinan, 1990). The emphasis within the planning di8Ppline has remained primarily on the physical design of and allocation of land-uses in the urban "environment" to provide for health and safety of residents: .. planning for development remains largely the work of economists and mainstream urban and regional planners, while planning for the biophysical environment remains the separate work of environmentalists, ecologists, and resource managers of various kinds ... (Solcombe, 1993, p. 289) More detailed discussion of the evolution of several values associated with the natural environment are provided in the following sections (3 .1.12. 4 .1.1 and 3.1.12.4.1.2). -262-

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3.1.12.4.1.1 Recreation and Aesthetics Recreation and aesthetics were both noted to be important to the well-being of city inhabitants. Parks and other outdoor recreation areas were originally developed for public health reasons: "Recreation is essentially mental or physical relief from an exhausting activity or environment ... In our crowded cities ... all people are alike subject to certain exhausting forces: the tenseness of their struggle for a livelihood and the restriction of their man-made surroundings. It was natural, therefore, that the kind of recreation which was first seen to be needed was leisure, openness of surroundings, room to walk and to breathe and a chance to see trees and grass instead of bricks and mortar ... (Hubbard, 1914, p. 266) ... recreation is an essential of the life of the people in a community and opportunities for engaging in it rank substantially in the same order of importance as opportunities for schooling." (Menhinick, 1948, p. 163) .. we believe that it is the duty of every community to provide for each of its members those things which .... he cannot provide for himself Perhaps, of all the things which the average man cannot provide for himself when he is in a large community, the access to large unrestricted spaces and the opportunity for exercise in the open air, and rest away from the oppression of brick and mortar, are the most obvious and most important.," (Hubbard, 1922, p. 2) "Daily contact with nature in some of its varied forms is an essential of health, normal living. It has an undoubted energizing, tonic effect that is no less real because incapable of actual measurement. It has a restful effect on eye and nerve and aids clarity of thought. It facilitates a sane, joyous outlook on life. It stimulates and it inspires ... (Whitten, 1925, p 411) Beauty and aesthetics were also reasons for creation of parks and open-space areas : -263-

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"One of the prime purposes of platting control should be the conservation of natural beauty to the fullest extent consistent with use of residence purposes .... Beauty of form and color in growing things is innate; and its universal and instinctive recognition by humans is due to the fact it is good and has a real function and purpose in the life and work of the world." (Whitten, 1925, p. 411-412) ''The desire for open space and beauty of environment is innate in all people. That open space so necessary for healthful urban living diminished as the city grew, is one of the reasons that caused people to flee to the suburbs in increasing numbers .... (Segoe, 1941, p. 557). The 1959 edition of the ICMA suggested preservation of natural features as the most economical way to introduce beauty into the city, perceived as a legitimate value which also increased property values : ... in a city, where nearly everything is man-made, beauty seldom comes naturally and is usually considered an expensive luxury. Consequently, the first and least expensive move to make in creating a beautiful city is to preserve those natural features that are generally recognized as constituting beautiful assets A natural feature may be a lake, a bay, or a river It may be a hill, a grove of trees, or a formation of rocks. If it is unusually attractive natural feature, preserve it!" (McLean, 1959, p. 297). 3.1.12.4.1.2 Consen'ation Widespread public policies to protect or conserve the natural environment are relatively recent in U.S. history (Adams, 1993; Margerum, 1997; Wilkinson and Anderson, 1987), beginning with the formation of wildlife preserves and forest reserves, designation of national monuments, and creation of national parks. Within the planning field, the need to preserve, conserve and restore resources became an important part of dialogue after the Depression (So and Getzels, 1988): "Within the past century we have become increasingly aware of the -264.

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grave dangers inherent in purely individualistic land use ... We have found that it results in destruction of forests, denudation of grazing lands, disastrous floods, serious depletion of soil productivity, huge economic losses and great social distress ... the public must provide some degree of land use control to safeguard the interest both of the public and of the individual land user." (Farrell, 1934, p. 102) ... city planning waiting till the unpJanned development of some urban areas began to interfere with that city's business, industry and transportation, or the work, health, comfort and recreation of its inhabitants ... Just so with rural land use. We have already used our rural lands in too haphazard and unplanned a manner and without sufficient regard for either the service that these lands should render or the welfare of their inhabitants We have driven the plow too far into the dry prairies, we have irrigated lands that cannot profitable reach a market with their produce; we have drained muskegs and swamps and flood lands for fanns that were foredoomed to fail; we have overgrazed sloping western grasslands, and over-cultivated eastern hillsides to their destruction by erosion; we have slashed and burned our forests without regard to a future crop leaving villages and lumber-jack farmers stranded in impossible locations and on impossible soils; we have reduced our wild life by axe and fire and plow and dredge and gun, until some species are already limited to museum specimens, while we quarrel over the manner in which the starved and harassed remnants of other species are to be allotted among an army of hunters; we have reserved parks and recreational areas in the distant mountains while time and expense prevent all but a mere fraction of our population from enjoying recreational facilities located beyond the limits of their home country. In the meantime, we babble abstractly of a land-use program that will insure "the highest social and economic use for all our lands" and provide "the greatest good for the largest number for the longest time." (Schoenmann, 1934, p. 114) Although natural resources conservation programs and education overlapped the planning field during the Depression (NCCP 1930-1938); resource management has primarily remained the purview of federal agencies managing federal lands -265-

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(Albright, 1930; Hoch, et al., 2000; ); states managing resources "owned by the state" (i.e., wildlife, water); and, county-level soil and water conservation districts: ... Soil Conservation Service concerned itself with major environmental problems of rural areas-erosion, flooding, sedimentation, and aridification. ... over 3000 local soil and water conservation districts were formed under state enabling legislation. .. Today these independent local districts remain principal advocates of environmental land use planning in rural areas and work with counties, cities, townships, and other local governments ... (So and Getze]s, ed, 1988, p. 120) Resource conservation is; however, listed in recent "Green Books" as one of the planner's values which should be advocated for in planning practice (So, et al. 1979, p. 10; p. 505; So and Getzels, 1988; ): "Planners must have that concern for the more remote future that leads them to address issues such as soil erosion, deforestation, energy use, materials recycling, water allocation, and rural-urban balance. It is hard to save a swamp from development, but planners try." (So and Getzels, 1988, p. 505). 3.1.12.5 Traditional Consideration of environmental quality has always been part of the planning discipline, primarily with respect to human health, safety and welfare; values such as beauty, conservation, and recreation; and, provision of healthy living conditions within that framework. Concerns regarding ecosystem health are more recent, and thus cannot be considered traditional. A dichotomous goal of"enhancing the physical environment, and minimizing adverse impacts of development" has traditionally been present within the discipline. The natural environment is considered one component of planning, to be balanced -266-

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with others such as efficiency, and economics, in creation of plans. A planner's responsibility with regard to the natural environment was codified into the AI CP Code ofEthics in approximately 1981, thus protection of the "the integrity of the natural environment" is now a core goal of the discipline, although the definition of ''integrity" has not been clearly expressed, and public opinion regarding the environment bears heavily on the extent to which it is expressed. A special category of land designated as "open-space" provides for undeveloped "natural" areas within cities. This is a traditional component of comprehensive plans and the discipline of planning; having existed since the beginning of the discipline. -267-

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3.1.13 Characteristics of the Planning Discipline "I like being able to work with something that is renewing itself, yet has traditions, paradigms, and a history." (RR) This section provides discussion of characteristics of the plamring discipline as informed by interviewees, followed by ''validation" by current literature, and review of historical archives to determine which characteristics are traditional of the field. 3.1.13.1 Interviews Interviewee transcripts were first reviewed for responses to "What are some characteristics of the field that distinguish it from other professions?", and "Why was planning needed in the U.S.? Why did planning develop as a profession, and then a field of study?" "What do you feel are three of the major ideas/principles of the field?", followed by review of each transcript for statements made in other portions of the interview about planning goals, planner's role, etc., which indicate discipline characteristics. Three general areas were indicated by interviewees as not being adequately addressed by other disciplines and were part of the reason for formation of the planning discipline: I) projection of future actions and development of tools and methods for this purpose 2) development of a comprehensive approach to dealing with city problems, and 3)development of a framework of tools for intervention into market processes in the interests of equity and rational development. Interviewees compared planning with the following fields in discussing unique characteristics of the field: law, medicine, psychology, geography, architecture, engineering, economics, and public administration. Some characteristics of the field were noted to be shared with other professions such as the physical orientation -268-

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shared with architecture and geography, and the political nature shared with the legal profession. Characteristics which distinguish planning from these fields were noted to include: Open/evolving/expanding, interdisciplinary/eclectic/comprehensive, applied/practical/problem-solving, spatially-oriented, locally-focused/contextspecific, future-oriented, normative, focused on change, process-oriented, and public sector-orientation, service-oriented; ethnological framework; wide range of clients; and political. Figure 3-8 shows 12 major characteristics identified by interviewees, with the number and percentage of interviewees mentioning each as a characteristic of the discipline. Normative characteristics are identified as those mentioned by over 50% of interviewees, and include the following: Physical/Land-use basis; Normative; Evolving; Comprehensive; Future-oriented; Public-oriented; Local or context specific; Legal framework; Applied/Problem-solving/Practical; Dual political and technical nature; Process-orientation; and Change or Intervention. -269-

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I N .....:I 0 I Figure 3-8. U.S. Planning Characteristics (n=13) Percent of i nterviewees Ill Number of interviewees 100 100 50 0 o/0 100 100 0<::" ,$-0 OJ;-v :-0<:$ 0'6 r:,l? .... &0 0

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3.1.13.1.1 Evolving .. there's a long tradition in planning, but I think the context and how it has changed is not just old wine in new bottles-it's a different mixture ... "(RM) .. the thing about planning is that it is an evolving field ... major ideas and principles seem to be evolving ... (RS) All interviewees noted the evolving, or expanding nature of the planning field, discussed previously in the history of the planning discipline (3.1.4.3). The field is noted by respondents to be flexible, open to a variety of ideologies, different ways of thinking, and embraces new areas of study and scientific methods. These are characteristics which has an eclectic nature and "fuzzy" boundaries, resulting in a field that can fairly quickly adapt to changing societal needs. It is also noted by several interviewees to be a field that requires continual updating of knowledge through attendance at conferences, workshops, and reading of current literature. 3.1.13.1.2 Physical-orieotatioo All interviewees note the physical-orientation of the field. Twelve interviewees noted the initial foundation of the field in physical planning which focused on design of the built environmerit in urban areas to solve local problems of"chaotic and irrational development". Nme interviewees indicate that this physical orientation remains in the form of "current planning''which deals with zoning, comprehensive plans, subdivision design, and other spatial aspects of the city. It is also present in the language of seven interviewees who discuss "shaping'' or "designing" space, places, and processes, in discussions of planning roles and goals. Five respondents specifically mention the spatial aspect of the field: -271-

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"Planning is intrinsically spatial ... the difference between a planner and economist would be that the planner is interested in the spatial implications of the economic environment and distribution of economic activities in space." (RS) Six interviewees mention the land-use focus ofU.S. planning: ... there's an assumption that in the end, all of this relates in some fushion to land-use. In fact, ... the statutes in the United States clearly indicate that That's what the states have in common, and the 1928 Act that was framed---the zoning framework developed by the Department of Commerce in 1928, was transferred to the states, and then absorbed in various ways by the different states subsequently, so what we have to do with planning that's common, in that sense, all comes out ofland-use ... (DH) ... substantive realm ofplanning . obviously includes land use ... in terms of substance, that's the most fundamental ... (RS) ''Planning is above all, local, public sector, land-use, and physically oriented .. (TC) ''Planning ... always is associated with zoning." (RW); and/or, land-based property interests as an important part of the dialogue, tension, and regulation in the field-primarily the balance between public interest and private property: "Property rights issues have lurked in the background for the last three decades and a succession of Supreme Court decisions have given some hope to the proposition that planning needs regulatory clout to succeed . we are still at a point of uncertainty as to just how potent our vehicles are for influencing the spatial outcomes that planners predominately focus upon . (TC) -272-

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" ... the profession of planning has been caught in a dynamic tension. .. tremendous pressure between those that profit from the creation of urban form--the development of space, and the genuine desire to regulate those who profit [in the interest of] the public health, safety, and welfare ... (CI) ... the biggest nexus we have in planning is really the age old conflict between private property rights and the public interest ... (VD) Ten interviewees note that understanding of land-use related tools and other spatial aspects of planning such as GIS, maps, empirical analysis of setting, physical design, zoning, subdivision review, and comprehensive planning are necessary components of the planning curriculum. 3.1.13.1.3 Normative Nature "I think, as a profession, we have certain values that are prescriptive, that are worth pursuing and educating the public about. .. (TC) All respondents indicate the normative nature of the field, with its "code of ethics" guiding the planning process and practice; "social engineering" or intervention to create "equity", "a better world", or "healthy communities" The following statements are illustrative of this normative focus: "Planning is 'ought' and the social sciences are 'what is' and there is a huge chasm between the 'is' and 'ought' and planning bridges that..." .(TC) ''Planning is aimed at creating better communities, enhancing the quality of life, and that's the intermarriage of you know, the built environment, plus the regulations, finances, and political forces that transform a place ... regulatory, economic and financial and administrative forces that transform a place. I don't think there's any other profession that embraces that quite so openly. One could argue that law and lawyers do a lot of that kind of work. Well, yes, but -273-

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(they) don't do it from the point of view that has a set of values or as a set of overt actions ... as the planning profession does." (RR) ''The difference between planning and any of the fields that feed into it like economics and geography and sociology and so forth is that. ... planning is committed to intervention. .. so planning has always had a reform interest ... which means to change things socially." (RS) ... there's another built-in assumption which is that we're the good guys. There are some people out there for their own selfish reasons want to do something that's bad for the larger public and there is a larger public good ... "(MH) Respondents generally indicate; however, that there currently is not a singular view of what constitutes a "better world" or "public welfare", and that this view has also evolved over time: "Pianning ... does not embody a singular view of the world." (TC) "The hilarious thing about the history of professional practice in planning is how radically those assumptions can change in a generation .. urban renewal and widespread demolition of cities and preservation or new urbanists recreation of urban fabric all are the current ideas of their generations. All are in service of an unarticulated idea of the public good They're all the product of very good intentions ... (MH) Ten interviewees note that a professional Code of Ethics exists (See sections 3 .1. 7.4 and 3 .1.13. 3.3 ), providing guidance to the planning discipline regarding the conduct of planners, and general goals of the planning profession 3.1.13.1.4 Comprehensive/Interdisciplinary/Eclectic .. there was a need for people to work. .. at a scale and degree of -274-

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comprehensiveness that did not fit the professions that existed." (MH) "I think it's very eclectic. I think that students of planning are called upon to know, bring levels of depth, a great deal about many different fields of endeavor and activity ofhwnan behavior and integrate those things ... (DH) Comprehensive/interdisciplinary/eclectic was the next most frequently mentioned characteristic discussed by twelve respondents (92% ). These characteristics of the field were indicated as one of the early reasons for development of the field, as other disciplines did not cover such a broad range of topics, or methods. Eleven interviewees (85%) mention the Comprehensive Plan or the comprehensive planning process when describing the planning discipline. The Comprehensive Plan, a unique element of the planning field, incorporates consideration of economic, social, and environmental conditions and their future trends, and setting of goals and means to achieve them in planning for the future of a city or community. One respondent noted that the comprehensive planning process is the unique contribution that a planner brings to a planning process. Training in comprehensive plan development is noted to be an important part of planning curricula by interviewees at 500/o of universities involved in this study. One respondent noted that approximately 18 subject areas are addressed in training students for development of the Comprehensive Plan. Five respondents indicated the planning discipline is eclectic with a unique fusion of knowledge from many disciplines, rather than a multidisciplinary field: .. its very interdisciplinary. It's the nature of the overlap between economics, sociology, anthropology, geography, political science ... it's the nature of that overlap that makes it planning." (CI) -275-

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" .. .It's unique because it encompasses the various ethics, if you will, and theory of a number of disciplines. It tries to tie all of these together ... (AK.) This broad blend of knowledge is indicated in the number of knowledge areas noted by interviewees to be required by planners: law, physical planning, social, economic systems, and natural systems. One respondent further expounds upon the breadth of subject areas: .it's a tembly eclectic field, ranging from social work, welfure and health, to administration and zoning, to urban design and architecture, and environment and environmental policy ... (RR) Two respondents indicate part of the difficulty in developing adequate educational . programs for the planner during the short period of a graduate degree (2-3 years), is due to the broad range of knowledge required. Several interviewees indicate that continuing education may be needed to gain this breadth of knowledge: ... Going back a hundred years, it was essentially physical public planning. Today, planners have such a wide variety of specializations, from conflict resolution to socioeconomic change ... That's been one of our problems in planning education ... You can't prepare a student for all these possibilities. Planning education has really become a lifelong educational program ... (VD) Five respondents noted that specialty areas are often needed in planning, due to the broad range of knowledge in the field. Specialties mentioned by respondents include land-use planning, physical planning, transportation planning, environmental planning, social planning, economic development planning, urban design, community development, and conflict resolution. -276-

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3.1.13.1.5 Future-oriented "Planning sets itself apart from the social sciences because our turf is the future. The social sciences' turf is the past. The inability of our sister disciplines like geography and sociology and the rest to address the future is a fundamental argument in support of planning as a vital discipline .... We harness the social and natural ,sciences and tie them to the participatory processes in planning to legitimate future vision." (TC) "Plan for the future of the community is the foundation of planning ... (BG) ... for most communities, the future is a place. The future is a 'place' and is time meets space, and they think of that future as a vision that they can image in their own mind and everything stems from that.." (TC) Future-oriented was mentioned as a discipline characteristic by twelve interviewees either through describing the transformative/change focus of the discipline, discussing the 5-20 year time frame of comprehensive planning, or directly expressing the future as a focus of the profession. Goals of the profession are often described as seeking the future ''well-being" of communities or future states which are "better" than the present. The planning process itself begins with defining the current state, and setting goals for the future. Planning methods used in this process involve forecasting future demographic and economic conditions. Development of these methods were recognized as one of the reasons for initial development of the planning profession: ... There was also a need for somewhat different methods. There was a need to project future actions in a way that got into economic and political and social forecasting that was again, beyond the level of neatness of what engineers could do ... (MH) -277-

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3.1.13.1.6 Dual PolitiuVfechniul nature "[Architecture] tends to separate out the physical from the social, economic, and political, whereas planning requires making that articulation. . (CI) "For a long time, planners felt they shouldn't get involved in the political process. They were just there as technical experts to tell the public commissioners the best technical solution to a problem, but I think more and more, people in planning recognize that being part of that political process is important, and this of course means that they've got to understand values of the citizens in the community and the differing values." (VD) ... Planning is aimed at creating better communities, enhancing the quality of life, and that's the intermarriage of you know, the built environment, plus the regulations, finances, and political forces that transform a place ... (RR) Twelve respondents mentioned the dual technical and political nature of the field, which might be considered part of the comprehensive character of the field. In general, planning is described as a technical field embedded within the political process and structure of planning commissions and other elected governmental bodies, public meetings, and legal structures Knowledge of technical skills such as data gathering, analysis, GIS, and modeling are necessary, as well as, social/political skills such as the ability to communicate, work on teams, and to facilitate, coordinate, negotiate or mediate public meetings and hearings, and understanding of power structures (See sections 3 .1. 7 .3, 3 .1.8. 5 ) : ... A planner who graduates from this program highly skilled in multivariate analysis ofGIS-I'm sort of thinking of the sort of standard list of planning skills, but who can't facilitate a good process -278-

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I I I I I I I is not, I think, a technically qualified planner, and vice versa. I think people need to have a full toolbox ... (CI) ... they're expected to coordinate this stakeholder group, this management effort, or this watershed group .... it's also being able to sort of understand and analyze those situations, so they can think about some of the power issues involved and how it relates to public involvement processes or institutional issues ... The other thing .. .l think is important is the ability to research and critically analyze infonnation ... (RM) ... it [planning] applies a range between a high degree of technical skill and a high degree of social skill, and I think the challenge for planning is to keep those two things in focus ... (DH) ... more planners are politically active than not, which kind of makes sense. You're engaged in the political process, although it's a little surprising given the myth of the neutral public servant..." (CI). The planner's role described by interviewees is also noted to be a dual role ofboth technical expert, and either facilitator, mediator, or negotiator of public meetings: ... most planners see themselves as a hybrid between the political role and the technical role. Technician is in the background. Politician is in the foreground ... (RS) The planner is not recognized as a leader or decision-maker, in general, and thus must work with those recognized as leaders (i.e., the public; elected leaders) to both define and protect the public good. Six respondents noted that without understanding of and ability to work within the framework of the local political process and to deal effectively with politicians, planning is not effective: .. technical role makes them useful, what makes them a professional, but the technicians without the political actors, that's where they were post wwn and they simply didn't have the political skills to get anything done.,; (RS) -279-

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''The planner has to learn how to work, first of all, with that sort of excitement that they want to create this whole new huge vision, better world, all this kind of stuft: and how to figure out or deal with the political aspects of it, as well.." (LL) ... you walk a tight line between what you think is good for the connnunity and what the politicians will allow you to do .... (LL) ... the best technical solution in the world isn't going to get you anywhere unless people support it or agree with it and you can get connnitment to follow through on it ... (RM) Although interviewees indicate that technical skills have always been an integral part of the field: ... procedural and substantive technical knowledge ... .it's very important part of the persona and the legitimization of the field." (RS) "I think data analysis and plan making-that's pretty much been the framework since very early on" (VD); the, political aspect has more recently been accepted. Planners initially played the role oftechnicaVexpert advisor and became increasingly rational in approach through the mid-1960s when a purely technical approach to problem-solving appeared to be insufficient. In the mid-60s, failures of this strictly rational approach became obvious There was recognition that there was no one best solution, and that perfect knowledge of all public needs and goals could not be obtained. In addition, it was recognized that values, feelings, emotions also a legitimate part of process that had not been integrated. Finally, the failure of such programs as urban renewal were recognized, and the need to involve citizens in determining the future: "When broke down, when the rational planning model -280-

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broke down ... you realized that it was absolutely impossible to look at an exhaustive set (of planning options) ... you don't know whether you have the best one or not...it's there where stakeholder and alternative perspectives are very important, since we know we can't optimize ... actions require some deb"beration. .. dialectical discourse ... Postmodernism and postpositivism. .. honor both valuative and factual .knowledge that can be brought to the table by all stakeholders with the legitimacy of alternative points of view ... science doesn't determine the best alternative ... argwnents among stakeholders produce the best alternative." (RS) The dual technical and political character of the field is now recognized with respect to both the understanding of problems which planning addresses, and potential solutions to those problems: "Conflict can be deeply rooted in community's economic situation ... physical development, cultural identity and its politics ... (RR) ... planning seeks from the public some sense of where the shoe pinches and what has to be done and then works with that public to fashion alternatives, and then applies both political and analytical expertise to make choices amongst those alternatives ... {TC); and, the discipline is currently expanding and evolving to include approaches from other fields (e.g., political science, social science, psychology) to aid in understanding problems from these perspectives. Values and/or definition of the public good/ public interest are considered by five respondents to be part of the political aspect of planning: ... Planners operate within a political context, within a context of political economy ... when I talk about a political context, I mean at least ideally .... we [ people in society] make collective decisions about what we as communities, as societies, want to happen ... Those -281-

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decisions are given to us [p1anners] ... goals are ... decisions to be made by society and politics" (MH) ... everything is not some technical problem to be solved, we have to deal with differences of values which political sciences are very much focused on ... (VD) ... the public heahh, safety, and welfare is almost a cliche'. We say it. It sort of roUs off the tongue, but those words have meaning, and then we ask what publics? Whose health? What does it mean to be safe? And what in the world does welfare mean? lbat becomes an extraordinarily complicated political question. .. (CI); and, the profession is currently grappling with developing public processes which provide recognition of and deal with community conflicts arising from multiple publics and values: ... values are important, making values explicit and learning to do that ... developing tools for exploring values and not shying away from that as a question .. .is important. This has turned out to be the most difficult thing I'm doing in the course I'm teaching right now ... my Design Policy class where I have an exercise where people need to articulate a policy goal within a very small .. very small circumscribed policy goal and then generate different means of accomplishing it. The means of accomplishing, they're good at. That's what they do. Articulating a goal, getting students to do that is like pulling teeth ... "(MH) 3.1.13.1. 7 Public ... the history of planning is emblazoned in the structure of contemporary planning which is largely local, largely public sector .... (TC) "Really what planning is, it's a process of decision-making. What do I want to do? When do I want to do it? How am I going to pay for it? And in that sense, that's really what city planning is about, it's just -282-

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that we're doing it in the public sector and with a commtmity and a lot of people involved and we have public meetings and we have laws about public hearings, and we have laws about what we can and cannot do with our private Jand. Here again, public interest comes into bearing." (VD) ... one thing that's still very important, a core principle of planning-the role of the public and planning as being a public profession. .. (RM) ... city planning is sort ofbuih on the foundation of a collective public interest ... (LL) .. the planner is supposed to be the keeper of the public interest, the servant, the person that looks out for the public interest, and there's no other field that does that." (RS) Eleven interviewees note that planning involves public meetings or public processes. Eight indicate that it is a public-sector activity, four state that it is a public-service profession, and seven indicate that it is a discipline which represents or protects the public interest. Six interviewees noted that the public-sector orientation is primarily focused on employment in local, state or federal government. Six interviewees indicated that public-focus was historically the basis of the profession and that the planning function was situated in or for local government, focused on development and management of public buildings and spaces, and development of municipal infrastructure. In addition, regulations such as zoning and subdivision design were based on the public health, safety, and welfare (See section 3.1.13.4.9). Aspects of the profession which have evolved, in part, from this public-sector orientation are noted by interviewees to include: defining and protecting the public -283-

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interest; ensuring public participation in planning through public meetings and/or hearings; public determination of goals; and, provision of public infrastructure and public finance for development: .. the key to planning is serving the public interest ... (VD) .... from a formalistic, societal standpoint, it [planning] deals with public health, safety, welfare and morality ... societally it is a way of trying to address quality of life issues and resource issues on behalf of large groups of people with varying values ... (DH) "Planning is "built up about. .. sort ot: public processes, public involvement, the role of the public" (RM) .. to the extent that we view poverty as evidence of market failure, it legitimates planning as a 'public good' situated in the public sector serving society, undertaking actions that markets cannot deliver ... (TC) Although historically focusing primarily on employment in the public-sector, planning has always existed at the interface of private and public sectors, especially with regards to private property and zoning and subdivision regulations : ... one question in defining the profession of planning is whether we are talking about a profession that exists only or paradigmatically in the public sector or whether, on the other hand, we're talking about a set of skills and professional activities that can be practices in a variety of settings-the public sector just being one of them. I'm in the second camp. I'm in a bundle of skills, apply them where you like ... but that's an important distinction and one that I don't think is resolved. Historically, the field emerged as a public sector activity primarily. (MH) Four interviewees indicate that the responsibility to the public interest applies to -284-

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both private and public sector planners, and is embedded in both the American Institute of Certified Planners and American Planning Association Code of Ethics, sometimes creating dilemmas for private-sector planners: .. the American Institute ofPianners ... the American Planning Association..they do have a very strong code of ethics, and within this, they have essentially stated the goals of planning ... the basic one is the p1anner' s responsibility for carrying out the public interest, and not just the public interest in public buildings, but the public interest in private development .... (VD) Two interviewees indicate that it is the responsibility of private entities who benefit from public infrastructure and regulations to accept regulation in lieu of the public interest. Three note; however, that determination of the public good, public interest, or general welfare is a knotty problem: ... the problem is in assuming out the messiness .... assuming that the public good is something that's there that we can all agree on and in fact that we all have agreed on .... (MH) Five indicate that one of the goals of the comprehensive planning process is identification of the collective public interest or common good. Topics noted by interviewees to be included in the public interest are: private property concerns; health, safety and welfare of the public; and, correction of market inequities. 3.1.13.1.8 Locally-focused/context specific "[ideas and principles of planning are] derived from the Enlightenment to being with, and from the American idea of democracy which is locally oriented ... (U.S. planning faculty) ... the history of planning is emblazoned in the structure of -285-

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contemporary planning which is largely local, largely public sector, largely focused on the built environment, and largely endowed with the powers associated with regulation, fiscal policy, and education and those are the three legs on the stool of implementation." (TC) Locally-focused/context specific is a characteristic mentioned by 10 (77%) interviewees, and noted to result in goals, values, and processes of planning which may differ from place to place. Place was initially defined as the city, while interviewees currently discuss either the city or community as the focus of planning. Four note that planners work primarily in local government for the public sector. Eight indicate that planners need local knowledge to be successful in their work including: understanding of place--ronditions, concerns, history, and, knowledge of the local planning framework-statutes, codes, policies, procedures and standards. This knowledge, in tum, provides the basis for designing local planning processes which focus on achieving locally-derived goals through locally-supported methods. Three respondents note that this local focus is part of the overarching structure of planning which provides for community control of planning through state enabling acts (See section 3.1.13.4.9). Several interviewees mentioned that the planning regulatory frameworks differ among states, and among cities within states: ... the reliance upon zoning as a control, varies from state to state .... Texas, for example, uses zoning as little as possible, it seems, and they rely more upon covenants. Houston, if I understand things correctly, really plans by covenant. I mean it's very local. It's the choice that they made ... "(DH) ... the things that guide it [design review] are local statutes which are the local codes with respect to design review in state statute, and then the practice within the planning department... (U.S. planning faculty) -286-

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Several mentioned differences in local planning processes and customs of the planning offices: .. .1 don't think planning processes are nonmlly that rational. I think they're more driven by custom, generally local custom. Custom works through trial and error, historical experience and through the community's memory of something that happened before ... (U.S. planning fucuhy) .. The planning process-! think there would be consensus about its gerteral structure which in the broadest sense begins with the placement of the planning function. For most, it's local, public sector ... (TC) .. this town [Manhattan, KS] was founded by a collection ofNew Englanders who settled here to make sure that Kansas entered the Union as a Free State, and I don't know if they're the ones that are responsible for this town meeting sort of idea of not, but the urge to have an open meeting is one thing, but the urge that everyone can speak, and there really isn't any time limit put on them, is unique .. .I've been to some planning commission meetings in suburban areas in Kansas where they give a limit on the amount you can have, and it's for good reason. I understand that, but somehow this is the heritage of this community ... (RW) Goals developed for planning and in the planning process are also noted by respondents to be context-specific, addressing community-wide issues and concerns: "I believe the goals of planning ought to be different in a place like Boulder than they are in Appalachia or China. .. .it requires an understanding of the local-setting ... [there isn't] this sort of booklet of goals you can cany around and apply to every, single situation ... (RM). Values are locally-derived and are important for planners who work in different regions to understand: -287-

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" ... In om program [KSU], we really don't talk about water. In Colorado, it's the biggest thing to talk about and cities out there are buying up water from wherever they can get it .... Land is abundant in Kansas. It's not one of the major hmdles. Land is being eaten up in east and west coast scenarios. The density of development is terrible ... Come to Kansas, drive through Kansas, you see nobody for miles .... You have different issues that you have to deal with ... (AK) ... each conmunity has its own sense of what it is-values, aesthetics of the conmunity. The planner has to help the conmunity translate that into something that can be integrated into the plan ... (BG) 3.1.13.1.9 Regulatory/statutory Framework "The passage of model legislation went a long way to inform the country of approaches that could improve local scale, public sector planning, and when the Supreme Court, in the mid-20s, determined that zoning was a legitimate exercise of police power in the context of Euclid V. Ambler Realty, we were off and running because we had the essential tool to shape land and its use." (TC) Nine interviewees note the statutory and regulatory framework of the planning field which defines and protects the public interest, and health, safety, welfare, of communities; provides boundaries for legal implementation tools which can be utilized in "shaping" places, and reducing market inequities; and provides a framework for public participation in planning: .. the planning rules and regulations we have out there are designed to sort of make sure the market doesn't mess things up." (LL) ... we have laws about public meetings, and we have laws about what we can and cannot do with our private iand. Here again, public interest comes into bearing . (VD) Six interviewees went further to indicate the field is particularly rooted in law, either mentioning that lawyers were part of the core of professionals developing the field, or -288-

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that roots exist in common law, English law, zoning law or private property controls: ... planning as a professional activity emerged parallel to the emergence of controls over the actions (of) private property owners". (MH) ... the training and planning education having come out of architecture and landscape architecture, Frederick Law Ohnstead, and the tenements ofNew York City and the LA zoning ordinance of 1912, and the New York zoning ordinance of 1916-that kind of pedigree ... (DH) Four interviewees mention the "enabling acts" which laid out the broad framework for this regulatory structure in the 1920s (Appendix A, Standard City Planning Enabling Act; Standard State Zoning Enabling Act), providing such tools as the master or comprehensive plan, platting, and zoning which are part of"current planning". Eleven interviewees mentioned the comprehensive plan, and ten mention zoning as an important part of the history, practice, and training of planners: ... zoning is an important ingredient in the overall kitbag of tools available to planners, even today ... "(TC) ... planning always is associated with zoning" (R W) One respondent indicates the legal framework of planning expands and contracts in relation to court decisions. Three indicate that the relation of property rights and public interest is the focus of courts cases regarding planning: "Property rights issues have lurked in the background for the last three decades and a succession of Supreme Court decisions have given some hope to the proposition that planning needs regulatory clout to succeed and that certain forms of regulation are a legitimate exercise of police power, a stance that was first enunciated in the Euclid v. Ambler -289-

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Realty decision, but the more recent cases, open up as many concerns as they address ... (TC) .. planning is really the age old conflict between private property rights and the public interest ... (VD) Six interviewees mention planners as regulators of physical development. Seven list understanding of planning law as one of the necessary elements of planning education, providing the framework within which the planner can work (for intervention) to combat market inequities; shape land-use; and protect heahh, safety, welfare. Types of regulations mentioned include those related to zoning, noise, density,signage, land-use, environment, aesthetics, subdivision design, design standards, and local building codes. 3.1.13.1.1 0 Applied/Praetica.I!Problem-solving Applied/practicaVproblem-solving were noted are distinct characteristics of the field by 8 respondents ( 62 % ): "You can go through a geography program and become an extraordinarily good GIS person ... You can be an extraordinarily good community economics person ... but unless you are really looking .. in an applied way, you're not doing planning." (CI) "I think most students that come into planning ... really want to try to solve problems." (VD) ... people trained in public administration are typically policy-oriented and political ... theoretically-oriented things ... planning is much more practical .. (AK) ... early social sciences ... didn't connect ... to the practical decisions of day-to-day life, and planning grew up to do that. .. (DH) -290-

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Ten respondents note that the field initially developed to solve municipal problems, problems of land-use related to rapid urban growth and overpopulation, problems related to market inequities or failures, and thus developed with a problem-solving focus. Seven mention that the planning process currently includes problemidentification and/or solving as one of several steps (See Figure 3-1 ). Several respondents mention the importance of developing knowledge through practical experience-specifically with regard to facilitating public processes, developing solutions to problems, and the inclusion of internships as part of planning education. One noted that this was a change in the profession from early planning education which focused primarily on the classroom Although theory of the field is also noted to be important, its importance is indicated in relation to application. One interviewee, in describing differences in training of students in the planning field from other fields, noted the following: ... apply what it is that you know in an active way and develop a capacity to learn from action putting your theory into practice, so it's not a theoretical exercise, it's sort of practical skills ... (RR) 3.1.13.1.11 Process/Decision-making framework/ Orderly Way of Allocating . understanding of. . process issues . that's really central to what we do ... (RM) .it's different from other professions in that it is looking at a process to achieve something." (RW) ... Planners seem to go in all kinds of directions using the decisionmaking skills that come out of planning-that's the primary venue, I -291-

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think, in terms of the whole planning process. It is a decision-making framework. ... (AK.) Process, decision-making framework, or orderly way of allocating was noted as a distinct characteristic of the field by 8 interviewees. Planning was variously descnbed by interviewees (See section 3.1.1) as a: logical process to organize thinking; a framework for decision-making; forum for discourse over choices; forum for sorting through conflicting notions of health, safety, welfare, public interest and values, and an orderly way of allocating resources in interests of larger good. Nine interviewees indicate that the culmination of the process is generally a plan. Ten emphasize that public participation is an important part of the planning process, and four went further to indicate that one of the goals of the profession is to maximize public participation in the process. Seven indicate that knowledge of how to conduct and/or facilitate the public participation process is an important part of the planner's training. More details regarding planning process( es) were presented in Section 3 .1. 5 --including steps of a general planning process, and the ethical framework of the process. 3.1.13.1.12 Change or Intervention-oriented ... Most planners are interested in some kind of social change, improvement, transformation. In other words, planners aren't conservative in the sense that we think that everything is just fine. Planners may be conservative in their political ideology, but they're trying to change something into something ... "(CI) .. the field is aimed at what I call 'social engineering' .. aimed at crating both physical and social change. Planning is aimed at creating better communities, enhancing the quality oflife .. .I don't think there's any other profession that embraces that quite so openly .. (RR) -292-

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''Planning is committed to intervention ... and if you intervene, you're thinking about changing something." (RS) Seven (54%) interviewees discuss planning as a discipline that improves, transforms, or creates a better future of some sort, and is; therefore, change-oriented: ... the goals ofplaming ... have always been aimed at making a better place, creating a better society ... (RR) Six directly indicate change, transformation, or intervention as a unique characteristic of the discipline and/or planners: ... The difference between planning and any of the fields that feed into it like economics and geography and sociology and so forth is that planning is committed to intervention and if you intervene, you're thinking about changing something, so planning has always had a reform interest and planning still has that spirit of reform which just means the intervention to change things socially ... (RS) Four indicate that the focus on change and future-orientation have always been part of the field. Early planners tended to be ''visionaries" and the field has always had a "reform interest". One interviewee noted; however, that the visionary aspects of the planning profession had largely been lost in recent years, perhaps due to the disillusionment in the 1960s (i.e., with urban renewal, and failures of rational planning): ... after wwn and into the 60s we became more analytic .it made us more able to acknowledge our own shortcomings and more cautious about wild prognostication or arrogant prescription ... we became more cautious, but in the process, we lost our soul. We became Hamlet. Self-doubt compromised our vision and so we largely lost the visionary aspects ... (TC) -293-

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and needed reintroduction: ... that's one of the larger challenges today-to reinvent the way we posit the future ... (TC) Several respondents noted that individuals who are drawn to the field are selfselected for a desire in effecting change: ... students that come into the profession are typically self-selected because they feel that what they see or what they experience out there in the real world in the towns and communities in which they grew up or lived isn't right, could be better and so they want to help change that... "(RR); and, six noted that this orientation towards change is an important characteristic of the planner (See section 3.1.8.1): ... In my planning principles class, I leave them with that reading on being proactive ... ifyou lose the idea ofbeing proactive then you're not going to make change happen. Have to maintain a position ofbeing "(LL) proactive ... .. .I think you need to have an attitude, or a campaign you might say of you want to improve what's out there ... (AK) .. .I think our graduates have been too timid in seeking out a broader array of opportunities to impose change. I would like only to educate students who will take that knowledge and really push it to the limit. Change the world ... (TC) Change-orientation of the planning field is part of the normative character of the field, and the belief that there this is a gap between ''what is" and "what ought to be". Several interviewees indicate; however, that there is lack of consensus in the planning field regarding the type of change which should be sought: -294-

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" .. what ties planning together as a discipline is a concern for change, but there's less consensus about what kind of change." (TC) In general, change is described by interviewees towards a ''better world" or ''better society'' with "better well-being", protection of the public interest, and correction of market inequities. Three interviewees feel strongly that intervention in market forces is needed to achieve this desired future, and is part of establishing legitimacy of the planning field: ... we justifY planning on the basis that some kind of intervention is needed ... (LL) Four indicate that the focus historically and currently in the discipline is on the relationship between physical and social change: ... planning is about people and the built environment as a means to better the lives of people ... (TC) Types of change sought are also noted to currently be dependent on both public values and values ascribed to by the planning profession (e.g., equity, beauty, fairness, and reason (See section 3 .1. 1 0), and to be determined primarily in the public-arena of public meetings: ... [role of the planner is to] engage a community in a discussion about what to preserve and what to change and how to go about changing it..." (CI) In addition, the temporal-dependency of notions of desired change and means to achieve that change is noted by several interviewees. Ideas regarding appropriate methods to achieve change have changed through time depending on differing theoretical views regarding source of problems and appropriate solutions, views of -295-

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I I i I i I i I I I I I I I I I I I I the appropriate roles of the government and private sectors in solving these problems, and of the role of the public in decision-making: ... the goals of planning, I think, have always been aimed at making a better p1ace, creating a better society. The view, the lense through which you decide what change should be and how it should transpire have changed tremendously over time ... (RR) Five respondents noted that inequities still exist, intervention is still needed, and this is still a focus of the profession. Two respondents indicate that the extent of intervention is determined, in part, by court decisions regarding the relation of the public good and private property rights. One interviewee indicated that little progress had been made in social welfare issues during the course of planning history in the United States. 3.1.13.2 Normative View of Characteristics of the Field All respondents indicated that the field is normative and physically-based, and evolving. A majority indicate it is also comprehensive, future-oriented and change oriented, has a dual technical and political nature, is locally and public-oriented, has a regulatory basis, is applied and is a process or decision-making framework. A brief summary of these characteristics is presented below: I) Evolving: the field continues to expand throughout its history to embrace new areas of study and scientific methods and embrace new ways of thinking. 2) Physical orientation: the field was originally founded in physical planning with focus on design of the built environment to solve local problems of chaotic and irrational development. It remains in the form of current planning, and in the -296-

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language of planners who ta1k about shaping places and processes. 3) Normative: the field has a Code of Ethics which guide the planning process and practice, and goals of creating a better future, and serving the public interest. 4) Comprehensive/interdisciplinary/eclectic: One of the early reasons for development of the field, and currently embedded in the comprehensive planning process and comprehensive plan. Requires knowledge of and training in broad substantive areas including Jaw, economics, social science, politics, and natural resources/environment, as well as, knowledge of how to work well with people and facilitate public processes. 5) Future-oriented: The field is focused on transformation and change in processes which develop goals and policies for the future. The time frame of the comprehensive plan is 5-20 years. Planning methods involve forecasting future demographic and economic conditions. 6) Dual political/technical nature: Planning is a technical field embedded within the political process and thus requires both technical and political knowledge and skills to adequately carry out. The planner is not considered a leader, but a public servant, facilitator, or technical expert. 7) Public: Planning involves public meetings or public processes, is a discipline which represents or protects the public interest, and is primarily a public-sector activity. 8) Locally-focused/context specific: Goals, values and processes of planning may differ from place to place. Planners need local knowledge to be successful in their -297-

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work including understand of place, and knowledge of the local planning framework. Local focus is part of the overarching legal structure for planning. 9) Regulatory/statutory: There is a legal framework wtderlying the discipline which defines and protects the public interest, and heahh, safety, welfare of conmunities; provides boundaries for legal implementation of tools which can be utilized in shaping places, and reducing market inequities, and provides a framework for public participation in planning. Zoning and comprehensive plans are two of the tools mentioned by a majority of interviewees which came out of this process. One of the roles of the planner is to act as regulator of physical development. 1 0) Applied/PracticaVProblem-solving: The field initially developed to solve problems related to market inequities and failures, and chaos of urban development. It retains a problem-solving focus. One of the first steps of the planning process is problem-identification. Planning theory is noted to be important with regards to its ability to be applied. 11) Process/Decision-making framework/Orderly way of allocating: Planning is described as a logical process to organize thinking; framework for decision-making; forum for discourse over choices; forum for sorting through conflicting notions of health, safety, welfare, and an orderly way of allocating resources in the interests of a larger good. Public participation is an important part of the planning process. Knowledge of how to CQnduct or facilitate the public participation process is an important part of the planner's training. The culmination of the process is usually a plan. 12) Change or intervention-oriented : Planning is a discipline that improves, transforms, or creates a better future of some sort. Proactive nature towards change -298-

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is noted by interviewees as an important characteristic of the planner. Change is generally described as better world, better society, protection of the public interest, and/or correction of market inequities. 3.1.13.3 Current Planning Literature The following section provides a brief summary of the presence of characteristics identified by interviewees in the current planning literature. All12 characteristics identified by planning fucuhy are corroborated by literature ofthe three organizations responsible for articulating and perpetuating the planning paradigm-AP A; ACSP; and AICP. Some characteristics are stated directly in mission statements or introductory statements about the field, such as the following: "Planning is future-oriented and comprehensive. It seeks to link knowledge and action in ways which improve the quality of public and private development decisions affecting people and places. Because of its future orientation, planning embraces visionary and utopian thinking, yet also recognizes that the implementation of plans requires the reconciliation of present realities to future states. To become effective and ethical practitioners, students must develop a comprehensive understanding of cities and regions, and of the theory and practice of planning. They must also be able to use a variety of important methods in their practice. They must become sensitive to the ways in which planning affects individual and community values, and must be aware of their own roles in this process." (PAB, 2001, p. 19-20) Others characteristics are embedded in requirements for curriculum or professional competency exams, or in ethical guidelines for the profession. Characteristics which are mentioned directly are future-oriented, comprehensive, applied/ problem-solving, change-oriented, publiriented, process-oriented, and value-based or normative. Characteristics which are embedded in curriculum or ethics include: evolving, regulatory/statutory, dual technical/political, and physical-basis. Locally-focused is -299-

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a characteristic which is indirectly addressed in the discipline's focus on the community. Following is a brief summary of the way in which planning discipline literature addresses the 12 nonnative characteristics identified by interviewees. 3.1.13.3.1 Evolving Expansion/evolutionary nature of the planning field is indicated by ethical guidelines of APA/AICP, the Professional Practice Manual of AICP, and in PAB's curriculum. APA/AICP Code of Ethics state that it is the planner's responsibility to maintain proficiency in the field through continuing education, and that sharing of research and experience "which contribute to the body of planning knowledge" is a responsibility of the planner-indicating the need to continually expand knowledge in the field. AICP, in its Professional Practice Manual, indicates that it will periodically "recommend new or revised principles and procedures for effectively organizing and managing resources" of planning to meet changing conditions in professional practice environments (Solin, 1997, p. 2). P AB curriculum guidelines also addresses the evolving nature of planning through requirements that programs include the history of planning, with specific focus on "contributions of significant persons, events, publications, projects, organizations, plans, and programs at local state, and national levels to the evolution of planning practice and the profession in America." (PAB, 2001, p. 20-21). Evolution of the planning discipline in both past and present is a characteristic noted by literature of the three planning organizations with focus on historical evolution of the profession, and current ethical requirements to expand knowledge of the discipline. 3.1.13.3.2 Physical-basis ... AP A is closely wedded to the practice of physical planning for local government. .. (Hoch, et al., 2000, p. 6) -300-

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The strong physical basis of the field is still noted in the 2000 edition of the "Green Book" when discussing the membership for the AP A: "Because AP A is closely wedded to the practice of physical planning for local government, it has had difficulty attracting planners who do pJanning in the nonprofit sector or who have other forms of planning expertise ... (Hoch, et al., 2000, p. 6). Physical-basis of the discipline is reflected in the AICP exam competency areas, PAB curriculum, and AICP/APA ethics. Competency areas of the AICP exam include "urban design", "historic preservation", "land-use", "zoning, subdivision planned development", "history of human settlement", map reading, site plan review and other current planning techniques and tools. P AB curriculum requires understanding of the "significant social and cultural heritages embedded in the built environment", and "structure and function of urban settlements." AICP/APA ethics require excellence in environmental design and conservation of the built environment. In summary, all three organizations indicate that the heritage of the built environmental and current planning are part of the planning paradigm. 3.1.13.3.3 AICP/APA Code of Ethics (Solin, 1997; Salkin and Whiteley, 2002) indicate a strong normative base regarding accepted professional behavior and practice. In addition, the profession seeks normative goals in the process of planning. Mission statements, recruitment material, and introductory materials state that planners work "to develop a better community'' (ACSP, p. 1); "improve community quality oflife and land-use planning" and create ... healthy, productive and healthy places" (APA, 2002a), "and vital communities" (APA, 2003a); and, "promote equity and equality'' (ACSP, 2000, p. i). Finally, values and ethics are part of the curriculum (PAB, 2001) and -301-

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AICP certification. Normative character of the planning profession is an integral part of the mission and goals of planning discipline organizations, and is embedded in curriculum and ethics guiding the process and outcome of planning. The most recent ICMA training manual (Hoch, et al., 2000) states: "The planning profession has a variety of norms, both tacit and explicit, that practitioners respect as they interact with each other as colleagues, mentors or managers." (Hoch, et al., 2000, p. 22) The mission statement for the American Planning Association also indicates the continued normative emphasis of the planning field: "The American Planning Association provides leadership in the development of vital communities by advocating excellence in community planning, promoting education and citizen empowerment, and providing the tools and support necessary to effect positive change" (AP A, 2003a) 3.1.13.3.4 Comprehensive "Planning is future-oriented and comprehensive ... To become effective and ethical practitioners, students must develop a comprehensive understanding of cities and regions, and of the theory and practj.ce of planning. They must also be able to use a variety of important methods in their practice ... (PAB, 2001, p. 19) ... planning draws upon many domains ofknowledge and celebrates a wide range of topical emphases and intellectual styles"(Hoch, et aJ., 2000, p. 14) Comprehensive nature of the planning discipline is addressed in two primary ways by planning literature: 1) directly by mention of the comprehensive nature of the field, and comprehensive and, 2) indirectly through presentation of the -302-

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interdisciplinary nature of knowledge and the planner's practice. AP A and P AB directly mention the comprehensive nature of the discipline. P AB states that underlying the curriculum is the objective of AP A "to advance the art and science of planning for the comprehensive development of communities, regions, states, and the nation." (P AB, p. 1 0). Development and implementation of comprehensive plans is stated in the AP A Development plan as a method of achieving healthy and safe pJaces to live (APA, 2003a), and one of the APA 2003 legislative priorities is to ''Support comprehensive planning in federal economic development, and natural resource management initiatives." (APA, 2003b) The Comprehensive Plan remains the core focus and organizing principle of AP A planning policies. The AP A 2003-2004 Development Plan states that "comprehensive plans and their implementation create health, safe places to live and raise families." Policy guidelines are generally stated to relate back to the Comprehensive Plan. A new initiative to reform state planning legislation (Meek, ed, 2002a, 2002b) focuses on the Comprehensive Plan as the prinuuy tool for accomplishing a range of planning goals related to current and future development of communities: "Smart growth means using comprehensive planning to guide, design, develop, revitalize and build communities for all ... (AP A, 2002b) All three organizations address the interdisciplinary nature ofknowledge. PAB states that its curriculum address the "comprehensive development of communities, regions, states, and the nation; and that planning is "future orientated and comprehensive", and that students must develop a "comprehensive understanding of cities and regions, and the theory and practice ofplanning"(PAB, 2001, p. 10, 19). -303-

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I i I i I I I I I I I I I I I I I I i I I I Both AICP exam guidelines and P AB curriculwn guidelines focus on a broad range of subject areas including current planning, planning law and theory, basic knowledge about transportation, housing, economic development, quantitative and qualitative analysis, and facilitation techniques. ACSP recruitment materials (ACSP, 2000) note a focus of planners on change which includes social, economic, environmental and physical components, and sub-specialties which include land use, environmental planning, economic development, transportation, conununity design, and housing and social planning. Comprehensive nature of the discipline is also indicated in the Code ofEthics which states that a planner is responsible for paying attention to the "interrelatedness of decisions" (Solin,l997, p. 6). Comprehensive nature of the planning discipline is stated directly in introductory statements of the discipline, as well, as embedded in ethics, curriculum and testing. Currently there are 17 divisions within AP A, indicating the breadth of the profession and the number of sub-specialties which have developed to address the comprehensive nature of the field. The breadth of policy guidelines developed by the AP A to guide planning practice also indicate the broad focus of planning Policy guidelines focus on housing, historic preservation, environment, impact fees and takings, and transportation. 3.1.13.3.5 Future "Planning is future-oriented and comprehensive. It seeks to link knowledge and action in ways which improve the quality of public and private development decisions affecting people and places Because of its future orientation, planning embraces visionary and utopian thinking ... (PAB, 2001, p. 19) -304-

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Future-orientation is a disciplinary characteristic noted in literature on planning ethics, the certification exam, curriculum goals, and as a characteristic and role of the planner. ACSP recruitment materials indicate that planners ''think about the future" (ACSP, p. 1), "help communities develop their own vision of the future", and are involved in "ahnost any kind of government or private activity which seeks to affect the future or respond to community change." (ACSP, 2000, p. i), Understanding "long-range consequences of present actions" is one of the requirements of an ethical planning process listed by AICP (Solin, 1997, p. 6), and "planning futures" is a subject area required in the AICP exam which includes knowledge of visioning and goal-setting. AICP standards also require that a "certified planner must be able to estimate with a reasonable degree of certainty the future consequences of current actions" (Solin, 1997, p. 15) 3.1.13.3.6 Political-technical Dual political/technical nature is indicated in P AB guidelines for curriculum, AICP/APA ethical guidelines, and AICP Exam subject areas. PAB guidelines require understanding of both political aspects of plan-making and policy implementation, and technical aspects of data gathering and research skills. AICP Exam subject areas include political aspects of"public participation, negotiation and coalition building", "legislative process", "intergovernmental relations", and technical aspects of collecting, organizing, and analyzing data. Ethical guidelines similarly include technical aspects in application of "theories, methods and standards to the facts and analysis of each particular situation, and provision of"full, clear, accurate information to citizens and government decision makers" and the political aspect of the planner in the ability to "give citizens an opportunity to have a meaningful impact on development of plans and programs", and the responsibility to .. urge alternation of policies institutions, decisions -305-

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opposing" interests of the disadvantaged. In summary, all three organizations indicate that both technical aspects of data gathering and analysis, and political aspects of public process are part of the planning discipline. 3.1.13.3.7 Public ''The planning process exists to serve the public interest. While the public interest is a question of continuous debate ... it requires a conscientiously held view of the policies an actions that best serve the entire community ... (Solin, 1997, p. 3) AICP/APA ethical guidelines clearly indicate the public interest as the focus of planning (Solin, 1997). The planning profession is stated to have a "special responsibility to serve the public interest (Solin, 1997, p. 6). Planning processes are to be conducted to "continuously pursue and faithfully serve the public interest" (Solin, 1997, p 4), and in such as way that "public respect for the planning process will be maintained" (Solin, 1997, p. 4). One section of the code of ethics is devoted to "The Planner's Responsibility to the Public" (Solin, 1997, p .6), and understanding of the public interest is one of the subjects planners must master for the AICP exam (Solin, 1997, p. 23). Responsibilities to the public are noted to include: broad inclusion of citizens in planning processes, expanding choice and opportunity to people and advocating for the disadvantaged, consideration of long-term impacts of plans and recognition of the interrelationship of decisions, provision of accurate information, protection of the integrity of the natural environment, conservation of historic structures, and excellence in design. The AP A Development Plan mentions that planning is championed through "direct public advocacy" (APA, 2002a) and legislative priorities of APA are based, in part, -306-

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on the '1>ublic's desire for better communities, platmed development and public policies to support quality of life" (APA, 2003b). Employment also indicates a public-focus, with 70 percent of professional members working for government. (Hoch, et al., 2000, p. 5). Public-focus of the planning discipline is directly indicated through emphasis in the planning literature on public policies, public participation, and the public interest. 3.1.13.3.8 Locally-focused "The American PJanning Association provides leadership in the development of vital communities by advocating excellence in community planning ... (APA, 2003a) Local-orientation is indicated by a focus on community in mission statements, roles or ethics of the three organizations, and in the local scope of employment and many planning activities noted in the AP N AICP planning handbook (Hoch, et al., 2000). Over 500/o of platmers work for local or county governments (Hoch, et al., 2000, p. 7). Planning is noted to originate primarily at the local level (Hoch, et al., 2000, p. 8), and to be an "official function oflocal government (Hoch, et al., 2000, p. 21). Local differences are noted to affect the scope and nature of planning {Hoch, et al., 2000, p. 9), and success in planning is noted to depend, in part, on "the planner's ability to understand the needs of diverse, changing communities." (Hoch, et al., 2000, p. 15). The AP A vision in the 2004-2005 Development plan is to "build communities of lasting values and advance the principles of sustainability, inclusion, and nondiscrimination .. The recruiting brochure of the ACSP indicates a focus of the planner on creating a "better community'', and one of the roles of the planner indicated in the AP N AICP Code of Ethics is to "assist in clarification of community -307-

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goals, objectives and policies in plan-making". Policies and actions are also noted in the Code of Ethics to be clirected to "best serve the entire community". Local orientation appears in the disciplinary literature primarily as a focus on "community'' in planning. 3.1.13.3.9 Regulatory/Statutory ''The legal authorization of planning provides an important source of legitimacy. As an official function oflocal government in the United States, planning p1ays an important role advising public officials, managers, and a diverse citizenry ... about overall future development within or near a particular locale ... (Hocb, et al., 2000, p. 21) Regulatory/statutory basis of the field is indicated in P AB curriculum guidelines, AICP exam subject areas, and the AP A Development Plan. 2000 ICMA indicates that 98% of APA planners surveyed "devote time to government regulation." PAB requires understanding of"legal aspects of plan-making and policy implementation". The AICP exam requires knowledge of "history and theory oflegal concepts", "legislative process", and "legal and regulatory'' aspects of plan implementation such as zoning and subdivision planning development. The 2003-2004 Development Plan for AP A indicates that the planning organization provides "legal briefs in selected court cases" to "champion good planning". AP A sets legis1ative priorities for each year, has a law division as one of its 17 specialized divisions, and has recently put forth an effort to revise state planning statutes through a major initiative entitled "Smart Growth" (Meek, ed., 2002a, 2002b; Weiss, 2002). Current regulatory aspects of planning, and historic legal framework are noted by planning organizations as an integral part of the discipline, and part of creating better futures by encouraging good p1anning. -308-

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3.1.13.3.10 Applied "Certified planners use their skills to find solutions to community problems in ways that will carry the community toward its desired long-term goals." (APA, 2002b) ACSP recruitment material indicates that planners are "challenged by complex problems and excited about devising solutions to these problems" (ACSP, p.l ), and are trained to "analyze qualitative and quantitative information to suggest possible solutions to complex problems" (ACSP, 2000, p. i). The accreditation guide indicates that planning "seeks to link knowledge and action ... (PAB, 2001, p. 19). ''Problem formulation" and the ability to "conceptualize problems from complex, real world situations" are skilled required in curriculum (PAB, 2001, p. 21). Curriculum also suggests some type of planning work experience as part of the student's training, prior to graduation. Planning literature supports the identification ofU.S. planning an an applied, problem-solving field 3.1.13.3.11 Process ''Planning is a systematic, creative way to influence the future of your neighborhood, and city, your country and the world ... (ACSP, p. I) "This statement is a guide to ethical conduct for all who participate in the process of planning as advisers, advocates, and decision makers. It presents a set of principles to be held in common by certified planners and other practicing planners, appointed and elected officials, and others who participate in the process of planning." (Solin, 1997, p. 3) Process-orientation of the discipline is noted both in introductory or recruitment statements regarding the profession, and in curriculum, testing, and ethics. -309-

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Two sections of the AICP/APA Ethical Principles in Planning deal specifically with appropriate behavior, goals, and extent of participation during the planning process, and indicate that ''the planning process exists to serve the public interest" (Solin, 1997, p. 3). Ability to conduct a 'rational planning process' is described as part of the technical proficiency of a planner in AI CP Professional Guidelines (Solin, 1997, p. 14). PAB curriculum includes understanding of the ''history and theory of planning processes" and understanding of planning as a process (PAB, 2001, p. 20). Planning as a process is embedded in the disciplinary literature, and appears to be an important focal point of ethics and curriculwn. 3.1.13.3.12 Change "The American Planning Association provides leadership in the development of vital communities by advocating excellence in community planning, promoting education and citizen empowerment, and providing the tools and support for positive change." (APA, 2003a) The ACSP recruitment manual indicates that planners are "interested in positive change", and think about "what could be, rather than what is". (ACSP, (n.d.) p. 1). The AP A Mission statement indicates that tools and support of the organization are present for "positive change". "Improving the quality of life" is noted as a goal of AP A legislative policy (AP A, 2002a). "Improving the quality of public and private development decision affecting people and places" is stated as part of the foundation of the planning curriculum (PAB, 2001, p. 19). AICP Code ofEthics additionally state that planners must urge "alteration of policies, institutions and decisions" which oppose needs of the disadvantaged. Literature of the professional organizations of planning support the change-orientation of the discipline towards improvement, equity, and other changes which are considered positive. -310-

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3.1.13.4 Historical Analysis All disciplinary characteristics defined from interviewees statements are also present within the historical pJanning literature and thus are considered traditional. The following sections (3.1.13.4.1-3.1.13.4.12) provide brief summaries of some ofthe historical strands which identify these characteristics as traditional within the planning discipline. 3.1.13.4.1 Evolving From the inception of the discipline, there was a recognition that it would expand and evolve due to its comprehensive nature and subsequent diverse knowledge base (Loeks, 1967; Perlofl: 1957): "One cannot examine the Chicago Plan of 1909, or read the papers given at the early national planning conferences or the early zoning reports, without being struck by the breadth of conception and the farreaching vision of many of the planners of the period. Thus, almost from the very start, the stage was set for the constantly widening view of the planning field which has taken place since then ... ,, (Perl off: 1957, p. 11); and, expected improvement in understanding of city problems and methods of solving them (Loeks, 1967): In addition, the discipline and planning curriculum evolved in response to changes in social attitudes, ideas, and the scope of government (Loeks, 1967; Nutt and Susskind, 1970; Perlofl: 1957; Perloffand Klett, 1974): "By creating alternative models from which to choose methods and objectives, the American planning movement has avoided a sense of closure on the limits of professional practice." (Goodman and Freund, 1968, p. 27) -311-

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" ... the most striking feature of the history of city planning has been what might be called its 'cumulative' characteristics, the fact that the planning field has been broadened continuously as the scope of municipal government activities has grown and as various movements, ideas, professions, and studies have come to have an influence on city planning. Not unexpectedly, the course city planning took was quite directly related to the environmental context within which planning functioned-the social attitudes, the prevailing view of the appropriate scope of government activity, the types of groups that wielded economic and political power. And the training of planners, in turn, reflected the professional view of the kinds of skills needed by those carrying out planning activities." (Perlofl: 1957, p. 9) 3.1.13.4.2 Physical Orientation The physical basis has remained with the profession since its inception ( Adams, 1954; Birch, 1980; Birch, 2001; Galloway and Mahayni, 1977; Raney, 1969; Teitz, 1996): "Our composite thought, our culture is expressed in our physical environment through many subtle forces and influences, both conscious and unconscious. City planning is not a substitute for these forces; it is rather a conscious effort to transform our vague ideals of community living into forms which will accurately express such ideals." (Ackerman, 1915, p. 108) "For generations it had been generally understood that the physical environment was a major determinant of social behavior and a direct contributor to individuals' welfare. Having accepted professional responsibility for the physical environment, the city planner was thus accorded a key role as agent of human welfare: the clearly prescribed therapy for the various social pathologies was improvement of the physical setting ... (Webber, 1963, p. 233) "City and regional planning deals with ways of guiding or controlling the use and development of land in such a way that the maximum -312-

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social and economic benefits may accrue to the people of the community or region being planned, through the improvement of the physical environment." (Adatm, 1954, p.l ). The mission statement of the planning discipline and profession remained solely on land-use until1967. Physical planning remains one of the foci in articles of incorporation of APA and AICP. 3.1.13.4.3 Normative Initially, the normative nature of the planning field was expressed through physical design to create a better world and to address public welfare concerns (Boyer, 1983, p. 68): "City planning is the attempt to exert a well-considered control on behalf of the people of a city over the development of their physical environment as a whole." (Olmstead, 1916, p. 1). .it was inevitable that the consultants' predominant training in the architectural and engineering professions should cause them to seek improvement through redesign of the physical pattern of the city rather than to attack directly problems of urban sociology and economics." (Stafford and Ladner, 1969, p. 36) "Although city planning concerns itself with the physical or structural parts of the city .. .its real purpose is not things but people. The city must play its part in the world's work. But that work is not simply the creation of wealth or the production and distribution of goods. It includes also the production of men. In the long run it is the success or the failure of the city in perpetuating and developing a breed of men and women strong physically, mentally and spiritually ... (Whitten, 1921, p. 28) Initially, the beautiful and monumental design of the City Beautiful Movement was intended to inspire and give "a vision of a better way of life" (Burgess, 1997, p. -313-

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1 00); open space and park elements of comprehensive planning were provided to inspire, encourage recreation and improve health (Burgess, 1997, p. 94). Later, the normative nature of planning was reflected in building regulations and zoning directed towards the public interest and health, safety, welfare (Fischler, 1998; Appendix A). More recently, the normative nature of the discipline has been recognized in relation to the planning process, and goal-setting: 'vrhere are strong indications that planners are developing a new, or revised approach in their emphasis on the normative elements of planning-the elements that descn"be "where we are going" and ''how we will get there". (Goodman and Freund, 1968, p. 329) Codification of the normative framework of the discipline into a Code of Ethics began in 1959 (See section 3.1.7.4) The idealistic base of the discipline (Raney, 1969) was also noted early on (Ackerman, 1915; Olmstead, 1913, p 14; Wacker, 1913, p. 225) where new forms of community and democracy were expected to arise from the good city (Ackerman, 1915), with new forms of citizenship and participation (Howe, 1912, p.13), which would "uplift all who dwell within" (Purdy, 1913, p. 217) to a "higher mental, moral and physical people" (Wacker, 1913, p. 240) : "City planning is ... a conscious effort to transfonn our vague ideals of community living into forms which will accurately express such ideals (Ackerman, 1915, p. 108) "City planning . .is more than engineering .. .It is an attempt to envisage a community in the full beauty and reasonableness of its possibilities It is an attempt to build a community cosmos out of relative planlessness and disorder. It is an attempt to take this very sorry scheme of things entire and mold it nearer to our heart's desire . (Overstreet, p. 135, 1928) -314-

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3.1.13.4.4 Comprehensive The planning discipline emerged from an eclectic base of professionals and civic leaders and although the field narrowed to focus primarily on the physical aspects of city development when the profession formalized, it broadened back out in the 1930s to include considerations of social reform, economics, and environment (Birch, 1980; NCCP 1917-1938). Olmstead mentions the comprehensive nature of the discipline in 1916 and the vision that it will be unbounded in the types ofknowledge and methods to be included: "City planning stands not only for a longer look ahead in planning municipal improvements than has been customary in the past, but especially for a broader and more penetrating vision of the interrelations between apparently distinct lines of planning in cities .... City planning thus conceived has a breadth and ramification at once inspiring and appalling .. .It will embrace the most diverse branches of specialized science and technique applied to urban affairs, including countless phases of engineering, sanitation, economics, and finance and every art which can minister to the happiness and welfare of an urban population." (Olmstead, 1916, p. 2-3). Others sources, throughout the history of the discipline, have mentioned its holistic or comprehensive and integrative nature: ... planners have long occupied a uniquely important position in local government, having been the custodians of the holistic view and the utopian tradition ... (Webber, 1963, p. 238) .. the essence of a planning discipline remains its integrative dimension and its concern for the general interest ... (Sarbib, 1983, p. 81) ... modem 'city planning' ... goes beyond streets and squares and involves every function of the city; it reaches the homes and the health, the work and the play, of the community; it aims toward the -315-

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systematic co-ordination and development of the physical features and the social forces of the city in a manner which shall give greater encouragement and larger opportunity for every legitimate enterprise and ambition of its people; it is altruistic in its intent, and its ultimate object is the making of better citizens as well as better cities; in its most comprehensive meaning and its broadest intent it involves so many and such varied physical and social elements that no one person can hope to solve, or to suggest solutions for, all of its problems ... (Haldeman, 1911). ... the planner must learn to deal effectively with complex, relatively aggregate elements and interrelationship in a highly dynamic context-the evolving urban community. The planner is usually concerned with complex phenomena-such as the relation of homes to places of work and recreation-and with the physical, psychological, social, economic, and political aspects of any environmental or development problem or situation, and not just one aspect ... (Perl off, p 40). Comprehensiveness was also in the template developed for the master planning of cities in the late 1920s and remains today (See section 3.1.6.4, footnote 11): The comprehensive nature of planning is part of the traditional paradigm of the discipline. "The art of city building is as old as civilization itself: but comprehensive planning as we know it today-whether for towns, cities, or metropolitan regions-is a product of the last century ... In the field of urban planning, the inter-relationship between the social, economic and physical aspects has long been recognized by leading practitioners" (Adams, 1954, p. 1) 3.1.13.4.5 Future ... Planning in the broadest sense, of course, has always meant looking into the future, envisioning a desirable end, and then, with the materials at had, set out step by step to achieve it ... (Segoe, 1941, p 1) -316-

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/ Planning is a discipline designed to think about the future, and appears to be meaningless without this focus: ... 'planning must be long-range'; but this is merely saying 'planning must be planning'... It carries with it again the idea of our responsibility to serve as the binoculars of the community, to raise its sights, to tell it not only what is coming in the future, but also what might be coming and what might be made to come ... (Howard, 1955, P. 64) ''The comprehensive plan of a community has value only to the extent that it is used to guide private and public developments required to bring about the desired future community it portrays." (McLean, 1959, p. 370) Future is an inseparable component of the definition of the discipline (Dalton, 2001, p. 432). Forecasting the future as part of the discipline has been noted since its inception (Olmstead, 1910; Damon, 1917, p. 3; Ihlder, 1921, p. 7; Nolan, 1916, p. 187): ": ... the second basic feature of intelligent plmlning, that of forecasting as well as our knowledge permits what the reasonably expectable needs of the future will demand in the way ofland for all sorts of collective purposes ... (Olmstead, 1911, p. 9) 3.1.13.4.6 Political!fecbnical The technical core of the profession has been recognized throughout planning history (Burgess, 1997; Lewis, 1923; Lewis, 1949; Perloffand Klett, 1974). The political aspect of planning has also been implicitly involved in early planning, since early designers such as Olmstead and Burnham had to convince civic groups and the public of the need for projects to gain acceptance of particular designs and plans (Klaus, 1991). Planning statutes also required oversight of the planning process through a planning commission or board, thus a political strand has been embedded in the -317-

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! I I I I I I i I i I i i I I I I i profession since its inception; however, not it was not until the 1940s that the dual nature of planning was recognized. This dual nature of p1anning-having both technical and political-administrative components was noted by Walker (1941) and Lewis (1949). Walker noted that early planning, in remaining solely as a technical function, bad not been effective in carrying out master plans. The importance of the political role was noted as necessary to ensure plans were carried out (Walker, 1941). The planner's role was also expanding to help the community to identify and agree upon social and economic goals (Adams, 1954 p. 2), acting as facilitator or coordinator. Perloff(l957) suggested that the two aspects of planning should be "amalgamated" into a "new type of city planning profession ... one which effectively combined general administrative-political knowledge and a spirit of public service together with substantive skills related to the physical-socio-economic development of urban communities .. (Perl off, p. 40). The 1959 edition of the ICMA training manual discussed increased acceptance of the policy role: "Planning of whatever kind, in whatever field, carried on at whatever level of government, is intimately involved with policy, that is, either the formulation or the implementation of goals of government action." (McLean, 1959, p. 43); and, by 1968, this dual role had been accepted: "The planner exists in a middle zone between the politician (the normative planner) and the bureaucrat (the technical planner). The planner is a bureaucrat, administering the programs which have been -318-

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instituted by the politicians; in addition he has a special competence and training which makes him invaluable in establishing goals." (Goodman and Freund, 1968, p. 330); 3.1.13.4.7 Public ... The common judgement of the community comes in to take the place of chance, politics, and privilege." (Merriam, 1917, p. 287) ... a city plan is fundamentally a matter of citizenship, and as it will require generations to carry the plan we have to we ought, if we could, to make city planning a matter of fundamental education ... (Wacker, 1913, p. 235) The city planning movement in the United States was initially driven by "public spirited citizens" (Brunner, 1912, p. 22) who were interested in beautifYing cities, and reforming poor housing conditions (Albert, 1926; Kimball, 1928). Public support was needed for creation of plans (Nolen, 1924; Olmstead, 1913; Olmstead, 1917) and the subsequent regulatory structure upon which planning would be based (Wacker, 1913, p. 233): "In every locality it is wise, and in a real democracy it is necessary, to begin by winning public support before making considerable public expenditures whether in preparing plans or executing them .. (Olmstead, 1913, p 1) One of the primary reasons city planning developed was to create a public regulatory structure to curb excesses of private ventureswhether related to real estate development, provision of housing, or infrastructure development. The regulatory structure which developed for planning focused on the public welfare (Veiller, 1916, p. 153), and public health and safety; and, planners frequently expressed the goal of the public good, public welfare, or public interest (Albert, 1926; Haldeman, 1920; -319-

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Purdy, 1913; Wacker, 1913). Public hearings were required in the planning process, and public commissions were organized to oversee planning in local communities (Advisory Committee on City Planning and Zoning, 1928). Public education through both hearings and public schools was suggested as a means of disseminating the message of planning and gaining support (Advisory Committee on City Planning and Zoning, 1928; Nolen, 1921; Wacker, 1913;), and ensuring the public interest was served by planning (Kimball, 1928). The public participation process has continued to evolve through the history of the discipline, and the public interest-initially perceived as singular, is now recognized as being plural and diverse, requiring new methods of public participation. The role of the planner as public servant was also expressed early in the development of the discipline: "In city planning ... we must, for the sake of efficiency, trust to experts for the intricate study of the details, but we must give them the motive power of strong and widespread interest in the welfare of the community as a whole, and we must control by public discussion the wisdom of the aims which they pursue ... "(Olmstead, 1917, p. 85-85) 3.1.13.4.8 "Urban planning as it is practiced in the United States today is carried on openly and through the democratic processes of the local government body ... (Adams, 1954, p 1) "The city planner's responsibilities relate primarily to the physical and locational aspects of development with a local government's jurisdiction ... (Webber, 1963, p 233) -320-

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I j I I I i I I I I I I I Planning began at the local level through the efforts of"amorphous groups" of citizens and professionals (Birch, 1980, p. 23). The first 'experiments' in zoning and other regulations related to planning cities, and administrative structures for planning were 'conducted' at the local level (Birch, 1980; Hancock, 1967; Lewis, 1915, p. 91-9; Veiller, 1914, p. 92; Williams, 1915, p. 145) Local focus was also initially part of the regulatory framework of field, as planning was tied to local decision-through planning conunissions and public hearings. Planning statutes gave control to cities, and initially planning was based at this level (See section 3.1.13.4.9): ... in a democracy like ours, institutions in different localities vary .... 1915,p. 145) Early discussion regarding standardization of subdivision platting indicated the need to retain flexibility at the local level (Leavitt, 1915), and subdivision regulations were subsequently developed at the local level (Crane, 1930, p. 13). Discussions regarding regional planning in 1921 and 1925 indicated the need to retain local jurisdiction over local matters: ... A metropolis, however, is not an assemblage of individuals so much as a collection of communities in which individuals have already assembled. To these communities attach a complex of pride, prejudice and affection .... Metropolitan organization, therefore, must not fly in the face of the traditions and habits of the people, but must leave in existence to the greatest extent possible, the customary units of local government." (Reed, 1925, p. 302) ... there is great and permanent value in each community's thinking out its own problems and evolving its own legislation and methods. A law produced merely by imitation of some model or the legislation of -321-

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some other state has no very deep roots in the community and is apt, for that reason, to be easily uprooted or to have a diminished effectiveness .... gradually building up legislative standards through experience, is the only way whereby our city planning methods and legislation may become deep-rooted and lasting." (Bettman, 1927, p. 181) Regarding methods of planning and creation of plans it was also suggested that these should remain flexible at the local level: ... it is hard to draw a sharp line between right and wrong methods, because circumstances and local conditions play so important a part. Cities are individual. City plans must be individual. Action on those plan would be different according to the place under consideration and the time when action is to be taken." (Nolen, John, 1921, p.162) Finally, maintenance of local character was noted as important in creating and gaining public support for city planning (Reed, 1925), and "improving" cities: .. we need to consider more attentively the opportunity to improve our cities by the development of their individuality, their personality ... The rectangular street systems and the colorless names ... which are repeated from one end of the country to the other, regardless of natural feature or local history, are indication of our failure ... to gain individuality in our cities and to make them a fundamental form of expression ... We need a local concept, a love and pride in local traditions and local ideals. Civic art furnishes the most available means to express these local customs and local aspirations ... (Nolen, 1910, p. 3) ... good city planning is especially careful to preserve local traditions, old buildings of historic value and everything that accentuates the individuality of a city ... (Brunner, 1912, p 23) The importance of local planning to the foundation of U.S. planning is indicated in historical literature: -322-

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.... no high degree of thought, no degree of thoroughness in nationa4 state or interstate planning will provide for the social welfare of the American people unless local planning be kept alive and growing and made effective." (Alfred Bettman qtd. in Birch, 1980, p 30) 3.1.13.4.9 Regulatory/Statutory Discussion of legal issues related to planning such as zoning, subdivision regulations, and eminent domain were an integral part of National City Planning Conferences. Lawyers were part of the infonnal consortium engaged in discussions on planning and became subsidiary members of ACPI early in the development of the discipline (Birch, 1980, p 24) Legal aspects of the discipline have been part of planning guides/texts since the establishment of the profession (Lewis, 1923; Nolen, 1915; Segoe, 1941) AP A's current effort to promote revision in state enabling legislation for planning indicates the historical roots of this regulatory and statutory framework: "Our planning tools date from another era. The planning and zoning statues in many states are based on two model acts drafted by an advisory committees of the US Department of Commerce in the 1920s, the Standard City Planning and Zoning Enabling Acts. When these acts were drafted, the nation was a different place ... Approaches that worked in the 1920s are plainly inadequate today. We must give people new choices concerning land use, housing, employment, transportation, and the environment. Statutory reform of planning laws is a serious contemporary concern ... the future is closing in ... (Weitz, 2002, p. 9). Two primary model acts--Standard City Planning Enabling Act (Advisory Committee on City Planning and Zoning, 1928) and Standard State Zoning Enabling Act (Advisory Committee on Zoning, 1926) provide the foundation for the current framework of planning. Both Acts (Appendix A) codified the overall goals of the -323-

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discipline and initial values, the governmental framework for planning, the type of public participation required in the planning process; and, identified zoning, the comprehensive or master plan, subdivision regulations, and platting as four primary tools ofthe discipline. The master plan or comprehensive plan was developed to create long range design for city infrastructure and coordinate city development; zoning was created to regulate density of development, address public health issues, fucilitate provision of infrastructure, and allocate and separate incompatible land and building uses (ie., trade, industry, residence). The city commission was created to allow local decision making regarding city development. Regulations were noted by Olmstead as early as 1916 to be needed to curb excesses of capitalism: ... regulations are intended only to guard against the evil results of ignorance and greed on the part of landowners and builders." (Olmstead, 1916, p. 14) Problems with laissez faire principles were noted in ICMA 1941-1959 as part of planning's responsibility and part of the discipline's basis for regulations in the public interest and for the public welfare: "The need for city planning, and the need to implement planning through public expenditures and exercise of regulatory authority, stems from failure of urban conditions to satisfy these five assumptions upon which the laissez faire theory is based. Planning is needed to provide for wants that the community thinks important and that not all consumers will provide for themselves. It is needed to protect the consumer from his own ignorance and lack of information: to correct disparities in income and buying power that the community considers excessive; and to provide a substitute for competitions -324-

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where that is lacking. Planning is also needed to intervene in cases where the cost reckonings of the individual are not accurate reflections of social cost. These are heavy responsibility; they require a wide range of planning activities for that area of society in which the unregulated economic mechanisms does not function correctly." (McLean, 1959, p. 16). Derivation of this statutory framework for planning might have been considered to have taken over 100 years as Constitutional issues regarding the balance between private property rights and public interest had to be tested in the Supreme Court (Village of Euclid, Ohio, et al. v. Ambler Realty Co., 272 U.S. 365); and issues regarding the extent of local police power and citizen representation in land-use decisions had to be resolved (Bettman, 1914). The balance between public good and individual rights remains a concern and focus of the discipline, and continues to shape the type and extent of control which planning exercises on local development: ... city planning as we know it today is of relatively recent origin .. .its character can be traced to the basic tenets established by the "founding fathers" of this nation. Basic to this concept is the vital role of the individual in relation to state power. The "channel" for the individual remains carefully preserved and protected within the constitutional framework." (Goodman and Freund, 1968, p. 566) "A large part of the planner's obligation lies in documenting the legitimacy of the public interest to be served. Another large part lies in designing regulatory means to advance that public interest substantially without triggering a constitutional challenge." (So and Getzels, 1988, p. 515) 3.1.13.4.10 Applied The field of planning is not just composed of idealistic visions, but has always been oriented towards putting ideas into practice, and has focused on development of methods, public support, and legal structures to bring these ideals into reality: -325-

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"Few phases of city planning are now more important than the question ofhow to get action ... (Nolen, John, 1921, p. 162) ''To gain legitimacy and influence and to make themselves indispensable, city planners addressed the practical issues related to growth ... (Burgess, 1997, p. 95) ''Modem urban and regional planning emerged more than a century ago in response to urban problems. The growth of planning practice, planning policies, and planning institutions has helped to address many of these problems ... (Hoch, et al., 2000, p. 3) The initial legal framework for planning was derived from 'experiments in planning across the country, rather than from theoretical constructs. Practical experience (Friedman and Keuster, 1995; Perloffand Klett, 1974), problem-solving (Friedman, 1996), or practical reasoning skills (Friedman and Keuster, 1995, p. 60) have always been part of the training of the planner The planner's approach throughout planning history has been noted as "a pragmatic orientation to betterment" (Hancock, 1967, p. 301) Planning theory has been criticized for its lack of relevance to planning practice, and lack of derivation from planning practice: "Planning theory should remain firmly grounded in the issues presented by planning practice ... (Friedman and Keuster, 1995, p 58). 3.1.13.4.11 Process Process is a traditional component of planning. Historical analysis was previously presented m Section 3.1.5.4 -326-

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3.1.13.4.12 Change The discipline has always focused on positive change, and directing change towards a better future with visions of improved health, etc. (Brunner, 1912; Swain, 1912) through development of legal structures, and other fonns of intervention: ''The desire for a better, more orderly, more liveable city is abroad in the land ... (Brunner, 1912, p. 22) ... Our task is to improve, not to make perfect. But it is also ever to improve, and never to be content." (Howard, 1955, p. 65) "The importance of vision in planning education : the ability to understand society and to conceptualize grand designs should remain part of a planner's education .. Ifwe train public versions of corporate managers, planners will perform competently the difficult tasks of managing the present. But without a critical understanding of their function to society, they will not contribute much to a better future ... (Sarbib, 1983, p 81) 3.1.14 U.S. Planning in a NutsheU U.S. planning is described by a majority of interviewees as a process for decisionmaking, building consensus, achieving goals, or solving problems. It is also described as a basket or bundle of tools to mobilize and access resources and power, and a regulatory framework for protecting the public interest and welfare. The field developed as a response to chaotic and irrational development in cities at the end of the 20th century Three major goals were noted by interviewees for development of the planning framework: I) projection of future actions, and development of tools and methods for that purpose; -327-

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2) development of a comprehensive framework to deal with city problems; 3) development of a framework of tools for intervention into market processes in the interests of equity and rational development. The field focuses primarily on physical development in cities, but has a knowledge base that has expanded to include consideration of economic, social, and environmental factors in this development. The first accreditation organization (ACSP), and the first Code of Ethics were both developed in the Jate 1950s. Honesty, integrity fairness, loyalty, professional competence, and respect are considered part of appropriate planner behavior in the Code. Goals of planning include a better future and creation of the good city; protection of the public interest; and, environmental quality Public interest is defined as health, safety and welfare-definitions of which have changed over time, and at any point in time are a point of negotiation between those with varying values. Environmental quality has focused primarily on quality of life in the built environment. Definitions of the good city generally include health, safety, and other traditional values of the discipline. Traditional values upon which goals are based include environmental quality (e.g resource conservation, integrity of environment), equity, beauty, order, efficiency and convenience, historic preservation, pragmatism or rationality, and democratic participation. Values are also noted to conflict, and part of the planning process is directed towards balancing those values. The planner's role is that of facilitating public discussion, not that of a decisionmaker. Decisions are made regarding the future by the public or public officials. The planner works in a dual political-technical role, and is also an educator regarding -328-

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planning. Characteristics of the planner are noted to be those ofproactivity, serving the public rather than self-interest to create a better future, and ability to communicate with a diversity of groups. -329-

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3.2 Nahat'a Results ''Nabat'a is not something small As Navajo, you're going to talk about certain things, the first thing they say is ''nahat 'a is a never ending thing. It can go on, like for day and night you know. But if you're willing to listen to it, that's what it's going to be. As much as you can, you can get that. .. And you have to focus on just nahat'a by itself." (Medicine man) ... it guides us and teaches our heart, and our minds, and thoughts, and it leads us .. (FY) ... Don't get in front ofnahat'a. Stay behind nahat'a. It is leading you ... (MM) Before providing a summary of the question areas addressed for nahat'8, I'd like to note a few observations regarding the knowledge ofnahat'a. It did seem that it was organizing itself, that it was being guided. Respondents provided knowledge which seemed to build on what each other had said. It also seemed that I couldn't "get ahead" ofnahat'a. There were a number of snow delays during my second field trip, which caused me to stop and think more deeply about the interviews which I had already conducted, rather than moving ahead to new interviews. Once back in Colorado, I had hoped to take a break and go skiing, but as I began writing this section, 3 feet of snow came during the night, and forecast of another 4 feet kept me at home and at the computer. Snows continued on into May, keeping my focus on this section. The multiple layers of nahat' a mentioned by interviewees were also clearly in existence. Interviewees often alluded to knowledge underlying nabat' a, without elaborating. For example, three interviewees noted that knowledge ofnahat'a is held -330-

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in the mountains, but did not elaborate on how or why it was held, or what type of knowledge is held there. There were also many kinds and levels ofnahat'a noted by interviewees-from child to elderly, from home to community, from warrior to leader. In fact, most respondents asked what type ofnahat'a I was interested in. I chose not to constrain the discussion, so interviewees discussed whatever they felt should be brought out, or what they felt was appropriate to my study focus. There was; however, an overall continuity existing among all these kinds and levels of nahat'A, since all had originally come from the same source. It is this aspect of nahat'a which I hope to capture in the following summary of results. The summary focuses on concepts and principles and guidelines ofnahat'a that emerged from the interviews, supplemented by published literature to aid in expanding concepts discussed (See section 2.4.2.1 ). Results are organized into general thematic areas focused on during interviews-What is nahat'ti; Why needed; Origin; Goals; Process; Who practices; Character of planner; Knowledge of planner; and Comparison of nahat'a to Local Governance. Although the semi-structured framework of the interview was noted by one interviewee to force nahat'a into a somewhat uncomfortable and incompatible form; ... westerners are so accustomed to research, they have to ask a lot of questions .. and I think when you do that, you sort oflose the meaning ... you lose the essence ... (AL) it is hoped that in the process of working with the knowledge as a whole-from all the interviews and all the questions, the essence ofnahat'a will be shared in a way that will help expand its understanding, appreciation, and respect. -331-

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It should also be noted that this is my story ofnahat'a; the one that unfolded to me during the course of this research; the one that developed collectively from the speakers engaged in this research. As the reader will find in the course of learning about nahat'a, there are many different types ofnahat'a and different types of knowledge needed to engage in nahat'a The knowledge is never-ending. It is a lifelong journey to understand. This is but one short-story. 3.2.1 Organization of Sections The sections which follow are ordered to, first, provide some understanding of what nahat'a is, why it was needed, and what its goals are; followed by brief discussion of it's origin; and then details of its process, knowledge needed to practice it, character of a planner, and who plans. This order was chosen because it is assumed that many reading this dissertation will be unfamiJiar with nahat' a and need to have some introduction to its character prior to discussing its origin and features of practice 3.2.2 Interviews Results are summarized from six semi-structured interviews (See Chapter 2; Appendix C, Table C-2); and two open-ended interviews-one focusing on any aspect ofnahat'a the individual wanted to discuss, and the second focusing on the origin of nahat'a Five interviews were conducted in English (Naat'aanii, Medicine man, AL, HW, WA). Three were conducted in the Dine language, with the aid of translators (FY, EC, MM). Quotations of only four interviewees are from transcribed tapes (Naat'aanii, Medicine man, AL, HW); the remaining are not direct quotations; therefore, but reflect the statements expressed by interviewees and are derived from either taped translations provided during the interview (FY), notes taken on translations provided during interviews (EC, MM), or notes taken during the interview (W A). -332-

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I I I I I I I I I I i i Results are derived from questions directly related to thematic areas (2A,2B,2C, 2D, 2E, 20, 2H, 3); from additional questions asked to better understand the nature of nahat'a (2F,21, 2J, 2K,4 ), and the relation of interviewees to it (1); and, from review of each transcript for statements related to one of these thematic areas. 3.2.3 Supplemental Literature Literature is used to supplement interviews, where possible, to expand details of the rich history ofnahat'a; and, Navajo concepts related to nahat'a. As mentioned previously (Section 2.5.3.1 ), sources include those related to Navajo education and philosophy(Benally, l987;Benally, 1988;Benally, 1992;Benally1994;Benally 1997; Farella, 1984; Griffen-Pierce, 1992; McNeley, 1975; McNeley, 1981; Office ofDPL; Witherspoon, 1977), origins ofDine (Hadley, 1986; Haile, Father Berard, 1935; Hasteen K1ah, 1942; McAllester and McAllester; Spencer, 1977; Wyman, 1975; Zolbrod, 1984; ); autobiography ofDine(Frisbie and McAJlester, eds., 1978 ); Navajo community and political structure (Goldfrank, 1945; Levy, 1962; Pearson, 1969; Schoepfle, et al, 1979; Wilkins, 2003; Williams, 1970 ), law (Yazzie, 1994), and ceremony and religious practices (Gill, 1981; Remington, 1982). 3.2.4. What Is "A phenomenon or activities by means of which human beings are able to think for themselves, so they are able to talk and express ideas.'' (EC) ''Nahat'3, to me, is the act ofbeginning and engaging in the process of planning for a thing or an event to happen sometime in the future. And that's the act and process of doing it, but wrapped around that is, or comes with it, and should come in before the act of planning and engaging the process of planning is reminding oneself that nahat'a comes :from a time and a period and a process that predates us as individuals, and us as a people. Nahat'a has a history and has a -333-

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I I sacredness and because of there's a sacredness to nahat'3, there are prayers and songs that begin the act.." (Naat'aanii) "It's a very deh"berative thing, and a very engaging thing, and a very inclusive thing because it includes all part of one's self-your heart, and your mind and your spirit, where you are now; and, where you envision yourself to be, and includes people who are impacted by what you may be envisioning, but it also includes very strong the Holy People in this deh"berative process .. (Naat'aanii) "It is a sacred act, and a sacred state of being, and a sacred process. It is a process and a state ofbeing that is not engaged in frivolously." (Naat' 3anii) Although nahat'a has been roughly translated as Navajo planning, its description as a butterfly; a gift; a voice; children; clothing; stages of life; crystal vision; holistic way oflooking; opportunity to resolve a problem; a precious round object; and love indicate that its meaning is much more complex. Nahat'a is a gift from the Holy People which provides the means to think, talk and express ideas, and to bring ideas to life: .it's a gift that instilled in us by the Holy People. It's not necessarily found external to you. It's inherent. It's internal. That's where it's found. And nahat'a is the voice. When you speak, then, that's all part ofnahat'a" (AL) Nahat'a is inherent in all things from stars to water to plants to insects to people and has a process that is structured in accordance with nature-the four parts of the day, four directions, different phases oflife, four seasons, etc.: ''Our nahat'a is in the trees. It's in the mountains, the rains, the rain clouds, nahat'a raincloud. I was coming up this way and I was looking at the clouds, so powerful Nahat'a is intrinsic in the cloud, the cloud masses. Nahat'a, in all there's nahat'a, and it's also in the mist. They say that when the mists, .when you say the water, the mist, -334-

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it's like ye'ii-the Holy People they come down and that's when they plant their seeds .. seeds ofknowledge and wisdom.. They come down and then so we follow that process in springtime, you know. So the earth has a1ready been blessed for us through that mist, nistiin..that's how it's done. .It's all about nature you see. To me, it's like a language. I see the mountain I see character. I see images"(AL) Nabat'a also has male and female aspects which protect and balance each other, and this is part of the knowledge and process of conducting nabat'a appropriately: .. that's a part of the nabat'a and planning right in there, is to protect one another .. make sure nothing happens to you, and that is the reason why that is always male and female together to do that thing for one another, to protect. You will protect your man with Blessing things. He will look over you with protection. With his prayers and with some other manly stuff that they do." (FY). .it's supposed to have been like Blessingway and Protecting and that these were supposed to balance ... we use .it in a different way now .. (FY) Nahat'a has a history that predates the existence of human beings, and this history provides understanding of the goals and guidelines of appropriately conducting nahat'a This history is embedded in ceremonies, songs, prayers, and stories/legends. In particular, respondents noted the connection of nahat'a to a particular ceremony-the Blessingway Ceremony, and note that the songs in the ceremony are structured according to nahat'a (See section 3.2.7.3). All interviewees stated that embodied with nahat'a are ethics, principles, standards, and laws of the Holy People, which provides guidelines for living, and guidelines regarding the appropriate way to prepare for and undertake the process: ''Nahat'a .. was placed for the people because .it served as a guide to provide guidance and direction to the Dine people." (AL) -335-

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" .. ifyou do nahat'a appropriately and respectfully in the manner that's intended to be sacred, then those things that come out of doing nahat'a, they happen. That's a consequence of following the established rules set down by the Holy People ... (Naat'aanii) Literature on Dine educational philosophy also discusses this aspect ofnahat'a: .. We should not remove ourselves :from the processes which were established within the natural systems to guide our thinking, planning, living, and development of firm foundations .... Nahat'a was created so the process of existence would be guided by the natural processes which had been the foundation of all creation .. For Navajo, this process of establishing life is consistent with the way nature gives existence to things." (Nevy Jensen, qtd. in Office ofDPL, 1992, p. VI-VII) Not respecting and following these guidelines was noted to result in imbalance and disharmony in the world, and subsequently might result in loss of nahat' a and life in the world (See section 3.2.7.1). Nahat'a is considered a sacred process or element inherent to life: ''It's intrinsic in all of us. In fact, it's a gift that was instilled in us by the Holy People ... (AL) "It was placed within the earth systems by the Holy People. They placed it in the water, in the air, in the sunlight..." (MM); but, is also somewhat elusive in that it will not be awakened in individuals who are not prepared, reverent, or humble: .. .It's not going to come if you don't have self-respect. If you don't have reverence for nature. It's not going to come. It'll come to you, -336-

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but it'll come to you in a western way." (MM); and, requires empathy and respect: ''Respect, honor, pity, forgivance to all things, all creation, that's the general overall philosophy ofnahat'a .. (WA) Three respondents went beyond this to say that nahat'a actually guides the process of nahat'a (MM, AL, FY): .. .it guides us and teaches our heart, and our minds, and thoughts, and it leads us .. (FY) ''Nahat'a is like a person. Whatever you see, envision, the ideas you have are like a person. Nahat'a tells you how to say things, how to articulate things in a certain way. It says, ''Say it this way. Do it this way."(MM) When training to understand and engage in nahat'a is described, it appears to be a strenuous, all-consuming process requiring physical and mental strength, stamina and endurance, purity of thought, and the ability to keep out the negative when engaging in the process: "Okay in nahat'a, to acquire that and use it, and to maintain it, is just like anything else, like remember, I keep repeating that you have to be motivated. You have to have drive, you know. You have to get up early in the morning and run. Anything ... you train yourself .. getting up early in the morning means, "Don't be lazy". You have to be motivated. You have to have drive to ... running means you have to be physically fit..that's what it is, and then you have to be mentally and physically fit to tackle that. .. any knowledge, and then, honesty .. honesty is the big factor and you have to be honest with yourself and honest with people, and you have to be generous, you have to be sensitive, and then, you have to be a warrior. You have to -337-

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be a warrior. And that is how you tackle that. All of them. All knowledge." (HW) ''Nahat'a is telling you to stay strong. Other things may distract you. Keep your mind and heart strong. Discipline yourself so you do not stumble with distractions." (MM) "You have to get up early in the morning before sunrise .. you never sleep late ... You had to get up and you had to run a considerable distance to gain stamina, you know, you had to persevere, even in cold weather .. to bring clarity to your mind capacity and also to discipline yourself. .. (AL) ''If you follow the practices of our elders-sweatbath, and taking emetic herbs, carrying herbs, and get up in the morning, then nahat'a .. it's inherent. You don't have to search for it. You don't have to look for it, because you already practice it. It's part of your mind, body, existence. But you have to take care ofnahat'8, so in order to take care of nahat 'a you have to keep yourself clean .... ( AL) In discussion of training and knowledge (See section 3.2.10 and 3.2.11.3.2), interviewees also noted the existence of many types and levels of nahat' a depending on one's age, maturity, focus of one's life (i.e., medicine man, naat'aanii, warrior, parent), and the activity one is planning for: ''There are different kinds ofnahat'a for different activities" (EC) ''Remember I said if you want to be a warrior, there's a nahat'a as a warrior. You want to have nahat'a as a medicine man, then that's how it comes, but since you're not an apprentice, I can't share with you concepts having to do with apprenticeship, but rather, I'm sharing with you knowledge that pertains to education .. (AL) Nahat'a is also noted by two interviewees, and in literature sources (Wyman, 1975; See section 3.2.7.3.2) to be the form of planning that is specifically Navajo and was given to the Navajo through their language, way of dress, way of being: -338-

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" ... when everything was being in the process ofnabat'a and planning, they stated that there will be different nationalities, and with our nationality, they were responsibility to develop the nabat'a and planning and how it's going to come about, and that' within our Dine people ... (FY) "After nahat'll, there was a certain dress, way oflooking. Navajo look a certain way, use skins of buffalo, cow, and wool." (EC) 3.2.4.1 Summary Nabat'a is a gift from the Holy People which provides the means to think, talk and express ideas, and to bring ideas to life. It is inherent in all things from stars to water to plants to insects to people. Nabat'a has a process that is structured in accordance with nature-the four parts of the day, four directions, four phases of life, four seasons, etc. It has male and female aspects which balance and protect each other. It has a history that predates human beings. This history is embedded in ceremonies, songs, prayers, and stories/legends which provide understanding of the goals and guidelines of appropriately conducting nabat'll. Not respecting these guidelines results in imbalance and disharmony, and might result in loss ofnabat'a and life in the world. Nabat'a is a sacred process or element inherent to life which requires empathy, respect, and preparation to practice. Nahat'a is the form of planning that the Navajo are responsible for. It was given to them in the Dine language and is perpetuated through the Dine language and Dine cultural practices. The following sections will provide additional summaries of concept areas focused on during interviews, and in so doing, will provide a glimpse of the complexity of nabat'll. 3.2.5 Why Needed Seven individuals were asked why nahat'a was needed, and whether it is still needed. Results following are summarized from comments made by interviewees. -339-

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Four main purposes were discussed by interviewees regarding why nahat'a was and is needed: 1) Create life; bring something to life; make something new (e.g., ideas; children, crops, weaving, livestock): ''Nahat'a gives life to everything .. life to hwnans, plants, animals. This is why it was placed. It gives life to all life forms." (MM) 2) Solve problems ('anaoo6t'i'); rebaJance; keep earth in h6zhQ; good thoughts and processes; ''The word nahat'a is from 'anaoo6t'i', or a problem exists. Nahat'a is like an opportunity to resolve a problem. The word is based on that. That's how it originated. There are many problems. They may be associated with wishing for something, but are usually associated with a problem. To reach a goal, attain blessings, lots ofbarriars ahead ... in that light then, nahat'a helps to move across these things you encounter, these barriars. you have to use nahat' a to reach your destination, to achieve, attain those blessings." (MM) ''Prayers, Blessingway .. these philosophies are there for life and straightens out problems, conflicts ... this is the central concept of life. Western side has the Bible. This is our religious teaching." (EC) 3) Have an agreement, understanding of everyone in the community (one nahat'8, not several; consensus): .. when the traditional medicine healer people, when they get together, they make nahat'a to make something to be one, to be one nahat'8, to accomplish something, and .. you don't just talk for no reason at all. You are there to make something strong and something to happen, and to start developing something, so that's the reason why they got together in the center .. (FY); and, -340-

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I I I I I I i I 4) Guide life through providing natural laws and guidelines: .. it was given to the human beings, Navajos ... so it would serve as a guide to the right direction to the Dine people" (AL). ''Nahat'a came into being when the Holy People understood that there were things envisioned, possibly happening or needing to happen, and wanting to protect these things that they saw going to happen or needing to happen, seeing the road getting there being special. Recognizing that specialness. Saw a need to include protection of those ways, and a specialness of those ways, and I think wisely establish -1 guess you can call them requirements to do nahat'a appropriately, and so the Holy People, began the act ofnahat'a and the process ofnahat'a ThiS is way before the Dine came into being, so when we engage in nahat'a, we're following the path laid down by the Gods." (Naat' aanii) Literature in which the origin ofnahat'a is addressed (Wyman, 1975, p 465-466; Office ofDPL, 1992) also indicates the importance ofnahat'a as a means to solve problems, to keep life holy, to make life successful, and to create one direction in life: ''Nahat'a was created so that the process of existence would be guided by the natural processes which had been the foundation of all creation..Proper life or living requires an understanding of things which are interconnected with a person's existence within the natural processes ... Also we must understand the essential and basic things needed for successful living ... and how to go about making a living. These essential and practical aspects come from thinking and planning according to the teachings." (Nevy Jensen qtd. in Office ofDPL, 1992, p.VII) Several interviewees stated that before nahat'3, there was no life, nothing was being created. It created guidelines and a path for creating things. Several noted that it also creates a pathway to overcome barriars. This path also provides ethical guidelines for living life. Nahat'a is noted to be part of being a complete person-thinking for one's self: and supporting one's self. Nahat'a also provides a means to keep all things -341-

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holy-including nahat'3, itself. Several interviewees also noted that the lack of use ofnahat'3, or use of it in a way in that conflicts with what was originally intended by the Holy People is currently resuhing in chaos within the Navajo Nation-in families, communities, institutions, and the overall structure of the Navajo Nation: ''we don't use it ... they say, in the home life, out in the communities, the parents .... don't know about nahat'a Even in the organization.. they say .. .it's not used, yes, it's used, but it's used in a western context, not so much in the way that was given to us as Dine people to serve as a guide, and because of that, there's chaos, all kinds of things happening ... (AL) Literature also indicates that lack of practice will result in disharmony: ''Some medicine men believe that because people do not practice the teaching of Blessing Way, they are continuously in disharmony with their families, community and natural environment." (Benally, 1987, p. 139) 3.2.5.1 Summary Nahat'a is needed to create life; make something new; to solve problems and rebalance the earth; to come to agreement or consensus in a community; to guide life along a path of appropriate living, to keep life holy. Without nahat'3, there is chaos. -342-

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I I I I I l 3.2.6 Goals Six interviewees were asked what the goals or desired result ofnahat'a is; why it is done. Two discussed goals in open-ended interviews regarding nahat'a: "When the traditional medicine healer people, when they get together, they make nahat'a' to make something, to be one, to be one nahat'8, to accomplish something and it's not, you don't just talk for no reason at all. You are there to make something strong and something to happen, and to start developing something .. (FY) "Well, the goal ofnahat'a is .. ifyou go among the community and as you see what you see, and then you've got to see the goal is to harmonize everything and to balance out everything (Medicine man) ''There are several goals built into it, I think. But the first one, I think, I kind oftouched on already is to maintain a sacredness to doing nahat'a. That's one goal. A second goal, I think, is to respect the process established by the Holy People when engaging in nahat'a It's not something to toy with, like a lot of other sacred things ... (Naat' aanii) "Question in nahat'a seems to be about what is your prediction within our community, your generation. Where do you think you're going? .. Christian is talking about fire and end ofthe world. Iri our vision, there's still something beautiful happening. You're not going to hell, but to joy, happiness, and progress. There's still something in store that's beautiful. Focus on this." (WA) Goals ofnahat'a are embedded in its framework and origin (See section 3.2.7.1). Goals expressed by interviewees are of two main types: 1) for nabat'a itself: and 2) for the outcome of the practice ofnahat'a -343-

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I I I i I I I I I I I I I I I i I I i 3.2.6.1 For Nahat'a Three interviewees discussed the goals ofnahat'a for itsel Goals noted are to keep the process and practice clean, sacred, and holy in the form given by the Holy People ; and, to keep it positive, and make it effective and strong: .... maintain a sacredness to doing nabat'a That' one goal. A second goal, I think, is to respect the process established by the Holy People when engaging in nahat'a .. (Naat'aanii) Literature regarding the origin of nahat'a also notes the importance of maintaining the sacredness of nahat'a through specific procedures and guidelines (Wyman, 1975, p. 383, 385-386, 465-466). 3.2.6.2 Outcome ofNahat'a The second category of goals, discussed by all interviewees, focuses on the outcome of the process ofnahat'a Goals mentioned include life, balance, and harmony; and, one nabat'a These goals lie within a framework of natural laws. 3.2.6.2.1 Life, Balance and Harmony All interviewees indicate directly or indirectly that the purpose ofnahat'a is for life or being. In particular, interviewees mention a long and healthy life, a life with blessing and prayer, a life with respect for the laws established in the natural world, and the maintenance of harmony and balance on earth: ... being in life with prayer and blessing ... (Naat'aann) ... the goal is to harmonize everything and balance out everything with your nahat'a . (Medicine Man) Literature regarding Navajo philosophy and education (Benally; Griffin-Pierce, 1992; -344-

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Office ofDPL; 1977), in general, also descnbes these goals in the life of a Navajo: ''The Navajo maintain that people need a sense of history to understand their immediate world and to prepare them for the future. History and mythology contain prescriptions for behavior as well as taboos and customs that are the bases for governing and regulating the affairs of the people. The traditional goals are to promote and maintain the social well-being of its members, where plans and communication are based on hozh.1 .. (Benally, 1987, p. 145) ... the ultimate goals of Navajo life are: First, to seek and establish the state ofhozhQ; and secondly, to learn behavior appropriate to the state ofh6zh. H6zh appears to be a life where peaceful words (h6zhji saad) are peaceful thoughts (h6zhQgo nts8hakees) exist and tranquil society (h6zhQQgo da' iina) exists" (Benally, 1987 p. 139) ''The goal of the earth surfuce people is to die of old age after a long life ofbeauty, harmony, and happiness .... 1977, p. 35) "Everytime he [Navajo] talks, thinks, or acts, he does so in radiance, in a state of wisdom and perfect harmony." (Harry Walters qtd. in Griffin-Pierce, 1992, p. 191) Mention of "everlasting life", and NaaghAi Bik'eh H6zh66n" by interviewees in discussing nahat'a and goals allude to a complex Navajo philosophy underlying goals of being, balance and harmony. Literature sources regarding Navajo philosophy and education provide additional insight regarding this complexity (Benally; Griffen-Pierce, 1992; McAllester and McAllester, 1980; McNeley, 1973; Witherspoon, 1977): 12 H6zh6 also describes as "balance, harmony, interrelatedness, happiness" (Benally, 1988, p. 10); "peace, happiness, plenty" (Benally, 1988, p. 1 0); and "a state of much good, leading to a peaceful, beautiful and hannonious life (Benally, 1994, p. 1) -345-

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''The Navajos have recognized Sa'l}h Naaghai Bik'eh H6zh6on as the natural order of all life and as the way of life of the Holy People. It has been called H6zh6ogo IinA (Blessing Way), Tadidfin bek'eh e'etiin (The Pollen Path), as well as Dahtoo' bik'eh e'etiin (the Way of Dew). Sa'l}h Naaghai Bik'eh H6zh6on, or Blessing Way, represents life where one is emotionally happy, physically healthy, morally good, and economically able and secure. Following these paths, one lives in harmony with the universe .. (Benally, 1994, p 24) 3.2.6.2.2 Natural Laws Although three interviewees mentioned that nahat'a is for whatever one aspires or desires in life, it was noted that these aspirations must lie within the framework of natural laws. Following these laws maintains balance and harmony: ''I think [goals/desired result] to be a whole person, to live in this world, to take advantage of what this world has to offer, to live within the laws that was established here, between Sky and the Earth, and everything ... that was set on this earth. They have their behavior is also related to what is happening between the Earth and Sky, the movement ofthe Sun, the Moon, and the Stars . allliving things ascn"be to this. They live by that, and then the Navajo culture is directly related to that, and ceremonial order also takes this into account, so if you don't live within this order, you are out of balance-not only you, but you make, you distort the pattern of other living things too, because they follow this order Nitsahakees, nahat'a, Una, siihasin-it's part of this order, so your life from birth to old age is part of that, and there's a prescribed order that you follow. Nahat'a is part ofthat. This order that comes from the movement of the sun, the moon and the stars, you know, is what all living things live by and that is the natural law. And that we, the Navajo culture, the ceremonies are directly related to that. If we just practice our tradition and custom, we are in essence living in harmony with nature." (HW) Literature references also indicate the importance of following principles of the natural order in Navajo life: -346-

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"The Navajo saying "Ya'at'eehgo nijgha li: is an admonition to ''walk in a good and orderly way, always." This phrase embodies the ideals ofNavajo philosophy discussed in this chapter by referring to the order inherent in the cosmos. Each day this order recurs in the form of the four cardinal light phenomena; the order of the year is manifested in the earth's hibernation in winter and restoration to life in summer, as well as in the annual appearance of specific constellations at their expected time. Both the Navajo hogan and sandpaintings encode this cosmological order. Ya'ilt'eehgo nijgha li is a reminder to live in a way that shows respect to the diyin dine'e, the Holy People, by doing one's part to continually create anew the order that they created originally in the universe." (Griffen-Pierce, 1992, p. 97); of their importance in maintaining balance and harmony: "In traditional Navajo thinking, spirituality, health, harmony, and beauty are inseparable. All the good things in life-health prosperity, happiness, and peace-are a resuh of living life from a spiritual perspective that acknowledges all part of the universe as alive and interdependent. The Navajo perceives the universe as an all-inclusive whole in which everything has its own place and unique beneficial relationship to all other living things. Humans, animals, plants, and mountains are harmonic components of the whole. An orderly balance based on the principle of reciprocity governs the actions and thoughts of all living things, from the smallest creature to the most complex, including human beings and the enduring land on which they live. It is the responsibility of humans to honor and maintain this balance." (Griffin-Pierce, 1992, p. 29); and, of their derivation from the Holy People: .... the Holy People 'put it there [natural law] for us from the time of beginning' for better thinking, planning and guidance. It is the source of a healthy, meaningful life ... (Yazzie, 1994, p. 175). Navajos are for helping to maintain balance and harmony in their planning and life. Three interviewees state that nahat'a aids in this process as -347-

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harmony and balance are embedded in its process and teachings. The process and teachings subsequently guide individuals, families and communities towards goals and decisions which are within the framework of natural laws, and help naat'8anii to convince community members to strive towards these goals: ... Our nahat'a is in our system, because the air is in us, and the water ... and they're the ones that ... make us see, observe things .. and our nose is the one that tells us ifthere' s a negative, bad that we need to take care of: and we have mouth is to take care of it. Speak it out, you know. Let people know how it should be, and how it should be used and taken care of and to make it better ... (FY). Literature also indicates the need for leadership in the community in encouraging community members to follow these guidelines: ... The natani's status was one ofleader and overseer of all the affairs ofhis local group or outfit ... His role was that of a wise leader, and he was expected to combine mythological knowledge with wisdom in making decisions for his group. The reputation of a local headman depends upon his good judgement and his rhetorical ability to persuade members ofhis group to lead peaceful, useful, and harmonious lives." (Williams, 1970, p. 7) 3.2.6.2.3 One Nahat'a Three interviewees also note the importance, where groups of people are gathered (ie., family, community), of achieving the goal of one nabat'a for the benefit of all: ... the whole community needs to come together and come to an agreement at what the whole community needs ... (Medicine Man) This goal of one nabat' a is also mentioned in the literature on origin of nabat' a, where one ceremony (Blessingway) is to be participated in by all (Wyman, 1975; p. -348-

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465-466), and in recent discussions regarding Navajo community organization and political structure and Navajo education: .... The traditional goals are to promote and maintain the social well being of its members (Navajo Tribe), where plans and communication are based on h6zhQ. These traits of consensus and cooperation still linger in the Navajo Chapter meetings ... (Benally, 1987, p. 145) "A major emphasis of all Navajo social interaction is to achieve harmony, and the well-being ofindividua1s is coextensive with that of the group ... Harmonious interpersonal relations are thus the primary objective of action, and consensus is the direct evidence that a group has reached its goals ... (Wtlliams, 1970, p. 58) 3.2.6.2.4 Other Things Respondents indicate that one does not make plans for plants, animals, and other things in the environment, as they have their own nahat'a (See section 3.2.13.3). The goal of all things engaging in nahat'a is harmony, balance, and blessing in life. One individual also mentioned that keeping things clean-especially the sky, the earth, the water, and the air is one of the goals ofnahat'a Through this goal of planning, human beings will find joy, happiness, physical and psychological health: "The sun, the moon, the stars, the weather, moisture, clouds, rain, and changing of season, of four parts of the day. Keep it clean, then it will keep your life clean. It will provide the needs, wants in the life you live. That's nahat'a Keep this oxygen, this air, nilch'i diyin, keep the air clean to find joy, happiness, psychological spirit and physical health. .. This is general overall nahat 'a .. (W A) -349-

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3.2.6.4 Summary Goals ofnahat'a are to keep the process ofnahat'a sacred and strong; for life; to maintain harmony and balance on earth; to live a long and healthy life with blessing and respect for laws established in the natural world; and to create one nahat'a where a group is gathered. Although nahat'a can be used for whatever one aspires or desires in life, these aspirations must lie within the framework of natural laws which maintain balance and harmony. Navajos are responsible for helping to maintain balance and harmony in their planning and life. Harmony and balance are embedded in the process and teachings ofnahat'a Planning, from choosing goals to decisionmaking, should be based on the framework of natural laws laid down in legends, prayers and songs which works towards balance, harmony, and long-life happiness for all things. -350-

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3.2. 7 Origin "It was placed within the earth systems by Holy People. They placed it in the water, in the air, in the sunlight, placed within these elements by the Holy People." (MM) "When nahat'a was first thought about, it came directly from the Holy People. The Holy People were the ones that bestowed this type of articulation, expression upon the Navajo people ... (AL) ''The Dine foundation of life is interweaved with traditional legends and we carry our traditional legends by telling our stories to our children, and you have to put it in your mind and in your heart somewhere to remember all things. To remember all the traditional legends and values on becoming a whole person; to receive all the spiritual blessings, and that it will guide you to higher authorities by the Holy People. And because of that, our language is not written. The Holy People didn't write it for us. Instead is was told that we are to carry our legends and values by telling one another about the stories, and it is difficult to translate into English." (L Y13) Two questions were asked relating to the origin or planning-"Why was nahat'a needed?" and "How did it originate?''. Seven individuals were asked these questions directly. One discussed why nahat'a was needed, in general discussion ofnahat'll. The origin ofnahat'a is described in different ways by interviewees, depending, in part on the type ofnahat'a an interviewee was thinking and talking about. All noted; however, that nahat'a came from the Holy People. Three noted that it existed before human beings were created. Most respondents focused primarily on the transmission ofnahat'a to the Navajo 13 Lina Y mmg was one of the translators for Frank C. Young, and provided this additional information to supplement his presentation. -351-

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people. Nahat'a has a history; however, that predates the existence of the Navajo and other people. Both aspects of this history ofnahat'a will be discussed beginning with a brief overview of some of the history prior to existence ofNavajos, followed by transmission of nahat 'a to the Dine. This history of nahat'a is stored in ceremony, song, and pmyer; is passed down from genemtion to generation; and, provides the framework for the current practice ofnabat'a, containing many lessons regarding the nature and proper use ofnahat'a: "Today, you know, as people, as we're engaging in nahat'a, we are following the steps and the path that was already descnbed to us by the Holy People. It's unquestionable. So it's an engaging in a sacred act, nahat'a It's important that we adhere to that-how it originated, how nahat'a originated, the expectations that the Holy People built around it in terms of how we conduct ourselves." (Naat'aann) Emphasis in this section is on showing the need for, and origin of characteristics of nahat'a-in particular its process and goals. Literature supplements interviewee comments where available, to aid in expanding details of the rich history ofnahat'a Literature available primarily addresses chaos in the evolution of the universe and the need for guidelines and a framework for life(Griffin-Pierce, 1992; Wyman, 1975; Zolbrod, 1984), development of and components of Blessingway (Wyman, 1975), and transferrance ofnahat'a to the Dine (Wyman, 1975). 3.2. 7.1 The Beginning Nahat'a was created before there was physical form in the universe in the first world. Holy People decided they needed to start planning, and they got together in one place -352-

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to talk about what to plan. The Holy People had to agree regarding the goal of nahat'a, and to support each other in it: ... we [Holy People] got to make that nahat'ajust one nahat'a, not two, not three, not four, so they all had to be one and walk the same nahat' a (FY) The goal was to achieve one nahat'a This is followed by medicine people today: "When the traditional medicine healer people, when they get together, they make nahat'a' to make something, to be one, to be one nahat'a, to accomplish something and it's not, you don't just talk for no reason at all. You are there to make something strong and something to happen, and to start developing something so that's the reason why they got together in the center ... all the Holy People and they were female and male, and they couldn't say this is not something that I want to do. They all had to be agreed to it, to make something happen and they had to be strong with their nahat'a in that area It couldn't just break up or anything like that, they all had to be with that one nahat'a" (FY) The Holy People decided to make a home, the foundation ofthe earth, and that's where planning came about. The framework of the earth was developed in four directions as the Holy People talked to each other, and four of the Holy People chose to stand, one in each of the four cardinal directions, with male standing opposite to female. By standing in each of the four directions, male opposite to female, the four Holy People provided protection and blessing to their plan for the earth, and all future plans on earth. They remain standing in those places, today, and continue to protect nahat'a Nahat'a has always contained male and female aspects which create a whole and united approach to planning, balanced with blessing and protection: -353-

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" .... part of the nahat'a is developed with female and male ... the cornstalk represents Blessingway, so that's why the lady is always blessed with Blessingway. With the bow and arrow, is the Protection Way, and that's what the man holds" (FY) ..... because of negative things are going to be around, and we got to be very conscientious of what we're doing, so we don't want anyone to disturb it, or to do something negative to it, so you're going to be protecting [with Protectionway and Blessingway things]. .. that's a part of the nahat'a and planning right in there is to protect one anothermake sure nothing happens to you, and that is the reason why that is always male and female together to do that thing for one another, to protect. You will protect your man with Blessing things. He will look over you with protection. .. (FY) ... they say the nahat'a when it came about and when it was being developed, way from the beginning, how they were planning, how we're going to come about, was all in here .. the nahat'a was in here [eyes, nose], mouth, how we're going to see it, how we're going to smell the pros and cons with your nose, and we're going to speak as that, we had to speak in a positive way .. That's how we were made. It's supposed to have been like Blessingway that we do and protecting and these were supposed to balance .. (FY). It was noted that only positive plans should exist for the earth even though both positive and negative thoughts exist: ... there is always going to be a negative and positive thoughts from others, but within this circle right in here where they're making the earth, they stand only for positive statements, not negative things, but they would have to balance that negative, and balance negative and positive things ... (FY) Natural elements, particularly air and water, continue to aid in balancing protection and blessing in the process ofnahat'a: -354-

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"Our nahat'a is in our system, because the air is in us, and the water, and they're the ones making us think. They make us see, observe things, and our nose is the one that tells us if there's a negative, bad that we need to take care ot: and we have mouth is to take care of it. Speak it out, you know. Let people know how it should be, and how it should be used and be taken care of and to make it better ... (FY). In this first stage of development of nahat'a, there was no sweatlodge or fire. The Holy People thought about fire and water and how they would be involved in the process ofnahat'a. They decided that the fire would always be part of the process of nahat'a, providing smoke to let other Holy People know that planning was going on. They would smell the smoke and would gather around where planning was happening, and support it: .. they were using their nose and smelling their smoke [Holy People]. Where is it coming from? They all came around and gathered around that--the nahat'a, the planning where it was originating. That's where they have the fire, around the fire, and begin planning, begin nahat'a, and also siihasin, which is the critical part of thinking and can make it iina,where it came about, being part of all the nabat'a .. fire goes up into the universe and the spiritual place and that's where they will think, our kids down there, they're planning ... (FY) Built into nahat'a by the Holy People are ethical guidelines for life. If one abuses or is disrespectful to things, then nabat' a and life is be taken back. These guidelines were in place before physical beings came into existence, and affected life in the first, second, third, and fourth worlds where insects, and animaJs, and First Man and First Woman lived in spirit form. While Holy People were planning, they noted there would be a time when different nationalities of people would exist, and that Dine people would be given responsibility for nahat' a: -355-

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" ... when everything was being in the process ofnahat'a and planning, they stated that there will be different nationalities and with our nationality, they were responsible to develop the nahat'a and planning and how it's going to come about-that's within our Dine people." (FY) Four interviewees state that nahat'a is the form of planning given to the Dine. In summary, some of the characteristics ofnahat'a which existed prior to creation of the Navajo people are the following: 1) Nahat'a has always been composed of sacred elements in its structure and processes, and it rests on and within a sacred, stable foundation--built from characteristics of the Holy People who continue to protect its processes today. Ethical guidelines are embedded in its structure and disrespect of guidelines will result in the destruction of the world . 2) Within it's foundation are female and male aspects which create balance, wholeness or one nahat'A, and bless and protect the process and outcome. 3) The goal ofnahat'a was to have one nahat'A, to have beings working together towards one idea, and to protect that idea or plan through its entire process with positive thoughts towards balance and harmony: 4) Nahat'a requires a stable place, where people can come to meet and talk, and this was designed as the hogan. Within the hogan, a fire was built to help protect the planning process, and to carry its goals to the Holy People. -356-

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3.2. 7.2 Evolution From lst-Sth World ... even before Mother Earth was created and the sky was created, there was always, there was nahat'a. That's how our traditional songs are, you know, that's how we sing our traditional songs ... The Top Holy People, they're the ones that came down and they're coming to a meeting ... (Medicine man) In the Dine origin stories, the 1st through the 5th worlds is the period of development of many beings in the world-insects, birds, mamma.Js. It is also the period during which beings were learning how to use nahat' a. Many made mistakes which resulted in disharmony (Zolbrod, 1984; Wyman, 1975 p. 376-377), and subsequent destruction of worlds (Griffin-Pierce, 1992; Zolbrod, 1984; others). After each world was destroyed; emergence of one pair of female/male of created beings into the next world where they carried lessons of how to conduct nahat'a appropriately, and of the mistakes which must be avoided. In each successive world, behavior of the beings improved, as learning from past mistakes occurred and was carried to the next world. This is indicated both from one interviewee and in the literature: "The First World, inhabited by insects, was the most chaotic and was characterized by confusion, uncertainty and error. (Reichard 1950:16). Each subsequent upward migration toward emergence onto the earth's surface led to greater stability, order and knowledge." (Griffin-Pierce, 1992, p. 67) Many of the animals and insects currently in this world (5th) are descendants of these beings and thus have direct knowledge ofnahat'a which is available to human beings through legends/stories and through direct interaction with these descendants: ''They said they did all the wrong things. It didn't work out for us, but -357-

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i I I ; I I I I I I I I \ I I I i I take it from us, we're going to be part of your nahat'a and planning. We're going to tell you this is wrong because we've experienced it." It brought us to this place, and we cannot do these things no more ... They're still part of the nahat'a because they tell us their experience and what happened when they were back then .. (FY) In the fifth world, guidelines and procedures were put in place for all beings to help them orient themselves in life, and to conduct nahat'a appropriately, among other life skills. Literature indicates these procedures were put in place because: 1) Thoughts were divided in planning (Wyman, 1975, p. 376), and some dreadful things acquired as a result 1975, p. 377), such as monsters roaming the earth terrorizing and killing, disrespecting holy things, and causing chaos killing many (Wyman, 1975, p. 139, 418; McAllester and McAllester, 1980; Griffen-Pierce, 1992; Zolbrod, 1984) 2) A means to keep things holy was missing-there were those who were disrespectful in ceremony, who had ugly language, and were mean (Wyman, 1975, 403, 405); 3) A means to protect humans from making mistakes regarding nahat'a was missing (Wyman, 1975, p. 377); 4) A means to rebalance things if mistakes were made was missing (Wyman, 1975,) Dialogue among the Holy Beings in Navajo origin stories (Wyman, 1975) indicates the need for these guidelines: ... From the beginning of the work, from the beginning of the plants -358-

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made, things went somewhat wrong and to our misfortune somehow they did not go as intended. These will now be renewed by it, it will be righted again, our thoughts will become holy again, and our speech, and our plans will become holy again, we will be completely set at ease again by it, that is its purpose, my children. .. (Wyman, p. 358359, 1975) ... One can see here that you have made many things which are a means of living and which are necessary in regulating lives. But the manner in which all of you are to keep things holy, and how your offerings are to be so that because of them gladness will fill your interiors, and the means by which your songs and prayers will be recognized, and the means by which you are to be useful, by which you are to give assistance, by which things will become known for your benefit, by which you will become know, that, you see is completely missing here ... (Wyman, 1975, p. 376) In particular, features to guide, orient and order thinking and planning were put into place-sun, moon, stars, dawn, skyblue, evening twilight, darkness, etc. (Wyman, 1975 369-372; 410-411). These features were Holy Beings associated with the four cardinal directions, and are part of a framework to aid in decision-making regarding work, and prayer: "That Dawn one will do the awakening, while traveling will be done in the [light] of the Sun, and whatever is to be done, whatever is to be handled, work of any kind that happens to be required, all of this will be done in its light..." (Wyman, 1975, p. 372) "Offerings made at that time [at dawn] will all be holy and in the future young men and women who are to come into being will all be put in shape [so that] he [or she] who has walked in it [the dawn] will enjoy every [possession] .... (Wyman, 1975, p. 370). Holy people associated with each of these directions, and others created for other purposes would later not only guide, but protect Navajo, their songs and prayers, in planning and life. (Wyman, 1975, p. 486-487). Several interviewees indicate the -359-

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importance of knowledge embedded in the four cardinal directions to the process of nabat 'a (See section 3 .2.11.3 .1 ) Holy Beings were asked to share their songs of creation for the future stability of the earth. These songs were to be the basis of the Blessingway ceremony: .. all of you who have songs will sing them for that purpose .lfthere be songs for every individual thing only then it is strong and lasting, for this reasons we are now engaged in getting them [songs] lined up with things .. "You see, in the future, actions will continue to be directed by this." (Wyman, 1975, p. 386) All of this planning in the 5th world created a much more structured framework for nabat' a to occur within: ''In every direction planning now has become a reality. This is the purpose for which preparations have been made." (Wyman, 1975, p. 122) "Conditions as they developed from the time we moved up until now were not always the same as they are now," he said. "A number of things were missing before," he said. "So from that time [Emergence] on we began to think of them and we began to speak of them," he said. And accordingly you who have not met here have come into being," he said. Its [Earth's] surfuce too, on which we live, used to be absent, and also [Sky] below which we live was missing," he said. "That too which sustained our lives, our food, was missing then" he said. "And those things in the light ofwhich we travel likewise used to be absent," he said. And conditions used to be only one way [i.e. there was no change of seasons]. Some way in which we might know about a change of conditions also was missing," he said. The means by which we recognize any change in [weather] conditions has now been made for us. Consequently we now have winter and we have summer, and there are months. That, now you see, is what I have thought out for your benefit," he said. "Besides we have a time in which we arise," he said, by which I suppose, he meant the dawn. "And any traveling to be done, whatever may be brought up -360-

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for discussion, any work to be done, and wherever traveling is done and journeys are in progress, everywhere this should be looked over with them [eyes] in detail. For that purpose we have eyes. After that it should be thought over, for that purpose we have our nose. After that planning should be done for it, for that purpose we have our mouth ... (Wyman, 1975; 410-411) This framework would evolve into Blessingway over a period of time with Holy Beings in the 5th world participating in many meetings (Wyman, 1975, p. 224, 238, 239). 3.2.7.3 Dine, Changing Woman, Blessingway, and Nahat'a Blessingway was passed to the Dine in the fifth world, where the Dine were created. Blessingway is a ceremony to restore harmony to a chaotic world, was the method by which nahat'a was given to the Navajos, and contains the guidelines for appropriately practicing nahat' a: "Blessingway will set the way for making successful your prayers for nahat' a" (EC) ''Nahat'a is actually part of the Blessingway Ceremony ... the songs ... are structured in that fashion, in accordance with nahat'a" (AL) ''Nahat'a is inherent in songs and prayers ofBlessingway" (MM) 3.2.7.3.1 Changing Woman Blessingway was passed to the Dine by a Holy Being known as Changing Woman, who added her songs to those of other Holy Beings to make Blessingway complete. She came into the world to make Blessingway Holy, and to rid the world of most of -361-

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the monsters14, which had previously resulted from the abuse ofnahat'a. This would be accomplished through her twin sons-Monster Slayer and Born for Water. The twins would destroy most of the monsters through bravery and help from the Holy People, and through this process created an additional branch of knowledge/songs/prayers needed for nahat'8, known as Protectionway15 This is briefly described by one interviewee: .. Changing Woman, as a baby, and then as a woman, and then her two sons, you know, Monster Slayer and Born for Water-they are the ones who through their, what they did, their actions, you know, they establish these knowledge-nitsa.Mkees, nahat'a, iina, sihasin. .. She (Changing Woman) is responsible for the Blessingway Ceremony, and the boys are responstble for the Protectionway Ceremony." (HW) 3.2. 7 .3.2 Creation of Dine People Although Blessingway was created with human beings in mind (Wyman, 1975, p. 226, 237, 347, 361, 376, 377, 383), it was not until after Blessingway and Protectionway were in place that the Navajo people were created. They were created directly from Changing Woman. Some time after their creation, Changing Woman sent the Navajos to live in Dine bikeyah, the Navajo homeland --part of which is the current Navajo Nation. She sent them with means to make a livelihood and some protection for their lives (Wyman, 1975, p. 448-451), but did not provide them with understanding of the origin ofthe 14 A few monsters were allowed to remain to help move thinking and planning for the future such as old-age, cold, poverty and hunger (Zolbrod, 1984, p. 264-268; Benally, 1994, p. 26) 15 It should be noted that knowledge of nahat'8, as other subjects of study in Navajo philosophy, comes from both Protectionway and Blessingway (see 3.2.11.2.1). It is often believed that the stories of the two should not be mixed (Wyman, 1975, p. 139), so one may receive only one type of knowledge regarding origins when speaking with an individual. Most of what is emphasized here is from Blessingway, as that was the primary focus of interviewees. -362-

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earth and its relation to themselve!r-its order, orientation, and guidelines for living; the Holy Beings who were in charge of different things which needed to be respected; and, the need for prayer, offering and songs and prayers to make things strong and firm, and to keep things holy: 'vrhey had left, however, without songs, they left here without prayers. Therefore you have no songs, you have no prayers. Thus there is nothing which can direct our future dwellings, and nothing to direct you in births as you go on, and nothing which is to be your ceremony ... (Wyman, 1975; p. 464): Although this knowledge was in the world around them, one interviewee indicated that the Dine were not initially aware of it: ... this is the natural order, what we call Naaghai Bik'eh H6zh66n, and that was established by the earth and sky, and so everything that pertains to that, nitsS.hakees, iina, sihasin, was also there, but the people did not realize it at that time, until Changing Woman..Changing Woman is the one who interpreted that." (HW) Interviewees indicate that today, although nahat'a is inside every Dine individual, one must be oriented to understanding it and knowing how to practice it appropriately through training (See section 3.2.10). As a result oflack of knowledge, the literature indicates that the Navajos, like the beings before them, got into trouble with chaos, war, and disrespect for ceremony disrupting their lives: .. Those Navajos I made and sent back to their original home-they are multiplying over there and beginning to abuse one another. They are also misusing the holy things that I gave them, such as the baskets and the sacred canes." So that was discussed by her and the Holy People and finally it was decided that it was dangerous for the Navajos to be -363-

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fighting among themselves. They were liable to ruin those things that were supposed to be kept holy ... (Frisbie and McAllester, eds., 1978, p. 185) Disruption of life and chaos is also noted by interviewees to exist in the Navajo Nation today in cases where knowledge ofnahat'a has not been passed on, or where structures of planning are not formed in accordance with the principles and practices ofnahat'a (See section 3.2.5). Changing Woman, recognizing the problem, taught the Dine the songs and prayers of Blessingway, which are to be passed on orally through the generations as described in literature regarding the origin ofBlessingway: "'All of this will now be made known to you, all of it will be your ceremony, and all of it will be your songs, all of it will be your prayers. These will direct you as you live on in the future, and they will direct your mode of living. And should there be any mishaps in things on which life depends, which enable you to live, all will be put in proper shape again by means of them, the body will be restored again by means of them. That is their purpose,' she tells you," they said. 'Then too, it [Blessingway songs and prayers] will make your traveling power well, it will make your body well, it will make your mind well, it will make your voice well. And, too, it will make your thought holy, it will make your speech [words] holy, and in addition it will make you mutually acquainted with the Holy People. For that purpose the Blessingway will continue on for all times to come. You will learn to know it for the benefit of your relatives, of your older men and older women, for your clan relations, for your brothers and sisters, for your children, for your chiefs, then for the benefit of your filbrics and your jewels, for your horses and your sheep, for your corn, for your medicine, for your pollen, for the benefit of all of these. This is its purpose,' she tells you, they said." (Wyman, 1975, p. 465-466) Blessingway is to be used to guide and direct life (Wyman, 1975, p. 465,481,487, 491) and to restore it to harmony if problems arise: -364-

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"'Should anything go wrong with it [life within the hogan] at any time, let it [Blessingway] be employed to put it in shape again, it will thereby become right again, it [Blessingway] will be called the chief hogan songs, the Blessingway rite will be the first thing used for that purpose,' was said." (Wyman, 1975, p. 385) Blessingway provides the guidelines for practicing nahat'a appropriately, and ensuring balance and harmony through its application. Among principles of Blessingway descn"bed by Wyman (1975) in the discussion of its origin, and discussed by interviewees in descnoing the process (See section 3.2.8) and goals (See section 3.2.6) ofnahat'a are the following: 1) Keeping thoughts and actions positive; 2) Keeping thinking clear (Wyman, 1975, p. 377, 440, 484) 3) Providing self-protection(Wyman, 1975, p. 474) 4) Making things Holy, and restoring things to holiness (Wyman, 1975, p. 385 425, 435, 465, 466)) 5) Planning for the benefit of all things (Wyman, 1975, p. 466, 474) 6) Guiding and directing life for long-life happiness of all things (Wyman, 1975,p.485) 3.2.7.3.3 Elements ofBiessingway Among elements which are part of the origin and framework of Blessingway are: hogan; pollen; tobacco; songs and prayers; and, the underlying goal for all thoughts and all plans of"long-life happiness". Importance of these elements in the origin of Blessingway, as related by Wyman (1975), are discussed briefly below. Interviewees indicate similar significance and purpose of elements in their discussions of process and goals ofnahat'a (See sections 3.2.6 and 3.2.8). -365-

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3.2.7.3.3.1 Hogan Construction of the hogan and its furnishings are noted as important to the end result of planning for harmony and long life. Special songs are sung in its creation to ensure it is blessed. Appropriate means of construction of the hogan are discussed (wood and soil), and appropriate materials to be placed inside (mats, fire, pots, grinding stone, broom, sleeping, clothing, fabrics, jewels). The end resuh of following these procedures is noted to result in planning for harmony and life: ... There will be long life and happiness [existing] there. Now in this manner living will continue within it, getting them fixed up and bringing them [thought and discussion] together. Planning things and making them strong will be done there, [i.e., the hogan will become a center of strength and sound planning]. Moving into it [by Holy People] will take place and they will have lasting homes in it in the future. And entering into it in a holy way will occur and [life] will continue on in blessing within, just as it was originally [intended]." (Wyman, 1975, p. 385) 3.2. 7 .3.3.2 Tobacco Tobacco was to be used to help clarifY thinking, especially ofleaders: ... Here is the means by which thinking, by which planning is done! Look! Here it is!..Now all of you who are leading chiefs shall keep this with you, because you must think about things far ahead, and by means of it many things will become known to you, by means of it the mind can be concentrated ... (Wyman, 1975, p. 411) 3.2. 7 .3.3.3 Offerings Offerings to Holy Beings of com pollen, jet, abalone, white shell and turquoise were noted necessary to make the process Holy: ... you will make the offerings to us as nicely as possible, thus your -366-

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prayers and your songs will be holy ... (Wyman, 1975, p. 486) Use of pollen before speaking was noted to make speech holy and powerful in planning: ... Thereby the mouth [through eating pollen] will be holy, thereby speech will have power, plans made will have strength, emergence old men and women, young men and women, children and chiefs, [i.e. future generations] will be listening to it, they will desire it, they will be directed by it. That is its purpose" (Wyman, 1975, p. 385). .. pollen .. will be a means of restoring your speech in blessing for your benefit... By means of that pollen your speech will become [blessed again], thereby it will be blessed before you, thereby it will be blessed behind you, thereby it will be blessed below you, thereby it will be blessed above you, thereby it will be blessed in all your surroundings, thereby your speech will go forth in blessing, thereby you will be made to be long life, happiness again." (Wyman, 1975, p. 485) 3.2. 7 .3.3.4 Songs and Ceremony Songs and ceremony were needed to make thought, speech and plans holy (Wyman, 1975, p. 408, 462); to move plans into reality (Frisbie and McAllester, eds., 1978, p. 21), to make them have substance, to be secure (Wyman, 1975, p.462), and strong and lasting: .. from the very beginning of things it [Blessingway songs] caused the Earth to be firm, it caused the Sky to be firm, which was done so that people might be able to dwell upon them. .. (Wyman, 1975, p. 464) .. .Ifthere be songs for every individual thing only then it is strong and lasting, for this reason we are now engaged in getting them [songs] lined up with things." (Wyman, 1975, p. 386) "Should anything go wrong with it [life within the hogan] at any time, -367-

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let it [Blessingway] be employed to put it in shape again, it will thereby become right again, it [Blessingway] will be called the chief hogan songs, the Blessingway rite will be the first thing used for that purpose ... 3.2. 7 .3.3.5 Long-life Happiness Finally, the goal of"long-life happiness16 was placed within all elements within the universe to guide their lives: .. Of all these various kinds of holy ones that have been made, you the first one will be [represent] their thought, you will be called "long life", he was told. "And you who are the second one, of all Holy People that are put to use first, you will [represent] their speech, you will be called Happiness, he was told ... "You will be [found] among everything [especially ceremonial affairs] without exception, exactly all will be long life by means of you two, and exactly all will be happiness by means of you two ... (Wyman, 1975, 398) "And we all [say] long life is our voice, and we all [say] happiness is our speech, so that is what we are .. (Wyman, 1975; P. 436) Elements of pollen, the hogan, offerings, tobacco, songs and prayers, and the goal of long-life happiness are part of the origin ofBlessingway, and part of the process of conducting na.bat' a appropriately. 3.2.7.3.4 Naat'aanii Nahat'a is noted by several respondents to be the form of planning given to the Navajo people, while other forms of planning were given to other people. Several 16us11'ah Naaghaf Bik'eh H6zb6 has been translated numerous ways, aU of which have been grossly inadequate .... The most common of these translations is ... 'long life' ... 'happiness'. Other translations include the following: 'in-old-age-walking the trail of beauty'; 'according-to-age-may-it-be-perfect'; and 'according -to-the-ideal-may-restoration-be-achieved' ... (Witherspoon, 1977, p. 18) -368-

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interviewees noted that it was the responsibility ofNavajos to determine how to incorporate nahat'a into their political systems and daily life: .. when everything was in the process ofnahat'a and planning, they stated that there will be different nationalities and with our nationality, they were responsible to develop the nahat'a and planning and how it's going to come about, and that's within our Dine people .... (FY); This resulted in the development of the Naayee'ee Naat'aanii and H6zhji Naat'aanii-two types of leaders responsible for protection planning, and blessing planning, respectively discussed by several interviewees: ''Navajo had to come up with a Protection Naat'aanii .. Protection Way Naat'aanii, and then a Blessing Way Naat'aanii, Beautyway, H6zhji naat'aanii and Naayee'ee naat'aanii. Naayee'ee, the Protection Way, they had to come together and talk about how they should be strong and to plan out to protect the whole tribe and to protect they community .. and H6zhji nahat'a.people, they had to .. they had to think about, you know, to plan certain things for the community, like what they need to do to have the Blessingway for the community, have harmony in the community, and then strengthen the community, you know, by telling them about stories and the survival skills in the community .. how to raise animaJs like the livestocks .. (Medicine man) and also noted in the historical literature (Goldfrank, 1945; Spencer, 1977, p. 78; Williams, 1970, p. 6): ''Community leadership ... was vested in one or more individuals who duties involved direction of domestic affairs and warfure .... The Navajo recognized a distinct dichotomy in these two cuhural phases and seldom did one man fill both offices ... (qtd. in Goldfrank, 1945, p. 272) Interviewees indicate that the naat'aanii is responsible for leading or guiding community planning in traditional Dine society and for helping them to achieve one -369-

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nahat'a. Literature also discusses the means of obtaining one nahat'a through guidance and mediation of the naat'aanii: ... uniform collective behavior was achieved not by authoritarian directive imposed from above, but rather by creating a favorable public opinion within the group. Speeches, debate, and discussion, sometimes all but endless, were consequently the normal means used to create unanimity ... (Williams, 1970, p. 7) 3.2. 7.4 Summary In summary, nahat'a is a sacred process, with guidelines and procedures to make it successful and to keep it holy. The process originated from the Holy Beings back well before the earth was created. If procedures, principles, goals, and inherent sacredness ofnahat'a are ignored, the repeated result through history has been chaos and destruction of the world. Blessingway was the means given by which Navajos understood nahat'l:l, and provides a means currently to keep the process holy. Guidelines and songs and prayers for nahat'a are contained within Blessingway. Elements of Blessingway, in addition to songs/prayers of different elements of nature, include offerings to the Holy Beings; use of pollen/tobacco; use of the hogan with a fire; and an underlying goal of long-life happiness. These elements are embedded in the current practice of nahat'a (See sections 3.2.6 and 3.2.8). -370-

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3.2.8 Process Six interviewees were asked, in general, whether there is a process ofnahat'a and to describe this process or how one would go through it. Additional information on a process ofnahat'a was gained through interviewee comments regarding the origin of nahat'8., their training in nahat'8., goals ofnahat'a, what nahat'a is, and general comments regarding nahat'a. Two interviewees discussed aspects of the process in open-ended discussions of nahat 'a: "When you being to plan: thoughts, oral-address people, leaders get together, you express your thoughts. Once it is said, it will happen. It will happen with prayers ... prayer with nature, pay nature. Earth, sky, water-give offerings to these things. Earth was a Holy Person. 'These are my people.' This is the way she planned it ... When you begin to plan something, have someone else to talk to ... To make something happen, you can't do it by yourself. Make an offering, do prayers, offer to Holy People. Pray. Bring people who believe in you, bring them all together. All talk and pray'' (FY) ... nahat'8., way back then, they always say that the best way to do it, too .. you go to the sacred places where, to pray for your nahat'a and then from there, you go into a Hogan, and then you always have the fire burning and then tobacco, mountain tobacco and then you have to have a basket and com pollen .. whatever your idea is, talk among you, and nahat'a is not something small .It can go on, like for day and night.." (Medicine man) "In the general form, nahat 'a has a structure to it, I think. It begins with one. It begins with me, and depends on how one envisions oneself, you know ... there's different sets of songs and prayers that are needed to get there. If I'm visioning for a better health or visioning for a different kind of welfare or safety or protection .. those different kinds of pathways have different kind songs and prayers with it ... Where one begins is the same, but determining what it is, the medicine men help with that ... (Naat'aanii) ... when we engage in nahat'a, we're following the path laid down by -371-

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the Gods" (Naat'3anii) 3.2.8.1 Many Layers ofNahat'a Five interviewees mentioned that the process ofnahat'a is embedded in the daily and seasonal cycles of the natural world: ''The process is found every day in ever day living. Like I said, it's found in the mountain ... that is the process, and it's also found in nature. Then in the four colors, you know .. .It's found in the seasons ... the four parts of the day and almost everything. We all go through a process. Even the birds have a process. They use the same process ... (AL) "Planning and plans are experienced and understood in one's interactions with the dawnlight, the blue twilight, the yellow twilight, the darkness, the earth and the sky. Planning and plans are inherent in the ever-present and inunutable processes of such phenomena. Thus, this environment and context of existence provide a means for teaching, learning, and realization of planning and plans ... (MM) The process ofnahat'a is embedded in the training of individuals to engage in nahat'a of different types from child to adult (See section 3.2.10). It is embedded in the process of doing nahat'a itself. The process was laid down prior to the coming of the Dine, and is a sacred process. Because of the many layers ofnahat'a, and many ways of considering the process of nahat'A, the following discussion is summarized into three major sections regarding the process ofnahat'a, as informed by interviewees: 1) nahat'a as one part of a universal planning cycle; 2) the process of(training for) and practicing nahat'a by Dine set down in Blessingway and practiced by Dine people; and, 3) nahat'a as a process which guides itself -372-

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3.2.8.1.1 Univenal Planning Process The process ofnahat'a is noted to be in all things by respondents: "In order to reach one's goal, even an insect would have a prayer. Human being would have to cite a prayer ... provide means and ends to achieve a goal ... (MM) ... We all go through a process .... even the birds have a process. They use the same process. Even the insects have the same process ... follow the same process .. (AL) "Mother Earth and the Sky-they have their own planning ... a lot of the planning .. we learn from them. .. (Medicine Man) Three interviewees note that nahat'a is part of a natural cycle of planning and life which includes nits8hakees, Una, and siihasin: ... Earth and Sky, the movement of the Sun, the Moon, and the Stars; the direct relations with the earth that causes the day cycle-the dawn, day, twilight and night. And then, the moon goes through four cycles ... and then there is spring, summer, fall and winter, and these phenomenon comes from the movement of the celestial body in relation to the earth and all living things ascn"be to this. They live by that, and then, the Navajo culture is directly related to that, and the ceremonial order, also, takes this into account. .. the pattern of other living things ... follow this order-nitsahakees, nahat'a, Una, siihasin. It's part of this order, so your life from birth to old age is part of that, and there's a prescn"bed order that you follow, so nahat'a is part of that." (HW) Literature also indicates the presence of this natural cycle of planning and life, of which nahat'a is part: ... Nitsahakees (thinking), nahat'a (planning), iina' (life) and sihasin (fidfiJJment and contentment) are stages of process that were placed in all creations ... (Benally, 1994, p. 29) -373-

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"According to the Navajo oral history ... ofthe evolution of the universe in which we live there is a great system of natural order of which all things that evolved are a part ... In the Navajo language the fundamental processes of nature are descnbed by the terms Nits81uikees, Nahat'8, lina, Sihasin. All things in nature came into existence through these processes. Generally, Nitsahakees is translated as thinking; Nahat'a as planning; 1ina as life or living; and Sihasin as the secure stabilization of existence. These translations fall extremely short of the semantic structure of the terms. However, the English-terms give some idea of the meaning of the Navajo terms ... the human is capable of existence by means of the processes ofNitsaMkees, Nahat'a, lina; Sihasin which are, processes that follow the self-protective and harmonious laws of the natural order." (Office ofDPL, 1992, p. 6-7) Nitsahakees is briefly translated as thinking; iina as living, and sihasin as stability. Each ofthese concepts is complex and could be made a separate subject of study; however, it is possible to gain some better understanding of them and their relationship to nahat'a through writings of other authors. The best developed literature on these relationships comes from Dine College where they are described in relation to the student learning process (Office ofDPL, 1992; Benally). In brief: nits81uikees must precede nahat 'a Interviewees mentioned the importance of positive and clear thinking to initiate the process ofnabat'a The next stage, putting thoughts into words, nabat'8, moves the process closer to reality. Respondents mentioned the importance of good speech, positive speech and communication to nahat'a From there, nahat'a takes form in iina, as the idea is put into practice. All respondents mentioned that iina, or life is the goal ofnahat'a. Finally, siihasin is protecting this idea, keeping the negative out, sustaining the idea Many respondents noted that a combination of Blessingway and Protectionway ceremonial knowledge is necessary to protect and sustain nahat'a. Two interviewees, and literature sources on Dine educational philosophy ( Begay -374-

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and MaryBoy, 1998; Office ofDPL, 1992) indicate that each of these parts of the process are embedded in each other. For example, thinking (nits8hakees) must be present at the time of speech in nahat'a, as well as considerations of life (iirui), and protection (sihasin) of both nahat'a and the idea to be pursued in nahat'a Diagrammatic representations of this process indicate a series of embedded cycles descn"bed as a "fractal pattern of interrelationship" (Begay and MaryBoy, 1998, p. 331) The following excerpt below, from a resource developed for teaching at Dine College, provides a more detailed description of these four elements and their relation to each other in learning and in life: ... Nitsahakees is the initial reaction on the part ofthat system to something outside the system which impacts it. This outside stimulus might be great enough to threaten the integrity of the system .. Once an "awareness" of a need emerges the process of thinking begins, nitsahakees ... According to the Navajo understanding of the universe, the power of thinking originates in Nilch'ih different kinds of air; and in T6 altahnashchfin and T6biyaazh, two forms of water. The sources of thinking-air and waterthen, are both a part of the natural world and a part of our own ... Nits8hakees is associated with. .. the East. .. Within all natural cycles, nahat'a then occurs. Nahat'a can best be understood as the governance of the natural order ... Nahat'a in humans is a planning process through which experience furnishes information that is integrated with stabilized knowledge from previous processes in order to act for some life protecting and life-enhancing purpose ... this process ... may best be understood as nature's cyclical plan for natural order ... Such planning may be derived from careful observation of nature ... This process may best be understood as nature's cyclical plan for natural order ... We, as humans, learn about planning from nature's teaching. Nahat'a is associated with ... the south. When we become aware of essential needs and solutions and begin planning how to establish a balanced existence with them, the stabilized long-term process supporting the survival of things that live, -375-

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including us humans, will be experienced. This natural process; iinA, is characterized by living -itself in a regenerative and cyclical way. All that exists in nature provides a place and pathway for all living things. By means of staying within this path there is knowledge of the correct way and incorrect way ofliving ... On this path there are teachings about protection and blessings which will provide security, protection from harm and all, that will provide happiness and fulfillment. The sources of the satisfaction of all ofthese needs are found in nature. These sources were always there ... There are innumerable sources ofknowledge: dawn, colored lights, colored air, sky, earth, water, plants, birds, animals, minerals, mountains, clouds and all of the natural phenomenon above the earth. These are only a few of the components of nature that teach about iina; living ... In one's life, nitsa.Mkees and nahat'a are focused upon the establishment ofiirui. .. Humans know it best as life itsel .. Iina is associated with the e'e'aah, west. Sihasin(also pronounced siihasin), which occurs in the natural cycles, is the process of developing a, strong sense of confidence and assurance derived from having firmly established proper thinking, planning and living. It is a level of personal growth accompanied by strong feelings o:t: self-esteem and accomplishment. The process of sihasin indicates that a person has internalized, the teachings of the natural order and has become, by means of these teachings, a protected and well balanced human being." [It is associated with the north]. (Office ofDPL, 1992, p. 6-10). Three interviewees allude to or directly mention these four parts of the ''planning cycle" when talking about knowledge of the cardinal directions, and knowledge of the four life stages: ... there is a different stage of human development from the time of birth all the way to old age ... the first one, what we call nitsa.h.Akees or thinking, it really does not mean thinking either, it means mental development. You do things as a young child, the training that a young child goes though to develop their mind-things that pertains to personality, attitudes, and things like that. And the next one is nahat'a. Nahat'a is associated with the adolescent, the knowledge that you gain. That is the time when you learn skill, things that you need to make a living, and then the next one is iina. Iina is those things that deals with the clan-working with people, the clan system, having -376-

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children, raising children, parenting skills, those kinds of things, and then the fourth one is Siihasin. Siihasin is those things that deal with spiritual things-confidence, that gives confidence, stability, assurance, so ceremonies-these kinds of things, associated with that, so nahat'a is just part of that. So if you're going to talk about nahat'li, you would focus in on those-that whole range of discipline." (HW) This knowledge is considered part of the traditional training for life--of which nahat'a is part (See sections 3.2.10, 3.2.11). Embedded in each ofthese 'parts' of'the universal process' are training and knowledge gained from each of the cardinal directions which are needed to make the entire process successful (Benally; Office of DPL; Griffin-Pierce, 1992, p.191). 3.2.8.1.1.1 Summary In summary, nahat'a is part of a 'universal planning cycle' or 'process' which also includes nitsSMk:ees, iin8, and siihasin, and is present in all things. 3.2.8.1.2 Dine Planning Although nahat'a has existed since the beginning of creation, specific procedures for engaging in nahat'a by the Dine people were laid down in the Blessingway ceremony by the Holy People (See section 3.2.7.3.1 and 3.2.7.3.2): ... Today, as you know, as people, we are engaging in nahat'a-we are following the steps and the path that was already described to us by the Holy People ... (Naat'8anii) One respondent notes that songs of Blessingway are ordered with regards to nahat'a and the 'universal planning process' previously discussed: .. .It's part of the Blessingway Ceremony [nahat'a]. The songs, you know, are structured in that fushion, in accordance to nahani... -377-

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The Blessingway was also structured in accordance to the progression of every day life .. in accordance to nature, in accordance to the four directionsthe four cardinal directions, in accordance to the four seasons, four parts of the day, and then also the different stages of life ... (AL) Knowledge ofBlessingway is considered essential by interviewees to the practice and process ofnahat'a, particularly for the naat'aanii (See section 3.2.11.3.2). Successful achievement ofnahat'a comes from following the guidelines and process set down by the Holy People in Blessingway: "In terms of what it is that you're doing nahat'a, maybe it's a concrete thing like a..planning for a sing, or planning for a move some place or planning for a different job, you know, those are outcomes if you do nahat'a appropriately and respectfully in the manner that's intended to be sacred, then those things that come out of doing nahat'a, they happen. That's a consequence of following the established rules set down by the Holy People." (Naat'aanii) ... Blessingway dictated offering and prayer for life and existence. Com is the central element of planning." (EC) ''Blessingway will set the way for making successful your prayers for (EC) Blessingway is ceremonial knowledge and interviewees did not discuss the content of ceremonial songs, and prayers, but instead discussed the practice ofnahat'a by the Dine which reflects the process laid down in songs and prayers ofBlessingway. In brief, interviewees mentioned the need for preparation for planning; and, discussed four elements of the process: thinking, speaking, fire and prayers and offerings. Following is an encapsulation of the simplest form of the process of nahat' a, which is practiced by all traditional Dine individuals from the child to the elder, followed by discussion of four elements of the process ofnahat'a -378-

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3.2.8.1.2.1 Simplest Form of the Process In the traditional way, young children are taught to get up early before dawn, run in the direction ofthe sun (location), pray and sing, and make offerings of com meal and pollen to the Holy People to bless their prayers. This is nahat'a in its simplest form, and part of the early training in nahat'a which should be carried throughout life: ... you would have to get up early in the morning and sprinkle com pollen or white com meal ... like this lady here in the picture (mural in Navajo studies fifth floor ... ''Prayer to Dawn Holy People"). You make an offering to the Holy People, you see, and there's those two characters, central characters ... Talking God and Hogan God .. see this little boy here ... you're doing it for your children, and that's a good illustration right there .. and then look at the universe see (stars, constellations in picture) so that would be the process, not only in nahat'a but in nitsahakees, that's important .. you can't have nahat'a if you don't have nitsahakees .. (AL) 3.2.8.1.2.2 Four Process Elements In general, interviewees talk about the importance of thinking, then speaking about the idea, and including songs, prayers, and offerings. The presence of fire during the process is also noted as important. These elements can be traced back to the origin of nahat'a (See sections 3.2.7.1, 3.2.7.3.2, 3.2.7.3.3.3, 3.2.7.3.3.4): ... even before Mother Earth was created and the sky was created, there was nahat'a. That's how our traditional songs are, you know that's how we sing our traditional songs ... the top Holy people, they're the ones that came down and they were coming to a meeting, and then, what I would say is, every time that the Holy People were coming to a meeting to talk about certain things, they use mountain tobacco and they used to you know, bring out the com pollen, and then the Navajo basket, set it there, and from there, they would talk about it, and then they always say that, in a Navajo way, they always say the only way that your nahat'a would be strong, there has to be a fire burning ... (Medicine man) -379-

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For the present discussion, the four elements described by interviewees (thinking; speaking; songs, prayer, and offerings; fire) will be discussed in greater detail in the following sections (3.2.8.1.2.2.1-3.2.8.1.2.2.4). It should be noted that this is not a complete characterization of the process ofnahat'8.-the details of which are embedded in ceremonial knowledge. Thinking roughly parallels nitsa.Mkees, noted as the first 'step' in the 'universal planning process'; speaking roughly parallels nahat'A, the second 'step'; and, songs, prayers and offerings, and fire are needed for ideas to come to life (iina) and to be sustained (sihasin)-two other 'steps' of the 'universal planning process' previously mentioned: "When a person plans, he/she first focuses mentally and begins to think about plans. Then he/she begins to think and ideas and more thoughts begin to emerge. The individual observes a phenomena and thinks about that. The individual reasons and thinks about and asks, 'How will I achieve this idea? How will it occur'. Then the person begins to verbalize these thoughts. He or she begins to taJk about it. Thus one's plans begin to formulate and evolve ... (MM) "What I understand is that as you go through the course of a day and have come across a time in the day when you feel a need to consult with the Gods or speak with the Gods, something you might be doing at the moment, you take time out to say a song or say a prayer, or you meditate, break out some tobacco and smoke it, and pray. Contemplation and mediation [sic meditation] have a large role in how something is done." (Naat'aanii) 3.2.8.1.2.2.1 Thinking (Nitsahakees) Interviewees state that the process ofnahat'a begins with thinking, with a thought. Without nitsahAkees, there is no nahat' a: -380-

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"When beginning to engage in nahat'8, the thought of doing nahat'a triggers it ... that's the beginning of the process ... (Naat'aanii) "You can't have nahat'a, if you don't have nitsaluikees ... Nitsaluikees is the mind capacity. Develop your mind before you can even begin to plan ... (AL) Literature on Navajo philosophy (Griffen-Pierce, 1992; Remington, 1982) and community (Schoefple, 1979, p. 70) further expands upon the importance and initiating role of thought in pJanning: ... Thought it creative and attractive in the sense that people create their world through their thoughts Through h6zhQ ntseskees, right thinking, people draw desirable experiences to them. The quality of one's thoughts determines the quality of one's life. Because life is an ongoing process, one must continue to practice h6zh ntseskees in order to live a life characterized by balance and harmony. The Navajo recognize thought is a vital aspect of any creative act. The Holy People spent time thinking about and planning the Creation before they took action." (GriffenPierce, 1992, p. 25) "Because of the causal force of the Navajo wind, mind and language are two versions of the same thing. Both are phenomenal. If one thinks a thing, then that thing may happen. If one goes further and says that thing, that thing comes closer to happening ... In the Navajo view of the world, mind and language cause events and one must control one's thinking so as not to cause events that would be unfortunate ... That is why pure thought, nitsaluikees, can be used in the mind to plan things out. Then, one can pull in alill, talk with the Holy People about plans, and make the necessary steps on this earth to carry the plans out ... (Remington, 1982, p. 239-240). ''Navajos believe strongly in the power of thought. The world was created by it; things are transformed according to it; life is regenerated from it. People are cured and blessed, vegetation is improved and increased, and health and happiness are restored by the power of thought." (Witherspoon, 1977, p. 29) -381-

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" ... not thinking about the proposed event is perceived as a supreme form of resistence because it denies reality to the proposed event. Such resistence is manifested in behavior such as refusing to go to chapter meetings to vote for or against a proposed measure, refusing to discuss or negotiate the terms fo the proposed change with anybody ... (Schoepfle, 1979,p. 70) Interviewees indicate that this thinking might be brought about by taking care of personal needs: "Hunger, thirst make you practice nahat'a. Other basic needs, too are the driving force behind. Snow tells you to cultivate your field so you can plant different types of seeds and you're able to take care of hunger and feed your family. "(MM); thinking about children and the future; or, may result from disagreement or imbalance in the community: ''The community has to get out of hand in order for nahat'a to be there again .... there has to be a person sick in order for our prayers to go on..in order for our legends and stories, that's how they teach us. So there's a balance .. there's negative and there's positive in order for positive to be there. We learn from the negative part ofnahat'a to be a positive nahat'a" (Medicine man) Literature regarding the origin of Blessingway also indicates that hunger, cold and other problems were needed to motivate thinking, and would remain as part of the process of planning: "And too, with the cold there will be hunger which will serve as a lesson as time goes on. Because, if it were always warm and continued warm there would be no planning ahead. But if cold bothers a person at a certain time it would cause thoughts to be directed toward it. And if hunger likewise bothers a person, there would be repeated thoughts concerning it ... "(Wyman, 1975, p. 374) -382-

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Three interviewees stated that one is taught to develop the mind capacity (nitsabakees) before engaging in nahat'a: "You can't have nahat'a if you don't have nitsabakees ... Nitsahakees is the mind, the mind capacity. Develop your mind before you can even being to plan ... That's why you have to get up early in the morning. It'a about human development, not just the mind, per se. It's everything-psychological, emotional, mental, spiritual, physical. That's how you develop character. You can't have life if you don't have thinking behind it ... There's no shortcuts." (AL) Five discussed the need to have clear thoughts, good thoughts, pure thoughts, empathy, respect, and humility in beginning the thinking process: ... you approach it with respect, with reverence .. that's how nahat'a is approached .. you approach nahat'a with respect, dignity, humility." (MM) Without the presence of these attnbutes, several interviewees indicated that nahat'a will not come: .. .It's not going to come, if you don't have self-respect. If you don't have reverence for nature. It's not going to come. It'll come to you, but it'll come to you in a western way. See how delicate it is?'' (MM) Sweatbaths and emetics were noted by some as potential preparation needed for this type of clarity in thinking for nahat'a: "I go into the sweatbath. I have to cleanse my body, mind ... come out with clear thoughts. I think that's the only way you can internalize a lot of life's blessings .. ifyou follow the practices of our elders sweatbaths and taking emetic herbs, carrying herbs and getting up in the morning, then nahat'a. .. that's already nahat'A..it's inherent. You don't have to search for it. You don't have to look for it. Because you already practice it, it's part of your mind, body, existence. But you -383-

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have to take care ofnahat'3, so in order to take care ofnahat'3, you have to keep yourself clean. .lt's very hard today ... (AL) ... sometimes one needs to go into a sweatlodge ... to really get a stronger and more concrete understanding of what it is that you're envisioning, or to give you resilience to be able to get to where it is that you're envisioning yourself. .. (Naat'aanit) Two also specifically noted that negative thoughts must be kept out of the process: ''If you have a don't put anything negative within it. Don't have negative thinking .... it will destroy you, your people." (WA) Literature also provides indication of the importance of positive thinking to planning 1977, p. 28): ''There is additional evidence from everyday life which indicates the power of thought. Navajo emphasize that if one thinks of good things and good fortune, good things will happen. If one thinks of bad things, bad fortune will be one's lot. In my first few years among the Navajo, I was constantly scolded for thinking about unhappy possibilities. As a product of another cultural world, I had learned to consider and plan for all possibilities and to "save something for a rainy day". Among the Navajo I was told that planning for that ''rainy day" would bring about "rainy days," and that I had better forget about planning for ''rainy days" unless I wanted it to ''rain". During two different periods of severe drought on the people attnbuted the droughts to their bad, evil, improper or disrespectful thoughts. People constantly reminded each other to think positively and to be respectful of the powers of the Holy People and their rites" As mentioned previously (See section 3.2.7.3.2), literature indicates that Blessingway also aids in ensuring clarity and holiness in thinking: -384-

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"You see, as you go along there working on them, your thoughts will come to an end. Should this happen, there should be a means to restart it, a means to sanctifY it again, a means to restore its energy he said. Now although this be so your thoughts on this point have become somewhat confused. So you see for the present we will devise the means to make things holy again. .. (Wyman, 1975, p. 377) "it will restore your thoughts to you ... (Wyman, 1975, p. 484) 3.2.8.1.2.2.1.1 Summary Thinking initiates the process of planning, and is started through personal needs, needs of children, or problems, disharmony and imbalance. An individual must develop nitsllhakees, or mind capacity prior to practicing nahat'a. Thinking must be positive, respectful and pure. To achieve these attnbutes, sweatbaths and emetics may be needed. 3.2.8.1.2.2.2 Speaking (Nahat'a) Speaking the thoughts appears to be the next stage in the process discussed by interviewees: ''Thinking precedes pJanning ... then articulation has to occur, has to be .. Supports the thinking process. Nahat'a supports the thinking process, the articulation process. Whatever you want to do, express how you want to carry it out ... "(MM) Speaking about the thought makes it more concrete and helps it to develop a form: ... when one speaks it, you know .. this is what we may do, when you speak it out loud, then it even, makes nahat'a more concrete, let alone when you're thinking of it. When you're thinking of possibilities, and then when you talk ofit, it's a form ofnahat'a.it begins to develop a form. Then one has choices to make. If you're traditionally oriented, you know, then the form begins with prayer. And discussing what you -385-

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may be envisioning with relatives, people that you care about, include in getting feedback on what you had envisioned. And if you're envisioning something that might have good, strong impact on your life and the lives of people around you, then it begins, then you begin to include in it ceremony, and different levels of ceremony depending on the strength ofnahat'a .. (Naat'8anll) Literature articulates the importance of speech to the process ofnahat'a: "Although it was implied earlier that this world was thought into existence the consummation or realization of the thoughts of the Holy People did not occur until they were spoken in prayer or sung in song ... (Witherspoon, 1977, p. 31); Speaking aids in understanding the question, problem, or goal. In speech as in thinking, words must be expressed in a positive fashion. Interviews generally indicate that this speaking begins with prayer by the individual. One may then go to a medicine man for help and guidance. One interviewee also mentioned crystal gazers or other diagnosticians may also help to clarifY the problem or question. An individual may also discuss the thought with relatives, or others with knowledge of how to approach the problem: ''In the general form..nahat'a has a structure to it .. it begins with one. It begins with me .. there's different set of prayers and songs that are needed to get there ... the medicine men help do that.. They help say, "Okay", for this vision that you have ... this is the song that I'll do for you ... They lay those down for you ... (Naat'aanii) .. .Ifyou're traditionally oriented, the form begins with a prayer and discussing what you may be envisioning with relatives, people that you care about, including getting feedback on what you had envisioned" (Naat'aanii) "When you begin to plan something, have someone else to talk to ... talk and talk to make something happen ... To make something happen, you can't do it by yourself..this kind of planning doesn't happen overnight ... (FY) -386-

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Interviewees also mentioned the importance of including the Holy People in the deh"berative process to aid in choosing the appropriate path for achieving nahat 'a: "It's [ nahat 'A is] a very deliberative thing, and a very engaging thing, and a very inclusive thing because it includes all part of oneself-your heart, and your mind, your spirit-where you are now, and where you envision yourself to be, and includes people who are impacted by what you may be envisioning, but it also includes very strong the Holy People in this deh"berative process ... (Naat'Aanii) Speaking aids in understanding the question, problem, or goal. All mentioned that stories, songs, and prayers, which are forms of speech, aid in providing direction to achieving one's goal: ''The inherent knowledge for nahat'A is found in songs and prayers ... Nahat'A is inherent in songs and prayers ofBlessingway" (MM) .. when you're a medicine man, you learn a lot of stories, a lot of ways of approaching things. In our stories, there are a lot of teachings. Navajo people, they rely on the Navajo stories, and a lot of our Navajo culture stories there, ceremonial stories, have a lot of teaching and there's no doubt in it, and so we rely on that a lot ... the Holy People, which in we believe ... they're the ones that have like testing their own skills of using nahat'A and if it didn't work, then they went with a different approach and they came to an agreement ... (Medicine Man) Decision-making in the process ofnahat'A is noted to be based on stories and traditional knowledge-the application of which maintains balance and harmony: ... And what that means is that, these simple order, the natural order, you have to know that, because that's what decision-making is based on. And it's all in the development, in the early childhood development.." (HW) -387-

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This is noted also in the literature: ... an individual will weigh decisions against traditional values whenever a choice is to be made. These value-based decisions will permeate every facet of one's life. Wrthout this principle, skills and knowledge become groundless and destructive. A mature mind is one in which learning is tempered with spiritual consciousness." (Benally, 1994, p. 26) Three interviewees mentioned that medicine men are those trained with greatest depth in stories, songs, and prayers, and will be involved in the process to guide the choice of songs and prayers, and to conduct ceremonies if they are needed for the particular type ofnahat'a being pursued: .. different kinds of pathways have different songs and prayers with it .. determining what it is, the medicine men help do that. They help say, "Okay", for this vision that you have, possibilities that you see, this is the song that I'll do for you. This is the prayer I'll do for you or I will do this song, I will do this prayer for you because of the complexity of what you're looking for, or you're envisioning or the kind of barriers you may be facing ... They lay those down for you .. and sometimes one needs to go into a sweatlodge, for example, to really get stronger and more concrete understanding of what it is that you're envisioning, or to give you resilience to be able to get to where it is you are envisioning yoursel." (Naat'aanii) Speaking, as thinking, must be in a positive and respectful manner: ... We had to speak in a positive way ... (FY) As mentioned earlier (See sections 3.2.7.3.2, 3.2 .. 7.3.3.3), Blessingway provides a means to keep speech positive and holy, and to restore it to holiness: "You see it is this that I meant, in the future thoughts, words, and plans are to be made long and holy right along. Now this [manner of -388-

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procedure] shall finally be secured for it [mankind]." (Wyman, 1975, p. 276-377) "These [plans, life] will be renewed by it, it will be righted again, our thoughts will become holy again, and our speech, our plans will become holy again, we will be completely set at ease again by it, that is its purpose, my children ... (Wyman, 1975, p. 385-386) Two interviewees state that naat'aanii receive special prayers and blessings to ensure that their speech is for harmony, balance, and the good of the community, and to help this type of speech to become effective in the community in carrying out nahat'a: ... those of us that are naat'aanii in a traditional sense-there are special songs and prayers that we have to have done for us to be able to fulfill that responsibility, and so being a naat'aanii is a very responsible thing ... (Naat'aanii) ... Then you as a good leader, there's a ceremony done so that you can become a really good leader and that the Holy People will guide you to having good decisions, and good nahat'a ... (Medicine man). 3.2.8.1.2.2.2.1 Summary Speech brings the thought closer to becoming real, by giving it form. Speech shares the thought with others: relatives, medicine men or other healing practitioners, and the Holy People, and helps to conceive of different paths to achieve goals or solve problems. Speech must be positive and respectful. Stories, songs and prayers are considered forms of speech which are particularly important to the success ofnahat'a Naat'aanii receive special prayers and blessings to ensure their speech is for harmony, balance, and the good of the community, and that their nahat'a will be effective. -389-

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3.2.8.1.2.2.3 Songs, Prayers Offerings In addition to providing knowledge for guiding one's path and decision-making; songs, prayers, and offerings and fire are needed to bring nahat'a to life (iina) and to ensure its stability (siihasin). They bring the Holy People into the process, and maintain interrelationships with Holy People during the process ofnahat'a-necessary to maintaining respect and balance. All interviewees mention the importance of songs and prayers to the process of nahat'a. Songs and prayers aid in providing direction to achieving one's goal, bring the Holy People into the process, maintain interrelationships with the natural elements, provide protection and blessing to achieve goals, and keep the process of nahat'a positive, clear, and sacred: ... Nahat'a has a history and bas a sacredness, and because of there's a sacredness to nahat' a, there are prayers and songs that begin the act, and prayers and songs added to the demeanor that are there with that act and process of planning ... (Naat'aanii) .. prayer and song bring the Holy People into nahat'a and make it sacred that way. You're bringing in the Holy People to be with you ... (Naat aann) "In order to reach one's goal, even an insect would have a prayer. Human being would cite a prayer-provide means and ends to achieve a goal." (MM) "To achieve these goals [ofnahat'3.; life], there had to be songs. These songs made the elements interact to bring about living systems ... (MM) -390-

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Literature references also note both currently and historically that without songs and prayers, and offerings, planning is not effective, and is not brought to life 1977; Wyman, 1975): "Although it was implied earlier that this world was thought into existence, the consummation or realization of the thoughts ofthe Holy People did not occur until they were spoken in prayer or sung in song ... 1977, p. 31) Types of songs and prayers which are brought into the process of nahat'a depend on the type of goal being sought, and particular challenges related to that goal : .. .lfyou want rain, then you've got to have the respect of your like with com pollen and like in ceremonies, too .... we do the prayers and we have different approaches, ceremonial ways and regulations of how we do it. So ... Navajo people in a community, they will come together and we'd like to have lots of rain .. there's different requests through prayers and songs that we need to do .. That's how it is, so that's why the Navajo people they always come together and you'll hear on the radio they'll say that, 'I think the Mother Earth wants us to do a prayer, that's why it's not raining.' (Medicine Man) "If I'm envisioning for a home ... then there's different sets of prayers and songs that are needed to get there. If I'm visioning for a better health or visioning for a different kind of welfare of safety or those different pathways. Those different kinds of pathways have different songs and prayers with it ... (Naat'aanii) .. sometimes there are challenges ahead, barriers ahead that maybe can make the pathway to what you're envisioning more difficult, you know, and when these challenges or barriers are there, then sometimes we don't have the special skills of a medicine you know, in terms of special prayers or special songs. When we have those kinds of challenges as an individual, then we bring the medicine people who have those special songs and those special prayers and special knowledge on how to circumb the challenges and barriers that we might then they're brought into the nahat'a process." (Naat' 8anii) -391-

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One respondent mentioned that a specific type of ceremony may be needed depending on the type of request in nahat'a: "If you're envisioning something that might have good, strong impact on your life and the lives of people around you, then it begins, then you begin to include in it ceremony, and different levels of ceremony depending on the strength ofnahat'a." (Naat'aann) Songs, prayers and ceremonies, in addition to providing guidance and maintaining harmony and respect, provide protection and blessing to achieve goals, and to keep nahat'a positive, and clear: ... To have a living nahat'a; prayers, songs would help to keep nahat'a new forever. There was negative, evil power out there that sometimes an individual has to deal with; prayers and songs keep nahat'a positive, clear; keeps vision clear. This is what the Holy People passed on. .. (W A) Literature also indicates the importance of songs, prayers, and ceremonies to the process ofnahat'A, as described in Blessingway: ... 'Then too, it [Blessingway songs and prayers] will make your traveling power well, it will make your body well, it will make your mind well, it will make your voice well. And, too, it will make your thought holy, it will make your speech holy, and in addition it will make you mutually acquainted with the Holy People. For that purpose the Blessingway will continue on for all times to come. You will learn to know it for the benefit ofyour relatives, of your older men and older women, for your clan relations, for your brothers and sisters, for your children, for your chiefs, then for the benefit of your fabrics and your jewels, for your horses and your sheep, for your corn, for your medicine, for your pollen for the benefit of all of these. This is its purpose,' she [Changing Woman] tells you ... (Wyman, 1975, p. 465); to make things holy, and to restore them to holiness (p. 425, 435, 465, 466): -392-

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"You see it is this that I meant, in the future thoughts, words, and plans are to be made long and holy right along. Now this [manner of procedure] shall finally be secured for it [mankind]." (Wyman, 1975, p. 276-377) Six interviewees mention that in addition to songs and prayers, offerings of precious stones, com pollen and com meal are necessary to the process ofnahat'a to show respect to the Holy People and to maintain balance and harmony: "Blessingway dictated offering and prayer for life and existence ... (EC) "Communication to nahat'a requires com pollen and other offerings of sacred stones such as abalone, white shell, turquoise, and black jet. That's what it requires for any endeavor. It performs service for you. You pay it .. .it requires songs, prayers, offerings." (MM) .. .lfyou want rain, then you've got to have the respect of your question, like with com pollen and like in ceremonies, too ... (Medicine Man) Prayers, offerings and ceremonies are conducted to maintain respect, harmony, good relationships, and spiritual connection with all things in the universe in keeping with the natural laws. These prayers, offerings and ceremonies are necessary to the successful outcome ofnahat'A: "In the ceremonies, to maintain that spiritual connection. It's also in the sandpaintings. It's inherent/intrinsic in the offerings. Offerings of white shell, turquoise stone, abalone shell, and black jet stone. That's what it requires, and that has to be done on a periodic basis. If not, every four years. That's how you stay connected to your surroundings, your environment.. you have that connectivity between Mother Earth and Father Sky'' (AL) -393-

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''In our stories, you know, like the Mother Earth and the Sky, they have their own planning, and all the other Holy People, they have their own planning, and the plans, but a lot of the planning stuff, we learn from them. .. what they want is their respect .If you want rain, then you've got to have the respect of your question, like with com pollen and like in ceremonies, too." (Medicine man) lbree respondents indicated that tobacco or mountain tobacco is part of the process of preparing for prayer. One mentioned that the Navajo basket should also be brought into the process: .. what I would say is, every time that the Holy People would come to a meeting to talk about certain things, they use mountain tobacco and they used to, you know, bring out the com pollen, and then the Navajo basket, set it there, and then from there, they would talk about it, and then they always say that, in a Navajo way .. there has to be a fire burning." (Medicine man) .. that's where the mountain smoke became important. Every time we're going to plan something, or to think, you smoke, so that your plan would be straight and clear, where you understand it the first time around ... (FY) Literature references on Blessingway also mention the importance of offerings to the process ofnahat'a (See section 3.2.7.3.3.3). 3.2.8.1.2.2.4 Fire Successful achievement of nahat'a also requires fire. Five interviewees mentioned fire (or smoke) in the discussion of the process ofnahat'3. Two noted that nahat'a is learned about from the fire or fire poker: ... They say that planning and plans are inherent in the purposes and teaching about the fire poker stick, koneeshgish, that is found beside the home fire ... (MM) -394-

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Three indicated that fire is part of the process of making nahat'a holy by bringing the Holy Beings into the process: ... when the Holy People make their journey in the universe, they say that if they hear you praying, then they say that, "Listen, look, there's our grandson, our granddaughter praying, she wants these blessings." If they don't see smoke coming from your chimney, or they don't see you praying, then they say, the Holy People say that, well, so and so is wealthy and she's not in need of anything, so they just pass over, and you lose your opportunity ... (AL) .. in a Navajo way, they always say the only way that your nahat'a would be very strong-there bas to be fire burning, you know from there your nahat'a is very strong because of the fire. They always say that, and you have to respect that because you're making it official when you're talking to the fire, to the Holy People, because you wouldn't lie to the Holy People ... (Medicine man) 3.2.8.1.2.2.5 Summary Songs, prayers, offerings and fire bring the Holy People into the planning process, and help direct the process along the natural guidelines previously set down by the Holy People. Only through application of these guidelines will one's nahat'a be successful. 3.2.8.1.3 Nahat'a: Leading ltseH Finally, as mentioned in the introduction to nahat'a (See section 3.2.4), nahat'a is indicated by four interviewees as leading its own process, or appearing and disappearing based on whether adequate respect and protection are present: ... Nahat'a is like a butterfly. You have to be very reverent in order to capture the essence ofnahat'a It's very elusive-a lot of meditation, a lot of sweat bath. .. (AL) -395-

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Although the process begins with thinking and prayer, potential actions to reach the desired result are not always clear at the beginning of the process. Two interviewees describe nahat'a as leading its own process: .. don't get ahead of it. Say behind it. See what I mean? Stay behind it ... .It's leading you. It's telling you what to do next, you see (MM) "In order to achieve one's goal, even an insect would have a prayer. Hwnan being would have to cite a prayer .. provide means and end to achieve goals. Insect/animal would also have to way a prayer and that prayer teaches. Drink this water. It will teach you. Water talks and says consume me. I will ensure your nahat'a Food says consume me. I have nahat'a I will help you understand. I will help you with your nahat' a I will help you." (MM) .. Somehow it guides us and teaches our heart, and our mind and thought and it leads us . (FY) 3.2.8.2 Summary The process ofnahat'a was laid down for the Navajo in Blessingway and follows the universal planning process undertaken by all things engaging in nahat 'a The universal planning process includes nitsilhakees, nahat' a, iirul, and sihasin-roughly translated as thinking, planning, living and stability. The daily process ofnahat'a begins with getting up early in the morning, running, praying, and providing offering to natural elements. The successful process ofnahat'a requires positive thinking and speech, and the ability to provide life and stability to thoughts through prayers, songs, and ceremonies, offerings, and the presence of fire. These are some of the guidelines for the process of nahat'a, set down by the Holy People. Others are contained in ceremonial knowledge, particularly within Blessingway. Nahat'a is indicated to have control over its own process by half of interviewees through leading the process, or appearing or disappearing based on whether there is adequate respect and protection present. -396-

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3.2.9 Time and Place for Nahat'a Six interviewees were asked whether there is a special place one should go to and/or a special time when nahat'a should be done, or whether any time or place was acceptable. Additional infonnation on the appropriate place and time to engage in nahat'a was gained from review of other portions of the interview regarding training in nahat'a, and general discussions ofnahat'a. One interviewee discussed the time for nahat'a in open-ended interview regarding nahat'a. Sources reviewed regarding the place and time in which nahat'a occurred historically include those on Navajo origins, (Wyman, 1975; Hadley, 1986; Haile, Father Berard, 1935; Hasteen Klah, 1942), and Navajo autobiography (Frisbie and McAllester, eds., 1978). 3.2.9.1 Time The time when nahat'a is conducted is generally noted to be in daylight, especially early morning hours before dawn when the Holy People are talking and making their journey across the sky: .. around 4:30 am dawn hours. They say that's when the Holy People make their journey in the universe. They say that if they hear you praying, then they say that, 'Listen, look, there's our grandson, granddaughter praying, she wants these blessings.' If they don't see your smoke coming from your chimney, or they don't see you praying, then they say, the Holy People say so and so is wealthy and she's not in need of anything, so they just pass over and you lose your opportunity'' (AL) One individual mentioned that morning, midday and evening were times when blessing is done and special times to put forth nahat'a for the day and the next day (naat'aann). One mentioned specifically that you do not plan at night. At night, negative energy is around which might affect plans, so plan only during daytime: -397-

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"They always say .. you always pJan in the morning. You always pray for your plans early in the morning, in the morning dawn when the Holy People are talking to each other .. when there are birds singing, and you always pray for your nahat'a individually, .. but they always say, never pJan at night. That' not good, because there's bad energy around that will try to jeopardize your nahat'a according to our stories and legends, you know, that's how it is .. You don't listen, that's up to you. That's the first thing that they're going to mention if you make a mistake." (Medicine Man) Five interviewees noted that nahat'a is related to the seasons and that the process follows this knowledge. Seasons traditionally associated with planning are January and February. During full and winter, storytelling occurs, oral knowledge is developed, and most major ceremonies are conducted Spring and summer are the seasons when oral knowledge is put into action, and the fruits ofnahat'a are observed in harvest: "During the fall and winter is a time of verbal, you know, of storytelling. You know, verbal knowledge You learn those things, and there are also ceremonies. Most of the major ceremonies are done in the fall and winter, and so, in the spring and summer is "hands-on" ... planning ... tending to the fields, the herd, things like that, so what you learn verbally in the summer, you know you put that into action in the summer, like that." (HW) "Nahat'a is placed for a reason, a purpose, a goal. It should be done through song, prayer to ensure nahat'a becomes meaningful. There is a special time, it should occur along With the season. It should occur in fall and winter, and be implemented in spring and summer." (MM) One interviewee mentioned that seasons, in general, are divided into knowledge related to eagles, wind, and com and this knowledge should help guide nahat'a during those times. -398-

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3.2.9.2 Place for Nahat'a "It depends on a lot of variables, I think. In the daily process of practicing nahat'a where we are. We do it all the time essentially, but then there are special forms ofnahat'a that when we're engaging in, then the places we enhance the process there-there's special places to be at or to go at. Certainly in the home, if you're practicing nahat'a that's going to affect the fiunily, then you bring the ceremony into the home. Medicine people do it there. But if the needs are stronger, then special prayers and special songs-sometimes you travel away from home, and the medicine people guide you on how you determine what to do, or what not to do .. and I think that's what establishes those special places .. (Naat'Aanii) Five interviewees indicate that the location depends on the type ofnahat'a that is being practiced, and whether it is for the individual or family, or community. One might need to travel to a particular place associated with the particular knowledge of nabat'a one is seeking. Regarding individual nahat'A, several indicated that any place is acceptable. One individual indicated that every place was sacred. Another said one of his relatives felt nahat'a could be done anywhere, even the outhouse. One individual noted that if it was related to fields and livestock, then this agricultural area should be in the location ofnahat'a Most frequently mentioned by four respondents were the hogan and sweatlodge -noted as locations where both the process and training in nahat'a could occur, and where it would be accompanied with a fire, prayer, and perhaps, ceremony: ''Those that pertain to secular life, you know, every day, it can be taught in most any place. You know, as I said, outside the home, you learn by doing it, and then, at home, in the Hogan. My father used to talk to us all the time when we were eating, in the evening. And then, there are some things that are sacred, sensitive, you know, ceremonial. -399-

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They have the sweat for that. During the sweat and then the ceremony, you can learn those." (HW) "The place should be in the Hogan. A medicine man should say prayers associated with planning. Everything about nahat'Wfor nahat'a from songs and prayers. It is proper and appropriate to go to the Hogan first, and then to translate this knowledge into different planning phases for the Board of Regents to pass on to rest of the college, or the Navajo Nation President to pass on to the Branch Chiefs." (MM) Two interviewees mentioned either "Nahat'a hooghan",or "Hayoolkaal hooghan" indicating additional significance as to place, and relate to the origin ofnahat'a Literature references regarding creation stories indicate the importance ofboth the sweatlodge 1975, p. 109, 110; Hadley, 1986, p. 15; Hasteen Klah, 1942 (Navajo Creation Myth), p. 56) and the hogan 1975, p.ll2, 174; Father Berard Haile, p. 6) in planning. Literature of more recent years also indicates that a hogan is needed before planning can begin, and that this is integral to successful planning: "Even today we have good examples to show that without a hogan you cannot plan. You can't just go out and plan other things for your future; you have to build a hogan first. Within that, you sit down and plan." (Frisbie and McAllester, eds., 1978, p.244) Two individuals noted that special sacred places might be related to one's nahata, and thus one might need to travel to these locations, depending on what one was asking for and whether a particular place was associated with that knowledge: ''Nahat'li, way back then, they always say that the best way to do it, you go to the sacred places to pray for your nahat'a and then from there, you go into a hogan. .. (Medicine man) -400-

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" .. there are special forms ofnahat'a that when we're engaging in, then the p1aces enhance the process there ... if the needs are strong, then special prayers and songs, sometimes you travel away from home, and the medicine people guide you on how to determine what to do or what not to do, you know, and I think that's what establishes those special places ... (Naat'aanii) 3.2.9.3 Summary Responses regarding appropriate location for practicing nahat'a vary among interviewees. Interviewees indicate that the location depends on the type ofnahat'a that is being practiced, and whether it is for the individual or family, or community. Most frequently mentioned were the hogan and the sweatlodge, where a fire is present. Several indicated that for individual nahat'a, any location is acceptable. Two indicated that one might need to travel to a particuJar place or sacred place associated with the particuJar knowledge ofnahat'a one is seeking. Regarding the time, most frequently mentioned were early hours before the dawn, although midday, and evening were also noted as appropriate times for nahat'a. Night is indicated as a time in which planning should not be done, due to the presence of negative forces. Five noted that nahat'a is related to the seasons and that the process follows this knowledge. Fall and winter are major times when pJans are made, while spring and summer are times when pJans are put into action and harvest is received. -401-

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3.2.10 Training Six interviewees were asked where and how they received their training in nahat'a. Two discussed training as part of open-ended interviews regarding nahat'a Results were additionally derived from reviewing sections of transcripts on knowledge and skills needed for planning-in which training was discussed, and in reviewing what interviewees considered was important to making nahat'a successful, why nahat'a is still needed, and the similarities and differences between Local Governance and naiUrt'a: "You have to internalize nahat'a itself. You have to activate your heart, your mind. You have to stimulate, to jolt yourself. It has to come from within you. In whatever way you want to live your life, that's how your life is directed by nahat'a It is a guide to achieve the goal set for yourself. .. nahat'a is already in the system, but a person doesn't know about it. It sits idle within. It uses rain, water, snow, and says if you want to become a farmer, use sight, feel, taste, smell. Nahat'a will show you these things ... will help you develop your skills. You have to have feelings for all life forms ... this will work through your system. Sight, visualize see. Develop a keen awareness and sensitivity. All that is love. The profile and meaning ofnahat'a is love. It's like a puzzle and it's beginning to fall in place." (MM) "My parents never sat me down and said, "Today we're going to talk to you about nahat'a." I just learned it, as just part of life. As I said, getting up early and working, you know, that's how I learned." (HW) .. you have to be thoroughly oriented by another person ... ifit's a medicine man or maybe a traditional scholar-somebody that's knowledgeable in the knowledge that I'm imparting ... (AL) ... in the Dine training ofnahat'a, there's embodied within it a real strong sacredness that is tied back into the act ofnahat'a" (Naat' 8anit) -402-

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" .... the training I've received in the Dine nahat'a bas been largely through interaction with medicine people, and to a degree, my relatives .... (Naat'aanii) All respondents who discussed training indicated that preparation and training are required to practice nahat'a. Training is noted as needed for not only acquiring and practicing nahat'A, but also for maintaining it. Interviewees indicate that knowledge is not complete unless there is development of both character (See section 3.2.12) and intellect, and that standards for practicing nahat'a are quite high: "You already have awareness from nature of nahat' a, hard to put in to practice though, this knowledge ofnahat'a That's what people say. Basic teaching and principles ofnahat'a are hard for people to follow." (MM) ... you have to take care ofnahat'A, so in order to take care ofnahat'a you have to keep yourself clean Keep your mind ... It's very hard today, especially everything else. It's very difficult ... (AL) A person is taught to prepare psychologically, emotionally, mentally, spiritually, physically; to take responsibility for actions; and, to think about plans in relation to present and future generations, and all things. A term frequently mentioned by interviewees was ''t'aa h6 ajit' eego, which is translated as "if things are to be, it's up to you" (Benally, 1997, p. 91). An individual is responsible for "internalizing nahat'a" and researching one's "own self: your heart, your mind, your spirit", and then gaining knowledge from other things in the environment. Training in nahat'a is noted to be primarily from parents and relatives, but also from medicine men in ceremonies, and songs and prayers; and from the environment: -403-

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''One is taught by the nuclear family how to be this way through teachings of parents and grandparents. When one enters manhood, spouse, children, hogan, sweatbath, sheep, corral, cornfield-use principles ofnahat'a to make one successful .. (MM) ''Snow is teaching, and based on these teachings, one is able to experience teachings in life, itself: and based on these teachings, a footprint is left to follow for nahat'a. One must pray and make ffi (MM) o ermgs ... As noted earlier and discussed in more detail in the sections following, there are different types of training, different levels ofknowledge, and it appears that one's training is never finished. It is a life-long process. Training is noted by interviewees to occur at a variety of levels depending on age and maturity of an individual, and the type of goals or problems which are being addressed through nahat'a: ... There are different levels. You know, nahat'a An example would be a very young child, you know, learning to waJk, learning to talk. Those kinds of things, what would be ... that would be the simplest form ofnahat'a, and then the adolescent years, you would learn a trade, you know. And you would do this by herding sheep or weaving, basketry, pottery, all of these things. And then, when you are mature and a man and a woman, you get married. Marriage, you know, having children, parenting skill .. working with people, and then .. .learning to get along with people ... how to work with people, those kinds of things, and then when you're middle age, then you go into the level of ceremonies, those things that are sacred, again there are some things that have a destructive nature-a destructive, evil nature. You learn that, and they are used in ceremonies as protection, Protection Way, and then there are things, things that have evil nature, they are used in a war, you know for protection, things like that. You learn that, at that level. That's what I mean. All of them you use what you have learned in your early stage, like getting up early in the morning, run, and doing things, not to be lazy, not to put off things .. that whole thing applies to that ... (HW) -404-

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" ... there's certain teachings for children-nahat'a for children, and there are certain nahat'a for like a community, and then there's some for the naat'aaniis, and elderlies, too ... (Medicine man) In general, character and intellectual development, and physical and mental strength and endurance are part of the training: ''nahat' a, to acquire that and use it, and to maintain it, is just like anything else, like remember, I keep repeating that you have to be motivated. You have to have drive, you know. You have to get up early in the morning and run. You train yourself. You know, ah, getting up early in the morning means, "Don't be lazy". You have to be motivated. You have to have drive to ... running means you have to be physically fit .. that's what it is, and then you have to be mentally and physically fit to tackle that ... any knowledge, and then, honesty .. honesty is the big factor and you have to be honest with yourself and honest with people, and you have to be generous, you have to be sensitive, and then, you have to be a warrior. You have to be a warrior. And that is how you tackle that. All of them. All knowledge ... (HW) "Strengthen yourself; everything that's going to give you problems. Be strong in all ways .... Get up at dawn. Get up early. Have skills and knowledge needed to survive ... EC) Understanding of the sacredness of nahat 'a and approaching it with respect are also part of the training necessary: ... in the Dine training ofnahat'a, there's embodied within it a real strong sacredness that is tied back into the act ofnahat'a I find it real interesting that that sacredness ofnahat'a is strongly emphasized, whereas in the non-Navajo form ofnabat'a-planning, it's absent, you know, so the training I've received in the Dine nahat'a has been largely through interaction with medicine people, and to a degree, my relatives .. "(N aat 'Aanii) -405-

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First lessons related to nahat'a which are taught to children are those of self-respect, endur.ance,responsibildy: "It's really premised on your belief system your faith, confidence you know, that you have in yourself They say it's through these characteristics and attributes that you're able to pursue the different forms ofnahat'a It's based on self-respect. I guess it starts there ... it's not going to come if you don't have self-respect ... (MM) Training begins in the hogan, around the fire and fire poker: "Around fireplace, from firestick .. where it lays .. from there, life grows and extends intergenerationally (EC); ''They teach that the phenomenon of planning, nahat'{l, is understood in the context of the home fire, kQ', which burns within the home. They say that planning and plans are inherent in the purposes and teachings about the fire poker stick, koneeshgish, that is found beside the home fire. They say that planning and plans are aspects and the structure of a home, hoogban. A person learns from this internal environmental and contextual experiences. They say that the ownership, essence, and origin of a person's plan begins here. From this place, the process of learning and locations where planning and plans are found extend outward to the external environment outside the home." (MM) while training regarding songs, prayers, and ceremonies occurs primarily in the sweatlodge or in ceremony: ... maybe they say a ceremony, then the Hogan would be the proper place, and I think this is even true for an institution ... we have a Hogan ... then that's where they would go .. or maybe even your own home .let's say your own, maybe your sweatbath ... for the men that's mostly sweatbath ... that's where I go all the time .I listen to my elders I listen to the medicine man. I listen to other, you know, people who are very successful, and I like doing that. I like new knowledge. I like learning. Learning occurs for me everyday ... (AL) -406-

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I I I I i I l I I i "Those that pertain to ... secular life, you know, every day, it can be taught in most any place. You know, as I said, outside the home, you learn by doing it, and then, at home, in the Hogan. My father used to taJk to us all the time when we were eating, in the evening. And then, there are some things that are sacred, sensitive, you know, ceremonial. They have the sweat for that . during the sweat, and then the ceremony, too, you can learn those." (HW) All interviewees indicate that Navajos brought up in the traditional way, will have training in the basic principles, precepts, and concepts ofnahat'a: "At a real basic I think, from a traditional standpoint, if one is taught traditional and practices traditionally, then one has the knowledge to be able to engage in nahat'8. .. (Naat'3anii) Frank C. Young stated that if an individual isn't taught this knowledge from the beginning of life, it will be difficult to learn, but it is still possible: .it is late, but they can still be taught" (FY); Dine individuals are recognizing problems later in their life, and are coming back to nahat' a, which they had previously neglected Anthony Lee, Sr. indicated that formation of an Institute might be necessary to instruct Dine professionals who had missed or forgotten their training ofnahat'a, and to bridge between the current practices in Tribal government and organizations, and nahat'a: .. there's this gap that's widening each day, so somehow we need to .. it's kind of like a bridge. We need to rebuild that bridge, make that connection again. .. right now, a lot of people don't recognize it. Even -407-

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the professional people, the leaders-they recognize it to some degree, to some extent, but they don't know how to go about it ... (AL) "I think there has to be some kind of an Institute ... they would go through this training. It would be training on the concepts, principles ofnabat'a In fact, I think this is true with professional people, school boards, and out in the communities, Chapter officials, teachers everyone has to go through this process ... I think that what has to happen here is that a lot of professional people have to be re-educated. They have to go through this process .. and retrain these people to create that balance--intellect versus character development ... (AL) 3.2.10.1 Specialized Training Specialized training in nahat'a is also noted by several interviewees to be related to different forms ofnahat'a for naat'aanii, warriors and medicine men, or different roles in the planning process (i.e., medicine man, naat'aann): "I think nahat'a, it depends on when you're growing up as a child and you have parents. You have a :fiunily-grandparents, paternal and maternal, and when you're born, the say, you know this child right here is going to be a naat' 3anii, so then in the beginning, they give you a Navajo name as like a naat'aann ... and its up to your parents to bring you up, you know, as part of your name-what name is given to you. Like if you're given a warrior name, then that's how its going to be. You're brought up to be a warrior, and if you're brought up as a naat'aanii, then they teach you a lot of things, or they take to, like people that have leadership or they take you to an uncle that has a good speech all the time, that talks at the head of the family or gatherings, so that's how I understand ... (Medicine Man) .. .1 think you have to be thoroughly oriented by another person-if it's a medicine man or maybe a traditional scholar ... Remember I said if you want to be a warrior, there's a nahat'a as a warrior. You want to have nahat'a as a medicine man, then that's how it comes, but since you're not an apprentice, I can't share with you concepts having to do with apprenticeship, but rather, I'm sharing with you knowledge that pertains to education ... (AL) -408-

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Medicine men learn special knowledge of songs and prayers to overcome certain barriars and challenges in nahat, a: ... sometimes there are challenges ahead, barriers head that maybe can make the pathway to what you're envisioning more difficult, you know, and when these challenges or barriers are there, then sometimes we don't have the special skills of a medicine person, you know in terms of special prayers or special songs .. (Naat' Aanii) Naat'Aanii are taught skills related to leadership by relatives (e.g., good speech, respectful, responsible, good listener, strong to negative influences, experience in planning), and by observing relatives and others in the community who have good leadership skills: .. they take you to people that have leadership or they take you to an uncle that has a good speech all the time, that talks at the head of the family or gathering." (Medicine Man) Training for the naat'Aanii should also include knowledge ofBlessingway. In addition, one interviewee mentioned the importance ofnaat'Aanii having training in broad knowledge ofnahat'a to be able to communicate to children, elders, and warriors, at their different "levels" of knowledge ofnahat'a ... you come up with a speech and then talk to like a children nahat'A, and then the elderlies are like kids .. so you've got to come to their level-like a pure thought, but if it's all together then, then you got to be, you got to know what you're saying, you know ... you got to get down to everybody understands what you're saying ... (Medicine man) The evolution of a leader through training in nahat'a by relatives, experience, and prayers and ceremony is briefly described in the autobiography of Frank Mitchella Blessingway singer and leader who lived from 1881 1967. The following excerpts -409-

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indicate the importance of the Blessingway and special naat'Aanii prayers on his leadership: ... By this time most of the people knew me because of my singing, and they were always coming to me to perform ceremonies. So as I became a leader of the People, I was combining two things together for my job, because I was also practicing the Blessingway. That was my occupation, going around singing, going around talking to the People, and every now and then, also working for others, helping them build hogans and assisting them in other ways. When I started talking to the People on my own, I became more aware of my Blessingway ceremony at the same time. It seemed as if the songs and prayers became clearer to me. The more I talked to the People and the more I learned about that, the clearer the Blessingway became to me. I began to see that some of the stories connected with that, such as how there had always been good and bad people right from the beginning, were true. It was like I was completely lifted out of the mind that I had when I was a young boy. All of the nonsense that I used to think about when I was young started to disappear, and all the things that I was never too clear about started to change. I began to realize that some things were very important, and my whole way of thinking was changed. It no longer was bard for me to talk to the People, and it was not hard for them to understand what I was telling them. I found out that I was not afraid to get up and talk; I knew what I was going to say, and it was easy for me to say those things ... (Frisbie and McCallester, eds. 1978, p. 226) "In Navajo religion there are prayers for certain purposes. I found out from my own father that in Blessingway there were some songs for headmen, and I learned them from him. I think that this is another reason why things came easily for me when I was talking to the People. It may be one reason that I was recognized for being a talker and a leader among the People, why I became well known as a headman and even eventually ended up on the Tnbal Council. .. Now, these songs are only used when you are preparing to go to talk. The way you learn them is by heart, by yourself. They are within you once you learn them, and whenever you are asked to make a speech somewhere, to go before the People to talk to them or to come forth on some big occasion, you can do that without being -410-

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scared. After I learned these songs, every time I was called to a big meeting, all I did was sing two or three of those songs my way over there. Then when I got there, I knew just what I was going to talk about and that I was not going to end up like the Man who drew two lines and mumbled something. Wrth those songs within me, I am not afraid of anything; they take the fear and the shyness out of me, and I just get up before the People and start talking, and they always understand what I am talking about ... (Frisbie and McAllester, eds., 1978, p.241-242) 3.2.10.2 Summary Training in nahat'a initially occurs in the hogan from one's relatives, and in daily activities. An individual trained in the traditional way, will have the basic framework necessary for practicing nahat'a. Training is additionally received in ceremonies and songs and prayers from medicine men; and, from the 'natural elements'. Training includes development of intellect, character, overall strength and endurance, and understanding of the sacredness ofnahat'a and the necessity of approaching it with respect, and respect for interrelationships with all things. There are different types of training and different levels of knowledge depending on the age an maturity ofthe individual and the type ofnahat'a the individual seeks (i.e., warrior, naat'aanii, fiunily, medicine man). Training in nahat'a is never ending and is a life-long process. -411-

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3.2.11 Knowledge and Skills "The inherent knowledge for nahat'a is folUld in songs and prayers ... Nahat'a is inherent in songs and prayers ofBlessingway." (MM) . the natural order, you have to know that, because that's what decision-making is based on .. (HW) . Communication is the most important thing" (Medicine Man) ... Knowledge in the Navajo, knowledge is a learning experience. You learn from that. Knowledge is also healing. Knowledge is also protection And knowledge is also spiritual. So, if you don't acquire any one of these, you haven't learned." (HW) Six interviewees were asked what knowledge guides the person who practices nahat'a to make the process successful. One discussed knowledge in an open-ended interview regarding nahat'a Additional information regarding knowledge/skills needed for nahat'a was also expressed in sections of the interview focusing on training, origin ofnahat'a, what nahat'a is, and why it's needed. Literature sources which were reviewed to expand understanding of general knowledge areas of the traditional Navajo upbringing (Benally), Navajo philosophy (Griffin-Pierce, 1992; Farella, 1984; McNeley, 1975; Remington, 1982; Witherspoon, 1977), origins (Wym.ail, 1975), and prayers (Gill, 1981); and Navajo political and conmlUlity structure (Williams, 1970). 3.2.11.1 General Knowledge Areas Knowledge ofnahat'a is needed to protect its sacredness, and to ensure its intended use to create balance and harmony. Knowledge ofnahat'a is indicated by several interviewees to be broad, never-ending, and a life-long learning process; and is -412-

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developed through observation of nature, from relative's teaching and personal experience, and through understanding of ceremony, stories, songs, and prayers. As discussed earlier in the section 3.2.10, some of this training and knowledge is general to the traditional upbringing of a Dine individual, other training becomes more specific as an individual ages and becomes involved in training as an apprentice to a medicine man, a naat'aanii, or other specific roles in nahat'A. Knowledge needed for the practice ofnahat'a similarly ranges from the general to the specific, depending on one's role in nahat'a, the specific type ofnahat'a, and the type of goals being sought. As previously mentioned, traditional training provides the basic knowledge needed for practicing nahat'A. 3.2.11.2 Types of Knowledge Four general categories of knowledge can be derived from interviewee statements as important to nahat'a: 1) Knowledge of the principles, precepts, practice, process, and goals of nahat'a through knowledge of stories/ songs/prayers/ceremonies related to nahat'a--in particular, those ofBlessingway; 2) Knowledge of how to prepare for the process ofnahat'a through development of mental and physical capacity, endurance, respect, reverence, positive thinking and speech, and humility; 3) Knowledge of a skill or trade ; and, -413-

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4) Knowledge of natural laws in which nahat'a is embedded, and which describe the interrelationships which govern nahat' a, and all other phenomenon in the universe. 3.2.11.2.1 Nahat'a Knowledge Five interviewees indicate that specific knowledge regarding the practice, principles, guidelines, and goals of nahat'a is found in Blessingway: ''The inherent knowledge for nahat'a is found in songs and prayers .. This understanding is absent :from Tribal government and local governance. Nahat'a is inherent in songs and prayers of Blessingway." (MM) Blessingway has been discussed in more detail in the section on ''Origin", but in general is the :framework in which nahat'a was specifically passed to the Dine People from the Holy Beings, and has embedded within it the appropriate guidelines, songs, prayers, and ceremony which direct the process ofnahat'a for Dine People. Several interviewees also mentioned the importance of Protectionway knowledge (HW, AL, FY,) which helps to keep the negative out ofnahat'a and other life processes. The combination of both Protectionway and Blessingway knowledge provide the framework for effective practice ofnahat'a for the purposes intended. Protectionway and Blessingway teachings and ceremonies are discussed within literature on Navajo Philosophy ( McNeley, 1973; Witherspoon, 1977), origins (Wyman, 1975) and prayers (Gill, 1981), and education ( Benally). -414-

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3.2.11.2.2 Knowledge of Preparation The process ofnahat'a is noted to require reverence, endurance, sharp thinking skills, and positive approach in thought and speech. To this end, an individual is noted to need skills of survival; understanding of appropriate character (See section 3.2.12); ability to maintain appropriate relationships with people and the environment; and, ability to maintain good, clear, positive communication and positive thinking; ability to persevere and endure; ability to think for oneself; and, ability to work with others: ... you have to be motivated. You have to have drive ... You have to get up early in the morning and run. You train yourself. .... you have to be honest with yourself, and honest with people, and you have to be generous. You have to be sensitive, and then you have to be a warrior .... And that isbow you tackle that. All of them. All knowledge ... (HW) .. Nahat'a is out of respect, and just having the ethics, and the ethics and then the etiquette of ... that's what it is, and being civilized and having harmony and being in balance ... and understanding and communicating ... that's what it is. Communication is the most important thing. (Medicine Man) 3.2.11.2.3 Knowledge of a Skill or Trade Interviewees indicate that this knowledge is part of developing and understanding nahat'A. Nahat'a is not about .. creating a paper, which you leave alone" (EC), but putting things into action A naat' 8anii must practice his leadership in the community, not just have the requisite character and ceremonial knowledge: ... They always say, "You learn from it." You have to go to some of these meetings if you want to become a good leader. You go to one of the good leaders, and you've got to learn the stories on how they present it. You've got to take part in a lot of hands on stuff. And then, being part of it, one day, they will nominate you, being part of that nahat'a hooghan ... (Medicine Man) -415-

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! i I I I One interviewee noted that success in nahat'a is gained by taking one's knowledge, talents, and skills together-whatever they are, and ''making them work". 3.2.11.2.4 Knowledge of Natural Laws Knowledge of natural laws or natural order provides the basis for decision-making, as well as knowledge for the process of defining problems, and goals and pathways to future visions. .. this order that comes from the movement of the sun, the moon and the stars, you know is what all living things live by and that is the natural law ... the Navajo culture, the ceremonies, are directly related to that...if we just practice our tradition and custom, we are in essence living in harmony with nature ... that is what we're talking about when we say we live in harmony with nature ... there are two forces in the universe: one has aggressive destructive nature; the other one has a gentle nature. We call them male and female .... There's a systematic order to the way they behave, and that they are predictable, and that if you study them, and learn of their properties, you can go among them, and use their power for protection. .. (HW) ''These simple order, the natural order, you have to know that because that's what decision-making is based on ... (HW) Literature also indicates the importance of developing understanding of the natural laws: ''There is a great natural order to the universe of which man is an integral part. Man is endowed with the ability to observe and imitate this order ... There is tremendous power in the natural order. We move with this power interdependently. We follow a course that is followed by all intelligence, or creation a world of order and prosperity. As one recognizes his being as part of a great circle manifested in the seasons, including birth and old age and the movement of the celestial bodies, he finds renewing power and strength. .. {Benally, 1992, p.22) -416-

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" ... the Holy People 'put it there [natural law] for us from the time of beginning' for better thinking, planning and guidance. It is the source of a healthy, meaningful life ... (Yazzie, 1994, p. 175) 3.2.11.3 Development of Knowledge Several interviewees noted that there is a natural progression in development of knowledge of a Navajo which includes the development of knowledge of nahat'a One interviewee descn"bes the progression beginning with knowledge of self-respect, thinking for self, responsiblity etc. taught to the child; followed by knowledge of how to make a living through a trade as an adolescent; followed by knowledge of how to get along with others, and work with others, caring for children, learned in married life; followed by knowledge of ceremony related to Protectionway and Blessingway in later life (See section 3.2.10). Literature sources, in discussions about Navajo education, also discuss this maturation in and internalization of knowledge, in general (Benally, 1994, p. 29-30). One interviewee noted that there is "children's nahat'a" and "elderly nahat'a" and that the stories one would tell to pass on understanding ofnahat'a would be dependent on the age and maturation of the individual. Several indicated that knowledge ofnahat'a is never-ending and continues throughout life: ''I listen to my elders. I listen to the medicine man. I listen to other, you know, people who are very successful, and I like doing that. I like new knowledge. I like learning. Learning occurs for me everyday. My dad used to say, you never stop learning ... grow white hair, you never stop learning." (AL) "As Navajo, you're going to talk to an elderly, if you're going to talk about certain things, the first thing that they say is, ''nahat'a is never an ending thing. It can go on, like for day and night, you know. But if you're willing to listen to it, that's what it's going to be. As much as -417-

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you can, you can get that. And you have to focus on just nahat'a by itself. .. (Medicine man) 3.2.11.3.1 Four Cardinal Diredions Four interviewees mention knowledge placed in the four cardinal directions, as part of the foundation ofnahat'a, and discuss the importance ofbalanced development of intellectual, physical, emotional, and spiritual well-being in the individual practicing nahat'a through development of understanding of the knowledge placed in each of the four directions. Literature focusing on Dine philosophy (Farella, 1984, p. 104-111; Griffin-Pierce, 1992) and education (Benally), in general, also indicates the importance oflearning from the knowledge embedded in each of the four directions, and its importance to achieving harmony and balance, goals ofnahat'a: ''Traditionally, the individual is taught the interrelationship and interdependence of all things and how we must harmonize with them to maintain balance and harmony. The Navajo elders explain that if one is to achieve a balanced and harmonious life, one must receive the learning that is inherent in the cardinaldirections ... "(Benally, 1988, p.10) ''The Navajo organized their knowledge, as well as their life activities, around the parts of the day and the four cardinal directions. This system of organization was placed by the Holy People in the primordial era. At that time the gods laid the foundation of this world with grandfathers and grandmothers fire; water, air and soil. Around that foundation they placed the four different lights and four forms of sacred knowledge which would regulate man and all life's activities ... (Benally, 1992, p.19) ... By balancing the four cardinal areas ofNavajo knowledge the individual will develop sound beliefs and values and be prepared to make responsible decisions. He will develop knowledge and skills so -418-

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that he will be able to provide for his family, demonstrate good leadership within the family and community, and retain a sense of reverence for all things, both those on the earth and in the heavens. There is a great central focus where all forms of knowledge converge. In Navajo, this point of convergence is the synthesis of knowledge obtained from the cardinal points that finds expression in appreciation, reverence and love for harmony ... (Benally, 1992, p. 22) 3.2.11.3.2 Specialized Knowledge A medicine man will have special knowledge of special songs and prayers to overcome certain barriers and challenges in nahat'a: ... sometimes there are challenges ahead, barriers ahead that maybe can make the pathway to what you're envisioning more difficult, you know, and when these challenges or barriers are there, then sometimes we don't have the special skills of a medicine person, you know, in terms of special prayers and special songs. When we have those kinds of challenges as an individual, then we bring the medicine people who have those special songs and those special prayers and special knowledge on how to circumb the challenges and barriers that we might envision. .. (Naat'aanii) Literature also discusses the special knowledge of medicine men: ... the songs that Navajos know act as a kind of attention-getter for the Holy People. Only hatalfi know the songs: how to use them, when to use them, and why to use them .. (Remington, 1982, p. 213) Naat'aanii need knowledge ofBlessingway; the knowledge of how to be a good leader, including the ability to communicate with the broad membership of the community, and broad knowledge of nabat'a to make sense to children, elders, warriors, etc.: .. there's certain teachings for children..nahat'a for children and there are certain nahat'a for like community and then there's some for the -419-

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whole naat'Baniis and elderlies, too .. so you've got to come to their level.. but if it's all together then ... You got to get down to everybody understands what you're saying." (Medicine man) 3.2.11.3.3 Sources of Knowledge Interviewees mentioned three primary sources ofknowledge regarding nahat'a: 1) nahat'a learned from personal experience and relative's personal experience; 2) stories/legends/ceremonies of7:from Holy People passed down through the generations; and, 3) knowledge :from observation of natural processes and elements. 3.2.11.3.3.1 Personal Experience One learns about nahat'a from family, relatives, and self through practicing nahat'a throughout life. One learns about appropriate character required for undertaking nahat'li, basic principles and processes ofnahat'a, skills or trade for making a living, and appropriate relationships (See section 3.2.10) Several also indicated that knowledge ofnahat'a is intrinsic, it exists within an individual, but must be activated within one: "You have to internalize nahat'a itself. You have to activate that-your heart, your mind. You have to stimulate, to jolt yourself. It has to come from within you ... na.hat'a is already in the system, but a person doesn't know about it. It sits idle within. It uses rain, water, snow and says if you want to become a farmer use sight, feel, taste, smell. Nahat'a will show you these things ... will help you develop your skills ... You already have awareness from nature ofnahat'a." (MM) As noted previously, training and subsequent understanding ofnahat'a begin with development of understanding, respect and responsibility for one's own heart and mind. Once that understanding is mastered, one moves to understanding of relationships with others, and with the environment: -420-

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I I I I I I I I I I I I I "You have to research your own self, your heart, your mind, your spirit. Then until you've done that you come to ... research your environment. .. but it has to start with you (adee deet'ifh). If you don't have that self-discovery, then how can you understand things? It's impossible, next to impossible, and then you just go with the fad ... just like Coyote stories. Let's say there's two factions, which ever one is winning, he would jump on that side. You'd be all messed up in life, if you did that." (AL) 3.2.11.3.3.2 Stories, Legends, Ceremonies All respondents mentioned the importance of stories, legends, and ceremonies of the Holy People that have been passed down through the generations for learning about and guiding the practice ofnahat'a One medicine man stated that only that which bad come from the stories and legends was without question regarding the practice, process, and goals ofnahat'a; all else was really just one's opinion: .. ifyou use a lot of the traditional, there's no doubt in it..and if you're talking about your perSonal experience, nahat'A, then they know that's your opinion, so a lot of people will probably challenge it.. but if it's a story, people won't question it, because the story is brought to you ... (Medicine man) .. ifit comes from your opinion, it will help. It depends on how many percentage you're going to hit the heart, and how many people are going to listen to you, and how many percentage is not going to listen, you know, because they know it's an opinion, but if it's a legend and culture, no doubt in it, because it hits you spiritually, because you say it's Holy and it's dealing with it. People have that faith in it, and faith is the most important and where does faith go? Spirituality. But if it's your opinion, how could you have faith in an opinion? Because it's just an opinion." (Medicine man) ''Navajo people .. have their own stories ... a lot oftheir way of life and survival skills comes from Mother Earth, the Sky and the Holy People and their teachings." (HW) -421-

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The stories reflect a long history of the evolution and testing ofnabat'a by the Holy People, which provides the framework for and basis of people's practice of nahat'a today: .. .In our stories there are a lot ofteachings ... Holy People ... tested their own skills of using nahat'a and if it didn't work .. they went to a different approach and they came to an agreement, and so us medicine mens .. when we're out to do a lot of these presentations ... the first thing we do is we use our stories ... (Medicine man) Literature also indicates the importance of this source of knowledge: ''In Traditional Navajo Society, not to possess a knowledge of stories, teachings, songs or prayers is to be poor. This knowledge contains the wisdom of a prosperous and happy life; moreover, it provides the means of obtaining favors from the Holy People. Because of their value these prayers and teachings are held sacred. It would stand to reason that this is where one would find answers to some of life's basic questions ... (Benally, 1987, p. 136) ... A natani who skillfully wove into his talks stories from the Navajo legends and mythology was accorded high respect both from his own community and from his peers, especially when the talks pointed toward a solution of a current problem. .. "(W'illiams, 1970, p.6-7) ''The source ofNavajo knowledge is to be found in the mythology, songs, and prayers of the Navajo people. Mother Earth is credited with placing this knowledge and identifYing it with the cardinal directions ... (Benally, 1988, p. 10) 3.2.11.3.3.3 Obsenration of Natural Processes and Elements Observation of natural processes and elements is also noted as an important source of knowledge regarding how to practice nahat'R, appropriate character of the planner, and potential pathways towards goals: -422-

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" ... in our stories ... the Mother Earth and the Sky, they have their own planning, and all the other Holy People, they have their own planning, and the plants .... a lot of the planning stuff, we learn from them ... (Medicine Man) ... Our nahat'a is in the trees. It's in the mountains, the rain, the rainclouds, nahat'a raincloud. I was corning up this was and I was looking at the clouds. So powerful, nahat'a, intrinsic in the cloud, the cloud masses, nabat'a. In all, there's nabat'a, and it's also in the mist. They say that when the mists, when you say the water, the mist. It's like The Holy People they come down and that's when they plant their of knowledge and wisdom. They come down, and then, so we follow that process in springtime, you know. So the earth has aJready been blessed for us, through that mist, nistiin? That's how it's done. It's all about nature. To me, it's like a language ... .! see the mountains, I see character ... (AL) .. Well, in the Creation Story, at one time, plants, birds, and insects were like people, at one time, so their behavior and what their contnbution is into this world is what, how they are labeled ... and they still possess those powers .. so this is why we use them that way." (HW) "character that's passed down to us by the Holy People ... character that's found in the mountains .. even the animals have character .. the plant have character .. and they all have a skill." (AL) It started snowing outside, and one interviewee started singing the snow song and then noted: ''Snow is teaching, and based on these teachings, one is able to experience teaching in life itself: and based on these teachings, a footprint is left to follow for nahat'a One must pray and make offerings. The inherent knowledge for nahat'a is found in songs and prayers. This understanding was prevalent way back, but today nobody thinks about it. Environmentalists think about protection, but not intrinsic meanings ... (MM) -423-

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Four also mentioned the mountains, in particular, as repositories of knowledge related to nahat' a: "In order for students to understand nahat' a, it is illustrated with the four sacred mountains. They need that analogy to impart into the minds of young people knowledge ofnahat'a Navajo Nation planning should have been derived from this knowledge, from the mountains. Instead, Navajo Nation has chosen to base it on the western concept." (MM) "Nahat'a, that word nahat'a, it's also part of the four sacred mountains. In fact, that's how it's referenced 'dziJ: nanit'a, 'dzil diyin' .. (AL) ... they're called mountains of knowledge, so nahat'a also means knowledge-in the same sense you would call the Library of Congress." (HW) Nature as a source of knowledge is also articulated in literature on Navajo educational philosophy (Benally; Office ofDPL, 1992), and Navajo divination (Remington, 1982) ... Nature created everything, including us, so that we would live and survive in this place. It teaches through the knowledge of songs, prayers, rituals, and the oral tradition hane' -of its creation and progression to the present time. Through these teachings one will understand the meaning of all aspects of one's physical, mental and spiritual development. These teachings reveal and illuminate the self as a real reflection of nature with an established relationship to all that exists in this world. One will think, plan, believe, live and have assurance by this understanding of the self in relation to nature ... (Nevy Jensen qtd. in Office ofDPL, 1992, p.3) .... The mountains, for example, were endowed with thinking, planning, prayer, teaching and material things. They were placed and dressed in that way for our benefit. As the clouds rest upon the -424-

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mountains and the rains fall, the water begins to flow, taking with it the blessings of the mountains. When we utilize the water it unfolds the gifts of prayer, thinking, planning, teaching and prosperity that it carries from the mountains. We may either use this blessing that was provided by the Holy People for our benefit, or destroy it through improper or disrespectful use ... (Benally, 1992, p. 22) "All creation remains holy and continues to fulfill its purposes. Traditional Navajos understand this and take lessons from what they observe in nature ... (Benally,1987, p. 146) "The elders watch the stars, particularly Pleiades, the Dilyehe or "seeds of all kinds." They were instructed to watch this constellation in order to know when to start planting ... (Benally, 1992, p. 20) 3.2.11.4 Summary Understanding ofnahat'a is noted to be a life-long learning process developed from observation of nature, relatives' teaching, personal experience, and through understanding of ceremony, stories, songs, and prayers. Four general categories of knowledge needed for nahat'a descn'bed by interviewees include: 1) specific knowledge of nahat'a-particularly that embedded in Blessingway; 2) knowledge of how to prepare for the process ofnahat'a; 3) knowledge of a skill of trade; and, 4) knowledge of natural laws. In addition, medicine men, naat'aanii, and others with specialized roles in nahat'a need more specialized knowledge which is embedded in ceremony, songs, and prayers. Knowledge is embedded in the four cardinal directions. -425-

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3.2.12 Character of a Planner "How you take care of yourself: that's how you should take care of them (Holy Beings), too ... How you think about yourself: and how you take care of yourself: that's how you should take care of the next person on this earth. .it's all about respect. I think that's what it is. Nahat'a is out of respect, just having the ethics, and the etiquette . that's what it is, and being civilized, and having harmony and being in balance and understanding and communicating ... Communication is the most important thing." (Medicine man) "Make yourself strong. Prepare yourself with discipline and perseverance. Withstand pressures in life. This is the only way to be successful. Nahat'a teaches you this ... Nahat'a is telling you to stay strong. Other things may distract you. Keep your mind and heart strong. Discipline yourself so you don't stumble with distractions." (MM) "In nahat' a, to acquire that and use it, and to maintain it, is just like anything else .. you have to be motivated. You have to have drive ... You have to get up early in the morning and run. You train yourself. .. You have to be mentally and physically fit..Honesty is the big factor and you have to be honest with yourself and with people, and you have to be generous. You have to be sensitive, and then, you have to be a (HW) warnor ... .. .1 think a characteristic of a person who practices nahat'a has, in its traditional form, the characteristics of conducting it in a sacred fashion. It is a special way to be ... (Naat'aanii) Six interviewees were asked what characteristics and skills a person who practices nahat'a should have to make the process successful. Two interviewees additionally discussed character in open-ended interviews. Most information regarding important characteristics of the planner was gleaned from overall review of transcripts-in particular, discussions on the process ofnahat';l, and training of individuals in nahat'a. -426-

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Literature reviewed to provide additional understanding of characteristics of one engaging in nahat'a include sources focusing on education (Benally), and political or community structure (Levy, 1962; Pearson,1969; Wilkins, 2003; Williams, 1970). 3.2.12.1 Character Development "You have to internalize nahat'a itself. .lt has to come from within you. In whatever way you want to life your life, that's how your life is directed by nahat'a .it will help you develop your skills. You will have feelings for all life forms ... Develop a keen awareness and sensitivity. All that is love The profile and meaning ofnahat'a is love ... (MM) Character development is considered one of the major aspects of development of the Navajo individual necessary to life in general, and to nahat'A, in particular. Character development is part of the process of developing nahat'A, is considered part ofthe knowledge base of how to practice nahat'a appropriately, and is part of the concepts/principles ofnahat'a which one must learn. Without development of appropriate character, several indicate that an individual will not be able to practice nahat'a: "It's really premised on our belief system, your faith, confidence, you know, that you have in yourself. They say it's through these characteristics/attributes, you know, that you're able to pursue the different forms ofnahat'a It's based on self-respect. I guess it starts there, self-respect. It's not going to come if you don't have self respect. If you don't have reverence for nature, it'll come to you, but it'll come in a western way. See how delicate it is?'' (MM) The character of an individual engaged in nahat' a reflects the character development of an individual trained in the traditional way: -427-

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" .. you use what you have learned in your early stage, like getting up early in the morning, run, and doing things, not to be lazy, not to put offthings ... So I would say the basic foundation ofnahat'a is to be motivated, to have drive, and so that is what nahat'a is. You're able to do things." (HW) Sources of knowledge for understanding and developing appropriate character for practicing nahat'a are the same as sources of other types ofknowledge important to practicing nahat'a and include: legends/stories; nature; and, family. The preparation for and process of nahat'll, itself: also teaches, guides and builds character: "I think what nahat'a teaches you is to be motivated, to have drive, and then, also, to feel worthy ... feeling of accomplishment" (HW) 3.2.12.2 Specific Characteristics Character development focuses primarily on developing respect for all things and maintaining appropriate relationships among all things, but also on the ability of an individual to direct and sustain activities over a period of time through physical, emotional and spiritual strength, self-reliance, and perseverance; and, to approach things in an honest, humble, generous, and positive way for the good of family, community, environment, and nahat'a These general characteristics are also noted in the literature as part of traditional Navajo upbringing: "Moderation is encouraged in every form and endeavor. In thought, speech and behavior, one needs to show humility. Excess is a shade of evil and is therefore shunned. Greed leads to pompous pride and alienation from families and community. Giving is a means to self esteem, dignity, respect and a good name. It is a virtue that always moves in a circular motion. It returns to the one who gives and assures the giver of community respect and support at all times."(Benally, 1994, p 27) -428-

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Three mention that character includes one's behavior, dress, and language, and that all of these are embedded in nahat'A: ... the way we behave, and the way that we dress, and the way that we speak, communicate . Nahat'A is like clothing .. (AL) 3.2.12.2.1 Respect Respect for self, others, nahat' A, and all other things in the universe is indicated as and important characteristic by interviewees. Self-respect is mentioned by four interviewees as a prerequisite for nahat'A. One individual mentioned that practicing nahat'A will help one to feel worthy. One mentioned that this self-respect must be developed, prior to developing respect for other things. Respect and reverence for the sacredness ofnahat'A is also mentioned by four interviewees: .. you should approach nahat'A with respect .. dignity, humility-that sort ofthing." (MM) ''The primary thing that guides the person, my belief: is the sacredness of practicing nahat'A. .. .I think a characteristic of a person who practices nahat'A has, in its traditional form, is the characteristic of conducting it in a sacred filshion. It is a special way to be ... with prayer and serious demeanor" (Naat'aann) Three state that respect or reverence for nature is an important characteristic which must be developed in an individual, and is necessary for nahat' A to be successful: "If you want rain, then you've got to have the respect of your question, like with com pollen and like ceremonies, too ... Navajo people in a community, they will come together and, we'd like to have a lot of rain, we'd like to have some snow, we'd like to have it so it wouldn't -429-

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be really hot, so there' different requests through prayers and songs that we need to do ... that's how a lot ofnahat'B, where it's brought down, you know, in order for us to do out of respect. .. (Medicine man) .. .If you don't have reverence for nature, it's [nabat'a] not going to come ... "(MM) Respect for others is alluded to in statements regarding the need for positive speech, humility, generosity in the process ofnahat'B, and kinship relations or k'e. One interviewee also mentioned the importance for traditional leaders (naat'aann) to go into the community to become fu.miliar with community needs prior to engaging in nahat'a for the community: ... you have to think, your nahat'3., about the speech you're going to tell them [community], and being neutral about it ... and then you have to think wisely .. you got to listen to what the people are expecting. I think you have to be among the community to know what they really need .... walking about the community, see What needs to be done ... you've got to visit some people now and then ... (Medicine man) Respect is also noted in literature on Navajo education as an important part of the traditional upbringing of a Navajo: ... A child at birth becomes subject to the natural laws of this world, and his need to understand his relation to and use of the blessings of this world become apparent. Establishing an intimate relationship with nature begins with the acceptance that all creation is intelligent and beneficial in and of itself. Consequently, when due respect is shown for nature, that respect is returned with favors. When we show a lack of respect, our actions are reciprocated in the same way. When we begin to understand this reciprocal relationship, we begin to participate in the great universal consciousness. We become related to all creation, and our views and language toward this vibrating life changes, for we are not longer strangers, but family ... (Benally, 1994, p. 28) -430-

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3.2.12.2.2 Appropriate Relationships ... laws that were established here, between the Sky and Earth, and then everything... If you don't live within this order, you are out of balance, not only you, but you make ... you distort the pattern of other living things, too, because they follow this order-NitsAluikees, nahat'a, iirul., siihasin. It's part of this order, so your life from birth to old age is part of that, and there's a prescribed order that you follow, so nahat'a is part of that. .. (HW) Maintaining appropriate relationships with not only people, but all things in nature, is alluded to in characteristics such as empathy, sensitivity, and forgivance, indicated by four interviewees as important to the practice of nabat'a. Being honest, generous, using clear speech, and neutral speech; being responsible or reliable; and, being in balance and harmony or in life with prayer and blessing are also noted as important characteristics which aid in maintaining relationships. Several also mentioned the importance of respecting kinship and clanship in the process ofnahat'a. 3.2.12.2.3 Perseverance, Self-reliance, and Strength ... the basic foundation ofnahat'a is to be motivated, to have drive, and so that is what nahat' a is ... (HW) "The elders believed a person must be strong. They said, 'There are all of these distractions over here but you never mind those. Make yourself strong. Be able to withstand hardship and difficulties. Develop your mind so that it is strong and functions with discipline. Life has to be achieved. You must accomplish good things in life. There are other things going on but your path is over here. Have strength and discipline. Develop an ability to withstand and endure hard times." (MM) Regarding ability to direct and sustain nahat'a, four interviewees mention the importance of self-reliance, self-motivation, or ability to think for self. Five indicate the importance of physical, mental, and emotional strength, fitness or stamina; and -431-

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four mention perseverance as an important characteristic. A Navajo term mentioned by several interviewees which encompasses many of these characteristics is "t'aa h6 ajit' eego"-meaning if it is to happen, it is up to you. Herbert Benally, in writing about Navajo education, briefly describes this concept: "t'aa h6 ajit' eego (if things are to be, it's up to you to complete them) is a concept of wisdom that is foundational to a good, healthy and prosperous life. If a person is lazy, he or she will go about, beg, be ridiculed and made an example of what not to be. That person will bring shame to his people. One the other hand, if a person is industrious, he or she comes to mean bee hooldoh, bee Ia' hooniil d66 bee ahehoneel' (one who causes progress and resolution). Wherever that person goes, because of his presence, things become better." (Benally, 1994,p.27) 3.2.12.2.4 Additional Characteristics Additional characteristics noted by two interviewees are: clear knowledge of one's path; clear /clean mind; and; being observant, or having keen awareness. 3.2.12.2.5 Naat'aanii For naat'8anii, additional characteristics noted as important by respondents relate primarily to leadership skills, communication and goals. Communication should be clear, speech neutral, guided by positive thoughts, and open to opinions and teachings of elders. Naat'8anii should provide a good example in the community, encouraging good behavior through honesty, etc., should work towards well-being of community, have harmony and balance, and use time wisely : .then in any community, you have to pick one person that's very neutral about things, and then as you go on, a lot of time people look up to a person that's very knowledgeable, a person that uses its time very wisely, and so, that is how nahat'a is used .... You have to live by what they say. Stand by what they say .. ifyou're naat'8anii, then you -432-

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have to have a lot of good backgrounds .. you've got to walk: your talk: ... you've got to be very strong to a lot ofbad influences ... and not be part of a bad influence ... (Medicine man) In addition, a naat'aanii should be wise and have good observation skills. Literature indicates similar characteristics of naat' 3anii in historical records of planning (Levy, 1962; Pearson,l969; Wilkins, 2003; Williams, 1970): "The peace chief or natani was chosen for his exemplary character, oratorical ability, personal magnetism, proven ability both in religious and practical affairs, and ability to perform the Blessing Way ceremony .. .It was the natani'sjobto settle the dispute. This was accomplished most often by lecturing both parties and asking them to live in peace and harmony and to follow the examples of their grandfathers mentioned in the myths and legends of early Navajo life." 1970,p.6) "A Peace Naataanii . was chosen or elected if the person had knowledge of the Blessingway Ceremony, and only if he or she had excellent moral character, great oratorical abilities, and charisma. Also, the individual had to possess the ability to serve in both the sacred and day-to-day aspects ofNavajo life and culture ... (Wtlkins, 2003, p. 69). ... The natani's status was one ofleader and overseer of all the affairs of his local group or outfit, and he was accorded high rank and prestige. His role was that of a wise leader, and he was expected to combine mythological knowledge with wisdom in making decisions for his group. The reputation of a local headman depends upon his good judgement and his rhetorical ability to persuade members of his group to lead peacefu4 usefu4 and harmonious lives." 1970, p. 7) ''The informants were asked to indicate what they expected of a person who occupied the nataani position. Replies indicated that the man had to be wise, honest, and to know Navajo tradition and history, and had to be patient and fair. When the person in the community named as nataani was asked what he felt he was supposed to do in the -433-

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conununity he replied that 'the people tell me what to do. When they want me to talk the tell me. I try to find out what they want. Sometimes people get confused and they don't know what they want. I try to help."' (Pearson, 1969, p. 85). Levy indicates that naat'aanii "must be persuasive speakers, have some medicine power and, at present, be able to deal.with government authorities ... (Levy, 1962, p 794). 3.2.12.3 Summary Character development is one of the major aspects of developing nahat'a and practicing it appropriately and successfully. A Dine individual trained in the traditional way will develop appropriate characteristics for practicing nahat'a Character development focuses primarily on respect for self: others, nahat' a, and nature; maintaining appropriate relationships among people and all things; ability to direct and sustain activities over a period of time; and a positive, honest, humble and generous approach for the good of family, community, environment, and nahat'a For naat'aanii, traditional leaders who plan for the conununity, clear and positive conununication, neutral speech, wisdom, exemplary character, good judgement, charisma and persuasive ability are additional characteristics noted to be important. -434-

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i I I i i 3.2.13 Who Practices? "I think in the traditional sense that we all do. We all practice nahat'a by engaging in the act of thinking of a vision or .. My understanding is because it's part of the daily process, that it is important for us to adhere to some level of respect and understanding the sacredness of nahat' a" (Naat' aanii) Five interviewees were asked "Who practices nahat'a? Is there someone special who should be involved, or can anyone do?'. In addition, five were asked if"other things have nahat'a"? Statements with regard to both are summarized below. 3.2.13.1 Anyone with Knowledge of Nahat'a Interviewees indicated that anyone with knowledge ofnahat'a's precepts and principles can practice nahat' a: ''It can be used by anyone. You have to internalize it yourself. Only then can you practice You cannot use it, if you don't internalize it. It is a gift you are born with, but you have to activate it in yourself.. You practice it in the home setting, and impart it into children's minds so they can also practice, perfect and sustain everlasting." (MM) and that it is important that children begin to learn the process which will be important to them through their lives. One noted that in a traditional way, nahat'a is a daily process practiced by everyone. Two mentioned; however, that nahat'a chooses who to be with. Without respect and recognition of the sacredness of nahat'{l, nahat'a will not come to an individual In a family, interviewees indicate that both parents are the nahat'a people for their children. Adults teach their children through patterns and styles they have set down. Both parents teach. Each has different teachings related to male and female aspects ofnahat'a -435-

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Literature indicates that planning is one of the blessings that a new home owner prays for in dedication of the traditional Dine home (i.e., hogan): "After a hogan is completed, a fire is obtained or built. ... :finally a ceremony is performed by a prayer ... and songs ..... and the hogan is blessed ... In doing this, a person makes his own rules and life objectives. A person remembers the four posts and what they represented. The owners pray that they will be blessed with thoughts, planning, and that their path will always be blessed, and will live harmoniously with nature." (Spencer, 1977, no page numbers listed). 3.2.13.2 Community Nahat'a and the Naat'aanii Six interviewees indicated that within a community a naat'8anii should be the 'lead person' for nahat'a One noted that it is important for the elders to be involved in community nahat'a because of their knowledge of"what's best for people". As previously discussed (3.2.11.3.2, 3.2.12), a naat'aanii is a traditional leader whose training includes knowledge of the Blessingway Ceremony and such characteristics as wisdom, keen observation, honesty, neutral speech balance, and exemplary behavior (See section 3.2.12.2.5). This individual also receives a special blessing to make his/her speech effective; however it is noted that this speech must be used for the benefit and harmony of all: "It doesn't mean that because of these songs and prayers .. that these people will listen to you. It doesn't mean that you can just come up with anything and then you can sing the songs so these people will listen to you. You have to be, you know, very open and very truthful to them, and honest to them..you as a good leader, there's a ceremony done so that you can become a really good leader and that the Holy People will guide you to having good decisions, and good nahat'a ... so you can be in balance and there be harmony and there be abundance of a lot of things ... (Medicine man) -436-

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Literature also indicates that naat '8anii historically engaged in community planning (Goldfrank, 1945; Pearson, 1969; Williams, 1970): "'Community leadership ... was vested in one or more individuals whose duties involved direction of domestic affairs and warfare ... the Navajo recognized a distinct dichotomy in these two cultural phases and seldom did one man fill both offices' .... The selection of a local headman or peace natani depended upon more than ritual knowledge and the personal preferences of a frequently small group ... The natani acted as general economic director and encomaged productive activities. He planned in advance the work for the community, set the time for planting, and superintended planting, cultivation, and harvesting ... (qtd. in Goldfrank, 1945, p. 272). depended on the advice of both elders and medicine men in their planning (Wilkins, 2003, p. 69); and, required special songs and prayers: "There are lots of songs that go with being a headman or leader. They start out from the beginning, way back with the first people. The story starts with how it was planned at first and how the first people decided who were to be the chiefs After these chiefs were elected, the songs go along descnoing how they were dressed. They tell about all of the things they were wearing, their shoes, leggings, sashes and skirts, belts, wristlets and beads, their plumes and everything up to the last thing, that which is put in their mouths :from which their speeches are known. The last thing is like the power to speak; it was put into their mouths so they could have the wisdom to say wise things and so the People could understand them." (Frisbie and McAllester, eds., 1978, p. 244) As previously discussed, several interviewees indicate that professional people in the Navajo Nation have to be re-educated regarding nahat'B, as there are many who are missing the traditional teachings: "Leaders were medicine people They knew the rules about ... how to interact with people and things like that. Now we don't have leaders -437-

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like that and so many of the people are saying ... we need to go back to the basics ... (HW) One medicine man asked, who will be the nahat'a person now, as several indicate that there are many people in leadership positions in communities that are not naat 'aanii. 3.2.13.3 Planning of Other Things When asked whether other things plan, all respondents indicated that yes, all things have nahat' a: "Well, in our stories .. the Mother Earth and the Sky, they have their own planning, and all the other Holy People, they have their own planning, and the plants and so .. you know we learn from them .. (Medicine man) ... everything ... even the stars have nahat'a-the animals, plans people, birds-they all follow the principles ofnahat'a .. (AL) Literature also indicates the practice ofnahat'a by all things: ... Nitsahakees (thinking), nahat'a (planning), iina (life) and sihasin (fulfiJment and contentment) are stages of process that were placed in all creations ... (Begay, p. 27) ... Now we are all reJated to one another, since our ceremony is one, our prayer is one, our song is one, and our speech is the same ... (Wyman, 1975, p. 486) When asked whether people plan for "other things", interviewees indicated that they are considered in planning, that this is part of the respect and maintenance of relationships, but that they have their own plans: -438-

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I I i ... we engage in prayer and song on behalfofthem. .. Do we plan for them? No we don't. They have their own songs and prayers ... (Naat' aanii) ''They have their own [nahat'a], you know, Mother Earth and Father Sky ... we cannot plan for them. All we can do is just a request. That's all we can do ... they're the most holiest people ... you can't force them to do anything. You cannot plan for them. .. But we take care of them out of respect ... (Medicine man) Several individuals mentioned the teachings of the mountains, leadership of the mountains, character of the mountains as being important to nahat'A, but provided no additional details regarding this aspect ofnahat'a. Literature exploring Navajo thought and ''holy wind" (McNeley, 1975; McNeley, 1981) provides some insight on the relationship of the mountains to those who plan. Literature indicates that the leadership for nahat'a comes from the wind and inner forms of mountains and that these direct individuals in leadership positions in their thinking, speech, and plaruring: ''These deities within the mountains are considered to be foremost among the leaders, possessing many valuable things. The ''winds" sent by them to observe and to report back on Navajo conduct are also located at the mountains ... (McNeley, 1975, p. 187) "The Navajo in sum, traditionally believe that they are provided guidance from naat'aaniii, "leaders" situated in the four directions who send 'winds' to instruct the Navajo ... (McNeley, 1975, p. 196). Literature sources also indicate that Navajo leaders can't do whatever they want-their wisdom, thoughts, words should come from the mountains and wind, and knowledge oftheir behavior is sent back to the mountains (McNeley, 1975; p. 187, 196, 275): -439-

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''Even now, though, ''wind" is giving them only a restricted governance over their lives, so that a leader will not be able to do just anything that he wants to ... (McNeley, 1975, p. 111) 3.2.13.4 Summary Nahat'a is practiced by all trained in the traditional Dine way, with understanding of the precepts and principles ofnahat'a It is also practiced by all things in nature. For a community, a naat'aanii, or traditional leader who has gone through a ceremony for leadership and planning in the community, and has knowledge of the Blessingway ceremony, is considered the appropriate individual to lead nahat'a. lfnahat'a is not respected, it will not come to the individual who is engaged in planning, thus nabat' a also chooses, in a sense, who plans. -440-

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3.2.14 Local Governance "As far as how it's similar, I can't find a way it's similar. Everything is westernized .. (AL) ''Navajo Nation planning should have been derived from this knowledge-from the mountains. Instead, Navajo Nation has chosen to base it on a western concept ... (MM) Six interviewees were asked to discuss similarities and differences between nahat 'a and Local Governance, a structure put in place in 1996 for local planning in the Navajo Nation in 1996. Two others provided general information about similarities and differences between western-based planning and nahat'a in general discussions regarding nahat' a. 3.2.14.1 Not Structured Around Nahat'a A majority of interviewees specifically asked about Local Governance (5 (83%)) indicate that the Local Governance Act, passed in 1998 for local community planning in the Navajo Nation (Appendix A), is primarily a western structure, not structured around nahat'A, and the presence of the western structure makes it di:fficuh to practice nahat'a One interviewee mentioned the absence of sacredness in non-Dine forms of planning, also causing conflict in the two systems of planning. He noted that one can mention, but not bring nahat'a into strategic planning because there are non traditional people in many groups with little appreciation for the traditional belief system and songs and prayers which are part ofnahat'a: "In many ... Navajo groups, included in there are non-traditional people who have little appreciation for the traditional form of belief system and prayer and song and ceremony ... "(Naat'aanii) -441-

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Another respondent noted that embedded in western systems are ideas of opposites, whereas, Navajo thinking is in complementary ideas, so it's difficult to make the systems compatible: "In the western society, this is how we look at the world, you know, a series of disciplines that are opposing one another--Good/Evil; Heaven/Hell; Men!Women .. .In the Navajo, on each side is male and female. All knowledge is dual. (HW) Discussions of respondents also centered around leaders and leadership structure. Three interviewees mentioned that many current leaders seem to lack character and traditional knowledge needed to practice nahat'3, instead being dishonest or greedy. These are not characteristics ofnaat'aanii and leaders who practice nahat'a (See section 3.2.12.2.5). Interviewees also mentioned that centralized government structure of government is not similar to the old days when leadership was at the level of clans. Literature also discusses changes in governance structure and character ofleaders which affect the relationship ofleaders to communities: "In those days, the People really listened to each other; they did whatever they were told to do by these headmen. If there was help needed, they went out and helped one another. Now the people do not do that ... When the Council was formed there at Window Rock, we began having councilmen, chapter officers and Navajo police to work for the tribe. Ever since that was started, the People outside ofWmdow Rock just looked at those officials and saw they were getting paid to work; since then people do not come out and help if you ask them, like they did when I was a boy. All you had to do then was prepare a big meal for them. .. (Frisbie and McAllester, eds., 1978, p. 43-44) -442-

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I I I I I I Four indicated that nahat'a isn't used any more in chapter houses or Tribal government: .. we don't use it, they say, in the home life, out in the communities, the parents don't know about nahat'a, even in the organization. They say, the organization it's not used, yes it's used in a western context, not so much in the way that was given to us as Dine people to serve as a guide, and because of that, there's chaos, all kinds of things happening" (AL) ''I've been to several chapter houses, and today's govermnent, and they don't anymore, and I don't think so, because I think with the western influence it's very hard ... (Medicine man) One noted that current Tn"bal planning is based on the use of authority and power, rather than on traditions of kinship and cooperation, and the end result of this type of planning was not happiness and fulfillment of the needs ofNavajo people, as would be the case if nahat' a was being utilized. One interviewee mentioned that planning still seems to be affected by the Treaty of 1868 and BIA planning, and is not initiated by the people. Instead, planning is dependent on BIA-initiated structures of planning, such as the monthly chapter meetings and government assistance programs: ... Local governance is more like we've gotten used to the Treaty of 1868. We meet the first of the month at the Chapter house. We're super dependent on that. Nahat'a is telling us-when are you going to do things for yourself like the birds, etc. instead of handed down to you by the Federal Govermnent, through general assistance. When are you going to be able to plan yourself? ... (MM) -443-

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One interviewee also noted that the way of planning in tnbal government and Local Governance does not makes sense, and should be developed by grassroots people, rather than brought in from outside: "In the whole Navajo tribal government process, if they follow the traditional way, you know, ofnahat'a planning, the kind that people understand-but they're pushing a lot of these Anglo ways of doing things, you know. It's confusing to the local people, and it's turning off a lot of young people .... This Local Governance Act, it was so beyond the understanding and means of the local government. .. they should get rid of that and do something that the people understand at the local government level. When you introduce something that's totally out of the traditional government realm..it's just so ridiculous." (HW) One interviewee expressed hope that the newly elected president of the Navajo Nation, Joe Shirley, would bring knowledge ofnahat'a into the new administration: .. with our new president, you know, he's a medicine man, and a lot of what he says .l've heard it...its nice when he talks about the culture stuff. .he talks about the Holy People--this is what it is, so the, we should go by whatever the Holy People .. so that was good. I'm kind of looking forward to how he's going to use his nahat'a through our ceremonies and our religion, our grandfather's teachings, and our grandmother's teachings ... (Medicine Man) Another mentioned that the idea of Local Governance is still in its infancy, and that a new law passed by the Navajo Nation should help in bringing traditional ideas back into the government structure, moving it in the right direction: "Local Governance is still dry, needs moisture, but right now, as fur as the Tnbal government is concemed ... we introduced the common law .it's called the Common Law, Traditional Law, Spiritual Law .. .I think that' going to really you know, put our Tnbal Government in the right direction. Right now, the only thing they have is Executive, -444-

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i I I I Judicial, Legislative, but that's not in accordance to you know, our own form of planning." (AL) One interviewee mentioned that local governance should be like nahat'a for the individual and family, but at a larger, regional scale. 3.2.14.2 Summary A majority of interviewees indicate that the Local Governance Act is primarily a western structure, not one structured around nahat'a and the presence of this structure makes it difficult to practice nahat 'a Interviewees generally indicated that the form of planning which is currently occurring in chapters, in the centralized government in Wmdow Rock, and by elected leaders does not have characteristics ofnahat'ci, but of the BIA and other western structures. Several expressed hope that through a variety of avenues such as "grassroots efforts", new Navajo Nation laws emphasizing incorporation of traditional knowledge in government activities, and increasing number ofleaders trained in the traditional way, nahat'a would be brought back into government, and would restructure current Navajo planning. -445-

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3.2.15 Nahat'a: Two Examples Two interviewees gave examples of how nahat'a might be applied to problem solution in their discussions ofnahat'a These examples are included, primarily for a non-Dine audience, to provide some insight into the thinking which would be undertaken for nahat'a Both examples show inclusion of traditional knowledge, and an emphasis on relationships-considering other things in the process of decisionmaking. One example describes part of the process of the creation ofDine College, the first tnDally controlled college. The second, a decision about how to deal with the heat in a room. 3.2.15.1 Formation of Dine College When asked to provide an example ofnahat'a and the process one would go through for it to be successful for planning in a community, Harry Walters described the formation of Dine College: "I think the good example is the college, when it first started. There's a story that Bob Roessel tells-he was there from the beginning of the college ... he started that Rough Rock Demonstration School...when that kind of school, local control was unheard o:t: with private funds, donations, and things like that, they started that school, and then he organized a local school board from local people-some of them were medicine people who don't know how to speak English; they were the Board. So, this is how, the same idea.. began ... with the beginning of Dine College. Raymond Nakai, who was the tnbal chairman, got all the governors of the four states together and told them that, and then some of the Presidents of the universities in the local southwest..and told them that we're going to start a college, and according to Bob Roessel, they laughed, and said, "How can you start a college, you can barely speak English", you know, and then, so they went ahead -446-

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and started that [The Tribe went ahead with their plan for the college, and went to Washington, D.C. to ask for support] .. When they were asking for Congress to finance that, and they were called to Washington, and the school board, the College Board of Regents-again, you know, some of them [Regents] did not have any kind of formal education. Senator Wayne Aspinall from Colorado was very much against that [the Tribal College], you know, and ... he was the Chairman of the Senate Appropriation Committee, and so they [the Regents] went before the Appropriation Committee ... Yazzie Begay was his name. He was a medicine man, you know .. he had long hair ... and then they said they brought in all these lawyers and they brought in stacks of papers, you know, before the committee and then Aspinall said, "Before we begin", he said, I want to know what that man bas to say, you know, pointing to Yazzie Begay, who was sitting there, and then of course, he didn't speak English, and he [Yazzie] says, "What did he say''? [Translator says], "He says he wants you to speak." And then he [Yazzie] says, "What? He wants me to speak?" and then he said, well. .. he reached into his pocket and he took out his com pollen and then he did some and then he says, "What is there to say?''. He says this is a good thing, this is for our children, for our future." He says, ''Let it happen. Let it happen right now." And then, he [Aspinall] says, "What did he say?'' And so they translated it, and then they talk about it and he says, ''Okay, you got it." You know, he said that's how the college money was appropriated, for the college. Then when they were going to do the ground-breaking here ... again ... Wayne Aspinall became a very supportive ofthe college after that, and over here where the h'brary is-that's where the ground-breaking ceremony was and they wanted to have ... the administration, the tn'bal government wanted to have a gold shovel, you know to break the ground. Then they had some of these local elders here and then they said, "Golden shovel?'' He says, "Where in the creation story does it talk about using a golden shovel? Gold plated shovel?. When the Holy People made human beings they made us out of com They planted a com seed using a greasewood planting stick", he said. ''That is what we were planted with", he says. ''Why not use that?'' and then, so they had a ceremony, all night ceremony down at Lukachukai in the morning, Edward Harvey left from there and he went into those canyons with his greasewood and he cut that greasewood and that's what we have ... this was at the time when there was still a lot of traditional people that still were -447-

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respected and carried a lot of weight and so this is the kind of thing that we need back. .. You know, all these programs are good, but I think it needs to be interpreted like that, with that. Nature is structured like that and people, through the years just by observing what is out there, how it affects living things, you know, realize that there is power in these, and that if we can just interpret it, and apply that to our lives, we can live, you know, we can live-our lives would be better like that. We can extend relations to the other world, and we can live within that-all living things." (HW) 3.2.15.2 Heat in the Room Another respondent discussed nahat'a in relation to the increasing warmth I had noticed during our interview and resolving this perceived problem. I had suggested opening the door: "We can do that, or we can keep it closed, or we can enjoy the warmth, you know. Or we can discuss the warmth and figure a way to cool the place down. There's some things there .. a lot of things there, you know, and so, even simple thing like saying that it may be getting a little too warm in there, involves in it some ''what to dos", you know, and for me, sometimes, I choose to let it get warmer, you know, so that I can sit through it, and understand how some days, I might not be in the most comfortable state of being, but that's how it is and I need to work through it, and other times I'll open the door and let it cool, because that's good for me at that time. But either way, whatever I do, you know it's a decision I make with some considerations, you know. Even little things like that, have built into it, nahat'a What am I going to do? What will I do? That kind of questions. But either way I choose to do ... when I'm here especially, at this time of day, has consequences, too. Those consequences .. things I need to understand .. things I need to put into how I chose to deal with the [ ] temperature in this room, and I tell you, there's a lot of times when I'll sit with the door closed in here, just to get it warmer, and I'll bring water in and drink it, or I'll choose not to bring water in ... ifit's this warm and people say, 'Gosh, it feels like you're sitting in a sweatlodge.' You know, 'Yeah, and I'll say, 'Yeah. It is. Maybe it does feel like a sweatlodge', but nonetheless, it is how I choose for it to be right now. And follow through with -448-

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that, you know. But, that's a real, nice simple of example ofhow nahat'a impacts us daily, you know, and you know ... The heat in this room comes from J6honaa'ei, the sun, you know. Today, ah, we can consider it a blessing that we're getting light from sun, you know and warming us up, too, you know, and enjoy that. And respect that maybe, you know, the heat from the sun and the rays that are coming in are not as comfortable as we would like, but nonetheless we're being blessed with it now, and we would choose to enjoy that blessing ... what we're getting right now from the sun, you know. Because certainly it is, I think, you know, and that's why often times, I leave the door closed, because this is winter and the things are often times colder than what I have in here, you know. Many people are too cold from lack ofheat. Who am I to deny it to someone else?'' (Naat' aanii) -449-

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3.2.16 Summary ofNahat'a ''Nahat'8, to me, is the act of beginning and engaging in the process of planning for a thing or an event to happen sometime in the future. And that's the act of doing it, but wrapped around that is, or comes with it, and should come in before the act of planning and engaging the process of planning is reminding oneself that nahat'a comes from a time and a period and a process that predates us as individuals and us as a people. Nahat'a has a history and has a sacredness and because ofthere's a sacredness to nahat'li, there are prayers and songs that begin the act .. (Naat'8anii) Nahat'a is a means to envision the future and to work towards bringing it into being. Nahat'a is inherent in all things from stars to water to plants and insects and people. It has a process that is structured in accordance with nature-the four parts of the day, four directions, different phases of life, and four seasons. It has male and female aspects which protect and balance each other, and this is part of the knowledge of conducting nahat'a appropriately. It is considered a sacred process, which is not to be engaged in without proper preparation. It is a gift from the Holy. People which provides the means to think, talk and express ideas, and to bring ideas to life. It has a history that predates human beings and this history provides the understanding of goals and guidelines of appropriately conducted nahat'a This history is embedded in ceremonies, songs, prayers, and stories/legends. In particular, the Blessingway Ceremony is noted. It is the form of planning given to the Dine' people and is perpetuated through Dine' language and culture. Embodied within nahat'a are ethics, principles, standards and laws of the Holy People which provide guidelines for living, and guidelines regarding the appropriate way to prepare for and undertake the process. Not respecting and following these guidelines is noted to result in imbalance and disharmony in the world. -450-

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All things are capable of learning and carrying out the process of nabat' a. In a community, a traditional leader ( naat'cianii) is responsible for leading the community in nahat'a. The naat'lianii must have not only traditional knowledge of nahat'8, but also character of integrity, honesty, generosity, and positive speech. It is noted that these characteristics should be characteristics of any one raised in a traditional way, and are in fact, necessary for anyone practicing nahat'8.. Training for nahat'a is never-ending, is a life-long process which begins as a child with training from one's relatives. Training is additionally received in ceremonies and songs and prayers from medicine men, and from the natural elements. Training for nahat'a includes not only intellectual development, but development of physical and mental endurance, good character, good relations with all things, a skill or trade, spiritual knowledge, and specific knowledge of how to conduct nahat'a appropriately. The framework for conducting nahat'a is embedded in Blessingway, and in the four cardinal directions, and follows the natural laws. Harmony and balance are embedded in the process and teachings ofna.bat'a. Nabat'a was given to maintain harmony, balance and beauty on earth; to create one nahat'a where a group is gathered; and to keep the process ofnahat'a sacred and strong. One's own plans must be within this framework of respect for natural laws established in the natural world, and towards a long and healthy life with balance and harmony, blessing and prayer, and respect for all things. Nahat'a has a character of its own, and guides Nahat'a within all things in the universe that are respectful and have knowledge ofits process. Without one's preparation, respect, and reverence for all things in the universe; however, it will not come. Songs, prayers, offerings and positive thoughts and speech are part of the process of conducting nahat'a appropriately. -451-

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4. Conclusions; Siihasin (Bringing Back the Balance) Tables 4-1 to 4-9 provide comparative mapping of characteristics of what planning is, origin of planning, need for planning, planning goals, planning process, planner's character, planner's role, knowledge and training of the planner, and characteristics of planning in each culture. Although a direct one-one mapping of characteristics is not possible, effort has been made to group similar characteristics, and identify those for which no comparison or parallel is apparent on the basis of research conducted. Discussion after each table provides comparison of similarities and differences expressed in tables, supplemented by specific information from literature and interviews where appropriate. -452-

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4.1 Why Needed Table 4-1 provides a comparative summary of reasons indicated by interviewees regarding why nahat'a and U.S. planning were needed. Table 4-1. Why Needed Nabat'a U.S. Traditional Planning Solve Problems: General chaos in lives of Solve Problems: General chaos in cities Navajos with improper speech, killing, lack with poor health and housing, irrational of holiness, lack of respect development, loss in real estate values, poor environmental quality, political corruption, crime and immorality, lack of vitality and sense of direction of citizens Provide framework for and appropriate Spread the message of planning; develop a knowledge of practicing nahat' a paradigm of planning Have one nabat'a in community Develop unified purpose. goals and direction for U.S. society; create a forum for conception of the future into a unified whole Guide all life through natural laws and Protect public good; Intervene to correct guidelines; ethical guidelines for living life inequities; Demonstrate how to live guidelines and a path for [not addressed, although projects and plans things; brings things to life; before nahat'A, are through the planning process] things were not successfully being Part of being a complete person [not considered necessary training] Keep life and nahat'a holy [sacredness is not part of the concept] Keep earth in h6zhQ, good thoughts and Protect public good; Intervene to correct processes; Maintain harmony inequities; focus on human society only 4.1.1 Similarities Both forms of planning were needed to solve problems-in particular to address chaos in society which was resulting in disease, death, and other problems; to rebalance life; and to create one means for achieving planning. -453-

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Problems in U.S. society present at the time the planning framework began to develop included poor physical condition and disease of inhabitants, overcrowded and poorly designed tenements, political corruption, immorality and crime, lack of unified social purpose, and uncoordinated physical development of urban areas. There was recognition of the need to address these inefficiencies and excesses, and rebalance them, and to lift the population to a higher moral and cultural level. Problems which nahat'a addressed were also general moral problems in society and life including lack of respect, lack of holiness, improper speech, disease and killing. Nabat'a was provided as a means to guide life, and to rebalance it, should it become unbalanced. Both forms of planning were needed to create a unified structure for thinking about the future, to create one public good for directing plans for the future or one nahat'a, and to provide guidelines for this public good or nahat'3.. Both forms of planning were needed to lift societies up to higher moral standards. 4.1.2 Differences Differences between needs expressed for these two types of pJanning lie in the focus ofU.S. pJanning on human societies in urban environments, and nahat'a on all beings in all environments. Nahat'a is needed to keep life and nahat'a holy, to guide life, to create life, and to rebalance life if needed. U.S. planning provides a means to aid society in making choices within certain boundaries, but does not focus on the sacred, and does not provide a means for anything other than human beings to plan. -454-

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4.2 Origin Table 4-2 provides a comparative summary of the origin of nahat'a and of U.S. planning. Origins of the two forms of planning contain no similarities. Table 4-2 Origin Nahat'a U.S. Traditional Planning Gift from Holy People Developed through collaboration of professionals (e.g., landscape architecture, civil engineering, architecture, lawyers) and civic reformers (e.g., housers, political reformers) concerned about chaotic and unhealthy conditions in cities Always in existence, before creation of the Began development in late 19th century. world Profession established in 1917. One framework applies to all times and all Tools and methods of planning initially places and all things developed in a piecemeal fashion as cities responded to specific needs. Resulted in a variety of structures of planning. Variation is incorporated into the U.S. planning framework, as authority for the planning process remains at the local level. Passed to Dine by Changing Woman [no precursor recognized by the profession, through Blessingway although discussions of planning history often begin with discussion of urban design of ancient civilizations] All things in existence have gone through The discipline of planning has evolved; evolution in understanding nahat'3, and through incorporation of knowledge from have knowledge to share regarding nahat'a other scientific disciplines; only people Nahat'a itself does not change. have the ability to engage in planning and the knowledge of planning. -455-

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Table 4-2 (Cont.) Nahat'a U.S. Traditional Planning One nahat'a created for all things One general planning process developed, and one general form of comprehensive plan developed with the idea of one public good. Framework of planning codified in one general legal template. Provides overall general framework, although local variation remains. Applies only to human beings. History embedded in songs, stories/legends, History summarized in journals, books; prayer and ceremonies; Orally transmitted Written transmission primarily, but also transmitted orally in University classrooms History remains invariant. The origin of History expands through time, as the nahat'a is complete. planning profession continues to expand. History may change to reflect changing societal views of the past. 4.2.1 Nahat'a Nahat'a has always existed, is a gift from the Holy People, and is invariant with time. The history ofnahat'a is embedded in songs, stories/legends, prayer and ceremony and is orally transmitted. One nahat'a was created for all things. It was originally created in the spiritual world, before physical reality existed, and applies to and is utilized by all things in the universe. Nahat'a was created in the universe, and was passed to the Dine through Changing Woman and Blessingway. Authority for practicing nahat'a comes from the Holy Beings. 4.2.2 U.S. Planning U.S. planning developed through the collaboration of professional and civic reformers in the late 20th century, and was established as a profession in 1917. It is a man-made practice which is utilized only by hwnans, and is considered a scientific -456-

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discipline. U.S. planning changes through time, as tools and theories from other scientific disciplines are added, as scientific knowledge expands, and as understanding and perceptions of societal problems change through time. Authority for practicing U.S. planning comes primarily from the university, but is also limited and defined by the courts and the Constitution. Prior to professionalization of planning, the framework for planning began developing at the local level. This local focus remained as planning developed as a profession on the national level. Although the profession developed, in part, to codify and standardize procedures and Jaws through creation of professional bodies overseeing curriculum and practice (AICP, ACSP, PAB), and standard enabling acts, local variation is built into planning practice and Jaws. Transmission of U.S. planning history is primarily written. This history expands through time as the discipline evolves. Perceptions of the history may change as research addressing different viewpoints of history emerge. Postmodernism has resulted in research addressing multicultural planning histories (James, 2000; Sandercock, 1998a; Thomas, 1998 ). 4.2.3 Implications for the Structure of Planning Within nahat'A, all the knowledge is present for practicing nahat'a This knowledge is invariant with time, and applies everywhere. It contains understanding of the natural laws and reJationships which exist in the universe. The structure is universal and complete. U.S. planning is always changing. Knowledge of planning and all other systems is incomplete, as science seeks to understand "universal Jaws" and reJationships. The discipline "improves" as knowledge of the universe improves. U.S. planning, by -457-

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itself: is not a complete framework for planning. It is guided primarily by state and local laws. U.S. planning, although operating under general guidelines which are similar in all states, varies depending on location. There is no consistent or universal set of guidelines and knowledge which bind U.S. planning for all times and places. Chief Justice Robert Yazzie of the Navajo Nation provided the following discussion of the contrast between natmallaw and man-made law: "Om religious leaders and elders say that man-made law is not true "law." Law comes from the Holy People who gave the Navajo people the ceremonies, songs, prayers, and teachings to know it ... while Anglo law is concerned with social control by humans, Navajo law comes from creation. It concerns life itself: and the means to live successfully. The way to a meaningful life can be learned in teachings which are fundamental and absolute ... (Yazzie, 1994, p. 176) 4.3 What Is Table 4-3 summarizes statements regarding what planning is in each cultme. 4.3.1 Similiarities Both forms of planning are procedmes or frameworks for solving problems or developing new visions (create life). Both forms also have different levels and types of planning, depending on ones's specialization or focus in life, and one's level of knowledge of planning or nahat'a. Both forms provide the means to come to agreement in the community. Consensus is generally considered agreement in the Dine community, while majority has generally been the concept of agreement in U.S. planning. -458-

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Table 4-3. What Is Nahat'a U.S. traditional planning Gift from the Holy People practiced by all Professional discipline practiced by those traditional Dine trained in University The form of planning given to the Dine Considered universal planning model, until recently Part of Dine language, clothing, way of Profession developed in English; no being associated clothing; professional demeanor addressed in Code of Ethics Sacred process to maintain balance and Process to meet goal harmony, and keep life holy Framework of natural laws to guide life Framework to protect public interest based along a path of appropriate living; on man-made laws; Authority for legal Authority for laws from Holy People framework from U.S. Constitution, Congress, sate and local gov. bodies Structured in accordance with natural law Regulatory and statutory framework in accordance with U.S. Constitution and other laws, and decisions of courts Male and female aspects which protect and [No gender] balance each other Procedures to solve problems and rebalance Method of problem-solving in the public life arena for the future Process to come to agreement or consensus Process to come to agreement in the in community community Framework to keep nahat'a holy [sacredness not addressed] Framework to allow thinking for self and Framework to aid in public expression in expression of ideas, to bring ideas to life the public planning process Present only in individuals and other things Practice led by those who receive which are prepared, reverent, respectful University degree. humble Different levels and types depending on Different specializations depending on one's age and focus in life (e.g., warrior, one's subdiscipline (e.g., economic, naat'Aanii, medicine man) environmental, etc.); Three academic levels: bachelors, masters, PhD. -459-

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Both forms of planning focus on conceptions of ''the good" in planning. Both have a framework of laws which guide the process. Both are considered the form of planning for that culture. Nahat'a is the form of planning given to the Navajo. U.S. planning was developed within the context of the U.S. legal, economic, and social and was initially developed for a new ideal American city and citizen. It as later considered part of a broader practice of planning which was considered 'culture independent' and universal. This point of view is currently under debate. 4.3.2 Differences Differences between the two forms of planning provide the remainder of the comparison. Nahat'a is practiced by all traditional Dine, whereas U.S. planning is generally practiced by only those receiving a degree at a University and thus is not generally known by members of U.S. society. Nahat'a provides a means of being, including the way one should dress, and an ethical framework for life. U.S. planning has a Code of Ethics, but this relates only to professional practice, not to one's entire life, and does not include dress. It does not apply to non-planners, unless they are involved in the planning process, and is not an ethical framework guiding life in general Nahat'a is structured in accordance with natural law and contains male and female aspects which protect and balance each other. U.S. planning is structured with respect to man-made law such as the U.S Constitution and Bill of Rights and is considered gender-neutral. Nahat'a is present only in individuals who are prepared, reverent, respectful and humble, while U.S planning is led by those prepared with a University degree, but generally contains no other requirements. A Code of Ethics exists to provide -460-

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guidelines for behavior, but this did not always exist and currently provides no procedure for enforcement. Nahat'a is a sacred process to maintain balance and harmony and to keep life holy. It applies to all things. U.S. planning is a technical and political process to meet a goal, which is generally considered to protect or serve the public interest. Public interest, although defined in general by law, evolves through time and may be locationspecific. It also focuses only on human interest, and applies only to human beings. Spirituality is excluded from the framework of the U.S. planning discipline although planners may talk about "the spirit of place" in discussions (See section 4.9.2.5). Nahat'a is a framework that exists to ensure that the procedure is protected and used only for intended purposes. U.S. planning contains no self-protection in its framework although the Code of Ethics provides some guidelines for protection of the process and profession. Authority to practice nahat'a comes from the Holy People. Laws are invariant with time and place, and were fully developed before nahat'a was passed to the Dine. Authority to practice U.S. planning comes from Congress, the Constitution, and local and state governmental bodies which prescribe appropriate general foci of planning. The framework ofU.S. laws evolve through time, primarily outside of the planning profession in courts or Congress. The general focus of health, safety, and welfare underlies the discipline; however, each of these tenns may be defined locally or regionally, and evolve over time in scope. -461-

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4.4 Goals Table 4-4 provides a comparative swnmary of goals of the two forms of planning. Table 4-4. Goals Nabat'a U.S. Traditional Planning Onenahat'a Public good; Public health, safety and welfare Long and healthy life with balance and Quality of life; well-being harmony, blessing and prayer Protect life through practicing principles of Serve the public interest; Protect the public nahat'a health, safety and welfare [Creates a better future if problems exist] Creation of a better future Maintain hannony and balance and respect Environmental quality for natural laws Hozh9 Creation of the good city Keep process of nahat'a sacred and strong [Sacredness is not a concept inherent in the :framework ofU.S. planning; Maintenance of respect for the process through appropriate procedures is noted as important, but not a specific goal of planning] Defined by individual, family or Defined locally by community community within :framework of nahat' a Creation of life Creation of projects and policies [not addressed] Convenience, efficiency, equity 4.4.1 Similarities Both forms of planning emphasize development of unified thinking about the future. Both forms of planning work towards healthy lives. Both focus on protection of life and creation of things -462-

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Both consider environmental quality as goals. The definition of envirorunental quality in U.S. planning is generally much narrower; however, with consideration of human health as a focal point, while Dine consider maintaining harmony, balance, and respect with all things. Recent publications indicate a potential broadening of the concept of the environment in U.S. planning to consider biodiversity for health of the ecosystem, and sustainability ; however, these concepts are not yet integrated into the planning structure, and their inclusion is dependent on societal debate regarding their value (Hoch, et al., 2000). Both forms of planning were initially used to restore order from chaos. Nahat'a focuses on understanding and maintaining respect for the natural order that exists, while U.S. planning focuses on coordinating and regulating development ofland and infrastructure, and creation of order within a man-made structure of laws and physical plans One goal ofU.S. planning through time has been creation of the "good city'' which is envisioned as orderly, efficient, and beautiful; and, providing the opportunity for each individual to meet his or her potential--more recently defined as having equal access and opportunity for good jobs, housing, and education. Nahat'a seeks a state of h6zh9, beauty, balance, harmony for all things. 4.4.2 Differences Nahat'a is based on consideration of all things and the good of all things in thinking, speaking, and development of plans. Dine focus on respecting and maintaining natural laws. In U.S. planning, the goal is human welfare. Dine discuss a state of being of blessing and prayer, which is absent from U.S. planning. Dine focus on maintaining sacredness ofnahat'a as a goal. Sacredness is not a concept inherent in the framework of U.S. planning; however, there is some -463-

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mention of maintaining the public's respect of the process and profession through ethical procedures. U.S. planners also focus on such goals as efficiency, convenience, and equity. None of these goals were explicitly defined as goals ofnahat'a. -464-

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4.5 Process Table 4-5 provides a comparative summary of characteristics of planning processes in both cultural forms of planning. Table 4-5. Process Nahat'a U.S. Traditional Planning Part of universal planning process: Rational, comprehensive:considered Nitsah8kees, nahat'li, iin8, sihasin universal form from 1950s-1980s Guidelines and process set down by Holy Guidelines and process evolved through people; invariant with time planning history, and still evolving through a combination of practice and theory Structured in accordance with natural law Structure based on planning practice Thinking about the problem or goal is the Thinking about the problem or goal is the beginning of the process; Must be positive beginning of the process and clear Speaking about the problem or goal is Public participation process is necessary important to making the idea have life. and legally required in planning. Clear and Speech must be positive. Communication honest communication is noted as an must be clear and honest important characteristic of the planner. Thoughts and speech must be put into The end result may be a paper plan action for planning to become real and have life. The end result is not a paper plan. Nahat'a guides its own process [not considered] Requires prayers and songs [not considered] Requires offerings to natural elements [not considered] Hogan or sweatlodge, where fire is burning Any location appropriate, although often is most appropriate location occurs in, public buildings Night is not appropriate Any time appropriate Specialists may be needed to make the Procedural knowledge should be held by process successful (e.g., medicine man) all who receive general planning training. -465-

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4.5.1 Similarities Both the universal cycle of which nahat'a is part, and the U.S. planning process begin in similar fashions with in-depth thinking about a problem before speaking about it to others or speaking in a public meeting. Speaking about the idea or problem is considered the next part of the process. Speech must be honest and clear Both forms of planning move to implement a plan once is designed. Both frameworks result in the creation of something. Both have a form of monitoring once it is completed, although this monitoring step has recently been added to the U.S. planning process, and is not really considered part ofthe traditional framework. 4.5.2 Differences Although there are similarities in the overall process structure, the detailed framework of the planning process differs significantly between cultures. The end result of the process in U.S. planning is likely a paper plan which is used as a guide to future decision-making, actions and policies. The end result ofnahat'a is the creation of something and is generally considered to not be a paper plan. 4.5.2.1 Time and Place U .S. planning can occur any time or place. It is normally conducted in the late afternoon or evening in a public building within the community for which planning is being undertaken. The best time for nahat' a is very early dawn; night is not an appropriate time. The most appropriate location for nahat' a is a hogan or sweatlodge where a fire is burning, although other locations may be appropriate. Particular seasons such as winter or fall are noted to be most relevant to nabat'a, while U.S. planning is temporally indifferent in this respect, also -466-

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4.5.2.2 Prayen, Songs, Offerings Nahat'a will not be successful without paying respect to the Holy Beings and natural elements through songs, prayers, and offerings. Guidance during the process is received from the Holy Beings. U.S. planning is conducted without songs, prayer, and offerings. U.S. planning is a man-made construct with a process created by man to systematically and objectively choose goals for the future, based on a combination of quantitative data and public opinion. It is ill-equipped to deal with emotion and spirituality. Human beings are considered, in U.S. planning, to be the only ones with knowledge of planning. Natural elements are not considered to have any impact on the planning process or to have any knowledge to share regarding planning. They are considered irrelevant to the success of the planning process -467-

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4.6 Role Table 4-6 provides comparisons of roles of the planner in both cultures of planning. Although Dine were not asked specifically about the role of the planner, they were asked who plans, and through analysis of responses to these questions, some indication is provided of the role of the planner. Table 4-6. Role Nahat'a U.S. Traditional Planning Works towards collective good: Serve public interest maintenance of hannony and balance; encourage positive thinking Protect nahat'a [not mentioned, although in code of ethics states that all should protect the integrity of the planning process through proper conduct] Naat'aanii, who plans for a community, Dual political-technical roles must be good leader, and have keen observation skills Naat'8anii works to create one nahat'a in Facilitator; Brings together diverse community professions or publics Naat' 8anii is a traditional leader who also [not a leader]; Facilitator or advisor facilitates and advises Process guided by Holy People Planner guides process"invisible hand" Authority to practice from Holy People Authority to practice from University All traditionai Dine have been raised with Planner educates the public regarding the knowledge of how to practice nahat'a planning paradigm Naat'8anii provides model behavior for the Maintains integrity of the profession community with exemplary character and through appropriate conduct in planning knowledge ofBlessingway processes -468-

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4.6.1 Similarities Both fonns of planning include the role of an individual who guides a community in the planning process. In Dine culture, this is a traditional leader known as a naat'aanii who is trained in a particular form ofnahat'a for this purpose, and has received special songs and prayers to guide and facilitate community planning. In U.S. planning, the planner is trained in a University program for facilitating planning processes. The U.S. planner is specifically noted not to be the leader or decisionmaker; however, but acts primarily as a neutral facilitator, or technical advisor in a paid position. Naat'aanii are elected leaders and traditionally served without expecting compensation. Both the naat'aanii and the U.S. pJanner are expected to understand community needs and work toward the collective good, never pursuing self-interest. Naat'aanii are to encourage positive thinking, balance and harmony in the community. The U.S. planner encourages the public good and is to stand against those who act against the public interest. Planners in both cultures must have both political and technical skills. In addition; however, naat'aanii must have strong spiritual and moral underpinning providing exemplary character and knowledge ofBlessingway and other natural laws to guide decision-making processes. In both cultures, part of the role of the planner is to maintain integrity of the planning process through appropriate behavior. 4.6.2 Differences In traditional Dine society, all individuals have understanding of nahat' a and a responsibility to protect it, and to maintain balance and harmony through it. It is a process guided by the Holy People. In U.S. society, planning is not considered to be general knowledge. Training for U.S. planning presently occurs only at the university, so only a small part of society -469-

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understands and works towards its goals. One interviewee stated that the public could learn from some of the principles of planning and that it would be good for society in general to be educated about such as ideas of the public welfare, advocacy for the disadvantaged, protection of cultural heritage and environmental integrity. Education of the public regarding the purposes and processes of planning has always been considered part of the planner's role. One of the U.S. planner's roles is to guide the public through the planning process, with which they are unfamiHar. Another role is to act as an advocate for values underlying planning, and for people who lack representation in the process, due to lack ofknowledge of the process. -470-

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4. 7 Knowledge and Training Table 4-7 provides a comparative summary of characteristics of knowledge and training required for both cultures of planning. Table 4-7. Knowledge and Training Nahat'a U.S. Traditional Planning General knowledge taught to all traditional General knowledge taught to all who Dine receive a degree in planning from a University Basic knowledge gained in hogan from Basic knowledge gained in University from family or relatives professors who are normally not family or relatives Specialized training for specific roles (e.g., Specialized training for subdisciplines (e.g., medicine man, etc.) by specialist economic development, environmental (medicine man, naat'aanii) planning, transportation planning, etc.) in University Training by nature or nahat'a [not addressed] Training is a life-long process with different Training is a life-long process with levels depending on age, maturity, role continuing education strongly encouraged by the profession to become familiar with new developments in the field as it evolves Begin learning as a child; difficult to learn Begin learning as an adult after graduating later in life, as knowledge is cumulative from high school, and entering into from life's experience University Emotional, spiritual, physical, Intellectual training psychological, intellectual training Source of knowledge: songs, prayers, Source of knowledge: books, journals; ceremonies; personal experience; nature personal experience; faculty Communication and interpersonal skills Public knowledge: communication, facilitation Specific knowledge ofnahat'a (history, Planning core (theories, history, law, ethics, procedures, character) practice) trade/skill Substantive knowledge/Specialty -471-

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Table 4-7 (Cont.) Nabat'a U.S. Traditional Planning [observation skills of natural phenomenon Technical knowledge (data gathering, are noted as part of way in which one learns analysis, research skills) about nahat'a] Appropriate character [part of ethics, but not generally addressed as part of training] Natural laws: Basis for decisionmaking, Technical knowledge included in defining process of defining problems ahd goals problems, goals, and decisions Embedded in four cardinal directions and [No spatial orientation of knowledge or connected to natural elements connection of knowledge to natural elements Guidelines for practice found within songs Guidelines not contained in one source. and prayers ofBlessingway General guidelines for practice within AICP Code ofEthics. General guidelines for curriculum found in P AB accreditation guide. Programs of vary by University. 4.7.1 Similarities Both forms of planning require knowledge of theories, history, law, ethics and practice of planning. This is central to training in both cultures. In addition, specialty knowledge of a particular skill or trade is needed, and both include experience in planning as part of the training. Both forms of planning have different levels of knowledge and levels of training. Both contain intellectual knowledge. Both will have some training by specialists. Training in both must be by someone with knowledge of how to appropriately practice planning. Both require some oral training. Both require good communication skills. Both are considered to be never-ending and life-long learning -472-

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pursuits, although for different reasons-Nahat'a because the knowledge base is so complex; U.S. planning because the field evolves and changes. 4. 7.2 Differences Differences reflect differences in the frameworks of the two forms of planning. U.S. planning focuses on development of intellectual knowledge, while nahat'a requires spiritual, psychological and emotional, and physical development, also. The remainder of this section provides more detailed discussion of differences in training for planning between the two cultures. 4. 7.2.1 Training Training for nahat'a begins as a child from one's family, while U.S. planning training begins in the University by a professor who is normally not a relative. Training in nahat'a also occurs by nature and nahat'{l, itself. The process ofU.S. planning is not seen as having life or direction of its own, or the ability to lead or teach, although one learns from "going through the process" and subsequent planning experience. Nature, as previously discussed, does not have the capacity to plan or teach in the U.S. planning paradigm. 4. 7 .2.2 Character Nahat'a emphasizes character development, especially in the early training of children. Several U.S. planning professors indicated that character was taught at home, and generally assumed in the past that all people had honesty, etc., but that now a Code of Ethics provides some guidance regarding ethical conduct, and ethics is taught as part of the curriculum. One Dine interviewee noted that character was an aspect missing from ''western" training of professionals, in general, and that -473-

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retraining ofNavajo professionals for nahat'a would require training in appropriate character and character development. 4. 7 .2.3 Source of Knowledge Source of knowledge for training in U .S. planning is embedded in books and journals; while Dine knowledge is embedded in songs, stories, and prayers and is transmitted orally. Observation of nature is considered another source ofknowledge for Dine, while this is not considered a source of knowledge for U.S. planners who assume that only human beings have knowledge of planning. Knowledge ofnahat'a is embedded in the four cardinal directions, and connected to the natural e l ements; while knowledge is considered non-directional in the U .S. planning paradigm, but may be applied spatially. Planning knowledge in the U.S. paradigm is not normally considered relational; it stands alone; whereas nahat'a is embedded within a complex relational framework. Guidelines for nahat'a are found within songs and prayers ofBlessingway, while the knowledge for U.S. planning is not contained within one source. Programs of study vary by university, only general guidelines for practice exist in a Code of Ethics, and program and knowledge evolve as the discipline evolves. -474-

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4.8 Character of the Practitioner Table 4-8 provides a comparative summary of the planning practitioner in both cultures. Table 4-8. Character of the Practitioner Nahat'a U.S. Traditional Planning Not self-serving; For the good of all things Serve public, not self Self-motivated, self-reliant, think for self Self -confident, assertive Being in balance and harmony, or in life [not discussed] with prayer and blessing Individual are responsible for developing Proactive towards change their own nahat'll One interviewee mentioned that part of an individual's responsibility when things are unbalanced, it to "speak it out" and begin the process of rebalancing Naat'aanii are noted to have the ability to Inspire, empower, persuade persuade and make people listen Honest Honest Positive thoughts and speech Optomist Generous [no equivalent, although code of ethics indicates a planner should share knowledge freely with those in need of help] Respect and reverence to all things in Respect of people universe Maintain appropriate relations with all AICP code of ethics indicate that conflict of things interest should be avoided in professsional work Empathize/sensitive to all things Empathize with /(sensitive to) people Nataani should have neutral speech Neutral/dispassionate; unbiased Naat'aarui should have leadership [not leader]; ethical behavior character; exemplary behavior -475-

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Table 4-8 (Cont.) Nahat'a U.S. Traditional Planning Keen awareness Technical analyst Life-long learner Life-long learner Understand knowledge of 4 cardinal directions Holistic thinker Humble [only on