3.1. The Roles That the Relations Between Urban, Peri-Urban and Rural Areas Play in Spatial Planning and in Current Territorial Governance Arrangements
In the following discussion, we examine how much the creation of mutually beneficial relations between urban, peri-urban and rural areas is an explicit goal (Criterion 1); what are the aims of the strengthening of local economic relations and fostering of cross-sectoral relations (Criterion 2); how much improving the use of given resources and using regional strengths is an important consideration (Criterion 3); and what is the significance of sustainable development goals and resilience measures(Criterion 4).
Across the seven regions and plans, it is apparent that interests and goals differ significantly between urban, peri-urban and rural areas. Policymakers and planners tend to see cities as economic engines supported through agglomeration, creative capital and innovation, while the countryside is viewed as a place for food production, resource extraction and recreation. It is therefore not surprising that the related governance arrangements and planning processes involve trade-offs, and thus, deliberating and prioritisation. A topical example in several regional study areas (Ede, Frankfurt/Rhein-Main, Lucca) is the question of whether the further expansion of business areas in immediate proximity to urban cores is worth more than the maintenance of the capacity to produce food regionally and locally, or more than opportunities for recreation, high nature value areas and related qualities of life.
Scale differences matter in such assessments. Frankfurt/Rhein-Main, for instance, focusses on a meso-level administrative coordination of land use, including democratic control and accountability aspects, whereas Ede is much more focussed on incorporating social and economic development considerations and using participatory approaches to achieve that. In Italy, the municipal planning scale is the most incisive in terms of territorial transformations. Key questions in Lucca Province are how spatial planning can contribute to promoting multifunctional and sustainable agriculture and food systems in peri-urban areas, and how urban sprawl can be restricted, and thus, the environment and landscape protected [
29]. The Regional Land Use Plan in Frankfurt/Rhein-Main also aims at conserving open space, but it covers a much larger area, representing a continuum from urban to rural with the majority being peri-urban. The Regionalverband adopts a broad view of spatial planning by defining the fostering of sustainable regional development as the overarching goal [
30].
Irrespective of differences in scale, do we see evidence in the seven regional examples that current territorial governance arrangements and spatial planning pay particular attention to the interdependencies between urban, peri-urban and rural areas, and to fostering more beneficial territorial relations?
Conventional land use planning tends to focus on allocating alternative land uses (and thus activities, revenues, etc.) in a way that is perceived by public sector decision-makers and planners as maximising benefits for an area [
31]. Given and planned public infrastructure, like train lines and stops, is usually considered when allocating land uses, as well as factors like trends in population density and expected housing requirements. The Frankfurt/Rhein-Main case illustrates this well. The ongoing reform of the planning process aims at widening perspectives by also considering quality of life and sustainability goals, and making these goals more explicit in spatial planning [
30].
The Helsinki region, Lisbon Metropolitan Area, Province of Lucca and Metropolitan Area of Styria/Graz cases highlight the objective of territorial integration across rural-urban boundaries. In Styria/Graz, the roles of the province and of the regions are explicitly defined by the Law on Planning and Development, which is meant to provide a sound basis for cooperation and innovative rural-urban interaction. The Metropolitan Area of Styria is characterised by a substantial rate of immigration, while the more rural parts of the region need to manage the demographic downturn of young and well-educated people and its related effects. A key instrument in fostering a more integrated territorial development is the regional development budget, which is drawn from provincial and municipal resources and allocated to intercommunal projects [
32]. In contrast, the MAL agreement in Helsinki region focusses on developing city regions in an environmentally sustainable way. It does not explicitly address enhancing rural-urban interactions. At the same time, a key question for decision-makers in Helsinki and the more rural Uusimaa region is how to locally facilitate the creation of new joint planning practices [
33]. Similarly, PROT-AML in Lisbon Metropolitan Area is the plan of a mainly urban area with guidelines that primarily focus on urban problems. Its rural dimension is mostly expressed in terms of controlling urban pressure and identifying important economic activities in rural areas [
34].
Regarding an integrated urban-rural planning, the example of how some PROT-AML guidelines are implemented at the Municipal Master Plan level is helpful. One of the 17 territorial units of the planning region is the Northern Agricultural territory, with economically important agricultural activities. The pressures caused by the disorganised occupation of the territory by dispersed industrial developments and insufficiently planned growth of urban centres are jeopardizing the functioning of the territory, and specifically farming activities. Spatial planning, including in neighbouring territories, focusses on better concentrating the housing supply and space for economic activities in urban centres. At the same time, initiatives in specific tourism niches, including in rural areas, are promoted to achieve a more integrated development [
34].
In Italy, in the 1970s, spatial planning became a competence of the regions and, therefore, each region issued its own law governing the territory. All these laws are inspired by an urban-centric vision. However, in some regions, principles that recognise the role of rural spaces for sustainable development were introduced. In the region of Tuscany, for example, the Urban Planning Law 65/2014 aims to enhance landscape heritage for sustainable development, counteract land consumption and promote the multifunctionality of the territory. Still, the abandonment of peri-urban agricultural areas is widespread, which is why Galli and Rovai (2018) argue that a new vision of territory is needed that can offer a higher quality of life and well-being. The same authors continue to argue that, from the spatial planning point of view, the law formally recognises the strategic role that rural territories have for sustainable development and enhanced relationships between the city and countryside. However, in practice, the related governance is limited to regulating building permissions [
29]. Galli and Rovai (2018) conclude that the meanings and the potentials that agricultural activities could gain, in view of reciprocal and less-conflictual linkages with urban areas, are not sufficiently considered [
29]. This resonates with Heley’s analysis of the Wales Spatial Plan, which identifies the region’s ecosystems as of primary importance to its social and economic fabric, while falling short in fostering development through agricultural innovation and tourism, protecting landscapes and enhancing their function in addressing the challenges of climate change [
26].
In summary, there are few indications of a more balanced, sustainable and territorially integrated development be recognised. The creation of mutually beneficial relations between urban, peri-urban and rural areas (Criterion 1) and the strengthening of local economic relations and fostering of cross-sectoral relations (Criterion 2) are explicit goals in Ede, Lisbon and Lucca. In other regions, the relations between urban, peri-urban and rural areas play only indirect or implicit roles in spatial planning. Where this is the case, this is in conjunction with other planning goals such as containing urban expansion (as in Frankfurt/Main) or maintaining environmental and rural assets. The Ede example illustrates the potential, as well as the challenges, of downscaling rural-urban coordination. Generally, there are only limited indications of the aim to explicitly foster more beneficial relations between urban, peri-urban and rural areas through spatial planning. The findings are supported by comparable analyses by Harrison (2010) [
35], Harrison and Heley (2015) [
36] and Coombes (2013) [
37]. Improving the use of given resources and using regional strengths is an important consideration (Criterion 3) in most regions, and the same applies to the significance of sustainable development goals and resilience (Criterion 4).
3.2. The Role Civic Engagement Plays for the Outcomes of Spatial Planning
In the following discussion, we explore how the nature of spatial planning and decision-making changes when citizens and private and non-profit sectors are involved. The related criteria are as follows: “Integrating across socio-cultural, environmental and economic domains” (Criterion 5), “Coordination across multi-level governance system” (Criterion 6), “Level and quality of civil society involvement” (Criterion 7) and “Collaborative governance and transparency” (Criterion 8).
Some regional examples illustrate in what ways civil society engagement can matter in planning processes and for planning outcomes. The Regionalverband Frankfurt/Rhein-Main’s governing body, the
Regionalvorstand (regional board) provides an example of a more formalised practise of civil society involvement. The 30 members of the regional board represent civil society in the form of trade unions, chamber of crafts, chamber of industry and commerce, etc. Some board members have an advisory role or guest status [
30]. Equivalent evidence of new forms of governance and civil society involvement can also be in the Netherlands. The NEPA framework redistributes policy responsibilities between national, provincial and municipal administrations, thereby giving municipalities a more prominent role in integrating regulatory frameworks. The Ede municipality, for example, explores a more flexible, tailor-made NEPA implementation. A related goal is to increase stakeholder participation and involvement in policymaking [
38].
In the impact assessment of the MAL agreement in Helsinki, the transparency of the planning process is considered particularly important. Key issues include the use of information in decision-making and the role of open discussions, also including residents [
33].
Preparation of the PROT-AML in the Lisbon Metropolitan Area was supported by an advisory committee that includes members of national- and local-level public administrations representing territorial, environmental, economic, social and cultural interests [
34]. Pina (2018) points out that those advisory committees which support plan preparation are led mostly by legal compliance, thus missing the opportunity to generate a truly reflective and strategic insight into plan development [
34].
The Law of Tuscany Region 65/2014 includes public participation for drawing up the territorial plans. Citizens have the right of access to administrative documents related to territorial governance. Arcuri et al. (2018) point to the need to activate new kinds of relationships with civil society organisations and that sharing the related knowledge and experiences can help overcome limitations in planning [
39]. Limiting factors are the technical language used by planners and the resistance of decision-makers to participatory processes [
40].
Oversight and delivery of the Spatial Plan in Wales was in the hands of Area Groups that were established for each region and comprised representatives from the private, public and third sector. The role of these groups was to align institutional investments and provide a forum for collaborative planning within and across rural and urban contexts [
26].
Table 5 provides a summary overview.
In summary, our examples suggest that participation and partnerships that link public, private and non-profit sectors still tend to play only a partial role in spatial planning processes. The reality of implementation might sometimes still be lagging. Integrating across socio-cultural, environmental and economic domains (Criterion 5) can be seen as a given in the different case studies. In respect to coordination across multi-level governance systems (Criterion 6), an increasing importance of the (micro-)regional and local level in the fine-tuning and implementation of policies and plans is clearly recognisable. Regarding the level and quality of civil society involvement (Criterion 7), it appears that environmental, agricultural and consumer groups, science, the church, unions and individual citizens could still contribute more to policy development, spatial planning and implementation, and not only within their specific spheres of influence. A more significant shift from top-down government to place-based approaches and civic engagement still remains to be seen. The main shortcoming that generally remains is the tendency to elaborate and discuss plans in expert committees and through institutional representation, which results in a limited realisation of collaborative governance and transparency (Criterion 8).
3.3. The Mechanisms, Processes and Instruments That Are in Place to Ensure Plan Implementation
In the following analysis and discussion, we apply the four criteria subsumed under the heading “Coherence in territorial governance” in the analytical framework: “Connections between planning and regional development strategies and actions” (Criterion 9), “Connections with financial instruments” (Criterion 10), “Measures supporting an equitable and inclusive development” (Criterion 11) and “Coherence in territorial governance instruments” (Criterion 12).
The Law of Tuscany Region 65/2014, Italy, provides a telling example of the mechanisms, processes and instruments in place to ensure plan implementation. As the law is essentially a planning tool, it is not really concerned with the modalities and instruments that are necessary to activate the planning. Galli and Rovai (2018) emphasise that integration with existing policies and the dedication of sufficient financial resources to this are needed. Pilot projects are perceived as a suitable strategy for fostering implementation of territorial plans and achieving goals [
29]. At the same time, it seems clear from the case study that spatial planning alone is insufficient in achieving more specific goals like enhancing rural-urban relations. Boosting rural livelihoods can be achieved through the valorisation of local food, but this requires additional instruments [
29].
Other regional case studies provide specific insights into the potentially highly effective interplay between different instruments and mechanisms: In Ede, the Netherlands, the need for complementary measures that foster implementation appears less pronounced, as those enacting the plan are directly involved in the plan establishment. Planning agencies seek to foster implementation and positive change by integrating municipal food, environmental and spatial planning policies. Joint goals are being formulated and indicators identified for monitoring changes in more holistic ways. The aim of new and more flexible spatial planning instruments that are currently being elaborated is to task rural entrepreneurs to improve their environmental and spatial quality performance in line with wider objectives. Business development plans which do not fit in existing regulations can be negotiated with municipal authorities [
40]. In Ede, the initiator of a project that does not fit in existing regulatory frameworks must seek planning permission. The start for this is a dialogue not only between the private entrepreneur and local government, but also between the entrepreneur and other local stakeholders. The approach aims at mobilising micro-level private funding for certain societal gains. In Ede, investors are asked to benefit society in return for a planning permission [
38].
In Frankfurt/Rhein-Main, Germany, individual municipalities are no longer free to determine the future use of land in their territories because their local plans (the standard legal requirement for planning permissions) must follow the Regional Land Use Plan, which is elaborated centrally. At the same time, all local government authorities within the Frankfurt/Rhein-Main agglomeration are encouraged to form networks to jointly tackle specific tasks. As a result, currently more than 20 groupings, associations or agencies are actively covering a broad portfolio of interests from public transport to pharmacy, from culture to universities, including private companies and the chambers of industry and commerce [
30]. Integrating norms into the municipal plans in the Lisbon Metropolitan Area is also one of the ways to achieve the goals of strategic spatial planning. The Regional Land Use Programmes are to integrate national-level development priorities with sub-regional and local goals and strategies. The problem is that, so far, only 9 of the 18 municipalities implemented this approach, despite the strategic plan having been in force for 16 years. Pina (2018) argues that this delay is caused, on the one hand, by frequent changes in priorities and legislation at the national level and, on the other hand, by uncertainties that arise when concrete decisions about priorities need to be made. Other reasons include the lack of incentives, and the fact that the law had approved the plan did not impose a deadline for its transposition to the Municipal Master Plans [
34].
In the Metropolitan Area of Styria/Graz, the autonomous use of the financial resources that is enacted with the Law on Planning and Development clearly goes beyond spatial planning. It also includes provisions for regional development budgets and, for example, for more specific financial incentives for encouraging intercommunal cooperation. Bauchinger (2018) argues that such incentives are crucial not only in stimulating cooperative strategies, but also for considering the overall development of the Styrian regions, instead of continuing separate action. In this context, intercommunal cooperation is the main precondition to receive financial support for projects from the regional development budget. The law enhances the autonomy of regions, which in turn fosters the adaptation of measures to local needs, challenges and potentials [
32]. The Helsinki region pursues similar strategies to execute the MAL agreement and related planning. While the cooperation of the city and its neighbouring municipalities in transport, housing and land use plans is in the centre, the cooperation is supported by the State with financial incentives. This support includes major investments in rail transport, cycling routes and public transport [
33].
One significant lesson from these different cases is that spatial planning must clearly, as Beattie (2010) put it, go beyond “jumbling simply everybody’s ideal sector-based outcomes together” [
35] (p. 14). Instead, the focus needs to be on addressing societal needs and aspirations, as well as on guidelines that are deliverable and that will, as a result, be implemented. Beattie (2010) adds that planners need to move well beyond the rhetoric of integration, and that spatial planning must become a way of working to solve problems across organisations [
41].
The example of Lisbon suggests that continuity in higher-level frameworks, as well as in legally binding time schedules and agreements, is also important [
29]. In the implementation of the
Stadt-Land-Partnerschaften in Germany, the legal, financial and infrastructural conditions were found to be central for achieving goals [
24,
25]. The Styria/Graz example reinforces the important role of funding and of suitable funding mechanisms in realising (spatial) plan outcomes. In this respect, Beattie (2010) warns that there is a risk that spatial planning activities might relapse into infrastructure programmes, and that regional preferences might simply be too different to central government’s (infrastructure) preferences [
41].
Summing our arguments regarding coherence in territorial governance, we would emphasise how important it is that spatial planning tools are complemented by mechanisms and instruments that ensure effective implementation. Connections between planning and regional development strategies and actions (Criterion 9) play a central role in most regions, especially in Ede, Styria and Lucca. So far, only limited use has been made of connections with financial instruments (Criterion 10). Styria and Helsinki illustrate this approach. Measures supporting an equitable and inclusive development (Criterion 11) do not seem to play a significant role in the seven regions. Ede, Styria and Lisbon provide vivid illustrations of coherence in territorial governance instruments (Criterion 12). Our examples also show that context plays an important role: To try and overcome the limitations of high-density regulatory frameworks is an obvious goal in the Netherlands, where regulation and collective management are hugely important, while it might be much less important elsewhere. The active search for mutual benefits, like in the Ede and Lucca cases, between spatial planning tools and local food policy is an effective strategy for fostering the implementation of territorial plans. These findings are supported by research from Rodríguez-Pose (2009), who points to the trend towards place-based strategies [
42], as well as Woods (2009), who refers to the need to make connections [
43].
3.4. A Synopsis of Key Findings
Table 6 provides a synopsis of the functioning of a more balanced and territorially integrated development planning in the seven case study regions. Criterion marked “h” (high) indicate regions where a particular factor is very favourable, and “m” (moderate) denotes regions where a factor is somewhat favourable. Empty cells denote that a criterion does not play a significant role. The scoring is based on the information and examples provided in the previous sections and the best professional judgement of the author(s) from the respective region.
Related to “Territorial relations and development” (Dimension 1), two criteria stand out across the seven case study regions as playing a significant role: (1) “Improving the use of given resources and using regional strengths” (Criterion 3) and (2) “Significance of sustainable development goals and resilience” (Criterion 4). Based on all four criteria, Lucca, Lisbon and Ede, stand out. The relations between urban, peri-urban and rural areas are only explicitly considered in four out of the seven spatial plans.
Dimension 2 “Civic engagement and planning process” appears more favourable in Lucca and Styria. “Level and quality of civil society involvement“ (Criterion 5) is favourable in six out of the seven regions. The intention of “Integrating across socio-cultural, environmental and economic domains” (Criterion 5) is important in five regions.
Related to “Coherence in territorial governance” (Dimension 3), the only criterion that can be seen as (very) favourable in most of the case study regions is “Connections between planning and regional development strategies and actions “ (Criterion 9). “Coherence in territorial governance instruments” (Criterion 12) is favourable in Styria, and somewhat less in Ede, Lisbon and Lucca. In consideration of all four criteria, only Styria stands out in respect of the coherence in territorial governance.
Based on our seven case studies we can, as initially hypothesised, recognise connections between “Civic engagement and planning process”, “Coherence in territorial governance” and “Territorial relations and development”. These, in terms of planning outcomes and important connections, are most clearly recognisable in Styria, Lucca and Ede. Overall, it can be seen that more beneficial territorial relations need more than (spatial) planning, and that complementary territorial governance arrangements are needed. However, a larger number of in-depth case studies is needed to establish these relations more firmly. The empirical analysis presented here is, as emphasised earlier, exploratory.