Simplified Planning Process Steps
There are two fundamental choices that people within communities must make before engaging in planning activities. The first choice is to engage in either top-down or bottom-up planning, and the second choice is to determine which type of planning is most appropriate for the task at hand. Top-down and bottom-up planning both work. Each reflect differences in management style and also what people within communities want or will accept. Whereas top-down (directive) planning was common prior to the 1980s, most people today prefer bottom-up (participatory) planning. Bottom-up planning requires that professional planners and citizen planners approach planning tasks as facilitators and actively engage community members in collaborative problem solving activities. This can involve either broad constituencies or stakeholder groups and requires development and utilization of both interpersonal communication and listening skills.
The choices relating to different types (or models) of planning have linkages to both community needs and expectations about how planning can help to satisfy these needs. It's seldom a simple task in deciding which type of planning will work best.
Inspiration can take many forms
What is comprehensive planning?
The terms master plan, general plan, and comprehensive plan are synonymous terms. The first application of comprehensive planning in the United States was in 1925 in Cincinnati, Ohio. However, after more than eight decades of planning applications, the concept of comprehensive planning still remains abstract to many people (and communities). In general, the focus of comprehensive planning is on the whole (versus the parts).
When is comprehensive planning the best choice?
Choose comprehensive planning when one wants to bring together multiple planning functions (e.g., housing, land use, transportation, physical environment, energy, community facilities, etc.), the entire geographical and political jurisdiction, and include a long-range time perspective (e.g., 10-15 years into the future). No other choice will do all these things.
What are the disadvantages to the comprehensive planning choice?
There are three disadvantages to comprehensive planning. First, it is difficult for many people to understand the nature of comprehensive planning because it is abstract in both concept and application. Second, the long-term outlook that makes comprehensive planning unique does not coincide well with the short-term realities of the political process (i.e., the time commitment of most politicians is much less than 10-15 years into the future, and worldly conditions are often too dynamic to predict over a 10-15 year time period). Third, the means and ends of comprehensive planning are separate; the plan is an end (i.e., a blueprint of where a community wants to be), but the means to achieve the blueprint requires a series of disconnected programming actions over the time period of the plan.
What is the difference between comprehensive planning and functional planning?
In contrast to comprehensive planning, functional planning addresses only one function at a time (e.g., transportation). However, the scope often will be comprehensive for that specific function. In addition, the scope likely will include the entire geographical and political jurisdiction and a long-range time perspective.
What is strategic planning?
The terms strategic planning and community-based planning are synonymous. Although businesses and industries have routinely used strategic planning for several decades, it has only been since the 1980s that public sector applications have become common. In general, the focus of strategic planning is on the parts (versus the whole).
When is strategic planning the best choice?
Strategic planning is the best choice when one wants to focus on only select issues, involve limited geographical and political jurisdictions, and/or maintain a short-range time perspective of 4-10 years into the future. This model is superior in dealing with dynamic and changing conditions over the short-term. Communities can use strategic planning either in lieu of comprehensive planning or to implement select aspects of comprehensive planning initiatives. Lastly, strategic planning effectively combines the means (i.e., implementation mechanisms) with the ends (i.e., blueprint for change) as part of the planning process; this increases the likelihood of plan implementation success.
What are the disadvantages to the strategic planning choice?
The disadvantages to strategic planning are the advantages of comprehensive planning. It is not - by definition - complete or comprehensive in data acquisition, function, or geographical area. In addition, strategic planning is not meant to provide for the long-haul.
What is the difference between strategic planning, comprehensive planning, and small area planning?
Small area planning may address either single or multiple functions (e.g., land use, housing, transportation, energy, physical environment, etc.). However, the specific functions typically will vary from one geographic area to another. Hence, small area planning is somewhat of a hybrid that can include aspects of both comprehensive planning and strategic planning.
What is future search planning?
The best way to describe future search planning is that it is a short-course (or conference) in managing change. However, there are no lectures, there is no training, and it involves no teaching ... it involves only learning. The benchmarks in conducting future search planning are: assemble the right people; utilize a conference design that allows participants to explore the past, present, and future (at both personal and community levels); allow participants to self-manage their own time; search for common ground (before engaging in problem-solving); and then commit to action planning. The maximum size for a future search conference is 72 persons, the minimum size is 25 persons, and the optimum size is 64 persons.
How does future search planning differ from strategic planning and comprehensive planning?
A future search attempts to bring together - in the same room - the entire system (i.e., all community stakeholders) at one time. Future search planning results in documentation that tells the story about the process and also the action planning initiatives. This type of planning can either replace or complement both comprehensive and strategic planning.
What are the advantages of future search planning?
Although strategic planning and future search planning are both participative, future search planning is superior in tapping the tremendous powers of group dynamics that can lead to meaningful change within a community. Future search planning helps to build consensus by promoting dialogue that can result in effective planning, increased cooperation, and improved decision-making. A future search will require a trained facilitator, and the role of the facilitator will be to help manage time and help participants first reach common ground and then engage in action planning.
What are the disadvantages of future search planning?
The major disadvantage is the difficulty in getting the large number of people (needed to make it work) together for a three day time period. It's hard to do this in a community setting.
What is scenario-building?
Scenario-building is a process whereby communities identify a set of plausible (but structurally different) futures. Each scenario is a different story about how change might occur.
What is the difference between scenario-building and visioning?
Visioning identifies where (or what) one wants to become at the end of a specified time interval. Scenario-building attempts to describe what might happen along the way (i.e., alternative journey paths).
What's the value of scenario-building?
Scenario-building is a learning tool that allows communities to evaluate alternative future possibilities. One can engage in scenario-building as a discrete planning activity or as part of either comprehensive or strategic planning.
What is project planning?
The terms project planning, project management, and action planning are synonymous. This type of planning is specific, detailed, and action-oriented (versus planning-oriented).
When is project planning the best choice?
Project planning is the best choice when one already knows what the community wants to accomplish ... the intent turns to how to do it. In short, project planning can complement comprehensive planning, strategic planning, future search planning, and scenario-building.
What are the advantages of project planning?
Because some level of commitment already exists, one can
focus on implementation activities (e.g., scheduling, budgeting, and coordination requirements).
Deciding Which Type or Model to Choose
Is one type or model better than another?
Success is not found in any particular type or model. Rather, it comes from the people who participate in the process and make a commitment to implementation.
Today's generations will invariably state that they prefer bottom-up planning. However, today's generations are also very busy, and it may be difficult to obtain from them the necessary time commitment required to make bottom-up planning work.
Regardless of the planning type or model, most planning is won or lost in the pre-planning phase, and the secret of success in the pre-planning phase is getting the right people for the tasks in a timely manner. In addition, the outcome of all planning is not predictable, so there is no guarantee of any method or outcome.
One can make a strong argument that only comprehensive planning focuses on the entire geographic or jurisdictional area and all functions within a community; in addition, comprehensive planning offers a long-term perspective that the other types or models do not have. On the other hand, one can make a strong argument that strategic planning and future search planning better support political realities and better focus on specific issues within a community; further, these models are more participatory.
What are the time and cost differences between each type or model?
When the choice is among the planning-oriented models, comprehensive planning requires the most time and is the most expensive planning type or model, and strategic planning requires the least time and is the least expensive planning model or type. Using strategic planning as the benchmark (i.e., equal to the factor of one), it is possible to make approximate time and cost comparisons between each type or model.
Planning Type or Model |
Time/Cost Comparison |
• Strategic |
1 |
| • Scenario-building | 2 |
| • Future Search | 3 |
| • Comprehensive | 15 |
| • Project | 0.5 |
What discriminators can a community use in deciding which type or model to choose?
Although it sounds like a politically correct answer, it just depends on the specific needs of a community at a particular point in time. If a strong tradition of planning already exists, comprehensive planning will often be the best choice. If a strong tradition of planning does not yet exist, strategic planning, future search planning, small area planning, and scenario-building may be better choices. If the need is for short-term and more immediate outcomes, strategic planning or future search planning are the better choices. If one wants a large number of participants to feel good about the entire process, strategic planning or future search planning are the better choices. There will likely, however, be a point in time when a community determines that it is necessary to plan holistically ... and for this comprehensive planning continues to be the best choice.
Change is not a choice ... but transformation is
What is a needs assessment?
Regardless of the planning model being used, communities must identify problems and issues of concern … the needs of their community.
Why do a needs assessment?
A needs assessment identifies both existing and potential issues.
Is there more than one way to do a needs assessment?
Yes. The most common choices are a town meeting and/or a public opinion survey.
Are the choices mutually exclusive?
Town meetings and public opinion surveys are similar in intent but differ in method. It is possible – but not essential – to use the results from one to validate results from the other.
Why conduct a town meeting?
A town, neighborhood, or community meeting allows for interpersonal contacts and also provides for open-ended responses (the richest type of communication). Because town meetings seek open-ended responses, it is essential that the meetings have a format or structure that promotes listening (versus debating or complaining).
What is a typical format or structure for a town meeting?
A simple but effective format or structure is to have participants focus on three categories of ideas and concerns: things being done well ... continue or do more; things not being done well ... stop, modify, or change; and things not being done ... start. The preferred way of getting participants to identify ideas and concerns within these three categories is to use the nominal group process and then prioritize the identified ideas and concerns.
How long do town meetings usually last?
Two hours is the approximate time needed to conduct a town meeting.
Why conduct a public opinion survey?
Conducting a public opinion survey efficiently focuses on specific issues. Most questions in a public opinion survey are close-ended (in contrast to town meetings). In addition, public opinion surveys are the most convenient method for participants.
How does one conduct a public opinion survey?
This is a technical process that requires careful preparation, pre-testing, follow-up, and statistical analysis.
What is visioning?
Visioning is a technique that can help community members determine what they want their community to become – in a broad context – at some time in the future. It is a citizen-driven method that brings people together in a way that usually makes it easier to implement plans later.
What are the contextual elements of visioning?
Visioning is a very effective consensus-building tool that can be fun, even exciting, for participants. It relates to where the community is now (existing conditions), where it is going (trends), alternative and preferred futures (scenario-building), and how to make it happen (policies and strategies). Thus, visioning is an integral part of most planning processes and planning models.
How many can participate in visioning?
Although visioning has the potential to involve a large number of people, typically a cross-sectional stakeholder group of 12-15 participants can create a shared community vision. When there are more than 30 participants, it is necessary to use focus groups for each vision component.
What are the keys to successful visioning?
The keys to successful visioning are the establishment of facilitative leadership, trust among participants, and the identification of tangible, transforming visioning components.
What is a changing times workshop?
The best description of this workshop is that it develops a community story-line that covers pre-determined time periods (ranging from 5-30 years). Participants describe insights, learnings, trends, and discuss implications of this information for the future of their community. A changing times workshop is an integral part of future search planning.
What does the changing times workshop have to do with visioning?
This workshop helps community members identify where the community is now and where it is going. It can also serve – when doing strategic planning – as an environmental scan.
What are planning studies?
Planning studies can provide a variety of information that is important to plan-making. The broad categories of planning studies are demographic, economic, social, environmental, and fiscal. Planning studies may also be functional (e.g., transportation, education, recreation, medical, housing, etc.). All of these studies attempt to identify existing conditions … and the future impacts that change might have on these conditions. When combined holistically, these studies help to provide a better understanding of place for the community.
What are some specific examples of planning studies?
Population – employment – housing – leisure-time activities – land uses – transportation – infrastructure – the natural environment – image analysis – walkability audits – community appearance – services
How does one determine which planning studies to do?
This is a difficult and complex decision. An ad hoc committee might decide, or the answer may relate to community needs (e.g., identified from a town meeting or public opinion survey). In addition, it may relate to the specific planning model that will guide the planning process; for example, comprehensive planning requires significantly more planning studies than does strategic planning or future search planning.
Who accomplishes planning studies?
Planning studies are technical in scope. Staff or a consultant will typically conduct planning studies.
What is image analysis?
It is a physical planning tool that helps to identify mental images that we all form about places. Some of these mental images are in the resident's domain, some in the visitor's domain, and some are a linear experience. When several persons share the same or similar personal/private mental images, such images migrate from the personal/private realm to the public realm.
What is the value of image analysis?
The identification and creation of public mental images is a way to create or enhance a sense of place within a community. Most communities want to enhance positive public images and minimize negative public images.
How difficult is it difficult to do an image analysis?
Kevin Lynch in his book The Image of the City identifies five aspects of image analysis: paths, edges, districts, nodes, and landmarks. The technical procedure involves a field reconnaissance, personal interviews, calibration of information, and documentation of results.
How does one define community appearance?
Community appearance can be a controversial topic because it is aesthetic-based and touches individual values (that typically vary from one person to another). It is also a complex topic that has several dimensions. Therefore, the best way to define community appearance is on a case-by-case basis using an interactive process that allows residents to reach consensus in terms of their collective values.
How does this interactive process work?
Community appearance analysis is inherently a visual process. It often involves picture-taking and the interpretation of photos. The photos are examples of community likes and dislikes relating to community appearance and may be either from within the community or from some other community. The photo-takers briefly describe the things they like or dislike about each photo; an organizing team groups all the photos (with narrative comments) by categories; participants identify key words from the comments; next participants identify either root problems relating to the key words or issues that create feelings about a sense of place (theses are the keys to community character); participants identify the geographical extent of the problems/issues (e.g., specific area or community-wide) and what can/should be done about the problems/issues (these become guiding principles); and lastly participants prioritize the guiding principles.
What are some examples of photo categories?
Architecture and design – landscaping – downtown – historic preservation – landmarks – commercial and industrial activities – roads, streets, alleys, and sidewalks – housing – parking – signage – screening – parks and recreation – open space – infrastructure and utilities – viewsheds – physical environment – community pride
How many residents can participate in this process?
A minimum of 25 generally will provide the diversity needed to avoid value-bias. There is no maximum number of participants.
Does everyone need their own camera?
Yes, but participants use disposable cameras.
What is the next step?
The next step is to do something about the guiding principals. This can be in the form of plans, regulations, programs, workshops, or a charrette.
What is a walkable community audit?
This is a tool that can help to determine the effectiveness and efficiency of pedestrian-related movement patterns within a community.
What is the relationship between walkable communities and land use?
Present land use practices favor automobile transportation. It is often difficult to walk to/from community activity centers (i.e., places of work, shopping, banking, mailing letters, or school). Walkable communities additionally can help to create great memories for both residents and visitors.
Why do one of these audits?
There are several reasons. First, walking is the most popular form of exercise for most people. Second, walkable communities are an important component of ground transportation … most trips begin and end with walking. Third, walking is the cheapest form of transportation for most people (implying that the construction of a walkable community is important in providing for alternative transportation choices). And fifth, walkable communities can result in reduced crime and other social problems.
What does a walkability audit involve?
Dan Burden (the Director of Walkable Communities, Inc.) recommends:
What’s the next step?
After documentation, one must analyze the results (using either a workshop or a charrette); set achievable and measurable goals, objectives, and strategies; establish priorities; and then develop an action plan that will work within your community budget.
What are the linkages between local, regional, and state governments?
It is usually more expensive to develop walkable communities in isolation. Partnering at all levels of government – and with private sector developers – can be beneficial. In addition, it is common for communities to combine pedestrian and bicycle planning together.
Capital Improvement Programming
What is a CIP?
A CIP is a schedule of physical improvements over a specified time period. The governing body annually adopts the CIP, and the first year of the adopted CIP is part of the capital budget for the next fiscal year. Each additional year of the CIP (often referred to as out-years) represents a subsequent fiscal year.
Is there an actual CIP document?
Yes, there are two documents. One document describes policies and procedures relating to the annual preparation and adoption of the CIP; it identifies what must be done, who is involved (to include who has the administrative lead to initiate and coordinate specified procedural activities), the time-line for accomplishing each procedural activity, a review and revisions section describing how to make changes to CIP policies and procedures, and appendices that include examples of a transmittal memo, worksheets, and financial components that are part of the CIP procedural process. The second document is the completed CIP.
What is the value of a CIP?
The CIP involves the balancing of needs (or desired capital improvements) with available financing. This contributes to prudent fiscal management.
In simple terms, how does the CIP work?
A CIP requires that staff and the governing body work together to anticipate capital improvement projects, prioritize these projects, and identify ways to finance the projects within both present and anticipated financial capability. In short, the CIP is a planning and also a management tool.
What is a capital improvement project?
Capital improvements generally are non-recurring in scope. These projects typically fit within one or more of the below categories:
Who can initiate and submit CIP projects?
Any resident can initiate a CIP project through a staff department. However, only staff departments can submit a CIP project for approval action.
How does one finance CIP projects?
Funding for CIP projects can come from several sources. The most common funding sources are the general fund, bonds, and grants.
What is the schedule for preparing the CIP?
The manager usually will submit the annual CIP to the governing body – for approval and adoption – at least 3 months prior to the final date for submission of the operating budget for the next fiscal year.
How does one change the CIP?
Although the ideal is to change the CIP only with each annual submission (i.e., adding another fiscal year as an out-year and new or deferred projects), the CIP is a dynamic document. The governing body can modify the CIP at their discretion. However, one should not change the funded program without certification from the manager that revenues budgeted to support added capital improvements will be sufficient or that potential revenues will in fact be available to fund additional projects.
What are community indicators?
Monitoring community indicators is a way of either measuring existing conditions against a benchmark or change over time. It's similar to taking the pulse of a community.
Why develop community indicators?
Community indicators can help to focus public attention, obtain funding for specific initiatives, become a foundation for action (i.e., precursor to policy), and/or monitor plan implementation activities.
What are some examples of indicators?
Most community indicators will relate in some way to the below categories and concerns. Community members must determine which information is important to them, specifically what they want to measure about the information, obtain the data, and maintain records over time. It is often helpful to group community indicators by issue categories and concerns and to obtain benchmarks for the purpose of comparisons.
How does the process work conceptually?
Community members first decide which categories/concerns are most important to them. Then they determine what specifically they want to measure (i.e., about the categories/concerns), obtain data regarding what they want to measure, maintain records of collected data (i.e., over time), and report on the findings or results.
What is the criteria for selecting an indicator?
Indicators must be statistically measurable, something that policy can influence, and should have long-term significance to the community.
How does one measure a specific indicator?
Benchmarks (when available) allow one to compare community-collected data against a standard. When benchmarks are not available, one can only monitor change over time (i.e., up, down, or no change in terms of the trend).
How many indicators are enough?
Generally, 30-35 indicators is the optimum number of indicators that a community can monitor at one time.
Are there any special implementation techniques?
Establishment of an adopt an indicator program (where an individual or group of individuals accept responsibility for monitoring a specific indicator) can be very effective.
What is a charrette?
A charrette is a collaborative problem solving process. The design of a charrette is complex, dynamic, interactive, and team-oriented. It is also usually a graphics-intensive activity. The results are specific designs or outcomes, and if successful, the results are generally easier to implement than a hierarchical decision.
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Is it difficult to plan a charrette ... and is there more than one type of charrette?
It requires several months to plan a charrette and several days to conduct a charrette. In addition, there are two types of charrettes … design and topical.
The most common type of charrette is a design charrette (i.e., National Charrette Institute format). This will typically require 4-7 days. A design charrette usually focuses on technical elements (e.g., architecture and spatial arrangements); site development is an example of a design charrette.
Another type of charrette is a topical charrette. Charrette purists may argue that a topical charrette is really just a workshop. Regardless of the most appropriate label, a topical charrette will typically last 2-3 days. A topical charrette often focuses on issues (versus technical elements); development of an affordable housing policy is an example for a topical charrette.
What makes a charrette successful?
The ingredients of a successful charrette are getting the right people to participate, good listening, active participation, and a willingness to compromise.
Charrettes are effective only to the extent that a commitment to implement the resulting outcomes also exists. Therefore, one should not engage in charrette activities (involving considerable participant time) unless there is a strong intent to actually use the results.
What linkages between charrettes and other planning tools?
Charrettes can help address specific needs identified from a needs assessment (e.g., town meeting), a workshop (e.g., visioning, community appearance, or image analysis), or a plan (e.g., comprehensive, strategic,or future search).
Group Facilitation Methods Training
About the training
This is a unique workshop - based on ToP® (Technology of Participation) group facilitation methods - that maximizes the collective power of groups, organizations, and communities. The Institute of Cultural Affairs developed and perfected the ToP® methods, and participants receive training in three ToP® methods during either a 2-day or a 3-day workshop. The training format is hands-on and includes demonstrations, brief discussions of the theory behind the methods, and opportunities to practice the methods.
Is prior experience necessary to attend this workshop?
No prerequisite training or prior experience is necessary ... only the desire and commitment to learn group facilitation skills.
What is the workshop purpose?
The workshop introduces participants to group facilitation methods that can help groups think, talk, and work together. In addition, participants have an opportunity to develop and apply these methods … as part of the training.
Who can benefit from completing this training?
This training can help enhance your capacity - and increase your personal confidence - in working with and through people to turn ideas into productive action and meaningful accomplishments. Application opportunities using these methods include community and regional planning, organizational planning, education, government, and other occasions when people want to actively participate in the creation of their own futures.
How can I use these methods?
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About the training
This training can help appointed board and commission members become more comfortable, competent, and efficient in carrying out their duties and responsibilities. The training is not a substitute for planning expertise that professional planning practitioners can provide within their respective communities; rather, it complements this expertise.
Training purpose
Participants at the end of this training will:
Training duration and format
The typical training period is one-day. The format includes a mixture of practical exercises, group discussions, and lectures.
Extension of the training to a 2-day time period will allow for the addition of several technical planning practical exercises.
Technical reference
Each participant receives a training workbook that contains, in addition to various graphics used during the training, examples of planning documents (e.g., sample agenda, staff report, and by-laws).
© 1995-2008 Garry V. Cooper
2 Scottish Circle
Asheville, NC 28803
828-505-3369 (work-home)
Email: garry@cooperwww.com
