PROJECT PLANNING

Project planning as a process is output oriented. It is concerned with deciding in advance what,
when, how, and who will take the necessary actions to accomplish established objectives. In this
context planning is a pervasive management function which is accomplished by all levels in the
project hierarchy(l), the difference being scope, detail, and the magnitude of the effort. Planning
forms the foundation for future actions, using the past as a guide. The purpose of this paper is to
examine the project environment for planning, to consider the purpose of planning, to focus on
the stages of project planning, to evaluate the elements of planning for the project, and to discuss
the role of decision-making in project planning. The first concern is the planning process and
environment. The basic planning process is illustrated in Figure 1.

Figure 1 – The Planning Process

The process involves inductive problem solving.(2) It initially focuses on the “what” and “how”
which are closely related. What is to be accomplished is defined in the project objectives that
must be developed at the beginning of the planning process. These objectives may relate to new
product development, acquisition of market share, maintenance of market share, anticipated sales
volume, profit maximization, some combination of these or some other desired objective. The
objectives become the “reason to be” for project personnel. All subsequent activity should be
devoted to their accomplishment through planned future time periods. As soon as they are
completed, by definition, the project is over. The “how” concern for planning evolves around the
selected objectives and the nature of the product, the state of technology, the characteristics of
the target market, company policy, and available manufacturing or developmental processes.
Needed technical and production skills will be affected by the how concerns.

Purposes of Planning
 1. Communication

Project planning is a form of communication and a source of information for project personnel.
(4) Once the project’s overall objectives have been formulated and approved, they must be
transmitted to the project staff. Through their involvement in the process of developing specific
objectives, the hope is that a congruence will be attained between personal goals and the
objectives of the project. As the details of the plans are scheduled and costed, information for
action is provided to all levels of the project staff.

2. Foundation for Management Action

Planning also furnishes the foundation for all other management action. Knowing what is
required, who is to perform certain tasks, how they are to be performed, and when the events
should be scheduled allows managers to organize their activities in a more efficient manner.
Inherent in the planning function is the need for control. With the plan’s implementation,
feedback is obtained relative to progress in objective and goal completion. Evaluation of actual
compared to planned figures permits the manager to assess progress objectively, to make
necessary adjustments to the master plan and to take corrective action for ongoing operations.
Also the plan provides the manager with information as to deadlines and scheduled events,
providing a cue as to when decisions have to be made and as to when feedback systems need to
be activated and monitored.

3. Problem Definition and Solution

Planning is a form of problem solving and as such promotes problem definition and solution. The
delineation of objectives and the subsequent breakdown into goals and objectives help to identify
problems and aid in the formulation and analysis of alternate strategies to meet objectives. Each
alternative must be evaluated in terms of schedule and cost and requisite product quality of
performance. Tradeoffs between these critical variables may be necessary in the initial planning
phases and later can be used to create work-around plans as difficulties are encountered. This
approach requires the development of a detailed action plan which will be the topic of
subsequent paragraphs.

Stages of Project Planning

Probably the most difficult stage of any project is the beginning. Often times there exists a vague
or poorly defined objective and getting started presents a problem, since a clear sense of
direction does not exist. At other times the decision of how to get there is confused with deciding
where; the project is specified prior to a clear delineation of objectives. This concern in the
Department of Defense (DoD) led to the implementation of OMB Circular A-109 which requires
a statement of need preceding any action. Too often the availability of technology defined the
need, instead of the need determining the required technology.

Definition of Project Objective

The first stage of successful project planning, therefore, is a clear definition of the project
objective. Ideally this should be a single sentence, e.g., “The objective of this project is to
simplify the tax return so that an ordinary citizen with an eighth grade education can complete
the short form in three hours or less without professional help.” This objective is clear,
attainable, measurable, and specific.

Project Description

The next stage is to describe the project. The better a project can be described, the more likely it
is to be a success. Ten basic questions should be included in the description and they are listed in
Figure 2.

Figure 2
Questions for Project Description
The answers to these questions should appear in program documentation or the project will
probably become a statistic, as one of those projects that failed – either through cost or schedule
overruns, or in failing to meet specifications.
WHAT is to be done? This question is addressed in the goals and objectives. The terms goals
and objectives are often used interchangeably, but for our purposes objectives will be defined as
the end result of the project, and the goals sequential steps, which, if completed, will result in
successful project accomplishment. Both must be clearly stated to assure that all project efforts
are directed to the correct outcome.
WHEN will it occur? Schedules must be constructed to time-phase the selected goals and tasks
and to identify interrelationships. There is a Master Schedule, as a minimum, and usually some
subordinate schedules are created to define the limits of the project and some of the intermediate
steps.
HOW much will it cost? Although the initial planning estimates are just that, it is important to
scope the project very early. A preliminary estimate was used to evaluate the project in terms of
other alternatives. As the planning progresses, budgets must be developed in order to translate
this estimate into the specific resources needed to accomplish a given task.
WHO will do it? Deciding what functional department will support the project manager can be a
very political decision and a highly significant factor in the success or failure of a project.
Sometimes the most knowledgeable person is not the best at coordinating the efforts of a diverse
team. In addition, few projects are a one-man show, and manpower availability must be
considered carefully.
WHAT product or service will be delivered as a result of the effort? It is relatively easy to
lose sight of the true purpose of a project. As an example, in an automatic data processing (ADP)
project, the product should not be the computer program, but rather the output it is supposed to
generate. The output of the programmer might be the program itself, but he should not lose sight
of the overall project objective. The use of elaborate programming techniques may not add
anything to the overall project, and actually may defeat the purpose of it.
WHAT is the responsibility of both the developer and the user? Some projects originate from
the bottom up -that is, the user identifies the need, and an analyst must work with him to develop
the solution. In other projects, the top management determines a need that is not being met. The
developer must still find the solution, but in addition the user must be educated so that the system
is used correctly.
WHAT determines task completion? It has been said that engineers never know when to quit.
An optimum solution is never reached, only a “good” one, so work continues as long as funds
are available. There are exceptions to the saying, “Anything worth doing is worth doing well.”
Sometimes it is sufficient to do it adequately. If a man is being sent to the moon, the
specifications must be more rigidly adhered to than if the annual Christmas party is being
planned. Many individuals have had the experience of working a project to death, long after the
basic problem had been solved. The increased return is marginal to the increased investment,
both in money and manpower, and the project should be terminated. To avoid this situation, the
criteria for task completion should be determined before the project is begun.
WHO is responsible for accepting the product as completed? Many people will have an
opinion as to what should be done and how it should be accomplished.Others have a legitimate
interest in the project and will have to work with its output. The project manager must always
keep in mind who is the final authority. The project must be completed to his (her) satisfaction
first. If, in the process, other people’s needs can be accommodated, that is a desirable side effect.
Efforts to satisfy everyone will cause resources to be needlessly consumed.
WHAT mechanics will be employed to deal with formal changes? Change is an
environmental constant. Recognize immediately that it will take place, and design a procedure to
deal with it. This may be a review committee, an appeals process, a coordination chain, or some
combination of them. Tracking changes, and recognizing their implications, can keep a project
from an out-of-control condition.
HOW will actual progress be measured? Very few projects are anything but right on schedule
when measured subjectively. If the project leaders have not defined achievable intermediate
milestones that can be quantitatively measured, it is difficult to estimate progress. Many projects
are identified as “level of effort” because they represent excursions into new territory. Most
projects represent new undertakings. What is required is to break the project into small segments
which have been done before, e.g., engineering drawings; and testing steps; etc. A number of
quantifiable activities exist even in the most innovative undertakings.

Detailed Work Plan

Once the project has been adequately described, the steps required to achieve the objective must
be documented. This is the appropriate stage for a discussion of technology application. If you’re
building an aircraft, and you have described its performance objectives, one of the subsystems is
the engine. Is there an available engine, or will new technology be required to satisfy the stated
performance specifications? Are the activities to be simply modifications of existing equipment,
or do they involve research and development of new equipment?
As activities are identified, the planner must begin to program resources for accomplishment of
those activities. At this stage make-or-buy decisions enter the process, as availability of skills
and technology in-house are traded off against the costs of contracting out the effort. Budget
estimates are built and personnel requirements defined.
A very significant step is the identification of the project control system. What measures and
means of communicating information will be most useful in assessing project progress?
Several project documents should be developed to formalize the information generated. The next
section will define these documents and present examples.

Elements of Project Planning

In order to define the elements of project planning, it is important to visualize their

interrelationships. The three major resources that must be managed for a successful project are
time, manpower, and money. The major criteria for success are measured in terms of
performance goals, schedule, and cost. If we think of the project as a balancing act it might be
visualized as a three legged footstool (Figure 3). Project success should be measured not by
achieving stability, but by keeping the surface level, its desired objective.
Figure 3 – Balance in Project Management
If the performance requirements are increased, the schedule and the budget must be increased
proportionately to keep the project in balance. If one parameter must be kept constant, the other
two can be broadened, but not elongated. For example, to increase performance, but maintain
schedule, additional resources will have to be applied. The point is that these three factors must
be kept in balance or a new measure of project success should be developed. Many projects
tighten performance goals, or stretch out time by reducing allocated manpower and don’t adjust
the budget so that cost “overruns” are inevitable. In order to keep a project in scope, it is
important to use project documents that define and control the different areas.

Work Breakdown Structure (WBS)

Figure 4 illustrates a Work Breakdown Structure (WBS) which is a hierarchically structured

listing of the end item, i.e., hardware, software, and/or services, to be generated as a result of
project efforts. The first level represents the entire system, whether it be a weapon system, a day-
care center, or the transfer of a plant from one location to another. Subsequent levels consist of
subsystems, and finally, individual components of the overall system. Some subsystems may be
subdivided further than others, so that the final WBS probably will not be symmetrical, but
should always sum from lowest level through to highest level.
Figure 4 – Work Breakdown Structure
Figure 5 shows the intersection between the WBS and the organization. The final level defined
should be assignable to a single organizational unit. It is at this level that work packages should
be developed, and reporting mechanisms structured.

Figure 5
Intersection of WBS and Organization

Networks

The WBS serves as the basis for cost accounts, work packages, schedules and budgets, and life
cycle cost estimates. Once the end products have been defined and the organizational units
identified at the lowest level, the next step is the construction of a network of the tasks required
to complete the work packages and the interrelationships between them. Whether the best
networking approach is a Programmed Evaluation and Review Technique (PERT) type with
three estimates or a CPM (Critical Path Method) with a single estimate, a more specialized
Graphical Evaluation and Review (GERT), or a Decision-Event-Logic-Time-Activity (DELTA)
(5) approach depends on several factors. These include: the magnitude and complexity of the
project; the skill and experience level of others preparing it; the length of the project; the type of
project (whether R&D or production or services oriented); and the available analytical tools to be
used in conjunction with it.
Schedules
Schedules are necessarily interrelated with the application of personnel and money so that the
initial time phasing is usually a “straw man” and subsequent iterations establish the project
schedule baseline, constrained by the assignment of resources. A preliminary manpower
projection should reflect the requirements over the life cycle of the project. Personnel
inventories, which identify available resources that can be applied, should be used to match skills
and levels required for the project staffing. A project must compete for personnel with other
projects within the organization and if it surpasses current capabilities of an organization, must
compete in the market place for additional resources. A clear projection of needs over the life of
the project allows for better utilization of existing resources and the proper leadtime for training
and hiring new people. Many of the project control software packages have manpower-leveling
capabilities which allow planners to shift activities not on the critical path to allow optimum use
of available personnel. These methods can identify bottlenecks far enough in advance to allow
careful evaluating of alternate solutions to the problem.

Budgets

Budgets are time-phased allocations of financial resources which match the allocation of
facilities, equipment, and personnel to the project schedule. There are usually several levels
which include short-term or day-today operating budgets; mid-term, or budgets which reflect the
current fiscal year; and long-range, which are generally defined for the life of the project. A very
short-term project may, of course, require a single budget for its operation.
In a well designed and documented project, the interrelationship and phasing of these elements
should occur somewhat like Figure 6. Because planning is an iterative process this cycle occurs
continually throughout the life of the project.

Policies and Guidelines

Policies and guidelines are formulated as plans are made, but failure to document them can cause
many problems, particularly in a long-term project. Decisions are made throughout the planning
process — to complete this segment in-house, to buy that component off the shelf, to schedule
this work for the months of July and August -these all have some underlying assumptions that
are being acted upon. In order to convey these constraints to those making the day-to-day
decisions, they should be documented and communicated to the level required for decision
making. The formal vehicle for doing this, the establishment of policies and guidelines and over
the life of the project, the issuance of directives.

Change Control Procedures

The establishment of change control procedures is a vital part of the planning stage, since it
insures adherence to the original project baseline where possible, and a controlled departure from
it where necessary. The responsibility for making decisions should be clearly delineated, and the
requisite information made available at the same level. Before implementing the plan developed,
the project manager must determine its feasibility in the environment and he must specifically
identify the level of uncertainty which exists.

Decision-Making in Project Planning

Decision making as a key component of the management function of directing is significant and
critical to project success. A cardinal factor which impacts decision making is the amount of
uncertainty which exists in the project environment. This uncertainty variable often leads
managers to delay decisions, which is a decision in and of itself. Such inaction in a dynamic and
changing environment can lead to problems which can affect project success. Thus, there is a
need for project managers to understand uncertainty and how to cope with it in the project
environment.

Figure 6
Management Information Systems for Program Control

Uncertainty Definition

Uncertainty is inversely related to information.(2) The more uncertainty the manager has, the
less information, and vice versa. These relationships are illustrated in Figure 7 by use of a
continuum.
At one pole is certainty. This condition is characterized by the presence of all necessary
information needed for a given decision situation. There is no need for a wrong decision to be
made. However, such a condition seldom exists and, therefore, is of limited value to the
decisionmaker. At the other end of the spectrum is the condition of general uncertainty. Again
this is an extreme situation in that no information is available.

Uncertainty in the Project

Uncertainty can exist in many forms in the internal and external environments of the project. It is
a multidimensional concept. For example, decision-makers deal with business, financial, project,
environmental, and other types of uncertainty; however, three basic concerns emerge in this area
for the project manager. The individual is concerned with cost, schedule, and performance or
technical uncertainty.

Figure 7 – The Uncertainty Spectrum

In the planning process the various alternative strategies are costed and the decision made to use
a given strategy based on low-cost and other quantitative factors. These costs, however, are
estimates which may be erroneous. Costs may be affected by inflation, high interest rates, labor
strikes, material shortages, and other environmental variables. To avoid overruns cost uncertainty
can be reduced by the acquisition of valid and accurate information. Since perfect information is
never available, the planner can use sensitivity analyses to determine the degree of error that his
project can survive. In doing so he identifies the range of the uncertainty spectrum in which he
must operate. If he cannot acquire sufficient information at reasonable cost, he should reassess
his total plan.
Decision making in planning also is complicated by multiple constraints arising from the internal
and external environments. Internal limitations involve budgetary matters, such as funds to pay
personnel and procure supplies, equipment and other resources. Adequate planning will aid in
the identification of these limitations and the subsequent tradeoffs between resource categories to
insure project success. External variables as mentioned before cannot generally be controlled by
the project manager; however, they must be identified so as to possibly be influenced and
accommodated. These variables include top management policies, environmental changes
stemming from political and legislative actions, the strategies of competitors, and the vagaries of
the market place.
9 steps on how to create a project plan online
If you’re thinking, “well, that sounds really formal and serious, don’t be intimidated.
Follow these nine project management steps, and you’re well on your way not just on how to
plan a project online but to execute your project successfully.

Step 1: Identify all stakeholders

Your project has several stakeholders, and not all of them will be involved in every detail of the
project. Project stakeholders include your customer, the end-users of the product, the company
and its leaders, and the team working directly on the project.

Depending on the nature of the project, stakeholders may also include outside organizations or
individual community members that will be affected by the project.

Step 2: Define roles and responsibilities

Once you’ve identified the stakeholders, you need to determine the project management
skills required for the project. When you have that list, you can define roles and assign
responsibilities to individual stakeholders.

Remember that a role is not the same as a person. In some cases, one person can fill multiple
roles, such as having a designated emergency contact, a role that adds few additional work hours
to a person’s schedule. In other cases, multiple people may hold identical roles, as when your
project requires multiple software engineers.

Typical roles include project sponsor, project manager, and project team members. The different
project team member roles will vary depending on your project, but be sure to include a vendor
relations role and a customer relations role.

Step 3: Hold a kickoff meeting

The kickoff meeting is a chance to bring all stakeholders together and cast a vision for the
project that everyone can get behind. It’s an opportunity to make introductions and establish
good working relationships.
At this stage, the specific details of the project haven’t been determined, so you should include a
discussion on the project scope, budget, timeline, and goals in your meeting agenda. This is also
when roles are announced and a communication plan is explained. The kickoff meeting sets the
tone for the working relationship among stakeholders for the duration of the project.

Step 4: Define project scope, budget, and timeline

After the official kickoff, it’s time to define the project scope, budget, and timeline of your
project. Each of these items is worthy of its own in-depth explanation, so we’ll just define them
briefly here.

a. Scope:

Project scope tells you what are we going to do (and not do)? Given the requests of the customer
and the vision discussed by the team, what are the objectives of this project?

b. Budget:

Taking into account the scope and the resources required to meet the project objectives, what is
the expected financial cost of the project?

c. Timeline:

The project timeline itemizes the phases of your project and the length of time you can
reasonably expect them to be completed.

Step 5: Set and prioritize goals

Once your team understands the objectives of the project and you’ve identified the phases to
meeting those objectives, break down the big picture objectives of your project into individual
goals and tasks. Prioritize tasks according to importance and dependencies.

Also, you need a system in place to ensure corrective actions when goals aren’t met on time. You
may need to adjust your timeline in light of your goals.

Step 6: Define deliverables

A deliverable, as defined by the Project Management Institute, is “any unique and verifiable
product, result, or capability to perform a service that is produced to complete a process, phase,
or project.”

Project deliverables are determined by the project objectives and are an essential part of the
project plan. If the customer’s objective is for end-users to manage their own content, for
example, the deliverables might be a piece of software that enables users to manage content as
well as training materials for employees and end-users on how to use the newly created software.
 Step 7: Create a project schedule
More than just a time table, a project schedule is a document that details the project timeline and
the organizational resources required to complete each task. Its purpose is to communicate
critical information to the team, so it must be comprehensive and easy to understand.

To create a project schedule, you need to further divide the phases of your project into individual
tasks and activities, determine dependencies, sequence the activities and estimate the required
resources and duration of each task. The information you compile in this process may reveal
necessary adjustments in your roles, timeline, and/or budget.

This is an important step in writing a simple project plan and a beneficial part of the process. It’s
much better to make these adjustments before the project has begun than weeks or months later.

Step 8: Do a risk assessment

A risk is a problem that may or may not arise over the course of your project. It’s important to
identify project risks and mitigate them at the project planning phase rather than be caught off
guard later. Hold a meeting or ask for insight from all team members about the risks you should
consider.

Areas of risk include:

 Project Scope
 Resources (personnel, financial, and physical)
 Project delays
 and Failures of Technology or Communication

There’s no way to control for all potential risks, but thinking through them ahead of time can
save your project from failure.

Step 9: Communicate the project plan

Once you’ve compiled your project plan, make sure to communicate it clearly to the team and all
other stakeholders. You may have created a project communication plan when you put together
your project schedule. If not, do it now!

Establishing solid communications channels and expectations for project communication is

crucial. As a project manager, be sure to model the kind of communication you expect from all
stakeholders.

LAND-USE PLANNING
Integrated land-use planning (called “land-use planning” here) involves the allocation of land to
different uses across a landscape in a way that balances economic, social and environmental
values. Its purpose is to identify, in a given landscape, the combination of land uses that is best
able to meet the needs of stakeholders while safeguarding resources for the future. Effective
land-use planning provides direction on the manner in which land-use activities should take
place and encourages synergies between different uses. It requires the coordination of planning
and management across the (often) many sectors concerned with land use and land resources in a
particular region.

In forestry, land-use planning involves the systematic assessment of forestland and its potential
for various land uses, a consideration of the desirability of those land uses, and an understanding
of economic, social and environmental conditions to enable the identification and adoption of the
best land-use options in a forested (or partly forested) landscape. Land-use planning is driven by
the need for (i) improved management and (ii) a different pattern of land use, as dictated by
changing circumstances.  

Benefits of land-use planning

Land-use planning is often carried out in a highly polarized public context in which decisions on
land allocation and use are a source of conflict and tension. Land-use planning can help manage
such conflicts, ease tensions, and bring about the more effective and efficient use of land and its
natural resources. By examining all land uses in an integrated manner, land-use planning
identifies the most efficient tradeoffs between land-use options and links social and economic
development with environmental protection and enhancement, thus helping to achieve
sustainable land management.

When carried out effectively, land-use planning increases certainty for stakeholders. For
example, it can help assure the timber industry of the long-term availability of timber resources
so it can invest capital with confidence.

Scale and regulatory framework

Land-use planning can be carried out at different scales, such as local, landscape, subnational,
national or regional. Land-use planning tends to be strategic at larger scales and more operational
at the local or landscape scale. Land-use planning generally takes place within a framework of
laws, policies and customary norms that guide the uses to which forestland may be allocated.

Participation and goals

Until recently, forest-related land-use planning mostly took a top-down, technocratic approach
that paid little attention to wider forest values or the interests of the full suite of stakeholders. In
many countries now, however, growing environmental awareness and increasing acceptance of
participatory democracy in forest decision-making have led to the greater use of multistakeholder
mechanisms in planning and managing forest resources.

Despite the increased involvement of various stakeholders, women are still often excluded in the
planning process. Land-use planning affects women deeply. Whereas men consider the forest in
terms of commercial possibilities, women see it as a source of basic domestic needs. Women rely
on forests constantly for their livelihoods, and the resources they collect are different from those
of men. Moreover, it is unlikely that they have any land rights or handle power positions. If
women are not included in the land-use planning, their needs may not be addressed properly and
the products they rely on may not be recognized as essential by men landowners or planners.
This could have severe consequence for women and girls such as scarcity of food and medicinal
 plants, increase of workload with a consequential loss of time for other activities (e.g. girls are
not able to go to school), and more risks for their safety if they need to travel long distances.

Key stakeholder groups should agree on the goals of a land-use planning exercise at its
commencement. These agreed goals will provide reference points for future decisions on land
allocations. 

Activities that are common to most land-use planning exercises are:

 assessing the present and future needs of stakeholders and systematically evaluating the
capacity of the land to supply them;
 identifying and resolving conflicts between competing uses, the needs of individuals and
those of the community, and the needs of the present generation and future generations;
 seeking sustainable options and choosing those that best meet identified needs and will
contribute to agreed goals; and
 allocating land to a range of uses to bring about desired changes.
The process of land-use planning is iterative and continuous. Any land-use plan should be able to
be renegotiated to take into account new information and changing circumstances and goals.

Steps in land-use planning

Step 1. Establish goals and terms of reference

Getting started

The planning effort is launched by discussions between those who want the plan (land users and
government) and the planners. This crucial first step should be a mutual exchange of ideas and
information.

The decision-makers and representatives of the people of the planning area have to brief the
planner about the problems of the area and what they want to achieve. The planner has to make
clear how a land-use plan might help. A reconnaissance field tour, during which representatives
of the people concerned are met, can be especially useful.

CHECKLIST
Step 1
GOALS AND TERMS OF REFERENCE

Responsibility: decision-makers and planners together

• Define the planning area.

• Contact the people involved.

• Acquire basic information about the area:

-land resources
- present land use
- infrastructure
- population
- land tenure
- social structure
- government
- NGOs
- commercial organizations

• Establish the goals.

• Make a preliminary identification of problems and opportunities.

• Identify constraints to implementing improvements.

• Establish the criteria for making decisions on land use.

• Set the scope of the plan.

• Set the planning period.

• Agree on the content and format of the plan.

• Decide on operational questions for the planning project: personnel, cooperating agencies,
timing, budget.

Step 2. Organize the work

What the work plan does

Work planning is not exciting. If it is not done thoroughly, however, the consequences can be a
lack of coordination, frustration and needless delays. Of course, unpredictable events will occur
but good organization can forestall many problems and help everyone to work together by
focusing their energies.

This step transforms the general planning procedure from Step 1 into a specific programme of
work. It says what needs to be done, decides on the methods, identifies who will do it, specifies
the responsibilities of each team member, schedules personnel and activities and allocates
resources for the ensuing steps in the planning process.
TABLE 1
Example of a planning table

Sen Gong District Land-use Plan

Planning step Task Resources Responsibility Due date
1. First meeting Identify Director, decision- J. Cruz 01/09/87
participants maker
Assemble Agency library, five- E.J. Evans 15/09/87
materials year plan, National
database
Arrange venue, Administration unit, M. Wong 30/09/87
support staff, motor pool
transport
3. Structure Develop Regional statistician, S. Moe (with J.E. 01/02/88
problems and questionnaire consultant on public Hoover)
opportunities involvement
3.1. Problem Identify and Contact list, interview T.F. Guy 20/03/88
statements interview key forms team vehicle,
people field assistant
Prepare problem Interview data T.F. Guy S. Moe 01/04/88
statements
3.2. Find options Set benchmarks Land resources survey S. Moe (with M. 05/05/88
for change (1985), district Wong)
agronomist, team
vehicle
Summarize Agency code book, F. Sims 30/05/88
regulations law clerk

CHECKLIST
Step 2
ORGANIZATION OF THE WORK

Responsibility: planning team leader and administrator

• List the planning tasks and activities. For each task:

- identify the people and organizations responsible for or contributing to it;

- set out the resources needed;
-estimate the time needed.
• Decide which tasks need to be completed before others can be commenced.

• Draw up a work plan for the project as a whole (table, bar chart or critical path analysis).

• Draw up individual, personal work plans.

• Allocate money and equipment.

• Arrange administrative matters and logistics:

- Check and arrange security clearances for staff and equipment, e.g. for the purchase and use of
maps, air photographs and computers.

- Budget for staff, equipment and transport costs.

- Provide for:

• transport (vehicles, spares, fuel, servicing);

• equipment;
• office facilities.

- Provide and coordinate technical support:

• inputs from other agencies

• field assistance
• laboratory
• cartography
• secretarial

-Make provision for wet or hot seasons, public and local holidays, contingencies and iteration of
steps in the planning proc

Step 3. Analyse the problems

After the previous focus on discussion, terms of reference and preparation, Step 3 is the first to
involve the detailed technical aspects of land-use planning. It is a big step. First, the existing
land-use situation has to be analysed and compared with the development goals; to do this
requires the identification of land units and land-use systems. Next, problems with the present
land use must be identified, including their nature and severity. Finally, the causes of these
problems must be analysed.

The existing situation

In Step 1, some basic facts about the area were assembled. Now it is necessary to gather
information on the existing situation in much more detail, to provide the factual basis for all
subsequent steps, up to implementation. Much of this information should be shown on maps.

Assuming that data on the administrative structure, legal framework and interested organizations
has been gathered in Step 1, the information now needed includes:

• Population. Analyse the numbers, age and sex structure, population trends and distribution.
Plot these data - towns, villages and dispersed rural settlements - on the base map.

• Land resources. Obtain, compile or, where necessary, survey land resource data relevant to the
planning task. This may include landforms, climate, agroclimatic regions, soils, vegetation,
pasture resources, forests and wildlife. (See Natural resource surveys, p. 78.)

• Employment and income. Summarize data by area, age, social and ethnic groups.

• Present land use. Existing information will often be out of date or unreliable. Make an up-to-
date land-use map. This is an essential basis for planning changes.

• Production and trends. Tabulate production data; graph production trends and economic
projections for the planning period. This information should be as quantitative as possible.

• Infrastructure. Plot roads, market and service centres on the base map.

Most of this information will be obtained from existing sources, supplemented by field
reconnaissance to check how up to date and reliable these are. Gaps of importance may need
filling in by methods of rapid rural appraisal, remote sensing and field surveys as well as talking
with people who know the area, e.g. agricultural or forestry extension staff.

Land units and land-use systems. To analyse the present situation it will be necessary to break
the area down into land units, areas that are relatively homogeneous with respect to climate,
landforms, soils and vegetation. Each land unit presents similar problems and opportunities and
will respond in similar ways to management.

Appropriate land units at the national level might be agroclimatic regions; at the district
level, land systems; and, at the local level, land facets, soil series or other soil mapping units.

The next step is to identify the more common land-use systems, areas with similar land use and
economy. These may be farming systems or systems based on forestry, etc. Land-use systems are
frequently defined in terms of dominant crops, e.g. a maize/tobacco system. Other common
criteria for differentiating land-use systems within a land unit are large and small farms or those
with and without livestock.

One practical difficulty is that neither land units nor land-use systems will correspond to the
administrative units for which economic and population data are usually available and by which
many planning decisions are taken. There is no easy solution: planners have to work
simultaneously with land units, land-use systems and administrative units.

CHECKLIST
Step 3
ANALYSIS OF PROBLEMS

Responsibility: planning team

• Collect data on the existing situation; where possible, compile maps:

- population;
- land resources;
- employment and income;
- present land use;
- production and trends;
- infrastructure.

• Sources: maps, satellite imagery, air photographs, censuses, departmental records. Check in
the field whether the sources are reliable and up to date.

• Identify and map:

- land units;
- land-use systems.

• Identify problems of land use:

- nature and severity, land units and land-use systems affected;

- analysis of causes.

• Methods: interviews with land users, local leaders, extension staff, agencies; field
reconnaissance.

• Prepare problem statements.

Step 4. Identify opportunities for change

Now that the problems needing attention are known, the next step is to consider what can be
done to solve or ameliorate them. This requires interaction between the planning team, which
devises and presents its alternative opportunities for change, the land users, who comment on
these opportunities and may offer their own solutions and the decision-makers, who choose
which alternatives are to be analysed further.
Seek a variety of solutions in the first instance, then select those that seem most promising. All
reasonable solutions should be considered in Step 4 because it becomes increasingly difficult to
follow new directions as planning progresses. It is important for the land users, planners and
decision-makers to reach a consensus about what the priorities are, and this entails both public
involvement and wide-ranging executive discussion.

Box 7
Identification of options for solving a problem

Existing situation: chronic food shortage, accelerating degradation of grazing land.

Specification for improved land use: increase rural income, arrest land degradation.

Options

• Non-land-use planning options -emigration or, in the long term, birth control.

• Do-nothing policy, which means accelerating land degradation and increasing dependence on
food aid; therefore rejected.

• A sustainable increase in production might be achieved by:

- the control of stock numbers combined with rotational grazing, allowing herbage to recover;

- a combination of controlled grazing and improved forage production by top-dressing,

reseeding and physical soil conservation measures to increase infiltration of rainfall;

- the supplementary feeding of stock during critical periods, using either imported forage or
conserved forage grown locally with the use of irrigation.

• These options merely control the livestock problem. Some alternatives are needed that will
alleviate the shortage of food and fuel. Therefore, consider:

- the diversification of land use by combining livestock, crops and possibly fuelwood production
by agroforestry, for example.

For any of these options to be implemented, there must be a reform of land tenure and grazing
rights that is acceptable to the community as a whole.

* The land-use situation (problem) is illustrated in Figure 7.

CHECKLIST
Step 4
 IDENTIFICATION OF OPPORTUNITIES FOR CHANGE

Responsibility: planning team

• Based on the goals from Step I and problem statements from Step 3, isolate problems for
which solutions other than land-use planning must be sought.

Generate a range of options for solving each problem, in terms of:

- opportunities: the people, land resources, improved technology, economic measures,

government action;

-land-use strategies: no change, maximum production, minimum investment, maximum

conservation, maximum equity;

- kinds of production, the role of conservation, self-reliance versus external investment.

• Develop realistic options that best meet the needs of production, conservation and
sustainability and that minimize conflicts of land use.

• Prepare outline budgets and time frames for each option.

• Present the problem statements (from Step 3) and the alternatives for change in terms suitable
for public and executive discussion.

Responsibility: decision-makers

• Decide if the goals are attainable.

• Select the priority problems.

• Choose the most promising alternatives for a feasibility study; specify targets.

• Specify action needed at other levels of planning.

Step 5. Evaluate land suitability

This step forms the central part of land evaluation, a procedure which answers the following
questions:

• For any specified kind of land use, which areas of land are best suited?
• For any given area of land, for which kind of use is it best suited?

A systematic way of doing this is set out in A framework for land evaluation (FAO, 1976) and
detailed procedures are given in guidelines on evaluation for rain-fed agriculture, irrigated
agriculture, forestry and extensive grazing (see Land evaluation, p.81). In simplified form, the
procedure is:

• describe promising land-use types;

• for each land-use type, determine the requirements, e.g. for water, nutrients, avoidance of
erosion;

• conduct the surveys necessary to map land units and to describe their physical properties, e.g.
climate, slope, soils;

• compare the requirements of the land-use types with the properties of the land units to arrive at
a land suitability classification.

Land cannot be graded from "best" to "worst" irrespective of the kind of use and management
practiced because each kind of use has special requirements. For example:

• Rice has high water requirements and most varieties grow best in standing water; no other
cereal crop will tolerate waterlogging during its period of active growth.

• Tea, sugar cane and oil-palm need efficient transport to processing plants; most crops grown
for subsistence do not.

• For mechanical operations, stones and rock outcrops are limiting; with oxen or hand
implements, cultivation can work round these obstacles.

TABLE 3
Description of a land-use type

TITLE Rice cultivation by smallholders

PRODUCTION Marketing Grain for subsistence, surplus sold in local market. Straw fed
arrangements, yields to draught animals. Average yield, 2.6 t/ha. When water is not
limited, wet-season yield may be 4 t/ha and dry-season yield
may be 5 t/ha
MANAGEMENT UNITS Size, Family-owned plots from 0.2 to 2 ha, usually associated with
configuration, ownership as many as 4 ha of upland which may be up to 2 or 3 km
distant
CULTIVATION PRACTICES Labour requirements from 200 person-days/ha without
AND INPUTS Labour, skill, mechanization to 150 person-days/ha where buffaloes or
power, varieties, seeds, tractors are used Terraced fields need extra labour to maintain
agrochemicals bunds and waterways
Power requirements. Power for ploughing, harrowing and
threshing may be provided by two-wheeled tractors.
Alternatively, buffaloes may be used for land preparation or
all work may be manual. Tractors may reduce tillage time by
 60% and total time between crops by 30%
Land preparation seeks to control weeds, create a good
physical medium for rooting and reduce water seepage loss.
This is achieved by ploughing or hoeing twice, followed by
harrowing under flooded conditions
Recommended varieties. Varieties are selected locally to suit
specific sites and according to the season. The growing period
must be long enough to span the flood period and to allow
cultivation and harvesting under favourable conditions.
Planting rates are 20 to 40 kg/ha, seedlings are spaced from
20x20 to 25x25 cm depending on tillering capacity and length
of stalks
Fertilizer. To replace nutrients removed by a crop of 4 t/ha
requires 60 kg N. 30 kg P2O5
Weed control by maintaining adequate water depth and hand
weeding until the crop canopy is closed
Pests and diseases. Chemicals used to control rice blast and
stem borers. Good husbandry and resistant varieties control
other fungal diseases
CROPPING Rice is grown as a monoculture, one or two crops per year.
CHARACTERISTICS Fallow land is grazed by draught buffaloes and other domestic
livestock
WATER Most crops are rain fed, with water stored in level, bunded
fields. Irrigation, from tanks or by stream diversion, enables a
second crop to be grown in the dry season

In any particular project, only a limited number of land qualities need be selected for use in
evaluation. Criteria for selection are:

• The quality must have a substantial effect either on performance or on the costs of production.
Some qualities affect most kinds of land use, for example "availability of water"; others are more
specific, for example "conditions of ripening" is a quality that affects grain crops but not rubber.

• Critical values of the quality must occur in the planning area. If a quality is adequate
everywhere, there is no need to include it. For example, most tropical crops are sensitive to frost
but, in most parts of the lowland tropics, the land quality "frost hazard" need not be considered.

TABLE 4
Land qualities for rain-fed farming

Land qualities Land characteristics that measure the quality

Availability of energy Sunshine hours in growing season, temperature regime
Availability of water Evaporative demand set against rainfall, soil water storage and
 rooting conditions
Conditions for ripening Period of successive dry days with specified sunshine and
temperature
Climatic hazards Frequency of damaging frost, hail or winds during growing
period
Sufficiency of oxygen in the Soil drainage class, depth to water-table
root zone
Sufficiency of nutrients Soil nutrient levels, pH, organic matter content
Erosion hazard Rainfall and wind erosivity set against soil cover, slope angle and
length and soil permeability
Toxicity Levels of soluble Al and Fe; pH

TABLE 5
Structure of the FAO land suitability classification

S SUITABLE The land can support the land use indefinitely and benefits justify
inputs
S1 Highly suitable Land without significant limitations. Include the best 20-30% of
suitable land as S1. This land is not perfect but is the best that can be
hoped for
S2 Moderately Land that is clearly suitable but which has limitations that either
suitable reduce productivity or increase the inputs needed to sustain
productivity compared with those needed on S1 land
S3 Marginally suitable Land with limitations so severe that benefits are reduced and/or the
inputs needed to sustain production are increased so that this cost is
only marginally justified
N NOT SUITABLE Land that cannot support the land use on a sustained basis, or land on
which benefits do not justify necessary inputs
N1 Currently not Land with limitations to sustained use that cannot be overcome at a
suitable currently acceptable cost
N2 Permanently not Land with limitations to sustained use that cannot be overcome
suitable
Examples of classes in the third category
S2e Land assessed as S2 on account of limitation of erosion hazard
S2w Land assessed as S2 on account of inadequate availability of water
N2e Land assessed as N2 on account of limitation of erosion hazard

Note: There is no standard system for letter designations of limitations; first-letter reminders

should be used where possible.
TABLE 6
Example of land requirements for a specified land-use type (bunded rice)

Land qualities Land Limiting values for land characteristics

characteristics S1 S2 S3 N
Sufficiency of Mean annual >24 21-24 18-21 <18
energy temperature,
(°C) or
Elevation (m)* 0-600 600-1200 1200-1800 >1800
Sufficiency of 75% probability >1300 900-1300 500-900 <500
water rainfall (mm)
Soil drainage class Poorly Imperfectly Moderately Excessively
drained drained well drained drained
Soil texture C, ZC, SC, SCL, ZL, SL S, LS
ZCL, L Z
Soil depth (cm) >80 60-80 40-60 <40
Sufficiency of pH of flooded soil 6-7 56 4.5-5 <4.5
nutrients     7-8 8-8.5 >8.5
-1
Salinity hazard ECe (mS cm ) <3 3-5 5-7 >7
Ease of water Slope <1 1 -2 2-6 >6
control angle (degrees)
Ease of Stones and rock Nil 1-5 5-10 >10
cultivation outcrops (%)

* Elevation is used to assess sufficiency of energy where temperature data are not available;
these values apply to Sri Lanka.
Source: Dent and Ridgway (1986).

CHECKLIST
Step 5
LAND SUITABILITY EVALUATION

Responsibility: planning team

• Describe land-use types in sufficient detail for subsequent analysis.

• Select land qualities and land characteristics to be used in comparisons of land-use

requirements with land.

• Map the land units and determine their relevant land characteristics and qualities.

• Set limiting values to land-use requirements, to be used for determining class limits for land
suitability. Take into account sustainability and the ratio of benefits to inputs.

• Match land use with land:

- compare land-use requirements with land qualities or characteristics to determine provisional

land suitability classes;

- consider modifications to land-use types, in order that they become better suited to the land;

- consider land improvements that could make the land better suited to the land use.

• Map land suitability for each land-use type.

• Plan for research needed: additional surveys, research by outside agencies or within the land-
use plan.

Step 6. Appraise the alternatives: environmental, economic and social analysis

The evaluation carried out so far has been essentially in terms of physical suitability. An
assessment has been made of whether different kinds of land use can be undertaken on a
sustained basis.

In Step 6, the effects of each alternative use are appraised in environmental, economic and social
terms.

Obviously, these aspects have not been ignored: they generally guided the identification of
promising options at Step 4. Now, those that passed this first test are formally appraised against
the selected criteria. In this step, it is essential to examine land-use proposals from the standpoint
of the capabilities and incentives of individual land users.

Box 8
Measuring the worth of a land-use system

• Gross margin. The market value of the produce minus the variable costs that are attributable
directly to the product (in the case of an agricultural crop - seeds, fertilizer, fuel, water, labour,
hired machinery, etc.).

• Net margin. Gross margin minus the fixed costs of production (for example, depreciation of
farm equipment, buildings, water distribution, soil conservation works).

• Results of gross margin or net margin analysis can be interpreted in several ways:

- Which is the best land for each crop or land-use type?

- Which is the best use for each land unit?
- Will a proposed change be profitable?

• Partial farm budgeting, calculating only the effects of any proposed changes in land use, is a
simple way of projecting the farm-level effects for representative farmers. The difference
between net income accruing under a present and an alternative land use is usually referred to as
"returns". Investment, maintenance and other costs needed to bring about desired changes in
land use are referred to as "costs" .

• Where capital investment is involved - for example in land improvements that will lead to a
stream of benefits over a long time - discounted cash flow analysis can be used to place the costs
and benefits on a comparable basis, i.e. their present value. Money earns interest so its value
increases over time. In the same way, income promised in the future is worth less than the same
income now, and its present worth can be calculated by the reverse of interest, called
discounting. The interest rate assumed for discounting is called the discount rate.

• Discounted cash flow analysis of all benefits and all costs to their equivalent present value
produces three measures of the worth of a stream of income which can be used to compare land
development options with alternative opportunities for investment:

• Net present worth. The present worth of benefits minus present worth of costs.

• Benefit: cost ratio. The present worth of benefits divided by the present worth of costs.

• Internal rate of return. The rate of discounting at which the present worth of benefits
becomes equal to the present worth of costs.

Plate 5: Environmental problems from capital works. The Volta Dam, Ghana - Large
engineering projects create dramatic local environmental changes but may also have far-
reaching indirect impacts. A reduction in the sediment load of the Volta River has changed
the pattern of coastal erosion and sedimentation more than 100 km away

One way of doing this is to model the performance of different options and their effects on
representative land users. A word of caution is necessary: quantitative data are not necessarily
better, more reliable or more accurate than qualitative data. Sophisticated models need a lot of
data and make assumptions that should be clearly understood before the models are applied to
particular problems. There will be many cases where a qualitative judgement is more
appropriate.

Environmental impact

The land suitability evaluation has already classified as "not suitable" any land use that
continually degrades the land. An analysis of environmental impact goes further. It compares
what will happen under each alternative system of management in terms of the quality of life of
the whole community and takes account of effects both within and beyond (off-site effects) the
planning area.
In-depth knowledge of physical, chemical and biological processes and how these interact with
society is needed to foresee the likely environmental impact of a specific land-use system. Often,
the impact of a particular activity may be long term or several stages removed from the primary
cause of the problem. For example, in Sri Lanka coastal erosion and flooding have been caused
by the exploitation of protective underwater coral barriers for lime production. In West Africa,
current coastal erosion has been attributed to big dams, built on major rivers over 20 years ago,
which have intercepted the supply of sediment to the coastal zone (Plate 5).

Following are examples of the environmental effects to be considered:

• Soil and water resources. Hazard of soil erosion, landslides and sedimentation; security of
water supply and water quality within and beyond the planning area.

• Pasture and forest resources. Degradation of rangelands, clearance or degradation of forests.

• Quality of wildlife habitat. Structure and composition of forests, grasslands and wetlands;
critical areas needed to maintain wild plant and animal communities, including germplasm
conservation; side-effects of terrestrial developments on wetland ecosystems;

• Scenic and recreational value for tourism and leisure industries. Tolerance of the disturbance
associated with leisure, and compatibility with other land uses.

Economic analysis

In Step 5, land suitability is expressed either in qualitative terms (highly, moderately and
marginally suitable, or not suitable) or in quantitative physical terms (e.g. crop or timber yield).
By comparing the production and other benefits with inputs in terms of money, an extra
quantitative measure of land suitability is provided (see Financial and economic analysis, p. 81).

An underlying assumption of financial and economic analysis is that market prices, established
in competitive markets, reflect social values. Where there is no competitive market for a
resource, which is often the case with renewable land resources and family labour, some other
measure of worth has to be found.

Financial analysis looks at profitability from the point of view of a farmer or other private
investor, by comparing the producers' revenues with their costs. Farmers will not practice a land
use unless, from their point of view, it pays. Financial analysis can answer some immediate,
practical questions:

• Is this crop, or land use, the most profitable option?

• Where can this crop be grown, or land use practiced, most profitably?

Economic analysis estimates the value of a system of land use to the community as a whole. For
example, if prices to the producer are reduced by taxes or held at an artificially high value by
subsidies, these taxes or subsidies have to be eliminated to arrive at a shadow price for
production. Costs have to be treated in the same way.
Where there are clear economic consequences of environmental effects, for example the
reduction of sediment in rivers, the money value to the community can be estimated and included
in economic analysis.

Comparisons of financial with economic analysis can highlight the need for policy changes. A
particular land use, for example high stocking rates on communal grazing land (which is free to
the producer), may be degrading pastures and soils, thus destroying land resources. If financial
analysis shows the use to be advantageous from the farmers' point of view, it is likely to
continue, however environmentally or, in the longer term, socially damaging it is. Economic
analysis should take account of damage to land resources and the consequent lowering of their
productivity. Policy changes will be needed to make a socially desirable kind of land use equally
advantageous to the farmer. Similarly, financial analysis may demonstrate that farmers do not
have an incentive to produce a surplus for sale. If government policy requires increased
production, a change of pricing policy may be an effective way to provide incentives to achieve
the desired change.

CHECKLIST
Step 6
APPRAISAL OF ALTERNATIVES: ENVIRONMENTAL, ECONOMIC AND SOCIAL
ANALYSIS

Responsibility: planning team

• The following studies refer first to individual combinations of land use with land units that
have been classed as suitable in physical terms and, second, to alternative combinations of land
use that are being considered in the plan.

- Environmental impact assessment: soil and water resources, pasture and forest resources,
wildlife conservation, resources for tourism and recreation; off-site effects.

- Financial analysis: are the proposed land-use types profitable for the farmer or other land
users?

- Economic analysis: what is the value of the proposed changes to the community, within and
beyond the planning area? Are there areas of land of critical importance (for production or
conservation) for certain uses?

- Social impact: what effects will the proposed changes have on different sections of the
community, especially women, minority groups and the poor?

- Strategic planning: how do the proposed changes in laud use affect wider aspects of rural
development planning, including national goals?

Step 7. Choose the best option

Planning as a decision support system

At the point of decision, the roles of the planner and the decision-maker must interact. The
planner has to assemble and summarize the facts needed to make an informed decision - namely
the results obtained from the previous steps. The decision-maker has to choose the land-use
option that best meets the goals.

Figure 12 represents decision-making as a process of choosing between a range of options, with

the preceding steps of land-use planning shown as a decision support system. It may be obvious
which option is best, or else the choice may involve careful judgement.

In simple cases, a good decision may be made by intuitively weighing the evidence that has been
built up through the previous steps of planning.

TABLE 7
Example of a goals achievement matrix: Dedza District, Malawi

1. Data from Step 6

Land-use type Net income Net income Population Environmental

(#) per ha (#) per carrying capacity impact
caput per km²
Annual crops with 113 36 312 Moderate
livestock, improved
management, 1.6 he farms
Annual crops without 50 30 167 Moderate
livestock, improved
management, 3 ha farms
Coffee, improved -10 -16 156 Low
management, 1.6 he farms
Ranching -2 75 3 Low
Forestry 63 51 63 Low

2. Goals achievement, as a percentage of the best option for each criterion

Land-use type Return per Return per caput Population carrying Environmental
ha employed capacity impact
Annual crops with 100 48 100 70
livestock
Annual crops only 44 40 54 60
Ranching 2 100 1 90
Forestry 56 68 40 100
3. Goals achievement, weighted by the decision-maker's judgement of the importance of each
criterion

Land-use type Return Return Population Environmental Total goals

per ha per caput carrying impact achievement
capacity
Weighting 0.3 0.2 0.3 0.2 1.0
Annual crops 30 10 30 14 84
with livestock
Annual crops 13 8 16 12 49
only
Ranching 1 20 1 18 39
Forestry 17 14 12 20 63

Source: Dent and Young (1981).

TABLE 8
Example of a summary table of land use: Walapane AGA, Sri Lanka

Land use by crop Potential Area Areas planned for Estimated

area actually used change this year production this year
(hectares) (tonnes)
Irrigable land
Double cropped rice 1840 650 +140 1500
Single cropped rice - 450 -32 800
Rain-fed arable land
Bunded rice 2250 1610 -108 1750
Tobacco - 1900 -300 ...
Subsistence upland <4 000 2000 -200 ...
crops
Other chena land - 2320 -100 ...
Improved mixed - 48 +200 140 l.u.
cropping + livestock
Tea
Estate seedling - 6500 -120 3900
Clonal 5250 370 +120 250
Smallholders - 120 No change 48
Forest
Dense 29980 1630 No change Reserve
Open - 3110 No change ...
Scrub - 1190 -280 ...
Plantation - 4780 +400 4000 m³
Grassland Not estimated 1070 No change 400 l.u.
Urban Not estimated 10 No change -
Water 490 490 No change -
Unusable land 130 130 No change -

Note:
... data not available.
l.u. = livestock units.

TABLE 9
Example of a tabular plan format1

Land units Mountains Basins

12-28° slopes Terrace Bottomland Steep knolls
8-20° slopes
Present land Subtropical mixed Well-managed paddy. tobacco and Badly managed tea
use broadleaf forest, 30% vegetables or waste
degraded
Problems Accessibility, landslips, Water shortage in dry periods: low Severe soil
soil erosion on recently incomes. modest rice yield on coarser erosion: low yields
logged sites soils. Flooding in bottomland. Water
pollution from paper mill effluent
Planned Replant degraded land. Increased fertilizer Fish pond Upgrade better tea
changes Bamboo and spruce use and high yielding project sites. Farm
plantations on lower rice on best paddy woodlots of quick
gentle slopes: pines on soils to release more growing species
poorer sites irrigated permeable soils for for the rest
fruit trees
Standards Strict control of Upgrade extension services. Advise on For tea. mulch
logging within limits of agrochemical practices to avoid during replanting
regeneration. pollution. Weirs to control water and pruning: build
Extraction routes to supply. Do not use field runoff for fish back sloping
avoid landslip hazards ponds. Divert paper mill effluent terraces and
protected
waterways

1
 This is essentially a legend to the planning map which shows the land units and locations of
special projects such as the fish ponds and farm woodland projects.

At this point the decision-maker can appraise the overall situation and, if dissatisfied with the
achievement of any particular policy guideline, can adjust the weighting of the criteria or
introduce new ones. With the aid of a computer, a new land-use pattern and its suitability scores
can be produced quickly and, perhaps over several iterations between the decision-maker and the
decision support system, an optimum solution may be arrived at.

Good land-use decisions can be arrived at without the assistance of a computerized decision
support system. The procedure is the same whether a computer is used or not but the computer
package enables the decision-maker to take account of much more information and to learn from
predicted consequences of alternative decisions.

CHECKLIST
Step 7
CHOICE OF THE BEST OPTION

Responsibility: planning team

• Set out a series of options for the allocation or recommendation of land-use types to land units.
Also state their evaluation in terms of land suitability and environmental, economic and social
analysis.

• Set out the consequences of these options in terms of the goals and planning objectives.

• Present the options and their consequences in a way that is appropriate for review.

Responsibility: planning team and decision-makers

• Make arrangements for consultations with the communities affected as well as with the
implementing agencies; obtain views about feasibility and acceptability.

• Assemble and review the comments received. In the light of these, make any necessary
changes to the options.

Responsibility: decision-makers

• Decide if the response to comments is adequate.

• Consider the options in terms of goals and policy criteria.

• Choose the best option.

• Authorize preparation of the plan.

Step 8. Prepare the land-use plan

At this point, a report is written which has two major functions:

• to present the plan that is now recommended, with reasons for the decisions taken - that is, to
summarize the results from Steps 1 to 7;
• to prepare for implementation.

The preferred option for change must be put into a form in which it can be reviewed and, when
approved, acted on A specific land-use plan, intended to be implemented as a development
project, is the principal way of doing this. However, depending on the level and purposes of the
planning study, the results may also be implemented as guidelines for priorities or by being
incorporated into legislation, development budgets, agency programmes, management standards
and extension programmes.

The following discussion relates mainly to results being incorporated into a specific land-use
plan that is implemented as a development project.

Three elements in the plan that is now prepared are:

• What should be done? - the selected changes to land use and where they should be applied or
recommended.

• How should it be done? - logistics, costs and timing.

• Reasons for the decisions taken.

Writing the plan

The first need is to set out, in summary form and then in more detail, the land-use allocations or
recommendations that were selected in Step 7. In this initial presentation, under a heading such
as "Land-use recommendations", set out the selected option, without confusing the reader by
references to rejected alternatives. This part of the text will be read by those who need to know
what is to be done next. An important part is a description of the selected land-use types,
including their management specifications and the land units for which they are recommended.

Figure 13: Mapping development possibilities (Kaduna Plains, Nigeria)

Source: Hill (1979).

Type of Summary definition of development

development
1. Integrated (a) In densely Establishment of integrated agricultural development
agriculture projects aimed at increasing. existing agricultural
production per hectare by improving infrastructure
(communications, supply of agricultural inputs,
produce marketing, credit facilities and extension
service coverage). Run by a semi-autonomous
project authority, making use of self-help wherever
possible. Allied to general improvement of social
services.
 (b) In sparsely As above but also able to increase production by
cultivated areas increasing the area under cultivation and/or
introducing "mixed farming".
2. Mechanized farming Establishment of large mechanized farms (>1000
ha), requiring a high level of management expertise
and mechanization of all stages of production from
land preparation to harvest. Good planning and
adequate conservation measures are essential.
Limited to sparsely cultivated areas.
3. Traditional grazing Improvement of traditional grazing, including
control of stock numbers, the elimination of
unregulated burning and the introduction of forage
species into natural grassland. These measures,
together with the establishment of grazing reserves
and the allocation of grazing rights, are components
of a suggested programme to be organized at the
interstate level. Limited to sparsely cultivated areas.
4. Grazing reserves Establishment of reserves in the major traditional
wet and dry-season grazing areas and along
migration routes, with additional reserves within
areas freed or being freed by the tsetse eradication
programme. Provision of adequate water supplies,
veterinary services and improved natural grassland
coupled with strict control of stock numbers. Limited
to sparsely cultivated areas.
5. Cattle ranches and dairy farming Establishment of ranches for "growing out" cattle
drawn from Fulani herds. Stock numbers restricted to
2000 head until the viability of the ranch is
established. Area not less than 2000 ha per 1000
head of cattle with 1200 ha for wet-season and early
dry season grazing and 800 ha for fodder grass to
provide additional dry-season roughage
Supplementary dry season feeding by cottonseed.
cottonseed cake, groundnut cake. brewer's grains or
molasses as available. Limited to sparsely cultivated
areas.
Establishment of dairy herds of not more than 100
milking cows. Total area not less than 250 ha with
130 ha improved pastures for wet- and early dry-
season grazing and 50 ha to provide additional dry-
season feed, supplemented by locally available
concentrates and crop residues
6/7. Production 6 Development for Development financed and managed by government
forestry production of timber and covering a few to 100 ha in one location, usually
for sawn timber production for local use
 Alternatively, run by a commercial company at a
minimum annual planting rate of 400 ha for sawn
timber or pulp Confined to forest reserves
7. Development for (a) Production by state and federal departments in
production forest reserves
of fuelwood and poles (b) Production by farmers on small woodlots, backed
by extension service
(c) Extraction from areas of natural vegetation in
forest reserves.
8. Protection forestry: reservation to Protection of existing and establishment of new
protect areas against erosion or strict forest reserves in areas with slopes greater than 10%
conservation measures (6°) where conservation is required.
Protection required only in parts of the area

Following this, reasons for the choices and decisions made must be given, again both in outline
and in some detail. These explanations are needed by funding agencies wishing to review the
soundness of the proposals from technical, economic or other viewpoints. The basic data also
constitute a baseline for future monitoring and revision of the plan. The more basic information
available, the easier it becomes to revise the plan in the future (Step 10).

Box 9
Example of headings for a land-use plan

TITLE

Land-use plan for...

• Note that until the plan has been approved by the decision-maker, it is a "proposed land-use
plan".

SUMMARY

• Highlight problems, recommendations and the main reasons for these recommendations.

INTRODUCTION

• The long-term goals for the planning area and the purpose of the plan

• Relationship with other documents. Briefly describe legislation and any higher-level plans as
well as local plans that are related to this plan.

• Description of the planning area. A brief overview of location, area, population, land
resources, current land use and production

MANAGEMENT PROBLEMS AND OPPORTUNITIES

• Statement of land-use problems and opportunities.

• Rationale for the selected option.

• Summary of the changes the plan will bring about, by subject area or geographic area.

DIRECTION

• List land-use types and standards that apply to the whole planning area and to individual
planning units.

• Identify projects. Illustrate with maps and diagrams.

• Time scale for action.

MONITORING AND REVISION

• Describe the procedure for reviewing progress and revising the plan.

WORK PLAN FOR IMPLEMENTATION

• List individual projects with details of location, time, resources required and responsibility for
implementation.

APPENDIXES

• Supporting information:

- physical environment, planning units, agroclimate and soil data;

- population, settlement, infrastructure, tenure;
- present land use;
- land-use types and land requirements;
- land suitability;
- economic projections.

Public relations material

Relatively few people will read the full planning document, a larger number will read the
executive summary, but a lot of people need to be informed about the plan. Each implementing
agency needs clear instructions, set in the context of the plan as a whole.
Equally important is a range of public information documents, posters and press releases which
are needed to inform the people about the plan, its relevance, the benefits to the community as a
whole and the participation needed from different sections of the community. This additional
material will draw on the main report but should be specially prepared and well illustrated to
secure the most effective participation of all parties.

CHECKLIST
Step 8
PREPARATION OF THE PLAN

Responsibility: planning team

• Prepare maps - the basic or master land-use plan and supporting maps.

• Set out the land-use allocations and recommendations, based on the preferred option selected
in Step 7. Give descriptions of land-use types, including management recommendations on each
kind of land.

• Set targets for achievement, by land-use type, area and agency. Specify how they will be
reached. Check that they are within the capabilities of the agencies and infrastructure.

• Draw up logistic preparations, specifying the capital works, recurrent inputs and
responsibilities for implementation.

• Establish mechanisms for monitoring progress and revising the plan (Step 10).

• Make arrangements for research needed to support the plan.

• Determine the finance needed for each operation and determine sources of funds.

• Write the report - executive summary, main report, maps and appendixes.

• Establish mechanisms for communication with, and the participation of, all institutions
involved.

• Prepare public relations material.

Step 9. Implement the plan

The objective of the entire land-use planning exercise so far has been to identify and put into
practice beneficial land-use changes. Hence, implementation is included as a "step" in the
planning process, albeit a step of a different nature.

At the national level, implementation is likely to be through policy guidelines which may also
serve as a framework for selection of possible projects at the district level. In this sense, the
planning team remains throughout a part of implementation, supplying information to
government as a basis for decisions.

At the local level, implementation is sometimes carried out almost contemporaneously with
planning. The planning team may move from one locality to another and draw up detailed plans
for implementation (within a framework set at the district level), while leaving the local
extension staff, village agricultural committees or other local agencies to put the plan into
practice. At the district level, the plan will frequently be implemented by means of a
development project. There may be a time gap between planning and implementation for
financial, bureaucratic or political reasons. The responsibility for putting the plan into effect rests
with the decision-makers, the implementing agencies and the people of the area.

The decision-makers have to release funds, instruct sectoral agencies and facilitate the work of
private-sector collaborators. Governments may use incentives such as grants and subsidies and
may introduce regulations. Sectoral agencies such as the Forestry, Agriculture and Irrigation
Departments may work directly where they have the necessary staff and experience;
alternatively, they may work indirectly by training as well as through extension services, field
demonstrations and workshops.

Participation

It should be clear from all that has been said that land-use planning must involve the local
community, the technical agencies and decision-makers at all levels. Their participation has to be
built into the planning process.

Among the many reasons for this are:

• that the right questions be addressed - different groups of people can have very different
perceptions of land-use problems and opportunities, and specialists do not always know best;

• to make use of the fund of local knowledge of the land and the economy of its use;

• to draw on the inventiveness of local people, technical staff and administrators - locally
developed solutions will be accepted and implemented more quickly than external technology;

• planning time and skills are limited, so planning down to the last detail is not a realistic option -
if land users are committed to the broad outlines of the plan, they will attend to the details
anyway.

CHECKLIST
Step 9
IMPLEMENTATION OF THE PLAN
 Responsibility: implementing agencies and planning team together

Implementation involves a wide range of practical activities, many of which lie beyond the
scope of these guidelines. The following refer specifically to roles that the planning team may
undertake.

• Ensure that the changes recommended in the plan are correctly applied in the plan; be available
for technical consultations; discuss with implementing agencies any suggested modifications.

• Help to maintain communications between all people and institutions participating in or

affected by the plan, i.e. land users, sectoral agencies, government, non-governmental
organizations, commercial organizations.

• Assist in coordination of the activities of the implementing agencies.

• Assist in institution-building by strengthening links between existing institutions, forming new

bodies where necessary and strengthening cooperation.

• Focus on the participation of the land users; ensure adequate incentives.

• Organize research in association with the plan; ensure that results from research are
communicated and, where appropriate, incorporated into the plan.

• Arrange for education and training of project staff and land users.

Step 10. Monitor and revise the plan

Now the planning process comes full circle. Information is needed on how well the plan is being
implemented and whether it is succeeding, so that the implementation agencies can improve the
way in which the plan is being applied and so that the planning team may learn from experience
and respond to changing conditions. It is necessary to know:

• Are the land-use activities being carried out as planned?

• Are the effects as predicted?
• Are the costs as predicted?
• Have the assumptions on which the plan was based proved to be correct?
• Are the goals still valid?
• How far are the goals being achieved?

Monitoring

Data are needed to answer all these questions, but data collection must not be allowed to become
an end in itself. The more time spent gathering data, the less available for analysis and action.
Focus on readily measurable outputs or land conditions relevant to the planning goals and use
established methods of data collection such as product sales records. Rank the importance of
items to be measured, so that time and budget constraints do not prevent important data from
being acquired. Crop yield, rates of tree growth and livestock production are obvious indicators.
Other critical data sets are linked to the nature of the plan; for example, the monitoring of water
availability in irrigation projects or of river sediment load in projects intended to check erosion.

Monitoring may involve observations at key sites, regular extension visits and discussions with
officials and land users. A checklist and periodic meetings in the planning area may serve the
purpose. Those responsible for plan implementation should list the tasks needed to correct
problems as they arise and should also take action.

Review and revision

By analysis of the data collected, compare what has been achieved with what was intended.
Identify problems in the implementation of the plan, or in the data or assumptions on which the
plan is based.

There are a wide variety of reasons for failure. The first is that the plan was found to be based on
incorrect assumptions; for example, that low crop yields were caused by a lack of fertilizer when
in fact the major constraint is water. There may be changes in economic circumstances, such as
when the world price of a cash crop falls. Often, failures occur in the logistics of implementation;
if monitoring finds that fertilizers are not reaching farmers, is this a result of inefficiencies in the
distribution system? Lastly, there may be problems of communication and participation, such as
farmers who are not in fact planting the multipurpose trees that are recommended. Such
problems should first be approached by finding out the reasons through talking to farmers.

Try to find solutions to the problems and discuss them with those who have to initiate corrective
action. For minor changes, this can be at the level of the implementing agencies, for example in
the form of revised extension advice. More substantial changes, amounting to a revision of the
plan, must be referred to decision-makers. Continuous minor revisions are to be preferred where
possible, since the attempt to make more substantial changes can lead to delays. However, there
is no point in persisting with methods that are clearly failing to achieve their objectives.

This is the point at which benefits can be derived from the research initiated as part of, or in
association with, the plan. If some of the problems encountered were anticipated, shell research
results may be available. This applies both to technical problems, for example of plant nutrition
or water quality or social difficulties. Where new problems arise, additional research will have to
be undertaken.

CHECKLIST
Step 10
MONITORING AND REVISION

Responsibility: planning team

• List the goals and criteria achievement agreed in Step 1. Add any that emerged later in the
planning period.

• Gather data relevant to each criterion of attainment: physical, economic and social.

• Compare what has been achieved with what was planned. Identify elements of success and
failure.

• Seek explanations for failures. Were they caused by:

- Incorrect assumptions of the plan?

- Changed economic or political circumstances?
- Logistic problems of implementation?
- Problems of communication and participation?

• Review the goals: are they still valid?

• Initiate modification or revision of the plan:

- minor modifications through action by implementing agencies;

- larger revisions by the preparation of proposals and reference back to decision-makers.

LAND-USE PLANNING SAMPLE

Farmland continues to be lost to nonagricultural uses as population and development pressures
increase. This cropland in Pennsylvania is being encroached by housing developments.
Land-use planning can help coordinate various land uses in a watershed, thereby minimizing
conflicts and sustaining water quantity and quality for future generations. This schematic
represents typical land uses and conservation strategies that might be found in a coastal mountain
watershed.

PUBLIC FACILITY AND TRANSPORTATION PLANNING

A public facility is defined as a building in which government operations or activities occupy

more than 4,000 square feet, a dedicated park exceeding 1.5 acres, a street of collector or greater
capacity, or a snow disposal site.
Site Selection and Site Plan Review
Municipal land use regulations (Title 21) require that the Planning and Zoning Commission
review proposed site selections for public facilities such as fire stations, schools and libraries.
The Commission reviews plans for consistency with the goals, policies and land use designations
of the Comprehensive Plan and other municipal plans adopted by the Assembly, as well as
conformity with Title 21.  Municipal regulations also require the the Urban Design Commission
review proposed public facility project site plans.
Role of the Long-Range Planning Division
Long-Range Planning assists with site selections for a variety of public facilities.  The division
may coordinate the review process, meet with the agency and its design consultants to determine
how the project may best conform to code requirements, and prepare the department's
recommendation to the Planning and Zoning Commission.  In some cases, Long-Range Planning
prepares or assists with the site selection final report for review by the Commission.  The
Commission considers the effects of a site proposal on the surrounding area.  The type, size,
number, and location are important factors in the distribution of such facilities in a growing and
changing community.
Long-Range Planning also assists with public facility site plan reviews.  Staff considers off-site
impacts of the facility site plan, pedestrian and vehicular traffic circulation and safety, and
efficient public use, among other factors.  The Urban Design Commission reviews public facility
site plans based on these and other planning and design considerations.  The Zoning and Platting
Division generally prepares the department review for these site plans.
Successful public facility planning historically have met both the practical, functional needs of
society and, at the same time, have expressed cultural and civic aspirations.  The objective of
public facility planning is to make realistic, buildable plans that create new and beautiful places. 
This includes:
Reviewing proposed site selections and site plans for public facilities such as parks, trails,
schools and libraries.  Reviewing plans for consistency with the goals, policies and land use
designations of municipal plans adopted. Investigating the effects of a proposal on the
surrounding area.
Landscaping review regarding cost, feasibility and design criteria. Other factors include off
site impacts of the facility, safety, efficient public use, visual attractiveness and architectural
considerations.
Reviewing planning and design criteria include an assessment of how the landscaping
complements adjacent areas, enhances on-site use of the facility, and contributes to the visual
attractiveness of the project.

HOW DOES THE FACILITY PLANNING PROCESS WORK?

Facility Planning for transportation improvements is an evaluation process that furnishes design
plans which are approximately 35% complete. It is managed in two phases.

Phase I addresses two essential questions:

What will the improvements be?
Why are the improvements necessary?

Phase II addresses:
How will the improvements be performed?
How long with the design/construction take?
How much will the improvement cost?

The components of both Phase I and II provide enough information for elected officials to
determine whether or not the project is justified to be fully funded for design and construction.
Phase I
 MAP Mobility Action Plan
 Background Data Collection
 Public Input
 Travel Demand Forecasting
 Purpose & Need
 Conceptual Alignments & Typical Sections
 Preliminary Impacts
 Public Meeting #1 to present Alternate Alignments
 Concept Plans
 Public Meeting #2 to present chosen Alignment 11.Project Prospectus and Director of
DPWT Approval

BACKGROUND DATA COLLECTION

The goal of a project study is to determine the existing conditions and proposed future
developments expected in the Study Area. The data collected forms the background and basis for
the project assumptions, including:

Project Study Area (project limits and areas immediately adjacent to or directly influenced by the
project)
Planimetric data (topography, location of rivers, streams, wetlands, and buildings, roads and
misc. transportation features)
property boundaries
Master Plan/zoning information
Traffic counts (intersection turning volumes; average daily traffic volumes)
Ridership forecasts; existing and proposed transit service
Other transportation projects or planning efforts in the Study Area
Environmental features (wetlands; specimen trees; parks, historic sites; etc.)
Noise sensitive locations (schools; parks; churches; etc.)
Flood plain areas
Accident data (for road projects)
Existing road geometry (curves, hills, pavement widths)
Existing traffic controls (traffic signals; stop signs; turning restrictions; weight limitations; etc.)

PUBLIC INPUT
Public input is an important part of the facility planning process. Usually one or more public
briefings are held to inform the public of the project under study and to describe the project's
scope or specifics (i.e. build a new facility: road, transit project or sidewalk; widen a road; etc.).
Throughout the project study the public is encouraged to provide input to the Project Manager
via Public Comment Forms distributed at the Public Briefings or by direct contact with the
Project Manager.

TRAVEL DEMAND FORECASTING

Beginning with a base of existing traffic, future travel demand takes into account future
development, the fixture road network, and annual traffic growth. Average daily traffic volumes,
peak period traffic volumes, and turning movements are developed for various years as follows:
Current Year forms the base line from which to understand existing conditions
Projected "Open to Traffic" Year- approximately ten years from start of project study, and
approximately twenty years from start of project study.

PURPOSE AND NEED

Once the existing and future conditions are known in the Study Area and future travel demand
has been determined, the project is then evaluated to see if it is or will be necessary (NEED). If
current or future conditions warrant improvement, then the project is evaluated to determine if
the project, as proposed, will serve the current or future needs in the Study Area (PURPOSE). If
an improvement is needed and the current project has PURPOSE, then the study progresses. If
the project does not meet PURPOSE and NEED, then the project is changed or stopped (if not
NEEDed).

CONCEPTUAL ALIGNMENT AND TYPICAL SECTIONS

Conceptual horizontal and vertical alignments and typical sections are developed to best satisfy
the purpose and need.
The conceptual horizontal and vertical alignments and typical sections are appliedthe Study
corridor and result in the concept plans. Conceptual designs are created to help determine the
project's impacts and to serve as a guide during the Phase II of
Transportation Facility Planning and Final Design work if the project proceeds beyond Phase I of
Transportation Facility Planning.

PRELIMINARY IMPACTS

The preliminary impacts of the project are determined from the concept plans. Impacts
investigated include: future traffic operations; environmental, community; noise, historical
compatibility; compliance with Americans with Disabilities Act requirements, and conformance
to Clean Air Act requirements. Additionally, a preliminary cost estimate is developed.

PROJECT PROSPECT US

When the work and analysis for the project study is completed, a Project Prospectus is produced
which details all of the activities listed above. The Project Prospectus documents the findings of
the Project Study. When complete, it is distributed to the agencies that participated in the Project
Study for final review and concurrence with its findings. The findings in the Project Prospectus
will include a recommendation on whether to continue with the development of the project.
Phase II- Preliminary Engineering
 On Going Public Input
 Preliminary Engineering
 Horizontal & Vertical Alignments
 Physical Investigation
 Soils. Storm Drains. Hydraulic. Structural. & Sediment Control
 Right of Way
 Intersection Geometrics
 Final Concepts
HORIZONTAL AND VERTICAL ALIGNMENTS
Developing the HORIZONTAL (curves) and VERTICAL (grades) ALIGNMENTS. Determine
the specific types of SOILS on site, and develop preliminary design for controlling
stormwaterrunoff including STORM DRAINS, determining the HYDRAULIC and
STRUCTURAL characteristics of the project's design, and developing a SEDIMENT
CONTROL plan for use during the project’s construction to control soil erosion and runoff.

RIGHT OF WAY
Determine the amount or RIGHT OF WAY or land necessary to construct the project.

INTERSECTION GEOMETRICS
Determine the INTERSECTION GEOMETRICS for intersections with other County roads along
the length of the project. This would include determining the number of approach and receiving
lanes, cross walks, exclusive left or right turn lanes, etc.

FINAL CONCEPTS
Develop FINAL CONCEPTS for the design of the project at a more detailed scale than what was
produced during Phase I of the Transportation Facility Planning Study

NOISE
Determine if special structures are necessary to mitigate NOISE impacts along the length of the
project (walls, berms, etc.).

CONSTRUCTION SEQUENCE
Develop a CONSTRUCTION SEQUENCE for phasing the different elements of the
construction activities. This would include interim traffic control plan, phasing of removal of
existing paving/demolition, phasing of construction activities, etc…

QUANTITY TAKEOFF

Construction cost estimates are developed during the QUANTITY TAKEOFF phase. This is
where elements of the construction process are itemized such as X tons of asphalt at $X.xx/ton;
X feet of road striping at $X.xx/foot; or X street trees at $X.xx/tree, etc.
DEVELOP DETAILED SCOPE, SCHEDULE, AND COST ESTIMATE.
A detailed plan identifying the specific elements of the project's design and specific tasks to be
performed during construction will be developed. It will also have an accurate schedule for
performing the final design of the project and the length of time to construct the project. Most
importantly, a reliable cost estimate will be developed for the project. When the preliminary
engineering has reached the appropriate level of completion (generally 35% of final design),
including accurate project schedules and cost estimates, then the Transportation Facility Planning
Process for the project is complete.
At this stage the project, if recommended to proceed at the end of Phase II, will now become a
"stand alone" project. This means that there will now be a specific line item in the Department of
Public Works & Transportation's next fiscal year total budget request. A Project Description
Form (PDF) for the project is submitted with the rest of the Department of Public Works &
Transportation budget request.

Getting Funding
PDF (PROJECT DESCRIPTION FORM) SUBMITTED IN CIP (CAPITAL IMPROVEMENTS
PROGRAM)

Every fiscal year the Department of Public Works & Transportation (DPWT) submits a capital
budget request to cover current approved capital projects (design & construction) and new
capital project expenses. After a project has successfully made it through the
Transportation Facility Planning Process it is ready to be submitted as a "stand alone” capital
improvement project.

In Montgomery County the fiscal year begins on July 1 st. The budget process for the coming
fiscal year begins roughly one year in advance, i.e. for FY 02 (7/1/01 through
6/31/02) the process starts in late spring of 2001. The public comment period also begins in late
spring with Public Forums held at the Regional Services Centers located
throughout the County. Any stand alone project, as part of the DPWT budget request, passes
through several layers of evaluation external to DPWT including the Office of Budget and
Management, the County Executive, and then the County Council.
DPWT submits PDF's for the upcoming fiscal year to the Office of Budget and Management
(OMB) in September. The Division of Engineering Services is responsible for assembling many
of the PDFs for transportation capital improvements for the September submission. Work on the
September PDF submissions, including preliminary OMB review, starts in late spring.

The DOT Budget request is reviewed by the Office of Budget and Management (OMB) as part
of the entire Executive Branch's budget requests. OMB then forwards its recommendations for
the budget to the County Executive. The County Executive evaluates OMB's recommendations
for the CIP (Capital Improvements Program). During this time there is the opportunity for the
public to provide comment on specific budget items to the County Executive. The County
Executive then submits the coming Fiscal Year's request for the entire Executive Branch
(including DPWT) to the County Council for funding on January 15th, as mandated by the
County Charter.
Final Design

When the project is funded in the Capital Improvements Program (CIP), the Division of
Engineering Services can then proceed with final design of the project. When final design is
complete project plans are 100% complete and ready for construction. The length of time
necessary to perform final design varies depending on the size and complexity of the project.
Small projects may take one year or longer while larger projects may take several years to
complete.

Also included in the Final Design stage is environmental agency review. The County must apply
for and obtain permits before construction can begin. The permitting agencies include:
Montgomery County Department of Environmental Protection, Maryland Department of
Environment, US Environmental Protection Agency, and the US Army Corps of Engineers.
These agencies have the authority to request changes in project design to avoid or mitigate
environmental impacts or even deny permits based on environmental impacts. Acquiring the
permit for a project can sometimes lengthen the time between project's inception to the start of
construction.

As the design work is completed and the final alignments and profile of the project are known,
all necessary Right of Way is acquired for the project. The pace of Right of Way acquisition can
also affect the project's schedule.
Generally construction cannot start until all Right of Way has been acquired unless the Division
of Engineering Services has been granted authority to condemn land for the project via
Advanced Takings if directly authorized by the County Council.
PUBLIC FACILITY AND TRANSPORTATION PLANNING SAMPLES
ENVIRONMENTAL PLANNING
You've probably heard the saying, 'If you fail to plan, then you plan to fail.' This is true for any
personal goal you are trying to reach, whether it be planning your exercise routine so you can
finish your first 5K race or planning your schedule so you have enough time to study for, and
ace, your college exam.
Planning is also important when it comes to protecting the environment, so it is sustainable for
generations to come. However, environmental planning and decision making have many
considerations because of the complexities of nature and the varying needs and desires of
society. In this lesson, we will explore the different aspects and considerations that must go into
environmental planning and environmental decision making.

Environmental Planning and Components

Environmental planning is the process of evaluating how social, political, economic and
governing factors affect the natural environment when considering development. The goal of
environmental planning is to come up with a win-win situation for society and the environment.
With successful environmental planning, society wins by being able to use the area in productive
ways, and the environment wins by being able to sustain itself for future generations.
There are three components of environmental planning that must be considered. First, is the
current status of the natural environment. This component will take into consideration the
existing state of the area to be developed. This may include evaluating the existing uses, features
and natural resources of the land, as well as existing infrastructure and buildings.
The second component of environmental planning is vision. This involves setting goals and
measurable objectives and takes into consideration the rules, regulations, laws and needs of
society. The third component is implementation. This involves putting the vision into action and
considers the materials, personnel and technology that may be needed to carry out the plan.
Environmental planning is a complex study because it not only has to consider the complexities
of the natural environment but also the needs and desires of humans. Therefore, environmental
planners need to understand the human decision-making process to best manage the relationship
between humans and the environment.
Environmental decision making can be defined as the process of evaluating the ways humans
go about making choices that impact the natural environment. How individuals or groups decide
to use energy, natural resources and even outdoor recreational areas are all part of the planning
process. So, we see that environmental planning and decision making go hand-in-hand, and
because human needs and desires change over time, the process must constantly evolve.

Examples of Environmental Planning

Let's look at a couple of examples of environmental planning and decision making that show
how useful the process can be. Let's say that a developer wants to build three homes on a lot that
borders a river. Through environmental planning, it is revealed that one of the homes is located
within the floodplain. The plan for the home's location is altered to move it out of the floodplain
and the original space is used for a community bike path and an area for natural growth. This
plan benefits the community and the natural environment.
Another example of environmental planning is industrial symbiosis, which is the process by
which industries share services, energy and by-products to decrease costs and improve the
environment. An environmental planner may evaluate the current status of an industrial park and
note that it has a power plant, an oil refinery and a fish farm. From this evaluation, a vision of
how these plants could work together is formed.
It may be decided that treated wastewater from the oil refinery can be used by the power plant as
cooling water. Excess heat produced by the power plant can be used to provide heat for the local
fish farm. This vision is then implemented, resulting in lower operating costs and environmental
benefits.

Lesson Summary
Let's review. Environmental planning is the process of evaluating how social, political,
economic and governing factors affect the natural environment when considering development.
The goal of environmental planning is to come up with a win-win situation for society and the
environment. There are three components of environmental planning. First, is the current status
of the natural environment. The second component is the vision of what will best serve society
and the environment, and the third component is implementation of the plan.
Environmental decision making can be defined as the process of evaluating the ways humans
go about making choices that impact the natural environment. Environmental planning and
decision making work together to create sustainable outcomes. Examples of environmental
planning and decision making include evaluating flood plains before development of an area
and industrial symbiosis, which is the process by which industries share services, energy and
by-products to decrease costs and improve the environment.

ENVIRONMENTAL PLANNING SAMPLES

Agrarian
 Farm Planning in Dracut, Massachusetts

Forest
 DELAMERE FOREST PLANNING APPLICATION

Coastal
Figure 1. Existing coastal planning of the Shandong Province from 2011 to 2020 (People's Government of Shandong Province ,
2012).

Santa Cruz Waves: Santa Cruz, California

TOURISM PLANNING
 The travel for recreational, leisure, family or business purposes, usually of a limited duration.
Tourism is commonly associated with trans-national travel, but may also refer to travel to
another location within the same country.
Tourism is commonly associated with trans-national travel, but may also refer to travel to
another location within the same country.
TOURISM PLANNING AND DEVELOPMENT
PLANNING •Planning is a dynamic process of determining goals, systematically selecting
alternative courses of actions to achieve those goals, implementing the chosen alternatives, and
evaluating the choice to determine if it is successful.
WHAT IS TOURISM PLANNING??? •
Tourism planning is the process of considering the needs of people planning a trip and using
those factors to determine the best resources, programs and activities for their trip. Tourism
planning is intended for local residents and businesses of the location, as well as tourists who
travel there.
ESSENCE OF TOURISM PLANNING •
Tourism planning involves the coordination with other government agencies to improve tourism-
related infrastructure. The planning also extends to participation of the private sector, the hotels
and restaurants, travel transport, and even popular outlets (like Jollibee) that can help as
information centers (in the absence of actual tourist information centers)
The planning process is essential as it provides plenty of resources and information for travelers,
while ensuring that the location and local businesses provide everything needed to improve their
tourism. In tourism planning, every factor is considered, ranging from finding a variety of
accommodations to fit travelers' different wants and needs to locating special programs and
activities

What are the consequences of having a lack of tourism planning or poor tourism planning? •
The consequences of having a lack of tourism planning or poor tourism planning is that the
tourism industry is unorganized, the tourist does not take the opportunity to travel, the numbers
of tourists decrease. and profits decrease.
PHYSICAL IMPACTS •
 Damage or permanent alteration of the physical environment
 Damage or permanent alteration of the historical/cultural landmarks and resources
 Overcrowding and congestion
 Pollution
  Traffic problems

HUMAN IMPACTS
 Less accessibility to services and tourist attractions for local residents resulting in local
resentment
 Dislike of tourist by local residents
 Loss of cultural identities
 Lack of education of tourism employees in skills and hospitality
 Lack of awareness of the benefits of tourism to the destination area.

MARKETING IMPACTS
 Failure to capitalize on new marketing opportunities.
 Erosion of market shares due to the actions of competitive destination area.
 Lack of sufficient awareness in prime markets
 Lack of clear image of destination area in potential markets.
 Lack of cooperative advertising among individual operators
 Inadequate capitalization in packaging opportunities.

ORGANIZATIONAL IMPACTS
 Fragmental approach to the marketing and development of tourism, often involving
“competitive splinter groups”.
 Lack of cooperation among individual operators.
 Inadequate representation of the tourism industry’s interests.
 Lack of support from local public authorities.
 Failure to act on important issues, problems and opportunities of common interest to the
industry.

OTHER IMPACTS
 Lack of sufficient attractions and events.
 High seasonality and short lengths of stay.
 Poor or deteriorating quality of facilities and services.
 Poor or inadequate travel information services.

TOURISM PLANNING IN DEVELOPED COUNTRIES

 In general planning for tourists is less difficult in developed countries than it is in
developing ones.
 Planning is important and should provide a quality environment for both tourists and
 residents.
 The planning process for tourism development is the same as in city or regional planning.
Most problems involve policy decisions on alternative land uses for the health and
welfare of the citizens.

In countries with less control over the economic sector, guidelines and ordinances can restrict
private development to prescribed areas, while in others, all development can be directed by the
central government. • Target countries or states can be identified as potential tourist generators
through research and market analysis. Proper planning include government assistance in direct
advertising to attract tourist.

In developed countries, planning and construction of infrastructure facilities is a must

particularly in areas that do not have them. For regions that have existing infrastructure, the
planning process should include alternatives to improve or further develop it.

 TOURISM IN DEVELOPING COUNTRIES

• Tourism is important in bringing the much needed foreign currency for developing countries.
Mexico and Spain for example have benefited very much from tourism.
• Other advantages are increased employment opportunities and the development of
infrastructure. Roads, water and sewage systems provided for tourists also help local industries.

Planning in developing countries should consider the cultural impact of tourism on the area.
Many times the culture may be so fragile that tourism can greatly influence it particularly in
developing countries. • In a developing society, people tend to adopt the lifestyle of the tourists
changing their clothing, food and other customs. In this way the local culture is greatly
influenced or altered.

BARRIERS TO PLANNING
The following are the barriers to tourism planning and the problems associated with it.
1. Many people are against planning in principle, particularly within the free-enterprise
system.
2. Many businessmen view tourism planning as an encroachment into their domain and are
skeptical of its real value.
BENEFITS OF TOURISM PLANNING

Numerous authors emphasize the importance of tourism planning (Godfrey and Clarke, 2000;
Hall, 2000; Gunn, 2002; Inskeep, 1991). According to Gunn (2002) the purpose of planning is to
create plans of action for a foreseeable future and implement them. Furthermore, the tourism
sector goals and objectives can be achieved more effectively and efficiently if carefully planned
and integrated into the country's overall development plan and programme. In addition, careful
planning at all levels and good management are necessary to optimize the benefits of tourism and
preventing or at least mitigating any problems that may occur (Inskeep, 1991). Hall (2000)
similarly suggests that planning can help to minimise potential negative impacts, maximise
economic returns to the area, and thus encourage a more positive response from the local
community towards tourism in the longer run. Moreover, in the countries, where not much
tourism has developed yet, planning can provide the necessary guidelines for its development.
On the other hand, for the areas where tourism is already well established, planning is often
needed to revitalize the sector and maintain its future viability (World Tourism Organization,
1994).

In Kranjska Gora tourism planning could help to achieve long-term sustainable development of
the area, ensuring that the natural, cultural, and other resources of tourism are conserved for the
future use. Moreover, it could bring benefits to the society and provide level of tourist
satisfaction essential for tourism success in the area and country as a whole. Tourism
development plan for Kranjska Gora should provide a framework through which the area's
tourism policy will be acted upon, ensuring the development reflects local values, and is an
overall benefit to the tourism industry. As such the tourism plan should analyse the present
situation in Kranjska Gora as well as provide recommendations for improvement in the area,
based on sustainable development (e.g. modernisation of the ski lifts, improved road access etc.)
(Strategy of Slovenian Tourism, undated).
ELEMENTS OF A TOURISM PLAN, TOURISM PLANNING PROCESS and
IMPLICATIONS FOR THE DESTINATION

Tourism planning at the destination level is a step-by-step process of resource and market
analysis, action and review. Elements of a tourism plan together with the tourism planning
process will now be evaluated and implications for the destination suggested. PASOLP planning
approach, adapted from Baud-Bovy and Lawson (1998), in combination with Godfrey and
Clarke's (2000) and World Tourism Organization's (1994) approach to tourism planning, will be
used.
Tourism policy and committee structure
At the first stage a tourism policy should be set as a framework through which tourism issues
are/will be analysed and decisions taken.

Municipality of Kranjska Gora should firstly establish a dedicated team or committee, who
should create a tourism plan for Kranjska Gora jointly with local resident groups; local and
national government; regional tourism groups; special interest community groups; business
associations; private sector groups; and external consultant advisers if necessary. Organization
and coordination among them is the key to success.

Tourism resource audit

A destination's tourism resource base is the core of that location's tourism appeal. One main
function of the tourism resource audit is to identify the area's key assets and to examine
destination's strengths and weaknesses from a supply point of view (Godfrey and Clarke, 2000;
Inskeep, 1991).
Tourist attractions and activities
Kranjska Gora should carry out tourism resource audit, including survey and inventory of
existing and potential attractions such as natural, cultural, event and activity resources;

Primary and secondary attractions should be evaluated; for example, primary resources of
Kranjska Gora are its natural resources (mountains) which provide all-year tourist services from
winter sports to mountainous tourism. Sports tournaments are another primary attraction of the
area (World Cup competitions in alpine skiing and ski flights on the giant ski-jump in Planica,
the neighbour village of Kranjska Gora);

Seasonality should also be considered (e.g. differences in population and activities in Kranjska
Gora - winter sports in the winter and hiking during the spring and summer).
Infrastructure analysis
Survey of existing and already planned accommodation by number, type and quality level should
be carried out as well as survey of other tourist facilities in Kranjska Gora. Any specific
infrastructure constraints, such as poor quality of hotels due to the old buildings, should be
identified and improvements recommended;

Analysis of transport access to Kranjska Gora, as well as of the internal transportation system of
facilities and services, should be carried out (e.g. poor quality of transport infrastructure and
recommendations for improvement);

Infrastructure of water supply, electric power, sewage disposal and telecommunications should
be evaluated;
Analysis of hospitality and general community services such as medical services, emergency
repair etc. should be carried out.

Tourism market analysis

This stage consists of evaluation of demand for tourism, which is a key component of tourism
planning, helping to scale any development and the infrastructure required (Lavery, 2002).

Municipality of Kranjska Gora should carry out analysis of tourist arrival patterns and trends,
including both international and domestic tourists;

The effects of existing and potential competing tourist destinations should be analysed. For
Kranjska Gora competing tourist destinations could be domestic areas such as Bled and Bohinj
as well as neighbour countries with their skiing resorts (e.g. Austria with Gerlitzen and Italy with
Tarvisio);

Market segments should be determined according to different relevant characteristics (e.g. young
people who enjoy skiing or snowboarding in the winter and seniors who prefer peaceful hiking in
the mountains during the spring time);

The number and type of accommodation, other tourist facilities, services and infrastructure
required, should be projected according to the defined market segments (World Tourism
Organization, 1994).
Country's policies and priorities and relationship with other plans
Planning of tourism at the destination level should be integrated into other related policies and
plans that may exist, such as national and regional plans, park, recreation, and conservation
plans, transportation and any other relevant infrastructure plans, and agricultural programmes.
This integration will help to assure that relevant aspects of the tourism plan will be implemented
by the concerned sector in an integrated manner (Inskeep, 1991). In the case of Kranjska Gora
existing national and regional development policies, plans and programmes such as Slovene
Tourism strategy, marketing plan for Slovene tourism, Alpine Convention, The Mountain Paths
Act together with other transport and land-use plans should be considered.
Economic, environmental and socio-cultural considerations
Economic, social and environmental impacts are inevitable element of tourism development.
Tourism planning should find a balance between the costs and benefits of these impacts in the
best interest of tourism and the local community.
Economic analysis and recommendations
Present and projected tourist expenditures in Kranjska Gora should be defined;

Calculation of the present and projected tourism economic impact should be carried out
(contribution to GNP or GDP, foreign exchange earnings, generated income and employment,
the multiplier effect etc.);

Recommendations on how to enhance the economic benefits of tourism in Kranjska Gora should
be provided (e.g. increase of employment opportunities for local community of Kranjska Gora).
Environmental considerations and recommendations
Any present environmental problems generated by tourism in Kranjska Gora should be
identified;

Recommendations on measures to prevent future negative environmental impacts as well as

reinforcing positive ones should be provided;

Recognition of established conservation policies affecting Kranjska Gora, such as Alpine

Convention, and recommendations for further environmental protection and conservation
policies and programmes should be provided;

Environmental impact assessment (EIA) for each specific tourism development project in
Kranjska Gora should be carried out.
Socio-cultural considerations and recommendations
Existing and potential positive and negative socio-cultural impacts of tourism in Kranjska Gora
should be evaluated;

Recommendations on how to achieve community involvement in all aspects of tourism should be

provided together with public awareness programme on tourism. Tourist information brochures
should also be available to visitors informing them about cultural traditions of Kranjska Gora
(World Tourism Organization, 1994).
Identifying opportunities and constraints
At this stage, opportunities and constraints should be analysed to provide direction and a focus
for future development. This should give some indication to the area of where development
efforts will likely be awarded and where potential problems might emerge (Godfrey and Clarke,
2000). For Kranjska Gora opportunities could mean improvements of existing and development
of new products (e.g. modernisation of ski lifts and improved hotel offer in Kranjska Gora;
construction of a multipurpose hall for sports, congressional tourism and events etc.) as well as
potential expansion into new markets. Constraints also need to be considered and these might
include competing land-use claims which take priority over tourism use as well as development
costs. Furthermore, difficult landscape of Zgornjesavska valley might be thought of as a
constraint as well, affecting expansion of ski slopes and modernization of transport
infrastructure.
Setting development goals and objectives
Tourism plan should be prepared in such a manner that it is realistic to implement. Setting goals
and objectives within appropriate time frame creates a bridge between development policy and
the action steps designed to pursue that policy. Without a clearly defined set of goals and
objectives, a destination will have nothing to guide its activities, measure whether it has been
successful, or be able to show the progress already made (Godfrey and Clarke, 2000). Kranjska
Gora should set its goals and objectives for development in the short, medium and longer term.
Its goals and objectives could for example be to improve standards of service offered to tourists,
to increase off-season visitor trips by 15% over 3 years etc.
Development of action steps
Tourism action steps are developed to provide the means and methods of reaching a particular
tourism objective. The action steps are very specific, describing exactly what needs to be done
and in what order of activity (Godfrey and Clarke, 2000).
Tourism marketing plan
If the actions are intended to attract more tourists, encourage them to stay longer and to come
back, as well as create more of an economic benefit, then a tourism marketing plan is essential.
For Kranjska Gora specific promotion programme should be recommended with cost estimates
and possible sources of funding; roles of the public and private sector in promotion should be
established and overseas promotion considered.

The next stage in the tourism planning process includes implementation and monitoring and

review procedures. These will be analysed in the next part of the coursework.

METHODS OF IMPLEMENTATION and IMPLICATIONS FOR THE DESTINATION

Plan implementation is in large part a political process due to government involvement in

achieving implementation (Inskeep, 1991). Nonetheless, to achieve systematic and efficient
implementation, the following techniques should be applied (adapted from Inskeep, 1991, and
World Tourism Organization, 1994):

Project development or action programme together with adoption of specific legislation and
regulations as well as estimation of costs. In Kranjska Gora each project, such as modernization
of the ski lifts, should be evaluated in terms of costs, necessity as well as location and time
frame;

Identification of the agencies and parties responsible for specific tourism projects in Kranjska
Gora. Coordination among municipality of Kranjska Gora, various levels of Slovene government
and the private sector is a vital element for a successful implementation;

Specification of tourist facility development and design standards, such as architectural styles
and landscaping. These are generally administered by a separate design review committee or
directly by the planning department. Kranjska Gora as a part of Alps, for example, has specific
alpine style of architecture, which should be considered when building new accommodation as
well as other tourist facilities in the area;

Specification of zoning and other land use regulations that define specific areas for different
types of land uses and the development standards to be applied within each land use zone in
Kranjska Gora. The physical planning department should be directly involved in the
development of zoning regulations for the area;

Preparation of detailed area plans together with project feasibility studies;

Identification of potential funding sources for project development. Financial sources in

Kranjska Gora may come from Slovene government as well as private sector wishing to invest in
this area, including international investors;

Parks, conservation and cultural activities programmes also need to be considered. Kranjska
Gora needs to take into account Alpine Convention of which the key objectives amongst other
are long-term protection of the natural ecosystems and cultural interests of the indigenous
population (The Alpine Convention, undated);

Other programmes such as those for employee training and education, public awareness, and
economic enhancement should be further specified and implemented with funding provided and
organisational structures established;

Procedures to monitor plan implementation and the general progress of tourism should be
specified. It is essential that Kranjska Gora establishes a system to monitor and evaluate the
effectiveness of actions before tourism development takes place.

TOURISM PLANNING SAMPLES

An aerial shot of the Revelstoke Golf Club. Photo: Revelstoke Golf Club
HISTORIC PRESERVATION 
Preserving historic buildings is vital to understanding our nation's heritage. In addition, it is an
environmentally responsible practice. By reusing existing buildings historic preservation is
essentially a recycling program of 'historic' proportions. Existing buildings can often be energy
efficient through their use of good ventilation, durable materials, and spatial relationships. An
immediate advantage of older buildings is that a building already exists; therefore energy is not
necessary to demolish a building or create new building materials and the infrastructure may
already be in place. Minor modifications can be made to adapt existing buildings to compatible
new uses. Systems can be upgraded to meet modern building requirements and codes. This not
only makes good economic sense, but preserves our legacy and is an inherently sustainable
practice and an intrinsic component of whole building design. (See
also Sustainable and Sustainable Historic Preservation.)
Realizing the need to protect America's cultural resources, Congress established the National
Historic Preservation Act (NHPA) in 1966, which mandates the active use of historic buildings
for public benefit and to preserve our national heritage. Cultural resources, as identified in
the National Register for Historic Places, include buildings, archeological sites, structures,
objects, and historic districts. The surrounding landscape is often an integral part of a historic
property. Not only can significant archaeological remains be destroyed during the course of
construction, but the landscape, designed or natural, may be irreparably damaged, and caution is
advised whenever major physical intervention is required in an extant building or landscape.
The Archaeological Resources Protection Act established the public mandate to protect these
resources.
U.S. Courthouse at Union Station, Tacoma, Washington. Designed by the architectural firm of
Reed and Stem and constructed in 1911 and renovated in 1987. Tall ceilings, generous daylight,
and grand ceremonial spaces give historic buildings enduring investment value and make them
attractive for a variety of uses.
Photo courtesy of the U.S. General Services Administration
James R. Browning U.S. Court of Appeals Building, San Francisco, California. Designed by
James Knox Taylor in 1905 and rehabilitated in the early 1990's. Onsite surveys identify
significant features to be retained as part of a comprehensive preservation plan.
Photo courtesy of the U.S. General Services Administration
Some practical and/or intangible benefits of historic preservation include:

 Retention of history and authenticity

o Commemorates the past
o Aesthetics: texture, craftsmanship, style
o Pedestrian/visitor appeal
o Contextual and human scale
 Increased commercial value (Economic Benefits)
o Materials and ornaments that are not affordable or readily available
o Durable, high quality materials (e.g., old growth wood)
Rehabilitated historic hotel, Cape May, New Jersey
Photo courtesy of the National Park Service

 Retention of building materials (refer also to WBDG Sustainable Branch)

o Less construction and demolition debris
o Less hazardous material debris
o Less need for new materials
 Existing usable space—quicker occupancy
 Rehabilitation often costs less than new construction
 Reuse of infrastructure
 Energy savings
o No energy used for demolition
o No energy used for new construction
o Reuse of embodied energy in building materials and assemblies

Following passage of the NHPA, the Secretary of the Interior established Standards for the
Treatment of Historic Properties to promote and guide the responsible treatment of historic
structures and to protect irreplaceable cultural resources. Today, the Standards are the guiding
principles behind sensitive preservation design and practice in America.

 Apply the Preservation Process Successfully—The preservation process involves five

basic steps: Identify, Investigate, Develop, Execute, and Educate. Successful preservation
design requires early and frequent consultation with a variety of organizations and close
collaboration among technical specialists, architects, owner/occupants, and preservation
professionals.

Work on historic properties requires specialized skills. The Secretary of the Interior has
identified professional qualification standards for a variety of preservation disciplines.

Four Treatment Approaches

Within the Secretary of the Interior's Standards for the Treatment of Historic Properties there are
Standards for four distinct approaches to the treatment of historic properties: preservation,
rehabilitation, restoration, and reconstruction. These distinct approaches are presented from the
least intervention to the most intervention.
Preservation focuses on the maintenance stabilization, and repair of existing historic materials
and retention of a property's form as it has evolved over time.
Rehabilitation acknowledges the need to alter or add to a historic property to meet continuing or
changing uses while retaining the property's historic character. This is the most commonly used
and flexible standard for rehabilitation at a federal, state, and local level.
Restoration depicts a property at a particular period of time in its history, while removing
evidence of other periods.
Reconstruction re-creates vanished or non-surviving portions of a property for interpretive
purposes.

 
Alexander Hamilton Custom House, New York. Constructed 1899–1907 and renovated in 1994.
Original drawings, photographs, and other archival documents are used to determine the original
appearance of missing features to be replicated within restoration zones.
Photo courtesy of the U.S. General Services Administration
Guidelines for the Treatment of Cultural Landscapes such as landscapes, archaeological and
maritime resources, sustainability, etc. are maintained by the National Park Service.
While each treatment has its own definition, they are interrelated. For example, one could
"restore" missing features in a building that is being "rehabilitated." This means that if there is
sufficient historical documentation on what was there originally, a decorative lighting fixture
may be replicated or an absent front porch rebuilt, but the overall approach to work on the
building falls under one specific treatment.

Treatment Plan
Determine the appropriate treatment for a historic property BEFORE work begins, at project
initiation. This includes making sure that the proposed function for the historic property is
compatible with the existing conditions in order to minimize destruction of the historic fabric.
Generally, the least amount of change to the building's historic design and original architectural
fabric is the preferred approach. To develop a treatment plan, site assessments are conducted to
identify character-defining features and qualities. These assessments also examine the building
or property as a whole to establish a hierarchy of significance, or "preservation zones,"
corresponding to specific treatments. "Zoning" establishes preservation priorities.
Of concern to preservation and design professionals is the cumulative effect of seemingly minor
changes over time, which can greatly diminish the integrity of a historic building. Major
preservation design goals include:
 Update Building Systems Appropriately —Updating building systems in historic
structures requires striking a balance between retaining original building features and
accommodating new technologies and equipment. Building system updates require
creativity to respect the original design and materials while meeting applicable codes and
tenant needs.
 Accommodate Life Safety and Security Needs—The accommodation of new functions,
changes in technology, and improved standards of protection provide challenges to the
reuse of historic buildings and sites. Designers must address life safety, seismic, and
security issues in innovative ways that preserve historic sites, spaces and features.
 Provide Accessibility for Historic Buildings—Accessibility and historic preservation
strategies sometimes conflict with each other. Designers must provide access for persons
with disabilities while meeting preservation goals.
RELATED ISSUES

Integrating Historic Preservation Concerns With Safety/Security Issues

We live and work in a changed environment: a world in which safety and security concerns have
been elevated to their highest level since the founding of our nation. Preservation practitioners
must now be concerned with the safety of an historic building's occupants, as well as the security
of equipment and data. It is inevitable that the needs of historic preservation as established by the
Secretary of the Interior will come into conflict with new federal guidelines and requirements
for anti-terrorism force protection. For example, windows and fenestration details may be
character-defining aspects intrinsic to an historic structure; however, it has become a universally-
accepted fact that the majority of human injuries in an explosion are the direct result of exposure
to high-velocity glass shards. Windows and openings in historic buildings that are vulnerable to
possible terrorist activity may need to be reinforced to protect life and property. The US Army
Corps of Engineers is performing experiments with various solutions to the problem of window
glass failure in explosions and other terrorism-related activities. The need to meet safety and
security requirements in historic buildings is critical when considering the necessary space
between structures and public roads and parking areas. (See also WBDG: Accommodate Life
Safety and Security Needs)
Historic Atlantic City Convention Hall, Atlantic City, New Jersey
Photos courtesy of the National Park Service.
EMERGING ISSUES

Natural Disasters: Response, Recovery, And Resilience

After Hurricane Sandy, bus ads proclaimed New Jersey as "A State of Resilience."
Photo courtesy of NJ.com
The number and severity of natural disasters-hurricanes, tornadoes, floods, earthquakes, and
uncontrolled wild fires—require special planning for historic properties. Many argue that the
increase is due to climate change. In response, people are calling for resilience, the ability to
withstand and bounce back from damaging effects of natural disasters, and to avoid or minimize
them in future disasters. Federal, state, and local governments and private organizations are
collaborating on the nation's response to climate change. This planning includes preservation of
historic and cultural resources in immediate disaster response, long-term community recovery,
and future mitigation efforts is an emerging issue.

In 2013, the United Nations issued a global report on Heritage and Resilience. It noted the
connection between physical and social resilience. "The symbolism inherent in heritage is a
powerful means to help victims recover from the psychological impact of disasters. In such
situations, people search desperately for identity and self-esteem", and find it in reclaiming their
heritage and historic places. It further stated, "Heritage contributes to social cohesion, sustainable
development, and psychological well-being. Protecting heritage promotes resilience."
In the United States, the Secretary of the Interior's Standards provide guidance on protecting
heritage and the treatment of historic areas and individual historic buildings. Applying the
Standards can be a challenge in the rush of disaster response, or in the delicate balancing of life
safety, economic and preservation values in long term recovery and planning. However, the
result is worth the effort, and in some cases, like qualifying for government assistance,
compliance with the Standards may be required. The guiding principle is to retain historic
features while sensitively incorporating new features that reduce the risk of future damage from
disasters. Sometimes, it's easy, like moving electrical service up out of flood-prone basements.
Other times, difficult design challenges arise, like how to substantially elevate an historic house
in a floodplain.
In some instances, the conversation about climate change, disaster mitigation, and adaptation
includes the possibility of abandoning coastal or flood zones altogether. Human settlement often
began and flourished in waterfront areas. Historic preservation concerns need to be considered
when planning for the future of coastal and riverfront communities, many of which have
extensive historic and prehistoric resources and valued traditional cultural patterns. Having an
accurate, up-to-date inventory of historic resources and archeological sites (identified and
predicted) in vulnerable areas is key to an informed and quick response when disasters strike, as
well as a basis for long term resilience planning.
Working with FEMA after Hurricane Sandy, the New Jersey State Historic Preservation Office
(SHPO) quickly surveyed affected neighborhoods to establish which ones were historic and
which ones were not, allowing them to concentrate limited capacity and resources on historic
areas, while eliminating review of the rest. By entering the data as a layer in the state's GIS
(Geographic Information System) database, which contains a variety of environmental and social
data, it became both a tool for recovery and for future planning. Computer mapping of future
scenarios could visualize impacts to historic properties along with impacts to natural resources
and human communities.

The Water Witch Historic District in Sea Bright, New Jersey, is bordered by red in the center of
the image. To the right, is the Fort Hancock and Sandy Hook Proving Ground Historic District.
Anyone can consult the NJ GIS system and choose data layers to "turn on", including Historic
Districts and Historic Properties.

The National Park Service developed a manual on how to use GIS to document damage and plan
for recovery, Historic Preservation Response Methodology .

Warning sign on the San Francisco waterfront and New Orleans promoted hurricane shutters
after Hurricane Katrina.
Photo Credits: U.S. Department of Housing and Urban Development (HUD)
How can historic resources be protected against excessive wind, water, and/or vibration during
disaster events? Physical modifications, elevation, seismic reinforcement, restoration, or creation
of landscape features and operational procedures can address various threats.
 

The Mississippi Development Authority (MDA) and Mississippi Department of Archives and
History (SHPO) developed guidelines for elevating buildings .
The National Park Service published "Preservation Brief 41: The Seismic Retrofit of Historic
Buildings."
A chimney with deteriorated mortar joints suffered vibration damage when an earthquake struck
near Washington, D.C.
Photo Credit: National Park Service
Seismic upgrade of a former railroad car facility in Spokane, WA included horizontal metal
strapping on long expanses of masonry. The rehabilitation project received historic tax credits.
Photo Credit: National Park Service

Pioneer Courage Courthouse in Portland, Oregon was built, beginning in 1869, and is the oldest
federal building in the Pacific Northwest. The Courthouse underwent a seismic retrofit in 2005
using base isolation.
Top row left: Main exterior of the Courthouse. Photo Credit: Carol M. Highsmith. Middle:
Detail of base isolator. Photo Credit: GSA. Right: The building raised to accept the base
isolator. Photo Credit: GSA.
Bottom row left: Base isolator delivery showing elevated foundation and base isolator. Photo
Credit: GSA. Middle: Friction pendulums. Photo Credit: Sally Painter for GSA. Right: Base
isolation during construction. Photo Credit: GSA.
In flooding scenarios, keeping water out of or moving out of an historic building are primary
concerns. Flood gates or barriers help deflect incoming high water from entrances, basement
windows, and cellar areaway doors. Sump pumps that operate on water system pressure and not
electricity can keep performing when the power goes out. Berms, levees, and dunes can hold
back or channel flood waters and/or tidal surges. Measures like relocating electrical service and
fuel tanks out of basement areas can protect them from damage during flooding and allow a
much quicker recovery after a disaster. And if building materials do get wet, it is important to
recognize the inherent flood-resistance of some materials like mahogany trim or cypress
flooring, and not unthinkingly rip them out and dispose of them.

A roadside record of flooding from Hurricane Irene along the Ausable River in Ausable Forks,
New York.
Photo Credit: National Park Service
This historic 1966 drive-in restaurant was completely inundated by floodwaters in Cedar Rapids,
Iowa in 2008 and is currently undergoing rehabilitation. Recovering from a disaster can take
years.
Photo Credit: National Park Service
Operational measures can also prevent flooding. In Montpelier, Vermont, after winter river ice
started to thaw and break into chunks, it formed an ice dam under a bridge downstream and
caused extensive water backup and flooding in the historic downtown. To prevent future
recurrences, every winter, the city now stations a crane with a wrecking ball next to the bridge to
break up the ice if another ice dam begins to form.

Wildfire
Climate change is increasing the frequency and intensity of natural disasters and the risk of
wildfire is no exception. A wildfire can be a serious natural disaster that spreads quickly over
wooded areas and grasslands, endangering everything in its path. A wildfire can be a result of
natural phenomena, escaped prescribed fires, an intentional or accidental human act, or a
secondary impact of natural disasters such as earthquakes, drought, tornados, and hurricanes. For
instance, the cracking of gas pipes can result in severe fires or an extended period of drought will
significantly increase the risk for a wildfire. If one disaster isn't devastating enough, the
secondary risk of fire brings an additional threat to areas that may not be in a position to
adequately address them. Minimizing vegetative fuels and accumulated debris around a building
removes potentially combustible materials.

A residential neighborhood in the aftermath of the 2018 wildfire in Santa Rosa, California.
Photo Credit: HUD
Wildfire can also affect ancient cultural resources like rock art. Heat from an intense fire can
evaporate water in sandstone petroglyphs and lead to spalling of the rock face.
Battleship Rock Panel, Mesa Verde, Before and after the Chapin 5 Fire.
Photo Credit: National Park Service

Planning For Disaster

Protecting against fire hazards requires planning and can balance multiple priorities. While
protecting life and property are first priority, the preservation of historic structures and cultural
resources should also be incorporated into fire prevention and education programs. Communities
and individuals will be better prepared to handle a fire disaster when there is a plan in place to do
so.
A standard community baseline plan to protect life and property should include: evacuation
routes and strategy, a gathering location, communication methods, assignment of roles and
responsibilities. A response plan involving cultural resources and historic structures should be
incorporated into more comprehensive community plans and involve input from local fire
management officers and preservation and collections managers. Engaging multiple stakeholders
will encourage a stronger response plan and recovery.
A general survey of historic properties and/or a material collection database is also necessary in
order to understand where the risk is concentrated and what resources might be affected in a fire
event. It is also important to note any known underground resources so that any ground
disturbance during fire fighter activities can be minimized where possible in sensitive areas.
A plan should ensure there is adequate access to resources that may need to be protected in the
event of fire. Such resources can be the physical resource itself (buildings, collections, etc.) as
well as assets that offer aid such as fire extinguishers. A paper copy of the plan should also be
produced in case electronic devices are down. Preventative measures can include placing
archival collections in environments that are more resistant to fire, with proper temperature and
humidity levels. Items such as rolling compact storage, flat files, modular basinets, and freezers
can also protect resources from smoke and water damage. People who have responsibilities
designated by a plan should regularly revisit their duties and hold practice drills.

Resilient Techniques To Protect Against Wildfire

There is a multitude of information that exists on fire code provisions and prevention strategies
that protect human life and property. For information on incorporating resilient, protective
measures to prevent fire within historic buildings, please see the section "Accommodate Life
Safety and Security Needs". FEMA's "Wildfire Hazard Mitigation Handbook for Public
Facilities" offers techniques to improve fire resistance, including fire-retardant roof assemblies
to protect the part of a building most vulnerable to wildfire as firebrands, pieces of burning
embers, are spread on prevailing winds. Some historic roof coverings like slate, tile and metal are
non-combustible by nature and should be retained where possible.

Krasna Horka Castle

The Krasna Horka Castle was built on a hilltop in Slovakia in the 1300s and designated as a
National Cultural Monument of the Slovak Republic. The castle was regarded as one of the
country's best preserved castles. In 2012, a cigarette accidentally lit the grass below the castle on
fire; this is often how wildfires begin. The fire quickly spread upwards due to high winds, ground
vegetation, and low humidity and the castle was engulfed in flames, suffering extensive damage.
The roof and the exhibition area in the gothic palace and the bell tower were completely
destroyed.
A few simple measures could have made the castle more resilient to the fire. There were no
adequate fire detection or suppression systems in place, nor was there easy access for fire
fighters. Some simple fuel reduction techniques such as thinning out dense trees, removing
underbrush, limbing trees, and prescribed burns could have suppressed the fire from spreading
further up the hill and may have prevented any damage to the castle.

Krasna Horka Castle, Slovakia

Wildfire Suppression Systems

Fire Line Construction—Also called a "fire break", a fire line can suppress the spread of a
wildfire by cutting off the supply of fuels that would allow the fire to build and spread. Usually a
fire line is constructed using hand tools and needs to be between 6 inches and 3 feet wide. Heavy
equipment may be used, but should be a last resort so that underground archeological resources
are not disturbed. A fire line can also occur naturally, such as a river or canyon. Surrounding a
neighborhood with a fire line can be an excellent preventive approach, before and during a
wildfire.
Sometimes a preventative measure as simple as mowing the grass around a property can greatly
reduce the risk of fire. Defendable space is created by reducing the grass and other fuels closely
located to a structure thus limiting the ability for fire to spread. Restrictions may apply within
local codes or recommendations on what types of material or landscaping is appropriate for use
in residential areas.
Exterior sprinkler systems located on roofs and surrounding trees, poles, etc. can be extremely
effective in protecting a structure against heat and ignition by flying wildfire embers. Placement
of exterior sprinklers on historic buildings should be inconspicuous and sensitive to the structure.
As a preparedness measure, FEMA will often fund grants for the placement of home sprinklers
in wildfire prone areas.

Sprinkler System, Majestic Lakes, Minnesota. U.S. Forest Service Cabin.

Sprinkler System, Majestic Lakes, Minnesota. U.S. Forest Service Cabin.

Certain historic building materials are naturally more resilient to fire. For instance, adobe
structures, if well-constructed and maintained will resist damage from an external fire source.
Mortared fieldstone, firebrick, cinder block, stone, metal, marble, slate, and ceramics are also
resilient building materials. Certain fire and flame retardant coatings can be applied to flammable
materials. They can be clear or colored, but should be used with caution as to not damage any
historic features. An Intumescent paint coating may be applied to wood features and historic
doors to improve resiliency and retain historic character. Intumescent paint applies like latex
paint and appears only slightly thicker than latex paint. When exposed heat or fire, the coating
bubbles and hardens into a charred surface thus creating an insulating protective barrier.

Scurvy Mountain Lookout Cabin, North Fork District, Idaho

Fire Wrap—Wrapping buildings has been a successful technique used by the National Park
Service and the U.S. Forest Service to protect historic buildings from radiant heat and flying
embers from nearby wildfires. The material used to wrap is similar to aluminum foil (aluminized
glass fabric) but made from a flame retardant material. Similar to materials used to protect fire
fighters as emergency shelters. The wraps are secured using staples and special tape to ensure
that high winds of the wildfire will not peel away the protective coating. This shielding material
is available commercially.

FISCAL PLANNING
It is defined as a continuous process which involves decisions or choices about alternate ways of
using available resources with the aim of achieving particular goals.
Planning helps to identify those deficiencies in the economy and the social structure which
demand largest attention from the standpoint of economic growth.
BUDGET
 Budget is an operational plan, for a definite period usually a year, expressed in financial
terms & based on expected income & expenditure.
 Budget is a concrete precise picture of the total operation of an enterprise in monetary
terms.
 PURPOSE
 Budget supplies the mechanism for translating fiscal objective into projected monthly
spending pattern.
 Budget enhances fiscal planning & decision making.
 Budget clearly recognizes controllable & uncontrollable cost areas.
 It offers a useful format for communicating fiscal objectives.
 It allows feedback for utilization of capital money.
 It helps to identify problem areas & facilitates effective solution.
 It provides means for measuring & recording financial success with the objective of the
organization.

 STEPS IN BUDGETTING PROCESS

1. ASSETS
 check what needs to be covered in the budget.
 input from all levels of the organizational hierarchy, since budgeting is most effective
when all personnel using the resources are involved in the process.
 A composite of unit needs in terms of labour, equipment and operating expenses can be
compiled to determine the organizational budget.

2. DEVELOPA PLAN
 A budgeting cycle that is set for 12 months (fiscal year) is broken down into quarter or
subdivided into monthly or semiannual periods.
 Selecting time frame for budgeting is important.
 Errors are most likely is the budget is projected too far in advance.
 3. IMPLEMENTATION
 Ongoing monitoring and analysis occur to avoid inadequate or excess funds at the end
of fiscal year.
 In most health care institutions, monthly statement outline of each department are made.
 Most units can expect some change from the anticipated budget, but large deviation
must be examined for possible cause and remedial action must be taken if necessary.

4. Evaluation
 The budget must be reviewed periodically and modified as needed throughout the fiscal
year.
 With each successive year of budgeting, managers can accurately predict their unit’s
budgetary requirements

5. PRINCIPLES OF BUDGET
 Budget should provide sound financial management by focusing on requirement of the
organization.
 Budget should focus on objectives and policies of the organizations.
 Budget should ensure the most effective use of scarce financial and non financial
resources
 Budget requires that a programme activities planned in advance.
 Budgeting should include coordinating efforts of various departments establishing a
frame of reference for managerial decisions and providing a criterion for evaluating
managerial performance.
 Setting budget target requires an adequate checks and balance against the adoption of
too high or too low estimate.
 Budget is prepared under the direction and supervision of the administrator of financial
officer.

CLASSIFICATION OF BUDGET:
 Budget can be classified into the following main three sections:
1. Manpower budget: It includes wages & other benefits provided for regular & temporary
workers.
2. Capital expenditure budget: It includes purchases of land, buildings, & major equipment of
considerable expense & life long.
3. Operational budget; It includes the cost of supplies, major equipment, repairs & overhead
expenses.
FEATURES OF BUDGET
 It should be flexible
 It should be synthesis of past, present and future.
 It should be product of joint venture and cooperation of executives department head at
different levels of management
 It should be the form of statistical standard laid down in the specific numerical terms.
 It should have support of top management throughout th period of its planning and
supplementation.

REFERENCES
https://www.pmi.org/learning/library/project-planning-as-primary-management-function-10339
https://asq.org/quality-resources/project-management
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knowledge/en/
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