CHAPTER 1

PLANNING CONTEXTS3

1.1 ENGINEERS IN THE PLANNING PROCESS

Although this book occasionally refers to "planning" and "engi-neering" as though they were unrelated professions or disciplines, itdoes so only to differentiate between two parts of a large process.Planning and engineering are very closely bound to each other, as,indeed, planning is bound to many other disciplines. Planning is essen-tially the first phase of the development process and, as such, is also thefirst step in the engineering process.

Traditionally, engineering has been subdivided into five phases:planning, design (preliminary and final), construction, operation andmaintenance, and monitoring or evaluation. In some respects, planninghas become identified as a separate function, and design, construction,operation, and maintenance are commonly referred to as the engineer-ing elements. It must be emphasized that this is by no means a cleardistinction. However, the division of labor that has characterized tech-nology since the Industrial Revolution, combined with the reality of anincreasingly complex society, have resulted in the separation of plan-ning, which is the broad view, from design and construction, which aremore specifically directed. This division may also be characterized by thestatement that design and construction efforts are directed toward meet-ing a need while planning efforts, in addition to meeting needs, are alsoconcerned with identifying the need and determining the implications ofmeeting that need in a variety of different ways.

Occasionally, the planning phase of a project results in a recom-mendation that no further engineering is necessary. Rather, benefits canbe most appropriately achieved by a management or operational courseof action. For example, the decision to expand bus service rather thanconstruct a rail line, or the decision to implement an aggressive ride-sharing program rather than widen a congested highway corridor, are

aPrepared by: Thomas Debo, M.ASCE, Georgia Institute of Technology, Atlanta,GA: A. Ruth Fitzgerald (Affiliate), Vice President, CE Maguire, Inc., NewBritain, CT; Sigurd Grava, M.ASCE, Parsons, Brinckerhoff, Quade & Douglas,and Columbia Univ., New York, NY; Richard S. Howe, F.ASCE, Univ. of Texas,San Antonio, TX; C. Thomas Koch, Consulting Engineer, C. Thomas Koch,Inc., Blanco, TX; James Meek, M.ASCE, U.S. Environmental ProtectionAgency, Washington, DC; John G. Morris, M.ASCE, Morris EnvironmentalEngineering, Inc., Wheaton, IL; Paolo F. Ricci, A.M.ASCE, Electric PowerResearch Institute, Palo Alto, CA; and Gene E. Willeke, M.ASCE, Institute ofEnvironmental Studies, Miami Univ., Oxford, OH.

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examples of nonengineering solutions to problems which originally mayhave been perceived to need design or construction solutions. Indeed,there is evidence that the high cost of public works projects in recenttimes, combined with a growing awareness of resource limitations andenvironmental factors, have increased the incidence of nonengineeringsolutions to problems. Similarly, and largely for the same reasons,"renovation and reuse" solutions are replacing new construction inmany situations.

The increasing emphasis on planning during the last few decadesrequires that the proposed project must also be viewed in terms of itsimpacts on society and the environment. The engineer has increasinglybecome part of a complex system of linkages between project construc-tion and the social, political, economic, environmental, and estheticimplications of the project. Real problem solving in the engineeringprofession generally requires consideration of both construction andimplications, and any successful problem-solving effort requires integra-tion of the several engineering functions. Integration results from anunderstanding of the various roles an engineer must assume and aworking methodology for incorporating all the necessary skills andinformation.

1.2 TYPES OF PLANNING

Planning can be almost infinitely subdivided into various disci-plines and contexts. Each planning situation is different, and each typeof planning occurs within its own set of guidelines and methodologies.There is great overlap among the subdisciplines. This should be ex-pected, because urban and regional systems are interrelated.

The field generally referred to as urban and regional planning iscomprised of numerous planning elements. Some of these include:

Transportation planningAir quality planningSolid waste planningSite planningProject planningMaster planningComprehensive planningHealth services planningWater quality planningRecreation facilities planning

This is by no means an exhaustive list, nor are these types of planningindependent of one another.

Some of the subareas listed, such as site planning, are quite specificwhile others, such as transportation planning, can be broken downagain into several components. These might include:

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Land transportation planningAviation systems planningWater systems or port planning

Within these major components exist numerous other possible areas ofemphasis. For example, land transportation planning includes the fol-lowing:

Urban transportation planningRural transportation planningShort-range transit studiesLong-range facility feasibility studiesElderly and handicapped transportation studiesParatransit systems planning

Again, this is by no means an exhaustive list. Professional specializationoccurs in all these subfields and in many even more specialized areas ofstudy.

The purpose of later chapters of this book is to give some insightinto the planning process as it relates to some of these technical areas ofspecialization.

1.3 GEOGRAPHICAL AND TEMPORAL CONTEXTS

In addition to identification of the various technical contexts inwhich planning occurs, it is important to consider the application of theplanning process to different sized geographical areas and over differenttime spans.

Planning is appropriate in all geographical contexts, from siteplanning or project planning, through town planning, regional plan-ning, and state-wide planning, to planning on the national level forconsiderations such as energy use or air quality. Although the planningprocess to be described in Chapter 2 can be applied at all of these levels,the outcomes vary depending on the context involved. For example, airquality planning on the federal level may result in national policies forachievement of National Ambient Air Quality Standards, while planningon the local level may result in the development of a new system ofsignalization to reduce queuing and, therefore, engine idling and excesspollutant emissions.

Planning also occurs on various temporal levels. Various planningprocesses result in detailed one-year and five-year implementation pro-grams and budgeting. This is typically considered short-range planningand is most appropriate in situations where the recommended actions donot require long lead time for implementation. Long-range planningwith a 20-yr to 25-yr (or longer) focus occurs when a significant infra-structure is anticipated requiring a long lead time for design and con-struction. Again, the outcomes of the two extremes differ considerably.

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A short-range plan provides many specifics for development, while along-range plan is more concerned with general directions and policies.Much mid-range planning also takes place using a 10-yr to 15-yr timeframe.

1.4 COORDINATION IN THE PLANNING PROCESS

One important element of the planning process is the provision ofa mechanism for coordination with other projects and communicationamong the various involved parties.

Awareness of and coordination with other projects or plans iscritical to the success of any planning effort. If a plan does not reflectthese elements and their significance to the project under study, it canpresent an unrealistic description of the issues involved and a misdi-rected recommendation for improvement. When a planning effort failsto allow for interface with other planning efforts, the possibility existsthat the recommendations will be unimplementable and the process willhave to be repeated, as a plan which cannot be implemented is aworthless document. An unworkable plan typically results from lack ofcomprehensiveness in dealing with significant issues and implicationsposed by a proposed project or situation. The planning process mustnever take place in a vacuum.

As a principal area of project interface, planners working on thesubject project should investigate both previous planning efforts andconcurrent planning efforts for other projects or situations which mayaffect theirs. This is not as easy as it may appear. In any given area agreat many agencies, jurisdictions, and private companies are involvedin a great many planning projects. The importance of this interfacecannot be overemphasized. It is necessary for project planning to beconsistent with other planning in the area. For example, planning a largeindustrial enterprise in an area zoned for low-density residential devel-opment is not consistent with the previous planning efforts which haveresulted in the zoning designation. It is also possible that in some casesof conflicting proposals a compromise can be reached—a reflection ofchanging goals, conditions, and priorities on the part of the affectedconstituency. Planning for a proposed project in a particular town must,as a minimum, be coordinated with various appropriate town-levelagencies, the regional planning agency, various state agencies, othertowns in proximity, local and area industry, groups which have ex-pressed interest, and the general public.

Coordination must also be maintained between the planning effortand the legal regulations and requirements of the various involvedfederal, state, and local agencies. Construction of a highway or rail line,for example, could potentially require a Section 404 Permit from theArmy Corps of Engineers, a Section 4(f) Statement for the taking of arecreation area, a Section 6(f) Statement for the taking of land acquiredby funding under the Land and Water Conservation Act, an Inland

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Wetlands Permit from the local community, a State Traffic Permit, andan Indirect Source Permit from the state. This partial list of possiblepermits that might be required and regulations that must be compliedwith is included only to give the reader some concept of the magnitudeof the legally mandated coordination effort. Some of these requirementsare discussed in subsequent chapters. This is just a small cross section ofconsiderations the planner must be aware of and agencies which must beconsulted during the planning process.

Public participation is one of the most important aspects of theentire planning process. Public involvement is an integral part of theplanning process, not only because of legal mandate, but also to assurethat any planning effort can be implemented. The planner should notlose sight of the fact that planning, whether for general development orfor a specific project, is done for a constituency, and the planner's effortsmust be directed toward incorporating the needs and desires of thosewho live and work in the project area.

Interpretation of the way in which the public should be involvedhas changed considerably over the past few decades. Oversimplificationof the issue of public participation should be avoided. There is moreinvolved than just holding a public meeting and hoping people attend.The planner has a responsibility to help the public become involved ina useful way.

The public in a given area faces numerous projects, plans, hear-ings, referenda, and political issues. The planner's responsibilities in-clude helping them understand the implications and context of theproposed project. Because the tradeoffs and the direct and indirect im-plications are frequently ill-defined, the public may remain confusedabout the ramifications of each alternative. It is important that they un-derstand that each alternative, including the "do-nothing" option, ofalmost any project has positive and negative impacts on some part ofthe population. Part of effective planning is foreseeing this dilemmaand taking appropriate steps toward helping citizens understand theissues. It is important that the planner avoid adopting a position whichcould be construed as adversarial.

Public participation is not just a matter of keeping the generalpublic intelligently informed, however. "Participation," by definition,means involvement; there are very few situations where the plannercan be fully aware of all issues without public input. Localized prob-lems can be dealt with openly and adequately if interface occurs earlyin project planning; they cannot if the public is expected to giveapproval to a "selected" alternative near the end of the planning pro-cess.

It should be stressed that public participation does not mean justthe general public. Provision should also be made for interface andcoordination with special interest and advocacy groups. For cases wherethe project is private or of regional or state-wide scope, the local gov-ernmental jurisdictions must also be provided with a mechanism to dealwith their concerns and input.

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The linkage among the various disciplines and participants withina given project is another critical part of the planning process. Theeffectiveness of planning and management lies in careful coordination ofthese various functions. Because it is necessary in planning to coordinatevarious disciplines, there must be effective communication amongproject study participants. Planners, architects, engineers, soils scien-tists, ecologists, historical preservationists, geologists, economists, andothers must learn to work toward the same goals which require the inputof each. Modification and adjustment of the project may occur as part ofthis coordination effort.

In summary, planning must serve as the mechanism for twoimportant functions in the development process:

1. The planner must coordinate with other proposed projects,existing plans, various government agencies, special interest groups,public bodies and the general public.

2. The planning process must act as a communications system forthe various disciplines involved in a project—for environmentalists,designers, managers, and others involved in some way in the project orplanning situation.

1.5 INSTITUTIONAL FRAMEWORK

One of the most important contexts within which any planningeffort takes place is the institutional framework governing that particulartype of study or functional discipline. Although later chapters of thisbook consider in more detail the institutional framework for each specificmajor area of planning, it is appropriate to address the topic here in thisdiscussion of planning contexts.

Over the course of years, governmental institutions at differentlevels have increasingly mandated planning studies to assure that theprojects and developments they are participating in (through funding) atthe local level are appropriate to the situation. For example, within thetransportation planning field, the federal government has a requirementthat all urbanized areas with populations over 50,000 must undertake along-range transportation planning effort which is "comprehensive,cooperative and continuing." This is just one of a number of federallyrequired planning efforts in the transportation field. In addition, thefederal government instituted the National Environmental Policy Act(NEPA) in 1969, mandating review of every major federal action inrelation to its impact on the human environment.

Other levels of government have instituted their own planningrequirements in the interests of either orderly development or efficientallocation of capital spending. State governments mandate planningstudies in a number of fields. In addition, many states have environ-mental impact analysis requirements on a state level similar in intent toNEPA on the national level.

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Local governments become involved in the planning process forseveral reasons and in several manners. Municipalities often undertakeplanning efforts associated with a potential federal or state grant appli-cation to meet expressed needs. A city desiring a new bus maintenancegarage, for example, must demonstrate need for such a facility in aplanning study. At other times, local governments undertake planningefforts strictly for their own use in promoting orderly development. Suchstudies may not be directed specifically toward a particular agency,funding source, or proposed action.

It is important to understand that requirements for planning andparticipation in the planning process occur at all levels of government.In addition, many private organizations undertake planning effortsbased on public agency requirements. Two types of governmentalagency interactions are necessary in order to assure a comprehensiveplanning effort and an implementation program with maximum oppor-tunity for success.

The first consists of horizontal communication across: (1) Thevarious planning subareas which might in any way be involved; and (2)the subject agency's "sister agencies" at the same level. For example, anairport noise control and land use compatibility (ANCLUC) study beingundertaken by a city for operations at a municipal airport must becoordinated with existing land use planning in the area, local airfield andaviation planning, utility system expansion, zoning ordinance andbuilding code revisions, and a myriad of economic factors. Many differ-ent agencies at the municipal level must be consulted. Generally, theapproval and cooperation of a number of agencies will be necessary toensure successful implementation of the recommended course of action.

The second type of interaction consists of vertical communicationamong the different levels of government involved. In the ANCLUCstudy cited above, for example, the airport commission and the munic-ipality itself (as owner and operator of the airport) will have to coordi-nate and cooperate closely with the county of which it is a part, with theregional planning agency, with the state aviation authority and, perhapsmost visibly, with the Federal Aviation Administration. Each of theselevels has input to the study and is impacted by the study findings andrecommendations.

In summary, the planner must be fully aware of the institutionalframework within which the project under study must operate. Theplanner also has a responsibility to involve all of these agencies or levelsto assure comprehensive coverage of all factors, including legislation orregulations, which might affect the outcome of the study. This commu-nication also helps prevent any duplication of effort which may haveoccurred in a previous planning study, and further assures consistencyamong various ongoing planning efforts or elements.

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