Identify Problems,
Planning Objectives
and Constraints
Problem Identification

Successful plans address real problems

Problem identification directs future activities
and the allocation of resources
A Shared Vision
What is needed most is a
Common Understanding
of the Problem
Common Understanding of the Problem Requires:
Common Vocabulary
Common Understanding of the Problem Requires:
Agreement on Appropriate Levels of Detail
Common Understanding of the Problem Requires:
Willingness to Learn About the Issues
The Process of
Problem Identification
To Begin

Solicit input

Identify problems that currently exist,
have been experienced in the past and are
expected to recur, or could occur in the future

Identify the conditions under which these
problems occur

Prioritize the problems identified
Importance of Goals and
Planning Objectives
Goals are general concepts
 Economic efficiency
 Environmental quality
 Fairness
 Health
 Happiness
Objectives are operational definitions of goals
Planning Is Iterative
We will find ourselves refining all stages of
the planning process. These are iterations
When we iterate, we change the scale, time,
focus or emphasis of the process.
Iteration relies on feedback for knowing how
much is good enough.
We use different techniques planning detail
in our iterations.
Screening
Screening - separate the obviously bad from the
others
We screen on all levels of the planning process
(goals, objectives, constraints, alternatives,
data, processes, etc.)
Screening is essential but over screening
eliminates valuable choices.
Scoping
Scoping - an open and early process for
determining the scope of issues to be
addressed an for identifying the significant
issues related to a proposed action. (NEPA)
1. Invite participation of all parties
2. Determine scope and significant issues
3. Identify and eliminate from detailed study
issues not significant or previously covered.
Scoping
4. Allocate assignments for preparation of EIS
among lead agencies
5. Identify other public ongoing studies or other
EISs
6. Identify other environmental reviews
7. Relate study timeline to decision making.
Other Considerations
Planning Area
“location of resources that would be
directly or indirectly or cumulatively affected
by alternative plans”
Period of Economic Analysis
Period over which we are to study, may be
less than life of project
Must be the same for all alternatives
Definition of Planning Objectives
A planning objective is a concise, formally
structured statement which outlines
 What a plan should accomplish
 Where a plans influence should be felt
 When a plan should be initiated
WHAT
?
WHERE
WHEN
Purpose of Planning Objectives
Planning objectives are developed to

Focus efforts on problems of greatest concern

Ensure that multiple goals are explicitly
considered throughout the process

Provide a common vision

Allow evaluation of a plan
Importance of Planning Objectives
Without good planning objectives

Planning loses focus

Important interests ignored

Important problems not addressed

Effective alternatives not formulated

Plans cannot be evaluated

Implementation becomes impossible
Comments on Past Experience
With Planning Objectives
Experience suggests
 Poor planning objectives are difficult to
overcome
 Reframing planning objectives late in a
study results in lost time and higher costs
 The importance of planning objectives is not
fully appreciated
 Planners (as well as engineers) do not
embrace innovative approaches to meet
planning objectives
Strategic Versus
Planning
Tactical
Tactical plans

Contain effective responses that mitigate
the adverse impacts of short term problems
such as drought

Can be implemented quickly
Strategic Versus
Planning
Tactical
Strategic Plans

Contain long term responses related to resource
availability, system management strategies, or
legal frameworks

Requires time to implement
Elements of Well Defined Plans
Both tactical and strategic plans must include

Clearly stated policy objectives

Forecasts of future conditions

Evaluation criteria

Multiple alternatives

Comprehensive description of a preferred
strategy
Strategic and Tactical Plans
Are Interrelated
Both contribute to system sustainability
Formulation of
Planning Objectives
1. Identify problems of greatest concern
2. Translate problems into achievable objectives
3. Identify where this objective is to be met
4. Identify under what conditions the objective is
to be met
Objectives should be stated in a positive sense!
Two Sheets of Paper
Every Planning Study should be able to
summarize the “Problems and Opportunities”
and the “Planning Objectives” on two sheets
of paper.
A fourteen-year old should be able to read these
to his/her class and everyone in the room
should be able to understand the essential
features of the problem.
Problems and Opportunities
Characteristic Problem
Focus
Existing Condition
Description
Opportunity
Future Desires
Message
Negative
Positive
Occurrence
Past
Existing
Future
(without)
Past Didn’t Occur
Existing May or may not
Future (without)
Problems and Opportunities
Characteristic
Relationship
to other
Resources
Implicit
Objectives
Problem
Existing conditions
have bad impacts
Opportunity
Enhance related resources
Return to the past
Problems ahead
Create a better future
Consequence
of Doing
Nothing
Past
Existing
Future
(without)
Return to a desirable
condition
Examples of Poorly Defined
Planning Objectives

Develop a drought contingency plan

Build a pumping station at the X reservoir

Evaluate instream flow requirements at the Y
River basin

Avoid adverse effects to fish and wildlife
during 50 year droughts

Enhance hydropower production
Examples of Well Defined
Planning Objectives
Enhance the long term reliability of municipal
water supply in the Y River basin
 Ensure adequate instream habitat protection in
the Y River basin during drought
 Enhance fish and wildlife protection in the
Z River basin during drought
 Enhance annual hydropower production in
the X River basin for the next 30 years
 Maintain navigation on the X River
during drought

Identification of Constraints
Definition of Constraints
Constraints are limits to the range of planned
responses
Three types of constraints exist
Natural - bound by the laws of nature
External - enforced by outside agents
Perceived - assumed to be undesirable,
prohibited or impossible
Role of Constraints
in the Planning Process
Constraints are used in the planning process as

Situations that define the status quo

Screening criteria for alternatives

Guidelines for project evaluation
When Should Constraints
be Challenged?
Constraints should be challenged if they

Obstruct planning objectives

Significantly reduce alternative effectiveness

Address external agents that
no longer exist

Are unfounded
Summary

Problems should be identified and prioritized so that
planning objectives can be properly formulated.

Planning objectives focus planning efforts and provide a
framework for evaluating alternative solutions and
formulating effective strategies.

Tactical and strategic plans, although inter-related,
address different time scales and responses.

Planning objectives are essential elements of any tactical
or strategic plan.

The impact of constraints, real or perceived
Exercise