Environment: ETAP Reference Guide Book

Chapter 37
PLANNING
Written by: Sue Le Mesurier, Planning Advisor, Carere Rattanakiri.
37.1

Introduction

The purpose of this paper is to explain the planning process and provide a framework for
using planning as an environmental management tool with a particular emphasis on the
Cambodian situation.
Some Definitions:
Firstly, in order to understand our subject we need to clearly understand the terms being
used.

Planning put simply is how to achieve a goal (s) which have been determined by policy. In
more detail it is the process or method of looking at where we have been, where we are now
and where we would like to be in the future and how we intend to get there. The process may
relate to a large number of different issues (both internal and external), various time periods
(short and long term) and various types of large and small scale projects and plans. The
process also involves the following steps. Analyzing what the present problems are (strengths
and weaknesses), gathering information on the subject area, analyzing what the
opportunities might be based on this information, deciding on goals and objectives, and
preparing various strategies (or scenarios) for the future. These strategies then form the basis
of the development (or action) plan.
Policy is a course of action adopted (e.g. by a national government, a government
department, a political party, a business, etc.) which is intended to influence and determine
decisions, actions, and plans. Policies refer to overall objectives, are political in nature (and
therefore involve compromises), and should help to anticipate problems before they occur or
worsen.
Goal - What is it that you want to achieve, what is the aim of the plan or project, and what
will the final result be at the end?. This aim or course of action will provide the framework for
the plan - especially in defining who will participate and who will ultimately benefit.
Management is the process of controlling and influencing the output of an organization
through leadership and planning. Management by objectives is focusing the organization on
what you want to accomplish (goals and objectives) and directing the energies of the team or
staff of the organization in achieving these targets.

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Tools are the methods which are going to be used to both prepare, manage and implement
the planning process. Planning is an environmental management tool in that it provides the
framework for defining the various complex issues, time frame, personnel, financial
means and realistic strategies. The planning process also uses a number of different tools for
identifying problems and possible solutions. Some of these are GIS Mapping, Cost-benefit
analysis, Environmental and Social Impact assessment studies, Log frame analysis, Objective
Oriented Project Planning and SWOT (strengths, weaknesses, opportunities and threats).
37.1.1 Environment and Planning
Environment is all encompassing. It includes not just the natural resources but also the social
and economic resources and the interrelationships between these. Environmental tools for
analyzing our environment include environmental profiles, environmental impact assessment
and participatory rural appraisal approaches. These tools through data gathering, data
analyzing and actual planning of development activities form the basis of sustainable
development and resource management.
To summarize:
In brief, policies refer to the overall objectives of the Ministry of the Environment which
provide guidance for its actions; plans set out how to implement these policies within a given
budget, with given staff constraints and within a given timeframe. In addition, plans often
include programs or sets of related activities or projects within a specified functional area.
Projects are usually discrete activities within a programme area, i.e. projects are often
implemented within a programme which is in turn an expression of a policy. Conceptually
then, policies, programs and projects are nested together but the distinction is often unclear
and policies tend to be vague, implicit and/or open-ended.
37.2PLANNING- APPLYING LOGIC TO CHAOS
Planning as a development tool is a means for creating a logical order of a complicated real
life situation. In order to be able to change or improve the way planning will be done, and
make decisions on appropriate courses of action, it is necessary to be able to refer to some
framework which distills order out of chaos. Ansoff and Brandenburg (1969: 355-7)
distinguish 11 steps: (note; comments in brackets are added for clarification)
1. The setting of objectives. (The broader development objective and mission statement)
2. Perception of problems and opportunities. (OOPP approach to brainstorming on
situation)
3. Diagnosis of problems and opportunities. (Problem analysis - causes, effects, and
possible solutions)
4. The generation of alternative courses of action for solving problems or exploiting the
opportunity. (Data collection and information gathering which supports various alternatives,
and choices by different stakeholders)
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5. Analysis of probable consequences of each course of action. (Participatory planning

meetings and representations of all the 1stakeholders).
6. Selection of the preferred course(s) of action. (The strategic plan defining the action,
target group and time frame - who, what and when?)
7. Translation of what should be done into how to do it. (Detailed workplan of specific,
measurable, and realistic activities which are represented through the Log frame Analysis
matrix).
8. Transmitting the programme to organizational participants, ensuring that they
understand it and motivating them to ensure that the desired action takes place -i.e.
extending leadership through communication. (Participatory planning meetings to review the
strategic plan and log-frame).
9. Measurement of performance in relation to objectives, and forecasting expected
outputs. (On-going monitoring and evaluation of the planning process and implementation of
the project).
10. Assessment of trends and significant changes, both inside and outside the
organization. (Participatory meetings, interviews, inspections and reports shared with
all stakeholders for comment).
11. Review of achievements and re addressing questions 1-10. (Participatory meetings
and plan adaptation where necessary).
37.2.1 The Cambodian Context
The Royal Government of Cambodia in the 1997 Socio-economic Development Plan,
states that environmental considerations are critical if the country is to prevent the types of
degradation that have occurred in neighboring countries as a result of natural resource
exploitation to drive economic development.
One of the key Development Objectives (immediate goals) of the Royal Government of
Cambodia, spelt out in this Socio-economic Development Plan is to-ensure that the pattern
of development is sustainable socially, politically, fiscally and environmentally. The planning
strategy for achieving this development objective is described as follows: ensuring
sustainable utilization of the natural resource base by strengthening the enforcement of
environmental legislation; supervising and monitoring conservation management; and
developing sustainable resource use strategies. In order for the Ministry of the Environment
to effectively implement this planning strategy it is essential to develop a planning framework
1

Stakeholder(s) - The many different people who are affected/ involved in the planning
process. These people have various different backgrounds, needs and expectations, whether
they are politicians, government administrators, land owners/ occupiers, or community
representatives.

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and be clear about the role sand responsibilities of the respective departments involved.
Cambodia has ample intact resources, yet there is still a lack of coherent management
structures needed for their sustainable use. The challenge to the Royal Government involves
the development of longer term resource use strategies. Such strategies should be proceeded
by a better understanding of existing conditions; identification of priority problems and
critical concerns; specification of causal factors; and provision of overall plans for corrective
and preventative actions that are rooted in policy and institutional response. Regardless of
the specific environmental focus, the planning approach needed over the long term should
emphasize institutional strengthening, inter-agency cooperation, and strategic planning
between all the agencies involved in improving resource management. This will involve
specifically the need to improve their abilities for baseline data collection and evaluation,
essential skills training, increased public awareness on environmental issues, identifying
resource development scenarios, incorporating public involvement at all levels in decision
making, development of appropriate policy and implementation documents, and the
identification of funding in support of projects which have been prioritized by the planning
process.
37.3

Planning and Problem Solving

In the complexity of modern day life the planner is often faced with problem solving, and
environmental planners even more so. Internationally it has been proven that rural poverty
and environmental degradation are related. Yet the linkages between development and the
protection of the natural environment are much more complex than what is often admitted.
The processes, policies and institutions generating poverty and environmental decay interact
at all levels - from individual families and households in the village through to major
international companies such as forestry companies.
The role of the planner is to, through the planning process, provide a framework in which to
understand these complex interrelationships. This may involve looking systematically at the
range of institutions and policies determining the interactions between development and the
environment. For example at the local village level, using social survey techniques and
preparing baseline data tables, the planner can assess production patterns, existing farming
systems, and population dynamics, social and cultural forces and formal and informal land
tenure arrangements. Any attempts to promote development and reduce poverty while
improving the environment must therefore take into account an extremely complex set of
interacting social, economic and political forces. Various problem solving tools are available
to planners in their assessment of possible development alternatives. These are discussed in
turn below.

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37.3.1 Objective Oriented Project Planning

The OOPP Approach is a problem solving planning tool, which serves to:

Agree on unambiguous definitions and to come to a common understanding about

the problems a project shall help to overcome.
Define realistic and clear objectives and to describe precisely the ways to reach them.
Establish a common and binding working basis by clarifying the scope of responsibility
of the project team.
Improve communication and cooperation among the participants (project partner,
project target groups, and advisory /planning team) through joint planning and
documentation of all planning steps.
Create a common understanding for building a basis for project implementation,
monitoring and evaluation.

OOPP Steps involve problem analysis, objectives analysis, alternatives analysis, and
participants analysis.

Problem analysis is the procedure to analyze the existing situation and identify the current
problems. This can be done by brain storming with the study team the various existing
problems (which may differ for each of the representatives), and eventually identifying by
agreement the basic underlying core problem which the project should address. Secondly,
the team identifies the many underlying causes of the problem, and thirdly the various
short term and longer term effects of the problem. The causes and effects can then be
matched together to form a hierarchy of problems - which can then be presented visually as
a tree of problems called the problem hierarchy.

Objectives Analysis is a methodological step that describes the future situation that will be
achieved if the problems are solved, and identifies possible alternatives for the Project. This
is achieved by rephrasing the negative statements of the problem hierarchy into positive
statements that are appealing and realistically achievable. These then become the realistic
objectives that can be achieved in the context of the proposed project.

Alternatives Analysis will require looking at various scenarios or choices of action available
to the team, and what is going to be most beneficial to achieving the main development
objective. This may require doing a simple cost-benefit analysis of the project, as well as a
preliminary social and environmental impact assessments. After completing the objectives
analysis there may be objectives that are not relevant or desirable to pursue at this time,
specific components of the project may take priority over others, and an appropriate strategic
plan should be apparent at the end of the exercise.

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Participants analysis identifies the key players (groups, persons, institutions, or

organizations) that are related to or likely to be influenced by the project. From this list we
can identify categories of participants. The Target groups/ beneficiaries, project team,
implementing agencies, cooperating agencies, national, provincial and local institutions etc.
It is important to not only to identify each group but also analyze them in terms of their
involvement, and impact (on or by) the proposed project, and ensure their active participation
in the planning process. Based on this analysis and involvement at the project preparation
problem analysis phase the project may have to be amended accordingly.

37.3.2 Logical Framework Analysis

In the Logical Framework Approach a development project or plan is seen as a set of steps
or events which are all linked together to make a whole. The plan is the longer term view
encompassing broad development objectives, whereas the development project is just one
small part of the plan. Many projects from different sectors, and encompassing a range of
time periods will be an integral part of the overall plan. The expectation is that the
development project will induce change whose results are desired within the project
environment. We therefore assume that all the stakeholders agree that the situation can and
will be improved as a result of the project or planning scenario. This then makes it possible
for all the stakeholders to agree upon the immediately achievable objective and the broader
overall development objective of the project. No development project or development plan
exists in a social vacuum. It is important that the desired future situation is described in such
a way that it is possible to check at a later stage to what extent the project has been successful
in relation to its objectives and that of the target groups. This is important for follow-up
monitoring and evaluation of the project. A development project is based on its input of
resources, the implementation of certain activities, and will result in a number of outputs
which are expected to contribute to the desired objectives. These aspects of the plan (inputs,
activities, outputs, and immediate objective and development objective), form the
development planning framework and are then all summarized in the project matrix. This
Project Planning 2Matrix should therefore be able to address the following essential
questions:
Why the project is to be carried out?
What the project wants to achieve?
How the project wants to achieve these results?

Matrix: A tool for putting a large amount of information into a table format which can be easily understood.
The Log frame Analysis Matrix is a series of steps describing the project or plan. Step one starts with the broad
Development Objective (WHY), then the more detailed and specific Development Goal (WHAT).
This is then followed by an analysis of the Outputs and Activities (HOW) required to achieve to goal, and the
verifiable indicators for ensuring that the goal has been achieved satisfactorily. Finally, a list of inputs is prepared
and a budget finalized.

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Which external factors are important for the Projects success?

How the projects success can be measured?
Where one can find the data to measure this success?
How much the project will cost?
The extent to which a project is going to succeed or not depends both upon a number of
factors that can be controlled by the project management team, as well as upon a number of
external factors. During planning and implementation it is extremely important to identify,
monitor and analyze external factors, since they may cause the project to fail even if it is
implemented as planned.
37.3.3 Project Cycle Management: Monitoring and Evaluation
It must be remembered that the project or plan is not an end in itself, but should form part
of a broader development objective. In the step by step process of planning, from problem
analysis to project formulation and implementation, we need to be flexible and able to
review progress on a regular basis. This
may then require amending the project
document and the inputs, activities and
outputs over time.
Fig 37.1 on the left explains the Project
cycle procedure.

Fig 37.1 Project cycle Procedure

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37.4

Strategic Planning and Environment

Strategies are very similar to goals and objectives. They describe the way that the objectives
and goals can be achieved. The process for achieving the objective rather than the final
product. Following on from our problem solving approach to planning a Strategic planning
approach points out the route that the organization or community will take to solve the
problem(s) that have been identified.
The Strategic plan also enables the organization to clarify their mission or role. A mission
statement is the purpose of the organization, and its main focus. This may also be the broader
development objective of the organization. For example an overall development objective of
the United Nations Environmental Technical Advisory Programme is stated as follows: to
increase environmental awareness of the population and to improve the capacity for
sustainable natural resource management in implementing Government bodies and decision
makers, The programmes general strategy for achieving this objective has stressed
institutional capacity building and strengthening of skills of government counterparts through
the provision of technical advice and equipment/ materials. The strategy and the
development objective were a direct outcome of the analysis of the key problems facing the
Cambodian Government in addressing environmental management issues. Namely, lack of
effective capacity at all levels, and a lack of environmental education and awareness. In order
for the MOE to develop a clear sense of its mission and a set of objectives a strategic planning
process was established. This strategic planning process can be applied to all sectors but in
the case of environment, four stages of activities have been identified.

1. Implementation of training programmes concerning management and planning theory.

2. Development of the mission statement, and general long range goals and strategies.
3. Implementation of a training course on development of a mission statement, long range
goals, strategies and 12 month workplans for all staff members. Workplans include detailed
descriptions of projects, steps to be taken for accomplishment, schedule, and resources
required. (Inputs, Activities and Outputs)
4. Meetings to review and modify the strategic plan and develop monitoring and evaluation
process.
The Strategic Planning Process therefore follows on from the OOPPs and Log frame Analysis
approaches outlined above. The process is managed in a logical way, and enables
participation from the different levels in the organization, and forms the basis of agreed
action plans.

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37.5

Bottom-Up Planning (or sometimes known as grassroots planning)

It has become apparent in recent years that in order for planning and development projects
to be more sensitive to local needs, and at the same time understood and subsequently
owned by the local community or organization, that a decentralized, local level, participatory
approach is required. This is the bottom-up approach to planning and decision making. The
key indicators to the effectiveness of this philosophy are as follows:

37.6

Communities conduct organized discussions on matters affecting their lives.

Special interest groups participate actively in the planning system.
Rural people voice their desires and opinions before the planning organization.
Rural people are aware of the forces that impinge on the quality of their life and
understand how and why those forces operate.
As a result of participating in development planning rural people obtain greater
control over their environment.
Officials assume the role of consultant, reviewer, recorder, coordinator or moderator
in the planning process.
Information and Planning

While all planning requires information for a process of rational decision making, the nature
of the plan focus and approach determine the nature of the information needed to formulate
the plan. Development planning focusing on environmental management therefore has
special demands for different types of information depending on the approach. Once the
information needs are identified, data can be gathered and processed to generate the
information required to both formulate and support the plans. In a multi-disciplinary field of
development the main users of information are policymakers, and planners. Information
needs also vary depending on:

the nature of the problem

objectives of the plan
level of institutions to be dealt with, and
time limits within which objectives are to be achieved.

If the focus of environmental planning, management and education is going to target a

bottom-up approach which will serve the majority of people at the micro- level.(i.e.
household, village, commune) then this will facilitate the understanding of and allocation of
local resources. The purpose of such a micro-level approach to planning is as explained above,
to involve people in the decision making process for their development. This requires a wide
range of information to make a rational choice among the different alternatives. The kinds of
information required will include knowledge about the people in the community, their living
conditions, socio-economic activities, access to a range of social amenities, transport services
and other infrastructure. To meet these information needs, establishing a decentralized
information gathering system is necessary. This is especially the case in which planning aims
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to incorporate local knowledge as a source of information to manage environmental

resources and in the long term alleviate poverty at the village level.
37.7

Conclusions

With the increasing realization that planning is about people rather than places and things,
and more importantly the complex interrelationship between people and their environment,
planners need a framework in which to analyze the problems, and substantive information
on what the problems are. This process is the start of creating order out of chaos and
generating solutions that are acceptable to all the stakeholders involved. The Ministry of
Environment broad mandate is to protect the natural resources of the country and to prevent
environmental degradation - but how does this relate to people and planning? Basically, in
order to achieve this mandate capacity building of MOE staff and environmental education of
all Cambodians will form the foundation of any successful planning strategy in the future.
Through protection and conservation of natural resources, not only will local peoples wellbeing be improved, but traditional culture and local and national identity will be given
importance. Furthermore strong environmental strategies and objectives, which are
supported by Government will contribute to the socio-economic development of Cambodia
and ultimately reduce poverty - especially in the rural areas. Education at all levels (nonformal and formal) is a critical tool for ensuring planning processes and decisions are clearly
understood and communicated through to the local population. MOE and other agencies
working in the area of environmental management therefore have a responsibility to develop
educational programmes, disseminate information, and increase awareness
on environmental issues and strategies. Given Cambodias large numbers of untrained and
unmotivated public service staff, low salaries, weak environmental legislation and the lack of
a functional judiciary system, one must therefore address the question as to how can effective
planning be carried out? This is a serious problem needing to be faced by the MOE senior
staff, Politicians and the aid donors. One solution I argue is that in order to ensure effective,
sustainable management of the environment the planning process must be grass-roots
oriented and participatory. For planning to be participatory it must therefore be based on
clear understanding of the issues by all involved, and people oriented. Only then can planners
be optimistic that some order and reason will be created from the world of illogical chaos
which we live in, and critical environmental issues addressed.

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