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The Planning Process : a Facet Design

Yehezkel Dror
International Review of Administrative Sciences 1963 29: 46
DOI: 10.1177/002085236302900108

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 The Planning Process : a Facet Design (1)
by
Dr. Yehezkel DROR,
The Hebrew University, Jerusalem.
UDC 65.012.2

INTRODUCTION really scientific and systematic way, we

need first of all a much closer and more re-
fined examination of its components and
A close perusal of the large and growing elements than is generally found in the ~lite-
literature dealing with different kinds of rature dealing with it. In fact, it is very
-
planning,-, shows a transfer of the focus interesting to note that, despite the growing
of attention from ideological discourses on number of articles and books dealing with
the desirability of planning to examina- Jt
planning on one level or another, only a
tion of substantive problems associated with few efforts have been made recently to
the planning process, such as its nature, the develop a systematic approach to the study
phases of planning, conditions for successful of planning as an administrative process
planning, planning techniques, etc. (2). This (5). Even authors well known for their
change of emphasis in discussions on plan- original contributions to the administrative
ning went hand-in-hand with recognition of sciences have often failed to deal adequately
the basic nature of planning - as a metho- with the planning phase of institutional
dology of rational thought and action, rather action (6). A more systematic approach to
than a specific blueprint for one or another the study of planning, utilizing more refined
definite course of action (3). concepts and more advanced research de-
signs and methods, is urgently needed, if we
Emancipation of the concept of plan- want our knowledge on this basic and often
ning from any ideological annotations or
*
crucial phase of organizational action to be
connotations other than a belief in the abil- in line with the progress being made in other
ity of homo sapiens to engage to some extent areas of administrative science such as -

in the shaping of his future and a belief in communication theory and formal organiza-
the desirability of his doing so (4) is an tion -
and if we want knowledge to con-
essentiad prerequisite for scientific examina-
tion of planning a as a basic social-admin-
istrative process; but in order to be able to (5) The most important recent contribution is Le
Breton and Henning, Planning Theory, Prentice-Hall,
approach the study of planning~ in a Inc., 1961. See also the files of « AIP, Journal of the
American Institute of Planners », which includes a number
of significant papers on the planning process. Cf., e.g.,
John W. Dyckman, Planning and Decision Theory (Re-
(1) This article is based on series of lectures given view Article), ibid., Vol. 27, No. 4, November 1961, pp.
by the author at the Comprehensive Planning Course, 335-345; John R. Seeley, What is Planning? Definition and
Institute of Social Studies, The Hague, in 1960, 1961 and Strategy, ibid., Vol. 28, No. 2, May 1962, pp. 91-97; Paul
1962. For an earlier effort, cf. Yehezkel Dror, Dimensions Davidoff and Thomas A. Reiner, A Choice Theory of
of Planning, « Public Policy », Vol. VII, 1956, pp. 112- Planning, ibid., pp. 103-115, and more. Important con-
127. The present version has been prepared while the tributions to a theory of planning as an administrative
author was a Fellow at the Center for Advanced Study process may also come from Operations Research. Cf. the
in the Behavioral Sciences. various papers presented at the 22nd National Meeting
(2) Cf. John Friedman, Introduction, « International of the Operations Research Society of America (November
Social Science Journal », Vol. XI, No. 3, 1959, pp. 327-328. 7-9, 1962, Philadelphia, Pa.), which was devoted to
(3) One of the first authors clearly to recognize this « planning »).
difference was Hayek, who explicitly limited his anti- is the failure to distinguish
(6) Especially noteworthy
planning arguments to« planning » in the sense of a between planning and decision-making in general. E.g.,
directed economy. Cf. F. A. Yahek, The Road to Serfdom cf. James G. March and Herbert H. Simon, Organizations
(1944), p. 26. (1958), who regard planning as identical with decision-
(4) Cf. Dror, op cit., pp. 114-118. making (p. 200).

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 47

tribute to the improvement of the rapidly based on R.A. Fishers approach to the
spreading practice of planning (7). design of experiments (11) and tries to
In this paper an effort is being made to systematize the construction of a semantic
structure which identifies the different ele-
deal with one of the first phases of a system- ments and variables of which the
atic study of planning, namely a preliminary phenomen-
on to be studied is composed and by which
concept analysis or, to use a more tech-
-

it is
nical term, facet design trying to identif,y
-
shaped.
the main factors and variables composing A short citation from the paper by Louis
the planning process and shaping it. We Guttman in which the concept of facet*
will first explain and justify the method- was first proposed will serve to clarify the
ological rationale and objective of this pa.per general methodological significance of this
and discuss briefly its significance for the concept:
study of planning as a part of administra- the most practical way of
tive sciences; then we will define our sub-
-
Perhaps
ject-matter and proceed to the presentation defining the concept is in most general
terms. Consider a set A of any elements
of the various primary and secondary facets
of planning; finally, we will point out some ai, a2..., and a set B of any elements
lines for empiric research, based on the b,, b2 Let C be the direct product
...

facet-design and directed at various problems (12) of A and B : C = A X B. That

of planning identified with the help of the is, a typical element of C, say c, is a
facet-design. pair of elements c = (al. bk ), one
coming from A and the other from B.
If A has m elements and B has n ele-
METHODOLOGY (8) ments, then C has mn elements. We
shall say that C is a two-faceted set,
The concept of facet-design, as first devel- and that A and B are facets of C. A
oped b,y Louis Guttman (9) and as applied facet, then, is a set of elements. In
to the study of various phenomena (10) is general, C may be the direct product
of any number of facets, not just two.
Facet theory is useful for designing
(7) The lack of any framework theory on planning the universes of content of research
is clearly seen in the non-systematic way with which
« planning » is dealt with in the thirty-eight passages projects. This aspect of the theory is
from the best available texts and papers included in part of facet design. Facet design may
David W. Ewing (ed.), Long-Range Planning for Man- also refer to the population, P, being
agement (1958). Similarly the many recent contributions studied. The facet formula for a pro-
by social scientists to the « planning» literature — while
often being very interesting and including important ject can always be written in the gen- .

insights — suffer from an outdated interest in the semi- >

eral form: P X C = R, where R is the
ideological issue of « planning» vs. « non-planning» and set of possible responses of results * (13).
the lack of clear conceptual frameworks. E.g., cf. most
of the papers on social planning in « Transactions of the
Fourth World Congress of Sociology », International So- Application of the methodology of facet-
ciological Association, 1919, Vol. II. For some short, but design to the study of the planning process
sharp and pointed and relevant remarks, cf. Bertram M. is not easy because of the very complexity
Gross, When Is a Plan NOT a Plan ?, « Challenge », De- of the planning process, which results in a
cember 1961.
(8) I am indebted to Professor Louis Guttman for complex and multi-faceted set, in which each
his important help and suggestions concerning the method- facet in turn is the product of a large num-
ological aspects of this paper. ber of secondar.y facets, which in turn are
(9) Louis Guttman, An Outline of Some New Method- the product of various trietary facets which
ology for Social Research, « Public Opinion Quarterly », can be analyzed in terms of different sub-
Vol. 18 (1954), pp. 395-404. Louis Guttman, What Lies
Ahead for Factor Analysis, « Educational and Psychological sets, and so on. Nevertheless, if the study
Measurement », Vol. 18 (1958), pp. 497-515. Louis Gutt- of planning is to progress beyond impression-
man, Introduction to Facet Design and Analysis, « Pro- istic images or generalizations based on
ceedings of the Fifteenth International Congress of Psy- limited experience, it is essential that an
chology », Brussels, 1957 (1959), pp. 130-132. Louis Gutt- effort be made to identify the main elements
A Structural Theory for Intergroup Beliefs and
man,
Action, « American Sociological Review », Vol. 25, No. 3, of planning, i.e. that a preliminary facet-
June 1959, pp. 318-328. design of planning should be made.
(10) Uriel G. Foa, The Foreman-Worker Interaction :
A Research Design, « Sciometry », Vol. 18, No. 3, August
1955, pp. 226-244. Uriel G. Foa and Louis Guttman. (11) R. A. Fisher, The Design of Experiments (1951).
Facet Design and Analysis of Data on Personality and (12)« Not to be confused with the logical product
Attitudes Related to Human Organization, Israel Institute or intersection of two sets ».
of Applied Social Research (1960). (13) Louis Guttman, 1954, op. cit., p. 399.

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 48

Construction of a facet-design is but a designed to lead

rational outputs. If for
to
first, though very important, step which some purposes of these models can be
some
should, if possible, be followed by construc- regarded as parts of blueprints of an ideal
tion of a statistical or quasi-statistical struc- flow-chart for the planning process, or parts
ture designed for empirical research. While of a system-analysis of the planning-process,
some of the primary and secondary facets to then our facet-design should be viewed as
be presented in this paper form a simplex dealing with the environment and structure,
(14) the primary facets being ordered in
-

or, to use a technical term, 4c space within

a simple order pattern from more external which the planning process takes place.
to more internal ones and the secondary Thus, we are dealing here with the first part
facets being partly ordered from more sim- of a general theory of the planning process,
ple ones to more complex and comprehensive to be completed at a later date by a second
ones -

it may be necessary at a later stage paper, on the phases of the planning process.
to tr.y and complex struc-
construct more
tures for empiric research of planning.
THE CONCEPT OF PLANNING
In its present, rather amorphous form, the
facet-design of planning to be presented in
this paper is intended to serve more as Any effort to deal in a methodologically
stimuli for directing thought towards basic sound way with so elusive a phenomenon as
problems than as a ready-made apparatus planning must be anteceded by a more or
which can be directly applied to empiric in- less exact delimitation of the area of inves-
vestigations (15). Nevertheless, even in its tigation, i.e. a definition of planning. While
present form, the facet-design should be of the validity of the definition is by its very
help for comparative study of planning in- nature limited to our world of discourse and
stances ( 16)~ and should serve as a check- adjusted to the purposes we have in mind,
list of factors to be considered and dealt the definition should be in line with the more
with in any investigation of planning and commonly accepted uses and meanings of
in any attempt to set up, improve or analyze the verbal referent < planning *, so as to

planning processes. avoid unnecessary communication difficult-

ies. Simultaneously, our definition must be
An additional remark must be made here wide enough to include planning processes
on the relation between our facet-design of
taking place in different contexts and sharp
planning and various models of planning a
enough to distinguish between planning and
and other discussions of some of the issues other related processes.
involved the planning process found in mo-
dern literature on decision-making, statistical A short examination of some commonly
used definitions will facilitate preparation of
decisions, theory of games, etc. Nearly all our own definition. Even leaving out of
these models and discussions, insofar as
relevant to our subject, deal with the se- consideration definitions explicitly dealing
with a limited area of planning such as
quential phases of rational action, providing
-

various schemes or sequences which are physical planning, economic planning, re-
gional planning, etc. we are faced with a
-

wealth of definitions (17), only a few of

which can be quoted here. We will select
Louis Guttman, A New Approach to Factor An-
(14) our quotations so as to illustrate the main
alysis :The Radex, in Paul F. Lazarsfeld (Editor), &laquo; Ma-
thematical Thinking in the Social Sciences &raquo;(1954). different approaches to the definition of the
(15) This paper can also be regarded as trying to concept planning .
apply the &laquo; facet &raquo; concept to an administrative process
as an experiment designed to test the usefulness of this One school of thought emphasizes the
methodological tool for administrative sciences in general. nature of planning as decisions concerning
(16) Experience at international seminars and con- future action, as illustrated by the following
gresses devoted to planning problems clearly shows the definitions :
need for a basic theory as a framework for collecting
and evaluating data. E.g., cf. the papers on Government
Organization for Economic Planning submitted to the
PIanung ist die geistige Vor-Form-
IIAS Round Table (Lisbon, 1961) and the XIIth Inter- ung einesOrganismus Organs oder eines
national Congress of Administrative Sciences (Vienna, 1962), Funktionsablaufs (18).
.

and the secretariat working paper on Administrative Ma-

chinery for Planning in the ECAFE Region prepared for
the Planners, New Delhi,
Conference of Asian Economic (17) E.g., cf. the collection of definitions quoted in
1961 Economic and Social Council, document
(U.N. John D. Millet, T he Process and Organization of Govern-
E/CN.II/CAEP.1/L.3 of 11 August 1961). See also Barbu ment Ptanning (1947), pp. 2 ct seq.
Niculcscu, Colonial Planning : A Comparative Study (18) Karl Stefanie-Allmayer, Allgemeine Organisations-
(1958). lehre (1950), p. 136.

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 49

Speaking generally, planning is de- making affecting the future course of
ciding in advance what is to be done; an enterprise Planning is thus an
... in-
that is, a plan is a projected course of tellectual process, the conscious deter-
action a ( 19). mination of courses of action, the basing
of decisions on purpose, facts, and con-
~
Planning is the working out in
...

sidered estimates (23).

broad outline the things that need to
be done and the methods for doing them ... Planning is more and more re-
to accomplish the purpose set for the garded as equivalent to rational social
enterprise (20). action, that is, as a social process for
reaching a rational decision (24).

Another school of thought regards ration-

ality and the utilization of knowledge as Of special interest in this connection may
characterizing planning ~ : be a similar definition by a Soviet econom-
ist :
Planning is an organized effort to
utilize social intelligence in the deter- By Planning we mean the fullest
mination of national policies. It is based and most rational utilization of all work
upon fundamental facts regarding resour- and of all the material resources of the
ces, carefully assembled and thoroughly community, in the light of a scientific
analyzed; upon a look around at the forecast of the trends of economic
various factors which must be brought development and with strict observance
together in order to avoid clashing of of the laws of social development - (25).
policies or lack of unity in general di-
rection ; upon a look forward and a look Some of the quoted definitions already
backward. Considering our resources include the evaluative element of being
and trends as carefully as possible, and directed at the social good . This element
~~

considering the emerging problems, plan- becomes predominant in some other defini-
ners look forward to the determination tions of ,planning :
of the long-time policies (21). It
-
Planning is the means by which
c
Planning consists in the systematic, the discipline of Science applied to
continuous, forward-looking application human affairs will enable man to incar-
of the best intelligence available to pro- nate his purposes. It is the inevitable
grammes of common affairs in the public link between means and ends. More-
field ...
Planning is a continuous pro- over, it is in itself an inspiring ideal.
cess, andnecessitates the constant re- For once it is realized that there is no
examination of trends, tendencies, poli- natural harmony of nature, no Divine
cies, in order to adapt and adjust govern- or other purpose hidden beneath the
mental policies with the least possible flux and chaos of present planlessness,
friction and loss Planning is not an
... it becomes immoral to let poverty, ignor-
end, but a means, a means for better ance, pestilence, and war continue if
use for what we have, a means for eman- they can be obliterated by a plan.
cipation of millions of personalities now Although there is some disagreement as
fettered, for the enrichment of human to the nature and desirable limits of
life (22).
...

planning, students of administration are
all planners * (26).
~
Planning is one of the functions of
the manager and, assuch, involves the Planning is an activity by which
selection, from among alternatives, of man in society endeavours to gain mas-
enterprise objectives, policies, procedures, tery over himself and to shape his col-
and programmes. It is thus decision-

(23) Harold Koontz and Cyril ODonnel, The Nature

(19) William H. Newman, Administrative Action and Purpose of Planning, in David W. Ewing, op. cit.,
(1958), p. 15. pp. 11, 12.
(20) Luther Gulick, Notes on the Theory of Organ- (24) Robert A. Dahl, The Policies of Planning,
ization, Papers on the Science of Administration (1937), &laquo; International Social Science Journal &raquo;, VoL XI, No. 3,
p. 13. 1 (1959), p. 340.
(21) Charles E. Merriam, The National Resources (25) Ch. Touretzki, Regional Planning of the National
Planning Board, in G. B. Galloway (Editor), &laquo; Planning Economy in the U.S.S.R. and Its Bearing on Regionalism,
for America &raquo; (1941), p. 486. ibid., p. 380.
(22) National Resources Board, A Report on National (26) Dwight Waldo, The Administrative State (1948),
Planning and Public Works (1934), pp. 83-84. p. 67.

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 50

lective future by power of his reason ...

Planning is a word of many mean-
~~

Planning is nothing more than a certain ings. To some it means a blueprint for
manner of arriving at decisions and the future; to others it means only fore-
action, the intention of which is to pro- sight, and action with the forward poli-
mote the social good of a society under- cies of the government for regulation of
going rapid changes (27). the economy as a whole. To some it
means government responsibility to take
Some modern students of public adminis- whatever action is necessary to ensure
tration have tried to present more elaborate that the economic system operates effi-
definitions of planning, composed of various cientl,y, to others it means only that the
elements : government should correlate whatever
-
Planning is that activity that
...
functions it undertakes toward desired
concerns itself with proposals for the overall objectives - (30).

future, with the evaluation of alterna-

tive proposals, and with the methods by We could go on and quote a large number
which these processes may be achieved. of additional definitions of a planning*; or
Planning is rational, adaptive thought we could choose to subject the various
applied to the future and to matters definitions to critical examination, showing
over which the planners or the admin- that most of them are of limited validity,
istrative organizations with which they include irrelevant elements or are unsatis-
are associated, have some degree of con- factory in some other respect. But it seems
trol ~ (28). that there is a better way to achieve our
objective of clarifying the concept of c plan-
Planning is essentially a means of
c
ning as used in our paper, namely presen-
improving decisions and is therefore a tation of our own definitions of ~~ planning .
prerequisite to action. It seeks to an- As will be easily discerned, our definition
swer two vital questions : What is the
relies on some of the quoted ones, covers
purpose of an agency or a program, and most of the elements included in them, but
what are the best of achieving
means

is constructed in a different way designed

that purpose? However, policy, organ- to meet the needs of the study of planning
ization, and the social environment are
within the framework of administrative
..

in constant state of flux. This means

sciences.
that planning must be continuous and
dynamic; it must anticipate change. It seems to me that for the purposes of
Very broadly, administrative planning administrative sciences (31), planning can
must consider political ends and the usefully be defined as follows :
appropriate ways of achieving them. Planning is the process of preparing
It must design effective operating pro- a set of decisions for action in the future,
cedures and provide supervisory techni- directed at achieving goals by optimal
ques which will ensure that what has means.
been planned is in fact being achieved.
In the process planning touches upon This definition includes seven different
every aspect of management, including elements. A short discussion of each of
decision-making, budgeting, coordination, these elements in turn will clarify the mean-
communications, and problems of struc- ings and Implications of the proposed defi-
ture. Planning, in a word, is manage- nitions and will introduce some of the con-
ment (29).
Jt
cepts out of which the facet-design of plan-
Taking into account this variety of defi- ning is to be composed.
nitions, it is not surprising that some authors
get weary of the whole business and despair 1. Planning is the Process
of any attempt at formulating a generally
valid definition of planning : Planning is a process, i.e. a continuous
activity taking place within a unit and re-
(27) John Friedmann, Introduction (to series of arti- quiring some input of resources and energy
cles on The Study and Practice of Planning), &laquo; Interna-
tional Social Science Journal &raquo;, op. cit., pp. 327-328, 329.
(28) Herbert A. Simon, Donald W. Smithburg and (30) Emmette S. Redford, Administration of National
Victor A. Thompson, Public Administration (1950), pp. Economic Control (1952), p. 18.
423-424. (31) The dependence of the validity and utility of
(29) John M. Pfiffner and R. Vance Presthus, Public definition on the world of discourse within which the
Administration (1953), p. 83. definition is to be used must be borne in mind.

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 51

in order be sustained. Planning as a pro-

to diction and uncertainty and conditioning all
cess be distinguished from a c plan .
must aspects, problems and features of planning
A plan can be defined as a set of deci- (32).
sions for action in the future and can be
arrived at either through planning, or
6. Directed at Achieving Goals
through some other -
rational or irrational
-
methods of decision-making.
The planning process cannot operate un-
less it has more or less defined goals to the
2. Of Preparing achievement of which its recommendations
for action in the future are directed. This
Planning is
substantially -

and, in most does not mean that the planning process

cases, also formally and legally a process
-

begins to operate with clearly defined ob-

of preparing a set of decisions to be approved jectives. Rather, in most cases, the first
and executed by some other organs. Even if phase of the planning process consists in the
the same unit combines planning functions formulation of operational planning object-
with authority to approve and execute, these ives on the basis of rather ambiguous and
are distinct, though interdependent, proces- undefined goals set before the planning pro-
ses which must be kept analytically separate. cess by some other, in most cases policy ,
processes (33).
3. A Sett
7. By Optimal Means
It is very important to emphasize the dif-
ference between planning and decision-mak- The very of planning, as a process
nature
ing in general. While planning is a kind of for rational shaping of the future according
decision-making, its specific characteristic in to our desires, depends on the means-ends
this respect is its dealing with a set of deci- relationship, which is basic to the planning
sions, i.e. a matrix of interdependent and process. The planning process is directed at
sequential series of systematically related suggesting the optimal means for achieving
decisions. our goals, i.e. at selecting on the basis of
rational processes including collection of
-

4. Of Decisions for Action ,

(32) John Friedmann, op. cit., p. 334, gives an in-

Planning is primarily directed at action teresting list of planning characteristics resulting from
the futuristic orientation of planning :
and not at other objectives, such as pure
&laquo; 1. It places a limit upon the time period over which
knowledge, development of the planners and projections into the future can be made without loss of
so on. Planning does in fact have various practical significance for present decisions.
secondary results, such as executive-develop- 2. It establishes the necessity for continuing planning

ment, better decision-making, training in analysis and assessment throughout the planning period
and the constant re-evaluation and adjustment of means
teamwork, etc., but as long as those results to ends.
are only secondary objectives, the planning 3. It suggests the use of expectational calculus in
function is not impaired. In fact, it is true connection with statements about the future.
that often a planning activity is engaged in 4. It argues for the adoption of a system of frame-
work or structural planning.
as a device to mobilize support, improve pub-
5. It forces the careful consideration of flexibility in
lic relations, and so on. If this is the case, planning where the degree of flexibility explicitly intro-
the process is not planning in its full sense duced into a solution must be proportionate to the degree
and the actual process in such cases will of uncertainty about future events. It is through an

deviate in most respects from the character- approach such as this that reason can come to terms
with uncertainty.&raquo;
istics and phases of the pure type Jt plan- (33) One of the most important, interesting and
ning process, as defined by us, which is difficult problems in the study of planning is the actual
and optimal relationships between &laquo; goal determination &raquo;
essentially <c action- or a execution-orient- and the planning process. I hope to deal with this
ed. issue in the later article on Planning Phases; the interest-
ed reader is referred to three papers which deal with
this problem from different angles, namely: Edward C.
5. In the Future Banfield, Ends and Means in Planning, &laquo; International
Social Science Journal &raquo;, op. cit., pp. 361-368; Charles E.
Lindblom, The Science of Muddling Through, &laquo; Public
Nearly all definitions recognize that plan- Administration Review &raquo;, Vol. 17 (1959), pp. 79-88; and
ning is directed towards the future. This is Philip E. Jacob and James J. Flink, Values and Their
perhaps the most important characteristic of Function in Decision-Making, &laquo; The American Behavioral
planning, introducing the elements of pre- Scientist &raquo;, Vol. 5, Supplement, May 1962, No. 9.

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 52

information, utilization of knowledge, system- timerelatively fixed and is one of the pri-
atic and integrative data processing, etc. -

mary facets shaping the planning process.

the optimal strategy for achieving the desir-
ed goals. The basic problem of planning The main secondary facets of the general
environment are :
methods, procedures and techniques, is pro-
vision of ways for identification of these
optimal means with a minimum of input of
A,. The basic environmental factors which
resources.
constitute the physical, demographic, ecolo-
gic, social, cultural, geo-physical, geo-econo-
It is upon these elements of the definition, mic, etc. phenomena which are the general
that our facet-design of planning is based. background against which the planning pro-
cess takes place.

THE FACETS OF PLANNING A,. The resources in manpower, know-

ledge, capital, etc., which are potentially
available for the planning process and for
Following the concept of facet, as develop- eventual plan-execution.
ed by Louis Guttman, we will now present
the primary facets and secondary facets of
A~. Various values, power-groups and
planning : ideologies which limit the alternatives to be
The four primary facets of planning considered b,y the planning processes, in
terms of methods that can be used for plan-
appear to be the following :
execution (e.g., force), of conditions for re-
Primary facet A. The general environ- cruiting the necessary support for the p.lan-
ment of the planning process.
ning process, of the actual resources that
will be put at the disposal of plan-execution,
Primary facet B. The subject-matter of etc. Neglect by the planners of these limit-
the planning process.
tions results in utopian, non-realistic plan-

Primary facet C. The planning unit. ning.

Primary facet D. The form of the plan A4. The terms of reference within which
to be arrived at.
the planning process is to take place, includ-
Each of these primary facets is the pro- ing general goals set for the planning pro-
duct of a number of secondary facets, which cess ; contextual goals, i.e. values and insti-
in turn are the product of a series of trietary tutions which should not be impaired (34);
facets, and so on. We will now proceed to basic directives concerning some aspects of
an examination of these various facets and the working-methods to be used during the
secondary facets and some of their sub-sets. planning process, such as giving an opportun-
In order to concretize our presentation, a few ity to interested persons to have a hearing;
observations on the relative significance of and so on.

the various elements of the facet-design and It is these environmental elements which
some of their characteristics will be intro-
constitute the basic framework within which
duced from time to time, to point out some the planning process takes place and which
examples of possible lines for empiric in- also determine, or at least influence, directly
vestigation utilizing the tools provided by and indirectly, the form of most of the
the facet design.
other facets.

Primary Facet A : The General

Environment of the Planning Process Primary Facet B : Tke
Subject-Matter of the Planning Process
One of the more interesting characteristics
of planning is its bi-directional relation with The subject-matter of the planning process
its environment : On the one hand, the plan- is the product of at least nine different
ning activity is shaped and conditioned by secondary facets.
various environmental factors; on the other
hand, planning is in many cases directed at &laquo; Contextual ends are represented by social values
that environment, trying to shape it to a (34)
and traditions that do not, in themselves, constitute the
greater or lesser extent. While, therefore, immediate objectives of planning but are sufficiently vital
the environment is not a fully independent to make their preservation socially worth while &raquo;. Fried-
variable, it nevertheless is at any point in inann, op. cit., p. 330.

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 53

Bi. The structural relation between the While these distinctions are, at least part-
subject-matter and the planning unit. ly, relative ones, depending on the strictness
or looseness of the organizational structure
B,. The degree to which the subject- which serves as frame of reference for the
matter is predetermined or elastic.
analysis (e.g., one can regard a whole society
as a kind of loose organizational structure),
B.1. The degree of penetration.
it helps in pointing out the basic difference
B,. The significance. between so-called organizational planning ~
which is more inner-directed Jt, and various

B ,. The orientation of the subject-matter kinds of outer-directed Jt planning.
towards the planning process.
B&dquo;. The extent to which the subject-matter
has already been subjected to planning. B.. The degree to which the subject-
matter is predetermined or elastic
B,. The scope of the activity subjected to
planning. There is a big difference between various
B,. The demographic-territorial area re-
planning-instances in the extent to which the
lated with the subject-matter of the plan- subject-matter of the planning process is
clearly delimited and defined when submitted
ning process. to the planning unit or is left for the plan-

B.. The time-span. ning unit to determine the change from time
to time. In general, it seems that planning
Let us examine these secondary facets units driven by their bona fide sense of
-

more closely, one by one (35).

mission, their belief in their own expert
knowledge and their
empire-building drives
-
have tendency to try and overcome
a
B,. The structural relation between the even rigorously predetermined definitions of
subject-matterand the planning U1Iit their subject-matter, and to enlarge the scope
of activities subjected to their planning.
The structural relation between the sub-
ject-matter of the planning process and the
planning unit can take either of three forms, B.;. The degree of penetration
which constitute the sub-set of this secon-

dary facet : Planning can penetrate more or less into

its subject-matter, trying to deal with all
(a) The subject-matter is structurally the elements and aspects of the subject-
identical with the planning unit or a matter or aiming only at its main directions
part of it, e.g., planning the future and central factors. This is an important
staffing of the planning unit or plan- dimension for comparative study of planning
ning the work-program of the plan- cases because even if identical activities are
ning unit. subjected to planning, entirely different de-
(b) The subject-matter belongs to an grees of penetration may be aimed at.
organizational structure of which the
planning unit is itself a part, e.g., the BI The significance of the subject-matter
personnel department planning the of th.e planning process
executive development scheme for the
enterprise.
Depending on the subject-matter of the
(c) The subject-matter does not belong to planning process, the (public or private)
an organizational structure of which character of the planning unit and of the
the planning is itself a part, e.g., a organization to which it belongs and on the
central planning agency preparing a
socio-political-ideological environment, the
master-plan for a town or an economic significance of the subject-matter of a cer-
development plan for a region or tain planning process will be viewed mainly
state. from the angle of the organization engaging
in the planning activity, from the angle of
various political - economic - social interests,
(35) Compare this list with the &laquo; dimensions of plan- from a public interest
ning &raquo;as suggested by Le Breton and Henning : Com- angle, or various
~

plexity, significance, comprehensiveness, time, specificity, combinations of these different points of

completeness, flexibility, frequency, confidential nature, view.
formality, authorization, ease of implementation, case of
control. Op. cit., pp. 22-56. Viewed from these different points of view,

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 54

the subject-matter of a planning process can integrating capacity of

organization, and the
be of high or low significance, either object- existence of strong opposition to planning of
ively in the sense of the impact of the
-
certain subject-matters all these limit
-

subject-matter of the planning process on planning at any given time to a selected,

other areas of activity; or subjectively -

relatively small, number of subject-matters.

the importance of the subject-matter of the On the other hand, recognition of the inter-
planning process according to various cogni- dependence of various aspects of activity,
tions, values or ideologies. especially under conditions of rapid change
(e.g., rapidly developing societies, rapidly
growing enterprises), is one of the more im-
Bj. The orientation of the subject-matter portant reasons for enlarging the scope of
towards the planning proce.ss activities subjected to planning, leading in
the direction of a comprehensive planning
Depending on various trietary facets, the approach.
persons and institutions related with differ-
ent subject-matters can have a more passive
or active and more positive or negative Bx. The dermographic-territorial area re-
orientation towards the planning process lated with the subject-matter of the
(and the planning unit these two are clo-
-

planning-proces.r
sely related in the public image). It is a
moot point, in urgent need of research, what
The relation between planning and demo-
orientation of the subject-matter towards the is a rather complex
graphic-territorial area
planning process provides better results in one, which has at least three distinct, though
terms of the quality of the planning process;
it seems that in most cases the planning closely inter-related, possible aspects : Since
all human activity takes place in space-time,
process, and even more so the plan-execu- by its very nature planning must, and does,
tion process, needs a lot of active, positive take into account this fact, and delimits its
support to be successfully maintained. scope within these dimensions. Even in the
few cases where the subject-matter of plan-
B6 The extent to which the subject- ning is not defined in demographic-territorial
terms (e.g., K all economic activities), the
matter has already been subjected to fact that all material phenomena are distri-
planning buted in space, will make it convenient, and

Prior of the subject-matter to

subjection
even inevitable, to use some demographic-
territorial subdivision as units for delegated
planning does not only influence its orienta- planning purposes.
tion towards the present planning-process,
but creates various expectations, traditions To this general consideration on the in-
and factors which are of much importance in herent role of space in human thought and
shaping the future planning-processes. In activity, a second aspect of the relation be-
this respect, there are significant differences tween area and planning must be added:
between different planning-instances dealing the specific importance of demographic-
with subject-matters (or even an identical territorial units in social affairs. Beginning
subject-matter) subjected to more or less with the nearly instinctive, emotional attach-
prior planning. ment of an individual to his place of birth,
and going through all levels of social insti-
The scope of the
tutions, the special role of territor,y in social
B,. activity subjected life is always apparent.
to planning
A third aspect of the relation between
Planning always deals with a delimited demographic-territorial area and planning
subject-matter, which is defined in terms of has its roots in the fact that one of the most
functions, territorial units or some other important functions of every society is ad-
characteristics. Total planning, i.e. planning justment to its territory. Such adjustment
including within its subject-matter all extra- is brought about to some extent by changing
personal, inter-personal (and perhaps even the physical environment and making the
intra-personal) activities, is unimaginable out- territory fit the needs of the society. In the
side of fantastic science-fiction. The limita- field of planning this aim is reflected in the
tions of the human mind, the limitations of many planning activities having as their
resources and the many competing alterna- subject-matter certain aspects of what we
tive uses for them, the limits on maximum call territory. Such < earth-bound fields

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 55

include landscaping, resources conservation, Ct. The basic nature of the planning unit
flood control, urban redevelopment, and many
more.
Planning,as defined by us, can take place

In all these cases, the relation between on the level of individuals and on the level
of various institutions, such as a family, a
demographic-territorial area and planning tribal council, etc. A special case of insti-
poses two problems, the solutions of which
have to be reconciled somehow. First, the tutional planning which is of highest contem-
porary importance and which includes most
technical-optimum area for dealing with the
subject-matter of the planning activity must socially significant planning processes, is
be defined; and second, this technical opti- planning in and by bureaucratic structures.
mum area must be reconciled with the exist-
It is this kind of planning, which is part of
the subject matter of administrative sciences,
ing demographic-territorial units of social at which our facet-design is mainly directed.
action and the limited freedom of the plan-
ning unit. Because of the underdeveloped state of
The best possible compromise between the neurology and individual psychology, we
two sets of will yield the social-optimal
areas know nearly nothing on the factors condi-
demographic-territorial area for the designed tioning and shaping planning on the indi-
planning activity (36). vidual level. This is all the more regrettable
because, after all, organizational planning is
also done by individuals, and more know-
Bg. The time-span ledge on planning on the individual level may
well contribute much to the understanding
Each planning process deals with a cer- and improvement of the administrative plan-
tain, though not necessaril,y exactly predeter- ning process.
mined, time-span. The selection of the
optimum time-span for each planning activ-
ity depends on various factors, including the C2. Primary or delegated planning unit
natural cycle of the subject-matter of plan-
ning, the acute need for interference to
change an unbearable situation, limitations Delegated planning is planning which con-
on our ability to predict the future, our
stitutes plan-execution from the point of
evaluation of present as against future needs, view of another planning unit; primary plan-
the desire that planning should serve as a ning is planning pursued not as part of any
guide to present actions and more. higher level plan. In general, delegated
planning will be more detailed, for a shorter
We shall now proceed to the two remaining time-span and dealing with a smaller subject-
primary facets of planning which are of a matter.
somewhat more limited nature but exert a
tremendous influence on the planning pro- The importance of this distinction can be
cess. illustrated by applying it to a concrete issue,
e.g., the optimum subject-matter of city
planning. Some authors (37) rely on the
Primary Facet C : precedent of large-scope city planning in the
The Planning Unit United States during the big depression, in-
cluding economic and social spheres of social
The characteristics of the planning unit are activity, to justify a similar large subject-
the product of seven main secondary facets : matter for city planning today. But it seems
that much of the enlarged scope of city plan-
It is incorrect to regard the technical-optimal
ning at that period was delegated planning,
(36) part of a national plan to relieve unemploy-
area as the &laquo; desirable &raquo; area of action which is &laquo; distort-
ment and rehabilitate the economy. There-
ed &raquo; by the &laquo; unfortunate&raquo; existence of nations, states,
local units, etc. We have already mentioned the psycho- fore, what happened then is not directly
logical importance for human happiness of emotional relevant to the problem whether, in the
attachment to territories and the inevitability ot terri- absence of national planning of some sub-
torial units of social action and their role in planning.
Here it should be emphasized that these existing demo- ject-matters, cities should deal with them
graphic-territorial units of social action have to play a through primary planning.
most significant role in planning : The most important
initiators are those who can mobilize loyalty, resources
and support. The planner cannot and must not neglect
these human and moral facts in favor of a quasi-mechanic- (37) E.g., cf. Robert A. Walker, The Planning Func-
al &laquo; social engineering &raquo; approach. tion in Urban Government (1950).

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 56

C.,. Status C,;. Work systems, procedures and

methods
The status of the planning unit (including
the status of the institution and of the plan- The systems, methods and procedures of
ners as individual role-bearers) influences work in the planning unit determine the
the resources which can be mobilized for the detailed form of the planning process. The
planning process, the extent to which limi- more important systems, procedures and
tations on alternatives and similar externally methods deal with information gathering,
determined limits imposed on the planning data processing and decision-making. The
process can be overcome, and so on. In introduction of electronic data processing
-

other words, the status of the planning unit equipment, while much increasing the pos-
is closely correlated, though not identical, sibilities of planning, introduces serious com-
with its power, which is an important factor plexities into work systems, work methods
in the strategy of planning (38). and procedures and makes even more essen-
tial careful attention to consciously and ra-
tionally established explicit systems, pro-
C4. Values, information and character of cedures and methods through which the plan-
the planning unit ning process is channelized.
The planning-process in all its phases in-

volves the C,. Organizational structure

constant judgments involving
value systems, the information and the Last, but . not least, the organizational
character of the decision-makers the plan- -

of the planning unit raises difficult

structure
ning unit as a collection of individuals and problems, especiall,y concerning the distribu-
the planning unit as an institution (39). tion of functions between specialized over-
This is a factor of tremendous importance, head planning function and the ordinary line
having significant implications for the selec- units in charge of day-to-day operations in
tion of planners (40), their education and
their control (41). regard to specific subject-matters. Both in
small- and large-scale, inner- and outer-
directed planning, the organizational issues
are most complex and the solutions adopted
,
C~. Resources and means ~ .

determine to a considerable degree the form

taken by the planning process and its suc-
The resources in manpower, knowledge, cess or failure in fulfilling its tasks (42). As
equipment, time, etc. at the disposal of the yet, the organizational problems of planning
planning unit and the planners are other are among the most neglected subjects, both
important factors which have a definite in- in the study of planning and in organization
fluence on the planning process and must
therefore be carefully considered. theory.

The of planning is a sadly neglected Primary Facet D :

(38) politics
subject. With the exception of single case-studies on The Form of tlze Plan to be arrived at
concrete planning instances and few general studies
a

dealing with some relationships between macro-planning

and political regimes, only very little is known on this D, . The realism of the plan
critical important subject. Cf. Meyerson and Banfield,
Politics, Planning and the Public Interest (1955), Robert
Dahl, The Politics of Planning, op. cit. ; this is another
We already mentioned cases of planning
subject urgently in need of empirical study. directed at political advantages, public rela-
(39) On the importance of institutional values, cf. tions, training objectives, etc. In these
Simon, Smithburg and Thornpson, Public Administration
cases, it is not always necessary to arrive at
(1950), esp. chapters 3, 4, 5. the final phase of the planning process, i.e.,
(40) &laquo; Where management cannot define in detail
what is to be done (during the planning process), it must preparation of a plan; and even if a plan is
be unusually concerned about who is to do it and how prepared, it is often on purpose utopian in
they interact &raquo;. Melvin Anshen, &laquo; Businessmen, Lawyers nature. Leaving such cases of <c quasi-plan-
and Economists &raquo;, David W. Ewing, op. cit., p. 99.
(41) For a discussion of some results of outdated
values of planners and a suggestion to introduce feed-
back data processing mechanisms into the organizational (42) E.g., cf. H. Edward Wrapp, Organization for
structure of planning units, in order to overcome some Long-Range Planning, David W. Ewing, op. cit., pp. 59-
of the results of outdated values, cf. Ruth Glass, The 79, and Royal Institute of Public Administration, Admin-
Evaluation of Planning, &laquo; International Social Science istrative Organization for Economic Development (Con-
Journal &raquo;, op. cit., pp. 393-409. ference Report, esp. chapter III).

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 57

ning aside,
there is a legitimate span of
more or less realism aimed at in the prepara- CONCLUSIONS
tion of the plan. Indeed, a certain utopian
element may be essential for gaining the ne- Returning to the concept of facet as used
cessary support and may be fully compatible in this paper, we can regard planning (P)
with a realistic approach to planning and as the product (in the mathematical sense
with successful plan-realization. In an,y case, of cartesian product (43) of primary
the degree of realism of the plan to be facets A, B, C, D.
arrived at is an important sub-facet influen-
cing the entire tone of the planning pro-
In other words, generally speaking,
cess.
Planning = (general environment) X
(subject-matter) X (plan-
D... !he form of the plan ning unit) X (form of
plan),
The sub-set of this secondary facet inclu-
des various forms of plans : Fixed-time plans,
such as five-year or seven-year plans; con- Each primary facet in turn is the product
ditional plans, to be executed at a given of a number of secondary facets, namely :
occurrence which might or might not happen
at an unknown point in the future, such as
most military operation plans; master-plans,
showing a blueprint of a desired state of
affairs without setting down a fixed time-
table for its achievement, such as many
town-plans; budgetary plans, constructed in
terms of monetary units; work plans, con-
structed in terms of technical specification,
drawings, etc.; and more. We have thus 24 secondary facets of plan-
ning, each one of which even if not re- -

The modern tendency seems to be in the garded as the product of a series of trietary
direction of composite plans, including long- facets can take different forms.
-

Thus,
rang.e and short-range time-tables, financial we have
and physical breakdowns, conditional and
predetermined elements and so on. It seems
that the more complex and large-scale the
subject-matter of the planning process is, the The form of of the secondary facets
some
more multiform and complex the plan has to
(e.g., time-span) be expressed in tran-
can
be. sitive but not fully comparable units (e.g.,
the secondary facet < significance); still
others can only be expressed by rough qual-
D3 Degree of details itative terms (e.g., most of the secondar,y
facets related to the form of the plan to be
The plan to be arrived at can be more or arrived at). Following further elaboration
less detailed. In general, the larger the time- of various classifications of the former of
the various secondary facets, the basic pro-
span to be covered by the plan, the more
the plan will include general frameworks and blems are reached, which combination of
directions, leaving details for later or dele- forms do in fact appear in real planning in-
gated planning. stances ; and what combinations give, under
various conditions, the best results, and
A related element of the sub-set is, in how why.
the plan will be single-alternative, providing In other words, we would like to know for
for one strategy of action; or multi-alterna-
which values of
tive, providing different strategies, for later
selection in the light of developments
- -

of the optimal one.

planning (p = a x b x c x d)

(43) Louis Guttman, 1954, op. cit., p. l.

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58

can exist in reality, and - given the values high degree of penetration; we do not ex-
of some of the secondary facets which -

pect planning to succeed if the planners lack

values for the non-pre-determined secondary certain qualifications, and so on. But avail-
facets will maximize the qualit,y (44) of the able material, based as it is on limited ex-
planning (qp).
process perience and subjectivistic impressions, does
not permit many conclusions beyond such
Available experience and impressionistic rather obvious and partly semantical ones.
data provide some guide-lines to these pro-
blems : thus, we would not expect long- Only systematic empiric study, utilizing the
best available research designs and method-
range planning of a large-scope subject- ologies, can perhaps provide us with valid
matter to go with very detailed plans and a
and reliable answers to these and other prob-
lems and provide a sound basis for a more
(44) The measurement, or at least comparative eva- systematic approach to the study of the
luation of which, constitutes another basic and difficult planning process as part of administrative
problem of the study of the planning process. sciences.

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