Conducting a SMART Planning Charette

A Handbook for Project Development Teams

Created for the Planning SMART Guide

Revised January 2013
 SMART Planning Charette Handbook

Contents
I Introduction .......................................................................................................................................... 1
What’s New in the Charette Handbook? .................................................................................................. 2
II When Can a Charette Help a PDT? ....................................................................................................... 3
New Start Studies ...................................................................................................................................... 3
Ongoing Studies ........................................................................................................................................ 3
III Who Should Participate in a Planning Charette? .................................................................................. 4
The Charette Facilitation Support Team ................................................................................................... 7
IV Roles & Responsibilities of the District and PDT – Before, During, and After the Charette ................. 8
Preparing for the Charette ........................................................................................................................ 8
Developing the Charette Agenda .............................................................................................................. 9
At the Charette........................................................................................................................................ 10
After the Charette ................................................................................................................................... 12
V Roles & Responsibilities of the Vertical Team– Before, During, and After the Charette ................... 12
Preparing for the Charette ...................................................................................................................... 12
At the Charette........................................................................................................................................ 13
After the Charette ................................................................................................................................... 13
VI Roles & Responsibilities of the Facilitation Support Team– Before, During, and After the Charette 13
Preparing for the Charette ...................................................................................................................... 13
At the Charette........................................................................................................................................ 15
After the Charette ................................................................................................................................... 15
VII The Report Synopsis – Charette Read-Ahead ..................................................................................... 15
VIII Decisions and Documentation Developed at the Charette ................................................................ 16
Decision Management Plan .................................................................................................................... 16
Risk Register ............................................................................................................................................ 17
Decision Log ............................................................................................................................................ 18
Report Synopsis Description ................................................................................................................... 19
VII Additional Resources .......................................................................................................................... 19
Appendix A: Pre-Charette Checklists .......................................................................................................... 21
I Introduction

The SMART Planning Charette Handbook provides additional detail and information for the teams
undertaking a planning charette and the support team that will be assisting them.

A charette (pronounced [shuh-ret]) is a structured, collaborative session in which a group comes

together to develop a solution to a problem. It has been used in fields such as architecture, community
planning, and engineering for years – bringing together a variety of different points of view to solve a
difficult problem, often using the familiar six-step planning process as a key tool.

The Planning Community of Practice is building on this strong foundation. For a feasibility study
applying the principles of SMART Planning, a charette allows the convening of the Project Delivery Team
(PDT) and vertical team to make decisions critical to the study. A charette has the potential to save the
study team – and vertical team – time and money as it may enable more effective and efficient
communications and review of study products.

The principles of the charette process (bringing all the decision-makers together in a structured
workshop to make specific planning decisions), as well as specific tips, tools and techniques outlined in
this Handbook can also be applied, as appropriate, to In Progress Reviews, plan formulation workshops,
scoping workshops, and more.

SMART Planning explicitly incorporates uncertainty into decision making. The charette is a means of
obtaining simultaneous assessment of key uncertainties and inputs to study decisions from the PDT,
vertical team, non-federal sponsor, and others.

The underlying objective of all planning charettes is to help the PDT move forward toward completing a
SMART feasibility study and ensure that the vertical team is aligned with the proposed direction. This
all-hands approach to propelling a feasibility study forward can be applied to both new start feasibility
studies and those underway that are transitioning to the 3x3x3 SMART Planning environment. Because
of this, the structure of the charette and its outcomes will be tailored to the decisions needed by the
PDT and vertical team that will advance the study.

The outcomes of a planning charette will depend entirely on the participation and engagement of the
PDT, vertical team, and non-federal sponsor. Depending on the study and the challenges / decisions to
be addressed during the charette, the expertise and experience of additional participants from inside
and outside the Corps may be warranted.

Vertical team engagement and their perspectives on the study during a charette provide an opportunity
to set a clear strategy ahead to study completion. The goal of the charette is not to criticize or
wordsmith, but to have all eyes on the study and move the study forward with SMART Planning
principles and processes.

The planning charette will include focused exercises that include examining the study’s decision context
as a foundation for the feasibility study report (the Report Synopsis), and the development of tools such
as a Risk Register and Decision Management Plan as guides for timely and informed decision-making.
The planning foundation of the study, along with decisions made and documented in a Decision Log, and
work done at the charette becomes the basis for the evolving decision document: the Report Synopsis;
the draft report; and ultimately the full feasibility study report.

SMART Planning Charette Handbook 1

What’s New in the Charette Handbook?

The January 2013 update of the Charette Handbook includes

Lessons Learned: A Charette is One
lessons learned from a series of planning charettes that have
Path for Rescoping
been conducted between June and November 2012 and
feedback from PDTs, vertical team members, charette Planning Modernization efforts
facilitators, and the Planning Community of Practice. include the deliberate evaluation of
the planning portfolio, reclassifying
“Who owns the charette and who is responsible for the and terminating inactive studies and
outcomes?” was a question raised before, during, and after rescoping active studies for
charettes. Ultimately, the District is the “owner” and completion within three years / $3
convener of the charette and the study team is responsible million.
for ensuring the outcomes of the charette meet the needs of
the study. A charette is not a box to be checked –it is an A planning charette is one route a
opportunity for the PDT, vertical team, and non-federal PDT can take to rescope a study. A
sponsor to work together in a focused and intensive charette has the benefit of engaging
workshop to advance the study. the vertical team and non-federal
sponsor in the rescoping decisions,
Opportunities for remote participation in charettes have but it is not the only path.
been explored as study teams face tight budgets and the
Office of Water Project Review, technical experts from the
Planning Centers of Expertise, and division staff each face their own time and budget constraints. While
remote participation by teleconference/web meeting or videoconference can be better than no
participation at all, remote participation needs to be well-thought out and planned for if it is to be useful
to both the study team and the remote participant.

Updated checklists and descriptions of read-ahead materials for charette participants, including the PDT
and vertical team have been included in the Charette Handbook and in the online SMART Planning
Guide. These changes support the SMART Planning principle of “writing your report as you go” – the
Report Synopsis read-ahead replaces the “Seven Pieces of Paper” exercise used in early SMART planning
charettes. The key difference between the two is that the synopsis also includes a map or description of
the study area and a summary of the study authorities – two areas that members of the vertical team
generally wanted more information about before they walked into a charette.

SMART Planning Charette Handbook 2

II When Can a Charette Help a PDT?

A charette is an opportunity to have the full PDT and all levels of the vertical team – District
management, PCXs, Division and Headquarters – in the room together, sharing information and making
decisions. This opportunity for face-to-face conversations can save time and money for a study team,
keeping the vertical team engaged and informed of decisions – and decision-making criteria – being
used by the study team.

New Start Studies

A planning charette very early in the feasibility study process brings together the PDT and vertical team,
expert planners, the non-federal sponsor, and key stakeholders in an early structured workshop to work
collaboratively through at least one iteration of the six-step planning process.

In new start planning charettes, the PDT will critically examine the foundations of the study (problem,
objectives, etc.), identify the factors / areas of uncertainty that will impact the next decision (e.g.,
developing and screening alternatives) and set a strategy for the PDT toward study completion using
tools such as the Decision Management Plan and Risk Register.

When there are issues of concern to state or federal resource agencies, their engagement at a charette
early in the study process allows information to be shared, concerns expressed, and jointly beneficial
study strategies to be explored.

Ongoing Studies
The charette approach may also be used by ongoing studies to move the study toward the next planning
decision with vertical team engagement, and when appropriate, rescope their studies to completion
within 3 years and for under $3 million.

For feasibility studies already underway that are transitioning into the SMART Planning feasibility study
process, the planning charette will be tailored to that study. The charette will help lay out a strategy to
complete the study, whether the PDT is early in the process of defining the array of alternatives, in data
gathering to adequately compare alternatives, or developing design, cost, and environmental analyses
associated with the recommended plan.

If a PDT expects to seek approval from the Deputy Commanding General for Civil and Emergency
Operations for a feasibility study with a Chief's Report scheduled after December 2014, and scoped for
greater than three years completion, or for more than $3 million, they should expect to demonstrate
the need for the exemption based on the work done at the charette (identifying areas of risk and
uncertainty that necessitate additional time / resources) and vertical team agreement with the
proposed approach and scope. The tools developed at the charette, including the Decision
Management Plan and Risk Register, should help the PDT and vertical team identify opportunities to
shorten its original schedule and reduce the overall budget.

SMART Planning Charette Handbook 3

III Who Should Participate in a Planning Charette?

Concurrent vertical team engagement is one of the primary benefits of the charette, and so
participation should include all the elements of the vertical team relevant to the discussions and
decisions to be made at the charette.

Charette participants generally include:

1. Project Delivery Team (PDT) – At a minimum, the PM, Lead Planner, and other PDT leads (e.g.,
engineering, real estate, cost engineering, environmental, etc.) must commit their time for the
entire duration of the charette. Ideally, participation by all members of the PDT should be
considered to provide for more comprehensive and informed team discussions and decisions,
introduce all to the vertical team, and provide useful experience in applying SMART Planning
principles in a feasibility study process. In charettes completed to date, broader PDT
participation has resulted in greater understanding of the outcomes of the charette and
direction forward.
2. Vertical Team – Vertical team members may be unfamiliar with the study, and so time spent
during the charette to orient the full team to the
study, develop a common understanding of the Lessons Learned: Participation by
next planning decisions, and working together to
Leadership
identify a strategy with an acceptable level of
uncertainty to the study and project are especially Leadership participation in charettes
important. Vertical team members should also enables decisions on what study and
commit for the entire duration of the charette. project risks will be acceptable,
Representatives from all segments of the vertical whether they are from USACE or its
team participate in the charette, including: partners.
a. Headquarters – Headquarters participants
may include the Office of Water Project Past participants in planning
Review (OWPR) Economics, Environmental, charettes include the District Deputy
and/or Plan Formulation expertise based District Manager for Programs and
on the needs of the study and the PDT. Projects, District Chief of Engineering,
(OWPR may designate the Division Planning District and Division Chief of Planning,
Chief and/or other MSC participants as and the District Commander.
their representatives in policy decisions at
the charette. In this case, it is expected that Leadership’s role and participation in
the Division representative speaks for the charette should be considered
OWPR in addressing questions of policy and and planned for early in designing the
that decisions made / agreed to will not charette.
later be revisited without good reason.)
At a recent charette, while the
Other Headquarters participants may
District Planning Chief was present
include representatives from other
for the full charette, other district
organizations such as Engineering or the
leads attended a 30-minute “resource
Program Integration Division, as needed, to
provider” briefing at the end of each
meet the objectives of the charette.
day. This kept them informed of the
b. Division – The Division Planning Chief or
process and outcomes, and
their designee should be an active
empowered the PDT to make the
participant in planning charettes, providing
decisions during the charette itself.
their leadership and planning expertise to
support decisions made at the charette.

SMART Planning Charette Handbook 4

 Additional Division participation will be based on the needs of the study and the role of
the individual in the vertical team or their appropriate technical expertise, e.g.,
Planning, Engineering, Programs, Real Estate. As the Division’s representative at
Headquarters, the Regional Integration Team (RIT) planner will likely play a role in the
charette, either in coordinating participation with Headquarters’ participants or, in the
case where there may be ongoing issues to resolve, participating in the charette itself.
As they are responsible for all work products requiring Washington Level review, the RIT
planner will also ensure the PDT and vertical team meet the commitments made at the
charette for sharing documentation such as the Decision Log, Decision Management
Plan(s), Risk Register(s), and the Report Synopsis.
c. District Participation –Additional participation by others in the District outside the PDT,
e.g., section chiefs, will be based on the needs of the study and the role of the individual
in the vertical team or their appropriate technical expertise, e.g., Planning, Engineering,
Real Estate. Individuals assigned to the District Quality Control team may participate to
improve their familiarity with the study and planning decisions.
d. Planning Center of
Lessons Learned: Engaging the Non-Federal Sponsor
Expertise (PCX) –
Subject matter With the relative newness of SMART Planning and the
expert(s) relevant to refined feasibility study process, non-federal sponsors
the study, including generally have benefited from one-on-one information
the ATR Lead, can sharing between the lead planner or project manager.
bring important
technical review Sharing background information on SMART Planning and
information and how the charette / the transition of the study to the SMART
perspective to a Planning process will impact the sponsor will help alleviate
charette. anxiety before the charette begins. For example, can they
3. Non-Federal Sponsor – As a bring ideas to the table to get to a decision within 3 years
partner in the study and part and $3 million? Should the sponsor expect a change in
of the PDT, the non-federal scope and a revised Feasibility Cost Sharing Agreement?
sponsor is an important
participant as the PDT makes Coordination and explanation of the charette purpose, and
decisions about the path an introduction to SMART Planning tools such as the risk
forward in the study. The non- register and decision management plan, prior to the
federal sponsor should be charette will help establish the non-federal sponsor as a key
prepared to share their point member of the PDT.
of view and expectations for
the study, and actively participate in risk-based critical thinking and decision making during the
charette. The charette should provide the non-federal sponsor with a clear understanding of the
proposed direction forward and how uncertainties and key near-term decisions affect the rest of
the study and the development of the decision document (feasibility study report), and the
roadmap for completion of the study.
4. Other Key Stakeholders – The PDT and vertical team may identify other key stakeholders to
participate in the charette based on the study and the decisions to be made, including other
federal, state, or local agencies.
5. Other Corps Expertise – The PDT and vertical team may identify other key skills that would be
useful to participate in the charette based on the study and the decisions to be made. For
example, someone from Headquarters or Division Engineering / Hydrology & Hydraulics
participate can provide input on Engineering decisions and criteria to make those decisions.

SMART Planning Charette Handbook 5

 Lessons Learned: Expanding Participation in Charettes – Resource Agencies

The role and level of engagement of resource agencies such as the U.S. Department of Fish and
Wildlife, National Marine Fisheries Service, Environmental Protection Agency, and their state
counterparts varies from study to study.

In some studies, resource agencies are full partners and considered to be members of the PDT. In
those cases, they should certainly participate in the charette. For other studies, resource agency
participation in charettes will be considered by the PDT on a case-by-case basis.

For an ongoing study where the resource agency has not been engaged, the study project manager
should, at least, reach out to share background information on SMART Planning and how the charette
and the transition of the study to the SMART Planning process will impact decisions important to the
resource agency.

For a new, or fairly new, start study, resource agency participation in the charette can allow early
collaborative engagement identifying the decisions, criteria, and resources important to the agency –
providing the PDT with valuable information early in the process.

It is recommended that participation in the charette be limited to those that can help move the PDT
toward their charette objectives; inviting observers or non-participants to the charette can be disruptive
for the group’s work. Similarly, participants are expected to be present and engaged for the full
duration of the charette, rather than attending for just a portion of the charette.

Before attending a charette, we recommend that all participants are familiar with the following:
 Foundations of SMART Planning video. This 17 minute video provides an introduction to the
foundations of SMART Planning and the SMART planning feasibility study process.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
 SMART Feasibility Studies: Milestones and Process video. This 16 minute video provides more
detail on the milestones and process for conducting feasibility studies applying the SMART
planning principles. (http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
 SMART Planning - Risk Register Presentation (about 10 minutes) at
http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1
 Read through the SMART Planning Guide located at
http://planning.usace.army.mil/toolbox/smart.cfm
o Note the Planning Charettes page at
http://planning.usace.army.mil/toolbox/smart.cfm?Section=2&Part=5

SMART Planning Charette Handbook 6

The Charette Facilitation Support Team
The Charette Support Team’s primary role is to help the PDT and vertical team achieve their objectives
of moving forward toward completing a SMART feasibility study. It is the responsibility of the District to
identify the Charette support team. The Charette Support Team will work together to lead the charette.

Although the SMART Planner and Risk Specialists roles can be filled by individuals within the District or
even within the PDT, most charettes have benefited from a facilitator outside of the District (and
sometimes outside of the Division) who can be a neutral facilitator of the process and who can be
perceived by charette participants as being neutral.

The Charette Support Team fills the following roles:

1. Facilitator – The lead charette facilitator should be familiar with SMART Planning processes and
products and the philosophy of the charette and able to act as a “neutral” in the charette. They
may be a Corps employee or an outside contractor. The facilitator will also participate in a
coordinating call prior to the workshop where the PDT (e.g. lead planner or PM), RIT, and key
members of the vertical team (based on feedback of RIT and PDT) provide input and background
on the study and the PDT’s objectives for the charette in order to develop an initial agenda for
the charette. A list of Corps employees who have received training in facilitation can be found
on the “Find a Facilitator” database open to Corps employees.
2. SMART Planner – An individual with experience in SMART Planning principles and process, as
well as extensive Corps planning experience in the six-step planning process and plan
formulation. The SMART Planner must be comfortable examining and challenging the planning
decisions at the charette; for this reason, selecting a SMART planner not involved in the Study
and from outside the District and Division is recommended. The SMART Planner will direct
certain exercises based on needs of study, and is expected to be a resource to the participants.
Their primary role is to remind team of SMART Planning questions, push back on assumptions,
and answer questions about the implementation of SMART Planning. As such, this individual
should be chosen based on their ability to provide frank and direct feedback to the PDT and
vertical team regarding the planning foundations of the study, especially as it affects decisions
and the development of the strategy for study completion. This individual may be the charette
facilitator or another individual from a District, Division, PCX, Institute of Water Resources
(IWR), outside contractor, etc.
3. Risk Specialist – Individual with experience in SMART Planning and teaching / communicating
tools, such as decision making under uncertainty, risk-informed planning, the Decision
Management Plan and the Risk Register, in order to facilitate decision making and document
PDT decisions and strategy. This individual may be the charette facilitator, SMART Planner, or
another individual from a District, Division, PCX, Institute of Water Resources (IWR), etc.

SMART Planning Charette Handbook 7

IV Roles & Responsibilities of the District and PDT – Before, During, and After the
Charette

Preparing for the Charette

The District is the “owner” and convener of the
charette. When a District decides to use a planning Pre-charette planning and coordination is
charette as a tool to bring together the PDT, vertical critical to ensuring that all are starting with
team, non-federal sponsor and other key expertise the same assumptions and goals.
(e.g., value engineering, resource agencies, centers of
expertise), the PDT must be able to articulate the objective of the charette. For example, a PDT may
wish to use a charette process to ensure vertical team alignment on the selection criteria level of detail
or to have a face-to-face meeting to come to a study decision.

The charette agenda should be tailored to meet the PDT’s objective. Charettes are working meetings,
and should not require significant document preparation ahead of the charette, other than what is
necessary to bring the vertical team and others up to speed on the study. Study information readily
available prior to the charette should be used to develop or update the Report Synopsis, which will
inform the vertical team of the status of the study and assist the facilitator in developing a charette
agenda. For ongoing study charettes, it is important that the PDT also clearly describes where they are
in the SMART planning process, and articulate the next major planning decision.

The PDT may wish to prepare for the charette by:

 Planning a “boots on the ground” or virtual site visit during or just before the charette to
provide key information and context about the study.
 Articulating where is the study in relation to the SMART Planning process and decision
milestones.
o Can you tell the story of the study? Develop key messages to convey to the vertical
team. Does the Report Synopsis concisely communicate the foundations of your
study?
o Can you describe “the big picture” approach to the completion of the study and the
plan to complete the study in
Lessons Learned: District Leadership
compliance with the 3x3x3 funding and
Participation in Charettes
timeframe objectives?
 Identifying the critical decisions required to
A District Lead empowered to make
make the next significant planning decision.
decisions and provide direction to the
 Developing or updating the risk register. PDT is critical to have engaged in the
 If seeking Senior Leadership review and DCG- entire charette. In planning charettes
CEO approval to proceed beyond three years to date, that individual has most
completion or for more than $3 million, often been the District Planning Chief
prepare to discuss why 3x3x3 objectives or the District Commander. For the
cannot be met at the charette. What risks and PDT, it has been most helpful when
consequences are driving the study to exceed they know who to turn to when
$3 million and/or 3 years? (For more making those decisions, with
information, see Planning Bulletin 2012-04, assurance that their decision is
3x3x3 Rule Exemption Process.) binding.

SMART Planning Charette Handbook 8

The PDT should expect to be engaged with the facilitator and vertical team ahead of the charette via
conference call to understand the charette’s objectives, prepare for the charette, identify and ensure
participation of PDT, vertical team, and other key stakeholders, etc. With the charette objective(s) in
mind, the PDT will develop an initial charette agenda. The facilitation support team should provide
input, as they will be implementing the agenda. The PDT will also manage the list of participants,
working in conjunction with the Division and Headquarters Regional Integration Team to coordinate
scheduling and logistics.

Additional pre-charette coordination and preparation with the non-federal sponsor may be necessary so
they understand the purpose and importance of their participation in the charette and are familiar with
the SMART Planning feasibility study process and decision milestones.

The PDT is responsible for the logistical arrangements of the charette, generally including: identifying
and resourcing a facilitator and other support team members as needed; coordinating with the
facilitator and vertical team so that the facilitator can develop an agenda for the charette; securing a
meeting facility; travel and lodging recommendations; room arrangements (e.g., breakout rooms, if
needed); and providing charette materials (list developed in conjunction with the facilitator).

Background information on charettes and resources and additional tools designed to assist PDTs and
charette participants in preparing for a charette are available on the online Planning SMART Guide
(http://planning.usace.army.mil/toolbox/smart.cfm).

Developing the Charette Agenda

A representative of the PDT such as the Project Manager or Lead Planner, will develop a starting-point
agenda for the charette that will help the PDT and vertical team achieve the outcomes they identified –
e.g., reach the next decision point, identify a clear strategy, etc.

Whether a new start planning charette or a charette for an ongoing study, the agenda will likely include
the following elements:

1. Charette Introduction & Overview. This

Lessons Learned: Developing the Charette
introduction and overview provides all
participants with the context of their Agenda
work in the charette in the broader
As owners of the charette, the PDT should also
Planning Modernization efforts. The
develop the initial agenda, shaping it to ensure
Division Planning Chief, for example,
that their objectives are met applying SMART
may provide this introduction. For those
planning tools and principles.
unfamiliar with SMART planning
principles and processes, it provides a Members of the vertical team may provide
basic introduction and reinforces the useful feedback and suggestions for the
importance of SMART Planning agenda, ensuring their objectives are also met.
principles in the Corps.
2. Study Overview and (Virtual) Tour. Once drafted, the facilitation support team
Whether in the field or via a virtual tour, can work with the PDT to firm up roles,
the time taken to explain the history of presentations, and how to use a variety of
the study, the site, the large-group and small-group exercises to meet
problems/opportunities, etc. is time the PDT’s objectives based on their previous
charette experiences.

SMART Planning Charette Handbook 9

 well spent to (1) develop a common sense of purpose for the full PDT and vertical team; (2)
orient the charette participants to the problem they are all being asked to address. The
study overview and tour offers the PDT the opportunity to tell the story of the study,
identify important issues or constraints, and get feedback on the upcoming decisions. This is
also a time for the PDT to evaluate the way they tell the story and identify changes that
would strengthen the explanation of federal interest, problems/opportunities,
objectives/constraints, formulation strategies, etc. In others words, would increased clarity
in the story help clarify the path to a recommendation?
3. Examine and confirm the foundation of the feasibility study, building on the Report Synopsis
read-ahead. The charette should focus on ensuring the Problems, Opportunities, Objectives
and Constraints provide a strong foundation for the planning decisions to be made.
4. Where is the PDT in the planning process? What is the next planning decision?
5. Develop a decision management plan (DMP) for the next planning decision, establishing the
criteria and tasks to reach that decision.
6. Develop risk register to support the DMP, documenting how the PDT is managing study and
project risk.
7. If time permits, the charette participants may develop or outline the DMPs for future major
study decisions / milestones.
8. Document charette agreements and next steps.

Typically, a planning or ongoing study charette will be between 3 and 4.5 days, depending on the
objectives of the charette.

Developing the agenda in close coordination with the PDT and, when possible, the vertical team, will
help all to understand the structure and process of the charette.

At the Charette
Charettes are, by design, interactive and collaborative, and there is not a “one-size-fits-all” approach to
conducting a charette. The facilitation team will draw on a variety of exercises and techniques to help
the PDT achieve its objectives and move the study forward.

During the charette, it is the responsibility of the PDT Study Foundations: Buy-in,
participants to ask questions of the vertical team, share what Understanding, Wordsmithing
they know, and challenge themselves to meet the objectives of
the charette. Similarly, the vertical team should ask critical While ensuring the full PDT and
questions to help inform decisions, share what they know, and Vertical Team understands and is on
challenge themselves to meet SMART Planning objectives. This board with the foundations of the
interaction will assist the integrated team in answering this study – the Problems, Opportunities,
challenging question: What is the appropriate level of detail, Objectives & Constraints, the agenda
and corresponding uncertainty, for the decision information should be structured to focus on
being developed in this study? reviewing and understanding these
important foundations of the study.
The objective(s) of the charette, discussed by the PDT and
vertical team during the planning call, should be stated up Unless there is an unacceptable risk
front, agreed upon by the charette participants, and reinforced associated with the phrasing of the
throughout the charette. problems, the temptation to
wordsmith should be avoided.

SMART Planning Charette Handbook 10

 Lessons Learned: Remote Participation in Charettes and Charette Etiquette

Tight travel budgets and busy schedules can make the expense of a multiple-day charette daunting –
for the members of the vertical team that are traveling and for the study team that is paying for
participation and travel.

Study teams have used conference calling and web meetings during charettes to engage and inform
individuals who have been unable to travel to participate in charettes face-to-face.

While remote participation was – in most cases – considered better than no participation at all,
challenges with technology and communication nuances lost without the face-to-face interaction
has the potential for frustration for both study teams and vertical team members.

When the only option for participation is remote participation, pre-charette coordination and
communication has been especially important to (1) identify the parts of the charette where the
remote participant can most effectively participate and (2) establish the products or information to
share with the remote participant after the charette.

For those on the phone, be mindful of how your participation / comments are being perceived by
the PDT and project sponsor. For those in the room, the individual participating remotely may not
realize the impact their words / demeanor are having in the room. If you can, reach out (one time
when using your blackberries during the charette is appropriate!) and help them participate more
effectively.

These lessons also hold true when key participants can only participate in a portion of the charette,
rather than the full duration.

Based upon the objective(s) of the charette, the PDT should be prepared to think critically about the
planning issues, assess key uncertainties, contribute to the group discussions, and identify information
sources that may be used as evidence for decisions. During this process, PDT members should take
notes, document areas of agreement between the PDT and vertical team – and how that agreement was
reached, etc. In general, the facilitation team will not be developing comprehensive charette
documentation.

During a planning charette, a variety of tools will be used to assist the PDT and vertical team in thinking
critically and advancing the study. The PDT should expect that the following documents are generated
or updated during the course of the charette, and they are encouraged to use these tools throughout
the study. Identifying a lead writer at the beginning of the charette for each of these outputs can be
useful:

 A Decision Management Plan for the next major decision(s) within the study, with a clear
strategy to the next planning decision milestone and ultimately the completion of the study (at
least conceptually) within the guidelines of 3x3x3.
 A Risk Register for the next decision(s), and ultimately for the study, that can be carried forward
through the feasibility study into Preconstruction Engineering & Design (PED) and ultimately
construction.

SMART Planning Charette Handbook 11

  The Decision Log should be updated to document areas of agreement / decision during the
course of the charette.

If there have been developments in the study at the charette, the PDT would also benefit from updating
the Report Synopsis or draft feasibility report, developing the report as the study progresses.

After the Charette

Before the end of the charette, the PDT and vertical team should jointly establish next steps, including
what documentation or materials from the charette will be circulated.

The Decision Management Plan and Risk Register are important tools to establish and communicate the
study’s path to completion. If they are not completed
Lessons Learned: Following Up After
during the charette, there should be a common
understanding of when and how they will be completed and the Charette
shared with the full vertical team, and whether or not the
Participants in recent charettes have
documents are being shared for informational purposes, or
been most satisfied when the PDT
if sign-off/concurrence is required.
and vertical team schedule a follow-
up conference call with key charette
Members of the PDT and vertical team may agree that
participants (project leads and
certain documentation from the charette, such as a briefing
vertical team) to review and report
memo, the Decision Log, or the Decision Management Plan,
on decisions made during the
would benefit from endorsement or sign-off by the vertical
charette that need follow up and for
team or someone not present at the charette (e.g., a
finalizing/sharing products that
decision to apply a model in a certain way, or to use a
establish the next steps, such as the
certain level of detail for a cost estimate). In that case, clear
Decision Management Plan and Risk
communication is critical for identifying the decision /
Register.
recommendation, the decision maker, and next steps.

V Roles & Responsibilities of the Vertical Team– Before, During, and After the Charette

Preparing for the Charette

Each member of the vertical team should ensure they are able to participate in the charette – or
designate someone in their stead so that the PDT can ensure that decisions made at the charette can be
acted upon. If members of the vertical team critical to meeting the objectives of the charette cannot
participate in person, and rescheduling the charette is not an option, the vertical team member should
propose strategies for ensuring they stay informed and on board with key study decisions made at the
charette.

The vertical team attending the charette should be familiar with the overall study and review any
materials circulated ahead of the charette, such as the Report Synopsis read-ahead.

Prior to the charette, the vertical team should participate in a planning conference call to understand
the charette’s objectives, identify key questions or concerns they have for the facilitator and PDT to
address in the charette, and identify and ensure participation of key vertical team members based on
the needs of the study.

SMART Planning Charette Handbook 12

At the Charette
Each participant in the vertical team act according to the role they have in the study. For example,
participants from the Division should ensure that issues related to quality control are addressed; the
Office of Water Project Review should ensure that study decisions and recommendations are compliant
with Corps of Engineers policies; technical experts from the Planning Centers of Expertise should work
with the PDT to ensure current best practices / processes are incorporated in the study’s decisions.

The objective(s) of the charette, agreed upon by the PDT and vertical team before the charette, should
be stated up front, agreed upon by the charette participants, and reinforced throughout the charette.

The vertical team members are full participants in the charette, bringing their expertise and experience
to the table. The vertical team must be ready to step forward and verbalize their concerns if they feel
the PDT is headed down a path that will raise the concern of reviewers, articulate what they are looking
for at each milestone, and be able to answer PDT members’ questions/concerns.

After the Charette

While the PDT and vertical team should be able to leave the charette with a Decision Management Plan
and updated Risk Register articulating the next steps of the PDT toward the next planning decision,
members of the PDT and vertical team may agree that certain documentation from the charette, such as
a briefing memo, the Decision Log, or the Decision Management Plan, would benefit from endorsement
by the vertical team or someone not present at the charette (e.g., a decision to apply a model in a
certain way, or to use a certain level of detail for a cost estimate). In that case, clear communication
between the vertical team and PDT is critical for identifying the decision / recommendation, the decision
maker, and next steps.

VI Roles & Responsibilities of the Facilitation Support Team– Before, During, and After
the Charette

Preparing for the Charette

As far in advance as possible (ideally 2-4 weeks ahead of the charette), the PDT will coordinate a
conference call with the charette support team and vertical team to prepare for the charette.
Participants in this pre-charette planning session will include the facilitator, PDT representative (e.g., the
PM or Lead Planner), and vertical team representative (e.g., Division rep, OWPR and RIT planner).
Others, such as a member of the PCX or a planner with SMART planning/charette experience, may also
participate in the planning call.

Before this call, the PDT should develop and circulate the Report Synopsis read-ahead to the vertical
team and support team. Areas of discussion at the preparation call may include:
 Confirming the goals for the charette. Why does the PDT want to bring together the vertical
team and the PDT for a charette?
 Does the vertical team have any specific questions or concerns about the study information
they have received (Planning Foundation exercise) that should be addressed in the charette
agenda?
 In moving to the next planning decision, are the expertise / experience of other Communities of
Practice or the PCX needed at the charette?

SMART Planning Charette Handbook 13

  Discussing any read-ahead work to be done by the PDT and vertical team and how it will be
used at the charette (e.g., establish participant familiarity with SMART Planning and Risk
Register).
 Planning for a real or virtual site visit to orient the full PDT and vertical team to the study.
 Ensuring common understanding of roles and responsibilities of charette participants and
support team.
 Identifying and communicating vertical team expectations of any charette outcomes (e.g.,
updated risk register, decision management plan, decision log).
 Logistics for the meeting, including travel and lodging recommendations, meeting facility, room
arrangements, etc.

Based on the planning call and the charette objectives, the PDT will draft an agenda for the charette,
clearly defining the roles and responsibilities of the support team. The facilitation support team, working
with the PDT, will assists in refining and finalizing the agenda. The facilitator and charette participants
should expect that the agenda will be modified as needed during the charette to meet the needs of the
PDT and vertical team, reflecting the collaborative problem-solving approach of a charette.

Facilitation “best practices” apply to planning charettes as well. The Conflict Resolution & Public
Participation Center of Expertise housed at the Institute for Water Resources is a resource for PDTs and
charette support teams.

Lessons Learned: Facilitating Toward the Charette Objectives

Participants bring a diversity of experiences and opinions to a planning charette. Retaining focus on
the charette objectives can be a challenge for facilitation support teams.

Some lessons learned from previous charettes include:

 Ensure the study foundations (e.g., problem statements, etc.) are adequate for the decision –
wordsmithing during the charette is generally not appropriate or productive. It can be
challenging to balance creating group buy-in with re-creating work already done; work with the
PM and lead planner to identify a strategy that will benefit the PDT – and revisit it as needed!
 Having an ‘in-house’ pre-meeting for Corps of Engineers participants can resolve questions
related to Corps policy / process without confusing or frustrating external participants such as
the non-federal sponsor. PDTs have found that when they inform the sponsor of these pre-
meetings, it has not been a concern.
 PDT-vertical team-facilitator time outs to caucus and confer have been useful to ensure charette
objectives are being met and charette is staying on track.
 Even with pre-charette coordination, when study teams and vertical team members are face-to-
face, discussions on study status and the next major planning decision have sometimes taken
unexpected turns. The facilitator, PDT lead and vertical team will work together to decide how
to best use the time at the charette.

SMART Planning Charette Handbook 14

At the Charette
The support team will facilitate, support, and guide the PDT through the charette process. The support
team will not make decisions for the PDT and vertical team.

Support team documentation will generally focus on the process of the charettes, rather than the
outcomes, to share lessons/experiences and improve the implementation of future planning charettes.

After the Charette

The support team’s role is essentially complete at the end of the charette, although they may reconvene
for an After Action meeting to discuss opportunities to improve guidance and support for future
charettes.

The PDT may choose to ask the advice of the SMART Planner or risk specialist on the execution of tools
such as the Decision Management Plan and Risk Register after the charette, or engage the support team
in charette follow up or future coordination efforts with the vertical team.

VII The Report Synopsis – Charette Read-Ahead

The PDT should prepare the Report Synopsis and circulate it to the Support Team and vertical team as a
read-ahead. This read-ahead is not a reviewable document and should not be written in stone – this
should reflect the most current and best thinking of the full PDT.

The foundations of the planning study are critically important when the PDT and Vertical team come
together to determine the next steps and key uncertainties in their path to study completion. The
Report Synopsis completed or updated prior to the charette summarizes and communicates the
planning foundations of the study.

The Report Synopsis will be used by the charette support team to:
 Ensure the agenda meets the study where it is and focuses the time of the agenda on questions
that need to be addressed before the study moves forward.
 Identify a starting point for the charette. If the vertical team understands and is in alignment
with the foundations of the planning study (Problems & Opportunities, Objectives & Constraints,
etc.), the PDT and vertical team will be able to more quickly move forward into developing a
decision management plan and next steps for the study. Assumptions about the starting point
of the charette should be confirmed by the PDT and vertical team during pre-charette
coordination calls.

The Report Synopsis is intended to be a brief document, not more than 10-15 pages. If the PDT has
previously developed a Report Synopsis, this can be used. If no Report Synopsis exists, then the PDT
should document available information / decisions in a clear and succinct manner. If a study is early in
the planning process, these statements may not be very refined, or there may not be information for
each area. Blank pieces of paper or blank sections of the synopsis are OK.

The Report Synopsis should include:

1. What is the study authority and purpose?
2. What was the last planning decision (or milestone)? What is your existing time and budget to
complete?

SMART Planning Charette Handbook 15

 3. Map of study area.
4. Problems and Opportunities. What is the federal interest? The Corps interest?
5. Objectives & Constraints. What does success look like? What are the constraints that will limit
the extent of your planning process?
6. Decision Criteria. How will you measure success? Include Evaluation Criteria, Comparison
Criteria, and Selection Criteria if they have been developed.
7. Key Uncertainties. What areas of uncertainty do you expect to impact your planning decision(s)?
8. Without Project Condition. What will it be/look like if we do nothing?
9. Measures Screened. What measures are on the table which meet the Objectives & Constraints;
what have you screened out, and why?
10. Formulated Plans under consideration.

This exercise is most useful when the Report Synopsis is developed by the entire PDT, rather than one
person.

After the charette, the PDT can update the report synopsis with new decisions or information and bring
that forward through the study, writing the feasibility study report as decisions are made.

An example outline of a Report Synopsis can be found on the Planning SMART Guide.

VIII Decisions and Documentation Developed at the Charette

The planning charette is focused on bringing the PDT and vertical team together to move the PDT
forward to their next significant planning decision. The PDT will likely develop or lay the foundations for
the following tools that the PDT will use to continue their study:
 Decision Management Plan
 Risk Register
 Decision Log
 Updated Report Synopsis

Decision Management Plan

The decision management plan is a tool that provides a clear strategy to study completion for the PDT.
The decision management plan is not a replacement of the Project Management Plan (PMP). Rather it is
a concise summary list of next steps that the PDT is undertaking, from one planning decision milestone
to the next, prepared throughout the course of the feasibility study. A typical decision management plan
will be 5 to 15 pages long.

The decision management plan is to be used as a decision-focused guide for the PDT, in concert with the
risk register, and as a reference for the vertical team. The plan should convey the PDT strategy on how
to manage risk and reduce uncertainty in next-step actions with an eye on the completion of the study.

Over the course of a study, the PDT may develop several decision management plans, one for each
planning decision through the end of the study. The PDT may also find it useful to outline subsequent
decision management plans for the duration of the study based on available information and
experiences. The decision management plan(s) may also be used as a reference for PMP updates, if
needed.

SMART Planning Charette Handbook 16

Elements of a Decision Management Plan typically include:
 The planning decision to be made
 Sequence of events required
 Criteria for making the decision
 Decision maker(s)
 Schedule for decision
 Decision summary (to be completed when decision is made)

The decision management plan is not intended to be a “reviewable” document, but the PDT may find it
useful to ensure vertical team awareness of the decision management plan before the decision is made,
as it outlines the decision criteria and approach for making the decision.

If the PDT has outlined decision management plans through the end of the study, these decision-
oriented tasks will form the framework for the PMP.

For more information, see the Planning SMART Guide.

Risk Register

A feasibility study will continually ask how additional detail will affect the next planning decision. Where
is the uncertainty? Will more data mean a better decision? What are the consequences of a wrong
decision? One technique for understanding and communicating how PDTs are taking into account
uncertainty in their study is to develop and use a risk register.

The risk register complements the decision management plan. The decision management plan is used to
outline the strategy for making the next significant planning decision; what is the decision and what
information is needed to make it. Risk registers are used to identify and assess the risks that follow from
the decision strategy contained in the decision management plan. The study team uses the risk register
to determine whether the risk – to the study and to the project – is tolerable. If not, the decision
strategy and planning tasks will be changed and documented in the DMP.

What are the Risks to the Planning Decision?

A risk register is a useful tool for the study team to understand and communicate the risks associated
with making planning decisions – e.g., the criteria to be used to evaluate or compare plans; the
approach taken to scale the agency recommended plan.

During early phases, the study’s risk register will primarily focus on the risks of decisions to the study
itself: to the budget; the duration; the decision outcome (did we eliminate the best plan?).

Once the agency recommended plan (and potentially the Locally Preferred Plan) are being detailed,
the study risk register will also include project risks (will the project perform as expected?).

During the course of the feasibility study, the study team will also use another form of the risk register
for the Cost Schedule Risk Analysis.

SMART Planning Charette Handbook 17

Risk registers have long been used in the project management industry. Within the Corps of Engineers,
the risk register is most commonly used in the cost and schedule risk analysis. The risk register is a
flexible risk management tool that can help a team to assess, manage, and communicate risks. While
the decision management plan outlines the sequence of events needed to make a decision, and the
criteria for that decision, the risk register captures and communicates information about the uncertainty
associated with those criteria or the elements that feed into the planning decision.

The risk register collects information in a spreadsheet format about:

 Risks and their causes.
 The consequences of that risk.
 The likelihood of the risk occurring.
 The team’s confidence in their ratings of the risk consequences and likelihood.
 PDT recommendation about the risk.

The risks associated with the study outputs and project outcomes documented in the risk register are
based on input from the PDT and feedback from vertical team members.

At a charette, the participants develop the risk register together to identify risks throughout the
feasibility study, and specifically risks in making the next planning decision, and as a guide for decision-
making in a timely manner, making and accepting decisions based on information available to the PDT at
that time.

Ultimately, the risk register is a tool to assist the PDT in acknowledging and talking about the risk and
uncertainty inherent in any study. The risk register:

 Identifies and documents the risks the PDT and the Corps is willing to tolerate.
 Identifies ways the PDT will manage risks that are not acceptable.
 Documents all risk mitigation strategies being pursued in response to the identified risks.
 Considers risk mitigation strategies in terms of likelihood and consequence.
 Provides the PDT and vertical team with a documented framework to report risk status.
 Represents an actionable document prepared early in the study.
 Helps ensure the communication of risk management issues to key stakeholders.
 Provides a mechanism for seeking and acting on feedback.

For more information and a risk register spreadsheet template, see the Planning SMART Guide.

Decision Log

There are many times over the course of a study that the PDT or the sponsor will need to make
decisions relating to the project. Often these decisions can change the course of the project. The
decision log is a tool for the PDT to document the decisions made to reduce the chances of a dispute
arising from unknown decisions. The decision log does not mean that a decision will never resurface
over the course of a project. There are times that new risks or opportunities are introduced to a project
and it causes the team to rethink previous decisions. The usefulness of the decision log allows the team
to make sure that decisions are documented so that if they need to be revaluated, they are easy to
identify.

SMART Planning Charette Handbook 18

A decision log is a common tool in project management. While it can be customized to meet the PDT’s
needs, at a minimum, a decision log includes:

 A reference (identifier) for the decision.

 Date the decision was made.
 Description of what was agreed to and why.
 Who agreed to it.
 Where you can find information or supporting documentation.

The PDT / vertical team may agree on additional information on each decision based on the needs of the
study.

The decision log serves as the ongoing documentation of decisions throughout the duration of the study
and should be shared between the PDT and vertical team to assist in clearly communicating decisions.

For more information and a decision log template, see the Planning SMART Guide.

Report Synopsis Description

The PDT will develop the feasibility report over time, with the report synopsis providing the foundation
and the draft report growing over time and confirmed at each milestone. The report synopsis is not a
required outcome of a planning charette, although if there are updates to the synopsis after the
charette, they should be incorporated.

For more information and a decision log template, see the Planning SMART Guide.

VII Additional Resources

For PDT and Vertical Team

 SMART Planning Guide (http://planning.usace.army.mil/toolbox/smart.cfm)
o Charettes page (http://planning.usace.army.mil/toolbox/smart.cfm?Section=2&Part=5)
o Tips, Tools and Techniques page
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=0)

For Charette Facilitation Support Teams

 SMART Planning Guide (http://planning.usace.army.mil/toolbox/smart.cfm)
o Charettes page (http://planning.usace.army.mil/toolbox/smart.cfm?Section=2&Part=5)
o Tips, Tools and Techniques page
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=0)
 Facilitation Presentation: Public Involvement and Teaming (PCC7)
(http://planning.usace.army.mil/toolbox/resources.cfm?Id=0&Option=Planning%20Core%20Cur
riculum&Sub=PCC7)
 Natural Resources Gateway Facilitator Tools & “Find a Facilitator” info
(http://corpslakes.usace.army.mil/employees/facilitator/facilitator.cfm) including “Good
Enough to Share” resources for group facilitators
(http://corpslakes.usace.army.mil/employees/gets.cfm?Id=facilitator)

SMART Planning Charette Handbook 19

  USACE Conflict Resolution & Public Participation Center of Expertise
(http://www.iwr.usace.army.mil/index.php/about-us/technical-centers/cpc-public-
participation-tools/)

SMART Planning Charette Handbook 20

Appendix A: Pre-Charette Checklists

District & PDT

Pre-Planning Charette Checklist
1. Identify why you are holding a charette – what are the objectives? (NOTE: If you are holding a
Rescoping charette, one of the objectives will be to develop a strategy to study completion
within 3 years and $3M.)
2. Read the Charette handbook and ensure that all members of the PDT are familiar with it.
3. The following resources are recommended for all SMART Planning Charette participants to
orient and prepare for the charette.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=1a)
a. Foundations of SMART Planning video. This 17 minute video provides an introduction to
the foundations of SMART Planning and the SMART planning feasibility study process.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
b. SMART Feasibility Studies: Milestones and Process video. This 16 minute video provides
more detail on the milestones and process for conducting feasibility studies applying the
SMART planning principles.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
c. View the SMART Planning - Risk Register Presentation (about 10 minutes)
d. Read through the SMART Planning Guide and the Planning Charettes page
4. The PDT will develop / update the Report Synopsis for a charette read-ahead. This read-ahead
should reflect the most current and best thinking of the full PDT using information available.
The PDT should use this to communicate the fundamentals of its study – it should use maps,
tables, bullets, or short sentences. It can – and should – have blanks if the team has not yet
completed certain planning steps; it is not intended for formal policy and technical review and
should not be “written in stone”. (See the Planning Guide for an outline of a Report Synopsis
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=6)). This read-ahead will
be to:
a. Develop an agenda that meets the PDT where they are in the study and focuses the time
of the agenda on questions that need to be addressed before the study moves forward.
b. Identify a starting point for the charette. If the vertical team understands and is in
alignment with the foundations of the planning study (Problems & Opportunities,
Objectives & Constraints, etc.), the PDT and vertical team will be able to more quickly
move forward into developing the Decision Management Plan, Risk Register and next
steps for the study.
c. If you are holding a charette where the primary purpose is to rescope to completion
within 3 years and $3 million, the charette read-aheads for the vertical team should
include the expected time and budget to complete.
5. Identify and coordinate the charette support team, which may include a facilitator, expert
planner, and risk specialist.
6. Identify list of attendees / invitees. Identify critical attendees.

SMART Planning Charette Handbook 21

 a. Communicate charette expectations (e.g., full participation; no leaving for meetings).
b. Determine technology needs if there will be remote participation.
7. Hold coordination call with charette support team and vertical team.
8. Draft an initial agenda to meet the objectives of the charette. Example agendas are available on
the Planning SMART Guide.
9. Set / confirm dates based on attendance of critical attendees, space, PDT preparation, etc.
10. Coordinate logistics (space, materials, participation). Coordinate with vertical team as needed.
11. Work with support team to complete any pre-charette actions deemed necessary.

SMART Planning Charette Handbook 22

 Vertical Team
Pre-Planning Charette Checklist
1. Read the Charette handbook and be familiar with your role and responsibilities ahead of and at
the charette.
2. The following resources are recommended for all SMART Planning Charette participants to
orient and prepare for the charette.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=1a)
a. Foundations of SMART Planning video. This 17 minute video provides an introduction to
the foundations of SMART Planning and the SMART planning feasibility study process.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
b. SMART Feasibility Studies: Milestones and Process video. This 16 minute video provides
more detail on the milestones and process for conducting feasibility studies applying the
SMART planning principles.
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=9&Step=1)
c. View the SMART Planning - Risk Register Presentation (about 10 minutes)
d. Read through the SMART Planning Guide and the Planning Charettes page
3. Read the Report Synopsis read-ahead and assess the current state of the planning work. The
purpose of this read-ahead is to concisely convey the planning foundation for the study. It is not
intended for formal technical or policy review. It should reflect the most current and best
thinking of the full PDT. See the Planning Guide for an outline of a Report Synopsis
(http://planning.usace.army.mil/toolbox/smart.cfm?Section=8&Part=6). This will be used to:
a. Develop an agenda that meets the PDT where they are in the study and focuses the time
of the agenda on questions that need to be addressed before the study moves forward.
b. Identify a starting point for the charette. If the vertical team understands and is in
alignment with the foundations of the planning study (Problems & Opportunities,
Objectives & Constraints, etc.), the PDT and vertical team will be able to more quickly
move forward into developing the Decision Management Plan, Risk Register and next
steps for the study.
4. Coordinate within your chain of command who will participate, their role, engagement in
charette preparation calls, etc.
5. Confirm your participation with the PDT.
a. If you are to be participating remotely, work closely with PDT to establish common
understanding of:
i. Participation needs - e.g., listening in, participating in discussions, and/or
weighing in on decisions).
ii. Technology – e.g., conference phone, videoconference, web meeting.
iii. Limits to participation – e.g., remote participation the whole time or only for
portions of the charette.

SMART Planning Charette Handbook 23

 Facilitation Support Team
Pre-Planning Charette Checklist

1. Confirm support role and dates with District / PDT

a. Ensure your understanding of the PDT’s objectives for the charette (rescoping; making a
planning decision; addressing a roadblock)
b. Confirm the preparation time you will have and who is on the support team
c. Confirm that the RIT Planner is aware and working on the scheduling
d. Confirm PDT is aware of pre-planning charette checklist, especially the development of
the Report Synopsis read-ahead.
2. Coordinate with the PDT contact
a. Ensure all participants have the Report Synopsis read-ahead before the coordination call
b. Participate in the pre-charette coordination call scheduled by the PDT
i. A separate pre-coordination call with the vertical team may be useful to identify
issues or concerns specific to the vertical team.
c. Confirm timing / constraints in participation, duration, etc.
d. Confirm logistics, including if there will be a tour, whether there will be breakout rooms
or a single room, hotels/transportation, materials / A/V requested, handouts (e.g.,
Report Synopsis, Risk Register templates, Frequently Used Planning Terms, etc.)
e. Confirm participation of vertical team and others
3. Work with the PDT to finalize the agenda with input from the Expert Planner and other support
team members (as needed). Specify and communicate roles and responsibilities within the
team and for others (e.g., who will lead which parts of the agenda; will there be a welcome; will
Division Planning Chief be giving the SMART Planning remarks at the beginning; is there a
specific role for the PCX?).

SMART Planning Charette Handbook 24