G2 - 1 BUILDING STRONG SM Plan Formulation: General Module G-2: Key Concepts and Terminology.

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BUILDING STRONGSMBU ILDING STRONGSM

Plan Formulation: General

Module G-2: Key Concepts and Terminology

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When is Plan Formulation Successful?

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When is Plan Formulation Successful? Federal funding (Federal interest) is properly determined for

each of the plans in the array of alternatives?

Alternatives have been developed that meet the planning objectives and constraints?

An adequate array of alternatives has been developed and presented clearly to stakeholders?

State and Federal environmental agencies and other major stakeholders have been heard and their views are understood and reflected in the report?

An array of alternatives reflecting the various stakeholder interests has been developed?

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Student Learning ObjectivesStudent will be able to:

Define terms associated with plan formulation

Explain the importance of the without project condition – the “no action alternative” under NEPA

Develop planning objectives and constraints

Apply the four formulation criteria

Some Formulation Concepts

Formulation Criteria

Plans

Measures

Costs

Outputs

Baseline Inventory

Planning Objectives and Constraints

Scales Sizes Increments Combinability Dependency

Benefits

NER

NED

Federal Interest

LPP

NED/NER

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Don’t PANIC

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Don’t PANIC YET

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OUR LANGUAGE IS SLOPPY

action activity alternative alternative plan approach component concept element feature improvement increment input management action management measure

management practice measure option plan practice program project proposal scenario scheme solution strategy system technology

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The Flow – Concepts and Definitions Federal Interest Purposes Existing and Without

Project Conditions Problems and

Opportunities Planning Objectives and

Constraints Plan Formulation

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Federal Interest Federal Interest

Contributes to the Nation as a whole Commerce Clause of the Constitution

Corps Interest Authorized purposes Budget Priorities Congressional direction Cost sharing

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Project Purposes Ecosystem Restoration Flood Damage Reduction Navigation Other Purposes

Recreation Water Supply Hydropower Storm Damage Reduction Water Quality

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Multi-objective Planning All planning is multi-objective Single purpose is not the same as single

objective Multi-objective planning will result in a more

comprehensive solution

Federal ObjectiveExisting ConditionsWithout Project ConditionPlanning Objectives and Constraints

Problem Identification Definitions/Concepts

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Federal Objective

The Federal objective of water and related land resources project planning is to contribute to national economic development consistent with protecting the Nation’s environment, pursuant to environmental statutes, applicable executive orders, and other Federal planning requirements (Principles and Guidelines, 1983)

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SAMPLE STUDY AUTHORITY

"Resolved by the Committee on Public Works and Transportation of the United States House of Representatives, that the Board of Engineers for Rivers and Harbors is hereby requested to review the report of the Chief of Engineers on the Anacostia River and Tributaries... with a view to determining if further improvements for flood control, navigation, erosion, sedimentation, water quality and other related water resources needs are advisable at this time."

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"Resolved by the Committee on Public Works and Transportation of the United States House of Representatives, that the Board of Engineers for Rivers and Harbors is hereby requested to review the report of the Chief of Engineers on the Anacostia River and Tributaries... with a view to determining if further improvements for

(1) FLOOD CONTROL, (2) NAVIGATION, (3) EROSION, (4) SEDIMENTATION, (5) WATER QUALITY, and (6) OTHER RELATED WATER RESOURCE NEEDS are advisable at this time."

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"Resolved by the Committee on Public Works and Transportation of the United States House of Representatives, that the Board of Engineers for Rivers and Harbors is hereby requested to review the report of the Chief of Engineers on the

ANACOSTIA RIVER AND TRIBUTARIES...

with a view to determining if further improvements for (1) FLOOD CONTROL, (2) NAVIGATION, (3) EROSION, (4) SEDIMENTATION, (5) WATER QUALITY, and (6) OTHER RELATED WATER RESOURCE NEEDS are advisable at this time."

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Existing Conditions Conditions that exist at the time of the study Differ from the base year which is when a project

would become operational

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Without-Project Condition General Rule: The alternative future likely to

occur in the absence of any public (non-Federal or Federal) attempt to respond to the planning objectives

Projected to the base year and then extended through the period of analysis

Established at the Feasibility Scoping Meeting

Same as “No Action” for NEPA purposes

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Without-Project Condition In the absence of a

project, what will local governmental interests do or continue to do?

Is that in fact an alternative?

In the absence of a project, what will non-governmental interests do?

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Suppose (Both of the Examples Actually Have Happened) An environmental agency claims that you will be

disrupting the planned future reclamation of oyster beds in the estuary when you dredge the channel. There are no oyster beds there now. What is the without project condition?

Your local sponsor objects to mitigating for 5 acres of “swamp” because it was going to be drained anyway in a few years. What is the without project condition?

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PROBLEM AND OPPORTUNITY

Conditions found in the world.

Problem: NEGATIVE.

Opportunity: POSITIVE.

Is the glass half full or half empty?

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SAMPLE PROBLEM STATEMENTS

The problems in the Franklin Creek watershed are:

Loss of fish habitat in Franklin Creek due to urbanization.

Flood damages in the industrial section of the Central City.

Streambank erosion along Campus Park. Saltwater intrusion in the Franklin Bay estuary.

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SAMPLE OPPORTUNITY STATEMENTS

There are opportunities in the Franklin Creek watershed to:

Increase wildlife habitat along Campus Park. Restore indigenous fish species in the upper

basin. Improve unique birdwatching opportunities

along the waterfront.

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PROBLEM/OPPORTUNITY CRITERIA Federal interest Corps interest Administration policy [High] priority [budget] output Project purposes NED benefit categories Study authority Significance

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Planning Objectives/Constraints Planning Objective – It is a statement of what an

alternative plan should achieve. It is more specific than an overall goal.

Planning Constraint – A restriction that limits the extent of the planning process.

Both objectives and constraints are unique to each planning study and should be specific to the planning area.

Objectives and constraints that are unique to the study area will result in better plan formulation

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Form of Objective Statement

Statement - sentence

Effect - verb Problem/Opportunity - subject Location Timing and Duration

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TYPES OF EFFECTS ACTIONS

conserve create enhance improve maintain preserve protect reduce restore

CONDITIONS conservation creation enhancement improvement maintenance preservation protection reduction restoration

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SAMPLE PLANNING OBJECTIVES Reduce flood damages in the City of Maccaville

by the year 2020.

Improve navigation delivery times at Julian Harbor by the year 2020.

Restore degraded tall-grass wetland habitat in Harrison County by the year 2020.

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A planning objective... IS:

flexible

measurable

attainable

congruent

supported

IS NOT: solution absolute target “Federal objective” account study objective

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SAMPLE STUDY OBJECTIVES Conduct adequate environmental studies to develop

habitat unit values for study area fish and wildlife. Formulate an NED Plan. Assess the effects of all alternative plans on cultural

resources.

These ARE NOT planning objectives.

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USE PLANNING OBJECTIVES:

To guide inventory data collection and forecasting.

As the basis for formulating alternative plans.

To guide evaluation of effects.

As a basis for comparing alternative plans.

As a basis for selecting a recommended plan.

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TYPES OF CONSTRAINTS

Planning Constraints universal givens unique to each study

Study Resource Constraints time money talent

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SAMPLE PLANNING CONSTRAINTS Avoid effects on habitat of the Federally

endangered three-toed blackbird in the Blue River watershed.

Minimize relocation of homes and businesses from District 5 in Starrtown.

Maintain the visual quality of the Blue River riparian zone from river mile 6.0 through river mile 17.5.

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Endangered species:

As an objective…

As a constraint...

Ferocies (carnivus maximus)

Measures, Plans and Programs

Scales and Increments

Combinability, Dependency and Mutually Exclusive

Formulation Criteria

Environmental Sustainability

Plan Formulation Definitions/Concepts

Definitions Measures are single features or activities which

address the planning objectives

Plans are combinations of one or more measures

Programs are combinations of plans

Definitions Scales are different sizes, compositions, physical

properties, locations and timing and duration of the same measure

Increments are increases or decreases in the impact of a plan caused by a vertical or horizontal change in such plan

Definitions Separable Element is a portion of a project

(1) which is physically separable from other portions of the project; and(2) which--

(a) achieves hydrologic effects, or(b) produces physical or economic benefits,which are separately identifiable from those

produced by other portions of the project.

(Section 103 of WRDA 1986)

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Definitions Combinability – Measures that are not mutually

exclusive are combinable Dependency – A measure may be necessary for

the function of another measure Mutually exclusive –

Location – can’t occupy the same physical space Function – measures that would work against each

other Overlapping – smaller scale or subset of another

measure

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Plan Formulation – Formulation Criteria

Completeness

Effectiveness

Efficiency

Acceptability

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Formulation Criteria - Definitions Completeness – The extent to which an

alternative plan provides and accounts for all necessary investments or other actions to ensure the realization of all planned effects.

Effectiveness– The extent to which an alternative plan alleviates the specified problems and achieves the specified opportunities, as established in the planning objectives.

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Formulation Criteria - Definitions Efficiency – The extent to which an alternative plan

is the most cost effective means of alleviating the specified problems and realizing the specified opportunities as established in the planning objectives, consistent with protecting the nation’s environment.

Acceptability – The workability and viability of the alternative plan with respect to acceptance by state and local entities and the public and compatibility with existing laws, regulations, and public policies.

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Take Away Points Often we don’t get the fundamentals right --

According to Washington level reviewers, the three most common formulation errors are without project conditions, without project conditions, and without project conditions.

There is a lot of terminology to keep straight

Now That You Have Terminology Down Next we’ll get to the

“how to” part of formulation

This is the central part of the training for today

How do we identify measures, combine them into plans and then reformulate them?

What is the Role of the Plan Formulator?Are You…

Problem solver

Creator of alternative plans

A facilitator (broker) between local needs and Washington rules (Federal interest)

A protector of the Federal interest, at least for certain types of studies and projects

What is the Role of the Plan Formulator?Are You…

A technical expert applying a set of rules and procedures to a specific locality

Leader of study team through the 6 step process

Other

All of the above

G2 - 1 BUILDING STRONG SM Plan Formulation: General Module G-2: Key Concepts and Terminology.

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Transcript of G2 - 1 BUILDING STRONG SM Plan Formulation: General Module G-2: Key Concepts and Terminology.