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Planning Community of Practice

7 June 2018

MEETING OUR COMMITMENTS:FEASIBILITY STUDY EXECUTION AND THE 3X3X3 RULE

1

BLUF

• 3x3 Rule applicable to USACE feasibility studies since 2012

• Not one-size-fits-all – but it is one-size-fits-most!

• 3x3 Rule became law in WRRDA 2014

• WRRDA 2014 also added required transparency / reporting

• First studies with FCSAs signed after WRRDA are coming to the end of their three years – and not all are done.

• This has the attention of new ASA, new DCG-CEO, and Congress.

• What’s next?

2

WHAT IS THE 3X3 RULE? DOES IT APPLY TO ME?

• 3 years from FCSA to signed Chief’s Report

• Total Study cost limited to $3 Million federal

• Applies to all feasibility studies in the planning portfolio

• All active feasibility studies directed to re-scope to 3x3; process for requesting DCG exception established (2012)

• All feasibility studies with FCSAs signed after 10 June 2014 (WRRDA) subject to 3x3 rule as defined in Section 1001; criteria for ASA(CW) exceptions defined in law

• Guidance and policy includes:• Implementation Guidance for Section 1001 WRRDA 2014 - Vertical Integration

and Acceleration of Studies

• Updated Implementation Guidance for Section 1002 WRRDA 2014, Consolidation of Studies

• Planning Bulletin 2015-01: Vertical Team Alignment in Study Scoping

• Planning Bulletin 2014-01: Application and compliance of SMART Planning and the 3x3x3 Rule

• Planning Bulletin 2012-04: 3x3x3 Rule Exemption Process

3

60 STUDIES STARTED SINCE WRRDA 2014

Studies started after WRRDA 2014 that are not completing within 3 years or the previously approved exemption date -the ASA(CW) must be notified that more time is being requested and provided why the time is needed in order for him to decide to either extend or terminate the study.

4

REQUIRE MORE TIME TO CONDUCT FINAL REVIEW AND/OR OBTAIN SIGNATURE

• Required: a memo from the MSC Commander to the DCG-CEO explaining the reason for more time and the amount of time being requested.

• The RIT will submit a memo for the DCG-CEO requesting the ASA(CW) to approve the recommended time extension.

• The HQ RIT must have all the required documentation no later than 60 days before the end of the 36 months, or the previously approved exemption date, in order to be able to process it up through the DCG-CEO to the ASA(CW) for decision in advance of the end of the scheduled time.

5

REQUIRE MORE TIME TO CONDUCT STUDY

• Required: follow the exemption process in PB 2012-04

• While it is optimal for exemption requests to be deferred until the TSP/ADM timeframe, if a study is not at the TSP but it is nearing the end of the authorized time an exemption from the ASA(CW) is required in order to continue the study.

• Discuss with the VT as soon as circumstances arise that make waiting until the TSP to request an exemption ill-advised.

• The HQ RIT must have all the required documentation no later than 60 days before the end of the 36 months, or the previously approved exemption date, in order to be able to process it up through the DCG-CEO to the ASA(CW) for decision in advance of the end of the scheduled time.

6

IT COMES DOWN TO COMMUNICATION!

• Keep schedule up to date and non-federal sponsor informed (and engaged!) (Ref WRRDA 1002)

• Annual schedule reporting requirements to HQ for Report to Congress (WRRDA 1002)

• Planning Chiefs continue communication and coordination on exemptions with the non-federal sponsor(s) and the vertical team as early as possible for studies that meet the legislative factors of WRRDA Section 1001 – “too complex to comply.”

• Raise awareness of exemption at the earliest feasibility milestone meeting.

7

TOOLS & PROCESSES

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KEY PROCESSES

• PMBP is the foundation

• SMART Planning: Feasibility milestone meetings are key venue for discussion of risk and risk management strategies

• SMART Planning: NEPA processes and other environmental compliance processes (ESA, MSA) –inform and impact scope (and schedules and budgets)

• Exemption coordination with OASA via feasibility milestone decision makers & RITs

• Checkpoints – should not be more work o Scope, schedule verified through vertical team engagement and

regular budget processes

o Keep schedule up to date online / letters to non-federal sponsor (changes of 30 days or more)

o Annual WRRDA 1002 Report on Feasibility Study Milestones info rolled up via the RITs

9

PB 2012-14 EXEMPTION PROCESS

• Exemptions requested in writing by the district Commander and endorsed by the MSC Commander.

• Succinct (virtual) presentation by district Commander will use to brief a Senior Leaders Panel; it will describe the effort taken to reduce the scope and schedule, the tasks that are the high risk schedule and budget drivers, and the vertical team involvement. Part of milestone meetings when possible.

• Prepare updated PMP / clear path to completion. PMP informed by risk register, decision management plan.

• Coordinated via the RIT Planner; requests logged into OWPR’s Review Database.

• Request endorsed by Sr. Leaders to DCG-CEO. DCG-CEO is decision-maker. If ASA exemption needed, DCG-CEO endorses.

10

TAKEAWAYS & REMINDERS

1. Communicate (and document)

2. There is no pause

3. Execution is mission critical

4. Plan from the beginning

5. Keep PMP and schedules up to date

6. Planning is multidisciplinary and does not occur in a vacuum

7. Assess, communicate, and manage study risks and project risks – this is constant, not “one-and-done”

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LEARNING MORE AND GETTING HELP

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PLANNING COMMUNITY TOOLBOX13

www.corpsplanning.us

REPORTS TO CONGRESS14

1 2

USACE PLANNER DATABASE: FIND EXPERIENCE & EXPERTISE

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Webinar and Q/A will be posted to the Planning Community Toolbox: www.corpsplanning.us

QUESTIONS?

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