1. Plan Formulation: General
Module G-2: Key Concepts and Terminology

2. When is Plan Formulation Successful?

3. 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?

4. Student Learning Objectives
Student 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

5. Some Formulation Concepts
NED/NER
NED
Baseline Inventory
Costs
Plans
Outputs
NER
Benefits
Measures
Formulation Criteria
Scales
Sizes
Increments
Combinability
Dependency
LPP
Planning Objectives and Constraints
Federal
Interest

6. Don’t PANIC

7. Don’t PANIC
YET

8. OUR LANGUAGE IS SLOPPY action management practice activity measure
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

9. The Flow – Concepts and Definitions
Federal Interest
Purposes
Existing and Without Project Conditions
Problems and Opportunities
Planning Objectives and Constraints
Plan Formulation

10. Federal Interest Federal Interest Corps Interest
Contributes to the Nation as a whole
Commerce Clause of the Constitution
Corps Interest
Authorized purposes
Budget Priorities
Congressional direction
Cost sharing

11. Project Purposes Ecosystem Restoration Flood Damage Reduction
Navigation
Other Purposes
Recreation
Water Supply
Hydropower
Storm Damage Reduction
Water Quality

12. 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

13. Problem Identification Definitions/Concepts
Federal Objective
Existing Conditions
Without Project Condition
Planning Objectives and Constraints

14. 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)

15. 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."

16. 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
(1) FLOOD CONTROL, (2) NAVIGATION, (3) EROSION, (4) SEDIMENTATION, (5) WATER QUALITY, and (6) OTHER RELATED WATER RESOURCE NEEDS are advisable at this time."

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

18. Existing Conditions Conditions that exist at the time of the study
Differ from the base year which is when a project would become operational

19. 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

20. 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?

21. 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?

22. PROBLEM AND OPPORTUNITY
Conditions found in the world.
Problem: NEGATIVE.
Opportunity: POSITIVE.
Is the glass half full or half empty?

23. 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.

24. 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.

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

26. 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

27. Form of Objective Statement
Statement - sentence
Effect - verb
Problem/Opportunity - subject
Location
Timing and Duration

28. TYPES OF EFFECTS ACTIONS CONDITIONS conserve create enhance improve
maintain
preserve
protect
reduce
restore
CONDITIONS
conservation
creation
enhancement
improvement
maintenance
preservation
protection
reduction
restoration

29. 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.

30. A planning objective... solution absolute target “Federal objective”
IS:
flexible
measurable
attainable
congruent
supported
IS NOT:
solution
absolute target
“Federal objective”
account
study objective

31. 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.

32. 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.

33. TYPES OF CONSTRAINTS Planning Constraints Study Resource Constraints
universal givens
unique to each study
Study Resource Constraints
time
money
talent

34. 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.

35. Endangered species: As an objective… As a constraint...
Ferocies (carnivus maximus)

36. Plan Formulation Definitions/Concepts
Measures, Plans and Programs
Scales and Increments
Combinability, Dependency and Mutually Exclusive
Formulation Criteria
Environmental Sustainability

37. 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

38. 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

39. 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)

40. HUH??

41. 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

42. Plan Formulation – Formulation Criteria
Completeness
Effectiveness
Efficiency
Acceptability

43. 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.

44. 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.

45. 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

46. 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?

47. 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

48. 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