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 formulationExplain the importance of the without project condition – the “no action alternative” under NEPADevelop planning objectives and constraintsApply the four formulation criteria
5 Some Formulation Concepts NED/NERNEDBaseline InventoryCostsPlansOutputsNERBenefitsMeasuresFormulation CriteriaScalesSizesIncrementsCombinabilityDependencyLPPPlanning Objectives and ConstraintsFederalInterest
8 OUR LANGUAGE IS SLOPPY action management practice activity measure alternativealternative planapproachcomponentconceptelementfeatureimprovementincrementinputmanagement actionmanagement measuremanagement practicemeasureoptionplanpracticeprogramprojectproposalscenarioschemesolutionstrategysystemtechnology
9 The Flow – Concepts and Definitions Federal InterestPurposesExisting and Without Project ConditionsProblems and OpportunitiesPlanning Objectives and ConstraintsPlan Formulation
10 Federal Interest Federal Interest Corps Interest Contributes to the Nation as a wholeCommerce Clause of the ConstitutionCorps InterestAuthorized purposesBudget PrioritiesCongressional directionCost sharing
12 Multi-objective Planning All planning is multi-objectiveSingle purpose is not the same as single objectiveMulti-objective planning will result in a more comprehensive solution
13 Problem Identification Definitions/Concepts Federal ObjectiveExisting ConditionsWithout Project ConditionPlanning Objectives and Constraints
14 Federal ObjectiveThe 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 objectivesProjected to the base year and then extended through the period of analysisEstablished at the Feasibility Scoping MeetingSame 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.
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 - sentenceEffect - verbProblem/Opportunity - subjectLocationTiming and Duration
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.
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 givensunique to each studyStudy Resource Constraintstimemoneytalent
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 ProgramsScales and IncrementsCombinability, Dependency and Mutually ExclusiveFormulation CriteriaEnvironmental Sustainability
37 DefinitionsMeasures are single features or activities which address the planning objectivesPlans are combinations of one or more measuresPrograms are combinations of plans
38 DefinitionsScales are different sizes, compositions, physical properties, locations and timing and duration of the same measureIncrements 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)
41 DefinitionsCombinability – Measures that are not mutually exclusive are combinableDependency – A measure may be necessary for the function of another measureMutually exclusive –Location – can’t occupy the same physical spaceFunction – measures that would work against each otherOverlapping – smaller scale or subset of another measure
42 Plan Formulation – Formulation Criteria CompletenessEffectivenessEfficiencyAcceptability
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 PointsOften 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 formulationThis is the central part of the training for todayHow do we identify measures, combine them into plans and then reformulate them?
47 What is the Role of the Plan Formulator? Are You… Problem solverCreator of alternative plansA 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 localityLeader of study team through the 6 step processOtherAll of the above