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

When is Plan Formulation Successful?

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?

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

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

Don’t PANIC

Don’t PANIC YET

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

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

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

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

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

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

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)

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."

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."

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."

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

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

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?

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?

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

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.

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.

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

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

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

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

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.

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

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.

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.

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

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.

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

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

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)

HUH??

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

Plan Formulation – Formulation Criteria Completeness Effectiveness Efficiency Acceptability

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.

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.

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