PLANNING PROCESS & PUBLIC INVOLVEMENT

1. PLANNING PROCESS & PUBLIC INVOLVEMENT “Power is based on opinion. What is a government not supported by public opinion? Nothing.” -- Napoleon

2. Outline of Presentation • Stakeholder Identification • Overview of the Corps 6-Step Planning Process • Collaborative Planning • Public Involvement during the 6 Planning Steps • Instructions for group exercise

3. WHO IS “THE PUBLIC?” • “The public” changes from issue to issue • “The public” consists of those who see themselves as having a “stake” in the decision

4. WHAT IS A “STAKEHOLDER?” • Stakeholders are: • People or groups who see themselves as having rights and interests at stake – those affected • Indirectly and directly affected groups • Those who can affect • Clients are stakeholders, but not all stakeholders are clients

5. WHO ARE THE STAKEHOLDERS? Questions to Ask: • Who might be affected? • Who is responsible for what is intended? • Who are representatives of the likely affected? • Who will be actively against? • Who can contribute resources? • Who are the voiceless? • Whose behavior will have to change?

6. STAKEHOLDERS, BY TYPE OF IMPACT Use Values/ political philosophy Economics Proximity Mandate

7. STAKEHOLDERS, BY SECTOR Interest groups (NGOs) Public Private Individuals

8. STAKEHOLDERS. BY LOCATION National Local Regional Neighbor countries International

9. SELF IDENTIFICATION Describe the project in a news story, a newsletter, a brochure, or announce a public meeting and see who says they are interested

10. THIRD-PARTY IDENTIFICATION • Draw up a list of people you know will want to be involved, and ask them who else needs to be involved • Ask local elected officials • Ask other agencies

11. STAFF IDENTIFICATION • Intuitive/experiential • Lists of groups or individuals • Geographic analysis • Historical analysis • Lists of participants in similar issues • Newspaper clippings regarding local issues • Correspondence files • Public comment sections of EAs, EISs

12. WHAT ROLE DO STAKEHOLDERS PLAY?

13. ORBITS OF PARTICIPATION • Co-Decision Makers • Active Participants • Technical Reviewers • Commenters • Observers • “Unsurprised Apathetics”

14. DIFFERENT ORBITS MAY BE INVOLVED IN DIFFERENT WAYS

15. Overview of the Corps 6-Step Planning Process

16. GAO’s Depiction of the Corps’ Planning Process The Planning Process occurs during both the Reconnaissance and Feasibility Phases Others may view our process differently than we do

17. Scoping, Screening & Focusing Identifying Scaling, trading off Selecting, Qualifying Analyzing Trading off, selecting Plus Step #7 – Adaptive Management!

18. EMPHASIS DEVELOPS OVER TIME Time Problem ID Problem ID Problem ID Problem ID Problem ID Problem ID Inventory & Forecast Inventory& Forecast Inventory & Forecast Inventory & Forecast Inventory & Forecast Inventory & Forecast Formulate Alternatives Formulate Alternatives Formulate Alternatives Formulate Alternatives Formulate Alternatives Formulate Alternatives Evaluate Plans Evaluate Plans Evaluate Plans Evaluate Plans Evaluate Plans Evaluate Plans Compare Plans Compare Plans Compare Plans Compare Plans Compare Plans Compare Plans Select Plan Select Plan Select Plan Select Plan Select Plan SelectPlan

19. POP QUIZ Which of the following is a step in the Corps six-step planning process? • Analyze Sponsor’s Plan for Policy Compliance • Brainstorming • Organize tasks into the Project Management Plan (PMP) • Select a Recommended Plan

20. POP QUIZ Which of the following is a step in the Corps six-step planning process? d. Select a Recommended Plan

21. Ingredients for Creating Change • Problem awareness and need for the study • Legitimate planning process • Exchange of information • Tradeoff analysis • Acceptance of the final decision  All of these elements require public involvement and collaboration in order to be done right!

22. EC1105-2-409: COLLABORATIVE PLANNING Provisions: • Address All Four Accounts • NED -- NER • RED -- OSE • Collaboratively planned projects (those that embrace the ***full range*** of federal interest - *** more than Corps Authority*** )have a higher budget priority • Collaborative planning is encouraged for traditional project planning and essential for watershed planning • Collaborative planning studies may result in a plan with components to be implemented by the Corps, other feds state and local agencies • Aim for a broader perspective when planning Corps projects

23. COLLABORATIVE PLANNING • “Any alternative plan may be selected and recommended for implementation if it has, on balance, net beneficial effects after considering all plan effects, beneficial and adverse, in the four P&G accounts (NED, EQ, RED, OSE) – current policies on cost sharing will apply • Activities: • Seek input from the “public” • Identify other agencies’ interests • Identify opportunities to combine resources • Final decision authority rests with the Corps

24. Revisions to Principles & Guidelines • P&G is the backbone policy that governs the Corps Planning Process • WRDA 2007 calls for 1st revision since 1983 • Among other changes, Collaboration is cited as one of the principles. • Planning methods and guidance is not static, but evolutional in response to changing societal values. • Its exciting to be a planner in the Corps – You are on the cutting edge of societal changes!

25. POP QUIZ EC 1105-2-409, Planning in a Collaborative Environment states that: a. Collaborative projects have a higher budget priority b. Equal weight must be given to all four P&G accounts c. Adverse environmental impacts must be mitigated d. Evaluation criteria should be developed collaboratively

26. POP QUIZ EC 1105-2-409, Planning in a Collaborative Environment states that: • Collaborative projects have a higher budget priority

27. Public Involvement Information Needs During the Six Planning Steps

28. Public Involvement During the Planning Process • At each stage of the planning process the interaction with the public will include: • Providing information TO the public • So it can participate wisely • Obtaining information FROM the public • So the project team can plan wisely

29. Linking Planning Steps to Information Provided to and Received from Public

30. Public Needs Clear Understanding of the scope of the decision Full range of objective information about the issue to be addressed Clear understanding of the criteria by which the alternatives will be evaluated Balance alternatives that include stakeholder values, issues and concerns. Clear comparison of alternatives. Fair process of evaluation based upon stated criteria Clear understanding of who makes the decision and how stakeholder issues were considered

31. Linking Planning Steps to Information Provided to and Received from Public • Identify at each planning step: • Issues To Be Addressed • Stakeholders • Appropriate Techniques • Information (Speaking) • Interactive (Listening, Feedback)

32. Linking Planning Steps to Information Provided to and Received from Public By the time you select public involvement techniques you should know: • Who the stakeholders are at whom the program is targeted • What has to be accomplished with them at each step in the planning process • What you’ll be doing with the information you learn from them

33. Specific Activities during the Six Planning Steps

34. 1. PROBLEMS AND OPPORTUNITIES General: • Problem definition should be broad enough to include all potential solutions • Consider current and future conditions • Problems and opportunities are reevaluated and modified in later steps Project Life Construction Period Study Period Period of Analysis

35. 1. PROBLEMS AND OPPORTUNITIES Planning Actions: • Identify planning objectives • Use wide stakeholder participation • Define clearly • Identify constraints • Scope the level of detail for technical studies

36. 1. PROBLEMS AND OPPORTUNITIES Considerations: • People have different definitions of the problems and opportunities • How you define the problem/opportunity will impact plan formulation • Stakeholder involvement helps ensure comprehensive identification of problems and opportunities, and thus comprehensive alternatives

37. 1. PROBLEMS AND OPPORTUNITIES

38. 2. INVENTORY AND FORECAST • Planning Actions: • Further define the problems • Produce qualitative and quantitative description of the resources • Basis for identifying the impacts of alternatives (Step 4)

39. IMPORTANCE OF PUBLIC ENGAGEMENT PUBLIC“Is it So?”TECHNICAL “Does Anyone Care?” EXPERTS

40. 2. INVENTORY AND FORECAST Considerations: • People’s philosophies and beliefs dictate their image of future conditions • Beliefs about future conditions can control the alternatives you consider – and your evaluation of the alternatives

41. 2. INVENTORY AND FORECAST CONDITIONS

42. 3. FORMULATE PLANS • Planning Actions: • Identify specific ways to achieve the objectives (management measures) • Combine management measures into alternative plans

43. 3. FORMULATE PLANS Considerations: • Keep formulation separate from evaluation • Avoid relying only on “variations on a central theme” • Use alternative values or philosophies (e.g. NED, EQ, OSE), to drive alternatives formulation • If people don’t see any alternatives that fit with their values or philosophy, they won’t consider the process legitimate

44. 3. FORMULATE PLANS

45. Planning Actions: Compare each plan against the future without-project condition Identify evaluation criteria using objectives Characterize beneficial and adverse effects of each plan e.g. benefit-to-cost ratio and incremental cost analysis 4. EVALUATE EFFECTS

46. Planning Actions: Compare beneficial and adverse effects across plans Document the tradeoffs between plans 5. COMPARE PLANS

47. Steps 4-5: Evaluate and Compare Plans Considerations • Get agreement on important attributes before you begin evaluating plans (ie. If didn’t identify cost as important then you wont be able to compare plans on this issue) • What you learn during evaluation often kicks off another round of plan formulation • Stakeholders and study team members often approach the situation with a predisposition towards a particular alternative

48. Steps 4-5: Evaluate and Compare Plans

49. Planning Actions: Define selection criteria Select a plan from eligible candidates Document selection rationale Develop implementation plan for selected alternative 6. SELECT A PLAN

50. 6. SELECT A PLAN Consideration: Does the plan enjoy sufficient support such that you will be able to implement it?