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Planning Principles & Procedures – FY11

Step 3: Formulation of Alternative Plans. Planning Principles & Procedures – FY11. References:. ER 1105-2-100, Planning Guidance Notebook, Chapter 2 Planning Manual - Chapter 8 WRC’s Principles & Guidelines. Objectives:. 1. To be able to define plan formulation.

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Planning Principles & Procedures – FY11

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  1. Step 3: Formulation of Alternative Plans Planning Principles & Procedures – FY11

  2. References: • ER 1105-2-100, Planning Guidance Notebook, Chapter 2 • Planning Manual - Chapter 8 • WRC’s Principles & Guidelines

  3. Objectives: 1. To be able to define plan formulation. 2. To be able to identify the four criteria for formulating alternative plans.

  4. PRINCIPLES & GUIDELINESSection VI - Alternative Plans 1.6.1. General. a. Definition of alternative plans b. Plans should be significantly different c. Don’t limit plans to agency’s authorities d. Comply with law or propose changes e. Consider measures for water conservation f. Consider nonstructural measures g. Protect environment through mitigation h. Consider plans of others i. Consider other implementation schedules

  5. Alternative Plan - Definition (P&G, Section VI, paragraph 1.6.1.a) “An alternative plan consists of a system of structural and/or nonstructural measures, strategies, or programs formulated to alleviate problems or take advantage of specific opportunities associated with water and related land resources in the planning area.”

  6. PRINCIPLES & GUIDELINESSection VI - Alternative Plans 1.6.1. General. a. Definition of alternative plans b. Plans should be significantly different c. Don’t limit plans to agency’s authorities d. Comply with law or propose changes e. Consider measures for water conservation f. Consider nonstructural measures g. Protect environment through mitigation h. Consider plans of others i. Consider other implementation schedules

  7. P & G Section VI - Alternative Plans (Continued) 1.6.2. Formulation. a. Systematically formulate NED/NER/Combined plan and plans that address other objectives. b. NED plan includes only increments with positive net NED benefits after mitigation.

  8. P & G Section VI - Alternative Plans (Continued) 1.6.2. Formulation c. Consider four criteria: • Completeness: include all actions needed to realize benefits / achieve effects • Effectiveness: degree to which objectives are achieved; needs are met • Efficiency: most cost effective • Acceptability: • Acceptance by state, locals, and public • Compatibility with laws, regulations, and policy

  9. P & G Section VI - Alternative Plans (Continued) 1.6.4. Other Alternative Plans (continued). b. Number and variety of plans should reflect: • Problems & opportunities • Resource capability • Available measures / solutions • Preferences & conflicts c. Include removal of institutional barriers to implementation

  10. Plan Formulation - Definition (Planning Manual, Chapter 8) “The process of building plans that meet the planning objectives and avoid the planning constraints.” Objectives and constraints - USE THEM!

  11. Solutions Plans are solutions to problems. These terms are used to describe the scope of the solution: • Management measure - feature or activity at a site; building blocks of plans. • Alternative plan - one or more management measures. • Program - one or more alternative plans; large geographic area.

  12. FEATURE or ACTIVITY at a SITE “structural”; modifies affected resource(s) requires construction “nonstructural”; controls or manages use of resource(s) one-time, periodic, continuing land or water at, above or below the surface sufficient legal interest for use Management Measures

  13. Example Programs Regional / Watershed • Upper Mississippi River Environmental Management Program • Everglades National • Continuing Authorities Program • Coastal America Program Continental N. American Waterfowl Management Program Global • Global Warming • Sea Level Rise

  14. Criteria for a Solution • Purpose: addresses one or more objectives • Subject: defined by its management measures • Site: location / footprint; area affected • Cost friendly: able to estimate costs • Output friendly: able to estimate what and how much you get from it • Name: geographic; measure(s); alpha-numeric; other.

  15. Scales – “Sizing” • Physical properties: depth, length, height, width, area, quality, density, intensity • Composition: materials, methods • Location: footprint vs. effects, real estate • Timing and duration: permanent vs. temporary, demonstration, one-time vs. recurring, order of implementation, phased implementation, environmental windows. Scale affects costs, benefits, impacts, and Federal interest.

  16. Solution Interrelationships Combinability • Mutually exclusive location • Mutually exclusive function • Spatial overlapping Dependency • Required to function (e.g., mutual dependency) • Reduce risk or uncertainty of performance • Improve performance (e.g., path dependency) Synergy • The whole is greater than the sum of its parts

  17. Formulation Phases • Identify management measures: define the measures that address the planning objectives. • Formulate alternative plans or programs: mix and match measures; consider combinability and dependency; look for opportunities to achieve synergy. • Iterate: do it over again.

  18. Iteration • a.k.a., Reformulation: add, delete, modify, re-scale measures. • Why? To improve performance against the four criteria for formulating plans. • Completeness: to realize benefits / achieve effects. • Effectiveness: to solve the problem to a greater degree. • Efficiency: reduce costs, increase benefits. • Acceptability: lessen objections, achieve preferences.

  19. Structural Measures Levee Floodwall Channel Improvements Dams/Reservoirs Upstream Impoundments Non-Structural Measures Flood Warning System Floodplain Management Plan Buyouts Relocations Ringwalls Floodproofing Evacuation Plans Examples of Measures for Flood Risk Management

  20. Management Measures

  21. Formulate Alternatives • Combining measures – examples • Floodwall with floodproofing • Levee with relocations/buyouts • Flood warning system/floodproofing • Channel Improvements and levee • Synergies – look for opportunities to serve other needs

  22. Formulation of the NER Plan • Start with a small plan that makes sense. • The NER plan includes only increments that are cost effective.

  23. breakwaters jetties groins channel modifications dams detention basins levees water pumps water control structures re-vegetation dredging eradication of exotic or invasive species Examples of Ecosystem Restoration Features

  24. Examples of Ecosystem Restoration Activities • Modify water releases • Seeding, cutting and burning vegetation • Applying pesticides • Dredging windows • Vessel transit restrictions • Zoning restrictions • Grazing agreements

  25. Combining Features/ Management Measures

  26. Structural Measures for Navigation • Channel deepening and widening • Anchorages • Breakwaters • Berthing areas • Mooring areas • Disposal areas • Methods e.g. phased construction

  27. Nonstructural Measures • Operational practices • Traffic Controls • Changes in operating procedures (tides, lightering,etc) • Modification of local service facilities • Storage • Berthing • Structural measures by non-Federal interests are often referred to as nonstructural measures.

  28. Formulate Alternatives • Combining measures – examples • Channel deepening with anchorages • Channel deepening with phased widening • Traffic management with anchorages • Channel deepening with beneficial uses of dredged material • Synergies – look for opportunities to serve other needs

  29. Formulation of the Combined Plan • Start with a small plan that makes sense. • The Combined plan includes only increments that are cost effective for both outputs. • Unable to develop a reasonable example – still on the hunt for a real “combined plan” • Is it worth the analytical rigor?

  30. Select Recommended Plan Compare Alternative Plans 5 Evaluate Effects of Alternative Plans 6 Formulate Alternative Plans Inventory & Forecast Resource Conditions 4 Specify Problems & Opportunities 3 1 2 P&G’s Six Step Planning Process

  31. Plan Formulation Demonstration

  32. WHERE DO ALTERNATIVE PLANS COME FROM?

  33. One Planner’s Idea of Where Plans Come From: “Just about anywhere. Local sponsor suggestions, public inputs, study team members, your left frontal lobe, etc.! They may not be feasible or have a Federal interest, but an alternative plan is an alternative plan.”

  34. Where to Get Ideas for Plans • Ask an expert: in-house, USACE labs, other agencies, academia. • Consider plans of others: sponsor, public, other agencies. • Checklists, models: USACE publications, HEP models, IWR Plan, §404(b)(1) analysis • “The Data”: hydrograph, PDT • Formal problem-solving methods DO WHATEVER WORKS!

  35. “Think left and think right and think low and think high. Oh, the thinks you can think up if only you try.”Oh the Thinks You Can Think, by Theodor S. Giesel (aka Dr. Seuss)

  36. Summary Plan formulation is the process of building plans that meet the planning objectives and avoid the planning constraints. The four criteria for formulating alternative plans are:  Completeness  Effectiveness  Efficiency  Acceptability

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