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Plan Formulation: General

Module G-1: What is plan formulation?

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Student Learning Objectives

Student will be able to:

Define plan formulation

Place plan formulation in the six-step planning process

Define steps of plan formulation

Define plan formulation strategies

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Who has Expertise in Plan Formulation?

Little Fair Good Excellent

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What is Plan Formulation?

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Plan Formulation is defined as:

The process by which plans are created

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Let’s Start Thinking About Plan Formulation and Introduce Ourselves

Have you had some plan formulation experience?

Take one minute, introduce yourself and give us an example of a “formulation” problem/success you have experienced

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Principles and Guidelines (P&G)

Economic and Environmental Principles and Guidelines for Water and Related Land Resources Implementation Studies

Approved by President Ronald Reagan in 1983

Better known as the “Principles and Guidelines” or “P&G”

ER 1105-2-100 provides implementation guidance

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6-Step Planning Process

1. Specify Problems & Opportunities

2. Inventory & Forecast Conditions

3. Formulate Alternative Plans

4. Evaluate Effects of Alternative Plans

5. Compare Alternative Plans

6. Selection Recommended Plan

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ProblemsProblems: negative: negative OpportunitiesOpportunities:: positivepositive Without a clear statement of the Without a clear statement of the

problems or the opportunities, there problems or the opportunities, there is no reason for planningis no reason for planning

Step 1Step 1Specify Problems and OpportunitiesSpecify Problems and Opportunities

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Objectives are what you are working Objectives are what you are working towardstowards

ObjectiveObjective = do good = do good ConstraintConstraint = don’t do, can’t do = don’t do, can’t do Objectives and constraints indicate what Objectives and constraints indicate what

is important to peopleis important to people

Step 1Step 1Specify Problems and OpportunitiesSpecify Problems and Opportunities

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Much data can be collectedMuch data can be collected

Not all data provides important informationNot all data provides important information

A good without condition is essential to a A good without condition is essential to a good decisiongood decision

Inventory and forecast must be meaningful Inventory and forecast must be meaningful to the decision that is madeto the decision that is made

Step 2Step 2Inventory and ForecastInventory and Forecast

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Doing nothing is always the default actionDoing nothing is always the default action

Any plan must be better than doing nothingAny plan must be better than doing nothing

Management MeasuresManagement Measures - feature or activity at a - feature or activity at a sitesite

Alternative PlanAlternative Plan - one or more management - one or more management measuresmeasures

Alternative plans must address one or more of Alternative plans must address one or more of the planning objectivesthe planning objectives

Step 3Step 3Formulate Alternative PlansFormulate Alternative Plans

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Looking at a plan on its own meritsLooking at a plan on its own merits Forecast with project conditionsForecast with project conditions Compare with and without conditionsCompare with and without conditions Describe effectsDescribe effects Benefit-Cost or other analysisBenefit-Cost or other analysis

Step 4Step 4EvaluationEvaluation

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Contrasting the merits among plansContrasting the merits among plans Comparing effectsComparing effects Describe differencesDescribe differences Describe trade-offsDescribe trade-offs

Step 5Step 5ComparisonComparison

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Early iterations of the planning steps involve Early iterations of the planning steps involve screeningscreening

Decision makers can disagree on what is most Decision makers can disagree on what is most importantimportant

Different selection criteria will lead to different Different selection criteria will lead to different decisionsdecisions

Planners are advisors and not necessarily Planners are advisors and not necessarily decision makersdecision makers

In the end, you may not get your way...In the end, you may not get your way...

Step 6Step 6SelectionSelection

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The Corps uses the term “Formulation” in different ways:

Broadly: What “formulators” do – Use of authorities, report preparation, consensus building, leading the team through the 6-step process, etc.

Leading the study team through the 6-step planning process

Specifically: Planning Manual definition The process of building alternative plans from

management measures is called plan formulation. Step 3 of the planning process

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Specific Definition of Formulation

Plan Formulation as the third step in the planning process Problems, opportunities, objectives and constraints have

been determined - at least for the time being

Information exists that gives physical and perhaps monetary dimensions to the problems

Some inventory has been completed

Most important, the without condition is defined

Evaluations and comparisons are yet to come

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Specific Definitions of Plan Formulation

Formulation is the creation of plans before we know the with-plan conditions

It is the bridge between the “without” and the “with conditions”

It starts with no plan and ends with several unevaluated plans

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Planning Steps and Plan Formulation

Planning Objectives &Constraints

Alternative Plans

Management Measures

Problems and Opportunities

Inventory and Forecast

Plan Formulation

Evaluation

Comparison

Selection

Reformulation

Combining Measures into Plans

There must be more than just dumb luck,

awkwardness or conniving

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There must be more than just dumb luck, awkwardness or conniving

Combining Measures into Plans

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What is a Formulation Strategy?

Strategy to provide a plan that meets the local sponsor’s and public’s needs?

Strategy to develop an array of alternative plans?

Strategy to develop a specific alternative from management measures

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What is a Formulation Strategy?

A systematic way of combining measures into plans based upon selected criteria

It may include a statement of measures that will not be pursued and why

…more to come

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What is a Formulation Strategy?

We are going to discuss formulation strategies a lot, so lets be sure we maintain our focus: Basic formulation strategy is to

attain the planning objectives & meet the planning constraints

Alternative strategies reflect what is important to the stakeholders

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Formulation Strategies - Inspiration

Institutional Laws, policies, regional plans and other

institutional realities Federal, state and local

Technical Science based

Public Issues important to stakeholders Local objectives and constraints

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Formulation Strategies - How

All possible combinations Start small and add increments Start large and eliminate increments Start with the most cost-effective Inter-dependencies of measures Sponsor supplied alternative Others as appropriate

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Formulation Strategies

A strategy is formed by combining the inspiration and the how.

The strategy becomes the recipe or instructions for formulating a plan.

During future iterations of the planning steps the strategy may become more precise.

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Cost - Sharing Impact on Strategies

The planner’s goal is to develop the best plans irrespective of cost-sharing.

Local sponsors and the Federal Government will try to include consideration of cost-sharing issues in the planning process. These issues will occur so they need to be built into plan formulation strategies.

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Concept of Formulation StrategiesIs the concept of strategies to ensure that:

A wide enough array of alternatives is developed?

The array of alternatives is limited to those that can be effectively evaluated?

The array of alternatives focuses on issues important to the decision makers and stakeholders?

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Formulation of Plans is an Art

It is doubtful that any two formulators will do it the exact same way, or even come up with exactly the same answer

No single approach is sure to “work” every time

Nevertheless, Formulation is based on facts Formulation allows different values to impact on the

final array of plans Formulation focuses on rational process/systematic

approach

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Take Away Points Plan formulation is the art of creating plans to

address objectives and constraints and a skill that you acquire

Plan formulation is an integral part of the six-step planning process and is a hallmark of the Corps

Plan formulation is an iterative process

Formulation strategies highlight the what and how to build plans from measures

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Where We are Going

Next, we’ll cover some fundamentals, policies and definitions

Then we’ll discuss the central question of this course: How do I come up with management measures and alternative plans to be considered?

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When is plan formulation successful?

Challenge Question: