PLANNING PROCESS & PUBLIC INVOLVEMENT “Power is based on opinion. What is a government not...

US Army Corps of Engineers

PLANNING PROCESS & PUBLIC INVOLVEMENT

“Power is based on opinion. What is a government not supported by public opinion?

Nothing.”-- Napoleon


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


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


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


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?


STAKEHOLDERS, BY TYPE OF IMPACT

Economics Use Mandate Values/political

philosophy

Proximity


STAKEHOLDERS, BY SECTOR

Public Interest groups(NGOs)

IndividualsPrivate


STAKEHOLDERS. BY LOCATION

Local National Neighbor countries

International

Regional


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


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


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


WHAT ROLE DO STAKEHOLDERS PLAY?

Commenters

Co-decision Makers

Observers

Technical ReviewersActive Participants

Unsurprised Apathetics

Key Issue: The closer to the center you are, the more influence you have on the decision, but the more time, energy and commitment of

resources is required


ORBITS OF PARTICIPATION

• Co-Decision Makers• Active Participants• Technical Reviewers• Commenters• Observers• “Unsurprised

Apathetics”


DIFFERENT ORBITS MAY BE INVOLVED IN DIFFERENT WAYS

ORBIT OF PARTICIPATION POSSIBLE MECHANISMS

Co-decision makers Interagency teams, partnering, negotiation

Active participants Interactive workshops; advisory groups or task forces

Technical reviewers Peer review processes. technical advisory committees

Commenters Public meetings, comment periods

Observers Newsletters, information bulletins, web pages

Unsurprised apathetics Press releases; news stories


Overview of the Corps 6-Step Planning Process


The Planning Process occurs during both the Reconnaissance and Feasibility Phases

GAO’s Depiction of the Corps’ Planning Process

Others may view our process differently than we do


Plus Step #7 – Adaptive Management!

Scoping, Screening &Focusing

Identifying

Scaling, trading off

Selecting, Qualifying

Analyzing

Trading off, selecting


EMPHASIS DEVELOPS OVER TIME

Inventory &Forecast

FormulateAlternatives

EvaluatePlans

ComparePlans

Select Plan


ProblemID



FormulateAlternativesFormulate

Alternatives

EvaluatePlans

EvaluatePlans

ProblemID

EvaluatePlans

EvaluatePlans

EvaluatePlans

ComparePlans

ComparePlans

ComparePlans

ProblemID

ComparePlans

ComparePlans

Select Plan Select Plan Select Plan Select Plan

ProblemID

Select Plan

ProblemID

Inventory &Forecast

Inventory &Forecast

Inventory &Forecast

Inventory &Forecast

Inventory &Forecast

ProblemID

Time


POP QUIZ

Which of the following is a step in the Corps six-step planning process?

a. Analyze Sponsor’s Plan for Policy Compliance

b. Brainstorming

c. Organize tasks into the Project Management Plan (PMP)

d. Select a Recommended Plan


POP QUIZ

Which of the following is a step in the Corps six-step planning process?

d. Select a Recommended Plan


Ingredients for Creating Change

1. Problem awareness and need for the study

2. Legitimate planning process

3. Exchange of information

4. Tradeoff analysis

5. Acceptance of the final decision

All of these elements require public involvement and collaboration in order to be done right!


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


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


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!


POP QUIZEC 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


POP QUIZEC 1105-2-409, Planning in a Collaborative

Environment states that:

a. Collaborative projects have a higher budget priority


Public Involvement Information Needs During the Six Planning Steps


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


Linking Planning Steps to Information Provided to and Received from Public

Planning Step Information TO Information FROM

1. ID problems & opportunities2. Inventory & forecast3. Formulate alternative plans4. Evaluate alternatives5. Compare alternatives6. Select plan


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 evaluatedBalance 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

Public Needs


• Identify at each planning step:– Issues To Be Addressed

– Stakeholders

– Appropriate Techniques• Information (Speaking)• Interactive (Listening, Feedback)



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



Specific Activities during the Six Planning Steps


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

Construction Period

Study Period

Period of Analysis

Project Life


Planning Actions:• Identify planning objectives

– Use wide stakeholder participation

– Define clearly

• Identify constraints

• Scope the level of detail for technical studies



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



Potential Public Involvement Activities

Team Gives to Public Team Receives from Public

Site visits and meetings with

Corps Team, customer, and

stakeholder

Coordinate with PAO for news

release

Shared Vision Exercise

Public Scoping Meeting

Develop website

Visit with office historians and

technical experts

– How we can assist, e.g.

programs, authorities

– How they can participate

– Planning steps and

schedule

– What are the problems

and causes?

– Who is affected and how?

– What do they want/need?

– How do they want to be

involved/contacted

– What are the

opportunities for

improvement?

– How important is the

issue?



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)


IMPORTANCE OF PUBLIC ENGAGEMENT

PUBLIC “Is it So?” TECHNICAL “Does Anyone Care?” EXPERTS


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

2. INVENTORY AND FORECAST


2. INVENTORY AND FORECAST CONDITIONS



Develop Newsletter

Hold Open House

Solicit input from resource management agencies, & others thru website

– Inventory of affected area

– Baseline conditions– Factors affecting the

future– How they can

participate

– Whether we described baseline conditions accurately

– Factors that affect future conditions

– Assumptions to be used in making projections

– Who would be affected, and how, by these changes


3. FORMULATE PLANS

Planning Actions:• Identify specific ways to

achieve the objectives (management measures)

• Combine management measures into alternative 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

3. FORMULATE PLANS


3. FORMULATE PLANS



Conduct public

workshop on

preliminary alternatives

Update website

– Future conditions

without the project

– Plan formulation

strategy

– Technical

possibilities

– How they can

participate

– Criteria for project

success

– Values that should

drive formulation

– Suggested

alternatives


4. EVALUATE EFFECTSPlanning 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


5. COMPARE PLANS

Planning Actions:• Compare beneficial and

adverse effects across plans

• Document the tradeoffs between 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

Steps 4-5: Evaluate and Compare Plans




Share results with team

and other districts

Develop Newsletter

Assure NEPA

coordination

Conduct stakeholders

meeting

– List of alternatives

– Initial assessment of

feasibility

– How they can

participate

•Collaborative

Technical Analysis

– Input on evaluation

and selection criteria

–Acceptability of the

various alternatives

–Anticipated effects of

the alternatives

Steps 4-5: Evaluate and Compare Plans


6. SELECT A PLAN

Planning Actions:• Define selection criteria

• Select a plan from eligible candidates

• Document selection rationale

• Develop implementation plan for selected alternative


Consideration:

Does the plan enjoy sufficient support such that you will be able to implement it?

6. SELECT A PLAN


6. SELECT A PLAN


Team Gives to Public

Team Receives from Public

Meet with customers to

discuss outcomes

Announce to public

planning outcome

Final newsletter

Signing ceremony for FCSA

or PCA

News release (PAO)

– Which

alternative was

selected

– How the plan

was modified in

response to

public comment

– What happens

next

• Willingness to

accept/support

the plan

• Recommend-

actions for

implementation


POP QUIZWhy would a COE PDT need a public

involvement plan?

a. To know if people were satisfied with a public participation program that has been completed.

b. To learn what improvements should be made in future programs.

c. To have solid information upon which to make comparative judgments.

d. To develop an implementable plan to solve water resource problems.


POP QUIZWhy would a COE PDT need a public

involvement plan?

d. To develop an implementable plan to solve water resource problems.


Instructions for the Group Exercise


GROUP EXERCISE

• Identify Stakeholders (Choose 3 from different orbits)

• Organize Stakeholders and issues into the Six-Step Planning Process

• Identify Information Needs (TO and FROM Stakeholders) at Each Step

• Recall that the Ultimate Goal Is To Implement A Project To Solve a Problem


PICK 3 STAKEHOLDER GROUPS FROM 3 DIFFERENT ORBITS

Commenters

Co-decision Makers

Observers

Technical ReviewersActive Participants

Unsurprised Apathetics

Key Issue: The closer to the center you are, the more influence you have on the decision, but the more time, energy and commitment of

resources is required



Planning Step Information TO Information FROM

1. ID problems & opportunities2. Inventory & forecast3. Formulate alternative plans4. Evaluate alternatives5. Compare alternatives6. Select plan


At Each Planning Step Public Interaction Will Involve:

• Providing Information TO Them (Enabling Stakeholders to Effectively Participate)

• Obtaining Information FROM the Public (So Outcome Will Be Accepted)

DEVELOPING A PUBLIC INVOLVEMENT PLAN

Date post:	06-Jan-2018
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PLANNING PROCESS & PUBLIC INVOLVEMENT “Power is based on opinion. What is a government not...

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