SMART Planning, Risk Register, Decision-Management Plan

SMART Planning, Risk Register,Decision-Management PlanBrad Foster and Andy LoSchiavoU.S. Army Corps of Engineers15 Dec 20141BUILDING STRONG

Former Feasibility Study Process Overly detailed, expensive & time-consuming Detailed data generation for multiplealternatives was not consistently leading to abetter product or decision Reports were too long with too much technicaldetail Sponsors, Congress and the Corps wereincreasingly frustrated with the situation2BUILDING STRONG

MG Walsh Memo (3x3x3) Introduces aggressive approachto improve feasibility studyprogram management,performance, execution &delivery Establishes a disciplinedapproach for reducing currentfeasibility study portfolio Holds all Civil Works functionalelements responsible &accountable Effective 8 Feb 2012 Applies to all planning studies33x3x3 Rule: 3 million 3 years 3 levels of enhancedvertical teaming 100 page mainreports (w/ appendices3” binder) Exemptions are fewand far betweenBUILDING STRONG

The SMART Planning FeasibilityStudy Process Studies completed in a moreIt is reasonable amount of timeS pecific Studies cost significantly lessM easurable Decision documents high qualityA ttainableR isk-Informed and conciseT imely Decisions informed by managingrisk and acknowledginguncertainty SMART Planning replaces“paralysis by analysis”4BUILDING STRONG

SMART Planning: What’s Similar? Uses the 6-step planning process Incorporates quality engineering, economics, real estate andenvironmental analysis Fully compliant with environmental laws(NEPA, etc ) Includes public involvement5BUILDING STRONG

The “6 Steps” of USACE Planning Problems and Opportunities Inventory and Forecast Plan Formulation Objectives and Constraints Measures Alternatives Plan Evaluation Plan Comparison Plan Selection6WhyWhatWhereWhenHowBUILDING STRONG

SMART Planning: What’s Different? Process and outputs are decision focused, andwithin the six step planning process Risk and uncertainty for each decision isacknowledged and managed Only collect data neededMake decision and move onLevel of detail (of data / decision) grows over timeVertical Team agreement on “acceptable” level ofuncertainty and path forward to manage thatuncertainty Report developed from the beginning of thestudy, documenting the decisions New tools (living documents and reports)7BUILDING STRONG

Decisions Alternatives Milestone: VT confirms array of alternativesand the criteria the PDT will use for evaluation andcomparison TSP Milestone: VT confirms the tentatively selected planrecommended by the PDT Agency Decision Milestone: Senior USACE leaderendorse recommended plan for feasibility-level design Final Report Milestone: USACE Deputy Commanderbriefed at Civil Works Review Board onrecommendation and releases Final Report for State andAgency Review Chief’s Report Milestone: Chief signs the report8BUILDING STRONG

Define Risk for 3x3x3 PlanningAsk how do our choices affect: Study Schedule Study Cost Decision Quality Project CostProject BenefitsResidual Risks, including Safety LevelsEnvironmental and Social ImpactsCompliance with Policies9BUILDING STRONG

USACE SMART Planning ProcessTARGET - 36 MONTHSProblems & OpportunitiesInventory & ForecastFormulate Alternatives Formulate AlternativesEvaluate AlternativesScopingCompare and Select AlternativesAlternative Formulationand AnalysisIPR 1 IPR 21IPR 3IPR 5IPR 4PMilestone 1AlternativesMilestone 2TentativelySelected PlanThe 6 Planning StepsCoordinatedReviewFeasibilityLevel AnalysisIPR 623Chief’s ReportIPR 7Milestone 34AgencyState1501Milestone 4 State1501DecisionApproval 5Civil Works SubmittalMilestone 5Review BoardChief’s ReportIPR: In-Progress Review (as needed) with Corps Leadership10BUILDING STRONG

Tools for SMART Planning In Progress Reviews and other Team Meetings Risk Register – documents study and projectuncertainty / risk so it can be managed Decision Management Plan – maps path to thenext major study decision Decision Log “Write as you go.” Report is developed from thebeginning of the study, documenting thedecisions All are living documents updated for eachmilestone11BUILDING STRONG

USACE SMART PLANNINGMILESTONE #1: ALTERNATIVESVertical Team ComplianceYou are here12BUILDING STRONG

MILESTONE #1: ALTERNATIVES 3x3x3 Compliance Memo(includes 5 documents) Updated Project Management Plan Budget and Schedule tables Risk Register (RR) Report Synopsis Existing Conditions andFuture Without Assumptions Array of Alternatives Criteria to evaluate/comparealternatives13BUILDING STRONG

RISK REGISTER Focus key activities and decisions to get toMilestone-1. What uncertainty and risk do we have in makingthose decisions? Draft Risk Register (RR) developed to address: “ What do we need to do to get to Milestone-1?” and“ What uncertainties and risks will we face with specific tasksgetting toMilestone-1, and how will we reduce or handle themwithout delay? Also looked beyond Milestone-1: Where needed, identify longer term needs/ uncertainties/risks.The RR, Decision Management Plan will be updated for eachmilestone! K.I.S.!14BUILDING STRONG

DECISION MANAGEMENT PLAN What: Strategic Document that describeswork to be done by PDT to reach eachsignificant planning decision (Milestones) Information needed to make decision Who will develop that information How and when will it be developed When decision will be made Linked to Risk Register – Each activity relatedto a decision what is the level of detail forplanning, what uncertainty-risk remains15BUILDING STRONG

Risk Register Linked ToDecision Management Plan Draft developed – complicatedspreadsheet PDT feedback – level of detail for getting to keydecisions associated risk uncertainty16BUILDING STRONG

Planning Decision ExampleScreening of Alternatives:Step 1: Identify Management MeasuresHow: Review prior plan formulation documents,Step 2: Screen Management MeasuresHow: Use screening tools already developed from 2005-2010Step 3: Develop AlternativesHow: Use prior alternative formulation process and stakeholder feedbackStep 4: Screen AlternativesHow: Use prior tools from Lox planning and State water qualityenvironmental information (qualitative)17BUILDING STRONG

Next Steps Over the Next MonthSend draft background documents toPDT – Risk Register, Project ManagementPlan, Schedule, Budget, ReportSynopsis Jan. 12th – NEPA Scoping Meeting Jan. 29th – PDT Plan FormulationMeeting18BUILDING STRONG

PDT DISCUSSION19BUILDING STRONG

National Environmental Policy Actand SMART PlanningPresenter: Andy LoSchiavo, USACE20BUILDING STRONG

National Environmental Policy Act(NEPA) Goals Requires Federal agencies to consider environmental consequencesof Federal actions before making final decisions Solicit and consider public viewson proposals Consult with Tribal, state, and local governments concerning plans Provide agencies with a mechanism to coordinate overlapping,jurisdictional responsibilities21BUILDING STRONG

NEPAREQUIREMENTS Under NEPA, Federal agencies mustprepare detailed statements addressingthe potential environmentalimpacts related to a major Federalaction: Categorical Exclusion(CAT-EX) EnvironmentalAssessment (EA) Environmental Impact Statement (EIS)22BUILDING STRONG

National Environmental Policy ActProcess and SMART Planning Schedule23BUILDING STRONG

NEPA and Planning ProcessSix-Step PlanningStep 1 - Problems andOpportunities; Goals andObjectivesStep 2 – Forecast Existingand Future ConditionsStep 3 – DevelopAlternativesStep 4 – Evaluate PlansStep 5 – Compare PlansStep 6 – Select PlanNEPA Assessment Purpose and Need Affected Environment,No Action Alternative Range of Alternatives Environmental Effects Conclusions – Consultationand Coordination24BUILDING STRONG

Future NEPA PublicInvolvement Opportunities Scoping Meeting: Jan. 12th, 2015 Purpose to gather information on problems, opportunities, issues toevaluate, criteria to consider Scoping letters and website information to be mailed early January Public Meeting – Draft EIS: July, 2016 Purpose to gather public input on Draft EIS and Project ImplementationReport25BUILDING STRONG

PDT DISCUSSION26BUILDING STRONG

Loxahatchee River WatershedRestoration ProjectProblems and OpportunitiesGoals and Objectives27BUILDING STRONG

NATIONAL WILD AND SCENIC LOXAHATCHEE RIVERPROBLEMS Altered timing and distribution of headwater base flows to theNorthwest Fork of the Loxahatchee River Increased salinity effects on formerly freshwater reaches of theLoxahatchee River Increased wet season flows to Southwest Fork and LoxahatcheeEstuary Loss of freshwater cypress floodplain adjacent to Loxahatchee River Degraded natural area structure and function from altered hydrology Conversion of natural areas to agricultural, residential and industrialuses Loss of connectivity and barriers to flow between natural areas, river,and estuary Reduced native floral and faunal populations and diversity Degraded water quality in natural areas2828BUILDING STRONG

PROJECT GOALS AND OBJECTIVESConsistent with CERP Goals and Objectives (Table 5-1)1. Enhance Ecological ValuesA. Increase the total spatial extent of natural areasB. Improve habitat and functional qualityC. Improve native plant and animal speciesabundance and diversity2. Enhance Economic Values and Social Well BeingA. Increase availability of fresh water(agricultural/municipal and industrial)B. Reduce flood damages (agricultural/urban)C. Provide recreational opportunitiesD. Protect cultural and archeologicalresources and values2929BUILDING STRONG

LOXAHATCHEE-SPECIFIC PROJECTGOALS AND OBJECTIVES Restore hydrologic and spatial connectivity to be able to importwater from upstream basins (e.g., Pal-Mar/Cypress Creek Basin) toLoxahatchee River and river tributaries during drought conditions Increase dynamic storage to meet base environmental flows toenhance resiliency of Wild and Scenic North Fork of LoxahatcheeRiver and River Floodplain to salinity impacts Restore connections between Corbett Wildlife Management Area,Pal-Mar/Cypress Creek basin, Loxahatchee Slough, Grass WatersPreserve and Loxahatchee River to improve hydrology, sheetflow,hydroperiods, natural storage, and vegetation communities Capture and store excess runoff to reduce wet season high flows toLoxahatchee River Estuary through South Fork at the coastal controlstructure S-463030BUILDING STRONG

LOXAHATCHEE-SPECIFIC PROJECTGOALS AND OBJECTIVES Restore agricultural lands to wetlands to increasenatural area extent, while providing for natural storageof water Restore wetland hydrology to improve native plant andanimal species abundance and diversity inLoxahatchee River watershed natural areas, river, andestuary Reduce water quality degradation risk associated withincreasing basin flow deliveries to Loxahatchee River Increase recreational opportunities at restored naturalareas3131BUILDING STRONG

PDT DISCUSSION32BUILDING STRONG

7 BUILDING STRONG SMART Planning: What’s Different? Process and outputs are decision focused, and within the six step planning process Risk and uncertainty for each decision is acknowledged and managed Only collect data needed Make decision and move on Level of detail (of data / decision) grows o