GCDAMP TRIENNIAL BUDGET PROCESS
 

Draft March 8, 2016 

On May 6, 2010 the Adaptive Management Work Group (AMWG) approved a biennial budget and 

workplan process. This processed proved to be very successful and supported by the Glen Canyon Dam 

Adaptive Management Program (GCDAMP) and was extended to a triennial process for the FY 2015-

2017 budget and workplan per guidance from Anne Castle (May 7, 2014). The guidance also instructed 

the GCDAMP to revise the biennial budget and workplan process to a triennial process described here. 

1.0 Description of the Triennial Budget Process 

The goal is to reduce the effort expended on the budget process while improving the effectiveness of the 

Grand Canyon Monitoring and Research Center (GCMRC), Technical Work Group (TWG), and AMWG. 

The GCDAMP will develop a triennial workplan and budget (TWP) the first year of the process (Table 

1). Then, in the second year the GCDAMP would implement the year-two budget and make relatively 

minor corrections primarily related to changes in CPI and needs at GCMRC and the Bureau of 

Reclamation (Reclamation). In the third year the GCDAMP would consider minor changes to the year 

three budget to allow for changes in projects or potential important new starts not envisioned during the 

development of the triennial budget. 

The major components of the TWP would include: 

 Three-year budget spreadsheets, work plans, and hydrographs, 

 Modifications of the year-three budget based on specific criteria, 

 Fiscal reporting, including expenditures for the previous fiscal year (mid-year and end end-ofyear reports), 

 Project progress reports, including an annual reporting meeting in January, and 

 Utilization of the Budget Ad Hoc Group (BAHG) to interface with Reclamation and GCMRC in 

developing a draft TWP, and to help the TWG develop budget recommendations for AMWG 

consideration. 

2.0 Budget Process Components 

The following describes the specific elements of the budget process and responsibilities. 

2.1 Budget Principles 

The TWP will: 

 Employ the adaptive environmental assessment and management approach to resources 

management that was developed by Holling (1978) and Walters (1986), and articulated in the 

Adaptive Management Program Strategic Plan (AMPSP) to include participation from the 

BAHG, TWG, and AMWG; 

 Be consistent with the GCMRC Strategic Science Plan (SSP), Monitoring and Research Plan 

(MRP), and Core Monitoring Plan (when completed); 

 Use a collaborative science planning process as described in the SSP and MRP (Figure 1); and 

 Address GCDAMP priority questions, information needs, and the associated strategic science 

questions (SSQs) and using them to provide the primary basis for designing the science program; 

Page 1 
	 	

 

 

 

 

 

 

 

             

                   

                     

       

           

The TWP process will be most successful if the AMPSP, SSP, MRP, and Core Monitoring Plan are 

current and up to date. It is important that science planning and management planning occur currently as 

portrayed in Figure 1. 

2.2 Priorities 

All parties in the GCDAMP recognize the fact that not all funds needed and requested will always be 

made available. Prioritization of work is essential to the budgeting process. The Strategic Plan, including 

the Goals and Management Objectives and Desired Future Conditions, and especially the Information 

Needs (in sequence order) should serve as the basis for determining budget priorities. We anticipate that 

AMWG will review and update these periodically (e.g., every 5 years) to ensure they reflect new 

information and program priorities. Currently many of the documents have not been reviewed or updated 

for nearly a decade. At its basic level the budget should put core monitoring and high priority information 

needs ahead of other activities. TWG will provide an initial general BWPH recommendation to AMWG 

at its spring meeting and AMWG will provide feedback to TWG on budget priorities and general 

direction which the BAHG, TWG, and GCMRC will use in their development of a final recommendation 

to AMWG. 

Commented [SAC1]: 

Commented [SAC2]: This section considers that we have other

guiding documents which seemingly no longer exist, or do they?

What are our guiding principles for this program? LTEMP of course,

but other than that?

Commented [SAC3]: Again, difficult to describe our priorities

2.3 Budget Ad Hoc Group (BAHG) 

TWG consideration of the budget and work plan has been facilitated by the BAHG, a small ad hoc group 

which has worked with Reclamation and GCMRC for many years. TWG will continue to utilize the 

BAHG to review the budget and work plan and to resolve difficult technical issues. The BAHG will work 

with Reclamation and GCMRC throughout the budget process and provide a liaison with TWG members. 

The BAHG will help Reclamation and GCMRC develop and bring to the TWG budgets that are prepared 

for full TWG discussion and recommendation to AMWG. Thus, technical issues and resolutions of major 

issues will be resolved to the extent possible before full TWG review. The TWG will give initial budget 

prioritization to the BAHG at its annual January reporting meeting. The BAHG will consider this input 

and the initial budget proposed by Reclamation and GCMRC and provide an initial budget 

recommendation to TWG at its spring meeting (e.g., April). The BAHG will then work with Reclamation 

and GCMRC through the spring and early summer to provide a final TWP recommendation to the TWG 

at its summer meeting (e.g., June). In the second year of the TWP this process will be truncated to 

consider only necessary changes to the budget for year-two, and then more changes in year-three (Table 

1). 

2.4 January Reporting Meeting 

TWG, in coordination with GCMRC and Reclamation, will hold an annual reporting meeting in January 

to review progress on funded monitoring and research projects for the previous year. GCMRC and 

Reclamation will provide an annual report for each funded activity in the work plan. TWG will use this 

time to review and evaluate the progress of projects and to give direction to the BAHG in the 

development of the initial budget. 

2.5 Mid-year and End of Year Fiscal Reporting Including Carry Over 

Reclamation and GCRMC will provide mid-year and end of fiscal year reporting of expenditures and 

carry over to TWG and AMWG. 

2.6 Budget Spreadsheet and Work Plan 

Page 2 
	 	

 

 

 

 

 

 

 

 

 

Reclamation and GCMRC will coordinate to provide a budget spreadsheet for the BAHG to review in 

January based on either a new TWP or modifications to the second or third year of the TWP. The 

spreadsheet will include expected costs for each project based on the priority setting provided by AMWG 

and discussions with the BAHG. Reclamation and GCMRC will coordinate to provide a budget 

spreadsheet, work plan, and hydrograph to the BAHG in the spring of the first year of the TWP 

development. The TWP will be used by TWG to provide budget recommendations to AMWG. During the 

second and third year of the budget, a full work plan would not be developed, rather a memo from 

GCMRC and/or Reclamation, outlining changes to the work plan would be provided in addition to a 

modified budget spreadsheet. 

2.7 Hydrograph Development 

The hydrograph of releases from Glen Canyon Dam emerges from a 24-month modeling study 

accomplished by Reclamation. Modeling outputs reflect anticipated inflows and reservoir storage to 

project annual and monthly dam releases. Daily fluctuations are predicated on agreements in the 1996 

Record of Decision and the 2008 FONSI on dam operations. The TWG will be provided with 

Reclamation’s 24-month findings, recognizing that these projections change with each month, to advise 

them of the most probable future release scenarios. TWG will provide a recommendation for the annual 

hydrograph to AMWG at its June meeting. 

2.9 Roles of GCDAMP Entities 

 TWG Chair: The chair of the TWG will endeavor to provide appropriate time for full discussion 

of the budget on the TWG agenda, and encourage Reclamation and GCMRC to provide budget 

documents to the TWG sufficiently in advance of meetings to allow for full review prior to TWG 

meetings. 

 GCMRC: Develop budget spreadsheets and work plans in a timely manner that is responsive to 

Program Direction (SSP/MRP), and to TWG and AMWG requests and comments on draft 

documents. 

 Reclamation: Develop budget spreadsheets, work plans, and hydrographs for their portion of the 

budget that is responsive to TWG and AMWG requests and comments on draft documents. 

 AMWG: Review the initial budget at its spring meeting and provide input to Reclamation, 

GCMRC and TWG on priorities and general budget direction and development. Review the final 

budget recommendation from TWG at its fall meeting and make a final budget recommendation 

to the Secretary of Interior (SOI). 

 TWG: Review the initial budget spreadsheet and initial BAHG budget recommendations and 

formulate an initial budget recommendation to AMWG at its spring meeting. Review the draft 

final budget spreadsheet and work plan and make final budget recommendation at its summer 

meeting for AMWG review at its fall meeting. 

 BAHG: Review the initial budget spreadsheet and draft final budget spreadsheet, work plan, and 

hydrograph with GCMCRC and Reclamation, make modifications as necessary, and provide 

recommendations to TWG at its spring and summer meetings. 

 Science Advisors: Participate in TWG and AMWG deliberations on the budget in coordination 

with the Executive Coordinator. Review the final TWP proposal submitted to the AMWG for 

review and provide written feedback to both GCMRC and the AMWG. 

 Other Cooperators: Other agencies and cooperators that are conducting work relevant to the 

GCDAMP are invited to submit workplans for inclusion in the GCDAMP and report upon those 

workplans at the Annual Reporting Meeting. 

Page 3 
	 	

 

 

 

 

 

 

 

2.9 Criteria for Review and Revisions of the Year-three Budget 

In order for the TWP process to be successful in reducing the administrative burden on the GCMRC, 

Reclamation, and the GCDAMP it must have clear criteria for making changes to the year-three budget. 

The burden of an appropriate rationale for proposing a change falls upon the proposer to make a 

persuasive argument. The following criteria will be used by GCMRC, Reclamation, and TWG in making 

recommendations to AMWG on changes to the year-three budget: 

	 Scientific requirement or merit: New information gained during the implementation of 

monitoring and research projects may result in a need to alter methods, scope, or timelines in the 

work plan or substantially alter or eliminate a project. This is a science-based need based on the 

experience of implementing an already approved project. This does not represent a shifting 

priority, but a scientific learning process which results in needed modifications to carry out the 

goals. 

	 Administrative needs: Administrative or programmatic changes may occur within the time-frame 

of an approved budget. Examples include the mitigation of an impact as a result of ESA 

consultation or tribal consultation, a change in the “overhead” charges of a federal or state 

agency, a significant reduction of the balance of the Colorado River Basin Fund or a failure to 

secure NPS permits for work in the Grand Canyon. As soon as an administrative event occurs that 

affects the budget, GCMRC (or relevant agency – such as DOI) will notify the TWG. 

	 New initiatives: New initiatives or modifications to projects that may or may not be based on a 

scientific merit must be vetted through DOI. DOI will consider whether to direct GCMRC/BOR 

to work on these new initiatives or whether to consider them during the next full budget cycle. 

Given that the budget will likely be fully accounted for, direction on where to locate the funds 

within the current budget will be requested from DOI. 

Page 4 
	 	

                     

                             

   

           

   

   

             

             

               

               

             

     

         

             

         

     

     

               

               

               

             

          

                   

               

               

         

                 

               

               

             

         

                   

               

               

               

                 

                 

                   

                

           

       

                    

       

                  

                 

         

         

                 

     

                                 

               

               

Table 1. Approximate timelines for the development and implementation of the triennial workplan

(TWP). Dates shown are estimated targets. Dates are shown which implement the 2015‐17 TWP for

reference.

Month Year‐1 (2014)

(development of triennial workplan & budget)

Year‐2 (2015)

December

(year prior)

GCMRC produces annual project reports document.

January

Annual reporting meeting and information synthesis (2

days) followed by 1‐day TWG meeting to review

budget and provide initial guidance to GCMRC and

BOR. TWG reviews progress in addressing Information

Needs and research accomplishments.

Annual reporting meeting (1‐2 days)

followed by 1‐day TWG meeting with a

primary emphasis on reporting on

results/findings/scientific advances on

previous work plan.

February

GCMRC meets with tribes and DOI agencies. GCMRC

follow‐up with BAHG on priorities and areas of

emphasis on TWP. GCMRC meets with cooperators to

develop projects. AMWG meeting to discuss initial

priorities. DOI and Federal family input.

March

USGS and BOR will develop an initial TWP and budget

spreadsheet based on DOI priorities and input from

scientists, the TWG, and DOI/DOE family. Initial TWP

presented to DOI and ASWS.

April

GCMRC meets with tribes and DOI agencies. April TWG

meeting to consider draft TWP. Unresolved issues or

conflicting priorities will be resolved by DOI in

consultation with the DOI Family. GCMRC begins

development of second draft TWP.

May

GCMRC and BOR provide a second draft TWP to the

TWG Budget Ad Hoc Group (BAHG), Science Advisors,

DOI agencies, and tribes for their review and

comment. GCMRC meets with tribes, BAHG, to get

input on TWP. GCMRC develops third draft of TWP.

June

GCMRC and BOR finish third draft for review. TWG

meets to provide input on the draft GCMRC and BOR

TWP and provide a recommendation to the AMWG.

TWG recommends Fiscal Year 2 (2016) of

triennial budget to AMWG.

July GCMRC and BOR provide a final draft TWP to the

AMWG for their review.

August

AMWG meets to provide input on the GCMRC and

BOR draft TWP and provide a recommendation to the

SOI.

AMWG recommends Fiscal Year 2 (2016)

of triennial budget to SOI.

September Secretary of the Interior reviews the budget and work

plan recommendation from AMWG.

October 1 Fiscal Year 1 begins under the TWP guidance. Fiscal Year 2 begins under the TWP

guidance.

November 1 Consumer Price Index becomes available.

Late Science and management meeting with DOI and

Page 5 
	 	

                          

       

             

                 

               

     

         

   

   

         

             

   

         

                 

   

         

               

         

   

                     

           

                   

         

              

         

November cooperators.

December Budget is finalized. USGS produces GCMRC annual

project reports document for prior year work.

GCMRC produces annual project reports

document.

Month Year‐3 (2016) Year‐4 (2017)

January

Annual reporting meeting and information synthesis (2

days) followed by 1‐day TWG meeting to review initial

results and findings of TWP. Potential TWP changes

may be identified.

Starts again under year 1.

February

March

April TWG/agencies/tribes meetings to consider mid‐TWP

adjustments to work plan at TWG meeting.

May

June TWG considers and recommends mid‐TWP adjustments

and a recommendation for Fiscal Year 3 (2017) budget.

July

August

AMWG meets and considers mid‐TWP adjustments

recommended by TWG and recommends Fiscal Year 3

(2017) budget to the SOI.

September

October 1 Fiscal Year 3 begins under the TWP guidance.

November

1

Consumer Price Index becomes available.

Late

November

Meet with DOI to outline new work plan; Science and

management meeting with DOI and cooperators.

December USGS produces GCMRC annual project reports

document for prior year work.

Page 6 
	 	

 

  

  

   

  

  

   

   

   

   

   

Annual

Analysis &

Report

   

   

     

   

     

     

   

SSP

MRP

BWP

Annual

Work

Activities

Annual/Final

Reports

Annual

Review

5‐year Analysis

 SCORE Report

 KA Report

AMPSP

5‐Year

Analysis and

Report

Annual

Analysis &

Report

Other Plans:

 HBC Comp Plan

 NPS CRMP

 Colorado River AOP

 NEPA documents and

Biological Opinions.

Figure 1. Collaborative science planning and implementation process from GCMRC’s Strategic Science 

Plan. The Glen Canyon Dam Adaptive Management Program and the Department of the Interior have 

lead responsibility for the shaded boxes. The Grand Canyon Monitoring and Research Center has lead 

responsibility for the boxes that are not shaded. 

Page 7