EPA-600/5-73-015
February 1974
PROMOTING ENVIRONMENTAL QUALITY THROUGH
URBAN PLANNING AND CONTROLS
By
Edward J. Kaiser
Karl Elfers
Sidney Cohn
Peggy A. Reichert
Maynard M. Hufschmidt
Raymond E. Stanland, Jr.
University of North Carolina
Chapel Hill, North Carolina 27514
Grant No. 801376
Program Element 1HA098
Project Officer
Martin J. Redding
Environmental Studies Division
Washington Environmental Research Center
Washington, D.C. 20460
Envi :•_'.• -; - . •„ .-i • i,-... Agency
Chicago, LLiiaois 60606
Prepared for
Office of Research and Development
U.S. Environmental Protection Agency
Washington, D.C. 20460
For sale by the Superintendent of Documents, U.S. Government Printing Office, Washington, D.C. 20402 - Price $4.25
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ABSTRACT
This study focuses on the changing awareness and current practices
in promoting environmental quality through urban planning and controls
in local and metropolitan planning agencies. To provide perspective for
understanding the current scene, it reviews the mainstream and cutting
edge practices and orientations of the I960's in the following sectors
of planning activity related to environmental quality: comprehensive
planning; planning for urban spatial structure (land use, open space,
and transportation); urban design (urban renewal and planning for
esthetic objectives); and urban environmental management (air, water and
noise). It indicates that planners during that period reflected society
as a whole and were little concerned with environmental quality as
related to natural systems.
In order to establish the current mainstream practices and orienta-
tion, a national survey of urban and regional planning agencies was
conducted. The findings indicate that environmental awareness in such
agencies followed rather than led national environmental awareness
through the 1960's. There is indication of considerable current environ-
mental concern but of only modest planning and implementation activity
with indirect introduction of environmental goals into a broad range of
traditional urban planning concerns. Local government is currently the
weak link in the intergovernmental environmental policy framework mainly
because it lacks technical capacity and is underutilized by higher
levels of government. However, the findings suggest that local govern-
ments do have a strong sense of responsibility and would respond
positively to further encouragement of greater participation in environ-
mental planning.
The study then reviews the more promising and innovative approaches
that form the cutting edge of awareness and practice in four sectors of
planning activity that are related to environmental quality: land use
and comprehensive planning, planning and controls for the water re-
sources-land use interface; urban design and controls; and residuals
management (limited to noise and air quality). In each sector, a number
ENVIRONMENTAL p—nciicr AGENCY
ii
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of promising planning and action approaches are integrated into a
coherent perspective of the cutting edge. A guidance system concept,
consisting of planning activity, decision guides, and action instruments,
is used as the integrating framework.
Based on the review of mainstream and cutting edge practices and
attitudes, the summary chapter integrates recommendations within a pro-
posed guidance system approach for local and metropolitan agencies.
ill
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CONTENTS
Page
Abstract ±±
List of Figures v
List of Tables vi
Acknowledgments viii
Sections
I Conclusions 1
II Introduction 31
A. Scope and Conceptual Framework 31
B. Organizations of the Report 41
III Changing Awareness and Practice 44
A. Perspectives of the 60's 44
B. The Current Scene In Local and Metropolitan 64
Planning Agencies
IV Promising Approaches 107
A. Land Use Planning; The Cornerstone of Local 107
Environmental Planning and Control
B. Water Resource Management: Planning and Control 183
Systems for the Water-Land Use Interface
C. Urban Design: Managing the Visual Quality of the 288
Urban Environment
D. Planning and Residuals Management: Noise and Air 350
Quality
V References 403
VI Appendix 432
iv
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FIGURES
No.
1 Land Use Guidance System Planning Process 5
2 Environmental Guidance System 36
3 Framework to Guide the Study of Urban Planning and Controls 38
for Promoting Environmental Quality
4 The Integration of Natural Processes into an Ecosystem 126
5 Land Use Guidance System Planning Process 135
6 Data in Bucks County Computerized Guidance System 146
7 Water Quality Interchanges 184
8 Flood Damage Prevention 216
9 Relationship Between Zoning Districts and Floodland Regulations 219
10 Implementation and Financial Assistance for Flood Damage 220
Prevention Programs
11 Floodplain Regulations 224
12 Water Quality Management System 231
13 Storm Water Management System 244
14 Water Resource Management Measures 263
15 Legal Basis and Administrative Agency for Selected Water Use 265
Management Measures
16 Urban Design Activities and Their Influence on Visual Quality 293
17 Process Oriented Urban Design 432
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TABLES
No.
1 The Stratified Random Sample Design and the Distribution 59
of Responses
2 Distribution of Usable Responses by EPA Region and Planning 71
Agency Sampling Strata
3 Views of the Meaning of Environmental Planning, by Agency 75
Type
4 Importance of Environmental Problems in the Agency's 76
Jurisdiction
5 Percentages of Agencies Having Environmental Planning as a 78
Separate Work Activity, by Type of Agency
6 Proportion of Agencies Engaged in Various Programs Areas and 80
the Assessment of Importance of Environmental Quality to
the Program
7 Number of Agencies Having Personnel Trained in Environmental 82
Fields
8 Regulatory Tools Listed in Order of Effectiveness in Achieving 84
Environmental Quality
9 Incentives, Capital Investments, Information/Advice Tools 88
Listed in Order of Effectiveness in Achieving Environmental
Quality
10 Percentages of Agencies Using Specific Information and Studies 90
in Determining Regulatory Instruments
11 Percentages of Agencies Using Specific Information and Studies 93
in Determining Capital Investments and Incentives
12 Most Important Influences in Raising Environmental Issues 95
13 Relative Impact of Various Factors on Implementation of Agency's 96
Recommendations for Achieving Environmental Quality
14 Responses about Federal Legislation, Agencies and Programs Having 100
A Significant Effect at the Local and Metropolitan Level
15 Suggestions for Chaning Intergovernmental Framework 102
VI
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TABLES (cont'd)
No. Page
16 Distribution of Responses About Local Governments' Role in 104
Relationship to Higher Levels of Governments
17 Distribution of REsponses About Local Government's Role in 106
Terms of Specific Aspects of Planning and Implementation
Processes
18 Important RElationships of Geology and Urban Development 122
19 Estimated Emissions of Air Pollutants by Weight, Nationwide, 374
1970 (Preliminary Data)
20 National Primary and Secondary Air Quality Standards 376
vii
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ACKNOWLEDGMENTS
U.S. ENVIRONMENTAL PROTECTION. AGENG?
Stanley M. Greenfield, Assistant Administrator for Research & Development
Larry Ruff, Director, Washington Environmental Research Center
.Peter W. House, Director, Environmental Studies Division
Martin J. Redding, Environmental Studies Division
John Gerba, Environmental Studies Division
Kathryn Counsins, Environmental Studies Division
UNIVERSITY OF NORTH CAROLINA
Edward J. Kaiser
Karl Elfers
Sidney Cohn
Peggy A. Reichert
Maynard M. Hufschmidt
Raymond E. Stanland, Jr.
The assistance of the following persons is gratefully acknowledged:
Members of our research team including Carole G. May, who administered
the survey and coding procedures and who helped in almost every research
project task; Bonnie Powell, who edited the entire report; Robert E. Stripe
of the Institute of Government, UNC., who consulted on and edited the
section on Historic Preservation in Chapter IV; James E. Wuenscher, who
consulted on and edited the section on ecosystem analysis in Chapter II;
David C. Morris, who did the first draft of the section on noise manage-
ment in Chapter V; Peter Petrall, Paul Fisher, Mitchell Baker and Donald
viii
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Balcom who research historic preservation, natural system inventories
and analyses, open space, and environmental planning history topics
respectively; Joan Clark and her staff of Barbara Cosby, Shirley Ritter,
and Miriam. Dunham who did the typing of the manuscripts through its
several drafts; Jonathan Howes, Director, and Carroll Carrozza, office
manager, of the Center for Urban and Regional Studies for their valuable
administrative support.
Our panel of advisors and/or reviewers: F. Stuart Chapin, Jr.,
Robert M. Leary, Robert E. Stipe, J. Frank McCormick, George C. Hemmens,
John Robson, Robert E. Einsweiller, Weiming Lu, Ralph W. Miner, Jr.,
George E. Eichler, Samuel D. Burns, Raymond J. Burby, Lane H. Kendig,
Frank Beal, Richard Spicer, James B. Wharton, David H. Howells, Shirley
F. Weiss, Carl Steinitz, Paul H. Sedway, William E. Mclntyre, and Milton
S. Heath, Jr.
The planners and other professionals who gave their time, and judg-
ment and advice during field investigations or in visits to Chapel Hill:
Fred Bair, Planning Consultant, Florida; Francis P. Bennett, Director,
Wayne County Planning Commission, Detroit, Michiga; S. Robert Bronfen,
Principal Planner, City Planning Department, San Antonoi, Texas; James
Carver, Senior Planner, Department of Planning and Development,
Minneapolis, Minnesota; Michael R. DesParte, Head, Planning Unit, Division
of Water Quality, Minnesota Pollution Control Agency; George F. Eichler,
Senior Environmental Planner, Atlanta Regional Commission, Atlanta, Georgia;
Robert C. Einsweiller, Consultant, Minneapolis, Minnesota; Narendra Juneja,
Associate Professor, Department of Landscape Architecture and Regional
Planning, The University of Pennsylvania and Associate in Wallace, McHarg,
ix
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Roberts and Todd; Ronald B. Kull, Urban Design Officer, Department of
Urban Development, Cincinnati; Frank T. Lamm, Director of Environmental
Planning, Twin Cities Metropolitan Council, St. Paul, Minnesota;
Weiming Lu, Assistant Director, Department of Planning and Urban Develop-
ment, Dallas, Texas; Michael Pawlukiewicz, Environmental Planner,
Environmental Planning Agency, Huntington, New York; and the directors
and other respondents of the 200 planning agencies who contributed
their knowledge and judgment in answering the survey questionnair briefly
reported in Chapter VI.
Angell G. Beza, Associate Director, Institute for Research in
Social Science who provided expert advice on the questionnaire and
survey procedures; John Saunders, Director of the Institute of Government,
UNC-Chapel Hill for the contribution of the expertise of his staff.
Finally, the support of the project by the Environmental Studies
Division, Office of Research and Development, Environmental Protection
Agency and the help provided by Martin Redding, Grant Project Officer,
and Peter W. House, Director, is gratefully acknowledged.
x
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SECTION I
CONCLUSIONS
I ntroduction
This study is based on two important premises: (I) that urbaniza-
tion and land use decisions are critical determinants of environmental
quality; and (2) that local level planning and decision-making, which
determine the nature of urbanization processes and land use patterns,
have not yet effectively incorporated environmental quality goals. It
seems evident that there is an urgent need to better understand the role
that local urban government can play in our present societal commitment
to improving environmental quality, particularly in defining the func-
tion and potential o^ land use planning and controls in achieving
environmental quality goals. Thus, this study focuses on two key ques-
tions: What is the state of environmental awareness and planning prac-
tice among local governmental planning agencies? What, particularly,
are the more promising approaches to overall urban environmental plan-
ning and control at the local level?
Because of the length of this report and the wide range of topics
it covers, we feel that this chapter should serve not only as a summary
of findings and recommendations but also as a guide to reading the
report. This chapter contains a detailed summary of the report, a
discussion of numerous recommendations based on findings and examples
.within the report, and an index to specific topics or cases treated more
fully in prior chapters.
It is organized as follows:
I. General Statements about our emphasis on the local, general
planning level, our guidance system approach to this plan-
ning, and the need to conduct such planning within an ade-
quate intergovernmental framework.
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2. Findings and recommendations on land use planning, emphasizing
the urban guidance system and land use planning processes.
3. Findings and recommendations on management of water-land use
interfaces, particularly metropolitan and regional integration
of local planning efforts.
4. Findings and recommendations on urban design, especially its
emergence as a process-oriented element of comprehensive plan-
ning.
5. Findings and recommendations on two urban residuals, noise and
air polIution.
6. Findings from our survey of local planning agencies.
Genera I Statements
Although the purpose of this study was to determine what local
governments and general planning agencies were doing and could do to
promote environmental quality, it was obvious from the start that local
efforts do not stand by themselves but are related in complex ways to
metropolitan, regional, state, and federal activities. However, given
time and manpower constraints, we could not examine these non-local activ-
ities in detail. On the other hand, we did not limit our study or dis-
cussions solely to the local level. For example, in the water-land use
section, metropolitan and regional levels of planning and management are
extensively discussed. Similarly, where federal or state institutions
are significant, they are included.
The planning and management framework within which we conducted the
study and which we are recommending as perhaps the best approach to pro-
mote environmental quality is the urban guidance system. This approach
tends to focus on the local level, but as a broad process it is not
necessarily limited to that. The urban guidance system consists of
planning processes and implementation concepts that can be applied to
other levels of government. Although we have concentrated on local
examples and local planning agencies, our primary interest has not been
the local agency itself but rather the nature of the environmental pro-
blems that must be dealt with and the planning processes and implemen-
tation tools available at the local level, including, for example,
2
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metropolitan coordinations and federal assistance.
However, a key element of the urban guidance system must be the
implementation powers of local governments. These powers such as zoning
ordinances, subdivision regulations, building codes, and public invest-
ments, are documented throughout the report and serve as the cornerstone
for promoting urban environmental quality since they have a significant
effect on day-to-day urban activities and decision-making.
On the other hand, the capacity.of local planning agencies and
governments to use these powers in an intelligent and rational manner
to promote urban environmental quality is severely limited. In the first
place, local agencies are likely to be short on both the money and ex-
pertise necessary to make environmental studies and formulate workable
plans and policies to use these powers well. Second, there is the cru-
cial question of political and economic feasibility in using local imple-
mentation tools. Local economic development pressures and political
constraints are often far more powerful than any concepts of improved
environmental quality. Third, there are other objectives at the local
level besides environmental quality, and these objectives (for example,
social concerns) may be advanced by strong local interest groups and
preclude a clear and deliberate attempt to formulate multiple objective
strategies in which environmental quality is "balanced" against other
urban goals. Finally, environmental quality problems often cut across
local jurisdictionaI units. Most water and air quality, land use, and
even urban design problems, or issues, cover areas that are much
larger than a specific local jurisdiction. These "problem areas" might
be a watershed, an airshed, or a metropolitan housing market. In any
case, the specific local unit is only one of many that are involved and
whose activities may have to be integrated, or at least coordinated,
to deal effectively with many environmental quality problems.
There is a need for some form of intergovernmental framework to
take advantage of and guide the implementation powers of local govern-
ment. We do not intend to define this framework here as it was not
the purpose of our study to look into intergovernmental relationships.
However, various elements of such a framework, such as metropolitan and
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and regional coordination, state policies, plans, and acts, and federal
programs, guidelines, and standards, are discussed in the report.
Land Use Planning and Controls
Land use planning is the cornerstone in local level planning agen-
cies' pursuit of environmental quality. Not only is it the most tradi-
tional of the various sectors of planning discussed in this report, but
it also deals most directly with the urbanization process, the under-
lying societal phenomenon at the root of the environmental crisis. It
addresses the problem of the quantity of urban growth as well as its
spatial allocation in the urban region. It also deals comprehensively
with the allocation of activjties in cities and with the problems of
urban obsolescence and redevelopment.
A significant finding of our study, particularly in relation to land
use planning and controls, is that while there are a number of examples
of innovative or cutting edge approaches for achieving environmental
goals, there is a great need to combine these isolated methods and tools
into a single, coordinated planning process. One integrating framework,
and the one we recommend, is the guidance system planning process. See
Figure I .
The guidance system consists of a series of planning activities and
corresponding outputs that establish a rational framework for decision-
making and produce various policies, plans, regulations, and incentives
to guide urbanization processes toward environmental quality and other
goals. The key outputs of the guidance system are the decision guides
and action instruments. These outputs enable the process to extend
beyond planning activities and emphasize means for implementation. The
guidance system planning process is used here to organize a summary of
cutting edge developments in land use planning.
The success of the guidance system approach for integrating pro-
mising planning methods and controls is dependent on the evolution of
a new attitude among local planners and officials. Such an attitude
would include:
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THEORETICAL
RATIONAL
PLANNING
PROCESS
LAND USE
PLANNING
ACTIVITIES
OUTPUTS
OF
PLANNING
ACTIVITIES
CONSEQUENCES
STAGE 1
STAGE 2
STAGE 3
Problem Goals, Formulation
identification [objectives j of
and ! and !a 1 ternati ves
analysis choice i
criteria !
i i
1 nventory i ng,
mon i tori ng,
pred i ction
i nterpretation
1
Background
stud ies,
status
reports,
sui tab! 1 ity
maps
i
n
i • r~ —
Formulating '(Formulating
general specific
goal decision
oriented guides and
decision (action
guides instruments
Goal plans,
choi ce
... i
cr i ten a,
pol icies,
strategies
n
Speci f ic
Budgets,
po 1 icies
p lans,
programs,
projects,
model
regu lations
i ncenti ves
rn ^
Local Government's Course of Action for Prc
O
O _.
0
STAGE 4
Eva 1 uation
of
a 1 ternati ves
Test! ng
alternative
plans and
pred ictions
Effect! veness
and
envi ronmenta 1
i mpact
ana lyses
^1
>moti ng Envi ronn
0
STAGE 5
Action
deci s ions
Se 1 ecti ng
and
imp 1 ementi ng
action
i nstruments
1 ndi rect
actions:
Regu 1 ations
1 ncenti ves
Publ ic
i nvestments
Di rect
actions:
Pub 1 i c
i nves+ments
uJ
nenta 1 Qua 1 ity
^
STAGE 6 STAGE 1
Feedback
Monitoring the
urban environmental
system and
performance action
i nstruments
Moni tori ng
envi ronmenta 1
qua 1 ity
i nd icators
Publ ic surveys
Pol itical
act! vi ties
^^
//
{ /
2Z7/
The Urbanization Process and Urban Environmental Quality ^X/^ /
FIGURE |
LAND USE GUIDANCE SYSTEM PLANNING PROCESS
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an understanding that environmental planning must be process
oriented, recognizing that urban land use and environmental
systems are constantly evolving processes. Product oriented
master plans and individual public projects and regulations
are necessary but not sufficient to an effective land use
planning and action strategy.
a recognition that a multitude of individual land development
and political decisions made over time affect the form and
function of the urban system and thereby the environmental
quality of that system. Most of these decisions are in fact
private, but there are points of public intervention that
must be used in a systematic and coordinated fashion if their
maximum impact is to be affected. Planning activity must be
geared to infuse an understanding of environmental implications
into these decisions.
Stage I of the Guidance System Planning Approach:
Environmental Problem Identification and Analysis
The guidance system planning process begins by recognizing that the
urban environment is composed of a complex set of interdependent natural
and manmade elements and processes. Manmade urban systems must recog-
nize and adapt to the natural processes of the urban environment, and
planning must seek to define and promote the most productive balance
between urban man and the environment on which he depends.
/
This recognition provides the basis for an appropriate information
system for modeling and interpreting urban environmental problems. The
system may be used at various stages in the planning process: for
example, to monitor environmental indicators (Feedback and Monitoring,
P- 158), predict future conflicts between land development and environ-
mental processes (Problem Identification and Analysis, p. 121), suggest
land use patterns from an environmental quality perspective (NaturaI
System Inventory Analysis, p. 107), evaluate effectiveness, and assess
environmental impacts (Testing Alternatives, p. 131).
To develop an adequate capacity to define environmental problems it
is suggested that planners:
I. Include two fundamentally contrasting objectives for which
the environmental information system is developed: first,
protect urban processes from environmental hazards and second,
protect critical environmental features and processes from
being disrupted by urban development. Local urban planners
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have long used information systems for the former objective,
usually in map form. Few have attempted to encompass both
objectives, but this must be done to fully integrate manmade
and natural systems.
2. Develop an informational and a data interpretation approach
that will be useful at several geographic scales. It should
be useful in locating potential conflicts between development
and natural dynamics at the urban regional scale. Such a
capacity would indicate the general location and timing of
development at the regional scale. But, the information system
should also be applicable to environmental planning and action
at the scale of individual private and public projects, revi-
sions in regulations, and design review processes. Such an
information system suggests data and models that are more
truly ecological, including attention to biological processes,
energy flows, and nutrient cycles. (See Natural Systems Inven-
tory Analysis, p. 107, and Ecosystem Ana lysis, p. |12.)
Stage 2: Formulation of Goals and Objectives
as General Decision Guides
Comprehensive planning, particularly its land use planning component,
must be redefined to include explicit attention to natural environmental
quality within its multiple objective framework. There are two basic
ways to do this. The most common approach is to add a new sector to the
total general planning program. (See The Additive Approach, p. 98.)
The other, more strongly recommended approach is a fundamental realign-
ment of comprehensive planning where environmental quality is viewed
as an integral facet of a broader concept of the "quality of life."
(See Realignment of Objectives and Assumptions, p. 102.)
In formulating decision guides to accomplish this redefinition of
comprehensive planning it is recommended that planning agencies:
I. Continue to approach environmental land use planning with an
eye to the mutiple objectives of urban society. Urban land
use planning which focuses entirely on the objective of preser-
vation of pristine natural areas is as mis-directed as that
which focuses entirely on minimizing journey time from residen-
tial to work areas. The necessity to plan land use within the
context of multiple objectives cannot be overemphasized at this
time when environmental concerns are presently riding the
public opinion tidal wave.
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Seek ways to involve the public in a continuous dialogue on
community goals and means. Although much environmental plan-
ning in the near future will be characterized by attempts to
achieve goals established at the national level in terms of
standards, it wi I I most Ii kely be the responsibi Iity of I oca I
planners to relay to the public information on the long-term
impact of local urbanization on the local environment. Status
reports on environmental quality should be circulated to the
public at large as well as to public officials via the media,
and feedback from the public should be solicited through sur-
veys, public meetings, and representative citizen advisory
groups. (See Realignment of Objectives and Assumptions, p. 93,
and Feedback and Monitoring, p. 158.)
Formulate land use plans having an explicit environmental base
of information and goals, where land use allocation is based,
among other things, on land capability, compatibility of land
use to land as welI as land use to land use, and an assessment
of potential adverse environmental consequences. These criteria
are in turn based on surficial geology, current levels of air,
water and noise pollution, hydrology, vegetation, wildlife and
physiographic features such as surface water marshes, flood
plains, aquifer recharge areas, and slopes. (See Formulation
of Decision Guides, p. 124.)
Formulate separate policy plans for a range of environmental
problems and areas which suggest some variation in strategy.
For example, remedial action or redevelopment areas might be
delineated and applied to both manmade urban environment and
urban infrastructure investments to restore ecological equilib-
rium. These areas might be distinguished from resource pre-
servation or protection areas. In another approach, area
classifications might be based primarily on the basis of differ-
ences in development pressures, again suggesting variation in
guidance strategies. One recommended classification scheme
consists of urban built-up areas, developing areas (where
growth pressures are intense), and holding areas where much
of the land is in non-urban use and development pressures are,
not so intense. Critical resource protection areas, which cut
across these three categories, might constitute a fourth type
of district. (See Generation of Specific Policy and Action
Instruments, p. 130.)
Stage 3: Formulating Specific Alternative Decision
Guides and Action Instruments
General goals, and policies, and strategies must be converted to
specific action proposals in order to take on real meaning as a part of
the government's course of action. Often, alternative specific proposals
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are discussed wIth i n the planning agency, but rarely are they formally
published or presented to the decision-making body as a range of alterna-
tives. In the guidance system planning process, however, these alterna-
tfve actions would be discussed openly with and among decisionmakers
and the evaluation criteria on which a final decision was based would
be made explicit. One way to do this, though admittedly difficult in
practice, would be to involve decisionmakers in the specification and
ranking of objectives to be pursued by a given plan, policy, project,
or regulation. (See Evaluating Effectiveness, p. 132, and Feedback and
Monitor!ng, p. 158.)
The guidance system planning process also stresses an integrated
approach to specific action proposals. Single instruments are con-
sidered part of an integrated system of regulations, incentives, and
public investments. Combinations of action instruments are proposed
as packages. The concept to be stressed here is that an action proposal
is not limited to a single instrument. Every proposal must be considered
as part of an incremental change in the context of an already existing
course of action or as part of a more comprehensive proposal of changes.
Each component is designed to complement the effect of other action
instruments and to reinforce, not contradict, them. (See Coord i nation
of Several Action Instruments, p. 152.)
Stage 4: Testing of Alternative Specific Decision
Guides, Action Instruments and Predictions
The fourth stage in guidance system planning is testing alternatives.
The alternative may be a specific plan, policy, program, or other specif-
ic decision guide of local government; it may be an action instrument
or a set of such instruments, proposed or existing; it may be a forecast
based on trends or the introduction of a private or higher level govern-
mental action into the local urbanization process, for example, location
of a large new industry.
In practice, alternatives may be tested for two purposes though in
theory they merge. The first is determining the general effectiveness
of the proposal in achieving primary objectives (see Evaluating Effec-
tiveness, p. 132),while the second is determining the environmental
9
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impact of the proposed action. (See Evaluation on Environmental Impact,
p. 135.) This latter purpose is relevant to testing private development
proposals as well as public plans or projects not primarily aimed at
environmental quality goals, such as alternative highway routings.
Stage 5: Selecting and Implementing Action Instruments
The fifth stage of guidance system planning involves a choice among
alternative action instruments. Choice is also applicable to general and
specific decision guides. Nevertheless, a basic premise of the guidance
system approach is that planning must eventually come to implementation
of action instruments if, in fact, environmental quality is to be af-
fected. The community choice of a combination of action instruments is
perhaps the most crucial stage in the process.
Action instruments being considered should include both the direct
and the indirect. Direct action instruments to achieve environmental
quality goals through land use planning are those public investments,
such as sewer systems, water supply systems, transportation systems,
acquisition of open space, and acquisition of cultural resource areas or
structures, which impact directly on the environment. Indirect action
instruments are those regulations and incentives, such as zoning, sub-
divisions and building codes, and taxation policies, that establish a
framework of rules and conditions for private and public development.
Many public investments exert both a direct effect on environmental
quality and an indirect effect by providing the conditions which encour-
age urban development. Most action instruments available to local govern-
ments for promoting environmental quality by affecting land use are
simply reassessments of rather traditional guidance instruments resulting
in their modification, expansion, redirection, or more intensive appli-
cation.
Action instruments recommended for consideration in control Iing
location and timing of development for environmental goals are exclusive
agricultural and conservation zoning, historic district zoning, taxation
policies closely related to special district zoning, and, potentially,
public investments. Development district zoning or development timing
10
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ordinances should be considered as mechanisms for coordi nati'ng regula-
tions, taxation, and public investments to control location and timing
of development. (See Control of the Spatial Location and Timing of
Development, p. 139.)
Action instruments recommended for controlling the spatial design
characteristics of development at the site include density zoning,
planned unit development, cluster zoning, inclusion of critical environ-
mental provision in zoning, subdivision, building and health ordinances,
special use permits for construction in environmentally sensitive areas
or for types of development with a high impact potential; and the require-
ment of environmental impact analysis on proposed development as a pre-
requisite to the granting of a rezoning, subdivision plot approval, or
building permit. (See Control of Spatial Design Characteristics at the
Site, p. 155.)
We recommend an emphasis on the formulation of a guidance system
planning approach by local and metropolitan planning agencies. The
rapidity and ingenuity with which local planners have responded to the
rather recent emphasis on a quality urban environment may indicate that
specific innovations will become standard, if not dated, practice in
future years. However, the guidance system concept may provide the
mechanism to coordinate newly evolving planning methods, decision guides,
and action instruments for effective environmental guidance.
Water Resource Management
Planni ng
From looking at the water-land use interface at both macro and micro
scales as well as in terms of developing versus developed areas, it is
quite evident that the key to successful urban water resource management
is metropolitan-wide coordination and planning. Some of the best exam-
ples of what we call "cutting edge" planning and management are those of
metropolitan-oriented agencies, for example, the Southeastern Wisconsin
Regional Planning Commission, the Northeastern Illinois Planning Commis-
sion, and the Twi n Citi es Metropolitan CounciI. (See Watersheds, p. I 82.)
11
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Floodpla!ns, p. 205, Water Qua IIty Management, p. 231, and MetropoIitan
Integration, p. 252.)
Metropolitan-wide communication and coordination are necessary to
integrate both jurisdictionaI and functional elements of urban water
resource systems. Such integration is crucial at the planning level in
order to relate water resource objectives and alternatives to those of
other sectors such as land use and economic development, to eliminate
adverse external effects created by overlapping of fragmented local sys-
tems, and to generally create more efficient water resource management.
(See Metropolitan Integration, p. 247.)
Although metropolitan water resource planning and management has
yet to be completely realized in practice, it has been conceptualized in
some detail. At least six criteria or prescriptions can be related to
such planning and management:
i. It must be directed toward meeting multiple objectives based
on the needs of the local jurisdictions and the region as a
. whole. (See Introduction, p. 176, Watersheds, p.182, Shorelands,
p. 189, Urban Waterfronts, p. 244, and Metropolitan Integration,
p. 251.)
2. It must consider and evaluate a wide range of alternative
courses of action, both structural and non-structural, and,
where feasible, use multiple purpose projects and flexible
measures. (See Floodpiai ns, p. 205, Water Quality Management,
p. 225, Storm Water Drainage, p. 237, and Metropolitan Integra-
tion, p. 252.)
3. It must coordinate public and private actions, particularly to
encourage private input into the formulation of objectives and
the evaluation of proposed alternatives. (See Watersheds, p. 182,
Estuaries and Wetlands, p. 196, Water Quality Management, p. 231,
Urban Waterfronts, p. 244, and Metropolitan Integration, p. 256.)
4. It must conduct monitoring and research programs to increase its
ability to understand and to be constantly aware of the nature
of water-land use relationships. (See Watersheds, p.183, Shore-
lands, p. 188, 189, Estuaries and Wetlands, p. 196, Floodplains,
p. 205, Water Quality Management, p. 228, Storm Water Drainage,
p. 236, and Metropolitan I nteg rat ioji, p. 257.)
5. It must integrate water resource planning into the total metro-
politan planning process at not only the metropolitan level but
also at the local agency level. (See Introduction, p. 177,
Watersheds, p.182, Shorelands, p. 190, Estuaries and Wetlands,
12
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p. 198, Floodplains, p. 207, Water Qua I ity Management, p. 225,
Storm Water Dra i nage, p. 237, and Metropolitan Integration,
p. 259.)
6. It must establish a framework for metropolitan-wide coordina-
tion of all local and regional (including state and federal)
agencies involved in water resource management and related land
use functions. (See Metropolitan Integration, p. 261.)
In addition to these criteria, there are some important concepts
and trends that either cut across some of the criteria or are inherent
in them. These concepts have developed fairly strong roots in the I960's,
at least in theory, and will be important forces in urban water resource
management in the 1970's. First, river basin or regional water resource
planning is becoming more sensitive to environmental problems and more
urban oriented. The emphasis is slowly turning from large-scale flood
contro! and economic development projects to urban problems and demands,
such as water quality control, recreation and aesthetic demands, and the
urbanization of watersheds and wetlands. (See Watersheds, p.182, Estu-
aries and Wetlands, p. 196, 198, and Floodplains, p. 205, 207.)
Second, urban or municipal water resource planning is slowly broad-
ening its focus to consider relationships not only among water resource
functions, such as water supply, wastewater disposal, and storm water
drainage, but also among water-related sectors such as recreation, open
space, land use, and transportation. This widening of the scope of water
resource planning and management is moving much more rapidly among plan-
ning agencies than among traditional municipal departments, but it is a
trend that will continue to grow in the 1970's. (See Water Qua Iity
Management, p. 225, Storm Water Drainage, p. 237, and Urban Waterfronts,
p. 242.)
Third, there is an interest among water resource planning agencies,
particularly at the metropolitan level, in changing their emphasis from
designing specific water resource plans to formulating water resource
management strategies consisting of flexible packages of policies and
alternative courses of action. This strategy is closely related to the
urban guidance system approach as it uses a wide range of tools for
implementation and stresses relationships to land use planning.
13
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It is particularly appropriate in complex metropolitan areas where
urban growth, demands, and political cooperation are highly uncertain.
(See Floodplains, p. 205, Water Quality Management, p. 225, and Metropo-
Iitan Integration, p. 252, 259.)
Finally, there is a trend toward a more open and clear planning pro-
cess. This is related to the A-95 review procedures and the environ-
mental impact statements required by NEPA, but also includes the use of
advisory committees and public workshops to help formulate objectives
and evaluate alternatives, the specification of criteria and standards
for plan formulation, the collection and publication of key environmental
data, and the presentation of alternatives accompanied by statements of
costs, benefits, and intangible factors. (See Watersheds, p. 182, 183,
Shorelands, p. 188, 190, Estuaries and Wetlands, p. 196, 198, Water
Qua Iity Management, p. 225, Urban Waterfronts, p. 244, and Metropolitan
Integration, p. 256.)
Decision Guides
A key element in the implementation of metropolitan planning and
coordination is the use of decision guides. These guides can take sev-
eral forms, but, in general, they establish a framework within which
public and private action can be more closely coordinated and better in-
formed. Some decision guides useful for urban water resource management
are:
I. Development guideline reports Such reports define and explain
the problems likely to occur in critical areas, set forth
development principles and standards, present data on key
environmental factors (soils, vegetation, hydrology, geology),
offer some alternative plans for development and even some
specific project designs, and propose model ordinances. (See
Watersheds, p.182, 184, Shorelands, p. 190, 191, Estuaries and
Wetlands, p. 198, and Floodplains, p. 207.)
2. Strategy plans These plans and statements are less detailed
than development guides, but they offer a wide range of usually
quite imaginative design alternatives and courses of action.
They often emphasize institutional arrangements, non-structural
alternatives and measures, and flexible, multiple-purpose pro-
jects. They generally do not recommend a particular project
or policy but offer examples of prototype projects and
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combinations of policies and projects. (See Water Qua I ity
Management, p. 225, Storm Water Drainage, p. 237, Urban Water-
fronts, pT 242, and Metropolitan Integration, p. 252.)
Pol icy Statements On the basis of planning efforts (criteria
formulation, data collection and analysis), governments or
governmental agencies can make public policy statements in an
attempt to influence public and private decision-making. The
policies may be general and include broad issues such as the
conflict between environmental quality and economic development,
or they may be more specific such as discussing the timing and
location of utility extensions. Policy statements generally
have more effect at the more specific levels, particularly if
the policy-making body has some degree of legislative authority.
(See Shorelands, p. 189, 190, Estuaries and Wetlands, p. 196,
and Water Quality Management, p. 231.)
Environmental information This decision guide includes many
forms of information ranging from an "environmental information
directory" to the simple public delineation of a wetland or
f loodplain area. This information acts as a decision guide
solely through public awareness rather than through any inter-
pretation or policy-making by a planning agency. (See Shore-
lands, p. 190, Floodplains, p. 205, and Metropolitan Integra-
tion, p. 256.)
Action Instruments
Although metropolitan-wide planning and coordination is necessary
for successful urban water resource management, the key to the implemen-
tation of such planning generally I ies at the local government level and
at the state level in terms of what the state enables or requires local
governments to do. Many of the action instruments at the local level
have existed, or have been advocated, for a long time, but now with the
trend toward greater environmental concern and more informed and compre-
hensive planning, they are on the verge of much more widespread and
meaningful use. Some of the more promising action instruments are:
Indi rect
I. Permit systems to control change or development of sensitive
areas, such as wetlands and shorelands. (See Estuaries and
Wetlands, p. 196, 199.)
2. Floodplain zoning, or special floodplain regulations within
regular zoning ordinances, to restrict permissible land uses.
(See Floodplains, p. 207, 208.)
15
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3. EffIuent charges, particularly on industries, to help pay the
cost of municipal treatment but also to encourage better produc-
tion processes and waste recovery. (See Water Quality Manage-
ment, p. 229-)
4. Utility extensions to control location and timing of urban
development to avoid environmentally critical areas and to
create efficient utility systems. (See Water Quality Manage-
ment, p. 231 •)
5. Taxes to discourage development in critical areas (floodplains)
or conversely, to encourage conservation of environmentally
significant areas (forests). (See Watersheds, p. 184, and Flood-
p la i ns, p. 207.)
6. Conservation easements on floodplains, woodlands, steep slopes,
and the like to restrict building and other activities. (See
Watersheds, p. |84.)
7. State and/or local moratoriums on further urban development
until more data are collected and a planning program completed.
(See Estuaries and Wetlands, p. 199.)
8. Comprehensive local ordinances including zoning, building, and
sanitary ordinances—if local governments do not enact these in
critical areas, the states could require them to do so. (See
Shorelands, p. 191.)
9. On-site storm water detention requirements to alleviate down-
stream flooding problems and limit combined sewer overflows.
(See Storm Water Drainage, p. 237, and Watersheds, p. 184.)
Pi rect
I. Integrated uti Iity systems and metropolitan or regional service
agencies to improve waste disposal and water supply functions
and limit adverse environmental externalities. (See Water
Quality Management, p. 227, and Metropolitan Integration,
p. 261.)
2. Blue-green development and dual drainage systems to integrate
storm water drainage and land use planning rather than to solely
rely on conventional engineering solutions. (See Storm Water
Dra i nage, p. 237.)
3. Wastewater reclamation to control water quality but also to use
water supplies more efficiently. (See Water Quality Management,
p. 225, 228.)
4. Low-flow augmentation and wastewater diversions to change the
timing and location of wastewater flows and better use the
16
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assimilative capacity of the environment. (See Estuaries and
Wetlands, p. 196, and Metropolitan Integration, p. 252-)
5. Planned community developments and major urban redevelopments
to effectively use land for urban development without causing
adverse environmental effects. (See Shore lands, p. 191, and
Urban Waterfronts, p. 246.)
1972 Federal Water Quality Act
Although federal water resources and water quality programs have
been inherent in some of the above statements, the general nature of the
federal program for the future should be noted here. With the passage
of the Federal Water Pollution Control Act Amendments of 1972, the fed-
eral efforts in water quality management have been greatly expanded.
The amendments extend the Act of 1965 via new and stricter standards,
more money for treatment plant construction, authority for states to
establish a permit program for activities that discharge wastes, and
better enforcement procedures. Perhaps two of the most significant pro-
visions.are the goal of zero discharge of pollutants for industries by
1985 and the precondition for treatment plant grants that a study be
made of alternative treatment techniques and recycling potentials.
Neither provision may be effective in practice in the near future, but
both stand as an indication of the direction of water quality management.
(See Watersheds, p. 184, Water Quality Management, p. 225, 229, and
Metropolitan Integration, p. 258.)
Urban Design
Significant changes have occurred in the past decade in the scope,
substance, and practice of urban design and the manner in which it ad-
dressed the problems of the visual quality of the environment. Contex-
tual alterations precipitated many of these changes. The esthetic qual-
ity of the environment, earlier considered as a need of the socially
elite, became perceived as a societal need. Emphasis shifted from de-
sign as a private sector good for the few to that of a public sector
good to be promoted by government for all Americans. At the same time,
17
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the designers' formal concept of esthetics expanded to embrace cognitive
and behavioral dimensions and the courts furthered the legitimacy of
esthetics as a justification for exercising the police power. While the
incapacity to define esthetics continued to constrain its promotion by
government, agreement was reached as to the esthetic merits of amenities,
natural-resources and historic sites, buildings and districts. (See
Major Changes, pp. 281-284.)
The public commitment to comprehensive visual quality demanded ac-
tive citizen participation in the design process and the explicit consid-
eration and articulation of esthetic values, principles, and criteria.
As a result, the traditional designer—client relationship began to dis-
integrate as did the nature of the design process. The public became an
active participant in the design process, challenging the role of the
designer as the esthetic expert, and the design process itself moved to-
ward greater reliance on scientific methodology and general system!zation.
(See Major Changes, pp. 284-285, 289-291-)
The above contextual changes together with an awareness of the lim-
ited success of the traditional project approach to urban design or to
promote the visual quality of the city as a whole resulted in a second
major change. Designers shifted their emphasis from the design of spe-
cific large scale building projects to one of developing processes and
guidance tools by which the total urban fabric could be improved. As a
corollary, emphasis also changed from a primary concern with design at
the city district level to design at the city-wide level as well. (See
Major Changes, pp. 285-289.)
Finally, the process orientation and the broad social concerns^re-
quired that urban design be closely integrated with comprehensive urban
planning and that it include an overall design framework and guidance
system for implementation. (See Major Changes, p. 29|.)
The limitations of federal urban renewal, the incapacity of cities
to implement redevelopment or achieve satisfactory visual quality, and
the inherent limits of the private sector to provide visual quality for
the general public vitiated the project approach to urban design. Urban
renewal lacked geographic scope and the capacity to follow through
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(federal support was disappearing in any case), and the public sector
lacked the funds and the political support. The private sector lacked
the regulatory powers, access to federal programs, and the capacity to
coordinate development. (See Urban Renewal, pp. 291-295-)
A joint concept approach to project design emerged, involving both
the public and private sectors, which attempted to overcome the individ-
ual limitations of each while at the same time achieving synergistic
benefits with respect to implementation, land use, and economics. (See
Joint Concept Strategy, pp. 295-298.)
Probably the most fundamental change in improving visual quality
occurred with respect to the emergence of the process orientation to
urban design. Two basic models have been employed, one independent of
comprehensive planning studies and programs and the other integrated in-
to these activities. While the latter offers significant advantages,
they both embody the same basic components or phases. (See The Process
Approach, pp. 298-299.)
Phase one includes the inventory and analysis of the relevant attri-
butes of the environment. It includes such elements as building mass,
open space, historic buildings and sites, views, neighborhood boundaries,
micro-climate conditions, and city images. This phase is characterized
methodologically by the use of systematic and objective tools of inven-
tory and analysis. (See The Process Approach, pp. 299-302.)
Phase two is concerned with the formulation of goals and objectives,
defining the future form and quality of the environment. Emphasis is
placed on obtaining citizen input via advisory committees, public hearings,
surveys, neighborhood meetings, workshops and public exhibitions and on
programs of public education to improve the quality of public participa-
tion. (See The Process Approach, pp. 303-304.)
Phase three is directed to defining the design principles which are
used to translate goals and objectives into design plans and policies.
They ar~e formulated in relation to the goals and the objectives and/or
the functions or districts to which they apply. They are not project
specific but are meant to be explicit but flexible guidelines for develop-
ment and review. (See The Process Approach, p. 304.)
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Phase four, using the results of the three preceding phases, focuses
on the development of design policy and framework plans which form the
basis for guiding and promoting visual quality. These can be one ele-
ment of a comprehensive city plan (e.g. San Francisco), a background re-
port for a comprehensive plan (e.g. Los Angeles), or a plan for a specif-
ic district (e.g. San Francisco Northern Waterfront Plan). In addition,
design policy plans are often produced in response to topical problems
and issues or to functional elements. (See The Process Approach, pp. 304-
308.)
The implementation of urban design plans and programs relies largely
on the same basic guidance tools that have been used to a limited extent
since the late 1950's. The emphasis has not been on developing new,
unique tools but on broadening the scope of the existing tools, increas-
ing their capacity to deal with unique conditions, providing additional
flexibility both to the local authority and the designers, and applying
them as a more coordinated and systematic guidance system within an
overaI I design framework. (See Implementing Urban Design Objectives,
PP- 309-309, 312-314-}
In addition to capital improvements, implementation tools are of
three basic types; (I) element-specific ordinances; (2) review processes;
and (3) informal influence. While combinations of these are almost al-
ways employed, their full potential is often not realized. In fact, they
are frequently counter productive. Similarly, only in a few instances is
their full potential obtained by designing them as an integrated guidance
system. (See Implementing Urban Design Objectives, p. 310, pp. 312-314,
and Innovative Guidance Techniques, p. 314.)
The first category includes zoning and subdivision ordinances, den-
sity and bulk controls, visual nuisance regulations, etc. These controls
are more predictable in their results than the others but tend to be
rigid and incapable of dealing with atypical conditions. They tend to
eliminate the worst conditions, and in some cases excellent design, rath-
er than promote the general quality of the environment. Unfortunately,
visual quality objectives are often not considered and they produce
dysfunctional results. (See Implementing Urban Design Objectives,
20
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pp. 309-310, and Innovative Guidance Techniques, pp. 3I4-3I7-)
The second category, review processes, include regulatory review
procedures such as site plan review, architectural control, special uses,
variances, etc. Because of their lack of specificity, considerable
flexibility is provided both the authority and the designer to generate
more desriable solutions and deal with unique situations. In addition,
they provide the authority a broader scope and degree of control than
does the above type. For these reasons, this type of control is be-
coming increasingly popular and has been the subject of greatest innova-
tion. (See Implementing Urban Design Objectives, p. 310, Innovative
Guidance Techniques, pp. 317-321, and Add i t i qnaI Innovat i ve LocaI Too Is,
pp. 332-333.)
The third type of guidance instrument, informal influence, is usu-
aliy thought of in terms of advice. But it also includes that influence
which is brought to bear through remuneration, implicit threat of sanc-
tions, harrassments such as delay, and personal charisma. Potentially,
it is probably the most pervasive form of control in that it can occur
at every contact between the authority and the builder or designer.
Since it operates outside of the context of the police power, it pro-
vides great flexibility and scope. While informal influence can be and
is abused, it provides a powerful source of guidance, particularly as
planners improve their methods, design framework plans and policies, and
make more effective use of remunerative sources. (See Implementi ng
Urban Design Objectives, pp. 310-311.)
The justifications for historic preservation expanded significantly
in the past decade, aligning these activities to a greater degree with
general urban design pursuits and objectives and increasing the scope of
elements of concern. (See Historic Preservation, pp. 321-322.) Changes
in the context of preservation occurred similar to that for urban design
in general and with many of the same implications. Local as well as
national historic sites, buildings, structures, etc., were viewed as
public goods, citizen participation increased, and elements of local
value, sometimes because they were meaningful to the total urban fabric,
achieved significance. (See Contextual Changes in ..., p. 322.)
21
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The National Historic Preservation Act of 1966 played a strong role
in influencing and reflecting these changes. A variety of federal pro-
grams were integrated and considerably more responsibility was placed
upon the states. In addition to providing federal funds for state and
local use, the Act emphasized and encouraged local participation and the
preservation and conservation of elements of purely local value. (See
Contextual Changes ..., pp. 323-324.)
In addition to the above Act, fourteen other federal agencies have
programs significant to historic preservation and conservation. (See
Contextual Changes ..., pp. 324-325.)
Innovation at the local level is characterized by the activities in
several cities. Norfolk, Virginia has created a new "mini-district"
ordinance, which permits the application of historic zoning to a wide
variety of conditions and to achieve a variety of objectives. (See
Innovative Approaches at the Local Level, pp. 326-327.) Conservation
rather than preservation is emphasized in San Francisco and was approached
as an integrated part of a comprehensive urban design program, substan-
tively as well as methodologically. In addition to the conventional ob-
jectives, the program attempts to use all old buildings and districts as
principal ingredients in the urban fabric to achieve temporal continuity
and variety, richness of texture, character and scale, and strong imag-
ability. Districts of special character and natural elements are also
included. (See Innovative Approaches at the Local Level, pp. 327-328.)
In the Pittsburgh program, conservation rather than preservation is also
emphasized in historic residential areas as a means of upgrading. Unique,
in this case, is the attempt to minimize relocation of local residents,
while simultaneously strengthening its social and economic vitality by
bringing in new residents. While this is primarily a private sector
housing program, it is coordinated with community improvements provided
by the public sector. (See Innovative Approaches at the Local Level,
pp. 328-330.)
In addition to these innovations, other noteworthy developments have
emerged. In the area of inventory and analysis methodology, several no-
table improvements have been developed. (See Additional Innovative Local
22
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Tools, pp. 330-331.) In the area of program implementation and guidance
the following tools are recent innovations: preservation restrictions,
sometimes referred to as facade easements (See Additional Innovative
LocaI Too Is, pp. 331-332); development rights transfers (See Additional
Innovative Loca I Tools, pp. 332-333); and the Environmental Tax Protec-
tion Act of 1972. (See Additional Innovative Local Tools, pp. 333-334.)
Noi se
Our overriding conclusion regarding noise residuals in urban areas
is that most local governments and agencies either have not seriously
addressed the problem or have been unable to deal with it effectively.
This is partly true because the most obvious urban noise, aircraft, is
not susceptible to local control. Although local governments can zone
areas and buy land near airports, they have little or no control over
the source of the noise and therefore can formulate only limited solutions,
(See Methods for Problem and Solution Definition, p. 349, and Guidance
Systems, p. 360.)
However, in the realm of other urban noise (ground transportation,
industry, and construction) where local governments could control the
source, the path, and the receptors and formulate comprehensive noise
management programs, there has been almost no activity. In particular,
local agencies rarely enforce their source control ordinances, and do
not consider in their land use or transportation planning the very im-
portant relationships between the source of the noise and the path and
receptor of the noise. (See Methods for Problem and Solution Definition,
p. 349, Guidance Systems, p. 364, and Elements of a Comprehensive Noise
Management Program, p. 347.)
Although present applications of promising planning approaches deal-
ing with urban noise are limited, or quite simplistic, basic concepts
and strategies are beginning to materialize and should be useful in the
I970's. Some of these are:
I. Noise surveys Such surveys measure noise levels, locate noise
sources, and determine human responses; they serve as a basis
for formulating planning solutions, such as noise regulations
23
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in a zoning ordinance or acoustical designs. (See Methods for
Problem and Solution Definition, p. 349.)
2. Cost analyges These studies look at various alternative mea-
sures (insulation, shielding) to obtain desired noise levels at
specific locations and the costs associated with the measures.
These are the only objective monetary analyses available be-
cause damage and benefit functions are unavailable. (See Methods
for Problem and Solution Definition, p. 353.)
3. Noise exposure forecasts Based on projected flight patterns or
transportation flows, these can be illustrated as contour levels
of noise, which can then be related to land use planning, zoning,
and building regulations around airports or highways. (See
Methods for Problem and Solution Definition, p. 355.)
The value of the following guidance tools for noise management de-
pends on a firm base of comprehensive planning approaches as suggested
above and their enforcement, preferably by a separate municipal noise
agency with mobi le meter units.
I. Zon!ng This is often used to keep residential areas away from
airports or other noise sources but could also be used to keep
noise sources out of "protected areas." (See Guidance Systems,
p. 361.)
2. La_n_d acquis! tion and avigation easements These are used to
prevent sensitive receptors from locating near noise sources or
to compensate the receptors for bearing the noise. They may
become prohibitively expensive. (See Guidance Systems, p. 361.)
3. Ord!nances These may include restrictions on automobiles, con-
struction, and industry. They may take the form of performance
standards for industrial zones, building codes, timing of con-
struction, or automobile standards. (See Guidance Systems, p.
364.)
4. Screens, barriers, depressions Such devices alter the physical
path between noise source and receptors and may be useful in
developed areas but would be unnecessary if sources and receptors
were properly located via sound land use planning. (See Guidance
Systems, p. 364.)
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Ai r Qua Iity
Although the problem of air pollution has been recognized for a
long time (in nuisance ordinances, for example) and the federal govern-
ment began air quality programs in 1955, the management approach has,
until quite recently, focused almost entirely on controlling the source
of pollution. The federal air quality management program consists pri-
marily of national standards for ambient concentrations of some specific
pollutants (for example, S0~) and of state implementation plans to meet
the standards. Both elements have tended to focus on reducing the
amount of emissions generated, in other words, controlling the source
of air pollution. (See The National Air Quality Management Program,
p. 370.)
However, certain provisions of the Clean Air Amendments of 1970 and
recent plan implementation guidelines from EPA suggest that source con-
trol is not the only strategy to improving air quality and that a more
comprehensive look at the problem, including relationships to land use
planning is most important. It is now being formally recognized that
air quality is closely related to land use patterns, proximity between
generators and receptors, meteorological conditions, and economic growth
and demands. For example, EPA is requiring that state implementation
plans include projections of economic growth and analyses of "complex
urban sources," such as shopping centers, highways, and utilities and
their direct and indirect effects on air quality. (See The NationaI Air
Quality Management Program, p. 370.)
Because emissions are concentrated in urban areas, because air
quality and land use planning are inextricably interrelated, and because
local governments possess many powers of implementation, the local level
element of air quality management can be very important. This will be
particularly true in the near future if local and metropolitan planning
agencies begin to incorporate air quality objectives and criteria into
their planning programs and acquire the expertise to relate land use
patterns and urban activity to air quality. (See The Necessity for Local
Air Quality Management Programs, p. 376\ and Local Planning for Air
Quality Management, p. 378.)
25
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It is clear that intergovernmental cooperation is necessary for
successful air quality management. The federal government and state
governments play vital roles in relation to uniform standards, strategy
guidelines, financial and technical assistance, and enforcement. Within
this framework, local governments can play equally important roles not
only in terms of implementing specific regulations or enforcement proce-
dures, but also in attacking the roots of the problem via comprehensive
land use planning and guidance systems. Local efforts can be grouped
under the following headings:
I. Advice Local monitoring and information programs and local or
metropolitan review of new urban development plans and projects
are included here. (See Local Planning for Air Quality Manage-
ment, p. 380.)
2. Controls These include emission density regulations to dilute
emissions; air zoning to prohibit certain polluting activities;
special use permits to apply regulations beyond general zoning;
and planned unit development regulations to provide open space
and buffers. These controls are particularly dependent on in-
formed local land use planning. (See Local Planning for Air
Quality Management, p. 381.)
3. Inducements Differential property taxes, effluent or emission
fees, land assembly programs, and utility extension policies are
examples. (See Local Planning for Air Quality Management, p.
387.) :
4. Developments These include provision of planned industrial parks
and open space acquisition to isolate pollution generators and
take advantage of natural assimilation capacities. Urban renewal
can also be used to either eliminate pollution generators or im-
prove spatial patterns. (See Local Planning for Air Quality
Management, p. 388.)
The Current Mainstream in Local and
Metropolitan Planning Agencies
Thus far we have focused on concepts and planning activities that
might be termed "cutting edge." That is, the emphasis has been upon
findings and recommendations in relation to new and improved planning
principles and methods. In contrast, the next section describes, on the
basis of a national survey of planning agencies, the "mainstream" or
26
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commonplace planning processes presently in practice throughout the
country. The precise distinction between what is cutting edge and what
is mainstream may not be completely clear in some cases; however, the
dichotomy has been quite useful as a basic organizing principle in our
research. (See Research Approach, p. 6.) In any case, a survey of
current practice will define what we consider to be the mainstream.
Feeling that we could assess what is predominant practice only
through direct communication with local planners, we undertook a mail
survey of planning agencies. In September 1972, six hundred and two
questionnaires were mailed to a random sample of local and metropolitan
planning directors. The questionnaire was designed to obtain informa-
tion and judgments about agency orientation to environmental planning
and relative importance placed on environmental planning; influential
factors in raising environmental issues at the local level; importance
of environmental goals in various program areas; implementation practices
and their effectiveness; and factors that aid or impede implementation
of agency recommendations. Information on these topics was collected in
a preceded format. The questionnaire also pursued the following ques-
tions in a more open-ended manner: the director's perception of the role
of local government and its planning agencies in promoting environmental
quality; the effect of regional, state, and federal legislation and
organization on local government; and an assessment of such1 legislation
and organization from the position of local government.
Our tight study schedule necessitated an early cutoff date so that
only 185 returns, a 30 percent response, were in hand for coding and
computerizing. Fifteen late returns were included in analyses of open-
ended questions. The composition of responding agencies suggested a
five-level classification, or stratification, for analysis: metropolitan
regional agencies; metropolitan central city agencies; agencies from
other municipalities in metropolitan areas; county agencies within metro-
politan areas; and non-metropolitan city and county agencies.
The information obtained in this survey is definitely mainstream
rather than the cutting edge, or innovative, techniques discussed in the
rest of this report. Questionnaires and random samples cannot ferret
27
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out the relatively rare cutting edge innovations that are just beginning
to appear.
The survey has three shortcomings. First, while excellent sample
frames exist for metropolitan-regional and metropolitan-principal city
agencies, no accurate nationwide sample frame of county and city planning
directors could be found. Hence, the ASPO Planning Advisory Service mail-
ing list was used. Second, the survey respondents probably represent
agencies and directors more interested in planning for environmental qual-
ity than the group that did not respond. Third, since the data were pro-
vided by individuals, they are certain to reflect the particular respon-
dent's attitudes and scope of knowledge about his agency's activities.
However, given these cautions, our data should reasonably reflect current
environmental consciousness and practice in local planning agencies.
Our analyses addressed four topics: general orientation, implemen-
tation influencing factors, and intergovernmental relations.
General Orientation While there is definitely a growing concern
about environmental quality among local agencies, it is a recent phenom-
enon, tending to follow, not to lead, the general national environmental
consciousness. Agencies tend to approach the issue by incorporating
environmental quality goals into an already broad range of concerns—con-
cerns which have the traditional bias toward urban values, comprehensive-
ness, and balance among multiple objectives—rather than by focusing on
individual environmental problems. Also, problems of the manmade environ-
ment (noise, for example) apparently are not viewed as part of the overall
environmental concern. Although many agencies are not setting up sepa-
rate work programs in environmental planning, a few employ staff trained
in environmental fields.
ImpIementation The most effective implementation devices are regu-
lations and public investment, but few agencies suggested public invest-
ment as an appropriate role for local government. Specifically, burning
ordinances, subdivision regulations (especially, for instance, provisions
for burying utilities), planned unit development regulations, floodplain
zoning, open space acquisition, and development of parks and recreation
facilities were suggested as effective implementation methods. Infor-
mation/advice devices, including the various review processes, appear to
28
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be considered generally ineffective, as are some regulatory devices
often linked to environmental planning; for example, litter and noise
ordinances, excavation controls, and large lot zoning incentives, pricing,
and tax policies appear to be little used.
The land use plan, federal and state guidelines, and model codes
are the common bases for determining implementation procedures. Special
environmental studies are seldom used in formulating implementation in-
struments. We feel that our data suggest a need to develop strategies
to encourage local agencies to utilize available environmental informa-
tion in their determination of guidance instruments.
Influencing Factors Factors influencing introduction of environ-
mental issues and those affecting implementation of agency recommenda-
tions are similar: staff attitudes, ideologies, and expertise; local
groups--leg is Iative body, interest groups, commissions and advisory
boards; and higher level government—via federal and state guidelines,
regulations, and funding. However, agency staff and local groups were
listed as influencing factors far more often than higher level govern-
ment. Furthermore, three local factors—governmental fragmentation, dis-
tribution of responsibility among agencies, and dispersal of financial
resources—appear to have the greatest negative influence.
Environmental impact statements, crises, programs of other communi-
ties, and court action were all relatively unimportant influences on the
local scene, according to our respondents. We had hypothesized that
they would be significant and certainly expect them to increase in impor-
tance over the next few years.
Intergovernmental Relations Local agencies seem to feel that higher
level government has a positive impact that is generally not as signifi-
cant as local factors. It is interesting to note that HUD received the
largest number of negative responses. Agencies are not satisfied with
the intergovernmental framework and suggested changes, such as increased
funds, stronger state enabling legislation, and more efficient coordina-
tion among governments, primarily at federal and state levels. Respon-
dents defined local government's role as maintaining community awareness;
implementing regional, state, and federal policies; and addressing
29
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environmental issues that do not extend across jurisdictionaI boundaries.
The overall view gained from this survey is one of considerable environ-
mental concern but of only modest planning and implementation activity with
indirect introduction of environmental goals into a broad range of traditional
urban planning concerns. Local government is currently the weak link in the
intergovernmental environmental policy framework mainly because it lacks
technical capacity and is underutilized by higher levels of government. How-
ever, the findings suggest that local governments do have a strong sense of
responsibility and would respond positively to further encouragement of
greater participation in environmental planning. Any such approach must
recognize, however, that local planning agencies are inclined to incorporate
environmental quality goals into their planning models without changing other
urban values or discarding a comprehensive approach to planning for multiple
objectives. The survey revealed few radical suggestions for solutions and
indicates that local planners are pragmatic and painfully aware of conflicting
objectives and constraints. They are not likely to be receptive to a narrowly
focused environmental sector planning and implementation strategy.
Conclusion
This concludes our summary of findings and recommendations. We hope that
it has given the reader some indication of not only the present state of local
planning for environmental quality, but also the great need and potential for
a much stronger local input to overall environmental management. It is this
need and potential that is the focus of the report.
30
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SECTION II
INTRODUCTION
A. SCOPE AND CONCEPTUAL DESIGN
The environmental consciousness which evolved in the United States
during the 1960's is now beginning to crystallize into a true societal
commitment to the achievement of environmental quality. Reflecting on
the state of the environment and the national commitment to it, the
Citizens' Advisory Committee on Environmental Quality reported in
1972:'
There is much to be encouraged about. Over the last
few years, the Federal Government has taken some
important steps. In early 1970 the Council on
Environmental Quality (CEQ) was established, and
later in the year the Environmental Protection Agency
(EPA). Both of these agencies have already accom-
plished' much. . .and there has been a substantial
increase in the amount of Federal appropriations for
environmental programs. The National Environmental
Policy Act (NEPA) has placed environmental consider-
ations on a par with other factors in the formulation
and administration of Federal programs. Concern for
the environment has been incorporated into an enormous
range of decisions—decisions by individuals, by cor-
porations, by legislatures, and by courts.
Furthermore, largely spurred by federal legislation and citizen
concern, every state has initiated some-action to protect environmental
2
qual ity.
While all these indications of commitment at the federal and state
levels are encouraging and necessary components of a societal commit-
ment to our planet, they are not sufficient. Elsewhere in the same
report, the Citizens' Advisory Committee points out that urbanization
with its concomitant maze of decisions affecting the use, development,
maintenance, and redevelopment of land is perhaps the most important
determinant of environmental quality, particularly the quality of the
31
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urban environment where the vast majority of our citizens live. Most
of these decisions are made at the local level, influenced by local
public investments, regulative ordinances, and economic incentive
devices. The effective participation of local urban government is
crucial, but now its role is weak, underutilized and poorly understood.
Without both a concern for and a capacity to incorporate environmental
goals at the local and regional levels within states, a major portion
of public policy and its influence on urbanization decisions will be
void of purposeful, systematic, and explicit concern for environmental
qua Iity.
There is a need to better understand this critical link in our
societal commitment to environmental quality; to be aware of some of
the more promising efforts to incorporate environmental quality goals
in urban planning at the local level, and to suggest ways and means for
improvement. This need is recognized by diverse groups: federal
bureaucrats and legislators who carry the responsibility for environ-
mental policy at the national level and who want to improve their
understanding of local planning and development controls to be more
effective in influencing urbanization decisions; local officials and
professionals, who feel limited in their technical understanding of the
environmental problem and who are seeking more information about proven
or even promising environmental planning ideas; and environmental
engineers and designers at a I I levels of government, who have tradi-
tionally approached problems with technical solutions, but who are now
realizing the need to understand the more indirect impacts of- their
technical solutions. It is for all of these groups, with their need
to understand the current fact and potential promise of local urban
environmental planning and guidance, that this study has been conducted.
The Research Approach and Objectives
Since there is a certain amount of disparity between predominant
practice and the more rarely found examples of more innovative practices
32
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and conceptual advancement, it is useful to distinguish the mainstream
from the cutting edge. The collective activity of hundreds of municipal,
metropolitan, regional, and state planning agencies comprises the
mainstream of the planning profession. In addition, numerous consult-
ing firms have sprung up, mostly in the mainstream, to provide planning
capabilities to governmental agencies. Comprehensive planning and its
component sectoral studies (land use, transportation, housing, open
space, waste management, public facilities and services, and civic
appearance) have formed the substance of this mainstream at the local
level of government. Making up the cutting edge level of planning
practice and consciousness are a few agencies, academicians, larger and
more innovative consulting firms, special institutes and foundations,
some federal officials, and some federal legislation.
In distinguishing mainstream from cutting edge professional planning
practices for this study, we found it desirable to adopt an unusual
criteria for the latter. Within that category we were attempting to
identify unique and promising approaches. Hence the cutting edge in-
cludes those practices which are promising and have, in addition: (I)
recently emerged as an idea and are being used by only a few agencies;
(2) ideas which are old but which are applied by a few agencies; and (3)
concepts which are old but are only beginning to be put into practice in
the field.
The exchange of information between the two levels is fundamental
to the evolution of the planning field over time. Practices and ideas
at the cutting edge in the sixties (ecological studies and aesthetic
controls for example) are much closer to the mainstream of the
seventies. Along with traditional ideas, the cutting edge of the
sixties has, in fact, helped to carve out what is now the mainstream.
The objectives of the study are to answer the following three
research questions about urban planning agencies at the local and metro-
politan levels of government:
I. What is the mainstream or more predominant state of
environmental awareness and practice which characterizes
most general planning agencies?
33
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2. What, in contrast to the mainstream, are the more
innovative and promising approaches that form the
cutting edge of urban environmental planning and
control?
3. Based on a summary of findings to the first two questions,
what recommendations can be suggested for urban environ-
mental planning and control?
These questions clearly focus on the most poorly understood and
underutilized link in the urban environmental policy chain—the local
environmental planning and control system. Ideally, the environmental
policy chain should integrate national concern and federal and state
policy with the urbanization decisions of individual firms, households,
and local governments. We have found in this study, however, that
most planning for environmental quality at the local and metropolitan
levels of government, including the approaches we consider to be at
the cutting edge, is currently being attempted without much inter-
governmental cooperation. Nevertheless, we also consider state and
federal planning and policies as important factors in the framework
for local planning and guidance.
Defining the Urban Environment and
the Environmental Qua I ity Dimensions for the Study
The scope of this study is limited to the environment of the urban
regions of the United States. We recognize that urbanization is the
driving force of environmental pollution wherever it occurs, even in
rural areas far removed from a city. We realize also that the urban
system is dependent on energy resource extraction and other environ-
mental processes, for an energy circuit or nutrient circuit begins and
ends with the non-urban environment. This study, however, is limited
to the environment of the urban place itself, not including the serious
but further removed problems of urbanization such as resort development
or resource extraction.
34
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The urban environmental system consists of natural elements
(water, land, air, living organisms) and natural processes (energy and
nutrient flows) in an urban ecosystem; manmade urban elements (urban
land uses, transportation systems, water supply and sewerage systems,
production and consumption systems); and very importantly, man himself.
It is only through this three-part system that environmental quality
can be affected by public policy.
The quality dimensions of the urban environment are related to the
environmental goals of safety, health, amenities, aesthetics, and con-
servation of cultural and natural resources, including natural proces-
ses, all of which contribute to the "safe, healthful, productive, and
aesthetically and culturally pleasing surroundings" called for in
Section 101 (b) of the Environmental Policy Act of 1969.
While the scope of environmental systems is limited to urban place
systems, the range of the.quality dimensions within the systems is
broad, including several anti-poIlution goals which characterize EPA's
current focus on the problems of air quality, water quality, and noise
management. However, radiation and pestic'des, two other specific con-
cerns of EPA, are not predominantly urban problems and therefore are
not covered in the report. Ecological goals concerning natural re-
sources within urban regions, energy flows, nutrient cycles, hydrologic
cycles, ecosystem diversity and stability and other natural processes
are included. The conservation of cultural resources in natural and
manmade environments is also included as an aspect of environmental
quality as is the concern for the amenities and aesthetic qualities of
the developing urban environment. Lastly, the renewal of urban manmade
and natural environments is considered an activity within the scope of
environmental quality concerns.
The Environmental Guidance System at the Local Level
At the federal level, the Environmental Policy Act implies an
emphasis on implementation through the planning process. At the more
local levels, it is not sufficient to examine only the activities of
35
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Federal Level
State Level
Metropolitan/Regional Level
and
Local Level Guidance System
Planning Activities
Metropol itan/RegionaI
Plann i ng Act!vi ty
Local Planning Activity
Problem identification
and analysis
Formulation of goals,
objectives, criteria
FormuI at ion of
alternatives
Testing and evaluation
of alternatives
Selection of action
strategies
Other agencies of
government and
Political activities
Planning Outputs
Metropol itan/RegionaI
Decision Guides
Local Decision Guides:
Background reports
Goal plans
Choice criteria
Po I i c i es
Strategies
Impact statements
Soecific plans:
Capital improvements
budgets
programs
proposed action
instruments
(Mostly local)
Action instruments
Ind irect:
police power
i ncentives
Di rect:
public investments
FIGURE 2
ENVIRONMENTAL GUIDANCE SYSTEM
Impact
on
Urban!za-
ti on
and
envi ron-
mentaI
processes/
36
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planning inquiry into goals and objectives, or even the resulting
plans. The impact of local level plans and planning activity on envi-
ronmental decisions is indirect at best. It is therefore essential to
examine governmental activities which influence urbanization and envi-
ronmental decisions more directly—public investments in utilities,
transportation, community facilities, housing, renewal, industrial
parks, and acquisition of open space; regulative instruments such as
zoning and subdivision controls, housing and health codes, burning and
other nuisance laws; and incentives sometimes incorporated in taxation,
annexation, and utility extension policies.
Figure 2 diagrams the local level environmental guidance system
to be examined in this study. It is composed of a series of successive
planning inquiry stages and corresponding outputs. The planning activ-
ities include problem identification and analysis; formulation of
goals, objectives, and decision criteria; formulation of alternatives;
testing and evaluation of alternatives; and selection of action
strategies. The corresponding outputs of these activities by which
planning is implemented include a variety of decision guides and action
i nstruments:
Dec is ion Guides—background studies, goal plans, program plans,
poI icy statements, budgets and capital improvement programs,
and environmental impact statements.
Action Instruments—public actions which impact directly on
the environment (public investments such as waste water treat-
ment plants) or those which impact indirectly by creating
boundary conditions within which urbanization proceeds (zoning
or tax policies).
In this guidance system concept, the action instruments comprise
the core of local governments' actual operations. Planning inquiry
activities, decision guides, political activities, and the work of
other local agencies are major inputs. Planning activities are
addressed to both formulation of various decision guides and develop-
ment and implementation of various action instruments. Decision guides
may affect the urbanization process informally, when they are transmitted
37
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00
f FEDERAL
STATE
METRO-REGIONAL AND
LOCAL LEVEL ENVIRONMENTAL GUIDANCE SYSTEM
Planning Activities
ProbI em Ana Iys i s
Formulating goals,
obj., criteria
Formulating alter-
natives
Testing and
evaluation
Selecting actions
0
PlannIng Outputs
Dec is ion Gu ides
Goal plans
Program plans
Policy statements
Budgets
Capital improve-
ment programs
Impact statements
URBANIZATION
PROCESSES AT
THE LOCAL LEVEL
Urban extension
processes
Obsolescence
and decay |_J\
T/pedeveIopment
0
Act ion Instruments
Regulations
Incentives
Public investments
ENVIRONMENTAL
SYSTEMS (ELEMENTS
AND PROCESSES)
Ecosystems
Air
Water
Land
Organisms
Energy flows
Nutrient flows
rV
Other influences *-
and actors _
Manmade urban
environments &
their operation
Urban land use
Movement systems
Envi ronment
support system
(water/sewerage
systems)
ENVIRONMENTAL
QUALITY
CONSEQUENCES/
CRITERIA
Safety
HeaIth
Amenities
•Aesthetics
Conservation
of naturaI
processes
Conservation
of cultural
resources
Maintenance of'
physical
elements
3. Man
Other
Consequences
Cost
Efficiency
Public and Political Feedback Affectinq Societal Environmental Consciousness
Planning Feedback,- Monitoring, Changing Consciousness Overtime
FIGURE 3
FRAMEWORK TO GUIDE THE STUDY OF URBAN PLANNING AND CONTROLS FOR PROMOTING ENVIRONMENTAL QUALITY
-------
to the public as official advice or information, and formally, when
they are translated into regulations, incentives, and public investments.
A valid examination of environmental planning and controls at the
local level involves examination of planning activities, decision
guides, and action instruments which together form the local environ-
mental guidance system. Although the focus here is clearly at the
local level, Figure l-l is drawn to suggest that state and federal
environmental guidance systems, within which the local and metropolitan
levels function, are also a part of the picture.
The_Urbanization System at the Local Level
There is a third and very critical system, the urbanization system,
intervening between many guidance system elements and urban environ-
mental quality. Urbanization, as used in this study, refers to the
process by which the individual urban environment changes over time.
This is a slightly limited definition compared to the usual connotation
of the word urbanization. Here it centers on the extension process by
which a city grows, the processes of obsolescence and decay in the
urban physical plant, and the redevelopment or recovery of manmade and
natural environments. Figure 1-2 diagrams the critical role of urbani-
zation in the framework guiding this study. Although some environ-
mental guidance system instruments may be aimed directly at the environ-
mental systems of water, air, land, and so on (for example, building a
public sewage treatment plant or requiring abatement devices on indus-
trial smoke stacks), others act through the private-public urbanization
processes to affect the environment indirectly (for example, subdivi-
sion regulations requiring dedication of open space). Yet other instru-
ments (for example, purchase of open space and building a dam or levee)
directly participate in the urbanization process to affect environ-
mental quality while at the same time have developmental side effects
on later private urbanization decisions.
39
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Footnotes
1. Citizens' Advisory Committee on Environmental Quality, AnnuaI
Report to the President and to the Council on Environmental Quality
for the Year End ing May 1972 (Washington, D. C".': SuperinterTdent
of Documents, U. S. Government Printing Office Cno date]), p. 7.
2. Ibid., p. 7.
3. Ibid., p. 12.
40
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B. ORGANIZATION OF THE REPORT
The report is organized into four parts along the lines of the
research questions. The intent in so doing is to reinforce the inde-
pendency of each part, thereby making it possible for the reader to
easily isolate those matters related to his or her particular interests.
Part I presents the objectives, scope and conceptual framework of
the study. It defines the three research questions and sketches a
framework to guide examination of these questions. In addition, this
chapter presents the organization of the report.
Part 2 focusses on the changing awareness and current practices
in promoting environmental quality through urban planning and controls
in local and metropolitan planning agencies. Chapter 3 attempts to
characterize the past trends in practice and orientation of local plan-
ning agencies. In addition to comprehensive planning, the trends in
three sectors of planning activity are examined. The information is
based on an examination of the literature and some original documents,
together with interviews with experts in the field. The investigation
was hasty; there are probably omissions and biases reflecting our own
interpretations and experience. The cutting edge and mainstream tend
to be mixed together. It is meant neither to be definitive nor exhaustive
but simply to provide a general perspective for investigating and better
understanding the current state.
Chapter 4 presents the current state of practice and awareness.
It is based upon responses from a survey of local and metropolitan
general planning agencies throughout the United States. We have
attempted to distinguish more explicitly between mainstream and cutting
edge in discussing the current state of events. Thus, Chapter 4 is
intended to'be clearly mainstream.
41
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Together Part 2 characterizes the mainstream state and trends of
planning for environmental quality by local and metropolitan general
planning agencies. It provides a basis for better understanding where
we are and where we are going, and for identifying promising new
approaches, the subjects of Part 3 of this report.
Part 3, encompassing Chapters 5 through 8, addresses promising
ideas and practices at the "cutting edge" of four major planning
activity sectors relating to environmental quality: land use and
comprehensive planning controls; planning and control systems for the
water-land use interface; urban design and control systems; and residual
management (limited to noise and air quality). These four chapters are
the heart of the report.
The inventory and assessment of cutting edge ideas and practices
in Chapters 5 through 8 are based on examination of the literature and
original documents as well as on field investigations stemming from the
study team's prior knowledge in this subject area along with selected
leads from a survey of planning agencies and the literature. In addition
to correspondence, via mail and telephone, the followups included field
visits to nine metropolitan areas: Northeastern Illinois, Minneapolis,
Southeastern Wisconsin, Dallas, San Antonio, Cincinnati, Boston,
Durham, N. C., and Huntington, New York. In addition, spokesmen for
several environmental planning approaches and programs around the
country visited with the study team at the Center for Urban and Regional
Studies in Chapel Hill.
No short, single-shot effort at summarizing the cutting edge of
promising ideas and practices in any field as broad as urban environ-
mental planning and controls can be complete and unbiased, however
intense the study may be. Thus, this part of the report features a
discussion of a limited number of examples of the major types of inno-
vation at the cutting edge. The emphasis is on integrating these
examples into a coherent perspective on local urban environmental
planning and control using the guidance system framework.
42
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Part 3 is organized so that each chapter may be read independently
of the others. For example, a person with particular interests in
land use, water resources, urban design or noise and air quality manage-
ment may proceed directly to that chapter. A detailed chapter outline
precedes the first page of each chapter.
Together, Parts 2 and 3, the mainstream of predominant practice
and the cutting edge of promising approaches characterize planning for
environmental quality in local and metropolitan agencies. Together
they provide the foundation from which to build the guidance system
recommendations of this report.
Part 4, the summary, serves several purposes. Written as an
abbreviated overview, it summarizes the conclusions and recommendations
of Part 2 and 3 and has an annotated index to specific topics and pages
in the earlier chapters.
We have presumed that a I I parts of the study will not be equally
relevant to its readers. The report is structured, hopefully, to satisfy
the majority of these varying interests. The reading of Part II is not
necessary for Part III, nor vise versa. Each of the chapters of Parts
II and III are relatively autonomous and can be read independently. For
those who desire, the summary chapter may itself suffice. It, however,
together with the outlines at the beginning of each chapter are recom-
mended as a basis to begin reading the report. They should assist the
reader in obtaining an overview of the report, finding those particular
sections of most interest, and finally, in using the report as a
reference after its first reading.
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SECTION III
CURRENT AWARENESS AND PRACTICE
A. PERSPECTIVES OF THE 60'S
The I960's were a period of social turmoil in the U. S. as citizen
pressure led to increasing governmental interest and intervention into
issues of racial discrimination, social and economic equality, and the
participation of all citizens in the public decision-making process.
Most sectors of society were affected as the "New Frontier" melded into
the "Great Society." The problems were great, but there was hope for
solutions. However, the war in Southeast Asia intervened, drawing off
resources needed to build the "Great Society." Student unrest, growing
racial tension generated by actions that did not live up to promises,
and finally the growing realization that the very system which had pro-
duced the "affluent society" was also poisoning the environment all
played a part in forcing the country to look at itself and its problems
i n a new Ii ght.
Within this context, which was not generally concerned with envi-
ronmental quality as we know it today, we can identify some events
that demonstrate an emerging search for environmental quality as a
societal commitment. They did not, of course, come out of a vacuum.
Concern for the environment can be traced back to the mid 19th century
and was an important element in the Conservation Movement of the early
I900's, and of many New Deal programs of the 1930's. Rapid economic
growth after World War II intensified public concern for air and water
pollution. Spurred by the emerging problem of smog in the Los Angeles
basin, California passed an air pollution control law in 1947. The
U. S. Congress legislated for control of water pollution first in 1948,
44
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and followed with further legislation on air and water pollution during
the 1950's.
But, it was in the 1960's that the issues of the environment exploded,
From Rachel Carson's Si lent Spri ng, published in 1962, through Robert and
Leona T. Reinow's Moment in the Sun (1967) to Ralph Nader's Van ish i ng Air,
which appeared in 1970, it was evident that many people were becoming
concerned about the environment. Conferences, presidential messages,
and technical studies all contributed to the growing national awareness
that led to federal and state legislation on open space, land use, air
and water pollution control, wilderness preservation, noise pollution,
solid waste disposal, historic preservation, Model Cities, and much more.
Despite this spreading awareness of environmental problems, urban
planners did not lead the fight for environmental quality as we know it
today. Throughout the 1960's, planners continued to struggle — suc-
cessfully in many areas — for public effectiveness and acceptance, but
2
the planning field itself suffered from considerable internal strife.
This "identity crisis" was partly due to expansion of, specialization
within, and pol iticization of the field. But, it also resulted from the
public's negative reaction to planning's physical orientation, and plan-
ners saw a need to show their concern with social planning rather than
merely with physical issues. In addition, local political power tended
to set the planner's agenda, and this group was not interested in the
issue of environmental quality. Consequently, environmental quality was
a second order priority, at best, in most urban planning operations.
Comprehensive Planning
Surprisingly, comprehensive planning, the major activity of city
planning during the '60's, gave relatively little attention to environ-
mental quality issues. According to one of the planning profession's
standard operating manuals, the comprehensive plan "is an official public
document adopted by a local government as a policy guide to decisions
about the physical development of the community. It indicates in a gen-
eral way how the leaders of the government want the community to develop
45
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in the next 20 to 30 years." Comprehensive planning, however, has not
been truly all embracing but has focused on issues of physical develop-
ment — location, size, and spatial relationships of urban activities.
During the '60's, the controversy over the scope of comprehensive plan-
ning centered on whether social, economic, fiscal, and administrative,
as well as physical matters should be included. After years of this
debate, urban planners are still advised to keep the master plan's
4
focus on physical development. Despite this physical emphasis, com-
prehensive planning's treatment of environmental quality has been inade-
quate. Most master plans take a cursory look at the natural environment,
and superficially discuss the interface between the natural and manmade
environments. Natural environmental systems have been seen as recipi-
ents of development, and the only stated quality criterion was that
this development meet some nebulous standard of human toleration.
The Emergence of Sector Planning
During this same period, sector planning emerged. Commonly a part
of comprehensive planning, such sectors as land use, transportation,
open space, and the like were given superficial and limited treatment
and developed on their own. The environmental activities of the various
sectors can be grouped in three categories: urban spatial structure
(conservation, desirable spatial arrangement, and accessibility); urban
design (aesthetics); and urban environmental management (managing natural
resources and residuals of urban activities).
Urban Spatial Structure
Three types of planning activity fall under this heading: land use,
open space, and transportation.
Land use planning and controls Most dimensions of environmental
quality can ultimately be traced, at least in part, to decisions con-
cerning the utilization of land. Not only does land use impinge on other
environmental elements but also land itself is a scarce and valuable re-
source. With the exception of land owned by the federal government, land,
46
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in the I960's, was not normally considered a natural resource in the same
sense as air and water. Instead, land use planning, which was often syn-
onomous with master planning, was typified by continuous'methodologicaI
refinement. An emphasis on data collection was part of what was consid-
ered a movement to transfer land use planning from an art to a science.
The emphasis in the standard literature was on land use survey techniques,
forecasting space requirements, population trend prediction, determination
of economic need, and land use modelling.
According to prevailing practice, land use planning was based on the
anticipation of urban growth as reflected by population forecasts. Tracts
of land were-eva I uated for the amount of predicted future development they
could hold. Elements such as soils, slopes, floodplains, and other physi-
ographic features were considered only insofar as they affected the suit-
ability of the land for urban use. Relatively little, if any, discussion
of the impact of urban use on natural environmental systems can be iden-
tified in land use plans. The emphasis was on the impact of the natural
environment on urban use and the extent to which it limited development,
rather than the impact of development on land and other natural eco-sys-
tems. Where environmental quality was considered explicitly, it was in
terms of health and safety.
Land use was generally considered a matter of local concern, and
there was very little official state or national interest in the utili-
zation of land at the urban and regional scale. At the federal level no
stated land use policy for non-federal lands existed. The Soil Conser-
vation Service, Department of Housing and Urban Development, Department
of Transportation, Department of the Interior, and several other agencies
all had land use or land use-related programs and activities but there
was no coordinated attempt to treat land as a critical environmental
resource. Scattered and incomplete federal policies relating to land
use and planning appeared to rely on the wisdom and expertise of local
level professional planners for proper guidance. Though the importance
of guided land management for environmental quality was recognized by a
few individuals — both within and outside the federal establishment —
there was no translation of this concern into public policy. A few states
47
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began to reassert their legal authority over land use decisions. Signi-
ficant examples include the Hawaiian Land Use Law, the San Francisco Bay
Conservation and Development Commission, the Maine Site Location Law,
o
and the Massachusetts Wetlands Protection Program.
Land use controls themselves did not undergo significant changes
in the I960's. With the exception of state involvement in land use
control, changes which did occur had emerged in the late 1950's and
became strong trends and in many cases the general practice in the
60's. There was considerable activity in the further system!zation
and sophistication of controls, including the development of performance
standards. The demand for greater flexibility in land use controls in-
9 10
creased. Planned unit development and cluster development became
relatively wide spread as did the use of more performance oriented bulk
and density standards, special conditions, special exceptions, special
uses, and special districts. The broader environmental quality impli-
cations of these tools were one of their major attractions but while
these often were used to achieve esthetic and amenity objectives, they
were less frequently used to achieve other environmental quality objec-
tives. Variations on existing land control devices developed such as
easements and capital improvement programming. Other new proposals
included land banking and, in an effort to overcome the fragmentation
of land use planning controls, some states moved toward state control
of land use policy.
Finally, there was a movement to establish entirely new frameworks
for planning and managing urban development. The two most important
examples were (I) the conceptual formulation of the urban development
guidance system; and (2) the American Law Institute's Model Land
Development Code — prepared to supersede existing planning and regula-
I 4
tory enabling legislation. These stressed the necessity for a more
dynamic, coordinated, and flexible approach to land use planning and
urban development.
On balance, most land use planning during the sixties dealt with
environmental quality only in a superficial and one-sided manner. The
conceptual advancement that did occur, especially in the areas of the
48
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land-environmental systems interfaces and planning-control system link-
ages, will undoubtedly contribute positively to a reoriented land use
planning in the seventies and eighties.
Open space planning Planning for the conservation and development
of open spaces emerged during the fifties and evolved as one of the major
sub-fields of urban planning during the sixties. So fervent were its
members that open space planning at times held the aura of a full-fledged
social movement. This is not surprising since it was, in reality, part
of the century-old conservation movement.
The first national commitment to open space was made in the Housing
Act of 1961. In establishing a federal grant-in-aid program to assist
local and state governments in acquiring open space land, Congress listed
four purposes for this law: (I) to help curb urban sprawl; (2) to pre-
vent the spread of blight and deterioration; (3) to encourage more econ-
omic and desirable urban development; and (4) to help provide necessary
recreational and conservation areas.
The Housing and Urban Development Act of 1965 expanded the open-space
land program to include urban beautification and improvement. It also
authorized special grants for the provision of open space land in builtup
urban areas. It made explicit the need for identifying open space
within urban areas as well as regional open space around urban areas. HUD
has stated that the trend during the sixties was to fund projects "where
the people are" and cites the fact that the number of projects over 500
acres have decreased from fifteen percent to three percent while projects
under ten acres have increased from 13 to 32 percent.
Along with the federal initiatives in the open space sector, the
nineteen-sixties saw continuing conceptual and methodological development
in this field. The overriding concern of experts and novices alike was
the threat of urban sprawl "using up" unspoiled land resources. Ecological
concerns were introduced into the planning profession through open space
studies. Marion Clawson, for example, stated that one of the functions of
open space is to provide "ecological protection of important values, such
as recharge to groundwater, or prevention of flood damage in flood-prone
49
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areas, preservation of unique areas, and the like." Ian McHarg and
his associates innaugurated a new regional planning approach which com-
bined ecology, open space planning, and design.
A landmark study in the field was Ann Louise Strong's Open Space
I o
for Urban America, prepared for HUD's Urban Renewal Administration.
Her recommendations indicate the significant management orientation
which characterized open space planning during the sixties. The books,
articles, and other documents dealing with open space were rich with
recommendations for guidance system instruments to achieve open space
needs. This may have been the most implementation-conscious field of
planning at the time. Unfortunately, the concrete results of open space
planning were not as noteworthy and plentiful as were contributions to
19
the literature. Fee simple acquisition remained the dominant approach
to implementing open space proposals and the amount of land reserved for
open space was relatively small.
Transportation planni ng With a heavy emphasis on engineering, ur-
ban transportation planning has existed, for several decades, both with-
in the mainstream of planning concern and without as a separate field.
Though transportation has traditionally been included in the comprehen-
sive planning process, many cities and metropolitan areas have had
separate planning and transportation agencies. As a result, transpor-
tation decisions were made independently of any thorough examination of
policy priorities for the urban area. Since Mitchell and Rapkin wrote
20
Urban Traffic: A Function of Land Use, a somewhat tenuous alliance
has emerged.
In general, transportation planners were not concerned with envi-
ronmental issues as defined here. Though there were certainly numerous
2|
conservation-transportation confrontations during the sixties, social
and economic demands far outweighed environmental pressures. Their
primary endeavor was the accommodation of an increasingly mobile society
with a continuously inadequate transportation system. Also evident in
the literature is a considerable preoccupation with theoreti'cal and
technological refinement of transportation planning methodologies and
50
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techniques. There was considerable discussion of forecasting and model-
ling, but almost no soul searching with respect to the role of transpor-
tation in the larger urban areas.
While some transportation planners espoused a concern for environ-
mental quality, this was for the most part in the prevailing planning
context of the period rather than with respect to natural systems. Even
in this context, however, it was assumed that these matters would be
handled by land use planners, transportation engineers, and landscape
architects. As will be noted later, a concern for the visual and amenity
quality of highways was manifest during this period, but this was pri-
marily the concern of engineers, planners and designers.
Urban Design
Conservation efforts directed at aspects of the natural environment
had their beginnings in the mid-nineteenth century. Concern for the
built, urban environment is much more recent. Starting with the Housing
Act of 1949, the federal government began its series of programs aimed
at these problems. Physical deterioration is the environmental quality
dimension around which each of the programs has — at least in part —
been formed.
Urban renewal The renewal process was characterized by two phases:
(I) the clearance phase (designation, relocation, acquisition, clearance),
and (2) the rebuilding phase. This process was reinforced by the federal-
local government partnership provided for in the legislation. The federal
government set standards and provided financial assistance for clearance.
The local government, in partnership with private business, and with
grants in aid from the federal government if needed, rebuilt the cities.
The standards set by the federal government dealt primarily with defini-
tion of "built;" eligibility requirements for grant-in-aid programs;
funding ratios; and relocation policies. Other programs included strong
citizen participation, and anti-discrimination policies in all aspects
of the process. Except where other federal programs (public housing)
were to be part of the rebuilding, the federal government limited its
impact primarily to the first phase of the renewal process. Local
51
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governments, in partnership with private business, carried the responsi-
bility for building environmental quality back into renewal areas.
The urban renewal program as established by the Housing Act of
1949 took a narrow, unidimensionaI approach to the problem of a deteri-
orating urban environment. That approach was "slum clearance" which
operated on the notion that eliminating the physical s urn would solve the
attendant social, economic, and health problems. The Housing Act of
22
1954 extended the re-newa I concept from "slum c learance" 'to include
preservation and rehabilitation. The 1959 amendments to the 1949 Act
created the "Community Renewal Program" (CRP) and provided for greater
federal involvement in the renewal efforts of local communities by in-
creasing both the dollar amounts of grant-in-aid and the types of grant-
23
in-aid programs available for renewal. By the late 1950's, the urban
renewal program was losing its unidimensionaI character as it attempted
to broaden its scope to include more social factors and to expand its
approach to include rehabilitation and code enforcement.
The Demonstration Cities and Metropolitan Act of 1966 (Model Cities)
marked one of the last significant changes, during this period, in fed-
eral attention to problems associated with deterioration of the built,
urban environment. In theory, the 1966 Act emphasized the physical,
social, and economic dimensions of urban problems. In implementation,
however, the social and economic dimensions received most of the
attention.
The changes in the renewal concept during the 60's, from a main-
stream point of view, were primarily: (I) making renewal more compre-
hensive by increasing the number of influencing factors to which renewal
efforts must respond; (2) making renewal activities more participatory,
increasing the role of the general public in the decision process; and
(3) making the renewal process itself more sophisticated with the devel-
opment and use of new methods and techniques of planning. However,
underlying these prominent, visable changes were also changes in the
orientation to the urban environment and its relationship to man.
Aesthetics, amenity, and quality of life were concerns which acted as
common threads throughout the 60?s.
52
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Local governments in conjunction with planning and design consultants,
local special interest groups, and private developers carried the primary
responsibility for defining and filling environmental quality objectives
in the rebuilding phase. The urban renewal concept provided some impor-
tant implementation possibilities for the inclusion of environmental
quality objectives. For example, large-scale sites allowed a project to
pursue multidimensional objectives; public ownership of the land provided
opportunity for economic incentives to facilitate the inclusion of aes-
thetics and amenities as well as the ability to build in control packages
that were unacceptable under general zoning controls; and at least con-
ceptually, the possibility was there to carry through a comprehensive
planning-design-construction program from start to finish. However, local
governments were primarily interested in removing the gray areas around
the CBD to revitalize commercial and/or industrial activities in the cen-
ter city.
Urban renewal also provided the opportunity for the formulation of
a new design orientation. With urban renewal providing large sites, the
opportunity for increasing the scale and diversity of the design product
was available. Whole "communities" offering a wide range of activities
could be'created in the rebuilding process. At this scale of design a
muItidiscipIinary approach was needed, one that could synthesize, at the
boundary, the roles fulfilled by architecture, landscape architecture,
and planning. The mid 50's saw this rebirth of the concept of urban de-
sign. However, urban design seemed to concentrate on traditional con-
cerns of formal expression, symbolism, and aesthetics as determined by
elite tastemakers. This orientation, coupled with a lack of substantive
knowledge concerning the relationship between the user and the environ-
ment, resulted in projects which were often highly praised by the design
professions, but which prove unlivable to the users. The actual impact
of urban renewal was disappointing. The limited scope of redevelopment,
relocation of residents, and the failure to actually implement many of
the plans were viewed as major drawbacks. The inability of the public
authorities to provide more than the barest functional necessities in
53
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their capital improvement projects was seen as a serious drawback by
24
those concerned with visual and amenity quality.
Planning for aesthetic objectives Aesthetics, amenity, and other
"higher order" needs have been important to many individuals for a long
time, but aesthetics was considered a personal, not a public, concern.
It was not unti I the early I960's that aesthetics began to be discussed
in its own right. Growing concern about and interest in citizen par-
ticipation in public decision-making required that the elitist tenden-
cies of public "tastemakers" be modified or abandoned. Since the aes-
thetic principles proved hard to define, efforts were concentrated in
areas where general agreement could be reached: (I) amenity, which
can be defined in terms of thi ngs — benches, trees, and so on; (2) the
assumption that nature is inherently beartiful; and (3) preservation of
historic buildings and areas.
Four program areas involved planning for aesthetic objectives:
(I) open space and beaut ification; (2) highway protection; (3) community
appearance programs; and (4) historic preservation.
Open space and beautification One of the first federal programs to
25
deal directly with aesthetic objectives was Title VII, open space land.
26
This program
"authorized $50 million in federal grants to states and
localities to pay up to 30 per cent of the cost of
acquisition of land in and around urban centers to create
open space areas for recreational, conservation, scenic
and historic purposes."
The next significant change in open space/urban beautification came
with the HUD Act of 1965 (PL 89-117). This act was passed after the
President's 1965 message to Congress on natural beauty and the White House
Conference on Natural Beauty (May 24-25, 1965). It reflects what might
be the federal high water mark on "beautification." The major change
was to increase the scope of the program from "preserving" to providi ng,
preservi ng, and develop i ng open space land.
Highway protection From the mid 50's to the mid 60's there were
three significant state projects which provided solid experience for
54
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programs of highway beautification: (I) the Wisconsin ten year, fifty
million dollar program of resource development, including scenic roads,
recreation, and conservation; (2) California's work on an official scenic
highway program, including two reports, A Preliminary Plan for Scenic
Highways in California (1962) and The Plan for Scenic Highways in
CaIi fornia (1963), resulting In the California Legislature designating
4,900 miles of state highway routes "State Scenic Highways" (July 1963);
(3) the reports to the joint fact-finding committee on highways, 'streets,
and bridges of the Washington State Legislature calling for additional
27
scenic areas along the state highways of Washington.
On October 22, 1965, the Highway Beautification Act of 1965 (PL 89-
285) was passed. It contained three important provisions: (I) 10 per
cent of federal-aid highway funds could be withheld if effective pro-
visions to control outdoor advertising were not made by the state; (2)
a new program was developed to control junkyards along interstate and
primary system highways; (3) 3 per cent of federal-aid highway funds
could be provided annually (without matching funds) to states for land-
O Q
scaping and scenic enhancement.
Community appearance programs Local authorities' concern for com-
munity appearance which emerged in the I950's, continued to develop in
the 1960's. The courts (Berman v. Parker, for example) continued to
expand the acceptance of the police power to achieve aesthetic objec-
tives making possible increased use of zoning powers for this purpose.
Architectural control, or design review — generally aimed at cer-
tain elements and sections of cities or towns — expanded rapidly during
this period. For the most part these were unrelated to comprehensive
design programs or policies. Many communities created public or private
beautification commissions, depending on an advisory review protocol to
influence developers. In most cases, no sanctions existed except those
which were implicit in any public-private relationship at the local level.
In addition, some commissions carried out beautification programs or
encouraged private sector organizations to undertake such activities.
Consistent with this emphasis on appearance, many cities, concerned
with protecting the public's ability to see particular points of aesthetic
55
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quality, adopted zoning regulations to protect certain views. Many com-
munities adopted ordinances for the provision and protection of trees in
public areas and some required their planting in new residential
subdivisions.
Historic conservation Generally, activities in this area can be
characterized as being in the private sector, implemented by non-profes-
sionals with an orientation toward preservation of unique, individual
buJIdings of significance. To a small extent, preservation was attempted
at the local level through the use of architectural controls in historic
districts. This use of the police power was justified under the general
welfare clause.
In several isolated instances during this period, significant pres-
ervation of historic areas took place within the context of the urban
renewal program, for example, Providence, R. I., Philadelphia, and Boston.
The late 60's saw historic preservation grow from a plaything for
antiquariats to a public program for environmental conservation. The
scope began to change from concern with architecturally and historically
significant buildings and districts, to include elements of local culture
and visual value. The federal government not only enlarged the national
register for historic sites but also encouraged, through incentives
(matching funds), establishment of state registers and employment of
systematic survey methodologies.
Urban Environmental Management
Water Qua Iity Controlling water quality has traditionally been re-
garded as a responsibility of state and local governments. However, be-
cause of the general unwillingness and/or inability of these governments
to deal effectively with the growing problems of water pollution, the
federal government has become an increasingly important force in water
quality management. Although federal measures to control water pollution
have been introduced periodically since 1886 and a few significant laws
passed (for example, Refuse Act of 1899, Oil Pollution Act of 1924, Public
Health Service Act of 1912), the first significant federal studies of the
water quality problem were undertaken in the I930's by the National
56
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Resources Committee and its successor, the National Resources Planning
Board. The NRG set up the Special Committee on'Water Pollution which
produced a series of reports recommending federal action in cooperation
29
with state agencies. The first federal program for water quality con-
trol was established by the 1948 Water Pollution Control Act. The federal
role in this program was secondary to state and local action but included
technical and financial assistance, surveys, loans for treatment plants,
and a weak enforcement procedure to abate public nuisances. In 1956
this program was made permanent (PL 84-660) and somewhat stronger.
The I960's saw rapid change in the federal water quality program.
Two initial forces were the National Conference on Water Pollution in
December I960, and the 1961 Senate Select Committee reports on national
water resources. In July 1961, new Federal Water Pollution Control Act
Amendments increased construction grants and state program grants, ex-
panded the weak enforcement procedures to a I I navigable waters, increased
research programs, and authorized storage in federal reservoirs for low-
flow augmentation. However, these amendments still did not face the
question of effective federal enforcement and thus did little to improve
water qua Iity.
Following a study by a Senate Special Subcommittee on Air and Water
Pollution, the Water Quality Act of 1965 was passed. The Act authorized
the establishment of state-federal standards and created the Federal
Water Pollution Control Administration in the Department of Health, Edu-
cation and Welfare (which was shifted to the Department of the Interior
in 1966). This act was a milestone in the federal water quality program
since it was the first significant step toward formulation and enforcement
of a national water quality policy.
In spite of this apparent progress, dissatisfaction with the results
remained high; new water quality reports and proposals for further reform
appeared and much concern was manifested in Congress: The National
Academy of Sciences' National Research Council published a comprehensive
32
study of environmental pollution; a President's Science Advisory Commit-
tee made a report recommending extensive augmentation of federal measure's;
Senator Muskie's Subcommittee published its findings calling for massive
57
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increases in construction grants; and the White House proposed a "Clean
Rivers Restoration Act" calling for regional pollution control. n re-
sponse, the Clean Water Restoration Act was passed, increasing construc-
tion grants up to a possible 55 per cent of the cost, expanding research
and training programs, and providing up to 50 percent grants for state
planning on a regional basis. Also in 1966, President Johnson via an
executive order (# 11296) broadened the federal flood control program
to include non-structural measures such as flood plain development con-
trols and flood hazard information and insurance programs. It took un-
til 1970, however, for development of national integrated policy on
water quality to be developed.
Water quality: local action The basic urban approach to water
quality management (and water resource development in genera!) has been
an engineering one in which the overriding objective is the provision
of efficient systems to meet increasing demands. The institution to
accomplish this has generally been a single-purpose, operation oriented,
somewhat autonomous city department or metropolitan district. This ap-
proach has produced good results in terms of the quality and dependa-
bility of water supply and wastewater disposal services, but it has been
very slow to adapt to shifting urban needs, broader objectives, and new
technology. Although this urban approach did not change much in prac-
tice during the 1960's, there has been considerable awareness, in the
literature and at conferences, of the need for change, especially for
more integration between water resource planning and development and
land use planning and controls.
Water quality management became the basic urban water resource con-
cern during the I960's. This was partly because of the rapid urbaniza-
tion and accompanying degradation of the environment but was also a
direct result of the Water Quality Act of 1965 and the subsequent for-
mulation of state water quality standards.
The local water quality planning and guidance system has developed
mostly since 1965. It basically consists of FWPCA (now EPA) and HUD
grants and guidelines, state standards and enforcement, and local physi-
cal development. This system has not been very effective for many
58
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reasons, including the fact that city planning departments were primarily
interested in metropolitan growth and service extensions rather thqn in
actual management of water quality.
Ai r qua Ii ty Unti I the middle 60's, the control of air pollution was
a local responsibility and was generally included under nuisance powers
which were an unworkable means of addressing widespread pollution problems.
The only urban area with effective control was Los Angeles County. The
unique situation there — frequent temperature inversions and vast sources
of pollution — led to great public support for pollution control measures
34
which were developed about twenty years ahead of the rest of the country.
Air quality management at the federal level had its great awakening
and basic legislative formulation in the 1960's with passage of the Clean
Air Act of 1963 (partially a result of the failure of states and cities
to take action); the Motor Vehicle Air Pollution Control Act (1965); and
the Air Quality Act of 1967 which established the first comprehensive fed-
eral involvement in air quality management, using the same principle of
state-federal standard setting as the Water Quality Act of 1965. However,
the great push in implementation was yet to come via the Clean Air Amend-
ments of 1970.
Noise control Noise pollution was virtually unrecognized as a prob-
lem until the I960's. Even though some states and many cities had noise
ordinances (on mufflers, for example), they were seldom enforced and
generally not seen as part of an overall environmental noise problem. The
major exception to the lack of interest in noise control is Memphis,
Tennessee, a city which has had an effective noise abatement program since
1940. The program included an operational noise ordinance, a new zoning
ordinance using noise control as one of its determinants, strict enforce-
ment of the ordinance, and an effective public education and participation
program. In 1965, New York enacted a highway anti-noise law. California
followed in 1967. Also in 1967, New York City established a Bureau of
Noise Abatement and drafted a citywide noise ordinance.
At the federal level there has been little action and most of that
has been directed toward aircraft noise control. In 1967, President Lyndon
Johnson established the Federal Interagency Aircraft Noise Abatement
59
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Program. Since then, the Federal Aviation Administration has issued
noise standards for aircraft, and NASA has demonstrated new technology
to cut down on aircraft noise. In other fields, the Department of
Labor has issued federal standards for occupational exposure to noise
(1969), and HUD has issued interim standards for housing site location
to reduce the effects of noise. However, as in other areas of envi-
ronmental pollution, the most significant federal step in noise control
came in 1970 under the Clean Air Amendments (PL 91-604) where Title IV
provides for the establishment of an Office of Noise Abatement and Contro
in the Environmental Protection Agency.
60
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Footnotes
Mel Scott, American City Planning Since 1890 (Berkeley, University
of California Press, 1969) pp. 554-562.
7
Robert L. Williams, "The Planner and His Profession: A'Mid-Century
Profile," Planning 1964 (Chicago, ASPO) pp. 93-95.
Alan Black, "The Comprehensive Plan," in Principles and Practice of
Urban Planning, William I. Goodman, editor (Washington, ICMA, 1968)
pp. 349-371.
4|bid., p. 358.
See F. Stuart Chapin, Jr., Urban Land Use Planning (Urbana:
University of Illinois Press, 1965); and Shirley Weiss, "Land Use Studies,"
in Principles and Practice of Urban Planning, William I. Goodman, editor
(Washington, ICMA, 1968) pp. 106-136.
F. Stuart Chapin, Jr., Selected References on Urban Planning Concepts
and Methods, monograph, Department of City and Regional Planning, University
of North Carolina, Chapel Hill, 1969, pp. 309-321.
The awareness of land use significance is reflected in two workshops
held at ASPO conferences during the sixties: (I) "Bases for Urban
Development: Air, Soil, Water," in Planning 1963; and (2) "The Deteriorating
Environment," in Planning 1966 (Chicago, ASPO, 1966).
Q
Fred Bosselman and David Callies, The Quiet Revolution in Land Use
Control, prepared for the Council on Environmental Quality (Washington:
U. S. G. P. 0., 1971).
Urban Land Institute, Technical Bulletin No. 40, pp. 9-22.
0,
9
'ibid., pp. 23-25.
Richard B. Andrews, editor, Urban Land Use Policy (New York: The
Free Press, 1972). Daniel R. Mandelker, Managing Our Urban Environment
(Kansas City: The Bobbs-Merri I I Company, Inc., 1971). Robert E. Coughlin,
"Programming Public Facilities to Shape Community Growth," A Place to Live,
Yearbook of Agriculture, 1963.
I 2
Marion Clawson, Suburban Land Conversion in the United States
(Baltimore: The Johns Hopkins Press, 1971). Samuel E. Wood, "We Can End
the Manmade Mess," Planning 1966 (Chicago, ASPO, 1966) pp. 179-186.
61
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F. Stuart Chapin, Jr., "Taking Stock of Techniques for Shaping
Urban Growth," JAIP, May 1963, pp. 76-87. David Heeter, Toward a More
Effective Land Use Guidance System: A Summary and Analysis of Five
Major Reports, ASPO, PAS Report No. 250, 1969. Edward J. Kaiser,
"Planning Urban Development Guidance Systems for Local Government," a
paper presented at the Annual Meetings of the American Institute of
Planners, San Francisco, October 1971.
14
American Law Institute, A Model Land Development Code, tentative
draft #1, 2, 3, Philadelphia, 1968.
I5PL 87-70,
I6PL 89-117.
Marion Clawson, "Open (Uncovered) Space as a New Urban
Resource," in The Quality of the Urban Environment, Harvey S. Perloff,
editor (Washington, D. C.: Resources for the Future, 1969) p. 140.
I 8
Ann Louise Strong, Open Space for Urban America (Washington, D. C.:
U. S. G. P. 0., 1965) p. ix.
19
For one case study of open space planning in action see David A.
Wai lace and WiI Iiam C. McDonnelI, "Diary of a Plan," JAIP, Vol. 37,
No. I, January 1971, pp. I 1-25.
20
Robert B. MitchelI and Chester Rapkin, Urban Traffic, a Function
of Land Use (New York: Columbia University Press, 1954).
21
Some of these cases are discussed in A. Q. Mowbray's Road to Rui n
(Philadelphia: J. B. Lippincott Company, 1968).
22Housing Act of 1954, PL 83-560.
23Housing Act of 1959, PI 86-372, 73 Stat. 672.
74
John Fisher-Smith, Urban Design Process: A Paper Concerning the
Role and Impact of Design in the Development of Total Urban Environment.
A paper prepared for the U. S. Department of Housing and Urban Develop-
ment on behalf of the National Commission on Urban Problems, July 1968,
pp. I 1-16.
25Housing Act of 1961, PL 87-70.
9^
"Administration Wins Victory on Housing Bill," C Q Almanac, 1961,
p. 188.
97
There were two reports:' Wolfe, Norton, and Cohn, Criteria for the
Establishment of Additional Scenic Areas (Seattle: University of Washington,
1962); and Norton and Robertson, Recommendations for the Establishment of
Additional Scenic Areas Along the State Highways of Washington (Seattle:
University of Washington, 1964).
62
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9R
"The Highway Beautification Act of 1965," C Q Almanac, 1965, p. 726.
29
See National Resources Committee, "Water Pollution in the U. S.:
Third Report of the Special Advisory Committee on Water Pollution," House
Document No. 115, 1939.
See N. William Hines, Public Regulation of Water Quality in the
United States, National Water Commission, December 1971, p. 466.
U. S. Department of Health, Education, and Welfare, Proceedi ngs of
the National Conference on Water Pollution (Washington: Government
Printing Office, 1961); and U. S. Senate, Select Committee on National
Water Resources, Committee Print No. 29, "Water Requirements for Pollution
Abatement," 81st Congress, 1st Session, 1961.
32
National Academy of Sciences, National Resource Council, Waste
Management and Control, Washington, 1966.
Daniel Okun, "Tomorrow's Methods to Provide Tomorrow's Service,"
JAWWA, Vol. 58, No. 8, August, 1966.
34
See George Hagevik, Decision-Making in Air Pollution Control
(New York: Praeger, 1970).
Claude Armour, "Noise Abatement — Memphis Style," in Barbara Woods,
ed., Eco solutions: A Casebook for the Environmental Crisis (Cambridge:
Shankman, 1972).
Council on Environmental Quality, Envi ronmentaI Qua Iity (1st Annual
Report), Washington, D. C., 1970.
63
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B. THE CURRENT SCENE IN LOCAL & METROPOLITAN PLANNING AGENCIES
Following an historical perspective the question'naturaIly arises:
where is the mainstream of awareness and practice in planning for envi-
ronmental quality in local and metropolitan general planning agencies
today? The purpose of this chapter is to answer that important question
by reporting the results of a survey of a broadly representative nation-
al sample of local and metropolitan planning agencies conducted in the
fa I I of 1972.
We utilized a mail survey of planning agencies because literature
sources and experience, however adequate as sources for an historical
perspective, inevitably lag behind the current scene, especially a
scene that is changing so fast. Only those on that local scene, cur-
rently practicing in the nation's many city, county, and metropolitan
agencies know what is happening in their local areas at the moment.
In contrast to the historical perspective in the previous chapter,
which treated both mainstream and cutting edge developments, this
chapter will definitely emphasize the mainstream. Questionnaires and
random samples cannot ferret out the relatively rare cutting edge in-
novations that are just beginning to appear.
Summary
In September 1972, six hundred and two questionnaires were mailed
to a random sample of local and metropolitan planning directors. The
questionnaire was designed to obtain information and judgments about
agency orientation to environmental planning and relative importance
64
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placed on environmental planning; influential factors in raising environ-
mental issues at the local level; importance of environmental goals; im-
plementation practices, their effectiveness and the factors that aid or
impede implementation. Information on these topics was collected in a
preceded format. The questionnaire also pursued the following questions
in a more open-ended manner: the director's perception of the role of
local government and its planning agencies in promoting environmental
quality- the effect of regional, state, and federal legislation and or-
ganization on local government; and an assessment of such legislation
and organization from the position of local government.
Our tight study schedule necessitated an early cutoff date so that
only 178 usable returns, a 29 per cent response, were in hand for coding
and computerizing. Fifteen late returns were included in analyses of
open-ended questions.
The analyses addressed four topics: general orientation, implemen-
tation, influencing factors, and intergovernmental relations.
General Orientation While there is definitely a growing concern
about environmental quality among local agencies, it is a recent phenom-
enon, tending to follow, not to lead, the general national environmental
consciousness. In addition to the problem of building staff competence
in environmental fields, the local political climates are probably an-
other reason for this lag. Agencies tend to approach the issue by in-
corporating environmental quality goals into an already broad range of
concerns — concerns which have the traditional bias toward urban values,
comprehensiveness, and balance among multiple objectives — rather than
by focusing on individual environmental problems. Also, problems of the
manmade environment (noise, for example) apparently are not viewed as
part of the overall environmental concern. Although many agencies are
setting up separate work programs in environmental planning, few
employ staff trained in environmental fields.
Imp I ernentat ion The most effective implementation devices seem to
be regulations and public investment, but few agencies suggested public
investment as an appropriate role for local government. Specifically,
burning ordinances, subdivision regulations (especially, for instance,
65
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provisions for burying utilities), planned unit development regulations,
floodplain zoning, open space acquisition, and development of parks and
recreation facilities were suggested as effective implementation methods.
Information/advice devices, including the various review processes, ap-
pear to be considered generally ineffective, as are some regulatory de-
vices often linked to environmental planning, for example, litter and
noise ordinances, excavation controls, and large lot zoning incentives.
Pricing, and tax policies appear to be little used.
The land1 use plan, federal and state guidlines, and model codes are
the common bases for determining implementation procedures. Special en-
vironmental studies are seldom used in formulating implementation instru-
ments. We feel that our data suggest a need to develop strategies to
encourage local agencies to utilize available environmental information
in their determination of guidance instruments.
Influencing Factors Factors influencing introduction of environ-
mental issues and those affecting implementation of agency recommenda-
tions are similar: staff attitudes, ideologies, and expertise; local
groups — legislative body, interest groups, commissions and advisory
boards; and higher level government — via federal and state guidelines,
regulations, and funding. However, agency staff and local groups were
listed as influencing factors far more often than higher level govern-
ment. Furthermore, three local factors — governmental fragmentation,
distribution of responsibility among agencies, and dispersal of finan-
cial resources — appear to have the greatest negative influence.
Environmental impact statements, crises, programs of other communi-
ties, and court action were all relatively unimportant influences on the
local scene, according to our respondents. We had hypothesized that
they would be significant and certainly expect them to increase in impor-
tance over the next few years.
Intergovernmental Relations Local agencies seem to feel that higher
level government has a positive impact that is generally not as signifi-
cant as local factors. Of the federal agencies, HUD received the largest
number of negative responses. Agencies are not satisfied with the inter-
governmental framework and suggested changes, such as increased funds,
66
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stronger state enabling legislation, and more efficient coordination
among governments, primarily at federal and state levels. Respondents
defined local government's role as maintaining community awareness; im-
plementing regional, state, and federal policies; and addressing environ-
mental issues that do not extend across jurisdictionaI boundaries.
The overall view gained from this survey is one of considerable
environmental concern but of only modest planning and implementation
activity with indirect introduction of environmental goals into a broad
range of traditional urban planning concerns. Local government is cur-
rently the weak link in the intergovernmental environmental policy
framework mainly because it lacks technical capacity and is underuti-
lized by higher levels of government. However, the findings suggest
that local governments do have a strong sense of responsibility and
would respond positively to further encouragement of greater participa-
tion in environmental planning. Any such approach must recognize, how-
ever, that local planning agencies are inclined to incorporate environ-
mental quality goals into planning and decision making without changing
basic urban values or discarding a comprehensive approach to planning
for multiple objectives. The survey revealed few radical suggestions
for solutions and indicates that local planners are pragmatic and pain-
fully aware of conflicting objectives and constraints. They are not
likely to be receptive to a narrowly focused environmental sector plan-
ning and implementation strategy.
The Sample and Questionnaire
The survey utilized a stratified random sample of local and metro-
politan planning agencies in the United States. A random sample design
was selected to achieve a broadly representative and unbiased picture.
The sample was then stratified to assure an adequate sample size in each
of four important categories of planning agencies: metropolitan regional
agencies, planning agencies of the metropolitan central cities, suburban
and non-metropolitan city agencies, and county planning agencies. It
67
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was hypothesized that these categories of agencies and their jurisdic-
tions might have significantly different perceptions and experience about
environmental problems, planning approaches, and the relative importance
of environmental quality compared to other items on their governmental
agendas.
The questionnaire was designed to obtain information and judgments
from the planning director about his agency's orientation to environ-
mental planning and its relative importance, influential factors in
raising environmental issues at the local level, the importance of en-
vironmental goals in various planning program areas in which the agency
engages, the agency's implementation practices and their effectiveness,
and factors that intervene positively or negatively in the implementation
of the agency's recommendations. Information in these areas was collected
in a preceded format. The questionnaire also pursued the following
questions in a more open-ended manner: the director's perception of the
role of local government and its planning agencies in promoting environ-
mental quality; the effect upon local government of the framework of
regional, state, and federal legislation and organization; and an assess-
ment of that framework from the position of local government. The
questionnaire is reproduced in the Appendix.
Six hundred and two questionnaires were mailed to planning directors
in early September of 1972, approximately 150 in each of the four strata.
By October 15, the cut-off date necessitated by a tight study schedule,
185 returns were in hand, representing a 30 per cent response rate. Of
these, 178 were usable. The answers were coded and the data were put
on the computer. Fifteen additional later returns were included in the
analyses of the open-ended questions concerning the intergovernmental
framework, which were not coded for the computer. A breakdown of sample
size, number of returns, and the number of returns usable in the final
analysis, by stratum, is provided in Table I.
The composition of responding agencies suggested that the original
four-level stratification used for sampling be converted to a five level
classification for analysis: metropolitan regional agencies, metropolitan
68
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TABLE 1
THE STRATIFIED RANDOM SAMPLE
DESIGN AND THE DISTRIBUTION OF RESPONSES
Planni ng Agency
Samp Ii ng Strata
Identi f ication
Number Number
i n of
Sample Responses
Number
Usable
for
Ana lysis
Description of new
strata more suitable
for ana lysis of data
Metropolitan-
regional agency 137
Central city agency
i n metro-area I 58
Other municipalities 147
Counties 160
40
40
Metropolitan-
regional agency
Central city agency
i n metro-area
Other municipalities,
SMS A
Counties, SMSA
Cities and counties,
non-SMSA
TotaIs
602 185 178
(30$ response
rate)
A total of 7 returns turned out to be from joint city-county agencies
which did not fit into any one of the analytic categories — 3 from
principal city stratum, and 2 each from "other municipalities" and
"counties" strata. These 7 were dropped from the sample for all
ana Iyses.
69
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central city agencies, agencies from other municipalities in metropol-
itan areas, county agencies within metropolitan areas, and finally non-
metropolitan city and county agencies. The first four categories of
agencies are all located in metropolitan areas while the fifth group
contains only non-metropolitan city and county agencies (including 13
municipal planning agencies and 23 county planning agencies). This five
level breakdown enables an additional significant distinction to be made
between metropolitan and non-metropolitan agencies while maintaining a
sufficient number of responses in each of five categories to assure some
degree of confidence when generalizing findings, either within or among
categories. The distribution of useable responses by region and five-
level stratification is shown in Table 2.
Before reporting the results from the analyses of the survey data,
a few words of caution are necessary. First, while excellent sample
frames exist for metropolitan regional and metropolitan principal city
agencies, no accurate nation-wide sample frame of county and city plan-
ning agency directors could be found. Hence the American Society of
Planning Officials' list of 615 Planning Advisory Service subscribers
in these two strata was used as the best available sample frame of names
and addresses. The ASPO sample frame is likely to be biased toward
larger agencies with bigger budgets and more progressive and aggressive
programs as well as higher probable levels of interest in environmental
problems. Hence, the responses from municipal and county agencies are
likely to represent proportionately more environmentally aware and ac-
tive programs than would a sample drawn from a more balanced sample
frame.
Secondly, the 29 percent who responded to the questionnaire are
likely to represent agencies and directors more interested in planning
for environmental quality and more actively engaged in it than the 70
percent who did not respond. This would produce further bias toward
higher levels of environmental consciousness and practice in the sample
responses.
Thirdly, we should not lose sight of the fact that the data are
provided by individuals within an agency and in response to a mailed
70
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TABLE 2
DISTRIBUTION OF USABLE RESPONSES BY EPA REGION AND PLANNING AGENCY SAMPLING STRATA
(D
(D
CO
-------
questionnaire. Questions were carefully phrased to call for responses
reflecting agency views and practice rather than those of the individual
answering the questionnaire, but the data are certain to reflect the
particular respondent's attitudes and the scope of his knowledge about
the agency. Two persons in the same agency or the same person on an-
other day might answer some of the questions differently.
For these three reasons, then, the data are not as reliable and
unbiased as data gathered through examination of records, direct obser-
vation in the field, or even personal interviews. Nevertheless, the
survey does provide a usable and timely reading not otherwise available
on local level environmental planning. Normal precautions and proce-
dures of social science methodology were observed in sample design and
selection, questionnaire design, mail survey procedures, and data pro-
cessing. Within reason, keeping in mind the cautions mentioned above,
the data should be a reasonable reflection of environmental conscious-
ness and practice today in metropolitan and local planning agencies.
General Orientation to Environmental Planning in
Local and Metropolitan Planning Agencies
The genera! orientation of local and metropolitan planning agencies
to promoting environmental quality is estimated in the survey in five
ways:
I. the agency's definition of environmental planning;
2. the past and current relative importance of environmental
problems in the agency's area of jurisdiction (city, county,
metropolitan area);
3. the number of staff personnel trained in environmental
f ields;
4, whether environmental planning exists as a separate work
program; and
5. the role of environmental quality in the more traditional
planning programs engaged in by the agency.
72
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What is Environmental Planning Anyway?
The little boy in the cartoon was walking past a junk-
yard heaped with old cars and asked his father, "That's
a lot of environment, isn't it?" The boy is a pretty
good analyst of the contextual meaning of words.
Public discussion of environmental problems has pro-
duced the quick association: environment — pollution.
Environmental planning is becoming antipollution
planning.
This quote represents one view of what environmental planning is.
It, along with three other common representations of environmental plan-
ning were presented to respondents, who were asked to choose the one
that best expressed their agency's viewpoint. The question was asked in
the following manner:
Which one of the following phrases best expresses your
agency's view of environmental planning?
a. Provision of anti-pollution systems and controls
b. Designing urban environments for human use
c. Integrating man-made and natural systems
d. Protecting natural eco-systems
The anti-pollution view is meant to characterize the field of envi-
ronmental engineering, the current focus of the Environmental Protection
Agency with its emphasis on air and water quality, solid waste manage-
ment, radiation, noise and pesticides, and the conceptualization of
these problems as one of reduction of harmful residuals through changes
in production processes or modification of residuals after generation,
e.g., sewage treatment. The phrase, "designing urban environments for
human use," is meant to characterize the profession of urban design with
its emphasis on designing, enhancing, or preserving attractive and func-
tional man-made urban environments for the use and enjoyment of human
beings. The phrase, "integrating man-made with natural systems," is
meant to characterize those approaches seeking the best of several
worlds, looking for a balance between nature's values and the demands
of urban man pursuing both his economic development goals and a man-made
environment coincident with the community's perception of the good life
including a high standard of living, economic development, economic
73
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efficiency, and social equity. The last of the four phrases, "protec-
ting natural eco-systems," was meant to characterize the viewpoint of
the conservationist oriented movement in which protecting ecosystems from
environmental alterations that disrupt the basic energy flows or nutrient
cycles is the primary objective and natural system constraints are re-
garded as having overriding importance in allocating urban growth.
Table 3 summarizes the responses by planning agency type. The
predominant sample wide response was clearly "integrating man-made and
natural systems." Central city and other municipal agencies within
metropolitan areas, however, were about as likely to define environ-
mental planning as "designing urban environments for human use." Met-
ropolitan city agencies, particularly those of the central city, repre-
sent areas almost entirely built-up and are therefore going to be es-
pecially concerned with the man-made urban environment, perhaps more
than with the problems of balancing urban growth with natural processes
on the urban fringe. For this reason, their pattern of having two
equally predominant responses, one of which emphasizes the quality of
the buil't environment, is understandable.
These results suggest that environmental planning within urban
planning agencies reflects its context — a planning organization of
broad concerns, having the traditional bias toward urban values, compre-
hensiveness in approach, and belief in a balance among multiple objec-
tives. Environmental problems and the goal of environmental quality tend
to be added to and perhaps integrated with the other problems and goals
on the local agenda. Neither the sector planning response (anti-pollu-
tion systems) or the conservationist response to urban growth (protecting
eco-systems) is very commonly held in metropolitan and local planning
agencies today.
Relative Importance of Environmental Problems
As another dimension of metropolitan and local planning agencies'
orientation to environmental planning, respondents were asked to indi-
cate the relative importnace of environmental problems in their juris-
dictions. The following question was asked: From your agency's point
74
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TABLE 3
VIEWS OF THE MEANING OF ENVIRONMENTAL PLANNING,
BY AGENCY TYPE
View of
envi ronmenta 1
p lann ing :
"Envi ronmenta 1
planning is
ma i n 1 y : "
Percentages
Metropol
Metro Central
Agency City
Percentages
for full
by Type of Planning Agency sample
itan Area
Other County
Munici-
pa 1 i ty
Non-
Metro
City
&
County
Provision of anti-
polIution systems
and controls
Designing urban
environments for
human use
Integrati ng man-
made and natural
systems
Protecting natural
65%
1%
45%
4\%
45%
112
\4%
45%
9%
24%
24%
5\%
eco-systems
N =
\5%
(40)
1%
(29)
5%
(37)
52%
(28)
\5% \5%
(34) (168)
X - 24.7 with 12 d.f., sig. @ .02 level.
75
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TABLE 4
IMPORTANCE OF'ENVIRONMENTAL PROBLEMS
IN THE AGENCY'S JURISDICTION
Responses indicating level of importance Percentage Distribution
of Responses:
1960's Present
Our most critical problem
Critical, but not most critical
Important, but not critical
Relatively unimportant
N=
1%
\2%
46$
34$
(153)
26%
44%
28%
2%
(170)
Note: There were no significant differences in response between types
of planning agencies.
76
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of view, how important are environmental problems in your agency's
jurisdiction? In the I960's? Presently? The percentages of agencies
giving each of four possible responses is summarized in Table 4.
The responses support the argument made by Galloway and Huelster
that the planning profession has followed rather than led the national
2
awareness of the natural environmental crisis. In the I960's, less
than 20 percent of the agencies regarded environmental problems as
critical and one-third thought them unimportant. Currently 70 percent
regard them as critical problems, 26 percent as the most critical prob-
lem in the agency's jurisdiction, while only 2 percent regard them as
unimportant.
Environmental Planning as a Distinct Work Activity of the Agency
As a third measure of a planning agency's general orientation to
environmental issues, respondents were asked to state whether "environ-
mental planning" had been established as a distinct work activity by
the agency. As shown in Table 5, about 40 percent of the agencies have
established such a separate activity. Thus, even if environmental prob-
lems have only recently come to be realized as critical in metropolitan
and local planning agencies, a considerable proportion of these agencies
have begun establishing environmental planning as a distinct work activ-
ity. This is especially true of metropolitan agencies as well as prin-
cipal cities and counties in metropolitan areas.
Within the scope of these separate environmental planning programs,
agencies tended to include activities addressing land use, open space,
water and sewer, and solid waste. These topics were included in well
over 50 percent of the environmental planning programs with exception of
metropolitan cities which did not include water and sewer programs under
environmental planning. Transportation, housing, and design and appear-
ance were included slightly less often — 40 to 50 percent of the re-
sponses. No other area of planning was included in over 30 percent of
these distinct environmental planning programs. Surprisingly, this
group included such topics as air quality (included in 24 percent of
77
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TABLE 5
PERCENTAGES OF AGENCIES HAVING ENVIRONMENTAL PLANNING
AS A SEPARATE WORK ACTIVITY, BY TYPE OF AGENCY
Type of Planning Agency
Percentage having
established environmental
planning as a separate
work activity
Metropolitan
Principal City in metro area
Other municipality in metro area
County in metro area
County not in a metropolitan area
Overall Sample percentage
5\%
55%
28%
2\%
78
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environmental planning programs), noise (22 percent), and historic con-
servation (30 percent).
Environmental Quality as a Goal
In the Agency's Other Planning Program Areas
Regardless of whether or not the agency was engaged in a separate
and distinct environmental planning program, respondents were asked
whether they were engaged in any of a list of fairly common program areas
that might be related to environmental quality and if engaged therein,
how important the environmental quality goal was to that program area.
Table 6 summarizes the result. The table lists the program areas in
order of the importance of the environmental quality goal to the program.
The table shows that the goal of environmental quality as conceived by
the respondent, was most likely to be considered very important to water
and sewer, open space/recreation, and land use programs. Thus, of those
engaged in these programs, 70-80 percent say environmental quality is a
very important goal in these programs. It is least likely to be consid-
ered an important goal for historic preservation, noise, and design and
appearance programs where only 30-40 percent of those engaged say envi-
ronmental quality is a very important goal. Apparently, the problems of
the man-made environment itself, represented by programs in noise, his-
toric conservation, and appearance are not part of the environmental
problem in the view of the sample agencies. Although interesting, these
results are difficult to interpret without having a more precise and con-
stant definition of environmental quality than was allowed the respondents
by this survey.
Environmental Expertise on Planning Staffs
As a final measure of a planning agency's general orientation to
environmental issues the questionnaire asked about the presence of per-
sonnel with training in environmental fields on the agency's staff.
Table 7 shows the number of agencies within each agency type, which
have at least one person trained in the environmental field listed in the
left column. The total number of agencies of each type and the average
79
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TABLE 6
PROPORTION OF AGENCIES ENGAGED IN VARIOUS PROGRAM AREAS AND
THE ASSESSMENT OF IMPORTANCE OF ENVIRONMENT QUALITY GOAL
TO THE PROGRAM
(all Figures are percentages)
Relative importance of environmental
Program
areas
Water & Sewer
Open space/
recreation
Land Use
Sol id wastes
Ai r qua 1 i ty
Redevelopment
Transportation
1 ndustr ia 1
Deve lopment
Hous i ng
Design & Appearance
Noise
Historic preservation
qua 1 ity goa 1 for the
agency is
Very
Important
80$
74
71
60
54
53
48
47
44
37
34
34
engaged in
Moderate!
Important
19%
21
25
35
32
30
39
38
39
48
46
40
program if
the program
y SI ightly or
not import
\%
5
4
5
14
17
13
16
18
16
20
26
Proporti on
of sample
z$ r\f^r\f" i OQ
dy cJHU 1 c?b
engaged in
program
68$
97
98
57
19
49
80
58
83
67
31
51
80
-------
number of planners on their staff is displayed at the bottom of the table
for comparison with the figures in the body of the table.
Only a small minority of agencies have personnel trained in an envi-
ronmental field other than architecture and landscape architecture. Even
in these more traditional environmental design fields, over half the agen-
cies have no one. Thus while there are indications of increasing recogni-
tion of environmental quality as a concern for local and metropolitan
agencies and increasing activ
agencies are able to back up
staff trained in environmenta
n summary, the following four points can be made about the general
orientation of local and metr
jpolitan planning agencies to environmenta]
qua Iity :
I. Environmental planni
agencies, is interpr
and natural systems.
i ncIination toward
objectives, only som
disi ncli nation to gi
urban values altoget
cities in metropoli
also often interpret
for human use." Env
as anti-poI Iution pi
systems in any of th
surveyed.
2. There is definitely
qua I ity in I oca I and
a recent phenomenon,
ty in planning agency work programs, few
his increasing concern and activity with
fi elds.
ig, to local and metropolitan planning
ted as the integration of man-made
This interpretation suggests an
searching for a balance among multiple
of which are environmental, and a
fe up the traditional bias toward
ler. In central cities and other
tfen areas, environmental planning is
3d as "designing urban environments
ronmentaI planning is seldom defined
anning or as the protection of eco-
five types of planning agencies
a growing concern for environmental
metropolitan agencies, but it is only
tending to follow the general national
awareness rather thah lead it. In addition to the problems
of building staff conpetence we suspect that the local poli-
tical climate througi the sixties, within which planning is
practiced, provides
some of the reason for this lag.
3.
This increasing commi
levels is demonstrat
which are establ ish i
mental planning, and
of environmental qua
common planning prog
water and sewer, and
itment at the local and metropolitan
d by (a) a large proportion of agencies
ng distinct work programs in environ-
even more commonly, (b) the addition
ity as a goal within traditionally
'ams at the local level — land use,
open space/recreation. Even those
separate and distincff programs being established in
81
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TABLE 7
NUMBER OF AGENCIES HAVING PERSONNEL TRAINED IN
ENVIRONMENTAL FIELDS
Envi ronmentaI
Fie Ids of
Tra i n i ng
Metropolitan Areas
Number of Number
Metropolitan- of
reg ionaI Centra I
agencies City
Number Number
of other of
munici- County
pa I ity
Number
of non-
metro
city &
agencies agencies
Agencies county
agencies
Arch i tecture/urban
des ign
Landscape architecture
Environmental sciences/
engi neer i ng
Environmental planning
Ecology/natural sciences
Environmental health
15
13
6
2
0
13
8
3
8
1
10
4
2
3
0
1 1
4
8
3
0
9
3
2
2
0
Total number of agencies 40
in sample stratum
Average size of profes- 10
sional staff
33
12
40
29
36
82
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environmental planning within these agencies tend to feature
land use, water and sewer, open space and solid waste manage-
ment rather than programs in noise, historic preservation,
design and appearance, or even air quality, all of; which would
seem to be just as directly aimed at environmental problems.
The clearly increasing concern and level of environmental
planning activity is not yet backed up with staff personnel
trained in environmental fields.
Implementation of Environmental Quality Objectives
In addition to environmental planmaking activities, implementation
devices and problems are important concerns in the pursuit of environ-
mental quality objectives. The discussion below deals with the range
of controls, incentives, and other devices used by local government,
sources of information and backup studies used in their formulation,
and the effectiveness of these devices in actually achieving environ-
mental qua Iity.
Effectiveness
Regulatory tools Table 8 sums the sample respondents' assess-
ment of the effectiveness of various regulatory tools in achieving envi-
ronmental quality. The types of regulatory tools have been listed in
approximate order of their rated effectiveness taking into account the
proportion of agencies which rated a tool as "very effective," the pro-
portion of agencies which rated it at least "moderately effective," and
the proportion of agencies which rated it "not effective." The most
effective tools are at the top of the list and the least effective at
the bottom. The figures in parentheses following the description of
each regulatory tool indicate the percentage of agencies in jurisdic-
tions where each tool is used. Only those agencies in jurisdictions
which used a regulatory tool rated its effectiveness.
The most effective regulatory tools for achieving environmental
quality, according to the sample respondents in metropolitan and local
planning agencies, are burning ordinances, subdivision regulations
83
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TABLE 8
REGULATORY TOOLS LISTED IN ORDER OF EFFECTIVENESS
INI ACHIEVING ENVIRONMENTAL QUALITY*
(most effective are at top of the list)
Type of control Percentages of Respondents using the tool and
($ of agencies using it) rating the tool as:
Very Moderately Slightly Not
Effective Effective Effective Effective
Most Effective
Burning ordinance (68$)a 46$ 36$ 16$ 2$
Burying utility lines req't.
in subd. ordinance (48$) 43 39 16 I
Subdivision regulations
generally (86$) 34 46 18 2
Planned unit development (75$) 44 37 16 4
Public water & sewer req's ,
of subd. regs. (75$) 45° 31 20 4
Flood plain zoning (42$) 40 35 24 2
Less Effective
Conservation easements (13$) 29 48 24 ' 0
Historic preservation con-
trols (24$)C 32 41 27 0
Marshland controls (19$) 33 58 3 6
Historic district zoning
(23$)C 29 41 29 0
Effluent ordinances (47$) 33 58 3 6
Health/sanitation ordi-
nances (78$) 32 44 22 3
Special district,zoning,
generally (32$) 21 60 17 2
Density zoning (57$) 27 47 24 2
Dedication of open space
req'ts of subd. regs. (58$) 33 37 25 5
Preservation of trees req'ts
of subd. regs. (37$) 31 37 26 6
Performance standards (43$) 23 53 18 6
Emissions ordinance (46$) 25 51 19 6
Tree ordinance (25$) 19 48 31 2
Utility & other easements
(66$) 35 33 21 II
Sedmentation/eros ion
controls (25%) 13 54 33 0
BuiIding ordinance (83$)e 30 34 26 9
84
-------
TABLE 8 (continued)
Least Effective
Large lot zoning (2+ acres)
(3250
Excavation controls (49/0
General zoning ordinance (90%)
Appearance ordinance (13$)^
Sign ordinance (12%)
Special use/variance
mechanisms (84$)
Agricultural zoning (40/0
Housing codes (73$)
Noise ordinance (30$) .
Litter ordinance (51 %r
22
17
14
9 -
15
21
18
12
13
1 1
50
45
56
50
43
41
32
50
23
38
20
36
26
41
36
25
36
26
47
40
9
3
5
0
6
14
15
12
17
1 1
*0rder has been determined by considering the percentage of responses in
"very effective" category, number in "very effective" plus "moderately
effective" categories, and percentage of response in "not effective"
category.
Principal cities of SMSA's much more likely to use a burning ordinance
(88$); and counties much less (46$)
Municipalities in SMSAs more likely to rate public water and sewer re-
quirements within subdivision regulations as a very effective tool.
Principal cities of SMSA's more than twice as likely as others to use
historic districting (47$) and historic preservation controls (56$)
Principal cities of SMSA's twice as likely to use special district
zoning (56$ vs 20 to 30$)
0
Municipalities in SMSA's more likely to use building ordinances (95$)
than other jurisdictions
Municipalities in SMSA's much less likely to use large lot zoning (10$
vs. 50$ for other agency types)
^Non-principal cities in SMSA's are 3 times as likely to use appearance
controls (28$ vs. 8$ for other agency types)
Municipalities in SMSA's less than half as likely to use agricultural
zoning (20$ vs. 50$)
Municipalities in SMSA's more than twice as likely to use noise ordi-
nances, (45$ vs. 18$ for other agency types)
Principal cities of SMSA's more likely to use litter ordinances.
85
-------
(especially those with clauses calling for burying utility lines and
those linking subdivision approval to policies about the provision of
public water and sewer), planned unit development regulations, and
floodplain zoning. The least effective regulatory tools in achieving
environmental quality were litter ordinances, noise ordinances, housing
codes, agricultural zoning, special use permits and variances, sign
ordinances, appearance ordinances, the general zoning ordinances, exca-
vation controls, and large lot zoning.
Incentives, public investment, and information/advice approaches
Similar questions were asked and analyses made of the effectiveness of
other action instruments in the guidance system — namely incentives,
public investment and information/advice instruments. The results are
summarized in Table 9, organized along the same rules as the previous
table. Open space acquisition, parks and recreation facilities, sewer
and waste water treatment facilities, utility expansion policies and
water supply development are the more effective guidance instruments
for achieving environmental quality according to the respondents in our
sample. The package of information/advice instruments, including
various review processes are rated the least effective.
Information and Studies Used in Determining
The Substance of Implementation Instruments
One indication of the nature and extent of environmental consider-
ation in implementation instruments is provided by a review of the infor-
mation and studies used in determining these instruments. Respondents
were given a list of studies and sources of information and asked to
check those used directly in determining the substance of their controls,
incentives, and capital investments. The results are summarized in Table
10 for regulatory instruments and Table II for capital investments
and incentives. The percentages In the bottom row of the table are
averages of the percentages, in the column above. The more often used
studies are on the left and the least often used are on the right.
Federal and state guidelines'and the general land use plan are
important in determining all three groups of guidance instruments. In
-------
addition, model codes play an important role in determining regulatory
instruments. The remainder of the studies and sources of information
lag far behind these three in the extent of their application to guid-
ance instruments. Among those least frequently used are various types
of specifically environmental studies such as environmental impact
studies, comprehensive environmental studies, river basin studies,
deterioration studies, cultural resource studies, and ecological studies,
Even soils, geology, and floodplain studies, the most commonly used of
the natural environmental studies, lag far behind the top three.
Several interpretations of the data are possible. Perhaps the
special environmental studies are too new to have attained widespread
use. Perhaps planning agencies don't use special studies of any kind.
Or perhaps local agencies don't yet feel these special studies are
crucial to the design of guidance instruments. Of course, these state-
ments are purely speculation — no evidence exists to back them up. At
any rate, the data in these tables suggest either one or both of two
s/rategies to increase the utilization of environmental information in
the determination of guidance instruments if that were to become an
objective:
(I) increase the environmental bases of the three types of studies
and information sources already used extensively, namely the
land use plan, model codes, and federal and state guidelines;
and/or
(2) encourage wider use of environmental information as direct
inputs into the determination of implementation instruments.
Influencing Factors in Raising Environmental Issues
and in Implementing Agency Recommendations
What have been the most important influences in raising environ-
mental issues in the various planning programs of local and metropolitan
agencies? And what factors influence the implementation of planning
agencies' recommendations for achieving environmental objectives? Both
questions were pursued in the sample survey.
87
-------
TABLE
INCENTIVES, CAPITAL INVESTMENTS, INFORMATION/ADVICE TOOLS
LISTED IN ORDER OF EFFECTIVENESS IN ACHIEVING ENVIRONMENTAL QUALITY
Type of 1 ncentive
1 ncenti ves
Utility extension policies
Bonus clauses in zoning (31?
Percentages of agencies using
incentiv^ and rating its effect
Very
Effective
K 35
5)b 14
Moderate ly
Effective
47
52
SI Ightly
Effect! ve
18
28
the
i veness
Not
Effect! ve
0
6
Capital Investments
Open space acquisition (11%) 49
Parks & recreation facilities
(89%) 43
Sewer & waste water treatment
(11%) 37
Water supply development (65%) 30
Renewal projects (51%) 26
Solid waste management (12%) 25
Highways & public transporta-
tion (14%) 15
Information Advice
Advisory review functions (69%) 25
Inter-agency coordination (88/0 20
Informal review (60%) 18
Citizen education programs (55%) 20
Mass media (15%) 15
Environmental impact statements
(50%) 18
Citizen participation (16%) 17
A-95 review (10%)e 20
34
38
43
40
43
50
35
47
53
52
41
50
45
43
41
17
27
28
20
38
26
25
29
36
32
30
38
29
4
4
4
5
2
2
3
4
7
2
10
88
-------
Footnotes for Table
aDifferentiaI property tax, compensatory payments and differential
utility charges were listed in the questionnaire but only 13, 6,
and 3 agencies used these three tools respectively. Thus, they are
not included in this table.
Bonus clauses were three times more likely to be used by the muni-
c
d
cipalities in SMSA's than by the other agency types (50% vs. 16$).
Open space acquisition, parks and recreation facilities, sewer and
waste water treatment and water supply development are less likely
to be used by counties outside SMSA's.
Renewal projects are less likely to be used by county agencies.
e
A-95 much more likely to be used by agencies in metropolitan areas,
especially the metropolitan-regional agency (97% vs. 49% for counties
outside metro areas).
89
-------
TABLE 10
PERCENTAGES OF AGENCIES USING SPECIFIC INFORMATION AND STUDIES
IN DETERMINING REGULATORY INSTRUMENTS
Burning ordinances
56 26
10
14
17
Burying utility lines, req't in subd. ord.
21 25 26 14 I
13
Subdivision regulations generally
36 45 42 14 26 18 15 12
Planned unit development
21 42 57 19 20 19 13 25 12 2 13
Public water and sewer req ' ts , subd. ord.
20 28
28 13 27
10 10
15
F lood plain zon i ng
Conservation easements
37
32
19
27
43 22
57 36
38 83
41 23
21
18
5 19
14 32
6
14
5
32
37
23
6
23
2 ?
9 14
Historic preservation controls
38 27 22 27
16 24
27
Marshland controls
45 13 29 29 45 36
13
23 10
16 10
Historic district zoning
26 26 31 49
3!
23 43
Effluent ordinances
69 22
24
14 17 14 II
Health/sanitation ordinances
59 29
19
21
Special district zoning, generally
16 22 49 22 20
18
13 18
13
Density zoning
15 35 69 20 21 16
12
I I
-------
TABLE 10 (continued:
Dedication of open space req't,subd. ord.
Preservation of trees, subv. ord.
Performance standards
Emiss ons ordinance
Tree ordinance
Uti 1 ty and other easements
31
12
33
68
7
23
24
22
53
29
32
19
51
22
15
3
12
23
23
34
1 1
7
29
7
22
10
3
1
10
7
21
7
3
1
2
4
22
5
6
23
7
12
12
5
6
3
t7
7
13
15
6
3
7
3
3
5
6
21
10
6
10
9
6
4
15
3
9
3
2
1
2
5
10
3
2
3
7
4
5
3
3
1
2
2
6
3
2
1
5
2
Sedimentation/erosion controls
34 24 26 16 47 13 13
I I
Bui Iding ordinance
48 66
Large lot zoning (2-plus acres)
17 73 25 42 19 10 17 21
10
6 10
Excavation controls
26 28
19
15 24
10
General zoning ordinance
22 45 83 42 26 29 22 25
7 10
7 10
Appearance ordinance
29 29 42
8 29
Sign ordinance
19
43 24 31
19
Special use/variance mechanisms
33 38 26
10
13
-------
TABLE 10 (continued)
Agricultural zoning
14
65 26 49 23 14
8 16
I I
Hous i ng codes
56 64 13 19
10
19
Noi se ordi nance
36 38 II
Litter ordi nance
33 24
16
Average of percentages in each col
32
31 21
13
13 12
-------
TABLE 11
PERCENTAGES OF AGENCIES USING INFORMATION AND STUDIES IN DETERMINING CAPITAL INVESTMENTS AND INCENTIVES
Implementation device
Capital Investments
Open Space acquisition
Parks & recreation facilities
Sewer and waste water treatment
Water supply development
Renewal projects
Solid wastes management
Highways and public trans.
1 ncenti ves
Utility extension policies
Bonus clauses in zoning
Avg . of percentages in each column
73
71
39
40
60
40
61
62
49
55
58
49
69
59
72
66
67
17
4
52
40
39
49
43
23
38
57
23
7
35
43
35
10
8
31
18
20
13
13
21
17
17
12
10
35
8
20
17
42
20
23
17
22
25
10
28
18
21
2
19
34
20
1 1
10
10
1 1
10
15
2
14
1 1
9
22
14
12
17
28
9
0
14
20
15
20
17
9
17
10
6
0
13
4
5
10
6
1 1
10
8
13
47
13
17
12
12
9
13
7
8
1 1
7
1 1
1 1
9
22
20
5
8
5
6
0
10
4
5
22
12
5
1 1
9
4
2
8
7
5
2
2
38
1
4
2
2
7
12
15
3
4
13
3
6
2
0
6
-------
What Influences are important in raising environmental issues with-
in planning programs? The answers to this question are summarized in Ta-
ble 12. The figures in the cells of the table are the percentages of
those agencies engaged in the program area (row) and nominating the
influence (column) as being important in raising environmental issues
in that program area. The percentages in the bottom row of the table
are the average of the percentages in the column above. These average
percentages were used to arrange the influences in order of apparent
descending importance, the most important on the left and the least
important on the right.
The table suggests that staff attitudes and ideologies are the
most consistently important influence in raising environmental issues
across the full range of program areas. Local groups — special inter-
est groups, commissions, legislative bodies, and advisory groups —
are a second category of strong, widespread influences. It is note-
worthy that these first two categories are local in origin. The third
type of influence is federal/state guidelines and regulations. They
are particularly, and expectedly, important in water and sewer programs
(with federal funding), air quality programs, solid waste management
programs, housing, open space, transportation and redevelopment, all
areas where the federal government has urban programs.
Environmental impact statements, crises, programs of other com-
munities and law suits and other court actions are all relatively un-
important influences on the local scene currently according to our
respondents. We had hypothesized that they would be significant and
certainly expect them to increase in importance over the next few years.
What impact do various factors have on the implementation of an
agency's recommendations for achieving environmental objectives? The
respondents' answers to this question are summarized in Table 13. The
list of factors has been organized so that the more positive factors
are in the top group and the least positive in the bottom group. Within
each of the three groups, the factors are again ordered by degree of
positive impact so that those at the bottom of each group have less
94
-------
TABLE 12
MOST IMPORTANT INFLUENCES IN RAISING ENVIRONMENTAL ISSUES
igures are percentages of those engaged in program area
nominating the influence (col.) as being important
raising environmental issues for that program
area.)
"»*£»
r^.
LT\
-3-
LA
LA
-3-
IN
LA
cr\
-3-
o
r^
o
PA
PA
0
CM
O
CM
PA
PA
CSI
PA
LA
(U
in
3
TJ
C
(U
_J
J-
CM
-*
r^.
oo
CM
00
O
01
_
00
CM
CO
CM
00
CM
-31
CM
\D
CM
PA
O~v
PA
vo
J-
Open space/recreation
0
PA
PA
O
O
-3-
vO
O
PA
PA
CM
CA
CM
CM
p^
CM
CM
1-^
PA
PA
CM
cn
PA
v£>
PA
Ol
c
tn
I
CM
LA
CM
LA
CM
J-
^,
PA
O
-3-
CM
-a-
CM
&\
LA
CM
UO
CM
C-J
PA
0
PA
PA
LA
PA
Transportat ion
oo
oo
LA
LA
LA
r*~
CM
to
~o
a
t_
+j
in
3
T)
C
PA
CM
O
O
O
r^
-a-
p^
CM
r^
ff\
r~~
o
CM
CM
o-\
PA
00
-3-
yD
CM
CM
CM
in
(U
4-1
V)
nj
-a
"o
to
o
-
o
vO
PA
CM
r^
oo
r^
M3
O
CM
PA
O
PA
-XI
VO
00
CM
CTi
cn
PA
Historic preservation
PA
-3-
O
LA
J-
LA
O
(N
O
-
O
CM
J-
O
CM
O
PA
r~-
PA
P-.
CM
PA
J-
PA
PA
r~~
PA
Redevelopment
CM
MD
-*
00
oo
^D
O
O
CM
J"
CO
J-
LA
CM
CT\
o-^
CM
CM
OT
CM
1 —
O
J-
'o
z
o->
00
r^.
CM
CM
MO
LA
PA
CM
LA
CM
CTl
CM
CM
-3-
r^.
CM
r-,
CM
r~-
U3
CM
PA
PA
CM
>.
"
-------
TABLE 13
Relative Impact of Various Factors on Implementation of
Agency's Recommendations for Achieving Environmental Quality
Percentage of agencies rating degree
of factor's impact on implementation
Strong
Posi t i ve
Factors Impact
Most Positive Factors
Staff expertise
Local legislative body
Federal /state guidelines
and regs
Federal /state financial
support
Lay commissions
"Public" environmental
interest groups
Less Positive Factors
L i ne agenci es
General citizens' support
Community leadership
support
Status of planning
methodologies
Federal /state & regional
planning assistance
State enabling legislation
Trends in legal actions &
court decisions
Least Positive Factors
Neighboring governments
Community goals other than
env i ronmental
Federal programs & poli-
cies (other than envi-
ronmental )
Local financial resources
Other special interest
groups
Distribution of responsi-
bility among agencies
within local government
Distribution of responsi-
b i 1 i ty among local
governments
29%
27
2k
25
21
23
12
15
17
12
13
16
16
3
6
10
1 1
7
3
2
Posi t i ve
Impact
65%
55
56
52
59
47
58
5k
50
55
53
51
43
42
47
36
36
41
34
25
No
Impact
4%
11
18
20
19
25
24
27
27
30
30
22
37
46
35
39
33
34
42
44
Negat ive
Impact
1%
6
3
4
1
3
5
4
6
3
4
8
3
9
10
13
16
18
20
22
Strong
Negat ive
Impact
1%
1
0
0
0
1
0
0
0
0
0
3
1
1
1
1
4
1
1
7
96
-------
positive impact (more negative impact in the case of the bottom group)
than those at the top.
The results are parallel to the previous table on raising environ-
mental issues. That is, the factors having the most positive impact on
implementation are virtually identical to those rated important in rais-
ing environmental issues for the planning agency in the first place:
staff (expertise this time compared to attitudes and ideologies in the
previous table); three of the same four local groups (legislative body,
environmental special interest groups, lay commissions); and federal/
state guidelines and regulations and financial support.
These analyses imply that local influences are more important than
outside influences. Staff and various local groups dominated the list
of the most important positive factors. Federal guidelines and regula-
tions and financial support, although important, are apparently not the
determining factors in local mainstream environmental planning and
implementation practice. Furthermore, three local factors — local gov-
ernmental fragmentation, the distribution of responsibility among agen-
cies within local government and local financial resources — had the
greatest negative impact. Federal and state planning assistance and
state enabling legislation are seen as relatively neutral factors cur-
rently. These findings suggest an environmental policy by both local and
higher levels of government to encourage the locai positive influences
(planning staff expertise and awareness of local groups) while either
changing or overcoming the negative factors (governmental fragmentation
and financial limitations).
Intergovernmental Relationships in
Environmental Planning and Implementation
Local government, of course, must function within a framework of
regional, state and federal governmental agencies and legislation.
Respondents were asked for their judgment about the effect of this gov-
ernmental framework on their local level planning and implementation of
environmental quality objectives. They were also asked more specifically
97
-------
about the ro e of local government and its planning agencies in promoting
environmental qua ity.
The Effect of Federal Legislation,
Organization or Administration
Respondents were asked the following open-ended question:
Which federaI legislation and organizational or
administrative changes have had the most signifi-
cant effect, positive or negative, on your agency's
planning and/or implementation of environmental
qua Iity objectives?
Table 14 summarizes the results of tabulating and classifying the
answers to this question.
Although 45 of 195 respondents did not answer this question, a
number gave several answers so that there were 232 responses. Of these
232 responses, one-third were related to the National Environmental
Protection Act of 1969, and one-third were related to the Department
of Housing and Urban Development. The remaining third was split between
the A-95 review process of the Office of Management and Budget and
"other" responses. The Clean Waters Act, A-95 review requirements and
environmental impact statement requirements, sometimes in conjunction
with A-95 review, were the three specific responses mentioned most
frequently. Together they accounted for nearly one-third of the
responses.
Most responses referred to positive impacts, but not all. HUD, by
far, received the greater proportion of negative responses; one-third
of those mentioning HUD as having a significant impact reported that
impact to be negative. Most of these negative comments concerned ad-
ministrative problems.
The Effect of State, Regional Metropolitan
or Local Legislation, Organization, or Administration
Respondents were also asked parallel questions about state, regional,
metropolitan and local legislation, organization and administrative
98
-------
changes which have a significant effect on their agency's planning and/or
implementation of environmental quality objectives. At the state level,
86 respondents mentioned some significant impact, but 99 mentioned no
impact at a I I. In the group of 86 responses mentioning state impact,
only water quality (29 responses) and wetlands (14 responses) recurred
with any regularity. Together they accounted for 50 percent of the
responses, however.
There was no pattern at a I I at the regional, metropolitan, or local
level. The A-95 review process, initiated 'at the federal level and
already mentioned in that discussion, was the only recurring nomination.
Perhaps the lack of any pattern to the regional, metropolitan, and
local level impact should not be surprising. AM respondents share a
common federal context and a I I are referring to the same government at
that level, whereas respondents are referring to a number of very dif-
ferent state, regional and metropolitan governments.
Adequacy of Existing Framework of Federal and State
Environmental Legislation, Policies, and Activities
Respondents were also asked:
Can environmental problems in your community be
handled satisfactorily within the existing frame-
work of federal and state environmental quality
legislation, policies and activities or are further
changes required at these higher levels? If so,
what should the changes be?
The answers for the 155 respondents to this question were distributed as
follows:
35 gave an unqualified yes, they can be handled satisfactorily with-
in the existing governmental framework;
25 gave a "yes, but...(suggestion)" response;
77 gave suggestions for changes, implying dissatisfaction with the
present framework;
18 gave a "no, because or until..." response.
The suggestions for changes can be grouped in two ways: (1) the
particular higher level of government specified, and (2) type of change
99
-------
TABLE 14
Responses about Federal Legislation, Agencies and Programs
Having a Significant Effect at the Local and Metropolitan Level
Responses related to the NEPA of 1969
General, EPA
Environmental Impact Statements
requirement for federally assisted
projects
Clean waters act (generally the
requirements for water quality)
Other: (NEPA generally, air quality
regs., noise regs., area-wide
planning requirements, financial
assistance
1 8 (23%)
22 (29%)
22 (29%)
15
(19%)
77
(33% of 232
responses)
Responses related to HUD
HUD General
Open-space assistance
701 planning program assistance
Required certification of conformance
to area-wide plans
Other: (housing programs, workable
program, renewal program, FHA)
78
20** (26%)
15 (19%)
10 (13%)
8 (10%)
25*** (32%)
/o of 232)
OMB- A-95 Review requirements
Other responses: Federal aid generally
Open space programs, DOT, BOR, Corps
of Engineers, flood insurance, and
so on)
30
(13% of 232)
232 (20% of 232)
Percentages in right hand column are based on 232 responses.
** Of these 20 responses, 10 were negative in nature, mostly concerning
administration problems with HUD.
*** of these 24 responses, 8 were negative in nature.
100
-------
suggested. The distribution of responses about suggested changes is
shown in Table 15. They indicate that most suggestions were aimed at
state government. A few were aimed at regional and local level in spite
of the wording of the question which specified state and federal levels.
The most frequently suggested types of change, in order of frequency,
were increased funds from higher levels of government mostly for local
government; increased direct participation by higher levels of government;
more regulations (very few suggested any other type of action instrument);
better coordination among levels of government, among agencies at any
single level and among programs within agencies; better administration of
existing programs; and stronger enabling legislation by state government
for local governments. Stronger enabling legislation by state government
for local government is the single most often mentioned suggestion com-
bining an action and a specific level of government.
The Role of Local Government and its Planning Agencies
In addition to their view of the impact and adequacy of higher
levels of government, respondents were asked about the role of local
government specifically:
What does your agency see as the role of I oca I
government and its planning agencies in promoting
environmental quality?
One hundred sixty eight respondents tended to fall into one or sometimes
bridge across three modes of response:
I. Statements about the role of local government in relation to
higher levels of government, stressing either the importance
or unimportance of the local role or the distribution of
responsibility between local government and other governmental
levels;
2. Statements about particular elements of the comprehensive envi-
ronmental planning program at the local level; e.g., land use,
open space, urban design, water quality;
3. Statements about the stage or stages in the planning and imple-
mentation process that are suggested as particularly appropriate
101
-------
TABLE 15
SUGGESTIONS FOR CHANGING INTERGOVERNMENTAL FRAMEWORK
Type of Suggested Change
Strong actions by Higher Government
Stronger enabling legislation for local
governments
Legislation making local action mandatory
More direct participation with power
Increased funding — general mention
Increased funds for metro or local agencies
Administrative Improvements
General (less red tape, clearer, unifoi —
mity, etc.)
Coordination (between govs , agencies,
act ions)
Increase commitment and desire
Better enforcement
Types of Actions
Regulat ions
Increase public and legislator
awareness
Miscellaneous Other
Column Totals
Level of Government
Federal
0
0
2
k
3
2
7
1
2
2
1
11
35
State Regional
11
3
7
2
5
1
6
0
1
6
1
19
62
-
1
8
0
0
0
2
0
0
2
0
1
16
Unspec-
ified
higher
govt
0
0
1
7
9
6
3
1
1
3
1
6
38
Ment ioned
Local Not
Ment ioned
-
-
k
0
0
1
1
k
1
3
2
3
19 1
0
1
0
3
0
2
0
2
2
0
0
8
8
Total
11
k
19
\k
\k
1 1
12
8
5
13
k
-------
for local government, particularly planning agencies within
local government, e.g., creating an awareness, implementing
and enforcing controls, assessing environmental impacts.
Local government's role in relation to higher levels of government
In the first of these three modes of response, the respondent is making
a statement about the relative importance of local government's role
and its relationship to other governments. These responses can be clas-
sified into one of three categories, as shown in Table 16. The table
suggests that local and metropolitan agencies in our sample see an im-
portant role for local government in pursuing environmental quality.
Only 13 percent see local governments as having a weak or very limited
role, while 43 percent saw it as having a very strong role, even the
leading role. Another 44 percent emphasized the partnership between
local government and higher levels of government. A division of labor
between governmental levels was suggested along two dimensions: (I)
higher levels providing funding, objectives and standards, and guide-
lines while local government provides the Implementation and enforcement
of environmental programs as its part of the shared responsibility, or
(2) higher levels of government concentrating on environmental issues
that extend across focal jurisdictional boundaries, usually citing air
and water quality and perhaps solid waste and transportation issues,
while local governments focus on land use, urban design, site planning
and housing issues that do not extend beyond local jurisdiction.
Local government's role expressed as appropriate environmental
topics and elements of a comprehensive environmental planning program
Seventy six responses referred to particular environmental elements
within the broad environmental planning field. Planning and control of
land use and land development was the element mentioned most often (41
percent of these responses). The remaining 59 percent was distributed
over a large number of topics including urban design (II percent), open
space, transportation, housing, flood plains, community facilities,
historic preservation, noise, air quality, water quality, and solid
wastes. One out of every four who nominated land use as a suitable role
for local government would link it to environmental quality with such
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TABLE 16
DISTRIBUTION OF RESPONSES ABOUT LOCAL GOVERNMENT'S ROLE
IN RELATIONSHIP TO HIGHER LEVELS OF GOVERNMENTS
Category Description & typical responses Number of responses and
percentage of total
I. Emphasis on strong local role 31 (43$)
"total responsibility", extremely important", the
most significant", "leadership role", "act indepen-
dently", "most critical role", "primary role", "the
center of any effort in promoting environmental qual-
ity", "absolute", "adverse environmental effects are
due to local decisions or the lack thereof", "unless
local governments take an active role in environmental
programs, little will be accomplished"
2. Emphasis on Inter-governmental Level Partnership 32 (44$)
a. unspecified in nature: "partnership"; "local
government should be a part of decisions but not
decide itself"; "both initiate own programs and
endorse those of state and federal agencies";
"state-county cooperation". (12 responses, 17$)
b. specified some division of responsibility:
"Local government is the 'door'. Financing and
objectives have to be established at the federal
or state level, but local governments get it done."
"land use, housing and design (for local level)
and air quality, water quality (at metro and state
level)"; "local concern except where effects extend
beyond the locality." (10 responses, 14$)
c. Emphasis on local role as simply the implementation
of federal, state and metropolitan policies and
areawide plans: "to implement and refine metropoli-
tan plans and policies", "promote and implement
federal and state regulations"; "implementation and
enforcement tool for state and federal agencies, with
little or nothing to say about these regulations."
(10 responses, 14$)
3. Emphasis on weak, very limited role for local government 9 (13$)
"problem is not a local one"; "very limited"; "limited,
due to state responsibility in this area"; "The county
and lower units cannot do it...favor federal"; "(role"
not defined"; "very little"; no consistent role."
72 (100$)
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phrases as "guiding (and use and development, taking environmental fac-
tors into account,'' or "protecting natural resources without discouraging
development." In other words, local planners are saying that they are
adding environmental factors and goals to the list of other factors in
their land use planning programs, but not establishing specific environ-
mental planning approaches separate from their already established plan-
ning values and activities.
This view is certainly consistent with "integrating man-made and
natural systems,11 the predominant choice of a definition for environ-
mental planning discussed above. Moreover, it could well be argued as
an appropriate and potentially constructive role for the planning agency
within local government, provided it is approached properly.
Local government's role expressed as emphasis on one or more stages
in the guidance system planning and implementation process A third group
of respondents expressed their answers in terms of stages in the planning
and implementation processes. Nineteen respondents suggested planning as
the most appropriate role of local government in a very general way with-
out elaborating while 24 mentioned implementation without elaboration.
A number of others nominated one or more specific stages in the planning
and control processes. One hundred seven such nominations were made and
are summarized in Table 17. These were evenly split between planning
and implementation. The most common planning oriented responses were
establishment of an awareness (mostly public awareness) of environmental
problems and environmental planning and an assessment of environmental
impacts. To our respondents, implementation almost always means regula-
tions, standards, codes, ordinances and controls as opposed to a broader
concept of guidance devices which would include public investments, in-
centives and advice as well.
Footnotes
Israel Sto I I man, "The Awful Lot of Environment," Planning: A
Newsletter of the American Society of Planning Officials, 36, No. 6
(July 1970).
2
Thomas D. Galloway and Ronald J. Huelster, "Planning Literature
and the Environmental Crisis: Content Analysis," The Journal of the
American Institute of Planners, 37, No. 4 (July 1971), 269-273.
105
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TABLE 17
DISTRIBUTION OF RESPONSES ABOUT LOCAL GOVERNMENT'S ROLE
IN TERMS OF SPECIFIC ASPECTS OF PLANNING AND IMPLEMENTATION PROCESSES
Planning oriented responses (in addition to 19 who
mentioned planning generally)
Establishing an awareness 19 (18%)
Environmental studies 7 ( 7%)
Establishing goals and objectives 5 ( 5%)
Proposing solutions and policies 3 (
Monitoring 5 (
Assessing environmental impacts 13 (12%)
Total number mentioning specific aspect of planning activity 52 (**9%)
Implementation or Control oriented (in addition to
2U who mentioned implementation generally)
Regulations 1*9 (Wo)
Other (easements, tax structure, public in-
vestments in community facilities) 6 ( 6%)
Total number mentioning a specific implementation technique 55 (51%)
Total 107 (107%)
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SECTION IV
PROMISING APPROACHES
A. LAND USE PLANNING: THE CORNERSTONE OF LOCAL ENVIRONMENTAL PLANNING
AND .CONTROL
The traditional approach to land use planning begins with a pro-
jection of future economic growth in the urban area, based on trends
in both the national and regional economies. It reflects the potential
of the given urban area to capture a part of this total growth and, in
some cases, the hopes of the community. This projection in amount and
type of economic activity is used to estimate future population. These
two projections are then translated into estimates of future land de-
mand for industrial, commercial, residential, and public activities.
Land supply is evaluated according to suitability and capacity for
these various activities. This is defined in terms of a land parcel's
location or access i b iIity, s i ze, ava ilabiIity of utiIiti es, and genera I
physical quality. Quality denotes environmental characteristics to a
varying degree. Some traditional land use plans define environmental
quality only with slope and soil characteristics as important cost
constraints to development. For example, flat land and good bearing
soil may be viewed as prime for intense use regardless of whether the
site is located in a flood plain, possesses prime agricultural soil, or
is presently a natural forest or wildlife preserve.
The basic assumption of this approach is that economic growth will
bring positive benefits to the community and that such growth can best
be fostered by designing the land use pattern to minimize development
costs and maximize economic accessibility. Further related assumptions
include (I) an unlimited supply of land suitable for urbanization exists;
(2) a city is essentially for economic production and consumption and
should be organized in a manner most efficient for such production and
consumption activity; and (3) the negative effects of spatially organiz-
ing land use according to economic activity criteria can be assuaged,
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after they are discovered, through technological solutions which an
economically productive society will be able to afford.
These assumptions came under scrutiny in the 1960's when the
effects of land use planning's emphasis on economic system efficiency
became evident. Pollution in urban areas was high and the cost of
reducing it, where it was still possible through technology alone, was
extreme. Many other forms of environmental degradation appeared more
permanent. Rich natural areas and farm lands, long accessible amenities
to urbanites and necessary ingredients to the American definition of a
quality life, were rapidly disappearing as cities expanded through
haphazard suburban sprawl across the rural fringe. Furthermore, the
very effectiveness of planning characterized by long range master plans
implemented primarily through zoning came under question.
In response to these criticisms, the land use planning process is
now evolving along three distinct, yet intimately related, fronts.
First, there has been a continual redefinition of the basic objectives
and assumptions for the entire comprehensive planning process of which
land use planning is so integral a part. Quality of the natural environ-
ment within and around the urbanized area has assumed more importance
alongside the traditional concern for the quality of the manmade urban
environment. The once basic assumption of comprehensive planning, that
economic growth will bring positive benefits to the community, is being
examined for potential negative liabilities. Projections of growth are
no longer merely accepted or even encouraged as necessary preconditions
for a desirable future for the community. They may be accompanied by,
or even challenged by, a corresponding projection of environmental
quality. Land use planning in a comprehensive planning framework is
not merely the accommodation of an independently projected growth but
is being redefined as an input in deciding how much, as well as where,
growth ought to occur.
Secondly, there has been an expanding search for appropriate
environmental information, interpretation methods and choice criteria
on which to base an allocation of urban activities. This second front
may be regarded as a way to facilitate the redefinition of comprehensive
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planning described as the first front. While the more traditional
approach stressed data, models, and criteria for planning to maximize
the efficiency of urban development and urban activity systems, the
more recent approach emphasizes protection of the integrity of environ-
mental systems.
Thirdly, the emphasis in land use planning has shifted away from
interpretation of data and design of a long range master plan toward
implementation. This third front increasingly emphasizes carrying
planning activities, including the redefinition of comprehensive plan-
ning 's objectives and assumptions and the new approaches to inventory
and interpretation of environmental data from the first two fronts,
through to implementation.
Together, the trends along these three fronts point to the evolu-
tion of a planning process aimed at interjecting public objectives,
including most recently the environmental thrust, into the urbanization
process. We have termed this cutting edge of land use planning,
"Guidance System Planning," a concept defined in Chapter |.
At present, there is no consensus on the most appropriate approach
to guidance system planning for environmental quality. There is no
inherently correct way in which community goals and objectives should
be established, no absolute definition of the type of information
necessary for land use-environmental relationship planning; nor is there
any one accepted interpretation of information. Furthermore, there is
no agreement on the optimal mix and type of decision guides and action
instruments which may be generated through this planning process. It is
highly unlikely that there can or even should be such consensus. The
appropriate character of guidance system planning for a given urban area
should depend on problems encountered, community goals, needs of the
decision-making body, degree to which public intervention in land
development is accepted, and general level of planning resources
available. The following discussion wi M not outline the ideal approach
to guidance system planning for land use-environmental quality but
rather will present some of the approaches currently being taken on each
of the three fronts of innovation.
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The First Front: Redefinition of ^Comprehensive Planning
There are two basic ways in which comprehensive planning is being
redefined or reorganized to reflect environmental objectives. The first
approach is to add a new sector to the total planning program which
specifically focuses on environmental systems just as other sector plan-
ning emphasizes economic development, social policy, or transportation.
Land use is viewed, within this new sector, from the perspective of its
impact on environmental elements such as air, water, vegetation, and
wildlife. To varying degrees, this approach simply involves adding new
objectives to the list of more traditional land use planning objectives.
The second approach involves a more fundamental realignment of compre-
hensive planning. An attempt is made to examine the relationships, both
supportive and conflicting, among the objectives of the many urban systems
and to develop some resolutions which will guide planning within the
various sectors toward a more coordinated goal set,
The Addjtij^e_Approach
The first approach, adding a new sector to comprehensive planning,
parallels that taken at the federal level and by many states when a
separate environmental planning sector, or even a separate agency, is
established. The survey results described in Chapter 3 show that about
40 percent of the sample agencies had established environmental plan-
ning as a separate, special work activity. Some local units have even
established environmental protection agencies. Traditionally, environ-
mental protection at the local level has been the responsibility of
public health agencies, whose efforts, have been limited to population
abatement and sanitation programs. More recently, they have tended to
become involved in other problem areas, particularly land use and trans-
portation, as they explore the root causes of problems such as air and
water polIution.
However, creating a separate agency or planning sector to deal
with environmental problems does not insure that environmental objectives
will be respected by other public sectors and private groups who are
making urbanization decisions. Thus, in addition to creating a new
planning sector, there is now an emerging trend toward requiring an
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environmental impact statement on public and private development pro-
posals at the local level. The environmental planning agency or sector
is given primary responsibility for review of these statements. Although
such a requirement does not prohibit projects which may be environmentally
degrading, It does force disclosure and encourages consideration of
possible environmental impact.
Huntington, New York, recently created a local environmental pro-
tection agency, which is involved in traditional pollution programs
related to air, water, solid waste, noise, and pesticides as well as
land conservation. The agency's creation was stimulated by the design,
2
in the spring of 1972, of an environmental planning program for the
area by a group of graduate students in the Department of Regional
Planning and Landscape Architecture at the University of Pennsylvania.
The program involved an inventory of natural systems in the area. From
this, areas for protection, remedial action, and redevelopment action
were designated, and policy actions were recommended. Although the
program design has not been formally adopted by the town or the EPA,
agency personnel use its information, interpretations, and recommended
policies when they are called upon to comment on the environmental
implications of development proposals.
Huntington requires environmental impact statements to be submitted
on all public development proposals, whether funded at the federal,
state, county, or local level, and on industrial use and subdivision
requests from individuals. The agency further serves as a consultant
on environmental implications of major public investments such as sewer
system construction. However, since it was established only in January
1972, the agency has not yet had an opportunity to evaluate the town's
annual budget priorities with respect to environmental implications. At
this time, the Huntington EPA functions as a watchdog and advocate for
environmental quality. The requirement for environmental impact state-
ments is the primary formal procedure by which environmental objectives
are interjected into the planning and development process.
Another example of the additive approach is Los Angeles. There the
Department of City Planning is adding a new sector to the General Plan—
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4
"An Environmental Conservation Element." It should be noted that this
element is mandated by the State of California in its Planning and Zoning
Law. In California, all cities and counties are required to adopt
general plans which must contain nine elements: Land Use, Circulation,
Housing, Conservation, Open Space, Seismic Safety, Noise, Scenic Highway,
and Safety (non-seismic geologic hazards as well as floods and forest
f i res).
The new component of the General Plan represents a compilation of
data from technical reports and interviews with personnel from various
city agencies involved in environmental questions. Environmental issues
are divided into six categories: air pollution; water quality; noise
control; conservation of land and resources; solid waste disposal; and
pesticides. The department notes that "while it is recognized that
these categories are not mutually exclusive, their artificial separation
is necessary if analytic chaos is to be avoided."
The report, while providing the basis for the new element of the
General Plan, is also intended to serve several secondary, yet perhaps
more critical, functions.
These include (I) serving as a comprehensive framework
through which the multitude of governmental and private
agencies, citizen groups, etc. can perceive the inter-
relationships between various aspects of the environ-
mental problem, (2) providing the specific policy
recommendations needed for the formulation of additional
standards and legislation pertaining to environmental
quality, (3) presenting guidelines for the modification
of City procedures so as to minimize the negative impact
of City operations on the environment, and (4) as a
general and comprehensive data source for information
pertaining to various environmental questions in Los
Angeles.
In California, environmental impact statements are required on all
state and local development. The requirement for impact statements on
local public development in California is not simply a requirement to
disclose the predicted impact. Moreover, until recently, the California
EQA also had required that all cities and counties "make a finding that
any project they intend to carry out, which may have a significant effect
113
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on the environment, is in accord with the conservation element of the
Q
general plan." In 1972, this section of the California Environmental
Quality Act was deleted apparently because of the implications of the
California Supreme Court decision determining that the law applied to
9
private, as well as to public, development. (Assembly Bill 889, 1972).
In the additive approach, illustrated by these examples, in Long
Island and California, environmental objectives are examined separately
from other community objectives. In a sense, they are simply added to
existing community objectives. No explicit attempt is made to reassess
community goals which may, by their very nature, frustrate the achieve-
ment of environmental quality. In short, the inherent conflict among
objectives is not defined. State legislation, such as that attempted in
California, requiring that all public projects and private development
having significant impact be in accord with the local conservation plan
which in turn is part of the general plan, represents a step toward
resolving such conflict. Nevertheless, it can be argued that this con-
flict, to be resolved effectively, must be dealt with at a broader and
more fundamental level than on a project by project basis, which,
obviously, cannot be effected immediately. The California law is an
important development and points the way to a more fundamental realign-
ment of objective priorities.
In the case of Huntington, a specific agency is charged with the
role of advocate for the environment, and impact statements are required
on all public, as well as much private, development, although the impact
need only be disclosed; there is no requirement that such development
be conducted in accord with any environmental plan. Yet, this procedure
does create an opportunity for environmental objectives to be given a
voice at the bargaining table. While the Huntington approach to redefining
comprehensive planning is based on a model of political bargaining, the
California approach is founded on a more rational comprehensive planning
model. Both examples illustrate the approach of adding environmental
planning as a separate sector under the comprehensive planning umbrella.
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Realignment of Objectives and Assumptions
The second approach to redefining comprehensive planning involves
a more fundamental realignment of alI community objectives in the light
of a new awareness of environmental implications. Environmental quality
is not viewed in any absolute terms so that an action program may be
designed and added to existing programs to achieve specific standards
related to various separate environmental system indices. Rather,
environmental quality is viewed as an integral facet of broader goals
related to the "quality of life," therefore requiring an exploration of
all community objectives and their long-term environmental implications.
For example, Wayne County, Michigan embarked on a new approach to
comprehensive planning in 1970 in which environmental quality was posited
as one of the fundamental issues of urbanization. The "Comprehensive
Planning Process for Wayne County" involves three basic steps. First,
current land use trends are evaluated with respect to impact on both
the urban activity system and environmental system objectives. Local
environmental trends are placed in the context of parallel national, and
even global, trends to provide a sense of perspective necessary for
explication of their broader significance. This trend analysis is not
based on a comparison with current federal water and air quality standards
as is the case of the Los Angeles study cited above. Rather, the
analysis focuses on broader ecological issues related to "population,
depletion of energy resources, depletion of raw materials, despoiling
of the environment, altering the make-up of the atmosphere, altering
I 2
its temperature ...". Such environmental analysis places the dis-
cussion of urbanization patterns and natural processes into a time
frame of two or three generations.
The second step in the process is the generation of four alterna-
tive development strategies:
I. "... aggregating the separate heretofore uncoordinated
local master plans."
2. "... projecting national trends and then basing local
prospects on some predetermined share of the total."
3. "... maximum growth as the Key to the future."
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4. providing "... the opportunity for all to achieve
their own definition of 'quality of life'. Maximizing
the options available to all the citizens for achieving
their preferred life style ..."
The third step, is the selection of a strategy and development of an
implementation plan.
To a large extent, the redefinition of comprehensive planning for
Wayne County begins with a rather complex process of long-range goal
planning for the area. The data generated through the process are
aimed at redefining the mind set which the public and its decision-
makers bring to questions of urbanization, through creating an under-
standing of the complex and interdependent eco-system rather than by
14
pointing to specific action recommendations. The recommendations
included in the volume on environmental quality go beyond simple
delineation of land use policies because a thorough definition of the
environmental system necessitated a more comprehensive view of the
interface between urban activity and environmental support systems.
For example, the recommendations included creation of an Environmental
Policy Committee, improvement of ecological education, and a broad
series of possible actions and policies to deal with the adverse environ-
mental impact of urbanization. Some of the recommendations were:
I. Establish an optimum population range for the county
so that total spatial needs of the population can
be met.
2. Program gradual steps to adjust the county's economy
to the optimum of Population "A" above.
3. Urge transition of energy generation to other than
fossiI fueI sources.
4. Urge and require recycling of exhaustible materials.
5. Conserve land resources by erosion and sedimentation
control ordinances at both municipal and county levels.
6. Develop jointly with the Chamber of Commerce and
Economic Development Agencies, methods of identifying,
reporting, and coping with non fiscal costs of pollution.
7. Periodically report public and private f i sea I costs
of polIution.
116
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Adopt policies and methods (zoning and/or acquisition
as examples) which preserve open land.
The AIbuquerque-BernaIiIlo County Planning Department took a
similar approach to redefining comprehensive planning goals. This
department published a discussion of community goals within the context
of long-term environmental system constraints. The Comprehensive
PI an, Metropolitan Environment Framework assesses past and future trends
in environmental quality and poses two alternative growth strategies
based on two different goal sets. The first option would require more
stringent public controls of urban growth aimed at simply modifying the
trends in degradation. The second approach is based on a fundamental
departure from current trends to insure optimum long-term environmental
quality. For example, under "Strategy I," population growth would be
limited to a 3 percent maximum annual increase, whereas under "Strategy
2" a population size limit would be based on local resource capacity,
as yet undefined, but not on a modification of population growth trends.
For land use policy, "Strategy I" would require standards for location
and control of development rates, while "Strategy 2" would call for
actually improving land through land development practices. Essentially,
this second strategy would mean that urban development should be com-
patible with ecologic principles of the environment. The report suggests
that urban development follow the maxim, "Do As Well As A Tree," which
would mean adoption of building and subdivision codes designed to "improve
the envrionment as a result of land development Qbased onH oxygen genera-
tion requirements, soil development objectives, water purification code,
geological specifications, microclimate modification goals, Qand an]
energy use and replenishment plan." These implementation devices and
the administrative procedures by which they are applied are not actually
developed in the plan. Like the Wayne County study, the Albuquerque
report is fundamentally an attempt to interject an ecological conscious-
ness into the evaluation of community goals and urbanization processes.
These two orientations to the redefinition of comprehensive plan-
ning goals, represented on the one hand by Huntington and Los Angeles
117
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and on the other by Wayne County and Albuquerque, differ primari ly in
purpose. In the case of the first two examples, the intention is to
develop an action program to achieve specific environmental objectives
such as national standards for air and water quality. The time frame
of such planning is short range and, the approach is disaggregated by
individual environmental sectors. Population growth and other tradi-
tional basic land use planning assumptions are not questioned. In the
second approach, the objective is more ambitious: to develop an under-
standing of the complex interdependencies among environmental systems
and the relationship of urban man to the eco-systems in which he lives;
to establish a sense of community purpose about a future mode of urban
life; and then to develop an action program.
Actually, these two approaches need not be viewed as mutually
exclusive. A local planning agency may be engaged in both a short-term,
action oriented planning program aimed at specific environmental standards
as we I I as a longer range and continuous reassessment of community
direction. It may well be that, practically speaking, both approaches are
necessary and should be undertaken simultaneously, despite their conflicts
in theory. In a community with limited planning resources (as is always
the case in the face of such overwhelmingly complex problems as the
urban-environmental interface), a choice among priorities may be necessary
and will be dependent upon (I) the existing status of specific local
environmental quality indices; (2) development pressure; (3) the level
of public and legislative awareness; and (4) national and state involve-
ment in defining environmental objectives through standard-setting and
procedural requirements. Since most urban areas have several public
agencies with mandates for environmental planning, it would appear feasible
for attention to be given to both short and long range planning. The
crucial step would be to integrate the two functions in a meaningful
manner.
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The Second Front: Environmental System Information
and Evaluation Criteria
To a certain extent, the second front of innovation in the land use
planning process reflects a rediscovery and reinterpretation of natural
processes as a fundamental constraint to urbanization. Planners have
always been concerned with the natural environment as it posed constraints,
particularly in economic terms, to urban development. More recently,
planners have recognized that the environment is composed of a complex
set of interdependent processes with a logic of its own. This natural
logic or balance can not be disrupted by man's activity if the environ-
ment is to continue to provide essential life resources. This recogni-
tion has instigated a search for appropriate environmental system infor-
mation for planning as well as for an appropriate interpretation of that
i nformation.
Recent approaches to defining an environmental system information
base for planning may be viewed as reflecting three general schools of
thought. The first focuses on an inventory of key natural subsystems
in the planning area which pose constraints on or opportunities for
urban development. The second approach is also based on an inventory
of natural subsystems but emphasizes their interpretation as inter-
dependent processes in the eco-system. The third approach also inven-
tories key natural subsystems but Interprets their significance in terms
of man's visual perception of the environment. The three approaches may
be respectively termed: natural system inventory analysis; ecosystem
analysis; and visual landscape analysis. Since the three approaches
are intimately related and since, in practice, all inventories and
analyses interrelate to some degree, this distinction is somewhat imper-
fect. Regardless of the approach taken to resource analysis, the infor-
mation generated may be used at various stages in the planning process.
To explicate the three approaches to resource analysis, a few
examples of each will be presented, although no actual resource analysis
fits exclusively into one category. Descriptions of the examples will
be brief since a complete discussion of the various approaches to resource
analysis is well beyond the limits of this study. The reader who is
119
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interested in this subject is encouraged to study the reports given as
examples and the other references cited in footnotes. Two general
references can also be recommended: Carl Steinitz's A Comparative
Study o_f_ Resource Ana lysis Methods and Th ree Approaches to_ Envi ronmenta I
Resource Ana lysis by Raymond K. Bel knap and John G. Furtado.
Natural Systems Inventory Analysis
The primary objective of this type of natural resource inventory
is development of a natural features information base which may be used
in the planning process as a rationale for determining optimal space
allocations for land use. The central operating principle is that speci-
fic features of the natural environment are more suitable for some land
uses than for others. Common environmental subsystems inventoried include
geology, pedology (soils), hydrology, meteorology, climatology, plant
associations, and fish and wildlife. Although most recent environmental
resource inventories touch on some aspect of all of these subsystems,
they vary in their specific focus and interpretation, depending on the
reason for which the information is gathered. At present, there appear
to be two fundamentally contrasting objectives: first, determining
environmental constraints to development; and second, protecting the
environment from development. The first objective places the highest
priority on urban system demands partially excluding some environmental
system demands while the second objective places highest priority on
nature and its demands. Two contrasting examples are described here.
The study, The Natura I Features £f_ the Wash! ngton Metropol itan Area,
prepared by the Metropolitan Washington Council of Governments is an
example of an inventory conducted to determine environmental constraints
I p
to development. The study focuses on seven natural features: geology,
minerals, elevation, slope, soils, streams and drainage basins, flood
plains, groundwater, and woodlands. Woodlands are the only plant assoc-
iations identified, and its inclusion is justified on the grounds of
aesthetics and amenity, conservation, and direct economic value as a
commercial product. Fish and wildlife are not assessed.
120
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These features were selected because of, and evaluated with respect
to, their impact on urbanization. The analysis, biased as it may be
toward protecting development rather than the environment, is thorough
and provides useful information. For example, the list of the various
geological system "items" and their relations-hips to urban development
adapted from the report in Table 18, exhibits a strong development
protection bfas rather than a concern with environmental protection.
Other natural features such as slopes, soils, and flood plains are
19
similarly interpreted for appropriateness for various land uses. AM
land uses postulated involve some type of human activity or production
type. In this approach, no area is restricted for nature alone. The
information is finally synthesized into a "natural features composite."
The composite map "shows some of the areas where public policy should
reflect the limitations or opportunities Cprimari ly for economic gain]
inherent in the physical environment: areas of shallow depths to bedrock;
poor drainage areas; areas having mineral resource potential and areas
20
where landslides, flood plains, and severe slopes occur."
Although the stated purpose of the inventory was to assemble "natural
features data CwhichU have not been available in a single document at a
uniform map scale covering the entire Washington Metropolitan Area...
for urban analysis in an 'ecological framework'," the data interpretation
21
presented does not focus directly on the ecological objective. Yet,
since land does have an economic value which property owners usually
desire to capture through sale and eventual development, this type of
resource inventory which stresses major conflicts between natural features
and urbanization may be realistic as well as useful. Furthermore, such
information is necessary to insure sound development practices. This
has been the emphasis in the traditional approach to the use of environ-
mental data.
Since the publication of Design with Nature in 1969, the name Ian
McHarg has become associated with the second and contrasting approach to
environmental systems analysis—an approach emphasizing the protection
22
of natural processes. Although McHarg is only one of many environmental
planners who take this stance to planning, his effective advocacy in the
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I tern
Useful in Determining
Topography
Slope StabiIity
Foundation conditions
Re Iative dri Ilabi Iity
Excavation characteristics
Depth to bedrock
Groundwater features
Yield of we I Is
Permeabi Iity
Septic tank suitability
General land use suitability;
potential development character; costs
Areas of potential soil slippage;
hazards
Foundation bearing quality or
supportive strength
Tunneling and boring capabilities
affecting transportation and
utiIities
Potential construction hazards;
physical limitations and costs
Physical limitations and costs
General availability of water
resources
Economic feasibility of tapping
groundwater resources
General land use suitability;
construction cost; health and
welfare limitations
Development costs; health and
welfare limitations
TABLE 18
IMPORTANT RELATIONSHIPS OF GEOLOGY AND URBAN DEVELOPMENT
Adapted from list on page 7 of The Natural Features of the Washington
Metropolitan A_rea (Washington, D. C.: Metropolitan Washington Counci
of Governments, January 1968).
122
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recent environmental movement in land use planning cannot go unmentioned
here. McHarg's environmental analysis of the Twin Cities Metropolitan
Area serves well to illustrate an inventory and analysis of key natural
23
systems for the primary purpose of their protection. It is called an
"ecological study," although, as will be discussed later, some ecologists
would hesitate to call this approach an "ecological" analysis. The pur-
24
pose of the study was to
inventory phenomena and natural processes, to reconsti-
tute these as a value system, and to perceive the degree
to which land, air and water processes offer both opportu-
nities and restraints to single and combined prospective
land uses.
The list of phenomena inventoried are similar to those identified in
the Washington study although plant associations and fish and wildlife
are given specific attention here: climate; historical geology; bedrock
geology; surficial geology; foundation conditions; economic minerals;
physiography; hydrology (surface water and ground water); pedology;
plant associations; fish and wildlife; and existing land use.
The distinction between the two inventory approaches appears in
the interpretation phase:
The basic proposition employed Cduring the interpretation
phase] is that any place is the sum of historical, physical,
and biological processes, that these are dynamic, that
they constitute sociaI vaIues, that each area has an
intrinsic suitability for certain land uses, and, finally,
that certain areas lend themselves to multiple co-existing
land uses. ^emphasis added]
O£T
That natural processes have social value is a fundamental assumption:
Absolute economic values cover only a small range of
social values. By employing a relative system of most
to least, it is possible to include all of the important
social values and circumvent the economist's narrow
pricing system. While this denies an illusory precision
of cost-benefit analysis, it does show the maximum con-
currence of positive factors or their relative absence.
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Given this, the major environmental systems inventoried are
evaluated with respect to suitability for four major land use groups,
27
each of which includes several land uses:
I. Production. Land uses related to production of the
land and include: agriculture, forestry, wildlife
propagation, and mineral extractive industries.
2. Protection. Land uses having primary purposes to
preserve, protect, and conserve those elements of the
natural environment considered to be unique, scarce,
or vulnerable or constitute a hazard to life and
health. Such resources may include erodible slopes,
flood plains, and recharge areas.
3. Recreation. Land uses with primary purposes for the
constructive use of leisure time in an active or
passive manner.
4. Urban i zation. Land uses related to residential,
commercial, institutional, and industrial developments.
Attributes of each environmental subsystem are ranked on a scale of
one to five, one being most desirable and five being least desirable,
for each land use category. Using geology and its relevance to urban-
ization as an example: bedrock, flat land on sands and gravels, flat-
land on drift, sloping land on sands and gravels, sloping land on drift,
and alluviam, lake deposits, eskers and kames, are given successively
on
lower values as foundation materials.
Next, natural phenomena and processes are incorporated into suit-
ability classes. A table for each environmental subsystem comparing its
relevance to specific land uses within the four land use groups is developed,
The individual environmental subsystem tables are then combined to map
the overall intrinsic environmental suitability of each specific land
use (for example, production involves agriculture, forestry, wildlife
production and extractive minerals). Finally, a synthesis map of prospec-
tive land uses is prepared reflecting the relative importance of each
land use. Ranking could vary according to the objectives of the community.
The rank order selected in the Twin Cities was protection, urbanization,
agriculture, active recreation, forestry, and extraction.
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The inventory and analysis for the Twin Cities area represents one
of the earlier studies by the McHarg group. Since then, the specific
methodology for interpretation of data as well as the data collection
29
process has been revised and improved.
The Twin Cities study is only one example of the approach to environ-
mental systems inventory and analysis which places a priority on the
protection of natural features determined to be of value because of their
scarcity, uniqueness, historical significance, or importance to sustaining
other processes or elements. Many other examples of studies conducted
by local planning agencies, private consultants, and academicians would
need to be described to present a complete picture, of the subtle varia-
tions to this approach which have been developed. Environmental system
analysis and interpretation is only one stage in the land use planning
process, but it is an extremely important planning activity which is
presently receiving a great deal of attention.
Ecosystem Analysis
The second approach to environmental system inventory and analysis
differs from the first primarily in the degree of integration of the
separate natural systems into an ecological whole and a greater stress
on biological components. In its simplest terms, the ecosystem concept
states that the earth operates as a series of interrelated systems within
which all of the components, living and non-living, are linked with one
another in complex ways so that a change in any one component will bring
about some corresponding change in the operation of the whole system.
An ecosystem approach to environmental inventory stresses the interrela-
tionships among components rather than treating each natural phenomenon
as a separate characteristic of the landscape. Figure 4 indicates
the general pathways of interrelation or influence among the natural
phenomena that may be considered separately in the first type of inventory.
One of the more significant aspects of ecosystems in land use plan-
ning is that they are the real functional units of the natural world and
can be identified on the ground. Thus, they form logical operating units
for an environmental plan or guidance system. The soil scientist
125
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Physical Systems | Biological Systems
Hydro logic Processes
Human Communities
Animal Communities
A
V
Plant Communities
FIGURE 4
THE INTEGRATION OF NATURAL PROCESSES INTO AN ECOSYSTEM.
ARROWS INDICATE THE DIRECTION OF INFLUENCE, MANY OF WHICH
ARE RECIPROCAL.
126
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J. S. Rowe has defined an ecosystem as "... a topographic unit, a volume
of land and air plus organic contents extended area My over a particular
part of the earth's surface for a certain time." This definition stresses
the reality of ecosystems as functional units of the landscape that include
all natural phenomena and that can be identified and surrounded by definite
boundaries. The boundaries of ecosystems, however, are never closed or
impermeable; they are open to transfer of energy and materials to or from
other ecosystems. The open nature of ecosystem boundaries is important,
for even though a planner may be dealing with a particular ecosystem as
a land unit he must keep in mind that the exchange of materials with its
surroundings is an important aspect of the system's operation.
The ecosystem approach to natural system analysis could be applied
at any level of planning—regional, local, or site-specific—depending
upon the size of the ecosystem chosen. The regional level, such as that
of large watersheds or river basins, would seem to be most appropriate,
since an analysis at too small a scale would be likely to leave some of
the significant relationships outside of the system. Due to the
complexity of such large ecosystems, however, applications of this
method to date have been restricted to much smaller areas. At whatever
scale of planning it is used, the ecosystem approach always emphasizes
relationships between processes at that scale and processes of the
larger systems which encompass it.
Ecosystem-based inventories usually stress the plant and animal
communities of the planning area. This is partly because a complete
analysis of the exact nature of the complex interrelationships would
be a massive undertaking, but it is also because the biotic communities
are a fairly accurate reflection of the total effect of all other environ-
mental influences. By delineating and describing plant communities,
for example, an ecologist familiar with the area can derive a reasonably
accurate picture of the condition of surficial rock strata, soils,
microclimate, hydrologic regimes, and the animal communities likely to
be present. The stage of succession of a plant community can tell much
about the length Of time since it was last disturbed, its productivity,
127
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ecological diversity, and stability. These parameters, in turn, indicate
the relationship of a particular community to those around it and the
role it plays in the total ecosystem. On this basis, the area's suit-
ability for and susceptibility to serious disruption from various types
of land use or development can be determined.
Several ecological consultants and planners have used this technique
of partial ecosystem analysis based on vegetation surveys in environmental
impact analyses and large-scale site plans. The following approach is
summarized from the techniques suggested by Dr. Frank McCormick and
Dr. David Adams, both trained ecolegists who have served as land use
planning consultants.
1. Identify species associations and describe the
distribution and abundance of major plant communities.
2. Relate species and community distribution to significant
physical and biological, natural processes.
3. Attempt to assign relative importance values to species
and communities based on their significance to major
natural processes to be maintained.
4. Base land use decisions on these importance values
to mi nimi ze:
a. permanent changes in important biotic
communities,
b. farreaching effects that may influence
other communities or ecosystems, and
c. extreme physical alterations of the
landscape that may have irreversible
effects.
It must be emphasized that in this case the vegetation is being used to
indicate the operation of the other components of the ecosystem. A
complete ecosystem analysis would examine those other processes as well
and attempt to make the relationships between them and the biotic communi-
ties more expIicit.
A planner would have a difficult time justifying the protection of
biotic communities themselves, however, except as they relate to character-
istics of the land that society has decided, either by necessity or
choice, should be maintained. It is natural processes which biotic
communities reflect that are the real matters of concern. One of the
128
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primary advantages of an ecosystem approach to land use planning is the
emphasis put on natural processes as characteristics of whole systems.
These processes can be considered as services provided to human communi-
ties by natural ecosystems at no cost. Such services as water and air
purification, runoff control, soil formation and stabilization, climatic
amelioration, and control of pest populations are performed by natural
ecosystems in their normal operation.
Once the practical value of utilizing rather than destroying natural
ecosystems functions has been accepted as a goal of planning, the next
step is the development of methodology to achieve this goal. The following
guiding principles to methodology development for ecosystem-based planning
have been summarized from those proposed by the ecologist Dr. James E.
Wuenscher in an ecologically based land use plan for the Eno River Valley
34
in Orange and Durham Counties, North Carolina.
I . Logical ecosystem units should be used as basic planning
units to the greatest extent possible—watersheds for
example. The significant point is that natural boundaries
rather than purely arbitrary or political boundaries should
be used.
2. Important natural processes should be identified as they
occur in ecosystems of several sizes ranging from the
whole region to individual small watersheds or other
ecosystem units. Someone with ecological training should
be able to identify at least the rough patterns of processes
with a minimal amount of investigation based on aerial
photographs, topographic maps, and field surveys. More
detailed analyses are desirable in critical areas if time
and money are available. For illustrative purposes, taking
a river system as an example, the following processes might
be identified: the use of water by vegetation; runoff
regulation by vegetation and litter; aquifer recharge by
soil percolation; aquifer discharge to maintain stream
flow during dry periods; soil stabilization by vegetation
to prevent stream siltation; filtration of urban runoff
by vegetation. Various land use alternatives should be
considered in relation to their impact on these processes
in each small water shed and their cumulative impact on
the entire river basin.
3. Specific land areas and biotic communities most important
to the continued operation of these processes should be
identified and located on the ground. These may then be
examined in more detail with an eye toward their stability
129
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in the face of land use related perturbations. In
the river basin illustration above, the critical areas
might include f oodplains, riparian plant communities,
vegetation and soils of steep slopes, aquifer recharge
areas, and vegetated strips at the edges of roadways
and other paved areas.
4. Environmental goals should be set for each ecosystem.
Communities or planning departments at the local or
regional levels must decide which of the natural
functions they wish to take advantage of by protecting.
One guiding principle should be maintenance of as many
diverse species and habitats as is possible. Ecologists
have found that the diversity of species and environ-
ments usually found in natural ecosystems has great value
in maintaining system stability.-^ As human development
encroaches upon naturally diverse ecosystems, the usual
effect is to simplify them, thus decreasing their natural
resistance to breakdown. Another guiding principle
is to maintain as much undeveloped area in and around
intensive development as is economically and politically
feasible. The difference between the ecosystem approach
and traditional open space reservation is that the aim
of protection is not simply to keep land undeveloped,
but to maintain the operation of natural processes that
provide services to the human community.
5: Methods that wil protect critical natural processes
and will also achieve environmental goals must be
developed and enforced.
While these guidelines may serve as a starting point, the ecosystem
analysis approach to natural features inventory and land use planning
is only in the early stages of development. Its emphasis on biological
interrelationships, interdependencies of physical and biological systems,
and a holistic view of the entire planning area make it a valuable
approach that will no doubt be further developed and more widely applied
in the future. Indeed, the understanding and analysis of ecosystem
processes and the conscious aim of planners to protect them may be the
only truly ecological approach to land use planning and the only possible
way to plan for sustained environmental quality.
Visual Landscape Analysis
A third approach is visual landscape anc is. In contrast to the
first two approaches which are based on scientific data about natural
130
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features and processes, this approach is based on visual observations by
a professional, usually a landscape architect. The objective is identi-
fication, evaluation, protection, and enhancement of landscape features
which contribute to the aesthetic quality of the environment. Although
they concentrate mainly on visual beauty in landscapes, visual landscape
analysis methods actually grow out of a concern for the total experience
of the human observer. Visual beauty in the purest sense of harmony of
form and color is only one element in this total experience which depends
on the interplay of sensory, psychological, and sequential experiences.
The sensory experiences are derived not from visual satisfaction alone
but from an amalgam of all five senses including the sounds of birds,
running water, rustling trees, and church bells and the smells of earth
and vegetation. The psychological experiences are derived from a complex
of emotions which can enhance or diminish the response to intrinsic
landscape beauty, including sentiment, fear,curiosity, surprise, and
veneration of age and history.
K. D.'Fines has developed a method of landscape evaluation in
East Sussex County, England. The first step is establishment of a scale
covering the total environment—townscape as well as landscape—calibrated
on the responses of a representative sample of people to a series of
photos of landscape types which range from unsightly to spectacular.
Using this scale, matched to representative landscapes, a professional
staff member surveys the planning jurisdiction to' develop a landscape
... 37
evaluation map.
One of the better known pioneers in visual landscape analysis in
•Z Q
this country is Philip H. Lewis. Working mainly in midwestern states
and counties and the Twin Cities metropolitan area, Lewis has contributed
a method of identifying and evaluating patterns of perceptual quality
within the landscape which stresses public awareness and identifies prime
lands for recreation and conservation purposes. His techniques of identi-
fication and analysis are easily understandable and quickly applicable,
particularly as a basic input for recreation-environmental planning.
Lewis has identified landscape resources on the basis of their
contributions to visual contrast and diversity and divides them into
131
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those resources possessing intrinsic values (natural environments
perceptually pleasing to man) and those having extrinsic values (qualities
added to the environment by man, such as historic structures or water-
falls). The major intrinsic resources are inventoried first by a pro-
fessional and include water, wetlands, flood plains, sandy soil adjacent
to water, significant topography, views, major highways, and vegetation.
A soil survey is added to help with later' determination of suitable
recreation uses. Local agencies and citizens are then recruited to add
other intrinsic and extrinsic resources.
Once the intrinsic and extrinsic resources are located, they are
mapped as points, lines, and areas on overlays. The resources tend to
overlap in linear or lattice type patterns which Lewis calls environmental
corridors and which follow streambeds, ridges, and steep slopes. More
concentrated patterns of resources are then identified within the environ-
mental corridors and priorities among them for acquisition or protection
are determined.
R. Burton Litton, Jr. has developed a more purely visual analysis
39
method for forest landscapes. He has defined six variables which
influence the way a landscape is seen by an observer. Form (for example,
ridges, islands, mountai ns or hills); spatial defi ni tion (vaI leys or
ravines which form outdoor rooms with floors and walls); and I ight apply
to the landscape itself. For the observer, he identifies distance from
a landscape element, observer position (above, below, or level with the
viewed object), and temporaI and spati a I sequence wi th i n whi ch a scene
is viewed. He has also identified four types of landscape compositions—
panoramic, feature (dominated by landmarks), enclosed, and focal landscapes
which lead the eye to a focal point or edge.
A visual analysis may stand alone or be easily coordinated with the
analysis of physical and biological features and processes to determine
intrinsic suitability for land uses, particularly open space uses, recreation
uses, and highways, within the total land use planning process.
132
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General Remarks on Envi ronmenta I _System_ I inventory and Analysis
Three qualifying remarks must be added to this discussion of environ-
mental system inventory analysis:
I. Despite the approach taken, the data used are markedly
similar in all environmental system inventories. The
primary distinction among the approaches is in the
analysis, or data interpretation, stage and the geo-
graphic scale of inquiry. This is a function of (I)
the bias, personal and/or professional, of those
conducting the study and (2) the specific objectives
of the study.
2. None of the examples cited have been evaluated for
accuracy of data or appropriateness of data collection
scale. In general, however, it appears that most
inventories rely on the best data available regardless
of scale or accuracy and attempt to "make do." This is,
perhaps, a function of the urgency of information demands
characteristic of the new environmental emphasis in
planni ng.
3. Those researchers and planners most deeply into environ-
mental data inventory and interpretation methods claim
that the real cutting edge issues here are technical
and focus on the quality of the predictive and evalua-
tive models. Since data, models, and assumptions have
not been evaluated here, some of the examples may not
be at the cutting edge technically. Research is currently
underway to develop better models.
The Third Front: The Land Use Guidance System
The first two fronts of innovation which have been discussed—the
redefinition of comprehensive goals to include an environmental objective
and the inclusion of environmental system information in land use planning-
simply set a new baseline from which to approach land use planning. Added
to this is an increasing emphasis on carrying planning directly through
to implementation. New goals, new information, and a new emphasis on
implementation have spawned the development of new methodologies for
incorporation in the land use planning process. in and of themselves,
each methodology certainly warrants the designation, cutting edge.
Together, they signal an even more dramatic potential for innovation in
the total land use planning process. The potential synthesis of these
methodologies points to a new land use planning process which we have
133
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termed guidance system planning. The ultimate aim of this planning
process is the infusion of goals and information, which now reflect, an
environmental orientation, into the urbanization process.
The guidance system planning process, depicted in Figure 5
is an expansion of the concept outlined in Chapter I. It may be
viewed on three levels: first, as a theoretical rational planning
process; second as a series of planning activities; and finally as a set
of planning outputs, or products, which influence the urbanization process.
At any level, each stage evolves from and builds on prior stages.
Guidance system planning represents an attempt to operationalize the
rational planning process in which a problem is identified, goals are
specified as objectives and evaluative criteria are formulated. Alterna-
tives are then generated and evaluated, and finally, a choice among alter-
native actions is made and feedback is obtained over time. The process
may also be viewed at a more operational level in terms of planning
activity and output. The stages in the process at the operational level
parallel the theoretical planning process stages. Once a broad goal of
environmental quality is established, planning activity begins. Of course,
previous planning activity may have pointed to the need to include environ-
mental objectives.
Stage I: Problem Identification and Analysis
The first stage in the guidance system planning process involves
definition of the problem. Before data collection and analysis begi.n,
there should be a statement of major assumptions, a determination of the
major environmental, urban development, and urban activity systems involved
in the problem, as well as a preliminary model of the important variables
to be inventoried and predicted and relationships to be analyzed. Inven-
tories of natural systems in the area, existing land use, and many other
factors are traditionally analyzed as informational input for land use
planning. In addition, indicators of urban and environmental system
performance may be monitored to explore current trends and predict future
system performance. The output at this stage is primarily in the form
of background studies and status reports which define key local problems
134
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THEORETICAL
RATIONAL
PLANNING
PROCESS
LAND USE
PLANNING
ACTIVITIES
OUTPUTS
OF
PLANNING
ACTIVITIES
CONSEQUENCES
STAGE 1
STAGE 2
STAGE 3
Problem Goals, Formulation
identification [objectives of
and and alternatives
analysis choice i
criteria i
t i
Inventorying, 'Formulating (Formulating
monitoring, i general ispecific
prediction i goa 1 idecision
interpretation loriented iguides and
idecision (action
qu i des instruments
i M i
Background
studies,
status
reports,
sui tabi 1 ity
maps
i i
Goal plans,
choice
cri teri a,
pol icies,
strategies
1 T
! i i
Spec! f ic
Budgets,
po 1 ici es
p lans,
programs,
projects,
mode 1
i regu lations
i i ncenti ves
! A_
r i *
Local Government's Course of Action for Prc
i i
<>
: O
: o
STAGE 4
Eva 1 uation
of
a 1 ternati ves
Test! ng
alternative
plans and
pred ictions
Effect! veness
and
env i ronmenta 1
i mpact
ana lyses
1 |
:>moti ng Envi ronr
0
STAGE 5
Action
dec! s ions
Selecting
and
i mp lementi ng
action
i nstruments
1 ndi rect
actions:
Regu lations
1 ncenti ves
Publ ic
i nvestments
Di rect
actions:
Pub 1 i c
i nvestments
J
STAGE 6 STAGE 1
Feedback
Monitoring the
urban environmental
system and
performance action
i nstruments
Mon i tori ng
envi ronmenta 1
qual ity
i ndicators
Publ ic surveys
Po 1 i t i ca 1
acti viti es
i , ? r
nental Qual ity|<" ' /
, x 7 /
^ > 1
i
-------
related to environmental quality goals. Solutions to these problems
become the objectives of the planning process.
Because there has been so much recent emphasis on developing a
methodology for inventorying natural systems as an input to land use
planning, new approaches to this component of the guidance system were
given special attention in the previous section of this chapter. Regard-
less of which approach to inventorying environmental characteristics
is taken, the output or information generated serves as the basic infor-
mation system for planning. For example, in the preface to the ProbI em
Recognition Study for Centra I New Hampshire Planning Region, the authors
4-4-40
state:
This study is not intended to produce a master plan
for the growth of the region... It is our intent
to give to the Planning Commission a methodology for
evaluating future development in terms of its effects
on natural systems and the environment... It is also
the intent of this study to apply the methodology to
"recognize problems" and establish issues in the
present development pattern of the region.
The term "problem recognition study" is an appropriate one for the output
of this phase of the guidance system planning process. It facilitates
the definition of the environmental goal into more specific objectives.
The information system for environmental systems produced through
the inventory may be combined with a monitoring of urban growth or a
prediction of potential growth patterns to highlight probable points of
conflict between urban development demands and natural system demands.
The "Early Warning System" developed for the Santa Cruz Mountains
41
area illustrates one approach to developing such a prediction capacity.
Essentially, the model is "a predictive too! for locating potential develop-
42
ment/land dynamics conflicts."
The "Early Warning System" model illustrates a method
of predicting those areas where there is likely to be
a conflict between natural dynamic systems and five
forms of development; selected residential, logging,
tree farming, grazing and speciality crops... but the
method is theoretically applicable to any land use.
The system includes a comparison of a mapped expression
of developer interests in terms of physical potential
136
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with a mapped expression of the natural dynamic
systems of the same area... With the use of an
Early Warning map the planner could easily identify
the areas which are likely to have potential impact
problems in advance of actual development. The
nature of additional information which is required
can be identified through an impact analysis process
and land use policies can eventually be developed
to avoid or at least minimize further environmental
degradation.
The "Early Warning System" is an extension of environmental monitoring
approaches found in air quality and water quality management. Environmental
systems related to land are inventoried while urbanization trends are
monitored and projected into the future to identify "hot spots" which
should be given special planning attention.
A similar type of monitoring is under consideration in San Diego
43
in conjunction with a comprehensive information system for planning.
However, "hot spots" are defined only as areas of increased urbanization
and not in conjunction with an inventory of environmentally sensitive
areas. It would be possible, however, to include environmental data in
the information system so that an indication of the environmental sensitivity
of an area to increased urbanization would be readily available.
Often, background studies and status reports generated during this
first stage of the process include some general recommendations for
dealing with major environmental problems. Problem identification and
preliminary recommendations lead directly into the second stage of the
guidance system planning process.
Stage 2: Formulation of Decision Guides
General decision guides are those plans and policies developed by
planning staff to aid local governing bodies in their policy-making
capacity. Such goal oriented decision guides create a framework of
rules based on public goals in which more specific policies and decisions
affecting land use will be made. As such, decision guide formulation
is an attempt to pin down the decision-making process by making explicit
the goals and objectives implicit in the myriad of day-to-day public
137
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decisions. The deliberate delineation of goals and criteria should
reduce arbitrariness as well as establish criteria for evaluating
implications of seemingly discrete public decisions based on a more
comprehensive view of the urban system.
Traditionally, the land use plan and the comprehensive plan has
served as such a decision guide. The land use plan is a generalized
vision in map form of the desired future physical characteristics of the
urban area in terms of location, intensity, and amount of land which will
be developed for various space-using activities. In this sense, the
plan has been viewed by decisionmakers as a synthesis of information
on the optimal physical development pattern for the community. It may
or may not be formally adopted. Theoretically, the pattern of urban
growth depicted by the plan is to be reinforced by subsequent and more
specific policies, regulations, incentives, and public investments.
Insofar as the land use plan presents a visual interpretation of physical
characteristics for twenty years hence, it has not always been the most
effective context of information and objectives for evaluating the
implications of day-to-day decisions affecting land use. Thus, the
land use plan is often supplemented by policy recommendations as well
as more detailed policy and program plans focusing on more specific
issues within a shorter time horizon than the ten-to-twenty-year reference
of the traditional land use plan.
The land use plan itself may include a set of policy recommendations
focusing on one or more specific environmental problems in the area.
Guilford County, N.C., for instance, addressed two critical problems
in its land use plan which involved the impact of urban growth on the
44
envi ronment:
I. Insuring an adequate supply of raw water in a
county where the stream system consists exclusively
of headwaters and keeping this supply pure at a time
when unsewered development is beginning to spread
across reservoir drainage basins.
2. When the drainage areas of existing sewage treatment
plants in the two cities are largely developed (as they
will be by the I980's), it will be necessary to look
for new drainage basins to sewer. The scaie of pro-
jected population growth precludes any reliance on
septic tanks.
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This problem focus stemmed from an analysis of land capability (climate,
surface water, water resource quality, the stream pollution problem,
major surface water reservoirs, and soils) which was compared with
population and economic growth projections. The strategy proposed to
accomodate projected growth yet minimize its impact was for the county
to "adopt a policy of promoting a small series of satellite communities."
The new community locations were assigned to areas where the impact of
the development on water quality could be minimized. It was recommended
that growth be encouraged at these sites through the early provision of
water and sewer facilities. (It should be noted, however, that subsequent
action regarding this public utility provision has not followed this
policy recommendation and growth is not being channeled solely to these
,45
areas.)
The Optimum Land Use Plan for Redmond, Washington, is another
example of a land use policy guide which emphasizes development based
46
on congruence with natural land features. Land capability was evaluated,
in terms of surficial geology, current pollution levels (air, water,
and noise), physiographic features (surface water, marshes, 100 year
flood plain, acquifer recharge areas, slopes), climate and hydrology,
vegetation and wildlife. Development principles appropriate to the
conservation or improvement of each factor were recommended. For instance,
47
with regard to identified flood plains, it was suggested that:
The 100 year flood plain should be designated as
a floodplain control zone. Construction in this
area should be a I lowed only on the edge of the
floodplain where ponding alone occurs and should
be limited to facilitate:
minimum flood damage;
minimal cost of storm drain improvements and
expensive flood control structures;
maintenance of acquifer recharge;
maintenance of the high visual quality of the
unique stream environment;
preservation of stream quality for salmon and
trout spawning; and
preservation of limited agricultural land.
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These natural land characteristics were then interpreted in terms of
development constraints and potentials. Floodplains, steep slopes, and
marsh areas were recommended for careful management. The suitability
of land for gravel extraction, heavy building sites, homesites, recreation,
agriculture, and conservation was examined. Further policy recommenda-
tions for each type of land use were presented.
Some areas were considered suitable for several different land
uses. While two different land uses may not produce an adverse impact
on land quality, they may, however, prove incompatible with each other.
Prior to the design of the "optimum" land use plan, the compatibility
of land use with land use (for example, camping with suburban residential
development) and land use with land (commercial activity with slopes
exceeding 30 percent) was assessed as being incompatible, moderately
compatible, or fully compatible. In addition, each type of land use was
rated as severe, moderate, or minimal in terms of its potential adverse
environmental consequences. The resulting matrix of "land use inter-
compatibility" served as a decision guide for designing a plan. Further-
more, a policy to "optimize multiple compatible uses, as well as single
uses" was posed as a decision guide. Other inputs to design included
evaluations of the economic base, projected land absorption, population
growth, housing needs, development pressures (including parcel size
and distribution and the prevalence of land speculation), and existing
and projected land use distribution. Given these evaluations, it was
48
concluded that
The land use allocation in the Land Use Plan can
accomodate all the land uses dictated by market
demand. This allocation also strives to conserve
the most important natural features of the Planning
Area. It can therefore be called the Optimum Land
Use Plan.
Bucks County, Pennsylvania, has followed a more policy oriented, less
49
map oriented approach to land use planning. While individual municipali-
ties in the county produce detailed land use plans in map form which
serve as guides to public and private development, the county planning
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agency has focused on one critical problem—development at the urban
fringe. Bucks County has proposed that a development sector concept be
superimposed on individual town plans. Local zoning would prevail as
long as it did not conflict with broader sector designations. The county
would be divided into four classifications: "Urban areas where few
parcels remain undeveloped; Development areas where growth pressures are
intense; Rural Holding areas where much land is still in agricultural or
forest, and development pressures are not intense; and Resource Protection
areas where development would jeopardize natural, recreational and
historic resources. Included are flood plains, precipitous slopes, and
areas of outstanding historic or scenic interest." The fundamental
aim of the development sector policy is to "prevent scattered develop-
ment and urban sprawl without discouraging development in general." It
is recommended that growth be encouraged in designated development areas
through provision of full public services and utilities planned for five-
year periods. Simultaneously, growth would be discouraged in rural
holding areas through regulation and withholding of public services and
prohibited in resource protection areas. The sector designations would
be reviewed annually and Rural Holding designations revised depending
on market demand. Implementation of the strategy would involve the use
of an official map for reservation, rezoning of land, and public invest-
ments, all of which necessitate cooperation among individual governmental
agencies responsible for planning and capital budgeting at that level.
At this point in time, two of the fifty-four individual municipalities
in Bucks County and two regional planning groups covering ten additional
municipalities are revising comprehensive plans using the development
district as a basis.
A policy plan may focus on a more limited facet of the land use-
environmental quality interface. For example, the Southeastern Wisconsin
5 I
Regional Planning Commission has developed a Soils Development Guide.
The Guide was prepared for distribution to local jurisdictions within
52
the seven county region to achieve three purposes:
First, to provide an understanding of the detailed
soil survey and its accompanying interpretive analysis;
second, to illustrate how such a survey and its
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interpretative analysis can be used in local, as
well as regional planning and development; and third,
to present suggested land use regulations that may
be enacted by local units of government and that
utilize and incorporate such survey and interpretations
to better adjust both rural and urban development to
the ability of the natural resource base to sustain
such development.
The "problem" assessed in a policy plan need not be related to a
specific resource, however, such as soils. The Atlanta Regional Commission
recently completed a policy plan for an areawide resource, the Chattahoochee
53
River Corridor. The plan examines the use of a forty-eight mile stretch
of the river north of Atlanta and the adjacent land 2,000 feet from each
bank. The report recommends a comprehensive land development plan for
the adjacent areas, development guides, and a program for public acquisi-
tion of certain areas vital to public recreation or the ecological health
of the corridor. Some of the development guides are posed for countywide
adoption—soil erosion, sediment control and flood plain development
regulations while others are posed for adoption only within the 4,000
foot corridor—general development standards, a "River Buffer Zone,"
Flood Hazard Zone, PUD standards; and a voluntary protection zone.
The environmental "problem" addressed may be a potential economic
environmental resource which is not regarded as a constraint to urbaniza-
tion. The New York State Office of Planning Coordination prepared Long
54
Island Sand and Gravel Mining, a report, written for both local plan-
ners and the state itself, which views sand and gravel mining as the
first step in a carefully thought out plan for reusing the land for
desirable purposes rather than as an unavoidable blight on the environ-
55
ment. Accordingly, recommendations are presented for determining gen-
eral areas suitable for mining, selecting suitable sites, designing the
site, and developing administrative and legal controls. Model standards
for sand and gravel mining regulations are included.
All the land use policy plans and the more specific policy and pro-
gram plans here serve as preliminary solution proposals to the key problems
identified at the local level. Several steps remain before these
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recommendations are implemented. While, in the past, some planners may
have argued that general recommendations were essentially the end point
of the formal planning process, the increasing emphasis on implementation
calls for the extension of planning into the realm of more discrete day-
to-day decision-making, particularly for local planning agencies.
Stage 3: Generation of Specific Policy and Action Instruments
The third stage in the process is generation of specific policy or
project proposals. For example, in the Optimum Land Use Plan for Redmond,
Washington, cited above, it was recommended that the city acquire open
space through less than fee simple purchase. If Redmond is to acquire
open space in this manner, it must first determine which of the several
approaches to less than fee simple purchase is most appropriate to its
objective of open space preservation. Each of the alternative purchase
arrangements must be examined in some detail. In the same plan, it was
also recommended that floodplains, steep slopes, and marsh areas be care-
fully managed. Alternative approaches to such management remain to be
proposed.
The Huntington, New York, Environmental Planning Program; also
discussed previously, is example of a stricter policy plan approach.
No future land use plan in map form is presented. Rather, specific
management actions, evolving from an inventory of the natural systems,
are recommended and would apply generally throughout the area (for
example, the prohibition of nitrogen-carrying fertilizers). In addition,
certain parts of town are singled out for one of three alternative
strategies: remedial action (for example, installing tertiary sewage
treatment for existing development where cesspools and septic tanks
exceed one per acre); redevelopment of urban infrastructure to restore
ecological equilibrium (redesigning the storm drainage system into the
local harbor); and protection of natural resources (public acquisition
of remaining open spaces.)
Formulation of specific alternative action instruments is also a
part of this stage in the guidance system planning process. In fact, the
fundamental credo of guidance system planning—carrying planning activity
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through implementation—requires that planning inquiry from problem
analysis through evaluation emphasize action instrument alternatives
as much as decision guides because action instruments are what implementa-
tion is all about. Although discussion of action alternatives is delayed
here until Stage 5, that is purely for organizational convenience.
Ideally, they are also a critical part of this stage in the recommended
guidance system planning process.
The more detailed implementation alternatives, either specific
decision guides or action instruments, are rarely formally published by
a planning agency. Quite often, these are generated and discussed
internally among planning staff and a single proposal is then recommended
to the decision-making body. In the ideal guidance systems planning
process, however, these alternative actions would be discussed openly
with decision-makers, and the evaluation criteria on which a final
decision was based would be made explicit.
Stage 4: Test i ng AIternat i ves
The fourth stage is testing alternatives. The alternative action
may be a specific plan, policy, program, budget, regulation, incentive,
or public investment project. Evaluation of alternatives necessitates
formulation of models: a model of the operation of the alternative
under consideration interacting with a model of the urban system to be
affected, and, if environmental impact is to be assessed, a model of the
environmental systems affected.
Choices among alternatives depend on a number of factors and a
decision must be made as which factors are most important. Explicit
delineation of evaluation criteria, including the priority given to each
factor, is necessary if decisionmakers (and planners) are to make choices
among alternatives with full understanding of the implications. Such
delineation involves making explicit not only the priority given each
factor of evaluation but also the model of the urban process or environ-
mental processes to be affected and the assumptions on which the model is
based. This is not to suggest that models of the urbanization process or
natural processes must be free of assumptions. Obviously, incomplete
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understanding of these processes necessitates- reliance on expert judgment
and therefore on expert assumptions. Nevertheless, when assumptions
are made, they should be made explicit.
Theoretically, alternatives are tested for one purpose—attainment
of objectives. In practice, however, the assessment of environmental
impact is often separated from testing the effectiveness of the plan,
policy, program, public investment, or regulation in attaining its
primary objectives, which may not be environmental. The discussion wi I
reflect this practical distinction between evaluation of effectiveness
and evaluation of environmental impact.
Evaluating Effectiveness The Bucks County, Pennsylvania, Planning
Commission has initiated a planning process which involves each of the
planning process stages outlined thus far including the evaluation of
effectiveness. The "Computerized Guidance System" developed by Bucks
County represents a major revision in their planning process character-
ized by a "shift in emphasis away from maps toward issues and policy as
the key elements of the plan, an automation of plan generation and
57
testing, and greater flexibility." In this approach, a variety of
land use and natural inventory data is collected, organized on a 22.95
acre, 1000 x 1000 foot square grid basis, and placed in a computer file.
Hence, the system includes an information system, Stage I of the guidance
system planning process; Figure 6 lists the data comprising the
information system. Various development policies (Stage 2 of guidance
systems planning process) are then translated into model form in order
to "relate the effect of a set of policies on a plan...to assist the
County commissioners in establishing and following policies to achieve
CO
the desired end." For example, series of policies were combined to
produce a County Park Plan using this system of data and modeling links.
Seven major policy areas were defined in relation to open space objec-
tives: maximum utility; site quality; accessibility; proximity, land
value; supply and demand; and threat. In terms of maximum utility, the
operating policy was that "the park site which is suitable for the
greater number of recreation activities is a better site than one suit-
able for fewer activities." Each policy was then converted into a model:
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DATA TITLE
NUMBER
DISCRETE
TYPES
DESCRIPTION
Ce I I number
Watershed number
Lakes
Ponds
Streams
Marshes
Ce I ! el evat ion
Forest
Orchards
Geologic strata
Subd i vi sion
Zon i ng
Hi ghways
Transportation
Rai I
Electric
Pi peli nes
Water
Sewer
Scenic areas
Scenic and historic
sites
FauIts
So Ii d waste
Cl iffs
Soi I s
Land use
Land value
Population
DwelI i ng units
Parcel size
Employment
Developed land
Undevelopable land
Municipality number
Planning area
17,862
921
139
26
14
6
8
3
9
7
86
205
5
3
221
54
640
1000 x 1000 foot eel Is
Major, minor, and subwatersheds;
subwatersheds average 2?0 acres
Code number and area
Number per ce I I
Classification, flow character
pollution index, area
Area*
Elevation at centroid of cell
Area*
Area*
Geologic classification (two digits)
area (one digit) (three possible
per ce I I . )
Area*
Area*, 6 residential, commercial,
industria institutional
Freeway, expressway, parkway,
arterial, collector, local
Bus, air, water, facility description
Track type and terminal descriptions
Faci I i ty description
Hills, valleys, ridges, stream
corri dors
Code number, precise identification
by mun i ci pa I ity
Description of type
Description of type
Height of cliff
Soil code (3 digits), slope (I digit)
area* (I digit) 9 possible types
Area*
Thousands of dollars/acre
Population per eel I
Dwelling units per cell
Area* by size class
Employees working in all
Area*
Area*
Mun ici pa Ii ty name
In combination with municipality number
FIGURE 6
59
DATA IN BUCKS COUNTY COMPUTERIZED GUIDANCE SYSTEM
(* all area measurements are by 9ths of a cell)
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Some of these models are sets of overlays, whereby a
variety of factors are combined to determine suitability
for parks. The Site Quality Map is illustrative of this
type model. The accessibility model is a behavioral
model, based on a formula derived from a survey of county
residents. Its basis is the observed effect of distance
on frequency of park visitation. The urbanization threat
model is a simulation model. Variables were: population
growth by municipality, vacant land by municipality,
presence of sewers, proximity to highways, and existing
urbanization. No attempt was made to base this model on
observed data.
The models for each objective were given a priority weighting and the
combined model then applied through use of a computer to obtain an evalua-
tion score for each cell. The outcome was a priority listing of acquisi-
tion sites.
The approach is also being used to develop a Natural Resources Plan
for Bucks County. The entire plan will consist not only of a land use
intensity plan based on a comparison of each planning cell's natural
features and its sensitivity to development, but also a set of implementa-
tion policies and the integration of the Natural Resources Plan with
other elements of the comprehensive plan. The Natural Resources Plan,
/TO
still in the first stages, involves three major steps:
The first step ... is to establish operational definitions
for the various natural critical features of Bucks County....
Evaluation and weighting of critical natural features
is the next step in plan development. Priorities for
protection are established The last phase in plan
development is the setting of priorities and targets.
Major policy issues are tested. For example, one policy
might be to protect the most threatened resources. A
conflicting policy would be to protect areas where land
values are low and the most land could be preserved for
each dollar spent. Both are valid planning concepts. A
weighting system can incorporate the two into a single
plan which may be pre-tested by computer, whereas intuitive
discussions of conflicting policy issues often lead nowhere.
This type of policy analysis and planning feedback provides a good
example of an attempt to make explicit the decision rules of planning.
Such strict definition of objectives is often difficult to obtain from
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legislative decision-makers however. As one of the planners in Bucks
County has stated,"There remains a reluctance to work as closely with
the decision-makers, as the guidance system requires. This represents
a hurdle that has not yet been completely resolved and which can have
serious effects on the effectiveness of the system."
Evaluating Environmental Impact In addition to testing the potential
effectiveness of a plan, policy, or regulation, there is now a trend
toward testing the environmental impact of alternatives. This may be
especially significant when the alternatives generated were not speci-
fically related to environmental quality objectives, for instance,
alternative highway routings. Just how an evaluation of alternatives
in terms of environmental impact can or should be made is currently
the subject of much investigation among planners and environmentalists.
This investigation has been spurred by the requirements of the National
Environmental Policy Act of 1969, Section 102 (C) requiring that all
agencies of the federal government:
(c) include in every recommendation or report on proposals
for legislation and other Federal actions significantly
affecting the quality of the human environment, a
detailed statement by the responsible official on—
the environmental impact of the proposed action,
any adverse environmental effects which cannot
be avoided should the proposal be implemented
(iii) alternatives to the proposed action,
(iv) the relationship between short-term uses of man's
environment and the maintenance and enhancement
of long term productivity, and
(v) any irreversible and irretrievable commitments
of resources which would be involved in the
proposed action should it be implemented^
In keeping with this requirement, all federal agencies now require an
analysis of the environmental impact of any plan, program, or project
sponsored by federal monies. For example, the Department of Housing
and Urban Development's Comprehensive Planning Assistance Requirements
and GuideIines for a Grant (the 701 Program) now include a requirement
for "environmental assessment:"
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Each applicant shall prepare an environmental assess-
ment when the assisted work program will result in
development plans or policies for land use, major
community facilities, major utility systems, major
transportation systems or the protection of natural
areas (estuaries, coastal zones, etc.) The assess-
ment, which shall not be written as a justification
for any proposed project, program, task, or policy,
must
a. Include the following:
(I) A summary or abstract of the proposed plan(s)
or po I ic ies;
(2) The environmental impact (beneficial as well
as adverse) of the proposed plan(s) or policies,
. if they are carried out;
(3) Any adverse environmental effects which cannot
be avoided should the proposed plan(s) or
policies be implemented;
(4) Alternatives to the proposed plan(s) or
policies and an analysis of those alternatives;
(5) The relationship, under the proposed plan(s) or
policies, between local short-term uses of man's
environment and the maintenance and enhancement
of long-term productivity;
(6) Any irreversible and irretrievable commitments
of resources which would be involved if the
proposed plan(s) or policies should be imple-
mented; and
(7) A statement setting forth applicable Federal,
State and local environmental controls.
b. Be appended to the resulting proposed plan and
accompany the plan through all deliberations
leading to approval and subsequent amendment; and
c. Be available to the public on a timely basis,
including availability before public hearings
regarding the plan.
In some states and localities, environmental impact analysis is on
project proposals. Thus far, however, no state or local requirement
includes an impact analysis on long range, comprehensive plans. The
federal requirements as well as most state and local requirements for
environmental impact statements simply provide for disclosure of
assessed impact. The methodologies which have been developed for such
analysis, however, could be used to choose the alternative which will
produce minimal negative environmental impact if that were the objective
given highest priority.
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Most evaluation methodologies developed are applicable at the pro-
ject level and are not suited to evaluation of a general plan such as
a land use plan. These methodologies focus on producing an information
display matrix for the decisionmaker. For example, Luna B. Leopold,
et. a I. developed a display matrix in which the proposed actions that
are part of the project—land transformation and construction activities —
are related to a range of possible environmental impacts—physical and
chemical characteristics of land and water. Wherever a relationship
between the action and the environmental element exists, the intersection
must be given a score (from one to ten, with ten the greatest) on two
factors: first, in terms of the magnitude of the impact, and second, in
terms of the importance of the impact, and hence of the importance of
the environmental element or sub-system, to the total environment.
Steinitz, Rogers, inc. followed a similar approach in an environmental
impact analysis of ten alternative highway corridor routings pI us a
"no build" option in Rhode Island. Each alternative was compared with
a Iist of objectives reflecting various environmental systems.
The information display matrix approach is useful because, although
models of environmental subsystems have been developed in which the
various elements of single subsystems have been weighted in terms of
importance to the system function, there is not yet an accepted model
available in which impacts can be summed across subsystems. To a certain
extent, the relative importance varies depending on the objectives of
the given community involved. For instance, in some parts of the country,
such as Los Angeles, air quality is a significant problem and is also
perceived by the public as very important not only in terms of health but
also in terms of visual amenity. Therefore, when Los Angeles evaluates
the potential environmental impact of a project, the air quality effects
may be given more attention than others. Thus, the importance of the
various environmental elements to the total environment is somewhat
relative although interactions among elements and subsystems exist. Given
this aspect of relativity, and the technical problems in comparing unlike
impacts, methodologies for evaluating environmental impact currently focus
on describing and listing the separate impacts, relationships, and
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interactions so that the decisionmaker can infuse his own perception of
relative importance of each impact type into the final analysis.
Stage 5: Selection of Action Instruments
The fifth stage of the guidance system planning process involves
maki;ig a decision or choice among the alternatives which have been
evaluated. If the choice among alternatives is at the general level,
this choice is fed back into Stage 3 for development of more specific
plans, policies, programs, and projects. If the choice, however, is of
specific policies, programs, or action instruments, the result is imple-
mentation of an action instrument. At any rate, the choice must event-
ually come to the action instrument stage if actual environment quality
is to be affected.
Action instruments may be categorized as direct and indirect. Direct
action instruments to achieve environmental quality goals are those public
investments such as sewer systems, water supply systems, transportation
systems, and the like, which impact directly on the environment. Indirect
action instruments are those regulations and incentives which establish
a framework of rules and conditions for public and private development,
such as zoning, subdivision, and building codes and taxation policies.
Some direct public investments, however, provide an important part of
the framework or support system for urban development in the private
realm, thus exerting an indirect effect by providing the conditions
necessary for development.
Since much of planning is aimed at creating a framework of rules
within which private development can occur in keeping with public objec-
tives, the new objective of environmental quality has fostered a search
for and development of new types of indirect action instruments—regu-
lations and incentives. To a large extent, this search has been char-
acterized by simply a new evaluation of rather traditional guidance
instruments resulting in their modification, expansion, redirection, or
more intensive application.
The following discussion of innovative action instruments is a
brief summary of those guidance strategies exhibiting the most potential
.151
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for effectively bringing the urban development process in line with
environmental quality goals. The discussion focuses on the, control of
urban development and is centered around three fundamental objectives:
I. control of the spatial location of development;
2. control of the timing or sequence of development; and
3. control of spatial design characteristics at the site.
Action instruments appropriate for controlling where, when, and how urban
development occurs are discussed. Since the control of the spatial
location of development is intimately related to the control of the
timing, or sequence, of development, techniques for achieving the first
two objectives tend to overlap.
Control of the Spatial Location and Timing of Development
These two objectives are central to land use planning, and techniques
for their effectuation have long been a dominant theme in planning litera-
ture. Much of the early concern with techniques for controlling the
69
location and timing of development was related to four "needs":
I. Economizing the costs of providing municipal facilities
and services and maintaining them at a high quality level.
2. Retaining municipal control over the eventual character
of development by preventing premature and sporadic
building in unripe places.
3. Maintaining a desirable degree of balance among various
uses of land.
4. Achieving greater detail and specificity in development
regu iation.
These "needs" have remained valid over time, although their circumstantial
basis has expanded to include: municipal fiscal balance; equitable
housing opportunity for all socioeconomic groups; provision of adequate
public facilities to insure public health, safety, and welfare; and, more
recently, prevention of development where, and/or when, it would impact
adversely on the environment.
Assuming that an environmentally sound land use plan has been developed
for the area, there are three general categories of implementation tools
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to guide development into suitable locations—zoning, taxation policies,
and major public investments such as transportation, water, and sanitary
sewer systems. Obviously, there are traditional guidance tools; however,
their application to the implementation of environmental quality objec-
tives has elicited innovative variations on a traditional theme and a
more strident attitude toward their application. A separate discussion
of each category facilitates clarity but is, nevertheless, somewhat
artificial. These action instruments, to be effective, must be designed
to reinforce one another and operate in a synergistic manner to guide
growth. The need for an effective strategy to coordinate regulations,
taxation policies, and public investments elicited the development of
a fourth type of action instrument—the development sector strategy.
Zoning Innovation in zoning has been characterized primarily by
the creation of new types of zones or districts.
Large Lot Zoni ng This zoning technique involves designating areas,
which are deemed valuable for their natural resources, agricultural
potential, or simply as open space, for very low density (minimum one to
five acres) single family or agricultural use. This approach is legit-
imately useful for areas which are difficult to service with public water
and sewer, at least in the near future, and which would become environ-
mentally degraded through high density development. Often this type of
zoning is applied to stave off development until some future time when
adequate public services may be provided; however, it has disadvantages
if used for such a purpose. If development pressure is intense, rezoning
may be granted even though more intense development would be premature.
Gunnar C. Isberg, Director of the Dakota, Minnesota County Planning
Department in the Twin Cities area, recently commented on his experience
with the large lot zoning technique:
As was indicated previously, development in the rural
areas usually begins with scattered, large-lot, single
family homes along township and county roads. After a
period of time, this type of development usually leads
to increased demands for additional services (both in
terms of quantity and quality). This places added
pressure on the local communities to re-zone areas
and allow additional development in order to build
up the tax base. For example, the 1-5 acre minimum
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lot sizes in effect in many townships in Dakota
County has not been very effective in discouraging
development to date. Recently there have been pro-
posals in several townships which have adopted a
2 1/2 acre minimum lot size. One is a proposed
development for 100 lots and the other of 40 lots
of 2 1/2 acres each, which is an incredible and
inefficient use of land.
While large lot zoning may be environmentally sound in particularly fragile
environments, it has the disadvantages of resulting in the inefficient
use of land through scattered development and it is also under fire as
a form of exclusionary zoning in the name of environmental protection.
Exclusive Agricultural Zoning The V i I I age of Harri stown, I I Ii noi s,
Zoni ng Ord!nance states that:
The Agricultural Zone is established as a zone in
which agriculture and certain related uses are
encouraged as the principle uses of land. The
specific intent of the Agricultural Zone is to
facilitate the long term use of lands best suited
to agricultural production by preventing a mixture
of urban and rural uses which often create incom-
patibilities and conflict with agricultural pursuits,
which place unbalanced tax loads on agricultural
lands and which may result in speculative or inflated
land values which encourage the premature termination
of agricultural pursuits.
Three comments on effective agricultural zoning should be made. First,
as implied in the above definition of agricultural zoning, the tax
assessment policy on such land is a crucial factor. Too often, develop-
ment pressure in urban fringe areas brings a rise in the property tax
on agricultural lands, agriculture becomes uneconomical, and the land is
sold prematurely to development speculators regardless of the zoning.
Several states have taken steps to deal with taxation of agricultural
land. (Such tax policy as an urban guidance tool will be discussed as a
separate topic.) Secondly, since exclusive agricultural zoning is in-
tended to promote agricultural activity, it should be applied only to
prime agricultural land if zoning is to be used in keeping with the best
and highest use doctrine of public interest on which it is constitutionally
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based. Special agricultural soil suitability maps can provide the data
72
necessary for delineation of such districts. Thirdly, Isberg notes
the potential difficulty in effecting agricultural zoning:
...many farmers will resist such a zoning classification,
unless reassured that their property will be re-zoned
when they want to sell at speculative values. Thus,
it is ironic that the very device designed to "save"
agricultural land is likely to be resisted by many
farmers.
A similar drawback was observed several years ago in Santa Clara County,
Ca I i forn ia:
Agricultural zoning has been most widely used in
California, where rapid urban growth is devouring fertile
farm lands. Santa Clara County, just south of San Francisco,
is one of the most important fruit producing regions in the
world. The Santa Clara Valley had a 1957 income of $86,000,000
from nuts, wine, fruit, and vegetables; yet, with fifty new
houses springing up daily and the 1950 population of 290,000
projected to rise to 2,100,000 in 1985, agricultural acreage
is expected to decline sharply. To divert some of the
population growth from agricultural land, Santa Clara County
has zoned 100,000 acres for exclusive agricultural use.
However, only the land of willing farmers is zoned for
agriculture, and the land may be removed from this classifi-
cation upon annexation to an incorporated area. This is
the procedure often chosen by farmers wishing to free
their land from agricultural zoning so as to sell it for
development. Since 1954, approximately 83,000 acres of
agricultural land have been annexed to cities.
Conservation Zones Borrowing again from the Harristown, Illinois,
-, . n ,. 75
Zoni ng Ordinance:
The Conservation Zone is established to prevent the
construction upon or alteration of rural or natural
environments which have natural conditions of soil,
slope, susceptabiIity to flooding or erosion, geo-
logical condition, vegetation or an interreaction
between the aforesaid, which makes such lands un-
suitable for urban development. Further, this
Zone is established to protect areas of the environ-
ment, that, if altered, would cause health, or pollu-
tion problems and environmental deterioration. The
Conservation Zone will also insure adequate areas for
future conservation and recreation pursuits. Certain
agricultural uses would be permitted.
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A conservation zone, like an agricultural zone, may be subject to
rezoning to a more intensive use due to development pressures unless
oca I government is strongly committed to a protection policy and
reinforces it through appropriate tax assessment and public investment
policies. Furthermore, such a protection policy should be region-wide
and supported by a I I localities since "rezoning of conservation areas
by one municipality can be detrimental to its neighbors." Conservation
districts, which are sometimes called Natural Resource Districts, are
intended primarily for conservation use alone although agriculture is
often permitted. For example, the Coon Rapids, Minnesota, City Code
establishing a Conservation District cites the following permitted uses:
(i) Outdoor recreational uses operated by a governmental
agency or conservation group, homeowners or private
association and faci ities for making some useful to
public or association.
Open space areas connected with residential, commercial,
and industrial planned unit development.
Conservation uses including drainage control, forestry,
wildlife sanctuaries and facilities for making some
available and useful to public.
Agricultural uses.
Nature study areas and arboretums.
that
Donald E. Reis, Community Development Director in Coon Rapids, writes
78
This district is intended to include areas possessing
important natural features (flood plains, steep slopes,
wetlands), parks and areas preserved as common open
space i n PUD's.
The CD District was adopted by the City in May of this
year. Since that time, approximately 900 acres of the
City's 14,400 acres have been rezoned to this classi-
fication. Of this amount, about 60 acres is privately
held, the rest is in public ownership. We foresee that
at least 1000 additional acres will be rezoned CD in
the near future.
Thus far, we have been receiving cooperation from most
private landowners in the rezoning of their land to CD.
This is because we defer assessments on such property
with its rezoning. Additionally, we allow such areas
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to be used for density purposes within an overall
development. Therefore, a developer can achieve the
same density within a development no matter if he
utilizes the natural area or not.
Among the hurdles we have run into are the traditional
types; such as, "You want me to pay taxes on the land
yet won't a I low me to use it." We have tried to over-
come these arguments by allowing a Special Use Permit
provision which would permit usage of a CD area under
strict controls. If a developer wishes to use a CD
area, he would have to formulate a site plan which
would be compatible with and incorporate the natural
features into the plan and would have to show that he
would be substantially damaged if required to place
the intended development outside the CD area.
In designating areas intended for rezoning to the CD
District, our first step is viewing the City's soil
map prepared by the Soil Conservation Service. We
then field inspect those areas indicated as having
poor soils (peaty), high water tables and steep slopes.
If an area is found to have a variety of plant life
and provides significant wildlife habitat, it is
given a high priority for rezoning. Other areas
possessing limitations for construction are then
ranked in order according to the field inspection
of their vegetation and habitat. Areas given the
highest priority are those areas found adjacent to the
streams that flow through the City. We feel our first
task in preserving natural areas is protecting our
stream corridors and their adjoining bluffs.
The development of a Conservation District in zoning ordinances
reflects recent concern with areas exhibiting high sensitivity to develop-
ment because of a variety of factors interrelated as an ecosystem.
Nevertheless, a number of more specific, yet still conservation oriented,
zoning and other development ordinances have been developed: flood
.79 . . 80 , , , 81 . , ,
plain zoning; coastal plain zoning; wetlands zoning; stream bank
on o •?
zoning; shoreland zoning; and steep-slope zoning (or hillside ordi-
84
nances). Often a special use permit is required for any construction
in environmentally sensitive areas or for types of development with high
impact potential. Special use permits allow for a greater degree of
detail and flexibility in controlling the quality of development and its
impact on the environment.
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Impact Zon i ng innovatively dispenses with traditionally more rigidly
restrictive (but capricious) zones designed for particular land uses.
In place of traditional zoning practices, a government prescribes criteria
for impermeable coverage of sites, services required by certain land
uses to be within a given proximity, and compatiblity among land uses.
The criteria aim to foster conservation of the natural envrionment and
development of a desirable spatial pattern without being abritrary and
inflexi ble.
John Rahenkamp and Walter S. Sachs of Rahenkamp Sachs Wells and
85
Associates originated the impact zoning system. They claim that their
Development Impact Model serves as both a performance standard and a
method of computation by which any development proposal can be measured
for its potential impact on the natural, social, and economic environ-
ments. It thereby serves a dual function as action instrument and
decision guide.
The action instrument is the set of performance standards which all
proposed projects must satisfy:
I. the impermeable cover on an area must not
exceed a prescribed percentage of that area;
2. services which have previously been deemed
essential to the proposed type of project
must be avai lable;
3. the proposed type of project must be com-
patible with adjacent land uses. (A govern-
ment must have previously catalogued all
possible land-use juxtapositions as compatible,
incompatible, or varying shades of in-between.)
A government can measure any proposed project on any proposed site against
its chosen performance standards. Data about the project can be plugged
into a computer program which already contains a data bank for the whole
planning area; the program solution will rate the proposed project as
meeting or not meeting each of those standards. In borderline cases, a
legislative body may wish to override the judgment produced by the pro-
gram (for example, when the program solution reports that a project would
be only mildly incompatible with adjoining land uses).
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An impact development model can provide other information about
the impact of a proposed project on a proposed site, for example con-
struction costs of a project on various sites; revenue produced; and
cost of services which a project will demand. This information can be
a valuable decision guide for policymakers. It may help a government
to know where to give or withhold incentives for construction and which
projects to discourage until beneficial concessions have been made by
the developer. Or it may provide cities, who are taking "fair-share"
low-income housing, with a case for collection of a subsidy from higher
government. Conceivably, a government might routinely subject any
prop®sed development to a criterion of whether its long-run financial
benefit will outweigh its long-run cost, rejecting the proposal if costs
exceed benefits. A decision guide such as this "income generated must
exceed services provided" criterion might easily become exclusionary
to low-income residents, however, and this is a definite limitation to
such an approach.
Taxation Innovations in taxation policy to control the timing and
location of development have been closely related to attempts to estab-
lish and retain conservation and agricultural zones. For example, in
87
Wisconsin, state law requires that land be assessed at its full mar-
ket value, that is, in accord with its development potential, a poten-
tial often over-estimated because of scattered development and the
speculation in land values this fosters. The Southeastern Wisconsin
QQ
Regional Planning Commission notes that:
Under present Wisconsin Constitution and Statutory
Law, the most satisfactory way to relieve the owner
of lands zoned for exclusive agricultural or con-
servancy use from unreaIisticaIly high property
assessment and taxation is to remove the development
potential. This may be accomplished in one of three
ways:
I. The property owner may voluntarily grant an
easement to a local unit prohibiting develop-
ment for a period of at least 20 years.
2. The property owner may voluntarily place
restrictive covenants upon the lands enforce-
able by a governmental unit in perpetuity or
for some substantial period of time.
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3. A governmental unit may purchase the development
rights.
All of the private or governmental actions will serve
to permit the local assessor to assess open lands at
their fair market value for agricultural and conser-
vancy uses and not on their potential value for urban
type uses.
Minnesota's "Green Acres Law" authorizes owners of agricultural
land to receive deferments on property taxes. Agricultural land is
assessed according to its market value given that use until it is sold
or converted to urban use. At that time, the owner must pay the differ-
ence between the taxes paid under an agricultural assessment and that
of an urban use assessment plus interest for the previous three years.
A further aspect of the act is that special local assessments on improve-
ments are deferred until the property is converted to urban use. The
Minnesota law requires no commitment by landowners to future agricultural
use. California and Hawaii have similar assessment policies, although
a commitment to agricultural use is required for a minimum of ten years.
A recent study of preferential tax assessment on agricultural lands in
New Jersey suggests that if such policies are not coupled with a required
commitment to future agricultural use, they may simply encourage specula-
90
tive purchase of farmlands.
The Livingston County, New York, Planning Board is now utilizing
the "Agricultural Districts" Law enacted by the State in 1971, designated
"to encourage continuance of a strong agricultural industry in the state
91
and to discourage urban scatteration into good farm areas."
Five major provisions would apply within any agricultural
di strict:
I. Farmers may apply for an agricultural value assess-
ment on the!r lands.
2. Local governments are limited in enacting ordinances
that would restrict or regulate farm structures or
farming practices.
3. State agencies must modify administrative regulations
and procedures to encourage the maintenance of
commercial agriculture.
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4. The right of public agencies to acquire land
(or to advance funds for non-farm development)
may be restricted or subjected to delays, and
the agencies will be required to consider alter-
native means.
5. The power of public service districts to tax
farm land for sewer, water, lights and non-farm
drainage will be restricted.
Pennsylvania's Act 515, passed in 1965, is based on the same con-
cept of tax abatement or deferral. Act 515, however, differs from some
other state laws in that it is applicable to natural resource areas
other than simply agricultural ones. Act 515 "enables certain counties
of the Commonwealth to covenant with land owners for the preservation
92
of land in farm, forest, water supply or open space uses." The pro-
vision is currently used by Bucks County as an implementation strategy
93
for the Comprehensive Plan.
The following shall be eligible to be covenanted
under the provisions of Act 515 if not otherwise
excluded under Article I M of this plan.
I. Farm Land. Any tract or tracts of land in
common ownership of at least 50 acres in
area used for the raising of livestock or
for the growing of crops.
2. Forest Land. Any tract or tracts of land in
common ownership of at least 25 acres in area
used for the growing of timber crops.
3. Water Supply Land. Any contiguous land area
of ten acres or more, described as having
naturally formed slopes greater than 20% or
subject to flooding at an average frequency
of once every 50 years or the highest flood
of record, whichever is greater.
4. Opeji Space Land. All lands in Bucks County
held in common ownership which have 5% or
less site coverage (including structures,
roads, and paved areas) except those lands
ineligible under the provisions of Article III
of this plan.
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Land occupied by manufacturing, transportation, communication and utili-
ties, trade, service, cultural, entertainment, recreation, resource pro-
duction, and extraction uses is ineligible. The covenant under Act 515,
as amended in 1972, involves a twofold commitment for ten years: (I) by
a landowner to maintain his land as open space; and (2) by the county to
assess the property at fair market value given the restrictive covenant.
The covenant is automatically renewed each year and the ten-year period
is extended by one year unless either the landowner or the county decides
to terminate it. The county may terminate the covenant on the sole ground
that the designation of the land parcel is no longer in keeping with the
adopted municipal, county, or regional plan. Experience with Act 515 in
Bucks County has been somewhat limited, although 2000 landowners have
applied to utilize the act. Landowners, even speculators, may sign a
covenant; the 5 percent fine on back taxes for a five-year period makes
this act only a holding measure—it does not permanently protect, but
94
does buy time.
Pub I i c I investment Innovations in the area of public investment to
control the location and timing of urban development have been character-
ized by an increased recognition and use of public utility and transpor-
tation systems to shape urban growth patterns. A recent survey of twenty-
nine planning directors in ten states stretching from North Carolina to
Wisconsin conducted by the Water Resources Research Center at the Univer-
sity of Tennessee reports that 96 percent of the respondents evaluated
the location of major highways and improvements as a successful imple-
mentation device; 58 percent reported that the location of trunk water
lines was an effective control strategy; and 70 percent found the location
of trunk sewer lines a successful strategy. ^ The report cautions, how-
ever, that "while various plan implementation techniques are generally
given high scores, the planning function in urban government is widely
recognized as generally not having been very successful in implementation
of land use plans except where those plans have merely extrapolated pre-
sent trends." The analysis of the survey findings further states that:
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Since water and sewer extension policy cannot be used
to implement a plan if no plan exists, the first
question asked 'Does your planning agency have an
explicitly stated policy and/or published plan con-
cerning the desired location of new urbanization?'
Eighty-one percent responded affirmatively. Thus,
in approximately one out of five cases the use of
water and sewer extension policy to accomplish a
desired pattern of urban growth is not a viable
possi bi Iity.
The next question asked 'If yes, does the policy
and/or plan indicate a desired sequence of develop-
ment?' That only twenty-nine percent of the respondent
jurisdictions had policies and/or plans specifying
both the desired location and desired sequence of
new urbanization would seem to be as important to the
economical provision of public facilities and services
to serve new residents as would the location of that
growth. However, only a minority of urban land use
plans incorporates staged development plans. It is
to be expected as planners become oriented to plan
implementation, temporal dimensions or plans will
become much more important.
As the survey indicates, most urban areas do have some type of
locational development policy. For example, the Metropolitan Council of
the Twin Cities, Minnesota, has adopted a "Diversified Centers" growth
98
strategy. That portion of the Metropolitan Development Guide dealing
with sanitary sewers states the following policy with respect to their
99
use as a device to implement the growth strategy:
-Phase interceptor extensions to promote orderly and
economic development.
-Extend interceptors into communities only when the
residents are assured of governmental capability to
provide a full range of urban services and to
exercise adequate planning and control.
-Prohibit extension of sewer systems into areas where
development should not occur, such as flood plains,
airport clear zones, major groundwater recharge areas,
and areas designated for open space use.
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Similarly, the Development Guide indicates that open space, transit, and
thoroughfares will also be used as means to implement the development
plan. Isberg notes that it may be too early to evaluate the success
of these policies yet he again offers some important insights into the
types of problems which the Metropolitan Council has encountered in
attempting to effect these policies.
For one, the Council has not firmly determined which
areas in the metropolitan area should be encouraged
to develop and which areas should be "saved" for
agricultural production or simply left in an existing
open space... As a consequence, the Council has been
reluctant to turn down sanitary sewer extension
requests by many of the suburbs.
Secondly, the Metropolitan area is currently planning
a "catch-up" game in relation to expansion of the
major public utilities, especially sanitary sewer
facilities. That is, most of the facilities being
planned for and constructed at the present time are
to serve a need developed by past and existing
ongoing development. Until such time that the
metropolitan area has reached the position of serving
all existing needs, it will be very difficult to
use utility extension policies to purposely "shape"
development with any great degree of effectiveness.
Third, there still is basically a lack of agreement
and coordination between different agencies responsible
for the provision of sanitary sewers. At the present
time, there are a host of agencies involved in the
planning, construction and financing of these facilities,...
it is no secret that the aims and policies of many of
these agencies conflict.
Fourth, the Metropolitan Council does not have adequate
control over the use and construction of private
sanitary sewer systems such as septic tanks and
drainfields. Unless control can be exercised over
private sanitary sewer systems in the urban-rural
fringe, it will be difficult to use sanitary sewer
policies to control development.
Fifth, the Metropolitan Council has not achieved
complete coordination in the policies and programs
for the different functional areas such as highways
and sanitary sewers. ...A major sanitary sewer
plant and interceptor is currently being constructed
for the north-central portion of the county which
will "open up" development in this area, yet the
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proposed transportation plan .... indicates that
major highways will not be constructed in this area
until sometime in the distant future.
Finally, "political factors" have complicated the
use of utility extension policies. That is, land
speculators, developers and officials of many local
communities have put a great deal of pressure on
representatives of the various public agencies,
especially the Metropolitan Council, to approve
extension of sanitary sewer systems.
It appears, therefore, that in order for public investments to
serve as an effective implementation device for a land use development
plan, such a plan must be stipulated in some detail, both with respect
to location and timing of development. Various financing techniques,
102
such as differential user charges, for utilities may also be effec-
tive.
Coordination of Several Action Instruments
It may be generally stated that no single tool is effective in and
of itself. The essence of guidance system planning is the design of a
coordinated series of action instruments which, operating in concert,
create a new set of conditions and rules for urban development. The
development sector strategy is one approach to coordinating regulations
such as zoning, tax policies, and especially public investments. Two
basic approaches to achieving an interface between public investment
planning and land use planning have been offered. The first, termed
Framework or Development District Zoning, is more a technique for utilizing
comprehensive capital improvement planning to control the location and
timing of development than a traditional zoning technique emphasizing
segregation of incompatible uses. For example, Bucks County, Pennsylvania,
as described previously, has proposed the use of a development district
concept. Four types of development areas are proposed: urban, develop-
ment, rural holding, and resource protection.
The fundamental policy is to prevent scattered
development and urban sprawl without discouraging
development in general. This policy is based on
the assumption that it is advantageous to fully
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develop certain clearly defined areas within a
short time. These development areas would provide
full public services and utilities planned for a
five-year period. The plan is reviewed annually
and the area increased with rational extensions
of sewer lines, highways, and public utilities,
based on changing trends.
As construction is encouraged in, development areas,
it should be discouraged in rural holding areas
until development there becomes desirable and
feasible. The rate at which services are extended,
and the size and location of the area into which
they are extended, should depend largely on market
demand.
Growth is encouraged in development districts not only through the
provision of public services based on a five-year program but also through
rezoning parcels to more intensive uses. Only in development areas is
more intensive use zoning applied. Rural holding districts are placed
in a "wait-and-see" condition and would be reevaluated periodically.
Development in holding districts would be discouraged through
several measures. Public services would not be extended for five years
at least. Other effectuation measures would include large lot zoning
(minimum 5 acres), lower tax assessments under Act 515 (previously dis-
cussed), prohibition of development on sites exhibiting unfavorable
percolation, agricultural management and assistance programs for farmers,
and public education.
Development would be discouraged or prohibited in resource protection
areas through resource protection zoning of critical areas, reservation
by official map of protection areas to be acquired within three to five
years, and purchase of development rights or easements. Thus, although
capital improvement planning is fundamental to the development district
concept, a number of other guidance techniques are coordinated to effect
the plan.
An additional dimension may be added to the development sector
strategy through use of a development timing ordinance, the second basic
approach to coordinating public investment to control the location and
timing of development. Although this type of ordinance is not entirely
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new, its recent revival by the town of Ramapo, New York, has created
a great deal of interest. In 1969, Ramapo
amended its zoning ordinance to create a new kind
of "special permit" use labeled the "Residential
Development Use." Anyone wanting to use land for
residential development cannot do so without a
special permit. And a special permit is granted
only if standards are met for minimum facilities
and services available to the new development.
The required services include sewerage, drainage,
parks or recreation, schools, roads, and firehouses.
The ordinance sets up a point system'of values
assigned to these services. A special permit
requires a proposed development to satisfy at least
15 development points. The town, for its part, is
pursuing an overall development plan and a capital
improvement program drawn from that plan. If
services needed for residential development are
missing, Ramapo proposes to include them within its
18-year program of capital improvements, of which
the first six years are specified in a capital budget.
Although Ramapo amended its zoning code in this manner because its rate
of development was far greater than its financial and physical abilities
to provide necessary public facilities and utilities, this type of spe-
cial use permit could be used to funnel. growth to areas ecologically
tolerant to development. It should be noted that the Ramapo approach
is still being tested in the courts, although New York State's highest
court has upheld it.
Regulations such as zoning, tax policies, and public investments
serve to channel development into desired locations only in a very gen-
eral sense. The coordinated provision of public services according to
a scheme outlined in a general land use plan, whether or not the plan
is supported by development district zoning and/or a development timing
ordinance as in Ramapo, may direct growth to general areas. This may
halt urban sprawl and the flagrantly inefficient use of land resources
and channel growth away from large areas not yet impacted by urbaniza-
tion; however, even within designated growth areas, development must be
steered away from critical areas (for example, hillsides and stream
banks) and controlled to reduce the potential for degradation which
urbanization carries with it in any location.
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Control of Spatial Design Characteristics at the Site
Basically, there are three ways to protect the environment by con-
trolling the spatial design characteristics of development: use of
density zoning or planned unit development ordinances; inclusion of
critical environmental provisions in zoning, subdivision, building, or
health ordinances; and requirement of environmental impact analysis on
proposed development as a prerequisite to granting rezoning, subdivision
plats, or building permits.
The planning literature has offered a rather extensive discussion
of the relative advantages and disadvantages of density zoning and
I OH
planned unit development. Essentially, both density zoning and
planned unit development offer the developer flexibility in designing
the site as long as an overall density restriction and other requirements
for improvements are met. This flexibility offers the potential for
promoting environmental quality, since development may be clustered and
sensitive areas retained as open space. Most density zoning or planned
unit development ordinances require submission of a site plan as a pre-
requisite to approval. Through site review, assurance can be made that
optimum site design and construction practices, from an ecological per-
spective, have been achieved. Since public funds to acquire open space
and regulatory measures to protect all critical areas are limited,
density zoning and PUD ordinances provide another potential method of
control. For example, not only might a developer be given flexibility
in the design pattern if some open area is maintained, but he may also
be given a bonus in increased density allowance if the site plan ade-
quately protects some key natural feature from degradation. There has
been some discussion of density zoning and PUD's as means to limit the
amount of paved surface necessary in development, thus reducing runoff.
This is based on the assumption that clustered development will not
require as extensive a road system as a traditional subdivision. Bucks
County has proposed an innovative addition to standards for cluster
developments—not only would density requirements be stipulated but so,
too, would an open space ratio and an impervious surface ratio (a ratio
of all surface area impervious to rain, such as buildings, parking areas,
109
driveways, roads, sidewalks to the gross site area).
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An expansion of this idea is the concept of Environmental Character-
istics Planning, developed by Jacob Kaminsky of the Baltimore Regional
Planning Council. ECP suggests a kind of "environmental PUD"—a pre-
scription of development types of different environmental characteristics
and their allocation to appropriate districts in the planning area.
Within each type any physical layout proposed for
development would be allowed if it is in character with
the development type. Innovative combinations, arrange-
ments, and interrelationships of structures and uses would
be permissible. Diversified development would be allowed
in each development type as long as the character of the
proposed development is faithful to the character
envisioned. ' "•'
Development types would be delineated using the same instruments
proposed in Bucks County—an open space ratio and an impervious surface
ratio (called a naturaI-to-manmade-surfaces ratio by ECP)—and others,
including a floor area ratio and a parking space ratio. Other less
common instruments suggested by Kaminsky are a density ratio (the maxi-
mum number of people in residence, or the number of employees in a place
of Work allowed per square foot of floor area); a landscaped space ratio
(a minimum square footage of nonvehicular outdoor space required for
each square foot of floor area); and a height-distance relationship (the
relationship between the height of a building and its distance from
other bui I dings).
For each instrument, varying standards are set to define individual
development districts. A prospective development must meet the standards
of a given development district before any building occurs. This implies
that ECP should be incorporated into zoning regulations and that a
development district map should supplement the zoning ordinance.
A second means to control spatial design characteristics is inclu-
sion of critical environmental provisions in zoning, subdivision,
building, or health (for example, septic tank) ordinances. The Buffalo
County, Wisconsin, Zoning Ordinance includes wet soils, steep soils,
and suitable soils districts as overlays to all general zoning districts.
These districts carry supplemental controls over land use in addition
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I 12
to the regulations of the respective primary zoning districts. For
instance, wet soils overlay districts exhibit periodic high water tables,
therefore, any use permitted by the primary zoning district is allowed
which does not require basement or subsoiI disposal. Simi lar special
soil regulations for incorporation in local zoning ordinances are sug-
gested by the Southeast Wisconsin Regional Planning Commission's So i Is
Development Gu i de. The Gu i de a I so offers mode I soiI reguI at ions
(appropriate for southeast Wisconsin) to be included in subdivision
ordinances, building ordinances, and sanitary, health, or plumbing ordi-
nances. The primary purpose of such provisions is to control pollution
of sub-surface groundwater. These provisions, along with construction
ordinances, may also limit erosion and siltation by prohibiting develop-
I 14
ment on particularly erodable soi Is.
The third approach to site control is to require developers to sub-
mit an environmental impact evaluation on proposed development. Although
such requirements are limited to disclosure requirements only, they tend
to shift the ultimate responsibility for environmentally sound develop-
ment practices to the developer. Furthermore, such public disclosure
provides a "pressure point" for public officials to suggest necessary
remedial action to be taken by the developer. Huntington, New York,
for example, now requires impact statements for any subdivision of more
than five lots and all industrial sites plans. The Department of Environ-
mental Protection in Huntington also reviews all rezoning and variance
requests with respect to environmental impact; however, their "word is
I I 5
far from final and the review authority is informal."
The Rocky Mountain Center on Environment has proposed a Model Environ-
mental Subdivision Regulation which would extend the impact statement
requirement concept beyond disclosure. No subdivision permit would be
granted unless the "Environmental Inventory and Analysis" was adequate
and insured that the development essentially would not adversely impact
on water quality, water supply, soil erosion, air quality, highway con-
gestion, scenic areas, and wildlife; would not unreasonably burden public
services such as schools, fire, police, hospital and the like; and conforms
with a duly adopted master plan.
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Density zoning, PUD ordinances, inclusion of environmental criteria
in various development ordinances, and impact analysis requirements re-
present only the very basic promising approaches to site control. In
addition, these action instruments may be useful in promoting a visually
pleasing environment. (See Chapter 7 of this report.)
The choice of action i-nstruments and their forceful application is
perhaps the most crucial element in the guidance system planning process.
It must be stressed again that it is highly unlikely that any one device
alone will be sufficient. The coordinated application of a wide range
of instruments is the essence and ultimate purpose of the environmental
guidance system.
Stage 6: Feedback and Monitoring
The final stage in the guidance system planning process, feedback
and monitoring, brings the process full circle. Evaluation of urban
system performance is obviously necessary to maintain an adequate informa-
tion system for ongoing planning. With respect to environmental quality
objectives, some indicators of system performance may be formally desig-
nated and monitored: air quality; water quality; open space acreage;
and public accessibility to open space. Yet, the objectives themselves
change over time as public demand for a high quality environment increases.
For example, the Environmental Development Agency of San Diego County,
California is currently developing a regional environmental quality in-
formation system. In addition to establishing indicators that are
scientifically sound, they propose to interview selected officials of
city and county government "to determine their views as to the relative
importance, the format and the frequency of distributing environmental
I I 8
quality information." The purpose of such interviews would be to
insure that the information system was geared to the actual needs of
decision/nakers as they respond to public concerns. They would be asked
to rank various types of environmental degradation, expressed in terms
I I 9
of issues rather than scientific measurements. They would also be
asked to rank factors that may contribute positively to environmental
171
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quality, ("to what extent does the region satisfy man's desire for a
I 20
varied landscape?"). Questionnaires of this sort could also be sent
to a random sample of the public to periodically monitor their concerns
with and perceptions of environmental quality.
The guidance system planning process depicted as the third front
of innovation in land use-environmental quality planning remains largely
a theoretical concept. Nowhere are all three fronts and the several
stages of the guidance system planning process being coordinated. Yet,
to a certain extent, it increasingly represents the organizing concept
of much of the more innovative planning activity at the local level.
Perhaps the planning scene in California represents the most active
current attempt to wrestle with the increasing application of environ-
mental goals and information to land use planning as well as the increasing
emphasis on carrying planning directly through to implementation—a
trademark of guidance system planning. The combination of intensive
urban development pressures, a fragile environment, and new state legisla-
tion are the three factors stimulating innovation in local planning in
CaIi forn ia.
The legislation encourages carrying planning through to implementa-
tion. As an illustration, counties and general-law cities are required
to have prepared and adopted an open space element and or conservation
element of the general plan by June 30, 1973. Most significantly, an
action program, consisting of specific activities for implementation, is
required as an integral part of the open space element plan. Furthermore,
specific regulatory action in the form of an open space zoning ordinance
is explicitly required, by June 30, 1973. This means that planning for
open space in California cannot end with general proposals, but must in-
clude a specification of regulatory, financial, fiscal, institutional,
and development, or conservation activities needed to achieve open space
objectives. Furthermore, and an innovative aspect in its own right, is
the requirement that the open space element plan, action program, and
zoning ordinance should be consistent with each other. Developing a
172
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consistent package of plan, program, and ordinance may be a totally new
experience for many local governments and will provide the opportunity
to pursue the guidance system planning concept by pulling together var-
ious pieces of existing and proposed legislation into one ordinance and
then coordinating it with program and the open space element of the
general plan.
Since 1970, California legislation regarding subdivision regulations
and zoning ordinances follows the same trend toward carrying planning
through to implementation. For example, an attempt is made to introduce
coherence to'the planning and regulatory process at the local level by
requiring that zoning ordinances and subdivision maps be consistent with
the local general plan. Cities and counties are now required to deny
approval to tentative or final subdivision maps if they are inconsistent
with applicable general and specific plans, physically unsuited to the
site, likely to cause substantial environmental damage or substantially
avoidable injury to fish or wildlife or their habitat, serious public
health problems, or conflict with public access easements. Thus the
general plan has, in effect, become an instrument regulating the approval
of subdivisions.
In contrast to what is being encouraged by the new California legis-
lation, most innovating local planning agencies across the country have
focused their efforts on perhaps one or two of the six stages depending
upon which link in the process appears weakest or seems to offer the
most potential for creating an effective planning operation. As a
result, innovations with respect to reorienting the process to include
environmental quality objectives are quite varied, and only a few examples
of cutting edge approaches could be presented herein. The rapidity and
ingenuity with which many local planners have responded to the rather
recent emphasis on a quality environment and the degree to which this
response has blossomed even during the course of this study may indicate
that these innovations will become standard, if not dated, practice in
future years. Nevertheless, the necessity to continually revise and
improve the local environmental guidance system and the definition of
comprehensive planning will remain a constant in a field of everchanging
variables.
173
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FOOTNOTES
I. See, for example: F. Stuart Chapin, Jr., Urban Land Use Planning
(Urbana: The University of Illinois Press, 1965).
2. J. Thomas Atkins, et a I., Huntington Environmental Planning
Program (Philadelphia: Department of Regional Planning and
Landscape Architecture, University of Pennsylvania, 1972).
3. Interview with Michael Pawlukiewicz, Environmental Planner,
Department of Environmental Protection, Huntington, New York,
November 24, 1972.
4. Los Angeles Department of City Planning, An Environmental
Conservation Element for the Los Angeles General Plan, Draft
report (Los Angeles: Department of City Planning, 1970).
5. George H. Murphy, ed. (Legislative Council) Laws Relating to
Conservation and Planning (Sacramento, California: Department
of General Services, Documents Section, 1969 ed.).
6. Los Angeles Department of City Planning, op. cit., p. 3.
7. Ibid; p. 6.
8. Section 21151 of the Public Resources Code of California, as,
amended by Chapter 1433, Stats. 1970.
9. Letter from Paul H. Sedway, Sedway/Cooke, Urban and Environmental
Planners and Designers, 400 Pacific Avenue, San Francisco,
California, March 6, 1973.
10. Wayne County Planning Commission, Planning for Tomorrow and
Today (Detroit: Wayne County Planning Commission, 1969).
See also: Wayne County Planning Commission, Activities for
Li ving, Vol. I of Comprehensive Planning Process for Wayne
County (3 vols.; Detroit: Wayne County Planning Commission,
1970); Wayne County Planning Commission, Planning and the
Envi ronment, Vo1. 2 of Comprehensive Planning Process for
Wayne County (3 vols.; Detroit: Wayne County Planning
Commission, 1971); and Wayne County Planning Commission,
Development Strategy Selection, Vol. 3 of Comprehensive
Planning Process for Wayne County (3 vols.; Detroit: Wayne
County Planning Commission, 1972).
II. Los Angeles Department of City Planning, op. cit.
174
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12. Wayne County Planning Commission, Planning and the Environment,
Vol. 2 of Comprehensive Planning Process for Wayne County (3 vols.;
Detroit: Wayne County Planning Commission, 1971), p. 49.
13. Wayne County Planning Commission, DeveIopment Strategy SeIection,
Vol. 3 of Comprehensive Planning Process for Wayne County (3 vols.;
Detroit: Wayne County Planning Commission, 1972), p. 2.
14. Telephone Interview with Francis P. Bennett, Director Wayne County,
Michigan Planning Commission, December 21, 1972.
15. Wayne County Planning Commission, Planning and the Environment,
op. c i t., pp. 5-6.
16. AIbuquerque-BernaIiIlo County Planning Department, Comprehensive
Plan, Metropolitan Environment Framework (Albuquerque: Albuquerque-
Bernalillo County Planning Department, 1972).
17. Ibid., p. 52.
18. Metropolitan Washington Council of Governments, Natural Features
of the Washington Metropolitan Area (Washington, D. C.: Metro-
politan Washington Council of Governments, January, 1968).
19. Ibid., p. 18.
20. Ibid., p. 42.
21. Ibid., p. I .
22. Ian McHarg, Des ign With Nature (Garden City: Natural History
Press, 1969).
23. Wallace, McHarg, Roberts and Todd, An Ecological Study of the
Twin Cities Metropolitan Area (St. Paul: Twin Cities Metropolitan
Council, 1969).
24. Ibid., p. I.
25. Ibid., p. 2.
26. Ibid., p. 4.
27. Ibid., p. 36.
28. Ibid., p. 6.
175
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29. For further studies by this group, see: Development Research
Associates, Inc. and Wallace, McHarg, Roberts, and Todd, Inc.,
An Ecological Planning Study for the Regional Transportation
District, De_ny_er,_Colorado (Denver: Regional Transportation
District, January, 1972); Wallace, McHarg, Roberts, and Todd,
Inc., An Ecological Planning Study for Wjjmingtoji anc[ Dover,
Vermont (Wilmington: Windham Regional Planning and Development
Commission and Vermont State Planning Office, April, 1972);
Wallace, McHarg, Roberts, and Todd, Inc., A Regprt_oji the
Master Planning Process For a New Recreational Community,
AmeI 1 a Island, FIorj^da (Hilton Head Island, South Carolina:
The Sea Pines Company, 1971).
30. See, for example:
Regional Field Service, Harvard Graduate School of Design,
Department of Landscape Architecture, Problem Recognition
Study, Central New Hampshire Planning Region (Cambridge:
Harvard Graduate School of Design, 1972);
Marin County (California) Planning Commission, Nicasio:
Hidden _V_a I ley in Transition (Marin County: The Department,
no date);
Redmond (Washington) Planning Department, Optimum Land
Use Plan (Redmond: The Department, 1970);
Chattanooga-Hamilton County Regional Planning Commission,
Land Capability Study for Hamilton County (Chattanooga:
The Commission, 1972);
Ecology and Resource Management Research Group, University
of Waterloo, Hillborn Conservation Area Study: Resource
Inventory Development of the Site, Preston, Ontario (Waterloo:
Division of Environmental Studies, University of Waterloo,
July, 1971);
Atlanta Regional Commission, Chattahoochee River Corridor
Study (Atlanta: The Commission, July, 1972);
31. J. E. Wuenscher, "Environmental Considerations in Land and
Water Use Planning in River Basins", Duke University,
School of Forestry, 1972. (mimeo report)
32. J. Frank McCormick, Ecological Study of the Wetlands of Mystic
Islands: A Survey and Analysis of the Existing Vegetation
(Highpoint, N. C.: Wm. F. Freeman, Associates, 309 N. Hamilton
Street, 1972).
Presentation by Dr. David Adams, President, Coastal Zone
Resources, Inc., Wilmington, N. C., at Duke University,
March 12, 1973.
33. E. P. Odum and H. T. Odum, "Natural Areas as Necessary
Components of Man's Total Environment" (Transactions of the
37th North American Wildlife and Natural Resources Conference,
Wi Id Iife Management Institute, Washington, D. C., 1972).
176
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34. J. E. Wuenscher, op. cit.
35. E. P. Odum, Fundamentals of Ecology (3rd ed.; Philadelphia:
W. B. Saunders, I 97 I).
36. K. D. Fines, "Landscape Evaluation: A Research Project in East
Sussex," Regional Studies II (September 1968), p. 42.
37. K. D. Fines, op. cit. A Landscape Evaluation Survey Instruction
ManuaI.
38. See, for example: Philip H. Lewis, Study of Recreation and Open
Space in I IIi no is (Urbana: Department of Landscape Architecture
and Bureau of Community Planning, University of Illinois, 1964).
39. R. Burton Litton, Jr., Forest Landscape Description and
Inventories—A Basis for Planning and Design (U. S. Department
of Agriculture, Forest Service Research Paper PS V-49, 1968).
40. Regional Field Service, Harvard Graduate School of Design,
Department of Landscape Architecture, Problem Recognition Study
for Central New Hampshire Planning Region (Cambridge: Regional
Field Service, Harvard Graduate School of Design, Department of
Landscape Architecture, 1972).
41. Tito Patri, David C. Streatfield, and Thomas J. Ingmire, Early
Warning System; The Santa Cruz Mountains Regional Pilot Study,
(Berkeley: Department of Landscape Architecture, College of
Environmental Design, University of California, August 1970).
42. Ibid., p. 3.
43. San Diego County Comprehensive Planning Organization, Proposed
Information System for Planning, Vol. I (San Diego: County
Comprehensive Planning Organization, May 1971).
44. Guilford County, North Carolina, County Planning Board, Land Use
Plan: A Strategy for Development in Guildord County, North
Caroli na (Guilford County: County Planning Board, 1966), p. I.
45. Interview with David H. Moreau, Professor of the Department of
City and Regional Planning and Department of Environmental
Sciences and Engineering, University of North Carolina at Chapel
Hi I I, December 7, 1972.
46. Redmond Department of City Planning, Optimum Land Use (Redmond:
Department of City Planning, 1972).
47. Ibid., p. 9.
48. Ibid., p. 35.
177
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49. Bucks County, Pennsylvania Planning Commission, The Urban Fringe:
Techniques for Guiding the Development of Bucks County (Doylestown,
Pennsylvania: Bucks County Planning Commission, 1970). Excerpts
reprinted in American Society of Planning Officials, Land Use
Controls Quarterly, Vol. 4, No. I, pp. 34-42. (Chicago!American
Society of Planning Officials, 1970).
50. Ibid., p. 35.
51. Southeastern Wisconsin Regional Planning Commission, Soi!s Develop-
ment Gu ide (Waukesha: Southeastern Wisconsin Regional Planning
Commission, 1969).
52. Ibid.
53. Atlanta Regional Commission, Chattahoochee River Corridor Study,
Draft report (Atlanta: Atlanta Regional Commission, July 1972).
54. New York State Office of Planning Coordination, Long Island Sand
and Grave! Mi ni ng (Albany: New York State Office of Planning
Coordination, 1970).
55. Ibid., p. i.
56. Thomas J. Atkins, et a I., op. cit.
57. Lane H. Kendig, "Computerized Guidance System as Developed in Bucks
County," presented at Confer-In-West, Annual Meeting of the
American Institute of Planners, San Francisco, Calif., October 24-
28, 1971 (mimeographed, available from The American Institute of
Planners, 1776 Pennsylvania Avenue, Washington, D. C.), p. I.
58. ibid., p. 6.
59. Ibid., p. 4.
60. J_bid., p. 6.
61. Bucks County, Pennsylvania Planning Commission, Natural Resources
Plan (Doylestown: Bucks County Planning Commission, I 97 I).
62. Ibid., p. 4.
63. Lane H. Kendig, op. cit., p. 9.
64. Pub. L 91-190, 83 Stat. 852, 42 DSC 4321-47.
65. U. S. Department of Housing and Urban Development, Comprehensive
Planning Assistance Requirements and Guidelines for a Grant
(Washington, D. C.: U. S. Government Printing Office, March 1972),
pp. 4-3.
178
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66. Luna B. Leopold, et al., A Procedure for Evaluating Environmental
Impact, Geological Survey Circular 645 (Washington, D. C.: U. S.
Geological Survey, 1971).
67. Steinitz Rogers Associates, Inc., Potential Environmental Impacts
of Interstate 84 in Rhode Island: A Summary (Mimeographed,
unpublished, February 1972), and an interview with Carl Steinitz,
Associate Professor, Department of Landscape Architecture, Harvard
University, and partner in the consulting firm of Steinitz, Rogers,
Inc., November 9, 1972.
68. See, for example: Phillip P. Green, Jr., et al., "Clinic:
Development Timing," PIanni ng I 955 (Chicago: American Society of
Planning Officials, 1955), p. 81-95; David Heeter, Toward a More
Effective Land Use Guidance System: A Summary and Analysis of
Five Major Reports (Chicago: American Society of Planning
Officials, 1969).
69. Henry Fagin, "Clinic: Development Timing," Planning 1955 (Chicago:
American Society of Planning Officials, 1955), p. 95.
70. Gunnar C. Isberg, "Development Problems in the Urban-Rural Fringe:
Need for Unified Plans and Programs," Submitted for presentation
at Confer-In 72, Annual Meeting of the American Institute of
Planners, Boston, October 1972, p. 6.
71. Village of Harristown, Illinois, Zoning Ordinance (Harristown:
V i I I age of Harristown, I 972), section 3.1.
72. See, for example: Southeastern Wisconsin Regional Planning Com-
mission, Soils Development Guide (Waukesha: Southeastern Wisconsin
Regional Planning Commission, 1969).
73. Isberg, op. cit., p. 7.
74. Ann Louise Strong, "Urban Growth. Techniques for Guiding Develop-
ment in the Philadelphia Region," Issues (Philadelphia: Phila-
delphia Housing Association, March 1964), p. 8.
75. Village of Harristown, Illinois, op. cit., section 3.1.
76. Ann Louise Strong, op. cit., p. 8.
77. City of Coon Rapids, Minnesota Ordinance No. 378, "An Ordinance
Creating a Conservancy District Designated (CD) and, Therefore
Amending City Code Chapter 11-300," May 9, 1972.
78. Letter from Donald E. Reis, Community Development Director, Coon
Rapids, Minnesota, October 25, 1972.
179
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79. See: Chapter VI; also Jon A. Kusler and Thomas M. Lee, Regulations
for Flood Pla i ns, Planning Advisory Service Report No. 277 (Chicago:
American Society of Planning Officials, February 1972).
80. See: James C. Hite and James M. Stepp, eds., Coastal Zone Resource
Management (New York: Praeger Publishers, 1971).
81. See: Jennifer G. Turner, "Preservation of Wetlands: A Critical
Evaluation of Connecticut's Approach," Submitted for presentation
at Confer-In 72, Annual Meeting of the American Institute of
Planners, Boston, October 1972).
82. See: Atlanta Regional Commission, ChattahoQchee River Corridor
Study (Atlanta: The Commission, July 1972).
83. For examples see sections entitled "Shorelands" and "Estuaries and
Wetlands" in Chapter VI.
84. See: American Society of Planning Officials, Hillside Development,
Planning Advisory Service Report No. 126 (Chicago: American
Society of Planning Officials, September 1959).
85. J. Michael Stimson, "Impact Zoning May Be a Way Out of the Land-Use
Impasse," House and Home, August 1972, p. 59.
86. Rahenkamp, Sachs, Wells and Associates, Inc., Land Use Controls:
Development Impact Model (Philadelphia: Stetson House, 1971) p. 4
87. Section 70.32 Wisconsin Statutes.
88. Southeastern Wisconsin Regional Planning Commission, op. cit.,
p. I 18.
89. Chapter 60, Extra Session Laws of 1967.
90. Center for the Analysis of Public Issues, Misplaced Hopes, Misspent
Mi I I ions (Princeton: Center for Anal/sis of Public Issues, 1972).
91. Livingston County Planning Board, Agricultural Land Resources and
Conservation Areas: Inventory for Livingston County, New York
(Geneseo, New York: Livingston County Planning Board, 1972),
pp. 31-32.
92. Bucks County Planning Commission, "Plan for Implementation of
Provisions of Act 515 of 1965," (Doylestown: Bucks County Planning
Commission, February 3, 1971).
93. Ibid.
180
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94. Interview with Lane H. Kendig, Planner, Bucks County Planning
Commission, December 20, 1972.
95. Kenneth B. Kenney, Urban Water Policy as an Input in Urban Growth
Po1icy (Knoxville: Water Resources Research Center, University
of Tennessee, September 1972), p. 40.
96. Ibid., p. 39.
97. I bid., p. 39.
98. Metropolitan Council of the Twin Cities Area, Metropolitan Develop-
ment Guide. Major Diversified Centers - Policies, System Plan,
Program (St. Paul: Metropolitan Council, February 1971).
99. Metropolitan Council of the Twin Cities Area, Metropolitan Develop-
ment Guide. Sanitary Sewers - Policies, System Plan, Program
(St. Paul: Metropolitan Counci I, 1970).
100. Metropolitan Council of the Twin Cities Area, Metropolitan Develop-
ment Guide. Major Diversified Centers - Policies, System Plan,
Program, p. 30.
101. Isberg, op . ci t., pp. M-12.
102. For a discussion of utility financing techniques to complement a
growth guidance policy, see: Kenney, op. cit., pp. 4-8.
103. See above, p. 50.
104. Bucks County Planning Commission, The Urban Fringe: Techniques
for Guiding the Development of Bucks County.
105. See, for example: Phillip P. Green, et al., op. ci t.
106. See: "Ramapo," Planning, The ASPO Magazine, Volume 38, No. 6,
(July 1972), pp. 108-113.
107. Ibid., p. 108.
108. See, for example: Daniel R. Mandelker, Controlling Planned
Residential Developments, ASPO Planning Advisory Service Special
Report (Chicago: American Society of Planning Officials, 1966).
109. Bucks County Planning Commission, "Proposed Amendment to Middle-
Town Township Zoning Ordinance," (Doylestown: Bucks County
Planning Commission, 1972).
181
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110. Jacob Kaminsky, Environmental Characteristics Planning: Physical
Development Standards for Character Control (Baltimore;RegionaI
Planning Council, 1969), p. I.
III. For further information and discussion see Ibid., and Jacob
Kaminsky, Environmental Characteristics Planning: An Alternative
Approach to Physical Planning (Baltimore: Regional Planning
Council, 1972).
112. Buffalo County, Wisconsin, Zoni ng Ord i nance (Alma, Wisconsin:
Buffalo County, 1965).
113. Southeastern Wisconsin Regional Planning Commission, op. cit.
114. Fairfax County, Virginia, Erosion-Si I tat ion Control Handbook
(Fairfax: Fairfax County, 1972).
115. Letter from Michael Pawiukiewicz, Environmental Planner, Depart-
ment of Environmental Protection, Huntington, New York, December 28,
1972.
116. Rocky Mountain Center on Environment, Land Use Packet No. I
(Denver: Rocky Mountain Center on Environment, November I, 1971),
p. 34.
117. County of San Diego, Environmental Development Agency, Envi ron-
mental Quality Index - A Feasibility Study. County of San Diego
Regional Issues, Volume I (San Diego: Environmental Development
Agency, June 1972).
118. Ibid., p. III.
I 19. Ibid., pp. I 12, I 13.
120. Ibid., pp. 113-115.
182
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B. T'JATER RESOURCE MANAGEMENT; PLANNING AND CONTROL SYSTEMS FOR THE
WATER LAND USE INTERFACE
Introduction
Traditional urban water resource planning has generally dealt with
water supply and sanitary sewer systems, which usually emphasize the
supply or the demand side of the problem but give less attention to
supply-demand interfaces, that is, water-land and water-land use inter-
faces. One recent attempt to focus on these interfaces identified four
broad urban-water interfaces: water quality management; waterfront land
use; water-based recreation and open space; and metropolitan growth
control. These interface categories include the traditional, limited
purpose, water and wastewater systems, but they also offer a more compre-
hensive perspective for the planning and management of such systems.
Another comprehensive approach is the "residuals framework" in which
interactions among environmental media (land, water, air) and urban
2
activities are emphasized. Similarly, "quality interchange frameworks"
can be developed to focus on the interactions among media and urban
activities (Figure 7). These frameworks are particularly useful in
detailing economic relations and implications or biologic and chemical
processes.
Since this study focuses on urban planning and the relation of urban
land use to environmental quality, a framework which distinguishes among
broad types of land use is more useful. One such framework divides
urbanized areas into four categories: undeveloped; developing; developed;
4
and redeveloping. The general significance of such a categorization Is
that different planning approaches and guidance techniques are appropriate
for each category. In undeveloped or developing areas where the hydrology
183
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industrial uses"]
domestic uses |
wastewater
with chemicals,
organ ics,
higher
temperatures
wastewater
with organics,
bacteria,
nutrients
water supply
i rr i gation
water
agr i cuItu raI uses
\
fresh water
prec ip itation
evaporation
atmosphere
runoff and
return flow
with salts,
nutrients,
pesticides
i nf iItration
preci p itation
evaporation
flood!ng,
eros ion,
sed imentation
preci p itation
evapo-transpi ration
oceans
•^ — ••- — ~^
1 and
erosion, sedimentation
FIGURE 7
WATER QUALITY INTERCHANGES
184
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is still in a somewhat natural state and land development decisions are
still fairly flexible, it is possible to use planning and guidance to
achieve near optimal water-land-land use environments, at least in terms
of many environmental quality goals. In developed and redeveloping
areas where water systems are largely manmade and land uses often frozen,
the alternative is basically one of management and incremental improve-
ment of the interfaces. This study treats the water-land-land use
interface in terms of undeveloped and developing areas and developed
and redeveloping areas.
The first category is typified by land and water areas that are
now in a fairly natural state but which may be experiencing strong
urbanization pressures and which are becoming key elements in the reali-
zation of environmental quality goals. The specific interfaces to be
considered are:
I. Watersheds—particularly as related to runoff, sedimentation,
recreation, water supply, and unique streams.
2. Shorelands—including natural lakes and large reservoirs.
3. Estuaries—including wetlands and coastal zones.
4. Flood plains—as a special element of a watershed.
The second category is typified by smaller scale urban areas in
which water and sewer systems already exist and rivers, lakes, bays,
and so on are being manipulated and degraded by urban activities. The
key environmental quality issues here are not matters of preservation
and ecology but rather are defined in terms of incremental improvements
and remedial actions. The specific interfaces to be considered are:
I. Water quality management—including treatment and reclamation.
2. Stormwater drainage—including groundwater recharge.
3. Urban waterfronts—especially as related to deteriorating
urban centers.
These two categories of water-land use interfaces, although fairly
distinct in terms of rural versus urban or regional versus local
characteristics, are not mutually exclusive and, in fact, have con-
siderable overlap in urbanizing fringe areas. For example, the planning
for and extension of sewerage facilities beyond city limits into
185
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urbanizing watersheds is a function that cuts across both categories
of interfaces and is generally a question of metropolitan significance.
In attempting to define the water-1 and-1 and use framework, one
must note three basic ways to manipulate water: (I) change its dis-
tribution in time; (2) change its distribution in space; and (3) change
its quality. These changes occur naturally (runoff, erosion, evaporation)
as well as via manmade facilities (reservoirs, water mains, sewers,
treatment plants). As an area becomes increasingly urbanized, these
functions become largely man-controlled. Thus, a developed area has
extremely rigid or routinized distributions of water in time and space
and often increasingly degraded water. In such cases most planning and
guidance is focused on controlling runoff or improving the quality of
the water via storm drainage works and wastewater treatment plants. In
developing areas, planning and guidance can consider the total range of
water manipulation and focus on creating near optimal distributions of
water in time and space via controls and incentives.
Planning and guidance
Just as there are two distinct categories of water-land use inter-
faces, there are also two fairly distinct types of models of water
resource planning and development. The first emphasizes long-range
planning and development of water resources on a large scale while the
latter involves the day-to-day management and operation of existing
water use and control facilities.
River Basin PIanning Model An example of planning for regional,
developing, or undeveloped areas is the Water Resources Council's river
basin planning program. Its basic methodology, like that of the Army
Corps of Engineers, consists of four broad steps:
I. Specification of objectives for water resource development;
2. Translation of objectives into specific criteria and planning
guide! i nes;
3. Formulation and evaluation of alternative plans to satisfy
the objectives and criteria;
4. Review of consequences of selected and/or implemented plans.
186
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This model concentrates on long-range planning, broad objectives,
alternatives and strategies, strong physical and economic relationships
and criteria, and large-scale physical developments. The model also
assumes the existence of a strong regional agency, such as a district
office of the Corps, which can implement selected plans; thus the
emphasis is on planning, not guidance. This model is currently important,
since the Environmental Protection Agency's guidelines for water quality
planning identify "basin plans" and "area-wide plans." The basin plans
follow the model very closely, calling for a statement of objectives, a
discussion of planning premises or criteria, a listing and an evaluation
of alternatives, and an overall management strategy.
Urban Water Management Model There is no one accepted model for
urban water resource planning and development, but a general outline can
D
be compiled. The basic elements of such a model include planning,
administration, design, construction, operation, and maintenance, The
urban model is generally more oriented to management than to planning
activities. Although urban water resource agencies and departments may
do some long-range or strategic planning, their basic functions (for
example, designing specific facilities, constructing facilities, making
inspections, levying charges, and operating and maintaining their
9
systems) are management activities. Thus, this model, in contrast to
the river basin model, emphasizes specific local demands, a narrow range
of alternatives, detailed rules for operation and maintenance, and the
inclusion of non-structural measures such as service charges and service
extension policies.
Another characteristic of this model is that it basically accepts
and uses criteria and standards that are imposed by state and federal
agencies. Since the urban agency or department receives its objectives
and criteria from above and is constrained by existing systems and
jurisdictions, it has little choice but to emphasize management and
operation and to move in narrow and rather unimaginative directions.
Urban Guidance Model Of the two water resource models, the river
basin planning model is more of a planning model while the urban water
management model is more of a guidance system. As discussed in Chapter 5,
187
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a guidance system consists of decision guides, such as plans and
policies (derived in the planning model), and, more importantly, action
i nstruments to be used in accordance with the decision guides. The
action instruments include channels of advice and information, controls
or regulative measures, incentives of inducements, and developments or
public investments. A guidance system is the means by which plans and
policies can be implemented.
In general, the concept and use of the guidance system has been
applied mostly to urban land use decisions. It has not been used in
water quality planning or water resource development, and the urban
water management that does take place has not been carried out in these
terms or with such a broad range of implementation. This does not mean
that river basin planning and urban water management are weak in imple-
mentation per se but rather that they have tended to rely on water-in-
the-channel and construction-oriented alternatives and thus have not
considered a broader guidance system approach, especially one in which
complex water-land use interrelationships are emphasized.
Planning and Guidance Integration Since each of the models has a
particular strength, it seems that some sort of integration is required
for meaningful water resource development as it relates to urban land
use planning and environmental quality in general. What is needed is a
combination of regional objectives and long-range planning perspective,
urban management and operation expertise, and more broadly focused urban
land use guidance strategy and tools. This is particularly true at the
metropolitan level where the two types of water-land use interfaces tend
to overlap.
There have been some attempts to define an integration of regional
planning with local guidance and management, but there have been few,
12 13
if any, successful attempts to apply it. In the late 1960's, the
Northeastern Illinois Planning Commission developed an approach composed
of water management strategies rather than a specific water development
plan. The strategies emphasized flexibility, various guidance measures
(such as flood plain zoning, blue-green development, and economic
incentives), strong relationships with land use planning and existing
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patterns of development, coordination and communication with all levels
of government and water related agencies, and rigorous economic and
social evaluations. This attempt at "regional integration" was not very
successful except in terms of advice and information, because the Commis-
sion is only an advisory body and the State of Illinois was not receptive
to this new approach.
Watersheds
Of the four types of develop!ng, or urbanizing, water-land interfaces
(watersheds, shorelands, estuarine wetlands, and floodplains), watersheds
are the most comprehensive and perhaps the most significant, because they
often include other interfaces and because most urbanization (at the
fringe of metropolitan areas) takes place in small watersheds. Although
watersheds are simple in concept, they are much more difficult to observe
physicaIly than shore Iands or wetlands, especia My in highly urban!zed
areas where watersheds virtually disappear except in terms of sewer
networks.
A watershed is an area characterized by hydrologic unity or con-
tinuity. Given a specific point of a stream or river, the watershed is
all the land area from which water (runoff) drains to that point. It
is a well-defined unit in terms of hydrology and topography (via ridges
and divides) but not in terms of indices of urbanization or social
organization. Governmental units, economic activities, and social ties
typically cut across watersheds and may exist in' almost total indepen-
dence. This is not to suggest that watersheds are not an essential
unit for planning and guidance, but, in using the watershed as a unit,
important linkages to other systems must be considered.
Problem Definition
Most of the problems encountered in a watershed as urbanization
takes place are related to the incompatibility of the watershed system
with the political and economic systems trying to guide this urbanization.
A classic example is the case of the Patuxent River Basin in Maryland.
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This fairly large watershed i ies between two rapidly expanding metro-
politan areas, Baltimore and Washington, D. C., and includes several
counties and small towns. It is still relatively undeveloped but as
urbanization continues many problems will arise. The following problems
are significant in this watershed and typical of most developing
watersheds:
I. Waste water disposal — in the early stages of development,
problems center on the use of septic tanks and inefficient
package treatment plants; later the question is largely one
of who should provide public facilities and whether local
wastewater should be diverted out of the watershed or inte-
grated into a regional system.
2. Water supply—early development can usually use groundwater,
but as urbanization continues it must be supplied from metro-
politan systems, or surface water in the watershed itself must
be impounded. Special problems can arise when the watershed
is already being used to supply outside urban areas as is the
case with the Patuxent basin. The watershed which is used for
water supply will have serious conflicts with the need for
water for waste assimilation and the pressures to build within
the watershed, thus altering the quality and yield of the
supply.
3. Parks, open space, recreation—these needs are not necessarily
related to water but the existence of flowing streams or im-
pounded water places a great demand on watersheds for recreation
and amenity uses; this adds a third element of conflict to the
water supply-waste disposal problem.
4. Erosion and sedimentation—this problem is the most severe in
areas undergoing transition from rural to urban; it not only
affects water quality but also changes the hydrology and
ecology of the streams.
5. Urban runoff—urbanization changes the nature of stream flow
in a watershed as more of the land area becomes impervious and
served by storm sewers; the results are higher peak flows
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(causing floods), lower dry period flows, and degraded water
, -4. 16
qua Iity.
6. Preservation—this problem cuts across some of the others, but
has recently become an issue in itself. Interest groups and
the public in general have become increasingly concerned over
the preservation of watersheds and unique streams for ecologic,
amenity, historical, and wildlife values.
Mainstream Planning and Guidance
The mainstream or typical planning for small watersheds falls
into two categories: rural conservation planning, for example that
done by the Soil Conservation Service; and urban utility system exten-
sion planning: that is, for city, county, and metropolitan agencies.
I 8
Watershed conservation planning (SCS) covers 95 percent of all
agricultural land in the United States via soil conservation districts.
Its main objectives are to control flooding and erosion, improve agri-
culture productivity, and provide some recreation, fish and wildlife,
and water supply benefits. The usual plan elements are one or more
small impoundments, soil conservation measures, and stream channel
improvements, while the guidance system includes technical and financial
assistance provided by the SCS, the above structural measures, and some
use of easements.
The main objective of utility system extension planning and
I 9
guidance is to efficiently meet new demands. Plan elements are water
impoundments, new interceptors, water mains, treatment plants, and the
like. These physical developments are related to projected demands,
water quality standards, and watershed hydrology and topography, but
relationships to land use planning and guidance and overall environmental
and social objectives are usually ignored. This process of planning
and guidance, which generally consists almost entirely of public invest-
ment, is self-contained and isolated from other sectors of urban plan-
ning and development. Also, the process often involves overlapping or
competing jurisdictions, such as city and county, and may produce in-
efficient systems.
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Cutting Edge Planning
One of the best examples of innovative watershed planning in an
urbanizing area was developed by the Southeastern Wisconsin Regional
Planning Commission. The region, which includes the city of Milwaukee
and seven surrounding counties, cuts across several small watersheds.
The Commission is involved in an extensive program of planning and
guidance for these watersheds and has completed studies for three of
20
them. The significance of this plan is that it combines many features
of river basin planning with urban management and guidance models des-
cribed earlier. SEWRPC took the watershed as the basic planning unit
and since the watersheds involved are much smaller than those typically
involved in river basin planning, the planning is much more comprehensive.
The watershed planning is based on existing land use and transportation
plans prepared by the Commission and is done, in part, to update and re-
fine these plans. The planning is done within a strong framework of
objectives, planning principles, economic criteria, basic data, and
technical expertise, in cooperation with advisory committees established
by the Commission. Although the watershed studies emphasize planning,
the Commission is also concerned about guidance elements, such as zoning,
land acquisition, algae control and weed harvesting programs, soil con-
servation measures, flood warning programs, and the like. Much of the
success in Southeastern Wisconsin is due to close cooperation among imple-
menting agencies via advisory committees, precise data and project plans
provided by the Commission, and strong state resource protection laws.
The watershed planning process as defined by SEWRPC consists of
seven steps or stages:
I. Study design, focusing on problem definition along with the
development of guidelines for data collection, plan formulation,
and evaluation.
2. Objectives and standards, arrived at with extensive help from
citizen, government, and technical advisory committees.
3. Inventory, determined by massive data collection, emphasis on
engineering detail and hydrologic simulation in order to make
the plans authoritative and the implementation soundly based.
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4. Analysis and forecast, using mathematical simulation models
to predict urbanization and its effect on watershed hydrology
and hydraulics under different structural and non-structural
measures.
•^ • Pj an desj gn_, with formu lat ion 'of alternative sets of individual
plan elements, which clearly present alternatives and their
imp Iications.
6. Plan test and evaluation, review of plan alternatives on the
basis of engineering performance, technical and economic
feasibility, legality, and political reaction. Plans are
ranked on the basis of net economic benefits, ability to meet
objectives and standards, and likelihood of implementation.
7. Plan selection and adoption; after public meetings and hearings
to obtain citizen inputs, the Commission recommends a single
p Ian.
Naturaj Systems Approach
Another means of watershed planning might be termed the natural
systems approach. A representative example is the Potomac River Basin
21
Study, which collected and interpreted data in order to understand the
basin's natural processes; then determined intrinsic land use suitabili-
ties; and finally designated compatibility of each land use with the
natural features. (See the Natural Systems Inventory section in Chapter
5.)
Although this approach may go beyond the SEWRPC's in considering
natural relationships and ecologic principles, it does not have the sense
of reality and is not integrated with the decision-making process as Is
the SEWRPC plan. The natural systems analysis approach relies heavily on
the study team's personal values rather than on community objectives. It
produces plans that are idealistic and somewhat vague and thus difficult
to implement. In particular, such an approach, although strongly con-
cerned with land use, is, in fact, often isolated from on-going land use
planning and guiding processes.
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However, this approach can be useful in resolving specific water-
shed problems or in evaluating specific project proposals. A case in
point is the Skippack Watershed in Montgomery County, Pennsylvania,
22
where the Corps of Engineers proposed a large reservoir. The County
retained a consulting team which made an ecological study of the water-
shed that led to abandonment of the reservoir proposal. In this case
the natural systems approach could go beyond land use compatabiIity
tables and specifically evaluate the proposed project and various
alternatives to it, thus becoming an important element in the decision-
making process.
While most examples of natural systems analysis have been one-
shot studies by consultants, a few on-going planning agencies have
attempted to incorporate many features of this analysis into their
planning processes. Lacking expertise and finances, however, these
agencies can achieve only limited comprehensiveness and depth. One
such agency, the Bucks County Planning Commission, developed a natural
resource plan on the basis of various natural data and the tolerance
23
of each natural area or process to certain land uses. This study
also proposed implementation tools, and the Commission is presently
expending considerable effort on plan implementation.
Cutting Edge Guidance
This section largely consists of a listing of various elements of
a watershed guidance system. These elements or tools are grouped under
the categories of advice, controls, incentives, and developments or
public investments. They are chosen to be "cutting edge" either because
they are innovative or because they are being used effectively.
Advice
24
Soil development guideline reports „,-
Shoreland and floodland guideline reports
Model ordinances (zoning, sanitary, building)
Watershed advisory committees (citizen and technical)
Watershed development plans
Detailed watershed and natural process data (e.g., exact
boundaries of floodplains and wetlands) „,
Basic watershed and ecolo^ic principles and "rules"
Conservation commissions
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O Q
Public forums, meetings and workshops
ERME (the "Environmental Resources Management Element" of
a comprehensive plan has been used to establish multi-
disciplinary, intergovernmental task forces to provide
information and advice for local governments and
planning agencies)
Controls
Zoning (general zoning, floodplain zoning)
Subdivision ordinances (e.g., dedication of floodplains)
Sanitary ordinances (e.g., control of septic tanks)
Building ordinances and permits
Special zoning regulations (tree cutting, dumping, stream
standards)
"Act 442" (This is a Pennsylvania law that permits a
county to purchase land, attach restrictions to it,
and then sell or lease it. This act used in con-
junction with planned unit development concepts
and possible tax incentives is being actively
explored in Bucks^County.
Conservation easements ,„
Construction-erosion regulations
Incentives
Federal grant programs. These programs offer strong
incentives to local governments to construct water
supply and waste disposal facilities for both economic
development and environmental protection purposes;
however, they tend to hide the real costs of con-
struction and thus to eliminate non-structural .
alternatives. They also tend to reduce local and
state initiative to formulate their own policies
and plans for development.
Utility extension policies. Such policies, especially for
extension of sanitary sewers, can be effective in
limiting development in vulnerable areas, encouraging
high density and contiguous development, and abating
existing pollution problems.
Utility pricing policies. Surcharges on industrial effluents
can be a significant incentive on industries to clean
up their discharges or at least to help finance municipal
treatment of these discharges. They also encourage more
efficient use of water resources.
Tax policies. These can range from tax write-offs on con-
struction of new facilities to preferential tax assess-
ments on land help for preservation purposes. For
example, a "Greenway Tax Law" is proposed that would
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reduce the property tax on woodlands if the owners
agree to place them in a woodland management program.
A-95 review and environmental impact statements. Although the
procedures and criteria for review of local projects and
plans are not yet well established, such review is a key
incentive for local, state, and federal agencies to pay
much more attention to the environmental effects of
their actions. Some states, such as California, are far
ahead in the preparation, review, and evaluation of
impact statements. The general effect of NEPA (section
102) has been to force agencies to think about and
disclose the effects of their actions. In particular,
the watershed is assign if leant unit in which to consider
ecologic impacts. In line with the intent of A-95
review, North Carolina passed, in 1971, a regional
water supply act and a regional sewage disposal act to
review local plans for regional compatibility and to
aid local agencies to,integrate their water resource
systems and planning.
Developments
Dams, reservoirs, impoundments.
Channels, levees, dikes.
Sewerage and water supply systems including regional
integration and advanced treatment.
Land acquisition.
Management programs (algae control, weed harvesting,
woodlands, soil conservation, wildlife).
Diversions (water supply and wastewater).
Low-flow augmentation.
Public investment in these projects or programs is not
new, but through a coordinated program of planning and
guidance each project can be seen in proper perspective
and used to optimize total watershed environment. For
example, without proper integration with land use planning
and local needs, some developments, such as reservoirs,
tend to dominate a guidance system.
"Blue-green development." This is a multiple-purpose
urban development project that stores storm water
at the site rather than immediately passing it on
downstream. An example is a tennis court, or other
recreational area, that serves as a small impound-
ment during storms. Such development is presently
uncommon although it has been advocated for years.
The Chicago Metropolitan Sanitary District now
requires this of large new developments if they
want to receive service.
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Wastewater reclamation (Muskegon County, Michigan, sprays
wastewater over large land areas where it is naturally
treated and recharged.)
Shorelands
Shorelands are areas of land adjacent to streams and inland lakes.
They are generally cart of a watershed, thus much of the previous dis-
cussion is applicable here. However, the shoreland is a special case
within the watershed framework with significant problems that warrant
special treatment.
A useful definition of shoreland includes the land area adjacent
to a stream or lake that has significant effects (for example, sedimen-
tation, septic tank seepage) on the quality of the stream or lake. In
Wisconsin, a shoreland is defined as the area up to 1,000 feet from
lakes and 300 feet from streams. The Corps of Engineers is presently
concerned with adjacent land up to 300 feet from the reservoir or up
to five feet above the high water surface. The geographical scope of
the shoreland should depend upon the specific nature of the area and
., ,. 42
its problems.
Problem Defi nition
The basic problems found in shoreland development are generally
the same as those discussed for watersheds. The special nature of much
shoreland development—largely recreation and seasonally occupied—
often makes these problems more critical. Much shoreland development
is (!) done by amateurs w ith I ittIe exper ience in Iot subd ivision or
housing construction, (2) for consumers who are concerned only about
being near the water, (3) and under almost no governmental control, such
43
as sanitary ordinances or subdivision regulations. Some of the prob-
. 44
I ems are:
I. Substandard housing (low-quality cottages on small lots;
dirt streets; lack of utilities)
2. Degraded water quality (septic tanks on small lots, poor
soils, and high water tables; erosion from land clearing,
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draining, and fi1 I ing)
3. Loss of aesthetic quality (tree cutting, litter; restriction
of public access)
4. Disruption of the natural ecology (dredging, draining,
filling, cutting; nutrients, sediments)
5. Water use conflicts (recreation, water supply, flood
control; water skiing vs. fishing and/or swimming)
Mainstream Planning and Guidance
Planning and guidance on many developing shoretand areas are
virtually non-existent. This is often the case because many lakes and
streams, particularly new manmade lakes, are located in rural counties
that have no planning expertise or even basic development ordinances.
Even where some planning or simple ordinances exist, the economic
pressures are often far too great for any local attempts to control
development. Likewise, the county or even a nearby city may not have
the resources to provide basic services such as water and sewer
facilities and may be hard pressed to supply even law enforcement.
The only significant planning, especially on manmade lakes, is
done by state and federal agencies, such as the Corps of Engineers,
for recreation purposes. For example, the Corps has developed fifty-
45
three recreational areas on Lake Sidney Lanier in northern Georgia.
Other sites have been leased to state agencies and authorities. However,
these efforts are not aimed at residential development and cover only a
portion of the total shore I and.
Cutting Edge: Prediction
Probably the best attempt at understanding the nature of shore I and
development processes, i.e. developer and consumer decision-making, has
been made by the Center for Urban and Regional Studies at the University
46
of North Carolina. Its research team has studied the development
process at several manmade lakes in the southeastern United States and
has reported its findings to concerned planning agencies, like the
47
Centra Iina Council of Governments.
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The development process seems to consist of key development
decisions, decision agents—such as landowners, developers, and con-
sumers—and a sequence of states. These elements and various parameters
related to them—such as ground cover, drawdown, accessibility to the
water, availability of utilities, and aesthetic quality—were used to
develop a simulation model that describes and predicts development along
shorelands. The mode! can be used to determine areas where development
is most likely to occur under various assumptions as to the level of
planning and guidance imposed. This model can become an important first
step in defining the problems that are likely to occur and in evaluating
and suggesting various planning and guidance tools to help solve them.
PoIi c i es
A significant attempt to formulate shoreland goals and policies
48
was undertaken by the Muskegon Metropolitan Planning Commission.
Shoreland goals were hypothesized in the broad areas of society,
environment, economics, and politics. These broad goals were then
specified by definition with regard to local, county, and regional
interests. The goals were then tested by public opinion surveys, and
specific policies were formulated.
Regional policies—enact state legislation to improve
planning and guidance, especially to prohibit develop-
ment in certain areas. Establish a regional planning
agency, and promote part of the shorelands as an area
of unique environmental opportunity for recreational-
residential development.
County policies—adopt countywide development policies and
controls; expand existing shoreland parks; develop a
scenic transportation route along the shoreland (along
Lake Michigan); and establish joint programs with
local governments, especially for cost-sharing.
Local policies—acquire undeveloped areas and off-shore dunes
for parks; promote large-scale tourism and recreational
development; enact ordinances to protect environmental
and economic opportunities of the shorelands; and
coordinate local programs to assure maximum utilization
of the shorelands in the public interest.
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The key issue in this attempt appears to be the basic conflict
between preservation of environmental quality and use of environmental
resources for economic development. Inherent in the Muskegon policies
is the assumption that it is possible to have some integration of
preservation and development goals, but it is noticeable that as the
policy level goes from regional to local there is a shift in emphasis
from preservation to economic development.
Data Collection and Anajysis
The Southeastern Wisconsin Regional Planning Commission was
described in the section on watersheds as being particularly strong
in the areas of data collection and analysis for water resource
planning and guidance. One important aspect of its data collection
program involves a cooperative effort with the Wisconsin Department
of Natural Resources. The Department has prepared for use by SEWRPC
49
numerous studies of lakes in southeastern Wisconsin.
One series of studies is a group of lake use reports for the
approximately fifty significant lakes in the Fox and Milwaukee River
watersheds. The reports include a physical description of the lake
(the watershed, shoreland, soils), water quality, the lake as resource
(its fish and wildlife, aquatic plants, and aesthetic features), and
use for fishing, swimming, boating, and residences. The reports also
look at existing land use, sewerage systems, and local ordinances. The
final sections discuss the major problems, such as deteriorating water
quality, and recommend guidance measures. These reports have become a
significant source of data for shoreland and watershed planning not only
for SEWRPC in its regional efforts but also for local agencies and
governments.
Comprenens iveness
A good example of a comprehensive planning and guidance effort for
5 I
a shoreland area is the Chattahooche Corridor Study, which covers a
forty-eight mile stretch of the river above Atlanta, extending 2,000
feet on each side. It includes statements of assumptions and goals,
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planning process, key features of a proposed plan for the corridor, and
a means to implement the plan.
Key assumptions for the planning process are that the river and
corridor will be urban (it would be impossible to completely prevent
urban development in this area) and that the major responsibility for
guiding urban development lies with local governments. The primary
goals involved are preservation of river water quality, protection of
certain aesthetic or historic areas, and minimization of adverse
environmental impacts of urban development. The planning process has
three main elements: •
I. Analysis of vulnerability, including analysis of water quality,
processes that affect this quality, and impact of urban develop-
ment on these processes; analysis of shore land in terms of
soils, geology, hydrology, land cover, and slope to determine
vulnerability of land areas to adverse impacts from urban
development; and various standards for locating development.
2. Inventory, including scenic, historic, and unique features
plus existing land use and facilities and proposed public
and private developments.
3. Plan formulation, based on vulnerability criteria, inventories,
projected demands for recreation, various fiscal and political
constraints, and the existing metropolitan planning framework.
Basic plan elements are policies on bridge crossings, water and
sewer extensions, and areas for open space preservation, along
with delineation of areas suitable for urban development, farm-
ing, and planned unit developments.
Guidance
Many watershed guidance tools are also applicable to shorelands.
This listing focuses on guidance measures particularly relevant for
shorelands.
Advice
Shore I and development guide—a complete discussion of
shore I and problems; a detailed description of shore-
land and water qual ity protection measures; a discussion
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of statutory authority, ordinance adoption pro-
cedures, and enforcement programs; and several
appendices including model ordinances, State acts,
State programs, and existing local ordinances.
Such a shoreland development guide, complete with maps
and diagrams defining shoreland boundaries and illus-
trating good development practices, distributed to local
governments, planning agencies, and private developers
is perhaps the most important means of advice. The guide
will influence local decision-making and serve as an
authoritative basis for intergovernmental communication
and coordination. This is particularly true if the guide
is part of a comprehensive planning process and complementary
to other planning reports and guides.
Controls
Mandatory shoreland ordinances (zoning, sanitary, and sub-
division ordinances with a building permit system,
which would control minimum lot sizes, setbacks from
the water, tree cutting, filling, draining, dredging,
and size, location, and operation of septic tanks)
In 1965, Wisconsin passed a law requiring all counties
to regulate shoreland development by 1968 or the state
would do it. A task force composed of the state
Departments of Natural Resources, Conservation, and
Health plus the U. S. Soil Conservation Service and the
University of Wisconsin Extension Division established
minimum standards and formulated model ordinances.
Although the 1968 deadline was not met, the state con-
tinued to work with counties, and by 1971 all had shore-
land ordinances. The Wisconsin program has some weaknesses
in that the law does not apply to incorporated areas and
many of the ordinances are somewhat simplistic, but the
fact remains that now every county in the state has some
form of planning and zoning body plus a sanitary ordinance.
Incentives
State assistance and review (financial and technical
assistance for planning and formulation of controls;
state or regional review of local plans and enforce-
ment procedures)
Deye Iopment
Planned community development (comprehensively planned
and controlled development of small communities and
recreation facilities on shorelands)
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A division of Duke Power Company, Crescent Land and Timber
Corporation, has purchased 75 percent of the shoreiand
around Duke Power's Lake Keowee in South Carolina.
Development will maximize the land's recreational and
residential potential, and Crescent has developed a plan
for this development with help from federal, state, and
local agencies. Sites have been set aside for parks,
public access areas, residential areas, and mobile home
parks. The actual development is to be carried out by
large, experienced private developers via a contract with
Crescent. These contracts are precise about requirements
and set restrictions similar to subdivision regulations.
A shore I and management program
I. Comprehensive water use planning, by watershed
(desired uses; water quality standards; land
use planning)
2. Correction of shore I and problems
a. Export wastes from basin
b. Public acquisition of shoreland; easements
c. Redevelop old areas
d. Restore lakes (flushing, aeration)
e. Harvest undesirable plants and animals
f. Restock fish; replant
3. Abatement of water pollution
a. Improved waste treatment
b. Low flow augmentation
c. Replace septic tanks
d. Soil and water conservation (terraces, ponds,
spillways, basins, channels, contour tillage)
4. Prevention of shoreland problems
a. Zoning (residential, agricultural, parkway,
flood plain, cluster)
b. Special regulations (cutting, clearing, building)
c. Subdivision regulations (utilities, dedication,
pIatting)
d. Sanitary ordinances (permits for septic tanks)
e. Recreation ordinances (uses restricted to certain
areas)
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Estuaries and Wetlands
In general, an estuary is that part of the hydrologic system where
surface waters from streams or rivers mix with salt water from the
oceans under the influence of tidal action. Most U. S. estuaries
are shallow and are bordered by marshes or wetlands and mud and sand
flats. The essential estuarine process is the mixing of fresh and salt
water. This is affected primarily by tidal action as a "salt wedge"
of denser water comes in with the tide. The mixing and resultant
flushing out of the estuary may take place within a single cycle of
the tide, but in large, complicated estuaries it may take several months
A second key process involves the nutrients and sediments brought
in by the fresh water. Estuaries become nutrient traps and are there-
fore highly biologically productive. Similarly, the adjacent wetlands
are also significant biological areas as they are vital to the chain of
marine I ife. The exact del ineation of a wetland area is a difficult
task, however, tidal wetlands can be defined by existing plant species
and tidal characteristics.
ProbI em Def i nition
Problems of estuaries and wetlands include degradation of water
quality, loss of habitat for fish and wildlife, loss of public access
to beaches and natural areas, and disruption of ecologic processes.
These problems exist in other water-land interfaces but they are per-
haps most critical in estuarine areas, since the estuary of all water-
land interfaces is the most complex and the most sensitive. The
ecological balance and functions of the estuary depend on a number of
factors (fresh water inflow, temperature, sediment load, level of
nutrients); if any factors are changed, the processes and the quality
of the estuary may be radically affected. William Odum has pointed
out that "all of the factors which enable an estuary to concentrate and
cr n
recycle nutrients also allow the estuary to become a pollution sink."
The following is a list of activities common to urban development
59
that may significantly affect the estuarine area:
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I. damming—dams across the streams feeding into the estuary
may decrease the flow of fresh water and the sediment load.
Dams near oceans keep out salt water and destroy the mixing
process.
2. fill! ng—filling in the wetlands and the estuary itself
obviously reduces the available area in which the biologic
process can take place.
3. dredging—dredging estuary bottoms and wetlands may signifi-
cantly disrupt biologic processes; also, since it is often
done for private boating, it adds to the wastes discharged
i nto the estuary.
4. d f versions—use of fresh water for water supply and irrigation
reduces the amount of fresh water reaching the estuary.
5. waste d ischarge—wastewater effluent significantly affects
the nutrient level in the estuary; also, the use of fresh
water for cool ing by power plants raises the temperature of
the water.
6. I and practices—use of land for farming, residential develop-
ment, and mining significantly affects the sediment load
in fresh water. Increased sediment loads can cause shoaling
and affect the biologic processes.
7. pestic ides—a large amount of pesticides used on land end
up in the estuary and its plants and animals.
Mainstream Planning and Guidance
Planning and guidance for estuarine areas really only came into
existence in the late I960's. National awareness of the problems
involved began in 1964 at a symposium on estuaries held by the American
Society of Limnology and Oceanography. Since then, there have been a
number of similar symposia, congressional appraisals, and national
studies. This activity is still in the problem definition stage,
and one of its principal objectives is to define exactly who should
plan and guide estuaries.
205
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The urban planning and guidance that has taken place is basically
concerned with the use and development of estuarine areas for commercial
purposes (cheap residential land, simple wastewater disposal, intensive
recreation) and has not addressed itself to the broader functions of
the area or to planning it as a whole, A great deal of estuarine plan-
ning and development is done by the Corps of Engineers for navigation
or flood control and ignores the biologic nature of the resource.
Similarly local governments have allowed developers to fill in wetlands,
dredge channels for boats, discharge wastewater into the estuaries, and
divert fresh water.
Cutting Edge: Regional
One well-known example of estuary planning is the San Francisco
Bay. This estuarine area, including the adjacent delta and watershed,
lies within a single state, California, a progressive state in water
resource planning and development. Even here, a largely uncoordinated
complexity of jurisdictions and planning activities has developed.
Three principal agencies involved are the Bay Conservation and Develop-
ment Commission (BCDC), the Association of Bay Area Governments (ABAG),
and the San Francisco Bay-Delta section of the California Water Quality
Control Board. The BCDC and the Bay-Delta section have recently
completed significant planning studies.
The Bay-Delta study looks not only at the Bay but also at the Delta
and the Streams feeding into the Bay. The study was broken into the
following sections:
I. Description of Bay and Delta—use of the Bay for navigation,
recreation, and cooling water; importance of the wetlands;
use of the Delta for agriculture, recreation, industry and
domestic water supply.
2. Influences on water quality—municipal and industrial waste-
water; agricultural runoff, urban runoff; dredging and filling.
3. Water quality problems—increases of nutrients and algae in
the Bay; salt water intrusions into the Delta and related
diversions of water out of the region; loss of fish species;
increased levels of toxicants.
206
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4. Water quality management—control of wastewater and recycling;
increased dilution capability; importance of the location of
wastewater discharges.
5. Management plan—federal and state agencies to control fresh
water flows and diversions and enforce water quality standards;
regional agencies to treat and divert wastewater flows; local
agencies to control urban runoff. The basic elements of the
plan are treatment of wastewater on a regional basis, dl'version
of discharges to good assimilative areas (for example, the
center of the Bay or the ocean), and wastewater reclamation
when it becomes feasible.
6. Implementation—creation of a regional service agency for
wastewater disposal.
Although the Bay-Delta study is geographically and ecologically
comprehensive, it is limited in its plan and implementation recom-
mendations. The plan is basically an engineering-technological one,
while implementation procedures focused on a single, new service agency.
Numerous land use control and non-structural measures are not included,
and the active use of local agencies and governments for implementation
is not considered.
The BCDC study and plan, though limited in geographic scope, is a
good example of utilization of land use controls and coordination with
CO
local governments. The basic objectives of the Commission are to
protect the Bay as a natural resource but to promote development of
the shorel ine with minimum filling. The Commission, realizing the
importance of public support and the uncertain nature of its own
powers, took a strong education and public relations approach, which
included an extensive study of the Bay under twenty-five categories
(pollution, marshes and mudflats, fish and wildlife, recreation,
appearance and design, waterfront industry and housing, ports). The
significance of these studies was not so much the enclosed information
but the public awareness they generated as each report was individually
reviewed by affected parties and interdisciplinary committees, then
published with long press releases. The final plan, developing out of
207
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conflict resolutions among participating groups, was widely known and
understood and had implicit support from most local agencies and
i nterests.
The essence of the plan and the Commission's regulatory powers
relate to dredging and filling the Bay's shorelands. The Commission
has established various policies on the use of shorelands and related
dredging and filling. These include identification of certain high
priority uses (such as regional ports, transportation, and recreational
facilities) for which land is reserved and filling permitted, establish-
ment of a permit system procedure for filling and dredging, policies on
public access, wetland management, and appearance of shoreland develop-
ment, and coordination with local government.
The Commission was made permanent in 1969 by the California legis-
lature but was not given all the authority it requested. It was granted
control over only the first 100 feet back from the Bay. Thus, it can
require public access to the Bay and control some filling and dredging
via permits, but it must stiI I rely on public education and local
government cooperation.
Land Use Emphasis
One of the most recent examples of an estuary planning study Is
from the Tampa Bay Regional Planning Council. The study area Includes
Tampa Bay and the coastal wetlands and inlets of five adjacent counties.
Unlike many "estuary studies," this one focuses on adjacent land use
and land management programs. Although the study includes a geophysical
sketch (climate, geology, topography, soils, hydrology), an ecological
sketch (estuarine processes, fish and wildlife), an historical sketch
(transportation, tourism, military installations), and a discussion
of shoreline characteristics (tides, waves, beaches), it is particularly
interested in projected land use patterns, suitability of the land to
support these patterns, and governmental roles in managing this land use.
The planning approach produced two plans. One emphasized the
intrinsic suitability of various land areas and the limited nature of
local water supplies as key limitations on growth and channeled land
208
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uses away from estuarine and wetland areas. A second plan, recognizing
general resistance to land use controls and the strong tourist, retire-
ment, and recreational-residentiaI development forces, preserves only
the most critical areas, but nevertheless advocates as much land use
control as is feasible.
In relation to intrinsic land suitabilities, the Council consulted
with the Florida Coastal Coordinating Council and identified three broad
. . 64
categories:
I. Preservation—areas to be protected from further development,
such as marine grass beds, tidal marshes, fresh water swamps,
and shellfish waters.
2. Conservation—areas recommended for limited land uses such as
recreation, forestry, wiId Iife management, and agriculture,
3. Development—areas suitable for urban development but may
require special drainage and sewerage systems and central
water supplies.
A key concept of the study is that implementation of the plan and
any 'land use controls depend on local government. It calls upon local
agencies to become more responsible and innovative in their planning,
zoning, and general decision-making processes, including a recommenda-
tion to require environmental impact statements for all new private
development.
Guidance
Because of the regional nature of estuaries and wetlands and the
strong pressures for economic development of these areas, local guidance
programs have been ineffective or non-existent. The most effective
estuarine guidance programs have been at the state level.
Advi ce
Detailed studies of estuarine processes and problems
Estuarine shoreline development plans
Public hearings, meetings, workshops
Advisory Committees and consultants
Intrinsic suitability guides for estuarine areas
Estuary or coastal coordinating committees
Identification of relevant federal, state, and local
acts and powers
209
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Delineation of estuarine or coastal zones
Precise delineation of wetlands—determination of exact
wetland boundaries is a key element in their preserva-
tion; the State of Connecticut in order to enforce its
Tidal Wetlands Preservation Act (1969) has sent out
biologist-epaineer-surveyor teams to locate the exact
boundaries; however, the problem is even more severe
for inland wetlands where basic data, e.g. soils, is
Iacki ng.
Controls
Coastal wetlands alteration laws [[Massachusetts, Maine,
Connecticut, and North Carolina have laws that prohibit
dredging, filling or altering of coastal wetlands with-
out a permit. In some cases the permit can be issued
by local governments but state approval is required;
if the restrictions on the wetlands are found to be a
taking (in court action), the state can pay a compen-
sation (Connecticut) or purchase the land via eminent
domain (Massachusetts).I
Aquatic preserves (Florida has recentlyRestabIished a state-
wide system of aquatic preserves, where there can be
no more selling or filling and dredgi ng of submerged
land for creating waterfront real estate; uses such as
boating and fishing are allowed.)
Executive moratorium [[The governor of Oregon placed a
moratorium on all coastal area planning and development
by state agencies (as of March 3, 1970), until the state
can complete aqcomprehensive study and plan for the
coastal zone. The moratorium also directs state
regulatory agencies to apply their authority to protect
the coastal zone; the Oregon State Land Board, for
example, now considers the filling of an estuarine
area to be a form of permanent pollution.3
Bulkhead lines (Florida authorizes cities and counties to
establish bulkhead lines beyond which no filling or
bulkhead ing is allowed.)
Regional permit system (the BCDC for example)
Local subdivision controls, zoning, and building codes—
these controls have nevecnbeen successful in rela-
tion to estuarine areas.
Incentives
State-1 oca I cooperative programs (The Long Island Wetlands
Act establishes state-local cooperation to preserve
210
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wetlands and arovides 50 percent funds for wetlands
acquisition.)
State-regional programs (BCDC, for example)
A-95 review (This review power can be used by regional
clearinghouses in estuarine areas to help control urban
development, via HUD grant programs and Corps projects.
The Tampa Bay Regional Planning Council sees this as a
very important tool. This is an incentive rather
than a control because its effect is largely one of
persuading governmental agencies to consider the en-
vironmental effects of their projects.)
Development
Land acquisition (Since the passage of a $60 million Green
Acres bond issue in 1961, New Jersey has acquired
about 53,000 acres of salt marsh and expects to acquire
about 90 peccent of the high-value coastal marshes in
the state.)
Management programs (New York develops and/or manages
dedicated or purchased wetland areas in cooperation
with local governments.)
Regional sewerage systems (The Bay-Delta study has proposed
regional sewerage systems including discharge of
treated wastewater outside the estuary or at least in
its deep-water areas. Such systems are necessary
to prevent local pollution of shallow estuarine areas.)
Port and marina facilities.
FIoodpI a ins
!n this section we are still primarily concerned with developing
water-1 and interfaces rather than those that are already developed.
Thus, the interest here is in flood control (or control of flood
damages) rather than storm water drainage. The distinction between
75
the two can be summarized as follows:
Flood control—regional in nature; concentrates on watersheds
and river basins; closely related to land use planning;
involves preserving and developing natural systems; failure
of system may result in major property damage and loss of
I ife.
211
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Storm water drainage—local in nature; includes municipal
sewers; generally less directly related to land use planning;
involves creating manmade systems; failure of system results
in minor property damage and nuisance.
Our particular interest is in the flood plain which is the
relatively flat and lowland area adjacent to a stream or river. This
land either has been or is likely to be covered with flood water during
periods of heavy rain or snow melt. The flood plain can be divided
into subareas by its elevation above and proximity to the stream.
For example, the fIoodway is the area immediately adjacent to the
stream and which Is necessary for the passage of most flood flows.
This area is often designated by encroachmemt lines and restricted
from building and filling. Beyond the floodway other boundaries can
be established corresponding to floods of selected probabilities, for
example, the design flood and the standard project flood. Within
these boundaries there are different probabilities of flood occurrence
and different recommended land uses.
Standard project flood.limit No restrictions
Ten-year flood limit Controlled construction;
parking, storage
Floodway No construction or filling; agri-
culture and recreation permitted
Ri ver
Problem Definition
The general nature of flood problems is fairly straightforward
ancj We I I-documented. Given certain circumstances, such as heavy rains,
snow melts, hurricanes, and saturated soils, rivers may overflow their
banks and cause considerable damage to buildings and land, creating
212
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great hardship for people, including possible loss of life. At the
time of the Flood Control Act of 1936, which placed great emphasis on
flood control structures, flood problems were largely related to agri-
78
cultural losses and a few special urban cases. However, as the
nation continued to grow and urban areas began to decentralize, especially
by moving into the flat, economically attractive flood plains, flood
hazard areas began to mushroom. The widescale development of flood
plains was due largely to the view that flood control structures (dams,
levees) were completely adequate to prevent flood damage. This view is
true only up to a certain point (the level of the design flood), and
this point can easily be surpassed with catastrophic results. The most
recent example is the flooding this spring (1972) in several areas of
Pennsylvania and Virginia; however, many of these areas had no flood
protection structures.
Related to this reliance on flood control structures is the question
79
of flood hazard perception and consequent adjustments. The prospective
flood plain developer or dweller will make decisions on the basis of his
perception of the likelihood of flood hazard, which will be based on a
number of factors: his previous experience with flooding and flood
losses; the existence of flood control projects; his knowledge of what
and where the flood plain is; his faith in public relief; and his
personal disposition toward uncertainty. In general, flood plain de-
velopment and consequent damages are largely due to a lack of under-
standing of the flood plain concept or its public delineation, an
economic optimism that severely discounts improbable future losses,
and a too-easy reliance on the effectiveness of flood control structures.
Mainstream Planning and Guidance
In discussing mainstream planning and guidance for flood damage
prevention there are two important distinctions to be made: (I) the
use of structural versus non-structural control measures and (2) the
difference between planning and implementation. The following diagram
uses these distinctions to characterize the mainstream and cutting
edge planning and guidance of the recent past:
213
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Structural
Non-structural
Plann i ng
Imp lamentation
(gu idance)
Ma i nstream
Corps since 1936
SCS since 1953
Mai nstream
Corps since 1936
SCS
Ma instream
TVA since 1953
USGS and the Corps
Many cities and states
in 1960's
Cutting edge
TVA and many cities
in its region
A few other cities
and states
Mainstream planning and guidance appears to be of two types. One
is the structurally oriented flood control programs carried out by the
Corps of Engineers, the Soil Conservation Service, and other regionally
oriented agencies. The second type involves the non-structural planning
programs that have been attempted by various agencies since TVA began in
the I950's. These programs include flood hazard mapping by the USGS;
flood hazard studies by the Corps for local interests; state assistance,
enabling laws and studies for local flood control; and city and county
studies of flood hazards with subsequent recommendations for non-
orj
structural control measures. These planning programs are considered
to be, for the most part, mainstream because the concepts and principles
involved have been advocated for at least twenty years and formally set
O I
forth and widely disseminated for at least ten years. However, these
programs have largely remained in the realm of planning and "neglected
advice" and so do not exactly fit the category of cutting edge or
innovative. Although the distinction here is not always clear, unless
the non-structural measures and policies are actually implemented (to
complement structural measures) by local governments and agencies, they
are not cutting edge.
214
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The following diagram (Figure 8) is an example of a widely
copied comprehensive flood damage prevention program prepared by TVA in
1962.
Cutting Edge: Flood Hazard Mapping
The best example of a comprehensive flood hazard mapping program
for an urban area is that done by the Northeastern Illinois Planning
Commission. In 1961, the Commission, in cooperation with the U. S.
Geological Survey, the six counties in the area, several cities, and
the Metropolitan Sanitary District of Greater Chicago, initiated a five-
year program to compile all available flood data for the metropolitan
area. The main output was a series of quadrangle maps and accompanying
explanatory material defining and plotting flood hazard areas in the
op
metropolitan region. The maps were then used in a continuing program
of assistance to city and county governments and agencies, particularly
to help develop zoning, subdivision, and building regulations that take
into account flood plains and flood control measures.
At the same time the Commission was preparing its landmark report
83
on the general use and development of water resources. This report
used many of the non-structural concepts of flood plain management and
extended them to or included them in comprehensive water resource plan-
ning and development strategies. Because of the advisory status of the
Commission and a lack of strong state support, implementation of many
of the policies and use of the information developed in these planning
programs have not been widespread. However, the Metropolitan Sanitary
District, a key implementation agency in the area, has moved to imple-
ment some of the planning program. For example, it requires on-site
storm water storage for large development projects within the district
in order for the project to receive service.
Most recently the Commission has prepared a model flood damage
84
prevention ordinance, which puts in rule form most regulations related
to zoning, subdivision, and building codes that help to control flood
damage. Before this single compilation, such regulations were scattered
among several separate ordinance guides. This model ordinance is likely
215
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FLOOD DAMAGE PREVENTION
CORRECTIVE MEASURES
PREVENTIVE MEASURES
ho
FLOOD CONTROL OTHER CORRECTIVE MEASURES FLOOD PLAIN REGULATIONS OTHER PREVENTIVE MEASURES
Dams & Reservoirs
Evacuation
Levees or WaI Is
Channel Improvements Flood Proofing
Others
Others
Zoning Ordinances
Flood Forecasting Subdivision Regulations
Bu iI ding Code:
Watershed Treatment Urban Redevelopment Health Regulations
Others
PUBLIC INFORMATION AND EDUCATION-
Development Policies
I
Open Spaces
I
Tax Adjustments
Warn ing S igns
Flood Insurance
Others
FIGURE 8
Source: Goddard and Gray, "Emerging Program for Managing Flood Losses," AIP Conference, Aug. 14, 1966.
-------
to be particularly useful, not only because northeastern Illinois has a
strong base of flood plain maps and policies, but also because in
QC
1971 the Illinois legislature authorized state control of floodplains.
Although cities and counties have had the authorization to control flood
plain development, they are now more likely to do it since the state may
step i n.
Comprehensiveness
Perhaps the most comprehensive planning and guidance program for
flood damage prevention is that of the Southeastern Wisconsin Regional
Planning Commission. The Commission's approach to water resource plan-
ning and development was discussed in the "watershed" section of this
report. The flood damage prevention program is one element of the
total planning and guidance program and thus is based on regional land
use and transportation plans, watershed plans, and an elaborate process
of objectives and criteria formulation and plan evaluation. Although
SEWRPC, like NIPC, is basically an advisory agency, its strong framework
of detailed plans and policies and its success with intergovernmental
cooperation make its flood damage prevention program more likely to be
implemented. In addition, the Commission's efforts are supported by
O£"
strong state laws on flood plain management.
The SEWRPC program is adapted from the TVA program and is oriented
to both developed and developing urban areas. It is divided into four
•, 87
parts:
I. Protection of existing development (flood control works, flood
warning, evacuation, f loodproofing)
2. Removal of existing development (urban renewal, public acqui-
sition, razing or elimination as a nonconforming use or
public nuisance, conversion of use)
3. Discouragement of new development (education through flood
hazard maps, warning signs, tax assessment policies, financing
policies, public development policies, flood insurance
programs)
4. Regulation of existing and new development (general zoning
217
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districts, special zoning restrictions in floodplain areas,
subdivision ordinances, sanitary ordinances, building
,. .88
ordinances)
The SEWRPC feels that regulation is the best means of Implementa-
tion for flood damage protection because protection is costly, removal
is difficult, and discouragement uncertain. However, one important
distinction is made by the Commission: although the simple approach
of zoning districts may be adequate in undeveloped areas, it is not
satisfactory in urbanizing or developing areas; therefore, in develop-
ing areas, the Commission recommends special flood I and regulations be
used in conjunction with general zoning districts. See Figure 9.
The Commission in all its programs places a strong emphasis on
intergovernmental relations and advisory committees, identifying state
and local powers and federal assistance opportunities, and involving
local, state, and federal agencies throughout the planning process so
they come to have a vested interest in program implementation. Thus,
an important part of the flood damage prevention program is identifi-
cation of statutory authority, governmental programs, and intergovern-
mental relations. See Figure 10 for a summary of this effort.
Flood PI a i n Regulations
Two states that have enabled and encouraged their counties and
cities to adopt flood plain regulations are California and Wisconsin.
California adopted the Cobey-AI quist Flood Plain Management Act which
makes it state policy to encourage local governments to plan for and
regulate flood plain uses. The act provides state assistance and
requires adoption of flood plain regulations as a prerequisite for
state funds to pay local costs of federal flood control projects.
Wisconsin established a strong statewide flood plain program in
1966. It set up general criteria for flood plain regulations and
warned that if any county or city had not adopted reasonable regulations
89
by 1968, the state would do it. This deadline, like the shoreland
regulation deadline, was not meant to be final, but rather to encourage
local governments to begin to deal seriously with their problems.
Some examples of local flood plain regulations appear in Figure
218
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FIGURE 9
RELATIONSHIP BETWEEN ZONING DISTRICTS AND FLOODLAND REGULATIONS
ZONING DISTRICTS
ZONING DISTRICTS
A-I GENERAL FARMING
Grazing
Pasture
Farmhouse
Cropping
C-l RESOURCE
CONSERVATION
Wetlands
Wood Iands
Hunting
Fish ing
P-l [NSTITUTIONAL
PARK
Schools
Hosp itals
Cemeteries
— FLOODLAND REGULATIONS — >
i
j£ ro
en cm
C (DO CD
— in 1— CL cr,
C — 01 01 ro
— (0 O — E —
s- E — Q CD —
c 1- +- —
O C. CL CD CO 1—
O < CD Q. >-
CO (D CO O
O ^- 5 Z
Z O O - CD
— — u
J3 .a 13
=J E 4-
CL CD O
01 3
O in s_
2T < 4-
CO
CD
L
^
+-
0
13
!_
4-
CO
O
Z
I_ C
O O
O —
TJ 4-
4- ro
^ CD
O L
0
CD
cr
r
i_
0
a,
c a;
CL —
E —
n —
Q —
U_
O
~/r
in
c
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+-
u
13
S_
4-
tn
jj
O
O
•z.
1
CD
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ro CD
1- > -}— O)
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4- 01 ro ro
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— r> i_
CD CX O CD
-0 X CD 4-
— uj ro
01 OS
4- O 2
r! ^
O
ro ®
— 0 cr
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L +- .-
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E L.
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O ^- CL
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01 1 O
CD 1 CD J^
en I-H L.
^j ^ 1 ro o ^
— 1 > JD L
c c 1 — ,c ro
CD O I L COQ_
CL / D_ —
O / CD
/ z
M-2 INDUSTRIAL
Manufacturing
•B-l BUSINESS
Stores
Offices
R-3 PLANNED RES 1
Homes
Streets
Plants
DENTIAL
•< — [-Stream Channel
V< — 10 Year Flood Innudation Line
100 Year Flood Innudation
L i ne
The above figure illustrates how zoning districts can be used along with
special floodland regulations to avoid improper and unwise use of flood-
lands. Agricultural, conservancy, and park zoning districts are the most
common districts which generally permit uses compatible with the flood
hazards existing in floodland areas. Floodlands which must be zoned for
commercial and industrial uses because of existing or committed develop-
ment should be so regulated as to permit only parking and open storage in
the flood hazard areas and to prohibit the storage of buoyant, flammable,
and explosive materials. The use of soecial floodland regulations in con-
junction with regular zoning districts can achieve floodland objectives
while obviating the need for special floodway and floodplain districts.
219
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FIGURE 10
IMPLEMENT I ON AND FINANCIAL ASSISTANCE FOR FLOOD DAMAGE PREVENTION PROGRAMS
Object!ve
Device or Action
Avai lab Ie
AppIicabIe Un it
of Government
Financi al
Ass istance
Reviewing, Cooperating,
or Administering Agency
FederaI
Control
Flood
Funds
U.S. Army
District Engineers
SoiI & Water
Conservation
Distri cts
Federal
Works &
Pub I ic
Loans
U.S. Economic Develop-
ment Administration
Flood Control
Works
NJ
O
Federal Resource Con-
servation & De-
velopment Grants
Flood Control
Boards
Federal Multiple-
Purpose Water-
shed Program
U.S. Soil
Conservation
Service
State Department of
Natural Resources
Protection
of
Exist!ng
Development
Storm
Water
Drainage
UtiIity Districts
Drainage Boards
Towns, V!I I ages,
and Cities
Metropolitan Sewerage
Commiss ions
Drai nage
Improvement
Grants
U.S. Army
District
Engi neers
Town Sanitary
Districts
Federal Rural
Loans
U. S. Farmers Home
Admi n i strat ion
Federal Sewer
FaciIi ty Grants
U. S. Department
of HUD
-------
FIGURE 10 (continued)
Objective
^rotection
of
Existing
Deve lopment
temova 1
of
Ixisti ng
)eve lopment
Device or Action
Aval 1 ab le
Flood Warnings
Evacuation Measures
Acquisition for
Park Purposes
Publ ic
Redevelopment
App 1 icab le Unit
of Government
U.S. Department
of Commerce
U.S. Department
of the Army
State
Munici pa 1 i ties
Vi 1 1 ages
and Cities
Fi nancia 1
Assistance
Flood Forecasting
Program
Emergency Opera-
tions Program
Federal Open-
Space Grants
State Outdoor
Recreation Aids
Federal Land &
Water Conservation
Funds
Federal Cropland
Adjustment Grants
Federal Rural
Renewal Loans
Federal Urban Renewal
Beauti f ication, Insuran
Rehabilitation, & Code
Enforcement Programs
Reviewing, Cooperating,
or Administering Agency
U.S. Weather Bureau
U.S. Army District
Engi neers
U.S. Department of
HUD
State Department of
Natural Resources
—
U.S. Agricultural
Stabi 1 ization and
Conservation Service
U.S. Farmers Home
Admi n istration
ce, U.S. Department
Of HUD
-------
FIGURE 10 (continued)
Objective
Removal of
Existing
Development
Di scourage
ment of
New
Development
Regu 1 at ion
of
Development
Device or Action
Avai 1 able
Razing
Noncon form ing
Uses
Nui sance
Remova 1
Warning Signs
Recordation
Financi ng
Pol icies
Bulkhead Lines
Dam Construction,
Operation, and
Abandonment
Exc 1 usi ve Zoning
Districts
Flood land Use
Regu 1 ations
App 1 icab le Unit
of Government
Muntci pa 1 ities
Municipal ities
Municipa 1 ities
State
Municipal ities
Muni cipal ities
U.S. Department
of HUD
Muni cipal ities
State
Municipal ities
State
Fi nanci a 1
Ass [stance
Federa 1
Demolition Grants
—
—
—
Federal Mortgage
Financing Insurance
—
—
—
Reviewing, Cooperating,
or Administering Agency
U.S. Department
of HUD
—
—
—
U.S. Federal Housing
Admi n i strati on
State Department of
Natural Resources
State Department of
Natural Resources
State Department of
Natural Resources
NJ
-------
FIGURE 10 (continued)
Objective
Regul ation
'of
Deve lopment
Device or Action
Ava i 1 ab le
Land Division
Regu 1 ations
Building Regulations
Sani tary
Requ 1 ations
Appl i cab 1 e Uni t
of Government
Munici pa 1 i ties
Murn ci pa 1 i t ies
County Boards
of Health
State
F i nancia 1
Ass i stance
—
—
—
Reviewing, Cooperating,
or Administering Agency
—
—
State Department of
Natural Resources
NJ
r-o
U)
Municipalities include counties, towns, villages, and cities.
Source: SEWRPC, Floodland and Shoreland Development Guide (Waukesha: 1968)
-------
FIGURE 11
FLOOD PLAIN REGULATIONS
LOCATION
CHARACTER
PURPOSE AND INTENT
PERMITTED USES
Beloit, Wisconsin
Buffalo County,
Wiscons i n
Butter County,
Ohio
Mono IuIu,
Hawa i i
Valley Plain
District
FIood Plain
District
Flood Plain
District
F-l
Flood Hazard
Districts
F-H
Public health, safety, comfort,
welfare, reducinq financial
burdens of community and
i nd i v iduaIs.
Protect life and property,
prevent or minimize damage,
reduce public cost for flood
control, reduce relief
efforts.
Aqri cu I ture/structures, docks,
golf, qorestry, nurseries,
parks, recreation,
reservations .
preserves,
Truck farminq, qrazinq, nurser-
ies, dams/power D I ants, water
measure/control faciliti'es,
utilities, qolf, recreation,
scenic, historic, scientific
preservation .
Aqr i cu I ture/bu i I d i nqs, nurser ies,
summer houses, trails, seasonal
parks, poultry, dairies, stables,
community centers, country clubs,
qolf, docks, sports arenas,
siqns, equipment storage, treat-
ment/reclamation non-ob jection-
ab le wastes .
Recreation, transient amusement,
agriculture, parking, loading,
unloading, minina, sand/qravel
pits, refuse disposal, public
facilities, utilities, storage,
dwellings for employees on
premises (2 ac. min.).
-------
LOCATION
CHARACTER
FIGURE 11 (continued)
PURPOSE AND INTENT
PERMITTED USES
to
N>
Ul
Kokomo,
I ndiana
Memph i s,
Tennessee
Montgomery
County, Ohio
Rivers ide
County,
CaIi forni a
Sacramento,
CaI ifornia
FIood Plain
District
Flood Zone
Regulations
Flood District
Regulations
FIood Plain
District
Watercourse,
watershed and
conservation
areas
W-l
Flood Zone
F
Protect public health, reduce
financial burdens on community,
its units and individuals.
Threat to
property.
human Ii fe and
Public safety and interest,
health, comfort and interest,
preservation of public peace,
morals, order, public welfare.
Permits uses for areas subject
to inundation.
AlI Al or Rl zone uses except
residential; parks, recreation,
no structures for residential
purpose.
Any, if premises can be pro-
tected by fill or other means.
Farm buildings; public parks.
Agriculture, forestry, seasonal
homes, parks, recreation, qolf,
lakes, docks, stables, portable
amusement, outdoor shooting
ranges, mineral extraction (no
shooting).
Field, tree and brush crops,
gardening, apiaries, grazing,
go I f.
Agriculture/buildings, docks,
restaurant facilities, parks,
community centers, recreation/
amusement service buildings.
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LOCATI ON
CHARACTER
FIGURE 11 (continued)
PURPOSE AND INTENT
PERMITTED USES
NJ
San Bernardino
County,
CaIi torn ia
Tehama County,
CaIi forni a
FIood Plain
District
FP
Designated
Floodway
FP-I
Restrict! ve
Zone
FP-2
Primary Flood
Plain
District-PF
Secondary Flood
Plain District
SF
Prevent economic loss and loss
of life and property.
Minimum protection of public
health and safety and of
property and improvements,
from hazards and damage
from flood waters.
Protect property and their
improvements.
Flood control channels, levees,
spreading grounds and basins,
field crops, grazing, truck
gardening, preserves, agri-
cuIture.
All uses in FP-I; orchards,
nurseries, horticulture stock
and other agriculture.
Crop and tree farming, truck
gardening, viticulture, grazing,
other agriculture uses, public
utility wire and pipe lines for
transmission and distribution.
Same as PF; residential struc-
tures, residential subdivision
improvements provided the floor
level is above the 1958 flood
I eve I.
Source: George Nolte and Associates, Drainage and Flood Control,
Background and Pol icy Study. San Diego,1970.
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FIGURE 11 (continued)
CONDITIONAL USES
PROHIBITED USES
STANDARDS
GENERAL PROVISIONS
Single-family if building Nothing herein shall be con-
pad 5 ft. above flood crest, strued to prohibit lawful re-
transient amusement, miner- habilitation or reclamation of
al extraction, storage, land in Valley Plain District.
shotting ranges, riding
stab Ies.
Fill, agriculture/build-
ings, storage/dumping or
buoyant/injurious materi-
als, campsites, any use
requiring sewage disposal
system.
Amusement parks, race
tracks, inns, drive-in
movies, cafes, motels,
trails/camps for transi-
ent use, airports, shoot-
ing ranges, storage/
process of junk, refuse
treatment, petroleum
storage, quarries, gravel
pits, municipal garbage
disposal.
Residential use; any other
not permitted or conditional
permitted.
No use or structure permitted
that will adversely affect
normal flood flow, increase
flooding of property above or
Lot size, setbacks,
hei ght Iimlts,
signs, parking.
Lot s i ze, d imen-
sion, others as
determined by
Board of Adjust-
ment.
Setbacks, height
Iimi ts, lot si ze.
Setbacks
Conditional land uses
need special permits.
Permitted uses need
zoning permit; condi-
tional uses need
special use permit.
Conditional land uses
need special permits.
A temporary zone—to
be 1i fted when hazard
i s removed.
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FIGURE 11 (continued)
CONDITIONAL USES
PROHIBITED USES
STANDARDS
GENERAL PROVISIONS
below the property, increase
erosion, increase peak flow or
velocity.
All except permitted uses.
Buildings for permanent
residence.
None
None
A temporary zone to
be Ii fted when
hazard removed.
10
oo
Airports, heliports,
extractive industry, ex-
ploratory, drilling, com-
petitive events, except
human.
Any structure for residential
purposes other than afore-
mentioned.
None
AI I structures need
special permits.
Recreation areas, parks,
golf, parking lots,
athletic fields, fishing
lakes.
Buildings for residential
purposes.
Fill, excavation, human habi-
tation, storage of floatable
substance, no improvement
obstructing natural flow to
endanger life or property.
None
None
Conditional uses need
special use permit.
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FIGURE 11 (continued)
CONDITIONAL USES
PROHIBITED USES
STANDARDS
GENERAL PROVISIONS
Excavation, parks/recrea-
tion, golf, parking lots,
fishing lake, athletic
fields.
Agriculture buildings, public
utility buildings, parks,
recreation, parking, camping,
trailer parks, excavation,
filling, levees, residences
if provided protection and
giving no obstruction of
fIood fIow.
Residences which do not meet
floor level requirements but
are protected by levees,
multi-family, motels, local
commercial uses, structures
for storage and processing
of agriculture products,
schools, churches, halls,
places of public assembly,
Iibraries.
None
None
Conditional uses
need special use
permit.
Use permit required
for a I I condi tional
uses. All uses must
be so constructed and
placed to be protect-
ed from excess flood
damage and offer min-
imum obstruction to
fIood fIows.
Use permit required
for a I I conditionaI
uses.
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Water Qua Iity Management
The second broad category of water-land interfaces relates
largely to developed urban areas, where water supply and wastewater
disposal systems already exist, and where water resources in general
are highly manipulated and degraded by urban activities. The environ-
mental auality issues here are more in the realm of incremental improve-
ments and extensions rather than preserving ecologic balances or making
long-range optimal land-water plans.
The focus of this discussion of the urban or developed water-land
interface will be on water quality. Figure 12 shows the most basic
elements of the water quality management system and some of the issues
related to it.
This system which focuses on wastewater and water quality is, of
course, part of a larger system which includes solid wastes and air
pollution and which has strong relationships with political and socio-
economic systems. The broader systems are beyond the scope of this
discussion, but they have been dealt with in the literature.91
Problem Defi nition
In the sections of this study dealing with the urban, or developed,
water-1 and use interface, we will be interested not only in the physical
problems related to the interface but also in administrative or manage-
ment problems. In developed areas where physical systems have already
been established to "solve" physical problems, some of the most crucial
issues revolve around management of these systems.
The physical problems are basically related to the urbanization
trends of the I960rs: great concentrations of population and intensive
use of facilities; urban sprawl at the fringe areas; tremendous con-
sumption and conversion of vacant land and small streams; and general
92
degradation of the environment. These problems include:
'• Overloading of facilities—wastewater collection systems and
treatment plants (which involve large capital investments)
have not kept pace with the great demands placed upon them.
230
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System El erfients
System [ssues
Water supply
Urban development
and activities
RecycIed
water
Wastewater
Co
I lection and
treatment
Treated effIuent
Receiving waters
Growth and economic
demands
Land use patterns
Production processes
Point sources and non-
point sources
Social objectives
Jurisdictiona! fragmenta-
tion
System operation and
mai ntenance
System extension
New technology and
reclamation
Sludge disposal
Combined sewer overflows
and separation
Effluent limitations
Stream standards and
enforcement
Water resources uses
and benefits
Assimilation capacity
Environmental impact
Downstream effects
FIGURE 12
WATER QUALITY MANAGEMENT SYSTEM
231
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2. 1 netfic i ent_systems — in many large cities, old sewerage
systems, especially combined sanitary and storm water systems,
require considerable maintenance, discharge sewage via leaks,
and have frequent overflows during storms. In fringe areas,
systems serving sprawling suburbs may be inefficient and
poorly operated or nonexistent, thus creating septic tank
probI ems.
3. Spec iaI polIutants — new industries and technological processes
often produce wastes that conventional treatment plants can not
handle. Similarly, nutrients and pesticides are generally
passed on to receiving waters in spite of treatment processes.
Also, the disposal of sludge from treatment plants is an in-
creasing problem as vacant land becomes scarcer.
4. Use confIicts—as urban concentrations and demands increase
tremendous conflicts arise over the use of bodies of water for
wastewater assimilation, recreation, water supply, power
generation, and so on.
Management problems are generally related to the great juris-
dictional fragmentation in urban or metropolitan areas and to the per-
sistent engineering-functional bias of municipal water and sewer de-
93
partments. These problems include:
I. Narrow perspective—most local water quality agencies or de-
partments are single purpose agencies whose primary interest
or function is not the general enhancement of water quality.
In addition, these agencies have little or no communication
or coordination with other municipal agencies (such as the
planning department or the building and housing departments),
nor do they normally coordinate with water resource depart-
ments in nearby cities or counties.
2. Lack _of money and expertise—new approaches and long-range
planning are almost always overshadowed by daily operation and
ma intenance.
3. Definition of pol I utjon_—even with broad perspectives and plenty
of money and expertise, it is very difficult at the urban level
232
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to determine beneficial uses of water, levels of pollution
detrimental to these uses, and workable water quality
standards. This is due to conflicting public interests,
political constraints, hydrologic uncertainty, lack of data,
and, until recently, a lack of interest by federal and state
94
agencles.
Main stream Management
In this section, "management" will be used to include planning and
guidance, since urban -water agencies, focusing on the operation and
maintenance of existing systems to meet existing demands, are basically
management agencies. These agencies are also involved in planning and
guidance to some degree, and these activities wilI be included as
special features of management responsibilities.
The mainstream approach to urban water quality management (and
urban water resource development in general) is an engineering one in
which the overriding objective is provision of efficient physical systems
95
to meet increasing demands. The urban agency involved is usually a
single purpose, operation oriented, somewhat autonomous city department
or metropolitan special district. This approach has produced great
results in terms of quality and dependability of water supply and waste-
water disposal services, but has been slow to adapt to changing urban
needs, broader social objectives, and new technology or innovative
procedures. There are significant reasons for this reluctance to
change: the tremendous public investments involved plus overriding
concerns for public health and safety make administrators very con-
servative; existing systems require maintenance to such a degree as to
leave few resources for planning or innovation; jurisdictional frag-
mentation and political uncertainty make comprehensive planning and
innovation difficult and risky.
Urban water quality planning became increasingly important during
the late 1960's as a result of the federal Water Quality Act of 1965
and subsequent state attempts to formulate water quality standards.
Of particular significance is that water quality planning began to
233
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slowly change its focus from health objectives and cost-minimization
solutions to amenity and ecology objectives and beneficial use solutions.
The planning system of the late I960fs consisted of federal guidelines
and grants (from HUD and FWPCA, now EPA), state stream standards and
enforcement, and local physical development and operation. For several
reasons, this planning system was not very effective: there was no
strong federal push for action until 1970 with passage of NEPA and
recent water quality act amendments and the creation of EPA; states
found it difficult to set water quality standards that were realistic;
city departments and consulting firms persisted in their bias toward
capital intensive construction projects; broader focused planning
agencies had no expertise in water resource planning. Metropolitan
planning agencies, with some power to review local water resource plans,
generally had little basis on which to evaluate the plans or relate them
to land use planning.
Urban water quality guidance tools were virtually nonexistent.
State water quality standards were only weakly enforced. Local agencies
constructed facilities in response to urbanization demands rather than
to guide land use development. Surcharges were occasionally applied
to industrial wastes, but the charge was usually insignificant or the
actual discharges seldom monitored. In general, there was little or
no guidance relationship established between water quality management
and land use planning and development. In fact, these relationships
were rarely envisioned.
A final area of urban water quality management planning involves
HUD's "701" planning grants. The "701" program makes grants to local
governments for comprehensive planning studies which include water and
sewer or utility elements, thus offering an excellent opportunity to
relate water resources with land use planning and to guide land develop-
ment for improved water quality. Such interrelated planning has not
generally been the case. Instead, the program has emphasized pro-
duction of a report rather than establishment of planning processes;
relationships between land use and water resources or water quality
are largely ignored so that the utility element plans are usually just
234
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an inventory of existing systems and a general proposal for meeting
new demands; and there is an absence of imaginative or critical thinking
as, for example, utility elements are completely subordinate to land
use elements and accept and accommodate their proposed development. In
effect, the "701" planning program has contributed very little to urban
water quality management.
Cutting Edge_;_ EPA Guidel ines and A—95 Review
EPA's guidelines for water quality management planning and the
A-95 review process are most relevant at the metropolitan or regional
level; however, their effect on local water quality management should
98
also be significant. The guidelines, particularly those related to
areawide plans, attempt to draw water quality planning and management
away from traditional water and sewer service extension plans and bias
toward construction of treatment plants. This approach would integrate
water quality planning and land use planning (for example control of
wastewater quantities through land use location), consider environmental
impacts of proposed projects, explore all available alternatives, use
technical and intergovernmental advisory committees, and prepare flexible
strategies for management rather than a single, rigid plan.
Although this changing emphasis is envisioned at the metropolitan
level, the fact that metropolitan agencies have A-95 review powers and
added weight under federal and state "environmental impact acts," should
begin to broaden local water quality management programs. Local agencies
and departments, with their engineering expertise and regulatory powers,
are an essential element in water quality management, but they must
become more integrated into the broader metropolitan and environmental
quality frameworks.
Comprehensive Planning
One of the best examples of a city planning agency attempting to
plan for water quality management and relate it to other environmental
quality problems as well as to land use plans and controls is the Los
99
Angeles "environmental conservation plan". This study covered air
235
-------
pollution, water quality, noise pollution, conservation of land, solid
waste disposal, and pesticides, by defining problems, and by suggesting
interrelationships among these problems and land use planning, particu-
larly in terms of possible guidance tools.
The following is a brief summary of some of the problems, rela-
tionships, and guidance tools discussed in the study:
I. Water supply—most of the area's water supply comes via
open aqueducts, but with the increasing problem of agri-
cultural runoff, including pesticides, there must be more
restrictions on the intensity and type of agricultural uses.
2. Sewage d.i_sppsa I—a I I the cities along the coast dump waste-
water in the ocean, which may cause long-range problems.
It may be necessary to restrict building permits to prevent
system overloading and to encourage wastewater reclamation.
The Valley Settling Basin Plant is already reclaiming waste-
water for irrigation use. Other possible uses of reclaimed
wastewater include industrial cooling and process water,
park and golf course watering, groundwater recharge, control
of salt water intrusion, and creating and feeding small lakes
for recreation.
3. Industrial wastes—planners must work with industries to
limit their wastes and adverse effects. This includes location
of industries, industrial processes, receiving water assimila-
tion capacities, and much more. The new California Water
Quality Control Act (1970) enables regional boards to enforce
effluent standards via cease and desist orders and fines.
The Porter-Cologne Water Quality Control Act became operative
January I, 1970, and is claimed to be the most comprehensive
water quality control law in the nation.
4. Thermal wastewater—Los Angeles has three major steam power
plants on the coast, and ecologists are increasingly con-
cerned about the heat effects. One possibility is using the
heated water for sea farming.
236
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5. Harbor polIution—the harbor is badly polluted from ships,
storm water runoff, and industries with little or no
treatment. In late 1969, the Regional Water Quality
Control Board directed the city to study the problem,
identify the polluters, and prepare to control the dis-
charges. A big problem is a lack of members on the city
and regional control boards and agencies who represent
public instead of private interests.
6. Urban runoff—The area has separate storm sewers and many
flood control reservoirs, catch basins, and recharge areas
so that normal storms and accompanying debris and dirt
are not a significant problem. Pesticides and chemicals
are a problem and need to be controlled at their source,
, through street cleaning practices, degradable pesticides,
and the Iike.
7. Inland water recreation--there is great pressure on the
Department of Water and Power to open up its reservoirs
for recreation because there are few natural lakes in the
region. It has been estimated that if the Van Norman
Lakes for water supply were opened for recreation, it
would cost $250 million for new treatment and pumping
fac iIities.
Comprehensive Management
In 1958, severe sewerage service problems resulting from fragmented
local government structure and great public concern for the preser-
vation of Lake Washington led to the creation of the Municipality of
102
Metropolitan Seattle. In 1957, the state legislature enabled
formation of multipurpose municipal corporations to provide metro-
politan planning and services with a particular eye on solving pol-
lution problems on Lake Washington by diverting sewage discharges
from the lake. However, the first attempt to create a multipurpose
corporation failed as the smalI towns in the area feared loss of
autonomy. A year later the proposal was reduced to sewage disposal
only and passed.
237
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The Municipality of Metropolitan Seattle is comprehensive in that
it provides sewerage services (trunk sewers and treatment plants) for an
area of 240 square miles which includes thirty-one cities and special
districts that used to operate independently. The Metro is able, via
its regional scope and adequate financing powers, to make long-range
plans and use available scientific expertise to develop strong manage-
ment alternatives. It is governed by a Council composed of nineteen
elected officials from the area (mayors, councilmen, county supervisors),
plus a chairman. Thus, it can continue to respond to local government
needs.
Innovative Wastewater Treatment
Perhaps the most innovative attempt by local government to control
water quality is the wastewater treatment system now being implemented
in Muskegon County, Michigan. Its purpose is the elimination of the
discharge of wastewater into the county's bodies of water. This is
important because the area is highly industrialized and its water
resources have become quite degraged. The system consists of six basic
components:
I. A collection and transport network—collects wastewater at
eleven access points in the existing system and transports
it about fifteen miles into an isolated area of the county.
2. B i oIog i caI treatment ceI Is—wastewater is first put through
a three-day biological treatment period to reduce the BOD.
Effluent from this treatment is similar to conventional
secondary treatment.
3. Storage basins--the effluent is then put in storage basins
where the solids settle out and the remaining liquid is
kept for irrigation. The basins are quite large and can
hold stormwater runoff as well as store the effluent during
periods when irrigation is not possible because of frozen
ground.
4. I rr i gat ion I and and f acjj i t i es^—the effluent from the storage
basins is chlorinated and then used to irrigate and fertilize
238
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about 6,000 acres of previously unproductive land. The
irrigated land is basically glacial outwash plain which
contains very few nutrients and does not hold moisture well.
5. A living filter (the soil)—as the effluent percolates through
the aerobic zone of the soil, organic matter is decomposed
and nutrients are taken up by plants or the soil itself.
Similarly, suspended matter, color, and viruses are removed
or decomposed; thus, the soil provides tertiary treatment.
6. Drainage and discharge—after percolating through the soil,
the water is collected in a drainage system (wells and
drainage ditches) and monitored to check its quality and
possibly to adjust the system's operation. After collection,
the water is discharged into the area's watercourses.
Most of the elements and concepts involved in this system are not
particularly new or revolutionary. For example, land disposal has been
used in Europe for at least a century. However, never before in the U. S,
have these elements been combined to treat and recycle the wastewater of
an entire county consisting of several cities and a population of 170,000,
It is beyond the scope of this discussion to detail the events leading to
implementation of this system, but it should be noted that it involved a
difficult struggle including strong opposition from the State Water
Resources Commission, the State Public Health Department, and the City of
Muskegon. The basis for this opposition was largely the concern of old-
line engineers who favored traditional projects and procedures and ques-
tioned the health effects. Through the work of John R. Sheaffer (consul-
tant) and Roderick Dittmer, the county planning director, plus grants froi
the FWQA, the system was approved.
Controls and Incentives
Direct regulation and enforcement—this involves establishment
and enforcement of stream quality standards and/or effluent
quality standards. These standards do not promote optimal
water quality levels since there is no incentive to treat
above the minimum, but they are usually justified for safe-
239
-------
guarding public health. The use of these standards is
the most common practice in the U. S. at this time since
they are relatively easy to administer.
2. Subsidies—grants or tax incentives to encourage industries
or cities to use pollution-control equipment. These subsidies
are satisfactory as a short-term measure to help firms avoid
undue financial burdens, but are inefficient and negative
in the long-term since they encourage firms to continue
their present processes rather than search for new ones.
3. Effluent charges—charges are set against effluents on the
basis of the cost involved to treat the wastes and the damage
the waste would cause to receiving waters. This method is
favored by most economists since it tends to minimize waste
generation and improve economic efficiency. Effluent charges
have not yet been used on a wide scale in this country although
their acceptance is rapidly increasing.
Perhaps the best example of local use of effluent charges is the
industrial surcharge. Cities or sanitary districts place this charge
on industrial effluents that are "excessive" in volume or strength.
This tool has been used in isolated cases for years. For example, the
city of Greensboro, N. C. has had a surcharge program since 1962 on
wastes greater than 300 ppm in BOD or suspended solids. Since
EPA has adopted the policy of no more construction grants unless there
is a surcharge system, many more cities are now using this tool.
For example, the Metropolitan Sanitary District of Greater Chicago,
as of December 1970, places a surcharge on effluents greater than
10,000 gpd. The cutoff at this volume level exempts small industries
and thus saves administrative costs, however, the program collects
about $15 million a year to help finance the District's capital and
operating costs. The charges are levied on the basis of the strength
of the wastes (BOD and suspended solids), and the industries themselves
are responsible for sampling their effluents although the District
makes spot checks. The Chicago industries have generally complied with
the ordinance and think it is fair. The question remains as to whether
240
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the charges are significant enough to encourage industries to improve
their production processes in order to reduce their wastes.
Po I icies
A good example ot the formulation of policies related to urban water
quality management is the sanitary sewer guide adopted by the Twin Cities
I 0 R
Metropolitan Council. This planning guide is particularly significant
because the Metropolitan Council has considerable governmental powers and
appoints the Metropolitan Sewer Board which designs and constructs the
metropolitan sewer system. Some of the policies are as follows:
I. Prohibit discharge of sewage effluent into all lakes in
metropoIi tan area.
2. Coordinate planning, design, construction, and operation
of all treatment works to form a single system.
3. Provide an automatic river and effluent monitoring
system.
4. Allow septic tanks only on very large lots that have
good hydrologic and soil conditions.
5. Provide metropolitan sewer service first to areas subject
to public health hazards and second to areas indicated
by metropolitan policies of orderly growth.
6. Prohibit service extension into areas where development
should not occur such as flood plains, airport zones,
groundwater recharge areas, and areas designated for open
space use.
7. Locate and design treatment works to be functionally and
aesthetically compatible with adjacent development and
the environment in general.
Publ ic and Private Action
It is often the case that public agencies do not act quickly or
effectively without strong citizen action groups and public opinion
movements to stimulate them. In the Chicago metropolitan area, at least
two citizen action groups, Businessmen for the Public Interest and
241
-------
Citizens Action Program, have been instrumental in water quality manage-
ment actions. The BPI, through its professional legal capability, has
stressed court and administrative actions. Two of its most important
court litigations involved thermal pollution from nuclear power plants
on Lake Michigan and the "rubber stamp" use of the Refuse Act permit
program. In the case of thermal pollution, the power company agreed to
install cooling towers (Palisades plant), and EPA became actively involved
in the Lake Michigan Enforcement Conference pushing for a uniform thermal
standard for the lake.
The Citizens Action Program is more local in nature and emphasizes
direct community political action. This group waged war against the
Stickney wastewater treatment plant operated by the Metropolitan Sanitary
District of Greater Chicago. This plant was one of the largest sludge
burning operations in the world and thus a major cause of air pollution.
CAP was instrumental in establishing the industrial waste surcharge
ordinance discussed earlier and in implementing an innovative sludge
disposal system. The Sanitary District now keeps some of its sludge in
a semi liquid form and ships it by railroad tank cars to farm lands in
109
southern Illinois. This was originally done as an experiment on a
155-acre farm near Arcola by the Soil Enrichment Materials Corporation,
the same firm that engineered the Muskegon project. Since the success of
sludge as a fertilizer has been established, it is now being used in
various areas of the state to revive land ravaged by strip mining, to
fertilize an area previously sterilized by a glass factory, and to cover
a sand land fill area at Northwestern University.
Storm Water Drainage
Much of what has been said about water quality management, in terms
of problems, single-purpose management agencies, and guidance tools is
also true of storm water drainage. However, the storm water subsystem
has been the most isolated of all water subsystems. Storm water has
generally been regarded simply as a nuisance and a purely negative good
to be disposed of as quickly as possible. While water supply, water use,
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and wastewater disposal systems have been interrelated to some extent,
storm water systems (except for combined sewer systems) are usually quite
independent. The basic elements and some significant relationships of
the storm water system are shown in Figure 13.
As an area becomes urbanized, the runoff flows over imperious surfaces
and is collected in storm sewer systems. Thus, natural channels and small
streams begin to disappear, and there is less infiltration to the ground-
water table. An interesting example of this phenomenon is the Rock Creek
watershed in Maryland, just north of Washington, D. C., where of the 103
kilometers of flowing streams in the watershed in 1913, only 42 percent
stiII existed i n 1966.
Although this is an example of a changing spatial distribution of
water, it is more importantly accompanied by a changing time distribution.
When storm water is diverted from the natural drainage system (including
infiltration) to the manmade sewer system, the peak flows increase
significantly and their duration periods and lag times decrease. The
emphasis of this section wi I I be on time distribution^ problems and
related water quality problems.
Problem Defi nition
The basic problems related to storm water drainage have to do with
the stochastic nature of the flows and the quality of the runoff. Both
of these problems are, of course, related to the nature of the urban area.
The three general areas of storm water drainage problems are:
I. Greater peak flows—the larger the percentage of impervious
surfaces and the percentage of the area served by storm
sewers, the greater the peak flows wilI be and the quicker
they will occur. This leads to problems of overflowing
and flooding in the urban area since the sewers cannot be
I I 4
realistically designed to handle all storms.
2. Greater total runoff—total runoff is largely a function
of the land cover and its infiltration characteristics.
In urban areas there will be greater total runoff leading
not only to greater peak flows and local flooding, but
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Precipitation
Runoff flows over
sewered land;
impervious surfaces,
urban areas
Co I Iect i on in
sewer systems
Receiving bod ies
of water
Runoff flows over
unsewered land;
rural areas
Groundwater
Col lection i n
natural and man-made
open channels; some
natural storage in
ponds, etc.
FIGURE- 13
STORM WATER MANAGEMENT SYSTEM
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also increased downstream flows and flood hazards as more
water is passed on from the urban area.
3. Water qua I ity—given the large impervious urban areas
such as streets and parking lots and the existence of
dirt, debris and chemicals on them, the quality of urban
runoff can be very poor. This source of pollution, which
is termed the non-point source, has been largely neglected
until recently, but is an important area for water quality
I I 5
management. Also, in areas where combined sanitary and
storm sewers exist there may be severe problems of sewer
overflows during storms resulting in the discharge of raw
I 16
sewage.
Ma instream Management
Since the overriding purpose of most storm water drainage systems is
fast removal and disposal of storm water runoff, management (planning,
construction, and operation) of these systems has been seen as an engineer-
ing problem and has been divorced from other urban systems and activities.
In addition, the removal of storm water has always been perceived as a
local problem, and as such, the systems themselves are fragmented and
uncoord i nated.
Managing institutions are generally city departments of public works
or special drainage districts. These agencies either have their own
engineering expertise or use consulting engineers to design the systems.
The most common design practice is to simply use the "rational method"
to determine the maximum rate or flow of storm water runoff and size the
sewers accordingly. Although this method of design is based on years
I I R
of experience and empirical studies, it has several limitations. One
limitation is that the "rational method" only gives the maximum flow, Q,
and thus is useful only for sizing the sewers. The method does not consider
the timing of the flow (the complete hydrograph) or the quality of the flow,
and therefore arbitrarily eliminates the possibility of designing systems
that include detention, storage, and treatment facilities. In addition,
the method tends to overdesign the system since it does not use
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sophisticated economic analyses, for example, damage functions, but
rather relies on engineering "safety factors."
Underlying the limitations of current practices in storm drainage
design is the lack of data on urban storm water runoff, particularly in
terms of quality. As of 1969, only a few sewered catchments had been
119
gaged, and these records were only for a few years. There is an
almost complete absence of urban runoff models, economic analysis func-
tions and models, and environmental impact relationships. However,
recently the American Society of Civil Engineers has undertaken a major
urban water resources research program which emphasizes urban hydrology.
Cutt ing Edge: Comb Ined Sewer AIternati ves
One of the most serious problems in urban water quality management
is that of combined sewer overflows during storms. This problem does not
affect all cities as most newer cities have separate sanitary and storm
sewer systems. However, many of the larger, older cities have extensive
combined sewer systems with numerous overflow points. For example,
Chicago has over 400 points of overflow into two local watercourses;
Boston has over ninety points of overflow despite a sixty-year policy of
sewer separation, and Detroit has 124 points of overflow making it the
120
largest source of pollution for Lake Erie. The most common or "main-
stream" attempts to control this problem have been separarion of existing
combined sewer systems and policies that all new sewer systems must be
separate. Separation of existing combined systems has proved to be a
gigantic task that is now being recognized as unrealistic. For example,
it is estimated that it would cost over $2 billion to separate the systems
12 I
in Chicago or Detroit and take over forty years to do it.
The more innovative engineering approaches to the problem of combined
sewer overflows generally involve some form of auxiliary storage to handle
the large but infrequent storm water flows. One of these approaches uses
the ambient storage capacity of existing trunk sewers by manipulating con-
strictions or gates within the sewer system to take advantage of underused
sewers. Since rainfall can have a wide range of areal and temporal vari-
ability, some sewer mains in a large system may be overloaded while others
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may be almost empty. By regulating flows within the system, it can be
used much more efficiently to handle storm water flows and reduce over-
flows. This basic approach is being used in the Twin Cities, Detroit,
122
and Seattle.
A second approach is the use of new storage located at elevations
below the normal sewer system. This approach uses deep tunnels and vaults
to store overflows until they can be treated; it also uses reversible
pumps to incorporate features of pumped-storage power generation. Plans
for this approach were pioneered in Chicago by the Metropolitan Sanitary
123
District. Because of the tremendous scope and costs involved in the
plan, a more modest "underflow plan" is now recommended by the Chicago
124
area Flood Control Coordinating Committee. This plan emphasizes the
conveyance tunnel features of the original plan rather than the huge under-
ground storage elements although a 2.5 mile reservoir is still proposed
that would store overflows for up to fifty days. This plan is likely to
be implemented in some form as the city has already begun limited con-
struction of some tunnel interceptors in place of conventional sewers.
A third approach combines features of the first two and is more com-
prehensive though still engineering-oriented. A plan for San Francisco
includes a new combined flow treatment plant, a number of detention reser-
voirs located below streets in upstream areas, a number of shoreline de-
tention reservoirs, a deep cross-system storage and transmission tunnel,
I 25
and a fully automatic operational control system. All three approaches
require some degree of automatic control because of the stochastic nature
of the use of the system. The development of such control capability is
I •-)£-
still in its early stages.
Land Use Alternatives
One of the basic problems in the design and use of storm sewers is
that of proper size, or carrying capacity. The system will be idle and
underused most of the time if it is too large; but there wilI be occasional
damaging overflows if it is too smaI I. In any case, it is not feasi ble
to design the system to handle the largest of storm water flows. One
innovative approach to this dilemma is the "dual drainage system," which
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combines a normal drainage system to handle minor storms with a second
drainage system, consisting of natural drainageways, impoundments, and
127
even the streets themselves, to handle major storms. The second or
"overflow system" would be closely related to land use planning and
guidance and to the design and layout of streets. It would use floodway
and floodplain regulations to protect natural drainageways; it would
encourage blue-green development so that storm water could be impounded
and detained on-site; and it would design street patterns and grades to
facilitate the storage and routing of storm water overflows. The second
system is a "natural" but well planned contingency system for overflows
from the conventional sewer system.
The Denver Regional Council of Governments is leading the way in
adopting the dual drainage system concept as a fundamental drainage
I ?$
philosophy. Several of Denver's major land use projects incorporate
129
this dual system philosophy:
!. LeetsdaI-Oneida apartment complex—the development consists
of 390 dwelling units on fourteen acres. In between the
apartment buildings are several landscaped detention ponds
which can retain the entire runoff from a two-year storm
and 85 percent of a 100-year storm; these ponds are used
for aesthetic and recreational purposes and, in addition,
one of the ponds is used for groundwater recharge. Also,
the roofs of the buildings are designed to hold three
inches of water and release it at a controlled rate.
2. Harvard Gulch flood control project—this project was
implemented in a flood prone section of Denver with the
objectives of not interrupting existing development but
also adding to the aesthetics and recreational opportunities
of the area. The project consists of a greenbelt approach
in the residential areas, resulting in twenty-six acres of
park land adjacent to the floodway; enclosing the channel
in commercial areas to prevent flood damage; and some storm
water flow is stored and used for irrigation of the greenbelt.
3. Skyline urban renewal project—the Denver Urban Renewal
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Authority voted to require rooftop ponding in an eighty-
acre renewal area in downtown Denver. The requirements
call for three-inch ponding on building rooftops and three-
quarter-inch ponding on elevated plazas and pedestrian malls,
a I lowing the storm sewer system to be designed for a ten-
year storm yet handle a 100-year storm. In addition, the
on-site ponding reduces flood peaks in the South Platte
Ri ver.
The Chicago metropolitan region, due to the efforts of the North-
eastern Illinois PIanning Commission and the Metropolitan Sanitary District,
is another area with several examples of innovative storm water manage-
, 130
ment:
I. Flick-Reedy plant—an industry locating in a flood plain
area solved several problems by excavating three on-site
ponds and using the dirt to raise the building site area;
thus, the building was above flood level and the ponds were
used to store storm water to reduce downstream flood peaks.
Some of the storm water runoff from the roof and parking
lots was used for industrial water supply.
2. Marcy Forest View apartments—an example of an alternative
to permanent ponds. This apartment complex uses depressed
tennis courts as temporary detention ponds during storms;
runoff collects in the depressed area and is discharged
later along with water from a "housekeeping" hosing down
of the court to clean it.
3. Indian Lakes subdivision—this new subdivision included an
eight-acre lake to collect and detain storm water from the
subdivision; the lake also increased the value of the
adjacent lots and the subdivision in general.
Urban Waterfronts
The interface between the city and the bodies of water that flow
through or are adjacent to it is one of the most comprehensive of the
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water-land interfaces. Almost all cities are located near a signifi-
cant body of water or stream and derive much of their existence from it.
The water is used for navigation, water supply, power, and waste disposal.
In particular, industries locate on the waterfronts for transportation
and cheap water supply and waste disposal. Most urban waterfronts are
dominated by industries, ports and related facilities, railroads, and
highways. In addition, given the early location of these bulk uses on
the waterfront, other less amenable uses, such as dumps, are also located
there. In general, urban waterfronts and bodies of water have been
exploited as tools of production and have been forgotten as areas of
natural processes and great beauty.
Problem Definition
Perhaps the most significant underlying factor in the problems of
I 32
the waterfront is the long history of public apathy toward it. Until
very recently, the public has generally viewed the urban waterfront as a
resource to be exploited by private interests and has been unaware of the
possible alternative uses, largely because much of the waterfront has
always been inaccessible to the public and therefore of little concern to
them. There are of course some significant exceptions, such as Chicago
and Washington, D. C., where many miles of the waterfront are devoted to
parks, marinas, and scenic drives.
Waterfront problems can be broken down into three basic categories:
I. Deterioration — large areas of urban waterfronts are presently
going through a period of decay and deterioration, partly
because much of the development is old, but more importantly
many of the traditional waterfront uses (industries) are
moving away from the waterfront to urban fringe areas,
while other uses, such as railroad yards and ports, are
becoming much less important. Similarly, adjacent com-
mercial areas are deteriorating.
2. Competition—there is a key conflict between the traditional
uses of the urban waterfront and the emerging amenity uses
such as open space and recreation. For example, transportation
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uses block access to the water, and industrial uses create
water, air, and noise pollution reducing amenity values.
Even where land is available for amenity uses, the full
potential is not often realized because of land use conflicts.
3. Fragmentation—again, a significant problem is the fragmen-
tation of jurisdictions and agencies related to the water-
front. In particular, most functional agencies involved in
waterfront activities, such as port authorities or water and
sewer agencies, are concerned only with their specific
function and are insensitive to broad social benefits or
compatibility relationships. Planning agencies and citizens
groups can exert some advisory influence but are generally
powerless to acquire land or control development in waterfront
areas. A good example of the planning versus implementation
conflict is in the Boston metropolitan area where the Metro-
politan Area Planning Council has done an innovative study
of the harbor and its islands for recreational development,
but the key implementing agencies in the area, the Metro-
politan District Commission (water and sewer) and the Boston
Redevelopment Authority, are not particularly interested.
In addition, various federal agencies, such as the Corps or
railroad regulatory agencies, tend to impede local waterfront
, 134
redevelopment.
Mainstream Management
Comprehensive planning and guidance in waterfront areas is virtually
nonexistent, because of the great fragmentation of agencies with
special purposes and interests that control much of the waterfront. It is
also due to the status quo inertia of large industrial and railroad-
warehouse areas. For example, general land use plans prepared by planning
agencies usually just show existing industrial waterfront areas to continue
as such, and local governments encourage this in hope of greater tax
revenues. Most local planning and development has either remained at the
planning stage or resulted in small projects, such as marinas, or in
251
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commercial and industrial redevelopments oriented largely to the upper
and middle classes. Conventional local guidance tools such as zoning
and subdivision ordinances are usually either ineffective or not appli-
cable while direct acquisition is usually infeasible.
Federal development, or "improvement," of waterfronts, such as
channel improvements, port facilities, and interstate highways, is generally
unquestioningly accepted by local governments, regardless of local needs,
because of the grants or subsidies involved. However, some federal pro-
grams offer a great opportunity to redevelop urban waterfront areas in a
comprehensive and innovative manner—the federal urban renewal and model
cities programs. Unfortunately, these programs have not been applied to
waterfront areas except in a few cases and then primarily for special
purposes—for historic site preservation in Sacramento and Seattle.
Cutting Edge: Comprehensive Planning
One of the more comprehensive waterfront planning studies was done
for the northern waterfront in San Francisco. The study covered land
use, transportation, open space and recreation, urban design, special
subareas such as Fisherman's Wharf, and special problem areas such as
ship terminals and storm water overflows. Implementation of the plan was
to rely on public investment and development which would lead to responsi-
ble private development within certain zoning controls. The Northern
Waterfront Plan, as adapted from the Bo I Ies study, was adopted by the San
Francisco Planning Commission in 1969.
The plan's primary objective is maintenance and development of the
waterfront area to highlight and complement its unique maritime character
not only to serve local residents but also to attract and accommodate
I ~^ft
tourists. Some key planning and guidance policies from the plan include:
I. Transportation—discouragement of any new freeways through
the area; new high capacity roads should be underground
if possible; encouragement of rapid transit access to the
area, especially to the Fisherman's Wharf subarea. The
local circulation system should intercept as much traffic
as possible before reaching the shoreline. Major off-street
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parking areas should be provided on the area's periphery
in order to facilitate pedestrian activity within the area.
The ferry system and terminal should be revived as a major
transportation alternative; wherever feasible railroad tracks
and yards should be relocated to the Southern Waterfront
(south of the Bay Bridge). Cable car lines should be extended
in the area and a minirail system be considered to complement
them.
2. Industry—all non-port industries should be eliminated over
time. As these industries leave, they should be replaced
by open space or housing.
3. Commerce—encourage water oriented retail, restaurant, and
commercial recreation activities. Office space and hotels
can be developed in the Fisherman's Wharf area.
4. Residence—encourage mixed land uses as a positive character-
istic of the waterfront. Try to attract residential uses to
the area, especially for lower income groups and the elderly.
5. Recreation—encourage provision of more urban plazas, pe-
destrian walkways, and street greenways. A marine park with
walkway linkages to existing parks should be developed;
noncommercial recreation areas should have high priority in
obtaining vacated industrial or railroad sites. Public
viewing access to the water and shipping activities should
be increased--through construction of overlooks.
6. Urban design—maintain the form of the waterfront by
restricting building height. Viewing corridors should
be preserved or created which link the city and the bay.
In major pedestrian areas, entertainment and shopping
facilities should be kept at ground level. Any develop-
ment beyond the sea wall on piers should be closely
regulated, especially to require public access and view
of the water. The historical architectural quality of the
•
waterfront should be preserved.
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Although the waterfront study and plan addressed some water quality
and ecologic issues, for example, combined sewer overflows and filling
in the Bay, they are predominantly concerned with land use, transpor-
tation, and design of the waterfront. The San Francisco case is compre-
hensive in terms of land use planning for the waterfront, but perhaps
somewhat lacking in terms of the total water-land interface. Of course,
this broader interface is more in the realm of regional agencies, such
as the San Francisco Bay Conservation and Development Commission, and was
discussed earlier under "Estuaries and Wetlands."
Two Planning Approaches
Planning studies in two major midwestern cities offer an interesting
contrast in management approaches to riverfront areas. In Minneapolis,
a study being conducted for the Mississippi River waterfront concentrates
on urban design, while in Milwaukee the study of the downtown reach of
I 39
the Milwaukee River was quite technical and oriented toward water quality.
One reason for this contrast is that the Milwaukee River waterfront is
intensely urban and somewhat deteriorating with very poor water quality
while the Mississippi riverfront in Minneapolis is much more scenic,
includes a waterfall, has several different urban districts (like the
University of Minnesota campus), and is partly undeveloped in many areas.
Both approaches are significant for their management of waterfront areas.
The Minneapolis study pointed out the importance of immediate action
since the national government is interested in environmental quality,
several local railroads are planning to merge and vacate riverfront land,
the University is expanding, and several redevelopment projects are in
progress. The study stressed the importance of goal formulation based on
individual and community values. The goals set forth in the study are
oriented toward the design of buildings and land uses to maximize the
aesthetic and amenity potential of the waterfront. The interim plan is
intended to be imaginative and suggestive to promote community interest.
District discussions are accompanied by numerous sketches aimed at initiat-
*
ing this imaginative interest in the future of the riverfront.
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The Mi Iwaukee River study was done at the request of the Mayor of
Milwaukee and was directed by a technical committee of officials from city
departments. The purpose of the study was documentation of the decay of
the riverfront and stimulation of citizen commitment to solving the
problems. It was also to appraise the future potential of the riverfront
but on a "realistic, practical, achieveable basis." The main body of the
report dealt with water quality, flood control, river structures (such as
docks and bridges), dumping ordinances, stream encroachment, dockline
ordinances, and building setbacks. The study is somewhat short on imagina-
tion because of its writers' overriding concern with facing all the
realities. One important recommendation was creation of a Milwaukee River
Coordinator's office to implement a riverfront master plan. It was felt
this would be accepted by public and legislative bodies yet would be able
to effectively use existing controls and plans. Some of the plan's imple-
mentation measures are:
I. Master plan for the river
2. Zoning to control uses and bring order
3. Urban renewal and redevelopment in deteriorating areas
4. Demol it ion
5. Reclamation and refurbishing of buildings worth saving
6. Building setbacks
7. Architectural controls
8. Control of signs and billboards
9. Public Acquisitions
10. Civic center planning
II. Cultural installations
12. Litter control
Controls
One of the best examples of imaginative and successful waterfront
management is the beautification of the San Antonio River in downtown San
I 40
Antonio. The city has adopted an ordinance to promote and preserve
the natural beauty and recreational aspects of a three-mile stretch of the
river, particularly in the heart of the downtown district. The ordinance
255
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provides essentially for architectural controls, appearance, materials,
signs, lighting, and so on, for the area adjacent to the river. It also
created a River Walk Commission, appointed by the city council, to review
all plans for development in the riverfront area. Special permits are
required in order to construct or alter buildings. The result is a
beautiful "commerciaI-lei sure area" of scenic walkways, landscaped areas,
limestone bridges, cafes, antique shops, and a river bank theater.
It should be noted that this is a somewhat limited example. The
"river" is, in fact, only a very small stream fed by wells and air-
conditioner water discharges; it starts in a nearby park and thus is
narrow as it passes through the downtown area. The stream was originally
fed by springs but has never had any significant water supply or drainage
functions, so there was no problem of industrial use. Also, outside of
the Paseo Del Rio section, there has been no special consideration given
to the waterfront usage of the city's other rivers and streams.
Action Program
The Spokane riverfront program is a good example of coordinated
planning and development in a riverfront area. The development program
covers a fifteen-mile stretch of the Spokane River which includes, in the
heart of the city, a series of cascading rapids and spectacular waterfalls.
Despite its natural beauty, the riverfront was largely industry oriented
and contained rail yards for three major railroad lines.
In 1966, the City Council approved a budget to prepare a riverfront
plan, and, in 1967, the Spokane Riverfront Development Program was
officially approved. Approval of the program and its great success since
then has been due to tremendous citizen and business interest and coop-
eration. In particular, the business community has backed the program to
the extent that i.t has arranged for Spokane to be the site of the 1974
World Exposition on man and his environment. Preparation of Exposition
facilities is a key element in the waterfront program.
A significant aspect of the program is its emphasis on action. The
strategy has been one of outlining the riverfront plan, and then proceeding
to acquire land and redevelop areas while the final plan was being
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formulated. For example, although the final plan is just now being
completed, planners and businessmen had been meeting with the railroads
for several years, and in 1969, the railroads agreed to move their yards
and donate the land to the city for parks and cultural centers. These
rail yards are presently being moved, and the land will be temporarily
used for the Exposition. Other examples include:
I. 500 acres of forest land downstream from the city has
been acquired and added to an existing state park;
2. a primary sewage treatment plant is to be changed to
advanced treatment by 1974;
3. a tributary creek is to be dammed for water recreation
and about 170 acres of land have already been acquired;
4. the city has acquired considerable tracts of land to
be rezoned for planned unit developments;
5. private developers are already constructing apartment
complexes along the river under planned unit development
restrictions;
6. the city has acquired land for a proposed marine park; and
7. in the central area, the railroads have donated land and
are moving their yards, HUD funds have been acquired to
develop much of the land, the state has pledged money for
an auditorium, and the federal government is planning a
$ I 2 mill ion pavi11 ion.
Metropolitan Integration
Up to this point we have been discussing water resource planning and
guidance within a problem oriented framework that made a distinction be-
tween developing urban regions and already developed cities. On the one
hand, we looked at urbanizing watersheds, shorelands, estuarine regions,
and floodplains, while on the other, we considered urban water quality
systems, drainage systems, and waterfronts. This develop ing-developed
distinction, of course, is not always clearcut and many problems and
solutions overlap the two categories. The primary interface between the
257
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'two is at the metropolitan level, that is, the level which includes not
only all of the local jurisdictions and systems but also the urban fringe
and linkages to regional systems. This section attempts to integrate the
developed and the developing water-land interfaces via the "metropolitan
perspective."
The whole realm of metropolitan water resource problems and manage-
ment is beyond the scope of this paper and has been welI-documented;
however, the general nature of the metropolitan situation can be outlined.
In the first place, it is widely acknowledged that local government, par-
ticularly in complex metropolitan areas, is not doing a good job of pro-
viding water resource services. For example, the Chicago metropolitan
area has 349 separate water supply systems and 134 wastewater disposal
systems. The problems involved have been discussed in previous sections
I 44
and can be summarized as:
I. excessive fragmentation in government and service agencies;
2. inadequate controls at the regional or areawide level;
3. widespread ignorance or underestimation of ecological
problems and planning issues; and
4. insufficient funds and expertise.
Cutting across these problems in the metropolitan area are two key
issues, whether or not we need areawide water resource management and/or
R~5
i integrated water resource management. Areawide management involves
unifying the management of a single water resource function, water supply,
for example, over an entire metropolitan area. Integrated management
involves unifying the management of two or more water resource functions
for at least one jurisdiction but possibly over a wider area also. The
areawide management issue can be outlined:
I. Advantages include possible scale economies from con-
solidating facilities and eliminating overlapping activities;
more comprehensive and effective management of flood plains,
water quality, and groundwater; and elimination of many
institutional coordination problems.
2. Disadvantages include loss of local identity and control;
separation of the service function from other local functions
258
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and land use controls; and the fact that scale economies are
site-specific and may not always accrue in every case.
Another factor is that large water supply and wastewater
disposal systems may divert excessive volumes of water from
local streams thus seriously diminishing their flow.
The integrated management issue:
I. Arguments for integrated management center on the close
relationships among various water resource functions—
wastewater treatment and reclamation are closely related
to water supply and recreational use of water bodies, while
storm water drainage affects water quality, and land use
planning is closely related to flood plain management,
extension of utilities, and reservoir site preservation.
Central, or coordinated, planning and management of all
functions is necessary for better use of water resource.
2. Again, local governments and agencies tend to resist inte-
gration movements. About one-half of U. S. cities over
10,000 population have integrated management of water
distribution and wastewater collection systems, but this
management does not always include treatment plants and
only one-fourth of these cases include storm water drainage
146
systems. The key to functional integration is not joint
operation of systems but rather coordinated planning.
Total systems integration is not necessary if planning and
decision-making can be coordinated by some other means,
for example, a strong metropolitan planning agency with
expertise in water resources such as the Southeastern
Wisconsin Regional Planning Commission.
Integrated areawide management:
I. The ideal approach from a systems point of view would be
the combination of jurisdictionaI consolidation and
147
functional integration. This would lead to a much
broader perspective for management of water resources and
encourage innovation and ecologic awareness.
259
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2. Such a total systems approach would require a wide range
of expertise, not only at planning levels but also at
operating levels, and complex information systems. The
present lack of both expertise and data severely limit
thi s approach.
In relation to these coordination and integration issues at the
metropolitan level, the efforrs of Gilbert White and John Sheaffer have
produced six criteria for delineating and evaluating metropolitan water
148
resource management. These criteria are seen as representing the
emerging concept of metropolitan water resource management, since they
represent a consensus among water resource researchers and managers as
to the direction of future urban water management. The six criteria are:
I. Multiple purpose planning—metropolitan water resource
management should be based on the multiple objectives
and needs of the area.
2. Multiple means—a wide range of alternatives should be
considered to satisfy these objectives and needs.
3. Public and private coordination—both public and private
interests and groups should be incorporated into the
management process at both the planning and implementation
levels.
4. Research—research should be consistently conducted and
used to formulate new management opportunities and to
demonstrate new techniques.
5. Comprehensive planning—metropolitan water resource
management should be one integral element of the total
metropolitan planning and development process.
6. Regional integration—there should be some feasible means
of coordinating all metropolitan jurisdictions and
functions. This criterion, in effect, includes all other
criteria and is both the most important criterion and the
most difficult one to satisfy. Actual delineation of the
criterion is still in a conceptual stage, but it involves
use of strategies of flexible management related to metro-
260
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politan decision-making processes, coordinated planning
activities, and integrated guidance tools.
The rest of this section will be devoted to some examples of metro-
politan water resource management. The examples are selected on the basis
of the above criteria but generally do not conform to very many of them.
Each example will be particularly related to one of the criteria.
Cutting Edge: Multiple Purpose Planning
Multiple purpose water resource planning and development at a river
basin or regional scale is not new. The TVA and the Corps of Engineers
149
have been involved in multiple purpose development since the I930's.
Most major reservoirs today provide a wide range of benefits such as flood
control, water supply, recreation, low-flow augmentation, and hydroelectric
power generation or cooling water for fuel plant power generation. At the
metropolitan and local levels multiple purpose management is not common.
As discussed earlier, the reason for this is the persistence of local,
single-purpose water resource agencies. Some metropolitan and local plan-
ning agencies, such as the Los Angeles Department of City Planning, the
Northeastern Illinois Planning Commission, and the Metropolitan Council of
the Twin Cities, recognize the need for small-scale, local, multiple pur-
pose projects and management. A few examples which are becoming more
common are:
I. use of floodplains for open space, recreation, and
groundwater recharge;
2. use of small impoundments for storm water detention,
recreation, aesthetics, water supply;
3. use and redevelopment of waterfronts and riverfronts
for recreation, aesthetics and imagery, and as a focus
for a mixed variety of land uses; and
4. use of wastewater for reclamation purposes such as
irrigation, cooling water, and recreation and wildlife
Iakes.
261
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Mult!pie Means
One of the best examples of a planning agency attempting to meet alI
the criteria is the Northeastern Illinois Planning Commission. The prin-
cipal output of the Commission, a water management report, was a signifi-
cant attempt at defining and employing the regional integration strategy.
However, since the NIPC is only an advisory agency and this new approach
conflicted with conventional state water resource programs, the report was
not widely accepted. Yet, many of its recommendations have been imple-
mented or at least acknowledged as useful by local governments and agencies
in Northeastern Illinois.
In particular, one of the strong points of the report was a compre-
hensive and illustrative treatment of alternative means or measures for
managing water resources. This included not only a description of various
structural and non-structural measures but a I so a discussion of the legal
status of the measures and the present and proposed government agencies
for implementation. See figures 14 and 15 for a summary of these
discussions.
In addition, the final chapter of the report outlined some key ele-
ments of the regional integration strategy and then presented some fairly
detailed examples of how the strategy would work in terms of specific
means for management. A short description of these prototype means or
plans includes:
I. Private control of urban runoff—development of
industrial and apartment complex sites to detain storm
water runoff, provide water supply or groundwater
recharge, and add recreation and aesthetic benefits.
2. Industrial redevelopment—redevelopment of the Chicago
stockyard area via excavating sand in the area as a
mineral resource and using the pits as groundwater lakes
for water supply, open space, storm water detention,
groundwater recharge, and combined sewer overflows.
3. Small watershed management—alleviation of flooding,
pollution, and recreation problems via a coordinated
program of wells for low-flow augmentation, artificial
262
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Measures
FIGURE- 14
WATER RESOURCE MANAGEMENT MEASURES
Water Problems Reduced
Prerequ is ites
Current Application
Interbasin transfer
A. Tunnels
B. Open channel
C. P i pe I i nes
Storage of
surface runoff
A. Preservat i on of
natural storage
B. Downstream
storage
C. Artificial
storage
III. Ground-water
Management
A. Withdrawal
I. Development
of maximum
susta ined
yield
2. Withdrawal
from storage
B. Replenishment
I. Natural re-
charge pres-
ervation
2. Artificial
recharge
Flooding; low flow;
water supply needs;
recreation needs
Flooding; preserve
natural recharge
fIood i ng
Flooding; low flow;
water supply needs;
recreation needs
Water supply needs;
Iow fIow
Basins with surplus
water
Water supply needs;
Iow fIow
flow; flooding
Open space in flood
pla i ns
Downstream space and
channel capacity
Sites for storage
Unused water,
Col lection of
hydro logic and
geologic data
Prime recharge areas
Open space
SurpI us water,
Storage space
Suitable geologic
and hydro logic
conditions
Chicago Sanitary Canal
System
Chicago Water Supply
System
Forest preserve flood
plains, stream channels
Salt Creek, Weller Creek,
and St. Joseph Creek
Improvements
Skokie Lagoons, on
Skokie River, Fox Chain
0'Lakes
ShaI low aqui fers
(locally)
Cambr i a n-Ordov i c i an
aqui fer
Forest Preserve flood
p I a i ns
None
-------
IV.
V.
Conjunctive use of
surface and sub-
surface reservei rs
Water quality
management
A. Pol Iution source
control
B. Transport of
polIutants
C. Accommodate
polIutants
Water-use
management
A. Increase use
efficiency
B. Use transfer
C. Increase reuse
D. Match use with
supply
Flooding; low flow;
recreation needs
Pollution; recrea-
tion needs; water
supply needs
pollution, recrea-
tion needs
Pol Iution
Water supply needs,
transport
Water needs,
polIution
Surplus water,
surface and sub-
surface storage
space, artificial
recharge and pump-
i ng faciIities
Treatment plants
Transport water
Safe geologic
envi ronments
Ordi nances,
i nformation
None
Widespread for a
few polIutants,
none for others
Widespread use of
streams to transport
wastes
Duri ng emergency
s ituations
Source: NIPC
-------
Management
measures
Admi nistrative
unit
Legal basis
Limitation
Reduce underground
I eakage
Require industries
to conserve water
Require water con-
serving p I umb i ng
f ixtures
Regulate lawn
spr inkl ing and a ir
cond itioners
Universal metering
Regulate land use
to be compatible
with resource
pattern
Require use of
non-dri nki ng
water
Publ ic water
supplier
PoI ice power
Water supplier Police power
Bui Id i ng or
pIumb i ng
codes of
I oca I
governments
Publ ic water
suppl ier
Publ ic water
supplier
Unresolved
PoI ice power
UnresoIved
Reasonableness
Reasonableness
Reasonableness
Police power Reasonableness
Police power Reasonableness
Unresolved
Pub lie water Police power Reasonableness
Source: Professor Arthur M. Scheller, Jr., DePaul University College
of Law, on file at the Northeastern Illinois Planning Commission.
FIGURE 15
LEGAL BASIS AND ADMINISTRATIVE AGENCY
FOR SELECTED WATER USE MANAGEMENT MEASURES
265
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recharge of groundwater from above normal stream flows,
multipurpose impoundments, and flood plain regulations
related to land use plans.
4. Urban redevelopment—clearance of a low-density blighted
area of shacks and polluted surface ditches and the
excavation of a groundwater, multiple purpose lake for
recreation, storm water detention, low-flow augmentation,
and as a site for a planned unit development or a junior
co!Iege.
5. Metropolitan management—the areawide use and coordination
of multiple purpose reservoirs, groundwater recharge,
flood plain regulations, advanced treatment, low-flow
augmentation, and inter-watershed diversions of storm
water.
Public and Private Coordination
A key element in the regional integration strategy is coordination
of public and private agencies in the planning and management process.
This is an extremely difficult task given the great number of agencies,
groups, and interests involved and the channels of communication required.
One attempt at establishing a framework for communication, and perhaps
coordination, is the work of the County of Santa Clara Planning Depart-
ment in compiling an environmental information directory. The purpose
of the directory is to facilitate communication among all the citizen
organizations and governmental agencies involved in environmental con-
siderations. In addition, the directory provides a guide to sources of
information and agencies responsible for specific environmental decisions
and actions.
The first part of the directory separates environmental concerns into
some thirty specific issues and under each issue lists all the private
organizations and local, regional, state, and federal agencies active in
that area. A second part of the directory outlines functions and powers
of local governments and agencies, such as intergovernmental policy and
planning committees, and lists local environmental issues and related
266
-------
regulations with specific references for detailed information. This
section is significant in that it can facilitate the meaningful involve-
ment of citizen groups in planning and action programs by providing
authoritative information on which agencies are responsible for specific
environmental problems and the general scope of their powers. For example,
this section contains information on zoning ordinances, land development
regulations, grading and filling regulations, and land use planning
pri nc i pIes.
The third part of the directory contains detailed descriptions of the
purpose and powers of several regional agencies. These include the Associ-
ation of Bay Area Governments (ABAG), the Bay Area Sewage Services Agency
(BASSA), the Bay Conservation and Development Commission (BCDC), and the
California Regional Water Quality Control Board - San Francisco Region.
These descriptions are extremely informative and are useful in defining
the procedural framework within which local agencies and private groups
and interests can operate.
The final sections of the directory are much shorter and are intended
to outline the broader institutional perspective. They cover state govern-
ment, federal government, and environmental law in general.
Research^
One of the best examples of a metropolitan planning agency responding
to new research and concepts and attempting to incorporate the results
into its planning process is the Regional Plan Association in New York
City. As part of its formulation of the Second Regional Plan, the Associ-
ation along with the Metropolitan Regional Council (composed of local
elected officials) sponsored a comprehensive waste management study.
The primary purpose of the study was to determine if the New York metro-
politan area could continue to grow and still handle its wastes. Growth
projections and alternative development patterns were analyzed in terms of
their effect on waste production and management.
However, this was no ordinary solid waste or water pollution study
because the consulting authors were not only experts in specific areas of
environmental pollution, but also were leaders in the formulation of more
267
-------
comprehensive and systems oriented approaches to environmental manage-
ment. In particular, Blair Bower, from Resources for the Future, intro-
duced concepts and techniques for analysis from what is now known as the
153
residuals management framework. Some important areas of concern in
the study are:
I. The assimilative capacity of the environment—"pollution"
occurs only when the discharge of wastes significantly
impairs the use of air, water, or land; the effect of the
discharged waste is a function of many factors other than
the quantity and type of the waste itself, for example,
occurrence and reaction with other wastes, atmospheric and
hydrologic conditions.
2. Interrelationships among forms of wastes—one form of waste
may be transformed into another form during disposal; for
instance, incineration changes solid wastes into gaseous
wastes. If controls are used to deal with one form of
pollution, a second form may result.
3. Regional planning and waste management—spatial arrange-
ment of urban development is a key factor in the environ-
mental effect of waste discharges. Spatial arrangement is
also important to the efficiency of waste collection and
d isposaI.
4. Controls on waste discharges—the basic types of controls
are raw material or production input standards, discharge
standards and effluent charges, and ambient standards.
5. Strategies for improving environmental quality—reduce
waste generation by changing production processes and its
inputs and outputs; reduce wastes after generation by
reclamation or treatment; increase assimilative capacity
by redistributing the discharges and spatial arrangement
of waste sources and affected receivers.
268
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Comprehensive PI anning
One of the most important criteria for metropolitan water resource
management and a key aspect of attempts at regional integration is the
need for a close relationship between water resource planning and overall
metropolitan planning. Water resource planning must be one integral ele-
ment of comprehensive metropolitan planning. Although this criterion has
seldom been met in the past, new EPA guidelines are beginning to require
I 54
such integration. These guidelines, specifically for water quality
management, require, in addition to the traditional basin plan, an areawide
or metropolitan plan. The metropolitan plan must be consistent with the
comprehensive development and land use plans for the area and generally be
framed to be compatible with local institutions, programs, and environmental
situations.
The EPA guidelines are intended to increase the importance of metro-
politan water resource planning done by comprehensive metropolitan planning
agencies. This planning would not only attempt to meet water quality
standards and explore available technology and alternatives as is tradi-
tionally done, but it would also add a broader perspective to the process
and emphasize relationships to land use and land use planning; non-point
sources of pollution (urban runoff); local environmental impacts (specific
local problems and needs at micro scales); technical, intergovernmental,
and citizen advisory committees; review of local projects to conform with
metropolitan plans and policies (A-95 review); and an overall management
strategy to include institutional relationships and guidance tools such as
federaI-state standards, state permit programs, zoning ordinances, and
sanitary regulations.
Very briefly, the water quality management plan for a metropolitan
area consists of the following elements:
I. Water quality analysis—existing standards, water quality,
uses, assimilation capacities, and problems; future
probable and achievable water quality levels;
2. Wastewater source analysis—municipal and industrial
discharges; non-point sources;
269
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3. Existing facilities analysis—municipal facilities;
institutional programs and controls; septic tank use;
4. Social, economic, and land use analysis—present and
projected population, economic base, land use, and
land use plans and controls;
5. Planning criteria—cost-effectiveness criteria; environ-
mental impact criteria (soil suitability, geology, ground-
water); federal, state, and local requirements and programs;
6. Political and administrative analysis—existing service
areas, agencies, programs, and regulatory powers;
7. Resource capability analysis—federal and state grants;
local charges and revenues; implementation schedule;
8. Alternatives analysis—treatment levels, reclamation and
reuse, land use control; tradeoff and optimization models;
9. Water quality management strategy—alternatives, controls,
schedules, institutions, priorities, impacts, contingencies,
and the I i ke.
The actual preparation of metropolitan water quality management, or
water resource, plans and the integration of this planning process into
overall metropolitan planning and decision-making processes are hampered
by severe constraints. Among these are the general lack of water resource
expertise in metropolitan planning agencies, the long tradition of local,
operation-oriented, single-purpose water resource departments, and the
lack of federal grants for planning. In particular, the lack of water
resource expertise is a significant factor as shown in the following
examples.
One means to integrate water resource planning into comprehensive
planning is for the comprehensive planning agency to do an in-house study.
An example of this is the environmental element of the general plan for
Los Angeles. Water resource problems and policies are closely related
to other environmental problems (air quality, solid waste disposal, land
conservation) and to land use planning; this effort is certainly a good
illustration of comprehensive planning. However, the environmental
element is framed at a very general, policy oriented level so that it is
270
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Iikely to have Iimited effect on any action agencies (water resource
departments) or guidance tools. Without precise data and analysis such
planning may have little meaning for implementation.
A second approach is for the planning agency to use consulting firms
to provide the expertise and prepare detailed, engineering oriented
reports. This approach is often used; an example is the regional utilities
study for the Hartford metropolitan area. This study was comprehensive
in that it covered several environmental functions and related them to the
needs and conditions of the metropolitan area. It was also action oriented
in that it prepared detailed analyses and plans and proposed specific
management measures and organizations. There is always doubt whether this
report, or any consultant report, will really become part of the planning
framework. It is likely that much of the analysis and many of the recom-
mendations will be made quite independent from the on-going metropolitan
planning process. Without staff expertise in these areas it is difficult
to interpret the report and integrate it into the planning process.
Recji onaI Integration
This cutting edge is partly a combination of all the other criteria
discussed here. This section emphasizes coordination of metropolitan
jurisdictions and responsibilities. One of the most interesting examples
of potential coordination for metropolitan water resource management is
in the Philadelphia area. In addition to the usual complex of cities,
counties, and special districts or authorities, the area includes two
states, Pennsylvania and New Jersey, and two significant planning agencies,
the Delaware Valley Regional Planning Commission and the Delaware River
Basin Commission. In a framework water management plan the DVRPC outlined
159
the basic roles or responsibilities of these jurisdictions and agencies:
I. Del aware Ri ver Basi n Commi ssion will plan the overaI I
macro-development of the water resources in the river basin;
establish principles, policies, and standards for develop-
ment within the basin; and review all projects having a
significant effect on the water resources in the basin.
271
-------
2. Delaware Valley Regional Planning Commission will prepare
a metropolitan water management plan within the framework
established by the DRBC; provide metropolitan projections
and land use plans as a basis for the water management plan
and for the DRBC's river basin planning; review and coordinate
local projects to assure consistency with metropolitan and
basin plans and to qualify for federal grants.
3. States will adopt drinking water and water quality standards;
encourage regional and metropolitan planning approaches; and
review projects in relation to water quality standards,
especially for public health objectives.
4. Counties will work with the DVRPC in providing projections
and land use plans and will help coordinate local water
management agencies and departments.
5. Local agencies and departments, with DVRPC assistance will
provide water resource services as well as plan these services
and facilities within the framework established by the DRBC
and on the basis of DVRPC projections and land use plans.
Another example of a complex jurisdictional situation is the
Vashington, D. C., metropolitan area. In this case a special study
:onducted by the Environmental Protection Agency proposed a specific
3rganizationaI structure to deal with water resource management and
... . 160
3nvironmenta I planning.
I. Interstate compact would create a Regional Council for
comprehensive planning and decision-making and an
Environmental Service Corporation for provision of water
resource services.
2. The Regional Council would be elected by the people of the
region and replace the present Council of Governments.
It would perform all the planning functions now done by
the COG and would adopt a comprehensive development guide
to control all water management programs in the region.
Development guide policies could eventually be expanded
to control other service programs.
272
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The Environmental Service Corporation would be established
by the Regional Council and function under its supervision.
It would cover the entire region and provide wholesale
facilities for water supply and waste management. It
would acquire and/or construct and operate these facilities,
which would include water supply reservoirs, water and
wastewater treatment plants, regional water mains and trunk
sewers, incinerators, sanitary landfills, and solid waste
transfer stations.
273
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Footnotes
I . Peter Raven-Hansen, Water and the C_j_ties: Contemporary
Water Resource and Re Iated-Land PIann i ng (Cambr i dge: Abt.
Assoc'iates, I n c."," 1969).
2. See Blair Bower, "Residuals and Environmental Management,"
The Journal of the American Institute of Planners, Vo!. 37,
No. 4 (July 1971 )~
3. Several such frameworks were developed in National Academy
of Sciences, National Research Council, Waste Management and
Control (Washington, D. C.: 1966).
4. David Heeter, Toward a More Effective Land-Use Guidance System:
A Summary and Analysis of Five Major Reports.PAS Report
No. 250 (Chi cago! American Society of Planning Officials,
Sept.-Oct., 1969).
5. Arthur Maass, Maynard Hufschmidt, et al., Design of Water
Resource Systems (Cambridge: Harvard University Press, T962).
6. For a specific adaption of the model to water quality planning
with emphasis on economic relationships see Allen Kneese and
Blair Bower, Managjjig Water Quality. Economics, Technology,
Institutions (Baltimore: John Hopkins, 1968).
7. Environmental Protection Agency, Guidelines: Water Quality
Man ageme nt PIan n ing (Wa s h i n gton, D. C.: 1971).
8. See M. B. McPherson, Prospects for Metropolitan Water Manage-
ment (Cambridge: ASCE",~" Urban Water Resources Research Program,
1971); and Water Resources Engineers Inc., "Appendix H," in
Wi I Iiam Ackermann, et a I., Systematic Study and Development
of Long-Range Programs of Urban Water Resources Research
(Cambridge: ASCE, 1968).
9. See Robert Anthony, Planning and Control Systems: A Framework
for Ana\ys\s (Cambr idge: Harvard Press, 1965) for a dls-
cussion of activities involved in strategic planning, manage-
ment control, and technical control.
10. For details on the urban water quality management process
of the I960's see Peter Raven-Hansen, Water and the Cities:
Contemporary Urban Water Resource and Related-Land Planning
(Cambridge: Abt. Associates Inc., 1969).
274
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II. Edward Kaiser, "Planning Urban Development Guidance Systems
for Local Government," Paper presented at Confer-In-West,
Annual Meeting of the American Institute of Planners, San
Francisco, October 1971.
12. Maynard Hufschmidt and Karl Elfers, Water Resource Planning
in the Urbaji^Metropol itari Context (Chapel Hi I I : University
of North" CaroTirneT, I 971 )7 Guy Ke I nho f er, Jr., Metropol \ tan
PI ann ing and Ri ver Basin Planning: Some Interrelationships
(Atlanta:"" Georgia' llTsTTFUte of Technology, I9'6&); Gi ibert
White, Strategies of American Water Management (Ann Arbor:
Un i vers iTy~o~f MTch i g'an" TVes s,19697 Cha pter V I .
13. John Shaeffer and Arthur Zeizel, The Water Resource in North-
eastern I II i nojs: Planning Its Use (Chicago: NI PC,19667.
14. For a complete discussion of socio-economic systems cutting
across hydroiogic systems see John W. Dyckman, "Beyond the
River Basin in Water Resource Planning," ASCE Water Resources
Conference, Denver, May 17, 1966.
15. Governor's Patuxent River Watershed Advisory Committee, The
Patuxent Rj ver^ (Baltimore: Maryland State Planning Department,
1968).
16. See for example Luna Leopold, HydroIo gy for Urban Land
Planning--A Guidebook on the_ Hy"droTog'ic Effects of Urban
L^mTuTe, Geological Survey ~Ci rcu far #554 (Washington, D. C .:
USGS, 1968) and M. B. McPherson, Hydroiogic Effects of
Urbanization in the United States (New York: ASCE, 1972).
17. This is especially true when a city or regional agency wants
to impound a unique stream for water supply or flood control.
See the case of the Eno River in Maynard Hufschmidt, Water
Ftesource Planning in the Urban Metropolitan Context (Chapel
Hili: University of North Carolina, 1971), Chapter 5.
18. See Public Law 566 (83rd Congress) and U. S. Department of
Agriculture, S.C.S., Watershed Protection Handbook Notice 1-17
(Washington, D. C., I 97 I r.
19. See any "water and sewer report" for an urban area. For
example, W. M. Piatt and Company, Wastewater Co Meet ion and
Treatment^, Forsyth Gouty, North Carol ina (Wi ns ton-Sal em:
1971).
20. Southeastern Wisconsin Regional Planning Commission, A Compre-
hensiye Plan for the Root River Watershed (Waukesha: 1966);
Southeastern~Wi scon sin" Regional PI arm ing Commiss ion, A Compre-
nensjye Plan for the Fox Ri ver Watershed (Waukesha: 1970);
Southeastern~Wisconsfn Reg i onaI Planning Commission, A Compre-
hensive Plan for the Milwaukee River Watershed (Waukesha: 1972)
275
-------
21. See lanMcHarg, Design with Nature (Philadelphia: Falcon
Press, 1969). '
22. See Ian McHarg and Michael Clarke, "Skippack Watershed and
the Evansburg Project," Chapter XVI in Charles Goldman, ed.,
En virpnmentaI Qua I Ity and Water Deve Iopment (ArIi ngton:
Rational Water Commission, 197 I).
23. Bucks County Planning Commission, Natural Resource Plan,
Phase I (Doylestown: 1971).
24. Southeastern Wisconsin Regional Planning Commission, Soils
Deve I opment Guj de (Wa u kes ha: 1969).
25. Southeastern Wisconsin Regional Planning Commission,
Flood I and and Shoreland Development Guide (Waukesha: 1969).
26. See Ian McHarg, Design with Nature (Garden City: Coubleday,
1969), for several sets of ecologic rules for development.
27. Paul D. Marr, "Environmental Councils and Planning Com-
missions - Emerging Relationships in Local and Regional
Government," paper presented at the AIP Confer-In 1972,
Boston, Oct. 7-11, 1972.
28. For an example in the Susquehanna River Basin see Spenser
Havlick, "The Construction of Trust: An Experiment in
Expanding Democratic Processes in Water Resource Planning,"
Water Spectrum, Vol. I, No. 2 (Summer 1969).
29. Donald Woolfe and Robert Grunwald, "Explorations in Inter-
governmental Activity in the Environmental Planning Process,"
paper presented at AIP Confer-In 1972, Boston, Oct. 7-11, 1972.
30. Interview with Lane Kendig, Bucks County Planning Commission.
Also, see Bucks County Planning Commission, NaturaI Resources
Plan, Phase I (Doylestown: 1971).
31. For details see John Keene and Ann Louise Strong, "The
Brandywine Plan," JAIP, Vol. 36, No. I, January 1970.
32. See Harold Guy, "Control of Sediment in the Urban Environment,"
in Maurice Albertson, et a I. (eds.) Treaties on Urban Water
Systems (Fort Col I ins: Colorado State University, 1971).
33. See Guy Kelnhofer, Metropolitan PIanning and River Basin
Planning: Some I nterreVa'tionshj ps (Atlanta: Georgia
Institute of Technology, 1968); and Eugene Dallsire, "The
U. S. Water Quality Program: Desperate Need for Planning,"
Civil Engineering, September 1971.
276
-------
34. Metropolitan Council of the Twin Cities Area, Metropolitan
Development Gufde: Sanitary Sewers - Policies^System
Plan, Program (St. Paul': 1970).
35. Southeastern Wisconsin Regional Planning Commission, A Compre-
hensive Plan for the Fox River Watershed, Vol. II (Waukesha:
1970), p. 244.
36. Pane! discussion at the AIP Confer-In 1972, Oct. 9.
Participants included WiI I iam Matuszeski, CEQ, Forrest
Dickason, Orange County, California, Niel Needleman,
attorney, Gordon Enk, New York and Thomas Dickert, University
of CaIi forn ia .
37. Seminar discussion with Frank McCormick, Geologist, Univer-
sity of North Carolina.
38. N. C. Department of Water and Air Resources, North Caroli na
Water Plan, Chapter I, "Water Policy and Law," Annex to
Appendix^A (Raleigh: 1970).
39. John R. Sheaffer, "Storm Water for Fun and Profit," Water
Spectrum, Vol. 2, No. 3 (Fall, 1970).
40. Interview with WiI I iam Boyd, General Planning Officer, NIPC,
Oct. 10, 1972. Also see NIPC, The Water_Resource in North-
eastern I I lino is:_ Planning jts Use (Chicago: 1966).
41. George Davis and Allison Dunham, Center for Urban Studies,
University of Chicago, Wastewater Management Project,
Muskegon County, Michigan (Arl ington: NationaI Vlater
Commiss i on, 197 I).
42. The Corps of Engineers has used several different rules for
shoreland protection limits depending upon local circum-
stances, but in any case should establish more flexible
guidelines. Notes from the Workshop on Planning the Develop-
ment and Use of Reservoir Shorelines in North Carolina,
Chapel Hill, September 21, 1972.
43. Remarks from Ray Burby at the Workshop on Planning the
Development and Use of Reservoir Shorelines in North Carolina,
Chapel Hill, September 21, 1972.
44. See also Burby, Donnelly and Weiss, Lake Norman Developmental
Impact Study (Chapel Hill: Center for Urban and Regional
Studies, University of North Carolina, June 1972).
277
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45. Robert Solheim, "Sidney Lanier: Number .%e Lake Attraction,"
Water Spectrum, Vol. 4, No. 2 (Summer, 1972).
46. See Burby, Donnelly and Weiss, Multipurpose Reservoirs and
Urban Deyelopment (ChapeI Hill: Center ^for Urban a~nd Regional
Stud IesV Un i verslty of North Carolina, 1972). See also
Reports No. 29, 38, 44, 51, and 52, Water Resources Research
Institute of the University of North Carolina.
47. The Lake Norman DgvelopmentaI Impact Study (Chapel Hill:
Center for Urban sTnd Regional Studies, 1972), was prepared
for the Central ina COG.
48. See Metropolitan Planning Commission, A Proposal for a Shore-
Iine Development Program (Muskegon: 1969); and Leo Jacobson,
A Shorelands^PoI icies Planj Conceptual Framework (Madison:
University of Wisconsin, 1969).
49. One example is Wisconsin Department of Natural Resources,
Aquatic Plant Survey of Major Lakes in the Fox River Watershed,
Research Report No. 39 (Madison: 1969) .
50. See for example, Wisconsin Department of Natural Resources,
Lake Geneva, Lake Use Report No. FX-I (Madison: 1969).
51. Atlanta Regional Commission, Chattahooche Corridor Study
(Atlanta: 1972).
52. See Southeastern Wisconsin Regional Planning Commission,
Flood land and Shoreland Development Guide (Waukesha: 1969).
53. Theodore Lauf, "Wisconsin's Experience in Shoreland Manage-
ment," paper presented at AIP Confer-In 1972, Boston,
Oct. 7-1 I, 1972.
54. Miles Boyer, Crescent Land and Timber Corporation, at the
Workshop on Planning the Development and Use of Reservoir
Shorelines in North Carolina, Chapel Hill, September 21, 1972.
55. Southeastern Wisconsin Regional Planning Commission, op. cit.
56. For a detailed discussion of estuarine processes see Joel
Hedgpeth, "Protection of Environmental Quality in Estuaries,"
in Charles Goldman, EnvironmentaI Qua! ity and Water Development
(Arlington: National Water Commission, 19717".
57. See Jennifer Turner, "Preservation of Wetlands: A Critical
Evaluation of Connecticut's Approach," paper presented at
AIP Confer-In 1972, Boston, Oct. 7-11, 1972.
278
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58. William E. Odum, "Insidious Alteration of the Estuarine
Environment," Transactipns of the American Fishing Society,
4: 836-847 (1970). ~""~
59. Taken largely from Joel Hedgpeth, op. cit.
60. U. S. Department of Interior, Fish and Wildlife Service,
National Estuary Study (Washington, D. C.: 1969); U. S.
Department of Interior, Federal Water Pollution Control
Administration, The NatlonaI Estuari ne Po 11ution 'Study,
Senate Document 91-58 (Washington, D. C.:1969); Coastal
Zone Management Conference held in Washington, D. C.,
October 28-29, 1969, House Document 91-14.
61. San Francisco Bay Conservation and Development Commission,
San Francisco Bay Plan (San Francisco: 1969); and Kaiser
Engineers for the Bay-Delta section of the California Water
Quality Control Board, San Francisco Bay-Delta Water Control
Program (Oakland: I969T
62. See also E. Jack Schoop, "The San Francisco Bay Experience,"
in Hite and Stepp, eds., Coastal Zone Resource Management
(New York: Praeger, 197 if!
63. Tampa Bay Regional Planning Council, Shore Iine Resource
DeveIopment (St. Petersburg: April 1972).
64. See Florida Coastal Coordinating Council, Escarosa: A
PreIimi nary Study of Coastal Zone Management Problems and
(Tpportun i t ies i n_ Escamb ia~ancM5anta Rosa Count ies, FI orTda
(Tallahassee:T57TT
65. See Milton Heath, "Descriptions of Illustrative State
Programs of Estuarine Conservation," in Hite and Stepp,
eds., op. cit.
66. Jennifer Turner, "Preservation of Wetlands: A Critical
Evaluation of Connecticut's Approach," paper presented at
AIP Confer-In 1972, Boston, Oct. 7-M, 1972.
67. Milton Heath, op. cit.
68. For details see Florida Inter-Agency Advisory Committee on
Submerged Land Management, A Proposed System of Aquatic
Preserves (Tallahassee: 1968).
69. Executive order no. 01-070-07, March 3, 1970, Tom McCall,
governor of Oregon.
279
-------
70. Tampa Bay Regional Planning Council, op. c i t .
71. Milton Heath, op_. _ c i t .
72. Tampa Bay Regional Planning Council, op. cit.
73. Milton Heath, op. cit.
74. Kaiser Engineers, op. cit.
75. See George S. Nolte and Associates, Dra i nage and F I ood Control ,
Background and PpJjcy_Study, for the San Diego County Comp re-
hens i ve P I anrfi ng^ OrgarTizat ion (San Diego: 1970).
76. See Task Force on Flood Plain Regulations, ASCE, A Guide for
"
the Development of Flood Plain Regulations (New York:
and the U. S. Army Corps of Engineers, Guidelines for Reducing
Flood Damages (Vicksburg: 1967).
77. Design flood — the flood against which protection (e.g. a dam)
is or will be provided; Standard project flood — the worst
flood expected for that meteorological, hydrological , and
geographical area.
78. James Goddard and Aelred Gray, "Emerging Program for Managing
Flood Losses," paper presented at the AIP Conference, Portland,
August 14, 1966.
79. There has been considerable research in this field, especially
by Gilbert White and his colleagues, "Human Adjustment to
Floods," Research Paper No. 29, and "Changes in Urban Occu-
pance of Flood Plains in the U. S.," Research Paper No. 57
(Chicago: University of Chicago, Department of Geography,
1942 and 1957).
80. For example: U. S. Army Corps of Engineers, F I ood Plain
Information Report on the Des Plaines River, I ! I inois and
W i s co n s I n ( Ch i ca go : 19 66) ; North Carol ina Department of
Water Resources (by Milton Heath), Flood Damage Prevention
in NorthCarpI i na (Raleigh: 1963; Kentucky Department of
Commerce (by Francis Parker), Flood Damage Abatement in
Kentucky ( Frankfort: 1964); various reports done by con-
su 1 1 i ng f irms, for cities and counties, such as Harza
Engineering Company, Storm Drainage Management Appraisal,
Erie and Niagara Counties' (Chicago: 1 969 ) .
81 . The work of Gi Ibert White; TVA, A Program for Reducing the
National Flood Damage Potential , printed by the U. S. Senate
(Washington, D. C.: 1959); Task Force on Flood Plain
Regulations, ASCE, A Guide for the Development of Flood Plain
Regulations (New York": I962K
280
-------
82. For example, U. S. Department of the Interior, USGS, Floods
in_Tf njey Park Quadrangle, Northeastern I I I fnois, Hydro logic
Investigations, Atlas HA-152 (Washington, D. C.: 1965).
83. NIPC, John R. Sheaffer and Arthur Zeizel, The Water Resource
in Northeastern II I inof^s: Planning Its Use (Chicago: 1966).
84. NIPC, Suggested Flood Damage Prevention_ Ordinance, Report
No. 9, LocaI PIanni ng A i d s TChTcagoY1972V.
85. Public Act 77-1544, Sept. 17, 1971.
86. See appendices "E" and "F" of SEWRPC, FI opd I and and_ Shore I and
Development Guide, Planning Guide No. 5 (Waukesha: 1968).
87. Ibid., pp. 38-55.
88. Ibid. See appendices H, I, K, and L for examples of these
ord i nances.
89. SEWRPC, op^ cj t., appendices E and F.
90. Taken from George Nolte and Associates, op. cit.
91. See National Academy of Sciences, National Research Council,
Waste Managementand Control (Washington, D. C.: 1966);
Blair" Bowe'P/ gj'a'L'^ Wa's^e" Management (New York: Regional
Plan Association, 1968T; ~A i I en Kn eese and Blair Bower,
Managing Water Qua I i ty: F^cqnomj^cs, Techno I ogy, I nst I tut ions
(ISTfTmore^ Johns Hopkins^, 1 9l58f);~~6Ta~\~r "Bower and" Wa'f'fer
Spofford, "Environmental Qua I ity Management," NerFuraJ_
Resources Journal, Oct. 1970.
92. Peter Raven-Hansen, et a I ., Wate_r_and_the^Ci t i es: Con-
temporary Urban Wjter-Resburce^ ajicT ReTajeH^Land PI ann fng
(Cambridge: AbtT As'sociat'es, TncT^ r969T,"pp. 2-20.
93. See Peter Raven-Hansen, op. cit. for more complete
discussions.
94. For example, despite the fact that 70$ of all historical
expenditures for water resources have been for urban water
facilities, only HUD and EPA are concerned with urban water
and then not as their main focus. Victor Koelzer, "Urban
Water Management," JAWWA, Sept. 1972.
95. See Peter Raven-Hansen, op._cit. for detailed examples.
96. Daniel Okun, "Tomorrow's Methods to Provide Tomorrow's
Service," JAWWA, Vol. 58, No. 8 (August 1966).
281
-------
97. Michael Copeiy, "'701' Planning for Water Quality Management
in the Southeast Region of Wisconsin," Section D of Peter
Asheiman, et a I., Water Reso urces _PoiIcy i n Wiscons i n:
Problems of a Metropolitan1 Regjon'7 Vol.TTT (Mad i son:
University of Wisconsin, Water Resources Center, 1971).
98. See Environmental Protection Agency, Guidelines: Water
Quality Management Planning (Washington, D. C.: 1971);
Fncf Scott" Berdine and JoFn Marlar (EPA Region IV), "Water
Quality Management Planning in Metropolitan Areas," paper
presented at AIP Confer-l rT I 972, Boston, Oct. 7-11, 1972.
99. Los Angeles Department of City Planning, An Environmental
Conservation Element for the Los Angejes City General PTan
(Los Angeles: I970T.
100. John R. Clark, "Thermal Pollution and Aquatic Life," in
Scientific American, Vol. 220 (March 1969).
101. Los Angeles Department of City Planning, op. cit., page 112.
102. W. T. Edmondson, "Lake Washington," in Charles Goldman, ed.,
Environmental Ouajjty and Water Development, Vol. II
(Arlington: National Water Commission, 1971).
103. George Davis and Allison Dunham, Wastewater Management
Project, Muskegon County, Michigan (Arlington:NationaI
Water Comm i ss i on,197 I ); see al so David Zivick and Marcy
Benstock, Water Wasteland (New York: Grossman, 1971),
op. 382-9.
104. See Kneese and Bower, Managing Water Qua I ity: Economics,
Technology, Institutions (Baltimore: Johns Hopkins Press,
T968 T.
105. University of North Carolina, Report No. 30, Water Resources
Institute of the University of North Carolina, Workshop on
Water and Sewer Changes (Chapel Hill: 1967).
106. Section 60l.34(c) of the Construction Grant Regulations,
Federal Register, July 1971.
107. "Cities Treat Industrial Process Wastes," Envi ronmentaj
Science and Techngjg_gy_, Vol. 5, No. 10 (Oct. 1971).
108. Metropolitan Council of the Twin Cities Area, Metropolitan
Development Guide: Sanitary Sewers--Pol icies, System Plan,
Program (St. Paul7 January 22, 1970). "
109. Warren Papin, "Soil Enrichment Express," Water Spectrum,
Vol. 2, No. -4 (Winter, 1970-71).
282
-------
110. M. B. McPherson, Urban Runoff, ASCE Urban Water Resources
Research Program, Technical Memorandum No. 18 (New York:
ASCE, 1972).
III. Adapted from ASCE, Basic:_ I n format ton Needs in Urban Hydrology,
a report to the USGS~ (New York':' [969). ~
112. U. S. Department of Interior, National Park Service, Man-
Nature-City (Washington, D. C.: U. S. Government Printing
Office, 1971 ).
113. Luna Leopold, Hydrology for Urban Land Planning -A GuTdebook
on the Hydro I ogle'Effects of Urban Land Dse,' U. S. Geological
Survey Circular No. 554 (Washington, D/C.: 1968).
114. See D. Earl Jones, "Urban Water Resources Management Affects
the Total Urban Picture," in Albertson, et al., Treatise on
Urbaji Water Systems (Fort Coll ins: Colorado State Un i vers i ty
Press, 1971).
115. Weibel, et a I., "Urban Land Runoff as a Factor in Stream
Pollution," JWPCF, Vol. 36, No. 7 (July 1964); also, Edward
Bryan, Qua I i ty~ oY Stormwater Drainage from Urban Land Areas
in North Carol incT, Report No. 37 (Raleigh: Water Resources
Re search In s t i tu te of the University of North Carolina, 1970).
116. About one-fifth of the nation's population is served by
combined sewers from which overflows are a significant
source of stream pollution. Sullivan, "Inventory of Combined
Sewer Facilities," CiviI Engineering, Vol. 38, No. II
(November 1968).
117. This involves using the relation Q = CIA, where Q is the
maximum flow in cfs., i is the rainfall intensity for a
given storm (e.g. a storm that occurs once in five years),
and C is a coefficient determined empirically. See ASCE,
Design and Construction of Sanitary and Storm Sewers, Manuals
and Reports on Engineering Practice No. 37,(New York: 1969).
For a local application see SEWRPC, "Determination of Runoff
for Urban Storm Water Drainage System Design," in Techn fcal
Record, Vol. 2, No. 4 (April-May 1965).
118. McPherson, "Some Notes on the Rational Method of Storm Drain
Design," ASCE Urban Water Resources Research Program,
Technical Memorandum No. 6 (New York: ASCE, 1969).
119. Tucker, "Availability of RainfaI I-Runoff Data for Sewered
Drainage Catchments," ASCE Urban Water Resources Research
Program, Technical Memorandum No. 8 (New York: ASCE, 1969).
283
-------
120. Peter Raven-Hansen, et a I., Water and the Cities: Contem-
porary Urban Water Resource and Re I ated-Land Planning"
(Cambridge: Abt. Associates, 1969).
121. Ibid.
122. See Anderson, "Real-Time Computer Control of Urban Runoff,"
Journa I HydrauIi cs Pi v i s i on, ASCE, Vol. 96, No. HY I (January
1970); Detroit Metropolitan Water Services, "Detroit Sewer
Monitoring and Remote Control," in Combined Sewer Overflow
Abatement Techno logy, U. S. Department of Interior, Water
Pol Iution Control Research Series 11024 (Washington, D. C.:
GPO, 1970); Gibbs and Alexander, "CATAD Systems Controls for
Regulation of Combined Sewage Flows," Water and Wastes
Engineering, Vol. 6, No. 8 (August I969T!
123. Harza Engineering Co. and Bauer Engineering Inc., Flood and
Pol Iution Control: A Deep Tunnel Plan for the Chicago land
Area, 'for the Metropolitan Sanitary District of Greater
Chicago (Chicago: 1966).
124. Flood Control Coordinating Committee, Summary of Techn teal
Reports (Chicago: August 1972), jointly sponsored by the
State of I I I inois, Cook County, the City of Chicago, and
the Metropolitan Sanitary District of Greater Chicago.
125. San Francisco Department of Public Works, San Francisco
Master Plan for Waste Water Management - Prel i mi nary"sUrnmary
Re port (San Franc i sco: 1971V.
126. McPherson, "Feasibility of the Metropolitan Water Intelli-
gence System Concept," ASCE Urban Water Resources Research
Program, Technical Memorandum No. 15 (New York: ASCE, 1971).
127. D. Earl Jones, Jr., "Urban Water Resources Management Affects
the Total Urban Picture," in Albertson et al. (eds.),
Treatise on Urban Water Systems (Fort Collins: Colorado
State Un i versity, 197 I).
128. Denver Regional Council of Governments, Urban Storm Drainage
Criteria Manual, Vols. I and 2 (Denver: 1969) .
129. These are described in John R. Sheaffer, "Storm Water for
Fun and Profit," Water Spectrum, Vol. 2, No. 3 (Fall 1970).
130. Ibid. See also NIPC, The Water Resource fn Northeastern
I I Iinois: Planning Its Use~(Chicago: 1966).
131. For a thorough Discussion of this interface see Peter Raven-
Hansen, Water and the Cities: Contemporary Urban Water
Resource and Related-Land Planning (Cambridge:Abt.
Associates, 19697.
284
-------
132. See Guy Kelnhofer, Metropol itan_ Planning and River Basin
Pj_an_n i _ng: Some I nterre I at fonsh'f ps (Atlanta:Georgia
Institute of Technology, 1968).
133. Peter Raven-Hansen, op. cit.
134. Lois Scott, "Water Development and Urban Recreation/' Chapter
18 in Goldman (ed.), Environmental Qua I ity arid Water Develop-
ment, (Arlington: National Water Commission, 1971).
135. See Lois Scott, op._cit.
136. John S. Bolles Associates, Northern Waterfront Plan, prepared
for the city and county of San Francisco (San Francisco:
1968).
137. Resolution No. 6385, June 19, 1969.
138. City and County of San Francisco, Department of City Planning,
The Comprehensive Plan - Northern Waterfront (San Francisco:
1971).
139. Minneapolis Planning and Development Staff, Interim River
Report (Minneapolis: Interagency Riverfront Committee,
1970); Mi fwaukee River Technical Study Committee, The
MiIwaukee Ri ver (Mi Iwaukee: 1968).
140. See San Antonio City Planning Commission, Paseo Del Rio San
Antonio Ri verwaIk (San Antonio: 1968).
141. San Antonio City Council, Ordinance 30238: "Establishing
Standards for the Future Development of the San Antonio
Riverwalk Area; Creating an Advisory Commission to Review
Application for Building Permits in Such Areas," Section 2,
1962.
142. Vaughn Call, Director, Spokane City Plan Commission,
"Spokane Riverfront Development Program," paper presented
at AIP Confer-In 1972, Boston, Oct. 7-11, 1972.
143. With relation to water resources see John R. Sheaffer,
et al., Metropolitan Wat_er Resource Management (Chicago:
Center for" u7ba"n~~St"ud ies",~ University of Chicago, 1969);
Orlando Delogu, Me tr opoIi ta n Water_In s t i t u t i ons (Arlington: -
National Water Commi ss Ton,1971); Urban Systems Research
and Engineering, Inc., Metropolftan Water Management, for
the National Water Commission (Arlington: NWC, 1971);
M. B. McPherson, Prospects for Metropol itan Water Manage-
ment (New York: ASCE, 1970); Maynard M. Hufschmidt, WaTer
Resource Planning in the Urban-Metropolitan Context (Chapel
Hill: University of North Carolina, 1971).
285
-------
144. Adapted from Environmental Protection Agency, National
Capital Region'Water and _Waste_ Martagerfierrt Report (Washington,
D. C.:6.P.O., 1^71).'
145. The following discussion of these issues is based upon Victor
A. Koelzer, "Urban Water Management," in the 'Journal 'of the
American Water'Works'Association, September 1972.
146. AWWA Committee for Water and Wastewater Operations, "Joint
Administration of Water-Wastewater Works," Journal 'of the
AWWA, April 1971.
147. See Orlando Delogu, op-clt., for three alternative approaches
to achieve this ideal: THe" creation of metropolitan water
management regions, the use of massive federal incentives
and state action to manage metropolitan water resources, and
the complete assumption of responsibility by the federal
government.
148. Gilbert F. White, Strategies of American 'Water Management
(Ann Arbor: University of Michigan Press,1969); John R.
Sheaffer, et al., op_«_ cit., pp. 5-18.
149. See Gilbert White, op. cit., Chapter III.
150. John Sheaffer and Arthur Zeizel, The Water Resource in
Northeastern I I t inois: PIannIng I'ts Use '(Chicago": FTTPC,
1966); a I so see" Chapter 6, "Reg i ona I Integration," in
Gilbert White, Strategies of American Water Management
(Ann Arbor: University of Michigan Press, 1969).
151. Santa Clara Planning Department, Environmental Action
Directory (San Jose: July 1972).
152. Blair Bower, et al., Waste Management (New York: Regional
Plan Association, 1968T!
153. For a summary discussion of residuals management see Blair
Bower, "Residuals and Environmental Management," Journal
of the ^American Institute of Planners, July 1971.
154. Environmental Protection Agency, Guidelines: Water Quality
Management Planning (Washington, D. CT: 1971 ).
155. Scott Berdine and John Marlar, EPA Region IV, "Water Quality
Management Planning in Metropolitan Areas," paper presented
at the AIP Confer-In 1972, Boston, Oct. 7-11, 1972.
156. See Berdine and Marlar, op. cit., or RPA, op. cit.
286
-------
157. Los Angeles Department of City Planning An EnvIronme rifa I
Conservat_i_on Element for the Los Angeles General Plan(Los
Angel es: August 1970').'
158. James S. Minges and Associates, Regional Utilities Study:
Water SuppIy, Sewer age, Dra i nage,_Re fusg, for the Cap i to I
Recfion" Planning Agency Hartford: 196^).
159. Delaware Valley Regional Planning Commission-, The Regional
Water Supply aridI Water Pol I ut ion Control P'lahs (Phifadelph i a;
1969).''
160. Environmental Protection Agency, National Capital' Region
Water and Waste Management Report (JA/ash'ington, D. C.;
April 1971).
287
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C. URBAN DESIGN: MANAGING THE VISUAL QUALITY OF THE URBAN ENVIRONMENT
Urban design refers to the broad range of local governmental
activities that seek to enhance or preserve the visual and amenity quality
of the urban physical environment. These include conventional design and
construction of building projects, development of policies, principles
and criteria to guide the design efforts of others, use of legal controls
and design review programs, and oreservation of environmental elements
and districts having historic or cultural value.
Until recently, environmental quality has been an implicit qoaI at
the core of most design activities dealing with environments for human
habitation. "Design is, in the final analysis, the conscious search for
quality through form." Environmental quality, as used by designers,
sometimes embraces a broader meaning, referring generally to the "Quality
of Life." Those espousing this orientation hold that the only meaningful
measure of environmental quality is the quality of life which the environ-
ment fosters and supports, and that man is the central focus and measure
of environmental quality. In the main, however, design tended to concen-
trate on the physical and environmental, rather than the human, dimensions,
assuming that the manipulation of this dimension was directly linked to
the quality of social, economic, and cultural factors. This set of assump-
tions, known as physicaI-determinism, played a significant role in the
design of urban form in spite of an inadequate understanding of the
relationshi ps.
Until the late 1960's, environmental quality objectives tended to be
expressed in terms of esthetics or visual quality and amenity. As late as
1968, Hoppenfeld, in calling for a change in urban design, charged: "The
design professions have tended to concentrate almost exclusively on the .
esthetics of environment, making the main issue one of form and
288
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2
excitement..." Other dimensions of environmental quality (for example,
ecological values and pollution) received little attention in most design
activities. However, during the late I960!s with societal recognition
of environmental problems and the development of new planning methodologies
which recognized broader environmental quality objectives, urban designers
began to take a closer look at the environmental quality dimensions of
thei r work.
Major Changes in Urban Design
Urban design activities have modified in response to recent urban
issues, problems, and opportunities. There have been three major innova-
tions. First, there have been contextual changes in the role of urban
design vis a vis its private-public function and changes in the definition
and the role of the urban design client. Second, reflecting these new
roles, there has emerged a new and broadened emphasis on a process ap-
proach to urban design. Third, new methods and techniques have been
developed to increase the effectiveness of urban design activities.
While these three can be identified individually, a fourth major area of
change is the manner in which individual changes have been integrated
into more systematic and comprehensive urban design programs.
Changes in Contextual Factors
Two variations in the context of urban design significantly altered
its practice. The first was a shift in emphasis on design quality from
a private to a public good. The second has been a redefinition of the
client and his role in the design process. The first provided urban
design with new opportunities while the second has called into question
the urban designer's role and forced a change in the traditional designer-
client relationship—a keystone of professional practice.
The concern of much of urban design has been with providing environ-
ments which meet all of the user's needs. It has attempted to design
environments which were not only functional, efficient, and economic, but
also beautiful, exciting, and interesting as perceived by designers.
289
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Perhaps because other professional groups (engineers, economists, and city
planners) were also concerned with the more basic needs, urban designers
tended to emphasize the "higher order" needs of beauty and amenity and
claim them as their exclusive expertise. Historically, these qualities
were provided to the upper classes by the private sector. However, in the
GO's there was a growing belief that these needs should be promoted by
government for the public as a whole. In both Kennedy's "New Frontier"
and Johnson's "Great Society," this was a pervasive theme.
At the same time the concept of esthetics, defined as the formal or
syntactic qualities of the environment, was enlarged to embrace the behav-
ioral and cognitive, or semantic, dimensions of the perceived environment.
Premised on the philosophical concepts of Santayana and Arnheim, and
rationalized by the theoretical and empirical works of designers and social
scientists such as Gibson, Hall, Lynch, Rapaport and Sommer, the broader
concept of visual quality replaced esthetic quality. This expanded concept,
while including the formal esthetic qualities of the environment, also
included the meanings the environment held for its users and the implica-
tions form had for psychosocial behavior and well-being.
Concurrently, the courts expanded their interpretation of the general
welfare concept of the police power to include happiness, enjoyment, and
mental health. This action opened up the possibility of using zoning and
other regulatory measures to promote a wide range of esthetic and amenity
object ives.
A difficulty in increasing public influence to achieve these objectives
revolved around the problem of defining esthetics. The inability to do so
to the court's satisfaction resulted in public efforts being concentrated
in three areas where agreement could be reached. The first such area was
with respect to physical elements regarded as amenities. Amenities commonly
referred to such elements as benches, landscaping, fountains, and lighting.
The natural environment provided a second area of agreement. There was an
explicit consensus that nature is inherently beautiful. President Johnson
expressed this in his 1965 address to Congress. He said, "Certainly no
one would hazard a national definition of beauty. But we do know that
4
nature is nearly always beautiful." The final area of agreement was in
290
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the matter of historic preservation. Historic buildings and areas were
generally assumed to have esthetic value. While such assumptions were
necessary and useful, the fundamental issue of defining esthetics
persisted.
Because governmental provision of higher order needs for the public
as a whole required an explicit consideration of those needs and values,
the traditional designer-client relationship began to disintegrate. It
is in this relationship that a second contextual change occurred.
In most urban design work in public programs, governmental agencies
represented the public and acted as a surrogate for it. The authoritarian
practices of such agencies and their failure to adequately represent user
interests together with the designer's reliance on his own values and
responses greatly influenced the demand for citizen participation. From
renewal to model cities, guidelines were established requiring active
public participation in the design process. The public's participatory
role conflicted with the traditional elitist orientation of most urban
design practice. Even where explicit attempts were made to institution-
alize a participatory design process, the tendency to deal with what
Herbert Hyman terms "the power elite" was prevalent.
Designers have relied primarily on subjective knowledge and unsystem-
atic methodologies in developing their proposals and plans. In this con-
text underlying assumptions and decision roles are personal, implicit,
and often obscure. Demands for participation meant that these underlying
principles, assumptions, and decision rules would have to be exposed.
The reluctance to adopt a more explicit, systematic, and objective method-
ology was based on two factors. The first was the belief that creative
processes must be subjective, personal, covert, and any attempt to analyze,
systematize, or objectify the design process would destroy the elements
essential for creativity. The second factor was that intuitive methods
supported the designer in his role of esthetic expert. By keeping the
assumptions and decision rules implicit and institutionalizing the
esthetician role, designs were difficult to fault along esthetic dimensions,
Without new methods and orientations, a meaningful interaction between
designers and citizens' groups was difficult.
291
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The latter half of the 60ls saw the emergence of a number of community
design centers and advocacy design groups. These young design groups
attempted to establish a new designer-client relationship involving direct
interaction with citizen groups. Their efforts, while worthwhile in their
own right, were outside the institutional context where most major deci-
sions are made and often resulted in being more obstructive than positive.
There is current evidence, however, that these groups are beginning to
develop operational philosophies and techniques which increase their
effectiveness in dealing with both clients and more institutionalized
, . 6
design groups.
Changes in the End-State Approach
Urban design activities can be characterized as consisting of two
basic approaches. On the one extreme is the project approach where a
physical setting is conceptualized, a design in the form of plans, models,
and specifications is developed for that concept, and the physical elements
are made to conform to the model and concept. At the other extreme is the
process approach in which the specific form of the physical environment is
not a central issue. Again, a physical setting is conceptualized, then
policies and guidelines are developed to guide design activities so that
a specified level of environmental quality, rather than a specific form,
is achieved.
The project approach directly influences the environment. (See Figure
16.) In most cases the specified product is built into the environment
as a total package (large-scale renewal projects and civic centers).
Sometimes, existing environments are enhanced through beautification pro-
grams which normally concentrate on environmental elements such as street
lighting and landscaping. In other cases, such as design district plans,
it is not intended that the plan will be realized through construction.
These plans are produced to stimulate the private sector by providing
"creative design" ideas. Thus project oriented activities influence the
environment in three ways: (I) building new large-scale improvements; (2)
enhancing existing environments; and (3) attempting to influence the
private sector with heuristic ideas.
292
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FIGURE 16
URBAN DESIGN ACTIVITIES AND THEIR
INFLUENCES ON VISUAL QUALITY
PHYSICAL ENVIRONMENT
PRESERVAT1 ON/PROTECT I ON
GENERAL PUBLIC
f PUBLIC URBAN DESIGN\
PROJECT ORIENTED
Renewal Projects
Capital Improve-
ments
Beauti f ication
Projects
Highway Projects
FDROCESS ORIENTED
Framework Plans
Pol icy Guides
Design Principles
Design Controls
Review Processes
Co-ordi nation
EDUCATION
DECISION PROCESS
ITY BUILDING INDUSTRIES
293
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The process approach affects the environment in a less direct manner.
(See Figure 16.) [f recognizes that the bulk of city building activ-
ities takes place within the private sector, so to influence environmental
quality one must influence private development. This is done in several
ways. First, the process approach acts through design framework plans,
regulatory devices, design review, and other coordination programs: These
actions intervene in the decision process, attempting to guide and coor-
dinate private development decisions. Second, implementation of projects,
renewal programs, open space programs, and the like, that are designed
within the objectives and criteria of the process framework, alters the
urban context for private development. Such actions set a standard for
future development and a justification for the policy framework and regu-
lations. Finally, the process orientation affects implementation of
environmental quality by educating the general public'.
Because of urban design's early ties with architecture and landscape
architecture, attempts to improve the quality of the urban environment
tended to be project oriented. Designers were trained to think in terms
of building projects. Large-scale municipal improvement projects, such
as civic centers, governmental complexes, and recreational centers are
classic examples. Later, under federal urban renewal programs, these
improvements were conducted by local government, in some cases assisted
by the private sector (Charles Center, Baltimore; and the Golden Triangle,
Pittsburgh). Although urban renewal projects came to depend increasingly
on process type tools for implementation, they were viewed and conceived
as projects and depended mainly on the techniques and methods of that
approach.
In this context the project approach was fairly appropriate. However,
urban designers learned that such plans frequently failed to achieve their
counterparts in reality. It was accepted as a "...truism that city plans
do not get built." Cities frequently did not have the funds to implement
them; the private sector had neither the financial resources or the power
of land acquisition or control. As concern developed for the visual
quality of entire cities, the project approach manifested additional
limitations. Urban design in this context had to respond to a different
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set of conditions. The urban environment is dynamic; changes result from
conscious decisions of a myriad of actors, each seeking his own goals.
The ability of the public to control private sector activities is limited.
With this limitation, the boundary between public concern and private
rights becomes crucial. The time span and distance from the action is
considerably different. Given these factors, designers realized that
public goals could not be achieved by executing building designs, but
required techniques for controlling the building activities of the private
sector.
Aspects of the process approach have been a part of planning activ-
ities since before the recognition of urban design as a professional
activity. Setbacks, height limits, sign ordinances and architectural
control programs, existing from the 30fs, are explicit manifestations of
this approach and have been used to achieve visual objectives. These and
other techniques were employed together with projects in design programs.
Thus, urban design carried out within the comprehensive planning context
Q
took on a more process oriented approach, often resembling a guidance
system.
Urban design's emphasis also changed with respect to the levels of
the environment with which it was concerned. Until recently, most urban
design activities did not deal with the entire city but focused on dis-
tricts within it. Urban renewal projects, CBD plans, entranceway studies,
and appearance controls, are typical examples. Aside from the limited
capacity to deal conceptually, economically, and even jurisdictional ly
with these problems at a citywide level, much of the justification for a
district focus flowed from the assumption that certain districts can be
identified as having significant value to the urban area as a whole,
thereby justifying public action. Some districts were seen as having
major economic significance (CBD's and some waterfront areas), while some
districts were seen as having cultural and/or environmental value (water-
fronts, historic areas, open space areas). The public supported action
at this level, and often there existed a large government investment in
areas that could be used as a lever to influence private development.
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Of late there has been a trend away from the district level focus
toward a citywide concern. Initially, Lynch's studies of imageability and
visual order stimulated the citywide concerns. Later, the need and desire
to develop an overall framework within which to coordinate private develop-
ment and public urban design led to studies at the city-wide level. In
addition to analyzing problems and proposing solutions at the broader
level, most framework studies concluded by identifying design districts
which meet some criteria for special treatment (San Francisco Urban Design
Plan and Design Framework for Minneapolis). These design districts may
be areas where environmental conditions are poor, indicating a rehabilita-
tion or renewal policy, or they may be areas where environmental conditions
are good, indicating a preservation strategy. Citywide studies have been
used to identify boundaries between areas which have different character-
istics, are valued differently by users (or designers), and require dif-
ferent design policies and/or approaches.
Public design activities have always focused on individual building
components that contribute to visual quality, for example, street lighting
and furniture, fountains, signs, and trees. In larger cities, programs
dealing with these elements often existed as part of district programs—
"Streets and Plazas for Washington, D. C.," Cincinnati "Street Hardware
Study," and the Boston "City Signs and Lights Study." However, in some
cases, particularly in smaller cities, programs have dealt almost exclu-
sively with these elements, concentrating on amenities and beautification,
practicing what has been called cosmetology rather than design.
Public urban design is increasing at all levels. The present trend is
greater emphasis on the citywide level with systematic exploration of inter-
relationships among levels before detailed work is carried out at each level.
Changesin Design Methods and Techniques
Major changes have occurred in the ways urban designers analyze and
solve their problems. These methodological changes have influenced the
quality of project and process approaches. These design methodologies may
be viewed as a continuum with subjective or intuitive methods at one end
and objective methods at the other. Any one design activity may vary along
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the continuum between the extremes. For example, a particular design
activity may be generally characterized as primarily subjective even
though certain aspects of the activity may be carried out in an objective
manner.
Subjective methods use implicit decision rules and assumptions not
based on scientific evidence. They rely on personal experience, emotions,
and intuition, and they do not use available data. This orientation is
closely associated with the fine arts and traditional design practices.
In part, its acceptance and use is tied to assumptions concerning the
nature of the creative process and to the maintenance of the designer's
role as the esthetic expert. By contrast, objective methodologies use
available data and rely on scientific evidence and quantitative techniques
as welI as explicit goals, decision rules, and criteria.
Urban design activities have been shifting along the continuum
toward more objective methods, as is exemplified in current programs in
9
Minneapolis, San Francisco, Dallas, and Seattle. However, judgment,
subjectivity, and intuition still play a major role in the methodologies
used in the field. The creative requirements of the product and the
complexity of the phenomenon preclude developing completely objective
methods. A balance of objective and subjective methodologies, referred
to as systematic methodology, is required. The systematic orientation
recognizes the advantages and disadvantages of each approach and attempts
to use each where appropriate and to integrate them effectively. At
present the major characteristics of the more systematic approaches to
urban design methods are: (I) greater explicitness of goals, objectives,
decision rules, principles, and criteria; (2) more scientifically premised
and comprehensive data; (3) scientific procedures for gathering, coding,
and analyzing data; (4) systematic feedback and redesign; and (5) careful
integration of creative and analytic phases. This shift partially re-
sulted from the increased demand for public participation. Another major
factor was a lack of acceptance of design solutions by decisionmakers,
the courts, and the public at large, particularly with respect to visual
quality aspects. Since environmental quality could not be defended objec-
tively, it often lost out to more objective factors and economic ends.
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Objectivity was further encouraged by an increasing need to rely on
police power for implementation. Given the nature of esthetics, courts
and legislators were reluctant to expand regulatory limits. The mere
systemtization of esthetic values made them more palatable, and even
impressive, to decisionmakers.
Comprehens iye Integration
Active municipal design programs seldom use only one end-state
approach or focus on only one discrete level of the environment. Rather,
cities tend to select specific approaches and techniques and apply them
to appropriate problems at the particular level of the environment where
they will be effective. This generally results in the development of an
urban design guidance system, which is applied to all levels of the en-
vironment. For example, some recent urban design studies, primarily in
large cities, begin with a process approach, developing an overall citywide
framework with specific objectives, principles, and criteria. This frame-
work is then used to develop policies, capital improvement programs,
district regulations, and review procedures (process technique) as well
as to develop design plans and capital improvement projects (project tech-
nique) at the district level. Within this context, specific capital im-
provement projects, regulations, incentives, and educational programs are
devised to influence the environment at the element level.
On the one hand, the particular significance of these new approaches
lies in emphasis on (I) procr^s orientation at all levels as a means of
coordinating design efforts; °) a citywide framework for lower level
applications; and (3) systematic use and integration of all implementation
forms. On the other, the importance of these approaches lies in use of
more systematic methods and techniques of analysis, concept generation and
evaIuat ion.
At the Cut-t i P.- Edge in Urban Design
We now turn to a ;nor e detailed discussion of the major thrusts of the
ode I presented in Figure 7-': Urban Design Activities and Their Influences
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on V_i_su_aj_ Qua I i ty. The first is a discussion of the innovations currently
emerging in project design. The second is a discussion of the cutting
edge of the process oriented approach to urban design. The third section
will discuss innovative implementation measures employed in the process
approach. It will detail the interface between urban design studies and
the various actors in urban building industries. The fourth section covers
historic preservation activities which are just beginning to be integrated
into urban design programs.
Urban Renewal: The Major Focus of Project Oriented Urban Design
Urban design programs have been most successful where there is sig-
nificant opportunity for large-scale redevelopment. These opportunities
are created by federal housing and urban renewal programs. Thus, earlier
and more vigorous urban design programs have relied on a project approach.
Providence's College Hill, Boston's Government Center, Philadelphia's
Society Hill, Pittsburgh's Golden Triangle, Baltimore's Charles Center,
\
and Cincinnati1^ CBD redevelopment are a few of the morr ignificant
projects carried out using this basic approach.
Many urban redevelopment efforts, particularly those initiated under
federal programs, were not classic examples of the project approach.
While conceived as projects, many found it necessary to employ process
approach techniques to implement their programs. The distinction, however,
in viewing them as project-type approaches is due to the essentially proj-
ect nature of the approach to the problem and the general bias toward the
project orientation.
As renewal opportunities diminish, mostly because of changing federal
priorities, this approach will have to change. However, urban design con-
tinues to look to agencies such as the Boston Renewal Authority and the
Department of Urban Development in Cincinnati, where there are still re-
newal opportunity and strong urban design programs. It is important to
examine both the opportunities and the limitations created by close ties
with governmentally sponsored urban renewal programs.
The primary advantage of implementing urban design objectives under
governmentaIly sponsored renewal is that the program is designed to remove
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some of the major constraints to the project approach. Through eminent
domain, land parcels can be assembled, of sufficient size to ameliorate
any negative externalities that might reduce redevelopment potential.
Through writedowns, land can be made marketable. These factors create
a favorable context for development and a desirable place to invest
capita I.
The desirability of the area is further increased by large-scale
capital improvements made by local government. This has three benefits:
it sets up a physical context for private development and provides environ-
mental amenities which increase the financial attractiveness of the area;
it offers the opportunity to influence private developers to accept design
specifications; and welI-designed public works, by example, encourage a
higher quality of private development.
With the land in public ownership, normal legal constraints are
eliminated. Conditions on use and standards for design and development
can be specified creating a development policy framework, which is imple-
mented through requirements specified in the disposition contract and
through design review procedures which insure that these agreements are
carried out. Directly linking policies to implementation creates a design
situation similar to traditional design functions, except at a larger
scale. Under these conditions the public urban designer and private
sector designers share more goals and knowledge, as well as the possibility
for greater mutual understanding and cooperation.
Methodology in the Renewal Context The unique relationship between
urban designer and private developer under urban renewal also affects the
methodological orientation. Methodology tends to be subjective. Broad
citizen participation has usually not occurred so that interaction between
parties is on a more professional basis. Each participant group understands
generally the underlying assumptions and goal orientations of the other.
There is no pressure to make pol icies and design principles expIicit outside
a specific project context.
For each project, a systematic process occurs which involves local
elected officials, the agency, urban designers, the developer and hFs
designers, and other interested groups such as businessmen, the local
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historical society, and so on. Improving this process has been a central
concern during the 60ls. In 1963, Cincinnati developed a process which
programmed a series of choices at each critical point, so that agreement
was reached by all concerned parties. By the time the plan was completed,
its formal adoption was assured. Roger Montgomery in writing about the
design process in renewal pointed out that newer approaches are "...aimed
at 'process comprehensiveness' rather than 'plan comprehensiveness'."
Under these newer approaches the plan is kept more flexible and the desjgn
effort is continued throughout the life of the project. This concern with
process within a project approach reflects the qenera I interest in process
orientation. However, in the project oriented activities of renewal,
changes in the design process are aimed primarily at gaining acceptance of
plans by increasing the involvement of interest groups. Little seems to
have been done to increase the objectivity of methods used within this
process. Agreement on design issues is based on mutual understanding,
shared goals, and a respect for professional design judgment.
Limitations of_the_RenewaI Context Inherent limitations exist when
urban design takes place in the urban renewal context. In Cincinnati,
for example, approximately one-third of the city is within the designated
renewal area. With one-third of the city experiencing on-going urban
design, the other two-thirds of the city usually receives minimal design
attention. in most cities, however, less than one-third ot the city has
been designated for renewal. Minneapolis and Philadelphia have approxi-
mately 25 percent within the renewal area but only 2 percent undergoing
redevelopment. Thus, the area of active influence may be, at any one
time, a small fraction of the total designated area. In general, where
there are active renewal projects the impact of urban design is signifi-
cant, but since these areas are small, the visual quality of the major
part of the city is usually neglected.
The extensive time required for rebuilding in urban renewal creates
an additional problem. As Miner notes:
Clearance is relatively fast; rebuilding is slow.
At the early stages of the renewal project a design
concept is developed and some new construction takes
place in accord with it. Later some proposals come
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in that are in conflict with the plan, so the plan
is amended. Frequently the plan gets amended so
much that a major overhaul is required. This means
a new plan by a new set of designers. The designers
first step (is) usually to criticize all that was
done before and impose his own design concept in
the whole area, the rebuilt portions as well as
those that are still vacant. It appears to the
observer that urban designers cannot live with the
work of any previous designer and must always remake
the project in their own mold.
A final and perhaps more serious drawback is the inherent limiting
of design control and influence to the period of active renewal. After
a project area is closed out, control over changes in that area, beyond
those in land covenants, reverts to the local planning agency. When urban
design takes place within renewal, equally strong visual quality regula-
tions are_not usually developed in zoning ordinances and other regulatory
devices.
Recognizing this problem, the Cincinnati Department of Community
Development is presently closing out a successful downtown renewal project
and is proposing needed regulatory measures and review procedures. These
proposals stimulated the urban design section of the renewal authority to
collaborate with the city planning department in developing and proposing
environmental quality district regulations. These regulations, in
effect, allow an environmental quality board to designate areas of the city
as environmental quality districts. The board gains review and approval
powers over building projects in the designated area. If it passes, the
ordinance could become a model for protecting other areas of the city such
as hillsides, views, and river fronts.
Joint Concept Strategy: A New Approach to Project Design
In cities without federal renewal opportunities the project oriented
approach to achieving visual quality is not prevalent. Projects are
either on a smaller scale (dealing with beautification projects, landscap-
ing programs, and in some cases working on an ad hoc basis with private
developers to upgrade amenity levels), or they are one of several imple-
mentation strategies within a process oriented approach to urban design.
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While the limitations of urban renewal precipitated the growth of
the more systematic and comprehensive process oriented approach to urban
design, they by no means terminated designers' and planners' interest in
the project approach. Rather, a new concept emerged; it is known as the
Joint Development Strategy and attempts to overcome the basic limitations
of project design in the urban context.
Adverse citizen response to the Bureau of Public Roads' planning for
urban interstate highways resulted in a series of publications from the
U. S. Department of Transportation that formed the basis for the Joint
Development Concept. It was first articulated by Frank Turner in a speech
to the American Association of State Highway Officials in 1966. He said:
...Limitations work against our own responsibility
and efforts to provide cities with an adequate trans-
portation system, as welI as the many other accommo-
dations needed to make cities better places in which
to live, work, and enjoy life. While this is a problem,
its solution can also afford to us an opportunity. To
assist in solving this problem, and to take advantage
of the opportunity present to rebuild our cities, the
Bureau of Pub Iic Roads has developed a concept for
the joint cooperative development of urban freeways
simultaneously with the provision for other needed
urban accommodations.
While the concept obviously evolved as an effort to pain public acceptance,
its aim was to use the impact of highway building to stimulate other proj-
ects while simultaneously conserving economic, human, and land resources.
Embodied in the idea of "jointness" was not only multi-use of the trans-
portation corridor, but also the use of muItidiscipMnary design teams and
cooperation with local governmental units.
Having accepted the "...truism that city plans do not get built,"
the success of urban design firms engaged in joint development projects
such as the Phoenix Papago Freeway and the Baltimore Innercity Interstate
design had a significant impact. It created a new awareness in designers
of the opportunity provided by such relationships. Struck with this new
political awareness, they came to appreciate the implications of the
Philadelphia, New York City, and the Cincinnati CBD renewal, recognizing
303
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the necessity for joint efforts by the public-private sector in addition
to intergovernmental cooperation. Designers saw in these new relation-
ships the opportunity to overcome existing barriers such as single pur-
poseness, difficulties in coordination, lack of public acceptance, limited
capital and power, and above all, the inability of public authorities to
provide more than the barest functional necessities in their capital
I &
improvement projects. As Fisher-Smith noted, "A new urban design and
implementation process is developing which promises to offer a better
19
solution to the building and renewal of major elements of the city..."
In this new context, both the scope of urban design efforts and
the concept of jointness were altered. Fisher-Smith noted:
The stress is on making decisions about key portions
of the city which will immediately effect implementation.
The Urban Design Process is city architecture. The
design and implementation of the community or neighbor-
hood or urban system as a whole...
Urban design was seen as managable, well-defined projects, to be imple-
mented within a short time span.
While the cooperation of governmental units was still seen as sig-
nificant, increased stress was placed on the synthesis of public and pri-
vate sector efforts. Government was no longer viewed as having the re-
sources to implement satisfactory projects while the private sector did
not have the capital, the regulatory tools, or the power to acquire large
sections of land. Neither by themselves had exhibited the capacity to
satisfy the citizenry. If urban design projects were to be implemented,
designers and planners recognized that both were necessary; neither was
sufficient. The financial, land acquisition, and management capabilities
of the city were needed. But the private sector involvement has to be
obtained if the city was to be able to effectively leverage its own capa-
bilities. Taking as significant the success of the Cincinnati and New York
efforts, a revision of the Joint Development Concept recently emerged,
expressed by the staff of the Department of Housing and Urban Development
as follows:
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Joint development is the construction of major
segments of the built environment by a public- ,
private developer. The objective is the marshal-
ing of public powers and private resources to „.
create a higher qua I ity 'bui It environment...'
The revised concept sees as critical the creation of a public-private
client that can effectively bring together the resources of both and
achieve community approval. The focus remains on key projects which in
themselves will improve the environment for subsequent projects.
In the belief that this approach has considerable merit for improv-
ing the environment, the Environmental and Land Use Division of the U. S.
Department of Housing and Urban Development is currently sponsoring a
study of the idea. Under the title, "Case Studies on Joint Development
Strategies," approximately thirty-five case studies are being conducted
of agency roles, design and development processes, and project strategies.
The study will evaluate effectiveness as well as identify the necessary
techniques and processes and the innovations being used.
While it is too early to predict the efficacy of the Joint Concept
Approach for general usage, there is general agreement as to its success
in several instances. Presumedly, the HUD study will evaluate its gener-
ability and applicability to urban design projects. It is clear, however,
that the ultimate success of this approach in implementing key design
projects will be predicated on its integration with a welI-conceived
process oriented design program.
The Process Approach to Achieving Visual Quality
Two Basic Models The evolution of a process orientation in urban
design is the most fundamental change that has taken place in urban design
practice and has extended significantly the achievement of design objec-
tives. While such programs are generally carried out within a compre-
hensive planning context, there are two basic models. In one case the
urban design study is conducted independently of other planning studies.
The focus is on design issues with the intention to develop "...an overall
22
design statement to guide...physicaI development," or to "...serve as
a framework for the discussion of the direction that the city's design and
305
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23
development should take." Subsequently, the urban design study is
integrated with social, economic, and technological studies to generate
24 25
a comprehensive plan. San Francisco and Seattle have conducted such
urban design studies.
In the other basic model, urban design concerns are incorporated
within comprehensive planning processes. in this approach design studies
are developed simultaneously with other planning studies with integration
at critical stages. The emphasis is on the city's "physical form and
appearance" and its "form and structure." Urban design is concerned
with interrelating "...functional, esthetic and social needs into a physi-
cal framework. It attempts to achieve a coherent yet varied order in
on
which individual parts can be identified and related to the overall form."
Minneapolis and Dallas have followed this approach. In the Metro Center 85
report from Minneapol is, economic, physical and social issues were studied.
The plan itself is presented in sections dealing with successively more
detailed aspects of the area. A land use framework occurs first, followed
by a circulation framework, a visual image framework, and finally a section
29
on environmental quality control. Taken as a whole, these sections
represent a comprehensive framework for development. While the former
approach benefits from independence and concentration, it suffers from
what has been called "retry" problems—the capacity to integrate individual
items with each other and into the planning process.
Developing the Process Approach The process approach is developed
through a number of identifiable stages (See Figure 17). Ph_ase I is
usually an inventory and analysis of the city. Such studies vary as to
the attributes which the designer believes are important. Independent
urban design studies concentrate on form and form related elements. The
San Francisco study, for example, analyzes topography, major form elements
(transportation routes, open space, building mass, and hills), micro-climate,
general building types, existing form controls, views, noise sources,
boundaries, neighborhood associations, maintenance, development improvements,
and historic sites as background information. More recent studies have
expanded this list to include additional physical attributes as well as
natural environmental elements. Dallas, for example, has included
306
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FIGURE 17
PROCESS ORIENTED URBAN DESIGN
DESIGN PROCESSES AND URBAN
DESIGN FACILITATING ACTIVITIES
—>
IMPLEMENTATION
INFLUENCE
DESIGN PREVIEW
CONTENT
u>
o
SOC 1 AL/ECONOMI C/PHYS ICAL
ENVIRONMENTAL/CULTURAL DATA
BACKGROUND
STUDIES
DETA 1 LED
STUDIES:
E
r
.e
ual Analy-
sis, Image
Survey
CONTROL OVER CITY
BUILDING INDUSTRY
PROCESS & PROCEDURE
ANALYSIS & FORMULATION
STRATEGY
FORMULATION
PPBS, etc.
EXPLICIT
DESIGN
PRINCIPLES
FORMULATE GOALS
AND OBJECTIVES
DESIGN
POLICIES
& PLANS
i AREA-WIDE]
DISTRICT
ADVICE TO
PUBLIC DESIGN
MAKERS
ADVICE TO
DEVELOPERS
ENVIRONMENTAL
EDUCATION
FUNCTIONS
CITIZEN INPUT
CREATIVE
DESIGN
IDEAS
SUGGESTIONS
DESIGN
CONTROLS.
PUBLIC 1
INVESTMENTS]?
PRODUCT
ORIENTED
ACTIVITIES
BUILD IN/
ENHANCE
SPECIAL
D 1 STR 1 CT
DESIGNATIONS
CHANGE INL
CONTEXT |P
PRESERVATION/
PROTECTION
INFORMAL INFLUENCE ON
CITY BUI LD ING INDUSTRY
PUBLIC SUPPORT FOR GOOD DESIGN
-------
32
ecological and cultural studies in its data bank. (The former, in
addition, is being used for the evaluation of regional transit corridors
and for review by citizen groups of environmental impact statements.)
The Seattle Urban Design, Report I: Determinants of Cfty Form, analyzed
a number of elements of the natural setting including slope, soil character-
istics, shadow patterns, and landslide hazards.
When urban design concerns are addressed within planning studies, the
list of inventory elements is broader, usually including economic and
social as well as physical, cultural, and ecological factors.
The initial collection of background information is usually supple-
mented by studies conducted in a manner reflecting the current trend toward
sysfematic methodology. The most common is some adaptation of Lynch's
34 35
techniques for analyzing city images or views from the road, though
studies of user preferences and behaviors are increasing in number.
The San Francisco urban design study extended the scope of environ-
mental form and image surveys. In Preliminary Report 4: Existing Form
and Image, four surveys were carried out: (I) Quality of Environment
Survey; (2) Internal Pattern and Image Survey (a modified "Image of the
'City" study); (3) Road Environment Survey (included a modified "View from
the Road" study); and (4) External Form and Image Survey.
The "Quality of Environment Survey" evaluated nine factors: quality
of maintenance; quality of view; visual interest of street facade; block
variation; distance to open space, presence of nature; compatabiIity of
nature; clarity of local image; and micro-climate. Each factor was evalu-
'ated on a five-point ordinal scale that allowed reasonably standard rating.
While judgments were required in evaluation, the decision rules were made
explicit. The survey was conducted on a block basis and was used to iden-
tify problems and deficiencies. The data were synthesized, and a graphic
display identified the location of below-average and poor areas of the
city. The areas identified in this survey corresponded closely with resi-
dent ratings obtained in "A Social Reconnaissance Survey" conducted in the
falI of 1969.
The second study, "Internal Pattern and Image Survey," ...entailed
the identification, evaluation and charting of those physical features that
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contribute to understanding the structure and organization of the city.
The emphasis in this study is on focal points, viewpoints, landmarks,
terrain, and movement patterns. The analysis of these factors was com-
bined with the "Quality of Environment Survey" to present an interpre-
tation of problems and opportunities by planning areas.
The "Road Environment Survey" had as its purpose the development of
policies and guidelines for improving the city's road environment. It
looked at five aspects: major citywide destination; citywide form ele-
ments; roadway character; roadway identity and structure; and roadway
information. The system was evaluated according to seven criteria:
maintenance; spaciousness; order; monotony, clarity of route; orientation
to destination; and safety and ease of movement. Again, measurement
scales were used, and criteria rating descriptions were made explicit,
verbally and through photographs.
The final survey, "External Form and Image," presented a "...graphic
•7 O
record of the city's existing skyline and its massive patterns..."
Photographs were selected and evaluated for unusually significant
features. The study later provided background analysis for development
of height and view preservation policies.
in the final phase of the study, the four surveys were displayed on
two maps. The first, a summary map of visual elements of city form, high-
lights the overlapping distribution of visual elements. The second, a
summary map of visual problems and potentials, represents an attempt to:
...Subdivide the city into a number of areas that,
as a result of the survey, seem to be visually co-
hesive and are distinct as definable enclaves
within the whole fabric of the city. The importance
of this attempt is to begin to delineate some dis-
tricts for specific urban design form studies.
This set of detailed surveys is an example of an attempt to deal more
systematically with inherently subjective phenomena. With careful develop-
ment of explicit decision rules and criteria, general agreement can be
reached prior to environmental analysis. Preconceptions and biases are
minimized, and resulting analyses are more credible.
309
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Phase 2 of the process oriented approach is concerned with formulat-
ing goals and objectives defining what should exist. It is here that
primary efforts to obtain citizen input are made. The San Francisco
40
study used three techniques: an advisory committee of citizens repre-
senting a broad range of interests and concerns; staff perceptions of
public hearing activities; and surveys carried out as a part of the study.
Techniques, used elsewhere, include neighborhood meetings, public presen-
tation of design issues to citizen organizations, and public hearings.
In urban design studies that are part of comprehensive planning
studies, the same techniques to obtain citizen data can be used. The
nature of this approach encourages longer term, ongoing connections with
community groups and the general public. Permanent two-way communication
channels are established to increase the quantity and quality of the
involvement and information.
Dallas is currently developing a citizen input technique referred to
41
as "responsive design." This program emphasized the importance of
knowledgeable citizen input, and their involvement is sought in several
ways. Surveys are extensively used, offering a broad-based reading of
public opinion from which some statistical interpretations can be made.
Another technique is use of citizen groups to conduct studies. In the
recently completed ecological study, for example, local environmentalists
helped gather and code basic data. This, coupled with publicity concerning
the purposes and issues to which the study was addressed, helped to make
the general public more aware of environmental problems and opportunities
in Dal I as.
Dallas also attempts to raise the level of public awareness. It uses
three techniques for educating the public. The staff is encouraged to
address civic groups and governmental units at every opportunity to reach
the organized segments of the community. A second technique is exhibi-
tions. A recent one, "Options for Tomorrow's City," involved the viewer
in making a series of choices which reflect basic alternatives for future
development. After the viewer made a choice, its consequences were dis-
played. At the end of the exhibition, a multiscreen slide presentation
reviewed each basic choice and its consequences. A folded poster was
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given to the viewer so he could record his choices. The poster also
provided information on how to get involved. This type of educational
effort has the potential of reaching a broad segment of the population.
Finally, the urban design staff worked closely with the school board in
developing a technical high school curriculum for training planning and
design para-professionals.
Formulation of goals and objectives provides the basis for Phase 3,
which delineates the design principles to be followed. These principles
establish the "...fundamental rules governing the methods of achieving
42
esthetic and functional urban design goals and objectives..." Usually,
design principles are developed at citywide and district levels, especi-
al ly when there are districts which have unique qualities. In some cases,
principles are developed with respect to the goals and objectives to which
they most closely relate (amenity, comfort, and visual interest). In
other cases they may be related to the functional area with which they deal
(streets, open space, and building type). Regardless of organization,
principles are not project specific but can be used to evaluate designs
submitted by private developers.
It is considered extremely important to make design principles
explicit. It alerts architects, builders, and developers to the city's
concerns. Some cities have formalized this by preparing "developer kits"
which are distributed to anyone interested in developing land. Explicit-
ness also provides evaluation criteria for review procedures—an important
factor when exercising regulatory controls over private property. When
design principles are published, they serve to educate and call public
attention to design issues.
Factual and analytic background data, goals and objectives along with
design principles are the basic ingredients for Phase 4: The Development
of Design Policies and Plans. It is in this phase that data are synthe-
sized to'generate solutions to design problems. In a process orientation,
these tend to be policy plans rather than project plans. Although site
plans and other designs are often presented, their purpose is to illustrate
the design principles involved Or to exemplify the effect of a proposed
design policy. This is one of the fundamental distinctions between a plan
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produced under a process approach as opposed to one produced under the
project approach.
Design policy plans developed as a part of an independent citywide
urban design study usually address both citywide and district concerns.
Other policy plans are developed as detailing of, or background to, a com-
prehensive plan. As background, these plans deal with both citywide and,
to a greater extent, district levels of concern. However, they are dis-
tinguished from the first type by the fact that they are not intended to
stand alone and as part of planning studies, the substantive area of concern
is much broader. Another purpose for generating policy plans is in response
to specific problems and issues with which the city must deal. These plans
vary greatly depending on the problem and issues.
An example of a design policy plan intended to stand alone as one ele-
ment of a comprehensive plan is the San Francisco Urban Design Plan. The
Urban Design Study actually resulted in two plans. First, Prelimi nary
Report 8: Citywide Urban Design Plan proposed a series of urban design
guidelines. The citywide guidelines are to "...provide a basic framework
for more detailed urban design plans at the district and neighborhood
levels." The proposals are organized into five aspects of physical form
and environment: (I) open space and landscaping; (2) street design; (3)
the preservation of street spaces; (4) the height of buildings; and (5) the
bulk of buildings. The plan takes a policy stand on those elements of the
city over which the public body exercises control.
In the final urban design plan for San Francisco, a stronger policy
focus was taken. As an element of the San Francisco comprehensive plan,
it is concerned with the "physical character and order of the city, and the
45
relationship between people and their environments." The plan is orga-
nized around four areas: (1) city pattern; (2) conservation; (3) major new
development; and (4) neighborhood environment. For each area the plan
defines human needs, specifies the objectives toward which both public and
private efforts must be directed, and presents fundamental design principles.
It then proposes
"...a series of policies necessary to achieve or
approach the overa I I object ive, which acknowledge
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the needs and principles, and which provide a con-
tinuing guide and directive for public and private
decisions pertinent to this plan."
The Oakland urban design report, although employing a different
study method than San Francisco, has some of the same characteristics.
It presents design policy proposals intended to creatively direct the
inevitable changes to achieve a number of broad design objectives.
Design objectives are to be achieved by creating "...a logical, visable
48
framework which organizes and stimulates private development." Like
the San Francisco report, these policies and proposals focus on areas
where public control is fairly direct.
V
Design policy plans that deal with citywide design problems serve
two primary functions. They act as a policy framework for development
which has citywide importance, and they set a policy framework for urban
design studies and policy plans at the district and neighborhood levels.
The background analysis often identifies districts with which later
studies should be concerned. Usually, only critical districts and areas
are treated in the initial study, if particular areas are considered at
al I .
The Visual Environment of_ Los Angeies, a study analyzing the city's
image, is an example of an urban design study that is an input to the
49
General Plan 'for Future Development. The first section deals with
physical form, visual form, images of the city, and visual criteria for
city design. The visual analysis serves to illuminate problems and oppor-
tunities. These are detailed for the transportation system, activity
nodes and special districts, major landscape features, residential areas,
citywide visual factors, and the visual environment as a whole. This is
followed by proposals of action for visual improvement. One recommended
action is incorporation of the study's visual objectives and principles
as an integral part of the comprehensive general plan. Another recom-
mendation is that the study be "...followed by more detailed studies of
two types: (I) in-depth analyses relating to the visual elements and
factors; (2) local visual surveys conducted as a part of studies for the
50
preparation of community plans for the various parts of the city."
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Additional actions were proposed to increase citizen participation and
achieve more direct implementation through: (I) project oriented urban
design activities; (2) regulation of development; and (.3) persuasion.
Design policies developed within the comprehensive plan generally
deal in detail with a critical district. They may focus on a functional
area such as housing or transportation, though usually these are in plans
responding to current problems and issues. Because of the more limited
district focus, the urban design concerns are more specific and permits
more immediate implementation. For example, the Northern Waterfront Plan
for San Francisco, an amendment to the San Francisco Master plan, deals
with specific urban design objectives, policies, and concepts.
Design policy plans are often produced in response to topical problems
and issues. These plans generally focus at the district level; CBD's,
historic and cultural areas, and areas with significant environmental ele-
ments are frequent targets. In addition, they often focus on functional
items such as transportation in the central area. This type of plan is
most often found where urban design activities are closely integrated with
comprehensive planning and are generally treated as one aspect of the
total substantive concern. Metro Center 85, a report on central Minne-
' 52~~
apolis, and the report, New_ Patterns (from the same agency), are examples
of this application. The latter report deals with a Model Cities area
and focuses on transportation options for Model City residents. The plan
embodies urban design concerns in the sections on environmental patterns
and transportation patterns. Metro Center 85 discusses pedestrian circu-
lation and related amenities. New Patterns, in addition to dealing with
air, water, and noise pollution, considers aspects of the visual environ-
ment such as building illumination, lines of movement, signs, and street
furn iture.
A recent Atlanta, Georgia, study focuses on increasing access to the
central area. In this plan, urban design proposals are project oriented,
specifying physical actions rather than policies which might guide these
act ions.
While it is hard to generalize on urban design proposals in planning
studies of this type, their value in raising urban design concerns is
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significant. Urban design within a comprehensive planning study gains
both relevance and strength: relevance in that it is focused on a dis-
trict where simultaneous improvement efforts are being made; strength in
that competition with other issues keeps urban design proposals from being
developed in a vacuum.
I mp I ementing Urban Design Objectives vilth in the Process Approach
The distinction between project and the process approaches tends to
blurr during implementation. In the classic project approach, implementa-
tion is through actual development—construction of the project by the
local authority. In the implementation of urban renewal and similar proj-
ects, however, various advisory, control and incentive guidance tools are
used as well, in practice, the urban design framework created by urban
renewal, together with bulk and density controls and design review pro-
cedures, acquired the characteristics of an urban design guidance system
similar to that used in the process approach. The inherent limits of the
urban renewal project created an awareness of the importance of the imple-
mentation stage and the need for more effective control, incentive, and
advisory guidance instruments. In order to more clearly understand the
use of implementation tools in a guidance framework, it is better not to
distinguish between the two approaches. The following discussion of
guidance tools will focus on those normally associated with the process
approach.
A variety of process approach guidance instruments are currently
employed to improve the visual quality of the environment. For the most
part, these are the same basic tools that have been used by planners since
the late 1950's. Most recent changes can be viewed as attempts to broaden
the scope and degree of control, improve the quality of decisions being
made, and increase flexibility and capacity in dealing with unique or
unusual conditions.
In the main, these guidance tools are embodied in the substance and
administration of controls such as subdivision, building, outdoor adver-
tising, appearance, bulk and density, special use and district, and site
plan review. Incentives are frequently made a part, explicitly and
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implicitly, of these control type toots, as for example, in floor area
ratio regulations. Advisory type tools, though common, are not nearly so
widespread as control types, being found in the form of information pam-
phlets, brochures, and exhibitions. Advice, per se, appears constantly
as part of the daily interactions between planning officials and developers.
At the cutting edge are new refinements predicated on better information
and environmental analysis, and perhaps most significant, guidance instru-
ments developed as part of a holistic process approach.
A subtle but significant difference exists between advisory and some
control type tools. Controls fall into three major categories: (I) those
embodied in ordinances regulating specific characteristics of visual ele-
ments and/or elements within districts; (2) those embodied in ordinances
specifying review processes but in which operational requirements, with
respect to visual elements, are, at most, semi-specific; and (3) those
informal influences embodied in formal processes and informal interactions
between the authority and the developer where requirements are unspecific.
The first category includes typical zoning and subdivision require-
ments and nuisance ordinances. The visual quality objectives may be
explicit, as in an appearance or sign ordinance, or they may be implicit,
as in bulk and density control ordinances. Whether the goal is implicit
or explicit, requirements as to physical form are usually specific and
factual, and determination of compliance is factually premised. Control,
or implementation of the requirement, is embodied in the police power and,
as such, the outcome of each design is reasonably definite and predictable.
As a coral I any, such tools are relatively limited with respect to adapting
to unanticipated problems such as unusual site conditions and unique build-
ing designs or site plans.
These instruments usually specify minimum or maximum performance re-
quirements with respect to building form. Limited by judicial sanctions,
they tend to eliminate the poorest quality urban elements rather than to
generally improve the visual environment. Since there is also a tendency
to el iminate the unusual, and hence excel lent, design as welI, the use of
these tools tends toward a mediocre environment rather than one of improved
overall quality. Nevertheless, for several reasons such controls are
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extremely popular. Esthetic sanctions are buried in others readily
acceptable by the courts. They are simple and quick to administer.
requiring personnel with minimal design ability. And, they provide an
adequate response to most poorly designed development proposals.
An inherent characteristic of ordinances, such as bulk and density
controls, is their ultimate impact on form. Frequently, they do not
embody explicit or implicit visual objectives. Many such ordinances,
negatively affect visual quality since they are not written with these
objectives in mind.
The second category of control instruments includes a variety of
administrative and quasi-judicial regulatory processes, such as review
procedures for architectural control, design, special use permits, site
plans, and even variance approval. The esthetic intent in these cases
may be explicit as, for example, in the case of design review or planned
unit development review; usually, however, it is not.
In other formal processes regulating development, such as the review
of special uses, esthetic objectives are usually unstated though fre-
quently implicit. In this guidance instrument, requirements for physical
form are essentially non-specific and judgment is used to determine con-
formance. Occasionally, requirements may be semi-spec!fie, as in the
form of design policies.
As in the first category, implementation is embodied in the police
power but due to the lack of specificity, the environmental outcome is
indefinite and only semi-predictabIe. On the other hand, such controls
are more flexible than the element-specific type and can deal with unique
contextual situations and designs. (Flexibility is presumably limited by
judicial constraints, though as will be discussed later, even this is, to
a large degree, negotiable.) It is for these reasons that such ordinances
have embodied most recent innovations and have increased so significantly
in use during the last decade.
The third category, informal influence, is usually thought of as a
type of advisory instrument. It includes those informal means by which a
planning agency can influence the visual quality of development. The
medium for this set of guidance instruments includes the daily transactions
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between developers and planning officers, commissioners, etc., as well as
the formal interactions described earlier. In these cases, goals and
objectives are unspecified except as implied, and particular requirements
do not exist. Both are usually conveyed to the developer as advice related
to an individual project. Guidance is achieved through informal power,
derived from sources such as the charisma of the planning staff or review
board, forms of remuneration, implicit sanctions, harrassment, and nego-
54
tiation. (It is important to note that advice is often an effective
form of remuneration; this adds to the difficulty of distinguishing be-
tween advice and control type guidance tools.) Unless constrained by
design policies, the outcome of the use of advice as a guidance tool Is
indefinite and unpredictable. Its capacity for flexibility, however, is
great as is its range of application. Advice is not limited to specific
elements or districts, nor is it constrained by judicial or legislative
limits. In this sense, it is probably the most pervasive guidance tool for
achieving visual quality and may welI be the most potent. But, given the
lack of specificity and the tendency toward capriciousness which pervade
its use, advice is the most difficult control to identify and to evaluate
for effectiveness.
When advisory type guidance instruments, through implicit sanctions
and harrassment, become regulatory in nature, an ethical problem arises.
This increases as objectives extend beyond the powers permitted by the law.
Some planners argue that such devices are a poor substitute for an adequate
guidance system and need not and should not be used. Nevertheless, their
use is pervasive, apparently filling a gap as agencies slowly respond to
changing conditions and attempt to cope with legislative constraints and
legal limits. On the other hand, when power is derived from the personal
charisma of the planning staff or services it can provide, the process
does not generate stress, and the ethical overtones are seen as less sig-
nificant. Given personnel and programs emboding these characteristics, the
technique achieves substantial results.
While these three types of control guidance tools can be distinguished,
it must be borne in mind that often two or more are employed simultaneously
with respect to a particular building application or program. The use of
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informal types of influence frequently accompanies the exercise of
element-specific ordinances. Site and design review of planned unit
development is apt to be accompanied by both other types and to signifi-
cantly depend on the opportunity to exercise them. It is probably fair
to say that one of the significant strengths of opening lines of com-
munication with designers early in the design process is the possibility
for exerting informal influence for design changes at a time when they
can be accommodated.
While combinations of these specific tools are always employed by
local planning agencies, it would be unfair to say that many are con-
sciously developed as integrated guidance systems. Rather the tools
appear to be adopted and applied on a piecemeal basis with frequent in-
consistencies in ends, substance, scope and application, and criteria.
Element-specific ordinances are common, consisting of requirements bor-
rowed from model ordinances with little consideration for either local
visual requirements or relationships to other regulations. As such, they
are often contra-productive with respect to the visual objectives implied
in the element semi-spec!fic ordinances. A pervasive and significant
example of this is the relationship between bulk and density controls and
parking requirements in commercial and institutional zones. Often, park-
ing requirements are the effective control of bulk, and visual quality
objectives embodied in the actual bulk and density controls are thwarted.
In this context it should be noted that a variety of ordinances exist
which, though they are not under the planning administration, bear upon
the visual quality of the environment. Health, fire, and traffic engineer-
ing ordinances, for example, which specify distances between buildings,
width of roads and cul-de-sacs, building density, and even bridge form
affect the visual quality of the city. Such ordinances are often incon-
sistent with development controls regulating the same environmental ele-
ments, but more to the point, they are often premised on technical require-
ments or standards which themselves are subject to question and modifica-
tion. Such standards are usually solution specific, but the objectives
are capable of being satisfied in a variety of ways which could be con-
sistent with the esthetic objectives of the community. In spite of local
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agencies' increased use and variation of guidance tools to improve visual
quality, many available tools are under-utilized or not employed at all.
Lack of awareness of inadequacy of personnel accounts for this condition
i n some cases.
Although use of the police power to achieve esthetic ends has been
increasingly liberalized during the past several decades, there remain
limitations and ambiguities that discourage its use by many local authori-
ties. Also, there is a reluctance among many political leaders—under
pressure by influential sectors of the public—to adopt or rigorously
apply legislation of any type for this purpose. In some cases, this
simply reflects the belief that the regulation of esthetics is not a com-
munity concern which justifies infringement on private property rights.
In other cases, planners and designers are convinced that such guidance
tools cannot significantly improve the visual quality of the environment.
And, in many cases, the reluctance to use such tools results from a fear
that the courts will find esthetic regulation unconstitutional, thus elimi-
nating the limited power that now exists. As a result, many esthetic
guidance components now in use are embedded in other more basic tools;
this gives them a low profile and also provides justification for using
the police power. While special district, special use, and the planned
unit development instruments have not been adopted specifically to achieve
esthetic ends, they serve as powerful tools for achieving this goal.
There are some instances where more systematic methodologies have been
employed with respect to the use of process tools by local planning agen-
cies, but these have been the exception rather than the rule and are
limited, for the most part, to large cities. Intuition, traditional design
principles and standards, and the use of expert, and even lay, opinion
continue to typify the substantive state of guidance tools for improving
visual quality. Few communities have evolved new tools or updated existing
tools by employing systematic techniques of inventory, analysis, or evalu-
ation. Few have attempted to employ currently available scientific data
on user responses or participatory strategies to assist in defining their
guidance tools or objectives. Fewer still have developed design plans or
design policy frameworks to integrate their programs, refine sector
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objectives, or minimize arbitrariness and capriciousness in individual
decisions. Objectives with respect to the visual quality of the environ-
ment continue to be expressed by phrases such as harmony and unity, with
few examples of more definitive criteria. The focus continues to be
restricted, for the most part, to the district and element level at least
with respect to using specific tools.
Innovatiye Guidance Techniques
For the most part there appear to be few innovative tools that are
truly unique or have been newly developed. Primarily, they are modifi-
cations of existing devices. However, many tools are at the cutting edge
in that they are relatively recent in application by a small set of
municipal ities.
Current guidance tools for achieving visual quality, when used in
combination and integrated into guidance systems possess the potential
for influencing development. If tools are viewed individually in this
context, it is possible to better understand their potential effectiveness
and scope of application in terms of environmental context and substance.
Unfortunately, there has been little if any investigation of the
synergistic qualities of combinations of these tools, a matter of extreme
importance to their optimum utilization. The reader, however, should be
aware of a Department of Housing and Urban Development study, "Case
Studies in Joint Development Strategies," currently being executed. This
study, should produce data on this subject as welI as on the role of the
private sector in the guidance system.
Density and Bulj< Controls Permitted height, lot coverage, and yard
requirements have been mainstays in controlling visual quality. These
controls continue to be used extensively by local planning agencies.
While they are specific in substance, their objectives as to visual
quality when they exist are usually implicit. Their value in contributing
to visual quality is their capacity to define the basic form and grain of
the urban fabric. This is vitiated to some extent, of course, by the
necessity of applying them uniformly to land-use sectors of the community
which often produces monotony, and by specifying maximum densities,
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spatial distributions and grain, etc., which often produces unpredictable
and chaotic results, in essence, the bulk and density envelope limits
development, but does not have the capacity to produce the form defined
by the regulations. Thus, particularly in commercial areas, the basic
structure defined conceptually by the ordinance is destroyed by the gaps.
The increasing reliance on controls such as floor area ratio (FAR)
attempts to provide for additional flexibility, variety in form, and in-
creased open space, while still controlling density and basic unity. The
FAR framework, which may be accompanied by height or yard regulations,
provides the designer with considerable flexibility and, presumably, the
urban form with variety of height, spatial quality, and increased open
space. In order to reinforce these objectives and other visual amenities,
incentives, such as increased net floor area, ar§ provided to make the
regulations more attractive to developers or to provide greater assurance
that the envelope will be filled. Often, however, such incentives do not
exist or are not sufficiently attractive to the developer.
With respect to FAR, per se, there are several innovative techniques
being employed which may enhance environmental quality, such as including
only net rentable space or excluding basement space as incentives to
achieve other objectives; exclusion of area in certain uses that will add
to the amenity of the area; and making mandatory design review approval a
prerequisite of certain bonuses.
The FHA Land Use Intensity (LUI) scale is another innovation in this
area. The technique shows great promise for providing flexibility and
achieving environmental amenities but is not yet widely used outside the
context of FHA related development. While it provides an objective tech-
nique for enforcement, its administration requires a high degree of skill
and the model does not respond well to manipulation to suit local conditions
or vaIues .
A situation frequently detrimental to environmental quality results
from residential densities being premised on the assumption of level site
conditions. Varied topography limits site plan alternatives since the
developer tends to use flat areas for both buildings and parking. This
often results in undesirable design qualities and environmental degradation.
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Bair notes that "...the Honolulu ordinance relates per cent of the lot
which may be covered by buildings to the slope of the base line." Thus
as slope increases, ground coverage decreases, opening up site design
alternatives and reducing the disturbance of natural conditions. While
this does not take into consideration the degree of variation, it is a
step forward.
While bulk and density requirements are embodied in virtually all
zoning ordinances, it would appear that their full potential as a basic
structuring device is not being realized. While this may be due in some
instances to conflicting requirements, obvious inconsistencies suggest
that this results from a failure to design the ordinances for these
purposes.
V i suaI Nuisance Control A recent publication has made a significant
contribution in pulling together a variety of guidance instruments that
can be used to regulate four appearance problems: weeds and other vege-
tation; refuse and litter; outdoor storage; and utility wires and equip-
57
ment. The report discusses the full range of guidance instruments
which can be applied to these problems both with respect to maintaining
assets and controlling detractors. Particular attention is given to
utility wires. Given the recent study by A. D. Little, indicating the
saliency of utility poles as an element degrading to environmental quality,
[TO
this section takes on added importance.
V i ew _Protec_t ion Regu I at ions While a concern for scenic view has been
part of many urban design studies and plans, and part of the rationale
for many billboard regulations, the protection of public and private
scenic views by municipalities is relatively new and uncommon. A variety
of tools can be used including granting tax abatements and purchasing
development rights and easements. However, several cities have creatively
employed existing zoning regulations to more effectively preserve and
59
enhance this dimension of the visual quality of the environment. By
specifying view protection as a public goal in the ordinance, building
height, bulk, and spacing can work effectively to preserve views. These
regulations can be applied as special zoning districts or as overlay
districts, or to preserve particular types of views.
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Residential areas of varied topography are a frequent focus of view
problems. A recent study by Frederick Bair on height regulation in resi-
dential areas proposes the use of light planes on sloping lots as a way
, ... .60
of protecting vlew.
Outdoor Advertising Two major proposals have recently been published
which can have significant potential in the war against sign proliferation.
The first, a study sponsored by the American Society of Landscape Archi-
tects and conducted by William Ewald, is directed primarily toward the
auto oriented street. Integrating concepts of information theory with
perception theory, it presents a systematic but simple method for sign
regulation on major streets. Perhaps its most significant contribution
is a focus on and limiting of the quantity of information in addition to
conventional limits on size, location, and so on. Since the former obvi-
ously relates to the latter, the reduction of signage is reinforced.
Notably, it also recognizes special needs and proposes special sign dis-
tricts as a vehicle for handling such situations.
Another recent study by Ash Iey/Myer/Smith for the Boston Redevelopment
Authority and the Department of Housing and Urban Development develops a
/TO
comprehensive program for signs and lights. Viewing these elements as
an information system, they developed a citywide system and method for
implementation, using the process approach described earlier in this
chapter. Both Boston and Dallas are currently preparing new sign ordi-
nances based on the results of this study.
Development Rights Transfer The capacity to transfer development
rights between adjacent properties has significant implications for achiev-
ing visual quality. On the one hand, it creates the opportunity to create
more variety than can normally be attained in lot zoning while offering
benefits to the private parties involved. Greater assurance of quality
can be obtained by making design review a prerequisite of the transfer and,
as in Houston, Texas, providing that the deed restriction is transferred
to the municipality for continuing enforcement. While this tool has had
limited application to date and legal issues may arise, it shows great
promise. (See additional discussion under Historic Preservation.)
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Planned Unit Development The PUD continues to offer the potential
for achieving levels of creativity in design and visual and amenity
64
quality in the environment not possible by more conventional techniques.
In spite of claims as to the newness of the concept, "for all its inno-
vation, (it) is nothing really new, but rather a growing sophistication
of the existing means of land use control." Premised on providing
flexibility, it tends to combine existing element specific tools, with
extensive design and site plan review. There appears to be, however,
continued reluctance to implement PUD's. The concept is plagued by what
has been called the "one-acre mind" of the suburban resident and the
/TO
fear of living next to a hi-rise. While flexibility is one of the
basic objectives of the PUD, authorities continue to fear its socio-
economic implications.
A recent innovation of significance in PUD involves applying the
69
concept to non-residential uses. In East Windsor Township, l\l. J., the
concept was applied to an office park. In another case in Twin Rivers,
N. J., the concept was applied to a "micro-city" combining various resi-
dential land uses with commercial and industrial facilities. In both
cases, seeking to achieve more flexibility, provision is made for approval
of increments of the development, thus permitting the developer to respond
to changing conditions.
In another case, a residential PUD in New Hope, Pennsylvania, a
development framework consisting of permissible density, open spaces, and
the (ike has been established, but the Planning Commission has approval
powers regarding placement of buildings, open space, infrastructure, and
70
so on.
A provision for view protection has recently been made a specific
component of several PUD ordinances.
An important aspect of PUD as with any site plan review technique,
is the possibility of requiring design review and approval as a prerequi-
site for the PUD or for exceeding certain limits specified in the
72
ordinance. In some such cases, for example, Montgomery County, Maryland,
the developer can receive bonuses in terms of number of dwelling units or
permitted densities for what the review body determines is unusually good
design.
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Spec fa I _Di str Jets The use of Special Districts has already been
mentioned in the context of regulating views, historic areas, and signs.
While the tool is not by any means new, the variety of its applications
for achieving visual quality and amenity is increasing. New York City has
recently "...created several special zoning districts in recognition of
the differing neighborhood needs within the city..." A sophisticated
example of this is the Special Greenwich St. Development District. An
intricate objective system of floor area bonuses has been created for pro-
viding a variety of amenities, both on a mandatory and elective basis.
These bonuses are consistently related to defined objectives. This process
provides the developer with significant flexibility and incentives.
Because of its factual specification, it reduces the manpower costs in-
volved in judgmental design review procedures.
Transitional Districts are a recent proposal for easing the visual
transition from one zone to another. In principle, they provide that where
one zone abuts another along a thoroughfare and the visual qualities are
incompatible, a strip district along the thoroughfare can be created with
special requirements or review processes to accomplish a reasonable transi-
tion. This is not an additional zone but a district overlayed on existing
zones. The technique is particularly useful for strip development inter-
spersed with land uses such as institutional or residential. While the
concept seems to be legally valid, Lee notes that its political acceptabil-
ity is another matter. Realtors and developers can be expected to fight
it.74
Specia I Uses The use of this source of control is increasing since it
brings flexibility into the regulatory process. The concept is predicated
on an acknowledgement of certain adverse characteristics associated with
the particular land use. The process provides the opportunity for exercis-
ing discretion in vitiating these adverse conditions. This can mean improv-
ing the special use's visual quality vis a vis its relationship to its con-
text and the provision of certain amenities to amelioriate the situation.
These objectives must be explicit, and a policy framework should be estab-
lished for guidance as well as communication.
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Des[gn Review Frequently, this function is absorbed into other
review procedures such as site plan, PUD, and special use review. The
popularity of architectural control, or design review, as a separate
function, however, appears to be increasing significantly.
Major innovations are taking the form of greater comprehensiveness,
more rigorous analysis and use of scientific data, explicit policies
frameworks and design criteria, and clearer recognition of existing
districts with unique substantive and administrative requirements.
Such a distinction is beginning to emerge, as for example in White
Plains, N. J., where architectural controls for residential areas are
specified in the form of specific look-a-like criteria and administered
by the building inspection division. No discretion of judgment is in-
volved, and developers have a clear understanding of the requirements.
On the other hand, the authority perceives the need for greater flexibility
in commercial areas and has mandatory design review by a special commission
of all proposed buildings in this district.
Boston has acknowledged the need to reflect local values in unique
visual districts in the design review process. It has created independent
review commissions for Beacon Mil I and Back Bay made up of residents of
the respective districts. This stresses the unique qualities of the
individual areas and builds a citizen participatory function into the
procedure. It is a model which could serve well as the application of
this device is expanded to city areas which have a strong local focus and
i nterest.
In spite of the fact that a number of communities are pleased with
the use of design review, many problems exist which curtail its use and
effectiveness. As noted earlier, its legality and/or political accept-
ability curtail its use as does its utility. A question of concern is
arriving at a basis for judging acceptable, or good, design and the accom-
panying tendency for capriciousness and arbitrariness. There can be little
question that the use of more systematic methodology as suggested under the
process approach, the use of more rigorously defined data on preferences
and values, and the concern for local values exemplified in Boston will do
much to ameliorate many of these problems. Likewise, the efficient use of
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advisory techniques in conjunction with regulatory ones will expand the
scope and quality of influence.
Variances Variance review is potentially a powerful tool for achiev-
ing environmental quality, but its explicit use is not common nor is it
often integrated into other visual quality or amenity efforts. The review
of development projects requiring variances provides the opportunity for
integrating adverse conditions with design qualities. Some large cities
have gone so far as to maintain zoning requirements which force proponents
of large development to request variances. In Boston, when this occurs,
the Board of Adjustment requests advice from the urban design staff of the
1M
Boston Renewal Authority. This approach provides the opportunity for
expansion and coordination of city design efforts. While obvious ethical
and professional questions exist with respect to using this device, the
adverse implications of a unique land use suggest that some problems can
be averted by a systematic and consistent application of these objectives,
particularly if they are made explicit.
Historic Preservation
Historic preservation means many things to Americans, embracing a wide
variety of political, physical, economic, and social settings, as well as
historic sites, buildings, structures, districts, and objects. The present
discussion of historic preservation is confined to those aspects of preser-
vation conventionally within the purview and interest of municipal planning
agencies. These, for the most part, include the preservation or conserva-
tion of physical, manmade structures and sites, both those in active or
adaptive use and those not.
Even in this narrow context, it is important to understand a few of
the many reasons why historic preservation may be of significance. The
prevailing justifications for preservation incorporate arguments based on
historical, social, psychological, educational, and economic factors. Of
these justifications six rationales for the preservation of urban manmade
artifacts and districts are commonly advanced. First, it is said that an
environment with cultural and historical continuity is socially beneficial.
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A community ought to preserve some parts of its past in order to recognize
79
what it is, how it became what it is, and how it differs from others.
Second, daily life is enriched through preservation of historic sites
and buildings. This assumes that temporal variety and architectural
diversity in the environment are more desirable than homogeneity and
monotony and that preservation of historic architecture enriches the
, 80
environment.
Third, preserving the visual reminders of a community's past allows
people to relate to events, ideas, movements, and persons believed to be
important to understand and honor. Also, the presence of the physical
past helps to fulfill society's expectations and anticipations for the
Q I
environment and promotes well-being.
Fourth, it is argued that notable architecture and landscapes should
be preserved on the basis of their intrinsic value as art since "architec-
ture is a synthesis and culmination of artistic endeavor and the supreme
no
medium of human expression."
Fifth, in some cases, preservation of historic areas stabilizes or
increases the economic base of their locales. This was, and still is, a
prevailing justification for the approval of historic district ordinances
by State Supreme Courts.
Lastly, socially oriented preservation programs can be important for
maintaining socioeconomic characteristics of neighborhoods. In the few
cases where preservation programs are so directed, they may complement
traditional urban renewal programs, with the advantage that displacement
83
of residents is not necessarily required.
Contextual Changes in Historic Preservation
Earlier in this chapter, contextual changes significant to urban
design were discussed. Similar changes have occurred with respect to
historic preservation. For many years an essentially private sector
activity, preservation has recently moved into the public realm, and
there are signs that broader citizen interest and participation is emerg-
ing. It is important to note that this is in part the result of racial
and ethnic developments, with a new emphasis on separatism, and the
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concommitant rejection of a common or shared heritage for all Americans.
Additionally, the scope has broadened to include historic elements of
local community value and to occasionally recognize elements which, though
not of great historic value in and of themselves, are nevertheless meaning-
ful to the visual guality of the total urban fabric. An increased re-
liance on process oriented approaches, on more modern and systematic
methods and techniques of analysis, and on greater integration of programs,
has also occurred. Some of these changes are reflected in the National
Historic Preservation Act of 1966.
The 1966 Act Under this act, historic preservation began to expand
from an overriding federal preoccupation with individual buildings and
structures of national importance to include buildings, structures, sites,
districts and objects of state or local significance. Many existing pro-
grams and organizations were pulled together in the National Park Service's
Office of Archeology and Historic Preservation, U. S. Department of the
Interior. The Advisory Council on Historic Preservation, an independent
agency responsible to the President but located in the OAHP, was also
established by the 1966 Act to review and comment on all federal programs
which in one way or another might adversely affect properties listed on the
National Register of Historic Places. Although the commission does not
have a veto power, its recommendations have almost invariably been accepted
by the federal agency sponsoring the program under challenge.
Under the 1966 Act, a standard procedure for including properties on
the National Register and for requesting funds for state and local historic
preservation programs was 'stablished. The requirements stemming from
these procedures have pro 'ndly affected historic preservation involvement
at the local and state levels by imposing new responsibilities on these
governments. National Register listing and grants of federal funds gener-
ally go hand in hand. According to established procedures, only those
states that have federally approved statewide historic preservation programs
may app'v. This means -nat local projects, in order to obt--in supporting
federal funds, must be !n:'uded in a statewide program approved both, fay the
state and by the Secret,! .-f rne Interior. These requirements thus set
the framework ?nd K .' i< ,n,aningful incentives for states to develop their
330
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own programs. National Register forms and procedures for nomination are
generally uniform throughout the nation. One objective of these pro-
cedures is to encourage inclusion of properties on the National Register
and bring them under its protection. No federal money will be made
available to any federally licensed, assisted, or financed project which
may adversely affect the registered property without affording the Advisory
Council a reasonable opportunity to comment; or, in the case of highways,
to carry out a complete study of viable alternatives. It is important to
note that under the old Section 709 HUD's Historic Preservation Program,
no funds were available unless a property was also listed on the National
Regi ster.
A second major objective of the 1966 Historic Preservation Act was
to distribute a portion of federal preservation funds to private owners.
It was thought that federal funds, once in the hands of the states, would
be distributed to communities and private owners engaged in preservation
efforts. However, because of insufficient funds and for other reasons,
much of the money has been absorbed at the state level -* '"inance state
or state-assisted projects.
Other Federal Programs In addition to the program established by
the National Historic Preservation Act of 1966, there are approximately
84
fourteen departments of federal agencies which have important programs
affecting preservation.
The Department of Housing and Urban Development (authorized by the
Housing Act of 1949, as amended) formerly operated several programs sig-
nificant to preservation efforts, chiefly the Open Space, Urban Beautifi-
cation, and Section 709 Historic Preservation grant programs. While, most
of these were closed down by executive order in January 1973, a few remain
available. Urban Renewal Demonstration Grants are still available for
developing and testing innovative methods, including those related to
preserving and restoring historic properties. Comprehensive Planning
Assistance Grants are made available for projects supplementing of com-
prehensive plans for areas with common or related development plans.
These include historic surveys, costs of rehabilitation, or any other
information, except detailed plans or working drawings, related to a
program of historic preservation.
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The Department of Transportation under Section 2(b)(2) and 4(f) of
the 1966 Transportation Act is instructed to make special efforts to pre-
serve historic sites and structures. The Secretary of Transportation may
not approve any transportation project affecting historic property of
federal, state, or local interest if possible alternatives exist.
The Land and Water Conservation Fund (Public Law 88-578, 1964) pro-
vides matching funds for outdoor recreational purposes, including archae-
ological and historic sites.
Manifesting a current trend to implement preservation objectives
through other federal programs, particularly environmental ones, the
National Environmental Protection Act has also been applied to historic
areas. To date, this has been held to apply with respect to historic
landscapes and areas containing historic buildings. Recent attempts to
include individual historic buildings are being contested in the courts.
A 1972 amendment to the Federal Surplus Property Act of 1944 makes
available to local governments at no charge historic buildings which have
been declared surplus. Of particular importance is that these buildings
may be used by the local authority for commercial purposes.
Federal Executive Order No. 11593, February 1972, requires all federal
agencies to survey all their lands and buildings and nominate appropriate
ones to the National Register. The agency is then required to make
postive action plans to protect all lands and buildings so listed.
While not aimed specifically at local preservation programs, it should
be noted that general revenue sharing funds may be used for these purposes
and have been so used in several cases. It is possible that Title [V funds
may also become available,
•
State Programs Since passage of the 1966 Act, states have started to
give historic preservation more attention and all fifty now have federally
approved statewide historic preservation plans. In 1972, the Advisory
Council on Historic Preservation identified and analyzed the better state
laws and prepared guidelines for state legislation in an attempt to achieve
QE:
generally more comprehensive and consistent programs. The guidelines
propose creation of state agencies which, to some extent, replicate agencies
existing at the federal level.
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Innoyative Approaches at the Local Level
Such local innovation as can be identified has occurred mainly in
those programs that are reinterpreting the philosophy, scope, and sub-
stance of historic preservation. At the cutting edge are a shift in
emphasis toward environmental objectives, a more comprehensive treatment
of environmental factors, and the expanded use of familiar tools.
There are three local programs which characterize much of the cutting
edge in historic preservation. Two of these, in Norfolk, Virginia, and
San Francisco, California, are public programs; the other, in Pittsburgh,
Pennsylvania, operates primarily in the private sector.
Norfolk, V irgin ia, has employed a new "mini-district" zoning concept
in proposing the creation of an Historic and Cultural Conservation
District. Similar to the "floating zone," the mini-district encompasses
one or more individually significant historic structures. In essence,
O~J
the mini-district is not unlike any other land-use zone, but the usual
regulations on size or other traditional characteristics of the historic
district do not exist. Criteria and procedures for establishment are
specified, as are controls with respect to lot size, design, demolition,
and use. Once an area has been designated as an historic district, the
proposed ordinance permits regulation designed to preserve the area's
desirable and unique visual character. These include use permits, lot
dimensions and size, setbacks, courts, building spacing, lot coverage,
building height, off-street parking and loading, signs and exterior
op
illumination. Miner notes,
The two-step process reflected a strategy to establish
the concepts of preservation outside the debate over
particular structures. The historic and cultural
zoning framework was established to fit the particular
preservation needs of Norfolk. It formalized the
public purpose in preservation, allowed the creation
of specific regulations in different districts custom
tailored to their different needs, allowed the creation
of transitional zones to protect the historic areas
from disruptive development in visually related areas,
and permitted the application of historic zoning to a
single individual property if this was warranted.
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It remains to be seen whether the Virginia court and others which
follow this approach will consider such an ordinance spot-zoning. The
defense, of course, rests "...on the argument that it is not unequal,
unreasonable, or arbitrary to treat historical properties differently
90
from their unexceptional neighbor." To further strengthen its legality,
Norfolk requires that only the public body may petition for the rezoning
and must show a purpose consistent with the comprehensive plan that is
significant to its success.
This technique is noteworthy with respect to its capacity to handle
hetrogeneous areas containing historic landmarks, particularly because
it is integrated into an overall design plan. In this manner the plan is
used to support preservation objectives, and the historic landmarks become
an integrated part of the plan, the total guidance system, and the urban
fabric.
San Francisco, CalIfornia Conservation is part of the comprehensive
91
plan for San Francisco, providing an example of a comprehensive treatment
of environmental factors and objectives. San Francisco bases its approach
on the concept of providing people "...with a feeling of continuity over
time, and with a sense of relief from the crowding and stress of city life
92
and modern times..." Historic preservation, in this sense, is not only
considered in relation to specific historic landmarks or sites, but also
includes districts of special character and natural areas, parks, the bay,
and the ocean, which fulfill "...human needs for rest, quiet, escape from
93
the city's pace and freedom from confinement." These elements are con-
sidered within the scope of the preservation program because they are
94
"...resources that change little over time." In justifying this expanded
scope, San Francisco's report argues, "...nearly all older buildings regard-
less of their historic affiliations, provide a richness of character, tex-
ture and human scale that is unlikely to be repeated often in new develop-
95
merit." These buildings should be preserved because "...they help
characterize many neighborhoods of the city, and establish landmarks and
96
focal points that contribute to the city pattern." Similarly, areas
with special character because of building scale, landscaping, topography,
or other attributes should be preserved because they are indispensable to
San Francisco's image.
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The concept that the city's streets are resources to be conserved
to improve the city's imagability and comprehensibiIity and to guide
organization and scale of building development is an important innovative
aspect of San Francisco's approach. In this context, historic preserva-
tion becomes an inseparable part of the broader concept of urban design.
This is reflected in the principles and policies for preservation proposed
by the San Francisco Planning Commission. For example:
Preservation of San Francisco's strong and continuous
downtown street facades wilI insure maintenance of
that area's distinctive character and spatial quality.
New construction can have a positive effect on the
area around it if it reflects the chara^er of adjacent
older buildings of architectural merit.
Although historic buildings and areas are to be conserved, the impor-
tant aspect of the preservation approach is that it provides the framework
and guidelines for future urban growth and renewal. This can be seen in
preservation policies such as the following:
Respect the character of older development nearby in
the design of new buildings.
Recognize and protect outstanding and unique areas that
contribute in an extraordinary degree to San Francisco's
visual form and character.
The preservation program in San Francisco is part of the total urban
design effort. Its end-state approach and its methodology are similar to
those described earlier for urban design. In the context of historic
preservation, per se, these innovations take on added significance. Their
application has yet to be tested by the courts and the response to this
broad interpretation will be important.
Pittsburgh, PennsyIvania Historic preservation is often criticized
for failing to consider the residents of the impacted community. Older,
historic quarters in cities are usually blighted and often house the poor.
Preservation programs in these areas have tended to replace this population
with middle and upper class residents, for example, Society Hill in Phila-
delphia and Georgetown in Washington, D. C. As Mewsome and Stipe have
335
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pointed out, the issues involved in these circumstances are formidable,
both questioning and threatening preservation efforts.
99
The Pittsburgh Program attempts to overcome this problem with an
alternative to conventional practice which incorporates a shift of emphasis
in environmental objectives. This program, described by Robert Stipe, as
a "recycling of old buildings," was initiated by a private conservation
group, the Pittsburgh History and Landmarks Foundation. The program
consists of upgrading the environmental quality of blighted neighborhoods
without displacing residents.
The Foundation believes that while preservation bolsters the morale
of the neighborhood, it must be accomplished without massive demolition
which creates almost unworkable relocation problems. Policy in the
program is also based on the belief that preservation, by creating variety
and diversity, provides esthetic satisfaction; it can also unify community
forces since it uses fully the human resources available in the neighbor-
hood through mutual help or decision-making processes. Financial benefits
can stem from restored areas raising city tax bases or becoming tourist
attractions.
When the Pittsburgh Historic and Landmarks Foundation selects a
physically deteriorating neighborhood, foundation funds are used to obtain
and repair houses in poor condition. Several strategies are used.
Selected absentee-owned houses are acquired, significantly improved, and
then rented to young middle to moderate income families, often bringing
new vitality into the neighborhood. Displaced tenants are relocated in
nearby homes. The foundation encourages Its own members to acquire, re-
model, rent, or occupy properties in the area, and property owners already
living in the area are urged to stay and to repair their buildings. The
objective is not always total restoration of property, but functional and
exterior improvement to upgrade the total environmental quality of the
neighborhood.
Another route is to nominally improve basically sound houses and rent
them to low-income neighborhood residents, in effect leasing them to the
Public Housing Authority. While nominal rehabilitation is only a short-term
solution, the buildings can be saved and made available to those who need
housing but cannot afford prevailing prices.
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Since the Pittsburgh Program is based on private initiative,
financing is of vital importance. A non-profit Revolving Loan Fund has
been established for several neighborhoods with many valuable Victorian
buildings in need of repair. Improvement loans are extended to resi-
dents unable to obtain conventional loans. In addition, a Major Devel-
opment Fund was establ ished by Action Housing, an organization primar-
ily interested in creating good housing, not in historic preservation.
A contractor unable to get conventional financing can borrow money to
cover front-end costs or to finance construction of new or rehabili-
tated housing. Loans are not made for restoration in the accepted sense.
While it has been noted that this program is essentially in the
private, housing sector, considerable emphasis is placed on strengthen-
ing and developing other municipal services and facilities. This requires
public action and coordination between private and public agencies,
especially in utilizing certain federal housing programs.
A particular danger inherent in the private sector approach (though
frequently occurring within public programs as well) is the failure to
coordinate the private effort with public policy and programs affecting
the preservation or conservation target. Land economics, tax policy,
land use policy, and similar aspects regulated by the public sector,
significantly affect the future of historic sites and buildings. The
land market, improper zoning, or an adverse real property tax structure
can vitiate all efforts to protect these elements. Preservation or
conservation efforts which hope for reasonably permanent solutions must
anticipate the impacts of these governmental activities. Inmer has
several suggestions for achieving such integration: a future outlook
measure; an early bird measure, a coordination measure; a linkage measure;
102
a tradeoff measure; and a fun and profit measure. It would appear
that the Joint Concept approach mentioned earlier in this chapter may
have some relevance under these conditions.
Additional Innovative Local Tools
I nyentpry_and Ana I ys i s Significant innovation continues to occur
in the use of more systematic techniques for inventory and analysis.
337
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College Hill remains one of the better examples of its kind in this
area. The recent study of Doylestown, Pennsylvania, employed the
analytic technique of Jones and Jacobs and used computers for graphic
display of the material.
Also noteworthy in this area are the recent studies conducted in San
Francisco and Newport, Rhode Island. The former employed a highly
sophisticated and detailed classification system and measurement techniques
The latter, in a manner commensurate with the resources of a small town,
managed to achieve similar rigor. Savannah, Georgia, is another example
of sound inventory which is particularly significant regarding the design
, . ., . , ,, . . 108
control criteria emerging from the analysis.
Some states have begun to develop preservation data banks. However,
the Canadian national effort to inventory its resources provides perhaps
the most significant innovation in the area of inventory and analysis.
Aside from the impressive magnitude of the task, a highly sophisticated
and systemitized inventory procedure is employed that requires minimal
expertise and time and the resulting data are suitable for computer
analysis and display.
Program I mp I ementat Jo_n and Gu i dance Too|s In addition to the tech-
niques mentioned earlier, several other new and significant efforts are
emerging. One of these is the preservetion restrict i on, sometimes called
an "easement." Created by deed, will, or other conveyance, the preserva-
tion, or facade, restriction allows an owner to make alterations to the
exterior appearance of a building, subject to approval by the local
authority.
Such restrictions may be purchased or donated and, depending on state
law, may be positive or negative.
A positive easement requires affirmative action by
the person giving the easement and is used as an
incentive to restore an area when an owner cannot or
will not make improvements to his property and/or as
a tool to arrest decay in buildings, particularly,
when the owner lacks funds. Positive preservation
easements are not commonly used since they are not
permitted iip0many states and are easily extinguishable
i n genera I.
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A negative preservation restriction is the more conventional type.
It provides to the grantor the power to limit changes in the appearance
of the building without seriously affecting its use.
The grantee in these cases is usually not an adjacent property
owner, but a public body. Such restrictions, unless carefully drafted
by ski I led counsel, may have tenuous legal basis and courts may readily
strike them down. While positive restrictions are preferred by many,
negative restrictions are used. However even these require careful
A *+ • I' °
drafting.
While the outright purchase of the property will best insure achieve-
ment of specific preservation goals, there are advantages to acquiring
less than full fee ownership. Restrictions appear to fit better when
large areas are under consideration and little money is available, since
they are usually cheaper than outright purchase. Restrictions are
additionally attractive because maintenance remains the responsibility
of the owner; there may be I ittle or no tax loss to the city, and there
are no geographic or zoning restrictions.
Use of this new preservation tool requires extreme care, and in
many cases careful alterations in state enabling legislation will be
required. Problems include draftsmanship, assignabiIity, transfer or
subsequent conveyance and registration. Changing conditions, enforce-
ment, valuation of the restriction, and impact on the real estate
market create additional problems.
Preservation restrictions used in Pittsburgh and Annapolis appear
to be contributing significantly to the stabilization and rejuvenation
of their historic areas. In this context, it should be noted that the
Tax Reform Act of 1969 has played an important role as an economic
i ncent i ve.
Another emerging tool, which shows great promise is the transfer
I 12 '.
of deve Iopment rights. Many, if not most, historic buildings fail
to fill their permitted buildable volume, usually in the vertical
dimension. The owner of a preservation resource sells, with the approval
of the planning commission, his unused rights of development (usually air
rights) to his neighbor. The latter can use this right to develop his
339
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own property at a higher density than contained in the zoning ordinance.
The owner of the preservation resource is thus provided an inducement to
maintain it. This tool can have serious design drawbacks, in that the
development added to the surrounding area may adversely affect both the
preservation resource and the urban scene.
While this tool has been received enthusiastically by preservationists,
it has fared poorly to date because of inadequate analysis, questionable
and burdensome administrative controls, and a suspect legal basis.
I I 4
John J. Costonis has recently proposed a refinement on this technique
for Chicago in areas with concentrations of historic buildings. The plan
calls for establishment of "development rights transfer districts" based
on concentrations of historic landmarks. Under the Costonis scheme, the
owner of a landmark transfers his unused development rights to one or more
lots in the district and receives a real estate tax reduction reflecting
this. The transfers would carry with them special controls on the acquir-
ing lot to preserve the quality of the district as well as that of the
landmark itself. In case the landmark owner refuses to sell his unused
development rights, the city could condemn a preservation restriction and
acquire the development rights. These rights would be pooled and sold by
the city to help support the program.
In addition to overcoming the problems of existing development rights
transfer programs, Costonis' proposal offers benefits in terms of expedit-
ing land assembly in downtown areas. Further, its very nature requires
that it be part of a total urban design and planning program. In the same
manner, the proposal offers another promising guidance tool to insure
sound development of the city as a whole.
Early in this chapter, the emergence of esthetic quality and historic
preservation as important public goods was discussed. Stipe has noted
that "...to judge the seriousness by which any governmental unit follows
through on its announced intentions, you have to look at its tax policies."
Here it is important to note the implications of Title 11i of the proposed
Environmental Tax Protection Act of 1972 as a potentially powerful guidance
tool in preservation. Proposed changes in the Internal Revenue Code seek
to minimize differential tax treatment between building demolition and
340
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rehabilitation and to readjust tax incentives to favor retention and
restoration of historically significant buildings. They would allow
deductions for scenic landscape easements, as well. If this important
reform is adopted, it wilI stimulate retention of older structures, in
general, and buildings and districts listed in the National Register,
specifically, thus contributing to the quality of the urban environment.
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Footnotes
I. Garrett Eckbo, "Urban Design—A Definition," Journal of the AIA
(September 1963), pp. 37-38.
2. Morton Hoppenfeld, "A Design for Change," Planning 68 (Chicago:
American Society of Planning Officials, 1968')"," pV 190.
3. Arthur Atkisson and Ira M. Robinson, "Amenity Resources for
Urban Living," in The Qua I ity of the Urban Environment, ed. by
Harvey Perloff (Baltimore:Johns Hopkins' Press, 1969), p. 179.
Gives a full discussion of the concept of amenity and its rela-
tion to urban environmental quality.
4. "President asks Congressional Action to Preserve Natural Beauty
in Cities and Countryside," message to Congress on Natural Beauty,
February I, 1965, Congressional Quarterly Almanac, 1965, p. 1379.
5. Herbert H. Hyman, "Planning with Citizens: Two Styles," Journal
of the American Institute of Planners, XXXV (March 1969), 105.
6. See: Planning and Design Workbook for Community Participation
(Princeton: School of Architecture, Princeton University, 1967);
John Morris Dixon, "A Critical Review of the Workbook," Arch i-
tectural Forum, XXXI (December 1969), 32; and, I, 2, 3, 4, 5, 6,
7, 8, 9, J_0, Eleven Views: Collabprative Design in Community
Development ed". by Pe'ter Batchelbr (Raleigh: North Carol ina
State University School of Design, 1971).
7. John Fisher-Smith, Urban Desj gn_Process: __A_ Paper Concerning the
Role and Impact of Design i n_the Development of Total Urban
Envi ronment. A paper' 'p'reparecl for~the U. 3"! Department of Hous i ng
and Urban Development on behalf of the National Commission on Urban
Problems, July 1968, p. II.
8. Myer Wolfe and Duane Shinn, Urban Design Within the Comprehensive
Process (SeattIe: I 970).
9. See e.g. Minneapolis Department of Planning, P rob I ems i n Dow ntow n_
Mi nneapol is and Optjons for Downtown Problems, Vols I & II " "
(MTnneapoli s: Department of City Planning), and -San Francisco
Department of City Planning, The _Urban Des ign Plan of Saj^
Franciscg_ (San Francisco: May I 9 7 I) . "™"
10. Jonathan Barnett, "A New Planning Process with Built-in Political
Support," Arch jtectura_l_ Record, May 1966.
II. Roger Montgomery, "Improving the Design Process in Urban Renewal,"
of Planners, Vol. 31, Feb. [965,
342
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12. Ralph W. Miner, Jr., memo, Feb. 26, 1973.
13. Cincinnati Department of City Planning, "Chapter 33, EQ (Environ-
mental Quality) District Regulations." Proposed Text Amendment
to Cincinnati Zoning Code. Mimeo, Sept. I, 1972.
14. Frank Turner, "Joint Development Concept." Speech to the 52nd
Annual Meeting of the American Association of State Highway
Officials, December 2, 1966, Wichita, Kansas.
15. John Fisher-Smith, op. cit.
16. Archibald C. Rogers, Organization for Design, Urban Freeway
Systems in Baltimore City: "The Concept Team," 1966.
17. Edmund Bacon, "Urban Design as a Force in the Comprehensive
Planning Process," Journal of the American Institute of Planners,
29 (Feb.' 1963) 2-8. Jonathan Barnett, Jonathan Barnett, "Urban
Design as Part of the Governmental Process," Architectural Record,
January 1970, pp. 131-150.
18. Fisher-Smith, op. cit., pp. 11-16.
19. Ibid., p. 16.
20. Ibid., p. 16, 28.
21. Philip Kemp, "Joint Development Strategy." Draft statement pre-
pared for the "Case Studies on Joint Development Strategies
Project." U. S. Department of Housing and Urban Development, Environ-
mental and Land Use Planning Division, August 16, 1972.
22. San Francisco Department of City Planning, Pre! imi nary Report
No^. jj Backgrourid (San Francisco: San Francisco Department of
C"iTy~~P"l ann'ing,'"March 1969), p. 3.
23. Department of Community Development, Seattle Urban Design Report
No. I : Determi nants pf_ City Forrr^ (SeattI e: Jan . 1971), p . 3.
24. San Francisco Department of City Planning, The Urban Des i gn Plan
of San Francisco (San Francisco: May 1971)1
25. Department of Community Development, Seattle ..., op. cit.
26. De Mars and Wells and J» T. Sidener, Urban Design Consultants,
A Design Framework for Oak!and; Proposals from the Urban Design
Staff (Oakla'nd City Planning Department, June 1969).
27. San Francisco Department of City Planning, The Urban..., op. cit.
343
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28. San Francisco Department of City Planning, Preliminary Report
No. 2: _ Exist ing Plans and Pol icies (San Francisco: July 1969),
pV 25". "
29. Minneapolis Planning and Development, Metro Center 85.
Minneapolis: Minneapolis Planning and Development, March 1970.
30. Wei Ming Lu. Memo March 2, 1973.
31. San Francisco Department of City Planning, Preliminary Report
No. 4: Existing Form and Image (San Francisco, January 1970) .
32. City of Dallas Department of Planning and Urban Development/Urban
Design Division. Da Mas Ecological Study, Phase I, Data Storage
System. Dallas, Texas, Sept. 19, 1972 (Mimeo). Personal inter-
v lew's with Weiming Lu, Director of Urban Design.
33. Department of Community Development, Seattle Urban Design Report
No. I, op. cit.
34. Kevin Lynch, The I mage of the City (Ca mb r i d ge: MIT Press, I960).
35. Kevin Lynch and Donald Appleyard, The Vjew From the Road
(Cambridge: MIT Press, 1969).
36. San Francisco Department of City Planning, Report_No. 4....
37. Ibid., p. I I/I.
38. ibid., p. IV/I .
39. Ibid., p. IV/43.
40. San Francisco Department of City Planning, Preliminary Report
No. 3: Goals, Objectives and Policies (San Francisco: December
1969).''"'
41. Weiming Lu, "Search for Responsive Design." Reprint from Texas
Architect, Vol. 22:1, January 1972.
42. Thomas R. Aidalia, Preliminary Report No. 5: Urban Design
Principles for San FrancTscp (San Francisco Department of City
Planning. July 1970')", p. 3\
43. San Francisco-Department of City Planning, P reIi mi n a ry Re po rt
No. 8: City Wide Urban Design Plan, Oct. 1970, p. 3.
44. San Francisco Department of City Planning, The Urban Design Plan...,
op. cit.
45. Ibid,, p. 14.
344
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46. Ibid.
47. #26 op. cit., p. 2.
48. Ibid., p. 4.
49. Department of City Planning, The Visual Environment of Los
Angeles (Los Angeles, April 1971"), p. 2.
50. Ibid., p. 60.
51. Minneapolis Planning and Development, Metro Center 85, op. 'cit.
52. Minneapolis Planning and Development, New Patterns, Minneapolis,
1971 .
53. lbid_, pp. 37-52.
54. Sidney Cohn, Architectural Control -Organizations in Northern
Europe: A Comparative Ana lysis. Ph.D. Dissertation, University
of North Carol ina, Chapel Hi II , 1968, pp. 26-32.
55. Frederick H. Bair, "Toward a Regulatory System." ASPO Planning
Advisory Service Report No. 243, American Society of Planning
Officials. Chicago, February 1969, pp. 2-3.
56. Frederick H. Bair, "Height Regulations in Residential Districts."
ASPO Planning Advisory Service Report No. 237. Chicago:
American Society of Planning Officials, August 1968, p. 12.
57. Charles N. Carnes and C. M. Smart, Jr., City Appearance and the
Law. Fayettville, Arkansas: City Planning Division, University
of Arkansas. Undated.
58. Cyril Herrman, "Human Responses to Visual Environments in Urban
Areas," in Outdoor Advert is i ng, John W. Houck, ed. Notre Dame:
University of Notre Dame Press, 1969, pp. 57-89.
59. American Society of Planning Officials, "View Protection
Regulations." ASPO Planning Advisory Service Report No. 213.
August 1966, pp. 3-4.
60. Frederick H. Bair, "Height Regulations in Residential Districts,"
op. cit.
61. William Ewald, ed., Street Gra ph i c s. Washington: American Society
of Landscape Architects Foundation, 1971.
62. Ashley/Myer/Smith, City Signs and Lights: A Policy Study_.
Boston: 1971.
345
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63. Interview, Robert Leary, Planning Consultant; Interview,
Frederick Bair, Planning Consultant.
64. Robert W. BurchelI, Planned Unit Development. New Brunswick,
N. J.: Center for Urban Policy Research, Rutgers University,
1972, pp. 1-3.
65. Michael S. Levin, "Some First Returns on Planned Unit Develop-
ment." Paper presented to the American Institute of Planners
Annual Conference. Boston, 1972. Mimeo, p. 9.
66. Robert W. BurchelI, op. cit.
67. Leonard L. Wolfe, "New Zoning Landmarks in Planned Unit Develop-
ment." Urban Land Institute TechnicaI Bulletin 62. Washington,
D. C., p.M.
68. Interview, Frederick Bair.
69. Leonard Wolfe, op. cit., pp. 7-9.
70. Ibid., p. 8.
71. American Society of Planning Officials, "View Protection..."
op. cit., p. 6.
72. Interview: Robert Leary.
73. "Urban Design Through Zoning." PI a n ner s ^Notebook, Vol. 2:5,
American Institute of Planners, Wa shT ngton, tJV'CT., p. I.
74. Wei Ming Lu, Memo, March 2, 1973.
75. See, e.g., The San Francisco Urban Desjgn Plan, op. cit., and
"Proposal for a Hi gh' Build ing and BUifdi ng Density Ordinance for
the CBD of Chapel Hill," Community Appearance Commission, Chapel
Hi I I, N. C. Mimeo. Undated.
76. Interview: Mace Wenninger, Boston Redevelopment Authority. See
also, Boston Redevelopment Authority, Backbay Res? dent Taj
Pi strict, Boston. Undated.
77. Sidney Conn, op. cit., pp. 26-39; 185-201.
78. Interview: Mace Wenninger, Boston Redevelopment Authority.
79. City-County Planning Commission, Historical Survey and Plan for
Lexington and Fayette County, Kentucky (Lexington, Kentucky:
circa I970T,' "pY I.
346
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80. Ralph W. Miner, "Conservation of Historic and Cultural Resources,"
Advisory Service,^ Report No. 244 (Chicago: American Society of
PIannTng t)f fTc iaI s, March I 96*9), p. I .
81. Robert E. Stipe, "Why Preserve," Preservation News, VII (July
1972).
82. Ibid.
83. Arthur P. Ziegler, Jr., Historic Preservation in Inner City
Areas, A Manila I of Practice (Pittsburgh: The Allegheny' Press,
1971).
84. Frederick Gutheim, "Preface" to Alexander Papageorgiou,
Continuity and Change (New York: Praeger Publishers, 1971),
p. 20. ~
85. Advisory Council on Historic Preservation, Suggested Guide Ii nes
for State Historic Pj-eseryation Legislation (V/asnTngton, D. C.:
Historic Preservation Workshop, Nationa rSymposi um on State
Environmental Legislation, March 1972).
86. Department of City Planning, Norfolk, Pres er ving NorfoIk's
Heritage (Norfolk, Virginia: December 1965) .
87. John S. Pyke, Jr., "Architectural Controls and the Individual
Landmark." Law and Contemporary Problems, Vol. XXXVI, No. 3.
Summer 1971, p. 401.
88. Department of City Planning, Norfolk, op. cit.
89. Ralph W. Miner, Jr., memo, February 28, 1973.
90. John S. Pike, Jr., op. cit.
91. Department of City Planning, San Francisco, The Urban Des i gn PI an
for the Comprehendsive Plan of San Francisco (San Francisco,
Cal ifornia: May "197 I) V
92. |_bj_d_. , p. 45
93. Ibid., p. 46.
94. lbid_.
95. Ibid., p. 47.
96. Ibid.
97. Ibid., pp. 54-64.
347
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98. Ibid., pp. 66-70.
99. Michael deH. Newsom, "Bl-acks and Historic Preservation," in
Law and Contemporary Problems, Summer 1-971 .
Michael deH. Newsom, "Viewpoint," Preservat ion News, 12:12
(December 1972) 5.
Robert E. Stipe, "Historic Districts: Black, White or Gray."
Preservation News, September 1972.
Arthur P. ZiegTeir, Jr., op. cit.
100. Personal interview with Robert Stipe, Institute of Government,
Chapel Hill, North Carolina.
101. Arthur P. Ziegler, Jr., op^ cit., pp. 10-22.
102. Ralph W. Miner, Jr., "Preservation Planning for Incorporated
Areas." A paper presented at the 4th Annual Seminar on Historic
Preservation, Nashville, Tennessee, October 5, 1972.
103. Providence City Plan Commission, College Hill. City Plan Com.
Providence. 2nd Ed. 1967.
104. Robert E. Stipe, memo, April 13, 1973.
105. Bucks County, Pennsylvania Planning Commission, Design Resources
of Doylestown (Doylestown, Pennsylvania: 1969).
106. Barclay G. Jones and Stephen W. Jacobs, C i ty Des\gn Through Conser-
vation. Vol. II. Berkeley: University of Cal if'ornia,I96t)'.
107. Providence Partnership and Russel Wright, The Urban Design Plan
Historic Hi I I Newport, Rhode Island, September 1971.
108. Eric Hill Associates, "Historic Preservation Plan: Savannah,
Georgia," (Winston-Salem, North Carolina: 1969).
109. Henry R. Lord, Deputy Attorney General of Maryland, speech to the
Annual Conference of the National Trust for Historic Preservation.
Washington, D. C., 1973.
110. Ibid.
III. Robert E. Stipe, "Easements vs. Zoning: Preservation Tools."
Institute of Government, Chapel Hill, N. C.: October 1967.
Mi meo.
112. John S. Pyke, Jr., Land ma rk Preservation. New York: Citizens
Union Research Foundation, undated, pp. 29-30.
348
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113. John J. Castonis, "The Chicago Plan: Incentive Zoning and the
Preservation of Urban Landmarks." Harvard Law Review, Vol. 85:3,
January 1972, pp. 577-578, 584-589.
114. Ibid., pp. 589-602.
115. Ibid., pp. 590-591.
116. Robert E. Stipe, personal communication, April 13, 1973.
349
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D. PLANNING THE RESIDUALS MANAGEMENT: NOISE AND AIR QUALITY
"One of the major problems for environmental management stems from
the use of the environment for the disposition of residuals, the 'left-
overs' from production and so-called consumption activities." Residuals
include liquid, solid, and gaseous by-products that are not recycled into
production and energy by-products such as noise and waste heat. This
chapter will deal with planning for the management of noise and air-borne
residuals. Water-borne residuals have been discussed in Chapter 6.
Bower points out several "facts of life" about residuals and their
impact on the environment. One of these Is that there are "physical,
technologic, and economic interrelationships between the two major types
of residuals—material and energy—and among the various forms of material
residuals—gaseous, liquid, and solid. Efficient and equitable residuals-
management cannot be achieved by dealing separately with individual resid-
uals or individual environmental 'media.' Air qua I ity management, water
quality management, and solid residuals management would not be approached
2
as separate activities." For example, burning trash converts a solid
waste problem into a gaseous waste problem; installing a garbage disposal
unit in the kitchen sink converts a solid waste problem into a liquid waste
probI em.
Despite these interrelationships and their implications for the ideal
approach to the residuals problem, we shall treat noise and air pollution
separately. This is partially an effort at simplicity but perhaps more
fundamentally it shows that even the cutting edge approaches, in practice,
still treat residuals separately. Nevertheless, Bower's point is well
taken, and a more comprehensive integrated approach is a desirable goal in
the literature and in practice for both researchers and professionals in
350
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the field. Perhaps the research that best represents the "cutting edge"
of a comprehensive approach to the residuals problem is being done at
Resources for the Future.
Noise Management
In the past, noise has been considered a health hazard in indus-
trial environments and a nuisance in broader community environments.
It was not until very recently that noise was considered integral to
the concept of environmental quality.
Noise bears a close similarity to air and water pollution in that
it is largely a residual of modes of consumption and production. As
these modes have changed, so has the volume and character of noise
present in the environment. Since the 1930's, the level of noise in
the community has risen substantially and at rates which cannot con-
tinue for much longer without drastic results as has happened with air
and water pollution. "Whereas noise levels sufficient to induce some
degree of hearing loss were once confined mainly to factories and
occupational situations, noise levels approaching such intensity and
duration are today being recorded on city streets and, in some cases,
4
in and around the home." Indications that this drastic rise in noise
levels has significant impact can be found in a study done on the
Mebaans, who live in a remote part of the southeast Sudan. The Mebaans,
who are exposed to an average community noise level of 40 dbC, showed
an incredible superiority in hearing ability over urban dwellers.
This superiority reaches a point where in the seventy to ninety year
age group, 53 percent of the Mabaans responded to sounds that only
2 percent of the city dwellers responded to.
As with other environmental residuals, there is controversy surround-
ing the range of effects caused by noise. A consensus of opinion Indicates
that there is clear evidence that exposure to noise of sufficient intensity
and duration can result in temporary hearing losses, and repeated exposures
can result in chronic hearing losses. [-(• [s also apparent that noise can:
(I) interfere with speech conrmun i cat ion and perception of auditory
351
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signals; (2) disturb sleep; (3) be a source of annoyance; (4) interfere
with the ability to perform complicated tasks, especially disturbing
those tasks that demand speech communication or response to auditory
signals; and (5) adversely influence mood and disturb relaxation. There
is debate on further effects of noise; one authority says that exposure
to noise does not increase susceptibility to disease, while others
assert that high levels of noise lead directly to physiological degen-
, . 8
eration.
Today's environmental noise sources can be grouped generally into
those caused by aircraft, ground transportation, construction, indus-
try, and residences. Aircraft produce by far the most intense noise,
while ground transportation noise is the most prevalent. Trends are
worsening. Larger and noisier aircraft, almost exclusively jets, are
being built; jet flight is becoming predominant and is being introduced
at many smaller airports now that short-range jets are available. More
and more people are living within areas affected by aircraft noise.
Vehicular traffic is constantly increasing, with truck traffic increasing
the fastest.
EJements of a Compreherisive Noise Management Program
It is possible to delineate the elements of a comprehensive noise
management program in abstract terms. The program goal would be environ-
mental quality with respect to noise. This is significant, for it enlarges
the aim of traditional industrial noise management: environmental health.
In practical terms, this means that subjective human reactions, as well
as actual hearing damage, will be an important component in the program.
A comprehensive noise management program may be divided into three
elements: the problem definition; the problem solution; and the guidance
system. If noise is defined as unwanted sound, then the first step is
determining what sound is present in a given area, what is causing it,
and above what level it becomes unwanted or undesirable. The second step
is identification of a desirable noise environment for the area. This
must be expressed on some quantitative scale; then means to bring about
that desirable environment must be examined. The third step is guiding
352
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behavior so that the desirable environment is achieved. This guidance
must be legal, cost-efficient in terms of other values, and effective.
Problem definition involves the use of acoustic and social surveys
and possibly laboratory experiments. The acoustic survey measures actual
sould levels in an area and identifies causes. Sound levels must be
measured along several dimensions: pitch, duration, intensity, and
purity. The social survey identifies reactions of survey-area residents.
A substitute for this could be a laboratory experiment in which the noise
climate of the area in question is simulated and reactions of subjects
are identified. Patterns of reactions to specific noise climates are
developed by either method. Problem definition should also include
correlation of the noise climate with its causes. This is necessary if
we are to predict noise climates resulting from future development. For
example, if the noise climate of an area near an intersection can be
correlated with its traffic profile, then a future development which has
that same traffic profile may be predicted to create the associated noise
climate and associated human reactions.
Problem solution requires using the results of the social survey
to define a desirable noise environment. In other words, it requires
a definition of "desirable" in terms of human reactions to specific
noise climates. This desirable environment must then be expressed in
quantitative terms using one of a number of scales, thus the desirable
noise environment defined quantitatively is a set of standards. The
second step is identification of alterations which have to be performed
on an existing or future total environment so that its associated noise.
environment wilI meet these standards. Alterations may be performed
on the source, path, or receptor of noise. Costs of implementing various
combinations of these alterations must also be determined. For example,
soundproofing of homes must be compared with better muffling of car
engines with respect to cost, equity, and convenience.
In the third step, the guidance system must attempt to insure that
desirable noise environments become reality. It accomplishes this by
insuring that the alterations of the total environment necessary to meet
the noise standards are implemented. For example, if better muffling
353
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is the desired alteration, and 75 dbA at fifty feet is the standard,
then regulations to that effect, along >vith a licensing scheme for
sellers of vehicles, would together constitute a guidance system. The
guidance system must be legal, cost-efficient in terms of other values,
and enforceable. For example, the license scheme must be constitutional,
must not impose an unreasonable restriction on business procedures, and
must permit enforcement by a reasonably sized staff.
A comprehensive noise management program should include all the
steps listed above for all noise sources throughout the locality.
Currently, there is no community implementing this idealized program.
The closest attempts have been made in planning for several new air-
ports, one existing airport (in Chicago), and for traffic noise in
Peterborough, England.
Methods of Problem and Solution Definition
Noi se Surveys Essential to defining the noise problem is use of
a tool known as a noise survey. This survey may be understood in terms
of three components: (I) actual measurement of noise levels in the
environment; (2) factors which cause these noise levels; and (3)
determination of human response to noise levels.
II 12
Bragdon (in Philadelphia) and Goodfriend (in New York) have
recently conducted noise surveys. Goodfriend states that to serve as
the basis for a control program, a noise survey must consider: (I)
existing ambient noise levels, which serve as criteria; (2) intrusive
noise levels; (3) subjective community response factors; and (4) long-
range local and regional planning considerations. Ambient noise is
defined as a low-level, quasi-steady, slowly changing noise for which
no single source is identified. Intrusive noise is super-imposed on
the ambient level, as when an automobile horn is blown. Goodfriend
states that a survey must take into consideration number and type of
noise sources, their location, intensity, frequency, content, time-
history, and frequency of occurence. These are important because com-
munity response will be a function of these sound characteristics.
Goodfriend divided his study area into units, corresponding to those
354
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land use classifications under the zoning regulations which would appear
to have different noise climates. In this way, information on noise
levels may be more easily integrated into a land use regulatory scheme.
In addition, Goodfriend developed equations which correlate noise
climates to their causes, in this case, traffic patterns.
Bragdon's principles are simitar, and like Goodfriend et a!.,
Bragdon divided his survey area into sampling units and measured noise
I 4
at different times of the day. He measured ambient and intrusive
noise levels as well as the noise levels of particular sources.
After data are gathered that describe the community noise level
by area and time, human response must be measured. Relating human
response to the acoustical data should yield a new interpretation of
the noise problem, which should allow the planner to begin to define
a desirable noise environment.
The method most suited to the needs and capabilities of a local
planning agency is the social survey.
One theoretical framework for design of social noise surveys is
given by Borsky, who suggests that the following four factors must
be considered: (I) perception or awareness of noise; (2) activities
affected or interrupted; (3) annoyance or hostility resulting from
interruption; (4) complaints resulting from interruption. There are
two basic approaches for conducting social surveys. The first involves
acknowledgement of noise as the topic of concern, whereas the second
involves disguising both the topic of concern and the identity of the
interviewer. Bolt, Beranek and Newman, Inc., has conducted a noise
survey utilizing the first approach. This survey is relatively uncom-
plicated and can be administered in about nine minutes. It consists
of ten elements, for example: characterization of the general neigh-
borhood noise environment; recall of the kinds of noises usually heard
in the house; ranking sources in order of conscious awareness; nature
and frequency of most bothersome noise; individual attitudes about
whether anything can be done to reduce noise levels and if so, what;
and indication of whether the respondent thinks he is more or less
sensitive to noise than other people, and the extent to which he
believes noise affects his health.
355
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Bragdon has developed a less direct method, which Borsky also
suggests. With this method, reactions to noise are solicited, but not
in a context that would lead the respondent to think that the exclusive
subject of the interview is noise. As would be expected, this tech-
nique requires a longer period of time for each interview than dees
the Bolt et al. method. Borsky suggests that the interviewer not
reveal himself to be part of a governmental structure, but rather from
a university or general research organization, and also that the inter-
view be introduced as an assessment of general living conditions in
the area. These steps protect against exaggeration or distorted
information about noise.
Planning Solutions Noise survey approaches to problem definition
are fairly well developed, but, the second step, developing alternative
solutions from the information given by noise surveys, is much less
developed and rarely observed in practice. A concern for noise has
not yet become part of a larger planning process. Bragdon bemoans the
lack of interest in using noise criteria in land use planning, for
example, saying that "at the present time, no government agency knows,
much less cares about, the number of land parcels, households, and/or
people currently being affected. In the area of our study, community
noise is not officially recognized as a problem needing attention by
i ft
either the City of Philadelphia or Delaware County."
Soroka has described several ways in which noise surveys could
be utilized in planning for noise problem solutions.
I. To establish which sources at which times and at what
levels are responsible for complaints in various
types of neighborhoods.
2. To establ ish statistically amb ient noise climates
normally associated with and accepted in industrial,
commercial, urban residential, suburban residential,
and rural communities; and with communities near
airports, transportation centers, and the like.
3. To provide practical bases for the establishment of
workable zoning regulations and ordinances for the
control of potentially noisy activities in or adjacent
to various types of neighborhoods.
356
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4. To provide logical bases for siting and acoustical
design of n«w structures and operations being intro-
duced into a community.
5. To anticipate the likelihood of community complaints
as a result of possible changes in operations in an
existing accepted facility. Such changes might in-
clude daytime operations of a plant being extended
into nighttime operations, the lengthening of an air-
port runway, or the widening of a ma in.artery to
handle more and heavier truck traffic.
But have noise surveys actually been used in these ways? There
are noise control programs at the local level, but they have for the
most part failed because they rest on no rational planning foundation,
for example, a noise survey. "There has been no systematic attempt
to regulate. A large number of the early statutory provisions are
directed at highly specific nuisances, for example, the ringing of
doorbells by street merchants after dark in residential areas. Broader
provisions, on the other hand, are likely to be completely vague and
generalized; an ordinance will prohibit, for example, any loud, raucous,
or unnecessary noise. There is virtually no attempt to define prohibited
20
noise levels or to set any other kind of quantitative standard."
If there has been no systematic attempt to regulate, it is not
surprising, for there has been no systematic attempt to plan, a prior
step to any reasonable regulation process. Any such attempt generally
should consider the problem in terms of source, path, and receptor of
21
noise. Yet the control of the path or the receptor has rarely been
considered except in planning for control of noise from aircraft. A
full planning methodology, including evaluation of alternate solutions,
has not been used.
Existing legal controls have been directed solely at the creation
of noise, not at protection of the individual, within a dwelling or
22
elsewhere, from whatever noise is created. The path and the receptor
have not been duly considered in planning for control of ground trans-
port noise, for example. This is ironic because control at the source,
except for abnormally loud emissions, is, for the most part, not under
23
local jurisdiction. Most solutions available to local governments
357
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for the control of transportation noise deal with the path and the
receptor. These solutions have received consideration in planning for
aircraft noise but not for surface transportation. Dorn McGrath states:
"Essentially all of the current literature in the practice o* urban
24
planning is silent on the subject of noise." He attempts to break
the silence with the following rough outline of a methodology:
It is time to join noise generation technology with
the softer science of land use planning in the con-
text of the metropol itan area.
First, the urban expressway proposals should be
subjected to systematic studies of their noise
effects. There is little dispute that less noise
is better than more for most people in their homes,
parks, and schools, even though individual toler-
ances may vary widely. If this is so, there is no
reason why a right-of-way 'footprint of sound'
should not be plotted and analyzed to determine
the noise exposure potential for urban expressways
and arterial street systems as part of the urban
planning process. Methods of predicting highway
noise in advance on the basis of predicted traffic
volumes and rates in relation to community response
are reported (Goodfriend, 1967). There remain to
be built 2500 miles of the nation's Interstate
Highway System in metropolitan areas, and innumer-
able arterial streets to be improved. These pro-
jects present opportunities to achieve more peace
and quiet through urban highwav^planning, and they
should not be allowed to pass.
The above pertains mainly to the path of noise. McGrath also has a
suggestion for dealing with the receptor. "Further research in tech-
niques is needed, especially to determine the effects of noise on
people, but land use and transport system planning now should consider
cost of home insulation, as well as the social costs of community
exposure, as trade-off factors in analyzing costs of noise-generating
76
system development proposals."
Peterborough Study The thrust of McGrath's criticism is that
although both the noise climate near a proposed highway and human
reactions to it can be fairly well predicted, these predictions are not
used in highway or traffic planning. The probable social cost of the
358
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traffic noise is not weighed against the benefit derived from the high-
way, and measures to alleviate the noise problem are not even examined.
An exception to this rule is a study done by Jonathan A. Wright on the
traffic noise problem that will be generated in Orton Township,
27
Peterborough, a new town in England. Wright begins by suggesting
30-35 db(A) in bedrooms at night as the goal of the Peterborough
management program. The social cost of not achieving this inferior
noise environment will be interference with sleep and accompanying
stress and annoyance.
Wright analyzes the price of achieving this level of quiet. He
points out that the normal housing facade will reduce interior noise
by about 20 db(A). Thus, an exterior noise level of from 50 to 55
db(A) will be sufficient to maintain an adequate indoor noise
environment. The prediction for Orton is that exterior noise levels
will be about 70 db(A) in areas near major roadways, therefore, some
protection will be needed. Different methods of noise abatement must
be examined to see which combination reduces the exterior noise level
the desired amount at the lowest cost. After this cost is determined,
it must be analyzed within the context of a social welfare function to
see whether it is justified. For example, Wright points out that it
would be very expensive to lower the exterior noise levels from 70
db(A) to 60 db(A) by the use of barrier mounds. The mounds would have
to total seven miles in length and be twelve feet high to be effective
and would cost over 500,000 pounds. An alternative might be to bufld
the barriers out of cheaper materials (brick or timber fences), but
then the desired reduction in noise level would not be achieved.
Wright describes several alternative methods in addition to home
insulation as mentioned by McGrath. One is shielding, which can be
accomplished by placing non-residential structures along roadways to
block sound that would otherwise reach residential structures.
Shielding can also be accomplished by arranging a structure on a lot
to reduce the noise entering it. In addition, rooms may be arranged
within the house so that the bedroom is shielded. Wright maintains
that shielding is relatively costless. Another method of reducing
359
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noise is using ground absorption by locating structures at a certain
distance from roadways. A dissimilar method would be to step up the
pace of enforcement of existing regulations pertaining to noise emis-
sions from individual vehicles. Traffic flows could be smoothed to
reduce the necessity for periods of acceleration, truck routes could
be established to guide these prime noisemakers away from residences,
and highways could be depressed to reduce noise transmission.
The main point about all these techniques is that they should be
considered in any traffic-noise management program. Each of them
should be analyzed in terms of the noise reduction provided per unit
cost. It may be that after consideration of all possible combinations,
the 30-35 db(A) standard will be judged prohibitively expensive to
meet; but, a comprehensive consideration of the social cost of traffic
noise will have been included in the decision-making process.
HUD Guide Ii nes In the United States, HUD has begun to include
the social cost of transportation noise (both ground and air) in its
decisions involving location of housing it helps finance. The agency
has set out an approach which aggregates the results of acoustic and
social surveys so that potential residential sites may be evaluated
for their exposure to transportation noise. Standards, which consti-
tute an evaluative framework for this exposure, are provided for use
by HUD and local governments. The HUD approach is published in a
OQ
booklet, No i s e As se s sme nt Gu i d_e J i r^es. The procedures accept the
source and path of noise as given and focus on estimating and evaluat-
ing the resulting noise environment. The site is classified according
29
to the following criteria:
Clearly acceptable: the noise exposure is such that
both the indoor and outdoor environments are
pIeasant.
Normally acceptable: the noise exposure is great
enough to be of some concern but common building
constructions will make the indoor environment
acceptable, even for sleeping quarters, and the
outdoor environment will be reasonably pleasant
for recreation and play.
360
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Normally unacceptable: the noise exposure is signifi-
cantly more severe so that unusual and costly
building constructions are necessary to ensure
some tranquil ity indoors, and barriers must be
erected between site and prominent noise sources
to make the outdoor environment tolerable.
Clearly unacceptable: the noise exposure is so
severe that construction costs to make the indoor
environment acceptable would be prohibitive and
the outdoor environment would still be intolerable.
HUD procedures include a warning to check plans for future roadway
changes as well as expected changes in traffic. A site that is clearly
acceptable at the present might become unacceptable in the future if
predicted changes occur.
Procedures for determining the noise climate do not require any
technical equipment, but do require that the planner request infor-
mation from other departments. For instance, he must obtain, from the
local transportation director, the peak hourly traffic flow In both
directions, for trucks and automobiles separately. Since noise of
vehicles is a function of road gradient, smoothness of traffic-flow,
mean speed, and barriers between road and site, alI these factors must
be examined. Formulas are given which provide site evaluations based
on these factors and on the distances involved. The HUD publication
contains actual worksheets and instructions with examples.
There are similar procedures for evaluating railway noise. Also
included in the booklet is a very simple test to evaluate overall
noise levels at a proposed housing site. In this test, the criterion
is the distance from the speaker at which hearing normal speech becomes
difficult. According to HUD, if the distance exceeds seventy feet,
the site is clearly acceptable, between twenty-six to seventy feet,
it is normally acceptable, between seven to twenty-five feet, it is
normally unacceptable, and at less than seven feet, it is clearly
unacceptable.
Ai rcraft 'Noise Guidetines HUD also has guidelines for evaluating
site exposure to aircraft noise. Based on Noise Exposure Forecasts
(NEF), which were developed by the FAA, HUD has formulated a compre-
hensive airport planning methodology. NEF and related schemes, such
361
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as the Community Noise Equivalent Level developed by the State of
California, are based on similar procedures. Flight patterns by air-
craft type and frequency are determined for a given airport. The
pitch, duration, and frequency of noise that will be generated are
estimated, and noise level contours are drawn on a map of the airport
area. The FAA has applied NEF to land use planning and come up with
the following criteria:
NEF--20 to 30 (Category A): Few activities will be
affected by aircraft sound although building designs
for especially sound sensitive activities such as
auditoriums, churches, schools, hospitals, and theaters
should consider some control in areas closest to the
airport. Detailed studies by qualified personnel are
recommended for outdoor amphitheaters and like places
of pub I ic assembIy.
NEF—30 to 40 (Category B): Activities where uninter-
rupted communications are essential should consider
sound exposure in design. Generally, residential
development is not considered a suitable use, although
multifamily development where sound control features
have been incorporated in building might be considered.
Open air activities and outdoor living will be affected
by aircraft sound. The construction of auditoriums,
churches, schools, hospitals, theaters, and like
activities should be avoided where possible.
NEF—40 and greater (Category C): Land should be
reserved for activities that can tolerate a high level
of sound exposure such as agricultural, industrial,
and commercial uses. No residential developments of
any type are recommended. Sound sensitive activities,
such as auditoriums, churches, schools, hospitals,
theaters, and like activities, should not be con-
structed in this area unless no alternative location
is possible. All structures should consider sound
control in design.
The FAA does not consider these categories to be standards. HUD,
however, has developed standards related to the NEF contours (Table 8-1)
32
and will use them to guide housing program decisions. Localities may
have to take the guidelines into account if HUD financing is involved.
362
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TABLE 19
HUD NOISE STANDARDS FOR LOCATIONS.NEAR AIRPORTS33
Distance from site to the center of the Acceptability
area covered by the principal runways Category
Outside the NEF-30 contour, at the distance
greater than or equal to the distance be- Clearly
tween the NEF-30 and NEF-40 contours. acceptable
Outside the NEF-30 contour, at a distance
less than the distance between the NEF-30 Normally
and NEF-40. acceptable
Between the NEF-30 and the NEF-40 contours. Normally
unacceptable
Within the NEF-40 contour Clearly
unacceptable
The Rhode Island State Planning Program, which has made Noise
Exposure Forecasts, has expressed some reservations about the HUD
, , , 34
standards:
I. The noise exposure zones delineated by this method
contain a wide range of actual noise conditions
which should not be generalized into zones in
this manner. This is particularly true of the
'normally acceptable' and 'normally unacceptable'
zones.
2. Application of these zones to Theodore Francis
Green State Airport substantially overstates the
number of persons adversely affected by aircraft
noi se.
The Rhode Island program suggests that both the FAA criteria and the
HUD standards should be considered crude estimates of aircraft noise
impact. They should not be considered a substitute for measurement
in the field. "Nevertheless these methods represent the best tech-
niques available at this time, and are useful within the limitations
stated, for planning at the system level."
363
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In addition to developing a site exposure methodology, HUD has
developed a more comprehensive, four-step planning approach to the
problem of airport noise, embracing problem definition, problem
solutions and direct action instruments. The first step is determi-
nation of existing and expected noise problems. The second stage is
reviewing actions that have reduced or intensified the community's
aircraft noise problem. Past actions are evaluated to see whether
or not they have alleviated noise, which leads to examination and
analysis of public complaints. A complaint profile reveals information
about sources of grievances and satisfactions that cannot be ascer-
tained by looking at the NEF. In the third stage:
The range of land use alternatives that may be appro-
priate for a given airport location needs to be identi-
fied and the costs estimated for each. Among these
are: a) the preservation and provision of open space;
b) zoning and other land use controls; c) redevelop-
ment; d) insulating existing buildings; e) insulating
new buildings; f) purchase of noise easements. The
impact of each of these measures on the growth, develop-
ment and operation of the airport must be determined.
Legal review of enabling legislation and court deci-
sions affecting such local regulatory measures should
be investigated, as should the authority of the airport
operator to alleviate, ignore, or otherwise affect the
impact of noise in the neighboring communities.
The fourth stage is assessing relative usefulness and cost of
alternative land use strategies. Involved in this step is assessment
of the ability of the chosen land use tools to maintain the area in
compatible development.
In 1971, the Northeastern Illinois Planning Commission used the
above planning model in the Metropolitan Aircraft Noise Abatement
Policy Study for Chicago's O'Hare International Airport. This study
is extremely thorough and describes each element of the comprehensive
-ZQ
planning approach as it pertains to O'Hare and its environs. A
similar approach, although not explicitly based on the HUD model, was
39 40
taken in planning new airports in Kansas City, Dallas-Ft. Worth,
and Minneapolis-St. Paul. The approach is not limited to huge
364
-------
metropolitan airports—Raleigh-Durham, an airport of moderate size in
North Carolina, has been using a variation of this planning method
42
since 1962.
In addition, NASA has published an informative hypothetical
example of comprehensive airport planning methodology for noise abate-
ment in a medium sized city. The approach, while similar to HUD's,
is valuable because it is described in terms of a hypothetical case
study rather than in abstract terms.
Guidance Instruments for Aircraft Noise
Source Control Guidance instruments for the abatement of noise
pollution from aircraft can focus on the source, path, or receptor, or
a combination of these. Guidance systems focusing on the source fall
into two main types: physical suppression of engine noise through
technological means and control of flight operations. The first of
these is completely out of the local government's power, other than
its ability to exert pressure on the federal government to require
quieter aircraft on a nationwide basis. The second type of guidance
system is available to local government to a limited extent. For
example, a municipality cannot pass a law setting a decibel limit on
flight over its territory. Neither can a municipality simply pro-
45
hi bit flight over its territory. However, on the positive side,
local airport authorities may route aircraft on runways which result
in less noise impact than other runways. This must be accomplished
within safety constraints, of course. However, as of 1966, only eigh-
46
teen airports in the country were using this technique. Another
technique local government might use to control the source of noise is
regulation of the hours of flight. Santa Monica, California, has
passed an ordinance prohibiting takeoffs between 11:00 PM and 7:00 AM.
This law was upheld, but there are great reservations about its general
application and usefulness. First, it does not prohibit landings, nor
could it legally, and it is during landing that the characteristic,
47
annoying high-pitched whine of jet aircraft occurs. Secondly, while
it is arguable that local authorities possess the power to make regu-
365
-------
lations controlling the hours of flight, it is unlikely that they
48
would long retain this power it its exercise were stringent. Also,
to restrict hours of flight reduces the economic viability of the
airport. A more promising source-control technique is the use of
monitoring devices under flight paths. In this way, local authorities
may help enforce the use of FAA promulgated flight procedures for noise
49
abatement. In addition, local airports might charge landing fees for
nighttime arrivals, thus providing an incentive to airlines to limit
flight during the sensitive hours. Local government may regulate
aircraft noise while the plane is on the ground.
Generally, however, the control of aircraft noise at the source
is a federal prerogative, so local governments should place primary
emphasis on control of the path and receptor.
Path Control Controlling the path depends on controlling the
spatial arrangement of source and receptor. First among the tools for
accomplishing this is zoning. Of course, this tool is not applicable
to areas already occupied by noise sensitive uses. Furthermore, in
zoning for airport noise factors, the traditional basis of zoning be-
comes reversed. Usually zoning is justified on the grounds that
nuisances should be isolated from their victims, but zoning as prac-
ticed around the new Kansas City airport, for example, will operate
52
on the theory that the victims must be excluded from the nuisance.
Traditional zoning permits the so-called highest uses (residential) in
all zones, while restricting the lowest (heavy industry) to just one
zone. However, in airport zoning the zones are not cumulative, but
exclusive; residences may indeed be prohibited from certain areas.
The Twin Cities, Raleigh-Durham, and Kansas City have followed this
exclusive-zone scheme. Such a scheme will probably be found consti-
tutional as long as the zoning does not result in a lowering of pro-
perty value. Fortunately, when land is zoned for industrial use,
its value usually rises, and most of the time the land in question
would be zoned industrial or commercial. Also, since land close to
an airport is usually quite suitable for this kind of development, the
objectives of comprehensive land use planning coincide nicely with
those of noise abatement.
366
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With zoning, there is the problem of jurisdiction. One author
has gone so far as to say that "practical difficulties render compat-
ible land use zoning of little value. In many instances, the airport
operator is not the body that has authority to zone. Often times, a
regional airport is located in more than one political subdivision,
and zoning would require the enactment of laws by several different
54
and not necessarily cooperative units. This picture is correct but
not hopeless. Solutions to jurisdictional problems take three basic
forms. The first is a cooperative model. Kansas City and Clay and
Platte counties have reached agreement on a unified zoning code
utilizing the idea of exclusive zones. The regional planning agency
has been designated as the coordinating unit along with the city
development department. There will be one plan for the area around
the new airport. The second model is that of an airport authority
without zoning power asking cities bordering the airport to agree on
certain principles in their zoning ordinances. This model is illus-
trated in Dallas-Ft. Worth. The third model is that of a single agency
at the metropolitan level having zoning power for the airport environs.
The Metropolitan Council of the Twin Cities area is empowered to create
a Metropolitan Development Guide and to review local plans, zoning
ordinances,'subdivision regulations, building codes, and official map,
to see that they are in conformance with this guide. If not in con-
formance, the local devices may be suspended indefinitely. Furthermore,
the council has authority to develop standards related to development
around the new airport.
The Raleigh-Durham airport situation suggests perhaps a fourth
model. Here, two counties and two cities jointly own a regional air-
port which is operated by an airport authority; however, all zoning
responsibility rests in one county. The county voluntarily incorpo-
rated provisions for exclusive airport zoning districts in its
ord inances.
As far as uses appropriate for airport zones, any such list should
57
contain items with one or more of the following characteristics:
367
-------
I. Land use involving few people, such as reservoirs
or sewage treatment plants.
2. Uses which are inherently noisy so that aircraft noise
has little additional impact, for example, a printing
plant.
3. Indoor uses—commercial, industrial, institutional —
which can be protected from aircraft noise by suitable
soundproofing.
Direct purchase of land is another tool which focuses on the path
of aircraft noise. Dallas-Ft. Worth has'used this device: "Probably
the most important single decision was made by the city fathers of
Dallas and Ft. Worth, to purchase enough land (land bank) to defend
the surrounding communities against heavy sound affliction." The
method used for determining amount of land needed is probably scien-
tific enough to stand up in the courts: "The property was shaped to
anticipate the use of a Boeing 320B loaded to 225,000 Ibs. gross take-
off weight, on a 90 degree day with no wind. These factors and this
aircraft should create the most unfavorable noise condition of any
aircraft on any day under any set of conditions. The theoretical
operation of this aircraft established the pattern of ground sound
59
levels..." This is probably the most effective technique in abating
noise pollution around new airports. There are, of course, constraints.
First, there is enormous cost. Second, the required amount of un-
developed land may not exist around the airport. Third, sometimes
"great pressures are brought to bear to reduce the number of acres that
the airport would take into its boundaries."
Eminent domain may have to be used to purchase property rights.
Normally, this technique would be far too costly because it implies
buying already developed or extremely valuable land. It is required
mainly when a court declares a taking of land by the airport because
low level flights have destroyed the potential use of the property.
Non-extension of utilities is yet another device"which can be used
to discourage development. This approach is being used in Minneapolis-
St. Paul and Kansas City. In each situation, refusal to extend utili-
ties is a power of the regional body.
368
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Receptor_ Control Controlling aircraft noise at the receptor
appears to be the least desirable method because people are generally
protected only while indoors. However, when noise-sensitive develop-
ment is already present in noise impacted areas or cannot be prevented
from entering such areas, then source, or receptor, control is all that
is available. Perhaps the most sensitive technique for controlling
noise impact at the source is the Building Code Noise Attenuation
f>9
District, where required insulation would be determined through tech-
niques such as a noise exposure forecast. This device is probab ,'y
. . 63 '
legal.
Once development of noise sensitive uses has taken place, the
remedies are inadequate. Soundproofing is possible, but expensive, and
does nothing at all to protect against noise when occupants are outside
the home. The cost of soundproofing a home is estimated to be from 10
64
to 25 percent of the original cost of construction. "The main prob-
lem is the allocation of costs on a rational basis among the property
owner, the airport, and the community." This allocation however,
misses one key potential sharer of the cost—the airline passenger.
The Los Angeles Department of Airports has focused on him and, in a
pilot project, will attempt to levy a one dollar tax per passenger
moving through the L. A. International Airport. Also, a tax is being
tried per ton of cargo. Congress may legislate against this approach.
Avigation easements are difficult to classify as a method for
relieving noise pollution. They do nothing to enhance environmental
quality per se. They merely constitute a payment of money to a resi-
dent by the airport operator in compensation for the taking of part of
the resident's property through interference with his normal use of it.
The amount of money rewarded is generally about the sum necessary for
some degree of soundproofing.
Guidance Instruments for Other Sources of Noise
Almost all local guidance instruments for noise control—other
than those for aircraft—consist of noise source ordinances. These
ordinances are either subjective or objective. Subjective indicates
369
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the more traditional noise ordinance which bans such things as loud and
unnecessary noises. However, "there is very little enforcement of
these statutes. A municipality will run an occasional campaign against
horn blowing; an anti-noise ordinance may be used as the most conve-
nient weapon against teenage dragracers or motorcyclists; but there is
virtually no use of these laws in any continuing, overall attack on
the problem of noise." Objective indicates the type of ordinance
which defines noise violations in measurable units, such as decibels,
and uses technical instruments in enforcement.
The Chicago program is an example of an ordinance providing for
69
a continuing, overall attack on noise. The New York Times has called
it "the most comprehensive program to curb noise of any American
city." The ordinance combines both subjective and objective
components. One section contains prohibitions against certain types
of noise-making activities such as blowing steam whistles at factories
to signal the beginning of a work period, or renting, owning, or using
premises for any purposes which disturb or destroy the peace of the
neighborhood. This section also contains curfews.
It shall be unlawful for any person to use any pile
driver, shovel, hammer derrick, hoist tractor, roller,
or other mechanical apparatus operated by fuel or
electric power in building or construction operations
between the hours of 9:30 p.m. and 8:00 a.m. except
for work on pub lie utilities, within 600 feet of any.
building used for residential or hospital purposes.
The Chicago ordinance also includes an innovative scheme of regu-
lation, which prohibits the sale within the city of Chicago of motor
vehicles exceeing a certain decibel limit fifty feet from the street
center line under clearly described testing procedures. There are
three categories of motor vehicles: motorcycles; vehicles with a gross
weight of 8,000 pounds or more; and passenger cars or any other
vehicle. The limits will become stricter in 1975 and again in I960.
The manufacturer, distributor, or importer must certify in writing to
the environmental commissioner that the vehicles he sells meet the
standards.
370
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To complement the foregoing standards the ordinance also prohibits
the three classes of vehicles from exceeding certain decibel limits
when in operation, that is after they are sold. These limits are
measured for under 35 mph and over 35 mph, again at fifty feet from
the center line as established by testing procedures set out in the
ordinance. This section applies to the total noise emitted from the
vehicle, not just from the exhaust, and protects the city against those
operators who would alter vehicles after purchase. The standards for
sale and operation together comprise a systematic attempt to control
transportation noise.
The same systematic attempt is made to control noise caused by
construction equipment. Four kinds of construction equipment are
listed, and each is assigned a decibel limit which it must not exceed
at a distance of fifty feet under procedures set out in the ordinance.
Again the standards become progressively stricter from the present
until 1980. This section, however, aims exclusively at the seller or
lessor, not at the operator.
In addition to vehicles and construction equipment, the Chicago
ordinance regulates off-the-road recreation equipment such as dune-
buggies and snowmobiles. There are also standards set down for boats
operating within the corporate limits on Lake Michigan.
Another interesting innovation in the Chicago ordinance is its
provision for performance standards relating to noise within a zoning
framework. The ordinance requires that a land use within a manufactur-
ing zone not cause a noise above a certain level at the boundaries of
a residential or commercial zone. Also, the allowable noise level
varies with the frequency characteristics of the sound. There are
three sets of standards; each one sets the noise level which may
emanate from light, medium, and heavy industrial zones, respectively,
to the borders of residential and commercial zones.
Procedures for testing noise levels in the ordinance are based on
dbA standards developed by the Society of Automotive Engineers that are
measurable on a simple sound meter. This scale is generally recom-
mended for use in legal criteria for noise levels because of the ease
371
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of measurement and because it conforms rather closely to the way in
which the human ear hears. Chicago has also developed an innovation
in enforcement. The city plans to have mobile teams cruising the city,
72
with portable sound meters, listening for violations. Hopefully,
this will eliminate one of the reasons for past failures of municipal
noise ordinances where noise ordinance enfircement was generally handed
over to the police, for whom it is a very low-priority matter.
Inglewood, California, which, like Chicago, has passed a comprehensive
noise ordinance with quantitative standards, has issued a report show-
74
ing how the actual enforcement will take place in the field.
New York City has added to its building code requiring protection
75
from noise within structures. Another New York innovation is requir-
ing city garbage col lection services to buy only equipment which wilI
meet certain quantitative noise standards. It should be much easier
for any city to enforce noise ordinances if the city's actions set a
good example. Surely garbage trucks and public busses are among the
most annoying noise polluters in the city. In general, certain other
measures exist which might be carried out by cities to reduce noise
pollution, such as screening, elevation, and depression of highways.
Autobahns in West Germany are frequently screened with trees to reduce
road noise emanating from the highway.
As discussed earlier, land-use planning to separate noise sensi-
tive uses from noise producing public developments has been applied
mainly to airports and hardly at all to highways or railways. "The
least-used tactic to date to lessen noise has been land use planning,
because most of the nation's communities are locked in, at least for
the time being, to archaic layouts in which noise problems were not
considered."
One final approach, perhaps more effective than any of the
individual devices discussed above, is establishment of a separate
agency whose primary responsibility is the control of noise pollution.
Such agencies exist in Chicago and New York. When control is frag-
mented "few, if any, of the responsible agencies view noise control as
7$
a principal—or even an important mission." In a separate agency,
with noise control as its single mission, the problem might get the
attention it deserves.
372
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A i r Qua I ity Management
Until recently, air pollution abatement strategies focused
primarily on emission control at the source through technological
changes. Although source control remains an important element in any
air quality management program, it has become increasingly apparent
that a more fundamental redirection of urbanization processes to re-
flect air quality considerations is needed. The urbanization process
itself must be refined to respect the inherent capacity of the air
resource to assimilate a limited amount of residuals, or pollution.
In order for urban and regional planners to so direct their planning
efforts, especially in the areas of land use and transportation, it is
necessary for them to understand the source of the urban air pollution
problem, current national air pollution abatement program established
by federal legislation, and urban planning and control activities which
may affect air quality.
Table 19 shows emission of the six major air pollutants by various
sources by weight. It should be noted that this is a nationwide inven-
tory and wide variations could be expected from rural to urban areas as
well as from one urban area to another. For instance, transportation
(essentially the automobile) is a more predominant source of carbon
monoxide, hydrocarbons, and oxides of nitrogen in many urban areas than
the national estimate would indicate. An analysis of pollution tonnage,
however, may be a bit misleading in that weight alone does not reflect
the variation in damage potential of each pollutant. Furthermore, it
is the geographic concentration of pollution sources and the ultimate
79
dispersion of residuals that affect air quality. Attempts have been
made to determine the comparative damage of one pollutant to another in
order to define an air pollution index.
An air pollution index, for example, would weight
a ton of sulfur oxides much more heavily than a
ton of carbon monoxide, because a ton of sulfur
dioxide is more damaging to health. Considerable
knowledge about the effects of a pollutant is
necessary to weight the elements in an index
373
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Source CO Partic- SO HC NO
ulates x x
L~1n mi II ions of tons per year]
Transportation I I I.0 0.7 1.0 19.5 11.7
FueI combust ion in
stationary sources
Industrial processes
Solid waste disposal
M iscel 1 aneous
Total
Percent change 1969-70
Source: Counci 1 on Envi
.8
1 1 .4
7.2
16.8
147.2
-4.5
ronmenta 1
6.8
13.1
1 .4
3.4
25.4
-7.4
Oual ity,
26.5
6.0
.1
.3
33.9
0
Environmental
.6
5.5
2.0
7. 1
34.7
0
Oual ity,
10.0
.2
.4
.4
22.7
+4.5
The
Third Annual Report (Washington: U. S. Government Printing Office,
1972, p. 6.
TABLE 19
ESTIMATED EMISSIONS OF AIR POLLUTANTS BY WEIGHT,
NATIONWIDE, 1970 (PRELIMINARY DATA)
374
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accurately. In most environmental areas, further
research is necessary to add to our knowledge about
effects. For example, the ambient air quality
standards, on which most air pollution indices are
based, are still somewhat controversial, and research
is underway to understand more fully the long-term
health effects of air pollutants, so that the __
scientific basis for the standards can be improved.
The NatlonaI Air Qua I ity Management Program
Although most cities have had air quality ordinances in effect for
years in conjunction with public nuisance provisions applicable to the
most obvious examples of pollution—smoke, soot, and odor, it was not
until the I950's that the severity of less obvious pollutants such as
smog was understood. The growing recognition of air pollution problems
in this country is reflected in the evolution of federal legislation
beginning with the Air Pollution Control Research and Technical Assis-
tance Act of 1955 and culminating in the recent Clean Air Amendments of
1970 (PL 91-604; 84 Stat. 1676) which established a framework for all
state and local air quality management efforts. The major thrust of
the 1970 Amendments was establishment of ambient air quality standards
which are applicable on a nationwide basis.
National Ambient Air Qua! ity Standards National ambient air
quality standards consist of primary standards which relate to public
health and secondary standards which reflect public welfare consider-
ations. The administrator of the Environmental Protection Agency may
propose primary and secondary standards for any pollutant along with
appropriate air quality criteria. Interested persons are given ninety
days to submit comments before final standards are established. At
this time, standards for six pollutants have been determined. (Table 20)
In addition to ambient air quality standards, two provisions of the
amendments call for a significant interface between air quality control
and the urban planning process: State air quality implementation plans
and performance standards for new stationary sources.
ImpI erne ntat f on Plans The Clear Air Amendments of 1970 mandate
planning for air quality at the state level. After a standard has been
promulgated by EPA, each state is given nine months to submit a plan to
375
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Pollutant
Primary standard
Secondary standard
Su I fur oxides
(sulfur d ioxide)
3 4
80 g/m (annual arithmetic 60 g/m"
mean)
365 q/m (max. 24 hr.
, b
cone.)
260 q/m ,
I,300" g/m
(max. 3 hr.)
Particulate
75 g/m (annual aeometric 60 q/m
, mean) ,
260 g/m (max. 24 hr. cone.) 150 g/m
Carbon monoxide
10 q/m, (max. 8 hr. cone.) same
40 g/m (max. I hr. cone.) same
Photochemical
oxidents
60 g/m (max. 1 hr. cone.) same
Hydrocarbons
160 q/m (max. 3 hr. cone.) same
Nitrogen dioxide
100 g/m (annual arithmetic same
mean)
Source: Federal Register, Volume 36, No. 84, April 30, 1971, Part II.
TABLE 20
NATIONAL PRIMARY AND SECONDARY AIR QUALITY STANDARDS
a g/m - micrograms per cubic meter
3all maximum time period concentrations not to be exceeded
more than once per year.
~6 - 9 a.m.
376
-------
achieve a primary standard and up to eighteen additional months to sub-
mit a plan to attain and maintain a secondary standard. Plans are re-
viewed by EPA and either approved or disapproved, In whole or part,
within four months of submission.
Plans that were due by January 30, 1972, were to provide for
attainment, by 1975, of the primary standards for the six pollutants
in Table I. Secondary standards must be achieved within a reasonable
time period. An implementation plan must include the follow!no
, , 81
elements:
I. Emission limitations (for existing sources),
schedules, and timetables for compliance with
such limitations and other measures necessary
to attain and maintain standards, including,
but not I imited to, land use and transportation
controls.
2. Provisions for monitoring and analyzing air quality.
3. Review, prior to construction or modification, of
the location of new sources to which a standard
of performance will apply and the authority to
prohibit construction if it will prevent attainment
or maintenance of standards.
4. Provisions for intergovernmental cooperation.
5. Assurance of adequate personnel, funding, and
authority to carry out the plan.
6. Requirements for stationary source owners or
operators to monitor their emissions and provide
public access to such reports. (Elsewhere in the
act provision for entry and inspection by public
off ic ials is made.)
7. Provision, to the extent necessary and practicable,
for periodic auto emission testing to enforce
compliance with emission standards.
8. Revision procedures when standards are altered or
technological advances warrant a new approach to control.
Essentially the plan is to outline the "control strategy" of the
state's abatement program. "'Control strategy1 means a combination of
377
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measures designed to achieve the aggregate reduction of emissions
no
necessary for attainment and maintenance of a national standard..."
It should be noted that this implies that a control strategy includes
only measures which actually reduce the amount of emissions generated.
in fact, however, a state may take two other approaches: (I) modifica-
tion of residuals (emissions) after generation (for example, requiring
retrofitting of in-use automobiles), and (2) better utilization of the
assimilative capacity of the environment (planning location of sources
to dilute their impact on air quality). These two approaches are con-
sidered proper by EPA in an expanded definition of a control strategy
in the Implementation Plan Guidelines. A control strategy includes but
O~Z
is not I imited to measures such as:
I. Emission limitations.
2. Federal or state emission charges or taxes or other
economic incentives or disincentives.
3. Closing or relocation of residential, commercial,
or industrial facilities.
4. Changes in schedules or methods of operation of
commercial or Industrial facilities or transpor-
tation systems, including but not limited to, short
term changes made in accordance with standby plans.
5. Periodic inspection and testing of motor vehicle
emission control systems, at such time as the
Administrator determines that such programs are
feasible and practicable.
6. Emission control measure" applicable to in-use
vehicles, including but not limited to, measures
such as mandatory maintenance, installation of
emission control devices, and conversion to
qaseous fuels.
7. Measures to reduce motor vehicle traffic, including
but not I imited to measures such as commuter taxes,
gasoline rationing, or staggered working hours.
8. Expansion or promotion of the use of mass trans-
portation facilities through measures such as
increases in the frequency, convenience, and
passenger-carrying capacity of mass transportation
378
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systems or providing special bus I apes on major
streets and highways.
9. Any land use or transportation control measure
not specifically delineated herein.
10. Any variation of, or alternative to, any measure
delineated herein.
Obviously, many of these measures are aimed at the reduction of
pollution from automobiles. EPA quickly realized that states were
unfamiliar with the use of transportation control schemes to abate air
pollution, accordingly, states were qiven an extension until
February 15, 1973 to submit portions of their implementation plans
84
dealing with transportation. Furthermore, EPA has undertaken an
extensive research effort to aid states in this phase of their
. . 85
planning.
State air quality implementation plans must provide not only for
the attainment of air quality standards by 1975 but also for mainte-
nance of air quality in subsequent years. In early 1973, after a
ruling by the U. S. Court of Appeals for the District of Columbia, the
administrator of EPA reexamined state implementation plans and found
that: ...no state plan contained adequate growth projections for any
significant period of time in the future...
Moreover, it is recognized that maintenance of
standards cannot be insured simply by projecting
future growth and curtailing present emissions in
order to provide opportunities for this future
growth of emission sources.
Although maintenance of standards is partially insured by state pro-
visions to review the location of new stationary sources, this review
did not extend to general urban and commercial development which may
stimulate increased emissions from motor vehicles or stationary sources,
n-j
Thus, all states are now required to include in their plans a legally
enforceable procedure for reviewing the impact of full construction or
modification of a "complex source" and for preventing construction or
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modification of such sources to attain and maintain a national standard
or to prevent interference with the state control strategy.
A complex source is generally defined as a facility that has or
leads to secondary or adjunctive activity which emits, or may emit, a
pollutant for which there is a national standard. These sources in-
clude, but are not limited to: shopping centers; sports complexes;
drive-in theaters; parking lots and garages; residential, commercial,
industrial, or institutional developments; amusement parks and recre-
ational areas; highways; sewer, water, power, and gas lines; and other
facilities which will result i n i ncreased emissions from motor vehicles
or other stationary sources.
Final regulations for the review of complex sources, including
evaluation procedures, will be published June I I, 1973.
Standards of^Performance for New Stationary Sou/ces This is the
second provision of the amendments which is significantly related to
the urban planning process. Although urban zoning has often included
performance standards, under the 1970 Amendments, performance standards
are to be promulgated on a national basis for all new stationary
sources of air pollution declared by EPA to endanger public health or
welfare. Performance standards have been established for the following
stationary source categories: fossil fuel steam generators; inciner-
QO
ators; portland cement plants; nitric acid and sulfuric acid plants.
These performance standards automatically override any local standards.
Other Provisions The 1970 Amendments also require stringent
national emission standards for new motor vehicles. Beginning in 1975,
new autos must emit 90 percent less carbon monoxide and hydrocarbons
than emitted by 1970 models. By 1976, emissions of oxides of nitrogen
must be reduced 90 percent from the 1971 model level. These reductions
must be maintained for the useful I ife of the vehicle, defined as five
years, or 50,000 miles, whichever occurs first. The specific test
procedure for determining whether this standard is achieved was not
specified in the amendments but was left to the discretion of the EPA
administrator. Obviously, the technique used will influence the actual
definition of the 90 percent reduction.
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The 90 percent reduction of emissions was determined necessary to
achieve related ambient air quality standards. In some urban areas,
where traffic is far greater than average, this source control approach
a I one will not elicit a sufficient reduction in emi ssions to achieve
standards. Points of congestion will provoke concentration of pol-
lutants beyond acceptable levels. The need for additional land use and
transportation controls will be a function of several factors including:
(I) the degree to which the auto industry can produce and market a
89
"clean" car; (2) the time period for which the car will actually
remain "clean"; (3) the rate at which "clean" cars enter the vehicle
population in a given area and affect total emissions generated; and
(4) the accuracy of vehicle usage projections and future operating
characteristics in urban areas. The sheer volume or the localization
of traffic could negate much of the gain made through emission reduc-
tion at the source.
The amendments also call for setting national emission standards
for those pollutants which have been determined hazardous because of
their health effect, but for which there are no national air quality
standards. Three pollutants have been so classified and emission stan-
dards for them have been proposed: asbestos; beryllium; and mercury.
The role of the federal government in enforcing standards was
strengthened in the.'70 Amendments. The administrator of EPA is
authorized to enforce compliance with any aspect of a state's imple-
mentation plan. A violation may result from either individual action
or state failure to enforce the plan.
Necessity for LocaI A i r Qua I ity Management Programs
Under the existing legislative framework, states are given the
ultimate responsibility for developing air quality management programs.
"But while much of the control over air quality standards has moved to
governmental levels above the local level the responsibility for actual
enforcement of the standards and for translating them into emission
limitations and compliance schedules is still largely delegated to the
local level in many states. Thus, the role played by many local juris-
90
dictions is still a crucial one."
381
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Even without state delegation of responsibility, local efforts in
air quality management, especially through land use and transportation
planning, are necessary. First, the federal air quality program is
limited to those pollutants significant to most areas of the nation.
Although the list of pollutants covered by national ambient air quality
standards may eventually be expanded, pollutants which are significant
in some parts of the country may not be included in the national
abatement program. Flourides are one example.
Secondly, the federal abatement program still relies heavily on
technological source control, and even if the best available technology
is required by federal law on new sources and in many cases by indi-
vidual states on existing sources, this may not be adequate, especially
in states that have legislated non-degradation of present air quality.
Emission standards determined today for a city with an expanding indus-
trial base may be inadequate if future industrial expansion is not
adequately projected, especially if the expansion occurs within a
limited area. The recent federal requirement for review of "complex
sources" recognizes the need to evaluate the air quality implications
of major urban development, and this will be done locally.
Thirdly, source control alone fails to take advantage of the
assimilative capacity of the atmosphere which offers a possibility for
spreading out emissions over a given area, thereby diluting their
impact. Strategically locating sources may be a least-cost alternative
to source control and may not conflict with economic objectives as
greatly as source control regulations. Certainly, source control must
be fundamental to any abatement strategy, but its emphasis should not
preclude adequate consideration of other approaches.
Fourthly, it may be important to locate some urban activities such
as schools, hospitals, and homes for the elderly on sites where air
pollution impact is even less than required by federal law.
The control strategies of implementation plans may include many
land use and transportation planning measures. In most states, however,
authority for this planning, development, and operation is delegated to
local governments. If for no other reason, this decentralization of
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authority appears appropriate since it would not be feasible for states
to adequately monitor all local activities.
Although the Clean Air Amendments of 1970 delegate responsibility
for determining and implementing land use and transportation controls
to the state, they do call for an assurance of intergovernmental
cooperation within the state. Implementation plan guidelines allow a
9 I
state to authorize a local agency to carry out a plan. Where such
delegation of responsibil ity is made by a state to a local agency, the
92
state must identify in the plan:
I. The local agencies by official title, which will
participate in carrying out the plan.
2. The responsibilities of such local agencies and the
responsibilities of any state governmental agency
involved in carrying out any portion of the plan.
Designation of agency title and responsibility is not sufficient
assurance of intergovernmental cooperation. Intrastate-intergovern-
mental cooperation is not an easy objective to achieve. There is the
problem of identifying those local agencies best suited to implement
a portion of the plan. Once appropriate local agencies are identified,
there remains the problem of obtaining a commitment from them as well
as the problem of providing them with the necessary legal tools for
plan implementation. At the local level, authority over various de-
velopment regulations and incentives is diffused among many agencies,
each with its own objective, to which, at this point, a state may
93
desire to add air quality. Since the city, county, or regional plan-
ning agency is well aware of this diffusion of authority, it is perhaps
best suited to work with the state agency in developing and implement-
ing an air quality management program.
Local Planning for Air Oual ity Management
Since air quality objectives have only recently been added to the
urban planning agenda, very few examples of such activity—comprehen-
sive urban planning for air quality—exist. To date, aside from some
383
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attempts to modify transportation, air quality planning has been
limited ro problem definition and general recommendations. For example,
Los Angeles included an analysis of the local air quality problem and
current management efforts in its En v i ron me nt aI Conservat i on EI erne nt
94 ' ' "
of the City Genera I_ Plan. Monroe County, New York has also added air
quality to its comprehensive plan. Monroe County stressed the di-
versity in factors contributing to air pollution as well as the diver-
sity in public agencies that must coordinate their efforts if an effec-
tive management program is to be developed and implemented. The Pikes
Peak Area Council of Governments recently completed an analysis of air
pollution which included an evaluation of several different urban
spatial patterns as they affect air quality. Local meteorology and
predicted automobile trip lengths were the two primary factors differ-
entiating various urban geometries. The relationship of air quality to
land use patterns has been of special concern in new town design, and
an extensive evaluation of alternative land use plans has been con-
97
ducted for the Hackensack Meadow lands in New Jersey. One of the most
comprehensive studies of the relationship of air pollution to the urban
planning process is a case study of a Los Angeles district plan
recently completed by graduate students at the University of California
98
at Los Angeles.
The studies cited here emphasize the need to infuse air quality
objectives into the day-to-day urban planning process. Although the
guidance system planning process for air quality remains somewhat
theoretical in nature, some ideas are worth exploring.
To evaluate the causal structure of air pollution in an urban area
in terms of its physical characteristics, it is necessary to conduct a
thorough inventory of emissions, by source, type, and quantity. This
99
type of study has long been fundamental to all abatement programs.
However, urban development and functional models have seldom, if ever,
been incorporated into an emissions inventory study to indicate the
effect on the entire system of a change in one sector of the urban
activity arena, and hence on emissions, and ultimately on air quality.
For instance, a state may now evaluate the impact of a proposed highway
384
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on air quality but will often fail to look at its Impact on other de-
velopment in the area, thus failing to evaluate the highway's secondary
impacts on growth and, hence, on air quality.
Once the causal structure has been investigated, an attempt can
be made to develop the guidance system. To a certain extent, the
causal structure of the pollution problem in a given city will define
the scope of appropriate strategies. Legal, administrative, budgetary,
political, and institutional considerations may further define the
range of acceptable and effective strategies.
Guidance system components may be broadly categorized as advice,
controls, inducements, and development.
Adv i ce Advice is perhaps the oldest and most frequently used type of
guidance instrument. It may stem from the informal exchange of ideas
and information among government departments and officials and private
developers or from the more formal review requirements for permits and
licensing. The transmittal of information and advice from one agency
to another or to a private individual may be institutionalized by
requiring environmental impact analysis as does the National Environ-
mental Policy Act of !969. A state may require such an analysis for
all state funded development projects, and localities may require it
for local public investment projects as well as for private projects
of a significant size or potential environmental impact.
It is difficult to predict the effects of institutionalization of
the impact statement review process. If, in fact, an impact analysis
were properly conducted and the least environmentally degrading project
alternative selected, such a process could, theoretically, be of great
s i gn i ficance.
The requirement for complex source review represents the evolution
of the impact statement from an advisory tool to a development control.
It is unclear whether the burden of proof that a proposed development
will not interfere with the maintenance of air quality standards will
fall on the developer or on a public agency. In either case, this will
require new expertise in evaluation capacities.
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Controls The institution of development controls implies pre-
determination of a total development pattern which reflects air quality
considerations. The current federal program tends to stress a rather
piecemeal approach to air quality planning. Since air quality is only
one objective to be achieved, a sounder approach would be to evaluate the
air quality implications of a total development scheme to determine the
most appropriate pattern and insure its implementation through a
variety of controls including several types of zoning, subdivision
regulations, and planned unit development codes.
Emission density regulation restricts the amount of emissions per
unit of land area. "For example, a regulation could be enacted for-
bidding emission of more than 20 tons per day per acre of land of SCL.
Such a regulation would require that either a large emitter reduce the
number of tons a day emitted or have sufficient property to reduce the
emissions per acre to acceptable levels." This is actually a vari-
ation of the commonly used performance standard approach to zoning.
The underlying assumption of emission density regulation is that
a permitted level of emission density can be determined to allow for
dilution of pollutant concentration resulting in attainment and
maintenance of ambient air quality standards.
While emission density regulation may be useful in siting a new
development, it is difficult and often impractical with respect to
existing development. Emission density limits could serve as a
"possible signal when localized pockets of individual growth may pre-
sent air quality degradation problems. Local officials could use them
to induce more stringent control in expected industrial clusters (e.g.,
industrial parks) than would be required in isolated sites under the
. ,,102
normal point source law.
Emission density regulations will have to vary in substance from
one area to another given variations in meteorological conditions;
however, given the proliferation of government jurisdictions within one
metropolitan area (and assuming general meteorological conditions), it
may be wise to establish regulations for each metropolitan area at the
state level so that all local governments in the region will apply the
386
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same limitation factor. Responsibility for implementation and enforce-
ment would then be delegated to local governments having jurisdiction
over zoning and building codes.
Such regulations have a high potential impact on air quality, as
cited in a recent Chicago study,. but the constraints on operation-
alizing such limitations are many. First, there is some question
whether it is possible to properly determine an emission density func-
tion which will reflect air quality objectives. Second, it may be
quite costly for a high-emitting activity to meet the emission density
requirement. Thirdly, such a requirement may make a metropolitan area
less attractive to potential industry, thus conflictinq with public
economic growth objectives. Finally, the success of such regulations
depends on strict adherence and enforcement which requires an effi-
cient, coordinated governmental structure, including a strong working
relationship between the local air pollution agency and the planning
commission which generally does not exist.
Emission density zon ing is similar to emission density regulation.
Land requirements for each activity class are determined according to
density objectives, and average emissions are estimated for each type
and size of operation. Land parcels are then zoned according to
pollution capacity, which is a function of existing land uses surround-
ing the parcel and emissions now generated. Emission density zoning is
obviously aimed at controlling future development and does not address
the problem of existing concentrations of high emission activities.
Insofar as controlling the impact of future development on air quality,
emission density zoning may be viewed as exerting a high potential
influence. The constraints on implementation are similar to those
affecting emission density regulation.
In many localities, certain activities are allowed in various zone
classifications subject to obtaining a special use permit. By requir-
ing a specja[ use permit, a local government can put more stringent and
specific controls on development. For example, the special use pro-
vision could be used as a vehicle for imposing emission density limita-
tion on a class of activities with a high potential air quality impact.
387
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In most cases, special use provisions have been viewed as a proper
extension of zoning under the police power. Such requiremenjs, however,
cannot vary too greatly from one case to another within the same activ-
ity category; they cannot be arbitrary but must stem from some estab-
!ished set of guidelines. Guidelines, calling for more stringent
density requirements for certain high emitting activities, could be
estabI ished.
The potential impact of special use zoning on air quality is dif-
ficult to estimate since the nature of the provisions and their appli-
cation will vary. Once again, such provisions will apply to new
activities only. The impact can be estimated as middle range in
effectiveness. Since specification of special use provisions is a
discretionary power of the local zoning board, there exists the possi-
bility that local boards will be reluctant to establish such provisions
on activities promising economic growth to the community.
Another variation, ajr zoning, involves complete restriction of
polluting activities in certain areas. Such restricted areas could be
determined according to "current ambient air quality, topography, land
104
use, population density, and the atmospheric characteristics." Air
zoning may be a useful protective device for areas where air quality
objectives are higher in terms of concentration standards than the
national objectives. A community such as St. Petersburg with a large
elderly population may desire to maintain a purer quality of the air
resource than required nationally. Rather than relying on emission
density regulation, zoning, or special permit approaches, a locality or
a state may simply designate an entire area off-limits for a certain
range of activities.
The primary value of this approach is that such zones
could be imposed at the regional level as an overlay
district, without having to take all zoning powers
away from the localities. This makes it much more
practical to implement than regional or metropolitan
zoning. It would, in most cases, require new state
legislation to create both the authority and the
organizational machinery to establish, evaluate, and
enforce such air quality zones, in effect, this would
result in the setting of subregional ambient air
388
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standards for critical sections of a region, except
that, in this case, the standards would be attached
to the authority to exercise the 'police power' as
it relates to land use.
Such zoning's impact on air quality would be high in those areas
where restrictions were imposed, but this approach used alone fails
to provide any control over development in a total area. The con-
straints on this approach are primarily of a sociopolitical nature:
the local public or the state must be in favor of totally restricting
certain types of development from designated areas.
The non-cojiforml ng use is a zoning ordinance provision which
offers the possibility for controlling pollution from existing develop-
ment. Under such a provision, an activity continues although the
zone classification of the land on which it is located is changed. As
a non-conforming use, however, the activity is not allowed to expand.
If the activity finds expansion necessary, it will be forced to
relocate.
In some cases, a non-conforming use provision has contained an
amortization clause to restrict continuance of operation to a certain
time period in the future—the activity is given a set time to phase
itself out and relocate. Amortization schedules have not always been
sanctioned by courts, and where this technique has been approved it
has been with respect to less favored activities such as junkyards,
gasoline stations, and billboards. Without an amortization clause, a
non-conforming use may continue operation forever unless it finds
expansion necessary. Furthermore, a non-conforming use exists only
when zoning is first imposed on a developed area or when zoning is
reclassifled. (n either case, the zone classification must be made to
contradict with the current use. As a means of restricting future
expansion, the non-conforming use provision offers some potential for
pollution control; yet, here again, a firm's argument concerning need
to expand and inabil ity to relocate without extreme economic hardship
may be well received by the local zoning board.
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Many zoning ordinances restrict only the highest intensity of use
while allowing less intense development to occur. Thus, in a residen-
tial zone, industrial uses are prohibited, while in an industrial zone,
residential use is permitted.
Protective or exclusive use zoning is the more narrow specifica-
tion of uses allowed in a zone category rather than specification of
only the highest intensity use. Protective zoning may prohibit housing
and commercial development from industrial zones. At first glance,
this may appear to encourage concentration of emitters, but this need
not be the case. Land parcels of adequate size for industrial develop-
ment could be scattered throughout the metropolitan area. Permitting
only industrial development may prevent encroachment of other uses
into the area, thus providing adequately sized land tracts to allow
industrial location where there is enough area for pollutant dispersion.
The activity would then be properly buffered and it would not adversely
impact on either amenity or economic values of adjoining land uses.
Such zoning requires careful planning, but if properly executed, its
impact on air quality improvement could be great. Again, this
technique is appropriate for future rather than existing development.
The difficulties with this approach are many. In any type of
zoning, restricting use to a specific category strongly affects prop-
erty value. Where the classification is broad, land cost is more
flexible and responds to demand for the use most desired at the time.
Such market response may be appropriate since it is difficult to pre-
dict exactly a demand for future uses. A city would not want to over-
zone for heavy industry thereby limiting land availability for other
activities, consequently pushing up the price of this remaining land.
Furthermore, if the city fails to accurately forecast its industrial
demand, it may have acres of vacant land that are not producing their
potential in tax revenues. This land could, of course, be rezoned to
reflect demand more accurately. 'Still, a landowner may request rezon-
ing to sell or use his land for an existing demand while the city may
want him to wait for a return on his investment until the demand shifts
to the forecasted use. A landowner could argue that this is a type of
390
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"taking" in the public interest and should be compensated. Given a
limited ability to predict future demand, many cities write zoning
ordinances to restrict only the most intense use of land. Since pro-
tective zoning must be based on very careful public planning, the con-
straints on its use are those which affect planning in general and run
the gamut of economic, technological, sociopolitical, and institutional
factors.
It may be important to insure that the environments of certain
groups of the public, the young, old, or ill, exhibit better than
average air quality, and therefore to plan especially for the location
of sensitive receptors. Land uses associated with these groups, such
as schools, hospitals, recreation and senior citizen centers, and nursing
homes, should be located away from major emission sources.
Where facilities within areas of poor air quality
are impossible to avoid, either because they are
there now or because such facilities have to be in
close proximity to the neighborhood residents,
improvements can perhaps be made to the site; the
buildings, or the facility's operation (i.e.,
installing central air conditioning, scheduling
outdoor activities at non-roeak hours, providing
landscaped buffers, etc.)
Aside from the requirement of buffers along major arterials,
traditional subd ivision regulations of street width, lot size, and set-
back offer little opportunity for controlling land use to improve or
regulate air quality. More flexible regulations allowing for planned
unit development, cl uster subdivisions, and dens i ty zom ng prov i de an
opportunity to preserve sufficient open spaces to serve as buffers and
to plan a development pattern minimizing trip lengths, thus reducing
auto pollution. Although most PUD's have been residential, they could
include a variety of land uses...
physically integrated by internal pedestrian systems.
The air pollution abatement contribution which an
MUG CmuIti-use center] can make is in the significant
reduction in trip lengths and the reduced need for
automotive travel between the contained activities
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...Many shopping centers stimulate an intense develop-
ment pattern around them but, because the surrounding
land has not been planned and controlled comprehensively,
they generally fail to generate the advantages of an
integrated MUC.
The primary constraint on use of PUD or MUC regulations appears to be
institutional since successful ones require close monitoring by local
planning departments.
I nducements There are three major forms of public intervention which
may "induce" private development or operation to meet air quality stan-
dards: tax policies; public land assembly; and pub Iic investment programs
The range of possible economic strategies via tax policies whfch
could encourage inclusion of air quality objectives into the private
decision process is extensive. Perhaps most effective would be:
effluent fees (which should most probably be implemented on a national
level to avoid state and local competition for industry by offering
109
lower or no effluent fees); amortization acceleration to replace
older, higher polluting facilities and similarly ease the economic
burden of emission limitation regulations; and differential property
taxes to encourage location of sources in less emission-dense areas.
Public land assembly programs offer the possibility of making
available necessary acreage to industries so that development has a
greater chance to conform to emission density guidelines, regulations,
or zoning, whichever may exist in the locality.
Public i nvestments i n transportation, utilities (water and sewer,
especially), and other public facilities impact strongly on the entire
development pattern of an urban area. Postponing or cancelling invest-
ment in areas with overly intensive development in terms of emissions
may have a leveling, if not reducing, effect on economic activity and
thus I imit emissions. Providing public services in less concentrated
areas, to the degree that development will be limited in accord with
atmospheric tolerance levels, may encourage proper development.
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Development Industrial parks developed by the public offer the
possibilities of attracting industry by making land available and insuring
that development will occur at acceptable locations and densities. Open
space acquisition on a regional scale is another means available to con-
trol density and location of development and may also exert a dilution
effect on pollution.
Effective dispersion of air pollutants does occur
over open space and is increased if the land is
planted. By absorbing moisture and then cooling
by evaporation, greenery creates a cooler, more
humid surface which keeps dust and other pollutants
on the surface.
The location and size of open spaces are important.
Wind direction, type of pollutants, etc., are all
relevant. Genera.l I y the width must be much.yJder
than the narrow buffer strips common today.
The design of an effective regional open space pattern obviously will
require analysis of local meteorological conditions, so there can be no
single optimum spatial structure. More analysis of land use and open
space configurations for air quality as well as of the impact of small
buffers on pollution dispersion is needed. Finally, urban renewal
offers a means to reduce congestion by eliminating small polluting
industries and redesigning transportation networks in blighted areas.
These possible guidance system components have been described very
generally. The assessment of their impact on air quality remains a
subjective hypothesis since research into the relationship between land
use and air quality is relatively limited. The few studies which have
been conducted focused on land use patterns at a regional scale. For
example, the Northeast 11 Iinois PIanning Commission, in one of the
first comprehensive planning studies for air resource management, com-
pared such theoretical development alternatives as a "Finger Plan,"
"Multi-Towns Plan," and a "Satellite Cities Plan."1" Given the
specific sources of the local air pollution problem, it may be neces-
sary to conduct a more detailed investigation of various activity sys-
tems in the city,particu!arly of the transportation and industrial
sectors^to identify possible guidance tools for each.
393
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Finally, it must be remembered that control over these various
guidance system components is diffused among a variety of local public
agencies. Since the exact character of this diffusion and the relative
strength of one agency compared to another varies from one locality to
another, there is not a single best institutional arrangement for urban
government that can assure achievement of air quality objectives.
Federal and state governments can induce cooperation among local
agencies, particularly among local air pollution control, city plan-
ning, transportation, and public works departments, by monitoring
closely the programs of these agencies and exerting political and
financial pressure to elicit conformance to environmental objectives.
394
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Footnotes
Noise
I. Blair T. Bower, "Residuals and Environmental Management," The
Journ'al of the American Institute of Planners, Vol . 37, No. 4
(July 1971), 218.
2. Bower, p. 219.
3. Walter Spofford, Clifford Russett, and Robert Kelly, "Operational
Problems in Large Scale Residuals Management Models," a paper
presented to the Universities - National Bureau Committee,
Resources for the Future, Conference on Economics of the Environ-
ment, Center for Continuing Education, University of Chicago,
November 10 and II, 1972; mimeograph but being revised for pub-
lication by NBER, forthcoming.
4. Environmental Protection Agency, Report to the President and
Congress on Noise, (Washington: U. S. Government Printing Office,
1972), p. xx ii.
5. James Marston Fitch, Amer i ca n Bui Id ing (Boston: Houghton Miff I in
Company, 1972), p. 155.
6. Environmental Protection Agency, op. cit., p. 1-33.
7. Ibid., p. 1-33.
8. Fitch, p. 153.
9. Committee on Environmental Quality,. Noise - Sound Without Value
(Washington: U. S. Government Pri nting Office, 1968), p. T57
10. ibid., p. 17.
II. Clifford R. Bragdon, Noise Pol 1ution (Phi lade I phi a: University
of Pennsylvania Press, 197 15.
12. L. S. Goodfriend and Associates, Urban Nojse Survey Methodology
(Washington: U. S. Department of Housing and Urban Development,
I 971) .
13. Ibid., Vol. I, p. 29.
395
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14. Clifford R. Bragdon, Noise Pol jut ion (Philadelphia: University
of Pennsylvania Press, 1971), p. 101.
15. Paul N. Borsky, "The Use of Social Surveys for Measuring Commu-
nity Response to Noise Environments," in Transportation 'Noises,
James D. Chalupnik, ed. (Seattle: University of Washington
Press, 1970).
16. Bolt Beranck, and Newman, Inc., Noise Environment of Urban and
Suburban Areas (Wash i ngton: U. S. Government Printing-office,
1967), p. 3-4, A-I, A-7.
17. Borsky, p. 220.
18. Bragdon, p. 185.
19. Walter W. Soroka, "Community Noise Surveys,1' in Noise as a Pub I i c
HeaIth Hazard, W. Dixon Ward, James E. Fricke, eds (Washington :
The American Speech and Hearing Association, 1969), p. 175.
20. Frank P. Grad, John D. Hack, "Noise Control in the Urban Environ-
ment," Urban Law Annual (1972), p. 10.
21. Bragdon, p. 176.
22. Grad, et al., p. 10.
23. City of Inglewood, California, Noise Control, Legislation, and
Enforcement, 1971, p. 7, Append ix 8.
24. Dorn C. McGrath, Jr., "City Planning and Noise," in Noise as a
Pub lie Health Hazard, W. Dixon Ward, James E. Fricke, "eds.
(Washi ngton: The Amer ican Speech and Hearing Association, 1969),
p. 355.
25. Ibid., p. 357.
26. Ibid., p. 357.
27. Jonathan A. Wright, Noise: An Approach to a Pollution Problem
in Greater Peterborough, September 7, 1972.
28. Department of Housing and Urban Development, Noise Assessment
Guidelines (Wash!ngton: U. S. Government Printing Office, 1971).
29. Ibid., p. I.
396
-------
30. Environmental Protection Aqency, op. CIT., pp. 2-26.
31. Rhode Island State Planning Program, Aircraft Noise Evaluation
(1972), p. 2.
32. Ibid., p. 3 .
33. Department of Housing and Urban Development, op. pit., p. 3.
34. Rhode Island State Planning Program, op. cit., p. 16.
35. Rhode Island State Planning Program, op. cit., p. 16.
36. U. S. Department of Housing and Urban Development, Airport
Environs: Land Use Controls (1970).
37. Ibid., p. 22.
38. Northeastern Illinois Planning Commission, Q'Hare InternattonaI
Airport: Metropolitan Ajrcraft Noise Abatement Policy Study
TT97TV.' '
39. W. G. Roeseler, Airport Development Districts: The Kansas City
Experience, Urbaji Lawyer^, Vol . 3, No. 2 ( 197! ).
40. JackD. Downey, The Sound of Aircraft, Dallas/Ft. Worth Airport,
1972.
41. Gunnar C. Isberg, "The Minnesota Airport Zoning Act," 1972 Urban
Law Annua I .
42. Raleigh-Durham Airport Authority, Airport Districts tor Noise
Abatement and Protection of Pub I ic and Private Property (Raleigh,
N. C.).
43. Arde, Inc., and Town and City, Inc., A Study of the Optimum Use
of Land Exposed to Aircraft Landing and takeoff MoTse (Washington:
NationaT Ae'ronautTcs and Space Administration, 1966) .
44. M. M. Berger, "Nobody Loves an Airport," Southern Galifornia Law
Review (1970), 779.
45. Ibid., p. 781.
46. Ibid., p. 721.
397
-------
47. ibid., p. 744.
48. f5 id., p. 722.
49. ibid., p. 772.
50. Bragdon, op. cit., p. 183.
5 I . Ibid., p. 182.
52. Berger, op. cj_t., p. 752.
53. Berger, op. cit., p. 752.
54. J. Lessor, "The Airport Noise Problem: Federal but Local
Liabil ity," Urban Lawyer, Vol. 3, No. 2 (1971), 201.
55. Roeseler, op. cit.
56. Isberg, op. cit.
57. Arde, Inc., op. cit., p. 103.
58. Downey, pj^. g_ij.- > P- '•
59. Ibid., p. I .
60. Ibid., p. 2.
61. Roeseler, op. cit. and Isberg, op. cit.
62. U. S. Department of Housing and Urban Development, Airport
Environs; Land Use Controls (I 970).
63. Meshenberg, opj__cit.
64. Berger, op._ c:it_., p. 748.
65. Meshenberg, op._ ci j^.
66. Berger, op. cit., p. 748.
67. Council on Environmental Quality, Environmental Quality, Third
Annual Report (Washington: U. S. Government Printing Office,
1972), p. 207.
398
-------
68. Grad, qp. cjt., p. l|.
69. City Council of Chicago, Mun ic tpa I Code of Chicago, Section
17-1.6, Chapter 17 (July I, 1971).
70. The New York Tjmes, September 2, 1972, p. 24.
71. City Council of Chicago, op. cit.
72. Grad, op. cit., p. 14.
73. Ibid., p. 15.
74. Inglewood, California, op. c_it_.
75. Grad, op._ cjj\, pp. 20-21.
76. Melville C. Branch, Outdoor Noise and the Metropolitan Environ-
ment (1970), p. 10.
77. The New York Times, September 2, 1972, p. 24.
78. Council on Environmental Quality, op. cit., p. 210.
Air QuaMty
79. For an introduction to meteorology as it affects air quality and
the nature of air pollution, see: Alan M. Voorhees and Associ-
ates and Dyckman, Edgerly, and Tomlinson and Associates, A Guide
for Reducing Air Pplj utjon through Urban PIanning, prepared for
the Office of Air Programs, U. S. Environmental Protection
Agency, December 1971.
80. Council on Environmental QuaMty, Environmental Qua! ity, The
Th i rd AnnuaJ Report (Wash i ngton, D. C.: U. S. Government Print-
ing Office, 19727, p. 6-7.
81. Federal Regjster, Volume 36, Ho. 159, August 17, 1971.
82. Ibid., Section 5! . I (n) .
83. Ibid., Section 5! .|(n).
399
-------
84. Federal Register, Volume 37, No. 105, May 31, 1972, Part III,
p. 10844.
85 See, for example: institute of Public Administration and
Teknekron, Inc. in cooperation -with TRW, Inc., Eva Iu a ting Trans-
portation Control.s to Reckice Motor Vehicle Emission's in Major
Metropo I it an A r ea s, prepared for U,. S. Environmental Protection
Agency,. November 1-972; TRW, Inc., Prediction of the Effects of
Transportation Controls on Air Qua I itv"Tn Major Metropolitan '
Areas, prepared for U. S. Environmental Protection Aqency,
November 1972. TRW Transportation and Environmental Operations,
Environmental Services, Tran sportat ion ContrpI Strategies for
the State JmpIementation PTarT, City of Ph i j adejphja, prepared for
U. S. EnvironmentaV Protection Agency, December 1972. Similar
studies have been conducted by TRW, Inc. for EPA on Denver, New
York, and Dayton.
86. Federal Register, Vol. 38, No. 45, March 8, 1973, p. 62-79.
87. Ibid., p. 6279-6280.
88. Federal Register, Volume 36, No. 247, December 23, 1971, Part II.
89. Evaluation by the National Academy of Sciences and the automobile
industry itself suggest that efforts to manufacture a virtually
pollution free vehicle have been less than satisfactory in terms
of the 1975-1976 deadlines. See National Academy of Sciences,
Committee on Motor Vehicle Emissions, Semi-Annual Report to the
Environmental Protection Agency (Wash ington, D. "CY:National
Academy of Sciences, January 1972); "G. M. Devices Show Lower
Pollution; Experiments Reach Some Levels Required for '75,"
New York Times, January 7, 1973.
90. Council of Environmental Quality, op. c i t., p. 203.
91. Federal Register, Volume 36, No. 159, August 17, 1971, Section
51.11 (f).
92. Ibid., Section 51 . II (f).
93. Jack C. Fensterstock, Brian T. Ketcham, and Michael P. Walsh,
"Problems Associated with Air Quality Control Region Implementa-
tion Plans,," The _ReJ_a_tJpnsh,tp of LandUse and Transportation
Planning to Air Qua! ity M_anagernent, edited by George Hagevik
(New Brunswick, N. J.: Center for Urban Policy Research and
Conferences Department, University Extension Division, Rutgers
University, May 1972).
400
-------
94. Los Angeles -Department of City Planning, An Environmental Con-
seryatjpn El erne nt for th_e^ j-ps_ Angej es Genera'!' Pfan CL'os AngeFes :
The Department of City Planning, 1970), Draft Report.
95. Monroe County Planning Council, Air Qual ity, Monroe County Com-
prehen_sive PI an (Rochester, N. Y.: Monroe County Planning
DounciT, September 1972).
96. R. C. Burriss, et al., _Land Use Planning for Air Qua!Ity in the
ai kes Peak Area, prepared for the Pikes Peak Area Council of
Governments^Colorado Springs: Kaman Sciences Corporation,
August 1972).
97. Byron H. Willis and James R. Mahoney, "Planning for Air Quality,"
Paper submitted for Presentation at Confer-In 72, Annual Meeting
of the American Institute of Planners, Boston, October 1972.
98. Melville C. Branch and Eugene Y. Leong, editors, Research
Investigation, Air Pol Iution and City PIanning, Case Study of a
Los_AngeIes District Plaji (Los Angeles: Environmental Science
and^Engi neer i ng, Un i v'erVi ty of California, Los Angeles, 1972.)
99. For an example of an emissions inventory, see your state air
quality implementation plan.
100. John R. Reps, "Requiem for Zoning," Planning 1964 (Chicago:
American Society of Planning Officials"! I'9 64')"."' "
101. A I I en S. Kennedy, et a I., Air Pol Iution-Land Use Planning
Project, Phase I, F_i_na_l_ Report, prepared for the' U. ^ ETTvi ron-
mental Protection Agency (Chicago: Argonne National Laboratory,
Center for Environmental Studies, July 1971).
102. Ibid., p. 82.
103. Alien S. Kennedy, et a I., op._ cj t..
104. Alan M. Voorhees and Associates and Ryckman, Edgerly, and
Tomlinson and Associates, A Guid_e for Reducing Air Pol I ution
through Urban Planni ng, prepared for U. S. Environmental Pro-
tecTion Agency, December 1971, p. 2-23.
105. Ibid., p. 2-23.
106. ibid., p. 2-27.
401
-------
107. Ibid., p. 2-30.
108. fbid., p. 2-33.
109, See "Comment: The Effluent Fee Approach to Controlling Air
Pollution," Duke Law Journal, 943 (Durham:, Duke University Law
School, 1970).
110. Alan M. Voorhees, et a I., pp. crt., p. 2-13.
III. Northeastern Illinois PI ann i ng Commission, Managing th.e Air
Resource^ j_n_North_ea_stern III inois, Technical Report No. 6
(Ch'icagci:ThVComml ss fo'nV August 1967).
402
-------
SECTION V
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405
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Williams, Robert L. "The Planner and His Profession: A Mid-Century
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408
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Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1969.
Stein, Clarence S. Toward New Towns for America. Liverpool, Great
Britain: University of Liverpool Press, 1951.
425
-------
Stipe, Robert E. "Why Preserve?" Preservation News. VII (July, 1972).
Stipe, Robert E. "Historic Districts: Black, White or Gray." Preserva-
tion News, September, 1972.
Stipe, Robert E. "Easelments vs. Zoning: Preservation Tools." Chapel
Hill, North Carolina: Institute of Government, October, 1967. (Mimeo-
graphed) .
Turner, Frank. "Joint Development Concept." Speech to the 52nd Annual
Meeting of the American Association of State Highway Officials.
Wichita, Kansas: December 2, 1966.
U. S. President. "President Asks Congressional Action to Preserve
Natural Beauty in Cities and Countryside." Congress i onaI Quarter Iy
Almanac, 1965. Message to Congress on Natural Beauty. Feb. I, 1965.
White, D. W. "Proposal for a High Building and Building Density Ordi-
nance for the CBD of Chapel Hill." Chapel Hill, North Carolina:
Community Appearance Commission, undated. (Mimeographed.)
Wolffe, Leonard L. "New Zoning Landmarks in Planned Unit Development".
Urban Land Institute TechnicaI Bulletin No. 62. Washington, D.C.:
Urban Land Institute.
Wolfe, M. R. and Shinn, R. D. Urban Design within the Comprehensive
Planning Process. Washington, D.C.: U.S. Department of Housing and
Urban Development, 1970.
Wright, Frank L. The Living City. New York: Horizon Press, 1958.
Ziegler, Arthur P., Jr. Historic Preservation in Inner City Areas, A
Manual of Practice. Pittsburgh: The Allegheny Press, 1971.
Residuals
Noise
Arde, Inc. and Town and City, Inc. A Study of the Optimum Use of Land
Exposed to Aircraft Landing and Takeoff Noise. Prepared for National
Aeronautics and Space Administration, Washington, D.C., March, 1966.
Berger, M. M. "Nobody Loves an Airport." Southern CaIifornia Law Review.
Vol. 43, No. 4, (1970),631-789.
Bolt, Beranek, and Newman, Inc. Noise Environment of Urban and Suburban
Areas. Prepared for U.S. Department of Housing and Urban Development.
Washington, D.C.: U.S. Government Print!ng Office, January, 1967.
426
-------
Bower, Blair T. "Residuals and Environmental Management." The
Journal of the American Institute of Planners, Vol. 37, No. 4 (July,
197 I).
Bragdon, Clifford R. Noise Pollution. Philadelphia: University of
Pennsylvania Press, 1971.
Branch, Melville C. Outdoor Noise and the Metropolitan Environment.
Los Angeles: 1970.
Chalupnik, James D., ed. Transportation Noises. Seattle: University
of Washington Press, 1970.
City Council of Chicago. Municipal Code of Chicago. Chicago: Committee
on Environmental Control, March 10, 1971.
Committee on Environmental Quality. Noise—Sound without Value. Fede-
ral Council for Science and Technology. Washington, D.C.: U.S. Govern-
ment Printing Office, September, 1968.
Committee on the Problem of Noise. Noise, Final Report. London: Her
Majesty's Stationery Office, 1968.
Council on Environmental Quality. Environmental Quality, the Third
Annual Report. Washington, D.C.: U.S. Government Printing Office,
August, 1972.
Dickerson, David 0., (ed.) Transportation Noise Pollution. Control
and Abatement. NASA Lang ley Research Center, 1970.
Downey, Jack D. "The Sound of Aircraft." Report by Deputy Executive
Director of Dallas-Ft. Worth Airport, October, 1972.
Environmental Protection Agency. Report to the President and Congress on
Noise. Washington, D.C.: U.S. Government Printing Office. February,
1972.
Fitch, James M. American Bui Id ing: The Environmental Forces that Shape
11. 2nd. ed. Boston: Houghton Miff I in Co., 1972.
Goodfriend, L. S. and Associates. Urban Noise Survey Methodology. Vols.
I & 2. Prepared for New York City Department of Air Resources and U.S.
Department of Housing and Urban Development. Washington, D.C.: Govern-
ment Printing Office, November, 1971.
Gottleib, A. "Land Use Controls for Airport Planning." The Urban Lawyer
Vol. 3, No. 2, (1971), 266-276. —*—'
Grad, Frank P. and Hack, John D. "Nojse Control in the Urban Environment "
Urban Law Annual, 1972, pp. 3-23.
427
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Hecker, Michael H. L. and Dryter, Karl D. Comparisons Between Subjective
Ratings of Aircraft Noise and Various Objective Measures. Stanford Univ.
Sensory Science Institute, FAA Technical Report No. 68-33, April 1968.
Hill, Gladwin. The New York Times. September 2, 1972.
Inglewood, California. Noise Control, Legislation, and Enforcement.
Testimony of the City of Inglewood at the Environmental Protection Agency's
Hearings in San Francisco, California. September 27-29, 1971. Prepared
by Randall L. Hurlburt, Environmental Standards Supervisor.
Isberg, Gunnar. "The Minnesota Airport Zoning Act." Urban Law Annual,
1972, pp. 69-88.
Kahdeman, Richard J. "Regulation of Hours of Flight: A Federal Issue?"
Urban Law Annual, 1972, pp. 257-261.
Lesser, J. "The Aircraft Noise Problem: Federal Power, but Local
Liability." Urban Lawyer. Vol. 3, No. 2,(1971),175-205.
Lewis, Ron. "Noise Pollution." An Environmental Conservation Element
for Los Angeles City General Plan. Los Angeles: Department of City
Planning. August, 1970.
McClure, Paul T. Indicators of the Effect of Jet Noise on the Value of
Real Estate. Rand Corp. for U.S. Department of Commerce, 1969.
Meshenberg, Michael. Planning the Airport Environment. Planning Advisory
Service Report No. 231. Chicago: American Society of Planning Officials,
February, 1968.
Northeastern Illinois Planning Commission. O'Hare International Airport:
A Metropolitan Aircraft Noise Abatement Policy Study. Prepared for U.S.
Department of Housing and Urban Development and U.S. Department of
Transportation, September, 1971.
Raleigh-Durham Airport Authority. Airport Districts for Noise Abatement
and Protection of Public and Private Property. Raleigh, North Carolina.
Rhode Island State Planning Program. Ai rcraft Noise Eva Iuation. Pro-
vidence: 1972.
Roeseler, W. G. "Airport Development Districts: The Kansas City Experi-
ence." Urban Lawyer, Vol. 3., No. 2, (1971), 254-262.
Schultz, Theodore J. and McMahon, Nancy M. Noise Assessment Guide Iines.
Prepared for U.S. Department of Housing and Urban Development. Washington,
D.C.: U.S. Government Printing Office, August, 1971.
U.S. Department of Housing and Urban Development, Environmental Planning
Division. Airport Environs: Land use controls. Washington, D.C.:
U. S. 'Government Printing Office, May, 1970.
428
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U.S. Department of Housing and Urban Development. Noi.se Assessment
Guidelines. Washington, D.C.: U. S. Government Printing Office, 1971.
Ward, W. Dixon and Fricke, James E. Ceds.) Noise as a Public Health
Hazard. Proceedings of the Conference of the American Speech and
Hearing Association, Washington, D.C., February, 1969.
Wright, Jonathan A. Noise: An Approach to a Pollution Problem in
Greater Peterborough. Unpublished report, September 7, 1972.
Air Qua Iity
Brail, Richard K. "Modeling the Interface Between Land Use, Transporta-
tion and Air Pollution." The Relationship of Land Use and Transportation
Planning to Air Quality Management. Ed. by George Hagevik. New
Brunswick, New Jersey: Center for Urban Policy Research and Conferences
Department, University Extension Division, Rutgers University, May, 1972.
Branch, Melville C. and Leong, Eugene Y., eds. Findings, Recommendations,
Explanations, Air Pollution and City Planning: Case Study of a Los
Angeles District Plan. Los Angeles: Environmental Science and Engineer-
ing, University of California at Los Angeles, 1972.
Burriss, R. C. et. a I. Land Use Planning for Air Quality in the Pikes
Peak Area. Prepared for the Pikes Peak Area Council of
Colorado Springs: Kaman Sciences Corporation, August,
Governments.
1972.
Center for Urban Policy Research, Rutgers University. Report to the U.S.
Environmental Protection Agency. The Contribution of Urban Planning to
Ai r Qua Iity. New Brunswick, New Jersey: The Center for Urban Policy
Research. (Forthcoming).
"Comment: The Effluent Fee Approach to Controlling Air Pollution."
Duke Law Journal, 943. Durham: Duke University Law School, 1970.
Council on Environmental Quality.
Annual Report. Washington, D.C.:
August, 1972.
Environmental Quality, the Third
U.S. Government Printing Office,
Federal Register, Volume 36, No. 159, August 17, 1971.
Federal Register, Volume 36, No. 247, December 23, 1971.
Federal Register, Volume 37, No. 105, May 31, 1972.
Fensterstock, JackC.; Ketcham, Brian T.; and Walsh, Michael P. "Problems
Associated with Air Quality Control Region Implementation Plans." The
Relationship of Land Use and Transportation Planning to Air Qua Ii ty
Management, ed. by George Hagevik. New Brunswick, New Jersey: Center
for Urban Policy Research and Conferences Department. University
Extension Division, Rutgers University, May, 1972.
429
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"G.M. Devices Show Lower Pollution: Experiments Reach Some Levels
Required for'75." N.Y. Times, January 7, 1972.
Hufschmidt, Maynard M. "Environmental Quality as a Policy and Planning
Objective." Journal of the American institute ot Planners, XXXVII
(July, 1971), 231-242.
Institute of Public Administration and Teknekron, Inc. in cooperation
with TRW, Inc. Evaluating Transportation Controls to Reduce Motor
Vehicle Emissions in Ma.jor Metropolitan Areas. Prepared for U.S.
Environmental Protection Agency, 1972.
Kaiser, Edward J. "Planning Urban Development Guidance Systems for
Local Government." Prepared for presentation at Confer-in West, Annual
Meeting of the American Institute of Planners, San Francisco, October
24-28, 1971.
Kennedy, Allen S. et. al. Air Pollution - Land Use Planning Project.
Phase I Final Report. Prepared for the U.S. Environmental Protection
Agency. Chicago: Argonne National Laboratory, Center for Environmental
Studies, July, 1971.
Los Angeles Department of City Planning. An Environmental Conservation
Element for the Los Angeles General Plan. Los Angeles: The Department
of City Planning, 1970.
Monroe County Planning Council. Ai r Qua Iity, Monroe County Comprehensive
PI an. Rochester, New York: Monroe County Planning Council, September,
1972.
National Academy of Sciences, Committee on Motor Vehicle Emissions,
Semi-Annual Report to the Environmental Protection Agency. Washington,
D.C.: National Academy of Sciences, January, 1972.
Northeastern Illinois Planning Commission. Managing The Air Resource in
Northeastern I I I inoiSj Techn ica I Report.No. 6. Chicago: The Northeastern
Illinois Planning Commission, August, 1967.
Reps, John R. "Pomeroy Memorial Lecture: Requiem for Zoning." Planning
1964. Chicago: American Society of Planning Officials, 1964.
TRW, Inc. Prediction of the Effects of Transportation Controls on Air
Quality in Major Metropolitan Areas. Prepared for the U.S. Environmental
Protection Agency, November, 1972.
TRW, Inc. Transportation and Environmental Operations, Environmental
Services. Transportation Control Strategies for the State Implementation
Plan^ City of Philadelphia. Prepared for the U.S. Environmental
Protection Agency, December, 1972.
430
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Voorhees, Alan M. and Associates; Ryckman, Edgerly and Tomlinson and
Associates. A Guide for Reducing Air Pollution through Urban Planning.
Prepared for the Office of Air Programs, U.S. Environmental Protection
Agency, December, 1971.
Willis, Bryon H. and Mahoney, James R. "Planning for Air Quality."
Submitted for presentation at Confer-In '72, Annual Meeting of the
American Institute of Planners, Boston, October, 1972.
431
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SECTION VI
APPENDIX
SURVEY FORM for Determing Current Urban
Planning Practices and Land Use Controls for
Promoting Environmental Quality.
432
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CENTER FOR URBAN AND REGIONAL STUDIES
THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL MILL
A SURVEY OF
CURRENT URBAN PLANNING PRACTICES AND LAND USE CONTROLS
FOR PROMOTING ENVIRONMENTAL QUALITY
Information provided by:
Director's Name
Agency
City
State Z i p
We have attempted to ask questions in this questionnaire that can be answered
simply and quickly. However, in some cases if you want to answer in more
detail, please do so. In addition, we would appreciate receiving any reports,
memos, ordinances, etc. that relate to any of the questions or that describe
your environmental planning efforts in general.
If you desire to be informed of the results of the survey, please check this
box. []
433
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I960's
a
LI
CD
CD
GENERAL ORIENTATION TO ENVIRONMENTAL PLANNING IN YOUR AGENCY
I.) Which one of the following phrases best expresses your agency's
view of environmental planning?
CD Provision of anti-pollution systems and controls
CD Designing urban environments for human use
CD Integrating man-made and natural systems
CD Protecting natural eco-systems
1.2 From your agency's point of view, how important are environmental
problems in your agency's jurisdiction?
Present
CD our most critical problem
CD critical, but not most important
CD important, but not critical
CD relatively unimportant
Please specify the more criti-
cal urban problems at present:
2. PLANNING PROGRAM AREAS AND ENVIRONMENTAL QUALITY
2.1 For each program area, check those influences which have been most
important in raising environmental issues.
transportation
nous i ng
water and sewer, including treatment
other utiI ities (i .e. power)
ai r qual ity
solid waste management
redeveIopmant
design and appearance
historic preservation
industrial development
other (spacify)
2.2 Has your agency established "Environmental Planning" as a distinct
work activity? CD NO (Go to next page) CD YES (Check the program"
areas included in the activity "Environmental Planning.")
434
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2.3 For those program areas in which your agency is engaged, circle ihe
degree of importance of the goal of environmental quality to the
program.
CIRCLE IMPORTANCE OF ENVIRONMENTAL CUAL
CIRCLE WHETHER YOUR AGENCY IS ENGAGED?
PROGRAM AREAS
land use
open space/ recreation
transportation
housing
water and sewer, including treatment
other utilities (i.e. power)
ai r qua I i ty
noise
solid waste management"
redevelopment
design and appearance
historic preservation
industrial development
other (specify)
1
1
1
1
1
1
1
I
1
1
1
1
)
1
1
1
2
7
2
1
2
1
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4
4
4
4
4
4
4
4
4
2.4 For those program areas in Question 2.3 above which received a rank
of I, 2, or 3, check the most important specific environmental
objective.
PROGRAM AREAS
land use
open space/receation
transportation
hous i ng
water and sewer, _ i nc 1 udi ng treatment
other utiliMes (i.e. power)
ai r qua 1 i ty
noi se
sol id waste
redeve loprrent
design and appearance
historic preservation
industria development
other (speci f y )
435
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3. IMPLEMENTATION OF ENVIRONMENTAL QUALITY OBJECTIVES
In addition to planning program areas, implementation devices, strategies and
problems are important concerns in the pursuit of environmental quality
objectives. This section of the questionnaire deals with the range of con-
trols, incentives, and other devices used by. your local government, sources
of information and studies used in their formulation, their effectiveness
in achieving environmental quality and factors affecting their implementation.
3.1 Of the following controls, circle those used by your local government.
Next, if a control is used, circle its degree of effectiveness in
achieving environmental quality objectives. Finally, check those sources
of information or studies directly used in determining the substance of
the controls.
Part 3: CHECK STUDIES AND SOURCES OF INFO. USED
Part 2: IF USED, CIRCLE EFFECTIVENESS IN
ACHIEVING ENVIRONMENTAL QUALITY.
Parti: DO YOU USE? CIRCLE ANSWER
CONTROLS
general zoning ordinance
density zoning (specify)
agricultural zoning
large lot zoning (2+ acres)
special district zoning
f 1 ood plain
historic
eco 1 og i c
geo 1 og i c
planned unit development
special use/variance
bui Idi ng ordi nance
preformance standards
housing codes
subdivision regulations
public water and sewer
dedication of open space
preservation of trees
burying of utility lines
burning ordinance
emissions ordiranre
effluent ordinance
noi se ordi nance
1 itter ordinance
health/sanitation ordinance
appearance ordinance
sign ordinance
tree ordinance
historic preservation controls
excavation controls .
sedimentation/erosion controls
marshland controls
conservation easements
utility and other easements
others (specify)
1
1
1
1
2
2
2
2
2
2
2
2
2
2
2
'2
2
2
2
2
'2
2
2
2
'2
2
2
•2
2
1
•2
2
2
•2
•2
42
2
2
2
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
]
1
1
1
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
2
i
3
2
f.
^
Z
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
2
4
^
^
i
4
436
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3.2 Of the following incentive devices, circle those used by your local
government. Next, if an incentive device is used, circle its degree
of effectiveness in achieving environmental quality objectives.
Finally, check those sources of information or studies directly used
in determining the substance of the incentive devices.
Part 3: CHECK STUDIES AND SOURCES OF INFO
Part 2: IF USED, CIRCLE EFFECTIVENESS IN
ACHIEVING ENVIRONMENTAL QUALITY...
Part I: DO YOU USE? CIRCLE ANSWER..
INCENTIVES
bonus clauses in zoning
differential property tax
differential utility charges
compensatory payments
utility extension policies
others (specify)
•1
'2
•2
'2
'2
'2
1
1 2
1
1
1
1
1
2
2
2
2
2
3
3
3
3
3
3
4
4
4
4
4
4
3.3 Of the following capital investments, circle those used by your local
government. Next, if used circle its degree of effectiveness in
achieving environmental quality objectives. Finally, check those
sources of information or studies used in making determinations about
capital investments.
Part 3: CHECK STUDIES AND SOURCES OF INFO. US
Part 2;IF USED, CIRCLE EFFECTIVENESS IN
ACHIEVING ENVIRONMENTAL QUALITY
Part I: DO YOU USE? CIRCLE ANSWER
CAPITAL INVESTMENTS
open space acquisition
parks and recreation facilities
water supply development
sewer and waste water treatment
solid waste management
other ut i i ' Mes
hignways and public trans
renewa 1 projects
other public facilities
1
1
1
1
'i
'2
'2
'2
•2
1
2
2
'2
1
1
1
1
1
~1
1
1
1
2
2
LI
2
2
2"
2
2
2
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4~
4
4
4
437
-------
3.4 Of the following channels of information, circle those used by your
agency to implement environmental quality objectives and, if used,
circle the degree of effectiveness.
Part 2: IF USED, CIRCLE DEGREE OF EFFECTIVENESS
IN ACHIEVING ENVIRONMENTAL QUALITY.
Part I: DO YOU USE? CIRCLE ANSWER
CHANNELS OF I NFORf-'AT
disseminating reports
citizen education programs
mass media
inter-agency coordination
advisory review functions
environmental impact statements
informal review
citizen participation
A-95 review
other (spec! fy )
1
2
2
2
2
2
2
2
2
2
2
1
1
1
1
2
2
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4
4
4
4
4
3.5 Circle the degree of impact of the following factors on the implemen-
tation of your agency's recommendations for achieving environmental
quality objectives.
CIRCLE DEGREE OF IMPACT ON IMPLEMENTATION...
FACTORS
local legislative body
lay commissions
1 1 ne agencies
neighboring municipalities and other governments
community leadership support
general citizen support
local financial resources
federal and state financial support
staff expertise
status of planning methodologies
"public" environmental interest groups
other special interest groups
community goals other then environmental quality
federa i /state guidelines and regulations
distribution of responsibility among local governments
distribution of responsibility among agencies within local govt.
state enabling legislation
f edera 1 .state, and regional planning assistance
federal programs and pglicies other than environmental
federal and state requirements for environmental impact statements
trends in legal actions and court decisions
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
1
)
1
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
2
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
3
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
4
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
5
438
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4. INTERGOVERNMENTAL RELATIONS IN ENVIRONMENTAL PLANNING AND IMPLEMENTATION
Local government, of course, must function within a framework of regional,
state, and federal legislation and organization. In this section we would
like to obtain your judgment about the effect of this governmental frame-
work on your planning and implementation of environmental quality object-
ives .
4.1 Which federal legislation and organizational or administrative changes
have had the most significant effect, positive or negative, on your
agency's planning and/or implementation of environmental quality
objectives? Describe the nature of the effects.
4.2 What, if any, state legislation and organizational or administrative
changes have significantly affected your agency's planning and/or
implementation of environmental quality objectives, either positively
or negatively? Describe the nature of the effects.
4.3 What, if any, regional, metropolitan, or I oca I legislation and organi-
zational or administrative changes have significantly affected your
agency's planning and/or implementation of environmental quality
objectives, either positively or negatively? Describe the nature of
the effects.
4.4 What does your agency see as the role of local government and its
planning agencies in promoting environmental quality?
439
-------
4.5 Can environmental problems in your community be handled satisfactorily
within the existing framework of federal and state environmental
quality legislation, policies and activities or are further changes
required at these higher levels? If so, what should the changes be?
5. NEW IDEAS
5.1 Has your agency developed or used any new planning methods, studies, or
guidance tools (i.e., information channels, controls, incentives, or
capital investments) to promote environmental quality? Please describe.
5.2 Does your agency have any plans, programs, or general ideas for promoting
environmental quality which you are unable to pursue for some reason?
Please describe the ideas and the obstacles.
5.3 If there are any aspects of your pursuit of environmental quality
which are not covered by the questionnaire, we would appreciate addi-
tional comments.
440
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6. GENERAL INFORMATION
To help us analyze the responses from the questionnaire sample, we would like
just a few items of general information about your agency:
6.1 Number of Planners
6.2 Number of personnel with degrees in environmental fields:
Environmental Science/Engineering Ecology/Natural Sciences
Architecture/Urban Design Landscape Architecture
Environmental Planning Environmental Healths
Others (specify)
6.3 Please try to classify your "agency type" by checking the appropriate
characterization.
Q Local City Agency (I single municipality)
G Local County Agency (I single county jurisdiction)
G Metropolitan Agency (jurisdiction of principal city, regardless of
size, plus one or more cities or counties)
G Regional Agency (multi-county jurisdiction)
G Other (specify)
441
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SELECTED WATER
RESOURCES ABSTRACTS
INPUT TRANSACTION FORM
w
PROMOTING ENVIRONMENTAL QUALITY THROUGH URBAN PLANNING
AND CONTROLS
Kaiser, Edward J.; Elfers,Karl; Cohn, Sidney;
Reichert, Peggy A.; Hufschmidt, Maynard M.;&Stanland,Raymond.
Center for Urban and Regional Studies
University of North Carolina at
Chapel Hill, North Carolina 27514
R801376
13. Type 6 if Jtijtort astf-
Environmental Protection Agency
Environmental Protection Agency report number EPA-600/5-73-015, February 1974.
The study focuses on the changing awareness and current practices in pro- ,
moting enviornmental quality through urban planning and controls in local and metro-
politan planning agencies. It includes a review of planning practices in the 1960's
related to environmental quality; the results of a survey of urban planning agencies
with regard to current planning for environmental quality; and a detailed examination
of numerous planning approaches and controls considered to be promising for future
enviornmental quality enhancement. The principal areas of concern are land use and
comprehensive urban planning, water resource management and urban land-water inter-
faces, MBftrnwiiUBMUMmraiugMMMMfe urban design, and the management of air quality
and noise. The key concept of integration for the stddy is the urban guidance system
approach which includes various planning activities, decision guides such as plans
and policy statements, and action instruments such as ordinances, taxes, and public
investments. An attempt is made throughout the report to distinguidh between the
typical or mainstream planning approaches and controls and those which are new and
innovative and therefore appear to have greater potential for promoting environmental
quality in the future. (Elfers, UNC)
Specifically withinthe water resource management area, the study focuses on
two basic types of urban-water interfaces where promising approaches are taking place:
those such as watersheds, wetlands, and floodplains where urbanization is taking
place and transforming the nature of the water resource; and those such as urban
sewerr
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