EPA-902/9-77-002
February 1977
PROCEEDINGS
OF A SYMPOSIUM ON
ENVIRONMENTAL QUALITY
AND
LAND USE PLANNING
Sponsored by
U.S. ENVIRONMENTAL PROTECTION AGENCY, REGION II
and
DEPARTMENT OF ENVIRONMENTAL SCIENCE and DEPARTMENT OF ENVIRONMENTAL RESOURCES
COOK COLLEGE, RUTGERS UNIVERSITY
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PROCEEDINGS
OF A SYMPOSIUM ON
ENVIRONMENTAL QUALITY
AND
LAND USE PLANNING
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The contents of these Proceedings do not necessarily reflect the
views and policies of the Environmental Protection Agency, nor does
mention of trade names or commercial products constitute endorsement
or recommendation for use.
n
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ENVIRONMENTAL QUALITY AND LAND USE PLANNING
Proceedings of a Research Symposium Cosponsored
by the
United States Environmental Protection Agency, Region II
and the
Department of Environmental Science
and
Department of Environmental Resources
Cook College, Rutgers University
Rutgers University
The State University of New Jersey
May 26 and 27, 1976
Edited by
Arnold Freiberger
Research and Development Branch, EPA, Region II
Published by the
United States Environmental Protection Agency, Region II
Gerald M. Hansler, P.E., Regional Administrator
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ENVIRONMENTAL QUALITY AND LAND USE PLANNING
Greetings to Conference
Grant Walton
Acting Dean, Cook College
and
Gerald M. Hansler
Regional Administrator, USEPA, Region II
Table of Contents
Paqe
Editor's Note vi
Introductory Remarks 1
Glenn Paulson
Land Use and Environmental Quality 5
Shelly M. Mark
An Overview of EPA's Land Use and Environmental
Management Program 23
Charles N. Ehler
Perspectives on Land Use Programs 35
Thomas P. Eichler
Federal Assistance Programs in Land Use Planning 49
Conrad S. Simon
Land Use and Environmental Quality on Long Island 105
Arthur Kunz
Transportation, Land Use, and Air Quality 117
Gary C. Hawthorn
A Growth Management Program Concept: A Rational 143
Approach to the Dilemma of Growth and Environmental
Protection
George H. Nieswand
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Table of Contents
(Continued)
Page
Institutional Dimensions of Land Use and 159
Environmental Management
Thomas J. Mierzwa
Legal Problems of Water Quality Management 175
Planning
William Goldfarb
Legal and Regulatory Approaches to Regional 199
Environmental Management
Alan S. Miller
Sewers, Land Use and Secondary Impact 221
Richard N. Binetsky
Remote Sensing and Environmental Planning 255
Niels West
Air Quality and Regional Spatial Structure 271
Richard K. Brail
List of Symposium Participants 291
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This is the fourth research symposium to be jointly sponsored by
Region II of the Environmental Protection Agency and Cook College. These
meetings have played an important role in disseminating recent research
findings in a wide variety of subjects of high Regional priority including
sludge disposal, leachate from landfills, and now Environmental Quality
and Land Use Planning.
All of the environmental programs in water, water supply, air, solid
wastes, pecticides, noise, and radiation conducted by EPA impinge upon
land use considerations and are affected by land use policies. These are
usually local land use policies. Just as local policies are developed
under certain Federal constraints, our Federal programs and decisions
must take heed of their impact upon local land use considerations. State
and local governments will continue, as in the past, to make their own
land use decisions. We, at the Federal level, in EPA and in other agencies,
will continue to provide assistance.
In the area of water quality management this assistance stems from
Section 208 of the Federal Water Pollution Control Act. These so-called
"208 planning grants" are intended for State and locally generated plans
to provide water pollution control. Such programs cannot ignore other
sources of pollution nor avoid interfacing with land use practices. For
example, runoff from agricultural land as well as from urban land is often
detrimental to water quality. New construction often results in erosion
and siltation. In densly populated areas runoff problems are compounded by
the presence of coliforms, bacteria from garbage, toxicants, greases,
rubber tire wear, gases and particulates in the air, and a variety of other
municipal and industrial pollutants.
In our construction grants program, we are providing 75% of the cost
of wastewater treatment projects throughout the Region. This funding re-
quires projections of population and land use. It has resulted in careful
coordination with Regional, county and local 208 planning agencies.
Other program areas also interface with land use. Air quality plan-
ning, for example, was organized as a joint Federal-State program. Again
the Federal presence must be supportive of local land use patterns and
practices. We do not pre-empt local responsibilities but ensure that our
Federal laws and contraints are complied with.
The Clean Air Act has two major sections in which land use issues are
treated. The first is in those sections of the statute providing for State
implementation plans. The statute authorizes the inclusions of land use
controls in State plans as may be necessary to achieve air quality stan-
dards. The second section in the statute that has a land use control po-
tential concerns the provisions dealing with stationary source performance
VI
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standards. These provisions require an authority at the State level which
authorizes the review of new stationary sources to determine whether they
will violate an air quality standard. As presently interpreted by EPA, the
new source performance standards have been extended to indirect as well as
direct sources and include major shopping centers, airports, highways, and
other large-scale developments. These developments may not pollute
directly, but contribute to pollution by attracting automobile traffic that
increases or adds to congestion and thus to the build-up of pollution from
automobile exhausts.
EPA's air pollution abatement and control activities are bringing the
Agency inexorably into the land use arena. We are committed to effective
State and local implementation of these air quality programs which in-
fluence patterns of land use, and are working closely with the private de-
velopment community and with State and local officials to ensure that this
occurs.
We are concerned, also, with the land use consequences of local solid
waste disposal practices. Growth in many areas has outpaced disposal
capabilities, and solid waste management is closely tied to land use plan-
ning. This is all the more true when we consider that the majority of
landfill sites are located in areas where noxious leachates can readily in-
filtrate our ground waters.
Getting back to research, which is really the subject of this symposium,
EPA's Office of Research and Development has an ongoing effort in the land
use area budgeted at $750,000 in FY 1976 and at one million dollars for
FY 1977. This research program, which is implemented at our Municipal En-
vironmental Research Laboratory in Cincinnati is currently involved in several
projects which are generally supportive of our 208 planning programs and
provide technical assistance for these programs.
In looking over the program for this meeting I see that a wide range
of subjects are discussed here: research; Federal assistance; mapping;
transportation; legalities; noise; zoning - as well as discussions of water
and air pollution and environmental quality.
ARNOLD FREIBERGER
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Introductory Remarks by: Dr. Glenn Paulson,
Assistant Commissioner, New Jersey Department
of Environmental Protection at the Symposium
on Environmental Quality and Land Use Planning
Sponsored by the U.S. Environmental Protection
Agency and the Departments of Environmental
Science and Environmental Resources,
Rutgers University,
May 26-27, 1976
"Respect for the land." We don't hear that phrase too
often in most sections of society in New Jersey or even in
America. Perhaps the Indian nations were the societies
which best respected the inherent worth of the interelation
of the land, air and water. The old names like Delaware,
Assunpink, and Musconetcong recall the tribes of this
region, as well as the rivers named after them. Who today
speaks of "respect for the land?" Some partial comments
are found once in a while: politicians - who praise the
"ethnic purity" of neighborhoods; farmers - who seek to
preserve "our precious soil." Primarily, however, we use
the land for food, cities, and shelter; our industrialized
way of life has transformed a land ethic into land use.
The phrase "land use planning" is some of the jargon of
our times. It brings to mind a contrast between what is
promised and what is delivered. A good land use plan
portrays how the future may, in a visionary sense, look for
all facets of our lives: transportation, education, housing,
employment, and on and on. Done well, such a plan is both
goal-oriented and comprehensive. In contrast, the everyday
practice of land use regulation and decision-making (such as
zoning), as typically carried out, is pragmatic and incre-
mental. The contrast is between a wholistic vision of and
an incremental solution to the same issues.
Environmental or resource management seems to call, by
definition, for a wholistic and comprehensive approach.
After all, everything is, at least to some degree, related
to everything else. Yet at the same time, as we strive to
understand our society's impacts on the environment, we
realize we don't adequately understand the causes and
effects of these impacts. With due respect for the excel-
lent agenda of speakers for the next two days, we are
dealing with an intellectually primitive discipline.
Further, planning for environmental quality need not (and
probably should not) wait for an understanding of the whole
picture, if for no other reason than political reality,
particularly in New Jersey, a great bastion of the concept
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of home rule. The implementation of a wholistic plan for
environmental quality from the top down is not likely for
some time; small, but sound, incremental steps are, feasi-
ble, however. Indeed, some steps have already been taken,
as I shall discuss.
In the Department of Environmental Protection, we
administer many statutes and regulations, both state and
federal, that directly and indirectly impact land uses.
While we don't have a wholistic statewide environmental or
land use plan, we are attempting to preserve certain sensi-
tive or ecologically important areas such as the Pine
Barrens, the wetlands, the barrier beaches; slow or at least
shape the rate and location of suburban sprawl; enhance the
quality of urban life; and properly site energy facilities.
We use, quite frankly, an incremental approach. In addition,
we have a backlog of other problems that must be resolved.
In so doing, we single out one portion, so to speak, of the
resource management puzzle and apply our administrative
tools to solve that problem, then move to the next. This is
a highly pragmatic approach.
To illustrate it, let me give some examples, not of
past programs, but of newly emerging programs that have
implications for future changes in land use patterns in New
Jersey.
One example is our approach to long-term water pollu-
tion problems, particularly under the concept symbolized by
the phrase "Section 208." Federal water pollution law
specifies that "208 plans" include measures for controlling
pollution from agricultural, construction, forestry and
mine-related activities, as well as pollution caused by salt
water intrusion, waste disposal on the land, stream modi-
fication, and urban and industrial storm waters. Fulfilling
the technical requirements for the contents of these plans
will be extremely difficult; actually implementing plan
recommendations will be even tougher. I believe imple-
mentation might be brought about through any one of several
ways: broader regulatory powers in State government, court-
imposed sanctions brought into existence by citizen or
federal suit, and consensus reached through public debate,
for example. In any event, implementation will require a
degree of integration among various levels of government and
other institutions that will be unprecedented in the environ-
mental field.
Another example flows from the federal Clean Air Act,
particularly its requirements that clean air be kept reason-
ably clean, even as growth and economic development occurs.
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New Jersey has identified 12 of its 21 counties as candidates
for long-term planning to maintain acceptable levels of
sulfur dioxide, 17 for total suspended particulates, and 14
for photochemical oxidants. Maintenance areas for other air
pollutants will probably be designated at a later date.
This means that, although federal standards currently may be
met in those areas, future growth patterns may generate
sufficient additional emissions to violate the federal
standards unless additional control strategies are developed.
These additional strategies will invariably involve some
forms of land use planning and control.
Requiring buffer zones around industrial complexes,
agricultural operations and even quarries can prevent
needless nuisance situations from occurring. Such zones can
also provide balanced development which can aid in the
attainment or maintenance of ambient air and water quality
standards. Further, they can help ensure compatible land
uses for public safety purposes, for example. Governor
Byrne's petition to the Federal Power Commission to develop
siting criteria for liquified natural gas (LNG) facilities
is, in part, motivated by the safety implications of an LNG
accident for people adjacent land areas. Our Department's
interest in developing land use requirements for areas
adjacent to nuclear power plants, announced by Commissioner
Bardin earlier this year, is similarly motivated. More
broadly based is the development by the Department's Office
of Coastal Zone Management, headed by David Kinsey, of
interim guidelines for the location of energy, residential,
and other facilities in a manner that respects both the
natural and the "built" environment in the state's coastal
zone.
In closing let me move from a description of current
and future program opportunities regarding land use and
environmental quality to a more philosophical vein.
Environmental science and law and their relation to
land use are, like living things, creatures of evolution.
Slowly in the past, and more rapidly today, the knowledge
and skills necessary to acquire and protect a high level of
environmental quality have developed and expanded. It seems
we are continually in a state of flux, constantly in motion;
yet one thought, one linking thread is ever present in that
flux: that is, in order to protect, achieve and maintain
environmental goals and to insure good environmental quality
for the future, solid, well-planned, and sophisticated
judgements for land utilization are an indispensable pre-
requisite.
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This is one critical element in attainment of any
environmental goal or standard over the long term (measured
in decades). And in the short term, good land use planning
can prevent needless confrontations with developers and
industries. It can also avoid placing human populations in
situations which may be at worst be hazardous to their
health and well-being, and at best uncomfortable and annoy-
ing. This is the challenge before this conference and
indeed before all of the actors in this socio-political
drama: that is, how to make sound, limited choices for the
land in the short-run, and in the long run, building back
into our society that long-lost respect for the land shown
by American Indian societies.
Thank you.
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LAND USE AND ENVIRONMENTAL QUALITY
BY
SHELLEY M. MARK
DIRECTOR, OFFICE OF LAND USE COORDINATION
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D. C.
BEFORE RESEARCH SYMPOSIUM SPONSORED BY
EPA (REGION II) AND RUTGERS UNIVERSITY
May 26, 1976 - New Brunswick, New Jersey
For those who may have thought land use was a bad scene which
went away with the demise of national land use legislation, this
symposium can serve as a timely re-awakener. Its topic, land use
and environmental quality, highlights the issue which won't go away,
and its joint sponsorship by one of EPA's most action-oriented
regional units and a university, which has long been in the forefront
of environmental research matters, suggests that this is where things
are still at.
I'm sure those who live in this area realize that Jerry Hansler
has one of the toughest environmental jobs on earth, but that he and
his Region II people have moved ahead boldly and effectively. Indeed
they've moved so boldly that the City of New York is not quite sure
whether to accept Jerry's offer of financial assistance. Now that
is certainly a strange turn of events. Perhaps the calmer atmosphere
of Rutgers University might be a good place to decide how things really
are.
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Certainly those who are in the front lines have come to realize
that land use issues lie at the heart of many of the critical environ-
mental decisions facing the Nation, whether they be air quality
implementing plans, decisions on where to locate large-scale energy
facilities, how best to manage our public lands and national parks
and forests, or problems of urban encroachment on agriculturally
productive, environmentally critical, or historically significant
areas. In short, land use has become one of our most serious environ-
mental problems, land use decisions affect environmental protection
programs, and the direction of land use policy will determine the
quality of the environment for decades to come.
The Environmental Protection Agency has recognized that many
of its programs designed to achieve specific environmental quality
objectives are closely related to land use planning and decision-
making. Patterns of land use significantly affect the nature, amount,
and concentration of air and water pollutants, noise emissions, solid
waste, chemicals, and other environmentally harmful by-products
generated by our society. Conversely, environmental protection
requirements can significantly affect the public and private decisions
which shape land use patterns.
Given these increasingly complex relationships, EPA has to
ensure that its various programs for particular environmental media
(air, water) do not adversely affect other media, including the land.
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EPA has a further responsibility to provide leadership and assistance
to secure full and proper consideration of environmental quality
objectives in local, regional, and state land use planning and
decision-making.
All this is easier said than done, of course. Land use planning
and decision-making is one of the most complex and least understood
domestic concerns facing the Nation today. The "frontier" land ethic,
the rights of private property owners, the perceived prerogatives of
local communities, the fluid role of state and federal government,
and a variety of other deep-seated and long-standing values and
principles influence every facet of our present land use system. As
a result, agreement on a national land use policy has been virtually
impossible. Yet as much as we cling to these values, most of us would
concede that our most precious national resource—our land—is being
committed daily to new, essentially irreversible uses without sufficient
insight to the future.
The environmental measures already enacted and being implemented
have done much to stem the environmental crisis by creating ambitious,
enforceable pollution abatement programs. However, the problems caused
by fragmentation of pollution control still exist, since the various
statutes under which EPA operates were enacted at different times, each
designed to remedy a single and separate category of environmental
damage. Each of them significantly affects the way land is used, although
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none by itself provides the means to coordinate intermedia impacts
with other environmental standards and policies for which EPA is
responsible.
Environmental problems tend to be interrelated through a complex
network of ecological connections. It is difficult to find a simple
solution to any single environmental problem without threatening new
problems in another media. Addressing these interrelationships can
provide an avenue for EPA to integrate better the functions and
activities of its various mandates. In all this, there is much we
need to know. In some cases, the main task will be one of information,
dissemination and technology transfer. In other cases it will be
necessary to test and re-test research findings or formulate new
questions and push out along research frontiers. In any case, the
patient discipline of the research community has to guide the exigencies
of decision-makers, while at the same time appreciating the exigency.
These points will be reemphasized as we look at the land use impacts
of our major pollution abatement programs--namely, air and water
quality.
LAND USE IMPLICATIONS OF AIR QUALITY PROGRAMS
The key sections of the Clean Air Act affecting land use are:
Section 109, which directs EPA to establish "ambient" (atmoshperic)
air quality standards for widespread air pollutants, and Section 110,
which requires regulatory programs to achieve and maintain these
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ambient standards. Once an ambient standard is set, the Act in
effect decrees that no portion of the atmosphere should contain
pollutant concentrations in excess of that standard.
The legal mechanism for achieving and maintaining the ambient
standards is the "state implementation plan" (SIP) required by
Section 110. A SIP is basically a combination of laws and regulations
designed to insure attainment and maintenance of each ambient standard.
A logical starting point for achieving ambient standards is to
control air pollution emissions from the source. However, the quality
of the ambient air at any given point is determined not only by the
degree to which source emissions are controlled, but also by the
number of sources in the area and where they are located.
Thus, the Act, by demanding that ambient standards be met every-
where, involves controls over industrial site selection and related
land use. The dominant form of land use control now present in SIP's
involves preconstruction review of new air pollution sources. Con-
sistent with the Act's policy of placing primary air pollution con-trol
responsibility with State and local governments, EPA has encouraged
State and local governments to develop and implement their own land
use-related programs under the Act. Only where States have failed
to do so has EPA stepped in, as required by the Act, or judicial
rulings therefrom.
At the moment there is considerable uncertainty concerning the
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status and future of air quality planning in the country. This
is compounded by the prospect of further Congressional amendments
to the Clean Air Act, as well as judicial rulings under the current
Act. Transportation control plans for the roughly thirty areas
throughout the country, where pollution levels are severe enough to
require such plans, are in various stages of development. However
the parking management elements of the TCP's and indirect source
reviews were suspended early last year to await further Congressional
guidance and clarification of intent. Although the vocal reaction
has been generally opposed to Federal imposition of these programs,
it is not yet clear whether Congress will insist that EPA work out
an acceptable solution under present statutory language or specifically
delegate the problem to the States. This assumes the Congress has no
desire to retreat from the air quality standards the suspended measures
were intended to enforce.
The non-deterioration program is also awaiting Congressional
action. EPA has designated all areas as Class II where moderate
growth will be allowed. The States have the option to reclassify
certain of these areas as Class I (no-qrowth) or Class III (yes,
but not like the good old days). To date, very few States have
requested this responsibility, most of the remaining States preferring
to take their chances with further Congressional clarification. The
chariness with which the States are embracing this new found responsibility
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may also be due to the enduring influence of new industry promoters
and the general scarcity of growth management planning in most State
capitols.
Be that as it may, EPA air quality programs are having and will
have both direct and indirect impacts on a number of land use
categories. The direct impacts relate more specifically to siting
considerations of new industrial and public facilities. Indirect
impacts are somewhat more difficult to define and assess.
For example, the TCP's as part of an overall transportation
strategy for an area, can have considerable influence on the general
pattern of residential development. Recommendations as to public
transportation modes and routes designed to alleviate air pollutant
levels must confront the issue of land use densities at the nodes
or along the corridors of the proposed system. Similarly, an EPA
determination that a new industrial source leads to further degradation
of air quality at the proposed site can play havoc with the designs
of the local'development department. Unless compatible decisions are
made by local authorities, the intent behind both the national program
and the law may be contradicted. At this juncture it may be politic
to shift from hot to deep water.
WATER QUALITY ET AL
The Federal Water Pollution Control Act Amendments of 1972 outline
an ambitious national water clean-up program. Implementation of this
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Act involves the development of water quality standards and guidelines
with respect to permissible effluent which may be discharged into the
Nation's waters. It also requires the establishment of State and area-
wide plans and programs for wastewater treatment and for administering
and enforcing water quality standards. The grants for building sewage
treatment facilities are subject to a number of conditions, including
consistency with area-wide waste treatment management or "208" plans
and State plans developed to implement Water Act standards. Another
area of considerable potential impact is the Safe Drinking Water Act,
which requires the Agency to assure that any Federally-assisted project
within a designated sole or principal source aquifer recharge zone be
carried out so as not to contaminate the drinking water.
The land use impact of these water programs is substantial. The
construction grants program, by providing sewage capacity to existing
and future residential areas, will to a large extent determine the
pace and intensity of growth in these areas. The 208 area-wide waste
management plans will influence overall residential patterns by deciding
which areas need to be serviced by public facilities and prescribing
alternative methods of maintaining water quality in the Regions. The
fact that many sewage treatment plant sites have already been selected
under the 201 construction grants program without the benefit of the
area-wide 208 perspective may be injurious, but not necessarily fatal
to "good" planning. The ultimate test may be whether engineers or
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planners have the better hindsight.
Another early-on problem: by focusing on establishment of area-
wide planning approaches, as exemplified by regional Council of Govern-
ments (GOGs), the 208 process has either neglected or intruded on the
domain of existing State and local agencies, with potential for
duplication at best and disruptive hostility at worst. The real
danger here is that well-meaning water quality improvement plans may
be prepared at great expense without any promise for State resource
commitment or local implementation. The recent court ruling that States
have responsibility for water quality planning in all non-designated
areas calls attention not only to a major omission, but also the
intricate and inseparable pollutant flow relationships between
designated and non-designated areas. Accordingly, States have now been
charged with "wall-to-wall" management planning responsibility with
the option of delegating planning functions to substate agencies.
How this will all turn out remains to be seen. It may be as much
a challenge for 208 planning to straighten out "who is to do what", as
"what it is that has to be done". I think we can say though, that
local government will have a real say in dealing with their urgent
water quality problems, only if they take the initiative and devise
their own effective arrangements for doing so. The 208 program is
flexible enough to accommodate arrangements which reflect the unique
needs and values of the different regions. And it is demanding enough
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to require accountable mechanisms at all levels of government, which
would allow citizens to understand their regional water quality and
related land use problems and participate fully and openly in their
resolution. I think it almost goes without saying that what we do with
our water in the future is intertwined with what we can do with our
land—whether this be in determining where and how new shopping centers
can be built, where industrial plants can be located, what capital
investment will be required, what agricultural lands will be retained,
where large feedlots may be placed, what kind of mining practices can
be tolerated, where transportation networks must be directed, and how
floodplains must be safeguarded. In one form or another, these are
the issues that planning institutions, old or new, must come to grips
with.
Mention should also be made of EPA's concerns with the environmental
consequences of solid waste disposal. Since solid waste management
planning is generally a low priority item with local government, urban
sprawl has generally out-stripped disposal capability and more capacity
has to be found after intensive development has occurred. The default
strategy of the past has led to some rather serious environmental
problems. In 1968, one in five land disposal sites for solid waste
surveyed actually had refuse in direct contact with ground water. As
of 1974, over two-thirds of all landfill sites were located in areas
of positive infiltration of groundwater recharge areas.
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The need for strong local planning initiatives becomes more apparent
when one considers that roughly one-third of all U.S. cities surveyed
in 1974 have less than two years remaining in landfill reserve capacity.
Clearly, the future of ground and surface water protection is dependent
on advanced land use planning.
Emphasis has been placed in this paper on EPA's air and water quality
programs. These have drawn the greatest public attention, received the
largest Congressional appropriations, and generated the liveliest con-
troversies. Other EPA involvements have also drawn fire. These range from
the banning of certain pesticides, chemicals, and foreign airplanes, to
return of soda pop bottles. While there are obvious local planning
implications in these programs, our time and knowledge do not permit
their exposition here.
OTHER FEDERAL LAND USE PROGRAMS
Brief mention should be made of a few other Federal land use related
programs. For example, the Coastal Zone Management Act, which has been in
existence since 1972, is essentially a wet national land use law. By early
1974, all 30 eligible States were receiving grants to prepare coastal
resource inventories and comprehensive management plans, as well as
create the legal and administrative means to implement these plans. Upon
approval of their plans, States have the opportunity to invoke the "Federal
consistency" provision of the Act.
That provision seems particularly significant since it gives States
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the right to determine in advance whether or not a proposed Federal
license or permit for actions affecting their coastal zones are "con-
sistent" with the approved State program. Except in matters of
"overriding National interest", the State authority is expected to
prevail. When one considers that such activities as energy facility
siting and Corps of Engineers dredge-and-fill permitting may fall under
this provision, the potency of the Coastal Zone Act for State and local
land use planning and control can be readily appreciated. Yet while
this legislation was sailing through Congress with near unanimity, the
dry-land use bills, scaled down to even less authority, are having
difficulty finding their way through the maze of Congressional committees,
A more venerable land use program is HUD's 701 planning assistance
program. Although States and locals have been importuned of late to
come up with "land use" elements in their plans, presumably this is
what the 701 program has been all about in the couple decades of its
existence. HUD's Flood Insurance Program has more direct local impacts.
To quality for Federal assistance in special flood hazard areas, State
or local governments are required to adopt specific land use control
measures.
Use of the environmental impact statement requirement under NEPA
co rationalize, delay or block actual development throughout the
country is well-known among planners, researchers, and developers alike.
On the other hand, the implications of all kinds of energy resource
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development legislation (including controls on strip mining and
offshore oil) on land use patterns are not yet fully appreciated.
Thus, the relevant issue is not whether we need new land use
legislation, but what we do with that which we already have.
As you know, the conventional wisdom has been that land use
and environmental pollution problems are so spatially-oriented they
must ultimately be addressed and resolved at local levels. But simply
reiterating the rhetoric of "turning matters over to the locals" is
not enough. The more fundamental question that needs to be answered is:
Exactly what is being turned over? And while you're pondering a more
deliberate research response, I'd like to slip in and out with a
suggested approach.
Starting from home base, the Federal establishment must first
get and keep its own house in order. Apart from the demolition of
agencies (which may be the outcome of political warfare), or the
devolution of programs to other levels (which has been a source of
campaign embarrassment), some positive steps can be taken.
First is the development of strong and meaningful coordinative
mechanisms within and among the various Federal agencies that impact
on local community growth and development decisions. Mutually
supportive goals need to be solidified, conflicting program requirements
remedied, duplicative activity eliminated, and use of common planning
data, projections and methodology encouraged. The Federal Interagency
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agreements involving Coastal Zone Management, HUD 701 and EPA 208
programs are good starting points. The impending Interior-EPA agreement
to coordinate wastewater treatment and public recreational planning is
another positive step.
The identification and protection of environmentally critical
areas affords further opportunities for Federal interagency collaboration
in dealing with a major land use issue. Since there are as many as 140
Federal programs directly related to land use, going through yet another
exercise in coordination is not only difficult, but meaningless. By
focusing on a specific issue, such as critical areas protection, it
may be possible to regain some of the public supoort so evident in
the earlier success of the environmental movement and so obviously
missing in its recent difficulties, which include the failure of
national land use legislation.
Positive action is also required at the State level. Fortunately,
States, and to some extent localities, are beginning to approach their
problems more comprehensively—perhaps as a defense against the plethora
of Federal programs and requirements they have been forced to deal with.
Confronted with all sorts of interconnected and conflicting requirements,
State Governors and their planners and budget officers are beginning to
develop or utilize coordinative mechanisms to rationalize what it is
they are supposed to do, what they may do it with, and what public
benefits result from their so doing. State environmental impact
18
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statement requirements, more imaginative use of the A-95 program
clearinghouse process, development of State growth management and
land use policies, State assistance to local land use planning, and
more comprehensive outlooks on functional planning requirements
are some examples of these interests.
Federal agencies might well take a closer look at their planning
assistance programs to see how they can encourage these tendencies.
EPA's court mandated wall-to-wall Statewide 208 planning requirements
should be viewed as an opportunity rather than a disaster. State
planning agencies should be encouraged through funding and technical
assistance to assume closer coordinating roles among the State air
and water pollution control agencies, among environmental, economic
development, and growth management planning functions, and among the
different agencies and levels of government. The outcome of such
efforts might well be the emergence of comprehensive planning agencies
in each State, responsible to chief executives, with legislative
review and citizen overview, and with authority to deal with various
Federal programs in a coordinated manner.
What seems also in order is a concerted effort at all levels of
government to articulate, manage, and coordinate those broader policies
concerning the direction, quantity and quality of growth of individual
communities. As recent court decisions on such areas as Petaluma,
California have indicated, local communities are more likely to be permitted
19
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to chart their own destinies if they can demonstrate they've done so
in a resonable and non-arbitrary fashion and in the broader context
of region-wide concerns.
Their ability to do this would be greatly enhanced if the longer-
range policies and program objectives of State and Federal establish-
ments were more deliberately formulated and effectively communicated.
For while some judicial decision may be generally supportive of orderly
growth management, they are usually rendered on an ad hoc basis and
should not be regarded as a substitute for responsive long-range
thinking and responsible comprehensive planning.
Will this all work? I don't know. The relevant question for
action-oriented decision-makers and intelligent but deliberate research
scientists is: "How can we make it work?".
I think we can agree that these kinds of issues cannot be dealt
with simply by handing out a grant or single mindedly by requiring the
installation of a clean-up device. It is moreover not the job of a
Federal agency to make the basic decisions and choices concerning these
issues — it is the job of citizens themselves to do so through full
and open political processes at the State, local, and regional levels.
However, it is the Federal responsibility, as EPA Administrator
Russell E. Train has put it, to "force" these issues by insuring that
States and localities do not continue to duck them, by helping them make
the appropriate institutional changes, and by assuring that the financial
20
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and technical resources 'available are effectively used. What this
means is that we can no longer evade responsibility through the
rhetoric of "turning things over to the locals", but that we start
working with State and local governments and draw on the knowledge of
the research community in making the hard choices we must all live
with.
21
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22
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AN OVERVIEW OF ERA'S
LAND USE
AND
ENVIRONMENTAL MANAGEMENT
RESEARCH PROGRAM
Charles N. Ehler
Comprehensive Planning and Land Use Staff
Media Quality Management Division
Office of A1r, Land and Water Use
Office of Research and Development
U.S. ENVIRONMENTAL PROTECTION AGENCY
401 M Street, S.W.
Washington, D.C. 20460
Presented at a Research Symposium on "Environmental Quality and Land Use
Planning," May 26, 1976, Rutgers University, New Brunswick, New Jersey,
sponsored by EPA, Region II and Rutgers University
23
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BACKGROUND
Achieving and maintaining a desired level of environmental quality,
as measured by a given set of Indicators, Involves a set of activities
that must be carried out by many public and private decision-makers at
all geographical scales and at all levels of government. These activities,
which collectively define "environmental quality management," Include
research, legislation, the translation of legislation Into guidelines and
regulations, the planning and evaluation of management strategies, the
design, construction, operation and maintenance of various technological
options (process changes, wastewater treatment technologies, etc.), the
monitoring of the performance of residuals discharging activities and
ambient environmental quality, the enforcement of strategies, and the
feedback of information Into the planning and management process. These
collective activities do not necessarily occur in the order listed, nor
do they necessarily filter down from the federal to the state to the local
level of government. However, all of these activities, 1n one form or
another, are essential to achieve the primary objective of environmental
management, I.e., a desired level of ambient environmental quality.
EPA's legislative mandates generally delegate authority to state or
designated regional and local levels of government to accomplish the
objectives of federal environmental quality management programs. For
example, state, regional and local water quality management programs are
developed and Implemented under Sections 303, 208 and 201 of the Federal
Water Pollution Control Act Ammendments of 1972, as well as the Safe
Drinking Water Act of 1975. Air quality management plans are required 1n
Section 110 of the Clean Air Act Amendments of 1970. New efforts in state
and local solid waste planning and implementation are called for 1n the
Resource Conservation and Recovery Act of 1976. The planning and imple-
mentation of these single-purpose pieces of legislation are affected by
the development and implementation of regional programs 1n other public
sectors such as land use planning under Section 701 of the Housing and
Community Development Act, flood plain management programs, programs of
the Federal Aid Highway Act and Urban Mass Transportation Act, the Corps
of Engineers, the Soil Conservation Service, the Coastal Zone Management
program, and many others. In addition, many state and local Institutions
developed their own environmental management programs long before any of
the above federal programs were conceived. Environmental quality manage-
ment decisions have continuously been made, and will be made in the future,
on the basis of available resources with limited understanding and time.
THE PROBLEM
Environmental planning and management efforts have usually been
performed 1n a manner which: 1) considered only a small range of techno-
logical options (primarily oriented to waste treatement) for Improving
ambient environmental quality; 2) Involved only a small range of 1mple-
24
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mentation Incentives (primarily discharge standards and permits, as well
as Federal subsidies) to Induce residuals dischargers to change their
behavior; 3) concentrated on a single environmental medium and Ignored
Intermedia effects; 4) concentrated on technological options, while
essentially Ignoring the equally Important areas of Implementation,
monitoring and enforcement. These oversimplified approaches were under-
standable 1n the early stages of environmental management when the
perceived benefits clearly outweighed the costs. However, future
environmental management will require better Information upon which to
base decisions.
RESEARCH OBJECTIVES
The objective of the Environmental Management Research Program 1s to
develop and evaluate Information and methods for the planning and Imple-
mentation of environmental quality management strategies which address
the above shortcomings. The research 1s designed to develop and demon-
strate techniques to assist 1n evaluating a broad range of alternatives,
and to demonstrate the Importance of Integrating technological options
(process changes, treatment technologies, spatial redistribution of
activities, etc.), with both Implementation Incentives (effluent standards,
effluent charges, fines, marketable permits, zoning, etc.) and Institutional
arrangements Into an overall management strategy for any given problem.
Institutional Arrangement
F1g. 1: COMPONENTS OF AN ENVIRONMENTAL QUALITY MANAGEMENT STRATEGY
25
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The research 1s divided Into two major areas: 1) comprehensive
planning and 2) Implementation Incentives and Institutional analysis.
Comprehensive planning research concentrates on developing Information
and methods for use by planners 1n Identifying problems, defining
objectives, obtaining and analyzing data, Integrating results of analyses
for each of the components (activity analyses, natural systems analyses,
economic analyses, etc.) of the management system, evaluating management
strategy alternatives and effectively presenting results for decision-
making. Emphasis Is on the Importance of: a) undertaking no more
sophisticated planning analysis than 1s required to provide the Information
necessary to make decisions; b) analyzing the sodoeconomlc Impacts of
management alternatives; and c) assessing intermedia effects.
Implementation and Institutional research attempts to provide a
better understanding of how Implementation incentives and institutional
arrangements can be best combined to deal with different environmental
problems 1n different analytical contexts. Implementation incentives are
classified into four general groups: regulatory, economic, administrative
and moral suasion. Emphasis 1n this program 1s on alternatives to
traditional regulatory approaches, particularly on developing market-type
approaches with which to manage environmental resources. Emphasis in the
institutional area 1s currently on developing and evaluating sub-federal
arrangements for regional environmental quality management.
RESIDUALS-ENVIRONMENTAL QUALITY MANAGEMENT: THE RESEARCH FRAMEWORK
Any research program must have a framework and set of basic principles
upon which to operate. The conceptual framework around which the Environ-
mental Management Research Program has been built is one for
residuals-environmental quality management, originally developed by Blair
T. Bower and Allen V. Kneese of Resources for the Future. Simply stated it
deals with a set of economic activities distributed over space and time
which reflects and affects "final demand," that 1s, the total goods and
services desired, produced and used by society. Each of the individual
activities—households, Industrial plants, transportation, agricultural
operations—reflects: 1) some combination of factor inputs to produce a
given product output (goods and services); and 2) the generation of various
types of residuals. The residuals produced can be either reused in
production or user activities, or can be more or less modified by various
means before discharge into the environment.
In the environment residuals undergo various physical, chemical and
biological processes—transport, decomposition, adsorption, accumulation.
These processes transform the time and spatial pattern of residuals
discharges from the various activities into a resulting time and spatial
pattern of ambient environmental quality. The resulting ambient environ-
mental quality Impinges directly on the receptors—human, plants, animals,
materials—or Indirectly, as where final protective measures are installed
between the ambient conditions and receptors. The Impacts on receptors,
26
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I.e., "damages," as perceived by human beings, and the rtsponses of
Individuals and groups to the perceived damages, provide the stimulus
for action. The extent and form of action, as expressed 1n a selected
management strategy, depends on the Institutional structure, value system,
and competing demands for scarce resources for other needed goods and
services, e.g., educational facilities, Industrial development, etc.
The components of the residuals-environmental quality management system
and their relationships are represented 1n figure 2.
F1g. 2:
ironmentai Quality: Residuals Management System
Institutional mileu L
constraints on alternatives
-jurisdictions!
-legal
-agency
-budget
Management strategy M
d a , some mix of actions which
affect one or more points of the
management system — who
does it. with what instruments,
at which points in the system)
FINAL DEMAND SECTOR
(Nature of products and services)
Delineation of
alternatives
for achieving
ob|ectives
Specification of J
environmental quality
objective d e . maximize
GNP net of EQM costs)
PRODUCTION. SERVICE B
AND CONSUMPTION
(The ways in which products
are produced and consumed)
Perceptions and
definitions of and
attitudes towards
environmental quality
problems individuals
and organizations
Configuration of agencies
general government
agencies, specialized
agencies
STORAGE.
COLLECTION.
TRANSFORMATION
and/or DISPOSAL
*f*«•*«*«********•*«•**• *••*•!>»«**•••«***••
V^ Direct &np»ct» of produciton proc*«aM, •x*, tr«n»mta*Mi fn K
from Bauer, Annual Repovt 1969, Resources for the Future
The figure Indicates the flows of materials and energy Into, through, and
from the physical system that generates and discharges residuals. These
flows can be modified 1n quantity, quality, timing and location by the use
of -alternative physical methods (see Table 1). The adoption of the physical
methods 1s Induced by the Implementation Incentives (see Table 2). In a
27
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CATEGORY
OF METHOD
SUBCATEGORY
EXAMPLES
A. REDUCE
RESIDUALS
GENERATION
MODIFY RESIDUALS
AFTER GENERATION,
IN ON-SITE AND/OR
COLLECTIVE
FACILITIES
C. MAKE BETTER USE OF
THE ASSIMILATIVE
CAPACITY OF THE
NATURAL ENVIRONMENT
D. INCREASE THE
ASSIMILATIVE
CAPACITY OF THE
NATURAL ENVIRONMENT
1. Increase longevity
of consumer goods
2. Change type of raw
material Inputs
3. Change production
process. Including
mode and/or motive
power of transport
4. Change final demand
a. Change product mix
b. Change product
specifications
5. "In-plant" redr-
culatlon of water
1. Materials recovery
(direct recycleJ
2. By-product production
(Indirect recycle)
a. to final products
b. to Intermediate
products
Longer-lived automobiles, appliances
High to low sulfur fuel oil
Individual vehicles to mass transit
3. Modification of
residuals stream
4. Effluent reuse
a. Direct
b. Indirect
1. Change the spatial
distribution of
existing and/or new
activities
2. Change the temporal
distribution of
existing and/or new
activities
3. Change the spatial
distribution of the
discharge of residuals
Reduce number of grades or styles of
product
High octane to low octane oas; prohibit
non-returnable containers
Chemical and fiber recovery 1n paper
production
Peach pits Into charcoal briquettes; wood
products residues into pressed logs
Obsolete vehicles Into steel scrap/steel;
used corrugated containers 1rto
linerboard
Combustion of solid residuals to generate
energy; compression cf solid residuals
Reclrculate water from bathing and/or
washing to toilets
Groundwater recharge
Establish "auto-free" areas
Phase the location of new activities
until adequate public services are
available; stagger office hours
Pipe residuals to areas of higher
assimilative capacity
4. Change the temporal Withhold residuals discharge during
distribution of the periods of low assimilative capacity
discharge of residuals
Low flow augmentation, artificial Mxlnc,
artificial aeration
28
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Table ?: CLASSIFICATION OF IrTLEHENTATIOH INCENTIVES FPR ENVIPOMENTAL QUALITY rV>H*r,r*«EnT
A. REGULATORY--by law, ordinance, permit
1. Specification of a physical method
a. Specify characterlstlc(s) of raw material Input, e.g.. no more thaw IS
sulfur fuel
b. Specify "production process", e.g., orientation of buildings with respect
to sun end wind; acounts of thertral ard/or noise Insulation In buildings
c. Specify residuals ncdifcation and/or handling process, e.g., debris basins
on construction sites; require householders to separate used newspapers
from other soliu residuals
d. Specify product output characteristics, e.g., no more than 81 phosphate 1n
detergents; anount of lead 1n gasoline
2. Specification of a result or performance
a. Specify discharge per unit of product cr raw material processed < some
specified anount, e.g., <_ X kilograms of suspended solids per Ton of
steel, <_ Z grans of HC per vehicle-kiloneter
b. Specify total quantity of a residual discharged per unit of tine <_ some
specified amount, e.g, Y pounds of CODg per day
c. Specify concentration of residuals 1r discharge <_ some specified magnitude,
e.g., ^ 30 mg/1 of SS
d. Specify ambient environmental quality to meet or exceed certain levels for
specified periods of time, e.g., mean annual concentration of sulfur
.dioxide <_ 75 irg/m^
t. Specify performance, e.g., automobile must achieve at least 40 kilometers
per Htcr of fuel 1n city driving; appliance must achieve at least a
specified level of efficiency In energy use; producer must prove that a
product 1s environmentally "benign"
3. Specification of limitations on location of activity, e.g., restriction of
building where Infiltration capacity for septic tanks 1s less than a specified
rate; prohibition of development where utility capacity—water, tewer.
electricity—is Insufficient
4. Specification of extent, tiring, type of activity, e.g., prohibition of trucks
on particular routes during particular times; reduction or cessation of
production during adverse arrbient conditions
5. Specification of procedure, e.g., requirement that environmental Impact
stat&pent for each project be prepared according to specified guidelines
B. ECONOMIC
1. Applied directly to residuals, e.g., charge on each unit of residual discharged
In cents per kilogram of sulfur; sale of discharge rights
2. Applied to inputs or product outputs, e.g., charge on packaging; surcharge on
on horsepower of automobile at tine of purchase; water use pricing
3. Applied to activities, e.g., reduced parking fees for car pools; parting
surcharges; property taxes related to type of activity; density bonuses
4. Applied to residuals modification, e.g., federal and state grants for construction
and operation/maintenance of municipal sewage treatment facilities; sewer and
landfill user charges; reduced taxes for Installation of soil erosion reduction
measures
5. Direct public Investment 1n other than residuals Modification facilities, e.g..
open space, mass transit
C. ADMINISTRATIVE--by order within governmental agencies or private organizations
1. Applied directly to residuals, e.g., separate various types of paper residuals
1n offices for recycling
2. Applied to products used, e.g., specify that only coruact cars of those which
achieve some minimum fuel/distance standard be purchased; specify lighting,
energy limits not to be exceeded In new buildings
3. Applied to activities, e.g., specification of limits on thermostat settings for
heating and *
-------
given regional context, the Institutional arrangement has a set of
Implementation Incentives from which 1t can choose; each activity, 1n turn,
has a set of physical methods from which to choose 1n responding to the
Implementation Incentives Imposed upon 1t. Alternative Institutional
arrangements are also possible.
Selection of a management strategy Implys two additional apsects:
1) methods of analysis; and 2) criteria for evaluating alternative strategies.
Criteria would Include physical effects (Including Intermedia), economic
effects (Including administrative costs), the distribution of both physical
and economic effects, flexibility and simplicity of administration, timing
considerations, political considerations, and Impacts on technological
innovation.
ENVIRONMENTAL MANAGEMENT RESEARCH PROGRAM OUTPUTS
The Environmental Management Research Program has produced over fifty
research documents in the general areas of environmental quality management
and land use research, published as part of the Office of Research and
Development's Sodo-Economic Research Series. Some of the more Important
publications of the program Include:
Performance Controls for Sensitive Lands: a Practical Guide for Local
Administrators (EPA-600/S-75-OOS, March 1975). The report is a guide to
the management of five distinct natural areas: streams and creeks, wetland?,
hillsides, woodlands, and groundwater and aquifer recharge areas. Each
section of the report discusses the local regulation of land use in areas
identified as "sensitive"; and each area is discussed 1n terms of Us value
to the public, current regulatory practices, and recommended programs for
managing the area. Also Included are appendices showing where and how to
go about getting technical assistance from existing governmental agencies
and examples of local ordinances for protecting the environmentally sensitive
areas. The final section is a monograph on environmental performance
standards, the result of a preliminary study on the feasibility of
extending the performance standard concept used in Industry to regulation
of the environment. The report was prepared by the American Society of
Planning Officials.
Improving Environmental Quality Through the Use of Local Ordinances
and Pegulations (to be printed about February 1977). The report, prepared
by Urban Systems Research & Engineering, reviews the use of police power
regulation at the local level of government to achieve environmental quality
objectives. The first section presents a discussion of the Interactions
of various municipal regulations and ordinances as they affect the environ-
ment. Subsequent sections examine the potential of conventional, locally
available, legal tools that can affect residuals generation and discharge-
transportation and parking ordinances, building codes, on-site wastewater
30
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management and maintenance permits, stormwater management ordinances,
noise control ordinances, solid waste ordinances, and subdivision permit
procedures. In each section, examples of successful or model ordinances
are supplied, preceeded by a discussion of the technical Issues Involved
in associated environmental programs.
Evaluation of Water Quality Models: A Management Guide for Planners
(EPA-600/5-76-004, July 1976). The report, prepared by Systems Control,
Inc., was designed as a handbook oriented to water quality and water
resources planners and managers. It presents basic Information concerning
water quality modeling 1ncldu1ng procedures for model evaluation and
selection, Integration of modeling with planning activities, and contracting
modeling services. The handbook discusses the Implications which accompany
the decision to model, including the needs for additional labor and
specialized technical expertise which are generated.
Areawide Assessment Procedures Manualf Vole. 1 & 2 (EPA-600/9-76-014,
July 1976). This manual summarize and presents in condensed form a range
of available procedures and methodologies that are available for Identifying
and estimating residuals generation and transport from major sources within
water quality management planning areas. Although an annotated chapter 1s
provided for the assessment of non-urban residuals loads, the major emphasis
of the manual is directed toward the assessment of problems and selection
of management alternatives in urban areas, with particular concern for
stormwater related problems. Also Included 1n the manual are methodologies
for assessing the present and future water quality impacts from major sources
as well as summaries of available Information and techniques for analysis
and selection of managment alternatives. Several levels of panning
sophistication are presented.
The Effects of Alternative Metropolitan Development Patterns
(Inter-Agency Agreement with CEQ, BUD, DOTt FEA, NSF and EPA, to be completed
about April 1977). This study, being conducted by the Urban Institute
as an extension of the Costs of Sprawl study published in 1974, enumerate,
analyze and quantify where possible (1) the economic, fiscal, environmental
quality, energy and other resource use effects of alternative metropolitan
development patterns, and (2) the effects on those development patterns of
alternative transportation systems and other governmental programs and on
the relationship between transportation systems, land use, environmental
quality and energy use.
Regional Environmental Quality Management Handbook (to be completed
about April 2978). The objective of this study, undertaken by Resources for
the Future, is to bring together the relevant techniques of analysis and
methods of organizing the data for doing environmental quality management
in a variety of contexts. The handbook will be an operational document
which will: (1) take the user through the process of environmental quality
management planning from obtaining and organizing the data through the
presentation of results; (2) provide the user with methods of analysis for
each of the components of the environmental quality management system and
for evaluating alternative management strategies; and (3) provide guidlelines
31
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for selecting the degree of sophistication to be used 1n planning 1n
relation to the management problems 1n a region and the resources available
for planning.
Implementation Incentives and Institutional Arrangements for Regional
Environmental Quality Management (to be completed about December 1977).
A companion to the previous research project 1s a study, undertaken by the
Environmental Law Institute, to develop Information on the Implementation
Incentives and Institutional arrangements available for integrated regional
environmental quality management. The study will examine regulatory, economic,
administrative and informational Incentives and evaluate each in terms of
effectiveness, efficiency and equity. The legal (e.g., state enabling
legislation, authority, preemption, due process considerations, takings,
and appropriate enforcement mechanisms) and administrative (e.g., costs,
timing, flexibility, simplicity, etc.) implications of each implementation
incentive will be developed. Much of the final product of this effort will
be Incorporated in the above Regional Environmental Management Handbook.
A more complete picture of the Environmental Management Research Program
is presented in the following flow diagram. Additional Information, including
an annotated bibliography of all research reports and on-going projects 1s
available from the author. Most published reports are available from either
the Superintendent of Documents, Government Printing Office, Washington, D.C.
20402, or the National Technical Information Service (NTIS), 5285 Port
Royal Road, Springfield, Virginia 22151.
32
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) ENVIRONMENTAL MANAGEMENT RESEARQ
JI9 A
J O
-4
O J7B A
o jm A j o jn A
Planning
Jo-
Printed by Mztcr Planning Divi*icnt W», at 208 Planning
O
Printed by Offiat of Air Qvalit^ Plawiing I Stanaardl, OUM.
at part of Air duality HainUnatot Oitidfliift
Evaluation
» >«. »*1U MTun
continued
en next page
33
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J-o
tribictftl fc» Uatfr Flaming Oivit\an, CHOI, at 101 T*al*iiaal
S5/5T •""*'
e
o
• u* mt*
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NEW YORK STATE DEPARTMENT OF ENVIRONMENTAL CONSERVATION
PERSPECTIVES ON LAND USE PROGRAMS
prepared by
THOMAS P. EICHLER
Director of Program Development, Planning and Research
NYS Department of Environmental Conservation
Albany, New York
for
ENVIRONMENTAL QUALITY and LAND USE PLANNING
RESEARCH SYMPOSIUM
SPONSORED BY
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY, REGION II
and
RUTGERS UNIVERSITY
MAY 1976
35
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Perspectives on Land Use Planning
The purpose of this paper is to indicate some current perspectives
on land use planning we are experiencing in the New York State
Department of Environmental Conservation.
DEC
Our viewpoint is necessarily a result of the kind of organization which
we are. The Department is one of the major operating and regulatory
agencies of State government with a broad legislative mandate for
environmental and resource management.
We are by far the major land manager in the State with direct supervision
of more than 3. 5 million acres of State owned land. This includes 2. 5
million acres of Adirondack and Catskill forest land maintained as
"forever wild" by constitutional mandate and over one million acres of
managed State forests, wildlife and multiple purpose lands, as Well as
wetlands, both tidal and freshwater and other lands which are acquired
for preservation because of their unique ecological significance.
Our land management responsibilities are not limited to lands we own,
and include use of easements on private lands for access to streams
and game management areas. Extensive work with private landowners
includes assistance with development of management plans for commercial
forest production, review of applications for forest tax benefits, creation
of agricultural districts, and cooperative programs for fish and wildlife
management.
On the regulatory side, the Department's programs include more than
140 different kinds of permits and licenses covering such matters as
siting of new municipal sanitary landfills, air quality maintenance permits
for urban shopping centers with 1500 or more parking spaces, permits to
private landowners to alter wetlands, and, of course, some 1 3/4 million
annual hunting and fishing licenses.
Virtually all of the significant capital development activity taking place
in the State comes under the purview of the Department under one or
another of its regulatory responsibilities. Some examples include:
36
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2,400 stream protection permits per year covering projects
with a combined value approaching $31 million (examples
include placement of a storm water culvert into a streambed,
or industrial operations impacting stream banks)
municipal and industrial sewage effluent permits including
2, 000 annual applications for industrial sources covering
projects with combined value approaching $100 million
tidal wetland permits covering projects estimated at $42
million for 100 applications per year
1, 500 annual mined land reclamation permits for mining
operations with a value approaching $135 million
Clearly, between the direct land management activities of the Department
and the review and permit process which governs what others may do, the
Department is deeply involved in land use programs. Indeed, with our
$1. 15 billion Environmental Quality Bond Act which was passed in 1972,
coupled with other, mostly Federal, sources for capital investment, we
are presently emphasizing what the environment can do for the economy
through what we call an "accelerated environmental public works program"
of over $2. 7 billion aimed at stimulating 151, 000 jobs over the next 4 to 5
years.
The Department is not typified as being a planning or research organization.
Our emphasis is on program implementation. In the stiff competition among
priorities within the Department, planning and research become justified on
the basis of the practical contribution they make to implementation of program
objectives. Consequently, our enthusiasm for new approaches, such as land
use planning, is tempered by the volume of new applications for permits and
grants which arrive in the in-basket each day. Conversely, the growing
emphasis which is placed on land use issues within our Department is
accompanied by a deep sense of commitment to meeting defined needs. In
summary, our progress in land use planning can be expected to be pragmatic
and incremental.
The Horizon
In 1973 we deliberately took pause to size up the on-rush of new planning
and management programs and evaluate our capability to respond. We
were impressed with some common characteristics prevalent in much of
37
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the new Federal legislation. In addition to what might be called "remedial"
measures to attack existing pollution problems:
there has been significant emerging recognition that abatement
programs must be accompanied with preventive management
measures; and
there has been increasing recognition that the States are the
level of government with the prime responsibility for prograrr
im plerr. enta tion
These relationships are clearly reflected in such major pieces of
legislation as the Clean Air Act of 1970, the Coastal Zone Management
Act of 1972, and the Water Pollution Control Act Amendments of 1972.
These relationships are also reflected in most versions of the national
land use bills which have been considered in Congress over the past few
years. Other measures a1sr> give new recognition to land use, non-
structural, and management approaches to help assure that e nvironmental
values are considered at the onset, along with economic and social develop-
ment considerations. Examples of this on the Federal level include:
the review system under the National Environmental Policy
Act of 1970
new "principles and standards" of the Water Resources Council
requiring evaluation of environmental and economic issues for
federal water resource projects and studies
flood plain management provisions of the Flood Disaster
Protection Act of 1973
provision for up to 80 percent federal cost sharing for non-
structural flood damage reduction alternatives under Section 73
of Water Resources Development Act of 1974
Examples on the New York State level include:
- creation of the Adirondack Park Agency and approval of its
land use plan by the Legislature
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a State wild, scenic, and recreational rivers program with land
use controls for up to a half mi]e on each side ol" the corridor,
and with 1222 miles of streams designated to date
tidal wetlands regulatory program passed in 1973 for protection
of both private and public wetlands
freshwater wetlands program passed in 1975
forestry taxation legislation
agricultural districts program (over 3, 000, 000 acres now)
Each one oi these measures is aimed at meeting a particular objective lor
resource management. Some of them are planning measures. Many, such
as wetlands protection or flood plains management a re not planning measures,
per se, but set specific land use regulatory restrictions related to management
of critical areas of environmental concern which must be taken into account by-
planners because of the new use constraints they may impose.
The Clean Air Act, for example, has several provisions relating to land use.
Under the Law, New York State has filed several implementation plans lor
meeting the national air standards within set deadlines. These aim primarily
at controlling stationary sources (or smokestacks). In parts of the metropolitan
New York City area, a transportation control plan is also required to achieve
standards.
The transportation plan, worked out jointly with the City and Federal EPA,
provides for such strategies as staggered working hours in lower Manhattan,
express bus lanes, vehicle inspection, fitting trucks with additional emission
control equipment, and stricter enforcement of City traffic regulations.
At present, we are also working on the air quality maintenance part of the
program. After preliminary analysis, 10 areas of the State have been
identified as having a potential for exceeding the national standards over the
next decade because of expected growth and development. In many cases we
are working with Regional Planning Boards to link up the projected impact of
growth with local land use and development plans. Ultimately, the Governor is
required to submit control plans for staying within the standards.
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We have also adopted an "indirect source ' rule which provides for a
review and permit program for facilities which induce traffic and
resultant air pollution. Under the rule, a permit is required for:
any parking facility in Manhattan
- airport construction for facilities handling 50, 000
aircraft operations per year
- any parking facilities with 1000 spaces in urban counties
and 2000 spaces in rural counties
new highways with daily traffic volume of 20,000 vehicles
per day and highway modifications of existing highways with
10, 000 vehicles per day
We work very closely with State DOT in reviewing their projects,
and their transportation master plan.
The land use focus in water quality is emerging somewhat more slowly
than in air, but here too, the indications are clear. Section 208 of the
1972 Act provides for Governor's designation of areawide waste treatment
management areas to develop the planning necessary for both structural
and non-structural controls to meet the 1983 goal of fishable, swimable
waters.
In New York, six areas were designated by the Governor at, having
substantial urban-industrial wastewater problems and funded by EPA
for a total of $18.2 million in studies. The law requires these studies
to include a process to:
regulate the location, modification, and construction of any
facilities within the area which may result in a discharge, and
control non-point sources of pollution including land use requirements.
Work includes analysis of water quality and groundwater recharge and of
rural non-point sources.
Under the new EPA 208 regulations covering the rest of the State, we are
placing additional emphasis on non-point source control particularly in non-
designated rural areas. We are working closely with the State Soil and Water
Conservation Committee in this effort.
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As a final example, consider the impact on land use of the Flood
Disaster Protection Act of 1973. This Act requires every community
which HUD identifies as having a flood hazard to adopt a flood plain
management regulation sufficient to meet the requirements for
federally subsidized flood insurance. In New York almost all communities
have such a flood hazard area. New development on flood plains will
have to be raised above flood level or flood-proofed and insured.
Encroachment limits are being set. Over time, new developments
will be influenced to stay out of the flood plain, saving lives and property
damage. These are just some of the examples of how separate resource
management programs are impacting on land use.
Intermedia
One of our growing concerns is the patchwork effect these many efforts
may have. For example, the thrust of the Clean Air Act tends to promote
dispersal to reduce impact on the air shed. The Water Pollution Act
may have the opposite effect of tending to concentrate development to
limit costs of collection systems.
In improving the air and water we need to be careful that the solutions
are not just a matter of transferring the problem to the land. The
disposal of residual wastes from higher air and water treatment standards
is mounting. Development reducing natural recharge of the acquifer along
with disposal of treated effluent through ocean outfalls compounds the
water supply picture on Long Island with its dependence on grounwater.
Interagency
The intermedia problems also produce problems of interagency
coordination, particularly on the federal level with its many separate
resource management agencies. HUD, EPA, the Water Resources
Council, and the National Oceanic and Atmospheric Administration, the
Corps of Engineers, the Soil Conservation Service, to name some, are
all busily concluding interagency memoranda of understanding to cope
with the questions of jurisdictional overlap which become more evident
as the land use emphasis emerges.
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In New York, the picture at the State level is somewhat less confusing
because of the concentration of environmental programs within the
Department of Environmental Conservation.
A direct result of the appraisal of new environmental management
programs and legislation, the Office of Program Development, Planning
and Research was formed in 1973 to give focus and direction, particularly
to planning, but also to research within the Department and with the other
agencies with whom we relate. We also sec ourselves as a major focal
point for coordination and maximizing of federal planning and lanci use
resources in New York. This entails direct relationships with sue]-,
agencies as:
Environmental Protection Agency
Soil Conservation Service
five districts of the Corps of Engineers
Federal Insurance Administration in H. U. D.
Water Resources Council, and
U. S. Geological Survey
On the interstate level we are members of five interstate water resource
commissions whose concerns include related land use aspects of water
management.
Regional Activities
At the sub-State level we are witnessing two kinds of activities. On the
one hand, eleven regional planning and development agencies have been
formed over the last ten years, partially in response to A-95 review
procedures. These, and the Tri-State Regional Planning Commission,
now cover the State with some notable exceptions in the Hudson Basin and
Catskill areas.
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We increasingly look to the regional planning boards to be a partner
with us in planning efforts, such as 208 and air maintenance planning.
We believe they have regional planning expertise which we could only
duplicate by having equivalent planning sections in each of our regional
offices. They also bring the benefit of their more comprehensive
understanding of collateral planning efforts in their regions through
their ongoing activities with State and local agencies in such areas as
housing and transportation.
Simultaneously, we are also witnessing an incremental critical areas
approach through the creation of temporary study commissions and
permanent State agencies with a regional jurisdiction. These include:
- Adirondack Park Agency with its legislatively approved land use
plan for both public and private lands in the six million acre
Adirondack Park;
- St. Lawrence-Eastern Ontario Commission with project review
powers and a charge to develop what is essentially a coastal plan;
- Temporary Study Commission for Tug Hill; and
Temporary Study Commission for the Catskills (now expired).
The future for the regional land use approach which these agencies and
study commissions suggest is rather inconclusive. In many cases there
is jurisdictional overlap with regional planning boards and perhaps competition
with both local governments and other State agencies. There is potential
that this critical areas approach will "Balkanize" the State with special
regional units while reflecting a lower magnitude of concern elsewhere. On
the plus side, they are an effort to hold the line and seen from the State
perspective they offer a variety of experimental approaches.
Local Government
Another bias in the DEC land use perspective is the positive recognition
of the importance of local government. This is in keeping with New York's
home rule tradition, but it is also a practical necessity. The Department's
responsibilities have broadened rapidly from a limited range of concerns
for management for lands under public ownership to much wider concerns
for land use activities on privately owned land. The growing public interest
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in what happens on private lands cannot be provided for simply through
additional acquisition of title or easement. While in a limited way we
continue to acquire ecologically important and sensitive land for protection,
the'management of private wetlands by regulation, for example, is
increasingly the least cost alternative for government and the economy
as a whole.
Regulation of land use is an act of balancing competing private rights
and public need which is often more effectively carried out locally in
relation to other land use decisions. It is difficult for even a decentralized
field organization, such as our Department, to substitute for local judgment
in local land use zoning alternatives in flood plain management, for example.
For this reason, we seek provision of a local role in legislation affecting
land use. The 1975 Freshwater Wetlands Act, for example, provides for
State inventory and development of standards but local implementation,
with the Department responsible to fill in where local capability is not
asserted. Local government rolls in the State flood insurance and wild,
scenic, and recreational rivers programs are other current examples.
We must be realistic, however, in appraising the capability of local
governments to carry out their responsibilities for land use management.
Since passage of State legislation for local government planning and zoning
in the mid 1920's, roughly 1100 of New York's over 1500 communities have
created planning boards, and only 800 zoning boards have been created,
Of these, many are nominally functional and most have no full time staff.
There is growing recognition that the existing uneven performance of
local government in land use produces patchwork results adverse to the
regional or Statewide interest. Recognition is also increasing that the
public facilities provided or aided at the State or Federal level, such as
a highway interchange, airport, university campus, or regional waste
facility have significant regional economic and environmental impact
reaching beyond the immediate community where they may be located.
The Temporary State Commission on the Powers of Local Government,
the so-called "Wagner Commission" issued a report in 1973 called for
mandated land use plans by every county and local jurisdiction according
to standard guidelines. Recommendations also called for provision oJ
Stale assistance, with review and approval at the county level of resulting
local plans. Similar reports and study hills are now receiving consider. Ui on
in the Legislature.
Closer links also need to be developed whereby more land regulating
authority of the Department can be effectively delegated to local government,
similar to the delegation to the State level made by EPA for air, water, and
pes ticicJes.
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Public Participation
Perhaps the single most difficult aspect of the changing approaches to
land use coming from both federal and State legislation is the need for
more effective public participation. Members of the public are accustomed
to making their views known on land use questions of importance at meetings
of their town planning commission or x.oning board. Increasingly, they are
finding of equal or greater importance iho need for pa rticipa lion a 1 a
hearing on State wetland regulations, or gutting involved in n two-year
study process being undertaken with federal funds by a regional planning
board located 50 miles away.
From the State perspective more regionalized approaches are a partial
answer. For example, the Section 208 program is broken down initially
into six designated area studies. With this year's Statewide 208 grant,
the non-designated areas are being broken down into nine study areas
each with its own policy advisory committee and public participation
program. This means the 208 program in New York is taking place in
15 sub-State areas. Ultimately, however, there must be some common
elements composing a statewide program with plans which can all be
certified by the Governor.
Better budgeting of study resources for public participation is also being
made, but these developments are only some small steps in the most
critical facet of land use policy.
Research and Development
Land use planning is in a highly developmental stage and it is much easier
to indicate, in the 208 legislation for example, that a plan will consider
the "economic, social, and environmental impact of carrying out the plan '
then it is to actually do so.
Improved tools of many kinds are needed. The State's Land Use and
Natural Resource Inventory (LUNR) consisting of aerial photography of
the State, photo interpreted and indexed for computer analysis is slowly
being updated and expanded.
Significant data gaps exist. An inventory ol" tidal wetlands based on
interpretation of aerial photography has been made. A somewhat
similar inventory of freshwater wetlands is nearing.completion.
Identification of water quality needs including identification of non-
point source problems is ongoing under the Section 303(e) Basin
P]anning process.
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HUD sponsored detailed flood insurance engineering studies are
underway in several basins of the State under an effort which will
take several years to complete. These studies will be important
for local government'land use planning and zoning decisions for
flood plain management.
One of the key data gaps for land use planning is soils surveys. Surveys
by the Soil Conservation Service of the U. S.D.A. are about half complete
in the State and at the present rate will take 15-20 years to complete.
These surveys are central to land capability analysis.
Many different kinds of research are needed. Current examples in DEC
include projects being carried out by our Environmental Quality Research
Unit which is currently investigating the effects of land drainage or water
quality in the Genesee Basin.
This $1.6 million four year project under the sponsorship of the
International Joint Commission involves participation of EPA, the
major funder and six other government and university participants.
Other types of studies include an analysis of relocation and flood
proofing as a non-structural measure for flood hazard reduction.
Costs associated with relocation were developed and compared with
other structural and non-structural protection measures to determine
the cost-benefit relationship between different alternatives. The
procedures used in the HUD funded study to assess sensitivity of
persons and property to flood risk can be used to provide local
governments with flood hazard information necessary to comply with
management requirements and appeals procedures mandated by ongoing
flood insurance and relocation assistance programs.
A couple years ago when EPA requested comment on air quality
deterioration regulations, the Department provided an impact analysis
which assessed on a broad scale the economic development implication
of these proposed regulations on 29 counties in New York State.
Another ongoing study funded by the Appalachian Regional Commission
is making an evaluation of the impact of Federal environmental legislation
and resultant Federal and State agency regulations and guidelines upon
economic development in Appalachian New York. Included in the assess-
ment and evaluation is the impact of the Clean Air Amendments of 1970,
the Water Pollution Control Act Amendments of 1972, the Flood Disaster
Relief Amendments of 1974, the Coastal Zone Management Ai t of 1972,
proposed Federal land use legislation, and existing and proposed Federal
legislation promoting efficient solid waste management, emphasizing
resource recovery.
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Recommendations will be made to pursue the Appalachian area's
economic development within the context of meeting the Federal
and State environmental and related objectives outlined above.
These are examples of the kinds of studies we feel are important as
we attempt to become more sophisticated in understanding complex
economic and environmental considerations of land use management
alternatives. We would like to see more work done on the economic
impact of community development alternatives. We suspect that local
decision makers will find an alliance between environmental and economic
considerations, in their evaluation of a potential vacation development
for example, if a full accounting is made of impacts on the tax base,
transfer payments from the State and federal level, and requirements
for provision of municipal services.
Research of a different kind is needed to evaluate the decision-making
processes affecting land use against the question of whether these
decisions should be made at the national, state, regional, local, or
private levels and whether or not they are being given the proper
attention at those levels. Often the real challenge is to do a better
job of defining the legitimate State or national interest in a particular
local government or private sector land use decision, and providing
appropriate incentives or guidelines, as well as the necessary resource
information to get the job done right at the local level - rather than
move the decision to a higher, but more remote level of government.
These concerns are being reflected in the State's 208 and Coastal Zone
Management Programs.
There is a need for information continually being developed on water
quality, wetlands, flood plain management, wildlife, open space and
all flie other programs to be more readily available for interpretation
and use in the field by consultants, local planners, and so on. Not only
are there important information gaps, but also more interpretive guidelines
and criteria are needed to provide a framework for using existing information
effectively.
We need to build a better system for sharing the data base being developed
with all who have need for it.
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Summary
From the DEC perspective, land use planning is in a stage of rapid
development a ml public concern. We ore challenged U> comprehend
the.land use significance of the many single purpose programs within our
Department which affect land use. We see a primary responsibility to
coordinate from the State level the many opportunities presently available
in a variety of State, but especially, federal authorities for better resource
management in New York State. These new programs cause us to form
new relationships both with existing federal agencies, but, more important,
with regional and local government agencies within the State.
The conflicting values of public interest, private property rights, and the
economy will continue to stimulate strong debate before any lasting consensus
results. In the meantime, a wide range of studies and alternative manage-
ment approaches are being attempted. During this period of innovation
and development, DEC will actively seek to nuture progress for more
effective management of environmental resources by providing a focal
point for cooperative efforts across the State.
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FEDERAL ASSISTANCE PROGRAMS IN LAND USE PLANNING
by
Conrad S. Simon
Director, Environmental Programs Division
U.S. Environmental Protection Agency, Region II
Note: The numbers in the text refer to the charts and tables at the end
of this paper.
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SINCE THE PASSAGE OF THE NATIONAL ENVIRONMENTAL POLICY ACT IN 1969
FEDERAL LAW REQUIRES THAT WHENEVER A MAJOR FEDERAL ACTION is TAKEN THE
SECONDARY, AS WELL AS PRIMARY CONSEQUENCES FOR THE ENVIRONMENT SHOULD BE
INCLUDED IN THE ANALYSIS OF THE IMPACT OF SUCH ACTION, MANY MAJOR FEDERAL
ACTIONS, IN PARTICULAR THOSE THAT INVOLVE THE CONTRUCTION OR LICENS-
ING OF FACILITIES (E,G,, HIGHWAYS, AIRPORTS, SEWER SYSTEMS. WATER
RESOURCE PROJECTS, ETC,), STIMULATE OR INDUCE SECONDARY EFFECTS IN THE FORM
OF ASSOCIATED DEVELOPMENT AND CHANGES/PATTERNS OF SOCIAL Aid ECONIMIC ACTI-
VITIES, SUCH SECONDARY EFFECTS, THROUGH THEIR IMPACTS ON EXISTING COMMUNITY
FACILITIES AND ACTIVITIES, MAY OFTEN BE EVEN MORE SUBSTANTIAL THAN THE PRI-
MARY EFFECTS OF THE ORIGINAL ACTION ITSELF ,,,, THE GUIDELINES ON IMPLEMEN-
TATION OF NEPA REQUIRE THAT SUCH POPULATION AND GROWTH IMPACTS BE ESTIMATED
IF EXPECTED TO BE SIGNIFICANT AND AN ASSESSMENT MADE OF THE EFFECT OF ANY
POSSIBLE CHANGE IN POPULATION PATTERNS OR GROWTH UPON THE RESOURCE BASE, IN-
CLUDING LAND USE, WATER AND PUBLIC SERVICES, OF THE AREA IN QUESTION,
THE GUIDELINES PROVIDE THAT AN IMPACT STATEMENT MUST DISCUSS THE RELATIONSHIP
OF THE PROPOSED ACTION TO LAND USE PLANS, POLICIES, AND CONTROLS FOR THE
AFFECTED AREA AND THAT IF ANY PROPOSED ACTION WOULD CONFLICT WITH MM PRO-
VISION OF ANY FEDERAL, STATE, OR LOCAL LAND USE PLAN, THE STATEMENT SHOULD
DESCRIBE THE EXTENT TO WHICH THE AGENCY HAS RECONCILED ITS PROPOSED ACTION
WITH THE PLAN, AND SHOULD EXPLAIN WHY THE AGENCY DECIDED TO PROCEED DESPITE
THE CONFLICT, NEPA THEREFORE PROVIDED A STIMULUS TO STATE AND LOCAL GOVERN-
MENTS TO UNDERTAKE LAND USE PLANNING FOR PROJECTS REQUIRING FEDERAL AID OR
FEDERAL APPROVAL.
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ISSUES SUBJECT TO REVIEW BY STATE/U3CAL GOVEfWENT UNDER NEPA
1, THE ENVIRONWAL IfPACT OF FEDERAL OR FEDERALLY
ASSISTED PROJECTS,
2, ANY ADVERSE ENVIROffEJTAL EFFECTS WHICH CANNOT
E AVOIDED IF A PROPOSED PROJECT IS IMPLEBIIED,
3, ALTERNATIVES TO THE PROPOSED PROJECT,
1, THE RELATIONSHIP BEMEN LOCAL SHORT TERM USE
OF MSN'S B^/iRa»ir Arc THE mirnH^jCE AND
EMMBBff OF UONG TIRM PRODUCTIVITY; AT-D
5, AT^Y IRREVERSIBLE AND IRRETRIEVABLE OMTOITS
OF RESOURCES WHICH WOULD BE INVOLVED IN THE
PROPOSED PROJECT OR ACTION, IF IMPl
NATIONAL ENVIRONMENTAL POLICY ACT OF 1969, SECTION 102(2)(c)
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HOWEVER, IT HAS TAKEN 5 YEARS OF IMPLEMENTATION OF NEPA FOR FEDERAL
AGENCIES TO REQUIRE CONSISTENCY BETWEEN DATA ON POPULATION, AT© POPULATION
GROWTH, CURRENT AND FUTURE LAND USES WHEN DEALING SEPARATELY WITH AIR QUALITY.
WATER QUALITY, TRANSPORTATION OR SOLID WASTE MANAGEMENT,
THE PURPOSE OF THIS PAPER IS TO COMPILE AND SUMMARIZE INFORMATION ON
FEDERAL ASSISTANCE IN LAND USE PLANNING FROM VARIOUS SOURCES, Two MATRICES
SUMMARIZING MOST OF THESE DATA ARE OBTAINABLE FROM THE WASHINGTON ENVIRON-
MENTAL RESEARCH CENTER
OFFICE OF RESEARCH AND DEVELOPMENT
U.S, ENVIRONMENTAL PROTECTION AGENCY
A SUMMARY OF ACTIVITIES WHICH CONTROL GROWTH AND DEVELOPMENT AND THEREFORE
LAND USE MAY BE IDENTIFIED AS FOLLOWS
"ACTIVITIES CONTROLLING GROWTH AND DEVELOPMENT" ft 1
DURING THE 1960's AND 1970's THE CONGRESS PROVIDED SEVERAL MECHANISMS
WHERE BY LAND USE PLANNING ASSISTANCE COULD BE PROVIDED BOTH DIRECTLY AND
INDIRECTLY IN THE PROCESS OF IMPLEMENTING CONGRESSIONALLY MANDATED PROGRAMS,
#2
THE FOREMOST FEDERAL PROGRAMS AFFECTING LAND USE ARE THE COASTAL ZONE
MANAGEMENT PROGRAM, THE CLEAN AIR ACT, THE FEDERAL WATER POLLUTION CONTROL
ACT AND THE FLOOD PLAIN MANAGEMENT ACT, THESE PROGRAMS ARE UNIQUE IN THAT
THEY DO NOT MERELY LEAD TO THE DEVELOPMENT OF PLANS BUT ALSO TO THEIR IMPLE-
MENTATION,
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THESE FEDERAL ASSISTANCE PROGRAMS IN LAND USE PLANNING HAVE BEEN P;>I;'ARILY
RELATED TO (1) THE PROTECTION AND CONVERSATION OF OUR AIR Am HATER ENVIRON-
MENT. (2) PLANNING FOR THE PROTECTION AND CONSERVATION OF NATURAL RESOURCES,
AND (3) PLANNING FOR HOUSING, TRANSPORTATION AND ECONIMIC DEVELOPMENTS,
THE PRIMARY AGENCIES INVOLVED IN PROVIDING LAND USE PLANNING ASSISTANCE ARE:
#5
ASSISTANCE is IN THE FORM OF 1) SPECIAL PLANNING AND IMPLEMENTATION GRANTS,
2) PROGRAM GRANTS, 3) DEMONSTRATION GRANTS. AND 4) TECHNICAL ASSISTANCE,
MANY ANALYSTS HAVE SAID THAT THE CLEAN AIR ACT OF 1970 AT© THE MVTER
POLLUTION CONTROL AMENDMENTS OF 1972 WILL HAVE BY FAR THE GREATEST IMPACT ON
LAND USE OF ALL FEDERAL LEGISLATION AND PROGRAMS TO DATE. THUS A MAJOR POR-
TION OF THIS DISCUSSION SHALL RELATE TO THESE ACTS,
AIR ENVIRONMENT
WITH RESPECT TO THE AIR ENVIRONMENT, THE CLEAN AlR ACT OF 1970 HAS DIRECT
LAND USE PLANNING REQUIREMENTS, THESE REQUIREMENTS ARE CONTAINED IN SECTION
101 AND SECTION 110 OF THE ACT WHICH STATE SPECIFICALLY:
THAT STATES MUST UNDERTAKE AIR QUALITY PLANNING AND IMPLEMENTATION ACTIVITIES
TO PROTECT AND ENHANCE THE QUALITY OF THE NATION'S AIR RESOURCES SO AS TO PRO-
MOTE THE PUBLIC HEALTH AND WELFARE AND THE PRODUCTIVE CAPACITY OF ITS POPULATION;
AND ALSO "THAT IMPLEMENTATION PLANS SHOULD UTILIZE ALL TYPE OF EMISSION/CONTROL
TECHNIQUES IN ORDER TO PROVIDE FOR ACHIEVEMENT AND MAINTENANCE OF THE NATIONAL
AIR QUALITY STANDARDS" INCLUDING LAND USE AND TRANSPORTATION CONTROLS."
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OUT OF THESE REQUIREMENTS HAVE DEVELOPED THE FOUDWING
AIR QUALITY PLANNING PROGRAMS AFFECTING LAND USE:
m
THE PURPOSE OF THE STATE IMPLEMENTATION PLANS is TO PROVIDE FOR THE IMPLEMEN-
TATION, MAINTENANCE AND ENFORCEMENT OF NATIONAL AMBIENT AIR QUALITY STANDARDS,
THE PLAN SHOULD INCLUDE CONTROL MEASURES OR STRATEGIES WHICH PROVIDE FOR THE
ACHIEVEMENT OF STANDARDS BY 1975 OR IN SPECIAL CASES BY 1977,
THE PLAN SHOULD CONTAIN:
STATE IMPLEMENTATION PLANS FAILED TO PROVIDE FOR MAINTENANCE OF STANDARDS
THE FEDERAL COURTS REQUIRED THAT THEY BE REVISED TO DO so, THESE REVISIONS HAVE
BEEN LABELLED AlR QUALITY MAINTENANCE PLANS, AlR QUALITY MAINTENANCE PLANNING
HAS BEEN UNDERTAKEN AS A MEANS OF EVALUATING ON A REGIONAL SCALE THE AIR QUALITY
IMPACT OF GROWTH AND DEVELOPMENT AND PROVIDING THE TECHNICAL BASIS FOR RULES AND
REGULATIONS TO INSURE THAT AIR QUALITY STANDARDS WILL BE MAINTAINED OVER A 10
YEAR PERIOD, SOME 167 PLANS ARE IN THE PROCESS OF DEVELOPMENT,
THE REQUIREMENTS FOR MAINTENANCE PLANS ARE AS FOLLOWS:
#6' #7
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THE MEW SOURCE REVIEW REQUIREMENTS REPRESENTS AN EXCELLENT TOOL FOR IMPLEMENTING
THE WINTENENCE REQUIREMENTS SINCE IT MANAGES THE SIZING AND SITING OF MB'/
FACILITIES, NEW SOURCE REVIEW is PARTICULARY IMPORTANT IN AREAS NOT YET
ATTAINING STANDARDS,
PREVENT SIGNIFICANT DETERIORATION #9
THE PURPOSE OF THE PREVENT SIGNIFICANT DETERIORATION PROGRAM is TO PROTECT
AND ENHANCE THE QUALITY OF AIR IN RELATIVELY UNPOLLUTED AREAS, THE IMPLEMENTA-
TION OF THIS PROGRAM WAS ALSO REQUIRED BY FEDERAL COURTS WITHOUT FIRM JUDICIAL OR
LEGISLATIVE GUIDANCE TO EPA AS TO WHAT CONSTITUTED SIGNIFICANT DETERIORATION OR
ON HOW TO PREVENT IT, AFTER EXTENSIVE ''UBLIC COMMENT EPA ON DECEMBER 1974
PUBLISHED REGULATIONS WHICH WOULD PROVIDE FOR THE ESTABLISHMENT OF 3 CLASSIFI-
CATIONS OF LAND AREAS,
CLASS I, - AREAS WHERE PRACTICALLY NO INCREASE IN AIR POLLUTION LEVELS
WOULD BE ALLOWED - NO GROWTH,
CLASS II, - AREAS WHERE MODERATE INCREASES IN AIR POLLUTION WOULD BE ALLOWED
BASED ON WELL PLANNED GROWTH,
CLASS III, - AREAS WHERE INTENSIVE MAJOR INDUSTRIAL DEVELOPMENT WOULD BE
ALLOWED PROVIDING THAT NATIONAL AMBIENT STANDARDS,
EPA HAS DESIGNATED ALL AREAS OF THE COUNTRY AS CLASS II, THIS DESIGNATION
CAN BE CHANGED ON A CASE BY CASE BASIS AFTER PUBLIC HEARINGS,
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THE ALLOWABLE INCREMENTAL CONCENTRATIONS FOR EACH CLASS ARE AS FOLLOWS:
#9
THE HOUSE COMMITTEE VERSION is MORE COMPLICATED BEING BASED ON A PERCENTAGE OF
THE NATIONAL STANDARDS,
TRANSPORTATION CONTROL PLANS #10
BASED ON ANOTHER COURT DECISION STATES HAVE BEEN REQUIRED TO DEVELOP
REVISIONS TO THEIR IMPLEMENTATION PLANS TO PROVIDE FOR REDUCTIONS IN CARBON
MONOXIDE AND HYDROCARBON LEVELS IN SOME 40 URBAN CENTERS IN 30 STATES,
THE MEASURES USED TO PROVIDE FOR THESE REDUCTIONS INCLUDE
#10
PLANNING ASSISTANCE FOR ALL THESE AIR QUALITY PROGRAMS ARE PROVIDED THROUGH
§105 PROGRAM GRANT FUNDS AND IN THE FORM OF TECHNICAL ASSISTANCE FROM EPA STAFF,
THE FUNDS AWARDED OVER THE PAST 3 YEARS ARE AS FOLLOWS:
#11
THEY INCLUDE SEVERAL HUNDRED THOUSAND DOLLARS FOR SPECIAL STUDIES,
FNVIRQNMENT THE MAJOR PLANNING ASSISTANCE PROGRAMS HAVE HISTORICALLY
OCCURRED IN THE WATER PROTECTION AND CONSERVATION AREAS,
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IN THE PAST THE SOIL CONSERVATION SERVICE OF USDA HAS PROVIDED
ASSISTANCE TO FEDERAL, STATE AND LOCAL AGENCIES TO ASSIST IN THE ORDERLY
DEVELOPMENT, IMPROVEMENT., CONSERVATION AND UTILIZATION OF NATURAL
RESOURCES OF AN AREA IN ORDER TO PROVIDE EMPLOYMENT AND OTHER ECONOMIC
OPPORTUNITIES TO THE PEOPLE OF THE PROJECT AREA,
IN ADDITION, THE SERVICE PROVIDES A MEANS FOR LOCAL LEADERSHIP TO
COORDINATE AND UTILIZE THE FACILITIES AND TECHNIQUES AVAILABLE UNDER
CURRENT FEDERAL, STATE AND LOCAL AGRICULTURAL PROGRAMS, PLANNING
AREAS ARE GENERALLY ON A MULTI COUNTY BASIS, fb GRANT FUNDS ARE
AVAILABLE FOR PLANNING, BUT TECHNICAL ASSISTANCE IS PROW CD BY
THE SOIL CONSERVATION SERVICE AND OTHER USDA AGENCIES TO AID IN
PREPARING PROJECT PLANS, TECHNICAL AND COST SHARE ASSISTANCE TO
IMPLEMENT THE PROJECT PLAN IS CONTINGENT ON APPROPRIATION ATE)
ALLOCATIONS WHICH AR-. BASED ON THE ABILITY OF THE SPONSORS TO MEET
REQUIRED LOCAL COMMF -.NTS, THE SOIL CONSERVATION SERVICE OPERATES
ON A NATIONAL BUDGET OF ABOUT SiJOO MILLION ANNUALLY,
MOST FEDERAL PROGRAMS AFFECTING THE LAND ARE COMBINED WITH WATER
QUALITY OR WATER RESOURCES PLANNING AND WILL BE DISCUSSED UNDER
THESE TOPICS,
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WATFJ? CONSERVATION FUND ACT OF 3365 PL88-578
THE LAND AND WATER CONSERVATION FUND Aa OF 1965 (PUBLIC LAV/ 88-578)
ESTABLISHED A FUND TO INCREASE
OUTDOOR RECREATION OPPORTUNITIES FOR THE /VlERICAN PEOPLE, THE PROGRAM PROVIDES
FOR (1) ACQUISITION OF LANDS FOR FEDERAL ADMINISTERED RECREATION
AR^ASj AND (2) MATCHING GRANTS FOR STATE RECREATION PLANNING AND
STATE AS WELL AS LOCAL LAND ACQUISITION AND DEVELOPMENT, THE
FUND IS ADMINISTERED BY THE BUREAU OF OUTDOOR RECREATION,
FOR A STATE OR ITS POLITICAL SUBDIVISIONS TO RECEIVE GRANTS FROM
THE FUND, THE STATE MUST DEVELOP A COMPREHENSIVE OUTDOOR RECREATION
PLAN, AND UPDATE AND REFINE IT ON A CONTINUING BASIS, THE FUND
PROVIDES MATCHING PLANNING GRANTS AND TECHNICAL ASSISTANCE TO
STATES TO HELP DEVELOP AND UPDATE COMPREHENSIVE OUTDOOR RECREATION
PLANS. THE PLAN IDENTIFIES CAPITAL INVESTMENT PRIORITIES FOR
ACQUIRING, DEVELOPING, AND PROTECTING ALL TYPES OF OUTDOOR
RECREATION RESOURCES WITHIN A STATE; IT ASSURES CONTINUING
OPPORTUNITY FOR LOCAL UNITS OF GOVERNMENT AND PRIVATE CITIZENS TO
TAKE PART IN THEIR SATE's OUTDOOR RECREATION AND ENVIRONMENTAL
PLANNING PROGRAMS; AND IT PROVIDES A PRACTICAL TOOL FOR COORDINATING
ALL STATE OUTDOOR RECREATION AND ENVIRONMENTAL CONSERVATION
PROGRAMS,
LAND ACQUISITION AND DEVELOPMENT PROJECTS WHICH ARE IN ACCORD WITH
THE STATE COMPREHENSIVE OUTDOOR RECREATION PLAN AND MEET HIGH
PRIORITY PUBLIC RECREATION NEEDS IDENTIFIED IN THE PLAN ARE
ELIGIBLE FOR FUNDING, THEY MAY VARY FROM BICYCLE PATHS TO
58
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HIKING TRAILS, FROM ROADSIDE PICNIC STOPS TO SWIMMING POOL #]2
COMPLEXES, AND FROM INNER CITY MINI-PARKS TO COMPLETE STATE
PARKS, ASSISTANCE is AVAILABLE ONLY FOR PUBLIC PROJECTS, THE
PARTICIPANT (SPONSORING STATE OR LOCAL GOVERNMENT AGENCY) MUST
AGREE TO PERMANENTLY DEDICATE PROJECTS TO PUBLIC OUTDOOR RECREATION
USE, AND ASSUME RESPONSIBILITY FOR CONTINUING OPERATION AND
MAINTENANCE,
THE GRANTS MADE IN THE REGION ARE AS FOLLOWS:
SOLID WASTE DISPOSAL REPRESENTS AN IMPORTANT AREA OF LAND
#13
MANAGEMENT WHICH IS BECOMING MORE CRITICAL TO STATES AND LOCAL
GOVERNMENTS, UNDER THE SOLID WASTE DISPOSAL ACT PL39-272 EPA
PROVIDES LIMITED TECHNICAL AND FINANCIAL ASSISTANCE TO STATES
IN THE PLANNING AND DEVELOPMENT OF SOLID WASTE MANAGEMENT PROGRAMS
INCLUDING RESOURCE RECOVERY AND MANAGEMENT OF HAZARDOUS WASTES,
SOME DEMONSTRATION GRANTS HAVE BEEN MADE AVAILABLE TO COUNTY
AGENCIES, THE RECENT FUNDING HAS BEEN AS FOLLOWS:
WATER RESOURCES
THERE ARE MAJOR WATER QUALITY/WATER RESOURCES PROTECTION
PROGRAMS UNDER WHICH FEDERAL PLANNING ASSISTANCE IS AVAILABLE,
THESE INCLUDE:
59
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LET US FIRST EXAMINE ALL SOURCES OF PLANNING ASSISTANCE UNDER
THE WATER POLLUTION CONTROL ACT,
RESEARCH GRANTS
UNDER SECTION 104 s THE EPA ADMINISTRATOR is AUTHORIZED TO MAKE
GRANTS EACH OF UP TO $1 MILLION PER YEAR INSTITUTIONS OF HIGHER
EDUCATION (RlVER STUDY CENTERS) FOR THE PURPOSE OF CONDUCTING AND
REPORTING ON INTERDESCIPLINARY STUDIES ON THE NATURE OF RIVER SYSTEMS
INCLUDING HYDROLOGY, BIOLOGY, ECOLOGY ECONOMICS, THE RELATIONSHIP
BETWEEN RIVER USES AND LAND USES AND THE EFFECTS OF DEVELOPMENT
ON THE VALUE OF WATER RESOURCES AND WATER RELATED ACTIVITIES, No
COMPILATION ON PAST SPENDING UNDER THIS SECTION WAS AVAILABLE,
PROGRAM GRANTS
#15
UNDER SECTION 106 THE ADMINISTRATE is AUTHORIZED TO PROVIDE
3RANTS TO STATES AND INTERSTATE AGENCIES TO ASSIST THEM IN
ADMINISTERING PROGRAMS FOR THE PREVENTION, REDUCTION AND
ELIMINATION OF POLLUTION,
AUTHORIZATIONS WERE $60 MILLION FOR FY 73 AND $75 MILLION FOR
FY 74,
THE NATIONAL APPROPRIATION AND LOCAL ALLOCATIONS WERE AS
FOLLOWS:
FACILITIES PLANNING
UNDER SECTION 201 THE FEDERAL GOVERNMENT PROVIDES 75% FUNDING
TO LOCAL PLANNING AGENCIES TO CONDUCT SYSTEMATIC ECONOMIC AND
ENVIRONMENTAL EVALUATION OF FEASIBLE ALTERNATIVES FOR WASTEWATER
J°
TREATMENT FACILITIES AND/OBTAIN PUBLIC ENVOLVEMENT IN THE CHOICE
60
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AMONG ALTERNATIVES FOR PUBLICALLY OWNED TREATMENT WORKS, TV.
POTENTIAL SERVICE AREA ORDINARILLY INCLUDES A CORE CITY, CONTIGUOUS
DEVELOPED AREAS AND AREAS SUBJECT TO DEVELOiMENT DURING THE PLANNING
PERIOD, THIS PLANNING ACTIVITY GENERALLY LEADS TO PREPARATION
OF CONSTRUCTION DRAWINGS AND SPECIFICATIONS FOR TREATMENT WORKS
AND THE SUBSEQUENT BUILDING AND ERECTION OF THE WORKS, THE
ENTIRE PROGRAM HAS A FUNDING AUTHORIZATION OF $18 BlLLION OVER
THE PAST 5 YEARS,
IT IS STRONGLY ENCOURAGED THAT THE MANAGEMENT PLANS AND PRACTICES
PROVIDE FOR THE RECYCLING OF WATER AND THE INCLUSION OF OPEN
SPACE AND RECREATIONAL CONSIDERATIONS,
M,
iiUCH OF THE FINDINGS FROM THE STUDIES ARE VERY USEFUL IN 5'EC, 20f' PLANNING,
FACILITIES NY NJ
1975 0 3,8
1976 1,8 6,0
AREAWIDE WASTE TREATMENT MANAGEMENT PLANNING
THE PURPOSE OF THE 208 PROGRAM is TO IDENTIFY AREAS WHICH AS A
±16
RESULT OF URBAN INDUSTRIAL CONCENTRATIONS OR OTHER FACTORS HAVE
SUBSTANTIAL WATER QUALITY CONTROL PROBLEMS WHICH REQUIRE AN
AREAWIDE APPROACH IN PLANNING AND IMPLEMENTING CORRECTIVE ACTION,
AND TO PREPARE PLANS FOR SUCH AREAS,
THE PLANS PREPARED UNDER THIS PROCESS MUST PROVIDE FOR:
THE 208 PLANS MUST BE COMPLETED AFTER 24 MONTHS AND COVER A #17
PLANNING PERIOD OF 20 YEARS WITH A TARGET YEAR OF 2000, #19
THE FUNDING FOR THE s208,
SIMILAR PLANS ARE DEVELOPED BY THE STATE UNDER s303 e OF THE ACT
FOR ALL WATER BASINS THROUGHOUT THE STATE IN A CONTINUOUS
PLANNING PROCESS FUNDED UNDER SECTION 106 OF THIS ACT,
61
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R&STN PUNNING - LFVFI R
UNDER s 209 FUNDING is PROVIDED TO THE WATER RESOURCES COUNCIL TO PREPARE
A LEVEL B PLAN, LEVEL B PLANS MAY BE CONSIDERED AN EXTENSION OF SECTION
303 £ PLANNING WITH MORE DETAILED ANALYSIS,
UNDER THE WATER RESOURCES PLANNING ACT OF 1962 LEVEL B PLANS MUST BE
PREPARED FOR ALL BASINS IN THE UNITED STATES BY 1980, A SUM OF $200
MILLION IS AUTHORIZED FOR THIS PURPOSE,
LEVEL B STUDIES HAVE BEEN PROPOSED FOR LAKE CHAMPLAIN, THE
ALLEGHENY RIVER BASIN, HUDSON RIVER ($1 MILLION FOR FY 76/77)
N.J, COASTAL AREA ($1 MILLION FY77/78), DELAWARE RIVER ($1,532,000
FOR FY 77/73)
COASTAL ZONE MANAGEMENT
THE BASIS PURPOSE OF THE PROGRAM IS TO ASSIST THE STATE TO
EXERCISE THEIR FULL AUTHORITY FOR DEALING WITH LAND AND WATER
USE DECISIONS OF MORE THAN LOCAL SIGNIFICANCE IN THEIR DEFINED
COASTAL ZONES, THE STATES,IN COOPERATION WITH FEDERAL, INTERSTATE,
AREAWIDE AND LOCAL GOVERNMENTS, ARE TO DEVELOP MANAGEMENT PLANS AND
PROGRAMS AND IMPLEMENT THESE TO ACHIEVE WISE USE OF LAND AND
WATER RESOURCES OF THE COASTAL ZONE GIVING FULL CONSIDERATION TO
ECOLOGICAL, CULTURAL, HISTORIC AND ESTHETIC VALUES AS WELL AS THE
NEEDS FOR ECONOMIC DEVELOPMENT, THE ACT SETS FORTH MINIMUM AREAS
TO BE INCLUDED IN THE COASTAL ZONE, THESE INCLUDE ALL COASTAL
WATERS SEAWARD OF THE SHORELINE, INCLUDING BAYS, SHALLOWS,
HARBORS, AND ESTUARY TYPE AREAS OF GREAT LAKES SHORELINES,
TRANSITIONAL AND INTERTIDAL AREAS, SALT MARSHES, WETLANDS AND
BEACHES, THERE ARE SPECIFIC STATUATORY REQUIREMENTS FOR
COORDINATION WITH AIR AND WATER PROGRAMS,
62
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THE STATUTE ALLOWS FOR A MAXIMUM OF 3 YEARS FOR PROGRAM
DEVELOPMENT, FEDERAL SUPPORT OF THE PROGRAM'S IMPLEMENTATION
IS AUTHORIZED FOR 3 YEARS, THE FIRST STATE GRANT AWARD FOR
DEVELOPMENT WAS MADE IN MARCH 1974, THE FIRST IMPLEMENTATION
GRANT WAS MADE EARLIER THIS YEAR,
THE GOVERNOR OF A STATE is RESPONSIBLE FOR DESIGNATING AREAS
FOR INCLUSION AND IDENTIFIES THE TYPES OF AGENCIES TO BE FUNDED,
STATE MUST BE INVOLVED IN IMPLEMENTATION OF THE PLAN, IMPLEMENTATION
AUTHORITY AND RESPONSIBILITY MUST BE SHARED WITH LOCAL GOVERNMENTS,
REGIONS OR INTERSTATE BODIES,
DESIGNATED AGENCIES INCLUDE STATE PLANNING, NATURAL RESOURCE
OR ENVIRONMENTAL PROTECTION AGENCIES,
THE OUTPUT OF THESE PLANS ARE TO BE (1) A MANAGEMENT
PROGRAM INCLUDING POLICIES, METHODS, AUTHORITIES AND WORKING
ARRANGEMENTS PERTAINING TO COASTAL ZONE PERMISSIBLE USES,
IDENTIFICATION OF AREAS OF CONCERN, LAND AND WATER-USE PRIORITIES;
ASSESSMENT OF THE POTENTIAL IMPACTS OF THE DEVELOPMENT OF OFFSHORE
RESOURCES ON THE NATIONAL INTEREST/ (2) A MANAGEMENT PROGRAM
FOR THEIR IMPLEMENTATION, FUNDING IS BY A MATCHING FORMULA 2/3
FEDERAL 1/3 STATE. CRITERIA FOR FUNDING INCLUDE MAGNITUDE OF
SHORELINE, POPULATION AND MANAGEMENT NEED,
COMPREHENSIVE WATER AND RELATED LAND RESOURCES PLANNING OF 1965.
UNDER THE WATER RESOURCES PLANNING ACT PL89 - 80 US,WATER #21
RESOURCES COUNCIL UNDERTOOK A PROGRAM TO ENCOURAGE 1) STATE
PARTICIPATION IN COMPREHENSIVE WATER AND RELATEL- PLANNING 2)
STATE PREPARATION OF PLANS FOR DEVELOPMENT AND USE OF WATER AND
63
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RELATED LAND RESOURCES 3) TRAINING OF PERSONNEL FOR ADDITIONAL
TECHNICAL PLANNING CAPABILITY,
APPLICANTS MUST BE STATE AGENCIES DESIGNATED BY THE
GOVERNOR, AGENCIES ADMINISTERING ENVIRONMENTAL OR WATER PROGRAMS OR A STATE
PLANNING AGENCY HAVE GENERALLY BEEN NOMINATED, THE LAI'/ REQUIRED A
10 YEAR PROGRAM BEGINNING IN FY 1967 WITH ANNUAL REPORTING OF
PROGRESS, THESE ANNUAL REPORTS ARE REQUIRED TO DEMONSTRATE (1)
THE DEGREE TO WHICH COMPREHENSIVE PLANNING WITH RESPECT TO WATER
RESOURCES ARE DESIGNED TO MEET NEEDS FOR WAiER AND WATER RELATED
ACTIVITIES (2) EXTENT OF COORDINATION WITH OTHER STATEWIDE
PLANNING PROGRAMS, 50 STATE PR AND THE VI HAVE PARTICIPATED
IN THE PROGRAM,
#21
THE FUNDING PROVIDED UNDER THE ACT is AS FOLLOWS:
THERE is NO PROVISION FOR CONTINUED FINANCIAL ASSISTANCE TO
THE STATES IN THE PRESIDENTS BUDGET FOR FY 77,
m
CQE URBAN STUDIES
IN 1970 COE AUTHORIZED TO CONDUCT A SERIES OF PILOT WASTEWATER
MANAGEMENT STUDIES IN SEVERAL MAJOR METROPOLITAN AREAS WITH PARTICULAR
ATTEMTION TO NAVIGATION FLOOD CONTROL, WATER SUPPLY, WATER QUALITY
MANAGEMENT AND IMPROVEMENT, PROTECTION OF FISH AND WILDLIFE
RECREATION,
64
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IN 1972 THE WATER ACT AUTHORIZED THE CORPS TO PROVIDE THE SAME
KIND OF ENGINEERING ASSISTANCE TO STATES AND REGIONAL URBAN
BODIES UPON REQUEST,
THE MAJOR OBJECTIVE OF THE URBAN STUDIES PROGRAM IS TO USE COE
WORKING IN PARTNERSHIP WITH LOCAL AND STATE GOVERNMENTS TO DEVELOP
REALISTIC PLANS WHICH CAN HELP SOLVE WATER AND LAND RELATED
PROBLEMS IN A GIVEN URBAN REGION FOR OVER THE NEXT 50 YEARS,
THE URBAN STUDIES PROGRAM is DESIGNED TO DOVETAIL WITH SUCH
OTHER FEDERAL PROGRAMS AS HOUSING, MODEL CITIES, INTERGRATED
TRANSPORTATION, HEALTH AND SEVERAL SOURCES, LAND USE PLANNINr
AND ZONING, URBAN RECREATION AND SOLID WASTE MANAGEMENT,
URBAN STUDIES MUST FIRST BE REQUESTED BY STATES AND LOCAL
GOVERNMENTS WHO MUST ASK THEIR CONGRESSIONAL REPRESENTATIVES TO
AUTHORIZE THE COE TO DO THE STUDY, A CONGRESSIONAL RESOLUTION
MUST BE ADOPTED BY THE SENATE OR HOUSE PUBLIC WORK- COMMITTEE,
URBAN STUDIES SHOULD BE COMPLETED IN 3 YEARS,
URBAN STUDIES FINANCED COMPLETELY WITH FED FUNDS EXCEPT FOR THE
WASTE WATER PORTION WHICH MUST HAVE 25% LOCAL SHARES (MATCH
FACILITIES IMPACT WASTEWATER PORTION OF URBAN STUDIES CAN
SUBSTITUTE FOR FACILITIES STUDY,
DOZENS OF STUDIES PER YEAR,
$7 MILLION WERE SPENT ON THESE IN FY 74 AND $10 MILLION IN FY 75,
65
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FLOOD CQNTRQI,
THE FEDERAL GOVERNMENT HAS INVESTED $9 BILLION IN FLOOD
CONTROL PROJECTS SINCE 1936,
FLOODS WILL CONTINUE TO CAUSE DAMAGE AS LONG AS WE BUILD ON
FLXD PRONE LAND, WlTH DEVELOPMENT COME INCREASES IN IMPERVIOUS
SURFACE AND INCREASES IN RUN OFF WATER, THIS MEANS MORE WATER
MUST BE TEMPORARILY STORED THEREBY INCREASING THE PRESSURES
FOR EXPENSIVE MANMADE DAMS,
UNTIL A FEW YEARS AGO INSURANCE AGAINST FLOOD CAUSED LOSSES
WAS VIRTUALLY NONEXISTENT, NON HOMEOWNER FLOOD INSURANCE IS
AVAILABLE IN FLOOD PRONE AREAS UNDER THE FEDERALLY SUBSIDIZED
NATURAL FLOOD INSURANCE PROGRAM, UNDER FLOOD DISASTER PROTECTION
ACT OF 1973 (PL 92-234), A COOPERATIVE EFFORT OF THE
FEDERAL GOVERNMENT AND THE PRIVATE INSURANCE INDUSTRY THE PROGRAM
IS OPERATED BY THE FEDERAL INSURANCE ADMINISTRATOR OF THE U,S,
DEPT, OF HUD, IN RETURN FOR MAKING LOW COST INSURANCE AVAILABLE
FOR EXISTING PROPERTY ON THE FLOOD PLAIN, THE PROGRAM REQUIRES
THAT PARTICIPATING COMMUNITIES ADOPT AND ENFORCE LAND USE AND
OTHER CONTROLS MEASURES THAT WILL GIVE NEW DEVELOPMENT. SOME
2500 OUT OF 5,000 COMMUNITIES EACH WITH POPULATION OVER 2,500
IN FLOOD PRONE AREAS PARTICIPATE IN THE PROGRAM.
THE FLOOD DISASTER PROTECTION ACT OF 1973 (HUD) REQUIRES
THE PURCHASE OF FLOOD INSURANCE ON AND AFTER MARCH 2, 1972 AS
A CONDITION FOR RECEIVING ANY FORM OF FEDERAL FINANCIAL ASSISTANCE
FOR ACQUISITION OR CONSTRUCTION PURPOSES IN AN IDENTIFIED FLOOD
PLAIN AREA HAVING SPECIAL FLOOD HAZARDS THAT IS LOCATED IN A
COMMUNITY PARTICIPATING IN THE NATIONAL FLOOD INSURANCE PROGRAM
66
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AND THE NATIONAL FLOOD INSTANCE ACT OF 1968,
MO CONTRACT FOR FLOOD INSURANCE MAY BE ENTERED INTO AFTER
JUNE 30, 1977,
HUD IS REQUIRED TO (1) IDENTIFY AND PUBLISH INFORMATION ON ALL FLOOD
PLAIN AREAS (2) ESTABLISH FLOOD RISK ZONES IN ALL SUCH AREAS (3) CARRY
OUT STUDIES AND INVESTIGATIONS WITH RESPECT TO THE ADEQUACY OF STATE AND
LOCAL MEASURES IN FLOOD PRONE AREAS AS TO LAND MANAGEMENT AT© USE, SUCH
STUDIES SHALL INCLUDE ZONING., BUILDING CODES, BUILDING PERMITS, AND SUB-
DIVISION AND OTHER RESTRICTIONS, ON THE BASIS OF SUCH A STUDY HUD IS
REQUIRED TO DEVELOP COMPREHENSIVE CRITERIA FOR THE ADOPTIONS OF STATE
AND LOCAL MEASURES WHICH WILL CONSTRICT THE DEVELOPMENT OF LAND, IMPROVE
LONG RANGE LAND MANAGEMENT, ETC,
HUD's 701 COMPREHENSIVE PLANNING ASSISTANCE PROGRAM
• UNDER THE HOUSING ACT OF 1954 AND THE HOUSING AMD CQ"HJNITY ACT
OF 1971 IS CLEARLY THE PROGRAM PROVIDING THE MOST DIRECT FORM OF
FEDERAL PLANNING ASSISTANCE IN LAND USE PLANNING,
THE PROBLEMS ADDRESSED ARE #23
THE ELIGIBLE PARTIES ARE m
THE ACTIVITIES SUPPORTED ARE #25
THE OUTPUT OF THE PLANNING PROCESS ARE #26 -
THE FY 75 FUNDING
67
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OBVIOUSLY THERE ARE A NUMBER OF FEDERAL ASSISTANCE PROGRAMS WHICH
IMPACT A LAND USE PLANNING WHICH HAVE NOT BEEN DISCUSSED, THESE INCLUDE
SUCH MAJOR ACTIVITIES AS THE FEDERAL AID HIGHWAY PROGRAM AND LESS KNOWN
PROGRAMS AS AlRPORT PLANNING GRANTS, URBAN MASS TRANSIT STUDIES, HISTORIC
PRESERVATION GRANTS, NOISE CONTROL PROGRAMS, ETC,
IN RECENT MONTHS WE HAVE SEEN GREATER AND GREATER EMPHASIS
PLACED ON THE NEED TO COORDINATE THE LAND USE ASPECTS OF ALL
THESE FEDERAL ASSISTANCE PROGRAMS TO ASSURE MAXIMUM RETURN FOR
THE PUBLIC INVESTMENT,
THE MOST RECENT PROGRAM GUIDELINES WRITTEN BY FEIT.RAL
AGENCIES AGENCIES AS EXAMPLIFIED BY THE HUD GUIDELINES FOR THE
COMMUNITY DEVELOPMENT ACT OF 1974 REQUIRE UNITS OF GENERAL,
LOCAL GOVERNMENTS AND AREAWIDE PLANNING ORGANIZATIONS TO INTEGRATE
ALL EXISTING LAND USE POLICIES AND FUNCTIONAL PLANNING ACTIVITIES
IMPACTING LAND USE, THE UNIFIED LAND USE POLICIES AND PLANS OF
A STATE, UNITS OF GENERAL LOCAL GOVERNMENT AND AREAWIDE PLANNING
ORGANIZATION ARE NOW REQUIRED TO BE SUCH THAT THEY SERVE AS A
GUIDE FOR FEDERAL, STATE AND LOCAL GOVERNMENTAL DECISION MAKING
ON ALL MATTERS RELATED TO THE USE OF LAND INCLUDING, FOR EXAMPLE,
AIR AND WATER QUALITY CONCERNS, WASTE DISPOSAL, TRANSPORTATION,
PROTECTION OF COASTAL AREAS, OPEN SPACE, AGRICULTURAL FOOD AND
FIBER PRODUCTION, ENVIRONMENTAL CONSERVATION, LAND DEVELOPMENT AND
HOUSING, A FURTHER OBJECTIVE IS TO FACILITATE COORDINATED LAND
USE POLICIES AMONG THE VARIOUS LEVELS OF GOVERNMENT, RECIPIENTS
OF HUD GRANTS NOW HAVE LATITUDE TO DEVELOP THE LAND USE ELEMENT
IN A FORM WHICH WILL ALLOW THEM TO MEET THE REQUIREMENTS OF
OTHER FEDERAL PROGRAMS REQUIRING COMPARABLE LAND USE ELEMENTS
68
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OR COMPONENTS THEREOF, HUD FURTHER INTENT TO PERMIT
RECIPIENT JURISDICTIONS TO ADDRESS OTHER SIGNIFICANT LAND USE
PROBLEM--, WHICH IT DETERMINES TO BE OF PRIORITY CONCERN BASED
ON A CONSIDERATION OF THOSE/SfffSf^RE OF PRINCIPAL RELEVANCE
TO THF AREA AFFECTED, IN SELECTING ITS PRIORITIES FOR ACTION,
EACH RECIPIENT HAS BEEN ASKED TO CONSIDER:
(1) EXISTING USES OF LAND AND LAND RESOURCES;
(2) PROJECTIONS OF LAND USE NEEDS AND LAND RESOURCE
DEVELOPMENT INCLUDING ENERGY FACILITIES SITING NEEDS;
(3) HOUSING NEEDS, INCLUDING HOUSING ASSISTANCE, AND THE
RELATIONSHIP OF HOUSING TO EMPLOYMENT OPPORTUNITIES;
(4) IDENTIFICATION OF PUBLIC FACILITIES, UTILITIES, OPEN
SPACE AND RECREATION NEEDS, TRANSPORTATION NEEDS AND
OTHER SERVICES REQUIRED TO SUPPORT PROJECTED USES OF
LAND;
(5) THE IMPACT OF THE RECIPIENTS PROPOSED POLICIES
(INCLUDING TAX POLICIES) ON AIR AND WATER QUALITY,
COASTAL ZONE MANAGEMENT, WASTE DISPOSAL, AREAS OF
CRITICAL CONCERN, NATURAL RESOURCES INCLUDING
PRODUCTIVE SOILS (ESPECIALLY FOR AGRICULTURAL
PRODUCTION), AVAILABILITY OF AND NEED FOR CONSERVING
NATURAL RESOURCES AND ENERGY, AND DISASTER MITIGATION
ACTIVITIES;
(6) DISTRIBUTION OF GROWTH INCLUDING POSSIBLE LOCATIONS
FOR NEW COMMUNITIES, LARGE SCALE PROJECTS AND KEY
FACILITIES;
69
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(7) THE CONSERVATION OF ENERGY THROUGH LAND USE STRATEGIES
DESIGNED TO REDUCE ENERGY CONSUMPTION AND THE DEVELOPMENT
Of POLICIES DESIGNED TO FACILITATE THE RECOVERY OF
ENERGY RESOURCES IN A MANNER COMPATIBLE WITH ENVIRON-
MENTAL PROTECTION AND FUTURE REUSE OF LANDSj AND
(3) THE EFFECT OF MAJOR FEDERAL ACTIVITIES ON STATE,
AREAWIDE AND/OR LOCAL PLANNING AND DEVELOPMENT,
TO ASSURE THAT THE REQUIRED CONSISTENCY IS OBTAINED BETWEEN
PROGRAMS FEDERAL AGENCIES AND MORE THAN EVER ENTERING INTO INTER-
AGENCY AGREEMENTS, EPA FOR EXAMPLE HAS ALREADY ENTERED IN 6
INTERAGENCY AGREEMENTS WITH RESPECT TO THE 208 PROGRAM ONE
EACH WITH »27
NO DOUBT THIS DECISION TO COORDINATE F JERAL ASSISTANCE
WILL PROVIDE THE OPPORTUNITY F0;< ACHIEVING GREATER PROTECTION AND
CONSERVATION OF OUR ENVIRONMENTAL RESOURCES THROUGH COMPREHENSIVE
LAND USE PLANNING
70
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ACTIVITIES CONTROLLING GRDVfTH AND DEVELOPfENT
LOCATION AND TIMING OF PUBLIC IMPROVEMENTS SUCH AS
ROADS, SEWERS, SEWER TREATMENT PLANTS AND WATER LIMES,
MASS TRANSPORTATION SYSTEMS,
LENDING POLICIES AND THE RESTRICTIONS WHICH MAY BE
IMPOSED BY PRIVATE LENDING AGENCIES AND THE GOVERNMENT
AGENCIES THAT SUPERVISE THEM OR INSURE THEIR LOANS,
GOVERNMENT SUBSIDIES. LOANS, AND OT ;ER PROGRAMS FOR
RENEWAL, DEVELOPMENT, AND REDEVELOPMENT
PUBLIC LAND USE CONTROLS - ZONING, SUBDIVISION REGULATIONS,
BUILDING CODES, HEALTH REGULATIONS
TAX POLICIES THAT WOULD ENCOURAGE THE INCLUSION OF ENVIRON-
MENTAL OBJECTIVES INTO THE PRIVATE DECISION-MAKING PROCESS
71
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#2
FEDERAL STATUTES ASSOCIATED WITH LAND USE PLANNING
1, THE HOUSING ACT OF 1954 AND THE HOUSING AND COMMUNITY
DEVELOPMENT ACT OF 1974 (PL93- )
2, THE CLEAN AIR ACT OF 1970
3, THE WATER POLLUTION CONTROL AMENDMENTS OF 1972 (PL92-500)
4, THE COASTAL ZONE MANAGEMENT ACT OF 1972 (PL92-583)
5, THE WATER RESOURCES PLANNING ACT OF 1963 PL39-80)
6, THE RURAL DEVELOPMENT ACT OF 1972 (PL92-419(
7, LAND S WATER CONSERVATION FUND ACT OF 1965. (PL33-573)
8, URBAN MASS TRANSPORTATION ACT OF 1954 (PL33-355)
9, FEDERAL AND HIGH'/fAY ACT OF 1973 (PL93-37)
10, NATIONAL FLOOD INSURANCE ACT OF 1968 (PL90-^8)
72
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PRIMARY FEDERAL AGENCIES ADMINISTERING LAND
USE PLANNING ASSISTANCE PROGRAMS
1, DEPARTMENT OF AGRICULTURE
2, DEPARTMENT OF INTERIOR
3, DEPARTMENT OF COMMERCE
4, DEPARTMENT OF DEFENSE (CORPS OF ENGINEERS)
5, DEPARTMENT OF TRANSPORTATION
6, DEPARTMENT OF HOUSING & URBAN DEVELOPMENT
7, WATER RESOURCES COUNCIL
3, ENVIRONMENTAL PROTECTION AGENCY
73
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AIR QUALITY PLANNING PROGRAMS
1, ACHIEVEMENT OF NATIONAL AMBIEMT AIR QUALITY STANDARDS
2, MAINTENANCE OF NATIONAL AMBIENT AIR QUALITY STANDARDS
3, REVIEW (PRIOR TO CONSTRUCTION OR MODIFICATION) OF THE
LOCATION OF NEW SOURCES
, TRANSPORTATION CONTROLS PLANS
PREVENTION OF SIGNIFICANT DETERIORATION
74
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CONTENTS OF STATE IMPLEMENTATION PLANS
1, EMISSION REDUCTIONS FROM EXISTING SOURCES TO ACHIEVE
AMBIENT STANDARDS,
2, ADDITIONAL EMISSION REDUCTIONS FROM EXISTING SOURCES TO OFF-
SET EMISSION INCREASES EXPECTED FROM PROJECTED GROWTH OF
POPULATION, INDUSTRIAL ACTIVITY MOTOR VEHICLE TRAFFIC, ETC,,
INCLUDING LAND USE AND TRANSPORTATION CONTROL,
3, SCHEDULES AND TIMETABLES FOR COMPLIANCE WITH EMISSION
LIMITATIONS,
1, A PROCEDURE TO REVIEW PRIOR TO CONSTRUCTION THE LOCATION OF
NEW SOURCES, TO SITE THEM STRATEGICALLY OR TO PREVENT THEIR
CONSTRUCTION LEST THEY VIOLATE AMBIENT AIR QUALITY STANDARDS,
75
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#6
DETERMINE NEED FOR PLAN BY APRIL 1, 1976
SUBMIT PLAN BY JULY L 1977 IF A COMBINED A™INMENT/KAINTBIANCE
PLAN BASED ON RACT
SUBMIT PLAN BY JULY 1, 1978 WITH ADDITIONAL CONTROLS BEYOND RACT
COVER PERIODS OF AT LEAST 10 YEARS BUT LONGEST BY ANY OTHER FEDERAL PLAN
SUBCOUNTY EMISSIONS ALLOCATION ON BASIS OF EPA TECHNIQUES DOCUMENT
PROVIDE FOR MAINTENANCE OF AT LEAST 3 YEARS BUT PREFERABLY 10-20 YEARS
REVISE 10 YEAR PLANS EVERY 5 YEARS INCLUDING WHEN LAND USE PLANS
ARE MODIFIED
LEGAL AUTHORITY - MAY INCLUDE MEASURES ENFORCEABLE BY LOCAL GOVERN-
MENTS ONLY-ZONING., BUILDING CODE, ETC,
MUST IDENTIFY AGENCY DESIGNATED BY GOVERNOR AS HAVING PRIMARY
RESPONSIBILITY FOR PLAN IMPLEMENTATION
MUST IDENTIFY OTHER AGENCIES WITH RESPONSIBILITIES
MlST CONTAIN A PROCEDURE FOR ACQUISITION AND ANNUAL UPDATING OF
INFORMATION ABOUT NEW AND MODIFIED LAND DEVELOPMENT
MUST CONTAIN DESCRIPTION OF RELATIONSHIPS BETWEEN AIR QUALITY
MANAGEMENT AND STATE, REGIONAL AND LOCAL PROGRAMS FOR LAfO
USE MANAGEMENT, TRANSPORTATION AND PARKING MANAGEMENT,
WATER QUALITY, SOLID WASTE MANAGEMENT, ETC,
MUST CONTAIN DESCRIPTION OF EXISTING MB PROPOSED RELATIONSHIPS
FOR COORDINATING DEVELOPMENT AND IMPLEMENTATION OF THE AOflP
WITH THE DEVELOPMENTS AND IMPLEMENTATION OF COMPARABLE PLANS
IN ADJACENT AQW\
76
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AIR QUALITY PAINTENANCE PLANNING
EXISTING
LAND USE
POPULATION
EMPLOYMENT
EMISSIONS
AIR QUALITY
AIR QUALITY STANDARDS
v
GROWTH ASSUMPTIONS
FUTURE POPULATION
EMPLOYMENT PROJECTIONS
>
s
FUTURE
LAND USE
ALTERNATIVES
STANDARDS
NOT EXCEEDED
PREVENT
SIGNIFICANT
DETERIORATION
ALTERATIVE A
AIR QUALITY
PbDEL
FUTURE
AIR QUALITY
4-
STANDARDS
EXCEEDED
EMISSION
DENSF. :
LIMITATION
EXISTING TECHNOLOGY
+
ALTERNATIVE B
HEW TECHNOLOGY
ALTERNATIVE A OR C
77
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NEW SOURCE REVIEW IM flora ATTAINMENT AREAS
A, POLICY - ALLOW REASONABLE GROWTH YET NOT mmi SACRIFICE
THE PRIMARY STANDARDS
B, PROCEDURES -
1, SELECTIVE SITING OF SOURCES
2, APPLICATION OF RACT TO ALL NEW SOURCES
3, USE OF TALL STACKS IN CONJUNCTION WITH RACT
4, USE OF EMISSION TRADE-OFF TO HOLD EMISSIONS CONSTANT
5, ACCOMMODATION OF GROWTH WITHIN A REVISED STATE IMP
PLAN,
78
-------
a
II
PREVEMTICM OF SIGNIFICANT DETERIORATION
ALLOWABLE iMCRErcrnrAL CONCENTRATIONS
(UG/S
CLASS I CLASS II
PbLLurAfrrd)
PARTICULATES
(ANNUAL MEAN)
(2l\ HR MAX,)
SULFUR OXIDES
(ANNAUL MEAN)
(24 HR MAX,)
(3 HR MAX.)
EPA
5
10
2
5
25
SENATE(2)
5
10
2
5
FPA
10
30
15
100
700
SENATE
10
30
15
100
~
(1) HC, nO)< TO BE RECOMMENDED BY EPA WITHIN ONE YEAR,
(2) SBJATE PUBLIC H.JSE SUBCOMMITTEE ON
79
-------
#10
ELEMENTS OF TRANSPORTATION OlNTRni PI ANS
1. HARDWARE STRATEGIES COMPRISING OF
(A) REDUCED EMISSIONS FROM NEWER VEHICLES (FMVCP)
(B) USE OF RETROFIT DEVICES ON IN-USE AUTOMOBILES,
(C) INSPECTION/MAINTENANCE
2, TRANSPORTATION MANAGEMENT INCLUDING
(A) IMPROVEMENTS IN TRAFFIC FLOW-REDUCTION IN CONGESTION,
IMPROVEMENT IN VEHICLE SPEED, SIGNALIZATION
(B) REDUCTION IN VEHICLE USE-REDUCTION IN VEHICLE MILES
TRAVELLED, IN NUMBER OF TRIPS, TRIP LENGTn,
(C) MANAGEMENT OF PARKING SUPPLY,
(D) USE INCENTIVES/DISINCENTIVES (GRADUATED TOLLS)
CHANGES IN MODAL SPLIT, CARPOOLS
80
-------
AIR POLLUTION CONTROL GRANTS
FISCAL
YEAR
NATIONAL
NYS DEC
NYS LOCAL
AGENCIES
NJ DEP
NJ LOCAL
AGENCIES
1974 51,513,000 3,377,516 +2,006,935 1,913,316 +341,299
1975 51,518,000 2,300,000 +1,766,900 1,906,261 +375,200
1976 5^,250,000^ 2,800,000 +1,733,900 1,906,261 +350,345
\+J."r, j4j, UUy
TRANSITION QUARTER
81
-------
LAND AND V'ATER CONSERVATION FUND GRAWS - BOR
($ MILLION)
NATIONAL NEW YORK NEW JERSEY
FY75 180 11,3 5,4
FY76 180 11,0 5,2
FY77 180 11,0 5,2
MATCHING FORMULA: FEDERAL 50% - STATE
BASIS FOR FEDERAL SHARE: 40% EQUALLY AMONG 50 STATES.
1% BASED ON NEED
82
-------
#13
SOLID WASTE MANAGEMENT PLANNING GRANTS SECTION 207
FY 74
FY 75
FY 76
NATIONAL
$ MILLION
3,0
3,0
3,0
N,Y,
20,000
50,000
75,000
N,J,
75,000
70,000
75,000
FY 66-75 15,0 1,247,369 622,654
FUNDS FOR STATE AGENCY PLANNING AND IMPLEMENTATION
83
-------
WATER QUALITY/WATER RESOURCES PROTECTION PROGRAMS
1. EPA's FACILITIES PLANNING PROGRAM (s201) - FEDERAL
WATER POLLUTION CONTROL ACT (PL92-500).
2, EPA's AREAWIDE WASTE TREATMENT MANAGEMENT (s208) -
FEDERAL WATER POLLUTION CONTROL ACT.
3. NOAA's COASTAL ZONE MANAGEMENT PROGRAM - COASTAL ZONE
MANAGEMENT ACT OF 1972 (PL92-533),
4. WATER RE°PURGES COUNCIL'S COMPREHENSIVE WATER AND
RELATED LAND RESOURCES PLANNING UNDER TlTLE 111 OF THE
WATER RESOURCES PLANNING ACT (PL89-80),
5, USDA's WATER AND WASTE DISPOSAL DEVELOPMENT GRANTS
UNDER S305 OF THE RURAL DEVELOPMENT ACT OF 1972.
6. CORPS OF ENGINEERS' URBAN STUDIES PROGRAM UNDER VARIOUS
CONGRESSIONAL RESOLUTIONS,
7. HUD's NATIONAL FLOOD INSURANCE PROGRAM UNDER THE
FLOOD DISASTER PROTECTION ACT OF 1973 (PL92-234).
84
-------
WATER POLLUTION CONTROL PR3GRAM GRANTS - §106
($ MILLION)
FISCAL YEAR
1974
1975
1976
NATIONAL
40,0
48,5
50,0
NEW YORK
2,343
2,849
2,815
NEW JERSEY
1,204
1,393
1,145
FISCAL YEAR
1974
1975
1976
CONSTRUCTION GF,
NEW YORK
331,7
490,7
L046.1
;s - §201
o
[JEW JERSEY
231,1
254,7 :
660,8 i
NATIONAL
2,996
L938
2,350
85
-------
SECTION 208 - AREAWIDE WASTE TREAWNI PWIAGB^fT
A, IDENTIFICATION OF TREATMENT WORKS
B, ESTABLISHMENT OF CONSTRUCTION PRIORITIES
C, ESTABLISHMENT OF A REGULATORY PROGRAM TO REGULATE THE LOCATION,
MODIFICATION, AND CONSTRUCTION OF AW FACILITIES
D, IDENTIFICATION OF THOSE AGENCIES TO CARRY our THE PLAN
E, IDENTIFICATION OF THE NECESSARY MEASURES (INCLUDING
FINANCING) AND THE ECONOMIC, SOCIAL, AND ENVIRONMENT
IMPACT
F, A PROCESS TO IDENTIFY NONPOINT SOURCES OF POLLUTION, AND
PROCEDURES AMD METHODS (INCLUDING LAND USE REQUIREMENTS)
FOR CONTROL
G, A PROCESS TO IDENTIFY CONSTRUCTION ACTIVITY AND PROCEDURES
AND METHODS (INCLUDING LAND USE REQUIREMENTS) FOR CONTROL
H, A PROCESS TO CONTROL THE DISPOSITION OF ALL RESIDUAL WASTE
86
-------
208 AREAWIDE WASTE TREATMENT MANAGEMENT
FISCAL
YEAR
1973
1974
1975
1976
1977
AUTH, & APPROP,
i MILLION
50
100
150
53
"
RELEASED
$ MILLION
0
13,6
150
53,0
15,0
N.Y.S.
3
0
18,56
1,96
"
NJ,
0
0
4,16
1,93
"
353 236,6 20,52 6,09
$137 MILLION OF APPROPRIATED FUNDS WERE NOT RELEASED BY OMB.
87
-------
#18
208 GRANT RECIPRENTS-FY 75
DESIGNATED
AREA
NEW YORK CITY
NASSAU & SUFFOLK
CO,
>RIE & NIAGARA
CO,
CAYUGA,.CORTLAND
MADISON, ONONDAGA
AND OSWtGO
5€STCHESTER CO,
STEUBEN AND
CHENUNG CO,
MIDDLESEX CO, a
NCSA SERVICE AREA
BURLINGTON, CAMDEN
AND GLOUCESTER CO,
MERCER CO,
OCEAN CO,
SAN JUAN METRO
DESIGNATED
AGENCY
NEW YORK CITY
EPA
NASSAU-SUFFOLK
RPB
ERIE & NIAGARA
RPB
CENTRAL NEW
YORK RP/D
WESTCHESTER
CO,
SOUTHERN TIER
CENTRAL RP/D
MIDDLESEX CO,
Brc,
DVRPC
DVRPC
OCEAN CO, BCF,
THE NORTH METRO
208 COMMISSION
GRANT
AMOUNT
SIAIt
COORD,/
LIAISON
3,351,533 150,000
5,207,000 150,000
1,825,030
1,271,000
1,080,000
2
823,000
1,420,000
1,264,800
974,145
503,200
1,395,361
75,300
75,000
75,000
60,300
60,003
60,003
63,300
60,000
SIAIL
sfRVltES
160,000
40,003
70,003
35,303
40,030
25,000
98,100
1, INCLUDES $240,000 OF TITLE X (DOC) FUNDS
2= INCLUDES $15,000 OF TITLE X (DOC) FUNDS
RPB - REGIONAL PLANNING BOARD
BCF - BOARD OF CHOSEN FREEHOLDERS
88
-------
208 GRANT RECIPRENTS-FY 76
#19
DESIGNATED
AREA
DEMED
FED
TOTAL1
THE NON-DESIGNATED
AREAS OF NEW YORK STATE
OF
NEW JERSEY
THE NON-DESIGNATED
AREAS OF PUERTO RICO
THE VIRGIN ISLANDS
CAPE MAY CO,
ATLANTIC CO,
SUSSEX CO,*
NEW YORK STATE
DEC
NEW JERSEY
DEP
ENVIRONMENTAL
QUALITY BOARD
V.I, CULTURAL
AFFAIRS
CAPE MAY CO, BCF
ATLANTIC CO, GOVT,
SUSSEX CO, BCF
1,959,000 2,612,176
1,518,000
711,000
25,450
124,500
142,500
117,750
2,064,000
943,275
33,367
166,003
190,003
157,033
NOTE: 1, INCLUDES DRAINAGE AREA OF MUSCONETCONG RIVER IN MORRIS COUNTY,
89
-------
#20
COASTAL ZONE IWJAGEMT GRAM'S
($ MILLION)
NATIONAL NEW YORK (NYDEC) NEW JERSEY
FT 75 12 550,000 (232,000) 275,000
FY76 18 753,000 (250,000) 470,750
FY77 23 1,400,000 (400,000) 500,000
DCS
FY76 373,000 (175,000) 370,000
90
-------
HATER RESOURCES COUNCIL - TITLE III
#21
FY 74
FY 75
FY 76
FY 77
STATE AGENCY
AUTHORIZATION
$ MILLION
6,0
6,0
6,0
6,0
NATIONAL
APPROPRIATION
$ MILLION
2,4
5,4
N,Y,
fl.J,
$186,300 $50,000
127,350 89,550
141,360 111,930
240,000
DEC DEP
MATCHING FORMULA: FED 50% STATE 50%
GRANT FORMULA FOR FED SHARE: DEMOGRAPHIC 30%, NEED 70%
91
-------
#22
URBAN STUDIES PROGRAM - CPE
URBAN FLOOD CONTROL
FLOOD PLAN MANAGEMENT
URBAN WATER SUPPLY
WASTEWATER MANAGEMENT
REGIONAL HARBOR AND WATERWAY NEEDS
BANK Am CHANNEL STABILIZATION
RECREATION
LAKE, OCEAN MID ESTUARINE PROTECTION
92
-------
PLANNING PROBLEMS ADDRESSED BY HUD 701
1, POPULATION GROWTH. OUTMIGRATION
2, UNCOORDINATED DEVELOPMENT OF RESOURCES
3, LACK OF COMPREHENSIVE PLANNING (INC, TRANSPORTATION SYSTEMS)
, SHORTAGES IN PLANNING STAFF & TECHNIQUES
5, SHORTAGES IN FUNDS FOR CONSULTANT SERVICES
93
-------
ELIGIBLES - HUD 701
STATES FOR DISBURSEMENT TO CITIES OF LESS THAN 50,000 STATES FOR
USE BY STATE, INTERSTATE OR REGIONAL PROGRAMS
CITIES WITH POPULATION GREATER THAN 50,000
URBAN COUNTIES
AREAWIDE ORGANIZATIONS
INDIAN TRIBAL GROUPS
INTERSTATE REGIONAL PLANNING COMMISSIONS (AND OTHER GOVERNMENTAL
BODIES OR AGENCIES)
94
-------
£25
ELIGIBLE ACTIVITIES - HUD - 701
1, DEVELOP AT© CARRY our COMPREHENSIVE PLAN (ONGOING PLANNING PROCESS)
2, DEVELOP Am IMPROVE MANAGEMENT CAPABILITY TO IMPLEMENT
3, DEVELOP A POLICY EVALUATION CAPACITY -
IMPROVE ABILITY TO
A, DETERMINE NEEDS
B, SET LONG & SHORT TERM GOALS & OBJECTIVES
C. DEVISE PROGRAMS AND ACTIVITIES TO MEET GOALS
95
-------
ffi
OFPREHENSIVE RAN HUD -701
1, A HOUSING ELEMENT - BASED ON (A) PROJECTIONS OF ZONING, (fi) COMMUNITY
FACILITIES, (C) POPULATION GROWTH
2. A LAND USE ELEMENT - INCLUDING
(A) STUDIES, cRr-°.iA, STANDARDS, IMPLEMENTING PROCEDURES (IMPLEMENTING
PROCEDURES MUST EFFECTIVELY GUIDE AND CONTROL MAJOR DECISIONS AS TO
WHERE GROWTH SHALL TAKE F ;:E WITHIN THE RECIPIENT'S BOUNDARIES,
(B) GUIDES FOR THE PATTER.1'! AND INTENSITY OF LAND USE^GUIDE FOR
GOVERNMENTAL POLICIES AND ACTIVITIES, GENERAL PLANS WITH RESPECT TO
PATTERN AND INTENSITY OF LAND USE FOR RESIDENTIAL, COMMERCIAL, IN-
DUSTRIAL AND OTHER ACTIVITIES)
3, BROAD GOALS & ANNUAL OBJECTIVES FOR BOTH ELEMENIJ
4, PROGRAMS TO ACCOMPLISH THESE OBJECTIVES
5, PROCEDURES FOR EVALUATING PROGRAMS AND ACTIVITIES FOR EFFECTIVENESS,
96
-------
HUD - 701 GRANTS FY 75
#27
CATEGORY
STATE
METRO
NON METRO
LARGE CITY
LOCAL
INDIAN
TOTALS
NEW YORK
993,421
2,680,540
154,882
2,541,237
792,920
50,000
7,213,000
NEW JERSEY
842,000
60,000
758,000
566,000
2,226,000
97
-------
#23
EPA INTERAGENCY
PROGRAM
HUD 701 PLANNING
CZM
NACD
BUI
FISH & WILD LIFE SERVICE
COE
ASCS
FOREST SERVICE
USGS
ON §208
DATE
5/2/75
9/29/75
12/8/75
1/5/76
3/12/76
3/25/76
3/31/76
5/3/76
5/7/76
98
-------
IN HIGHWAY PLAM!iNG
(1) AIR, NOISED AND WATER POLLUTION
(2) DESTRUCTION OR DISRUPTION OF MAN-MADE AND NATURAL RESOURCES.
AESTHETIC VALUES, COMMUNITY OH-HENS I ON AND THE AVAILABILITY
OF PUBLIC FACILITIES AND SERVICES
(3) ADVERSE EMPLOYMENT EFFECTS, AND TAX AND PROPERTY VALUE LOSSES
(1) INJURIOUS DISPLACEMENT OF PEOPLE, BUSINESSES AfO FARMS
(5) DISRUPTION OF DESH.ABLE COMMUNITY MQ REGIONAL GROWTH
SUCH GUIDELINES SHALL APPLY TO ALL PROPOSED PROJECTS VITH RESPECT
TO WHICH PLANS ATE) SPECIFICATIONS Am ESTIMATES ARE APPROVED BY
THE SECRETARY AFTER THE ISSUANCE OF SUCH GUIDELINES,
99
-------
DEPT. OF INTERIOR BUDGET FOR SELECTED PROGRAMS
($ MILLIONS)
PROGRAM
1975
ACTUAL
ESTIMATE
ESTIMATE
BUREAU OF LAND MGMT,
(MANAGEMENT PROGRAMS) $176 $193 $209
BUREAU OF RECLAMATION 19 21 21
OFFICE OF WATER RESEARCH 20 13 22
LAND S WATER CONSERVATION 307 303 300
NATIONAL PARKS PLANNING 434
U,S, GEOLOGICAL SURVEY 254 267 234
.BUREAU OF MINES 149 159 154
100
-------
USDA BUDGET FOR SELECTED PROGRAMS
($ MILLIONS)
PROGRAM
WATERSHED PLANNING
WATERSHED AND FLOOD
PREVENTION OPERATIONS
1975
ACTUAL
$11
125
1976
ESTIMATE
$11
199
1977
ESTIMATE
$10
135
RURAL WATER AND WASTE
DISPOSAL GRANTS
30
RURAL DEVELOPMENT GRANTS W
iFOREST SERVICE 397
SOIL CONSERVATION SERVICE 389
250
12
313
482
-0-
-0-
802
101
-------
EPA BUDGET
PROGRAM
MANAGEMENT AND SUPPORT
ENERGY RESEARCH AND
DEVELOPMENT
RESEARCH AI-JD DEVELOPMENT
SEC, 208 AREAWIDE PLANNING
WASTE WATER FACILITIES
• (OUTLAYS) 1
AIR
WATER QUALITY
SOLID WASTE
FOR SELECTF
($ MILLIONS)
Ai^L
$60
$134
167
150
,938
150
167
o
o
D PROGRAMS
ESTIMATE
$71
$101
166
r--7
DJ
2,350
145
238
32
ESTIMATE
$63
97
159
15
3,770
143
179
43
102
-------
HUD BUDGET FOR SELECTED PROGRAMS
($ MILLIONS;
PROGRAM
COMMUNITY DEVELOPMENT
GRANTS
CONTRACT AUTHORITY
COMPREHENSIVE PLANNING
GRANTS (HUD 701)
NATIONAL FLOOD INSURANCE
1975
ACTUAL
$50
2,382
100
50
1976
ESTIMATE
$50
1,738
75
75
1977
ESTIMATE
$100
3,148
25
100
rnv
OMMUNITY PLANNING AND
DEVELOPMENT
2,652
1,913
3,273
103
-------
LAND USE AND ENVIRONMENTAL QUALITY ON LONG ISLAND
by Arthur Kunz
Nassau-Suffolk Regional Planning Board
INTEGRATION OF REGIONAL LAND USE PLANNING AND COASTAL ZONE SCIENCE
- A Guidebook for Planners -
EXECUTIVE SUMMARY
PURPOSE OF THE REPORT
This report describes methods developed by the Nassau-Suffolk Regional
Planning Board (Board) for use by planners, which integrate traditional
land use planning techniques with scientific knowledge into a framework
for assessing the environmental impacts of land use decisions in the
coastal zone. Those who use the methods will be able to develop .region-
al land use and waste disposal alternatives and rank them on the basis
of environmental, economic, and socio/political characteristics. This
framework is comprehensive in scope, interdisciplinary in nature, and
adaptable for use in coastal zones throughout the nation. It addresses
the national need for the translation of existing knowledge and data
into operational and administrative guidance for assisting elected and
appointed officials and the public in policy planning, decisionmaking,
and program implementation. The assembly and use of coastal zone
science in the planning function is crucial to the wise solution of
coastal zone problems. This need was recognized by the Office of
Policy Development and Research of HUD, which provided the support for
this project under Contract H-2050R. This guidebook serves as the
vehicle for communicating the knowledge and experience gained by the
Board in developing and testing the methods to decisionmakers and plan-
ners across the country. The methods are transferable in that they can
be adapted to the varying technical, institutional, and financial capa-
bilities of different jurisdictions.
POTENTIAL USERS OF THE REPORT
This guidebook is intended for use by planners and their technical
staffs. Elected officials and agency representatives who are involved
in land use planning and decisionmaking and who wish to assess the
impact of existing or proposed development on coastal features and pro-
cesses also are potential users. Agencies developing Section 701 Com-
prehensive Plans will find the applications most relevant. Local
elected officials who are responsible for the administration of HUD
Community Development Block Grants can use the methods to help prepare
environmental assessments in accordance with the requirements of Federal
law. State agencies responsible for the preparation of Coastal Zone
Management Plans, which address the relationship of land use location
and coastal impact, can use the methods in urban, suburban or rural
areas. The methods can be used by Section 208 Areawide Waste Treatment
Management planning agencies to develop land use options for the con-
trol of nonpoint source pollution. Federal, State, and local agencies,
which must prepare Environmental Impact Statements and Assessments on
various development projects, actions, or programs, will also find this
guidebook useful.
105
-------
FORMAT OF THE GUIDEBOOK
This guidebook is designed to promote technology transfer. The four
chapters are structured to facilitate the identification of the appro-
priate methods for the solution of problems in other coastal areas,
and to explain the step-by-step procedures involved in their applica-
tion.
Chapter 1, "Introduction," provides a brief set of user instructions
indicating the way in which the guidebook should be used for maximum
efficiency.
Chapter 2, "Application of the Integrated Methodology and its Compo-
nents," describes the Integrated Methodology as a conceptual framework
for the integration of coastal zone science and regional land use
planning and suggests the uses of the Methodology and its 12 compo-
nents.
Chapter 2 summarizes the problems and products of the methods, as well
as their transferability, and requirements for replication. The meth-
ods are also related to the planning process, to environmental impact
assessment, and to Federal and other governmental mandates.
Chapter 3, "Description of Methods and Instructions for Application,"
contains an overview that summarizes the purpose of each method and
the problems addressed. The interrelationships among components of
the Integrated Methodology are identified. The output, utility, and
transferability of each method is also discussed. The overview is
designed to assist the user in evaluating the appropriateness of differ-
ent methods or combinations of methods for application to particular
problems. Descriptions of the products, utility, and transferability
of each method, and geographic considerations if any, help the user to
assess the suitability of the methods for dealing with his particular
problems. The latter part of Chapter 3 contains detailed instructions
for the application of each method. Once an appropriate method or
combination of methods has been selected, the user and/or his techni-
cal staff can follow these step-by-step instructions which detail the
data needs, use of materials, mathematical computations, etc.
Chapter 4, "Case Studies: Nassau-Suffolk Region and a Two-Zone Problem
Area," tests the application of the methods in an evaluation of the
Nassau-Suffolk Comprehensive Development Plan (CDP) on both a regional
and local drainage basin scale. Regional analysis provided a means for
determining the environmental conditions associated with existing and
proposed land uses, and thus facilitated the identification of impacted
or problem zones. The emphasis of the case study then shifted from the
regional analysis to the identification on a site specific basis of those
land use or waste treatment revisions to the CDP that were or would be
necessary to maintain water quality and to preserve environmental fea-
tures and processes. Spatial land use pattern constraints, loss of
opportunity due to development that has occurred since the CDP was
formulated in 1970, the preservation of environmentally fragile areas,
and the design and allocation of land uses to reduce pollution levels
106
-------
in coastal marine waters — all of these — were considered in the
development of alternatives to the CDP. Alternatives investigated
include changes in land use location and intensity, alteration of in-
lets to tidal embayments, and waste treatment strategies.
BRIEF DESCRIPTION OF THE METHODS
The 12 methods described in this report have been combined into a com-
prehensive approach - the Integrated Methodology.^ The methods are
shown below grouped under general categroies related to the planning
process, namely; inventory phase, development of alternatives, analysis
and testing of alternatives, and finally the implementation phase.
Compilation of Basic Technical Data:
Land Use Data System
Waste Generation Rates
Transport Coefficients
Pollution Susceptibility
Biological Constraints
Environmental Constraints (Inventory)
Generation of Land Use, Environmental Modification, and Waste Treat-
ment Alternatives Based on Water Quality Criteria:
Waste Treatment Evaluation
COastal Zone Modeling ^ystem (COZMOS)
Analysis of Land Use Alternatives Based on Environmental Criteria
other than Water Quality:
Cause-Condition-Effect (CCE)
Environmental Constraints (Land Capabilities)
Analysis of Alternative Feasibility:
Economic Analysis
Political Analysis
Legal Analysis
A comprehensive planning effort at the regional level will require use
of all the methods in the Integrated Methodology framework. However,
the scope of investigations for specific problems can be limited by the
use of a single method or appropriate group of methods. Table E-l lists
the problems addressed by the methods and the products resulting from
their implementation.
For a full description of the design of this project and a summary of
the Nassau-Suffolk Comprehensive Development Plan see Koppelman,
Lee E., et al., A Methodology to Achieve the Integration of Coastal
Zone Science and Regional Planning, (New York, N.Y., Praeger Pub-
lishers, 1974).
107
-------
TABLE E-I
IDENTIFICATION CHART FOR PPOBLEMS/METHODS/PRODUCTS
1. Compilation of Basic Technical Data
a. Quantification and manipulation
of land use data
b. Determination of land use waste
generation rates
c. Determination of proportion of
waste reaching coastal waters
d. Determination of pollution did-
persion In coastal waters
e. Determination of response of
marine biota to pollution
f. Location and description of
coastal environmental resources
2. Generation of Alternatives Based
on Water Quality Criteria
a. Determination of resultant
pollutant concentrat ions in
coastal waters
Land Use Data Systen
Waste Generation
Rates
Transport Coefficients
Pollution
Susceptibility
Biological
Constraints
Biological
Constraints
Environmental
Constraints
(Inventory)
Land use inventory;
computerized data bank
Waste generation rates
for land use groupings
Pollutant transport
est imates
Tidal flushing charts
Marine species tolerance
levels for key pollutants
Marine species and water
quality inventory
Environmental feature and
process inventory maps
and tables
Pollutant concentrations
by water segment
b. Optimization of land use pat-
terns to minimize pollution
c. Selection of sewage treatment
and disposal schemes
d. Evaluation of environmental
modification (inlets)
alternatives
3. Analysis of Alternatives Based on
Non-Water Quality Environmental
Criteria
Waste Treatment
Evaluation
Pollution
Susceptibility
Land use patterns which im-
ply minimum aggregate pol-
lutant concentrations
Inventory and ranking of
alternatives
Charts showing tidal flush-
ing under various inlet
configurations
a. Evaluation of interactions be-
tween land uses and environ-
mental features
.b. Evaluation of ability of land
areas to support land uses and
activities
Cause-Cond i t ion-
Effect
Cause-Cond itIon-
Effect
Network diagrams; coaxial
matrices; impact scoring
Impact scores for develop-
ment plans
4. Analysis of Alternative Feasibility
a. Evaluation of environmental
costs and benefits for alterna-
tives
Environmental
Constraints (Land
Capabilities)
Economic
Analysis
Land capabilities maps and
tables
Order of magnitude cost-
benefit estimates
b. Determination of socio-
political feasibility
c. Identification of existing
standards and management tools
d. Formulation of strategies for
plan implementation
Political
Analysis
Legal
Analysis
Legal
Analysis
Feasibility criteria and
assessment of plan alterna-
tive feasibility
Law, regulation, and manage-
ment technique inventory
Legal and institutional
recommendations for plan
implementation
108
-------
Those agencies which utilize the Integrated Methodology may realize con-
siderable dollar savings in that they will not have to develop and test
new comprehensive environmental impact methods. These agencies need
only adapt the Integrated Methodology or its components to local con-
ditions and available resources.
INFORMATION, EXPERTISE AND FINANCIAL REQUIREMENTS FOR APPLICATION
Specific information is required for the application of the Integrated
Methodology. The basic information requirements for the study region
include
1. census information, existing land use data by type, aerial
photos, base maps, etc., from which a quantitative computerized
land use inventory can be constructed;
2. topographic maps, tidal data, and local environmental studies
which can be used to identify, quantify, and inventory various
environmental resources, processes, values and constraints;
3. estimates of current population and projections of future pop-
ulation which can be used to determine the present and future pol -
lution loadings associated with regional population, jobs, housing,
services, open space, recreation, and transportation;
4. current economic data as well as future predictions for the
study region which can be used to determine the probable character
and extent of industrial and commercial development and regional
waste treatment needs;
5. public facility inventories and projections which can be used
to determine the present and projected levels of community services;
and
6. analyses of vacant land which can be used to determine the
quantity and location of the acreage available for satisfying
regional needs.
The above data and information should be sufficient to permit the gen-
eration of various land use plans for the study region. Areas which
lack the basic data requirements must make up any deficiencies before
proceeding with the application of the methods. It is emphasized that
the Integrated Methodology Is not designed for developing general com-
prehensive plans. The Integrated Methodology enables the user to ana-
lyze diverse data and evaluate plan strategies with emphasis on environ-
mental impacts.
Staff and consultant cost requirements for implementing the Integrated
Methodology have been estimated by the Board at $225,000. Table E-2
shows a cost breakdown by method. Also shown are the special personnel
required. The entries in this table are based on an analysis of Board
costs incurred under Contract H-2050R; the costs relating to method re-
search and development and the preparation of reports under the Contract
are not included in the method cost entries.
The indicated costs would apply to a study area which has a development
scenario and environmental characteristics similar to that found in the
Nassau-Suffolk region. Approximately 2.7 million people reside in this
region which has a land area of roughly 1200 square miles. The costs
are also based on the assumption that land use data and a development
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Method Staff Cost 1
Land Use Data System 3 $
Waste Generation Rates
Transport Coefficients ^
Pollution Susceptibility
Cause-Condition-Effect
Environmental Constraints
COZMOS
Biological Constraints
Waste Treatment Evaluation
Economic Analysis
Political Analysis
Legal Analysis
General Administration
Coordination, etc.
Total $
7,000
1,000
3,000
1,000
5,000
15,000
7,000
2,000
2,000
3,000
2,000
2,000
25,000
75,000
Consultant
$ 3,000
20,000
2,000
20,000
16,000
-
17,000
20,000
10,000
16,000
10,000
16,000
$ 150,000
Cost 2 Special Personnel Required
Computer Programmer
Engineer
Environmental Scientist
Marine Scientist
Systems Analyst, Env. Scientist
Environmental Scientist
Computer Programmer
Marine Scientist
Engineer, Environmental Scientist
Economist
Political Scientist
Legal Expert
•'•To convert staff dollar costs to man-days, divide by 96.
2To convert consultant dollar costs
to man-days , divide
by 160.
3Cost estimates assume that study area has previously developed a
^Cost estimates assume that proxies
are used for actual
pollutant
comprehensive plan.
transport coefficients.
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plan for the study area exist at the time of method implementation. The
costs would be substantially higher, especially with regard to the Land
Use Data System, for those areas which do not have an existing land use
data base and set of land use projections. It is assumed that the
staff resources of the implementing agency are similar to those avail-
able to the Board. For instance, implementing the Environmental Con-
straints method requires expertise in environmental impact analysis.
Those agencies without such expertise would have to rely on outside
consultants. Also, the estimates do not include the administrative
costs associated with the selection of the consultant team to implement
the Integrated Methodology in the study area.
The Nassau-Suffolk Regional Planning Board's Comprehensive Development
Plan for Nassau and Suffolk Counties took five years and approximately
$1.5 million to develop. The environmental analysis of this plan
through application of the Integrated Methodology cost $225,000 or 15
percent of Plan development costs. Those regions developing compre-
hensive plans could estimate the cost of applying the Integrated Meth-
odology to their own study area as approximating 15 percent of the
cost of their own plans. The cost of utilizing individual or groups
of methods can be roughly estimated in a similar fashion by using ethe
ratio of component cost(s) to $225,000; the ratio times plan costs
gives method(s) cost (less general administration expenses). This
rule of thumb would apply under the assumptions mentioned earlier in
this section. Those study areas which do not have characteristics and
personnel resources similar to the Nassau-Suffolk region, e.g., a rural
county with a simple (vs. complex) shoreline and a part-time planning
staff, would probably have to rely on outside consultants, but the
scope of impact analysis would be more limited. Therefore the cost of
implementing the Integrated Methodology may be less than 15% of plan
development costs. A different study area with a complex shoreline,
i.e., with river, lagoon and ocean shorefront, a resource base charac-
terized by varying geological conditions and rapid growth, not only in
terms of population, but also heavy industry, would probably require
greater expenditures to implement the Integrated Methodology.
Local governments can implement the methods with a minimal investment
of their own staff time and resources by encouraging sponsors of large
scale projects and developments to provide the basic information re-
quired for application. Local laws and subdivision control ordinances
could be amended to reflect such requirements.
PROGRAM MANAGEMENT
Perhaps the most.difficult aspect in implementing the Integrating Meth-
odology will be that of defining the scope of the investigations. The
implementation process can be aided by defining goals and objectives
for the study region based on a broad analysis of environmental prob-
lems. This requires that a multidisciplinary team of scientists and
engineers interact with planners and decisionmakers. The experience
and expertise of such a team is the most important factor contributing
to the success of application. The implementing agency must also con-
tend with the continuing problem of translating consultant contributions
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and coordinating them with staff work. It will therefore be necessary
for the implementing agency to manage its consultants and guide them
to the objective of developing alternative plans and policies.
Additional testing and transfer would involve distribution of this
guidebook, conduct of workshops with potential users, receipt and anal-
ysis of the responses from such users regarding their experience in im-
plementing the methods, and subsequent guidebook revision. The Board
will be available to assist those who wish to use this report for guid-
ance in the solution of coastal zone problems. This will hopefully
lead to constructive criticism, from the user point of view, with sub-
sequent improvement of the methods.
CONCLUSIONS
The conclusions that follow are based on the staff experience of test-
ing the Integrated Methodology by applying it in an analysis of the
GDP.
In general, quantitative outputs generated by the component methods
are open to more criticism and debate as to their accuracy than meth-
od products based on qualitative reasoning. This is inevitable given
the relative nature of quantitative vs. qualitative outputs. The
results of a quantitative analytical procedure can always be improved
by better input data and advancements in the state-of-the-art. These
factors tend to limit the utility of certain method products. Time
and funding constraints under Contract H-2050R limited certain aspects
of method application. However, the nature, magnitude and implications
of the quantitative results are of extreme value in the development and
revision of land use plans and technical strategies. In this sense,
application of the methods in the Nassau-Suffolk region has resulted
in improved planning- procedures as well as revision to the CDF based
on environmental information not previously available.
Coastal zone planning is not only limited by methodological deficien-
cies but also by data and information gaps. The translation of
national, statewide, or even regional goals and objectives into imple-
mentable plans and programs often suffers from a lack of relevant
information. The major deterrent to effective planning is the lack
of site specific data for key unknowns, such as transport coefficients.
Resolution of this problem will require the funding of research pro-
grams which are distinct from those normally conducted by regional
planning agencies.
COZMOS output was utilized to aid the evaluation of land uses and tech-
nical strategies that mitigate the marine water quality impacts of
future development. COZMOS did not serve as a substitute for the col-
lective judgement of the professional staff of the Board. Rather,
COZMOS output primarily served as an input to the planning process.
The input was quantitative and thus strengthed the ability of plan-
ners to design strategies for environmental improvement on the basis
of objective, defensible criteria. In some instances, existing devel-
opment patterns and the scarcity of vacant land in the Nassau-Suffolk
area limited the utility of COZMOS in generating practical land use
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solutions to marine water quality problems. This would not be a con-
straint on the use of COZMOS in developing plans for rural areas.
The Waste Generation Rates method provided a preliminary basis for
the environmental evaluation of land use decisions. Comparison of
the waste generation rates for a pollutant associated with various
land use groupings leads to the determination of the relative magnitude
of the pollutant loadings associated with each grouping. COZMOS sim-
plifies the tedious calculation procedure for determining total pollu-
tant loadings generated by many land use groupings allocated over a
large region. The COZMOS optimization feature can be used to deter-
mine the location of land uses which results in the minimization of
pollutant concentrations in coastal marine waters.
The methods were used by planners in an iterative fashion to test land
use alternatives which meet regional development objectives, yet result
in solutions to marine water quality and other environmental problems.
COZMOS and Biological Constraints were of particular relevance in de-
termining the location and magnitude of water quality problems caused
by given land use mixes. The Environmental Constraints and the CCE
methods were used to minimize encroachment on hazardous or environ-
mental resource areas by proposed land uses. The Environmental Con-
straints Land Capability method was also used to develop site specific
CDP land use patterns that minimize potential environmental damage.
The Pollution Susceptibility method proved to be a valuable tool for
the quantification of pollutant dispersion in coastal waters. The rela-
tive effect of shoreline location on pollutant concentrations associated
with a given pollutant discharge is easily determined and provides a
signficant input to the process of selecting shoreline sites for var-
ious uses.
CDP land use modifications were developed and tested; the increment of
water quality improvement associated with these changes was ascertained.
In no instance did land use changes alone entirely eliminate the iden-
tified water quality problems.
Low dissolved oxygen concentrations in Long Island coastal waters were
found to correlate with high sewage input rates. Sewage treatment plant
efficiencies and design flows for eliminating water quality problems
associated with the CDP and its modifications were specified. The Waste
Treatment Evaluation method was used to rank various wastewater treat-
ment and disposal mode combinations on the basis of local conditions.
This method facilitates the environmental impact evaluation of proposed
waste treatment and disposal alternatives; it does not address the en-
gineering specifications for designing treatment plants in a local area.
The environmental modification alternative of Great South Bay tidal in-
lets was investigated as a possible means of reducing pollutant levels
implied by the the CDP. It was determined that by doubling the exist-
ing tidal range in the Bay by inlet enlargement, the Pollution Suscep-
tibility would be improved to the extent that water quality problems
would be eliminated. However, the uncertainty of the biological and
physical impacts associated with this alternative renders it undesir-
113
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able until such time as these impacts are fully understood.
Land use and technical alternatives to the CDP were evaluated by the
Economic Analysis method in terms of costs and benefits. Very little
is known about the quantitative variation of benefits with changes in
the level of a selected pollutant. Pollution has many dimensions, and
no single index can be expected to capture each of these dimensions
perfectly. BOD was chosen for this study because it is generated by
land uses in the Nassau-Suffolk region in quantities of sufficient mag-
nitude to produce regional water quality impacts under steady-state
conditions.
Not all benefits and costs were captured in the economic analysis. The
benefit gained by the recharge of groundwater aquifers with tertiary
treated effluent or by the land application of treated sewage was omit-
ted from the analysis. Likewise, costs for technological alternatives
did not include the cost of required wastewater collection systems.
Omission of the costs of the wastewater collection systems will not
vary the relative ranking of the cost-effective technological alterna-
tives, since all technological alternatives considered require a col-
lection system, but may indeed affect the cost-benefit analysis of CDP
alternatives.
The political feasibility of CDP alternatives is affected by four pri-
mary factors: 1. type of issue which the proposed alternatives present
to the localities; 2. content of the proposed alternatives; 3. type of
decision process prevailing in the policy area with which the alterna-
tives are concerned; and 4. type of implementation mechanism.
Implementation mechanisms that increase the role and authority of gov-
ernmental agencies above the level of village or town inspire the
greatest opposition from local leaders, and therefore have the most
direct impact on feasibility. This finding holds more strongly for
life-style (residential) issues than for service distribution (com-
mercial-industrial) issues.
Appropriate institutions and legal authorities exist for the implemen-
tation of the CDP. The study did not find any justification for the
imposition of yet another layer of government upon the already complex
institutional structure existing in the Nassau-Suffolk region, nor any
legal inadequacies that cannot be handled within existing institutional
structures.
Existing authorities with respect to surface fresh water and marine
water quality, sewerage and drainage regulation, ocean dumping, sani-
tary landfills, and animal feedlots, appear to be adequate to meet
the needs of the CDP. New enabling legislation for Planned Unit De-
velopment, transfer of development rights, and erosion control is
needed.
Public acquisition of lands remains the most reliable method for con-
trolling growth and preserving areas of particular concern. The front
end costs of acquisition programs are most often prohibitive for gov-
ernments seeking to acquire lands. Because of the effectiveness of
114
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acquisition for management purposes, and because of the costliness of
such programs, communities and governmental agencies should be encour-
aged to explore measures which combine the advantages of the fee simple
or less than fee simple acquisition with leverage devices to reduce the
immediate capital costs.
The investigation of environmental standards and criteria for marine
waters revealed that legal standards for water quality are in an early
stage of development. Some standards apply to point sources of water
pollution, others to ambient water quality. Water quality standards
should be established on a case by case basis to take into account pre-
vailing local conditions. There is a need for biologists/ecologists
and legislators to link criteria for levels of protection (goals), to
performance levels required to attain those goals. Goals, such as the
protection of a certain species of shellfish, can then be keyed to the
environmental requirements of the shellfish. Standards or performance
levels consistent with the environmental needs can then be implemented.
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A Background Paper On:
TRANSPORTATION, LAND USE, AND AIR QUALITY
Presented At:
ENVIRONMENTAL QUALITY AND LAND USE PLANNING
Research Symposium
May 26-27, 1976
Rutgers University
New Brunswick, New Jersey
Gary C. Hawthorn
Chief, Transportation Policy Branch
Environmental Protection Agency
Washington, D.C. 20460
(202) 755-0603
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TABLE OF CONTENTS
Section Pages
I. INTRODUCTION 1-2
A. EPA Transportation Control Plans 2
B. FHWA 109(j) Consistency Determination 3
Requirement
C. DOT Transportation System Management (TSM) 3-4
Requirement
II. ASSESSING THE NEED TO CONSIDER AIR QUALITY IN 4
TRANSPORTATION AND LAND USE PLANNING
A. Projected Air Quality 4-6
B. Control Measure Effectiveness 6
III. EPA'S PAST EXPERIENCES IN TRANSPORTATION PLANNING 7
A. Clean Air Act Deadlines and the NRDC Court Case 7-8
B. Implementation Experience Since 1973 8-9
IV. CURRENT STATUS OF PROPOSED CLEAN AIR ACT AMENDMENTS 9-10
A. Schedule for Clean Air Act Amendments 10
B. Senate Public Works Committee Bill on Clean 10-11
Air Act Amendments
C. Comparison of House and Senate Bills 11-12
V. CURRENT EPA SIP/TCP REVISION POLICY 12-13
VI. DOT TRANSPORTATION SYSTEM MANAGEMENT (TSM) 13
REGULATION
A. DOT/EPA Coordination Through TSM/TCP 14
Relationship
B. Interagency Agreement and Process Guidelines 15
C. Basic Differences Between DOT and EPA 15
D. EPA Regional Guidance on SIP/TCP Revisions 16
VII. FHWA 109(j) CONSISTENCY DETERMINATION REQUIREMENT 17
A. Individual Highway Projects in an 18
Inconsistent Region
B. Apportioning Emission Reduction Burden Between 18-19
Transportation and Stationary Sources
C. Selective Decertification 19
D. Status of the Consistency Determination Process 20
in Region III
VIII. CONCLUSIONS 21-24
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I. INTRODUCTION
My name is Gary Hawthorn. I head the Transportation Policy Branch
at the headquarters of the Environmental Protection Agency (EPA) in
Washington, D.C. Within EPA my Office is primarily responsible for
developing the Agency's Transportation Control Plan (TCP) policies.
Additionally, we develop, in conjunction with EPA Regional Offices,
regulations and cost-effectiveness information on transportation measures.
We also interact with our counterparts at the Department of Transportation
(DOT) specifically at the Urban Mass Transportation Administration
(UMTA) and the Federal Highway Administration (FHWA) in the coordination
of related transportation and environmental policies.
The program for this conference rather broadly identifies my topic
as "Transportation, Land Use, and Air Quality." There is an obvious
need to reduce the scope of my comments to a great deal less than everything
under the sun but the kitchen sink. Therefore, I have decided to identify
and summarize the status of:
EPA's current TCP policy
Possible TCP policy changes in Proposed Clean Air
Act Amendments
Two additional DOT regulations
These policies and regulations (or mechanisms -- although not planning
process requirements) can potentially tie together -- although not
neatly — transportation, land use, and air quality planning activities.
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Thus far I have bounced five acronyms off your ears. Permit me to
get two more off my chest that identify the DOT regulations mentioned
above. The two are 109(j) and TSM. (A career is government does demand
an unnatural and excessive fondness for alphabet soup -- consequently I
can promise many more acronyms.) As stated earlier my purpose today
will be to try to describe how EPA TCP policies, DOT TSM requirements,
and FHWA 109(j) requirements have the potential to constructively link
planning activities in the transportation, land use, and air quality
areas. I would like to preview the major sections of this paper: projected
air quality, past TCP experiences, proposed Clean Air Act Amendments,
current TCP policy, TSM, and 109(j).
Before proceeding, to these major sections basic definitions for
the key acronyms are needed:
A. EPA Transportation Control Plans
TCPs are, of course, those portions of the State Implementation
Plans (SIPs) that deal with reducing auto-related pollutants. TCPs
contain measures that reduce either in-use auto emission rates (e.g.,
inspection/ maintenance (I/M)) or vehicle miles traveled (VMT) (e.g.,
transit improvements or auto disincentives such as parking restrictions).
In late 1973 TCPs were promulgated for 31 metropolitan areas to supplement
stationary source controls and the new car Federal Motor Vehicle Control
Program (FMVCP).
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B. FHUA 109(j) Consistency Determination Requirement
Section 109(j) of the 1970 Federal Aid Highway Act directed DOT to
develop and promulgate guidelines to assure that highways constructed
with federal funds are consistent with the State Implementation Plan for
achieving the air quality standards. The FHWA Regional Administrator,
after consultation with the EPA Regional Administrator, is responsible
for making the annual consistency determination on the analysis done by
the metropolitan planning organization (MPO). A finding of inconsistency
can lead to decertification of a metropolitan area's transportation
planning process and eventual withholding of federal highway planning
funds.
The 109(j) consistency requirement serves to formally coordinate on
an annual basis FHWA's highway and EPA's transportation control planning
processes. Consistency determinations between proposed highway and
transportation control plans are made for future years depending on the
severity of the existing and future air pollution problem. Hence a
mechanism exists for explicitly linking highway and air quality objectives
by requiring an air quality assessment of future alternative highway
networks — and, indirectly, an assessment of land use plans.
C. DOT Transportation System Management (TSM) Requirement
On September 17, 1975, DOT promulgated the Transportation Improvement
Program (TIP) Regulations which govern the planning and programming of
all urban transportation improvements administered by both FHWA and UMTA.
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From EPA's viewpoint the most significant aspect of the DOT regulation
is the requirement for the annual preparation of a Transportation System
Management (TSM) plan. All federal transportation funding is conditional
on the annual development of a TSM plan.
This plan, to be developed by the MPO in each urban area, is designed
to meet short-term transportation needs. The TSM requirement emphasizes
making efficient use of existing facilities. TSM measures include:
preferential transit treatment, bike and pedestrian facilities, parking
management, pricing policies, carpooling, auto-free zones, park-ride bus
service, etc. The first plans were due in March 1976. The emphasis on
short-range measures is consistent with EPA's TCPs and particularly with
the Agency's highest priority mission of accomplishing expeditious
improvements in unhealthy air.
II. ASSESSING THE NEED TO CONSIDER AIR QUALITY IN TRANSPORTATION
AND LAND USE PLANNING
Before plunging into the relationships and complexities of the
three DOT and EPA planning requirements, brief answers should be given
to two simple questions.
A. Do current and projected air quality levels continue to justify
papers and conferences such as this?
Unfortunately, yes. The 31 original TCPs all must be revised. New
TCPs are tentatively projected to be necessary if 32 additional cities
are to achieve the ambient health standards. (Attachment I) Therefore,
63 new or revised TCPs will be planned over the next two years.
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(We should not forget that the three words "air quality standards"
essentially describe the purpose of EPA's Air Program. Admidst the
controversy, discussion, and analyses of the TCPs, EPA's sole purpose
of insuring healthy air is sometimes forgotten.)
If you want additional numbers on the future state of this country's
air, consider these for 1985. Using optimistically low auto emission
rates and a negative annual growth rate in auto travel between now and
then, Boston is expected to just achieve the .08 ppm Ox standard in
1985. However, Sacramento and Washington, D.C. are expected to experience
a .18 ppm maximum with 201 standard violations. San Francisco can expect
a .20 ppm maximum with 333 violations while Houston is predicted to have
.24 ppm and 666 violations. Finally LA can expect a .32 ppm maximum
(four times the standard) with 1866 annual violations in 1985. And for
the true crystal ball gazers, the Agency has developed similarly disturbing
figures for the year 2000 -- again with optimistic auto emission assumptions:
In the year 2000 oxidant violations would occur in 65 percent of a large
representative sample of cities throughout the country.
But if you are becoming increasingly imperturbable by such numbers --
as I sometimes do, I will simply say to you: I know auto pollution is bad
because I lived and worked in Washington, D.C. during last summer's four
episodes, where a record oxidant level of over three times the health
standard was attained on one occasion. And already this year I can claim
to have jogged during an oxidant alert, the earliest alert on record.
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Forget the air quality readings. Think about your own experiences with
the air . . . about unhealthy air preventing LA school children from
engaging in any outside activity. Imagine the added difficulties of
those with respiratory problems.
B. Have effective control measures been implemented -- and have the
controls lived up to expectations?
Unfortunately, no. Progress has been made in implementing each of
the transportation control measures. But to my knowledge no entire TCP
has been implemented. Those familiar with the TCPs know first, that the
strategies generally consisted of a coordinated balance of auto disincentives
and transit/carpool incentives and second, that maximum emission reductions
would only be realized if the entire plan were implemented. Also, a more
significant disappointment regarding control measure effectiveness concerns
the disturbing performance of the new car devices for controlling carbon
monoxide.V
(Potential remedies to the TCP and FMVCP problems are being investi-
gated in several areas (e.g., requirements to improve the TCP planning
process are contained in the Senate Committee bill on proposed Clean
Air Act Amendments. In regard to the FMVCP, all of the following
remedies must be considered: increased emphasis on I/M, technology
changes, anti-tampering regulations, consumer protection laws, assembly
line inspection, and action against the automotive industry).)
!_/ Internal EPA Memorandum, "Emission Deterioration Rates For In Use
Vehicles," Stork to Strelow, September 8, 1975.
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III. ERA'S PAST EXPERIENCES IN TRANSPORTATION PLANNING
To further develop a common background here for subsequent remarks,
I should state that EPA's original TCPs, promulgated in late 1973, provide
a rich variety of experiences from which many lessons can be learned.
It cannot be stressed enough that first, in 1973 -- unlike today -- EPA
stood very much alone in its endeavor and second, in 1973 next to nothing
was known about how to implement comprehensive strategies of transit
improvements and auto restraints in a short time frame.
Looking back from today the reviews on TCPs -- in a word — have been
mixed: a situation of failures and limited successes. Many metropolitan
areas have made good faith efforts to adopt and implement individual
transportation control measures. But to my knowledge, as I indicated above,
no entire TCP has been implemented.
A. Clean Air Act Deadlines and the NRDC Court Case
It is useful to highlight here the various emplanations of imple-
mentation problems. The near deadlines of the Clean Air Act and the
NRDC decision (NRDC v. EPA, 475 F.2d 968) set the stage. The deadlines
and the decision were major factors that eliminated what little flexi-
bility had existed in the legal planning requirements, consequently
hardening the EPA-State relationship. The results were increased conflict
and limited opportunity for compromises and alternative solutions.
Further, the extremely tight time constraints imposed by the Court
took their toll on the quality of transportation control plans that were
produced. Some States decided that it was impossible to produce a
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plan within the time limit because of manpower and funding shortages,
leaving EPA with the responsibility of preparing and promulgating the
plans. Other States submitted only partial plans, again leaving EPA
with the responsibility of promulgating additional measures to fill the
gap. Overall, the effect of the NRDC Court decision was to require
extremely rapid adoption and implementation of some very substantial
changes in urban transportation systems for which the public and the
political process were largely unprepared and about which they were
largely uninformed. Nevertheless, by December 1973, EPA had approved or
promulgated transportation control measures in all the then demonstrably
deficient areas. (Many other areas were strongly suspected to have
similar air quality problems, but adequate monitoring data was not
available in 1973.)
B. Implementation Experience Since 1973
The opportunity has existed during the implementation phase since
December 1973 to assess additional TCP problems. First, information on
the effectiveness, costs, and implementability of low cost, quickly
implementable transportation options was and still is limited. Time
did not allow for the investigation of social and economic effects on a
case-by-case basis.
In addition, experience was lacking at all levels of government to
plan and implement effective measures. Due to the time restrictions,
many of the transportation control requirements could not be adapted to
the existing institutional framework, to ongoing planning schedules and
126
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processes, and to agency budget cycles. Also the 1977 time deadline for
achieving health related national air quality standards did not allow
credit for long-range measures such as mass transit improvements.
Consequently, the alternatives considered and the effects analyzed
were both limited. Finally, there was not sufficient governmental and
citizen interaction.
Robert Sansome, a former EPA Assistant Administrator and a key
decisionmaker during development of the original TCPs, has generally
described the major weakness in those original plans: The serious flaw
of these first plans was their lack of legitimacy -- a lack of legitimacy
in the eyes of either the public or the politicians. Largely because
of the Clean Air Act's tight deadlines, the original TCPs were necessarily
and hurriedly manufactured by a handful of EPA staff in the hectic days
of late 1973. The final products were divorced from a grass roots
planning and political process. It is probably accurate to say that
the early TCPs caused "people to feel that things were being done to
them, not for them" -- as Governor Brown of California might phrase it.
IV. CURRENT STATUS OF PROPOSED CLEAN AIR ACT AMENDMENTS
The key word describing EPA's past problems in the TCP area is
process. And the key question for the future is: What has EPA -- and
Congress -- learned from experience. I am encouraged by the Senate
Public Works Committee bill -- and discouraged overall by Congressional
delays in getting a bill to the President. On the brighter side I
would like to share these words from the Senate Report accompanying the
Public Works Committee bill:
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The Committee, after reviewing the problems
encountered with the attempts to implement
transportation control plans, believes that
a significant proportion of the problems
were associated with the manner in which
the plans were prepared. The provisions of
this bill, which alters the existing trans-
portation control mechanism procedural guidance
documents required by this should create a planning
process that places heavy reliance on local
determination that includes adequate intergovern-
mental and public participation.
A. Schedule for Clean Air Act Amendments
On the negative side, it is now a distinct possibility that an
amended Clean Air Act may not become law until after the November
election. To date bills have been reported out of both the Senate Public
Works Committee and the House Interstate and Foreign Commerce Committee.
The full Senate is now expected to begin deliberations during the first
week in June. The full House will follow, but their session has not
yet been scheduled. The respective bills will not reach joint committee
until late June which is very close to convention time.
B. Senate Public Works Committee Bill On Clean Air Act Amendments
In addition to setting up a TCP planning process, Section 110(h)
of the bill would alter the existing Clean Air Act requirements by:
-- containing provisions for deadline extensions beyond
1977 for achieving the national air quality standards
(1982, with provisions to 1987 in special cases)
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-- requiring a transportation control planning process,
including public and local government involvement and
coordination with planning required by DOT
-- providing 100 percent funding to MPOs for developing a
transportation control planning process for achieving
the air quality standards
-- providing EPA with funding sanctions, in addition to
enforcement powers, to encourage the development and
implementation of transportation controls
Specifically, the transportation control plan:
shall be prepared . . . where possible by an organization
of elected officials of local governments recognized or
designated by the State for this purpose [and] where
feasible, such organization shall be the metropolitan
planning organization.
C. Comparison of House and Senate Bills
In comparison the House Committee bill does not:
-- require a transportation control planning process
-- discuss a planning role for the MPO (presumably
the State transportation or, more likely, environ-
ment agencies sould still have lead responsibility)
-- provide funding for the MPO to do transportation-air
qua!ity planning
(Both bills are generally designed to insure the continued, timely
implementation of reasonably available measures by making deadline
extensions conditional on the analysis and implementation of such measures.)
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The Senate bill conspicuously stands superior to those concerned
about such past "process" problems as insufficient planning funds,
inadequate coordination with ongoing DOT planning, and improper desig-
nation of agency responsibility.
On a final positive note, I recently read in the Washington Report
(May 7, 1976) -- the newsletter of the National Association of Regional
Councils (NARC) -- that Senator Domenici will present two amendments to
the Senate bill during floor debate. One would require organizations
of local government elected officials to be designated and to prepare
air quality plans. The second would allow regional agencies or general
purpose local governments to petition the EPA Administrator when a State
plan was developed without local government consultation. Clearly
these two amendments would improve the Senate Public Works' Committee
bill because the MPO would be designated as the responsible agency and
its planning role would be significantly enhanced. The process of
transportation-air quality planning would positively benefit from such
changes. Such an institutional arrangement will greatly enhance
coordination with DOT as discussed below in the section of TSM.
V. CURRENT EPA SIP/TCP REVISION POLICY
Because of uncertainties in the schedule of the amendment process,
EPA's current policy is to notify each Governor before June 30, 1976
of the need for revising inadequate State Implementation Plans. This
determination is based on an evaluation of: air quality data, compliance
actions taken to implement existing controls, and a roll-back or modeling
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analysis for determining when the standard can be achieved. These
determinations of SIP inadequacies must specify the schedule for
submission of revisions and require the implementation of reasonably
available measures as expeditiously as possible. Revisions involving
transportation measures must be submitted before June 30, 1978.
Two years are provided for this planning activity -- as compared
to all other SIP revision planning -- because of the longer
lead time required to plan and obtain funding and enabling legis-
lation for such transportation measures. All other SIP revisions,
including I/M and vapor controls, must be submitted by June 30, 1977.
EPA has prepared guidance on reasonably available transportation
measures (TCP policy paper and Muskie Report).
VI. DOT TRANSPORTATION SYSTEM MANAGEMENT (TSM) REQUIREMENT
This section and the following present an EPA perspective on DOT's
TSM and FHWA's 109(j) requirements -- particularly the potential for
these planning process requirements to improve transportation-land use-
air quality decisionmaking. By way of introduction I should state
that EPA and DOT are currently on Square One in terms of developing
joint procedures for integrating the TSM/TCP planning processes. Many
complex issues must first be defined and then resolved. In contrast,
the process for determining consistency between highway and air quality
plans is further developed. It has resulted from an explicit statutory
requirement (109(j) of the 1970 Highway Act) and has been further defined --
procedurally -- by the joint EPA/FHWA guidelines. Nevertheless, the complex
business of consistency deteriminations is also still relatively new,
with many technical and procedural issues requiring further definition
and clarification.
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A. DOT/EPA Coordination Through TSM/TCP Relationship
EPA has closely followed the development of DOT's TIP regulation
-- and particularly the TSM requirement. Since last summer several high
level meetings have been held including a session with Roger Strelow, EPA
Assistant Administrator for Air Programs, and Robert Patricelli, UMTA's
Administrator. At the December meeting general agreement was reached on
two rather obvious points:
-- DOT, EPA, and FEA are pursuing a number of
reinforcing objectives concerning transportation
efficiency, air quality improvement, and energy
conservation. (In fact, it was stated by UMTA
that one primary, underlying justification for the
TSM requirement was air quality. That is to say, the
brief mention of transit efficiency and energy in the
NMTA of '74 blossomed into the TSM requirement in
the September TIP regulation partially because of
air quality considerations.)
-- An opportunity exists to streamline the parallel
Federal requirements of DOT and EPA, resulting in
a more efficient, integrated process and in products
that better meet the objectives of both agencies.
The TCP/TSM requirements should be merged to the
fullest extent possible and duplication avoided.
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B. jnteragency Agreement and Process Guidelines
EPA, UMTA, and FHWA will meet again next week. EPA strongly feels
that the conceptual link between TSM and air quality is obvious and
explicit. My Office hopes to see two separate products result from
these joint agency meetings. The necessary first -- but by itself
insufficient -- product is an Interagency Agreement on the conceptual
or philosophical relationships of TCP/TSM. The second product should
be Process Guidelines that will define how -- and to what extent --
MPOs should or must consider air quality and the TCPs in developing
the TSM plan.
C. Basic Differences Between DOT and EPA
The TSM discussion to this point has primarily been an optimistic
expression of positive expectations. Lest I appear too sanguine about
future prospects for DOT/EPA collaboration, I do wish to add that basic
differences certainly do exist between DOT and EPA. For example, DOT:
(1) approves only the process leading to the plan;
(2) does not prescribe specific objectives, but rather
requires that TSME meets broad criteria of
efficiency and cost-effectiveness;
(3) does not impose rigid deadlines for implementing
certain measures.
On the other hand:
(1) EPA approves the plan;
(2) the plan must achieve a single objective (NAAQS);
(3) the plan must achieve the objective by a deadline.
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D. EPA Regional Guidance on SIP/TCP Revisions
Regardless of the outcome of the joint meetings, my Office has
already acted to bring DOT and EPA transportation planning together.
EPA headquarters recently sent to our Regional Offices specific
operational guidance on how SIP/TCP revisions should be accomplished in
light of DOT'S TIP regulation. (Attachment II) Without going into
great detail, the guidance explicitly links EPA's SIP transportation
revisions with DOT's planning process, thus eliminating a major deficiency
in the orignal TCPs. Specifically, SIP transportation measures must
first appear in the Unified Work Program (UWP) and then in either the
short range TSM or long range TIP elements if emission reduction
credit is to be given.
In summary, EPA will become increasingly active in attempting to
influence the transportation planning process and the TIP/TSM products.
It is to the Agency's advantage to encourage the local generation and
adoption of transportation measures that could replace existing EPA
promulgations. Our posture as environmental lobbyists in transportation
planning activities will be one of influencing the pace and scale of
implementation of TSM-type measures. From a practical or realistic
standpoint, however, what is finally implemented will result from a
cooperative, compromising effort by all participating agencies.
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VII. FHWA 109(j) CONSISTENCY DETERMINATION REQUIREMENT
As indicated above consistency determinations between proposed
highway and transportation control plans are made for alternative
future years depending on the severity of the air quality problem.
Ideally, this long range analysis should address alternative land use
plans and broad alternative transportation investment programs (e.g.,
transit vs. highway investment or new construction vs. improvements in
the existing system).
The 109(j) requirement really began to take shape in April 1975
when FHWA and EPA published Joint Guidelines for Determining Consistency.
The Joint Guidelines state that a highway plan or program that does
not meet any one of the following criteria should be found inconsistent:
The highway program should not cause:
1. exacerbation of an existing air quality standard
violation
2. violation of a standard where air quality is
currently satisfactory
3. a delay attainment of a standard
4. interference with the maintenance of a standard.
Additionally, the highway program should contain all appropriate measures
from the existing Transportation Control Plan.
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Although not as new as the TSM requirement, the consistency
process is just beginning to define itself. At this stage the five
consistency criteria listed above are open to fairly broad interpre-
tation and are only gradually becoming more tightly defined as
experience is gained. A major area of controversy concerns data and
model uncertainty in the long range consistency determination. Other
important issues have surfaced that should be individually addressed.
A. Does a finding of inconsistency automatically mean that no highways
can be built in a region?
No. Highways must be examined on a case by case basis. Some high-
ways may divert traffic from local streets without inducing new
demand, thus eliminating carbon monoxide hot spots and possibly reducing
the total number of people exposed. Generally, highways in inconsistent
regions would be unacceptable if they did not discriminate in favor of
transit or carpools (e.g., exclusive bus/carpool lanes) and thus
indiscriminately served single occupant auto demand.
B. Emission Reduction Accountability of Transportation and Stationary
Sources
One highway program was incorrectly claimed to be consistent because
its air quality impact was less than of the null case -- i.e., no
improvement. This finding is wrong. Obviously any highway improvement
program should show less air quality impact -- or should show air
quality improvements -- in comparison to a no improvement program.
Certainly this result is expected given the limitations in the traditional
demand projection and net work assignment techniques (i.e., treating
demand as an independent variable and using all-or-nothing network
assignment without equilibrium analysis).
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At the other end of the argument, though, the highway program
cannot automatically be held solely responsible for causing a delay in
standard attainment. The accountability of the transportation sector -
in terms of its share of the emission burden -- should be roughly
proportional to its emission contribution. Transportation sources
clearly account for the lion's share of CO emissions and therefore
should be held accountable for the lion's share of control.
However, stationary sources significantly contribute to hydrocarbon
emissions and therefore must share the emission burden. Determining
the reasonably available controls -- or predicting when they will be
available -- for the transportation and stationary hydrocarbon sources
is no simple matter. The mechanism for deciding these trade-offs is
the air quality maintenance process. (EPA promulgated regulations on
May 3, 1976.)
C. Isn't decertification an atomic deterrent because all planning
funds are stopped -- even those for projects with positive air
quality impacts?
Decertification does not have to be totally devastating. Flexi-
bility appears to exist for decertifying selectively. EPA has already
recommended selective decertification. Again, EPA should recommend
decertification of funds for projects that indiscriminately serve
single occupant autos.
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D. Current Status of the Consistency Determination Process in Region III
This Spring EPA recommended selective decertification of the highway
planning process in Philadelphia, Baltimore, and Washington, D.C. In
the Capital area the long range analysis showed CO violations in 1992.
FHWA, after consultation with EPA as required, still certified the plan-
ning processes in each city, citing uncertainties in predictive techniques
and the need to proceed with mutually beneficial projects as reasons for
certification. This outcome is not acceptable to EPA and resolution
will be sought at the Federal level.
Although EPA is currently formulating its formal response to FHWA,
I would like to offer the following personal observations:
1. If the consistency determination is to mean something --
i.e., if air quality is to affect transportation and land
use decisions -- then FHWA and EPA must jointly notify the MPOs
that their highway programs should be replanned and made con-
sistent -- as defined by the above five criteria that both
agencies agreed to. (Violations of the CO health standard
through 1992 are not acceptable. The MPO should be responsible
for modifying its land use and transportation plans
first to contain all reasonably available measures and
second, to achieve the auto-related air quality health
standards as expeditiously as possible.)
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2. At a minimum the MPO must use an analytical process
that assesses alternative land use/transportation plans.
This process must demonstrate an attempt to work toward
the air quality standards. This means iterative analyses
of alternative land use plans for the long term and
short range transportation improvements in the near
term. To date these kind of analyses have not been done.
In summary, FHWA-Region III has rejected EPA's position that MPOs
should be required to develop highway programs that demonstrate
expeditious attainment of air quality standards. This impasse high-
lights the fundamental differences between the agencies listed above
(e.g., DOT's process vs. EPA's goal orientation, EPA's overriding
emphasis achieving air quality goals over other goals, EPA's position
that limited Federal involvement in local decisionmaking is warranted
for public health reasons). Regardless of how or if these fundamental
differences are resolved, there still is considerable room for improve-
ment in the analytical process as described above. At a minimum EPA
expects FHWA assistance in implementing these analytical improvements.
VIII. CONCLUSIONS
In summary, EPA's TCP policy, DOT's TSM requirement, and FHWA's
109(j) requirement have the potential for contributing to significant
improvements in transportation-land use-air quality decisionmaking. Dis-
appointments concerning first, effectiveness of emission controls, second,
progress in implementing TCPs and third, future air quality trends all demon-
strate the growing need for better coordination and improvements in land use,
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transportation, and air quality planning activities. The proposed Clean
Air Act Amendments of the Senate Public Works' Committee are far
superior to those of the House and promise to correct the major deficien-
cies in the original TCPs: insufficient planning funds, inadequate
coordination with ongoing DOT planning, and improper designation of
agency responsibilities.
DOT's TSM requirement has great potential to help EPA's transporta-
tion control program. But it is far too early to predict the extent
to which TSM will improve transportation-air quality decisionmaking
because:
-- the TSM regulation and concept is just too new
and untested
-- DOT and EPA value air quality objectives
differently
-- DOT and EPA operate under different political
philosophies regarding the justification for,
and the degree of, Federal involvement in local
decisionmaking.
Considerable analytical and political experience has been gained
with FHWA's 109(j) requirement since the joint guidelines were published
in April 1975. In particular, this year's Region III experience has
served to highlight differing EPA and FHWA views on:
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-- uncertainties in prediction techniques
-- Federal involvement in the analytical process
-- Federal involvement in development of the highway
program.
When the consistency criteria are not met -- i.e., where violations
of the standards are demonstrated for future years -- EPA expects:
-- iterative analyses of alternative land use/
transportation plans
-- highway re-programming that demonstrates an attempt
to achieve the air quality standards as expeditiously
as possible.
Finally, I wanted to offer an opinion on the emphasis of future
research and agency efforts in the transportation-land use-air quality
area. Sometimes I feel that longer range, broad land use issues receive
too much attention. To state the obvious: it takes a long, long time
to significantly alter existing land use, activity distribution, and
traffic patterns. We are largely stuck with what we have in the
foreseeable future. Moreover, it is very difficult to predict
the eventual complexion of twenty year master plans. The inherent
uncertainties in data and political decisionmaking are very
large. Even transportation plans beyond five years are essentially
wish lists that must eventually be pared down. Therefore, elaborate
evaluations of alternative 1995 land use plans usually leave me
with two nagging questions:
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1. What uncertainty is attached to each future?
2. Once the optimum land use-air quality plan is
known, how do we get there?
The more relevant question that deserves our analyses and efforts
is: what immediate and incremental steps do we take next year or the
year after that -- or over the next three to five years to improve
the transportation system and air quality that face us today. Clearly,
DOT is emphasizing the efficient use of the existing system -- practical
and realistic planning of immediate, incremental improvements consistent
with our fiscal means.
In effect, I am advocating an expanded emphasis on short term analyses
(1-5 years) and the conducting of assessments at critical points in
the planning/political process where alternative outcomes can be
effected. Lastly, the degree of analytical sophistication applied
at any future point should match the inherent uncertainties in the
associated forecast.
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A GROWTH MANAGEMENT PROGRAM CONCEPT:
A RATIONAL APPROACH TO THE DILEMMA OF
GROWTH AND ENVIRONMENTAL PROTECTION
George H. Nieswand
Associate Professor of Environmental Systems Analysis
Department of Environmental Resources
Cook College
Rutgers University
Prepared for Presentation at
ENVIRONMENTAL QUALITY AND LAND USE PLANNING
RESEARCH SYiMPOSIUM
Sponsored by
Environmental Protection Agency, Region II
Department of Environmental Science, Cook College
Department of Environmental Resources, Cook College
May 26-27, 1976
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PREFACE
1 9
In March, 1972, B. Budd Chavooshian and Dr. George H. Nieswand
initiated the research and study of the Transfer of Development Rights (TDR)
principle as a land use control device to preserve farmlands and other
critical land resources. Thomas Norman, Esq. shortly joined them to provide
legal analysis and services. The Division of State and Regional Planning of
the New Jersey Department of Community Affairs took an early interest and
participated in these research activities. Subsequently, funds were provided
by the New Jersey Open Space Policy Commission to develop fully the TDR
concept and draft a legislative proposal. A small group of specialists from
related disciplines was invited to serve on an advisory committee to assist
in this research effort which was completed in May, 1973^.
Following this initial research, a year of intensive study was devoted
to the TDR principle in a broader growth management context. This study was
pursued again in cooperation with and with the support of the New Jersey
Division of State and Regional Planning as well as the continued assistance
of the advisory committee. The study which was completed in June 1974,
resulted in a conceptual model of a growth management program (GMP) which
insures a compatible relationship between the accommodation of growth and
defensible environmental concerns.
This paper describes the results of these two related research efforts --
the TDR and GMP concepts.
1 Land Use Specialist, Cooperative Extension Service, Cook College,
Rutgers University
o
Associate Professor of Environmental Systems Analysis, Department of
Environmental Resources, Cook College, Rutgers University
3
Consultant, Institute of Environmental Studies, Rutgers University
B. Budd Chavooshian, Thomas Norman, Esq., and George H. Nieswand,
Transfer of Development Rights: A New Concept J.n JLand_ Use Management,
Publication 492-A, May 1973, Cooperative Extension Service, Cook College,
Rutgers University
B. Budd Chavooshian, George H. Nieswand and Thomas Norman, Esq.,
Growth Management Program: A Proposed New Approach to Local Planning;
and Zoning, Publication 503, June 1974, Cooperative Extension Service,
Cook College, Rutgers University
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INTRODUCTION
Land is one of modern man's most precious natural resources. Its wise
and considered use is essential to the maintenance of a quality environment.
Until very recently, however, land use policies dictated by economic,
political and social (or perhaps antisocial) considerations have insensitively
and irresponsibly squandered the land and have ignored the consequential
environmental affects.
There is currently an increasing general awareness and concern regarding
growth and its threat to the environment, the general health, safety and
welfare of the public, and the sound development of our communities. At the
same time there is a growing dissatisfaction with the processes which are
currently available to deal with growth and development. This new mood has
produced some "knee-jerk" reactions ranging from restrictive zoning which
frustrates attempts at development to unmasked attempts to stop all growth
or to set an arbitrary limit to growth.
Increasingly, however, there is also a genuine effort to develop more
rational and acceptable ways of dealing with growth and its inherent threats
to the environment. This paper describes two new concepts of land use
management as they have been developed at Cook College which deal with
this fundamental dilemma involving growth and environmental protection. The
first is the transfer of development rights (TDR) concept which is a relatively
simple zoning device designed to preserve environmentally critical natural
resource areas. The second is the growth management program (GMP) concept
which involves the incorporation of the TDR concept in a comprehensive
planning and zoning process.
THE SETTING - A BRIEF HISTORY
American attitudes toward real property were inherited from the English
land-tenure system and were strengthened during colonial times when there
seemed to be unlimited land available. As expressed, for example, in the
Northwest Ordinances of 1787, the central idea was ownership of land in
"fee simple," which meant ownership that confers upon the owner the right
to do anything he wants with his land except what is prohibited by local,
State, and Federal governments. In a sense land was treated as an unlimited
commodity as abundant as air and water.
Planning began in a serious way in 1926 with the Euclid decision,1 a
United States Supreme Court ruling which upheld zoning and essentially
accepted the notion that a preconceived approach to growth is more likely to
promote the general welfare than is haphazard, fortuitous development. As a
1 Village of Euclid v. Amblea Realty Co., 272 U.S. 365 (1962)
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practical matter, for 40 years after Euclid, zoning was Implemented on the
premise that all land in private ownership was considered developable —
essentially a commodity to be programed for development for some appropriate
use — a notion entirely consistent with our frontier heritage.
Natural resource and environmental factors seldom entered into consider-
ation in the planning/regulatory process for a considerable time following
Euclid. In many ways the objection, based on constitutional grounds, that
regulations to protect and preserve areas of natural or environmental sensitivity
are confiscatory prevented a greater use of environmental factors. Indeed, this
fear of the "taking issue" was justified in the light of judicial decisions up
through the 1960s.
As a result, conventional zoning did little to preserve essential natural
resources. Occasionally the judicious application of physiographic, geologic
and hydrologic data sometimes did produce zoning classifications and densities
that were less da imaging to the environment than was random development. But
at its very best, zoning could only provide for the harmonious and efficient
development of all the land.
To overcome these shortcomings in the application of conventional zoning,
new concepts were developed to preserve some open space in the urbanizing
landscape. Among these are the concepts of density zoning, clustering and
planned unit development.
However, since these devices are generally applied to small areas and
are usually an option to the existing lot-by-lot subdivision process within a
municipality, the best to be achieved is some minimal break in an otherwise
monotonous development. Haphazard, noncontiguous, scattered open spaco
generally is the result. This is not necessarily bad or undesirable, but it does
not protect the large areas of open space, such as aquifer recharge areas,
flood plains, wetlands and farmlands, which are necessary to the maintenance
of a sound environment.
Since the advent of "Earth Day"2 which signaled a greater appreciation and
understanding of the environment, a new mood has developed concerning the
protection of environmentally fragile areas and the possibility of establishing
density limits on the basis of health and safety factors. A legislative move-
ment to protect various aspects of the environment which began in 1970 is well
documented in The Quiet Revolution in Land Use Control. Moreover, natural-
resource factors are finally being recognized as among the vital limiting
considerations in any rational planning scheme. In addition, while standards
relating the impact of various land use patterns on natural resources may not
yet be devised, the importance of these factors to a community's health,
1 See The Taking Issue. Fred Bosselman and David Callies (1973)
2 April 22, 1970
3 Fred Bosselman and David Callies (1971)
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safety and general welfare is generally accepted. This reflects an attitude
that critical land can be treated as both a resource and a commodity. It is
antithetical to a system which treats all land as only a commodity to be bought
or sold and developed as soon as the market is ready, regardless of the
environmental implications.
Of critical importance for the 1970s is an environmental balance that
will ensure health and safety, retain open and productive land for water and
air quality, and give psychological relief from the continuous sprawl of the
megalopolis. The challenge is to accomplish this without creating so-called
wipeout conditions for some landowners while creating windfalls for others1 —
to adopt a land use control policy that balances legitimate development needs
with valid environmental concerns in a positive, rational and equitable manner.
THE TDK CONCEPT
Transfer of development rights (TDR) is a new concept in land use manage-
ment designed to help solve the fundamental dilemma of growth and the
preservation of environmentally important areas without violating basic rights
and due process as guaranteed under the Constitution. It combines planning
with certain aspects of property law.
The basic TDR process is initiated when a municipality designates an
area of open space for preservation and prohibits development therein. At the
same time, provisions are made for the development potential associated with
the preserved area to be transferred to other areas within the municipality
where it is determined that development is feasible. Landowners in the
preserved areas, who will continue to own their land, may sell their rights to
future development to other landowners or builders who wish to develop those
areas in which development is agreed on.
A development right is basically a creature of property law. It is one of
the numerous rights included in the "fee simple" ownership of real estate. A
mineral right (the right to mine and remove minerals from the land), an air right
(the right to utilize the air space above the land's surface), and the right to
travel across another person's property are examples of land ownership rights.
A development right is the right that permits the owner to build upon or develop
his land; in an urbanizing region it constitutes great economic value and is
usually the owner's most valuable right.
All land ownership rights are subject to reasonable regulation under the
police power and are also subject to the governmental power of eminent domain.
Rights to land ownership may be separated from other rights and regulated by
the government or sold by the owner and transferred separately. For example,
a landowner may sell his mineral rights or air rights and still retain ownership
Donald Hagman, U.C.L.A., is completing a study to document the windfall/
wipeout process.
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and use of the land surface. A common example involves the owner's sale
of an access easement to a public utility so that utility lines can be
established and maintained on the owner's property. Similarly, an owner may
sell all of his rights to develop his land and these rights may be bought and
sold by persons other than the owner who still retains the ownership to the land.
The transfer of development rights concept is essentially a system that
identifies the right to develop and creates a market for such development
rights. Under this system an overlay on the current zoning is created wherein
zoning districts are established for preservation of open space and for the
accommodation of the displaced development potential. In the preservation
district all development other than farming or low intensity recreation use is
essentially prohibited. The development potential of the preservation district
before its open space designation is calculated and added to a developable
district in the community. In other words, the development potential of the
preserved area is transferred to another district in the community which can
accommodate a higher density without causing environmental damage, creating
incompatible land use patterns or putting heavy strains upon existing infra-
structure. Development right certificates equal to the total development
eliminated from the preservation district are distributed to the landowners in
that district on the basis of the ratio of the value of each tract in relation to
the total land value of the preservation district. To build at a higher density
in the developable districts, development rights as well as the appropriate
zoning is required.
Thus, a builder who proposes to construct at a higher density based on the
new capacity or density resulting from the establishment of the preserved a~ea
must also purchase development rights equal in number to the increased density
and at a price arrived at through the bargaining process of the marketplace.
The builder has the right to develop at the lower density permitted by the
previous zoning regulations, but he cannot build the h'gher densities unless he
has development rights. Finally the continued marketability of the develop-
ment rights is insured by adequate "incentive zoning" in the developable
districts. In other words, for this system to remain valid and functional there
must always be a market for the development rights. Otherwise, there would
be no place to transfer them, and the entire system could become invalidated
and inoperative. Such a situation would occur if a builder chose not to build
at the new permitted higher density, thereby creating a surplus of development
rights equal to the number he could have used and for which there is no longer
a market. In this situation the municipality would be required to rezone in
such a manner that a market for all outstanding development rights is
maintained.
A more detailed presentation of the basic operational components of the
TDR concept is included in the discussion of TDR as an integral element of the
growth management program (GMP) concept which follows. Before moving on
to a discussion of GMP, however, some planning implications associated
with TDR are worth noting.
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The primary objective of the TDR concept as proposed here is the
preservation of environmentally important open space. However, the impact
of this technique on the planning process cannot be ignored. More pre-
dictability, which is essential to effective planning, is promoted since all
open space designations are identified and permanently locked in the master
plan and in zoning regulations. Also, the number of people who will live in
the community is more clearly identified through the emphasis on the density
requirements necessary to guarantee value for development rights. Once
approximate total density is established, better judgments relating to the
planning and construction of capital improvements can be accomplished
because districts where development is permissible can be very effectively
planned on a comprehensive scale and related to the tracts of permanently
preserved open space. In this process the locations of more intense develop-
ment are identified and public services and facilities can be geared to them.
Another important aspect of TDR is the probable interest and participation
in the planning process of many citizens within the community. Many will
have development rights to protect and will be very interested in the process
which gives these rights value.
In summary, TDR helps a community plan its growth. The net effect is the
preservation of environmentally important areas with equitable compensation
for the owners. There is no cost to the taxpayers since no acquisition by
government is involved and, at the same time, the housing needs of a growing
population can continue to be met.
THE GMP CONCEPT
The TDR concept as described above is quite specific in intent to preserve
critical open space, accommodate displaced development and compensate
affected landowners. By itself the concept does not represent a comprehensive
planning and zoning process. The challenge that naturally evolves is that of
developing just such a comprehensive process that balances recognized
legitimate development needs with valid environmental concerns in a positive,
rational and equitable manner.
Following the development of the TDR concept, a year of intensive study
was devoted to a consideration of the TDR principle in a broader growth
management context. The study resulted in a conceptual model of a growth
management program (GMP) which insures a compatible relationship between
the accommodation of growth and defensible environmental concerns.
See the preface for an explanation of the research sequence that led to
the development of the TDR and GMP concepts.
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The underlying basis of the GMP concept is current capacity — the
current ability of a municipality to adequately support development — and
zoning regulations which reflect this capacity, rather than some vague or
unknown future capacity. Further, as an integral element of the GMP concept,
the total program must be adjusted incrementally as current capacity is
increased. The mechanism to overcome the unequal treatment of property
owners is the transfer of development rights technique which makes the GMP
concept both realistic and fair. In short, the GMP concept employs a current
capacity determination to insure rationality, integrates planning, zoning and
capital improvements programing to assure comprehensiveness and uses the
TDK mechanism to promote essential fairness.
The basic premises upon which the GMP concept is constructed include:
1. The establishment of an environmental resource base to serve
as the source of primary information for the operational elements
of the growth management program and which includes a consider-
ation of:
a. physical environment (natural and man-made)
b. socioeconomic environment
2. The identification, delineation and selection of critical areas
which should be preserved and protected from unregulated
development including areas which:
a. must be preserved (health and safety considerations)
b. should be preserved (general welfare considerations)
3. The determination of current capacity reflecting the ability of the
land to support development without creating health or safety
problems considering:
a. natural resource characteristics
b. existing infrastructure
c. critical areas exclusions
d. existing development demands
4. The development of growth management regulations to guide
development within the context of a specific current capacity
determination and which is based on a consideration of:
a. existing current capacity
b. protection of critical areas
c. community objectives and socioeconomic factors
d. regional concerns
150
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5. The establishment of a transfer of development rights mechanism
which permits the preservation of critical areas and provides for
a more equitable distribution of the "windfalls" and "wipeouts"
associated with the regulation and development of land.
6. The creation of a program revision process which recognizes
growth as a dynamic process and involves an integrated updating
of current capacity and growth management regulations coordinated
with a capital improvements program to control both the rate and
sequence of development so that they will be expressly consistent
with the ultimate development objectives set forth in a long-range
growth management plan.
A brief discussion of each of the above components follows:
Environmental Resource Base
The initial step in the GMP concept involves an inventory and analysis
of the resource characteristics of the area that is to be planned for and
ultimately developed. This is fundamental and there is no need for a long
rationale on why such an inventory is basic to a land development scheme.
However, there is no equally obvious or universal agreement on a definition
of what resource characteristics must be considered. In the absence of such
a consensus, and on the basis of current experience, it can be assumed that
the following are generally available, identifiable, and useful data which
should constitute at least a minimum of an environmental resource base:
1. Natural physical environment
a. Land factors
1) topography
2) geology (surface and subsurface)
3) sell properties and characteristics (i.e. , fertility,
drainage, erodability, septic field capability, etc.)
b. Water factors
1) standing and flowing water (streams, lakes, swamps,
etc.)
2) watershed areas
3) flood plain areas
4) aquifers and recharge areas
5) (waterquality)
c. Biological factors
1) vegetation
2) wildlife
d. Climatological
1) precipitation
2) prevailing winds
3) microclimate
4) (air quality)
151
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e. Natural land types (some overlap with above factors)
1) areas affected by natural hazards
2) wetlands, marshes and swamps
3) woodl ands
4) prime agricultural lands
5) sites of special or unique scientific or cultural value
2. A "an- made physical environment
a. Existing land use
1) residential
2) commercial
3) industrial
4) vacant
5) agricultural
6) parks and other open space
7) community facilities
b. Infrastructure
1) water supply systems (wells, reservoirs, treatment
plants, water lines, etc.)
2) sewage disposal systems (treatment plants, sewer
lines, etc.)
3) solid waste disposal
4) storm drainage network
5) transportation facilities (roads, railroads, etc.)
6) energy resources (electric, gas, etc.)
3. Socioeconomic environment
a. Demographic information
b. Community facilities and services
c. Housing and employment
d. Aesthetic and historic considerations
An analysis of these data to determine general affinity to and compat-
ability with development provides basic knowledge of the area that is to be
planned for development. It becomes, in essence, the base map upon which
the plan and land use regulations are constructed.
It should be noted that further investigation and research is essential
to improve the accuracy, reliability, use and range of the environmental
resource data used to enhance this phase of the program. Furthermore,
consideration should be given to the techniques, devices and administrative
procedures necessary to ensure objective, standardized inventory procedures.
152
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Critical Areas
An important element in the GMP concept is the identification and
delineation of critical resource areas which must be preserved and protected
from unregulated development on the basis of health and safety consideration,
such as aquifer recharge areas, flood plains, wetlands, prime agricultural
lands, etc. Data developed from the environmental resource inventory would
be used as the basis for the delineation of these areas on a growth manage-
ment map.
Since natural areas do not adhere to municipal boundaries, it is
recommended that consideration be given to regional delineation and allocation
of certain critical areas and natural resources.
Beyond critical areas that must be preserved, attention should be given
to critical areas that should be preserved, such as steep slopes, scenic
landscapes, historic areas and sites, etc. Once again, standards and guide-
lines will be necessary to assure proper selection and delineation by the
municipality.
Current Capacity
Regardless of zoning, the current capacity of a community should be
determined as a function of (1) natural resource characteristics, (2) existing
infrastructure, (3) critical areas that must be preserved, and (4) existing
demands of development. This becomes the first critical and controversial
phase of the GMP concept because it establishes the current growth potential
of the community. Therefore, it must be accurate and reliable.
In this regard, studies would be initiated to determine 'loading factors"
based on development demands which are satisfied by:
1. on-site natural resource capacity such as well-water supply,
septic tank capacity, erosion potential and flood potential
2. existing infrastructure providing natural resource related capacity
to a site such as water supply, sewer capacity, solid waste
disposal and energy
3. existing infrastructure providing nonnatural resource related
capacity to a site such as roads, schools, etc.
When considered in the aggregate, loading factors would represent the
maximum demand that could not be exceeded by development either on a given
site or with respect to the comprehensive area. Site factors would be mapped.
On a given site, current holding capacity would be related to all of the loading
factors affecting the site. These factors would represent the maximum demands
in terms of density regulations that development would be permitted to make.
153
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The demands of existing development should be deducted from the total
loading factors to determine the increment of new development that could be
permitted in a manner consistent with current capacity. The result of this
final calculation gives the maximum current grov.-th potential.
Upon determination of its current capacity, a municipality could con-
ceivably zone accordingly and make no provisions for capital improvements
for additional future growth and development. Realistically, this is not likely
to happen. Conditions will change (a new trunk line built by the county, a
new state highway, a new state facility, increasing regional demands) and
the municipality will have to make adjustments in its plan and growth manage-
ment regulations. The bridge from the present to the future which establishes
the base of ultimate growth is a growth management plan. This plan is
included in the revision process.
Needless to say, models and standards are essential to insure uniformity
and objectivity in determining current capacity. When legislation is being
prepared, serious consideration should be given to how these standards and
models could best be developed and administered.
Growth Management Regulations
The purpose of growth management regulations is to guide development in
a manner consistent with the preservation of critical resource areas, existing
current capacity, socioeconomic factors, community objectives and regional
concerns. In essence, this is the traditional zoning ordinance, developed
within a comprehensive planning process, but based upon an explicit current
capacity determination.
The legal instrument of the GJVIP concept is the growth management
regulations adopted in ordinance form and designed to allow growth which
cannot exceed the current capacity unless capital improvements are made
consistent with a growth management plan. Development rights would be
issued on the basis of these regulations. The intent of the initial growth
management regulations would be to establish a maximum density and intensity
of use which could not be exceeded unless improvements were made to expand
facilities related to load factors.
The system for the creation, distribution, utilization and conversion of
development rights is directly related to the current density and use regulations,
as described below.
Transfer of Development Rights Mechanism
The intent in incorporating the TDR concept into the growth management
program is to provide for a more equitable distribution of the windfalls and
wipeouts associated with the regulation and development of land. In this way
154
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handicaps to effective planning and zoning are considerably reduced and growth
is encouraged to proceed from a sound planning basis. At the same time,
critical area preservation is facilitated while citizen participation in the growth
process is enhanced.
The basic components of the TDK mechanism are:
1. creation of development rights
2 . distribution of development rights
3 . utilization of development rights
4. adjustment of development rights
5 . taxation of development rights
Creation of development rights. The initial creation of development rights
would be based on the initial growth management regulations developed for a
community. Two alternative bases for the creation of rights are suggested:
(1) density and (2) acreage. In either case, three primary types of develop-
ment rights would be created: (1) residential, (2) commercial and (3) industrial.
Within each of these categories, subclass distinctions could be made if judged
necessary (e.g. , single-family detached and multifamily attached development
rights).
Using a density base, development rights would be created corresponding
to:
1. the total number of dwelling units (or possibly bedroom units)
reflected in the growth management regulation, including existing
units
2. the total square footage of commercial space reflected in the growth
management regulations, including existing commercial space
3. the total square footage of industrial space reflected in the growth
management regulations, including existing industrial space
It should be noted that in each case the development rights created include
rights to cover existing development (although these rights would be merged
with existing development).
On an acreage basis, the number of development rights created would
simply correspond to (1) residential, (2) commercial,and (3) industrial acreage
contained in the growth management regulations.
It should be noted that although density and acreage are presented as
alternative bases for the creation of development rights, a combination of
the two would also be feasible.
153
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Distribution of development rights. Regardless of the basis used in
creating development rights, the distribution of each type of right (residential,
commercial, industrial) would be established on the basis of the ratio between
the assessed value of each parcel of land in the community and the total
assessed value of all land in the community. Every landowner would be
entitled to receive a proportionate share of each type of development right
based on this ratio but not to exceed the full development potential of develop-
able land as reflected in the growth management regulations. In the case of
existing development, landowners would receive sufficient development rights
to cover such development.
Utilization of development rights. In order for any parcel of land to be
developed, it would be required that development rights consistent in both type
and number with the proposed development be demanded as a condition pre-
cedent to the issuance of a building permit. Needless to say, the proposed
development would have to conform to the growth management regulations for
the parcel in question. Once a parcel is developed, the development rights
exercised would merge with the development until the land was either returned
to an undeveloped state or redeveloped or converted into a use requiring a
different type and/or number of rights than those originally used. In the case
of redevelopment or conversion of use, development rights would have to be
obtained to cover such changes. Development rights distributed to landowners
for existing development would automatically merge with the developed parcels
upon distribution, and filing procedure would record this fact.
The owners of unattached development rights would be free to use them for
the development of their own land, subject to the growth management regula-
tions on that land, or in the present or at some future date they could place
them up for sale in the free market.
Adjustment of development rights. The type and number of development
rights that exist must at all times be consistent with the growth management
regulations in a community. As growth management regulations are changed,
development rights will have to be adjusted to maintain the required consistency,
In the case of density based rights, changes in the growth management
regulations would necessitate (1) the creation and distribution of additional
development rights if the changes resulted in increased gross densities for a
community and/or (2) the conversion of existing unattached development rights
from one type and number to another if the growth management program changes
resulted in a change in the type of development rights required for a particular
parcel (e.g., a change in use from residential to commercial). In such
instances, the conversion of unattached rights would be based on the ratio
between the number of rights of each type involved in the changes (i.e., an
exchange rate would be established for each amendment of the growth
management regulations).
156
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On an acreage basis, changes in use would always involve only the
conversion of development rights from one type to another. Such conversions
would simply be based on an acre-for-acre exchange rate.
The distribution of additional development rights created as a result of an
increase in current densities could accrue to all landowners or to the local
governing body for the benefit of all community residents. The latter alter-
native may raise legal questions concerning the exercise of police as opposed
to taxing powers.
Taxation of development rights. Development rights would be taxed in a
manner similar to real property. Initially, the value of each type of develop-
ment rights (residential, commercial, industrial) would be determined as a
percentage of the assessed value of undeveloped land of each type.
Subsequently, sales of development rights in the free market would be used to
establish their values. Undeveloped land would continue to be taxed as real
property though its assessed value would reflect the separation of development
potential. Exercised rights would not be taxed but would be merged with the
improvement on the developed land and the improvement would be taxed at its
assessed value.
The Revision Process
The foregoing sections set forth the basic elements needed to establish a
growth management program. The revision process is essentially updating or
adjustment process based on a long-range view of community and regional
growth. Many aspects of this process have been treated in the foregoing
sections to permit each element to be presented in its entirety.
Specifically, any revisions of current capacity and growth management
regulations must be accomplished in an integrated manner, coordinated with a
capital improvements program to control both the rate and sequence of
development so that they will be expressly consistent with the ultimate
development objectives set forth in a growth management plan. In short,
current capacity cannot be increased and reflected in the growth management
ordinance unless the infrastructure is exoanded as set forth in the capital
improvements program.
The essential components of this revision process are:
1 . a mandatory long-range growth management plan
2. a mandatory n-year capital improvements program related
specifically to the densities and uses proposed in the growth
management plan and the growth management regulations
3. a mandatory ri-year review process requiring a reexamination of
the entire program
-------
In essence, the jurisdiction would have a specified time period (n years)
following the adoption of the initial growth management regulations to prepare
for the revision process.
Since a vital element of the GMP concept is the determination of current
capacity, which in turn is the basic foundation of the growth management
regulations, it is essential in developing a long-range growth management plan
to make a careful reanalysis of the determinants of current capacity — natural
resources, critical areas, existing infrastructure and existing development.
This reanalysis provides a frame of reference for the various ramifications and
implications of long range socioeconomic factors, long-range community
objectives and long-range regional factors in relation to the development of a
growth management plan.
It should also be noted that a revision of the growth management
regulations would have to be accompanied by an adjustment of development
rights as described in the section on the TDR mechanism.
SUMMARY
In summary, the growth management program presented here is proposed
as a local planning and zoning process that will realistically balance growth
with environmental concerns. Its main emphasis is the determination of current
capacity and its primary mechanism for implementation is the transfer of
development rights. Owners of land in both the preserved critical areas and
the developable areas share in the benefits of community development since
the realization of full development potential is dependent upon the purchase
and sale of these development rights. In essence, the GMP concept is
intended to tie zoning to a more rational and definable base and to eliminate
the inequities in the traditional zoning process.
The growth management program described in this paper exists as a
conceptual model. However, sufficient legal research is presently available
to justify the statutory enactment of a growth management program based on the
reasonable expectation that the concept will be upheld as a valid approach to
guide growth. It should be apparent though, that its application to specific
government jurisdictions will require considerably more than mere legal
justification. It will also require specific types of research to transform the
model from its conceptual form to a form that can be implemented with a
minimum of administrative and technical complexity.1
The author and several of his colleagues are currently engaged in applied
research efforts of the types indicated on both the TDR and GMP concepts. It
is the author's sincere hope that this paper will stimulate others to undertake
related research in this important area of growth management.
158
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INSTITUTIONAL DIMENSIONS OF LAND USE
AND ENVIRONMENTAL MANAGEMENT
THOMAS J. MIERZWA
OFFICE OF LAND USE COORDINATION
ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D. C.
BEFORE A RESEARCH SYMPOSIUM SPONSORED BY
EPA, REGION II AND RUTGERS UNIVERSITY
MAY 26, 1976 — NEW BRUNSWICK, NEW JERSEY
159
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LEGISLATIVE MANDATES AS A BACKDROP FOR ENVIRONMENTAL MANAGEMENT
The Environmental Protection Agency's legislative mandates call
for the delegation of authority to state or designated regional and
local agencies to develop and implement the requirements of federal
environmental quality programs. Included in these requirements are
the development of state-wide and area-wide continuous planning pro-
cesses to enforce water quality standards and waste management plans
(FWPCA, 208), water quality facilities plans (FWPCA, 201), solid waste
disposal plans (SWDA, as amended, 207), and state air quality imple-
mentation plans (CAA, 110), including plans for the prevention of
significantion deterioriation and air quality maintenance.
Figure 1 below indicates how a range of EPA programs related to
regional environmental quality management are derived from federal
legislation.
LEGISLATIVE KVi DATES FOR EHVlRC'1'FtlTfll QUALITY I'.'.NAGEXENT
FZDEf-AL LZGISLATIOH
CAA
CLEAN AIR ACT OF 1970 •
(AS AitNDED)
SWDA
SOLID WASTE DISPOSAL ACT
EPA PROG,"A!1S PELA7ED TO REGIONAL E.3. HnllACEM
-> STATE IHPLE>ENTATIUN PLANS (110)
PREVENTION OF SIGNIFICANT DETERIORATION
AIR QUALITY MAINTENANCE
INDIRECT SOURCE REVIEW
PARKING MANAGEMENT REVIEW
STATE SOLID WASTE MANAGEMENT PLANNING (207)
FWPCA
FECEPAL WATER POLLUTION
CONTROL ACT (AS AMENDED)-
> WATER QUALITY MANAGEMENT BASIN PL1NS (333e)
AREAW1DE WASTE TREATMENT MANAGEMENT PLANNING (2ZZ]
FACILITIES PLANNING (201)
^ NATIONAL POLLUTION DISCHARGE ELIMINATION SYSTEM CvT.KiZ
* is A^GTin; BY irn: tw-oupc?: cni^^.^.
AND RiXrVFKV ACT Or1 1976, PI, 44-5PC
160
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In order to implement these programs, environmental quality
agencies at the regional and local level are required to analyze
regional development objectives, population and economic growth
projections, and land use and transportation patterns as they in-
directly affect ambient environmental quality, as well as the
direct effects of pollutant discharges resulting from regional
economic activities. Strategies and operational programs to achieve
environmental quality objectives now include transportation and land
use controls, proposals to modify the final demand for goods and
services in a region, changes in the assimilative capacity of the
natural environment, in addition to the traditional structural control
technologies, such as municipal wastewater treatment facilities or air
pollution control devices on automobiles. Carrying out these complex
control strategies through a combination of implementation instruments
(e.g., emission density zoning schemes, economic incentives and/or
capital improvement programs) places new demands on regional insti-
tutional arrangements for environmental quality management.
Under Section 208 (FWPCA), metropolitan areas have developed or
used a variety of institutional structures to carry out a Water Quality
Management (WQM) planning process, including metropolitan councils of
governments, counties, regional commissions, special-purpose agencies,
and potential cities as well. Under Section 110 (CAA), sub-state
metropolitan areas may be delegated responsibility for Air Quality
Maintenance (AQM) planning. Current efforts betv/een the EPA and DOT
have encouraged Metropolitan Planning Organizations to account for air
quality impacts from transportation planning decisions. Yet, the in-
stitutional structures currently available for integrating the required
transportation and land use controls with air quality management activities
and other regional environmental programs are essentially non-existent.
Figure 2 suggests that a disparity exists between the provisions
of EPA's legislative mandates and the implementation capabilities of
state and local governments.
FIGURE 2: IMPACTS ON THE INSTITUTIONAL "FABRIC" OF GOVERTiMENT
STABLING
LEGISLATION
WATER
PROBLEMS
AIR
PROBLEMS
SOLID WASTED
PROBLEM
TOXICS
PROBLEMS
ETC.
PROGRAM
ETC.
ETC.
STANDARDS
REGULATIONS
PLANNING REQ'MTS
PLANNING $
GUIDANCE
ETC. )•
STATE GOV'TS.
LOCAL GOV'TS.
- COG'S
- PLANS
- ORDINANCES
- BOUNDARY
- INTERGOV'
RELATIONS
SERVICE
AGREEMENTS
BOUNDARY
CONDITIONS
161
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INSTITUTIONS AND FEDERAL PROGRAMS
The environmental management process can be viewed as three main
functions: environmental problem identification and analysis, alter-
native strategy formulation, and implementation. Figure 3 on the
following page exhibits these main functions in a hypothetical sequence.
State levels of government are generally involved in problem
analysis and strategy formulation, whereas regional or metropolitan
government entities or local governments are usually responsible for
implementing the strategy. In most cases, the strategies for various
environmental media (air, water, solid waste, etc.) are not integrated,
and seldom is there an effort at coordinating implementation among other
federal environmental-related programs at the regional level. Further
barriers to orchestrated implementation rest in the fact that environ-
mental management programs are of a regulatory/enforcement nature as
opposed to the "development" orientation of most federal assistance
programs. The management tools for development (e.g.. support for
infrastructure) are normally easier to implement than limits on personal
or market place behavior. While the AQM and 208 programs rely primarily
on transportation controls, land use controls, and standards compliance,
most other federal programs are oriented to public infrastructure develop-
ment, and therefore rely on planning and financing as a control vehicle.
The thrust of recent federal statutes has been to require the
creation of area-wide agencies or authorities in metropolitan areas
to act as recipients of federal funds to accomplish public investment
objectives.
Recent policies and legislation concerning revenue sharing and
pass-through arrangements have made more urgent the need to develop
metropolitan agencies capable of planning and implementing public
programs, particularly for environmental quality management. Yet,
little is known, currently about the nature, composition, capabilities,
and general design criteria of area-wide institutional arrangements
which could effectively carry out such functions.
This problem of regional (metropolitan) implementation capabilities
appears therefore to have several aspects: On the one hand, numerous
special-purpose organizations exist at the regional level to carry
out federal programs, some of which have significant land use and
environmental quality relationships to EPA programs; on the other
hand EPA programs themselves tend to be fragmented institutionally
at the regional level, despite obvious intermedia effects of air,
land, and water. Additional factors which deal with how environmental
162
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REGIONAL E.Q. MANAGEMENT PROCESS
H
OJ
BASELINE DEMOGRAPHIC/
UNO USE/
TRANSPORTATION/
EMISSIONS DATA
\
/
ttVELOi' FUTURE
GROWTH FACTORS
AND DEVELOPMENT
PATTCINS
\
PROjrCT 19RO arM 19(10
EMISSIONS ma csnr'MA
POLLUTANTS IN:
AIR
LAND
WATER
_\
t
FORECAST 1980
AND 19»'> AMBIENT
ENVIRONMENTAL
QUALITY
\
/
DETERMINE
PrM.lUTAiUS
WHICH WILL
EXCFEO NATIONAL
E.Q. STANDARDS
->
IDENTIFY
r.r.Nf t-ATilH A:-0
DIirf'A?CCS AS
:C','°CES CF
POLLUTION I" TV
REGION
IDENTIFY POTENTIAL
CONTROL MEASURES
BY POLLUTANT AND
SOURCE CATEGORIES
N
\
/
IDENTIFY
ALTERNATIVE
IMPLEMENTATION
INSTRUMCNTS
\
/
DETERMINE FEAS-
IBILITY OF CONTROL
MEASURES I IMPLE-
MENTATION INSTRU-
MENTS IN TERMS OF
ENVIRONMENTAL, ECO-
NOMIC, ETC. IMPLIC.
/
DETERMINE PLACE-
MENT OF E.Q. KGMT.
PE5.70NSIBILITIES
IN KlfLlC/PRIVATE
INSTITUTIONAL
CONFIGURATION
\
/
\
/
FOHMULATE
ALTERNATIVE
(208.AQM.ETC.)
E.Q. MANAGEMENT
STRATEGIES
\
EVALUATE
STRATEGIES FOR
ENVIRONMENTAL,
ECONOMIC. LEGAL.
PUBLIC RESPONSIVE-
NESS, ETC. IMPLI-
CATIONS
X '
ISSUE EXECUTIVE
OKUtk'S, tNACT LFG-
ISLArtP.N AND/OR
IMPlCMfNT HRCiAN-
I.-ATIOMAL ARRANr.E-
MfNTS PF F.Q. MfiMT.
y
OPERATION OF
L.O. KANA'UMENT
ADHANr.LMLNTS
->
MONITOR AM.
I VAI UATF EiTECT-
IVCKFSS Of E.f).
CANAC! MfNT
SrRAtr.OY
J
t
I
T
I
\
/
A«!D SELECT T»IAL
E.C. MANAGEMENT
STRATEGY
-------
protection programs actually get implemented through the political
decision-making process would raise questions such as: Who are the
key actors or performers? How and why ordinances or statutes (as
implementation incentives) are adopted, changed or rejected? What
are the relevant relationships among key State agencies or State vs.
sub-state levels of government, and their citizen constitutents?
What are the requirements and constraints in the state-local budgetary
processes, and what are some creative fiscal approaches for an on-going
program? What long-term commitments realistically can be made by
elected officials? What veto powers or sanctions may be exercised
by individual elements of an area-wide organization? What are the
consequences of such actions and how may they be anticipated in the
planning process? What financial, institutional, and organizational
arrangements are required for implementation? How can implementation
of one program be reinforced by implementation of other environmental
protection programs? What are the appropriate criteria (e.g., effect-
iveness, efficiency, equity), for evaluating the performance of en-
vironmental agencies?
These questions all focus attention on the essential role of
insitutional arrangements in carrying out environmental programs.
THE ROLE OF INSTITUTIONS IN ENVIRONMENTAL MANAGEMENT
Given the nature of environmental problems, the essential task
becomes one of selecting the institutional arrangements to carrying
out a.strategy for managing residuals to achieve environmental quality
goals, consistent with society's desired allocation of resources.
A conceptual framework for regional residuals-environmental quality
management has been described by writers in the field such as Bower,
Ehler, and Kn My purpose here is to place the notion of insti-
tutional arrangement in that context.
An environmental management strategy is a specific set of both
structural (hardware) and non-structural (institutional) measures to
be carried out over time and space, resulting in changed ambient en-
vironmental quality. Examples of structural measures would include
changing the technology of a sub-process of an industrial operation,
such as a change from wet (lye) peeling to dry (abrasion) peeling in
canning of peaches, or the construction of a municipal waste oil pro-
cessing plant. Examples of non-structural measures would include an
effluent charge, (i.e., amount of money to be paid for every kilogram
of a residual discharged to the environment), the banning of a partic-
ular product, (such as non-returnable containers for beer and soft
drinks), and the specification of a limit on the amount of sulphur
in fuel used in power plants.
164
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In order to conceptualize environmental management activities
at the regional level, the outline of a framework is necessary.
This framework encompasses five key steps:
1) Regional Environmental Quality Analysis, including
the application of models and analytic techniques
for describing and predicting residuals generations
and discharge patterns over space and time, and
intermedia residuals analysis through an improved
environmental planning process.
2) Strategy Formulation, including the identification
of physical methods of controlling pollution, and
the evaluation of land use controls, economic in-
centives, legal actions, etc., as instruments to
implement sets of pollution controls.
3) Selection of an appropriate institutional configuration,
and the selection of an effective mix of public and/or
private entities which have or can obtain the legal
authority to implement a given regional environmental
quality plan.
4) Environmental Quality Management Strategy
Implementation, including the procedural
guidance for actually carrying out environ-
mental management strategies.
5) Monitoring to determine the changes in
environmental quality resulting from manage-
ment performance of regional environmental
programs, and Evaluation of the effectiveness
of environmental quality management strategies.
Figure 4 on the following page illustrates the linkage between
these management elements.
165
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E.Q. MANAGEMENT LINKAGES
Aits iDSsrzFKttios
f.lTF.RMTIVE
STRATEC! FORMVMTTna
f VI" .
SOl'RCES RESIDUALS CONTROL MEASURES
ro:vr:
1 I-V.try
Eijrjv Coriv.
Etc
LIN!!:
Transportation
*tr.
AHF-V.
A«!'! culture
Scslccntlnl
Minim
S< Kjtu1, •«»•(^_ /,
IMPLFMCNTATION CVALUATION 8 SCLLtTION IN5TITUTKJNAI. EVA'UATICTI Of
INSTRUMENTS OF INSTRUMENTS COHriGURATIOM EFFECT IVflLS:
Spatial /I onward! Redistribution
of Artlvitles/Rcsiduals
AisinU.itive Capacity
Modification
Envlfe'wiilal Quality
Specification Modifica-
tion
etc.
.--.i.vtMfy «>:./ ff<:lf<.itiH,i tin' r.-ftni'tj ii'irtv mriiwnrne
0
Tax Policy
Economic Incentives
Grants
Simr.idlcs
7.o»livi
Capital rmp'-ovemcnts
Pronriims
St«indards-SPtHng
Emissioii'./Efflucnts
L Inn' ta lions
Emission:, /Effluents
Charqes
Specifications
PonnUs
Compl 1,i ntc Schedules
etc.
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-------
EPA PROGRAMS AND FEDERAL/STATE RELATIONS
Federal/State relationships are being significantly changed by
the expansion of regulatory authority assigned to EPA, especially
in the form of the setting of environmental quality standards, the
prescription of implementing regulations, more direct surveillance
of compliance, and the enforcement of standards, should State-level
enforcement be deficient. Complicating these changes is the retention,
at the same time, of State-level responsibility for carrying out these
federally-established regulatory measures.
In other words, the Congress has made it clear that the recent
expansion of EPA's regulatory authority is not to diminish State
authority and responsibility. Thus, the amendments to the Clean Air
Act and the Water Pollution Control Act expressly restated Congress'
determination that the States are to retain the primary responsibilities
(and rights) in the control of pollution.
Recent federal legislative proposals also purpose to alter State/
local and interlocal relationships—and in many States it is forcing a
serious reappraisal of these relationships. Here the changes basically
result from Congressional decisions, already alluded to, to continue to
hold the States responsible for carrying out federally-established
environmental goals and from the increased complexity of environmental
management programs.
Although this complexity is evident in many ways (complex
effluent standards and attention to non-point waste sources are
illustrative), three aspects are especially important in affecting
State/local and interlocal relationships. The first is the shift
from an essentially reactive approach to pollution control to a
preventive approach. A second is the increasing need to integrate
waste management decisions and operations with land use and other
related resource management and economic development policies.
The third is the frequent need to effect this integration on some
regional scale which exceeds the area! jursidiction of any single
local government unit.
Each federal area-wide program grew up with its ov/n federal
requirements for organization, geography, planning, and administration.
Figure 5 illustrates the range of environmental requirements
in Federal programs.
167
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FIGURE 5- Environmental Requirements in Federal Areawide Programs:
1972
Specific Follows General Program Policies
Name of Program Requirements Federal Policy Not Yet Issued
Air Pollution Control X
Airport System Planning X
Appalachian Local Development District
Assistance X
Areawide Compiehensive Health Planning (314b) X
Areawide Comprehensive Planning Assistance (701) X
Areawide Waste Treatment Management X
Community Action (CAP) X
Economic Development Planning X ,
Lav/ Enforcement Planning X
Manpower Planning (CAMPS) X
Mew Communities . X
Open Space X
Project Notification and Review (A-95) * X
Regional Medical Program X
Resource Conservation and Development X
Rural Development Planning X
Rural Industrialization Assistance X
Solid Waste Planning Grants X
Urban Mass Transportation Planning X
Urban Transportation Planning X
•"•ater/Sewer Facilities X
>'-'aier and Sewer Planning for Rural Communities X
''•'iter and Waste Disposal Systems for Rural
Cornnvjnities X
vV3'>er Quality Management Planning X
Totals 15 7
e: Catalog of Federal Domestic Assistance; Federal Register; and Program Guides and Directories.
Only recently have federal efforts to simplify and coordinate
these requirements begun to bear fruit. Thus, the area-wide organi-
zation dealing with several federal programs has often found itself
spending a large proportion of its time and talent on activities
commonly referred to as "grantsmanship". This is a confusing and
frustrating set of activities for area-wide planners and politicans.
The organizational approach to area-wide problems stresses
the need for institution building. For example, Section 701g of
the Housing Act of 1954, as amended in 1965, provides general
support to councils of government. The thought is simply that
having such an organization in a ir.ulti-jurisdictional community,
with substantial funds available to it, will contribute signifi-
cantly to the solution of area-wide problems. Much of this same
thinking has permeated functional assiynr.ient decisions made by
EPA programs.
168
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FUNCTIONAL ASSIGNMENTS FOR ENVIRONMENTAL MANAGEMENT
Issues of functional assignment are at the heart of American
federalism. Whether a service will be performed locally, regionally,
or at a State or national level is a subject of protracted political
debate. Both new and old assignment struggles have focused on deter-
mining the relative powers and responsibilities of the various levels
of government in the federal system. Viable federalism, then, hinges
in large measure on its functional assignment policies.
Figures, beloty illustrates some classic overlaps in functional
assignment.
FIGURE 6: Typo of Organization Required by Federal Areawide Programs: 1972
Name of Program
Air Pollution Control
Airport System Planning
Appalachian Local Devel. Dist. Asst.
Areawide Comp. Health Ping. (314b)
Areawide Comp. Ping. Asst. (701)
Areawids Wcste Treatment Management
Community Action (CAP)
Economic Development Planning
Law Enfoicement Planning
Manpower Planning (CAMPS)
New Communities
Open Space
Project Notification & Review (A-95)
Regional Medical Piogram
Resource Conservation & Development
Rural Devjlopment Planning
Rural Industrialization Assistance
Solid Waste Planning Giants
Urban W..ns Transportation Planning
Urban Transportation Planning
Water/Sewer Facilities
Water & Sewer Ping, for Rural Communities
Water & Waste Disposal Systems for Rural Communities
Water Quality Management Planning
Totals
Source: Cataloa of Fe
-------
Conflict and uncertainty about new service responsibilities often
results in a haphazard pattern of functional assignment. Some defend
this piecemeal approach to service allocation as a reflection of
American political pragmatism, assigning a responsibility to the level
or unit of government that most wishes to perform it. Others see it
as indicative of the incredible geographic, cultural, social, political,
and economic diversity that exists in the country. Still others argue
that the many competing considerations affecting functional assignment
make it impossible to arrive at a general political consensus about
service allocations. Some observers see little need or little possibility
for a systematic service assignment of functional responsibilities.
But, since there is little guidance as to the costs and benefits
of alternative patterns of service allocation, functions continue to
be assigned or reassigned to what many consider to be inappropriate
or illogical levels or units of government.
There are basic defects in the present distribution of service
responsibilities, and many functional assignments seem inappropriate
because they are inefficient, inequitable, ineffective, or undercut.
the doctrine of public accountability.
Service inefficiencies occur when governments perform assigned
functions at an excessively high price, offer only a limited range
of services, or do not seek alternative means of delivering services
at a lower cost. A second defect in the present pattern of assign-
ment involves service inequities, which occur when the performance of
a function imposes uncompensated costs or benefits on another juris-
diction. Ineffective service delivery occurs when functions are
assigned to jurisdictions that do not have the management expertise,
scope of functional responsibilities, geographic scale, or legal
authority to perform a function adequately. Fourth, current assign-
ments frequently neglect the need for citizen access and control and
participation in the delivery of services.
Inefficient assignments raise the cost and reduce the quality
and scope of a service. Inequitable assignments result in an unfair
distribution of service costs and benefits. Ineffective assignnents
yield illogical and uncoordinated patterns of service delivery, and
unaccountable assignments can produce popular alienation with all
levels of government. These costs arise, to a greater or lesser
degree, from the present, ad hoc distribution of service responsibilities.
A more ordered and reasoned assignment policy could avoid many of them.
170
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Areawide functional assignment policies could be an integral
element of substate regional administration. But most decision
makers seem content to allocate functions on a case-by-case basis
with little thought given to defining the overall service and
governance roles of local, county, regional, State and national
governments. Whether a systematic functional assignment policy can
and should be pursued by federal, state, and local decision makers
is an issue which deserves special consideration in the assignment
of environmental management responsibilities by EPA.
Institutional Design Considerations
Several issues confront programs which require change in current
patterns of functional assignment. The following questions encompass
most of the arguments for and against policies that would systematic-
ally define the service responsibilities of State, areawide and local
governments.
1- Is a systematic distribution of service responsi-
bilities feasible?
2. What are the elements of a reasoned and effective
apportionment of functions?
3. How can a systematic service assignment policy be
implemented?
An attempt is made here to examine a range of design considerations
for institutional and organizational arrangement for environmental manage-
ment at the regional/local government level. One approach for accomplish-
ing this is to develop (categories of) institutional design criteria which
might lead to a full articulation of the range of criteria in some form of
taxonomy. Within this delimitation, categories for criteria would include:
A. Economic Criteria: These consist of factors which
suggest that responsibilities should be assigned
to jurisdictions that can provide the service at
the lowest possible cost and that can finance a
function with the greatest possible fiscal equali-
zation. Generally these factors include economic
efficiency and fiscal equility.
B. Political Criteria: These consist of factors which
suggest responsibilities be assigned to jurisdictions
which can provide a service with adequate popular
political support or political accountability.
171
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C. Management/Organizational Criteria: These consist
of factors whereby a jurisdiction (or group of
jurisdictions) can administer a function in an
authoritative, technical proficient, and cooper-
ative fashion. Generally, this would amount to
r Administrative effectiveness.
It can be seen that a complex pattern of intergovernmental and
program relationships affects the placement of functional responsi-
bilities for environmental management. A major improvement 1n this
assignment process would be the conscious application of a set of
Institutional design criteria. The following figure identifies a
range of these institutional design considerations.
FIGURE 7:
INSTITUTIONAL DESIGN AND FEASIBILITY CONSIDERATIONS
,1
EFFICIENCY IN TERMS OF COSTS
PUBLIC SERVICE EQUITY
DEGREE OF (SOCIAL) CHANGE REQUIRED
SPEED WITH WHICH MANAGEMENT
CONTROLS CAN BE INSTITUTED
SIMPLICITY OF OPERATION
POLITICAL ACCOUNTABILITY
FLEXIBILITY IN RESPONDING TO NEW
ENVIRONMENTAL PROBLEMS
FUNCTIONAL EFFICIENCY
RELIABILITY IN RESOLVING
MANAGEMENT ISSUES
INTERGOVERNMENTAL FLEXIBILITY
ADMINISTRATIVE EFFECTIVENESS
INTERDEPARTMENTAL FLEXIBILITY
• AMOUNT OF INFORMATION COSTS
ENCOUNTERED IN IMPLEMENTATION
O FEDERAL PROGRAM INTEGRATION
CAPABILITY
• POLITICAL VIABILITY
GEOGRAPHIC JURISDICTIONAL ADEQUACY
FISCAL CAPABILITY
...after ACIR (1973), D'Arge (1973), and Ingram (1974
172
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Suggested Institutional Options
Traditional literature starts from the assumption that a unified
structure is a prerequisite for effective administration. However,
institutional solutions which hinge on centralization have lost favor
because fragmentation is a political fact of life, and there exists a
general disenchantment with large bureaucratic organizations. Thus,
while there is still a strong tendency to structure institutions in a
centralized manner, varying forms of organizational arrangements should
be considered for environmental management of their basis of their
feasible performance.
A number of structured and non-structured institutional formats are
briefly mentioned here.
A. Structured Formats:
1. The Natural Resource
District
2. Water Planning Districts
(De Grove)
3. Urban County
4. Metropolitan Councils
5. Special Districts (metro-
wide)
B. Non-Structured Formats:
1. Intergovernmental
Agreements
2. Joint Administration
3. Transfer of functions
4. Joint Service Agreements
5. Contracted Services
6. Annexation
7. Consolidation
8. City-county separation
9. Grass roots strategy - TVA (Ingram)
10. Federation
11. Governors' strategy - ARC (Ingram)
12. Compromise strategy - DRBC (Ingram)
13. Natural resources corporation
173
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The observation which can be made from this brief listing is that
creative formulation of institutional arrangements will of necessity
comprise existing structures. The challenge we face is to relate
them intergovernmentally and multifunctionally through the use of non-
structured formats and organizational arrangements. The key challenge
for those attempting to use institutions creatively is:
How can we bridge the gap between "what is" and
"what should be"?
These observations only reinforce the need for a deeper examination
into the full range of potential institutional arrangements which might
apply for environmental management. Although the "conventional wisdom"
still remains as the base from which to draw, unique more creative com-
binations need to be devised and tested.
174
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LEGAL PROBLEMS OF WATER QUAUTY MANAGEMENT PLANNING
William Goldfarb
Associate Professor of Environmental Law
Department of Environmental Resources
Cook College
Rutgers University
Prepared for Presentation at
ENVIRONMENTAL QUALITY AND LAND USE PLANNING
RESEARCH SYMPOSIUM
Sponsored by
Environmental Protection Agency, Region II
Department of Environmental Science, Cook College
Department of Environmental Resources, Cook College
May 26-27, 1976
175
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LEGAL PROBLEMS OF
WATER QUALITY MANAGEMENT PLANNING
WILLIAM GOLDFARB
COOK COLLEGE
RUTGERS UNIVERSITY
I. Water Quality Management And Land Use
Planning processes of various kinds at all levels of government
affect water quality, but "water quality management planning" is a
term of art which refers specifically to sections 208 and 303 of
the Federal Water Pollution Control Act Amendments of 1972 (here-
inafter the "Act"). Entitled "Areawide Waste Treatment Management,"
section 208 is central to attainment and maintenance of the Act's
goal of fishable/swimmable waters by 1983. It is primarily through
208 planning and management, as augmented by the State continuing
planning process of section 303 (e), that the Act's three main
elements—the construction grants program, the NPDES permit system,
and the Act's numerous and disparate planning provisions—can be
integrated in a systematic manner and applied to the major causes
of water pollution.
Water quality management planning has taken on increased sig-
nificance since the passage of the Act in late 1972. The Act's
emphasis on sewage treatment plants and discharge permits embodying
technology-based effluent limitations reflects the drafters' view
176
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that point sources (dischargers with "discernible, confined and
discrete" discharge conveyances, such as industrial outfall pipes)
were the primary sources of water pollution, in addition to being
the most accessible to regulation. Since 1972, however, it has
become evident that nonpoint sources (runoff from activities such
as agriculture, mining, and construction) are in fact the major
contributors of pollutants like BOD and total suspended solids to
many waterways. For the most part, nonpoint sources are not amenable
to the sewerage or technology-based effluent limitation approaches.
Regulating them depends on land use controls and land management
practices. And in the context of the Act only water quality man-
agement planning provides a vehicle for reconciling land use
management with water quality considerations. Moreover, a federal
district court has held that water quality management planning must
be undertaken by States in all nondesignated areas, maki/i^this process
an obligatory national phenomenon.
Virtually every program area of a water quality management plan
entails land use planning.
Water quality management plans must identify "treatment works
necessary to meet the anticipated municipal and industrial waste
treatment needs of the area over a twenty year period...." Con-
struction priorities and time schedules for the initiation and
completion of treatment works must be established and a regulatory
program instituted to implement construction of treatment works
and assure their proper functioning, In order to facilitate de-
177
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terminations of sizing and location of treatment works, one of the
significant outputs of the water quality management planning process
is a land use plan including time-related population and land use
projections which are seen as compatible with water quality ^oals.
These land use projections will govern decisions regarding phased
development of systems and modular construction of individual fac-
ilities to meet future needs, thus avoiding initial overdesign of
waste treatment systems and distorted growth patterns resulting
therefrom. One of the major aspects of the regulatory program in
this area is the formulation of sewer hookup schedules and their
use in managing the system in order to prevent growth from exceeding
the designed capacity of the system. Thus, at least where facilities
planning has not already been completed, water quality management
planning will, by determining the size and location of municipal
treatment works, establish growth limitations for a particular
region.
With regard to industrial point source dischargers, the role
of the water quality management planning process is to maintain
effluent limitation segments (sections of waterway where water quality
standards can be maintained with the application of technology-based
effluent limitations) in $heir desired condition, and, in addition,
to set wasteload allocations and water quality derived effluent
limitations on water quality segments (sections where initial tech-
nology-based effluent limitations will be insufficient to meet
water quality standards). Effluent limitations arising from the
water quality management planning process will then be incorporated
into the NPDES permit program. It is clear that wasteload allocations
178
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on water quality segments are crucial to industrial siting. Pur-
suant to Federal regulations, "each pollutant load allocation...
shall incorporate an allowance for anticipated economic and pop-
ulation growth over at least a five-year period and an additional
allowance reflecting the precision and validity of the method used
in determining such allowance." This "growth allowance" will be
both arrived at and allocated by the land use plan, one element
of which must be a program controlling industrial location in order
to restrict the siting of future industrial development to stretches
where receiving waters can more readily assimilate the treated
wastewater*
As for nonpoint sources, a water quality management plan must
include an identification of relevant nonpoint sources of pollution
and a regulatory program for controlling them. This regulatory
program should provide for the application of "Best Management
Practices" (that mix of structural and nonstructural measures, in-
cluding land use and land management controls, which is appropriate
to a particular nonpoint source).
Finally, a water quality management plan must contain processes
to control the disposition of residual wastes (sludge) generated in
the area which could affect water quality, and to control the dis-
posal of pollutants on land or in subsurface excavations within the
area to protect ground and surface water quality.
Indeed, land use and land management planning and regulation
are the locus of water quality management planning.
179
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The purpose of this paper is to delineate and examine a number
of legal problems which it is predicted will beset water quality
management planning. Practicality dictates that the author not
attempt an exhaustive treatment of the legal pitfalls in the path
of this process. Rather, the following discussion is restricted to
the "Enforceability Problem" and those lesser but related difficulties
which may be subsumed under it.
II. The Enforceabilitv Problem
Unlike many other planning statutes, the Act and its water
quality management planning process is ostensibly concerned with
implementation. The plan must include the "establishment" of various
regulatory programs, "the identification of those agencies necessary
...•to carry out the plan," and "the identification of the measures
necessary to carry out the plan (including financing), the period
of time necessary to carry out the plan, the costs of carrying out
the plan within such tine, and the economic, social, and environ-
mental impact of carrying out the plan within such time." The plan
must also set out a process for identifying appropriate nonpoint
sources of pollution and "procedures and methods (including land
use requirements) to control to the extent feasible such sources."
Another output of the planning process is the nomination of a
waste treatment management agency, which is designated by the Gov-
ernor and accepted by the Administrator unless it "does not have
adequate authority to carry out appropriate portions of an areawide
waste treatment management plan...."
180
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However, one of the major problems of the water quality
management planning process is that the Act purports to require
areawide agencies in designated areas and States in nondesignated
areas to formulate, develop, and implement land use plans and
controls to meet water quality goalsi but, for all its references
to implementation, the Act does not impose a corresponding en-
forceable legal duty to perform these functions.
The enforceability problem contains two aspectsi 1) How can
the submission of an adequate plan be compelled? and 2) Once an
adequate plan;4s in existence, how can its implementation be
compelled?
The first aspect of this problem might arise in any number
of contextsi
(a) No areawide planning agency is established and the
State, which then has the responsibility for area-
wide planning, fails to produce an adequate plan
by November le 1978.
(b) An areawide planning agency is designated, but no
plan is completed by November 1, 1978.
(c) An areawide planning agency is designated, and a
plan is prepared, but local governments refuse to
endorse it.
(d) An areawide planning agency is designated, and a
plan is prepared and approved locally, but the
Governor refuses to certify it.
(e) An areawide agency is designated, and a plan is
approved locally and also by the Governor, but the
Administrator disapproves it.
There are other possible variations on this baleful theme, but the
basic difficulty remains one of compelling the production of an
adequate plan.
181
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Section 208 is ailent with regard to remedies or penalties
for failure to plan or defective planning* Nor does 208 include a
provision which would authorize the Administrator to promulgate a
plan for a State or areawide agency in case of default.
Moreover, those sanctions which do appear in section 208 can
only be invoked after the approval of a plant "After a plan for such
area has been approved.,.the Administrator shall not make any grant
for construction of a publicly owned treatment works...within such
area except to such designated agency and for works in conformity
with such plan." Also, "no permit under Section 402 of this Act
shall be issued for any point source which is in conflict with a
plan approved pursuant to...this section."
It is not clear to the author that Natural Resources Defense
1
Council v. Train alleviates this aspect of the enforceability
problem. According to one commentator
the Court decision removes the obstacles
identified by previous EPA legal opinion's
(sic) which indicated that the Administration
(sic) had no authority to refuse facility
grants or discharge permits if 208 plans were
not submitted. Clearly, this is not a problem
under Judge Smith's ruling! for he finds that
208 plans are required for the entire Country 2
(sic) and they must be produced on the deadline.
The point is. What can be done if they are not produced on the
deadline? NRDC v. Train does not appear to change the situation
with regard to withholding of facility grants or discharge permits
prior to plan approval.
Of course, Federal 208 funding for the State or an areawide
agency might be curtailedi "In the event of grantee noncompliance,
182
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the Regional Administrator may reduce the grant amount or terminate
the grant...," Moreover, "an amount not to exceed ten percent (10$)
of the grant award may be withheld for noncompliance with a program
objective, grant condition, or reporting requirement." But since
the advance payment method of reimbursement ia generally utilized,
and since blatant failures in the planning process will most likely
occur as the end approaches and difficult policy questions of plan
selection arise, the withholding of Federal 208 funds or the threat
thereof will probably rot be sufficient to compel submission of
an acceptable plan.
With reference to funding, one interesting suggestion which
has been made is that Federal program grants be withheld if a State
3
does not submit an adequate plan for nondesignated areas. Subsection
106 (f)(3) of the Act provides that program grants shall be made
on condition that "such State submits.,.its program for the pre-
vention, reduction, and elimination of pollution in accordance with
the purposes and provisions of this Act...." One of the major goals
of the Act is "that areawide waste treatment management planning
processes be developed and implemented to assure adequate control
of sources of pollutants in each State." And it is evident that
section 208 is the paramount means of achieving this goal. Never-
theless, although this approach appears to be legally viable, it
is doubtful whether EPA would in practice inhibit a State's entire
pollution control program for failure to plan adequately.
There is one partially effective sanction available where a
183
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State is concerned. According to Federal regulations, "substantial
failure of any plan or plans prepared pursuant to the approved State
planning process to conform with applicable requirements of this
part...,including gross failure to comply with the scjsdule for
State water quality management plan preparation,,,«may result in
withdrawl of approval of part or all of the process." Withdrawl
of approval of the continuing planning process may culminate in
termination of a State's authority to administer the NPDES permit
program. However, this is really a paper tiger in situations where
the State has either not taken over the permit program or has
adopted it and would willingly relinquish this responsibility.
And at best this sanction only applies to a State, rot to an area-
wide agency.
Sections 309, 505, and 509 of the Act, which govern judicial
relief, do not create a civil remedy for violation of section 208,
and it is unlikely "that such a remedy could be worked out as a
4
matter of Federal common law." But might a mandamus proceeding,
brought either by EPA or private citizens, lie against a State or
an areawide agency to compel performance of its water quality man-
agement planning functions? Assuming for the sake of argument that
mandamus actions survive independently of the citizen suit pro-
visions of section 505 (and such would appear to be the weight of
authority), a writ of mandamus would probably lie to compel the
production of a water quality management plan. But what kind of
plan? States will complain about Inadequate funding and may argue
impossibility of performance in order to excuse the submission of
184
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superficial plans. But by and large States and areawide agencies
will fail to plan not because of dilatoriness or lack of resources,
but because of intractable political problems.
It has been pointed out that water quality management planning
has extensive implications for the amount and location of growth
within a particular planning area. Thus, it is important to realize
that such plans will be controversial, despite attempts to elicit
citizen participation in the planning process. Water quality man-
agement planning will inevitably create winners and losersj and
planning agencies will find themselves walking a tightrope between
politically viable triviality and hotly contested substantiality.
Moreover, the Act does not contain unambiguous criteria for
the content of water quality management plans. With regard to point
sources, plans shall include a process to identify and construct
"treatment works necessary to meet the anticipated municipal and
industrial waste treatment needs over a twenty year period...„"
What these "needs" U/ill be is not a mere matter of extrapolation
from often dubious population projections, but involves social and
political choices among various growth configurations, or, in
extreme cases, the outright rejection of growth. Municipal treatment
"needs" are on the one hand reflections of community choice and
on the other hand self-fulfilling prophecies. As for nonpoint
sources, the plan shall include a process to identify appropriate
nonpoint sources of pollution and "set forth procedures and methods
(including land use renuirements) to control to the extent feasible
185
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such sources." Also, "to the extent practicable, waste treatment
management shall be on an areawide basis and provide control or
treatment of all point and nonpoint sources of pollution." The Act
neither defines nor clarifies "feasible" or "practicable," in contrast
to the economic and technological guidelines of section 304 for
point sources.
The Act* s opacity with regard to the actual content of water
quality management plans essentially means that the plans* strategies
are discretionary with the planners. And the very existence of such
broad discretion will encourage attempts at political influence and
obstruct the planning process. Plaintiffs who sue in mandamus to
compel the production of plans may only have a right to demand
that plans be developed which meet water quality standards and
will result in fishable/swimmable waters by 1983. (Even these over-
all goals of water quality management planning are not explicitly
stated in the Act and may require judicial articulation.) But plans
submitted in response to court orders may well be exercises in
futility, because there is nothing in the Act upon which to base
a mandamus action against State or local governments to compel
acceptance, endorsement, or implementation of a plan. Indeed, there
may not even be adequate standards upon which to found an action
against a governor for refusal to certify a plan. And in light of
the inherent controversiality of water quality management plans,
the prospect of municipal and gubernatorial intransigence is far
from remote.
186
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If the problem of compelling the submission of adequate plans
is a stubborn one, at least as obstinate will be that of compelling
the implementation of water quality management plans once they have
been approved. Before concentrating on plan implementation, however,
it would be well to take up another question about plan content.
The Act is not entirely clear as to the responsibility of
areawide agencies in designated areas and States in nondesignated
areas to formulate, develop, and implement land use plans and
controls.Subsection 208 (b)(2)(C)(ii) provides that the water
quality management plan shall include "the establishment of a
regulatory program to regulate the location, modification, and
construction of any facilities with such area which may result
in any discharge in such area...." The term "facilities" is not
explicitly defined in the Act, and it will doubtless be argued
that it is synonomous with public treatment works, thus excluding
private installations. However, the use of "facilities" in other
sections of the Act (notably sections 306* and 311) would appear
to support EPA's contention that "facilities" in section 208 is
to be interpreted broadly, especially in view of the Act's sup-
portive statements of purpose.
What if a water quality management plan is approved by local,
State, and Federal governments but the localities or the State fail
to implement its provisions? And what if an attempt at implementation
is made but the regulatory mechanisms are declared void by courts
either as unconstitutional "takings" or for lack of satisfactory
187
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enabling legislation? And what if the State legislature does not
subsequently pass the requisite enabling legislation or take steps
to deal with the "taking issue"?
It has been pointed out that the three components of a water
quality management plan are the municipal facilities component,
the industrial discharge component, and the nonpoint source com-
ponent. Aside from defects in construction and faulty operation,
there is no great danger of municipal facilities which do not con-
form to the plan. After the plan is approved, grants can only be
made to designated management agencies for projects which are con-
sistent with'the plan. (That water quality management plans may be
rationalizations of prior facilities planning is lamentable but
probably unavoidable.) The greater hazard is that the cornerstone
of the facilities component—the sewer hookup schedule based on the
time-related land use plan—will go unenforced, resulting in over-
loaded facilities and unrestricted growth. Pursuant to subsection
208 (c)(2)(H), no designation shall be made unless the designated
management agency (or agencies) shall have the authority to "refuse
to receive any wastes from any municipality or subdivision thereof,
r
which does not comply with any provisions of an approved plan..,."
But authorization is by no means tantamount to enforcement. Insofar
as independent sewerage authorities are designated as management
agencies, this sanction will be unpopular because members of such
authorities are often politicians who would be loathe to provoke
the hostility of nonconforming communities. Secondly,, sewerage
188
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authorities are supported by sewage treatment chargesi rejection
of wastes would be self-defeating. And thirdly, the result of waste
rejection would be the discharge of raw sewage to waterways. Where
a municipality itself operates treatment facilities as a municipal
treatment authority or otherwise, the paradox might arise of a
municipality being called upon to refuse its own wastes. Finally,
the waste rejection device is deficient because there is no mandatory
duty of rejection, and it is therefore not susceptible to mandamus.
A municipality can be encouraged to implement a water quality
management plan by way of a sewer hookup moratorium. Maximum loadings
will be included in the discharge permit for the treatment plant,
and if these limits threaten to be exceeded because the hookup
schedule is not being enforced the State or the Administrator, as
the case may be, "may proceed in a court of competent jurisdiction
to restrict or prohibit the introduction of any pollutant into such
treatment works by a source not utilizing such treatment works
prior to the finding that such condition was violated." But this
is again discretionary with Federal or State officials.
As for industrial discharges, no discharge permit shall be
issued for a point source which is in conflict with the plan. In
other words, management agencies will have to be provided with
access to the permit process similar to that possessed by States
under section 401 of the Act. It has been cavalierly assumed that
5
"the issuance of permits may be delegated to areawide 208 agencies."
Nevertheless, the clear language of the Act and its attendant reg-
189
-------
ulations as well as the legislative history would appear to preclude
delegation of the NPDES program below the State level.
Nonpoint source pollution will give rise to the most difficult
problems of enforcement. Initially, it was felt that the burden of
enforcing nonpoint source regulatory programs would fall primarily
on local government, but after an analysis of the potential pol-
itical impediments and the lack of available sanctions EPA has
recently concluded that States will likely be responsible for im-
plementing many of the aspects of accepted plans. But what if a
State is also intractable? And what if a State effectly inhibits
local regulation by not passing necessary enabling legislation or
not taking legislative or administrative measures to obviate or
mitigate the "taking issue"? It does not seem that the State could
be deprived of the NPDES permit program for failure to implement
an approved water quality management plan, as opposed to failure
to plan adequately. Moreover, we have already pointed out that
EPA would be reluctant to terminate or decrease program grant funds
because of defects in a water quality management planning process.
There are at best problems of statutory authority and at worst
constitutional problems with direct legal action by the Administrator,
pursuant to section 309 of the Act or by way of mandamus, to compel
6
a State to implement a water quality management plan. In Brown v. EPA.
the issue raised was whether EPA possessed the authority to impose
sanctions on a State, pursuant to section 113 of the Clean Air Act,
for failure of the State to implement a transportation control plan
190
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promulgated by the Administrator. Finding it unnecessary to decide
upon the constitutional objections interposed by the petitioners,
the Court held
that the Clean Air Act does not authorize
the imposition of sanctions on a state or
its officials for failure to comply with
the Administrator* s regulations which direct
the state to regulate the pollution-creating
activities of those other than itself, its
instrumentalities and subdivisions, and the
municipalities within its borders«.,«Tersely
put, the Act, as we see it, permits sanctions
against a state that pollutes the air, but
not against a state that chooses not to
govern polluters as the Administrator directs.
Furthermore, in discussing the constitutional arguments, the Court
intimated strongly that there were also constitutional deficiencies
in the imposition of such sanctions.
Does it make a different that water quality management plans
are adopted by a State, whereas some transportation control plans
are promulgated for a State by the Administrator? Are the Clean
Air Act and the Federal Water Pollution Control Act Amendments of
1972 sufficiently distinguishable so as to give rise to a different
result in a lawsuit analagous to Brown v. EPA but involving water
quality management plans? A thorough discussion of these and other
such questions would require a paper at least as long as this onej
but suffice it to say at this point that the Brown case and its
counterparts will, unless reversed by the United States Supreme
Court, almost certainly be an obstacle to Federal actions against
States to enforce water quality management plans.
191
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Ill, The Aftermath
In the opinion of this author, the very amorphousness, contro-
versiallty, and unenforceability of water quality management planning
will inevitably result in the passage of stronger State (and perhaps
even Federal) land use laws.
First, the planning process will develop a great deal of in-
formation about water quality degradation and its relationship to
human activity. (Ag a matter of fact, given the political realities,
planning agencies may well take refuge in the compilation of data.)
For the first time it will literally be brought home to people in
particular areas that crucial tradeoffs must soon be made between
growth and water quality. Thus, water quality management planning
will perform a consciousness-raising function, and will hopefully
evoke a demand for rational and enforceable solutions. Furthermore,
when it is seen that such solutions cannot be formulated or im-
plemented through a hodgepodge of local and State regulation under
the present statutory scheme the demand will focus on the State and
Federal levels.
Second, the American public has not yet realized that water
quality management planning is indeed a kind of "back door" land
use planning. When the real magnitude of water quality management
planning becomes widely appreciated an initial sense of indignation
will quickly give way to a justifiable fear that arbitrariness and
political influence will, as they so often do, sneak in through
the back door. And the demand for better planning and implementation
192
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will grow.
Third, the water quality management planning process will be
chaotic without prodigious State involvement by way of guidelines
and coordination. It does not require a great deal of imagination
to raise the spectre of adjacent designated planning areas with
contrasting attitudes toward growth developing conflicting plans
including incompatible modes and levels of regulation. And one can
almost hear the legitimate complaints by developers and industry
about regulatory disparities and the denial of equal protection
of law, culminating in threats to close down or relocate. Thus,
for example, States will feel compelled to avail themselves of
subsection (b)(4) of section 208 and apply nonpoint source controls
on a statewide basis. As States strive to achieve uniformity among
planning areas (including nondesignated areas where the State
itself is the planning agency) they will necessarily be performing
functions tantamount to statewide comprehensive land use planning.
This will ultimately elicit a demand that the planning and reg-
ulation be carried out on a formal, predictable, and cohesive basisi
that is, a demand for comprehensive State land use legislation.
Finally, pursuant to Federal regulations, the State continuing
planning process "shall assure that State water quality management
plans are coordinated, and shall describe the relationship with
plans for designated areawide planning areas within the State,
with planning required in adjacent States under section 208 of
the Act, with affected State, local and Federal programs, and with
193
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other applicable resource and developmental planning includingi
(1) State and local land use and development programs, (2) Activities
stemming from applicable Federal resource and developmental pro-
grams... • " Specifically, plans must be compatible with thirteen
named Federal laws and "other Federally assisted planning and
management programs," as well as 201 "Step I" facilities planning
and 209 "Level B" studies where appropriate. The water quality
management planning guidelines emphasize that water quality man-
agement plans should be consistent with relevant portions of the
State Implementation Plan under the Clean Air Act and should also
contain a program for the regulation of solid waste, furthermore,
even in the absence of a Level B plan, 208 plans must incorporate
"any other water-related goals of the 208 planning area, such as
provision of adequate water supply and programs for land or water
resource management...to the extent that their achievement would
not reduce the cost-effectiveness of the water quality management
measures."
These regulations and guidelines beg the question in one im-
portant regardi they assume that extant planning processes at various
levels of government are directed towards the same goals. EPA's
approach is that "208 planning should be viewed as providing the
water quality component of the comprehensive plan for the area."
What is this comprehensive plan, and which is to be the lead
agency or level of government in formulating it? Without guidelines
at the Federal level, the present situation is that different
194
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planning agencies plan for different purposes with different
goals and values. For example, how will a road planned by the
Federal Department of Transportation and a State Highway Department,
or an impoundment proposed by the Corps of Engineers, be made con-
sistent with or incorporated into a Water Quality Management Plan
if they are found to have adverse effects on water quality? '±'he
central question is whether or not these projects should be built
in the first place, and this will ultimately be resolved through
the buffeting of conflicting interests in the political and legal
arenas. In short, horizontal and vertical integration of planning
through the water quality management planning process is fraught
with potentially acrimonious antagonisms fomented by divergent
interests and concerns. Generous compromise will frequently be
superseded by self-interested squabbling, and harmonious, coherent
planning will not come about without incentives and sanctions.
Thus, the demand for Federal and State land use legislation will
be further enhanced.
195
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MAJOR SOURCES
1. Federal Water Pollution Control Act Amendments of 1972, Pub. L.
No. 92-500, 86 Stat. 816 (1972) codified at 33 U.S.C. sees. 1251
to 1376 (Supp. Ill, 1973).
2, Grants to State and Designated Areawide Planning Agencies-
Conditions, Policies and Procedures, 40 CPR pt. 35 (November 28.
1975).
3. Policies and Procedures for the State Continuing Planning Process,
40 CPR pt. 130 (Nov^jber 28, 1975).
4. Preparation of Water Quality Management Plans, 40 CPR pt. 131
(November 28, 1975).
5» EPA Guidelines for Areawide Waste Treatment Management Planning
(August 1975).
6e Draft Guidelines for State and Areawide Water Quality Management
Program Development (February 1976).
7« EPA, State Continuing Planning Process Handbook (December 1975).
8. Wise, Haskell, Einsweiler, and Bosley, Institutional Assessment
of the_ Implementation of the Planning Requirements of .the Water
Pollution Control Act Amendments of 1972. Final Report to the
National Commission on Water Quality (August 29, 1975)» NTIS
PB-244 907/2GA, 1975.
9. Robert Zener, "The Federal Law of Water Pollution Control." in
Federal Environmental Law, eds, E. Dolgin and T. Guilbert (St. Pauli
West Publishing Co,, 197^7.
10. Natural Resources Defense Council v. Train. 396 F. Supp. 1386
(D,D.C.1975>;:7
11 • Brown v. EPA. 521 F. 2d 827 (9th Cir. 1975).
196
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FOOTNOTES
1. 396 P. Supp. 1386 (D.D.C. 1975).
2. Wise, Haskell, Einsweiler, and Bosley, Institutional Assessment
of the Implementation of Jhe Planning Requirements off .the Water
Pollution Control Act Amendments of 1972. Final Report to the
National Commission on Water QualityUugust 29, 1975) (NTIS
PB-244 907/2GA, 1975), P. IV-6.
3. Robert Zener, "The Federal Law of Water Pollution Control," in
Federal Environmental Law, eds. E. Dolgin and T, Guilbert (St. Fault
West Publishing Co., w£) , p. 768.
5« Wise, Haskell, Einsweiler, and Bosley, p. 31.
6. 521 F.2d 827 (9th Cir. 1975).
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Legal and Regulatory Approaches to Regional
Environmental Management
by
Alan S. Miller, Esq.
Environmental Law Institute
Washing t on, D.C.
A paper prepared for the Research Symposium on
Environmental Quality and Land Use Planning
sponsored by Region II of the U.S. EPA and the
Departments of Environmental Science and Environ-
mental Resources, Cook College, Rutgers University
(May 26-27, 1976)
199
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A recent article in Planning magazine described a growing
"anti-planning" movement. In one dramatic incident in Missouri,
more than 1,000 people jammed a rural courthouse to protest the
proposed adoption of a comprehensive plan. At another public meeting
the planning director had to be given a police escort home. In a
similar vein, one noted land use authority described the national mood
as "a deep, quasi-populist revulsion against bigness and most particularly
2
against being pushed around by government agencies."
In this political climate, a concept referred to as regional
environmental management ("REM") may sound about as promising as selling
ice makers to eskimos. However, despite the opposition to government in
general and planning in particular, the desirability of regional
environmental management seems increasingly apparent. The meaning,
value and political feasibility of REM can be best evaluated through
a look at several of its principles. Although regional environmental
3
management is far from being a well-defined science, I would suggest
(
the following ideas are key elements:
1. Many environmental problems can only be solved on
a regional basis. Regional environmental management
incorporates the use of a coordinating agency with more
than strictly advisory powers.
2. Most forms of pollution are physically interdependent;
suppression of an emission in one place will often
result in the appearance of a different emission in another
place. An effective solution to residuals problems therefore
requires coordinated management of environmental programs.
200
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3. The most cost-effective solution to environmental
problems may involve the use of controls that are not
ordinarily available to local governments. Environmental
management authorities should be structured to assure
consideration of the widest possible range of control
techniques.
Each of these generalizations is discussed in greater detail below.
The Need for Regional Agencies
Only a few examples are necessary to demonstrate the necessity
of area-wide approaches to environmental problems. Air pollution is
perhaps the classic case. No one community in a metropolitan area
4
can determine its air quality; air does not respect political barriers.
Water pollution problems also must be approached on a regional basis;
sewage treatment facilities cannot be built or operated efficiently
5
by small communities and rivers can only be cleaned up through the
cooperation of all communities in a watershed. Stated in terms of
public preference theory, individuals are not free to choose a location
that offers a level of environmental quality approximating their own
preferences because no single community can control its environment.
7
A regional agreement is required to prevent continued degradation.
The theoretical necessity for some form of regional management
should be fairly obvious, although difficult questions remain regarding
a
the specific functions and powers to be given the regional authority.
The greatest challenge to regionalism as a concept comes from those
who fear it unduly undermines local autonomy. The goal of political
accountability, as defined by an Advisory Commission on Intergovernmental
Relations study, requires that functions be assigned to jurisdictions:
201
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(a) that are controllable by, accessible to, and accountable
to their residents in the performance of their public service
responsibilities; [access and control] and
(b) that maximize the conditions and opportunities for active
and productive citizen participation in the performance of
a function. [citizen participation] 9
Some commentators have responded to this concern with a
recommendation that area-wide management be executed by elected
bodies, preferably by regional representation. This idea suggests
at least a partial solution, but it may be unrealistic for most
communities given the political opposition to more government discussed
at the beginning of this paper.
This may be a problem which must be met head-on. Perhaps the
best answer was one given by Russell Train in defense of the San
Francisco Bay Conservation and Development Commission:
Some have purported to see in this approach a dire threat
to cherished values of municipal home rule and local
autonomy. And so it is, if one regards the power of a
relatively small community to make the major decisions
affecting the interests of regional populations as a
proper adjunct of home
Integration of Environmental Programs
Regional authorities are a common feature of American government.
•» 0
They most often exist, however, as single-purpose special districts .
1 3
These agencies may provide some of the benefits of area-wide service,-1
but their isolation ignores a critical dimension of environmental
problems: their interdependence.
At one level, the relationship between environmental problems
is simply a choice among evils: if society's residuals are prohibited
from entering the air, they can be expected to appear in another form,
202
-------
14
either as solid waste or water pollution. To the extent a trade-off
is necessary, an efficient outcome is most likely to result from a
single decision maker.
Integration of environmental programs is also necessary because
objectives can conflict, most obviously when agencies compete for
funds or other limited resources. (E.g., a solid waste agency may want
to use available open space for a disposal site whereas the recreation
department may prefer that the area be used as a park.) Environmental
problems may also be related by common solutions, such as environmental
impact procedures, pollution control subsidies, and comprehensive
planning devices. The cost of these approaches may only be justified
by their application to several environmental problems, an unlikely
prospect if responsibility is divided among numerous agencies.
Coordination also provides an important political benefit.
An agency with, multiple jurisdictions can allocate undesirable
activities within a region (such as sanitary landfills) so that no
one community is forced to assume more that its share. It can also offer
desirable services from other program areas as compensation, e.g.,
parkland or higher priority for construction grants.
Some integration of environmental management is taking place.
The 208 agency in the San Francisco Bayy area, for example, is using
over $500,000 of its 208 funds to support its air quality maintenance
program. Because air quality problems are a secondary impact of the
construction grant program, great emphasis is being placed on
15
preparation of an integrated plan.
203
-------
More frequently, however, integration has not been attempted
in any meaningful way. A recent Council of State Governments survey
concluded that "although virtually every State has consolidated
in one agency its air, water, and solid waste programs, very few
state environmental agencies have functionally integrated their major
pollution control programs to any significant extent at the present
time. ° Only two states (Ohio and Washington) were found to have
adopted a truly functional organizational structure. Another study
of city and county governments also found that environmental
activities are often fragmented between several agencies. In
the Nashville, Tennessee area, for example,solid waste continues to
be managed by four departments despite the consolidation of city
1 ft
and county governments in the early 60's. One observer has
concluded that "At every level, it has proved easier to set up an
over-arching bureaucratic tent than to effect genuine integration of
] Q
services."" Thus, coordinated environmental management is a desirable
and widely accepted goal, but one that often proves difficult to
implement.
The Need for Consideration of Control Techniques Not Available to
Local Governments
A common error in policy analysis is to associate responsibility
with authority. Dean Campbell refers to "the myth of home rule", in
which state legislatures ignore a problem because it is within the
20
jurisdiction of local governments. In reality, many possible approaches
to environmental problems - taxation, purchases of property interests,
and subsidies for example - are unavailable to cities because of legal
204
-------
and financial constraints. Most control techniques are therefore
never even considered since the necessity of legislative action
makes them too remote for application to immediate problems. Decision
21
making is generally confined to the realm of readily available alternatives.
Environmental problems have commonly been viewed as technological
questions, a perception that is reinforced by the technology orientation
of the primary pollution control laws. While end-of-the-pipe engineering
solutions are obviously important, this emphasis may have by-passed
more efficient alternative control techniques with wide application.
EPA has summarized the range of residual control methods in three
categories:
1. Methods to modify demand
2. Methods to reduce discharges
(a) directly, by process changes
(b) after generation
3. Methods adapting to assimilative capacity
(a) changes in spatial or temporal distribution of
wastes
(b) increases in assimilative capacity
Each of these physical methods suggest numerous specific types of
22
controls (see Appendix A).
It would be unrealistic and inefficient to expect governments to
consider the entire range of control techniques for every environmental
problem. However, at the planning and program level, a thorough
205
-------
evaluation of alternatives is crucial for several reasons. First, as
the Section 208 program recognizes, some environmental problems are
23
not amenable to end-of-pipe solutions. Non-point water pollution
sources like stormwater run-off and erosion may require land use controls
or other innovative approaches. Second, alternative approaches may be
more efficient and/or equitable. Effluent charges, for example,
24
are advocated by numerous economists but rarely used. A third reason
for experimenting with new techniques is the need for programs that don't
require public funds. Since most state and local governments are
increasingly short of funds, this should be a significant incentive for
innovation.
Despite these reasons for a thorough evaluation of alternatives,
most state and local governments continue to rely on traditional
25
techniques. The environmental impact statement procedure is a
partial answer, but studies have shown that the consideration of
alternatives in the EIS is frequently divorced from the actual
26
decision making process. Impact statements are also not well-
27
developed as a planning and program evaluation technique.
Although regional governments are no guarantee of innovative
28
management, they do offer an opportunity for communities to pool
financial and technical resources, evaluate programs of common benefit,
and cooperate to overcome problems of fragmentation. The creation of area-
wide authorities also may include legislation providing authority not
available to smaller communities, such as taxation and regulatory
powers. While conflicts with state and federal laws may still be a
problem, compromise is more likely with one large regional government.
206
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Research Needs
The three issues discussed above- regionalism, coordination,
and evaluation of alternative approaches - suggest some of the "whys"
of regional environmental management. The most difficult questions,
however, are the "hows" of implementation. The following are some
of the areas that should be examined to facilitate application of
29
REM principles.
1. Policy cannot be coordinated without some degree of
centralization. But this does not necessarily demand a completely
new level of government. Indeed, the goal of political accountability
(and therefore perhaps political acceptability) argues for maximizing
30
the number of activities retained by local authorities. Planning,
for example, should be done on an area-wide basis, but delivery
of services can be performed as well or better by local agencies.
The selection of activities to be assigned the regional entity is
31
therefore a significant issue for study.
A hypothetical allocation of activities was prepared by the
32
ACIR (see Appendix B). Numerous real-world examples are also available,
33
including the Wisconsin Shoreland Zoning Act, the Metropolitan
o /
Council in Minneapolis - St. Paul, and the Dade County, Florida
35
Metropolitan government. The Model Land Development Code drafted by
the American Law Institute is also illustrative; policy is established
at the state level but actual administration is performed by the
O £
localities.
207
-------
Neither these examples nor the supporting theory can define
precisely how functions should be allocated and how broad an area should
be encompassed by the regional management agency. Answers to these
questions are inevitably dependent on local traditions and value
judgments that must be examined independently in every case.
2. The experience of communities that have actually instituted
area-wide management should be carefully examined. Although numerous
case studies have been done and an extensive body of descriptive
37
literature already exists, there is very little in a format of much
use to government officials. Past evaluations need to be reexamined
for lessons of general applicability and recast in terms usable by
"doers" rather than theorists. For example, the practical difficulties
of functional consolidation even after reorganization programs should
be carefully studied. Since existing agencies are a likely source
of opposition to integration efforts, strategies must be devised that
incorporate their interests. Similarly, since significant governmental
reorganization will usually require legislative action, attention
should be focused on means of encouraging public involvement and
support. In this regard, unsuccessful as well as victorious reform
O Q
battles may be instructive.
3. Studies by the ACIR and others already noted provide an
adequate theoretical basis for allocating functions among
39
levels of government. This theory, however, should be evaluated in
terms of actual experience and expressed in terms of an implementation
strategy. Several states have instituted commissions to study
208
-------
reorganization and the results of these efforts should be systemafe-
40
ically evaluated.
4. Federal programs could be a significant source of
41
support and funding for regional environmental management. Section
208 of the Federal Water Pollution Control Act, which requires area-
wide waste treatment management, is only one of the numerous federal
42
provisions requiring regional planning by local governments. As
implemented by EPA, the Section 208 program includes several very
specific coordination requirements. (See Appendix C). Support
for coordinating Clean Air Act requirements through the 208 agencies
/ *3
was expressed in a recent Senate Report and is being considered by
44
EPA. A bill recently introduced by Senator Magnuson, S. 3075, would
go even farther by establishing a national policy on area-wide planning
and requiring the adoption of area-wide planning coordination programs
as a condition for continued eligibility for fourteen federal planning
assistance programs.
While these programs suggest the positive side of federal
involvement, there is also a negative aspect to federal programs.
The ACIR concluded that federal planning requirements and grants-in-aid
programs were often inconsistent and too rigid and therefore have not
helped states develop a flexible yet balanced functional assignment
45
policy. They recommended (without much detail) channeling all federal
aid through agencies designated as the result of analysis by a governmental
functions review commission. Whether this concept, Senator Magnuson1s,
or some other proposal is advocated, the impact of federal programs on
209
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the organization of state and local government should be carefully
evaluated.
Conclusion
This paper began with a description of the "anti-planning"
movement. The story is not over, but the article did discuss a
rather interesting development. As a result of the anti-planning
groups, public meetings were called and local officials were asked
to explain their plans and the planning process. Although the
controversy was not ended, most officials agreed that the
regional planning commissions had been strengthened.
I do not advocate inciting riots as a means of generating
interest in regional environmental management. But there may be a
lesson for planners and local government officials now struggling to
produce politically acceptable area-wide management plans. Controversy
may be a blessing in disguise. Active public involvement may be burden-
some, but in the long run, it is an essential element of political
support.
210
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APPENDIX A
PHYSICAL METHODS (or TECHNOLOGICAL OPTIONS)
A. METHODS TO REDUCE/MODIFY "FINAL DEMAND" FOR GOODS AND SERVICES
Examples: reduce per capita use of goods and services,
limit absolute population in given area,
change "life style," etc.
B. METHODS FOR REDUCING THE DISCHARGE OF WASTES (RESIDUALS)
1. Methods for reducing residuals generation
a. Change inputs to production processes
1. raw materials (including water)
2. energy
b. Change production" processes
1. process technology
2. operating rate
c. Change mix of product outputs
d. Change individual product output specifications
2. Methods for modifying residuals after generation
a. Apply materials or energy recovery technology
(direct recycle)
b. Utilize by products of production
(indirect recycle)
1. on-sits
2. Joint or collective facility
c. Apply vaste tYeai^ent (pollution control) technology
(without r-caovcry of sr.y material or energy)
1. on-site
2. Joint or collective facility
C. METHODS DIRECTLY INVOLVING THE ASSIMILATIVE CAPACITY OF THE
NATURAL ENVIRONMENT (AIR, WATER, LAND)
1. Methods for making better use cf the existing assimilative
capacity of the natural environment
a. Change the spatial distribution cf existing or
net) activities
b. Change the temporal distribution of existing or
new activities
c. Change the spatial distribution of the
discharge of residuals
d. Change the temporal distribution of the
discharge of residuals
2. Methods for increasing the assimilative capacity of the
natural environment
Examples: lou flow ccugrr.er.tatim, artificial mixing,
artificial aeration:, weather modification, etc
D. FINAL PROTECTIVE METHODS
Examples: air conditioning, sound-proofing, thermal insulaticr>:,
etc.
Source: Regional Environmental Management Program, Office
of Research and Development, U.S. EPA
211
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A-2
IMPLEMENTATION MEASURES/INCENTIVES
A. REGULATORY
1. Specification of physical method
a. Specify raa material or energy input standards
b. Specify production process standard
c. Specify product output standard
d. Specify residuals modification or handling standard
2. Specification of performance or result
a. Specify residuals discharge standard
1. per unit of product output
2. per unit of ran material processed
3. per unit of time
b. Specify residuals concentration natural environment
(ambient environmental standards)
c. Specify technological perforrionce standards
3. Specification of location of activities
(land use regulations)
4. Specification of size, timing and type of activities
5. Specification of regulatory procedures
Examples: EIS requirements, procedural planning
requirements, compliance schedule
preparation, etc.
B. ECONOMIC
1. Direct application to residuals
Examples: effluent/emission charges, fines for spills,
sale of discharge rights, etc.
2. Application to raw material/energy inputs or product outputs
Examples: surcharge or. energy use, charge on each
pound of DVT applied, etc.
3. Applications to activities
Examples: parking surcharges, subsidies for mass transit,
differential property taxes, etc.
4. Application to residuals modification or handling
Examples: Federal grants for sewage treatment facilities,
tax write-offs on costs of installation of
treatment technologies, etc.
5. Direct public investment in other than residuals modification
or handling technologies
Examples: open space land banking, mass transit
investments, etc.
C. ADMINISTRATIVE (procedures and activities within public or private
organizations that can be used to modify residuals generation
and discharge)
Examples: purchasing procedures, requiring separation
of solid residuals for recycling, car pool
requirements, specification of lighting levels
within offices, etc.
D. EDUCATIONAL/INFORMATIONAL
Examples: provision of technical information,
fonms/seminars/vorkshops, public relations,
212 public interest group support, etc.
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APPENDIX B
Hypothetical Assignment for Components of Functional Activities
Activity/Component
PLANNING
Intelligence
Forecasting
Plan Formulation
Operations Review
Liaison/Coordination
FINANCING
Revenue Raising
Revenue Distribution
Fiscal Control
Budgeting
STAFFING
Selection
Recruitment
Training
Appointment/Removal
ADMINISTRATION
Supervision
Management Analysis
Productivity Analysis
Technical Assistance
STANDARD SETTING
Formulation of Rules
Rule Interpretation
Rule Adjudication
Rule Evaluation
Rule Amendment
Rule Enforcement
ENFORCEMENT
Investigation
Inspection
Licensing
Certification
SERVICE DELIVERY
Operations
Construction
INFORMATION
Record-Keeping
Communication
Data Collection
Reporting
Public Relations
EVALUATION
Fact-Fmding
Public Hearings
Test mg/Ana lysis
Consultation
Source ACIR Tabulation
Areawide
Shared
Local
Source: Advisory Commission on Intergovernmental Relations,
Governmental Functions and Processes: Local and
Areawide, p. 10 (Feb. 197'-)
213
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APPENDIX C
Provisions in Section 208 Regulations Relative to Policy Coordination
§130.33 [Note] Where a designated planning agency fails to
achieve the requirements of Sec. 208 of the Act,. . . the
State planning agency is responsible for assuring that
such requirements are achieved in the designated areawide
planning area".
§130.34: "The (continuing planning) process shall assure
that water quality management plans are coordinated, and
shall describe the relationship. . .with other applicable
resource and developmental planning including:
(1) State and local land use and development programs;
fi
§131 (g) [Note] "Point Source load allocations shall
not be determined by designated areawide planning
agencies except where the state has delegated such
responsibility to the designated agency." (A similar
requirement exists for determination of "maximum daily
loads".)
§130.34 (a) (2) requires description of the 208 plan-'s
relationship to, inter alia, the
-Solid Waste Disposal Act
-Safe Drinking Water Act
-Clean Air Act
-Coastal Zone Management, and the
-Watershed Protection & Flood Protection Act
214
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FOOTNOTES
1. Lewis, "Antiplanners Are Coming, Antiplanners Are Coming,"
Planning 11 (Feb. 1976).
2. Levin, "There's More to This Job Than Coloring Maps." Planning 8
(Nov. 1974).
3. See generally Regional Environmental Management: Selected Proceedings
of the National Conference (L. Coate and P. Bonner, eds. 1975) (hereafter
cited as "Regional Environmental Management"); Environmental Law
Institute, Management of Environmental Quality: Implementation of
Integrated Regional Programs (Technical Proposal submitted to EPA
Office of Research and Development, Jan. 1976). Primary technical
references include A. Kneese,R. Ayres and R. d'Arge, Economics
and the Environment: A Materials Balance Approach (1970); and
Kneese and B. Bower, Managing Water Quality: Economics, Technology,
and Institutions (1968).
4. See Healy, "Attempting Regional Environmental Management", in
Regional Environmental Management, supra note 3 at 245, and G.
Hagevik, D. Mandelker, and R. Brail, Air Quality Management and
Land Use Planning (1974).
5. V. Price and D. Hartly, Problems of Municipal "Doers" in Implementing
P.L. 92-500 (A report to the National Commission on Water Quality,
1975).
6. See B. Ackerman, S. Ackerman, J. Sawyer and D. Henderson, The Uncertain
Search for Environmental Quality 282-316 (1974).
7. Haefele and Kneese, "Residuals Management and Metropolitan Governance,"
in Metropolitanization and Public Services (L. Wingo, ed. 1972).
8. See infra, p. 8 .
9. Advisory Commission on Intergovernmental Relations, Governmental
Functionsand Processes: Local and Areawide 7 (1974), Volume IV
of Substate Regionalism and the Federal System (1973-74) (6 volumes)
(hereinafter cited as "ACIR Report").
10. Haefele and Kneese, supra note 7 at 69; Bodovitz, "Some Thoughts
About Regions and People", in Regional Environmental Management,
supra note 3 at 31; Healy, supra note 4 at 251-52; and McElroy,
"Impacts of EPA Programs on Land Use Planning at the State Level",
in Proceedings of a Symposium on the Role of the Environmental
Protection Agency in Land Use Planning 13 (1975). For a criticism
of the elected agency concept, see Ackerman, supra note 6 at 204-5.
215
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11. R. Train, Forward to The Saving of San Francisco Bay, quoted in
Bodovitz, "Some Thoughts About Regions and People," in Regional
Environmental Management, supra note 3 at 30.
12. "Regional special districts and authorities are a traditional
structural response to the assignment of functions question.
They exist in most metropolitan areas, and their number has
doubled in the 72 largest metropolitan areas since 1957.
This brings the total to over 1,000 such area-wide units in
metropolitan areas as of 1972.
Their functional importance can hardly be doubted. Over
half those in the 72 largest metropolitan areas were responsible
for more than 40 percent of total metropolitan expenditures
in their particular function. In 15 cases, they were respon-
sible for 80 percent or more of specific functional expenditures.
Health and hospital, sewerage, and utility districts were
most prominent in this regard."
Governmental Functions and Processes: Local and Areawide, supra
note 8 at 46. In Los Angeles County alone there are 395 special
districts, and the Los Angeles Basin is governed by 122 cities,
5 counties, and 850 special purpose districts. Healy, supra
note 4 at 245-46. In Pennsylvania, land use authority is divided
among 2,633 units of government. Pennsylvania Land Policy Project,
A Land Use Strategy for Pennsylvania 104 (1975) .
13. "While economies of scale, management competence, and
service uniformity are factors in the functional efficiency
of these districts, their isolation from general purpose
governments has frequently reduced their effectiveness. Thus,
they often forfeit centralized purchasing, budgeting, and
personnel management services offered by larger general
purpose units."
Id. See also Degenhardt, "The Tahoe Experience," in Regional
Environmental Management, supra note 3 at 51, 58.
14. This dilemma, although commonly cited, is of course an over-
simplification. Other alternatives exist (e.g., recycling)
and should be considered, a point discussed in the next section.
15. Hagevik, "Achieving An Integrated Planning Program" (an issue
paper prepared for the 208 Areawide Water Quality Management
Workshops, April-May 1976).
16. Council of State Governments, Integration and Coordination of
State Environmental Programs 4 (1975).
17. S. Carter et^ al, Environmental Management and Local Government
3-4 (EPA-600/5-73-016, 1974).
18. Felling, "Organization for Environmental Management," in Regional
Environmental Management, supra note 3 at 46. See also Degenhardt,
id. at 58 (106 water districts still exist in the Lake Tahoe Basin).
216
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19. Id_. , at 42.
20. ACIR Report, Governmental Functions and Processes, supra note 9
at 149.
21. See Ackerman, supra note 6 at 98-100.
22. A recent survey found 57 different land use control techniques.
Einsweiler et al, "Comparative Descriptions of Selected Municipal
Growth Guidance Systems," in Management & Control of Growth 283,
291-99 (vol. 11) (R. Scott, ed., 1975). See also "A Summary
of Techniques for Managed Growth," id at 24-31 (vol. I).
23. See, «:.&. , Midwest Research Institute, Water Pollution Abatement .
Technology; Capabilities and Costs, Control of Water Pollution
from Selected Nonpoint Sources (Report to the National Commission
on Water Quality, 1975).
24. See generally A. Kneese and C. Schultze, Pollution, Prices and
Public Policy (1974).
25. See Carter e_t al, supra note 17.
26. J. Fenderstock and D. Speaker, Use of Environmenal Analyses on
Wastewater Facilities by Local Government (EPA 600/5-74-015, 1974).
See also Council of State Governments Study, supra note 16 at 154
(in 19 states program agencies were unaware of information
systems maintained by planning agencies).
27. Miller, Anderson and Liroff, "The National Environmental Policy
Act and Agency Policy Making: Neither Paper Tiger Nor Straitjacket,"
6 Environmental Law Reporter 50020 (1975). See also Twiss, "Linking
the EIS to the Planning Process," in Management and Control of
Growth 157 (vol. Ill) (1975); S. Carter et al, supra note 17 at 8;
and "Environmental Impact Statements," part II of Regional Environ-
mental Management, supra note 3 at 66-115.
28. See Ackerman, supra note 6 at 200-207.
29. Most of these questions are included in a research proposal
submitted to EPA by the Environmental Law Institute, Technical
Proposal, supra note 3.
30. Efficiency and equity goals may be better served by area-wide
governments, whereas political accountability is likely to be
better served by smaller units of government. See ACIR, Governmental
Functions and Processes: Local and Areawide, supra note 9, and
Freeman, "Regional Functions", in Regional Environmental Management,
supra note 3 at 61.
217
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31. This task was attempted by the ACIR Report, supra note 9. See
also Council of State Governments, Integration and Coordination
of State Environmental Programs (1975).
32. See generally Regional Governance: Promise and Performance,
Volume II of ACIR Report, supra note 9 (case studies of regional
governments).
33. 59.971 Wise. Stat. Ann. 144-26 (Supp. 1970).
34. See R. Einsweiler et al, Case Study of the Metropolitan Council
as an Environmental Management Organization (Report prepared for
EPA, Jan. 1976).
35. j>e_e L. Carter, The Florida Experience Ch. 6 (1975).
36. ALI Model Land Development Code (article 7) (Proposed Official
Draft, April 1975). For the argument that the ALI procedure
denies due process to developers, see P. Brown, The ALI Model
Land Development Code, The Takings Issue, and Private Property
Rights (Urban Institute: 1975).
37. See, e.g., Regional Governance: Promise and Performance, yol. II
of the ACIR Report, supra note 9; R. Einsweiler et. al., supra
note 34; "Growth Management and Its Impacts on the Local and
Regional Levels", Ch. 16 of Management and Control of Growth
181-315 (Vol. 111*1975); Regional Environmental Management,
supra note 3; Reform as Reorganization (L. Wingo ed., 1974);
and J. Fischer, Vital Signs, U.S.A. (1975).
38. See, e.g. the analysis of public opposition to proposed comprehen-
sive land use management in A. Strong, Private Property and the
Public Interest: The Brandywine Experience (1975).
39. Additional research in this area has been funded by EPA's Office
of Land Use Coordination.
40. See examples from Ohio, New Jersey, and Florida reported in
Governmental Functions and Processes: Local and Areawide 151-64
Vol. IV of ACIR Report, supra note 9.
41. See generally, Mark, "EPA and Land Use Planning: An Overview,"
in Proceedings, supra note 10 at 5.
42. Other examples are the HUD 701 program, the Coastal Zone Management
program, and Urban Mass Transportation technical studies. See,
"Selected Federal Programs Related to Regional Planning," and
"EPA Programs Related to Regional Planning," matrices prepared
by the Regional Environmental Management Program, Office of
Research and Development, U.S. E.P.A. (June 1975).
218
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43. Senate Report 94-717 Accompanying S. 3219, Clean Air Act Amendments,
p. 33 (March 29, 1976).
44. See EPA Press Release, "EPA considers Legislation to Expand
Water Planning Program to Other Areas" (May 28, 1975). See also
L. Haskell, An Evaluation of Section 208 as a Model for Air
Quality Planning and Management (report EPA Office of Transportation
and Land Use Policy, June 1975).
45. Governmental Functions, supra note 9 at 24.
219
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SEWERS, LAND USE AND SECONDARY IMPACT
by
Richard N. Binet.sky
Chief of Regional Planning
a paper prepared for
Research Symposium
on
Environmental Quality and Land Use Planning
Cook College
Rutgers University
May 26-27, 1976
abstracted from
Secondary Impact of Regional Sewerage Systems
prepared by
Division of State and Regional Planning
New Jersey Department of Community Affairs
June 1975
221
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The need to assess the secondary impacts of regional sewerage systems
arises from the concern that new regional sewerage facilities may be
spawning rapid population growth and that such growth is most often
unplanned resulting in adverse impacts on water quality and the total
physical environment, as well as on the fiscal resources of municipalities.
For example, it has been documented in Fairfax County, Virginia,^ that
rapid growth in an area newly served by sewers resulted in a dramatic
increase in the rate of growth and considerable run-off and sedimentation
which soon had the effect «f making the water quality in stream and
reservoirs worse than it IMS. before the new sewerage system was installed.
In other words, if sewerage sjWMteras are not carefully planned with the
impacts of growth in mind, the remedy can be more damaging than the
disease.
Secondary impacts of sewwrage systems can be viewed in a number of
ways. Several years ago Congress addressed secondary impacts in the
National Environmental Policy ftct and the Council on Environmental
Policy subsequently noted
Many Federal actions, in particular those that involve the
construction or licensing of infrastructure investments (e.g.,
highways, airports, sewer systems, water resource projects, etc.),
stimulate or induce secondary effects in the form of associated
investments and changed patterns of social and economic
activities.
1. "Suburban Growth — A Case Study," Population Bulletin. (Population
Reference Bureau, Inc., Washington, D.C. 1972).
2. National Environmental Policy Act of 1969, 42 U.S.C., Section 4321
et seq.
222
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Such secondary effects through their impacts on existing community
facilities and activities, or through changes in natural conditions,
may often be more substantial than the primary effects of the original
action itself.3
Federal statutes now require secondary impacts to be analyzed where Federal
monies are supporting infrastructure development. Following is a series of
possible secondary impacts that are illustrative of what can, and often doesv
occur: increased air pollution, accelerated rate of development, increased
surface run-off and flooding, degradation of water from non-point sources,
traffic congestion, windfall land profits, municipal fiscal instability, loss
of productive farmland and increased municipal expenditures.
Of special concern is to find ways to make certain that sewerage facilities,
designed to control existing water pollution problems, are not inappropriately
oversized. The pressures are great for building excess capacity into the new
systems. Builders are keenly aware of a need for large capacity sewage treatment
systems, as are local officials seeking tax ratables. With nearly 100 munici-
palities in New Jersey under building bans, the demands for expanding or improv-
ing treatment are increasing. Ways must be found to fund sewerage facilities
construction which, as a side-effect, do not result in windfall profits at the
public expense by way of increased land values. At this point, however, with
a conspicuous lack of commonly held and enforceable land use policies at both
the State and local level, and with 208 and 303e planning programs now being
utilized, efforts to evaluate and control the size and impact of regional
sewerage systems must be directed through the construction grants program.
It is apparent that secondary effects can be minimized through careful planning,
review and management of Federal and State grants-in-aid.
It is critical to recognize that it is the construction grants program
that implements decisions. Because of the way Federal policies are articulated
in the National Environmental Policy Act and in the Federal Water Pollution
Control Act Amendments of 1972,4 actions to deal with secondary impacts must
be made in terms of the construction grants program. If a project is built
without using Federal funds, there is no Federal requirement to analyze secon-
dary impacts. It is the grant, not the project itself, that enables the
Federal government to require analysis of secondary impacts and to modify the
project if necessary. An exception to the above is the requirement under the
National Pollutant Discharge Elimination System (NPDES) for an analysis of the
secondary impacts for all new facilities discharging into waterways, regardless
of the nature of funding. Though neither the states nor EPA has as yet exercised
this authority, they do reserve ijhe right to do so.
3. Council on Environmental Quality, "Guidelines for Preparation of Environmental
Impact Statements," Federal Register, Vol. 38, No. 147, Part II, August 1, 1973,
4. Federal Water Pollution Control Act Amendments of 1972, Public Law 92 - 500,
92nd Congress, S. 2770, October 18, 1972.
223
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The massive amounts of" Federal money available for sewer construction in
New Jersey are significant to this thesis. Sewerage facilities construction
funding for New Jersey in FY 1975 was $253,000,000, while highway funding
was $158,000,000. The dollar amounts for sewerage facilities construction
seem even more staggering when one realizes they would have been almost double
that shown for Fiscal Year 1974 and Fiscal Year 1975 if it had not been for
a presidential impoundment of funds. The U.S. Supreme Court effectively
released all of the impounded funds, so it appears that annual funding for
sewerage facilities construction in New Jersey will continue to increase. The
State has estimated that it will need more than $12 billion for total clean-up
by 1990 and that annual expenditures could go up to $500 million.
While the research which found the basis for this paper dealt heavily
with the operations and management of the water quality programs of New Jersey
and the U.S. Environmental Protection Agency, this presentation will restrict
itself primarily to the planning and environmental aspects.
The purpose of the Federal Water Pollution Control Act Amendments of 1972
is to clean up the nation's waters permanently. If this goal is ever to be
realized, attention must be given to the impacts associated with induced growth.
Previously, the example of Fairfax County, Virginia was cited, where rapid
growth led to run-off and sedimentation problems and subsequently caused the
water quality in streams to become worse than it was before the new sewerage
system went in. Further a Council on Environmental Quality Study has revealed
that in urbanizing areas a large proportion of the pollutants in streams comes
from non-point sources. And in New Jersey, the recognition of storm water
run-off (which includes combined systems) as a major source of pollution has
been factored into the recent upward revision of the cost of the State's total
water pollution program through the year 1990, changing the estimate from
$3.5 billion to $12-2 billion. The overall objective was to search out ways
in which secondary impacts might be identified in the beginning and then
reduced. This overall objective was broken down into the following specific
objectives:
5. Walter H. Waggoner, "$12 Billion Price Is Put on Jersey Water Clean-Up,"
^ The New York Times, Sunday, September 18, 1974. New Jersey Section.
6. Commissioner Bardin quoted in "Sewage Project Boon to Building Trade."
The New York Times, Sunday, October 27, 1974. New Jersey Section.
7. "Suburban Growth",op.ci t.
8. Council on Environmental Quality, - Total Urban Water Pollution Load; The
Impact of Storm Water, prepared for C.E.Q. by Enviro-Control, Rockville,
Md., (Washington, D.C., 1974).
9. Walter H. Waggoner, "12 — Billion Price is Put on Jersey Water Clean-up,"
The New York Times, September 18, 1974.
224
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To distinguish between those factors or variables which create
a demand for land development and those factors which specifically
determine where that demand will be met.
To evaluate the relative impacts of large, medium, and small sewerage
systems on the developmental patterns of various regions.
To evaluate the assumptions made in the sewer planning process,
particularly with regard to population projections and to separate
out those which are valid from those which are not.
To develop guidelines for the construction grant program which
would help to protect those areas of New Jersey where resources are
endangered or where future options may be reduced due to excessive
development before proper planning can be done; also consider
providing additional service in areas where growth is to be encouraged.
To set out guidelines that would aid the New Jersey Department of
Environmental Protection and applicants in designing optimum sewerage
systems given regional characteristics.
To determine the State of New Jersey's regulatory powers over water
supply, sewerage construction and septic tanks, and how they may be
legally utilized to control development so it will not outstrip resource
availability.
Five case studies were undertaken in order to analyze the relationship of
sewerage systems to the land development process and to identify the most
critical secondary impacts. An understanding of the causal relationships
within the development process was needed before recommendations and guidelines
could be set down. Also the information and analyses contained in the publication
Water Quality Management: New Jersey's Vanishing Options. (County and Municipal
Government Study Commission, Trenton, June, 1973) provided insight into the
areas of water resource management. The following general conclusions emerged:
1. Certain secondary impacts of sewerage projects can be identified
as more critical than others in New Jersey. These are:
a. The impact upon the rate, amount and pattern of growth;
b. The impact upon the marketability arid value of land and the
windfall benefits accruing to property owners at the
public's expense;
c. The impact upon the available supply of potable water;
d. The impact upon future water quality, both surface waters
and underground waters, and upon the stream loading
characteristics of receiving waters;
e. The irnpacc upon the level and costs of municipal arid county
services which must be provided;
f. The impact upon other natural resources, such as prime agricultural
lands, woodlands and recreational areas.
225
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2. Today, outside of the general economy, sewers appear to be
the critical ingredient for growth in New Jersey.
3. In most municipalities in New Jersey there is strong pressure for
economic growth and for actions (like the provision of sewerage)
which promise to bring in new ratables.
4. In prior years, large sewerage projects have been developed which
often were inconsistent with the magnitude of existing water
quality problems. However, changes in pollution control management
are being undertaken by DEP to alleviate such conditions.
5. The current policy of 90 percent grants for sewerage facilities
(75 percent Federal and 15 percent State) virtually removes any
local incentive to control costs or to associate actual sewerage
needs with the design size and cost of a project.
6. There has been no standard practice for the State to recommend
population projections in service areas. Project engineers,
therefore, use a variety of methods to obtain these figures on
which they base interceptor sizes. Trend line extrapolations or
projections based on current zoned capacity have been shown to be
undependable in the case studies.
7. The amount of vacant, developable land in the area to be served by
sewers is critical in estimating future growth and future impacts.
8. The quality of the land use planning effort being made in the participating
municipalities will also be an important measure in estimating future
growth and future impacts.
9. Lack of effective land use planning plus easy funding (not at local
taxpayers' expense) for sewers is a dangerous combination leading to
uncontrolled growth.
These generalized conclusions were arrived at through case study analysis
carried out in (1) The Stony Brook Regional Sewerage Project, Mercer County,
(2) the Southern and Central Service Areas of Ocean County, (3) East Windsor -
West Windsor Townships, Mercer County, and (4) Hamilton Township, Mercer County.
STONY BROOK CASE STUDY
Six municipalities in northern Mercer County comprise the membership in the
Stony Brook Regional Sewerage Authority. Hopewell Borough, Hopewell Township,
Pennington Borough, Princeton Borough, Princeton Township, and West Windsor
Township together represent 104 square miles. The service area for the proposed
$50 million project is approximately 57 square miles; within the study area
exist more than 30,000 acres of vacant lard, nearly 20,000 acres of which is in
226
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Hopewell Township alone. The key issues here revolve around what the long-
range impact of the new regional sewerage system is going to be on the
character of the region, which is now largely rural, and on its water supply.
There are three severe problem areas in the region from the point of view
of water pollution. These are in Pennington Boro, in Hopewell Boro and in
the Princetons. These problem areas are unfortunately quite far apart. In
fact, thousands of acres of vacant land stretch between them. The pressures
on the general area for development are considerable, and there is a good
deal of land speculation going on. But a State imposed moratorium in the
Princetons and lack of sewers or proper soils for septic systems in the other
municipalities are currently restraining development forces. Once the sewerage
system is constructed, however, land which has up to now been difficult and
expensive to develop will suddenly be highly marketable. The controversy,
which evolves from a concern over the impacts of this anticipated growth,
focuses on the design of the proposed system.
Although a number of regional sewerage proposals have been made over the
past decade, there are now two sewerage plans for the Stony Brook region under
consideration. The first is what has come to be known as the "one plant system,"
a single treatment facility on the Millstone River in Princeton with the
interceptors stretching out to Pennington Borough and Hopewell Borough through
Hopewell Township, and in the other direction to West Windsor. This proposal
has been developed by the Stony Brook Regional Sewerage Authority over the past
five years. More recently a "three plant system" has come under consideration.
Its features include a similar treatment facility on the Millstone River in
Princeton, the inclusion of two small, self-sufficient systems and treatment
facilities, one to serve Pennington Borough and one to serve Hopewell Borough
and the surrounding area, and the elimination of the miles of interceptors across
vacant
Each of the proposals has come to be identified with a particular mode of
thinking. Proponents of the three plant system feel the future land use impli-
cations of each alternative must be dealt with, while it has been the contention
of the single plant proponents that the planners of the project cannot be held
responsible for the secondary impacts which may result. They see the goal of
the proposal "to assure that the maximum amount of sewerage service potential
was provided for each member municipality for the future." Although water
supply was recognized as a major problem in the Environmental Assessment, ^
it is felt by the single plant proponents to be an issue beyond the control of
the Stony Brook Regional Sewerage Authority. Further, the one-plant system
proponents feel that the municipalities can cope with the inevitable pressures
10. Metcalf and Eddy, Consulting Engineers, Recommended Wastewater Collection
and Disposal Facilities (Stony Brook Regional Sewerage Group, October,
1969)
11. N.J. Department of Environmental Protection, Addendum to the Interim Plan
for the Millstone Basin (1972), (Trenton, N.J., October, 1973)
12. Ibid.
13. Metcalf and Eddy. Consulting Engineers, Draft of Environmental Assessment
Report, (prepared for Stony Brook Regional Sewerage Authority, May 15, 1973)
227
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for higher density zoning which the sewers will bring and that land use
decision-making does not rest with the Authority. A fourth issue, and one
little discussed, is the potential for dramatically increased demand for
municipal services, and once again the Authority's answer is that it can only
speak about the one service it will provide — sewerage services.
So in Stony Brook there has been considerable disagreement as to whether
the scope of the original monolithic solution with its extensive interceptors
running through vacant land represents a solution which is consistent with
the magnitude of existing water quality problems. In fairness, during the
planning period for this project which extended from the mid-60s to today,
new technological options have opened up. By taking advantage of today's
technical solutions, upland areas can be serviced by localized collection
systems and wastewater facilities which will treat domestic wastes to a
very high degree. Thus it is apparent that there may be viable alternatives
to the long interceptor lines stretching across Hopewell Township, which
originally had been designed to reach the problem areas. If constructed as
designed, these interceptors would be a costly investment in future capacity,
an investment which goes beyond the primary goal of the Federal or State
programs.
Local officials in the Stony Brook region are angered at the delays. They
want a system to go in as soon as possible. They have voiced the view that
they want to take advantage of the 75% Federal and 15% State funding before it
disappears. While their lack of concern for the design implications of the
project and their desire to get a high capacity system with 90% Federal and
State funding is understandable, it is also the crux of the secondary impact
debate.
EAST WINDSOR - WEST WINDSOR
The East Windsor - West Windsor case study was a comparison of the relation-
ship between sewerage facilities and the development process in two adjacent
municipalities. The essential finding was that sewers were a critical ingredient
for continued growth in East Windsor, and that the lack of sewers in West
Windsor significantly helped to determine the slow growth pattern there. This
case study spotlights the critical significance of the attitudes of municipal
officials toward sewer planning and land use planning in the development destiny
of the town. As will be shown, neither town anticipated the future fiscal
impacts resulting from sprawled growth.
In 1960, both East Windsor (15.6 square miles) and the larger municipality
of West Windsor (26.8 square miles) were predominately rural, agricultural
communities with populations of 2,300 and 4,016 respectively. Both possessed
large tracts of developable land with relatively flat terrain and abundant
groundwater supplies. Serviced by the Penn Central Railroad, Routes 1, 130
and 33 and the New Jersey Turnpike and within commuting distance to New York,
Philadelphia, Princeton and Trenton, it would appear that_the potential for
228
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growth and the pressures for growth were similar in the two adjacent munici-
palities. Yet over the ensuing 14-year period, East Windsor's population has
increased to 19,800 (a dynamic 760% increase) while West Windsor with an
estimated population of 7,320 in 1974 has not even doubled its population.
About half of the growth in East Windsor can be attributed to the develop-
ment of Twin Rivers, a Planned Unit Development (PUD) which encompasses 715
acres of prime farmland and will house 10,000 persons when complete. A project
of this magnitude would have had difficulty being realized had there not been
a favorable attitude toward growth in the Township and a sewerage system to
make the development possible.
East Windsor remained rural until the early sixties when the town began to
feel pressures from developers. Farms began to be optioned. The first two
tract developments were given approvals on some of the poorer farmland in the
Township. Because of layers of clay and high water table, these lands in
part were badly drained, often wet and therefore probably less expensive to
purchase than other lands in the Township. The first homes on these tracts
were built with septic systems. Problems occurred almost immediately and the
developer brought in a private sewage and water company. This company was
given franchises by the Public Utilities Commission and it built both a
package sewage treatment plant and a water treatment facility. Soon there were
complaints from West Windsor and the State Department of Health about the
pollution of the Creek and complaints from residents about the quality of the
drinking water. Meanwhile, one developer was granted approval to build 146
apartment units on an adjacent tract to be served by the private package plant.
At this time, East Windsor elected a strong mayor who believed growth
would be beneficial to the Township. Pressure for residential development was
increasing and in order to balance the effect of this on the tax structure, he
felt additional industrial and commercial ratables, and apartments, should be
sought. The mayor, the town engineer, and other like-minded businessmen,
determined that a municipal sewerage authority was the key to future development
and ratables. By 1965, the East Windsor Municipal Utilities Authority had been
established, had taken over the private utility company, and was gathering as
many service contracts from potential developers as possible in order to finance
the construction of a plant and collection system.
Since 1965, the treatment plant has been expanded and much of the cost
of the system has been paid for by the developers, though there were also
Federal and State grants in 1969. The extension of sewer and water service
to Twin Rivers, which is east of Route 130, was made possible when the developer
lent the MUA money to lay the pipes around adjacent Hightstown through a large
expanse of previously unsewered land, thus removing the primary obstacle to
development there.
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The primary objective of the MUA was to provide services at the least
cost to the users. It did not matter to the MUA where the users were, for
the system was expanded at the expense of the developers. In their enthusiasm
for the extension of the system, the MUA and town officials were unaware of
the planning needs and environmental constraints of the municipality. The
treatment plant was soon overloaded and polluting the Millstone River. In
March 1967 there was a notice from the Department of Health. The Master Plan
of 1971 noted that every stream in the Township was polluted. Development
was occurring in a scattered, uncontiguous manner, strip commercial uses
were beginning to line the highways, and no town center was contemplated.
In spite of the notices from the Department of Health, the MUA in April
1968 approved the agreement to provide service to Twin Rivers which eventually
would house 10,000 people. In 1969 the MUA was required to construct a
tertiary treatment lagoon at the plant which was supposed to increase its total
secondary treatment capacity, and since 1970 the MUA has been negotiating with
the State to expand the plant. On June 13, 1972, the Director of the Division
of Water Resources, wrote to the Chairman of the MUA marking a turning point
in policy. It made clear that the State's main concern was to preserve the
water quality in the Millstone River basin and that the Department did not have
the responsibility to accommodate rapid growth occurring in East Windsor.
East Windsor thus became a model for communities elsewhere with pollution
problems. Its history shows on a small scale what can happen when sewers are
constructed at very little cost to the community (in terms of taxes) and when
the long-range implications of sewer construction are ignored.
In contrast to East Windsor, West Windsor's officials were not eager to
have their town grow. They already had a sound tax base with some substantial
ratables/ and they felt it important to conserve and protect this base.
West Windsor also has many areas which are generally wet and badly drained.
A high, fluctuating water table covers 40% of the township and reaches between
one and three feet of the surface at some time during the year. Areas exist
where there are 30 to 60 feet of underlying clay. Even though West Windsor was
more careful than East Windsor in granting building permits for houses with
septic systems and insisted upon larger lots, it, too, has run into some very
serious septic problems. Lack of sewers, large lots, higher standards and delays
for studies seem to have held developers at bay.
West Windsor officials did permit the installation of two package treatment
plants for residential use, one of which seems to be functioning fairly well.
The other is located on a stream which dries up in the summer. The latter plant
has malfunctioned consistently and has been bought by the Township. The
Township'must now invest considerable money to make it function properly. For
the past few years West Windsor has required that dry sewers be installed in
all new developments.
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In the early sixties West Windsor hired a consulting engineer to do a
feasibility study for a municipal sewerage system. With only a small amount
of widely scattered development, a sewerage system did not seem to be econo-
mically feasible then. In 1965, interest in a municipal system resumed
because of concern over attracting industry; so the 1962 plan, showing
increased costs due to delay, was revised and updated. By then, the U.S.
Department of Housing and Urban Development was no longer granting interest
free sewer planning funds and the State would not accept their proposal for
funding, insisting that they join a regional system. So the Township was
forced to join with five other communities in the Stony Brook Regional
Authority.
Whereas East Windsor was granted Federal and State funds as late as
1969, West Windsor was turned down by the State in its requests and told
that it must join a regional sewer study group. This inconsistency in
administration has been a criticism of the grants program. With the issuance
of the Director's letter to the East Windsor MUA in 1972, State program
managers pursued a more consistent line. West Windsor, it seems, did not
push its sewer proposals with the State as aggressively as East Windsor. The
difference in the treatment accorded the two municipalities is the result
of managers operating without clearly established policies to guide them.
Without such policies, all decisions become subject to varied pressures and
subjective judgment and uniform management becomes impossible.
HAMILTON TOWNSHIP
Hamilton Township was another case where funds were alloted by the State
and the Federal government even though the municipality was not part of a
regional system — supposedly a funding criterion after 1966. Besides providing
additional evidence of the lack of uniformity in funding decisions in the past,
the Hamilton Township case study gives solid support to the conclusion that
sewers are the critical ingredient for growth in New Jersey today. The changes
in land values, the number of real estate transactions and the number of new
housing units proposed and built show the impact of the Miry Run trunk sewer
line in Hamilton Township, Mercer County.
Hamilton Township is a large sprawling suburb with a population of about
80,000. It has operated its own sewerage system since 1939, and facilities have
been extended along the primary arterial roads. Unlike East Windsor Township
which chose to operate its system through an independent municipal utilities
authority, Hamilton has a sewer department under the control of the Township
Committee which plans and operates the sewerage system. With this arrangement,
the pressures to seek out new users do not dominate sewer planning. Hamilton
did not extend facilities to "pick-up" new developments. Rather, development
has concentrated in areas serviced by the main trunk sewers. This is particu-
larly true in the northern section of the Township where intensive development
has located in proximity to the main trunk se-.er along a central artery of the
town.
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Prior to the construction of the Miry Run trunk sewer in 1968, the area
north of Miry Run was essentially rural, with most of the land devoted to some
form of agricultural activity. Residential development was concentrated in
one area, a neighborhood where about 130 homes were constructed on small lots
without public sewers or water. Problems were evident in 1965. This was one
of the reasons the Miry Run trunk was extended in 1968. In 1970, at the
request of Mercer County Community College, this trunk line extended still
further through an undeveloped area to service the college, just across the
Hamilton Township boundary in West Windsor.
The initial phase of the Miry Run trunk sewer would not have been constructed
if the Township had not received funding from the Federal Water Pollution Control
Administration of the Department of Interior. The Township's engineering
consultants had designed the trunk sewer in 1961, but had recommended that it
not be constructed at that time because it was not economically feasible. Along
with the trunk sewer, it was necessary to expand the main treatment facility and
to construct a major pumping station. As soon as Federal monies became available,
the Township applied. In 1966 they received an initial Federal grant and
supplemental funding increased the amount to 30% of the eligible construction
costs.
A major portion of the second phase of the Miry Run sewer was paid for by
the County. Another $20,000 of the cost was contributed by a developer. Thus
two phases of this major trunk sewer were built at relatively low cost to the
taxpayers of Hamilton Township.
The following development activity has been observed in the Miry Run
service area subsequent to the planning and construction of the trunk sewer.
Approximately 250 single family homes have been constructed in a major development
and another 100 homes are currently under construction. A 134 unit apartment
complex also has been constructed. At the present time, two large new develop-
ments plus another section of a prior development are in the planning stages.
One of the proposals is an apartment complex consisting of 130 units and the
other is a single family development of approximately 180 units. This would bring
to 822 the total number of units built or proposed since the trunk line went in.
Real estate activity has significantly increased in the area. Since the
Miry Run trunk sewer became public knowledge, twelve major real estate transactions
have occurred in the Service Area.
The value of land in the service area has significantly increased after
completion of the trunk sewer. Prior to construction of the trunk sewer, the average
value of land in the service area was approximately $1,700 an acre. After con-
struction of the trunk sewer, the average value of land in the area has escalated
to approximately $4,500 an acre, an increase of approximately 250%. In comparing
the land values in the Miry Run sewer service area with those in an equally
accessible section in the southeast part of thi Township which is being developed
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-lla-
MIRY RUN SERVICE
MIRY RUN TRUNK SEWER «"-"*—- «
NOTTINGHAM WAY &
HAMILTON AVE. TRUNK SEWER
BLOCK NUMBER I 8
LOT NUMBER
J
i"rJil.i^iyi;^S
RUN SERVICE AREA
-------
without sewers, it was discovered that land values there averaged
approximately $2,150 per acre during the period 1971 - 1973. Comparable
sewered lands in this case are more than double in value. Property owners
in proximity to the sewer lines and within the service area of the treatment
plant experienced quantum jumps in the value of their land. This unearned
increment of appreciation at the expense of the public goes unretrieved
and the increased development capacity is available on primarily a first-come,
first-served ad hoc basis.
An obstacle preventing the analysis of secondary impacts from its proper
place in the planning process has been the lack of understanding of the factors
conducive to these impacts. A sewerage project does not in and of itself
produce negative secondary impacts. It is possible to plan, design, and fund
projects so that secondary impacts will be minimized while pollution problems
are corrected. While causal factors contributing to secondary impacts fall
into categories of funding sources, system design, program administration and
land use planning this paper will emphasize the latter.
A major factor contributing to the over-building of facilities is the
formula for funding projects. The construction of large interceptor lines
is the most long-term of all sewer decisions. It is also primarily a one time
affair, as opposed to a sewage treatment plant or a collection system, both of
which can be built in a more incremental fashion. The funding formula in
New Jersey for interceptor lines has been 75% Federal, 15% State, and 10% local
contribution. This means that municipalities receive $9 for every $1 of local
contributions. There is little reason for a municipal official to want to
limit the scope of a project. With the funding formula as it is, it is
tempting for local officials to try for as large a capacity as possible, for
if the area does grow and the Federal money is no longer available a "wise"
decision has saved the area from having to spend money to expand the system
in the future. If the area does not grow, there is little lost because the
overwhelming portion of the investment was made by other levels of government.
Investment in public infrastructure is a prerequisite to future population
and economic growth. Large sewerage systems are viewed as a one-time investment.
Given that premise, it is not surprising that the local governments often choose
to build their systems with a large amount of extra capacity. Meeting Federal
and State water quality standards results in increased costs of sewerage systems,
placing financing well beyond the capability of almost every municipality.
This, coupled with the Federal and State commitments to fund 90% of eligible
costs, contributes to a situation that fosters overbuilding.
By including substantial future capacity in a project, local officials
will be able to compete for commercial and industrial development with a
distinct advantage over other municipalities. With nearly 100 municipalities
under building bans, the combination of open land and sewer capacity elsewhere
is extremely attractive to both residential and industrial developers.
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In sewer planning, methods for developing population projections differ
from project to project because the responsibility as to how to do them now
rests with local consultants. The standard statistical trend projections,
such as those carried out by the New Jersey Department of Labor and Industry
are valid for large areas like the State and possibly for counties but not for
municipalities, especially not for those in newly developing areas. Statistical
trends are projected from historical data. They would not for instance, take
into account the effect of building a new regional sewerage system unless it
had already gone in. The success of coping with secondary impacts will depend
upon devising standard, relatively dependable methods of estimating what growth
will occur after a sewerage system has been built. The amount of vacant,
developable land and the attitudes towards growth of the municipalities in
the area must be fed into any small area population estimates if they are to
be valid. Rational planning on the part of municipalities which includes, for
example, an analysis of natural resources and a plan for preserving them a
capacity population figure based on these resources and a timing of development
scheme, would make the job of projecting population and thus pipe sizing easier.
Pipe sizes are designed to serve several times the estimated population
largely due to the vagaries of the population projections themselves and the
conviction that pipes must be put in once and for all; but by providing for this
undependaiily determined number of people, the practice also results, in very
little control over secondary impacts.
Pressures for zoning for higher densities begin as soon as the decision is
made to build a sewerage system. Land speculation begins and land values rise,
as was clearly seen in the Hamilton Township case.
Local zoning ordinances represent one of the few legal instruments for
controlling development, but they are usually revised in the face of pressure.
Timing of development is generally a factor that has not been tied into zoning.
Sewers built for ultimate capacity can enable an area to reach capacity
development far before the horizon date which is often 20 to 40 years into the
future. In areas where there are not firm commitments about the rate of growth,
projections for ultimate sewer capacity can quickly become a self-fulfilling
prophesy.
Sewer lines extended out through vacant land to service outlying develop-
ment play havoc with orderly municipal planning, and such leap frog development
can be very costly in terms of all municipal services. Also, once the connection
is accomplished, the rate of development accelerates on the land in between.
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THE PROBLEM OF DETERMINING REASONABLE FUTURE CAPACITY:
THE OCEAN COUNTY CASE STUDY
Much attention has been focused on the Ocean County Regional Sewerage
Authority's $250 million system, particularly on the Central Service Area
segment of the system. It is difficult to see how anything short of a
persistent economic downturn or stringent growth control policies could put
a stop to the Ocean County building boom considering the following growth
conducive factors:
There exist vast amounts of flat, well drained land which con-
tributes to cheaper building costs. Also, smaller lots are
possible and there is no rock to drive up costs.
A special land holding situation exists where major developers
own enormous tracts outright or have options from years ago.
No other area within a two-hour commuting radius of New York
City has comparable land area and characteristics.
Willingness of owners of non-income producing land to cash in.
Industry and service jobs are moving out to areas in the
metropolitan fringe; more and more jobs will exist close to Ocean
County and thus increase the demand for housing. Neighboring
Middlesex County, for instance, is New Jersey's fastest growing
county industrially. Also, industry and service jobs will come
to Ocean County, too, as the work force grows.
As land and building costs go up in Ocean County, they will
also go up in the already more developed areas, thus leaving
Ocean County with its present marginal advantage.
The ocean and bays are an attraction in themselves. Living near
them means easy access to recreation — vacation living year
around. Furthermore, the climate is somewhat milder there.
New roads and road improvements planned by the State, the
Federal government, the County, and the New Jersey Highway
Authority, which runs the Garden State Parkway, all promise
increasing accessibility for large portions of Ocean County.
Ocean County would develop rapidly even if the regional sewer
weren't built. However, pollution problems are beginning to
plague various parts of the County, Developers are willing
to build package treatment plants or some off-site trunk lines,
but not entire collector systems and treatment plants with
ocean outfalls. The regional sewerage system, thus, will be
another factor insuring continued growth, removing the chief
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OCEAN COUNTY REGIONAL
SEWER SERVICE AREAS
NORTHERN
SERVICE
AREA
CENTRAL
SERVICE
AREA
POLITICAL SUBDIVISIONS
OF OCEAN COUNTY
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obstacle which can be seen today.
Groundwater sources are plentiful in Ocean County, but will
have to be protected and managed with extreme care as the
increasing populations place greater demands on supply and
its protection from pollution and salt water intrusion.
The availability of almost unlimited assimilative capacity by
virtue of ocean outfalls.
Further examination indicates that there are several constraints to growth
which should be mentioned.
Energy and Gasoline. The availability of these basic
necessities may have an impact upon growth in the future/ .but it
is not possible to predict how much of an impact or when it will
occur.
Mortgage Market. High interest rates and shorter amortization
schedules could curtail residential construction in the future,
although once again, no predictions are possible.
Air Quality Restrictions. Federal-State air quality regulations
may force development to plateau at certain levels because of the
great dependence upon the automobile as the primary means of
transportation.
Coastal Zone Legislation. State review of development along
the coast could restrict some future development.
Overloading the Natural Resource Base. Increased storm water
run-off, non-point pollution, and groundwater contamination are
likely to occur as large-scale development continues.
After balancing the constraints against the conducive factors, the pressure
for growth in Ocean County is still overwhelming, due largely to the County's
ability to meet demand for land and housing with a plentiful and relatively
low cost supply of both. Sewers will play the role of assuring the service
capacity necessary for substantial growth, and it will be Federal and State
grants-in-aid that will permit the costly sewers to go in. In coming to the
decision to fund a system with a great amount of capacity for future development,
a host of problems emerged. These problems are at the center of the secondary
impacts controversy.
Problems which will be solved in Ocean County by the project at least for
the short-range are those of serious pollution in the streams, estuaries,
bays, and ocean. The new system will provide an improved environment for
shellfish and for recreation. Installation of pipes through fragile wetlands
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and the location of sludge disposal sites are some immediate problems which
can presumably be dealt with satisfactorily. But secondary impacts resulting
from a rapid increase in development are difficult to predict or control. In
Ocean County where the prevailing philosophy is one of encouraging growth,
increased run-off, pollution of groundwater sources, traffic congestion,
air pollution, and soaring municipal service costs could be the result of
the construction of the sewerage system. It is not the new sewerage alone
but the combination of new sewerage in the absence of adequate land use
controls and planning that makes the area vulnerable to future degradation.
It is not difficult to determine why a public works program of this
magnitude has spawned an almost incomprehensible tangle of secondary impact
concerns and administrative problems. Local officials fight to include
excess capacity for future populations in their projects. Municipalities are
certainly more willing to become involved and plan for sewers but are not
friendly toward the intervention of higher levels of government in their
planning process. However, strict Federal regulations do in fact limit local
prerogatives with regard to sewers and offer the State an opportunity to help
control growth through investment policies. New Jersey remains the most
urbanized of the 50 states, thus care must be taken to insure that impacts on
natural, human, and fiscal resources are taken fully into account in sewer
planning and decision-making. Otherwise, there is a danger that New Jersey's
abundant, but limited, water resources will be endangered and outstripped
that congestion and its attendant inconveniences will engulf even larger
portions of New Jersey, and that municipal governments will be saddled with
ever-increasing service costs which will be a heavy burden to their citizens.
Ideally if a framework existed of legislatively approved State land use
policies or growth policies, the planning and construction of sewer infra-
structure could become a device for implementation. Indeed, if such policies
could be adopted at the State or regional level the whole question of secondary
impacts could more easily be dealt with. It is the absence of any such policy
framework at the State level that places the responsibility for dealing with
secondary impact issues related to sewers squarely on the shoulders of those
carrying out the water pollution control programs, a responsibility they
are not trained to carry out.
Apart from the State, an improved county and municipal planning process
offers the most logical approach for controlling secondary impacts because
counties and groups of municipalities are the applicants using the vehicle of
an authority for grants. By developing comprehensive plans and policies for
general land use decision-making and closely linking water supply and wastewater
disposal plans to the timing and pattern of general development, as well as
other functional, plans, local and areawide concerns could be harmonized to a
far greater degree. It is assumed that this type of planning would complement
wastewater facilities planning, and local prerogatives would be exercised within
a regulatory framework established by the State and Federal government. Today
sewer planning is carried out by an implementing agency, which is generally not
a municipality or a county.
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At this time, however, this approach cannot be fully implemented due to
statutory and administrative constraints. Existing enabling legislation does
not authorize or require counties to carry out such comprehensive planning,
although some counties are presently moving in this direction. Municipalities
have the authority to carry out planning tasks and implement recommendations,
but represent too small and isolated a unit to carry out this assignment in
a manner that would adequately and properly include regional concerns. Further,
the planning carried out in most municipalities has not been very sensitive to
analysis of natural resources, nor is it rigorous enough to be able to antici-
pate and deal with particular problems which may arise in the future. It is
of necessity preoccupied with finding immediate ways to increase revenues and
not with long-range planning.
Improving understanding and performance of the facilities planning process
does not directly address the issue of secondary impacts, since available
Federal and State guidance does little more than define the items which may be
considered secondary impacts. In projects where secondary impacts have become
a significant issue, applicants and governmental officials have struggled to
develop a meaningful framework for analysis of secondary impacts. In Ocean
County, the critical secondary impact was degradation of air quality identified
by EPA; in Stony Brook, the impact on vacant land was the issue. In both
these cases, as well as several others, the key impediment to addressing the
issue of secondary impacts was the absence of a rational and orderly framework
for analysis.
The establishment of a procedural framework for analysis of secondary impacts
appears below as "Guidelines for Evaluating Secondary Impacts of Regional
Sewerage Systems." It shows how to identify in detail the development process
in the area under study and the relationship of the development process to other
potential impacts. The development process has been selected as the principle
focus of the secondary impacts analysis, because of the common sense obser-
vation that in the absence of intensive development, nature has a way of
maintaining stability and diversity in the ecosystem.
The "Guidelines for Evaluating Secondary Impacts..." are very comprehensive
and would not be recommended for universal application. Major projects which
traverse substantial amounts of vacant land would be required to follow the
Guidelines in detail. Lesser projects would be responsible for an abbreviated
version of the Guidelines. The amount of vacant, developable land which would
be accessed by the project is a useful indicator of growth potential.
In general, adverse secondary impacts can be expected when wastewater facili-
ties projects are out of scale with the development trends of a region. One
of the driving forces which causes projects to grow out of scale are the large
amounts of Federal and State dollars available for approvable projects. There-
fore, an important point of control on the size of projects and on associated
secondary impacts is the ease or lack of ease with which State and Federal
assistance can be obtained. In this regard state officials might consider
some changes in construction grants policies which would raise the importance
of economic considerations in local decision-making and reduce the amount of future
capacity in wastewater facilities within the bounds of sound engineering principles
and practice.
14. U.S. Environmental Protection Agency, Region II, Draft Environmental Impact Statemen.
on Wastewator Treatment Facilities Construction Grant for the Central Service Area ol
the Ocean County Regional Sewerage Authrority, (New York, April, 1974)
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There are two areas where changes in policy and procedure could increase
the importance of financial considerations at the local level. The first
would be to reduce the percentage level of grants from State and Federal
sources; the second would necessitate the institution of a procedure requiring
that State and Federal government funding be restricted to essential capacity.
It is clear from the language of the Federal Act that the emphasis is to
be on the correction of existing problems, while providing for the future
enhancement of the nation's waters. There is no direct mention of excess
capacity for future development, although in the case of collection systems,
Section 211 of the Act1 specifically prohibits the funding of collection
systems for new developments. It would appear that there is flexibility to
establish limitations on the amount of excess capacity provided in new facilities.
Consultants for local applicants have all too frequently presented the argument
that marginal cost of oversizing transmission facilities is small enough to
justify liberal oversizing to meet the maximum possible population. A recent
CEQ study entitled, Interceptor Sewers and Urban Sprawl disputes this.
How readily will local officials support the most expensive projections, if
their own money pays for the necessary excess capacity?
Since interceptors are viewed as a one-time investment, the proper question
to ask regarding them is: Should a particular line be built at all_, or if so,
how far should it be extended? Great care must be exercised to assure that the
level of need is sufficient to warrant such an expensive long-term commitment,
or that there is not an alternative approach which represents a more cost-
effective solution. If an interceptor is the proper solution, perhaps a
greater portion of the future capacity should be provided at local expense.
As the number of major pieces of environmental legislation increases, the
chances for creating overlapping areas of jurisdiction and responsibility also
increases. In 1974 for the first time, the Federal government has controlled
the sizing and configuration of a sewerage system to serve central Ocean
County, New Jersey, by using provisions of the Clean Air Act of 1970 and the
Water Pollution Control Act Amendments of 1972, in concert. Both construction
grants and discharge permits were used as direct controls on the level of local,
State and Federal investment in wastewater facilities. Such actions were taken
when sufficient technical documentation indicated that clean air standards
would be contravened over the long run, because sewerage capacity financed by
Federal monies would allow excessive population to move into an area of current
high air quality.
15. "Sewage Collection Systems," Section 211, Federal Water Pollution Control
Act Amendments of 1972.
16. Council on Environmental Quality, Interceptor Sewers and Suburban Sprawl,
(Executive Summary), prepared for CEQ by Urban Systems Research and
Engineering, Inc., (Washington, D.C., July 31, 1974)
17. Clean Air Act Amendments of 1970. Public Law 91 — 604, 91st Contress,
December 31, 1970.
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18
In a less direct fashion, the compliance with the State Wetlands Act
has proven to be a tough hurdle for a regional project in Atlantic County
which has gained approval on water pollution grounds. The project has been
delayed for over a year as the applicant has sought to comply with the
substantial requirements of the wetlands law, which requires written discussion
of alternatives as well as formal public hearings.
The complexity of these intragovernmental approval problems is becoming
recognized. The New Jersey Department of Environmental Protection has created
an Office of Environmental Review to centralize the review of projects which
extend across several program areas. The U.S. Environmental Protection Agency
uses an Environmental Impact Branch to coordinate analysis of environmental
assessments across the various areas of Federal responsibility, including
compliance with the National Environmental Policy Act.
The massive funding for the clean-up of the nation's waters authorized by
the Federal Water Pollution Control Act Amendments of 1972 has placed heavy
responsibilities upon the states who must administer most programs under the
Act. Awareness of the potential damages that may accompany the benefits of
such a large public works program has arisen quickly in this State as the
first impacts are felt. The correction of localized water pollution problems
by building a regional transmission system with enough excess capacity for the
next forty years can be like trying to cure an ailment with too powerful a
drug which turns out to have unknown and unanticipated side effects, sometimes
worse than the ailment itself; New Jersey is particularly vulnerable to such
side effects (or secondary impacts) of sewerage construction for a number of
reasons: (1) it is already the most densely populated state in the nation;
(2) development pressures are heavy; (3) the system of land use planning and
control is weak with growth simply being accommodated in most places; (4)
programs for analysis of natural resources are in their infancy.
In comparing New Jersey with New York and Pennsylvania, it is found that
New Jersey is the only one of the three which is still growing in population
each year. It has an average yearly population growth of about 66,000 people,
22,000 of whom are moving into the State. Over thirty percent of its
4,800,000 acres are developed and the State's 1,100,000 acres of farmland are
being diminished at the rate of about 46,000 acres per year. Since New Jersey
does not have the vast reserves of rural lands which are found in the
neighboring states of New York and Pennsylvania, the continued population growth
with attendant decline in farmland is significant.
New Jersey has no really effective policies to protect its diminishing rural
resources. The Farmland Assessment Act has slowed the disappearance of
farmland. The fate of the remaining rural and vacant lands in New Jersey is
of urgent concern. From the point of view of water supply, job distribution,
housing availability, transportation, recreation and the like, the manner in
18. The Wetlands Act of 1970, N.J.S.A. 13:9A - 1 et seq.
Farmland Assessment Act of 1964, N.J.S.A. 54:23.1 et seq.
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which these lands are developed may pre-determine continued or widening
social inequities or an intolerably low quality of life in this State.
The issue here is not one of growth or no-growth but rather of where and
what kind of growth should occur, where financial resources should be
concentrated, and where the greatest needs exist. Many questions arise:
Who is being subsidized by the large regional sewerage systems built at
enormous cost in undeveloped areas? What kinds of housing are going to be
built in , these areas in the absence of plans for balanced distribution of
low and moderate income units? Until questions like these can be answered
and policies devised, it seems New Jersey should try to limit its sewer
construction commitments in the developing areas to solving immediate and
severe water pollution problems, leaving future planning options open as
much as possible.
Today, as the cost of land, cost of construction, and mortgage rates rise,
driving the costs of housing up further and further, more multi-family units
and townhouses will be built in proportion to single family homes. While in
some cases septic tanks aan function on single lots, sewers are essential for
this higher density construction found in Planned Unit Developments and
apartment complexes. As a result, the role of sewers will become even stronger
as a growth determinant. In currently unsewered areas, the promise of sewers
stirs up development interest and can change the basis of existing master plans
and zoning. Land values rise making the land more difficult to acquire for
public purposes, and pressures emerge for zoning at higher densities.
The reasons for the large investment in excess capacity must be understood
in order to work out valid alternative policies. Some of the reasons for the
oversizing of facilities follow:
Cost effective reasons are cited, such as avoiding future
costs by building one time for a system accessing the whole
area or keeping future operating costs down by building one
large plant instead of several small plants.
A large capacity system is seen by local officials as an
assurance of future ratables and revenues.
The high proportion of Federal (75%) and State (15%) funding
which adds up to 90% of the eligible project cost has the
effect of lessening local concern about secondary impacts.
Local officials understandably would like to get as much
money as they can while it is available.
Local officials not aware of the land use implications nor the
possible fiscal impacts of a project.
Lack of concern about secondary impacts exists at all governmental
levels. Estimating the long-range impacts of growth induced by
sewers is a complex task demanding many different kinds of
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expertise. Before the issues relating to growth' and its
impact can be clarified for the public, a great deal of
analysis has to be done. Direct or pr unary impacts are
much easier to measure and understand, such as those
dealing with the flora and fauna on the sewer rights of
way, the number of trees to be taken down in order to put
in the pipes, etc. Thus consultants put their emphasis on
primary impacts and slide over the secondary ones in
environmental assessments. Furthermore, besides not
appearing in the assessment, the effects of the proposed
system on future water supply and water quality, on run-off
and flooding, on increases in municipal service costs, on
the character of the area are usually not factored into the
earlier planning and design of the system. So secondary
impact analysis is almost totally absent from the decision-
making process.
Because of the vagaries of carrying out population projections
and because each applicant is left to his own devices, extra
pipe capacity often results.
The State of New Jersey at this time has no official policies toward growth
nor any established land use policies. Because of this, actions taken by
Federal and State agencies to clean up the waters cannot be carried out
within a framework of accepted land use objectives. Furthermore, in most
cases municipal planning and zoning controls are not strong enough to hold up
in the face of newly available sewer capacity. As a result, the controls
are adjusted to accommodate growth. Few municipalities have carried out the
necessary environmental, fiscal, and social analyses to determine the optimum
pattern of development, population limits, and timing for their own growth.
Until there are some established land use policies to guide growth in the
state, planning will be done either via the back door by agencies building
public facilities or not at all.
•The Federal grant buys the State and Federal government the ability to
influence the local developmental process. In order to protect the investment
that is being made in water pollution control and to carry out the objectives
of the 1972 Act, State and Federal agencies, operating in the land use policy
vacuum which has been described, must be concerned with the secondary impacts
of the projects which are being funded and bring the consideration of secondary
impacts into the earliest stages of planning. The environmental protection
agencies have the money and the mandate to do this as part of the construction
grants program and fortunately are beginning to take action to deal with
secondary impacts.
It should be underscored that the continuation of the casual relationship
between land use planning and development and water resources management cannot
be allowed to continue. Any system that encourages independent decision-making
with regard to our exceedingly valuable land and water resources is now, and
will continue to be in the future, grossly inefficient. Sound land use planning
must be closely aligned with water resources management. With only noted excep-
tions, land use in New Jersey today is largely a municipal function. Water
resources management, on the other hand, is rarely approachable at a municipal
level. The challenge will be to devise a system that will acknowledge these
differences and also work.
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EXPLANATION OF THE METHOD FOR EVALUATING
SECONDARY IMPACTS OF REGIONAL SEWERAGE SYSTEMS
The purpose of investigating the seven categories in these guidelines
in the order suggested is to gain an understanding of the growth-induced
impacts which may result from each of the alternative systems which have
been proposed. It is necessary to determine the probable rate and pattern
of growth in the service area which will result from each alternate and
then to analyze the impacts of that growth. Following is a summary of the
rationale behind the guidelines.
SECTION I
Determine pressure for development. To get an indication of the amount
of pressure for development in the area, determine what development has occurred
since 1960 and what is happening now. Separate by type of land use. This will
help to determine whether or not there will be a high rate of growth once the
sewers are in. Trends should be adjusted for short-term influences.
SECTION II
Measure vacant, developable land. To get an idea of how much growth could
occur, determine how much vacant, developable land there is. Also indicate
natural and physical limitations of the land for development.
SECTION III
Compare proposal with existing plans. To see if the proposed project conflicts
in any way with existing plans, compare a map of the service area showing the
location of the proposed system with plans and future land use plans of munici-
palities, counties and the State, including plans for highways, parks, reservoirs/
and environmentally critical areas. (Include such agencies as the New Jersey
Highway and Turnpike Authorities and the Atlantic City Expressway.)
SECTION IV
Evaluate municipal attitude toward growth. The level of land use planning
in an area will be decisive in determining potential secondary impacts so it
is necessary to evaluate the quality of the planning effort which is being
carried out in each municipality. A checklist of indicators is given with which
to measure the degree of commitment to basic planning objectives.
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SECTION V
Estimate growth. While it is difficult to estimate growth when counties
and municipalities have tended to simply accommodate growth as it comes along
rather than setting limits and specifying timed stages for development, this
task must be carried out in as enlightened a manner as possible. It is
necessary to estimate the amount and pattern of growth which will occur in the
ten years after construction. This estimate will be based mainly on previously
gathered information, such as the amount of vacant, developable land, municipal
policies and attitudes, the pressures for development in the area, and the
development trends, e.g., Planned Unit Developments.
SECTION VI
Measure impact. All the previous steps lead up to this one, which should
be considered the heart of the analysis. Using the estimates of the pattern
and rate of growth above, describe the potential impacts of this growth on the
individual municipalities and the region.
SECTION VII
Weigh alternatives. This section should be a thorough evaluation of the
alternative proposals in terms of the long-range impacts discussed in the
previous section. If possible it should conclude with a recommended project
proposal which would have the least adverse impact while adequately solving
the current water quality problems of the area. The possibility that all
alternatives represent too large a solution to existing problems should not
be ignored.
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GUIDELINES FOR EVALUATING SECONDARY IMPACTS
OF REGIONAL SEWERAGE SYSTEMS
The environmental assessment which accompanies each facilities plan must
include a discussion of the secondary impacts of the proposed facility.
According to federal regulations, secondary impacts include changes in the
intensity and distribution of the population, and changes in the human use
of the land. Because secondary impacts are a measure of long-range and
lasting effects of a project, analysis of secondary impact should be at
least as lengthly and detailed as that for primary impacts. The following
guidelines are offered to assist in addressing this question.
I. GROWTH EXPERIENCE OF THE SERVICE AREA
A. Describe the growth experience of each municipality and the
whole study area since 1960, including changes in size of
population, types of residential development, types of
industrial and commercial development, and changes in other
najor uses of land, such as farming. Map this information.
B_ How does this growth experience in the service area compare
with the rest of the county and with the state as a whole
in terms of population, employment, building permits
granted, industrial development?
C. Rank in order of importance the major factors influencing
gxowth in the area and give rationale behind choices; for
example:
proximity to metropolitan areas
accessibility — highways, public transport
natural resources — water supply, aquifers,
prime farmlands
natural features — mountains, streams, ocean
inexpensive land
buildable land
public facilities
etc.
D. Determine the degree of development activity in each municipality
in the sewer service area by showing how much development by
type — commercial, single family residential, apartments, PUDs,
industrial, etc., has been approved in the past two years. Look
also outside the specific service area for indications of
development pressure in the region including planned capital
facilities.
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1. Based on recently proposed subdivisions and building
permit applications, estimate the amount of
residential development that is likely to be con-
structed in the next few years. Determine the number
of potential dwelling units which will probably be
built without the proposed project.
2. Indicate lands which are known to be held by speculators
and developers. In New Jersey a copy of every deed
recorded with the County Clerk's Office is sent back
to the municipality. So information relating to changes
in ownership should be available at municipal offices.
The county agricultural agent will be a useful source
of information in this regard.
II. EXISTING LAND USE
A. On map or photo quad of the service area at U.S.G.S. scale,
map publicly owned lands, floodplains, wetlands, etc.
B. Map undeveloped lands and determine the number of vacant areas.
Subtract publicly owned lands, floodplains, wetlands, slopes
exceeding 15%, etc. to determine the number of vacant,
developable acres in each municipality and in service area.
C. List any major deterrents to growth, both natural and other,
e.g., lack of water supply, lack of sewers, bad drainage,
difficult terrain, stream loading limitations, etc. (This
information will have already been obtained for the inventory
of natural resources required in the preparation of a
facilities plan.)
D. At same scale as above, preferably as an overlay, map current
zoned densities, taking these from each municipality's zoning
map and ordinance. Deduce from this current zoned capacity of
the service area.
III. RELATIONSHIP TO FUTURE PLANS
A. Study future land use plans where they exist of each municipality
in the service area. Indicate the status of these plans. Are
they official, adopted plans? When were they prepared and
adopted? In no plans exist, review the zoning ordinance. If
neither exists, so note.
B. Describe all other applicable planning for the service area,
including regional and county future land use plans, state
highway plans, state open space plans, plans for environmentally
critical areas, i.e., floodplains, wetlands, coastal zones, etc.
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Confer particularly with county planners for this overview.
Are local plans consistent with these county, regional
and State plans? Point out major discrepancies. Separate
planned expenditures from general plans.
How does the provision of the proposed facility relate to
the above plans? Does it propose sewers in areas designated
for conservation, open space, recreation or in environmentally
critical areas? Where conflicts exist, how is the system
designed to deal with them?
IV. STATUS OF PLANNING IN EACH MUNICIPALITY
A. What is the attitude toward growth in each of the participating
municipalities? Determine this by examining municipal records,
interviewing public officials, planning consultants, citizens,
and reviewing area newspapers.
B. How muchhas each municipality in the service area spent on
planning in each of the last five years? Show the relationship
between the amount of vacant, developable land they have and
the amount of money they spend for planning.
C. Describe the degree to which each municipality has dealt with
the following checklist of basic planning elements:
1. Inventory of natural resources, including geology, soils,
topography, water quality, water supply.
2. Open Space Needs Study and Open Space Plan.
3. Housing Needs Study and Housing Plan.
4. Collector Sewer Master Plan.
5. Adopted Master Plan which encompasses the above elements.
6. Provisions in zoning ordinance providing for "timing of
development," clustering, PUD and PURD.
7. A six-year capital program.
8. Describe municipalities' current debt status and capacity.
D. Evaluate the consistency of the municipalities' land use ordinances
and their plan. (Note inconsistencies in terms of impact on
system design.)
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E. Examine the records of the Zoning Boards of Adjustment for the
past five (5) years in the service area.
1. What is the frequency of use or "d" variances?
2. To what extent are they a departure from the plans and
adopted land use regulations; note especially:
a. changes in density
b. marked changes in type of use
c. marked changes in waste discharge characteristics
of permitted uses
3. Discuss the potential impact on system design where
significant Zoning Board activity has been occurring.
V. ESTIMATING GROWTH
The Environmental Assessment must take into account the assumption
that putting through sewer interceptors will stimulate pressures for
development. The growth which will follow the construction of the
project must be estimated in order to deduce the potential impacts
on natural resources, public services/ fiscal policy and the character
of the area.
A. For each alternative indicate on a map of the service area (no
smaller than U.S.G.S.scale) the location and size of 'proposed
sewer lines and treatment plants. Aerial photographs available
at U.S.G.S. scale, 24,000:1, is a useful base on which to lay
out proposed systems.
In light of municipal policies, proposed developments, and amount
of development pressure discussed above and with careful analysis
of the vacant, developable land which will be served by the
proposed system, estimate the population which will occur in the
service area within the 10 years following the construction of the
proposed project. This could be a range rather than a single figure.
It will be necessary to estimate the spatial pattern, density and
general housing types which will probably occur. Where assumptions
are made, they should be clearly stated and justified.
B. For purposes of comparison, also estimate an ultimate population for
the service area based on the design size of the pipes, assuming
full capacity use. Evaluate the engineer's assumptions about per
capita use and peak flows as well as his methods for computing
pipe sizes.
C. Under current state and local policies toward zoning, floodplains,
critical areas, septic tanks and package treatment, what growth would
occur if the project were not constructed using the 10 year time frame.
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VI. MEASURING POTENTIAL IMPACT OF THE PROPOSED FACILITY (AND ALTERNATIVES)
Using growth estimates from Section V.A., determine the potential
impacts of development on: regional economic patterns, transportation,
local sewer collector systems, health services, solid waste disposal,
.schools, municipal fiscal structure, air quality, water supply,
flooding, water quality downstream effects and the character of the
region.
A. The impact of each of these should be analyzed for each municipality
in the service area using referenced standards.
1. Regional economic patterns. What will be the impact (positive
and negative) of growth on the following economic activities:
agriculture, industrial development, retail business and
services? This analysis should include geographic as well as
measured aspects.
2. Transportation. How many additional cars for residents,
commuting-in traffic and service vehicles will be generated?
What new roads and road widenings will be necessary to serve
this additional traffic? Estimated pattern of development
under Section V.A. of these Guidelines will be useful here.
Approximate costs. How will the burden be divided up between
federal, state, county and local government? Will a public
transportation system be possible within the region if it
doesn't exist now?
3. Local sewer collector systems. How much sewerage will have
to be constructed by each municipality? Estimate costs.
Add costs of local system to costs of regional system to
produce estimated total cost to users 10 years after
construction of regional project. Is the cost high enough
to create pressure for more users?
4. Health Services. Estimate demand for hospital beds, nursing
home beds, and other services as identified by the State
Comprehensive Health Planning Agency.
5. Solid waste disposal. Estimate the amount of solid waste
(tons per month) which will have to be collected and
disposed of. Are there plans for dealing with this?
Have sites been chosen? What will be approximate yearly
costs for facilities and operations? Are there available
approved disposal areas in the area?
6. Schools. How many additional school children can be anticipated?
Using the estimated number 01 additional housing units in V.A.
and accepted standards for the number of school children per
unit. Based on current cost per school child per year in each
municipality, estimate future annual operating and construction
costs. Relate the latter to debt section below.
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7. Municipal fiscal structure. What are the anticipated effects
of increased population on the fiscal position and tax rates
of each municipality. Indicate whether or not there might be
an increased financial burden on residents and if so, to what
degree. (Again, it may be necessary to discuss this in terms
of a range of possibilities.) What are the capabilities of the
towns with respect to their current and future debt capacity
characteristics?
8. Clean air. What is existing air quality in the region based
on current readings for particulates, photo chemical oxidants
and sulphur oxides? With anticipated growth what would be the
projected amount of deterioration in air quality in regard to
these three parameters? Is this within the bounds of the
EPA air quality increment standards?
9. Water supply. What are the current sources of potable water
and what is the adequacy of such sources for meeting estimated
future population needs? Determine what other sources might
be available, how they might be brought into use and the
approximate cost involved. Is depletion of streams or
wastewater loading a concern in planning for future water supply?
10. Flooding. To what extent will the amount and speed of run-off
be increased by estimated changes in land use, and what effect
will this increased run-off have on frequency and magnitude of
floods for 25-year storm, for 50-year storm?
11. Water quality. What are the anticipated effects on stream
quality and underground water quality of the run-off and
increased wasteload resulting from the estimated development?
12. Character of the region. Would there be any significant
changes in the appearance or functioning of the region which
should be documented?
B. What are the most significant problems which can be foreseen as the
result of the above described impacts of growth? Describe them
at length.
C. Is the design and construction schedule of the proposed facility
compatible with phasing of growth in the individual municipalities
and in the region, or will large areas be opened up all at once?
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VII. WEIGHING ALTERNATIVES
A. Which of the alternative proposals best minimizes adverse
secondary impacts while providing an adequate solution to the
water quality problems of the area?
B. It is possible that each of the proposed alternatives represents
too large a solution in relation to existing problems, thus
threatening the area with unnecessary secondary impacts. If
this is the case, indicate ways in which you feel the project
might be revised, scaled down or staged and still solve the
water quality problems of the area.
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REMOTE SENSING AND ENVIRONMENTAL PLANNING
Niels West
Department of Geology and
Marine Affairs
University of Rhode Island
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REMOTE SENSING AND ENVIRONMENTAL PLANNING
The demand for environmental data by governmental
agencies, private and public institutions responsible for
writing environmental assessments or impact statements has
increased significantly in response to the requirements of
recent NEPA amendments and CEQ guidelines.
The increased demand for time to complete the environ-
mental analysis has paralleled the growing need for environ-
mental information. This is reflected in increases directly
related to the larger data files which are now necessary to
complete the basic EIS requirements and cost increases directly
associated with the capitalization of investments in land
during the planning stage and environmental analysis. It is
evident therefore that significant pressures are exerted by
EPA to shorten the period required to execute the several
assessment stages without in any way detracting from the
quality of the environmental document.
This paper is organized in three parts. The first
briefly reviews the data sources currently used by the environ-
mental planning community. The second part reviews the work
presently under way by the disciplines involved in evaluating
remote sensing information and computer mapping, particularly
as related to interfacing both natural and socio-environmental
data files. The third section discusses the degree of
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compatibility between current technology and the requirements
set by the planning and environmental assessment interests in
light of the comprehensive studies now required, and the
shorter time allowed to conduct the studies.
The current data sources consist of two broad classes.
The most important one is made up of universally available
information, examples of which are the Decenial Census of
Population and Housing, the U.S.G.S. 7-1/2 minute topographic
series, and the Soil Conservation Service Soil Maps. The
census information, as well as the map sources, are indispens-
ible in both impact analysis and planning. The second section
of the current data sources is more difficult to discuss as it
encompasses the numerous data sources—graphic as well as
tabular in format—which are not universal in coverage but
which have been collected often for a particular purpose which
may no longer be of any relevance to overall planning goals or
environmental evaluation and assessment. Some of the data files
are continuous (New York Harbor Study) while others are largely
discontinuous both temporally and spatially (STORET).
While these sources often have been used as supporting
data for baseline studies, their overall lack of compatibility
makes them less than ideal under the best of circumstances,
and sometimes useless for current analysis of environmental
problems. Nevertheless, because of a combined lack of time
and money in executing specific surveys designed to answer
particular socio-environmental questions, the planning and
environmental evaluator has often been forced to rely on these
data sources.
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The increasing complexity of land use analysis
reflected in the growing understanding of optimal land use
requirements has resulted in the emergence of a branch of
environmental planning which best can be described as
"suitability analysis." Suitability analysis in its simplest
form involves the classification of a given area in terms of
the "optimal requirements" set by each of several land use
classes under consideration. Thus, industry has a set of
locational and environmental requirements which differ from
other land use categories such as low density housing. These
differences may be translated into specific requirements in
terms of slope accessibility (highways, railroad sidings, air-
ports, etc.). By graphic or statistical "overlaying" the
suitable areas for each land use within a given community, it
is possible to classify the "developable" areas on the basis
of the environmental requirements by each of the land uses
under consideration. In other words, the ideal conditions for
each land use, whether single family, multi-family, industrial,
commercial, or recreational, can be prespecified and the land
subject to the analysis can be classified on the basis of those
characteristics governing each or all of the land uses.
In practical terms, this involves the mapping of a
larger number of spatially distributed variables (Hitchcock).
To date, such overlays have been used by the planning commu-
nity as a descriptive rather than as an integral part of the
planning process.
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In order to meet the increased demand for comprehensive
environmental analysis, several of the data sources discussed
here can be combined into complex suitability maps, usually one
for each land use. Some preliminary practical examples have
been conducted in recent years which describe the procedure
although not the specific data demands required to execute
the maps.
One of the overriding reasons for the absence of
universally covered data files is the relative cost of infor-
mation per unit area of coverage (Mausel, 1974) . Another is
the uneven spatial demand for the information. In regions
characterized by rapid growth or large scale environmental
change (exurban, along coasts, rivers and lakes, and along
existing transportation routes) the demand for socio-
environmental information is greater compared with regions
which are growing only moderately or not at all. This problem
is also related to that of scale—the smaller the scale (the
larger the area) the less detailed the information per unit of
area. The minimum scale required for most local and regional
environmental applications remains at 1:24,000 or larger,
although some regional planning agencies have selected as
their basic map scale the 1:63,360.
Several attempts have been made in recent years to
integrate traditonal socio-economic data sources, primarily
•
information obtained from the Decenial Census of Population
and Housing, tax records, health statistics, etc. with data
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files collected by natural scientists, e.g., slope, geological
information, floodplains, etc. A pioneering effort of an inte-
grated socio-environmental data file is the New York LUNR Survey
which was conducted during the late 1960's and encompassed well
over 100 socio-environmental data files which were mapped and
can be retrieved on 7-1/2 minute, maps .(1:24,000) . This infor-
mation may be reproduced in tabular or graphic form (point,
line and areal patterns). Because of budget constraints, up-
dating of this data file is not universal but only covers those
counties which have been able to support updating efforts by
matching funds, or where the need for new land use information
has been overwhelming (Hardy, 1975) .
Several advanced efforts based on integrating computer
technology and remote sensing have been made. Both large and
small scale data files have been collected using this approach.
The small scale data collection efforts generally have been
less comprehensive and usually relied on information from one
of several remote sensing sources. In recent years, numerous
states, universities, and private firms have engaged in the
development of regional information systems, most of which are
either experimental or keyed to a particular geographic area
which may not have universal application. Other efforts have
been developed by a handful of environmental engineering and
research firms (Alexander, 1974; Batelle, 1976; and Johnson,
1972) which provide important commercial services to specific
projects and/or locations but which are difficult if not
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impossible to access for purposes of research and experimen-
tation in an academic context.
The LUDA (Land Use Data Analysis) program is a national
effort to obtain land use and cover data on a scale of 1:250,000
yielding .data density network varying from 10 to 40 acres.
This set covers 37 different land use and cover categories
where the density depends partly upon the area (urban vs. rural)
and partly upon the specific category to be mapped. While
information collected under this program will provide a data
point density in rural areas comparable to those often employed
in regional environmental data files—which can be aggregated
on the county, river basin and census tract levels—it is still
too coarse for any large scale site planning purpose. Even in
urban areas, a data density network of 10 acres may be too
coarse for most large scale planning efforts. Two additional
constraints are likely to restrict the use of this data file.
One is related to the source of the information which depends
exclusively upon high altitude NASA photographs as well as
LANDSAT processed information. No attempts are currently
contemplated which will interface these files with other
equally significant data sets important for both the urban
and environmental planner. Under this program, only areal
information is being mapped using a polygon approach, which
means that only point and linear land use information in excess
of 10 or 40 acres (depending upon area and category) will be
mapped. Since significant information related to both conven-
tional planning and environmental impact analysis depends upon
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point and linear point sources (river gauging stations, roads,
rights of way, and easements), which is much smaller than the
minimum requirements demanded by this system, this data file
will be of only partial value to the user community.
Because of the fast growing demand for socio-environmental
data, several attempts have been made to assemble and maintain
continuously updated data files incorporating both natural,
environmental and socio-economic data sources. Apart from the
previously discussed LUNR and LUDA series, the USGS has initi-
ated a data file based entirely on LANDSAT remote sensing
imagery. This program, dubbed CARETS (Central Atlantic Regional
Ecological Test Site) compiles land use information using manual
photo-interpretation techniques (McGinty and Fitzpatrick, 1976) .
This information is categorized based on technical ability and
reliability of interpretation into two levels (Table 1). Even
so, great variability exists between each of the interpreted
patterns and the actual land use—a process referred to as
groundtruthing. While other research efforts have reported
significantly higher rates of correlation between image and
actual land use or cover (Lindenlaub, 1975), the continuing
lack of overall reliability for all of the land uses included
in the set makes it of only marginal utility to all but the
larger regional planning agencies.
Two additional capability studies with integrated data
bases have been developed (LUMIS and MILUS), both based on Los
Angeles and both created in part with the remote resources of
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TABLE 1
Level I
Level II
01. Urban and
Built-up Land.
02. Agricultural Land.
03. Rangeland.
04. Forest Land.
05. Water.
06. Nonforested Wetland,
07. Barren Land.
08. Tundra.
09. Permanent Snow and
Icefields.
01. Residential
02. Commercial and services.
03. Industrial
04. Extractive.
05. Transportation, Communi-
cations, and Utilities.
06. Institutional.
07. Strip and Clustered Settlement.
08. Mixed.
09. Open and Other.
01. Cropland and Pasture.
02. Orchards, Groves, Bush Fruits,
Vineyards, and Horticultural
areas.
03. Feeding Operations.
04. Other.
01. Grass.
02. Savannas (Palmetto Prairies).
03. Chaparral.
04. Desert Shrub.
01. Deciduous.
02. Evergreen (Coniferous and Other)
03. Mixed.
01. Streams and Waterways.
02. Lakes.
03. Reservoirs.
04. Bays and Estuaries.
05. Other.
01. Vegetated.
02. Bare.
01. Salt Flats.
02. Beaches.
03. Sand Other Than Beaches.
04. Bare Exposed Rock.
05. Other.
01. Tundra.
01. Permanent Snow and Icefields.
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the Jet Propulsion Labs in Pasadena. Of the two, the Land Use
Multiple Input System (LUMIS) is the earliest. This system
stores data input referenced to specific geographic areas.
The output can be retrieved in tabular form or in the form of
computer maps (hard copy). This system was developed in part
by the Bureau of the Census DIME File and in part by the Los
Angeles County Assessor's files. An attempt to update the
system to an interactive status was made later, also with the
help of JPS, and received the acronym MILUS (Multiple Input
Land Use System) (Bryant, 1975). In addition to accepting
existing spatially referenced tabular information, this program
also is capable of accessing LANDSAT images which will greatly
increase its value as a regional resource inventory and may
prove highly useful in the development of a general resource
modeling tool.
The storage and retrieval of the several data sources
in graphic form either as single files or as superimposed
images on a preestablished geographic area may greatly reduce
the time spent in drawing these distributions manually. The
success in operationalizing these systems will significantly
increase the effectiveness of the environmental plan or
analysis.
The computer map has other potential time saving
advantages above those drawn manually. While they may not be
as pleasing to the eye as conventionally drawn maps, they are
on the whole more accurate. With a relatively small additional
effort, subroutines can be written into existing graphic
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programs which will compute the actual percentage of total land
covered by a particular land use, thereby providing absolute
and relative quantitative measures on the magnitude of each.
The areal computation of specific patterns using a planimeter
is both slow and comparatively inaccurate. In comparison, the
efficiency and accuracy of the computer drawn map is only a
function of its size and the number of the data points associ-
ated with the area.
A second generation program has been developed but is
still mostly experimental. This is limited to remote sensing
data almost exclusively obtained from LANDSAT images. Several
public and private institutions have developed data processing
systems which allow the user to statistically manipulate the:
remote sensing data files directly (LARSYS, MIDAS, and GE
IMAGE 100) (Lindenlaub, 1975).
The greatest opportunity for increasing the quality
and quantity of existing and future environmental data files
appears to rest with high altitude remote sensing technology.
Once fully operational, these systems will be the least expen-
sive per unit area of coverage, yet highly useful, particularly
to the regional planning community. Several disadvantages
remain with this system. These are related to (a) elevation
of the satellite above the surface of the earth; (b) the scale
and resolution of the images, and (c) the interpretive powers
of existing technologies (Howard and Kracht, 1971) .
While remote sensing involves any images obtained from
stationary as well as moveable platforms (aircraft, manned and
265
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unmanned spacecrafts), satellite generated images include a
very large portion of the earth's surface compared with con-
ventional air photos which vary from scales of 1:2000 to scales
less than 1:100,000. This decreases the effective map sccile
and, more importantly, results in a reduction of the resolution
of the photographic image. The elevation of the satellites
can not be significantly altered in the context of improving
resolution. Consequently, future increases in the scale ard
spatial density of information must result from improvements
in the camera, film, and developer. While the reliability of
correlating remote images with actual land cover has increased
in recent years, the variation in degree of interpretation of
individual land uses is still too coarse for all but the very
general land use covers.
The efforts by public and semi-public groups involved
in developing remote sensing software technology have been to
develop any number of pattern recognition programs which
i
eventually will enable the user to "read" the image directly
without having each map or section thereof individually ground-
truthed.
The programs developed are restricted to small map scales.
Because of the quantity of information available with existing
LANDSAT capabilities and the frequency and regularity of new
incoming images, most of the small scale remote sensing efforts
currently under way are utilizing this source. Baring extensive
cloud cover, the LANDSAT passes over a given geographical
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location once every 18 days, thus providing a wealth of
information, much of it redundant and many times more than
can presently be interpreted using existing photo interpretive
capabilities.
The need for more in depth analysis of both primary
and secondary impacts and for shortening the period of the
planning and assessment process has created a dilemma which
can only be resolved by increasing the supply of easily
accessible data files which are related to specific environ-
mental modifications.
The problem of increased utility of interfacing
existing socio-economic data files with land use and cover
information must be resolved through increased technology
and improvement in developing institutional frameworks to
allow for the development of suitable comprehensive data files.
The improvement related to increasing the utility of
high altitude (LANDSAT) images are related primarily to scale,
resolution and reliability of pattern recognition. Since these
involve technical aspects, increased utility of these resources
on the subregional level will have to be obtained through
further technical innovations. Much of current remote sensing
technology owes its origin to the intelligence community which
continues to spend money, time and effort in overcoming the
problems discussed above. It is highly like that future major
breakthroughs in the technology of remote sensing will emerge
from this branch of government.
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The establishment of institutions responsible for
the development of the information systems should recognize
the need for creating a continuous integrated (interdisciplin-
ary) comprehensive environmental data system. Furthermore,
such a system should be based on a coordinate grid which is
universally applicable (such as the UTM) and which will insure
spatial information suitable for local, intermediate and
regional planning needs.
268
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REFERENCES
Alexander, L., et al. "Remote Sensing: Environmental and
Geotechnical Applications," Dames and Moore Engineering
Bulletin #45, August, 1974.
Batelle, Pacific Northwest Labs. "Remote Sensing Capabilities,"
Water and Land Resources Department, Richland, Va.,
1976.
Bryant, N. MILUS. Pasadena, Ca.: Jet Propulsion Lab,
Institute of Technology, 1975.
Hitchcock, H. C., et al. "Soil and Land Cover Overlay Analysis,"
Photogrammetric Engineering and Remote Sensing (1975),
1519-24.
Howard, W., and Kracht, J. B. "An Assessment of the Usefulness
of Small Scale Photographic Imagery for Acquiring Land
Use Information Necessary to Urban Planning," Publica-
tions in Geography Technical Paper 71-2, Department of
Geography, University of Denver.
Johnson, R. H. "The Image-Processing System for the Earth
Resources Technology Satellite," Bendix Technical
Journal (Spring 1972), 5, 1_, 46-51.
Lindenlaub, J. C., et al. Bringing Remote Sensing Technology
to the User Community^ West Lafayette, Ind. :The Lab'.
for Applications of Remote Sensing, Purdue University,
1975.
McGinty, H. K., and Fitzpatrick, K. "An Evaluation of Land
Use Maps Compiled From Landsat Imagery Using Non-
automated Techniques," USGS Stop 710, Reston, Va.,
1976.
Mausel, P. W., et al. "An Analysis of Metropolitan Land Use
by Machine Processing of Earth Resource Technology
Satellite Data," Proceedings of the Association of
American Geographers (1974), Vol. 6.
269
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270
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Presented at "Environmental Quality and
Land Use Planning" research symposium
sponsored by U. S. Environmental Protection
Agency and Cook College, Rutgers University,
New Brunswick, New Jersey, May, 1976.
Air Quality
and
Regional Spatial Structure
Richard K- Brail*
May 1976
*Associate Professor, Department of Urban
Planning and Policy Development,
Livingston College, Rutgers University,
New Brunswick, New Jersey
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AIR QUALITY AND REGIONAL SPATIAL STRUCTURE
Richard K. Brail*
Source Controls and Land Use Implications
The examination of the relationships between air quality
and the spatial organization of metropolitan areas has been of
increasing concern in recent years. The basic focus of much
of air quality control activities by public and private organi-
zations has been on the reduction in the level of emissions
at the source — the smokestack or the exhaust pipe. Federal
point source emission standards and motor vehicle control pro-
grams have placed limits on pollutant emissions. Insofar as
these source controls are able to keep the amount of pollutants
in the ambient air within federal standards, the use of source
control strategies make sense.
Unfortunately, it is not clear whether, in fact, federal
source control regulations will be adequate. Both research and
recent history suggest that source controls will not be enough.
McCutchen (1975) has suggested that even with compliance by
industry with pollutant abatement strategies using emission
controls on stationary sources defined by state implementation
*Dr. Brail is Associate Professor, Department of Urban Planning
and Policy Development, Livingston College, Rutgers University,
New Brunswick, New Jersey
272
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plans (SIP), there will be nationwide increases in 1985 in
the amount of sulfur oxides, oxides of nitrogen, hydrocarbons
and carbon monoxide from stationary sources. The estimates
are based on the use of industrial growth factors. Using
stricter emissions standards than SIP regulations derived from
a "maximum control technology" strategy applied to all addi-
tional and replacement industrial capacity after 1975, then
oxides of nitrogen will increase signficantly by 1985, parti-
culates and hydrocarbons will remain the same, and carbon
monoxide and sulfur oxides will decrease.
The implications of these findings are important.
Assuming that the industrial growth factors used in the pro-
jections of emissions to 1985 are reasonable, then air pollu-
tion control officials are faced with the burdensome task of
strengthening stationary source control programs in a time
of increased concern about environmental and economic trade-
offs. Even more, delay in the introduction of stricter motor
vehicle emissions standards may force even more of a burden
on to stationary source controls for hydrocarbons, oxides of
nitrogen and carbon monoxide.
There are indications that the federal motor vehicle
emission standards already applied to new automobiles are not
273
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being met by on-the-road vehicles. The federal emission test-
ing program, performed under laboratory conditions, certifies
that automobiles will emit pollutants below standards set for
the particular model year. Unfortunately, there are prelimi-
nary indications that automobiles are not meeting federal
standards in actual service. Obviously, there will be attempts
made to rectify this problem of noncompliance.
An issue remains however. While technology can be
developed to produce engines which meet federal standards,
there are few current assurances that manufacturers, drivers
and mechanics can collectively maintain these engines to
produce emissions below standards. What is the guarantee that
this problem will not continue to beset us in future years as
federal motor vehicle emission standards are tightened?
There are, then, three reasons why stationary source
controls may not be adequate to the task of achieving and
maintaining ambient air quality standards in metropolitan
areas. First, industrial growth may not be matched by
emission controls stringent enough to prevent actual increases
in the total amount of particular pollutants. The prospects
for emission reductions, necessary for the meeting of ambient
air quality standards in many metropolitan areas, are
uncertain.
274
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Second, the federal motor vehicles emission reduction
program faces continual challenges in the Congress, with dis-
tinct possibilities that there will be delays in the enforce-
ment of stricter standards. This issue is of particular con-
cern in the light of energy conservation legislation mandating
more fuel-efficient automobiles: manufacturers have argued
there are inherent technological conflicts in reducing emissions
and improving fuel consumption, If the federal emission control
program is altered, making it more lenient, then there is addi-
tional pressure on stationary source regulations to achieve and
maintain ambient air quality standards. Finally, as pointed
out earlier, the selection of federal motor vehicle emission
standards does not in itself ensure that on-the-road vehicles
will meet these standards.
What, then, are the alternatives to the source control
of emissions? There is the basic distinction between the level
of activity which exists within a spatially-defined area and
the amount of pollutants generated by a unit measure of that
activity. Far example, a hydrochloric acid manufacturing
plant will emit .1 kilogram of hydrogen chloride per metric
ton, according to the Compilation of Air pollutant Emission
Factors (U.S. Environmental Protection Agency, 1973). This
emission factor is the amount of effluent output per unit of
275
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production. As the size of the plant varies so also will the
amount of pollutants will vary.
If one sums across all polluting activities within the
defined area for a particular pollutant, then the total repre-
sents the joint effects of the levels of production (amount of
output) of the various activities and the amount of pollutant
generated per unit of output. Stationary source controls
focus on monitoring and reducing the amount of the pollutant
amount per unit product. Control of the levels of activity,
on the other hand, are the focus of land use planning and
regulation over the long term. Land use controls are* useful
in shaping the kinds and amounts of activity which occur in
a metropolitan area over a number of years. The results from
land use regulation, and the accompanying planning, in improv-
ing or maintaining air quality, or at least slowing down deter-
ioration, occur as public and private decisions are made
regarding the buying and selling of land and the constuction
and upgrading of facilities. Over a period of years, coherent
land use regulations recognizing air quality objectives will
influence land use decision-making and regional spatial
structure.
276
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Regional Planning
The question, then, is what kinds of land use planning
and regulation approaches are available in the air quality
management process. We will discuss three approaches —
regional planning, emission allocation procedures, and emission
density zoning. Regional planning has been put forward as an
air quality maintenance strategy (U.S. Environmental protec-
tion Agency, 1974). However, the concept is so broadly drawn
that it is difficult to ascertain how regional planning can
help the air pollution problem without specific guidelines.
Unfortunately, such guidelines do not exist. To be sure,
regional hospitals should not be located downwind of large
industrial polluters. Obviously, the encouragement of mass
transit and concomitant reduction in auto usage will also
improve regional air quality. These general normative state-
ments about what "ought" to be done to shape regional spatial
structure in accordance with air quality objectives are not
sufficiently detailed.
What is needed is coherent structure which estimates
the air quality impacts of alternative regional land use and
transportation long-range plans and short-range projects.
On the plan level, future expected developments in land use
and transportation systems can be evaluated if emission
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factors, connecting levels of activity into pollutants generated,
can be developed.
There are two examples of the examination of regional
te.nd use plans and air quality which can be mentioned — the
Hackensack Meadowlands study and the Middlesex County, New
Jersey study. The Middlesex County Planning Board has under-
taken a study of the air quality impacts of the year 1985 and
the year 2000 comprehensive plans for the county (TRW, Inc.
1974). The planning Board, working with TRW, Inc. as consul-
tants, developed an emission inventory, estimated projective
emission factors, and applied an atmospheric dispersion model
Two pollutants, particulates and sulfur dioxide, were dispersed
by the mode],, while carbon monoxide was examined for localized
effects around heavy automobile corridors and hydrocarbons
analyzed within a proportional model framework.
The importance of the Middlesex County study is its
reemphasis on the need on the part of agencies to do land use
plans and to maintain spatially-defined detailed information
about such items as number of households, location of jobs by
SIC codes, and size of establishments. This data, available
in Middlesex County for both future plans and the current
situation, is extremely valuable as a base to developing
projected emissions from land use and transportation plans.
278
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The data available, for example, allows projected employment
in planning sub-areas to be related to air pollution in terms
of an emission per employee ratio.
The tentative conclusions of the study bring to light
some of the deficiencies of our traditional long-range, land
use planning efforts. Probably the most common ideal among
urban planners is to encourage the development of the "city-
centered region." It is asserted, and often documented, that
this is a very efficient approach to land utilization, result-
ing in the preservation of open space, reducing the number of
vehicle miles travelled (VMT), and in general results in a
more efficient provision of urban infrastructure. The Middle-
sex County Study revealed, however, that a strong city-
centered approach would yield significant concentrations of
pollutants in the high activity centers, even though the
total amount of VMT is reduced. This conclusion, documented
quantitatively, now presents the Middlesex County Planning
Board with .environmental data extremely valuable for the
County's planning process. Clearly, this study has suggested
that further work needs to be done on air quality and related
environmental issues in the comprehensive planning process.
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Environmental Research and Technology, Inc., (ERT) has
also examined the interaction between spatial structure and
air quality. Environmental Research and Technology, Inc. (1972)
was given a contract to determine the air quality impacts of
four land use plans for the Hackensack Meadowlands in New
Jersey. ERT developed the Air Quality for Urban and Industrial
Planning (AQUIP) system which used land use data directly as a
basis for projecting emissions. For illustration purposes,
ERT developed a set of emission factors related directly to
land use categories. For example, under certain fuel assump-
tions, ten dwelling units per acre would generate five thousand
four hundred pounds of total suspended particulates per year.
These figures are illustrative only, but suggest the kind of
framework within which ERT was working.
Both the Middlesex County and Hackensack Meadowlands
studies used future land use and transportation patterns as
a basis to developing future air quality impacts. Unfortu-
nately, the examination of the air quality produced by a
future land use patterns is complex, expensive and highly
error-prone. Examination of a limited number of alternative
plans, then, is a possibility only for the well-staffed plan-
ning agency, Middlesex County planning Board, for example,
projected emission levels for two alternative plans for the
280
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year 2000. Less well-staffed agencies will often not have
the capability of doing any extensive air quality analysis.
Even if there is technical capacity in the agency to
do a sophisticated air quality impact analysis of alternatives,
what kind of direct programmatic efforts result? Even given
that a set of alternative plans could be analyzed it is not
clear how the evaluation would lead to a set of programs
which, at the same time, would satisfy air quality constraints
and the other objectives proposed for the regional plans.
For example, the Middlesex County study indicated that
the higher density "alternative" plan, concentrating develop-
ment in nodes, had more serious air pollution problems than
the lower density "trend" plan. However, the trend plan, as
mentioned earlier, is more auto-oriented and energy-consuming —
a negative aspect. A regional planning effort in itself can
provide valuable information about air quality impacts, but
little in direct guidance. However, there is increasing
interest in regulatory mechanisms which directly influence
the air quality and land use interface. We shall discuss
two variants of a regulatory mechanism which goes under the
general name of emission quotas. We will discuss two emission
281
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quota strategies — emission allocation and emission density
zoning. It will be important to remember that these two
techniques have been generally conceived of in terms of non-
reactive pollutants which are the products of stationary
sources: sulfur oxides and particulates are two examples.
Emission Allocation Procedures
An emission allocation procedure (EAP) is a broadly
drawn technique which places lids on the amount of pollutants
emitted within defined political and administrative boundaries,
including planning areas, municipalities, counties and states.
For example, a county might be allocated 1,000 tons of sulfur
dioxide annually. The presumption here, of course, is that
there exists some fixed amount of a pollutant which may be
generated by sources within the jurisdiction. The fixed
emission ceiling, arrived at through an allocation process
which carves up a region-wide total into pieces, is not
derived from some mathematical model of air shed assimilative
capacity: none exists. Rather, it seems likely that some
type of proportional or dispersion model utiziling monitoring
data would be used to relate expected emissions to ambient
air quality. In one approach proposed for California
(Livingston and Blayney, 1973), current shares of total
regional emissions of a pollutant are carried forward to
future years for each jurisdiction.
282
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Emission allocation planning does allow the local
decision-makers a great deal of flexibility. It is this
flexibility which is appealing and/ at the same time, poten-
tially dangerous. The allocation of a quota in itself pro-
vides no guidance to the local area, and EAP may be such a
loosely-drawn concept that it would be ineffectual in
maintaining air quality. Regulations would have to be
developed to mandate compliance by jurisdictions with the
quotas assigned, and might include mandatory review of land
use and transportation plans as well as monitoring of zoning
and subdivision regulations, including variances. There is
no doubt that EAP has appeal as an air quality maintenance
strategy. Some recent unpublished research work done for
EPA has advised its use in maintenance areas.
Land use planning is an important component of EAP.
The jurisdiction must be able to determine the kind and magni-
tude of growth which can be allowed within the total quality
of emissions generated from different land use and transpor-
tation configurations. The jurisdiction will then be able
to make reasonable judgments about what kind of industrial,
commercial, residential, institutional and transportation
activities should be encouraged or discouraged.
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Emission Density Zoning
Emission density zoning is an air quality attainment
and maintenance strategy which requires that emissions of a
pollutant be limited to prescribed levels within a defined
spatial area. A limit would be established in terms of an
amount of emissions per area per time period, such as pounds
per acre per year of particulates. Such a limitation may
be administered by an air pollution control agency in con-
junction with planners and zoning administrators. For
example, zoning regulations might contain the provision that
any heavy industry locating in the jurisdiction could emit
no more than 2 tons of total suspended particulates per acre
of lot size per year. Planners and zoning administrators,
in conjunction with the local air pollution control officials,
would be responsible for establishing the 2 ton limitation.
It can be quickly seen that by placing a lid on the amount
of emissions generated from a parcel of land that air quality
could be maintained at acceptable levels, even with_ continued
population and economic growth. By the appropriate choice
of permissible emissions, an area could ensure that the total
amount of land zoned heavy industrial would emit no more than
some specific level of emissions. Not only would emission
density zoning aid in air quality maintenance, the technique
would also ensure that concentrations of pollutants in a
284
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small area, "hot spots," could be avoided. Exactly because
emissions are limited spatially, agglomerations of polluters
are minimized. This does suggest that there is an interesting,
and perhaps undersirable ramification of emission density
zoning for urban planning.
Land use planning has always attempted to explicitly
consider densities of population and jobs. Emission density
zoning will tend to spread development to the degree that
an industry would need to purchase enough acreage to meet
the spatially-defined emission standards. For example, an
industry seeking to enter a community might intend to purchase
80 acres while emitting 200 tons of particulates per year.
Assuming an emission rate ceiling of 2 tons per acre per
year, then the allowable emissions for the industry would be
only 160 tons (2 tons per acre limitation x 80 acres to be
purchased). Either the industry would have to cut back on
emissions generated or purchase more land. One interesting
other possibility, not addressed here, would be to purchase
the right to emit from other landowners in the community.
Insofar as the indstry decided to purchase more land,
development would tend to spread under an emission density
zoning framework. For industrial land uses, the spread of
development, in terms of re-structuring densities of population
285
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aacl jobs, is likely to be minimal. The small impact in dis-
persing jobs, particularly likely to occur for: certain land-
intensive highly polluting industries, would be balanced off,
in all likelihood, by the reduction in "hot spot" seriousness
and by the potential for maintaining air quality in future
years.
However, emission density zoning need not be utilized
only for industrial land uses. Emissions from commercial,
residential and institutional development could be monitored
by emission density zoning regulations. Without proper
thought, emission density zoning might force more spread of
commercial development and the possible lowering of residential-
densities. Without adequate mass transit, a growth in vehicle-
miles and corollary transportation emissions associated with
more spread development could occur. However, an increase in
transportation emissions is not a necessary or direct conse-
quence of emission density zoning. Much would depend on the
actual locational decisions which occur as a result of apply-
ing emission density zoning regulations.
Conclusion
One conclusion which can be drawn from this discussion
is that a regulatory approach which explicitly relates land
use to air quality is preferable to the sole use of regional
286
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planning as a guidance device. Emission allocation proce-
dures and emission density zoning are the two regulatory
approaches which have received the widest attention.
There has been a particularly strong push for emission
density zoning. In particular, Roberts, Croke and Booras
(1975) have recommended emission density zoning as the basic
building block in an integrated system of land use and trans-
portation controls for air quality management.
Continued research is necessary to flesh the exact
connections between land use planning and regulation and air
quality. However, the concern about land use as an air
quality management tool will be a continuing one.
287
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FOOTNOTES
See U.S. Environmental Protection Agency (1974), Brail (1975)
and Brail, Mandelker, Sherry and Hagevik (1975) for
extended discussions of emission allocation procedures
and emission density zoning.
REFERENCES
Brail, Richard K. 1975 , "Land Use Planning Strategies for
Air Quality Maintenance," in Proceedings, Long Term
Maintenance of Clean Air Standards, edited by John J.
Roberts. Pittsburgh: Air Pollution Control Association.
R. K. Brail, D. R. Mandelker, T. A. Sherry and G. Hagevik,
1975. Emission Density and Allocation procedures for
Maintaining Air Quality. Research Triangle Park, N.C.:
Office of Air Quality planning and Standards, U.S.
Environmental Protection Agency.
Environmental Research and Technology, Inc., 1972.
Hackensack Meadowlands Air Pollution Study, prepared
for the New Jersey Department of Environmental Protec-
tion. Lexington, Massachusetts.
Livingston and Blayney, 1973. A Report on Guidelines for
Relating Air Pollution Control to Land Use and Trans-
portation planning in the State of California.
San Francisco.
McCutchen, G. 1975 , "Stationary Source Emission Control
Measures," in proceedings, Long Term Maintenance of
Clean Air Standards, edited by John J. Roberts.
Pittsburgh: Air Pollution Control Association.
Roberts, John J., Croke, Edward J., and Booras, Samuel 1975.,
"A Critical Review of the Effect of Air Pollution
Control Regulations on Land Use planning," Journal
of the Air Pollution Control Association 25:5 (November),
pp. 500-520.
288
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TRW, Inc., and Middlesex County Planning Board, 1974.
Air Quality Management and Program Recommendations.
New Brunswick, New Jersey: Middlesex County Planning
Board.
U. S. Environmental protection Agency, 1973. Cqmpi1ation
of Air Pollutant Emission Factors, 2nd Edition, No.
AP-42. Research Triangle Park, N.C.: Office of Air
Quality Planning and Standards, U.S. Environmental
Protection Agency.
U. S. Environmental Protection Agency, 1974.
Guidelines for Air .Quality Maintenance Planning and
Analysis, Vol. 3; Control Strategies. Research
Triangle park, N.C.: Office of Air Quality Planning
and Standards, U.S. Environmental Protection Agency.
289
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EnviAonme.ntal Quality S Land Use.
May 26-27, 1976
Robert AJtpeAn
SO Ce.ntsial PaAk
New Vo*.k, N.V. 10023
JameA Ashton
fanm S Home. Ct.
MMbX-ook, N.V. 12545
K. BayeA
GlouceAteA County Planning Ve.pt.
N. VeJUea PA.
Clayton, W.J. 0*372
Rudolph P. BokslzltneA
7217 MadleAa Ct.
Raleigh, W.C. 27609
MasigaAet
SOS VJeAt End. Aue. #701
Mew Votik, N.V. 10025
Sam M. Campbe&t
139S No. CkeAteA Aue.
Pat>adi£ington
5 Maple. Aue.
Mount Holly, W.J. 0S060
TheAeAa A. Fab&t
26 fe.desial Plaza, Rm.907
Wew; /o^Lfe, N.y. 70007
Ww. H. feldman
7507 PaAk&ide. Aue.
Ttenton, W.J.
finch
274 No. Maple. Aue.
Balking Ridge., W.J. 07920
Matthew FlanneAy
Middle* e.x Cty. Planning Bd.
40 Livingston Aue.
Wew B^aniMiccfe, W.J. 0S907
JeM.y J. fianz
2 Lafayette. St.
New Voxk, N.V. 10007
Jame4 F-telband
50 PleAmont Aue., P.O. Box 629
Nyac.k, N.Y. 10960
Ke.nneth V. GandneA
Box 2
Me.c.kle.nbusig, N.V. 14S63
Vonald E.
SheJtl OH Co.
P.O. Box 2463
tiou&ton, Texai 77007
MaAtin Gold&teln
28 Ka&& Rd.
White. Plains, N.V. 10605
EaAl Gordon
87 Maple. Aue.
Wew City, N.V. 10960
Lawie.nce. Gsie.e.nbeAg
2253 kpple. Aue., Ap;t. 10
Mu&kzgon, Ml. 49442
Vlane.
87 Maple. Aue.
Wew City, N.V. 10960
Ke.vln J. Gulnaw
10404 Vlne.yaAd Lane.
, I/a. 22030
Wm. J.
22 Haddon Aue.
Camde.n, W.J. 0*703
Pom Ha&e.gawa
29 UUl St.
MoiAlAtown, W.J. 07960
J. HeAkomeA
BeAge.n County Planning Bd.
29 linden St.
Hac.ke.n*ack, W.J. 07600
291
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BaAAy F.
2 75 Wellington Ret,
, N.y. 73274
RobeAt Ho Ado n
RutgeAA UnlveA<y
Ge.ogia.pkyVe.pt.
Hew BAunswlck, N.J. 05907
John HoAe.m>ky
County Admin. Bldg.
SomeAvllle., N.J. 05576
RobeAt A. HAabak
/3 0/e4£ Mou>t£ feAnon P£.
BaltlmoAe., Ma1. 27207
AAthuA L. Jungblut
N.J. Pep;t. t?^v. o<5
T/ten^on, N.J.
RobeAt ft/.
Monmouth County Planning Bd.
5^:. 5 La^ay&tte. PI.
, NJ 0772 S
K&tfe
22 Haddon Aue.
Camden, N.J. OS 7 03
50 WeAt 50th St.
New J^oAfe, H.V. 10020
SkiAle.y Lolly
SeAgzn County Planning Bd.
29 Uncfen St.
, N.J. 07(500
W. Lauon
R.V. Stanle.y PI.
faA HUlA, N.J. 07937
Be.nj canine. Le.v-i.ne.
97 MCACCA Aue.
No. PlcuLnbieJtd, N.J. 07060
N.J. Pept. Oj{
P.O. Box 7390
TA&nton, N.J. OS625
PAote.cM.on
RtuCfi
53 HobaAt St.
Summit, N.J. 07907
PJ,chaAd H.
Box. 279, Sox^.
7370 HamJbton St.
SomeM&t, N.J.
William F.
235 Livingston Ave.
New B/ttinMutcfe, N.J. 0^092
H. May
Pept. oi{ C^tt/ Rei. Planning
CoAnell UnlveAAlty
Ithaca, N.Y.
Me.yeA
87 Maple. Aue.
New OWy, N.y
70960
Jcunei K. Mitchell
Ve.pt. ojj Enu.
RutgeAA UnlveAAlty
New BAun&wlck, N.J. 05903
Leslie. G.
1100 Civic Ce.nteA
SyAacute., N.V. 73224
Wm. MlneAvlm
Vlv. o£ WateA ReAouAceA, PO Box
jAe.nton, N.J. 05625
Vavld Newion
246 G/u.)5^n Aue.
RlveAhe.ad, N.y.
I/. HoAd&tAom
U.S. EPA Planning Bd.
230 So. VeafiboAn St.
Chicago, III. 60604
Paul J. O'ConnoA
Fulton County Bldg., Planning Ve.pt.
Johnttawn, N.Y. 72095
Alan PatteA&on
VEQE-20th ft.
100 CambAldge. St.
Boston, MaA4. 02202
Pat PeAAy
Middle* ex Cty. Planning Bd.
40 Livingston Ave..
New BAun&wlc.k,rN.J. 05907
Wm. E. P^ifee
500 Follin Lane.
Vle.nna, I/a. 22750
292
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Steve.n L. Pollock
7 Madi&on St.
Tom RiveA, W.J. 08753
The.odoAe. S. Pytlan (R.U. Stu.de.nt)
185 Colle.ge. Ave.
New BAunAwick, W.J. 0S903
Sean ReMy
R.P. #7, Highway 31
Ubanon, W.J. 08S33
Clank H. Row>e££
Lijin&ing Wtet kpte, M-7B
20 W. T^iphammeA Rcf.
W. Schmitt
1515 Oak St., #36
So. Pa&ade-na, Cati^. 91030
Jonn B. Schwantzman
51 ChameAA St., Km. 515
yank, N.V. 10007
J. SchiMAcz
53 Mountain Blvd.
Vtavie.n, W.J. 07060
"David M. Siddond
W05 HoopeA Aue.
Tom RiveA, W.J. 08753
Blian C. Sigma n
S7 Maple. Aue.
New City, W.y. 70960
John SnowbeA
48-01 58th Lane.
Woodtide., W./. 77377
L. Sunkett
509 BeAg Ave.
Tfiinton, WJ 0*670
Jo hn T. TanacAe.di
ThiAd Coatt GuaAd
GoveAnou Inland, N.V. 10004
RobeAt S. Tatton
RV #3, Box 206
Lebanon, W.J. OSS33
Pe.ggy TAoulakii,
5 Southuuood Vi.
MOVUA Plain*, W.J. 07950
Jamei H. Tung
2062 Wew Co4^£e Aue.
Wi&nington, Vet. 79720
JeAome. Walnut
County O^ice. Bldg., County o£ BuAlington
5 Maple, Ave. ,
Holly, W.J. OS060
H.
42 8 7th St.
BAooklyn, N.V.
Richatd F. WildeAmann
CommandeA, ThiAd Coa&t GuaAd Vi&frUct
Chie.6, PeAAonnel Viv.
GoveAnoA* Inland, N.V. 10004
RobeAt C. Zie.ge.n6u!>
3835 Oteen Pond Rd.
Bethle.hm, Pa. 18017
293
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