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
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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
                                  vn

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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
                                   16

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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
                                   17

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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

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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
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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:
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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
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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
                                43

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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.
                                45

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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.
                                   49

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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.
                                      50

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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)
                             51

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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,
                                        52

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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."
                                      53

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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
                                      54

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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,
                                       55

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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,
                                      56

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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,
                                      57

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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

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                                                        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

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                                                      #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

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                     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

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          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

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                                                        #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

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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

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         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

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          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

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              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

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                                                            #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

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                     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

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                                                             #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

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             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

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                                                       #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

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               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

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                    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

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                                                                  £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

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                                                              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

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                            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

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                                                      #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

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                                       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

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             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

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                    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

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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

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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

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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

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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

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                                          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

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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
                                    109

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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.


O
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(ft
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-z.
m
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m
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in
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33 m
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m i
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— J
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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
                                   111

-------
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


                                    112

-------
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

-------
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

-------
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.
                                   115

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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
                     117

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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
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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
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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)

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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.
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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.

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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

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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.
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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

-------
    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

-------
     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, •«»•(^_ /,
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INSTRUMENTS OF INSTRUMENTS COHriGURATIOM EFFECT IVflLS:






Spatial /I onward! Redistribution
of Artlvitles/Rcsiduals
AisinU.itive Capacity
Modification
Envlfe'wiilal Quality
Specification Modifica-
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etc.






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Economic Incentives
Grants
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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
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     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

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 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

-------
 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).
                            197

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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

-------
        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

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                                         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

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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

-------
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
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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

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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
                 238

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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
                   255

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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
                            260

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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






                            261

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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
                           262

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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.
                           263

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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






                            264

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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
                            266

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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.
                           267

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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
                271

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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






                          277

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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.
                          279

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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.






                           283

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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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