ENVIRONMENTAL STUDIES DIVISION
WASHINGTON ENVIRONMENTAL RESEARCH CENTER
OFFICE OF RESEARCH AND DEVELOPMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
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This report has been reviewed by the Office of Research and
Development, EPA, and approved for publication. Approval
does not signify that the contents 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.
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FINAL CONFERENCE REPORT FOR THE
NATIONAL CONFERENCE ON MANAGING THE ENVIRONMENT
Project Officer
Alan Neuschatz
Washington Environmental Research Center
Washington, D.C. 20^60
Prepared for
OFFICE OF RESEARCH AND DEVELOPMENT
U.S. ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, D.C. 20460
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REFLECTIONS
By Kenneth E. Boulding
at the National Conference on Managing the Environment
The movement for environment has been a big success
For people have become aware of rapid growth of mess.
And in the halls of Congress the environmental boys
Have legislated water, air, and pesticides and noise;
Now monitoring is the key to quality control,
Unless we know which way is up it's hard to reach a goal -
But the most effective monitor is public agitation
To keep a narrow expertise from governing the nation.
The involuntary system that is based upon the cell
Can manage billions of parts and do it very well,
So perhaps it's the development of arrogance of brain
That brings along environmental troubles in its train.
Environmental planning must be based upon a region
And even there phenomena are virtually legion,
And so the poor environmentalist is very very loath
To contemplate the consequence of exponential growth.
Equilibrium's a fiction of the ordered human mind
In the turbulence of nature it is very hard to find,
So we have to ride the rapids of a raging evolution
In the hope that our extinction isn't part of the solution.
The quiet revolution of the planning of the land,
At the state and local level may be very well in hand
But one may have nagging doubts on whether guiding growth in quality,
Is much within the power of any level of the polity.
As we don't know very clearly what we really want to do,
It would be dangerous to have too clear an end in view,
But if we can put a stopper on the scandalous and outrageous,
We may create a state of things where virtue is contagious.
A modest optimism may be entertained because
The air above the city streets is better than it was,
But one can permit some gloom about an ultimate solution
When the GNP's a symbol for Gross National Pollution.
A careful city government that sensitive and nervous is
Will pretty well confine itself to just providing services;
But if it gets courageous it may ferret out a new way
To defend its threatened people from invasion by a throughway.
111
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FORWARD
Increasing attention has been focused on the environment as a public
policy issue. In addressing that issue, public officials are faced
with the question: how can government be more effective in managing
the environment? For many years, various federal, state and local
governments have reorganized themselves and used various management
techniques for addressing environmental problems. Since 1969> how-
ever, dramatic organizational and legislative actions have occurred
in response to environmental problems. The most significant actions
are the National Environmental Policy Act (NEPA) of 1969, which
created the President's Council on Environmental Quajity (CEQ); the
creation of the U.S. Environmental Protection Agencyv(EPA) by Execu-
tive Order; the reorganization of numerous state and local agencies
to form a separate environmental entity; the Clean Air Act of 1970;
the 1972 amendments to the Federal Water Pollution Control Act; and
a broad range of state and local legislation, from tougher standards
and controls to greater appropriations for environmental activities.
For these policies to be effective, environmental management has to
integrate knowledge from a variety of fields and disciplines.
The complexity of environmental issues and trade-offs involved in
achieving environmental quality necessitate an understanding of the
various perspectives on the environment held by government, industry,
business, citizens, economists and ecologists. Strategies for envi-
ronmental management—such as techniques for citizen participation,
management information systems, organizational structures, special
regulatory procedures and controls, legal action, etc.--are in the
process of being developed and tested as tools for the environmental
manager. Furthermore, authorities and responsibilities of the
different levels of government must be defined. Cooperation among
governmental levels, industry, and citizens is essential for success
in meeting the environmental challenge. For these reasons, the
National Conference on Managing the Environment was conceived to
address these problems and to open a dialogue between managers--
public and private—on the environment and related issues.
The National Conference on Managing the Environment was held on May 14
and 15, 1973, in Washington, D. C. Approximately 350 persons, pre-
dominantly public officials of all levels of government, attended the
discussions of various aspects of environmental management. The con-
ference sessions covered the following topics: the environment--how
comprehensive; interaction at the local level; a decision maker faces
the environment; local government experience; regional government
experience; legal and judicial constraints; public involvement; environ'
mental technology; growth; standards; comprehensive planning; inter-
governmental relations; and four technical workshops. The conference
v
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was sponsored by the Environmental Studies Division, Washington
Environmental Research Center, U.S. Environmental Protection Agency.
The conference was prepared under the direction of Dr. Peter House,
Director, Environmental Studies Division, and Mr. Alan Neuschatz,
Chief of the Division's Environmental Management Research Branch. The
conference was administered for International City Management Associ-
ation by Claire Rubin, Director of ICMA's Contract Research Center, and
Steve Carter, Assistant Director, Contract Research Center. The con-
ference arrangements and compilation of this report were coordinated
by Joan Werner, ICMA Research Associate.
The texts for the chapters were written by the following: Chapter I
(Introduction) — Peter Nobert, Administrative Assistant for County
Supervisor, Fairfax County, Virginia; Chapter II (The Environment as
a Policy Issue) -- Mary Ann Allard and Lyle Sumek; Chapter Ml
(Organizing for Environmental Management) — Steven Carter;
Chapter IV (Citizen Participation in Environmental Management) --
Joan Werner; Chapter V (Strategies for Managing the Environment) —
Lyle J. Sumek, Professor of Public Administration, University of
Colorado; Chapter VI (Environmental Management Information Systems) --
Stanley Wolfson, Director, Urban Data Service Center; and Chapter VII
Intergovernmental Relations) -- Project Staff.
ICMA staff members who assisted in the report preparation were: Shirley
Bass, Diana Brown, Harriett Davis, Richard Hofrichter, and Linda Levine.
Patricia Wallace was the graphic designer for the project. In addition,
other ICMA staff who assisted with the administration of the conference
included: Wallace Johnson, Peggy Grant, Beth Payne, David Arnold, Betty
Lawton, Carol Pigeon, Bob Burner, Ray Lee, and Phyllis Hammerschlag.
A word of gratitude is also due to all of the speakers at the National
Conference on Managing the Environment, whose speeches and papers
formed the backbone of this report.
VI
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TABLE OF CONTENTS
Page
Number
Reflect ions
by Kenneth E. Boulding
i i i
FORWARD
i v
CHAPTER I
Introduct ion
Beyond the Brushfires
by Robert W. Fri
Management for the Future
by Russel1 E. Tra in
1-8
CHAPTER I I
The Environment as a Policy Issue
The Economics of Ecology
by Kenneth E. Boulding
Planning for Quality Growth
by Dr. Shelley M. Mark
Environmental Decision Making
by John Wentz
Incrementalism and Environmentalism
by Charles Lindblom
I 1-1
11-13
I 1-18
I 1-26
I 1-32
CHAPTER I I I
Organizing for Environmental Management
The Positive Role of Environmental Management
by Lynton K. Caldwel1
vi i
Ill-l
II 1-19
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State Governments Tackle Pollution 111-25
by Elizabeth H. Haskel1
Regional Environmental Management and the
Decision Making Process 111-3^
by L. Edwin Coate
A Description of the Environmental Planning
and Management Project 111-^3
by Dick Battle
CHAPTER IV
Citizen Participation in Environmental Management IV-1
Implementation of Citizen Participation
in the Municipal Process IV-10
by John Goodman
CHAPTER V
Strategies for Managing the Environment V-l
The Concept of Carrying Capacity \l-2k
by A. Bruce Bishop
Fixed versus Variable Environmental Standards V-38
by Robert Pikul
Enforcing Environmental Law in the City V-59
by Norman Redlich
CHAPTER VI
Environmental Management Information System Vl-l
Integrated Regional Environmental Management
Project VI-7
Arizona Trade-Off Model VI-12
General Environmental Model VI-19
The Strategic Environmental Assessment
System (SEAS): A Research Project VI-26
by Dr. Stanley M. Greenfield
The Development and Operation of a Prototype
State Environmental Information Center VI-32
by Dr. Robert V. Garner
vi i i
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Communications in Environmental Management VI-35
by Rodman T. Davis
CHAPTER VI I
Intergovernmental Relations in the Environment VI1-1
State Responsibility in Managing the Environment VI1-10
by Dan W. Lufkin
How a Regional Organization Assumes Environmental
Responsibility VII-13
by Frank T. Lamm
The Cooperative Approach to Environmental
Enhancement VII-19
by Joseph F- Zimmerman
Managing at the Local Level VII-AO
by Mark E. Keane
IX
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CHAPTER I: INTRODUCTION
Over 350 governmental decision makers and private citizens convened in
Washington, D.C., May 1^-15, 1973, for the National Conference on
Managing the Environment sponsored by EPA and administered by ICMA.
Robert Fri, Acting Administrator of EPA, headed a list of nearly sixty
authorities on environmental management. Discussion topics ranged from
environmental decision making to specific environmental programs, such
as growth control.
In providing an overview of environmental management, Mr. Fri said that:
in the brilliant burst of environmental awareness of the past
few years, we have devoured most of the knowledge painstakingly
built up over decades. We set six ambient air standards all
at once. Now we will set no new ones for sometime, because
we don't know how. We consumed, in one act, years of research...
But now we ought to invest in new capital -- new ideas, new
discoveries, new techniques -- for the long struggle that
1ies ahead.
Mr. Fri explained that an ecologically well-managed society will
"require new sophistication of state and local officials, new means of
reaching political decisions that encourage input by the average citizen,
certain restraints on consumer habits and preferences, and above all a
new set of values." For this sensitive intergovernmental balance to
be successful, he noted that:
a necessary retooling would focus upon land use, transportation
controls, energy planning, and an assessment of technology
itself....As we learn to design with nature, we shall create
a higher form of civilization that is not only productive and
efficient, but more orderly, humane, and beautiful as well.
A critical aspect of environmental management is the issue of citizen
involvement. Russell Train, Chairman of the Council on Environmental
Quality (CEQ.) , called for active public participation in government
decisions on environmental matters. He said, "...that management must
have two key elements; first, the best information and feedback for
decision making; and second, follow-up of decisions and tasks."
With the aid of an active, informed citizenry, Mr. Train commented that
the administrator may be more accountable and responsive to citizens,
and better equipped to cope with environmental problems. He said,
"The public can provide an essential source of information -- in providing
an early warning system of the existence of problems, and then in holding
bureaucratic feet to the fire to see to it that regulatory programs
are implemented." Mr. Train stressed that the right of citizens to have
1-1
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an input into environmental decision making is ensured through federal
legislation, including the environmental impact statement process. In
his view, "Only through such participation can we achieve that sense of
mutual trust and shared purpose that will provide the essential strength
not only for our environmental programs but for our society as a whole."
A commonly identified cause of our environmental problems is the over use
of technology. In taking exception to this, Buckminster Fuller, inventor
who developed the geodesic dome, said that in his view, more, not less,
technology is needed to overcome environmental ills. He concluded, "It's
an ignorance crisis we face, not a pollution crisis, or an energy crisis...
But, above all, I think nature is really trying to make a success of man
despite his ignorance."
A critical issue addressed at the Conference was the ability of government
to adopt effective environmental policies and programs. In a series of
"Reflections" written during the conference, Kenneth Boulding, economist,
University of Colorado, commented on the governmental response to ecological
problems when he noted:
The quiet revolution of the planning of the land,
At the state and local level may be very well in hand
But one may have nagging doubts on whether guiding growth in quality,
Is much within the power of any level of the polity.
Senator Hiram L. Fong (R-Hawaii), the ranking minority member on the
Senate Appropriations Subcommittee handling environmental protection,
said that we must pay more attention to the costs of cleaning up the
environment. He stated that:
One of our first goals must be to define more precisely what we
mean by cleaning up and improving our environment.... We need to
devise scales of values -- scales of values that will show the
cost in dollars, the cost in resources, such as fuel oil, power
output, and energy input; and arrange these on a graph that will
show all the costs in relation to each degree of quality of air
or each degree of quality of water or whatever the environmental
factors involved are....We need to develop benefit-cost ratios
for environmental projects.
During the conference, numerous workshops were held on specific strategies
that would aid in identifying and analyzing successful approaches to environ-
mental management. These workshops had three focal points. The first
dealt with governmental organization for environmental management, concen-
trating on experiences, local and regional government organizations,
citizen involvement, and intergovernmental relations. A second concern
focused on the gathering and assembling of information and technology
for use in environmental management. The workshops addressed the general
topic of environmental technology, with specific technical sessions on the
Arizona Trade-Off Model, the General Environmental Model, Integrated
Regional Environmental Management Project, and the Strategic Environmental
1-2
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Assessment System. Finally, the workshop examined strategies used by
government in managing the environment, including growth controls,
legal actions, environmental quality standards, and comprehensive planning.
In conjunction with the Conference, an Anthology of articles was published
to provide an introduction to environmental management. Among the subjects
covered were: characteristics, cures, and costs of environmental problems;
perspectives of local officials, businessmen, and environmentalists;
citizen participation; land use planning; environmental impact statements;
and economic incentives and penalties.
The purpose of this Report is to summarize the highlights of the Conference
and to analyze innovations in environmental management. Each chapter
addresses a major aspect of environmental management coordinating an
original integrative article and selected papers presented during the
Conference. Chapter two analyzes the complexity of the environment as a
policy issue. The third chapter presents differing organizational
approaches for managing the environment and analyzes the changing organi-
zation patterns at the state, regional and local levels. Chapter four
discusses citizen participation, including the strengths and weaknesses of
public hearings, advisory boards, citizen-initiated legal suits, and
public education. Chapter five provides a framework for an analysis of
different strategies used in environmental management. The analysis con-
centrates on the adoption of environmental policy statements, (i.e., general
environmental policy and limited growth), and specific environmental
actions, (i.e., comprehensive planning, environmental impact statements,
environmental quality standards, economic incentives and penalties, and
land use controls). The sixth chapter analyzes management information
systems for the environmentalist. Specific decision making models are
summarized and evaluated. The Report concludes with chapter seven probing
the complexity of i ntergovernmental Felations and the impact that "New
Federalism" has on environmental programs.
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BEYOND THE BRUSHFIRES
Robert W. Fri;
The people of this country will be called upon to make many diffi-
cult environmental decisions during the 1970s. Their choices must
be wise, for they will determine not only the quality of their own
lives, but the prospects of civilization for generations to come.
The choices will be difficult, for problems are are not transient
phenomena to be wished away. It takes only the fuel shortages we
have already had for us to realize that the earth's ability to
supply us with the clean air and water, with fertile land, with
minerals, fuels and wilderness--that this capacity is finite. We
cannot create new air, land or water, so we must husband these
resources. Surprisingly, we are just now relearning the hus-
bandry our forebears knew so well.
But can we manage our environment wisely? To be sure, we have set
the stage for control of the more obvious kinds of air and water
pollution, but we have only begun to consider the subtler interac-
tions between man and his environment. We are only now beginning
to understand the complex web of forces that determines the quality
of our life-forces such as land and energy use, transportation eco-
nomic growth, urbanization, population, and the advancing jugger-
naut of technology.
Because we do not understand these forces, we still act as though
every environmental issue was independent of its brothers. We
struggle with each problem as though it were the first, and make
each policy choice as though it were the last. Then another crisis
grabs our attention, and we start the process all over again.
But it could be different. We could think ahead. For example,
two decades ago, the nation's love affair with the automobile was
entering its most lyrical phase. On the assumption that every
American had a fundamental right to go anywhere at any time by car,
we designed a national transportation system based largely on high-
ways .
We now have the best highway network in the world and some of the
best traffic jams, best pollution, best ugliness, best noise and a
very advanced case of urban decay.
-Presented by Robert W. Fri, Acting Administrator, U.S. Environ-
mental Protection Agency at the National Conference on Managing the
Envi ronment.
\-k
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Yet it would have been a fairly simple matter to have measured
the pollutant output of the average automobile, analyzed a few
airsheds, projected highway usage, factored in population growth
and devised a reasonably accurate forecast of air pollution in
1970. All that could have been accomplished using data and tech-
niques available in the early 50's.
Thus, with a little foresight, we would not have had to deal with
the emissions problem on an emergency basis. Much of the damage
to health, property and vegetation in the interim might have been
avoided, if we had only thought more systematically about the
problem.
Managing the environment as a system is complicated. However, it
is no secret to the well-informed that we have the information to
develop a systems solution to a great many of our ecological prob
lems now. We do not need any fabulous breakthroughs or quantum
leaps to at least get started on the design of an environmentally
integrated society.
It is simply common sense, cheaper, and more effective to solve
problems in tandem and to plan ahead.
The situation in San Diego is instructive. In 1971 some 158,000
tons of volatile organic compounds were being dumped into the
county airbasin from all sources. Auto emission and stack gas
controls were clearly not enough to meet federal standards. So
the county promulgated rules to stop the evaporation of hydrocar-
bons throughout the gasoline transport network -- loading of
storage terminals, filling of trucks, transfer to service station
tanks and even filling up the customer's car.
The technology for capture and recycling of vapor from large stor-
age tanks was already known. The challenge was to create a closed
loop system embracing all four fuel transfer points.
San Diego, therefore, decreed that all gas handling vehicles or
facilities with tanks of more than 550 gallon capacity must use
special nozzles to prevent escape of any vapors whatever. At the
service end a low vacuum system draws the vapor back into the sta-
tion's own tank or into the truck itself, and the excess can be
transported back to the tank farms for condensation and re-market-
ing.
It sounds clumsy, but such an arrangement will pay for itself with-
in seven or eight years, which is about the same time it takes to
amortize the cost of a service station. In a time of fuel short-
ages and rising prices for gasoline, the projected 30% recovery
rate for evaporated gasoline should commend itself to all of us.
The typical big commercial station -- to which the rules apply --
will save $200 per year in recycled gasoline and San Diego county
as a whole will save 6.15 million gallons of gas per annum.
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This is one of that increasing number of cases in which a system
approach to pollution control pays off for everybody: the
community, the businessman, the national energy planner and even
the customer. It is cheaper, faster and less prodigal with re-
sources .
But there are dangers. Too often, the magic word "system" hides
our ignorance. Worse, we fall into the trap of thinking our work
is done when we discover a theoretical or engineering "solution"
to our problems. Systems thinking and long-range planning are not
the whole answer to anything.
The more difficult question is: "who is going to apply all this
sophisticated knowledge?" In solving environmental problems, the
burden will fall, as it often does now, on the shoulders of state
and local governments. Systems thinking does not change the
reality that these levels of government remain closest to the
problems, and are most able to determine what should be done and
what is possible.
First, to be effective in the struggle against pollution in all
its protean forms, local governments must develop a new expertise
unlike anything we've seen before. The first step involves the
development of the professional capacity to handle such tools as
operations analysis, longrange multifactor forecasting, airshed
models, land planning, traffic simulations and the like. More
difficult will be learning how to apply this capacity to the day-
to-day grind of running government. State and local officials
should test out the scientific techniques we in EPA are testing
and let us know what works and what does not.
The next demand on local governments will be to forge new alliances
among themselves and with water districts, air pollution control
commissions, zoning boards, and planning groups. We must end the
fragmentation of local responsibility for managing the environment,
for the environment routinely overlaps ancient and arbitrary juris-
dictional lines. It makes no sense, for example, to exclude San
Bernardino from the Los Angeles air pollution control district
when the prevailing winds blow east.
Indeed, perhaps the most difficult political task local govern-
ment will face in the next ten years will be to bring many
separate authorities to bear in a coordinated way on problems that
do not and cannot yield to piecemeal solutions, no matter how much
we yearn for bygone days of more or less complete autonomy.
It is particularly important to examine critically the great American
shibboleth known as growth. It is our own special sacred cow, and
in its most exaggerated form it makes environmental management
difficult if not impossible. It is the antithesis of stability.
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An ecologically well-managed society will be quite different
from the one we are familiar with. It will require new sophis-
tication of State and local officials, new means of reaching
political decisions that encourage input by the average citi-
zen, certain restraints on consumer habits and preferences and,
above all, a new set of values.
We may have to make do—indeed, we must learn to want to make do--
with smaller cars, with less energy, with recycling our wastes
instead of throwing them in the city dump, and adjusting the size
of our families to responsible norms. We will have to stop
treating the good earth as a mine to exploit and start treating
it as a single, fast-shrinking neighborhood where every man labors
for the good of all.
Years ago, they would have said we've been eating our seed corn.
For in the brilliant burst of environmental awareness of the past
few years, we have devoured most of the knowledge painstakingly
built up over decades. We set six ambient air standards all at
once. Now we will set no new ones for some time, because we don't
know how. We consumed in one act years of research.
For let there be no mistake about it—getting control of air and
water pollution will be simple compared to solving the higher
problems of an advanced technological society. We must go
beyond enforcement, important as that is, and focus more sharply
on land use, transportation controls, energy planning and an
assessment of technology itself.
Nor is it a task for lawyers or scientists or public servants act-
ing alone; it demands cooperation, breadth of mind and openness to
change. The greening of America will be largely up to the creative
leadership of public health and pollution control departments,
mayors, council members, regional planners and county officials,
working with citizen groups to devise action plans for the inte-
grated environs of tomorrow.
The society of the future will be more orderly and efficient than
the one we have known. We will enjoy longer lives and better health.
We will waste fewer resources. We will not be so obsessed by quanti-
ty in 1ieu of quality.
I believe we will realize once again our true dependence on the bio-
logical world. Environmental attitudes will be built-in, so to
speak, not a topic for debate or study but a way of life. As we
learn to design with nature we shall create a higher form of civili-
zation that is not only productive and efficient, but more orderly,
humane and beautiful as well.
Then man will truly be the steward of the earth, and a wise guardian
of unborn generations.
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MANAGEMENT FOR THE FUTURE
Russel1 E. Train-
Three years ago when the National Environmental Policy Act was first
enacted, ! called it a "new experiment in government." It certainly
constitutes one of the most significant legislative reforms in many
years.
While the ultimate success of that experiment cannot yet be measured,
it has already demonstrated extraordinary success and is generating
basic reforms in the way our government does business. Of particular
significance is the fact that these reforms have enlisted the energies
not only of Federal agencies, but also of the Congress, the Courts,
State and local governments, industry and, most important of all,
private citizens and organizations all across the country. The truly
extraordinary dimensions of this involvement provides a societal breadth
to environmental decision making which is completely unprecedented and
which provides its greatest promise for the future.
It has only been a few short years since environmental concern first
gripped the public attention. As Government began to respond to the
growing public demand for action, we found the institutional base for
environmental management either badly fragmented or even in some
critical areas nonexistent. Thus, the first urgent need was to create
an effective organizational framework for both policy-making and ad-
ministration and to provide the basic statutory authorities for standard
setting and regulation. On both these fronts, we have made remarkably
strong progress over a short period of time. CEQ and EPA have been
brought into existence. While I might be accused of self-serving if I
said that CEQ has achieved notable success in strengthening environ-
mental policies both domestically and internationally, I feel under no
such constraint in saying that EPA has become a strong and effective
force for environmental protection. EPA's record, in its little more
than two and one-half years life, is one in which all of its personnel
can take great pride. Beyond these organizational changes, strong new
water quality legislation, the Clean Air Act, new pesticides legisla-
tion, and laws to regulate noise and ocean dumping are now on the books.
These represent major successes. There, of course, remain a number of
important items for legislative action recommended by the President
on which we still need Congressional action. Strip mining regulation,
-Presented by Honorable Russell E. Train, Chairman, Council on Environ-
mental Quality, at the National Conference on Managing the Environment.
1-8
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national land use policy, toxic substances control -- these are among
the high priority items on which we will continue to press the Con-
gress for early approval.
At the same time, I think it fair to say that increasing emphasis must
now be given to effective implementation of existing programs under
sound environmental management principles. Thus, today's conference
is particularly timely, and I congratulate EPA and ICMA for their
initiative in organizing this excellent program.
Your agenda is very comprehensive and in my own brief remarks I will
not attempt a complete prescription for environmental management but
will emphasize a few significant points.
It seems to me that management must have two key elements: -- first,
the best information and feedback for decision making; -- second,
follow-up of decisions and tasks. Today I wish to talk particularly
about two information inputs to environmental decision making and
management. The first of these is monitoring, to which I would also
add improving our research data base. The second is citizen partici-
pation.
Accurate and timely information on the status of the environment is
necessary to shape sound public policy and to implement environmental
quality programs efficiently. It is virtually impossible to develop
effective programs and to monitor their implementation without good
monitoring data. Very detailed data are necessary for certain types of
planning and enforcement. For top management and general public policy
development, monitoring data must be shaped into easy-to-understand
indices that aggregate data into understandable forms. I am convinced
that much more effort must be placed on the development of better
monitoring systems and indices than we have in the past. Failure to do
so will result in sub-optimum achievement of goals at much greater
expense. The critical relationship of good monitoring data to state
implementation plans under the Clean Air Act is obvious. Our increas-
ing recognition of the impact of non-point sources of pollution on
water quality is largely based on the recent development of new monitor-
ing data. Effective strategies for dealing with this problem can only
be developed in conjunction with continued improvement in this data
base. These are a few of many possible examples.
The need for constantly improving our research base, both for the
identification of environmental problems and for the development of
appropriate environmental standards, becomes greater all the time. The
effects of pollutants on human health and other values must be deter-
mined as accurately as possible and the economic and social impacts of
alternative regulatory systems analyzed in order to help provide a
basis for the most effective control strategies. And, of course, the
need for research extends across the entire environmental field -- not
just to the management of pollution control programs. Thus, for
example, the complex impact on natural systems of water resource projects
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such as stream channelization should be determined by adequate research
and the resulting data should be built into the decision making pro-
cess, t emphasize "buiIt into the decision making process" because
there are vast amounts of research data available that are too seldom
utilized. Likewise, as we develop our monitoring systems, these too
must extend beyond pollutants to fish and wildlife, forests and vege-
tation generally, wetlands, soils, etc. My strong impression is that
we are not doing an adequate job of monitoring in these areas.
Turning now to citizen participation, I will state my absolute con-
viction that this is the single most important ingredient in the
environmental management process.
The environment is just too important to be left to us bureaucrats.
We have been making progress in improving citizen participation —
largely under the prodding of the National Environmental Policy Act —
but we need to do far more. Government at all levels must dramati-
cally change its attitudes about public participation in environmental
decision making before we can have truly effective management systems.
We must really level with the public. !t is an unfortunate fact that
many consider public hearings and public hearings and public disclosure
of environmental impact analyses as simply delaying orderly management.
This view is absolutely unacceptable.
Public participation provides critical inputs from those who actually
live in the particular environment at issue. The public can provide an
essential source of information -- in providing an early warning system
of the existence of problems, in developing realistic solutions to
those problems, and then in holding bureaucratic feet to the fire to
see to it that regulatory programs are implemented. Recently, I heard
the point made that when the supertanker terminal was under considera-
tion at Machiasport, Maine, the most influential element finally was
the negative opinion of the local lobster fishermen whose intimate
knowledge of tides, currents, fog, and hidden rocks convinced them that
the proposal involved unacceptable risks.
In our increasingly complex technocratic society, there is a strong
tendency to leave the problems to the experts. This is a tendency that
should be strenuously resisted. We need technical expertise but, left
unchecked, expertise alone, not moderated by a broader scale of values,
will often fall far short in solving complex problems and may even
create new problems in the process. Likewise, government management
must not be merely the province of the technocrats. We in the govern-
ment are just not that smart — or wise. Only by laying out the
alternatives for public comment can we get a full range of alternatives
as well as some consensus among those governed. Thus, public partici-
pation in decisions must be an integral part of good public management,
and particularly of environmental management. Only through active
citizen involvement can we set goals that have the consent of the public.
Only through public participation can we have a truly effective control
1-10
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and feedback program. Thus, for example, in promoting new technologies
and in making choices between alternative technologies, an essential
element of the assessment process must be a determination of the rela-
tionship between particular technological goals and human values. Such
a determination cannot be made in splendid bureaucratic isolation but
only as part of a process which opens itself to the full interplay of
ideas and values within our society. And, of course, the need for such
openness and interaction extends across the full range of government
decision making and to all levels of leadership.
Related to this problem is the fact that all too often resource managers
begin to believe that they are engaged in managing their own resources
— their own forests, their own river basins, their own fish and wild-
life and rangeland, forgetting that we are acting as custodians of these
resources for all the people. We cannot exercise such a trust responsi-
bly or effectively unless we conscientiously bend every effort to
encourage public participation in decisions affecting the future of
these resources. Again, this need for a sense of public trust on the
part of administrators extends across the board. Administrative arro-
gance is almost a certain guarantee of failure of public understanding,
loss of public support, and ultimately of wrong decisions.
In the environmental impact analysis process, we have a magnificent new
managerial tool that can help serve the objectives I have described.
It is admittedly an uncomfortable process for the bureaucrat. No pro-
gram official enjoys making an objective analysis of the impacts of his
proposed project, or admitting that there may be alternative courses
of action, or making his proposal available for public comment by other
agencies, by State and local governments, or by the public.
That the 102 process has stopped some projects and delayed others is
plain but this alone is not reason for criticism. Most likely the
projects should have been stopped or should have been delayed. The fact
is that the environmental impact analysis process is a major step for-
ward in providing more comprehensive, systematic, interdisciplinary and
sophisticated decision making. Most of the significant problems which
our society must deal with today are inherently complex. They defy
traditional management approaches, organizational boundaries, and
bureaucratic compartments. Thus, the highway planned by the Department
of Transportation affects the mass transit goals of the same agency,
impacts on fish and wildlife habitats of concern to the Department of
the Interior, gives rise to air and water pollution and noise problems
of concern to EPA, and may set in motion forces affecting patterns of
economic and population growth which are of concern to our entire
political structure. The environmental impact analysis process provides
an integrative force in decision making which seeks to avoid bureau-
cratic tunnel vision and to require comprehensive consideration of all
relevant concerns. Of paramount importance to this process is the
requirement for public disclosure and the opportunity for public comments,
There is no question in my mind that the NEPA process provides one of
the most significant administrative reforms in the history of our
1-11
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qovernrnent. Its continued vitality is essential to sound environmental
management. It Is Incumbent upon all of us to see to it that in every
agency the NEPA process has- the necessary staffing, funding, and top-
level support to make it truly effective.
Throughout these remarks I have stressed the importance of public parti-
cipation to good environmental management. There is another reason for
encouraging such participation on which I would like to touch briefly.
As our technocratic society becomes increasingly overwhelming in both
size and complexity, the average citizen feels further and further re-
moved from the reality of decision making. He feels incapable of
influencing the forces at work around him and events take on an air of
seeming inevitability. This is a tendency against which we must fight
because It can only lead to alienation from and cynicism with the
essential workings not only of government but of society as a whole.
Environmental programs provide a magnificent opportunity to give pri-
vate citizens a new sense of responsible participation in the social
process.
Finally, as we seek to improve management techniques for environmental
quality, it is essential to remember that technique alone cannot secure
environmental goals. Systems analysis, managerial skill, and technical
expertise can help define problems, present alternatives, and identify
costs and benefits. However, to be truly effective as part of a posi-
tive and creative process, analysis must proceed within the context of
positive purpose. Analysis alone can become a largely negative force,
better adapted to defining what not to do rather than what to do.
With the increasing complexity of the problems of the environment as
well as of our society generally, we need urgently to improve our
analytical skills and capability. But with this there must be a sense
of purpose, of goals, and of values. To provide this value framework
within which managerial skills can be exercised is the true role of
leadership. Without it, all of the managerial competence in the world
can produce only sterility. Cost benefit analysis can illuminate
choices but it cannot give direction. Thus, above all else, effective
management for a high quality environment requires policy commitment
at all leadership levels.
Let me close by once again emphasizing that direction and purpose in
our public affairs can best be achieved in an open process that fully
engages the participation of the public. Only through such participa-
tion can we achieve that sense of mutual trust and of shared purpose
that will provide the essential strength not only for our environmental
programs but for our society as a whole.
1-12
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CHAPTER II: THE ENVIRONMENT AS A POLICY ISSUE
Environmental quality is one of the most critical issues
currently facing the United States. In focusing on this issue, the
intention of the Conference was not to document the numerous environ-
mental crises or to trace the evolution of the environment as a policy
problem. Rather, several sessions were aimed at highlighting dimensions
of the environment in the hope that better understanding will improve
programs for environmental management.
Senator Hiram Fong (R-Hawaii) remarked during the Conference,
Managing our environment runs the whole gamut
of land use, water resources, conservation,
air pollution abatement, energy conservation,
the beauties and bounties of nature. It re-
quires a wide spectrum of disciplines in
science and technology, in law, in administra-
tion, in legislation. And above all, it requires
citizen participation and citizen support.
Thus, the study of environmental problems and the complex relationship
between man and his environment must integrate the knowledge and
theories from a variety of disciplines including biology, chemistry
and physics from the physical sciences, and economics, anthropology and
sociology from the social sciences. Although scholars in the disciplines
involved in environmental matters should work together in formulating
solutions and integrating knowledge on environmental problems, this
has not always been the case. By bringing together speakers from diverse
backgrounds, the Conference sessions attempted to probe the various
dimensions of the environment.
The purpose of this chapter is to integrate the views and ideas
expressed by participants at the Conference. First, the concept of
the ecosystem is defined and its more controversial characteristics
discussed. The next section focuses on the issue of environmental
quality as it relates to economics and economic growth. The discussion
reflects the interrelationships between environmental policies and
economic, scientific, defense, and domestic policies. The third
section examines environmental problems and their potential solutions
from the perspectives of decision makers -- both government officials and
corporate executives. Finally, the chapter concludes with a discussion of
environmental decision making in the context of rational and incremental
decision making.
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THE ECOSYSTEM: A PRIMARY CONCEPT
The basis for developing more effective public policies and
programs for solving environmental problems may lie in our ability
to develop a unifying concept to coordinate the factors related to
environmental quality. One such concept is that of the ecosystem or
ecological system. While it was developed primarily in the biological
sciences to represent the relationship between organisms in a
specified community, the ecosystem has been broadened to include social
factors as wel1.*
The ability of an environmental manager to be effective may depend
on his knowledge of the intricate workings of the ecosystem. In search-
ing for a simple definition of ecosystem, we can refer to a biologist
who was one of the first to use this concept: Eugene Odum, presently
director of the Institute of Ecology at the University of Georgia and
former president of the Ecological Society of America. He defines the
ecosystem as a unit of biological organization made up of all of the
organisms in a given area (community) interacting with the physical envi-
ronment, so that a flow of energy leads to characteristic trophic
structure and materical cycles within the system. In this definition,
the problem of technological development may not be adequately treated.
In an effort to be more inclusive, during his presentation,
Kenneth Boulding, Professor of Economics, University of Colorado,
presented a broader definition based on his work in economics and
systems theory. He defined the ecosystem as:
a system of interacting species, a species being
any set of elements, each of which conforms to a
common definition, the total number of which is
a population which can be added to by the forma-
tion of new elements (births or production) and
can be subtracted from by the disappearance of old
elements (death or consumption).
Dr. Boulding argued that the products of man's technological develop-
ment, which he labelled artifacts, must be regarded as an integral part
of the ecosystem. For example, the automobile is as much a species
as the horse. It has an input of materials from mines and an out-
put of materials into a dump, and it is nourished by gasoline and
excretes carbon dioxide, carbon monoxide, and nitrous oxide. Although
man has produced many changes in the ecosystem, the accumulation of
many technological developments, like the automobile, has the potential
for creating even greater and more rapid changes in the ecosystem.
"See Eugene Odum, Ecology. New York: Holt, Rinehart and Winston, 1963.
+Eugene P. Odum, "The Strategy of Ecosystem Development," Science
CLXIV (18 April 1969), p. 262. '
I 1-2
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It is important to remember that survival of the ecosystems depends
on a cycle of materials and a source of energy. For example, the
increased use of household appliances and new food products, both
designed to simplify domestic activities, have had drastic effects
on the cycling of materials and energy consumption, thus threatening
the future existence of some ecosystems. In defining components of
the ecosystem, therefore, technological developments should be included.
Moreover, man has a tendency to use these technological devel-
opments in ways that disrupt the normal functioning of the ecosystem.
Ecosystems vary in their tolerance to change and effects of single
pollutants. There are certain ecosystems where sources of air pol-
lution should not be concentrated. However, certain physiographic
regions attract uses to which they are intolerant. For example,
regions which exacerbate pollution, such as a stagnant air valley,
may be the location for sources of toxic emissions. Another example
is the estuary marsh ecosystem which may be used for ports and
refineries for which they are unfit. The concept of "fitness" there-
fore becomes critical in applying the concept of the ecosystem to
environmental planning and management.
To achieve environmental "fitness," Eugene Odum has postulated
a model of ecological succession.* Ecological succession involves the
development of ecosystems, paralleling the developments of biological
organisms and human society. It may be defined by three parameters:
(i) It is an orderly process of community development
that is reasonably directional and, therefore, predictable.
(ii) It results from modification of the physical envi-
ronment by the community; that is, succession is community-
controlled even though the physical environment deter-
mines the pattern, the rate of change, and often sets
limits about how far developments can go. (iii) It
culminates in a stabilized ecosystem in which maximum
biomass (or high information content) and symbiotic
function between organisms are maintained per unit
of energy flow.+
The strategy of succession is to increase control of the physical envi-
ronment by achieving maximum protection from perturbation. It is
important for the environmental manager to recognize that a strategy
of maximum protection in trying to achieve maximum support of complex
biomass structures often conflicts with man's desire of maximum
production. To help in environmental planning, Dr. Odum argued that
more emphasis be placed on compartmentalizing the environment in order
* Ibid, pp. 262-270.
+ Ibid, pp. 262.
11-3
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Protective
(mature systems)
envi ronment
Productive
(growth systems)
envi ronment
Compromise
(multiple-use systems)
envi ronment
Urban-industrial
(nonvital systems)
envi ronment
FIGURE
COMPARTMENTAL MODEL OF ECOSYSTEMS*
that growth type, steady state type and intermediate type ecosystems
may be linked with urban and industrial areas for mutual benefit. He
presented a compartmental model (Figure 1) in which the basic kinds
of environments required by man are classified according to biotic
function: (1) productive environments characterized by growing eco-
systems, (2) protective environments which are mature ecosystems,
(3) compromise environments which are multiple use ecosystems, and
(4) urban-industrial environments which are nonvital ecosystems.
According to Odum, it would be possible, by using computer simulations,
to determine the limits that might be imposed on each component ecosystem
in order to maintain regional and global balances in the exchange of
vital energy and materials. The information could be used by environ-
mental planners, environmental managers, legislators and administrators in
determining how much land should be used for high yield agricultural
purposes and for urban sprawl — two potentially destructive land uses.
In conclusion, he argued that:
A balance between youth and maturity in the socio-
environmental system is, therefore, the really
basic goal that must be achieved if man as a species
is to successfully pass through the present rapid
growth stage, to which his is clearly well adapted,
to the ultimate equilibrium-density stage, of which
* Ib id , p. 269.
11-4
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he as yet shows little understanding and to
which he now shows little tendency to adapt."
Whether equilibrium exists in the ecosystem, as presented by
Dr. Odum, is undergoing serious debate and analysis. During the session
"Environment: How Comprehensive?," Ian McHarg, Urban Planner and Pro-
fessor, University of Pennsylvania, pointed out that the ecosystem is
in a dynamic balance where the equilibrium point is in a state of flux.
In taking exception to this, Dr. Boulding stated that equilibrium in
a literal sense is virtually unknown in the real world. Only
approximations of equilibrium really exist, since it is difficult to
conceptualize a disequilibrium process. In the Anthology, C.S. Rolling
and M.A. Goldberg provide another perspective. They argue that since
the ecological system is not in a delicate state of balance, but
rather in the process of developing, the key feature of the system
is resilience^ The internal resilience is the ability of the eco-
system to absorb incremental changes. For example, long before man, the
ecosystem experienced traumas and shocks imposed by climatic changes
and geophysical processes. Ecosystems have been able to absorb and
adapt to these situations. Only when massive shocks occur or incremental
changes accumulate is the resilience exceeded, thus generating dramatic
and unexpected signals of change.
ENVIRONMENTAL QUALITY AND ECONOMICS
From the discussion of ecosystems, it is evident that successful
functioning of the ecosystems depends to a large degree on the total
social system and related policy. For example, United States science
policies, which involve the direction of scientific research and the
allocation of funds for research and development, play a large role in
determining the types of technology available for production and con-
sumption. The efficiency of these technologies and their use of natural
resources will affect environmental quality. Other policy areas with
environmental consequences include transportation, housing, urban
development, health, agriculture, and economics. One of the issues
focused on at the Conference was economics and its relation to environ-
mental quali ty.
The economic system is a subsystem of the total social system.
Its major function is to govern the artifacts, skills and services which
are exchanged in a society. Economic growth is the major goal in a
capitalist economy. In attempting to achieve such growth, the economic
system regulates the use of natural resources in the ecosystem and the
disposal of waste into the ecosystem. The build up of residuals -- left-
overs of production and consumption activities -- has become a major
environmental problem. The resilience of many ecosystems is being tested
* Ib i d, p. 269
+C.S. Moiling and M.A. Goldberg, "The Nature and Behavior of Ecological
Systems," An Anthology of Selected Readings for the Conference on
Managing the Environment, 1-20.
M-5
-------
by this accumulation of residuals. As a result, our society may no longer
be characterized as the "affluent" society but rather as the "effluent"
society.
The quest for survival requiresthe use of various elements in^the
ecosystem. As pointed out by Dr« Boulding, virtually all human activity
produces both good and bad effects; this is why we have pollution. He
continued that:
...not because there are wicked people who like to
pollute things (this is a very minor element in
the problem), but because if we want beef, we have
to have polluting feedlots, if we want electric
power, we have to have polluting power stations,
and so on. A critical problem in the economy is
how to make private decisions for private benefit
also produce public benefit.
Before the development of sophisticated technologies and the
proliferation of consumer demands for goods, natural resources were used
without limit and waste was dumped into the environment where it would
dissipate. A prevalent belief was that one person alone could not cause
environmental damage since air, water and other natural resources were
so plentiful. However, our pursuit of economic growth and the accom-
panying high standards of living, drastically increased the amount of
natural resources being used for production and consumption, and the
amount of wastes being discharged into the environment. By I960, many
scientists were beginning to identify some negative consequences of
massive industrialization, more sophisticated technology, and rapid
economic growth. As Professor L.J. Battan stated in The Unclean Sky:
A Meteorologist Looks at Air Pollution,*
The atmosphere is often treated as a garbage pail of in-
finite size. Obviously, this is a serious mistake. Our
layer of air should not be regarded as a dumping ground
in any circumstances. The quantity of pollutants that can
safely be put into the air depends on the property Of the
atmosphere at the moment of release and subsequently. In
some periods a great deal of smoke can be added with little
danger. At other times the condition of contaminants must be
kept at an absolute minimum,
Even today, some economic policies support the myth that the environment
can be abused without limits. There are several reasons for this.
First, a person is generally not directly affected by the
pollution and possible environmental damage he creates. The consequences
of his means of production and consumption are felt by his neighbors.
For example, before air reaches the outer atmosphere it affects people
who are in the direction of the wind. The private costs of pollution
*Louis J. Battan, The Unclean Sky: (Garden City, N. Y. Anchor Books 1966)
pp. 103-10^.
11-6
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are low enough that the individual is willing to accept it. Private
costs may also be lower than the costs to the rest of society. During
his presentation, Arthur Busch, Regional Administrator, United States
Environmental Protection Agency, underscored this point by emphasizing
that pollution places the rights of individuals against the public
welfare.
A second important factor encouraging damage to the ecosystem
is the economic pricing system. Industrial expansion was justified
on the grounds that the spillover effects were outweighed by the good
that was being produced. Industry used externalities to keep costs
down since it was cheaper to pollute than to clean up.
Today, the costs of pollution are extremely hard to define.
During his presentation, Joseph Fisher, President of Resources for
the Future, pointed out that many causes of pollution are subjective
and that damages incurred generally take place years later or miles away
from the original source. The central issue is that no market
mechanisms exist to register dollar values for environmental deterioration.
In analyzing this point further, Marshall Goldman in "Pollution: The
Mess Around Us," discussed the pricing of environmental quality.* In the
market system, prices affect demands for the product and demands affect
prices. When one goes up, the other generally goes down. If the pricing
system is to function adequately, the costs of all inputs used in the
production processes must be properly identified. Yet how can we identify
and price environmental consequences, both the overuse of natural resources
and the eventual waste discharge resulting after consumption is completed?
What is the dollar value of clean air or dirty water?
A major issue today is who is going to pay for pollution abatement.
In the absence of more sophisticated cost procedures, prevention and
abatement costs will need to be paid. Mr. Fisher argued that the solution
lies in complete subsidization by the government. He noted that we are
currently spending one percent of the Gross National Product (approximately
$12 billion) on pollution abatement. By doubling or tripling this rate
and sustaining the level of funding (thus, $24 billion or $36 billion),
he believed that the trend of increasing pollution could be reversed.
An opposite view was expressed by Mr. Busch. Since unlimited funding
from public sources is unlikely, the producers and consumers will need
to bear the costs for environmental improvement. He stated that pollution
abatement is one of the costs of doing business. While profits are
still necessary, the consequences that have been levied on the environment
are no longer acceptable.
A third and final factor which contributes to the deterioration
of some ecosystems is our commitment to growth. Historically,
our country has been enamoured with growth statistics such as the GNP,
new housing starts, or number of cars produced. Rarely have our
^Marshall I. Goldman, "Pollution: The Mess Around Us," An Anthology of
Selected Readings for the National Conference on Managing the Environment,
P. 1-5.
11-7
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statistics been able to incorporate esthetic values or the quality of
life since few indicators or measures exist. Today, many social
scientists have begun to question the concept of growth and posit the
idea that our society consider other alternatives such as managed
growth or no growth. During his presentation, Ian McHarg described
the social-economic policies which could be followed under alter-
native growth models. If we continue to pursue an uncontrolled
growth rate, we would accommodate the maximum social damage at the
greatest social cost for the least possible social benefit. A more
conscientious policy would be to develop the maximum social benefit
at the least social cost and proceed to allocate growth according to
gratification of the largest number of jieople. Critics of managed or
no growth stress the following: (a) limited growth may lower material
living standards; (b) conservation of materials would take place if
substitute materials were found or prices were increased in order to
finance social programs; (c) growth is necessary; and (d) an adequate
permit system for discharging into the ecosystem can be developed. On
the other hand, proponents have argued that a lowering of the material
standard of living may result in a higher quality of life since envi-
ronmental improvements would be made. In the past, growth has not
led to the solution of social problems; and the economy has failed to
assure or protect the environment. it is not possible to discuss
these conflicts in detail here. However, the issue of growth
is addressed in the latter part of this chapter, as well as in
subsequent chapters.
In summary, this discussion focused on the relationship between envi-
ronmental quality as a policy goal and various aspects of economic
policy. The complexity of environmental policy and its interrelation-
ship with our social concerns should be evident. In the Anthologyf
Blair Bower offered some tempered observations when he concluded:
Decisions and choices within the environmental sector
are linked to decisions and choices in other sectors
of the economy. Just as there are limited environ-
mental resources, so there are limited human and
capital resources."
VIEWS AND PERSPECTIVES ON THE ENVIRONMENT
Just as there are many policies that directly affect environmen*
tal quality, there are many perceptions of the nature of environ-
mental problems and potential solutions. If environmental managers are
going to be effective, they must be aware of these views. The views
and perspectives of governmental and corporate officials are presented
in this section.
"Blair T. Bower, "Residuals and Environmental Management," An Anthology
of Selected Readings for the National Conference on Managing the
Envi ronment, p. 1-27.
-------
Government Official
In the Anthology, Charles Henry, City Manager, University City,
Missouri, defined the "environment" as referring to "everything around
us."* The city administrator in his daily activities must define the
concept broadly, due to the complex interrelatedness of problems and
programs in the urban environment. During his presentation, John
Wentz, City Manager, Phoenix, Arizona, pointed out that managers should
for the moment restrict their definition to physical, visual, sensory
aspects of the environment. They must resist the temptation to define
the environment in terms of life style, a concept of too much complex-
ity for the development of environmental programs. (A further elaboration
of Wentz's ideas may be found in the latter part of this chapter.)
Although Mr. Henry defined the environment in broad terms, the
city administrator, as guardian of the municipal environment, has
limited tools available for improving environmental quality. Primary
sources of control are vested in city codes (e.g., building and
sanitation codes, private landscaping and sign control). The admin-
istrator must be able to secure local code compliance by bringing
violations into a local court. Through the courts, everyday occurrences
such as litter and sanitation violations can be processed and remedied.
On the other hand, Mayor Stephen May, Rochester, New York, saw a wider
range of environmental action for local governments. As an urban
administrator, he must deliver basic services such as garbage removal,
code enforcement, and rodent control. In addition, he is presently
faced with the need to retain industries presently located in Rochester,
as well as attract new industry to maintain sufficient employment in
his community. To accomplish these objectives in environmentally sound
ways, Mayor May has been working with industry on some specific issues,
particularly the screening of parking lots to reduce visual pollution
and a new in-town community to promote balanced development. He believes
that those in government must be sensitized to environmental needs and
that a balance be struck between the need for jobs and industrial ex-
pansion, and the need for a decent environment. While the vigilance
over the environment must be continued, the demands for growth must
sometimes be accommodated at the same time.
Shelly Mark, Director of the State of HawaiitDepartment of
Planning and Economic Development, related the steps taken by Hawaii
to define and enact a limited growth policy. He discussed the terms
"quality growth" as opposed to "quantity growth," which he equated with
the concepts of limited growth and increased growth- Dr. Mark pointed
out that efforts toward achieving a quality growth pattern must be
multidimensional, since a socially desirable balance among economic, social
and environmental elements needs to be achieved. To direct any kind of
growth policy, several steps were identified: (1) a consensus should be
reached on the objectives in planning quality growth, (2) the rates and kinds
*Charles T. Henry, "A Local Government Administrator's View of Environ-
mental Management, " An Anthology of Selected Readings for the National
Conference on Managing the Environment, p. 11-3-
11-9
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of growth patterns must be under control, and (3) knowledge mus1"
exist in order to predict the effects of certain actions. A
further elaboration of Dr. Mark's ideas can be found in the latter
part of this chapter.
Corporate Officials
The views of business and industry are important In achieving a
comprehensive picture of environmental problems. Many representatives
of industry readily point to their own programs for pollution abatement.
During his presentation at the Conference, Edwin Nelson of General
Motors Corporation identified several essential ingredients for indus-
try to be successful in the pursuit of a better environment: (l)
management priorities must be determined, (2) the problems need to be
identified, and (3) sound, technically feasible solutions must be
developed. He summarized some of the steps taken by General Motors in
environmental management. In February, 1971> GM created an environ-
mental activities staff to operate within the corporate structure.
Their primary functions are communicating with regulatory agencies,
providing technical information to local, state and federal governmen-
tal bodies, and establishing environmental control programs that will
ensure the best balance between cost and benefit to society. In addi-
tion, GM is carrying on large research programs on the environment.
One example is the extensive research on alternative power sources
to the internal combustion engine. However, since these
alternatives will not be viable in the near future, the company is
making a concentrated effort to modify and refine present engines and
emission control systems, particularly the catalytic converter.
Another example of their research activites is in the evaluation of
differing processes for removing sulfur dioxide from coal. One of
these processes is a regenerative double alkali sulfur dioxide pilot
study which would determine if the caustic could be regenerated and
used back in the system. If successful, this program would be a signi-
ficant development in reaching short term solutions to the energy prob-
lem.
Although continued research is essential in finding alternatives
to controlling pollution, industry may broaden its scope of environmen-
tal protection by seeking and creating new markets for environmental
improvements. Arthur Busch argued that environmental improvement could
become a giant industry, increasing in importance as new technology
develops. The possibilities in developing untapped markets for environ-
mental improvements exist within the private sector. In the Anthology,
James Brian Quinn outlined how industry and the environment can profit
from one another." One means is to transfer what private enterprise has
developed to satisfy consumer demands to developing and filling demands
-James Brian Quinn, "Next Big Industry: Environmental Improvement,"
An Anthology of Selected Readings for the National Conference on
Managing the Environment, pp. 11-9 to 11-21.
I 1-10
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for public consumption and investment such as sewage systems, water
supplies, parks and airports. If public markets could be developed by
private companies, growth opportunities for industry would occur while
many socio-economic problems could be improved.
Mr. Quinn also sees potential markets in properly administered
government regulations and standards. An example would be the stringent
radioactive emission and waste disposal standards which, if met, would
increase confidence in atomic power plants and expand their markets.
Eventually proper regulation could elicit new primary markets, contri-
buting to national growth in much the same way as a new product contri-
butes to economic growth. Nevertheless, the shift to a market economy,
with heavy emphasis on environmental improvement,wi11 not be without
serious costs to individual companies and communities. The problem
should be temporary and could be relieved by elongating the impact of
change, providing temporary tax relief, or working with communities
that have lost industries. Ultimately, the supports would be dropped
and the impact of choices would be distributed through industry by means
of pricing decisions.
The views presented in this section are not all-inclusive, but
rather provide a sample from both government and industry. It is hoped
that environmental managers will become familiar with the views
and particular circumstances in their own communities.
ENVIRONMENTAL DECISION MAKING
Assuming that an environmental manager has information regarding
the environment and is apprised of the views in his community,
the decision making process is highly important in relation to improving
environmental quality. The environmental manager might consider a
variety of approaches to chose from among competing policy alternatives,
ranging from an incremental approach to a rational-systematic approach.
During his presentation, Charles Lindblom, Professor, Yale University,
argued that the only realistic approach is incrementalism. The incre-
mental approach to decision making is characterized by focused attacks
on specific problems, thus restricting the number of alternatives and
policies to those that differ only incrementally from existing policies.
He commented that:
Since everything is connected, it is beyond our capacity
to manipulate everything altogether. Comprehensive plans
and broad goals would make a lot more sense if things
were not so interconnected. Then, you could factor out
a piece of society and deal with it. Since everything is
interconnected, the whole social world, or the whole of
the environment problem, is way beyond our capacity. We
have to find critical points of intervention, tactically
defensible, or strategically defensible points of inter-
vent ion.
I 1-11
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Support for the incremental approach in action was provided by John
Wentz, City Manager, Phoenix, Arizona, when he suggested that environ-
mental decision making must be realistic. His formula for achieving
practical decision making has been in making highly focused attacks
such as controlling sporadic development by zoning or cutting down on
visual pollution through sign control. Mr. Wentz indicated that short
term actions and the winning of small victories make it easier to address
more complex and comprehensive problems.
A more rational decision making approach was presented by J. L.
McClintock, Weyerhauser Corporation, in his description of the envi-
ronmental impact of a pulp and paper mill. In order to reduce the
B.O.D. (Biochemical Oxygen Demand) discharged from the mills, several
alternatives can be developed from which one or two would be selected
that result in the least adverse consequences. Through a systematic
process, alternatives are examined and evaluated based upon the ability
to achieve a viable plan for environmental protection. Then, the decision
is made by selecting the best alternative. However, this use of more
rational decision making is hampered by the lack of knowledge regarding
the ecosystem and the large amount of time consumed in conducting the
analys is.
As noted in the Anthology, the environmental manager is faced
with a complex political, technical and administrative milieu which
makes it difficult to make comprehensive decisions.* This decision may
be stimulated or constrained by: ecological considerations, environ-
mental crises, political pressures, unproven management strategies,
administrative dilemmas, technical considerations, and governmental
requirements. If managers recognize these potential forces and con-
straints, their ability to deal with the environment in a comprehensive
way will be enhanced.
SUMMARY
This chapter has analyzed some of the important points regarding
the environment as a policy issue. No claim is made that the ideas
mentioned are comprehensive, but rather they reflect the concerns of
conference participants. Several major themes emerged from the panels
and workshops. First, we do not possess sufficient knowledge on
indicators of environmental quality. Second, many of our assumptions
regarding growth need to be reevaluated in light of the desire for better
environmental quality. Finally, environmental decision makers need to
relate environmental problems to other policy areas while developing an
environmental management program for specific environmental problems.
-"Introduction," An Anthology of Selected Readings for the National
Conference on Managing the Environment, p. l-i to 1-3.
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THE ECONOMICS OF ECOLOGY
Kenneth E. Boulding*
It is no accident that the words "ecology" and "economics" both come
from the same Greek root meaning "household." They both deal indeed
with the housekeeping of the earth, and the economic system can be
regarded as a special case of the ecological system of the planet,
dealing mainly with the ecology of human artifacts and human behavior.
An ecological system is essentially a system of interacting species, a
species being any set of elements, each of which conforms to a common
definition, the total number of which is a population which can be
added to by the formation of new elements (births or production) and
can be subtracted from by the disappearance of old elements (death or
consumption). In most populations each element can be identified by
its age, that is, the period of time that has elapsed since it was born,
and this is frequently an important characteristic of the system though
this information is not necessary for the definition of a population or
a species.
In biological ecosystems the species and the populations consist of living
organisms. The definition of a species is not always clear, although the
usual definition is based on reproductive ability, that is, a species
consists of elements which can reproduce themselves. Other quantities
which are not usually thought of as biological species, however, may be
significant, such as the chemical species in the soil, the atmosphere, or
the waters, and also variables which are a little hard to put under the
general rubric of population, such as temperature, time patterns, annual
distribution of rainfall, and so on.
Economic species consist mainly of commodities; for instance, automobiles
and their subspecies, such as Chevrolets, Volkswagens, and so on. Social
species include human artifacts of all kinds, including human beings
themselves, as well as their genetic characteristics, their education,
skills, capacities, and so on, which also are human artifacts in a large
degree. We should also include social organizations among social species--
families, corporations, churches, states, counties, government agencies,
voluntary agencies, and so on.
^Presented by Kenneth E. Boulding, Professor, University of Colorado,
at the National Conference on Managing the Environment.
11-13
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The dynamic process of any ecosystem depends on the relationship between
the births and the deaths for any one population, and all other elements
of the system, especially the size of all the other populations. If
from the state of the system at any one time we can deduce the number of
births and deaths in each population in the next period, we know how
large all the populations will be at the end of the next period, and
hence can go on projecting for successive periods, if births exceed
deaths, the population will grow; if deaths exceed births, it will de-
cline; if it declines to the point where the population is zero, it
becomes extinct unless it can be re-formed, which is very unlikely. An
ecosystem may have an equilibrium position, in which the state of the
system is such that the births equal the deaths for all populations.
Equilibrium in a literal sense is virtually unknown in the real world,
but there are approximations of equilibrium; for instance, In a climatic
ecosystem of a forest or a pond, or a hypothetical stationary state in a
society. Because it is difficult to visualize an absolutely continuous
disequilibrium process (which is what the world is), it is often useful
to think in terms of a succession of equilibrium states, even though
this is only approximated in nature. Thus, a mutation Is a change in
the functions which relate births and deaths to the other states of the
system, or it may represent a change in the state of the system through
the introduction of a new species. This will almost invariably produce
a new potential equilibrium, in which some species may disappear and
the new species may either survive or may also disappear. This is the
essence indeed of the process of evolution, whether in biological or in
social systems. Selection Is always the selection of ecosystems, never
the selection of species.
A species survives if it has a place or a niche In an ecosystem which
survives. The niche of the species is that population, under given
conditions in the state of the system, at which the births and deaths
are equal so that the population is stable. Ordinarily for populations
smaller than this, births will exceed deaths; for populations larger
than this, deaths will exceed births, in which case the niche popula-
tion is a true equilibrium. The niche may be a physical niche, like a
cave or a coral reef, or it may not. It may simply be bounded by the
pressures of other species.
An important feature of any ecosystem is its system of inputs and
outputs. Every biological population requires inputs of food and pro-
duces outputs, or excretions. We should include In this the gaseous
"foods" and excretions, such as oxygen and carbon dioxide. The inputs
and outputs have two aspects--a materials aspect and an energy aspect.
A species has to be able to draw more materials from the environment
than it excretes if it is to grow. Similarly, every species needs
energy if it is to operate and move. !f an ecosystem is to survive
for very long, it must have a cycle of materials and a source of energy.
The nitrogen cycle is a famous example of the first, and, of course,
almost all of the biosphere depends on the input of solar energy to
prevent its running down.
I 1-14
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Man and his artifacts must be regarded as part of the ecosystem, and it
makes very little sense to separate the non-human part of the ecosystem
from the human part. The automobile is just as much a species as the
horse, though its genetics is more complicated. It has an input of
materials, mostly from mines; it has an output of materials into dumps;
it feeds on gasoline and excretes water, carbon dioxide, carbon monox-
ide, nitrous oxide and so on; and it survives because it has a niche.
That is, there is some population of automobiles in which births equal
deaths in any given environment, just like the horse.
There are three basic types of relationships among species: mutual
competition, mutual cooperation, and predation. All of these are
important. Predation is inherently the more stable of the three.
The evolution of man has produced profound changes in the ecosystem of
the world, mainly because the human nervous system has a very much
greater capacity for knowledge, that is, for building structures in the
internal systems which correspond to the structures in the external
system, than any other species. As a result, man is unusually coopera-
tive ecologically with his own artifacts, which can be thought of as a
peculiar kind of excretion of human activity. Most living species
produce only manure, which is often directly competitive with them,
although perhaps indirectly cooperative through its role in the materials
cycle. Human beings produce corn, wheat, machines, automobiles, clothing,
and so on. These artifacts have resulted in an almost continual expan-
sion of the human niche. There have been times indeed when man has
pressed against his existing niche, but this pressure has often resulted
in technological improvements, such as agriculture or metallurgy, which
have expanded the niche and enabled continuing growth of the human popu-
lat ion.
The economic system is a subset of the total social system, and therefore
of the total ecological system, which deals particularly with those human
artifacts, skills, and services which are exchanged or which are poten-
tially exchangeable. Every person, family or organization of the social
system lives in an exchange environment. Each such unit specializes in
the production of a limited set of artifacts or services. (Services are
simply art ifacts—songs, communications, orders, and so on—which have a
very short length of life.) He may exchange these directly for other
artifacts and services through barter, but as social organization develops
some artifact (cattle, metal, cigarettes) becomes generally acceptable in
exchange and begins to play the role of money. Money is a general medium
of exchange which is accepted not for its own sake but because somebody
else will accept it in return for other things. Eventually money becomes
divorced from its commodity base altogether and becomes a simple abstract
unit of account, like the bank deposit. Even in this form, it still
represents a "population"; dollars are born and die, migrate in and out
of particular regions just like any other population. If I am adding to
my money stock faster than I am spending it or diminishing it, it will
grow.
11-15
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In a developed society barter is a miniscule part of the total volume
of exchanges. Most people or economic units have an input of money
which they derive from either the sale of some goods or services that
they have produced—the wheat of the wheat farmer, or the services of
the wage worker—or from "grants," that is, one-way transfers in the
form of gifts, tribute, or taxes. They spend out of their money stock
for all the various goods and services that they want and can afford.
Thus, every social organization has a throughput of money which is not
wholly unlike the throughput of nitrogen in the biological nitrogen
cycle, and because of this we are able to organize an enormous variety
of organizations and artifacts.
Every organization or sector is significantly affected by its "terms of
trade," that is, the ratio of the real goods and services it takes in
to the goods and services that it gives out, so that our terms of trade
"improve" if we can take in more per unit of what we give out. The
structure of terms of trade depends on the total relative price structure.
Thus, if the price of wheat rises while that of other things does not,
the terms of trade of the wheat farmer improve; he can get more other
things per bushel of wheat.
The economic system has had a very substantial impact on the total eco-
logical system of the planet, mainly because humans act to increase
those populations in the total environment which they perceive as coop-
erative with them and act to diminish those which they perceive as
competitive. This introduces a very significant selective factor in the
whole ecosystem, producing grain and potatoes instead of bramble bushes,
cows instead of buffalo, automobiles instead of horses, buildings instead
of open fields, and so on.
Because the human race has found no really satisfactory social mechanism
for population control up to date (except in a few cases in simple
societies, which have all turned out to be unstable in the long run),
human activities have been profoundly dominated by niche-increasing
activity. This inevitably has put pressure on other species, especially
those which humans perceive as competitive with them, or niche-limiting,
such as the lion and the bear, the mosquito and the insect pests, the
disease bacillus, and horse manure.
A fundamental problem arises, however, because virtually all human
activity produces both goods and "bads," both things which are perceived
as enhancing human life and those which are perceived as detracting from
it. This is why we have pollution--not because there are wicked people
who like to pollute things (this is a very minor element in the problem),
but because if we want beef, we have to have polluting feedlots, if we
want electric power, we have to have polluting power stations, and so on.
A critical problem in the economy is how to make private decisions for
private benefit also produce public benefits. We have to create Adam
Smith's "invisible hand," which makes private and public benefits the
same. There are particular difficulties here in the case of "public
goods" and "public bads," which cannot be privately appropriated and can
only be organized through a public political process. Otherwise, we get
I 1-16
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what Garrett Hardin has called the "tragedy of the commons," and the
"invisible hand" then steals out of all our pockets. Many things which
ecologists worry about, such as wilderness or the preservation of species,
fall under the category of "public goods" which cannot be provided through
private markets.
A very critical question is whether the human race is now approaching its
ultimate niche. Can we go on expanding without ecological disaster? Is
the human race just a fire weed that expanded because of a dynamic pro-
cess which cannot be sustained? It is certainly possible to conceive of
a sustainable high-level economy, but we are still a long way from the
technology which can achieve this.
Today, ecology rather than economics seems to be taking on the role of
the dismal science. All the dismal theorems, however, merely amount to
saying that there are limitations. If these limitations are recognized
and accepted, and organized action is directed towards them, there is no
reason why they should be fatal. If we have, in fact, exceeded the human
carrying capacity of the earth (and it is by no means clear that this is
so), we will certainly have a rough time getting back to that capacity.
There seems to be no inherent reason, however, why, once it has been
achieved, a "spaceship earth" should not be both stable and reasonably
agreeable.
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PLANNING FOR QUALITY GROWTH
Dr. Shelley M. Mark*
Hawaii is the newest, one of the smallest, and probably the most
environmentally fragile State of the Union. Because of its fabled
climate and natural beauty, Hawaii is a prime attraction for tourists.
Because of its strategic central Pacific location, it is a major
military outpost. Because of fortuitous combinations of climate and
soil, labor and capital, research and technology, it has supplied
world markets with sugar, pineapple, and other tropical products.
With this obvious interdependence between economic prosperity and
environmental quality, Hawaii has long been concerned with protection
and enhancement of its environment. Because of its small size, the
threats to both environmental quality and economic life-blood are
more readily recognized and preventive action more easily galvanized.
Because the State is new (lA years old), it is not hampered by age-old
structures, practices, and traditions, and is more apt to venture into
pioneering approaches to solution of environmental problems.
THE HAWAIIAN LAND USE LAW
Hawaii's pioneering has been recognized nationally among specialists in
land use control. In "The Quiet Revolution in Land Use Control," a
major national survey prepared for the U. S. Council on Environmental
Quality (December 15, 1961), the authors, Fred Bosselman and David
Cal1ies, wrote:
"It all began in Hawaii. The quiet revolution in land use control saw
its first legislative success with the Hawaiian Legislature's passage
of the Land Use Law in 1961. In the initial years after its passage,
mainlanders typically brushed it aside as a strange phenomenon from a
strange land. But now as other States begin reform of their land
regulatory systems, it is increasingly apparent that Hawaii's ten years
of administering a system of Statewide controls offers a valuable
source of practical experience."
Hawaii's Land Use Law was itself a direct outgrowth of the nation's
first State General Plan and remains an integral part of the State's
'''Presented by Dr. Shelley M. Mark, Director, Department of Planning and
Economic Development, State of Hawaii, at the National Conference on
Managing the Environment.
I 1-18
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planning and environmental management process. It was passed in response
to certain worrisome environmental trends in the period just prior and
subsequent to our attainment of Statehood. The State's usable lands are
extremely limited; our prime agricultural lands were facing pressures
from urban sprawl; scattered developments and speculative subdivisions
raised questions of public costs vs. private benefits; the necessity to
protect our shorelines and other scenic assets, our forest, water and
other natural resources was clearly recognized. Thus, the Hawaii Land
Use Law sought to preserve prime agricultural lands, to guide urban
growth for more efficient use of public services and facilities, while
permitting reasonable housing, commercial and industrial expansion, to
establish a system for prudent management of our environmental resources.
The Land Use Law provides for a State Land Use Commission appointed by
the Governor and confirmed by the Senate. The Commission is authorized
(1) to classify all public and private lands in the State, in one of
four classifications -- urban, rural, agricultural, and conservation,
(2) to establish specific boundaries for each classification throughout
the State, (3) to revise these district boundaries on the basis of a
petition and hearings procedure or a mandated comprehensive review
every five years, and (4) to prescribe general uses permitted in each
district--with detailed uses in the urban, rural, and agricultural dis-
tricts to be administered by the Counties and in the conservation dis-
trict by the State Department of Land and Natural Resources.
Today, the State has detailed maps showing precisely which lands are in
each classification. These district boundaries must be reviewed compre-
hensively every five years. Preparations for the next review in 197^ are
now under way. The Land Use Commission also operates under specific
regulations intended to clarify and implement the law.
Thus, we have had a State Land Use Law in effect for the last eleven
years and a Land Use Commission for approximately the last nine years.
What have been their impact and effect on the growth of our community
and quality of our environment? As in most public and controversial
bodies of this type, there have been opposing views and differing inter-
pretations. At the time of the last mandated five-year boundary review
in 1969, the planning firm of Eckbo, Dean, Austin and Williams of San
Francisco noted these positive results: (1) the State Commission has
been stricter than the Counties in approving petitions for rezoning; (2)
scattered development -- with one or two notable exceptions -- had largely
been brought to an end; (3) speculative subdivision of new lands beyond
the need for new home sites had been greatly reduced; and (4) prime
agricultural and conservation lands had been protected from urbanization.
Critics, however, have been concerned about continuing conversion of
agricultural lands, especially the most highly productive ones, into
urban use; speculation causing land and housing prices to rise while
lands are withheld from use; and instances of a lack of coordination
between State and County decisions, and between State zoning and State
real property tax assessment practices. Issues have not been resolved,
but the various attempts over the past decade to have the law repealed
I 1-19
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have been roundly defeated, while a number of key amendments strength-
ening the powers of the commission have been passed. This is not to
say that the commission is one of the more popular institutions in the
State.
ROLE OF COMPREHENSIVE STATE PLANNING IN LAND USE REGULATION
Our recent experience has emphasized that a State land use control policy
can only be effective as part of a comprehensive planning program which
embraces social, economic, environmental, administrative, and financial
aspects. This planning has to be long-range, and requires coordination
and interaction of functional plans by governmental and private agencies
in order that the community's total resources be used to meet the needs
of its citizens in optimal fashion. There is a strong need for compre-
hensive planning at the State level not only to examine and evaluate
such functional plans (e.g., transportation, agriculture, recreation,
education), but also to provide new insights, new directions, new infor-
mation, new programs, and new methodologies for State government generally.
Without this solid grounding in a comprehensive planning process, the
flexibility deemed desirable in land use administration may easily become
merely expedient, ad hoc actions.
The paucity of State general plans or of viable State comprehensive
planning processes, however, indicates serious political obstacles not
only to planning implementation, but to the concept of centralized plan-
ning itself. Thus, State planning agencies have been preoccupied with
the search for relevance--for organizational structures or roles which
may assure their existence amidst ever-changing Federal guidelines and
ever-restive local jurisdictions. The end result of the State planning
exercise has been to place the State planner in the Governor's office
without either one knowing exactly what he was supposed to be doing there.
In Hawaii's case, a relatively strong centralized government facilitated
the passage of appropriate enabling legislation and the working out of
administrative procedures necessary for the redistribution of traditional
zoning powers. In the general case, this should not pose an insurmount-
able obstacle, since it is axiomatic that if a State can delegate its
police power to regulate private land use in the public interest, it can
also exercise it. The serious interest of a growing number of State and
national officials in the Hawaiian experience, along with the expected
passage of a National Land Use Policy act, suggests the sort of change
in public climate which is necessary for any such exercise of power to
occur.
THE STATES AND THE NEW FEDERALISM
The National Land Use Policy Act has been hailed as a principal means by
which state and local governments will be assisted in making the transi-
tion from a chaotic crisis-by-cris is approach to a decision-making process
based on rational long-range planning. This may yet be, although the
measure in its current form does not move strongly in the direction of a
I 1-20
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"national policy" on land use. There are few national goals or guidelines,
and the economic sanctions originally designed to compel compliance with
the measure have been weakened. One possible outcome of the Act might be
the emergence of fifty state variations of national land use policy.
The Act seeks (correctly) to build up State planning capability by pro-
viding funding, staff, a data and information base, and appropriate
authority. Its approach is to focus available resources and expertise
on "critical areas and uses of more than local concern." In so doing, it
excludes existing incorporated areas in each State, which exercise often
crucial planning and zoning powers, thus limiting its applicability. As
the Hawaiian experience has demonstrated, land use policy needs to be
long range in concept and application, and the planning upon which it is
based should be comprehensive in scope and jurisdiction.
The Coastal Zone Management Act of 1972 makes State Governments the focal
point in a related strategic area of environmental management. While the
legislation does not require State participation, the prospect of Federal
funds, as well as the privilege of requiring Federal projects and permits
to conform with State management programs, are strong incentives. With-
out an approved State plan, Federal agencies could start projects without
State approval. The law gives considerable freedom to States to do as
they wish in coastal zones, but what they do and how well they do it will
depend on how quickly they can firm up their planning capabilities and
how willing they are directly to tackle the complex problems of inter-
jurisdictional management.
Another example is the proposed special revenue-sharing Better Communities
Act of 1973, which purports to strengthen the hand of state governments
and governors, while at the same time providing for the bulk of funds to
flow to cities and urban counties. Congress is concerned that these funds
may not be used in ways responsive to national priorities, such as housing,
and that States are being required to administer programs without the
benefit of national growth policies. The net effect may be to give States
certain added responsibilities, without providing them with the effective
authority to carry them out.
There are numerous other elements of the New Federalism that I cannot
touch upon. Nor does it seem appropriate to resurrect or renew the debate
on whether it is indeed the way to solve the complex social and environ-
mental management problems. For those interested in this issue, a recent
New York Times column by Professor Henry Steele Commager states: "The
notion that voluntarism and local authorities can deal effectively with
the national and global problems which crowd about us is without support
in logic or history" and concludes: "Only the national government has
the constitutional authority, the financial resources, the administrative
talent and the statesmanship to deal with these problems on a national
scale."
These matters have been and will be decided at a higher level than state
government by the interplay between the national administration and the
Congress. While the debate continues and new legislation and guidelines
I 1-21
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are hammered out, the States have the opportunity to use the period of
"creative pause" to solidify the character of their planning and develop
their own initiatives in order to come to grips with the forthcoming pro-
grams.
The National Land Use Policy Act, the Coastal Zone Management Act, and
the Better Communities Act urge states to take the first steps (for some)
in this direction. The challenge to the States is whether they can build
up their planning capabilities and develop their planning processes in
order to deal with their most critical environmental management problems
in a far-sighted and comprehensive manner. The mandate to the Federal
government is not simply to satisfy itself that the States are doing
this, but to coordinate its own divergent planning interests and set
forth goals and guidelines appropriate to a true national growth policy.
Nevertheless, the States now have at least the opportunity, with Federal
statutory and financial support, to set their own directions, and to
delve into the bewildering complex of local jurisdictional problems that
have hampered rational environmental and land use decision-making in the
past.
In the past, State planning has been preoccupied with its search for
relevance—for systems, structures and roles to insure its continued
existence. For the future, State planning must start building substance
within structure and directly face the environmental issues people are
concerned with, no matter how difficult the task and unpromising the
early returns.
PLANNING FOR QUALITY GROWTH
More than a decade ago, the people of Hawaii concluded that land is what
matters, ultimately and environmentally. We passed our State Land Use
Law, reflecting this realization and the desire of our people to establish
rules and priorities for the use of our very limited land resources. The
law was an outgrowth of these needs and its administration is an integral
part of our comprehensive state planning process. In recent years our
land use controls and planning process have become increasingly inter-
twined with a variety of policies, programs and projects which have as
their common focus the quality growth of our State.
Public concern with quality growth has, of course, long preceded the recent
legislative actions and popular discussions on the subject. In the Case
of Berman v. Parker in 195^, Justice William Douglas wrote: "The concept
of the public welfare is broad and inclusive...The values it represents
are spiritual as well as physical, aesthetic as well as monetary. It is
within the power of the legislature to determine that the community
should be beautiful as well as healthy, spacious as well as clean, well
balanced as well as carefully patrolled..."
Following perhaps from Justice Douglas1 suggestions that "it is within
the power of the legislature to determine that the community should be
I 1-22
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beautiful," the 1972 Hawaiian State Legislature passed a law, mandating
that a Quality Growth Policy be developed for the State by the Chief
Executive. This legislation was also a key recommendation of Stewart
Udall's Comprehensive Open Space Plan and an outgrowth of his feeling that
a meaningful open space program for the State could only be developed
within the context of total environmental quality, with full considera-
tion of population policies, urbanization patterns, resource uses, trans-
portation alternatives and other man-made growth factors. Hence, the
legislative mandate to halt urban sprawl, preserve open space, protect
and enhance the environment of Hawaii and uplift our quality of life
through the identification and implementation of fundamental State growth
policies.
However, the passage of legislation does not assure quality growth in a
state. It is a necessary first step; it provides the structure, but
substance has to be provided within the structure before a government
can effectively come to grips with its most pressing issues of environ-
mental management. This is what state planning is all about, and this
is where the States may seize the initiatives and opportunities promised
them under the banner of the New Federalism.
Accepting quality growth is a proper focus for carrying out the mandates
under the new Federal legislation; it is then possible to outline the
main elements of a state planning process designed to achieve it. These
include: (1) definition and standards of measurements, (2) identifica-
tion of principal problems or issues, (3) addressing these issues in a
systematic, comprehensive, and far-sighted manner, (4) devising the
instruments appropriate to the solutions required, and (5) gaining popular
understanding, acceptance, and support for both the process and its
recommended solutions.
While quality growth is difficult to define or make operational, it is
nevertheless a useful disciplinary concept. Generally, it suggests
multi-dimensional growth that achieves a socially desirable balance among
economic, social, and environmental elements. This is in basic contrast
with "quantity growth" which emphasizes growth along traditional economic
and population dimensions. However, it is incumbent on each state to
develop its own, unique, operational definition of quality growth, which
emphasizes local attitudes and priorities with respect to the appropriate
balance between economic development and environmental protection.
Several basic problems must be overcome in attempting to develop a State
quality growth policy. They include:
(1) arriving at a consensus on the appropriate balance among
economic, social, and environmental objectives;
(2) achieving sufficient control over the rates and kinds of
growth to be able to direct them toward a desirable balance;
and
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(3) gaining knowledge of the system which will allow us to
predict the effects of our actions on different growth
dimens ions.
The major difficulty, of course, is that our system may be too "locked
in" on quantitative, economic growth to be able to redirect itself
toward quality growth. That is, economic and political self-interests
are too tied into the present pattern of growth to allow for change.
The formidable challenge would be to devise a widely accepted policy,
comprehensive planning process, and authoritative management program
to break open these locks (to use a poor Washington analogy). Since
quality growth is a change-oriented concept, a quality growth policy
or planning process must also be change-oriented. At present no clear
consensus exists on precisely what quality growth is and how it is to
be achieved; hence, a planning process built around this concept cannot
be rigid and inflexible. The process must be incremental and concerned
with asking questions about growth and increasing our ability to deal
with these questions and make decisions about them. Thus, the process
must be "experimental" where feasible; it must be constantly generating
new ideas and testing them.
The States will need to build or rebuild their planning information
bases., Decision-makers need to be informed and pressed with the questions
suggested by the concept of quality growth. They need to be apprised of
the impact of different decisions. We can best build this information
base by careful planning studies aimed at specific, manageable policy
questions. As consensus is reached and our information is broadened, we
can then increase the scope of our efforts. We cannot be overly com-
prehensive and still produce timely and useful plans and studies at the
same time.
As much of the impending national legislation suggests, physical develop-
ment controls will continue to be the major means available to government
for implementing growth policies. These include land use controls,
capital improvements programming, environmental quality standards, and
actual public participation in the development process. Raising the
quality of the man-made environment will require that government form a
more effective partnership with the private sector in the development
process.
Controls of some type are needed to force consideration of the full range
of impacts of government policies and actions and private and public
developments. The only available device of this type is the environmental
impact statement. The rationale underlying the EIS procedure has gen-
erally been that the EIS was only a first step that would lead to other
institutional changes designed to give greater weight to environmental
considerations in decision-making. However, the changes have been slow
in coming and the EIS is becoming an end in itself. What seems desperately
needed also is an EIS on the EIS, which would relate it to the state
planning process and provide harried readers with better criteria for
judging whether they are good or bad.
I 1-24
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The pragmatists will say the concept of quality growth is too elusive,
that the means of attaining it are too obstructed by immutable self-
interest, and that we lack the information, know-how and techniques to
achieve our goals. Perhaps the way out is for each of us in planning
and environmental management to broaden our perspectives further.
Governor John A. Burns offers us a clue in his 1973 "State of the State"
message to the Hawaii Legislature: "At the heart of it, the central
element in 'quality growth1 is a social one: It involves people. It
means the creating and improving of Hawaii's economic and social condi-
tions so that all men, women and children in our Islands can retain the
full sense of their human dignity and proper pride, through meaningful
employment of their God-given talents and the pursuit of worthy personal
object ives."
This is a broader view of "quality growth" than is customarily found in
discussion of the environment. Perhaps there has been too narrow a
perspective which sees only physical dimensions, urban design, the ideal
placement of buildings, and preservation of open space. Perhaps the
nation's concern about environment has put too much stress on capital
improvements, city plans and economic plans and master plans and general
plans—which limit our vision to the physical and economic elements of
"quality growth." The new vision is to the growth of the human person,
in an environment which he both shapes, and is shaped by. It is the
only environment he has, and one which must bring him happiness and ful-
fillment. Quality growth through intelligent planning contributes to
that goal.
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ENVIRONMENTAL DECISION MAKING
John Wentz*
! have organized my remarks under five sections. First, i am going to
give you my personal definition of the scope of environmental management.
We have had some difference of opinion already on what that ought to
be. Then I am going to suggest at least one of several ways to organize
to accomplish something. I am going to note some changes in city opera-
tions, which are being and should be caused by our interest in the
environment, highlighting, of course, the Phoenix experience. Then 1 am
going to comment about the strategy of balancing the pressures that city
officials are under, both pressures for action, and pressures for re-
straint or no action. Finally I will give just a brief comment on what
the future may hold.
In defining the scope of environmental management, "life style" is per-
haps the key term. It is the variable that we attempt to influence.
Our objective is to enhance the quality of life style. The temptation
is to get too broad, because life style is affected by many things, such
as law and order, welfare, jobs, salaries, and social programs. All of
these are important, and do affect the quality of life. For my defini-
tion, however, we should for the moment restrict our concern to the
physical, visual, sensory aspects of the world around us. At least with
this agreed upon, we may then accept as a goal that one stated in the
summary report by the California Governor's Planning and Research Office,
entitled "Environmental Goals and Policy."
The overall environmental goal for California,it states: "Is to create
and maintain a productive harmony between man and his environment, the
physical space in which he lives." The word "productive harmony" is
important, because it does not mean all one direction or the other. It
means a balance. Of course, it means the prevention of air and water
pollution which we talk most about, as well as visual and landscape
pollution. It means the use of management of our resources. Most impor-
tant, it implies achieving a balance between the desire for quality of
these surroundings, and a willingness to pay the bill.
Managing the environment, incidentally, is no different than managing
anything else. It is simply applying conventional organization, research,
education, and management practices to a new objective.
How does one organize to accomplish environmental management at a city
level? There is no one right way; what works is correct. However, at
least three elements are required in any organizational effort. One is
enlightened citizen input; another is adequate staff. Third is interest
''Presented by John Wentz, City Manager, Phoenix, Arizona, at the National
Conference on Managing the Environment
I 1-26
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and support of top management. If any one of those three is absent, we
wi11 probably fai1.
Enlightened citizen input is needed for two purposes. First, it provides
the ideas and support that you receive from the citizens, and perhaps
more subtly, provides an opportunity for them to become educated them-
selves about the problem.
A staff should consist of at least one or more persons devoting full
time to the problem. I think that the problem today has become important
enough so that it cannot be solved out of the hip pocket of a budget and
research department, or planning department. It needs the interest and
support of top management. Nothing without that support will get accomplished,
In Phoenix we are still in the embryonic stage, but moving, cautiously
and deliberately, and with the full support of the mayor and the council.
In July of 1971, the City Council of Phoenix, by ordinance, created a
twenty-one member Environmental Quality Commission, with staggered three
year terms, to function as a recommending body to the City Council, with
primary duties to identify environmental problems. Their duty is also
to recommend solutions of these problems to the Council. Upon careful
study, this commission may recommend changes in regulations or policies,
city procedures and programs, or it may hold public hearings to determine
feelings of citizens. The latter is sometimes dangerous, but nonetheless,
a useful device.
Another major objective of the commission is to create an awareness
throughout the community of environmental problems and to encourage commu-
nity cooperation in resolving those problems. The city planning department
has created a staff environmental planner position to assist this commission
in its work and to coordinate activities with the management staff. This
professional staff member was hired through the Housing and Urban Develop-
ment Comprehensive Planning Assistant Program. The direction for the
environmental planner is very simple. It is to identify environmental
issues, problems, and opportunities and to serve as an information source
and contact point for city evaluation of environmental implications
(including impact statements) and to facilitate the effective functioning
of the citizens' commission.
The key to success will be the coordination of action to implement improve-
ments or changes. The city manager's office and the mayor's staff will
work closely with this commission, and assert sufficient thrust to the
program through all departments.
Perhaps more important are some changes in the city operations caused by
the current interest in the environment. When Phoenix addressed itself
to this subject about two years ago, the first thing that we did was to
examine what we were doing now that we had something to do with the
environment. We found that we were already doing many things in the
interest of environmental quality. I now propose to list these environ-
mental activities in inventory form. For convenience I have organized
these activities under the more or less responsible department.
I 1-27
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With the aid of the planning department, the legislature recently passed
the first state enabling legislation in the field of planning, This was
a new accomplishment for us, It includes sections on the conservation
element of natural resources and also a recreation element. It allows the
establishment of flood plain zoning and provides the municipality with
power to reserve parks and recreational facilities within subdivisions.
In the planning department we have also adopted a number of hillside
ordinances, which will control the quality of development on those hills
that we are going to allow to be developed. We have developed three
ordinances: (1) a grading and drainage ordinance; (2) an amendment to
the zoning ordinance; and (3) an amendment to the subdivision ordinance,
all of which control size of lot, or what you do, for example, with the
cut and fill, steepness of driveway, and the runoff. The most important
end result of these laws is to reduce the density- The developers, of
course, bitterly opposed these regulations. However, they have been adopted.
We have adopted the theory of density transfer in the design of PAD's --
planned area developments. We allow a slightly heavy density in the flat-
land in return for keeping the hillside open.
We have gone into the sign business. That falls under visual pollution.
We have stepped up our enforcement by doubling our fees and doubling the
number of staff, starting a perpetual inventory, and requiring a bi-annual
permit to maintain the inventory. We are cutting down rather heavily, for
a large city, on signs. We are also studying amendments which may further
crack down on the visual pollution from signs.
We are working very closely with the FHA in requiring back-up treatment
for residential development so that we will have no more "Allen's Alleys"
or those bleak backwalls along major streets.
Under the park department, we are working hard to develop a greater street
tree planting program. Nurseries are being built in order to grow stock
economically. Many of our street tree planting programs along major boule-
vards are purposely concentrated in the inner city area. What we call a
slum looks pretty good compared to the eastern slum, even though for Phoenix
it is a depressed area. Beautifully landscaped center strips and towering
palm trees can be seen in this neighborhood as though it were on Sunset
Boulevard. This type of improvement helps to raise the spirits of that
portion of our community.
The most exciting thing we have done recently is to get into the open space
program in a major way. In this regard we are indeed following the advice
of the man for whom I am pinch hitting, Mayor Pete Wilson of San Diego, who
has said:
Land use really is the starting point of most of man's pol-
luting activities. Land dedicated to park or open space makes
a significant contribution to environmental quality in two
ways. It is enjoyable both in itself and also for the relief
I 1-28
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it provides from other surrounding and polluting land
uses. It may be that the greatest contribution cities
could make to improve their quality of life is the acquisi-
tion of as many desirable parcels as possible, as early as
possible, before land prices soar out of range or compel
development and permanent loss of open space. The time is
now — before it is too late.
The city already has the largest municipal park in the United States. It
includes approximately 15,000 acres of mountain area and is called South
Mountain Park. It is a desert park on the south end of the town. In the
middle part of the city is a large mountain range called the Phoenix Moun-
tains. For years people have been worrying about how urbanization would
affect these mountains. It became perfectly obvious what was going to
happen when people began to creep up the sides and build. If something
were not done, it would soon become the Hollywood Hills all over again.
We had a consultant do a study to determine what he thought might be done
about this open space. He recommended that we preserve it, which was a
rather simple recommendation although it will cost $40 million. It is
all privately owned. We did not know how to cope with that, so we appointed
a citizens committee. It consisted of 125 members, and was called the
Phoenix Mountains Preservation Commission. Some people criticized the
Commission because of its size. We broke it down into sub-committees,
and eventually they developed a financing plan. They had a little help
from the staff, but it was basically their own plan. They also came up
with a plan for selling the idea to the community.
Last Tuesday the citizens voted by a two to one margin a $22.5 million bond
issue to help buy those "rocks." We are pledging $13-5 million of our
federal revenue sharing funds toward it. The rest will come from federal
revenue sharing, which should continue past the first five years. We are
starting out very aggressively to buy this 9»000 acre mountain range and
have already spent about $3 million from accumulated funds. It will be
an open preserve of pristine quality in a densely populated area.
On the west side of the city we are buying, with the assistance of HUD
open space grants, land along a dry creek. Eventually this will be Cave
Creek Regional Park, a strip of land seven miles long with golf courses
on former sanitary land fills and a variety of other open space uses. Be-
yond the present city limits to the north we are obtaining from the Bureau
of Land Management large mountain areas which will eventually become re-
gional parks. One such area of about 1,000 acres will be combined with a
sanitary land fill of 900 acres to form, in twenty-five to thirty years,
the Skunk Creek - Deems Hills Regional Park.
Another stimulating project is the current Rio Salado study under the aus-
pices of the Maricope Association of Governments, our local COG. This pro-
poses to develop the waste land along the normally dry Salt River for a
distance of forty miles through the valley with recreation and economic uses,
I 1-29
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Downtown, in the interest of open space, we are also spending some federal
revenue sharing money to buy a downtown block, demolish a number of pawn-
shops, and make a Pershing Square out of it. It is the anchor of our govern-
mental mall. We are also buying five blocks in the governmental mall, along
with other'governmental agencies, so that it will stretch from the city
hall to the state capitol someday, fifteen blocks long, with an open green
sword going down between. This project is striking a blow toward improving
the environment, and we are having a lot of fun doing it.
In the water and sewer area, the city is improving the appearance of many
of its facilities by painting and landscaping. Most exciting, however, are
the experiments using the effluent from the sewage treatment plant. One
project is funded by an EPA grant and is trying to determine, with the
help of ASU, how we can purify the water somewhat more, so that it can be
used for the purpose of irrigation of truckfarm crops. We are already
selling 70,000 acre feet of our effluent to an irrigation district, which is
using it for forage crops. We have not yet reached the point of using it for
edible truckfarming crops.
Six cities, all using the same sewage plant as Phoenix, have agreed to sell
the waste product from the sewage plant to the ANPP, which is the Arizona
Nuclear Power Project. It will be the first nuclear power plant to use
sewage as cooling water. That is a very productive use for sewage. In
addition, we will receive between twenty and thirty dollars per acre-foot
for it. That is probably the highest priced sewage in the country.
Under the engineering department, we are requiring contractors to dispose
of their soil jn landfill, instead of laying it over the desert (which
is tempting, because there is so much of it). We are entering into an
expensive service center beautification program. These centers house the
refuse and street department trucks; we are landscaping them heavily. Our
Omaha orange colored trucks, which used to be thought desirable from the
standpoint of safety, are being changed to desert beige so that they blend
into the landscape. These are simple, little things, but they are all in
line with the general movement. They give us a chance to score a few minor
victories early in the game and to build up some momentum for the program.
In the city manager's office, we run an inner city neighborhood environ-
mental improvement program headed by an administrative assistant in charge
of our south Phoenix branch office of the mayor and city manager. He is
coordinating activities of various operating departments on a block by
block, boot-strapping basis, working through neighborhood councils of the
city's CAP agency (known as LEAP), which operates as a department of the
city in Phoenix.
In summary, while some of these actions probably would have occurred any-
way in the society twenty years ago, most of them are possible now only
because of the tolerance and the support of the public.
For the strategy of balancing pressures for action and restraint, we need
a check system for pre-analysis of the environmental aspects of all new
I 1-30
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projects. The potential environmental impact of a project must be deter-
mined before a project is built. We need a better, more objective cost-
benefit analysis, This is the main issue in environmental protection.
How much are you willing to pay to have the kind of environment you want?
We need more citizen involvement, certainly far beyond the commission.
Several area planning councils have been established in our city, and they
are very active, not only in planning their areas, but in environmental
concerns.
We are working through our neighborhood councils in the depressed areas.
We believe that the people in the disadvantaged areas have just as great
a stake in the environment as anyone else. One of the greatest problems
is understanding the alternatives. For example, we have a freeway problem
in our city. In a recent poll, people voted to abandon a freeway which was
ten years in the planning. Nobody in the community thought seriously about
possible alternatives, but they have decided against the freeway. Now we
have the problem of a massive educational program of trying to determine how
to preserve our mobility.
How do we cope with these two pressures? Pressures for precipitative or un-
reasonable action are offset by strong organization and objective research
and analysis. Pressures for restraint are offset by good education and
good citizen involvement. It is a delicate balance, but those of us at
the local level are experienced, or should be, in maintaining that delicate
balance.
What does the future hold? The environmental issues will remain. The only
question is: what action are we going to take? Interest will remain high.
The management of the environment will become more realistic and more down
to earth as accomplishments prove successful, as we achieve some mjnor vic-
tories along the line of the Lindblom theory of incremental approach.
The involvement of pragmatic administrative officials will balance the
enthusiasm of impractical activists in order to achieve a productive bal-
ance. We are not going to return to caveman life. The era of growth, ex-
pansion, and exploitation is peaking. The era of consolidation, of polish-
ing off the rough edges, of emphasis on improving the life style, is on the
rise.
It behooves government and industry managers to pay attention to these
indicators. They must and will be in the forefront of action programs
for two reasons. First, to balance the unrealistic emotional demands of
certain members of the society and second, to ensure that something really
gets done.
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INCREMENTAL ISM AND ENVIRONMENTALISM
Charles Lindblom*
In simplest form, the answer to the question "How are we to translate
broad goals and comprehensive plans into action programs" is "Don't!"
That does not mean that I oppose action programs. I support action
programs. I also advocate planning. What I bridle at is stress on the
breadth of goal and the comprehensiveness of plan.
The axiom that plans ought to be comprehensive and goals ought to be broad
which is an axiom many of us take for granted, indicates that the study
of planning and policy making and the practice of them and still in their
infancy. On any kind of sober view of how to go about planning and goal
setting, two attributes of action programs to beware of are breadth and
comprehens iveness.
As I see the world of policy-making or the study of decision-making,
there are fundamentally—speaking very broadly—two hypothetical alterna-
tive approaches to making intelligent decisions on complex matters. The
first is to aspire with never ending frustration to be comprehensive,
broad and complete, to wrap up together all aspects of a program, to
master it intellectually, to comprehend it in all aspects. To succeed in
this is^however, in actual fact impossible. For any complex problem, it
cannot be done. I am not on that point idiosyncratic. If you examine
some of the rich contributions to the literature on policy-making and
decision-making, particularly in the last ten or fifteen years, you will
see that an increasing number of people recognize that these are really
foolish aspirations, since one cannot be comprehensive, one cannot be
complete, one cannot be competently broad (only erratically broad) for
complex problems.
The alternative and feasible method, therefore, of getting into action
programs, or thinking intelligently, or acting intelligently, on complex
problems -- the problems we face in the public policy and environmental
fields -- is to be discriminating, selective, corner cutting, tricky,
cunning, strategic, and tactical. The second broad alternative is to
"Presented by Charles Lindblom, Professor, Yale University, at the
National Conference on Managing the Environment.
I 1-32
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recognize that we must reach a decision before we have intellectually
mastered the problem and that we will somehow have to make a decision
and begin to act long before all the facts are in. We shall have to
come to some kind of conclusion long before we can achieve any kind of
comprehensive or broad mastery of a plan.
What a skillful planner ought to do consequently is to ask, "What are the
defensible, skillful, or tackically useful ways to cut corners? What are
the defensible ways to leave things out? What are the defensible ways,
to put it crudely, to botch a job, since all policy-making is going to be
botched to some significant degree?" The decision maker must face up to
the fact that he is going to make mistakes. He must decide, therefore, how
to pick and choose among elements of his problem in order to devise in
some skillful, imaginative way a realizable solution. His will be a
method full of error, but errors that are somehow easier to live with or
more correctable than others or errors that give him more feedback infor-
mation for future decision steps than do others. Skill in policy-making,
talent, inventiveness, or genius is not in pursuing the wi11-o'the-wisp
of breadth and comprehensiveness, but in developing a kind of low cunning
or brilliance in improvisation, in tactics for corner cutting, in learning
a high degree of selectivity and discrimination, in making up highly
focused rather than broad attacks on problems. Good action programs should
lay out sequences of attacks, so that sustained attack may be sustained in the
face of repeated inevitable error and in fact draw information through
feedback from that error to make the sustained attack increasingly well-
focused and precise.
Why planners resist the common sense choice between the impossible and
the possible - why they often persist in broad goals and comprehensive
plans -- needs explaining. Several considerations throw light on why
we are wedded to the old-fashioned axiom that the way to be intelligent
about policy is to be broad and comprehensive, instead of selective and
strateg ic.
One is that this old axiom is conventional scholarly wisdom. We draw
our canons of good policy making procedures from the scientific method.
In a conventional understanding of the scientific method, man attempts
to grasp, to master, to understand, to comprehend. Consequently, all
the prestige of science bolsters the conventional notion that these are
virtues for policy makers too, regardless of the complexity of policy
problems when compared to the relatively constrained scientific problems
that most scientists deal with in their own academic work.
Second, modest and realistic tactical or strategic selective approach to
policy is painstaking hard work and not very exciting. It requires that
social change be smuggled into the social system, rather than introduced
11-33
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with flags flying. Many of us recoil from meticulous, persistent repair
work and lunge off in the direction of glamorous comprehensive plans. ^
We may do so for the same reason that many people enjoy buying something
new as therapy. Comprehensive planning is one of the great therapies of
hard-pressed policy-makers. It is a way of getting into something fresh
and new. Among its other attractions are the minor therapies of white
paper and unsoiled notes instead of messy old files and the dismal record
of past fai1ures.
A third reason for a bias toward the broad and comprehensive is that
most of us believe that because we became involved in our environmental
difficulties piecemeal, we shall have to get out comprehensively. If
piecemeal gradualism was the way that we blundered into our environmental
problems, then clearly we shall have to devise some other method to get
out.
Clearly the argument contains a fallacy. We did fall into our environ-
mental problems through piecemeal gradualism. That still leaves open
the possibility that the same route is the only route out of the problems.
There are no logical defenses for "in one door, out another."
Finally, many of us resist selective, highly focussed programs because
we now understand that the environment is all interconnected. It is
a system. We are deeply impressed as we have never been before with the
interrelation of parts. Believing,then, that everything is interconnected,
we fall into the logical fallacy of believing the only way to improve
those interconnections is to deal with them all at once.
Clearly, everything is connected. But because everything is connected,
it is beyond our capacity to manipulate variables comprehensively.
Because everything is interconnected, the whole of the environmental
problem is beyond our capacity to control in one unified policy. We
have to find critical points of intervention - tactically defensible, or
strategically defensible points of intervention.
I have presented two models -- the traditional, conventionally scientific
method of policy-making, and the other, the much more highly selective,
incremental, tactical focussed method of policy-making. There is no
doubt about which one we can more skillfully exploit.
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CHAPTER III: ORGANIZING FOR ENVIRONMENTAL MANAGEMENT
"It appears that the awareness level of the citizens throughout the
United States is centering a growing concern for the environment on
the various governing bodies and their staffs to effect meaningful
programs..." This citizen concern, as noted by Richard Gray, City
Manager of Norman, Oklahoma, opening the discussion of "Local Govern-
ment Experience," has been communicated clearly to public officials
at all levels of government. The resulting rise of environmental
awareness and the increase in environmental programs have been
accompanied by changes in the organization for environmental manage-
ment.
One of the fundamental tasks of managers is organizing available
resources to address specific problems. Because organizing involves
the distribution of an agency's resources -- staff (size, expertise,
and role), budget, and authority -- it is one of the crucial deter-
minants of program success. An "organizing" decision is made on
every problem facing a manager, even when the decision is not to make
an organizational change and to address problems through existing
arrangements.
The manager's decision on "organizing" depends upon his perception
of the problem. Environmental problems can be viewed narrowly or
broadly. For example, exceeding the capacity of the sewage treatment
plant and dumping untreated sewage into a river can be seen as either
too small a plant or unbalanced (or too much) urban development.
Most likely a manager would address these two problems quite differ-
ently.
Other factors that influence "organizing" decisions include: politi-
cal pressures, financial status, federal or state requirements,
existing staff capabilities, relation to other policies and programs,
and the personal knowledge and skill of the manager.
In making organizational decisions, it is necessary to consider the
dynamics of the organization that will exist after the decision is
made. An organization can be described as a system of mutually de-
pendent variables, including: the individual, formal arrangement of
functions, informal arrangement of functions, behavior patterns
resulting from role requirements of the organization and role percep-
tions by the individual, and the physical environment. All of these
factors should be considered in planning organizational changes as
well as for evaluating organizational effectiveness. The remainder
of this chapter, however, will deal mainly with the formal arrange-
ment of functions.
I I 1-1
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Lynton Caldwell stated that "the ultimate task of environmental
quality agencies at all political levels, and especially at the top
of each administrative hierarchy is a task of synthesis."* He con-
cluded that the current fragmented responsibility for environmental
programs throughout several agencies is not conducive to the task of
synthesis, and therefore new organizational structures are needed.
The following discussion examines current organizational developments
at the federal, state and local levels. Since experience with new
environmental organizational units is somewhat limited in scope as
well as time, little evaluation or analysis has been made. It is all
the more important, therefore, to stimulate a dialogue on the subject
of organizing for environmental management so that experiences can be
shared and previously encountered successes or problems can be sought
or avoided.
CONSOLIDATING ENVIRONMENTAL FUNCTIONS WITHIN THE FEDERAL GOVERNMENT
The administrative organization of environmental functions has long
been a concern of the federal government existing prior to the cre-
ation of the Department of the Interior in 18^9. In more recent
times (1932) President Hoover submitted a plan to Congress proposing
to transfer the Corps of Engineers' civil functions to the Department
of the interior. Congress turned down the plan. Later, in 1937 the
President's Committee on Administrative Management recommended that
the Department of the Interior be retitled Department of Conservation.
This, too, failed. Other minor changes were advocated by the Hoover
Commissions of 19^9 and 1955.
After World War II, programs developed for air and water pollution,
solid waste, and part of the pesticide and radiation programs were
grouped together as part of the Bureau of State Services in the Public
Health Service. The Water Quality Act of 1965 removed the water pol-
lution program from the Public Health Service and created a new Federal
Water Pollution Control Administration within the Department of Health,
Education and Welfare (HEW). Before this change had time to take
effect, however, President Johnson submitted to Congress a reorganiza-
tion plan transferring the Water Pollution Control Administration to
the Department of the Interior. Following the transfer of water pro-
grams to Interior, there were a series of reorganizations within HEW.
First came the creation of the Bureau of Disease Prevention and
Environmental Control. This was superceded by the Consumer Protection
and Environmental Health Service, which was in turn converted into the
Environmental Health Service.
"Lynton Caldwell, "Environmental Quality as an Administrative Problem,"
An Anthology of Selected Readings for the National Conference on
Managing the Environment, p. 111-11
I I 1-2
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An important move toward consolidating environmental responsibilities
occurred in 1969 when the Council on Environmental Quality (CEQ.) was
established by statute (the National Environmental Policy Act) to pro-
vide top-level policy advice and coordination in the environmental
area. The CEQ is the only major part of the Executive Office of the
President devoted exclusively to a particular substantive policy area.
The rationale for making this exception is the special nature of the
environmental problem, affecting the entire fabric of the federal
government.
The second major organizational change was the consolidation of all
the major pollution control programs under the Environmental Protec-
tion Agency (EPA). The creation of EPA was recommended by the
President's Advisory Council on Executive Organization. The Council's
recommendation was accepted by President Nixon, who sent it to Con-
gress as Reorganization Plan Number 3 of 1970. In his message to
Congress, President Nixon criticized the existing piecemeal approach
and stated that "our national government today is not structured to
make a coordinated attack on the pollutants which debase the air we
breathe, the water we drink, and the land that grows our food..."*
On December 2, 1970, EPA came into existence by Executive Order 1170.
EPA inherited $1.4 billion in appropriations, twenty-one diverse
grant programs, and 5,400 people in 157 locations. Placed in the
agency were programs from five departments and independent agencies,
including the Interior Department's Federal Water Quality Administra-
tion; the HEW Department's National Air Pollution Control Administra-
tion, Bureau of Solid Waste and Bureau of Water Hygiene; pesticide
registration, research and regulation functions of Agriculture,
Interior, and HEW Departments; and certain radiation functions of the
Atomic Energy Commission, the Federal Radiation Council and HEW's
Bureau of Radiological Health.
Major program omissions were: (1) the authority retained by the Food
and Drug Administration to confiscate pesticide-contaminated food;
(2) the HUD sewer construction program; and (3) programs for community
environmental health (mainly rat control and lead paint control) in
HEW.
Details of the initial organization were worked out by a fifteen
member task force from a variety of federal agencies (not directly
affected by the organization) under the auspices of the Office of
Management and Budget. The two primary organizational goals which
shaped the development of EPA were: (1) functional organization and
(2) decentralization.
^Richard Corrigan, "Agency Report/EPA Ending Year-Long Shakedown
Cruise...," National Journal, October 9, 1971, P- 2042
I I 1-3
-------
An interim organization was created featuring five topical "offices
for water, air, radiation, pesticides, and solid waste, each headed
by a commissioner. On April 30, 1971, a major reorganization occurred;
since then, all subsequent changes have been modifications of that
structure. The basis for the organization is partly along "functional"
lines — Planning and Management, Research and Development, Enforcement
and General Counsel -- and partly in "program" lines -- Air and Water
Programs, Categorical Programs (radiation, solid waste, pesticides,
noise, etc.). EPA also gave priority to decentralizing its operations
as much as possible to the ten regional offices. Regional administra-
tors were given a broad charge by an internal EPA Order (No. 1110.19)
to "develop, propose and implement an approved regional program for
comprehensive and integrated environmental protection activities; be
responsible for accomplishing national program objectives within the
region; and exercise approved authority for implementation plans." On
June 28, 1971, the regional offices were reorganized along the more
functional lines of the national office.
There is no doubt that the development of an integrated organization
has been a difficult task. William Ruckelshaus commented that "when
I first came into this job, I said it would take three months to get
settled... For nine months we've put up with peoples' jobs changing
and with uncertainty about who will be located where and who will be
responsible to whom.""
Some of the chief obstacles initially facing the new organization were:
(1) physical separation of employees — originally there were ten
locations in Washington, D. C. alone; (2) pressures from statutory
timetables and other sources to get on with the job; (3) lack of senior
career administrators and key technical personnel in several program
areas; (k) delay in determining precisely which people, funds and
facilities belonged to EPA; (5) difficulty in realigning budgets; (6)
establishing jurisdictions among organizational units; (7) individual
resistance to change; (8) reluctance by central offices to surrender
powers to regional counterparts; and, (9) attempting to decentralize
before centralization had been achieved. During the first year of its
existence, EPA tackled these obstacles while carrying out its other
duties as wel1.
According to Howard Messner, EPA Deputy Assistant Administrator for
Administration, some of the benefits which the organizational changes
were intended to effect were tighter administrative control, freer
communication, simplified lines of authority, and greater accountabil-
ity.+
"'Robert Gillette, "Environmental Protection Agency: Chaos or Creative
Tension," Science, August 20, 1971, p. 703-
+ Ibid. p. 707
-------
The most recent attempt to reorganize environmental programs in the
Federal Government began in June, 1970, when the Public Land Law
Review Commission proposed the creation of a Department of Natural
Resources. This proposal was incorporated by the President in his
reorganization program announced in March, 1971. The proposed Depart-
ment of Natural Resources would include the present Department of the
Interior, plus the Forest Service and the Soil and Water Conservation
programs from the Department of Agriculture, civilian functions of the
Army Corps of Engineers, civil functions of the Atomic Energy Commis-
sion, the Water Resources Council, the oil and gas pipeline safety
functions of the Department of Transportation, and the National Oceanic
and Atmospheric Administration from the Department of Commerce. The
U. S. Environmental Protection Agency and Council on Environmental
Quality would not be affected. At the time of this article, the re-
organization plan has failed to win the approval of Congress.
In a speech delivered at the Conference, "A Positive Approach to
Environmental Management," Lynton Caldwell, Professor at Indiana Uni-
versity, reviewed the forces leading to the creation of CEQ and EPA
and recommended another organizational change at the National level —
the establishment of an Environmental Reconstruction Agency. Caldwell's
explanation of how this agency would be able to respond to environmental
problems of the future can be found in the selected papers following
this discussion.
CHANGING STATE ORGANIZATION FOR ENVIRONMENTAL MANAGEMENT
According to a report issued by the Council of State Governments,
approximately forty state legislatures enacted laws to preserve envi-
ronmental quality during 1971- Actions were taken on a broad spectrum
of programs, from wetlands protections, land use controls, and noise
regulations to administrative reorganizations. The Citizens Conference
on State Legislatures reported that six states now allow citizens to
file suits aginst polluters — Michigan, Connecticut, Florida, Massachu-
setts, Minnesota, and Nebraska. As with the federal government, states
have responded to the increasing concern of their citizens over environ-
mental quality by adopting larger appropriations for environmental pro-
grams as well as more comprehensive environmental controls. Most of
these actions have occurred since 1970.
As states assume greater environmental responsibilities, they are
frequently inhibited by archaic governmental frameworks. Legal authority
is frequently inadequate. Institutions created in the 19th century are
ill-equipped to deal effectively with environmental problems which are com-
plex and interdependent and have radically changed in scope over the past
twenty years. Elizabeth Haskell reported in Managing the Environment:
Nine States Look for New Answers that "Not only were environmental insti-
tutions coming under fire, but, by 1970, a general complaint has surfaced
that government agencies of all kinds and at all levels were not able
to respond effectively and swiftly to new social needs. But, this
111-5
-------
'institutional lag1 of organizations behind problems is particularly
unacceptable when a politically popular issue, such as the environment,
is affected."*
Even when the role of states in environmental management was more
restricted, management responsibility was dispersed throughout the
administrative organization. In general, state organizations were
bulky assemblages of elected and appointed boards and agencies. Environ-
mental responsibilities were fragmented 'itween several boards, e.g.,
Conservation Commission, Natural Resources Council, Development Com-
mission, Health Commission, and the like (See Figure 1). These boards
usually possessed policy making duties, if not full administrative res-
ponsibi1ity.
As states began to centralize or integrate their organizations, environ-
mental functions came to reside in a few state agencies such as the Health
Department, or Conservation Department. Reorganization efforts generally
developed along six main themes: "(1) concentration of authority and
responsibility, (2) departmentalization or functional integration, (3)
undesirabi1ity of boards for purely administrative work, (4) coordination
of the staff services of administration, (5) provision for an independent
audit, and (6) recognition of governor's cabinet.""1"
By 1912, all states had created an administrative unit for health functions.*
The first health departments were controlled by a board or commission.
Some were interagency boards, drawn from other state agencies, other boards
were composed of private citizens, representing both political parties,
appointed for a specific term by the Governor. Gradually, however, the
boards tended to lose their administrative authority and to become predomi-
nantly advisory bodies.
While no pattern existed for the functions performed by state health
departments, the more common functions as reflected in the adminis-
trative structure were: (1) vital statistics, (2) communicable disease
control, (3) public health laboratories, (k) industrial public health,
(5) food and drug inspection, and (6) environmental sanitation. The
environmental sanitation section often included activities in the areas
of water pollution, sewage disposal, solid waste disposal, and the like.
While this section often consolidated existing pollution control staff
responsibilities in a single division, the division was often not
particularly prominant in the departmental structure and competed with
many other programs for staff and funds.
^Elizabeth Haskel1, Managing the Environment: Nine States Look for New
Answers, April, 1971
+A. E. Buck, The Reorganization of State Governments in the United States
(New York: Columbia University Press, 1938), p. 20.
+Wilson G. Smillie, Public Health Administration in the United States
(2nd ed.; New York: Macmillan Co., 19^0), p. 369.
I I 1-6
-------
Figure 1. Administrative Structure of Iowa Prior to Reorganization
1 ..
Superintendent of
Public Instruction
I
Attorney
General
LEGISLATURE
ELECTORATE
1
Secretary of
Agriculture
1
Secretary of
State
:HE COURT
GOVERNOR
i 1 1
State
Auditor
State
Treasurer
Lieutenant
Governor
1
State
Personnel
Director
1
Adjutant
General
!
Conservation
Commission
1
Department of
Social
Welfare
|
Highway
Commission
1
Department of
Bonking
£
Department of
Public
Health
I
Department of
History and
Archives
1
Star*
Tax
Commission
%
1
State
Comptroller
1
Bureau
of Labor
1
Industrial
Commiss toner
Buildin
Counci
g Code
1
Merit
System
Council
I .
War
Roster
Commiss ion
1
Commissioner of
Insurance
I . 1 1 1 1 i . I !
Real
Estate
Commission
Commission on
Uniform
State Laws
Iowa Natural
Resources
Counci 1
Department of
Public
Safety
Employment
Security
Commission
Commission
for the
Blind
Commission of
Liquor
Control
Commission
Board of
Parole
1
Watchmakers
Board
Chiropractic
Examiners
Board
Barber
Examiners
Board
1 1
Board of Contro
of State
Institutions
1
Stote
Beer Permit
Board
1
State
Board of
Accountancy
1
State
Board of
Regents
Medical
Examiners
Board
1
Embalmers
Examiners
Board
owa
Deve
1
Board of
Architectural
Examiners
I
State Board of
Engineering
Examiners
1 . 1
State Board of Examiners
Printing for Mine
Board Inspectors
1
Soldiers
Bonus
Board
1 . 1
State
Fair
Board
Board of
Trustees —
Stofe Library
I
State
Geological
Board
1
Dental
Examiners
Board
1
1 1
Nurse
Examiners
Board
Pharmacy
Examiners
Board
I 1
Optometry
Examiners
Board
Osteopathy
Examiners
Board
1
)pment Commission
Cosmetology Examiners
1
Board of
Examiners in
Basic Sciences
Board
1
Podiatry
Examiners
Board
Membership Ex officio either whole or in part.
•Appointed by State Board of Public Instruction.
[Source: Russell M. Ross, Government and Administration of Iowa (New York: Thomas Y. Crowell Co., 1957).]
IM-7
-------
Sharing the environmental functions at the state level, conservation
departments contained programs for fish, wildlife, forests and parks.
These programs are often considered "promotional" programs because
they generally regulated use of natural resources while encouraging
use as well. The various sportsmen—fishermen, hunters—as well as
resource extracting industries — such as lumber companies—frequently
developed close working relationships with the agency.
Federal legislation in the 1950's provided financial incentives to
encourage states to form Air Pollution Control Boards and Water
Pollution Control Boards. The boards were established either as
independent agencies or as part of the Health Department. Their
principal functions included policy-making, standard setting, and appeals.
Most of these boards are still in existence due to federal requirements,
al though many other of the state boards and commissions have been
eliminated or consolidated. Most recently members of these boards
from private industry and municipalities have been attacked in regard
to possible conflict of interest.
Beginning in 1970 and following the lead of the federal government in
establishing a separate environmental agency (the U. S. Environmental
Protection Agency), several states followed with separate departments
of their own (see Table 1). It should be noted here that these recent
reorganizations did not succeed in centralizing all environmental
functions under one agency. Other state agencies often hold responsibi-
lities for such activities as: soil and water conservation, agriculture,
forestry, fish and game, state parks, public lands, natural resources,
water resources, mines and geology, and extension services.
The reorganization of environmental functions by states have generally
been made for the following reasons:
1. "Consolidate fragmented activities to make program
administration match the integrative way problems occur in
the envi ronment.
2. Reduce the proliferation of boards and commissions to make
state government more manageable, and in some cases change
their role and composition to 'professionalize' state environ-
mental policy-making, and make policy-makers more responsive
to elected leaders and the public.
3. Transfer pollution control programs from the health department
to broaden pollution concerns beyond health.
k. Create a stronger regulatory role for the state and an agency
advocate for the environment.
I 11-8
-------
TABLE 1
STATE ENVIRONMENTAL DEPARTMENT
Alabama
Department of Conservation and
Natural Resources
Alaska
Department of Environmental
Conservation
Arkansas
Department of Pollution Control
and Ecology
California
Department of Environmental
Protection
Connecticut
Department of Environmental
Protection
Delaware
Department of Natural Resources
and Environmental Control
Georgia
111inois
Department of Natural Resources
Environmental Protection Agency
Iowa
Department of Environmental
Quality
Maine
Department of Environmental
Services
Maryland
Maryland Environmental Service
Minnesota
Pollution Control Agency
I I 1-9
-------
TABLE 1 (cont)
STATE ENVIRONMENTAL DEPARTMENT
Nebraska
Department of Environmental
Control
Nevada
Environmental Protection
Commi ssion
New Jersey
Department of Environmental
Protection
New York
Department of Environmental
Conservation
Ohio
Environmental Protection
Agency
Oregon
Department of Environmental
duality
Pennsylvania
Department of Environmental
Resources
South Dakota
Department of Environmental
Protection
Vermont
Agency of Environmental
Conservation
Washington
Wi scons in
Department of Ecology
Department of Natural
Resources
Primary Source: Conservation Directory, 1972, Wildlife Foundation
II 1-10
-------
5. Design a new environmental department that will be
more publicly visible, thus demonstrating the state's
commitment to environmental protection and rallying
environment interest groups to form a stronger political
base for environmental control.
6. Increase accountability of public officials and public
programs.
7. Facilitate administrative efficiencies.""
Changing organizations for environmental management has taken different
forms in different states. The actions of several states, such as
Minnesota, have simply combined the pollution control programs into a
single agency. Other states, notably Wisconsin and New York, have
attempted to consolidate both pollution control and natural resource
programs. A more detailed explanation of the alternative organizational
structures and their relative merits can be found in Elizabeth Haskell's
paper, "State Governments Tackle Pollution," later in this chapter.
Internal organization of these agencies is based on either program
categories (e.g., air, water, solid waste) or function (e.g., planning,
research, standard setting, enforcement). An example of the functional
organization adopted in Ohio is shown in Figure 2.
The specific organizational structure utilized by the various states
depends upon the state's perception of their environmental problems,
the political setting, legal framework and a number of other factors.
For these reasons, it is seldom that any two states have exactly
the same combination of environmental agencies.
ORGANIZING LOCAL GOVERNMENT FOR ENVIRONMENTAL MANAGEMENT
As local governments have assumed responsibility for various environmental
programs, such as water supply, sewage treatment, solid waste disposal,
and parks, they have traditionally established distinct organizational
units based on those programs, e.g., Sanitation Department, Water
Department, Refuse Department or Parks Department. Other local
departments with environmental responsibilities might include the
Planning Department, Health Department, and Inspections Department.
Attempts at consolidation led to the creation of Public Works
Departments that include some or all of the following activities:
engineering, street cleaning and maintenance, traffic control, street
lighting, water, sewage, refuse, inspectional services, and equipment
management (see Figure 3). Pollution control functions are generally
located in the local health agency, either city or county sponsored
(see Figure A).
*Haskell, Elizabeth, Managing the Environment: Nine States Look for New
Answers, April, 1971, p. 11-12.
111-11
-------
Figure 2. Organizational Structure_of the
Ohio Environmental Protection Agency
ENVIRONMENTAL
BOARD OF REVIEW
IGOVERNORJ
(OMBUDSMAN!
[DIRECTOR!
ASSISTANTl
DIRECTOR
DEPUTY DIRECTOR
OFFICE OF POLICY
DEVELOPMENT
CVl
I
DEPUTY DIRECTOR!
OFFICE OF
REGULATION
DIVISION OF
DATA SYSTEMS
DIVISION OF
FINANCE AND
ADMINISTRATION
DIVISION OF
INTERGOVERNMENTAL
ADMINISTRATION
DIVISION OF
WASTE MANAGEMENT
AND ENGINEERING
DIVISION OF
SURVEILLANCE
DIVISION OF
AUTHORIZATION
AND COMPLIANCE
-------
FIGURE 3
SAMPLE PUBLIC WORKS DEPARTMENT ORGANIZATION
Department of Public Works
Di rector
Bureau
of
Engineering
Bureau
of
Equipment
Traffic
Division
Water
Divis ion
Refuse
Divis ion
Sewage
Di vi s ion
Street
Division
Bui 1 ding
Di vis ion
Source: ICMA, Municipal Public Works Administration 1957, p. 11.
I I 1-13
-------
FIGURE k
Dade County (Fla.) Health Organization
County Manager! r
1 State Board of Health |
| Advisory Board
| Dire
j State Laboratory
i
Assistant Director]
I
Adult Health
and Aging
Fuberculos is
Control
1
Maternal and
Child Health
Veneral Disease |H
Control |E
1
Publ ic Health
Nursing
1
Environmental S
Sanitation E
ealth Business Cental
ducation Administration tealth
1
anitary
ngineer ing
Research and
Epidemiology
Dental Vital
Health Statist cs
Source: ICMA, Community Health Services 1968, p. 230.
-------
Currently, environmental activities remain fragmented between several
agencies at the local level. Fragmentation occurs within municipal
governments, as well as between municipal governments and other
local jurisdictions, e.g., counties and regional bodies. However,
just as previously seen at the federal and state level, many local
governments are experimenting with new organizational units in an
attempt to deal more effectively with environmental problems.
There are basically five organizational approaches utilized by local
governments to consolidate environmental programs within the municipal
government. These include creating a separate "line" agency, creating
a separate "staff" agency, expanding an existing "line" agency, expanding
an existing "staff" agency, and developing some type of "team"
management. These distinctions are useful for the following discussion,
although they often become somewhat nebulous when describing actual
situations. The approach selected by a particular locality depends
upon state enabling legislation and/or local charter, the size of the
entire organization, nature and extent of environmental problems,
political interest, staff expertise, and a number of other factors.
Perhaps the best example of the separate "line" agency, or one with
direct operational responsibility, is New York City's Environmental
Protection Administration. Created in March of 1968, this "superagency"
contains bureaus for air, water and sanitation as well as a central
staff. In addition to pollution control activities, New York City's
EPA provides the basic municipal services su<~h as water and refuse
collections. The budget of the agency in 19/^-7^ is nearly $500 million
for operating expenditures and approximately the same amount for capital
expenditures. Agency staff exceeds 21,000 employees, including 10,000
sanitation workers. Speaking at the Conference, First Deputy Administra-
tor of the City of New York's EPA, Paul Zimmerman described the
strengths of the agency as staff expertise and ability to see beyond the
tremendous every day problems and maintain a broad environmental
perspective. He identified the key components to a successful program
in New York City to be support from top management, extensive citizen
involvement and education, and effective legislation.
Zimmerman indicated that the agency had experienced some internal
conflict, for example, over a proposal to construct the largest
incinerator in the world, as well as with other municipal agencies,
e.g., Department of Transportation and the Planning Commission. In
response to a question probing the status of the EPA in relation to
other departments, Zimmerman explained that EPA was of equal status
to the other departments. Their role is seen to be environmental
advocate. It is the role of the Mayor and Board of Estimate to set
the priorities and resolve policy conflicts between agencies.
Additional examples of the "little EPA's" can be found in Chicago,
Illinois; Washington, D. C.; and Huntington, New York. Simi Valley,
I I 1-15
-------
California created an Environmental Services Department which^includes
traditional environmental services such as inspection, operations, water
supply and the like, but not pollution control activities per se.
A second organizational alternative is to establish a separate staff agency.
In many cases this may comprise from one to several staff members assigned
in the office of the chief executives officer to be responsible for
environmental programs. The role of this staff person or agency usually
involves research, program planning and development, program coordination,
policy advice, public relations and liaison with other governmental
jurisdictions. Examples of this type of organization can be found in
Palo Alto, California, which established an Environmental Planning
Office. Montgomery County, Maryland and Waco, Texas have also
established separate environmental planning units. University City,
Missouri and Manhattan Beach, California have Environmental Control
Officers in the Office of the City Manager. In addition, Fairfax
County, Virginia and San Jose, California have created the position of
Environmental Coordinator.
A third type of organizational change adopted by local governments to
increase the effectiveness of environmental programs Is the expansion
of an existing line department to include responsibility for environ-
mental programs. For example, the City of Addison, Illinois has staffed
a Pollution Control Officer position in the Engineering Department. His
function is to enforce environmental ordinances and review all pollution
control equipment in the city.
Fourth, local governments may expand the responsibilities of a staff
agency to include environmental considerations. Perhaps one of
the most popular alternatives at this time is to add an environmental
section to the planning staff. Richard Gray, City Manager of Norman,
Oklahoma explained that environmental concerns are a part of every
city program, and, therefore, the key to coordinating environmental
concerns among all city departments rests in the planning function. For
that reason , the City of Norman hired an environmental planner in the
Planning Department to serve as executive secretary to the City's
Environmental Control Board, a citizen advisory body, and to provide
direct input into the planning process. Gray recommended that in
small cities that cannot afford a large environmental staff, hiring an
environmental planner may be the most realistic alternative.
Other larger cities have adopted this approach also. Inglewood,
California has a three-person environmental control section within
the planning department. City Manager Douglas Ayres explained that
this will help bring environmental concerns into the city's decision
making process. In addition, Phoenix, Arizona recently appointed
an environmental planner to the planning department staff. Finally,
Dallas, Texas has an environmental planning section located in the
Planning Department's Urban Design Division.
I I 1-16
-------
A fifth method of organizing for environmental management is the "team"
approach. According to Mayor Beverly Briley, rather than establish
another agency, the Metropolitan Government of Nashville-Davidson County
formed a management team consisting of an assistant to the mayor, an
associate professor in the Graduate School of Management of Vanderbilt
University, and the Chairman of the Special Environmental Committee
of the Nashville Area Chamber of Commerce. The key working unit of
the program is an environmental management task force, an inter-
departmental team consisting of five department heads of the
Metropolitan Government, including the Executive Director of the
Planning Commission, Director of Planning, Director of Health, Director
of Public Works, and Director of Law. The "team" has a three person, full
time staff. The tasks of the "team" are to identify, research, prepare
and implement solutions to community environmental problems and to
coordinate Metro environmental activities. A more complete explanation of
this program by Dick Battle, Project Historian, is presented with the
selected readings later in this chapter.
The City of Ann Arbor, Michigan has set up a similar Administrative
Environmental Committee, consisting of key department heads, to oversee
city operations that involve environmental considerations and set
environmental standards.
In the final analysis, City Manager Gray stated, "it is most important
that the city council as well as the city administration evidence a
strong commitment to generate both environmental questions and answers.
They must spread an awareness and concern for the environment
throughout the entire city government structure. There should be
commitment and participation by all departments of the city and all
boards and commissions. It is most important that the chief
administrative officer, through his attitude, help meld the various
boards, committees and city council into an integrated and committed
whole. The manager's and mayor's philosophy and interest will to a
great extent determine how successfully these groups work..."
One final alternative exists for local governments to deal with
environmental problems that extend beyond municipal boundaries — a
regional organization. There are a variety of organizational
structures available for regional environmental management. These
include but are not limited to intergovernmental service agreements,
regional planning commissions, councils of governments, special
districts, metropolitan councils, metropolitan county and metropolitan
federations. In his paper "Regional Environmental Management and the
Decision Making Process," appearing later in this chapter, Edwin Coate
summarized some of the weaknesses in current regional organizations and
highlights the key components that a regional environmental management
system should contain.
I I 1-17
-------
Additional discussion of these alternatives and the future role of
regionalism in the federal system can be found in Chapter 6,
Intergovernmental Relations and Environmental Management.
EMERGING TRENDS
Since 1970, there has been definite movement in federal, state, and
local governments toward reorganizing environmental management by
consolidating environmental activities. In most cases this is probably
not a result of adding completely new environmental activities so much
as the desire for greater environmental visibility, advocacy and
coordination.
It seems likely that this trend will persist for at least the next
five to ten years for two reasons. First, institutional changes
usually lag behind the conditions that give rise to the changes. These
conditions, chiefly public concern over environmental matters, continue
to maintain their relevance; and, therefore, additional organizational
changes are likely to continue. Second, federal environmental
requirements for state and local governments that encourage institutional
change have increased, and no doubt will continue to increase. For
example, as requirements for environmental impact assessment expand
to cover more activities (from only federally financed projects to all
actions that may impact on air quality), more state and local governments
will find it advantageous to officially incorporate the process within their
organizational structures. Also, the reassertion of states into land use
decision making plus imminent insertion of the federal government will
result in significant organizational changes. Finally, the
implementation of Section 208 of the Water Pollution Control Act
Amendments of 1972 calling for areawide water planning and management
could have a tremendous impact on the shape of future regional
organizations.
It is difficult to predict the precise organizational forms that will
emerge in the future because the field of environmental management
is changing so rapidly. Furthermore, it is difficult to generalize since
organizational structures are responsive to the particular needs of their
jurisdictions. Finally, the absence of any meaningful evaluation of the
alternative organizational approaches for environmental management means
that there is little overall direction or guidance for state and local
governments as they consider making changes.
I 11-18
-------
THE POSITIVE ROLE OF ENVIRONMENTAL MANAGEMENT
Lynton K. Caldwel1*
The year 1970 marked the beginning of environmental management as a
distinct and identified function of government in the United States.
On January 1, 1970, President Nixon signed into law the National
Environmental Policy Act; and, on July 9, sent to Congress Reorganiza-
tion Plan No. 3 of 1970 creating the Environmental Protection Agency.
The National Environmental Policy Act made explicit the responsibility
of the Federal government for the quality of the national environment.
It did this in language, and with institutional arrangements and pro-
cedures, that made its declaration of policy operational. The Environ-
mental Protection Agency consolidated ten Federal pollution control
programs into a single organization based upon the perception of the
environment "as a single interrelated system".
In defining the roles and relationships of these two innovations in
environmental management, the President declared that the Council on
Environmental Quality, created by NEPA, "...focuses on what our broad
policies in the environmental field should be; the EPA would focus on
setting and enforcing pollution control standards." Both measures,
the NEPA and the EPA, were outcomes of a public awareness and concern
for the state of the human environment that, during the 1960's, grew
with a speed and scope utterly unexpected by most of the nation's
leadership in public, economic, and academic affairs. It should not
be surprising, therefore, that some measure of uncertainty and confusion
has characterized the practical application of environmental policy
and law.
This confusion over the nature of the environmental management task may
be traced, in part, to the persistence of traditional ways of thinking
about the functions of government and about man's relationship to his
surroundings. To a large number of Americans and their public repre-
sentatives, environmental policy meant pollution control. Rachel
Carson's Silent Spring, published in 19&2, may be described as the
Uncle Tom's Cabin of the environmental protection movement. It was an
attack upon pollution through pesticides, and it reinforced efforts of
*Presented by Lynton K. Caldwel1, Arthur F. Bentley Professor of
Political Science and Professor of Public and Environmental Affairs,
Indiana University; at the National Conference on Managing the
Envi ronment.
II1-19
-------
longer standing to obtain effective action to cleanse the nation's
ai r and water.
The remedies for pollution largely fell within the traditional scope
of American government. They were the conventional processes of
regulation and prohibition, with historical roots in the public health
movement. Although anti-pollution legislation affected economic
practices and assumptions, it was generally consistent with traditional
relationships between government and the enterprise economy. This
interpretation of environmental policy implied an essentially policing
role for public officials--it was the negative role of environmental
management. Its intended outcomes were foreseen as "positive", in the
sense that an improved quality of the environment was the anticipated
result.
From the viewpoint of the so-called polluter (public or private), the
effect of environmental protection legislation was largely that of an
economic burden. In some cases, changes in technology and production
methods were required to satisfy new standards of environmental amenity.
But only in relatively few instances did environmental policy appear to
require a radical change in the relationship between the public and
private sectors of American society or among the several levels of
government. Nevertheless some observers, chiefly unfriendly, of the
environmental quality movement saw it as inherently threatening to the
enterprise economy and to customary personal freedoms. Characteristi-
cally, these critics were from the far "right" of the political spectrum.
The curious coincidence of the celebration of Earth Day in 1970 with
the centenary of the birth of Lenin convinced the suspicious that "envi-
ronmental Ism" was indeed a cover for creeping Marxism. But conversely,
the extreme left saw environmental quality as a diversionist bourgeois
tactic to distract public attention from more urgent issues of war,
racism, poverty, and injustice.
The environmental movement was thus variously interpreted by its friends
and its opponents, and most interpretations were oversimplifications of
the actual state of affairs. Nevertheless, the environmental issue had
been clearly and dramatically stated for the American people. But, as
so often happens in public affairs, the symbolism of political rhetoric
was accepted as a substitute for action. In addressing the Congress on
February 8, 1965, President Lyndon B. Johnson spoke with force and
eloquence of the threats to the quality of life posed by the darker
side of modern technology, by uncontrolled waste, by urban sprawl and
blight, and by the misuse of the nation's natural assets. He then spoke
of the "new conservation" in language that defines both the negative
and positive roles of environmental management.
He said that:
To deal with these new problems will require a
new conservation. We must not only protect the
countryside and save it from destruction, we must
111-20
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restore what has been destroyed and salvage the beauty
and charm of our cities. Our conservation must be not
just the classic conservation of protection and devel-
opment, but a creative conservation of restoration and
innovation. Its concern is not with nature alone, but
with the total relation between man and the world
around him. Its object is not just man's welfare, but
the dignity of man's spirit.
But neither President Johnson nor the Congress was prepared to act upon
this noble statement. To have acted would have required a commitment
of money and manpower that the nation was not prepared to make. More
importantly, it would have required a readiness to consider fundamental
changes in laws and attitudes toward the ownership and use of property,
toward economic development, and toward the functions and jurisdictional
relationships of governmental agencies. President Johnson's Address
ran well ahead of his own intentions. And it is still ahead of ours--
if the present policies and programs of the Federal government represent
the true readiness of the American people to turn seriously to the
positive task of shaping their environmental future.
This reluctance of the Americans and their public representatives to
effectively confront the environmental issue does not imply a disregard
of significant accomplishments at all levels of government. But most of
this has been negative accomplishment in the sense that measures have
been taken to retard environmental deterioration--to keep conditions from
becoming worse. We have saved some wilderness from the chain saw, some
scenic rivers from dams and draglines. We have a few positive victories,
such as the restoration of Lake Washington and the renewal of all too
small fractions of some of our cities. Yet these are hardly more than
tokens, even though they may be significant and valuable tokens, of the
true dimensions of the positive role of environmental management.
The states generally have been slow to accept responsibility for environ-
mental quality beyond the mandates of Federal law. Yet some of them have
gone far beyond Federal action in innovative legislation and administra-
tion. States as different as California, Hawaii, and Vermont have
addressed certain of their particular environmental problems with a bold-
ness lacking in most States.
The cities have been severely constrained in coping with their major
environmental problems. Their present circumstances, with few exceptions,
are profoundly discouraging. To "...restore what has been destroyed and
salvage the beauty and charm of our cities..." will require solutions
to social and political problems that we have not yet realistically faced,
and will require the marshalling of money and talent on a scale only
obtainable heretofore under the duress of war. Ultimately, we will make
the necessary effort, not because we want to, but because we must. How
soon we will confront necessity cannot be foreseen. We will not do so
until the bankruptcy of our present approaches toward coping with our
socioecological problems becomes unmistakably evident.
II1-21
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Historically, public realization that its institutions and leadership
have failed to meet the challenge of its problems has often led to
disastrous consequences. Unfortunately, the tempo and complexity of
modern society could result in sudden and drastic events that could
lead to a collapse of public confidence and in resort to ad hoc and
expedient panaceas. Bad conditions could be made worse. Recognition
of this danger has stimulated a variety of efforts and proposals to
anticipate future consequences of present trends. The growth of
"futurology", the call for a national Council of Urgent Studies, and
the Club of Rome's inquiry into the predicament of mankind are evidence
of this apprehension. In all of tnese conjectural approaches to the
future, the relationship between man and his env.i ronment--natural and
artificial — is a major factor. The full scope of what John Platt de-
scribes as a coming crisis of crises extends beyond the limits of our
immediate concern. But we may consider one positive step that could be
taken now to prepare us to act purposefully and constructively when we
face the opportunity and necessity for taking in hand the shaping of
our environmental future.
The action that I propose is the logical and necessary step to implement
Lyndon Johnson's "...creative conservation of restoration and innovation",
and to realize the objectives set forth in the National Environmental
Policy Act and endorsed in principle by President Nixon and the Council
on Environmental Quality and by prominent members of both major parties
in the Congress. As one step toward more firmly grasping control over the
conditions of our national existence, I propose establishment by the
Congress of the Environmental Reconstruction Agency.
Consideration of the functions and structure of this agency should begin
now, even though in advance of a willingness of the Congress and the
President to establish it by law. The organization of the Agency should
be thought through, and its tasks and costs analyzed while there is time
for rational consideration of options and alternatives. Our traditional
American way is to meet foreseeable, but unforeseen, emergencies with
improvised responses, with "crash" programs, and frequent miscarriage of
hopes and opportunities. There are risks in the planning that this pro-
posal implies, but are these risks greater than those of ad hoc responses
by an unprepared government and people under stress?
The E.R.A. would neither supersede nor resemble the EPA. Its most
effective form of organization would be one of the problems to be worked
out. But it seems very unlikely that it would be a consolidated bureau-
cratic structure. More likely it would be a coherent system or network
for marshalling and deploying resources of knowledge, manpower, and money
and, most importantly, for assisting people throughout the country to
identify and analyze their environmental options within the full range of
human values. It would provide a capability for focusing national atten-
tion on large and critical environmental problem areas that have thus
far remained beyond the reach of our public institutions. Among the
more apparent of these areas are the Southern Appalachians, the Great
Lakes, impoverished areas of the arid Southwest and, above all, the
II1-22
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tragic wasteland areas of urban America.
Among the specific tasks toward which the machinery of the E.R.A.
would be directed would be the restoration of derelict land and
degraded landscapes, the renewal and rebuilding of deteriorated
urban and suburban areas, the removal of misplaced and decayed
structures across the countryside, and the selective and democrat-
ically-controlled regrouping of smaller settlements to form commu-
nities of political, economic, and cultural viability.
The means of action might include a revival of the former Civilian
Conservation Corps' idea as an Environmental Conservation Corps, but
open to both sexes and to part-time as well as full-time service.
The conventional instruments of loans, contracts, grants, technical
services, and pilot projects would almost certainly be utilized.
A major resource would be the Corps of Engineers. The tasks of envir-
onmental reconstruction offer the kind of challenge for which the
capabilities of the Corps are especially well-adapted. The Corps of
Engineers is much too valuable a national asset to waste on the kind
of economically specious and environmentally damaging public works that
the Congress has too often thrust upon it. There is no obvious answer
to how the Corps might most effectively be related to the E.R.A. It
would not necessarily have to become an integral part of it to perform
its technical and managerial functions in accordance with a comprehen-
sive plan coordinated through the E.R.A.
Similarly the Bureau of Reclamation, now overdue for liquidation, might
provide valuable scientific and technical resources for the new agency.
In 1968, at a Symposium on Human Ecology sponsored by the Public Health
Service I stated that: "Although Americans may not be prepared to make
the effort, a 'Manhattan Project' for human ecology is as greatly
needed now as any military preparation ever was." I believe today that
the magnitude and the importance of the task of environmental recon-
struction is of the same order of priority as national security and is,
in a very real sense, a function of national security. The "Manhattan
Project" suggests the magnitude and focus of the reconstruction effort,
but not its structure nor its method of operation.
What order of funding would an Environmental Reconstruction Agency
require to implement the positive role of environmental management?
During its initial operative stage, but beyond its formative period,
an annual budget of $10 billion might be sufficient, provided that it
was administered in such a way as to generate an additional $10 to
$15 billion from state, local, and nongovernmental sources. Not all
E.R.A. funds would necessarily need to come from new Federal revenues.
Transfers from existing programs of diminishing priority could account
for a significant portion of the total.
Here then is a positive approach to the role of environmental manage-
ment. To make the effort effective, a national land-use planning act
MI-23
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would be an essential concomitant. Land-use planning legislation is
now before the Congress, and enactment of an adequate bill could be
a significant step toward giving the American people a means essen-
tial to the shaping of their future environments. How will our future
be shaped? By accident, inadvertance, uni-dimensional policies, and
ad hoc expediency; or will we risk the human errors inherent in
rational planning and foresight and make the hard choices of responsible
stewardship for our future? These are the polarities of our choices.
111-24
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STATE GOVERNMENTS TACKLE POLLUTION
Elizabeth H. Haskell*
By revising present departments or creating new
ones, a number of states are taking significant
steps for environmental protection.
The explosion of interest in the environment which began in the late
Sixties is bringing wide-ranging reform to the environmental institu-
tions of state government. A number of states have taken initiatives
and are beginning to carve out a new strategic place for themselves
in environmental protection. States are closer to many pollution and
natural resource problems than the federal government and so are able
to structure their attack in a more tailor-made fashion. With this
more detailed perspective, states are moving to take over some actual
planning, construction, and management tasks. In the process of
assuming more control over land use and treatment of wastes, some tra-
ditionally local environmental functions are now shifting in part to
the states.
While the federal government is moving toward national pollution con-
trol standards, the new consolidated state environmental agencies, with
their increased emphasis on pollution regulation, may have a stronger
role in the daily implementation of standards, through permit processes,
surveillance, and enforcement actions. This subtle shift of roles among
federal, state, and local governments may be molding a new partnership
for public action to protect the environment.
As states have sought to assume new environmental responsibilities, they
have often sought to make their governmental organizations match prob-
lems and ensure that each has adequate legal authority. To do so, some
states have created new government agencies to administer new state pro-
grams. Others have reorganized existing executive agencies or assigned
a new role to the judicial institutions of government.
*E1izabeth H. Haskell is a fellow of the Smithsonian Institution's
Woodrow Wilson International Center for Scholars.
Reprinted from Environmental Science and Technology, Volume 5,
November 1971, Pages 1092-1097, Copyright 1971 by the American
Chemical Society. Reprinted by permission of the copyright owner.
111-25
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CONSOLIDATED DEPARTMENTS
Illinois, Minnesota, Washington, Wisconsin, and New York provide
variations on the theme of state program reorganization, designed to
achieve a comprehensive approach to environmental problems. Other
states, such as Vermont, New Jersey, Delaware, Pennsylvania, Arkansas,
Oregon, Massachusetts, and California also have set up such new envi-
ronmental departments, and still others are considering such action.
Pollution control is the main focus of the new environmental agencies
— all except Wisconsin where traditional conservation programs pre-
dominate -- with a functional emphasis on regulatory work. It was
hoped that pulling together common responsibilities for standards-
setting, permits, monitoring, and enforcement in one agency would rein-
force control strategies and make them stronger and more systematic,
avoiding conflicting requirements for industries, municipalities, and
other pol1uters.
Mlinois's reorganization is unique. The Illinois Environmental Pro-
tection Act of 1970 created three new environmental agencies in 1970.
Each is concerned with air, water, land, and noise pollution and public
water supplies, but each organization has a different functional focus.
The five-member Illinois Pollution Control Board replaces the two
former boards for air and water pollution, but unlike the previous
boards, it works full time and has staff, funds, and the major policy
powers of the state. The Illinois board, one of the most powerful in
the country, sets standards, hears appeals from agency decisions, and
adjudicates enforcement proceedings. The Illinois Environmental Pro-
tection Agency was created by shifting the antipollution officials out
of the health department and into a new, separate agency. It identi-
fies and prosecutes polluters, issues permits, and extends technical
and financial aid. A third, completely new organization, the Institute
for Environmental Quality, conducts long-range pollution control and
land use planning and research for all agencies of the state.
By contrast, in Minnesota, Washington, Wisconsin, and New York, envi-
ronmental programs were consolidated into one new full-time department
which performs all daily program functions. Minnesota's Pollution
Control Agency was created in 1967 by shifting the water pollution
control program out of the health department and adding newly enacted
air pollution and solid waste responsibilities. In 1970, Washington
created the new Department of Ecology; combining these same three forms
of pollution control, but went one step further and consolidated the
program to regulate the withdrawal and use of water. Both Wisconsin
in 1967 and New York in 1970 created environmental "super-departments,"
combining in one new department all pollution controls from the health
departments, with their former Conservation Department's resource
management activities for fish, wildlife, water, forests, and recre-
ation (Figure 1).
In these last four states, the environmental department is overseen or
directed by an interagency or citizen board, which serves part-time in
111-26
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Figure I. STATE ENVIRONMENTAL AGENCIES
PROGRAM RESPONSIBILITY
Est Imated Pol Icy
Institution Budget Staff Principal Formation
Examined FY 197I@ Size Official by
ILLINOIS Pollution Control Board $ ftO.OOO 18 David Currle,
cha 1 rman
Agency 6,500,000 366 WI 1 1 lam Blaser, Board
mental Quality jjj)QO,OOj^ 9_ Michael Schnelderman
Total $ 8, 5*10, 000 393
Agency $ 1,185,000 75 John Badallch, Board
director
WASHINGTON Department of Ecology $ 6,281,77'* 25
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-------
contrast to Illinois' "professionalized," full-time board. In
Minnesota and Wisconsin, the boards perform in the same traditional
manner, meeting part-time and setting all policy, while in Washington
and New York, these part-time bodies are largely advisory (Figure 2).
A first step agreed on in each state was to shift pollution control
responsibilities out of the health department to broaden antlpollution
concerns beyond health and to increase the state's emphasis on legal
regulation. It was reasoned that a new administrative agency would be
more likely to be concerned with fish and wildlife, recreation, aes-
thetics, and social and economic interests in pollution control without
competition from unrelated health issues.
BENEFITS
In all five states, linking like programs in a new environmental agency
was expected to have many benefits. At a minimum, each state combined
its air, water, and solid waste pollution programs to avoid state
policies that would merely trade one form of pollution for another.
The physical phenomenon, that solid, liquid, and gaseous wastes inter-
change forms during treatment and disposal into the environment, be-
came an unquestioned, organizational precept, compelling major anti-
pollution programs to be housed under one administrative roof. Planning,
management, and control systems, then, could be expected to more closely
parallel the integrative network of nature. New York and Wisconsin
officials saw further strong program linkages between pollution programs
and resource management activities since both affected air, water, land,
and living resources.
A mix of other benefits was seen by reorganization supporters. In
Minnesota, Washington, and New York, it was further hoped that linking
various programs under one director or board would create an agency
"advocate" for the environment -- someone who could speak out to the
public and the legislature in favor of environmental protection issues.
A director of an environmental department, where his work was not
encumbered by competing program missions, would be free to act as the
state's spokesman for the environment. In this way, state issues were
expected to be better articulated, and the public could participate
more fully in state decision making.
By contrast, the Wisconsin consolidation of pollution control and con-
servation programs was intended to eliminate that state's advocacy
system in which resource issues had been publicly debated. This pro-
cess was thought to confuse and "politicize" environmental issues. A
super-department might be able to settle many resource and antipol lution
conflicts internally in a more efficient way.
Nearly all states expected that linking several programs would build a
stronger political base for environmental efforts. A new agency would
be more visible to the public and be established with executive and
I I 1-28
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CHARACTERISTICS:
Figure 2. ENVIRONMENTAL BOARDS AFTER REORGANIZATION
SERVICE APPOINTMENT COMPOSITION (SY STATUTE)
1-
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State* *
ILLINOIS 5
Pollution Control Board employs
staff
also
MINNESOTA 9
WASHINGTON 9
Eco log i cal Comml sslon
WISCONSIN 7
Natura 1 Resources Board
NEW YORK 15
Envi ronmental Board
VERMONT 9
Envi ronmental Board
MAINE 10
Envi ronmental Improvement
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^Maryland's Environmental Service does not havs a board.
-------
legislative endorsements, which would strengthen the agency's power.
New York and Wisconsin officials hoped that super-departments would
provide a united focus that could encourage various environmental
and conservation interest groups to unite their efforts.
Finally, all program consolidations were throught to increase admin-
istrative efficiency, cutting down on overlaps and duplications to
save public funds. Wisconsin's and Washington's environmental reorga-
nizations were designed to reduce the proliferation of all state
agencies and to strengthen the role of the governor in the operation
of all state programs. Unlike Wisconsin, Washington did not give active
consideration to including conservation programs in the transfer. These
are administered in several politically powerful departments. However,
Washington's history of interest in consolidating water quality and
water quantity programs, plus the need for new leadership in the Depart-
ment of Water Resources, led to the water use regulatory activity being
combined with pollution control in the new Department of Ecology.
BOARD AND COMMISSION ROLES
In addition to reducing the influence of the health department and
consolidating similar environmental programs in a new agency, a third
type of change is common to each state's reorganization process -- in
the composition and/or role of part-time policy boards.
Air pollution and water pollution control boards were consolidated to
broaden their environmental perspective, to match that of the newly
created department which they supervised. Furthermore, by reducing
the proliferation of part-time boards and commissions, it was hoped to
make state government more manageable and more responsive to the gover-
nor. All five states were faced with pollution control boards made up
of state officials and/or private citizens -- the traditional mecha-
nism by which state governments make pollution control and natural
resources policy. The typical role for these old boards was to set all
policy, leaving its day-to-day administration to the regular state
agency. In the environmental field, an air pollution board or water
quality commission had power to set standards, approve the pollution
control agency's budget and legislative requests, refer enforcement
actions to the Attorney General, and, in some instances, appoint the
director of the administering state agency.
These groups came under attack as being inexpert on complicated pollu-
tion matters, at best, and, at worst, soft on polluters they were
supposed to regulate. Industry, agriculture, and local government
board members could, and often did, veto any aggressive state action.
Faced with these flaws, the five states adopted varying solutions. In
Minnesota and Wisconsin, the interagency composition was changed to a
private citizen one. Washington and, to a lesser extent, New York
reduced their boards' policy role to mostly advisory. Illinois pro-
I 11-30
-------
fessionalized its new board, making membership a full-time job for
three years and increasing its capabilities and powers.
Wisconsin and Minnesota continue to operate with old-style boards --
that is, part-time, policy-making groups which govern most signifi-
cant affairs of the agency (including in Wisconsin the appointment of
the Secretary of the Department of Natural Resources). Proponents of
the policy boards see them as incorporating many views into decision
making for environmental resources and checking any arbitrary action
of a department director and the governor.
The alternative -- a strong single director for an agency appointed by,
and serving at the pleasure of, a governor -- is viewed in other states
as a way of increasing capabilities of state officials and programs,
speeding agency response time on crises, and making state officials
responsive to the state's chief executive, who, in turn, can be held
accountable to the voters.
In Washington, the Ecological Commission can, in theory, veto depart-
mental action, but in reality will probably be mostly advisory. In
this state, changing the boards' policy role was a primary reorganiza-
tion objective of the Republican governor, who initiated the move.
However, legislative compromise produced an Ecological Commission with
some veto powers and a Pollution Control Hearings Board which reviews
departmental actions in a quas[judicial manner.
During the New York reorganization, which was planned and executed out
of the governor's office, a new interagency and private citizen State
Environmental Board was created with statutory authority to approve
all pollution control standards. However, the extent of this authority
is not yet clear, and the Board may very well prove to be mostly advi-
sory. While New York and Washington now have strong director systems,
their advisory boards are considered useful as a forum for diverse
segments of society to articulate their views and for the state to
solicit the cooperation of private citizens and other state agencies
on new policies. Appointments to these bodies are also a way for
governors to reward political favorites.
LAND USE CONTROL
The Vermont and Maine land use control systems are examples of many
states' increasing interest in land use planning and controls to pre-
vent environmental damage. In 1970, both Vermont and Maine established
state permit systems to control large commercial, industrial, and
housing developments. In Vermont, anyone, including a state agency,
planning a development over one acre or a subdivison of more than ten
units must first have a permit from the state. If there is a permanent
local zoning, the state's permit is required for developments over ten
acres, giving the localities an incentive to adopt local controls. In
Maine, the state controls all developments over twenty acres or 60,000
111-31
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square feet of industrial floor space.
The Vermont statute specifically requires the state to draft land use
plans, based on economic, social, and,particularly, environmental
values. The permits will implement these planned objectives.
The Maine law has no such specific requirement for land use planning.
Permits for land development in Maine must consider four statutory
criteria: financial capacity of the developer, traffic movement,
effect on the natural environment, and soil conditions.
Vermont created a statewide Environmental Board that sets policy, is
responsible for the land use plans, and has a quasijudicial review role
over permits, and nine district commissions which administer the permit
system on a daily basis. The Vermont Board is exclusively a land use
agency, and is located in Vermont's super-department, the Agency of
Environmental Conservation.
Maine's institutional structure is not regionalized in this way. Its
Environmental Improvement Commission formulates all policy, carries
out the operational jobs of reviewing and issuing permits, and also
administers air and water pollution control laws. Both the Vermont and
Maine systems are designed to control and mold the physical growth of
the state.
WASTE MANAGEMENT AGENCY
The Maryland Environmental Service (MES) was created in 1970. !t gave
the state a new function which had been left exclusively to local gov-
ernment -- the actual construction and operation of solid and liquid
waste treatment and disposal facilities. Like land use control in
Vermont and Maine, another type of local function is shifting, in part,
to the state level in Maryland.
MES is a public corporation, housed within the Department of Natural
Resources, which acts like a statewide sanitary district, to institute
a management rather than a regulatory approach to environmental quality.
While the New York Environmental Facilities Corporation and the Ohio
Water Development Authority have similar authority to construct and
operate waste treatment and disposal facilities, only Maryland has
specific authority and funds to draft and implement solid and liquid
waste facilities plans, in order to institute regional approaches to
waste management.
MES can assume its waste control function in several ways:
.Through implementation of the five-year regional plans for
solid and liquid wastes
.Providing the desired facilities or services when a local
government or industry requests aid, and
II1-32
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.If an industry or municipality violates a compliance
order to conform to water quality standards or regula-
tions governing solid waste disposal, MES can take
over the violator's waste treatment and disposal facil-
ities until compliance is achieved, sending the local
community the bill.
In these ways, the Service becomes both a regional service institution
and a weapon in the state's arsenal to gain compliance with water
quality goals and solid waste disposal regulations.
As with Vermont and Maine's entrance into the land use control field,
Maryland's initiation of waste treatment and disposal work does not
take all such responsibilities away from local government. In fact,
in all three of these situations, the state seeks a partnership arrange-
ment with local government.
COURTS AND THE CITIZEN SUIT
Michigan is trying a fourth type of institutional approach — assigning
a new role to the state courts in environmental protection.
The Michigan Environmental Protection Act gives every public or private
entity the right to sue any other public or private entity in state
courts to protect the environment and the "public trust" therein. This
mechanism of class action lawsuits by private citizens to forestall
environmental damage is receiving consideration in many other states as
well as at the federal level.
IM-33
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REGIONAL ENVIRONMENTAL MANAGEMENT
AND THE DECISION-MAKING PROCESS
L. Edwin Coate*
The concept of "Environmental Management" has evolved over the
past decade. As the concept evolved, there have been corres-
ponding alterations in the organizations and institutions concerned
with these fields. In the early 1970's, in response to a wide-
spread and well articulated public concern, many governmental
agencies reorganized to improve their environmental quality deliv-
ery capabilities. The Federal government created the Environmental
Protection Agency, CEQ, and NOAA. Several states consolidated
previously separate environmental functions into new Departments
of Environmental Protection.
Of all the governmental levels, however, I believe that the local/
regional official has done the least to reorganize and to develop
new methods and techniques to manage the environment. This has
been due primarily to lack of funds, lack of time, and confusion as
to what needs to be done.
Yet it is the local government official who feels the greatest pres-
sure to clean up the environment. Of the various bureaucrats, he
is closest to the problems themselves: the polluted streams, the
open dumps, the contaminated air. He is also in the direct line of
fire of a public demanding action. Unlike federal and state offi-
cials, his responsibility is localized. He cannot evade it by mov-
ing about the country or about the state. Whatever tools that
currently exist for dealing with the major environmental problems,
such as capital budgets, health regulation agencies, and planning
resources, are in his control. These tools have proven inadequate
on many occasions.
The primary problems facing the local official today and what, in
my opinion, the entire issue boils down to is: Who carries out the
decision making process at the regional level, and what information
does he need to make the appropriate decision? In matters of the
environment, decision making must take place at the regional level.
Pollution does not conform to political boundaries. Water pollution
needs to be dealt with in terms of river basins; air pollution fol-
lows geographical configurations. Problems such as air and noise
"Presented by L. Edwin Coate, Director, Integrated Regional Environ-
mental Management (IREM) Project County of San Diego, at the Nation-
al Conference on Managing the Environment.
II1-
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pollution and solid waste management are beyond the capacity of
most local governments to solve without the cooperation of other
juri sd ict ions.
What exactly do we mean by "regional environmental management"?
In the past, we thought it consisted only of pollution regulation.
Recently, however, as cost effective short-term solutions are being
exhausted, we see that regional environmental management must be
expanded to include the relating of pollution abatement strategies
regularly and consistently to the regional land use and transporta-
tion planning process. Decision makers are the fundamental users
of the environmental management process, and the heart of the local
government decision making process is land use. The heart of the
regional governmental decision making process has evolved to be
the transportation planning process.
In the past, prior to the evolution of the contemporary concept of
regional environmental management, just about the only means by
which local government managed land use problems was the planning
process. Councils of Governments had the A-95 review process and
a comprehensive planning mandate, but no implementation policy.
Land use decisions werestill made at the local level and pollution
problems were, as a rule, managed by the Health Department. Such
functional fragmentation prevented a comprehensive attack on environ-
mental problems.
I believe that the new "art of regional environmental management"
has emerged because this process has failed. It has failed primari-
ly because it is based on a fragmented planning approach which does
not meet the needs of today's decision makers. As you are well aware,
the traditional planning approach involved the setting of goals and
objectives, the drawing of comprehensive maps, and the adoption of
general plans, with subsequent rezonings to conform to the plans
adopted. This is time consuming, but still relatively neat and
uncomplicated. The problem is that in the day-to-day world of
local land use planning and pollution regulation decision making,
the general plan is almost always obsolete before adopted, and every
case presented is an exception. An example is the "little old
lady" who needs a re-zone to obtain some value from the property
she has held all of her life, or, the essentially insignificant
change that might be requested of a local politician by a major
campaign contributor. In reality, then, I would propose that the
decision making process is incremental and situational, while the
local planning process is neither.
Several recent events have reinforced these conclusions. The
federal government passed NEPA, the National Environmental Policy
Act of 1969, which required the preparation of Environmental Impact
Reports for all federal actions and projects that have a signifi-
cant effect on the environment. In California, the California
Environmental Quality Act (CEQA) was passed. This act, patterned
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after NEPA, requires EIR's on both public and private projects to
be carried out or permitted by all local governmental agencies in
the state.
Also in California, Proposition 20, a statewide citizens initia-
tive, was passed, becoming the California Coastal Zone Conserva-
tion Act. This Act provided for the establishment of a series of
regional commissions responsible for administering a permit system
for all major actions affecting the coastal area in each region.
The EIR process and the regional coastal permit system established
by Proposition 20 are clearly a result of the recognition that
existing land use and health regulatory institutions have not been
able to deal effectively with critical regional environmental prob-
lems. They represent attempts to make up for the deficiencies of
traditional planning and environmental control strategies by sub-
stituting finite, single-purpose systems which are capable of
actually implementing a policy. The land use planning process in
particular has simply not been able to provide decision makers
with timely, accurate, comprehensive information on which they can
base their day-to-day incremental decisions.
It is my feeling that new structures similar to the regional
environmental management model shown here (see Figure 1) will be
developed, using the EIR process, specialized permit systems, and
other new regional environmental management tools.
What other kinds of information are necessary inputs into the
environmental decision making process? I would propose that an
environmental decision making model might include: cost/revenue
information, environmental impact information, environmental indices
trend information, and carrying capacity information, as well as
traditional land use planning inputs (a model incorporating
these inputs is depicted in Figure 2).
COST/REVENUE INPUTS
Land use decision making bodies in a region now usually consider
two principal factors in arriving at approval or disapproval ac-
tions, the environmental impact and the economic impact of the
project. Unless there is reliable economic impact information
available, the environmental impact cannot properly be treated
except in those situations in which there is the most severe type
of environmental insult. The public costs and revenues associated
with a project are felt to be the minimum economic information
requi red.
The San Diego joint city/county economic analysis project has
resulted in a computer model now being tested on four major local
developments. To date, the cost and revenue calculations have
been directed toward those jurisdictions (cities, county, special
111-36
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Department of
Air QuaIity
Noise and
Radiation
Regulation
Department of
Water Qua!ity
and Supply
Department of
Resource Re-
covery and
Sol id Waste
Management
State Environmental Management Board
Integrated Regional Environmental Management Board
Air Pollution
Control District
County
Health
Comprehensive
Planning
Organization
Department of
Land Use and
Transportation
Planning
Regional Water
Quali ty Board
County
Water Authority
County Planning
Department
City Planning
Department
Department of
Envlronmental
Impact Analysis
County
Public Works
City
Public Works
Universit ies
Sol id Waste
Planning
Department of
Research and
Analysis
Figure 1. Application of Environmental Management Model to the San Diego Region
111-37
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Figure 2,
ENVIRONMENTAL MANAGEMENT
AND THE DECISION-MAKING PROCESS
Carrying
Capac i ty
EIR's
Cost/Revenue
Analysis
Zone Variance
Tentative Map,
etc.
General Plan
Regional
Comprehens ive
Plan
Regional Goals
and Objectives
Envi ronmental
Indices
111-38
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districts, etc.) which are directly affected by the proposed
development, that is, those jurisdictions in which the develop-
ment is "physically" located. In the future, it is clear that
consideration must be given to jurisdictions which are indirect-
ly but substantively affected because of employment, transpor-
tation, recreational facilities, etc.; thus a substantial amount
of additional research will be required on this matter.
We anticipate that within one year, a cost/revenue analysis pro-
cedure with acceptable accuracy can be developed to the point
where it may be applied routinely to the land use decision-
making process in San Diego county.
ENVIRONMENTAL IMPACT REPORTS (EIR's)
The second major factor in land use decision-making is the deter-
mination of the environmental impact of a project. San Diego
County has had a policy and procedure for EIR's since April,
1972. Since the Friends of Mammoth decision, EIR's are required on
both public and private developments. The development of the EIR
process by the IREM project has been an arduous and complicated
task. We believe, though, that we now have a completely opera-
tional system which can provide timely, accurate information to
our decision makers on the potential environmental effects of any
proposed project. The most innovative components of the San Diego
County EIR process include an early warning system and an environ-
mental review board.
Early Warning System: The IREM project staff has developed a com-
puterized early warning system for predicting environmental impacts.
For any given geographical site in the region, information concern-
ing natural resources and conditions on and near that site can be
immediately retrieved and printed out by a computer.
An Environmental Review Board: The Environmental Review Board over-
sees the preparation of environmental impact reports and coordinates
the public review process. The environmental review board consists
of the IREM project director, the County Planning Director, the
County Engineer and the Director of the Public Health Department.
This Board formally coordinates the input from those agencies that
deal substantively with these projects. A staff of sixteen supports
the Environmental Review Board.
ENVIRONMENTAL QUALITY INDICES
Prediction and feedback are essential to any decision making model
constructed. In San Diego County, the IREM project has recently
developed environmental quality indices for air and water quality,
noise, energy production and use, solid waste generation and land
use sh i ft.
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For the decision makers, these indices will provide important
trend information for both pollutants and land use. The will
also serve as a feedback showing changes in trends which re-
sult from various land use decisions.
CARRYING CAPACITY
As rational environmental managers, we are concerned with the
limitation of our "resources." We must be able to predict the
"carrying capacity" of the air, water, land and energy resources
of our region to know how much growth, and how much pollution,
our region can hold.
Data now exists in San Diego to predict the growth limits of the
physical restraints already listed above. What is lacking is
merely the assimilation and analysis of this data and its trans-
formation into forms usable by decision makers. This is now
under way in San Diego.
TRADITIONAL PLANNING PROCESS
Through the traditional planning process, information on re-
gional goals and objectives can be transmitted to decision makers.
Regional goals and objectives are transmuted into a regional plan,
the implementation of which is carried out through the zoning pro-
cess .
NEW TECHNIQUES FOR COMMUNICATION
Once the inputs described have been developed to a point where
they can regularly support the decision making process as de-
picted in the model, the final question is: What is the most
effective technique for communicating the information to the
decision makers? The technique chosen should be able to show in-
formation in a clearly comparative form. The ideal index diagram
shown in Figure 3 is a proposed format for regional environmen-
tal management inputs to both short- and long-range decisions.
It is anticipated that for each major decision, a series of
these diagrams, depicting relevant information in the categories
previously described, would be presented to decision makers.
These diagrams can depict the proposed action in context with ex-
isting trends, its relationship to prescribed environmental stan-
dards, the extent of divergence from community or regional plans,
and its feasibility, given the carrying capacity of the region.
Further work is currently being conducted in San Diego on the
development of this information display technique.
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Figure 3,
THE IDEAL INDEX DIAGRAM
(short-range)
(long-range)
D. nominal case
Carrying Capacity
C. CPO plan
Health
Standard
B. CPO plan
Pollutant
or
Resource
65
70
B. $
A. $
75
L
goal
(non degradation
gen. plan, etc.)
A. CPO plan
80
—h
85
90
95
time
-------
FUTURE NEEDS
There is one additional input which must ultimately be in-
cluded in the model. This is the quantification and presenta-
tion of social impact information. Eventually, this require-
ment may be met by the inclusion of social impact data in En-
vironmental Impact Reports or by separate "Social Impact Reports"
similar to EIR's. Perhaps the optimal situation in the future
would be an overall requirement that each major land use deci-
sion be accompanied by the Quality Of Life Impact Report. The
Quality Of Life Report would include current, comparative infor-
mation of environmental, economic and social impacts related to
specific aspects of the planning process.
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A DESCRIPTION OF THE ENVIRONMENTAL PLANNING & MANAGEMENT PROJECT
Dick Battle*
Prior to the establishment of Metropolitan Government in 1963,
Davidson County, Tennessee, included a multiplicity of municipal
units including a major city government, several smaller "satellite"
cities, a county government, sixteen civil districts and eighty-
seven administrative boards and agencies.
The advent of Metropolitan Government, April 1, 1963 with Mayor
Briley elected mayor of the new governmental structure, produced
a centralized local government with seventeen major administrative
boards, a legislature of forty-one council members and service de-
livery systems and facilities designed around two service districts:
1. The Urban Service District confined to the area of
relatively high population density and bounded by
the former limits of the City of Nashville as
extended by the annexations of 1961-62.
2. The General Services District which is county-wide
and included the total 533 square miles of the
county area.
The functions which control environmental quality include: transpor-
tation and land use planning, sewage and surface water drainage, solid
waste collection and disposal, health and code enforcement, zoning,
water supply, and law. Since all of these functions are administered
under Metropolitan Government on a county-wide basis, an opportunity
is afforded for the coordination of appropriate department heads into
a management team capable of participative planning and the implementa-
tion of joint problem solving.
Like many of our nation's urban areas, Metropolitan Nashville is faced
with many environmental problems. These include the problems of 1,200
daily tons of solid waste and the absence of adequate sanitary landfills
*Dick Battle is Historian, Environmental Planning and Management
Project, Metropolitan Government of Nashville and Davidson County,
Tennessee. This article was adapted from a paper prepared for
publication in the Vanderbi1t Alumnus Magazine.
I I 1-43
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for its disposal, untreated industrial wastes overloading sewage
treatment facilities and wet-weather overflows from the "combined"
sewers of the central city, and air pollution.
Motor vehicle emissions have replaced coal smoke as the top-ranking air
pollutant, but the need for a modern, enforceable -- and enforced —
air resources management program remains a high priority for the city
and its environs.
On July 13, 1972 Metropolitan Nashville received a private grant to
develop a more efficient structure for management of the environment
within the Metropolitan Government. Specifically, the Environment Plan-
ning and Management Project (EPMP) was intended to develop a comprehen-
sive regional waste management system including the related problems of
air and water pollution, transportation and land-use planning; and to
establish an environmental management team in local government.
The main objectives of the project are the following: (l) to define,
analyze and describe the problems which preclude efficient environmental
management; (2) to determine priorities for the consideration of environ-
mental problems, to establish both short-range and long-range objectives,
and to initiate training for environmental management "teams," and (3)
to utilize the "teams" for the development of skills and management tech-
niques within the existing local governmental structure for continuous
achievement after the project is terminated.
The project is organized around a three-member core group representing
Metropolitan Government, the Vanderbilt Graduate School of Management,
and the Chamber of Commerce. The three-member top management team for
the project are representative of the "partnership" arrangement which is
one of the strengths of the program: Horton, a representative of the
local government and the mayor; Chairman of the Nashville Area Chamber
of Commerce Environmental Committee, representing the business, profes-
sional and industrial community; and a professor from the University
representing the academic community.
The management team includes as permanent members five individuals in
high-level positions in the major environmental agencies of the Metro-
politan Government: The Metropolitan Planning Commission (two repre-
sentatives), Department of Health, Department of Public Works, and
Department of Law.
As it is designed and implemented, the EPMP coordinates the concern,
the ideas and the capabilities of local government, business, industry,
finance, and concerned citizens, the university and academic community
and agencies of both state and federal government plus the regional
planning capabilities of the Mid-Cumberland Council of Governments. An
additional interface group is the Urban Observatory of Metropolitan
Nashville-University Centers.
The project began with a meeting of the "Business Task Force Environ-
mental Ad Hoc Committee" of the Nashville Area Chamber of Commerce. The
I I 1-44
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session ended with unanimous approval that the "packing house industry
problem be recommended as the first project for joint action." The
EPMP assigned a task force to "study the wastewater problems of the
meat packing industry in Nashville." The team began its work in late
July and it has continued with substantial success through this year.
The basis of this problem turned on the fact that meat packing plants
in Nashville have, in the past years, utilized from one-half to three-
fourths of the population equivalent of the capacity of the North
Nashville sewage treatment plant. The wastewater sewered from the
plants contained suspended solids, grease and other components in ex-
cess of limits specified in the amended Metropolitan Wastewater
Ordinance. Complicating the problem, the companies in the "meat pro-
ducts" category in Nashville and Davidson County have a total direct
employment of more than 1,500 with an annual payroll in excess of
$14 mi 11 ion.
The project has led to implementation by the industry of short-run
proposals which have substantially reduced the immediate problem.
A continuing and essential EPMP effort includes the drafting of an
effective regulatory wastewater ordinance which the industry can
The importance to the Metropolitan Community of this relatively un-
publicized and low visibility project cannot be overemphasized.
Metro's Central Wastewater Treatment Plant, already overloaded and
threatened by both state and federal regulatory constraints, cannot
continue to receive the untreated solid waste from the meat packing
plants. The packing plants themselves, even though working coopera-
tively with the environmental project, have economic limitations and might
be forced either to reduce operations or relocate and rebuild at great
expense — and at some economic loss to the Nashville community.
Another accomplishment of the project was the completion of a hydro-
geology and water quality analysis of the North Landfill of Metropoli-
tan Government. This landfill, Metro's largest and one of the four
that will be phased out almost immediately, is on a diked flood plain
of the Cumberland River. The study was important, not so much as it
pertained to the North Landfill (because of its imminent phase out)
but because data pertaining to this flood plain would also be appli-
cable to other flood plains of the Cumberland River.
The results showed that the North Landfill was not polluting the river,
and that it is possible to fill in such a way as not to pollute the
underground water table. The situation in regard to the hydraulic
gradient at the North Landfill was not necessarily true in regard to
all landfills, but this knowledge is helpful in locating other fills.
Landfills with this same type of geology would probably have the same
condit ions.
However, the water table study has been more successful than the search
for a solution to the solid waste crisis. Metro's immediate need is
I I 1-45
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"at least" 100 acres for new landfills to dispose of the 1,200 daily
tons of refuse collected in Nashville-Davidson County by public and
private haulers. At this time the solid waste problem takes top
priority with both EPMP and Metropolitan Government, There are
no easy answers to this problem.
An immediate problem involves organization of an interim collection
and disposal system before the Nashville Thermal Transfer Plant begins
initial operation about twelve months from now.
The thermal transfer plant may be — eventually — the major answer
to Metropolitan Nashville's solid waste disposal problem, but that
solution is two or three years away. That program plans to use solid
waste as a base fuel for conversion to the energy which will provide
public and private downtown buildings with heating and cooling at a
cost less than required to provide individual systems separately in
each building. When the thermal plant begins operation, it will use
only about 720 tons of solid waste per day for fuel. That is about
half the total tonnage collected throughout the community. Between
now and the plant's completion Metro must have more landfills; there
will always be some need for this disposal method.
The EPMP is now engaged in the serious business of underwriting a full-
time, continuing, one-man research project which will produce a workable,
practical collection-disposal system for solid waste. It must fit both
the interim, short-run demands of the current crisis and the lesser needs
for the first-run (720 tons per day incineration) of the thermal plant.
The project held its first of a proposed series of eight "environmental
workshops" on December 5"6, 1972. Over fifty leaders from the public,
private and university communities attended. The purpose was "to
integrate concurrent programmatic efforts to educate and to invite feed-
back," and "to plan policy alternatives." An overview and delineation
of the "packing house problem" was a major part of the first half-day
of the workshop, with "solid waste management in Metro and other inter-
related problems of environmental management" completing the afternoon
agenda. On the second day, solid waste management and the impact of
the Environmental Protection Agency constraints on the local scene were
discussed, leaving the last half-day for a work planning session with
task force members, project staff and key consultants.
Lynton Keith Caldwell stated recently in "Environment--A Challenge to
Modern Society," that "Environmental administration can be given either
of two interpretations... [The] first and more apparent meaning is the
PURPOSIVE SHAPING OF THE HUMAN ENVIRONMENT BY MAN HIMSELF." This is
the interpretation of what man does to his environment in the pursuit
of his several and diverse activities. These actions include "his
urbanizing, building, land-clearing, mining, industrializing -- and his
attempts to dispose of whatever he wants to get rid of." Practically
everything man does has some impact on his environment. Many of man's
actions have a degrading effect on his surroundings, and there is a
desperate and critical need to correct the damage before it is too late
111-46
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to cope with the problem. Caldwell suggests that the second, and today
the more important, meaning of the term "environmental administration,"
must be "the control of human action in relation to the environment.
Here the direct concern is not with the physical nature in the conven-
tional sense, but with PEOPLE."
Essentially this must be the impact of the program to achieve signifi-
cant improvement in management of the environment. The important
achievement is the resulting benefits to the people of this community —
for the improvement of the quality of life in this Metropolitan commu-
nity.
The unique "team effort" partnership proposes to utilize all of the
community resources and will not overlook the most substantial resource
of them all -- the concern of the people. "The environment is not
administered," writes Caldwell, "it is the actions of people as they
impinge upon the environment that becomes the direct focus of attention.
To put it in other terms, it is proposed that environmental change
must be managed and directed, basically through the functions of govern-
ment and public administration WITH THE COMPLETE UNDERSTANDING AND
APPROVAL OF THE PEOPLE SERVED to preserve and regenerate environmental
values for the benefit of the total Metropolitan community and for the
region around it.
It must also be understood that the public has "a right to know" and
this right (with the responsibilities knowledge implies) has a direct
bearing on the project. A vehicle within the government to present
the problems of the environment and the alternative solutions can pro-
vide motivation for the people to demand public action. Metropolitan
Nashville can be whatever it wants to be. The urban community, the
urban environment, will be what the people determine it SHALL be.
Environmental planning must be an integral part of "the action" if we
are to substantiate the high hopes for a far better quality of urban
life in Metropolitan Nashville by 1980.
We must learn to manage growth, change and the environment — while
we are growing -- and decide what goals growth should achieve.
Few cities have been able to absorb rapid growth and change and main-
tain an improving quality of life. It is our belief that this innova-
tive program will enhance the changes for this accomplishment and that
we will be able to look back from the broader perspective of 1980 and
say: "We have become what we set out to be" -- and we hope that other
leaders will look ahead and set higher goals for the year 2000.
I I \-kl
11
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CHAPTER IV: CITIZEN PARTICIPATION IN ENVIRONMENTAL MANAGEMENT
"A major reason for citizen participation having successfully
resisted generalization is the absence of a sizable enough
body of empirical evidence from which to draw meaningful
inference and conclusion. The evidence we do have is con-
tradictory, inconclusive, particularistic, and overly
qualified by the dictates of time, place, and circumstance."*
There is a growing awareness of the importance of citizen participation
in the decision making process. Traditionally, many government officials
have not often sought the opinions of citizens about environmental concerns
for a number of reasons: time constraints, the presumed lack of knowledge
and/or interest on the part of the public, the technical nature of the
problem, lack of a suitable mechanism for obtaining outside opinions, or
simply oversight. However, times have changed and citizens are now de-
manding a greater and more consistent role in environmental decision making.
Some of the reasons for this include the following: the effects of pollu-
tion are being seen and felt by the public; helping to "save the environment"
has been popularized; the press and educational institutions are creating
a better-informed public; and finally, environmental deterioration has
reached such proportions that major changes in life style may be required
in some areas. For these reasons, it is no longer possible for a small
number of public officials, no matter how competent, to unilaterally create
and enforce environmental programs.
Recent legislative requirements, e.g., the 1972 amendments to the Federal
Water Pollution Control Act reflect the practical necessity of seeking
citizen input. In addition, citizens are demonstrating their eagerness
to contribute to a better environment by personal volunteer efforts. These
efforts are usually conducted by groups formed specifically for environmen-
tal purposes, such as the Isaak Walton League; groups which have environ-
mental interests as well as other concerns, such as the League of Women
Voters; and individuals practicing conservation in their personal lives.
The emergence of recycling centers is an example of a citizen-conceived
movement, often arising without official sanction. While the viability of
recycling as a solid waste management strategy under the existent market
system is debatable, it is a demonstration of the popular sentiment for
conservation of resources. People are saying that they are willing to make
some personal sacrifices for a better environment, that the trend toward
increasing consumerism and growth should be tempered with a knowledge of
the trade-offs involved, and that the "quality of life" as perceived by
the general public includes environmental as well as economic values.
Citizen participation can take many forms; there is no simple formula for
achieving it. Local conditions must always be taken into account in es-
tablishing, administering, and evaluating citizen participation. The
meaningfulness of citizen participation can be described in terms of the
*Hans B. C. Spiegel (ed.), Citizen Participation in Urban Develop-
ment (NTL Institute for Applied Behavioral Science, 1968) Vol. 1,
pp. 3-1*.
IV-1
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following ladder ranging from high involvement to nonparticipation:
Table I. LEVELS OF CITIZEN INVOLVEMENT
I
0) /!> 0)
o
c •— —
ro ' N Informing
c Therapy
Manipulation *
In a lecture on techniques for involving the citizen in the urban transpor-
tation planning process, Daniel S. Cohen, U. S. Department of Transportation,
described how these levels are manifested in implementation:
The lowest two levels - manipulation and therapy - describe
levels of "nonparticipation." The objective of this type of
participation is not to enable people to be actually involved
in planning or conducting programs, but to enable powerholders
to "educate" or "cure" the participants.
The levels of informing, consultation, and placation are higher
levels of participation. In these cases, citizens' views are
heard but there is no assurance they will be heeded.
Further up the scale are levels of citizen power with increasing
degrees of decision making power. The partnership level allows
citizens to negotiate and engage in trade-offs with traditional
powerholders. This level of citizen participation is character-
ized by two-way communication between the planning staff and the
citizens.
At the topmost level are delegated power and citizen control. In
these cases, the citizens have the majority of the decision making
seats or the full managerial power.
A question which can be asked from this discussion of levels of
citizen participation is, which level(s) is appropriate for the
urban transportation planning process? As was mentioned pre-
viously, the approach to public involvement will vary between
communities, and it is the responsibility of the decision makers
in each community or region to decide the appropriate level.+
* U. S. Department of Transportation, Federal Highway Administration,
Lecture S by Daniel S. Cohen: "Goals, Objectives, and Evaluation
Criteria."
+ Ibid.
IV-2
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The "partnership" relationship between the government and citizens deserves
description because of the potential benefit for both partners. Public
administrators who treat citizens as partners in striving for their common
goals of environmental quality are not only aware of independent citizen
groups and activities, but take positive action to work together and facili-
tate their programs. Returning to the example of recycling, public adminis-
trators would aid the viability of the recycling effort by using their
position to press for changes in the economic and political barriers to
recycling, such as prejudicial freight rates and depletion allowances. For
example, a National League of Cities task force composed of mayors and city
administrators recently made recommendations to enhance recycling resource
recovery programs by the adjustment of federal policies that negatively im-
pact resource recovery. If, on the other hand, the reclamation process
itself is inherently too costly for recycling to work, citizens should be
informed and redirected to more fruitful endeavors. The public official
in a partnership role with citizens would not merely fulfill the legal and
practical requirements in dealing with the public; he would also play an
active role in the provision of environmental education and in utilizing
public volunteer efforts where appropriate.
In Scottsdale, Arizona, an experimental program which utilizes citizens
as a "resource" was undertaken in response to a citizen's recycling proposal
for the city. To test the program proposed by the citizen in which home-
owners were required to separate their own garbage, an experimental area
of several square blocks was designated. Newspapers, glass, and other gar-
bage were collected separately, the newspapers and gla^s then taken to
recycling centers. These homeowners were the participants in an experiment
on one aspect of the feasibility of recycling as a long-range strategy.
Regardless of the outcome in the particular case of recycling, the willing-
ness of the local government to share the decision making process and to
treat citizens as partners is important for establishing a productive and
harmonious relationship between citizens and government.
The mechanisms and strategies for obtaining citizen participation which are
described in this chapter should be considered a starting place in the de-
velopment of meaningful interaction between government administrators and
citizens. The most important ingredient in a successful citizen participa-
tion program is still the responsiveness and interest of the government
official; without that interest, even the most sophisticated citizen par-
ticipation mechanisms are doomed to failure.
VOTING
Voting is the most fundamental form of citizen participation. However, in
addition to the right of citizens to select their representatives, citizens
also have the power to approve or disapprove bond programs and to vote on
specific community issues raised in referenda.
The ballot box can be used as a positive strategy by citizens for effecting
environmental goals. For example, the proposed 1976 Colorado Olympics were
IV-3
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blocked by citizen action. Several citizens in the Denver area became sus-
picious that the projected cost figures for the Olympics were quite low
compared to the actual cost of the Sapporo Olympics. Citizens in Evergreen
community were also aroused because they had not been consulted in the
planning stages, and they objected to the construction of parking lots and
other detractions to their peaceful location. A citizens' group was formed
in early 1972 called the Citizens for Colorado's Future (CCF). The group
was funded by contributions. In order to get the referendum put on the
state ballot, a petition with 51,000 signatures was needed (the number was
based on a percentage of the number of votes cast in the previous election).
The CCF actually obtained 76,000 signatures. In addition, the referendum
was also placed on the City of Denver's ballot to assure that the City would
not proceed independently of the State. CCF campaigned for the referendum
through the media and handouts. On November 7, 1972 (Election Day) the
referendum won on both ballots, with 180,000 plurality in the statewide
vote.
PUBLIC HEARINGS
Public hearings are the most frequently used method for obtaining citizen
participation due to the frequent legal requirement for public hearings;
however, their usefulness is severely limited unless combined with other
participation strategies.
Gerald Springer, Vice Mayor, Cincinnati, Ohio, discussed three basic weak-
nesses of the traditional methods of citizen participation, particularly
the public hearing: (1) The emphasis is on procedure rather than on respon-
siveness; they are performed as prescribed but the information received is
not necessarily incorporated in any systematic way to the planning processes.
(2) Often vital information is not given to the citizenry; then their sugges-
tions are discounted due to their "lack of expertise." (3) Citizen input is
defensive in nature because it is often solicited after-the-fact, rather than
in the earlier planning stages when change is still feasible. Furthermore,
the public has no way of knowing whether the opinions expressed at the
hearing have actually had any effect on the outcome. It is a one-way commun-
ication channel because of the typical structure of the meeting: The first
half resembles a "staff briefing" with the lengthy explanations of the pro-
posed plans; during the second half, the citizens virtually talk to each
other, with little or no feedback from the staff. If the opinions voiced
by the citizens do not appear to have affected the final outcome, even if
there was good reason for not adopting their suggestions, citizens can be-
come frustrated and angry.
CITIZEN ADVISORY BOARDS
A popular mechanism for obtaining citizens' viewpoints is via appointed citi-
zen advisory boards. Typically there are two rationales used in selecting
the board members. One is to select a cross section of the population to
create a microcosm of the community. This type of board is particularly use-
ful for soliciting their opinions on proposals before public release,
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assuming that the board's reactions would be a fair sample of the community
reaction. The other rationale is to select members on the basis of their
expertise in specified fields. This interdisciplinary group is most
useful for performing studies and making recommendations to the city adminis-
tration. Rather than emphasizing "the citizen viewpoint" per se, this type
of board utilizes resources available within the population.
In Cincinnati, the Citizens' Environmental Task Force has completed a detailed
year-long study of Cincinnati's environmental problems. The Task Force is
composed of about thirty private citizens who have expertise in specific
environmental areas and serve without compensation. The major areas which
they investigated were air, water, noise, land use, solid waste, and energy
conservation. Their report to the City Council was submitted in June, 1973,
in a 250-page document to be publicly released.
The Cincinnati Citizens' Task Force consists of a Chairman, appointed by the
mayor and approved by the City Council; an administrative assistant and
secretary, hired by the Task Force Chairman; a Vice-Chairman, appointed by
the Chairman; and six subcommittees. Each subcommittee selected its own
chairman. Each subcommittee was charged with writing the final report and
recommendations in its area. They held at least one public hearing, sub-
mitted status reports at the Task Force meetings, and distributed the minutes
of their meeting to all the committee members.
The Dallas, Texas Citizens' Environmental Quality Committee was established
in July, 1971- It was "charged with the development of a city-wide environ-
mental policy encompassing the activities of both government and private
entities. The primary goal was to identify citizen perceptions and ambitions
and not to design the strategy or the machinery for the achievement of goals,"
according to George Schrader, City Manager of Dallas. The committee was
multidisciplinary in composition and received staff support from employees
who worked full-time with the committee in defining and researching problem
areas. Mr. Schrader described the activities the committee has been perform-
ing: "The initial fact-finding phase consisted of the acquisition of personal
testimony from city program administrators, regional urban affairs officials,
and state and federal agency officials. Written statements were also solicited
from a select group of local scientists, educators, conservationists and
community leaders. More recently, the committee held public hearings to ob-
tain further knowledge of the citizens' perceptions of the problem. Based
on this varied input, the committee began composing policy recommendations
last March and will present their findings to the City Council in late June,
1973. This effort will certainly significantly influence future city
activi ty."
An advantage of citizen advisory boards is the provision of two-way communi-
cation at regular meetings, with continuity of interaction. Staff support
from the city administration strengthens the board's effectiveness and
credibility. The disadvantage of these boards, however, is the tendency to
rely upon the citizens' board to the exclusion of the remainder of the
population, on the assumption that the board represents the citizenry as a
whole.*
'^Alternates to the structures and uses of citizen advisory boards are
discussed by Michael P. Ryan in"Tne Role of Citizen Advisory Boards
in Administration of Natural Resources,," Oregon Law Review, Vol. 50,
1971 (p. 153).
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A special type of citizen board is the conservation or environmental com-
mission which is an official agency of local government consisting of
citizens who are appointed to serve without compensation for a fixed term.
These commissions derive their legitimacy from state enabling legislation
and municipal ordinance, having accessibility to state and federal funds,
and permitting intra- and inter- municipal action. The first such commission
was created in Massachusetts in 1957, and others have subsequently been
adopted in other New England and northeastern states.
The activities of these Commissions include acquisition, coordination, and
planning for the protection of the environment. The coordinating role
enables commissions to work with local environmental groups. In Hanover,
Massachusetts, the Conservation Commission became the coordinating body in
a group effort to protect and preserve the North and South rivers. Commis-
sions can become a focal point for the organization of environmental projects,
and can provide the impetus for natural resources planning. In addition,
commissions may, subject to approval of the governing body, acquire property
in the name of the municipality by gift, purchase, grant, bequest, devise
or lease, and are empowered to administer the use of that land. Besides
these special powers, commissions are also empowered to conduct studies and
make recommendations in the same manner as other citizen boards.
The most important difference between advisory boards and conservation com-
missions is state sponsorship , eligibility for state funding, and the
ability of the commissions to acquire and control land. The need for compre-
hensive planning before selecting the sites for acquisition tends to put
the emphasis on conservation and open space rather than on pollution abatement.
Whether the commission approach will prove to be applicable to large cities,
varying so greatly from the typical New England town where these commissions
developed, is a question which remains to be answered; as one meaningful
approach to the involvement of outsiders in the governing body: the conserva-
tion commission has many advantages.
LEGAL ACTION
Individual citizens and citizens' groups have the legal right to help decide
the future of the environment. John Goodman, Technical Assistance Research
Programs, cited the legal requirements for public participation which
government administrators cannot afford to ignore. Section 101 (e) of the
Federal Water Pollution Control Act stipulates that public participation
shall be "provided for, encouraged and assisted by the [EPAJ Administrator
and States" in the "development, revision... of any... plan or program estab-
lished by the [EPA] Administrator or State." The proposed regulations to
implement section 101 (e) emphasize the need for public participation in
the early stages of decision making.
...active public involvement in and scrutiny of the
intergovernmental decision making process is essential...
Conferring with the public after an agency decision has
been made will not meet the requirements of this part.
CFR 105.2)
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The guidelines also require that before any agency action is taken on a plan
or program, such as approving a construction grant application, a "summary
of public participation" must be submitted.
A citizen has the right to take court action against any violator of his
rights. Under the Refuse Act of 1899, individual citizens can report the
illegal discharge of effluent into navigable waters; if the report leads to
a conviction, the citizen is awarded one-half of the amount of the fine.
The establishment of a local board of appeals is a formal mechanism for re-
ceiving citizen appeals. Gerald Springer described the Cincinnati board of
appeals established under their air pollution control ordinance. Individual
citizens or groups can appeal decisions made by the administration, and the
board has authority to override the earlier decision. Norman Redlich,
Corporation Counsel for the City of New York, described the creation of the
City's Environmental Control Board, an administrative tribunal for enforce-
ment of the provisions of the City's codes and ordinances. It hears citizen
complaints and has the option to decide whether or not to prosecute on the
basis of a complaint. If the Board declines to prosecute, the citizen may
proceed at his own expense. If a conviction is obtained, the citizen receives
a bounty, based on a sliding bounty system whereby the percentage of the fine
the citizen receives is greater if the city was wrong and failed to prosecute.
Suits brought by environmental groups and individuals play an important role
in checking the actions of government officials at all levels. Often citizens
have been successful: in enforcing stronger provisions than the government
would have done, e.g., the non-degradation suit; in forcing compliance with
existing regulations, e.g., the Greater-Washington Alliance to Stop Pollution,
Inc. (GASP) proceedings against the Washington Metropolitan Area Transit
Commission (WMATC); and in the discovery of a new enforcement mechanism, as
when Congressman Henry Reuss in 1971 brought suit against 270 companies in
his home state of Wisconsin in order to establish the power of the 1899
Refuse Act.
EDUCATION
The importance of a well-informed citizenry is an essential prerequisite to
achieving meaningful citizen participation. Citizens often require a basic
education on the issues, in addition to the latest developments. This is
particularly true in the field of the environment because it is a relatively
new concern and because of the recency of much of the information.
In Dallas, an environmental public information program is one attempt to
meet the educational needs of the public. George Schrader, City Manager of
Dallas, described an exhibit which presented various environmental options
for a future Dallas which was co-sponsored by the Dallas Museum of Fine Arts
and the City of Dal las:
...The show went beyond the traditional approach of presenting
facts and figures in a passive format. The exhibit involved
IV-7
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direct spectator participation by requiring the viewer to
make decisions on specific housing, transportation, recreation
and urban design alternatives.
The display consisted of a labyrinth of tunnels, each passageway
representing a specific option. Before being exposed to the
various externalities associated with each option, the participant
was asked to choose and record all decisions on a questionnaire.
The exhibit then culminated in a six screen audio-visual display
which explored the future implications of each decision. In
this manner, the public was informed not only about the current
tradition of our 'local environment but also about the trade-offs
involved in decision making relative to guiding the future of
Dallas. This information emphasized to the citizens the existence
of environmental options and choices which will in the future be
made by omission or commission.
Mr. Schrader also discussed another educational program in the City of Dallas
public school system:
...The City of Dallas, the American Institute of Architects,
and the American Society of Landscape Architects have recently
joined a privately sponsored Community Design Center in devel-
oping a pilot project within the local public school system.
Aimed at grades fifth through seventh, the project will consist
of a careful environmental study by the students of the neighbor-
hood surrounding the school; communication of the results of the
study to peers and adults through written descriptions, drawings,
photographs, films, tape recordings, oral reports, models, etc.;
and efforts at the implementation of the reported suggestions
made by the participating children.
The role of the City will be to provide assistance for teachers
in the initial planning phases as well as in the implementation
phase. Ultimately, the aim is to develop a packaged program
as a result of the pilot experiences.
Another prospective project is the preparation of a "speakers
kit" which will consist of various materials to aid elementary
school teachers in preparing and presenting environmentally-
related lectures. Expansion of the current classroom lecture
series to include encounters with the public and private sectors
is also envisioned. This program would help students to cultivate
environmental tastes and to identify and order their values.
An effective method for citizen education which Mr. Goodman described is to
hold special workshops for citizens. By scheduling workshops on a partic-
ular topic early enough in the planning stage of a project, a group of
interested and informed citizens will be able to provide valuable reactions
to preliminary plans. Workshops should be small enough to encourage dis-
cussion and communication in addition to teaching. Ideally, local planners
and administrators with expertise in the subject matter should be present
IV-8
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at each workshop meeting. Workshops should not be held only at the inception
of a project but should be offered routinely to create an ongoing citizen/
local official communication and educational mechanism. In this regard,
Mrs. Ruth Clusen, Vice-President of the National League of Women Voters,
stressed the need for citizens and groups to know the steps of the govern-
mental processes including individuals to contact on various matters. The
workshop should be the initial contact between citizens and the governing
body, designed to encourage future interaction as well as to inform the
citizen on the particular topic.
An important incentive to the pursuit of active citizen involvement through
workshops is the provision in federal construction and planning grant
regulations that workshops are an allowable expense; seventy-five percent
of the cost of a workshop connected with a specific project can be financed
through a federal grant.
GENERAL ADVICE FOR IMPLEMENTATION
Mrs. Ruth Clusen, drawing upon her experience as the Vice-President of the
League of Women Voters, offered advice to government administrators on dealing
with the public. The first suggestion is not to patronize or talk down to a
citizen; it is preferable to assume that the citizen knows more than he ac-
tually does than to treat him as what Mr. Springer humorously described as
the "proverbial dumb layman." Second, involve people from the beginning,
rather than inviting them in to rubber stamp a "fait accompli." All of the
speakers emphasized this obvious but often ignored necessity. Third, be
frank and honest to citizens and do not hesitate to describe the trade-offs
involved. Offer technical assistance including scientific, technical and
professional advice; citizens usually lack the resources to acquire the needed
information. Workshops and educational programs were discussed by Messrs.
Goodman and Schrader as methods to meet this need. Fourth, do not expect
support on every subject. Fifth, spell out the processes and complexities
of government, including referral to individuals within the system who can
offer further assistance. Do not consider citizen participation an adver-
sary procedure; it can and should be a productive interchange. Finally,
receptiveness to the ideas and opinions of citizens is essential.
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IMPLEMENTATION OF CITIZEN PARTICIPATION
IN THE MUNICIPAL PROCESS
John Goodman, Joseph Falkson, Barbara Mertens, Lindsay Happel"
INTRODUCTION
Citizen participation in environmental management has been viewed as
a good idea by both municipal officials and planners. But, even
though it is recognized that it would improve planners' responsive-
ness to community needs, participation has not always been encouraged
or implemented for fear that it would create political conflict and
delay projects. However, today's citizens are more articulate, more
aware of their rights, and more sensitive to environmental issues.
While most municipal projects could be built with no citizen involve-
ment, the risk of expensive, time consuming delays and court suits
is increasing dramatically. Due to changes in citizen's attitudes
and new federal regulations, implementation of citizen involvement is
no longer simply a luxury or a "good thing to do." It is a necessity.
This paper will briefly outline sample requirements for participation,
discuss the most prevalent mechanisms (e.g., public hearings, citizen
advisory boards, and workshops) used to fulfill these requirements,
and then will point out pitfalls to avoid in implementing these mech-
ani sms.
REQUIREMENTS FOR CITIZEN INVOLVEMENT
LEGAL REQUIREMENTS
The following discussion of the legal requirements for participation
in Water Quality Management is included to serve as an example of the
requirements being attached to federal environmental funds.
Section 101(e) of the Federal Water Pollution Control Act Amendments
of 1972 broadly stipulates that public participation shall be "pro-
vided for, encouraged and assisted by the EPA Administrator and
'^Presented by John Goodman, Technical Assistance Research Programs
(TARP), at the National Conference on Managing the Environment.
IV-10
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States" in the "development, revision...of any...plan or program
established by the EPA Administrator or State.11"
The proposed regulations to implement Section 101(e) very strongly
emphasize the need for public participation early in the stages of
policy formulation. They specifically state that:
Conferring with the public after an agency decision
has been made will not meet the requirements of
this part. kO CFR 105-2
This regulation states that substantive participation, not after-the-
fact review, is required in the development of a plan or a federally
funded municipal project. The guidelines also require that before
any agency action is taken on a plan or program, such as approving a
construction grant application, a "summary of public participation"
must be submitted.+ Such a requirement, if strongly enforced, will
insure that states include participation in all activities covered by
the Act.^ The development of state strategies and waste treatment
""(e) Public participation in the development, revision, and enforce-
ment of any regulation, standard, effluent limitation, plan, or program
established by the Administrator or any State under this Act shall be
provided for, encouraged, and assisted by the Administrator and the
States. The Administrator, in cooperation with the States, shall develop
and publish regulations specifying minimum guidelines for public partici-
pation in such processes."
+"Each summary of public participation shall describe the measures taken
by the agency to provide for, encourage, and assist public participa-
tion in relation to the matter; the public response to such measures;
and the disposition of points raised." kO CFR 105.15(d)
*The 1972 Amendments also require a public hearing prior to the establish-
ment of any effluent limitation standard. The Governor of a state or
the State Water Pollution Control Agency must also from time to time hold
public hearings for the purpose of reviewing applicable water quality
standards (Section 307 of Federal Water Pollution Control Act Amendment).
The new regulations implementing Section 303 of the Amendments stipulate
that public participate "with adequate opportunity for public hearing
upon proper showing" will be required in for the proposed state strategy
and priority list of the planning process. The regulations also state
that:
...plans will be officially adopted, after appropriate public
hearings, as the official water quality management plans of
the State and that the plans may be revised, after public
hearings, as appropriate. kO CFR 130.32
IV-11
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priority lists require public hearings to give the public a chance
to comment on the priorities presented in the plans. The amendments
also state that a citizen has standing to take court action against
the Federal Government or any other authority in violation of the
mandatory requirements of the Act. New York and several other states
authorize environmental advisory boards at the municipal level. The
very existence of these boards requires the municipal official to
consider their input.
PRACTICAL REQUIREMENTS
There is a growing tendency for citizens to sue or to complain to the
funding federal agency when they feel there is bad faith on the part
of a city official. If citizens are dissatisfied with the way the
environment is being managed, and they have no way to make substantive
input to the process, they have only to find an infraction of the
regulations to delay projects, and do great damage to the municipal
budget. Federal grant regulations are complex, and it is difficult
for an official to be in compliance with all regulations.
CITIZEN PARTICIPATION MECHANISMS
Any effective participation mechanism must allow for two elements:
education of the citizens and the response of the planners and offi-
cials to the citizens. In order to insure intelligent, objective
participation by the public, the public must understand the nature of
the problem, all the possible solutions, and the costs of these solu-
tions. The municipal official, on the other hand, must respond to
the input of the citizens, and insure that their input will have an
impact.
Three public participation mechanisms which can include these elements
wij1 be discussed here: public hearings, advisory boards, and work-
shops .
PUBLIC HEARINGS
Public hearings, though most prevalent, are not necessarily the best
means for participation. There is one major problem with hearings:
the inability of citizens to be sure that they have had an impact on
the planning process. Hearings allow little opportunity for construc-
tive feedback from the hearing officer on whether the public's views
have influenced him or not. If the public feels that they have had no
impact through the hearing process, frustration builds. Such frustra-
tion may lead to civil suits, court injunctions, and delays in project
implementat ion.
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ADVISORY BOARDS
Citizen advisory boards are more acceptable because they allow two-
way communication. The boards provide the municipal officials with
a channel for dissemination of information to the community and also
provide the public with the opportunity to convey its values and
viewpoints to the planner. Boards are also useful in helping a
municipal official anticipate public reactions.
Problems may arise, however, which can hinder the effectiveness of
the boards. The board members may be unsure as to their function and/
or may be inadequately prepared to evaluate technical information and
offer substantive advice. City officials may find it impractical to
heed the board's advice.
Many of the problems encountered with public hearings and advisory
boards can be avoided, or at least decreased, if the city official
realizes early the need for a mutually supportive, two-way relation-
ship with the public. The third participation mechanism being dis-
cussed here, workshops, provides the framework for this two-way
relationship, and should be utilized in conjunction with public hear-
ings and advisory boards.
WORKSHOPS
Workshops are excellent teaching mechanisms which allow timely and
substantive input from citizens and planners alike. They provide
interested citizens with the tools to make intelligent decisions and
they provide planners with data and alternatives.
The workshops should be oriented to a particular project or issue.
If the workshops are being utilized to encourage general participation,
or to initiate a city-wide citizen advisory board, it is still advis-
able to plan them around a specific problem. This will provide all
participants with "something to get their teeth into." It will also
provide a model for holding future workshops, where solving a particu-
lar problem may be an imperative.
An advisable strategy for the workshops is to hold separate sessions
for the citizens and city officials, in preparation for the two groups
actually getting together.
For the citizens, the workshops should include the following:
(1) The legal requirements for participation. The implications
of the law should be delineated in practical terms (e.g.,
what information is required to be provided, what partici-
pation mechanisms may be set up, etc.).
(2) An examination of the process of the workshop subject.
This should include the administrative stages of the plan-
IV-13
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ning and implementation process, and a relatively non-
technical discussion of the planning principles and
technology being applied.
(3) A discussion of the advantages and disadvantages of
different citizen participation mechanisms. Advisory
boards, workshops, public hearings, as well as lobbying,
lawsuits, and the concept of citizen advocates should be
discussed. Practical operational problems of making in-
put such as organizing citizen leadership, obtaining
technical consultants, and timing actions appropriately
need to be explained.
(k) Utilization of case studies. Case studies are recommended
here in order to give citizens experience in evaluating
alternatives and making group decisions. The case studies
should concern different citizen actions, as well as
different planning decisions related to the workshop sub-
ject.
Much of the information provided for the citizens should be provided
for the planners and city officials, although from a different per-
spective. For instance, the practical delineation of the legal
requirements for participation would include when and how the public
should be notified of projects, what information should be provided,
etc.
The planners should also be given:
(1) Advice as to methods of implementing participation. Th i s
would not only include mechanisms that may be utilized,
but practical means of implementing them (e.g., who should
be represented on a board, how these people should be
selected, what role the board has, etc.).
(2) Effective means of notification of citizens. Early and
wide-spread notification of the public of all plans and
meetings is essential to the prevention of project delay.
More publicity is needed than just an item in the notices
section of the newspaper.
(3) Utilization of case studies. Case studies for the
planners should concentrate on successful and unsuccess-
ful means of implementing participation. Planners should
be shown what has happened in the past, and be given the
tools to deal with similar problems that they may face.
Once the citizens and planners or officials have been given all the
information they will need to work effectively with each other in the
municipal environmental process, they should be brought together in
order to formulate plans for on-going cooperation. Role playing might
be utilized here, and the dynamics of group process illustrated through
IV-14
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problem-solving exercises.
One fact which is not widely known is that the cost of workshops, like
public hearings, is an allowable expense under federal construction
and planning grant regulations. This means that seventy-five percent
of the cost of a workshop connected with a specific project will be
paid for by the Federal Government.
POINTS TO REMEMBER IN IMPLEMENTING CITIZEN PARTICIPATION
Whichever mechanism, or combination of mechanisms, you choose, there are
several points that should be kept in mind. First, the citizen partici-
pation mechanism must not be merely a public relations effort. Citizens
are now sophisticated enough to see through a sham. Experience has
shown that if citizens do not feel that the established mechanism is
serving a functional purpose, they will not hesitate to establish their
own mechanism, whether it be picketing, organizing a separate citizen's
group for lobbying purposes, or going to court.
Citizens and municipal officials must have a clear understanding of their
individual role in the mechanism. Conflicting expectations by the
citizens and the planners can render the mechanism ineffective. For
example, if the role of a board is simply defined as "to make input,"
citizens often assume they are to make policy. The planner, on the other
hand, may assume that they are only to give advice. When this situation
occurs, bad faith is charged and conflict develops. A recent sample of
this occurred at the Columbia Point Health Center, in Boston. The Center
Director felt that his advisory board had no decision making authority.
When he chose to ignore their input, the board and the citizens repre-
sented by the board became extremely frustrated. In this case, actual
violence broke out."
Finally, it must be remembered that timing is important in the imple-
mentation of citizen participation. The board must be consulted, the
public hearing held, or the workshop must be run prior to the decisions
being made. Timing makes the difference between active participation
and after-the-fact review.
Effective participation, if properly implemented early in the planning
process, will help reduce conflict and increase the long-term efficiency
of your municipal process.
*See "Seige at Columbia Point," Time Magazine, October 30, 1972.
IV-15
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APPENDIX: A SUGGESTED BIBLIOGRAPHY
I. Dynes, R. R., and Wagner, D. E., A Model of Community Problem Solving
and Selected Empirical Applications, Ohio State University, Columbus.
Ohio Water Resources Center Project Completion Report No, 3^3X, (Decem-
ber 31, 1971).
2. EPA Citizens' Builetin, case study prepared by the U. S. Environmental
Protection Agency.
3. Faltermayer, E. K., Redoing America: A Nationwide Report on How to
Hake our Cities and Suburbs Livable, Harper and Row, New York (1968).
In chapter three, "Can A Democracy Reshape its Environment?",
the author discusses citizen participation in the plan-
ning process. In chapter six, "A War on Ugliness," the
author proposes that individual communities, with federal
or state help, undertake a revamping program and rid them-
selves of their particular eyesores.
4. Godschalk, D. R., "Negotiate: An Experimental Planning Game," in San-
off, Henry and Cohn, Sidney, ed., Edra I: Proceedings of the First
Annual Environmental Design Research Association Conference, pp.345~349-
The author lists game situation and roles, game rules and
payoffs, and evaluation of a collaborative planning game,
hypothesizing that collaborative planning plays a "posi-
tive role. ...in community innovation diffusion and com-
munity conflict resolution."
5. Havlick, S. W., Can Citizens Invent Their Future — Case Study Observa-
tions of Public Participation in Environmental Management, Michigan
University, Ann Arbor. In: Proceedings of the Symposium on Social
and Economic Aspects of Water Resources Development, Cornell University,
Ithaca (June 21-23, 1971), The American Water Resources Association,
Urbana, Illinois, pp. 61-65 (1972).
6. Ryan, M. P., "The Role of Citizen Advisory Boards in Administration
of Natural Resources," in Sherrod, H. Floyd, Jr. (ed.), Environment
Law Review, Sage Hill Publishers, Inc., Albany, and Clark Boardman
Company, Ltd., New York, pp. 65-89 (1972).
7- Tucker, R. C., Planners as a "Public" in Water Resources Public Par-
ticipation Programs, National Water Commission, Arlington, Virginia
Water Resources Bulletin, Paper No. 72023, Vol. 8, No. 2, pp. 257-265
(April, 1972).
8. Winder, J. S., Jr., "Citizens Groups, the Law and the Environment," in
Sherrod, H. Floyd, Jr., ed., Environment Law Review, Sage Hill Publishers,
Inc., Albany, and Clark Boardman Company, Ltd., New York, pp. 40-50 (1970
IV-16
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CHAPTER V: STRATEGIES FOR MANAGING THE ENVIRONMENT
In the past, when a government official was asked what his agency was
doing to improve the quality of the environment, his response was nebulous
at best. A federal or state official might have discussed his ineffec-
tive environmental quality standards, or pointed out that environmental
problems were the responsibility of local governments. A local official
might have pointed to collection and disposal methods of solid waste or
to a sewage treatment plant.
If an environmental crisis, such as the severe pollution of a nearby
stream, were to occur, governments had very few means of solving that
immediate problem. Their alternative responses included: ignoring the
problem and hoping that it would improve itself; if the source of the
pollutant could be identified, talking to the polluters in the hope
that they would improve the situation; if a nuisance did exist, threat-
ening or initiating a legal action, and applying political pressure or
economic sanction on the major polluter.
The ineffectiveness of the traditional approaches toward environmental
management is realized when one looks at the multitude of environmental
problems today. During the past few years, all levels of government have
begun both to develop and test new strategies for environmental management
and to modify the traditional strategies for today's problems. The
National Conference on Managing the Environment was an attempt to see how
far governments have come in developing processes and techniques for
managing human and natural resources for improving environmental quality.
Since the complexity of environmental management can be overwhelming,
even to a knowledgeable observer, a rather simple framework is presented
as an aid to understanding the involvement of government in environmental
management. For example, the issue of controlled or restricted growth
could be viewed from many perspectives, as a policy statement outlining
some goals, a plan for action or an enforcing process. Although this
framework, as presented in Figure 1, has some obvious weaknesses, such
as drawing a sharp dichotomy between policy and action (ends and means),
it does clarify the relationship and develop a typology of various
environmental strategies. The framework identifies four basic categories
of strategies for managing the environment:
Pol icy Goals, which are general statements outlining the
overall improvement of environmental quality and the quality
of life:
Strategic Objectives, which are specific policy objectives
such as limitations or controls on growth, restoration of
the damaged environment, controls on the discharge of pol-
lutants and controls on the use and misuse of natural resources;
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Figure 1.
STRATEGIES FOR MANAGING THE ENVIRONMENT: A CONCEPTUAL FRAMEWORK"
POLICY GOAL
Improve Environmental Quality
POLICY
LEVEL
1.
2.
3.
k.
STRATEGIC OBJECTIVES
Limiting Growth
Restoring the Damaged Environment
Controlling Discharge of Pollutants
Controlling the Use of Natural
Resources
STRATEGIC ACTIONS
1.
2.
3.
Comprehensive Planning
Environmental Quality Standards
Environmental Impact Statements
ACTION
LEVEL
ENFORCEMENT ACTIONS
1 . Land Use Controls
2. Law Suits
3. Economic Incentives and Penalties
k. Monitoring Environmental Quality
5. Mori tori a
"For a detailed discassion, see Lyle J. Sumek, "A Conceptual Model
for Environmental Management," an unpublished paper. The paper
can be obtained through the Graduate School of Public Affairs,
University of Colorado.
V-2
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Strategic Actions, which are broad actions such as compre-
hensive planning, assessment of environmental impact, and
adoption of standards for environmental quality; and
Enforcement Actions, which are designed to compel compliance
with the strategic objectives and actions such as land use
controls, law suits, economic incentives and penalties,
moritoria, and monitoring environmental quality.
Three related factors which affect the development of environmental
management strategies are the current state of technical knowledge and
research progress on the environment, the construction and modifi-
cation of equipment and facilities and the organizational arrangements
for administering environmental management programs.
In using the framework, this paper focuses on new actions which are
being taken by governments to improve the quality of the physical and
social environment. The purposes here are: to provide a model for
understanding the interrelationships between the adoption and imple-
mentation of policy and strategic environmental management actions
taken by governmental bodies; to analyze the various ideas evolving out
of papers and panel presentations at the National Conference for
Managing the Environment; to identify and analyze innovative actions
taken by local government, with the realization that many of these
innovative actions, while appropriate in one setting, may need to
be adapted to the needs and constraints of a new setting; and to
analyze the modification of more traditional actions in environmental
management which are being adapted for use in different problem
areas.
UNDERLYING ASSUMPTIONS OF ENVIRONMENTAL MANAGEMENT
The new strategies for managing the environment are generally looked at
in terms of maintaining the ecosystem in a dynamic state of equilibrium,
of improving and restoring environmental quality, and of retaining the
value of materials throughout the ecosystem. The ecosystem is defined
as stable when the different members mutually support the continued
existence of other members in the system. In order to help understand
the changes in recent environmental management strategies, an appropriate
starting point would be to analyze the changes in underlying assumptions
which function to guide programs for improving environmental quality
and the use of natural resources.
Natural Resources as Finite
In the past, the natural resources of the earth were viewed as being
infinite. Man could consume as much of the resources as he needed
without worrying about running out of resources. The inaccuracy of
V-3
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this assumption is vividly demonstrated in the depletion of energy
sources in the United States which has resulted into today's energy
shortage. Environmental managers have begun to view the earth as a
closed system with limited amounts of resources. Man is dependent
upon the life support systems of our planet: food, oxygen, and dis-
posal of waste. A smooth-functioning system is necessary if man is
to survive. The stability of the ecosystem depends in large part
upon its complexity. However, man has been turning fields into
buildings, thus reducing the complexity of the earth's ecosystem and
increasing the danger of a large-scale malfunction of the life support
system. One only needs to look around to identify various visible
breakdowns in the system which threatens man's survival.
Han-Nature Symbiosis
Since his first days on earth, man has viewed nature as a hostile
force with which he must contend. In order to survive, he thought
that he must dominate it; have the right to control it to fulfill his
needs for survival; and if necessary, exploit it without regard to
the consequences. The disappearance of many wildlife species and the
scars on the earth's surface left from strip mining are monuments to
this falsehood. Environmental managers are realizing that man must
learn to live as part of nature. Since man is living in an age of
science, he may have to abandon some traditional values and some crude,
destructive technologies which attempt to control nature. He is learn-
ing to regard nature with more respect so that his way of life and use
of technology are more in harmony with nature.
Scarcity of Natural Resources
Scarcity in the environmental context is defined as the lack of fulfill-
ment of man's needs and economic growth. With the increased automation
of production and the accompanying rise of affluence, man has come to
have more artificial needs. For many-, a high standard of living is
achieved through a high consumption rate and hence quantity counts more
than quality of life. Furthermore, he appears more concerned about the
scarcity of consumable products than the scarcity of certain wildlife
species. To meet his demands, more and more resources were used with-
out question. This has resulted in the environmental manager defining
scarcity in terms of natural resources. In many communities citizens are
facing a shortage of drinking water and the disappearance of the natural
envi ronment.
New Technologies for Nature
Since the linkage of science and technology during the middle of the
nineteenth century, man has attempted to accumulate more and more
technology without questioning either the ultimate goal or uses of
M-k
-------
technology or the consequences of its use. Technological development
has become a goal rather than a means. Man cannot reject science and
technology to retreat to a more primitive state. It has become a vital
part of our civilization. Since it would be impossible at this point
in time to give up our present level of knowledge, the environmental
manager must accept the consequences of our past uses of technology and
realize that continued use of these old technologies may result in some
form of eco-disaster.
Thus, new strategies for managing the environment are being developed,
based upon the new set of assumptions. For example, new air and water
environmental quality standards and enforcement processes are aimed at
maintaining, and hopefully restoring, some stability in the ecosystem.
The improved quality of polluting discharges has resulted in the re-
vital ization of lakes and rivers previously considered dead. In addi-
tion, the assessment of environmental consequences of programs and
projects is attempting to improve the relationship between man and
nature, to reduce the likelihood of further elimination of some natural
resources, and to limit technological ravaging of nature. Environmental
managers are becoming guardians of the earth's resources.
ADOPTION OF ENVIRONMENTAL POLICY STATEMENT
One of the first steps taken by many local governments has been the
adoption of a policy statement concerning environmental quality and out-
lining environmental management programs. Before we progress too far,
it may be appropriate to clarify what a policy statement contains. In
"The Study of Policy Content," Austin Ranney has identified five major
components of any policy statement, including: a particular object or
set of objects which are to be effected; a desired course of actions
detailing a sequence of desired behaviors; selected lines of actions
which delineate one course of action selected from many; a declaration
of intent which is a statement of what policy makers intend to do; how,
and why,- and implementation of the intent.* In the environmental
policy area, like other policy areas, the adopted statements have
emphasized different components. Some policy statements, in primarily
addressing themselves to identifying the set of objects and a declara-
tion of intent, formulate a general environmental goal. Yet, other
policy statements, !n detailing different courses of action, stress the
development of strategic objectives for environmental management. It
should be noted that there will be elements of both general goals and
strategic objectives in any policy statement adopted by a governmental
body.
^Austin Ranney (ed.), Pol itical Science and Public Policy, Chicago:
Markham Publishing Company.1968.
V-5
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General Environmental Goals
In recent years, many governmental bodies have developed and adopted
a general environmental statement. Before going on, it is important
to make the distinction between official policies and operating
policies. In many cases, the official policies adopted by the legis-
lative body may not be reflected in the -'ay-to-day administration of
environmental programs.
The federal government was one of the first to act when the National
Environmental Policy Act (NEPA) was passed in 1969- The act outlines
a national policy which encourages productive and enjoyable harmony
between man and his environment, promotes efforts which will prevent
or eliminate damage to the environment and biosphere and stimulate
the health and welfare of man, and enriches the understanding of the
ecological system and natural resources important to the nation. The
intent of this general policy statement was to declare that:
It is the continuing of the federal government, in
cooperation with state and local governments, to use all
practical means and measures including financial and
technical assistance in a manner calculated to foster
and promote the general welfare, to create and maintain
conditions under which man and nature can exist in pro-
ductive harmony, and fulfill the social, economic and
other requirements of present and future generations of
America.
NEPA also pointed out the areas of federal responsibility for environ-
mental management. The federal responsibilities include: (1) ful-
fillment of the responsibilities of each generation as a trustee of
the environment for succeeding generations; (2) assuring that all
Americans have safe, helpful, productive, esthetic and culturally
pleasing surroundings; (3) attainment of the widest range of beneficial
uses of the environment without degradation, risk to safety of health,
or other undesirable and unintended consequences; (k) preservation of
important historical, cultural, and natural aspects of our national
heritage; (5) maintenance of an environment which supports diversity
and a variety of choice; (6) achievement of a balance between popula-
tion and resource use which permits high standards of living and a wide
sharing of life's amenities; and, (7) enhancement of the quality of
renewable resources and approach the maximum attainable recycling of
depletable resources.
One of the more controversial aspects of NEPA was a statement in which
each person was originally granted the right to a healthful environment.
After considering the objections, Congress modified the act to reflect
that each person should enjoy a healthful environment and has a responsi-
bility to contribute to the preservation and enhancement of the environ-
ment. However, at least seven states has guaranteed to their citizens
the right to clean air and water in the state constitution.
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Thus, NEPA outlines a general policy which is to be used to guide
environmental programs and actions of the federal government. It should
be emphasized that many of the goals in NEPA are in disagreement with
the goals of other legislation. For example, the environmental concerns
as expressed in NEPA may be in conflict with some aspects of federal
highway programs. Only through the implementation of various actions
for managing the environment will the conflicts be resolved and the
operating environmental policy be clarified.
At the local level many cities are adopting their own general environ-
mental policy statements in the form of a "mini NEPA" ordinance, reso-
lution on the environment, or statement in the comprehensive plan. In
a recent survey conducted by ICMA, it was found that just under twenty
percent of the respondents had adopted some formal general environmental
statement on policy and goals while fifty-seven percent had not.* The
remaining twenty-three percent are presently considering adoption of
some form of general environmental goals. Furthermore, of the cities
with a population of over 500,000, more than half have adopted environ-
mental policies. It is not surprising that local governments followed
the lead of the federal government with most of the environmental policy
statements being adopted in 1971 and 1972.
A typical environmental policy at the local level is reflected in the
statement adopted in November 1972 by Westminster, California. The
environmental element of the comprehensive plan states that "the policy
of the citizens and the government of Westminster is to enhance and
maintain property to high esthetic standards, minimize adverse environ-
mental impact of urbanization and industrialization, and eliminate de-
teriorating environmental situations or processes in order to achieve a
community compatible to wholesome psychological, physiological and socio-
logical growth."
Strategic Objectives
A second type of policy statement which can be adopted by governmental
agencies involves the adoption of a specific objective for city opera-
tions. Generally, four major types of strategic objectives are commonly
being adopted by local governments. They include the control and
possible limitation of growth within a community, the control of pollu-
tion discharges into the natural environment, the prevention of further
deterioration ef natural resources and environmental quality, and the
restoration of environmental quality in areas where pollution has taken
its toll on the ecosystem. Since it is impossible to analyze all four
strategic objectives, here the focus is on managing growth.
*See Steve Carter, Murray Frost, and Lyle Sumek, Environmental Management
and Local Government:Problems and Perceptions. A report conducted under
the Environmental Studies Division and prepared for the Office of
Research and Development, U.S. Environmental Protection Agency, 1973-
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At a national conference, sponsored by the Rockefeller Brothers Fund,
on May 2k, a task force chaired by Laurence Rockefeller reported on
land use and urban growth.- The group's policy statement calls for the
abandonment of the deeply ingrained idea that private ownership of land
carries with it the right to develop the land. After much study and
analysis, they arrived at three major conclusions. First, the task
force identified a new mood which is reflected in the public demand for
no more growth at any price. At the local level, that attitude has
manifested itself in the establishment of a growth ceiling in Boca
Raton, Florida, the land use regulations along the coastline in Cali-
fornia, and the purchase of land for greenbelt development in Boulder,
Colorado. Second, the task force concluded that increases in popula-
tion and the accompanying demand for new homes and housing and other
forms of services will continue well into the twenty-first century.
Those pressures will be compounded by the continued rise in family
income and level and personal consumption. For many local governments
who are presently using the maximum natural resources (e.g., present
municipal use of available water), this means that some alternative
strategy for managing growth must be developed in order to avoid disas-
ters. Finally, the task force concluded that the success in reconciling
political pressures for growth and the demands for a better quality
environment will depend on guiding and restricting development without
necessarily compensating owners for restrictive use and possible decrease
in market value. They called for the development of new protective
regulations regarding open space.
During the Conference's workshop on growth, Martin Johnson, Secretary
of the Agency of Environmental Conservation, the State of Vermont,
stated that growth must be limited for the good of everyone. However,
before developing strategic objectives on growth limitation, the region's
carrying capacity should be determined. In his paper "The Concept of
Carrying Capacity," found in the latter part of this chapter, A. Bruce
Bishop, Assistant Professor of Civil and Environmental Engineering,
Utah State University, defines its use in terms of biological or physi-
cal relationships between a given resource stock and its maximum
sustained yield. A determination is made as to the maximum number of
individuals of a species that can be supported by a given habitat under
various conditions of stress. A common question asked is: what is the
capacity of the reservoir and the river downstream to maintain natural
water quality levels and continue the support of existing ecosystems
This is particularly important to local governments which are reaching
the limits on their water supply. Other questions include: what will
be the impact of air quality conditions with increased traffic and
housing and commercial developments? What animals and plants will be
displaced by further development of open space? The carrying capacity
-The Use of Land:A Citizen's Policy Guide to Urban Growth, New York:
Crowell, 1973-
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is a concept that has a rather long history in resource management,
particularly as it relates to the limiting of livestock according to
available food supply and water. In concluding, Mr. Bishop points out
that the similarities among natural ecological systems suggest the use
of a new broader method of describing resources of the human environ-
ment for environmental management.
In conjunction with the research on the carrying capacity of a region,
it may be important to conduct an environmental resources inventory
analysis. Roger Hanson, Executive Director, The Rocky Mountain Center
on the Environment, suggested during the growth workshop that environ-
mental managers must have a valid environmental data base as a start-
ing point for the development for any growth policy. This inventory
would identify and locate of the major elements of the ecosystem in-
cluding climate, geology landforms, surface water, botanical biomes,
wildlife species and historical and cultural landmarks and current land
use patterns. In the long run, this data could be used as a basis for
enforcement that is scientifically and legally defensible.
According to Martin Johnson, once the data is developed, environmental
managers can proceed with a three step plan. First, social goals need to be
developed and defined including the opportunity for health, happiness,
education, recreation, and diversity of experience. Second, in develop-
ing a plan for achieving the goal, a comprehensive approach must be
taken considering the availability of resources in the region and the
state of the environment. This plan could be incorporated in the
environmental section of the comprehensive land use plan and should
include settlement patterns, transportation patterns networks, economic
base, energy requirements, natural resources, recreation facilities,
among some. Finally, enforcing or policing powers must be developed to
regulate the implementation of this strategic objective.
Summary
In developing either a general environmental policy statement or strategic
objectives, environmental managers must keep in mind, or avoid displacing,
these goals through an overcommitment to specific environmental actions.
In other words, they must keep in mind the overall goals and objectives
of the environmental policy when developing and implementing various
actions such as environmental impact statements, development of standards,
land use controls, and legal actions. Besides this warning, there are
two potential problematic consequences which should be mentioned. First,
environmental decision makers may believe strategic actions alone will be
sufficient and that no further action, strategy or enforcement is neces-
sary. In many ways, it is easier in the political arena to adopt a
general policy statement and strategic objective without developing the
necessary enforcing actions. A second problem relates to the adoption of
various enforcing actions without a policy framework which can serve to
provide direction and to integrate the various types of actions into a
coherent plan for managing the environment. With these environmental
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policies in mind, we now can turn to specific actions that local govern-
ments can take to manage the environment.
ACTIONS FOR ENVIRONMENTAL MANAGEMENT
After a policy statement is adopted, or in some cases before, there is
a need for developing specific actions which will promote the achieve-
ment of these goals and objectives. First, is the need for strategic
actions which involve the development of programs for improving envi-
ronmental quality without enforcing procedures. Examples of such
actions are a cost benefit analysis of the environmental impact state-
ments, the development of a comprehensive land use plan which outlines
the direction for promoting environmental quality, and the development
of environmental quality standards. To regulate and promote the stra-
tegic objectives and actions, enforcing actions are required. They
include such things as economic incentives and penalties, legal action,
land use controls through zoning, subdivisions and purchases of lands
for greenbelts, monitoring, and other related regulatory processes.
Strategic Actions
Strategic actions, as defined briefly in the preceeding paragraph, are
designed to delineate the processes for the achievement of the strategic
object ives.
Comprehensive Planning - One of the more traditional strategic actions
is comprehensive land use planning. This involves the development of an
environmental section in the land use plan which outlines the land use pat-
terns, human environmental perspective, an inventory of the natural
resources within the community, and future planned use development which
would minimize environmental damage.
In the Anthology, Edward J. Kaiser and others pointed out that the re-
definition and reorganization of comprehensive planning to reflect
environmental objectives is being accomplished through two different
means." First, many local governments are adding a new section to the
total planning program, focusing on the environment and paralleling it
to other sectors on economic development, social policy and transporta-
tion. Los Angeles added a new segment to the general plan with the intent
of it (1) serving as a comprehensive guide for the various govern-
mental and public agencies to identify the interrelationships between
the various aspects or dimensions of environmental problems, (2) providing
-Edward J. Kaiser, et.al. "Land use Planning:The Cornerstone of Local
Environmental Planning and Control," An Anthology of Selected Readings
for the Conference on Managing the Environment, pp. IV-15-19.
V-10
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a specific policy recommendation needed for the formulation of standards
and legislation relating to environmental quality, (3) presenting guide-
lines for modifying city procedures in order to minimize negative impact
of city operation on the environment, and (^) a comprehensive data
source pertaining to environmental factors.
A second way in which comprehensive planning is being redefined is in its
realignment to exclude the relationships, both supporting and conflicting.
Among the objectives of many urban systems are analyses to develop re-
solutions among them. This directly involves realignment of community
objectives of environmental concerns. In Albuquerque, Bernallio county,
the County Planning Department published a discussion of community goals
within the context of long-term environmental constraints. The first
option would require stringent public controls on growth and the modi-
fication of current trends in terms of deteriorating environmental
quality. The second approach would directly alter the current trends
for optimal long-term environmental quality. While the first strategy
would call for standards for location and control of development rates,
the second strategy would allow for improving land through land develop-
ment. These two examples of how land use comprehensive planning is
changing reflect the planner's increased concerns for environmental
quali ty.
Environmental Impact Statement - A second strategic action which govern-
ments can take is the development of a process for assessing the poten-
tial impact of projects and programs. This assessment process has taken
a number of forms from benefit cost analysis of various alternatives
according to their potential environmental damage to impact assessment
reports which summarize economic, social and physical consequences of a
particular development.
As a result of NEPA the federal government has assumed a leading role
in defining and developing environmental impact statement processes.
In the last few years, the process for developing and writing impact
statements has undergone several sets of guidelines; in fact, the
Council on Environmental Quality (CEQ) is now in the process of finalizing
a new set of guidelines. In the Anthology, Lyle Sumek summarized some
of the major problems in implementing environmental impact statement
processes: (1) implementation has been inconsistent with lengthy state-
ments on minor projects and no statements on major programs; (2) the
financial costs of conducting the assessment have not been adequately
covered; (3) authors of impact statements lack technical expertise;
(4) the lengthy period for preparing and writing the statements has
resulted in delays and the discouragement of applicants; and (5) the
procedure for meeting NEPA requirements has taken precedent over the
substantive content of impact statements."
*Lyle Sumek, "Environmental Impact Statements: More Myth than Reality,"
An Anthology of Selected Readings for the National Conference on Managing
the Environment, p. IV-51.
V-ll
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in 1970, California passed the Environmental Quality Act of 1970 which
directs all local governments to make environmental impact reports on
any project they intend to carry out and which may have significant
environmental effect. In clarifying some confusing points, the Cali-
fornia Supreme Court ruled in Friends of_ Mammoth y_._ Board of Supervi-
sors of Mono County that impact assessment reports were reqUTred for
al 1 public and private projects in cases where local government could
be denied approval. The immediate decision of many local governments
was to place moritoriums on building permits and rezonings.
One of the first cities to develop an impact statement process was
Inglewood, California. Douglas Ayres, City Manager, in describing his
city's approach to environmental impact statements during the conference
workshop on "Comprehensive Planning", said:
It seems to us that the analysis of an environmental
impact from the physical standpoint such as that done
by many jurisdictions was simply inadequate since our
particular jurisdiction is in a metropolitan area of
some ten million people and has only 93,000 population
right in the middle of it. Our control over air, water
and solid waste pollution was really pretty much geo-
graphically limited as to the way we could control it.
Subsequently we developed a review of those subjects
on which we could have an impact and called it Total
Impact Analysis. (TIA)
The objectives of TIA were to focus attention on existing environmental
problems and the generating solutions, to integrate environmental con-
cerns of the community, to broaden the scope of environmental concerns,
to improve the public decision making process as it affects the commu-
nity and to involve community participants in contributing to environ-
mental improvement. In an attempt to assess both positive and negative
effects of a particular project, Inglewood developed the impact rating
and quantification sheet which lists environmental, social, economic
variables which might be affected. in each case, every variable is
assigned two numbers: (1) one value reflects the amount (severity) of
the impact and (2) another reflects the relative importance of this
impact unit as compared to the others. Professional judgment, ques-
tionnaires and some forms of group decision making are used to determine
appropriate values. Then, these two quantities are multiplied, result-
ing in impact unit totals for each variable. Next, a dollar value is
assigned to each impact unit and this is multiplied by the previous
figure to arrive at an estimate of the net social costs and benefits.
The comparison of costs and benefits would enable the decision maker to
judge the desirability of a project. Thus far, three environmental
impact studies have been completed: (1) a sewage site for a water
treatment plant, (2) the construction and operating of the plant, and
(3) a study of an alternative freeway route. Mr. Ayres admitted that
the process was more a way of demonstrating the coordination of effects
and programs to various departmental officials than a substantive assess-
ment of environmental impact.
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During the same workshop, Robert Einsweiler, a planning consultant,
formerly a planner with the Metropolitan Council for Twin Cities, posed
the question: Why not an impact statement on comprehensive plans? He
pointed out that the project-oriented impact statement process is a weak
one, being hampered by a log-jam of statements, a delay near the action
phase of a project, a focusing on a limited effect with limited con-
sideration of secondary consequences, not linked to planning and program
budget ing,and inadequate treatment or recognition of alternatives.
While focusing on a single project, impact statements may be asked to
cover the full range of issues surrounding a general policy. While not
offering a solution, Mr.Einsweiler pointed out some of the benefits that
could arise from having an impact statement on a comprehensive general
plan. These benefits included the following: (l) the elevation of the
status of land use planning in public decision making, (2) the introduction
of greater environmental sensitivity into planning agencies, (3) the
elevation of some issues to city-wide, regional, or state issues, (i.e.,
the urban land use of prime agricultural land in Minnesota), and (k) the
familiarity of planners with the objectives of impact assessment, since they
are more acquainted with trade-off analysis than the functional agencies
responsible for the program. In supplementing Mr. Einsweiler's list,
one could add that a less biased assessment would be performed by the
planning agency, resulting in less program justification and more ap-
praisal of environmental consequences. Also, a wider range of issues and
alternatives may be generated by looking at more policy issues and vari-
ables than the ones currently being assessed. The impact statement on
comprehensive plans is not without its faults since it would lengthen the
planning process.
If an impact statement is written on a comprehensive plan, there may be
no need to write impact statements on each individual project or program
if it falls in line with the comprehensive plan. However, for projects
falling outside or modifying the comprehensive plan, then an impact assess-
ment could be made. This might result in less need for staff, less need
for funding for environmental impact statement writing and reviewing.
Ultimately- it might lead to a smoother process, one not plagued by delays.
Environmental Quality Standards - A final strategic action which can be
used by governments is the development of standards for the quality of
the environment. In addressing the issue of standards, an immediate
question becomes: who has the authority for developing the environmental
standards? During the workshop on "Standards of the Environment,"
Mr. William Blaser, former director of the Illinois Environmental
Protection Agency, pointed out that the issue of environmental standards
requires joint responsibility particularly between state and local
governments, in order to avoid the confusion and possible conflict due
to many levels of government being involved in the process. He sug-
gested that one improvement could be made in management systems by the
adoption of an identical standard.
In analyzing the issue of fixed versus variable environmental standards,
Robert Pikul, of MITRE Corporation, argued for variable environmental
V-13
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standards with respect to time, space, categories. The major objections
to variable standards are that they can result in inequitable treatment
of sources; for if your discharge into the environment is being controlled
more stringently than a neighbor's, theoretically you will have a^
higher cost and must be hampered in the marketplace. While this is a
vital concern, Mr. Pikul pointed out that the concept of equity ought
to be brought into view (more broadly including externalities) - cost of
environmental damage. A second objection to variable standards is the
complexity in administrative costs. Although it may be true that fixed
standards are less costly to administer and enforce, it should be
pointed out that the benefits of a variable standard are greater.
Environmental managers would be able to adapt the standard for environ-
mental problems in a particular ecosystem. A third objection is the
effect on the national economy. Mr. Pikul pointed out that if motor
vehicle emissions standards vary from state to state, this would
require the manufacturer to adopt a variety of control devices to meet
the different standards. It would also affect every citizen if he
drove from one state to another with his car, not being able to meet
the standards of the state he was entering."
In a proposal to achieve ambient standards for oxidants in southern Cal-
ifornia, Mr. Pikul pointed out some immediate social and economic impacts
of variable environmental standards: (1) increased cost to automobile
owners of two hundred to four hundred dollars in initial capital and five
to fifteen dollars annual maintenance, (2) increased reliance on car-
pooling and transit, (3) reduced mobility, (k) a potential cost of income
due to decreased mobility, (5) economic curtailment of automotive service
and supply facilities, (6) changes in property value, (7) reduced taxes, and
(8) potential development of effective rapid transit. The acceptance of
variable standards in different geographic locations may also allow peo-
ple to make a choice regarding where they want to live based upon the
risk they want to associate with deteriorating air quality. Mr. Pikul
concluded that more analysis is needed before any decision is made.
In developing environmental quality standards, many factors have to be
considered: political, economic, and social. But once the standards
are developed, then enforcing techniques are needed to assure the compliance
with the environmental quality standards as outlined in various public
policies of a strategic objective, where a governmental body adopts a
policy concerning a specific objective. In developing these standards,
Mr. Blaser pointed out the great importance of "people standards." He
suggested that people standards are as important as scientifically devel-
oped standards since environmental managers must not only look at the
chemistry, but also at the sociological and psychological dimensions of
the environmental problem.
For a detailed discussion, see Robert Pikul, "Fixed Versus Variable
Environmental Standards" in the latter part of this chapter.
V-H
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In interpreting the Clean Air Act of 1970, the Supreme Court ruled
that states must maintain air quality at least equal to present level,
even if deteriorated quality would still meet federal standards. In
a deadlocked four to four vote, the Court endorsed the decision by
the Federal District Court for the District of Columbia, which was
based in part on a policy of nondegradation of existing clean air and
that Congress intended to maintain or lower air pollution levels. The
federal government had argued that such strict controls would dis-
courage economic expansion into areas of clean air and possibly inhibit
population expansion into previously unoccupied lands. The immediate
effect has been to prohibit EPA from approving any state air quality
plan that would allow air quality to deteriorate. Prior to the deci-
sion, EPA had disapproved all pending state plans since none included
assurances that the present quality of the air would be maintained.
Enforcement Action
Once strategic actions are adopted, environmental managers need to have
processes and procedures for enforcing or directing compliance. For
example, it is not sufficient to develop and adopt environmental quality
standards without some means for making sure potential violations are
avoided. These enforcement actions can be in the form of direct regula-
tions in which a particular pattern of behavior deemed as being undesir-
able is prohibited, with violators facing some direct sanction. Good
examples of this type of enforcing action would be criminal prosecution,
monitoring, and land use regulation. Indirect enforcement actions include
goverment monitoring of the discharge of potential polluters, in the hope
that monitoring by itself will be sufficient to force compliance.
Land Use Controls - One of the oldest enforcing actions is land use con-
trol. During his presentation, Roger Hansen, Executive Director, Rocky
Mountain Center on the Environment, pointed to the ineffectiveness of
traditional land use controls. He stated that irresponsibility in land
use practices due to ineffective land use controls is the basic environ-
mental problem facing the United States. Challenges to the ownership
of property are generally resisted through the use of cliches like "every
man has a right to use his property as he pleases," or "international com-
munist plot." To understand the ineffectiveness of traditional land use
controls, environmental managers need to have some appreciation of their
historical development.
As early as 451 B.C., the Roman Codes stated whoever sets a hedge around
his land shall not exceed the boundaries; in the case of a wall, he shall
leave one foot, in the case of a house, two feet. During the thirteenth
century in England the statute of Winchester commanded land owning lords
to cut any tree or bush which came within two hundred feet of a highway,
so that evil doers could not lurk there. In the United States during the
nineteenth century, Massachusetts adopted several land use controls on
types of buildings and on the industrial siting.
V-15
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In terms of traditional land use controls, Mr. Hanson identified three
major types of controls: private, legislative, and governmental agency.
Private controls involve the unrestricted transfer of a fee for a pur-
pose, conditional fees, trust agreements, easements for scenic and con-
servation purposes, and restrictive covenants. Their use may be the only
effective control in many subdivisions and private developments. Mr.
Hanson points out that these controlling devices use little imagination
and have minimal flexibility.
The second type of traditional land use control is legislative action,
which is generally based on police power regulations such as laws con-
cerning health, welfare, and morals. The police powers in land regulation
are realized particularly in zoning, subdivision regulations, building
codes, plumbing codes, electrical codes, and other codes. He points out
that they have frequently failed because of: (1) an inherent apathy
to the dedication of land use without compensation, (2) the unfeasibi1ity
of enforcement because of local politics, and (3) conflicts between devel-
opers' plans and the comprehensive plan. Enabling legislation inhibits
development of new planning ideas. His final point is reinforced by the
fact that Colorado made planned unit development illegal in thirty counties.
A final type of traditional land use control is control by governmental
agencies. Since one-third of all land in the United States is federally
owned, various administrative agencies at the federal level find it very
easy to control the development and use of those lands. Government own-
ership of streets, parks, forests, recreation areas and Indian Reserva-
tions allows for controlling their use and development. In addition,
the use of eminent domain (taking land for public purposes with compen-
sation), is usually used for highways, but rarely for parks, wildlife
refuges, and other environmental programs. Urban renewal applies only
to particularized local urban areas, generally those where a severe
blighted condition exists. The health boards or pollution control agencies
operate through the use of variants rather than strict compliance to any
strategic objective.
Only recently, local governments have begun to develop new land use control
mechanisms such as the requirement of large lots (forty acres) and the
establishment of growth limitation permits. The legality of some of these
new controls is presently being tested in the courts. For example, Ramapo,
New York, amended its zoning ordinance to create a new special permit
labeled the Residential Development Use. Anyone wanting to use the land
for residential development needed a special permit. It was granted only
when standards were met for the new development. The new ordinance was
vigorously attacked by land owners who claimed a destructive value on
the marketability of their property. In addition, this new ordinance
was a marked departure from the traditional development of the city which
thought that private investing comes first. This case ended up in the
New York Supreme Court where the Ramapo ordinance was upheld. All judges
agreed that they were in opposition to using zoning ordinances for exclu-
sionary purposes and that there was a positive role for the state in land
V-16
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use matters. However, the majority opinion pointed out that there is an
antiquated notion that regulation of land use development is uniquely
a function of local government. Ramapo, in acting on its own, developed
reasonable procedures for appeals and variances which would show developers
how to plan for phased growth. The court decision in effect told the
state legislature to provide new approaches to guiding land development
and to become an active participant in land use controls.
In his presentation Mr. Hanson pointed out that states are beginning to
realize the importance of their role and to impose some forms of land
use controls. He cited several examples: (1) Colorado and Oregon have
adopted stringent requirements for local subdivision regulations; (2)
states are acquiring authority over land use, such as Maryland's control
of the siting of industrial facilities and California's, Maine's, and
Delaware's controlling land use in the coastal zone; (3) the preemption
of local governments to act in coastlines has evolved in Georgia, Michi-
gan and Wisconsin; (k) Hawaii has adopted a two-tiered zone system; zon-
ing by state of all lands into urban, rural, agricultural and conserva-
tion categories with local zoning involving commercial and light industry
within gross state areas; (5) New York and New Mexico have tied capital
expenditures such as airports and water facilities to land use planning;
(6) Vermont has adopted a system of regional bodies controlled by the
state with the responsibility of making major land use decisions; and
(7) New Mexico and Vermont have established regional planning commissions
and a state commission with veto power over land use decisions. Mr.
Hanson concluded that it is clear that state governments are giving up
on the ability of local governments to make and enforce sound land use
decis ions.
At the present time, numerous new strategies for land use control are
emerging. The foundation for these new mechanisms is the development
of some form of environmental inventory which identifies and analyzes
critical environmental factors. The resulting information will provide
a scientific and legally defensible data base for future land use controls.
Mr. Hanson outlined a system of environmental resource inventory analysis.
The system identifies and analyzes major elements of the ecosystem such
as climate, geology, land form, surface, water, botanical and zoological
life, and historical, cultural and present land use. This analysis pro-
vides an in-depth systematic look at the current status of the environment.
Since it would be impossible to identify all major innovations in land
use control, Mr. Hanson listed the following; the first innovation would
be the development of state-wide zoning which classifies land into zones
on a state-wide basis. This provides a broad view of land use which
takes zoning out of the local political environment, where controls have
been fairly weak and ineffective. A second new action would be the develop-
ment of federal land use commissions which would identify "federal land
use decisions." They would provide grant-in-aid programs to improve land
use planning and management at the state level, and be able to force
states to inventory land use resources and develop a state-wide land use
V-17
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plan. The third innovation would be a program of public education indicat-
ing land use patterns as a major source of our environmental problems. It
would involve educating the public that land use controls are profitable
and that greater stability, greater efficiency, and less taxes would re-
sult. Another innovation would be class action suits in which an in-
dividual would be permitted to go to court opposing governmental and other
decisions on land use in an attempt to show personal injuries. A fifth
action would involve the licensing of realtors and subdividers, registra-
tion of subdivisions, and public disclosure statements which would require
that a subdivider not only build a house, but consider a broad view of
the impact of his subdivision on the environment.
A major function of state and local governments is the development of a
planning process to prevent the impairment of the environmental quality.
Land use controls can be an effective means in the fulfillment of this
function. These controls can be used to enforce environmental quality
standards, growth limitations, and comprehensive planning.
Legal Action - A second enforcement action is legal suits.
Beforelegal actions can be initiated, a sound body of environmental laws
and regulations must exist. Over the last thirty years, legal requirements
have developed tremendously as evidenced in air pollution which has pro-
gressed from smoke codes to sophisticated emission standards, designed
to reduce automobile emissions by ninety percent. The focal point has
shifted away from early state and local laws based on the states' police
power to the assumption of greater responsibility by the federal govern-
ment. Federal laws such as NEPA, the 1970 Clean Air Act, and the 1972
amendments to the Water Pollution Control Act provide the necessary frame-
works for legal action.
However, the passage of these environmental laws does not mean that the
programs will be properly administered or effective. In the Anthology,
Joseph Sax stated that:
It may seem ironic that courts are needed to help make the
legislative process work effectively; that citizens must
come to the least democratic of the branches of govern-
ment to make democracy work. But that is one of the in-
triguing questions now bejng explored under the label of
environmental litigation."
During the workshop on legal action, Frank Grad, School of Law, Columbia
University, elaborated on this point when he commented that the law and
J-
"Joseph L. Sax, "Emerging Legal Strategies: Judicial Intervention," The
Anthology of Readings for the National Conference for Managing the
Envi ronment, p~. | V-86.
V-18
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legal developments in environmental protection have only gone as far as
our governmental willingness to enforce them. He claimed that legal
action has been a major generating force in strengthening both strategic
and enforcement actions.
Although there are many issues related to legal action, two major ones
emerged from the workshop. The first issue is the "standing doctrine."
In the past, the court has been reluctant to allow members of the public
to sue since there was a fear that this would result in a plethora of
crank suits. Although cases like the Sierra Club v. Morton have resolved
standing, Mr. Grad pointed out that the Water Pollution Control Act
gives only those with an "interest" the right to intervene rather than
"any citizen," as under the Clean Air Act of 1970. Another aspect of
standing is to confer rights to some new entity such as nature. In
the United States, legal institutions are generally resistant to giving
things "rights" until they can be shown to have a value for themselves,
as demonstrated by the lengthy period of time it took for the southern
slave to obtain his rights. In a recent article Christopher Stone argued
that:
... the environment should have rights is not to say that it
should have every right we can imagine, or ever the same
body of rights as human beings have. Nor is it to say
that everything in the environment should have the same
rights as every other thing in the environment."
In analyzing the legal dimensions, Mr. Stone argued that courts should
be compelled to show how environmental damage was calculated and how
heavily it was weighed. Two positive consequences would result: (1) it
would shift the focus of courtroom testimony and concern; and (2) the
appellate courts through their review and reversal of insignificant find-
ings would build up a body of environmental rights. He pointed out that
the Supreme Court may find itself in the position to award rights in a
way that will contribute to a change of popular consensus. It would be
a move that would further develop environmental strategic objectives
and actions.
A second issue is the use of police power. In his presentation, Henry
Lord, Deputy Attorney General, State of Maryland, argued that the states
are well equipped to deal with environmental problems. As the federal
government has increased its involvement in environmental management, the
police power of the states has been questioned. He pointed out that
the Supreme Court in American Waterways Operators v. Askew has recently
recognized, in an unanimous decision, this problem and resolved it in a
way that gives state officials wide powers to protect natural resources
which they hold in trust for the citizens. He also argued that state
interests take precedence over local interests, since states are better
"Christopher D. Stone, "Should Trees Have Standing? - Toward Legal Rights
for Natural Objects," Southern California Law Review XLV (Spring 1972),
pp. 457-8.
V-19
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at balancing the interjurisdictional environmental costs and benefits.
He cited the wetland as an area where the counties saw its value in terms
of dredging and filling and not of conservation or preservation of natural
resources.
During the past few years, particularly since NEPA's enactment, the
volume of city initiated suits in the courts has increased rapidly. These
suits have attempted to open decision making to citizen input and to force
compliance to laws and administrative regulations. Since the topic of
citizen suits has been addressed in an earlier chapter on citizen partici-
pation, the topic will not be repeated. However, the development of
public interest law firms such as the Environmental Defense Fund (EOF)
and the Natural Resources Defense Council should be discussed. In initi-
ating many suits during the past few years, they have come to play a
leading role in determining and clarifying environmental law. Mr. John
Dienelt, Environmental Defense Fund, described the goal of his organiza-
tion as being to insure that the environment is considered in administra-
tive policy decision making. They have a staff of scientists which re-
view every case before it is taken into court, to determine the technical
correctness of their information. The EOF sees litigation as a means to
an end in which there is co-equal participation in public governmental
policy making and decision making, particularly in the area of the
environment. The firm's effectiveness in legal action is vividly demon-
strated in the development of the federal environmental impact statement
process through the Calvert Cliffs and Kaber decisions. Their desire is
to decrease the use of legal action as administrative organizations become
more and more responsive to environmental needs and desires.
Since industry has become a common defendant in environmental law suits,
private corporations have become active in environmental law. In dis-
cussing their development, Everrett H. Bellows, Vice President of the
01 in Company, stated that corporations need to mobilize their total re-
sources to deal constructively with environmental issues. He pointed out
that Olin's environmental resource council was organized to provide
coordination within the company and with the sponsors of conferences for
middle management. He concluded by pointing out that industry has an
obligation to appeal unfair environmental decisions. They may go to court
to resist arbitrary and uninformed judgments, and to prevent such judgments
from being translated into environmental standards and regulations that
could not be enforced because of technological limitations or environ-
mental costs.
Since heavy caseloads in the courts have resulted in lengthy delays, many
cities are in the process of developing their own procedures. During
the workshop on legal action, Mr. Norman Redlich, Corporation Counsel, New
York City, pointed out that they have attempted to take two procedures to
supplement normal legal action.
First, they have created an environmental control board which attempts to
take many cases out of the court system and place them under the jurisdic-
V-20
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tion of administrative agencies. This board has been granted authority
to issue cease and desist orders, revoke operating permits, and impose
civil penalties up to $100 a day for each violation. The city is work-
ing for state legislation to absolve the court proceedings and judgments
and to grant judicial review only in cases in which the imposed penalty
was arbitrary or capricious.
A second technique developed in New York City is the citizen complaint
technique, where citizens are encouraged to file a complaint with the
environmental control boards, alleging code violations. The Environ-
mental Protection Agency then has the option to prosecute. If this ini-
tiative is not taken by the agency, the citizen then can prosecute on
his own through the courts. A sliding bounty system was initiated in
which a percentage of recovery fees was granted to the reporting citi-
zen. -An even higher percentage was granted if the citizen went to court
after an agency rejection. This system has proven rather controversial.
Thus, legal actions have become extremely important in the enforcement
of strategic environmental objectives. In addition, the development and
effective administration of other enforcement actions, such as land use
controls and moratoriums, have to depend to a degree on clarification and
interpretation in the courts. It is important to realize that the resolu-
tion of legal issues may determine the evaluation of environmental manage-
ment .
Economic incentives and Penalties - A third enforcing action is the use
of various incentives and penalties in residual management. Although this
topic was not directly addressed at the Conference, various examples
such as the tap charges for connecting water and sewer lines, or the sew-
age discharge surcharge were discussed in several workshops.
Traditionally, environmental enforcement programs have employed the
utilization of economic incentives which are designed to incite action.
For example, the Federal Water Pollution Control Act of 1965 financial-
ly supported municipal wastewater treatment plants, through the author-
ization of $3.^ billion for such grants. Industry has also received
funds for the improvement of pollution control equipment and tax write-
offs for the adoption of environmental programs. However, economic in-
centives are ineffective in bringing the social and environmental costs
of production into pricing and curtailing the inefficient use of natural
resources. In addition, subsidies for the construction of sewage treat-
ment plants do not by themselves provide an incentive to take action for
control of waste discharges. Even if government and industry were to pay
a major portion of the cost of the waste treatment plant, it is cheaper
from their point of view to dump the untreated waste into the river.
Thus, subsidies cannot work under this type of arrangement unless they are
accompanied by some other enforcing action.
As an alternative to incentives, effluent charges are based on the as-
sumption that since the environment is common property, any person or
V-21
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organization causing environmental damages must pay. These payments are
based on the amount and content of the waste discharged. Hopefully, the
charge would be sufficient to force improvement in the quality of the dis-
charge. In addition, effluent charges are presently being defined by
many governments in terms of sewage surcharges and penalty fees. In the
Anthology, Allen Kneese outlined a national water pollution program based
on an integrative water quality plan and the development of a charge sys-
tem." He pointed out that the strengths of an effluent charge are: (1)
the final price of a product reflects the producer's cost of treating his
waste and results in products from polluting activities being more ex-
pensive in the marketplace, (2) to reduce production costs, the producer
adopts new production mechanisms and technologies for waste treatment,
and (3) the effluent charge increases tax revenues.
Although the potentiality of effluent charge as an effective enforcement
action is high, the feasibility of widespread development is low. The
industries' opposition stems from their feeling that the charge is a puni-
tive action and that it is unfair for them to pay for the residuals from
waste discharges. They also argue that funds expended for charge pay-
ments could go into new pollution abatement equipment or research. In-
dustry realizes that this charge is nearly unavoidable and unevadable.
From a different perspective, some environmental groups label the effluent
charge a "license to pollute" since there is no total prohibition of all
discharges. More sophisticated monitoring devices need to be developed
to make accurate measurements of the quality and quantity of the discharge.
Other Enforcement Actions- Two additional enforcement actions which have
been used by environmental managers need to be mentioned. First, enforce-
ment conferences have been widely used in federal water pollution control
programs. These conferences are presently called by the Administrator of
EPA to bring all interested parties together in order to discuss and devel-
op potential solutions to environmental problems. The government must
rely on the participants for all information regarding alternative actions.
Although cases may ultimately end up in the courts, the effectiveness of
enforcement conferences has been plagued by delays and an unwillingness to
convene such meetings. A second action is the use of moritoriums by local
governments. The adoption of moritoriums on land development and rezonings
is common in growth control. The legality of this action has varied from
case to case.
CONCLUSION
This chapter has attempted to provide some framework for understanding the
complex relationship between environmental policies and the differing
programs and techniques for their implementation. The "state of the art"
Allen V. Kneese, "Strategies for Environmental Management," An Anthology
for the National Conference for Managing the Environment, pp. IV - 53~59-
V-22
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in environmental management is in an embryonic state, with new actions
being developed and tested in a variety of environmental contexts. No
single environmental policy or specific action is going to work in all
environments. Political, social, and economic factors along with in-
sufficient ecological knowledge will limit their effectiveness. In order
to aviod working at cross purposes, environmental managers need to
develop a comprehensive environmental policy along with a plan for imple-
mentation which integrates the various actions.
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THE CONCEPT OF CARRYING CAPACITY
A. Bruce Bishop, Richard Toth, A. B. Crawford, and H. H. Fullerton"
REGIONAL GROWTH AND CARRYING CAPACiTY -- AN OVERVIEW
The capacity of natural and human environments to accommodate or absorb
change without experiencing conditions of instability and attendant deg-
radation is a significant concern in view of current trends of urban
growth and development. The ability of the environment to sustain par-
ticular levels of activity may already have been exceeded in some areas
and, in others, resource management options are rapidly being foreclosed.
In the face of these changing conditions, a phrase heard more and more
frequently is carrying capacity. As a developing concept for regional
environmental management, this paper examines carrying capacity as an
approach to understanding and analyzing the ability of the environment
to absorb or support activities of urban and regional growth.
Virtually every urban center faces problems of accommodating some degree
of future development. In managing the environment for quality regional
growth, questions related to the carrying capacity of environmental re-
sources lie at the heart of the problem. Two brief examples from the
Wasatch Front area of Northern Utah serve as good illustrations.
The Ogden Valley, situated five miles east of Ogden, Utah, is basically
a rural agricultural valley of roughly fifty square miles, with a total
population of about 1,000, residing in three small communities. The
canyon is an important recreation resource offering excellent fishing
and camping by the river which flows from the valley watershed and the
Pine View Reservoir. The Ogden Valley offers extensive recreation op-
portunities for residents of the urbanized Ogden and Salt Lake City re-
gions. The reservoir is a major water-based recreational area offering
swimming, boating, and fishing. In addition, golfing, picnicking and
camping facilities have been developed in the Valley, and two major ski
areas on the mountain slopes serve the winter recreationists. Upland
and mountain wildlife species abound in the Valley and the surrounding
mountain forest areas. There are a number of proposals for large devel-
opments in the Ogden Valley and lower mountain slopes, including vaca-
--Presented by A. Bruce Bishop, Assistant Professor of Civil and Environ-
mental Engineering, Utah State University, at the National Conference
on Managing the Environment.
V-2A
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tion resorts, condominiums, lower density summer home developments, and
housing tract developments for bedroom communities for the urban areas.
The Highway Department is considering plans for major improvements in
access to the Valley. In the face of the mounting pressure for develop-
ment, without a comprehensive analysis of the carrying capacity of the
Valley, there may be serious and irreversible damage to environmental
resources. Some of the issues related to carrying capacity are:
What is the capacity of the reservoir and the river down-
stream to maintain the natural water quality levels and
continue to support existing ecosystems?
What is the capacity of soil to resist erosion from intensive
recreation or development use?
What is the capacity of the valley to provide infrastructure
for development -- water supplies, wastewater disposal,
solid waste disposal areas?
What capacity constraints are imposed by the existing trans-
portation system? What will be the effects of the increased
capacity of the proposed high speed access?
What will be the impact of air quality conditions with in-
creased traffic and housing and commercial development?
What plant and animal species will be displaced, and what is
the capacity of the ecological systems to absorb changes from
development?
What is the capacity of the Valley to serve as an open space
and recreation resource?
The canyons immediately above the Salt Lake City are also being subjected
to intense pressure for development. These canyon watersheds supply most
of the water needs for the Salt Lake Valley. They also provide an out-
standing recreational resource for winter skiing and summer mountain out-
ings and vacations. Large resorts have already developed in the canyons
to serve recreation interests with proposals for many new resort hotel
and private summer home developments. Questions relating growth and car-
rying capacity are:
What is the capacity of the fragile watersheds ecosystems
to support various intensities of development and recreation
use?
What is the capacity of air and water resource systems to
absorb the pollutants from these developments?
Can a transportation system of adequate capacity for the
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development be constructed without complete disruption of
the canyon ecosystem?
What user-capacity can the recreational areas accommodate
and still provide a satisfactory experience?
These examples illustrate the need for technical knowledge about the
capacity of the environment to accommodate growth.
The carrying capacity concept implies understanding the regional environ-
ment as a support system for numerous, interdependent and competing activ-
ities and systems, and determining the limiting conditions and capabilities
of the regional environment to absorb, withstand, support, or sustain these
activities without causing unacceptable changes in environmental quality.
CARRYING CAPACITY — A TOOL FOR ECOSYSTEM MANAGEMENT
From the standpoint of ecosystem management, the term "carrying capacity"
is used in terms of the biological or physical relationships between a
given resource "stock" and its maximum sustained "yield." Specifically,
it is interpreted as the maximum number of individuals of a species that
can be supported by a given habitat under various conditions of stress.
The general implied goal is to maximize the productivity of the system,
subject to the constraint of non-impairment or non-degradation of the
supporting ecological system.
In this context, carrying capacity is a working concept with a long history
in resource management. In the management of range-land resources, the
concept is inherent in the limitation of livestock numbers according to
available forage and water. A range-land is said to be stocked at its
carrying capacity when a given number of animals with known daily nutri-
tional and water requirements is in equilibrium with or does not exceed
the actual land productivity or forage and water on a sustained yield
basis. The consequence of exceeding carrying capacity is a downward trend
in range conditions. In forest resource management, the concept is applied
in terms of harvesting only the net annual increase in board-feet of tim-
ber produced on the forest on a sustained yield basis so that the overall
total board-feet of timber is constantly maintained.
CARRYING CAPACITY IN THE URBAN-REGIONAL CONTEXT
Thus far, the concept of carrying capacity has mainly been used and applied
in relation to ecological systems. Many of the difficult problems of en-
vironmental management, however, arise in the urban-regional context.
Since urban systems interface with natural systems, and since natural sys-
tems are a part of urban systems, the interpretation of the concept of
carrying capacities in this setting is receiving growing attention.
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ECOLOGICAL AND URBAN SYSTEMS: SIMILARITIES AND CONTRASTS
There is increasing interest in an interdisciplinary approach to the study
of urban systems and ecological systems (urban ecology). Moiling and
Orlans (1971) note that urban and ecological systems share four common
characterist ics:
(1) a historical property, since both respond to present
and past events;
(2) a spatial property, since they respond to events at
several different points in space;
(3) a systems property, since both encompass many differ-
ent component activities with complex feedbacks and
interactions; and
(A) a structural property, since they both exhibit char-
acteristics of lags, thresholds and limits.
The second, the third, and particularly the fourth property point toward
the potential usefulness of carrying capacity in the urban setting.
The American Association for the Advancement of Science symposium on urban
ecology (1970) indicated that "like other man-dominated systems, the city
is an unstable, highly productive, but poorly buffered system consisting
of relatively few species and dependent on a large input of energy and
materials. The city may be viewed as a detritus ecosystem in which all
fixed energy originates outside its limits and from which large volumes
of waste materials and diffused energy escape to the detriment of other
systems." This emphasizes the interrelationship between urban and the
surrounding non-urban area as urban sprawl and high mobility bring the
contiguous agricultural and natural resource areas within the supporting
resource base for urban activities.
The implications of carrying capacity concepts appear important for ana-
lyzing urban regional growth in terms of efficiency of energy and material
transfer, handling of wastes and byproducts, and as support system activi-
ties influenced by succession, energy flow, population dynamics and ter-
ritorial ity. Hoi ling and Orlans (1971) summarize these ideas by stating
that "it appears that we are quickly reaching the point where environ-
mental limitation will inevitably impose constraints on urban systems."
DOMAINS OF CARRYING CAPACITY FOR AN URBAN REGION
In extending the concept of carrying capacity to examine the capability
of a region to sustain existing and proposed activities, consideration
must be given to the character and extent of the resources, functions,
and structures of urban areas which circumscribe the domains for carrying
V-27
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capacity in a region. The environmental planner and manager must under-
stand such questions as: What are the relevant environmental resource
components? How do they function? How do they interact with and influ-
ence other components, or conversely, how are they influenced by other
components? What factors control levels of environmental quality and
how do proposed activities affect those factors? The function and struc-
ture of urban environmental resources and their Interactions with one
another, then, are essential to specifying the domains of environmental
carrying capacities for urban regions.
Resources from an urban perspective
Traditionally, resources have been understood either as elements of the
natural environment or as inputs to economic production. In urban areas,
where much of the living environment is essentially man-made and serves
as a means of organizing man's activities, our definition of resources
and related environments is too narrow. For urban areas, rather than
sticking to the usual land (with associated mineral deposits, forests,
etc.), water and air delineations, the description of urban resources
environments (Perloff, 1968) might be elaborated along the following lines:
Ambient resources:
Spatial resources:
Infrastructure and
distributive re-
sources :
airshed, watershed, open space, quiet
and noise zones, sunlight exposure
underground space, available and
transitional surface space, airways
space
transportation, water and water dis-
tribution, wastewater collection,
energy (electricity and gas) distri-
bution, communications
Ecological resources: green plants, non-green plants, animals
Socio-cultural
resources:
Economic resources:
Amenity resources:
educational and cultural facilities,
health services, security services
(fire, police), recreation services,
housing stocks
raw materials for production inputs,
capital , labor
seashores, scenic areas, contiguous
natural areas (mountains, deserts,
lakes), open space
Some of the attributes or characteristics of these classes or types of
urban resources which enter into an assessment of their capacity to sup-
port a particular activity or changes in sets of activities are:
V-28
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(1) Quantity and quality: Quantity and quality are two
resource attributes inextricably connected in relation
to carrying capacity for a particular activity or use
(e.g. volume of water of quality for drinking, or for
cooling; space available for movement of vehicles, or
for construction, or for open space).
(2) Renewabi1 ity: The quantity and quality of a resource
is, in turn, closely related to its characteristics of
renewability on non-renewabi1ity. Stock resources,
such as mineral deposits, fossil fuels, and available
land, are essentially fixed in quantity and, in that
sense, non-renewable. The capacity of such resources
for supporting urban systems, therefore, depends on
rates of use or exploitation, the possibilities for
salvage and recycling or the development of substitutes.
Naturally renewed resources (natural vegetational and
animal growth) and flow resources (solar radiation,
and natural cycles for water and other elements) have
renewable characteristics in which process rates deter-
mine the quantity and quality available in a given time
period. Capacity of renewable resources depends on the
care and efficiency of man's intervention in the use of
the resource without upsetting or destroying the natural
processes which assure availability of the resource.
(3) Spatial distribution: Spatial distribution is related
not only to resource location, but also to identification
of the resources which are part of the urban region it-
self. Drawing boundaries around the urban region in
order to circumscribe geographically the resources
which contribute to its carrying capacity may be a dif-
ficult and sometimes arbitrary task. Electrical energy,
water and fossil fuels are often situated large distances
from actual centers of urban activity. Should they be
considered as external or imported resources? This
question raises the broader issues of environmental qual-
ity relations between areas of resource extraction or
production and areas of resource use. The concept of
carrying capacity recognizes that the interface between
the city and non-urban areas has become more explicit,
particularly in the couplings established through re-
source development, energy production and transfer,
pollution outputs, and deterioration of contiguous ag-
ricultural and recreation lands due to urban sprawl.
(k) Economic and social costs: The classical concept of
common or "free good" resources has little validity in
terms of carrying capacity for sustaining regional activ-
ity and growth. There is now a high value associated
with maintaining the quality of ambient resources such
V-29
-------
as air and watersheds. The industrial firm dumping
wastes directly to a stream, airplane flightpaths over
residential areas, the individual automobile adding to
congestion and air pollution, and the building that
blocks out the sun are all examples of individual actions
contributing to a deterioration in environmental quality
for the entire society. What levels of activity in use
of common resources should or may be permitted is cer-
tainly a question associated with the carrying capacity
concept.
A description of the urban "resources" compatible with aspects of urban
environments may provide a structure for determining how growth, as
measured against resource capacities, will affect regional environmental
quality.
Urban _a_ctivity-svstems and linka_ges
Superimposed upon the mosaic of social, economic and ecological resources
of a region is the domain of urban activity systems and their linkages.
The composite of urban activities, both public and private, contributes
to a set of regional outputs which enhances the quality of life. Urban
activities are linked and supported by the infrastructure and resource
distribution systems of the region, transportation, water distribution,
and energy distribution. The current capability of the infrastructure
and the resources they distribute to sustain activity are a key aspect
of the "carrying capacity" of an urban region, and represent short and
medium run constraints on regional quality growth.
People and institutions
People and institutions represent the third important domain of carrying
capacity for urban centers. Institutional and individual values, as
reflected in present or desired life-styles of the residents of urban
areas, should have an important influence in determining quality aspects
of regional growth.
CARRYING CAPACITY IN THE ANALYSIS OF
REGIONAL QUALITY GROWTH
To translate the broad concept of carrying capacity into a useful tool in
achieving quality regional growth requires answers to the following ques-
tions: What will be the demands on the environment as a support system
relative to the quantity and quality of available resources? At what
resource and quality levels will the environment as a support system fail?
How do changes in an activity affect the environment's capability to sus-
V-30
-------
tain other current activities or new developments and activities? What
measures would be most useful in analyzing environmental carrying capacity?
Exploring the concept of carrying capacity as related to quality regional
growth will hopefully provide a structure for answering these questions.
URBAN-ECOLOGICAL STRUCTURE AND REGIONAL QUALITY
The concept of carrying capacity is useful only as it enables the environ-
mental manager to assess and evaluate the impact of various proposals
on regional environmental quality. In making such judgmental decisions,
carrying capacity is related to two important qualities of ecological and
urban systems (Hoi ling and Orlans, 1971).
Stabi1 i ty in ecological and urban systems is due to the existence of damp-
ing forces that tend to move the systems towards an equilibrium state.
However, since the equilibrium changes continuously with time, the impor-
tance of stability is with reference to the structure of the system.
Res i1iency is a measure of the limits of stability of the system. If
transients shift elements of the system beyond domains of stability,
then radical change occurs. The concept of resiliency encompasses the
idea that incremental changes may be absorbed, but cumulative effects of
small changes might reduce overall system resilience.
Again, Hoi ling and Orlans (1971) stress the need to understand "the complex
nature of tradeoffs and limitations in options and resilience that char-
acterize systems operating close to the carrying capacity of the environ-
ment."
DIMENSIONS OF CARRYING CAPACITY
Working from these basic notions in carrying capacity, Figure 1 illustrates
some of the dimensions of carrying capacity and suggests that a determina-
tion of carrying capacity is based on an understanding and analysis of
both limiting factors and trigger factors.
The 1imit ing factor is an environmental factor which limits growth,
reproduction or resource use of an individual, community or activity
either physically or behaviorally.
The trigger factor is a new or changed environmental factor which sets
off a chain of events in an ecological or urban environmental system.
The carrying capacity of a system then may be described by the limiting
factors and trigger factors which are operationally significant, i.e.
those factors which effect a decline in some valued aspect of regional
environmental quality. Three general dimensions of carrying capacity
are appropriate areas for analysis of limiting and trigger factors as
related to urban resources, structure and activity:
V-31
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URBAN/REGIONAL SYSTEMS:
Structure, Function,
and Interaction
URBAN/REGIONAL
RESOURCES
"Ambient •
Spatial-
Infrastructure
and
Distributive
Bearing
Capacity
i
VjO
Ecological-
Constraint
Capacity
So cio-Cultural^
Economic
Socio-psychological
Capacity
Limiting^
Factors
Trigger
Factors
CARRYING
CAPACITY
- Resiliency
- Stability
Regional
-<. Environmental
Quality
•Amenity-
.PROPOSED
ACTION
-B»- CHANGES IN RESOURCE
USE AND ALLOCATION
IMPACT
-6*- PERFORMANCE
Figure 1. Overview of carrying capacity relationships.
-------
.Resource beg ring capacity
Resource bearing capacity is basically a biological and resource flow
definition. Capacity is examined Jn terms of the levels or input rates
for an activity that can be withstood by the biota or the resource flow
systems and stfll return to an unimpaired state. Essentially, this sug-
gests a non-impairment criterion for establishing levels of use which can
be sustained for an indefinite period of time without altering or degrading
the resource. The underlying objective, then, is achieving a maximum
sustained yield for a given activity. The important factors in analyzing
resource bearing capacity are the ability of the resource to produce the
kinds of services required, and the ability of the biota or flow system to
recover after peak use; for example, the ability of air and water to
assimilate certain pollutant waste loads over a period of time without
deterioration of ambient quality conditions.
System constraint capacities
System constraint capacities are concerned more with the physical limits
of resources or of resource processing and use systems. The former would
be considered in terms of non-renewable stocks or resources such as mineral
deposits, fossil fuels, and available land (in the short and medium run),
and the rates at which such resources are being developed and used.
The capacity for use of both non-renewable and flow resources may also
be limited by the capability of the present system to process and use
them. For example, a certain forest area might be producing a net annual
increase in timber which is greater than can be harvested on a sustained
yield basis because of its inaccessibility from the current transportation
system. The objective indicated by this definition is efficiency in
resource use and in the management of resource processing systems.
Social capacities
Social carrying capacity is related to the overall levels of satisfaction
experienced by users or other affected individuals resulting from resource
management practices. Social capacity is stated in terms of maximum num-
ber of use-units (e.g., people, vehicles, etc.) that can utilize available
resources during a specified period of time for one or several activities,
while providing a satisfactory experience for the users. The operational-
ization of this goal in determining a "satisfactory experience" might be
to maximize the total user satisfaction. Before determinations may be
made about levels of "satisfactory experience," the kinds of experience the
resource is expected to provide must be established. A particular resource
or group of resources may be capable of providing for several different
types of activities. Some of these activities will compete for the re-
sources, while others may be compatible. Inevitably, this will require
management decision about which resource use or combinations of uses will
be pursued. Examples include whether a particular tract of land should
be managed for wilderness recreation or developed with access roads and
recreation facilities, and whether a particular tract of urban land
should be zoned and managed as open space or for various kinds of residen-
V-33
-------
tjal and commercial development, When deriving a set of management ob-
jectives, one must consider the feasibility of the objective in terms
of resource bearing capacity and system constraint capacities,
The aspect of "satisfactory experience" or user satisfaction is a function
of individual attitudes with respect to the management objectives in
question. For example, "How many people can be handled in a wilderness
area at one time before the wilderness experience is lost?" or stated
another way, "What number of people maximizes the total satisfaction in
the use of the resource for a wilderness experience?"
The quantitative application of this criterion in determining optimal
capacity of resource based recreation facilities is discussed by Fisher
and Krutilla (1972). A brief review of their example will provide a
clearer picture of the idea of social carrying capacity. Figure 2
depicts a special set of aggregate demand schedules. The horizontal
axis represents recreation intensity, i.e., the number of recreationists
per unit time. The vertical axis represents quality of the recreation ex-
perience as measured in some unit of satisfaction (this could be a price
in dollars consumers were willing to pay for a given quality of experience)
For ease of explication, assume a family of demand curves each one valid
over a certain range of recreation intensity. Moving from bottom to top,
each curve represents a higher quality experience due to slightly
lesser intensity of recreation use. Thus the level of satisfaction as
measured by the willingness to pay is higher. From these demand schedules
the intensity of recreation activity which achieves the maximum level of
satisfaction can be deduced in the following way: The total satisfaction
for recreation intensity of q^ is the area under the demand curve DDj1.
If we move to a level of intensity q- there is a gross gain in user
satisfaction of the area under the XjDo1 portion of the curve DD21, but
also a loss of satisfaction represented by the area DjD^xiD]1. The net
gain in user satisfaction is therefore the difference or the two areas.
We can continue to achieve increases in user satisfaction by increasing
intensity, as long as the net gain from higher intensity use is positive.
The point at which the net difference becomes zero is interpreted as the
optimum capacity since moving beyond this point results in a decline in
total satisfaction. This may be seen graphically by plotting the total
and marginal benefit (stated in units of user satisfaction) curves as
shown in Figure 3.
The example illustrates limiting factors in determining carrying capacity
from the standpoint of individual and social values and behavior. Our
perception of the quality of the environment in which we move, work, and
play, and the environment's capacity to sustain these activities at "sat-
isfactory" levels is closely related to the levels of social stress and
congestion costs experienced by the user.
-------
19
Totol benefits
ecrealion d»y>
Figure 3
V-35
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CARRYING CAPACITY AND ENVIRONMENTAL MANAGEMENT
In developing environmental management strategies for an urban region,
planners and decision makers must continually assess the social and en-
vironmental implications of various proposals. Recognizing and establish-
ing the limits of capacities of regional activity support systems along
the dimensions described above could provide decision makers with a
workable approach to assessing the impact of proposals.
Indices have begun to develop as a means of providing a working knowledge
of environmental quality and of charting trends and changes in quality
levels. The development of carrying capacity concepts may extend the
usefulness of these indicators to provide for comparative evaluations of
environmental quality dimensions in terms of ranges and limits of accept-
able levels, and the impact of various regional growth policies, rather
than merely the presentation of trend information.
Regional environmental management models which incorporate the concept
of carrying capacity may thus be used to examine the character of changes
that will occur under different levels of activity and types of use,
whether such changes are within acceptable limits of environmental and
social carrying capacity, and the ways predicted changes in the physical
environment relate to the social objectives and values for resource use.
V-36
-------
References
Fisher, A. C. and Krutilla, J. V. 1972. "Determination of Optimal
Capacity of Resource-Based Recreation Facilities." Natural Resources
Journal , Vol. 12, July pp. A15-^^.
Hoi ling, C. S. and Orlans, G. 1971. "Toward an Urban Ecology."
Bulletin of the Ecological Society of America 52(2): 2-6.
Perloff, H. S. 1968. "A framework for Dealing with the Urban En-
vironment: Introductory Statement." J_n_ Perloff (Ed.) The Qual i ty of
the Urban Environment: Resources for the Future, the Johns Hopkins
Press, Baltimore, pp. 3"25-
V-37
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FIXED VERSUS VARIABLE ENVIRONMENTAL STANDARDS
Robert Pikul*
INTRODUCTION
The established nature and enforcement of environmental standards will
have a far reaching impact on future socio-economic-environmental char-
acteristics of geographical areas, availability and cost of energy, re-
vital ization of urban areas, and overall quality of life.
Environmental standards have been and are being formulated by the U. S.
Environmental Protection Agency, the states, and local governments for
a variety of pollutants released into air, water, and land. The process
requires consideration of items such as effects (health, economic, eco-
logical), measurement techniques, current environmental levels, pollution
sources, and the technology and economics of control. A variety of pro-
cedures based on legislative authority, technical problems, and adminis-
trative requirements have been devised and implemented by organizations
responsible for development of standards [2,3].
This paper provides a frame of reference for discussion of fixed versus
variable standards and generally explores some potential social and eco-
nomic consequences of allowing variable standards. It will be shown that
effluent or emission standards particularly exhibit both fixed as well as
variable properties based on parameters such as time, geographical area,
and source category. Present variability in standards generally results
from independent analyses of individual pollutants and individual source
categories. Because of the vital issues related to the levels and nature
of environmental standards, their variability should result from an ex-
plicit consideration of emission control strategies aimed at achieving
well defined environmental quality goals.
The implications of variable standards are discussed within the context
of the air pollution problem as a specific illustration.
CONCEPT OF FIXED VERSUS VARIABLE STANDARDS
The concept of fixed versus variable standards may be confusing because of
the large number of parameters which affect proper interpretation. For
"Presented by Robert Pikul, MITRE Corporation, at the National Conference
on Managing the Environment.
V-38
-------
example, the concept pertains to variability (or invariability) with
respect to time, space, among source categories and within source cate-
gories. Moreover, one considers standards for environmental quality levels
which pertain to ground level concentration (or amount of pollutant in a
given volume of the medium), as well as effluent standards which pertain
to amount of pollutant discharge per unit of time, raw or processed mater-
ial, or energy consumed or produced.
TIME VARIATION
Variation in time could be represented by the point in time at which
standards are to be achieved or the ability to vary ambient or emission
standards over a relatively short period (e.g., seasonally, daily). A
short time period is arbitrarily assumed in this paper to emphasize short
term discretionary changes in standards based upon risks, suitable control
techniques and profile of available resources compared to long term sched-
ule of achievement fixed by law based upon perceived need for improving
environmental quality. A general relationship between varying ambient
levels and time lagged controlled emissions is shown in Figure 1.
SPACE VARIATION
This parameter refers to the possibility of allowing different standards
in different geographical areas, in recognition of social values, geo-
graphical and climatic differences, and population density. It includes
the option of allowing one level of power plant emissions in a municipal-
ity, a different (e.g., less stringent) level within a parent county and
still another level on a statewide basis. It also includes the option
of promulgating different standards for different sections of the country.
VARIATION AMONG SOURCE CATEGORIES
Variation among source categories applies to emissions or discharges
allowed for various emitter categories which emit the same type of pol-
lutant (e.g., steam electric generating plants, sulfuric acid plants).
The EPA has prepared effluent guidance documents for twenty-one industries
under the 1972 Federal Water Pollution Control Act[26], which identifies
twenty-seven industries for which effluent guidelines must be prepared"-
"The industrial categories for effluent guidance according to 1972 Federal
Water Pollution Control Act are the following: canned fruits and vegetables,
canned seafood, cement manufacturing, dairy products processing, electro-
plating, feedlots, ferroalloy manufacturing, fertilizer, glass and as-
bestos, grain mills, inorganic chemical manufacturing, iron and steel
manufacturing, leather tanning, meat products and rendering, nonferrous
metals, organic chemicals manufacturing, paperboard and builders paper,
petroleum refining, phosphate manufacturing, plastics and synthetics,
pulp and paper mills, rubber processing, soap and detergents, steam electric
power, sugar processing, textile mills, and timber products.
V-39
-------
o
AMBIENT LEVELS
TIME LAGGED CONTROLLED EMISSIONS
10
TIME IN DAYS
15
20
FIGURE 1
ILLUSTRATION OF TIME VARIABLE EMISSION STANDARDS
-------
The EPA believes that guidelines are required for an additional fifteen
areas". According to these guidelines, discharges are generally fixed in
time and space, For a specific pollutant, however, they vary among defined
categories of sources.
VARIATION WITHIN SOURCE CATEGORIES
This parameter allows for the possibility of different emission or dis-
charge levels for specific selected sources within a category. Limitation
of sulfur dioxide emissions per unit energy from a specific power plant,
for example, would be allowed to differ from that of other power plants
in a given locale, based upon plant characteristics such as age, boiler
type and stack size. An illustration of this variability applies to the
effluent guidelines mentioned above since they are meant to apply to the
most significant polluters.
Variation by Use
When considering water pollution, a major element affecting variation of
standards is use of the water receiving the effluent.
Uses generally conform to the following categories: public water supply;
industrial water supply; propagation of aquatic life; or water contact
recreation. Not only do standards for a particular pollutant vary among
use levels in different geographic areas, but the use levels themselves
vary from state to state. For example, Illinois at one extreme has defined
only two use categories, while Missouri has defined seventeen!.' 5,2/J.
Water quality standards are fixed in time once they are implemented, but
vary over geographical areas and by use. For example, as applied to the
pulp and paper industry, the fecal coliform tests associated with pathogens
in the effluent are generally limited to 1000 organisms per 1000 milli-
liters of water. A reduced concentration must be achieved, however, if
receiving waters are used for shellfish harvesting or contact recreation
sports.
AMBIENT AND EMISSION STANDARDS
Primary ambient standards to safeguard the public health and secondary
ambient standards to safeguard public welfare were promulgated in April,
1971, for six primary air pollutants: sulfur dioxide, total suspended
particulates, hydrocarbons, nitrogen dioxide, carbon monoxide and total
oxidants. The effective date for achievement of primary standards has
been set for 1975, and for secondary standards a reasonable time there-
"These additional categories for which the EPA feels that effluent guidance
is required are as follows: beverages, cane sugar, coal mining, fiber-
glass insulation, fish hatcheries, metal ores, motor vehicles, natural
gas liquids, paints, pesticides, petroleum drilling, Pharmaceuticals,
photo processing, sand and gravel, and water supply.
V-41
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after. Ambient standards are fixed in time and space. Former EPA Ad-
ministrator William D, Ruckelshaus has indicated that the Clean Air Act
does not allow for increase of the health risk upon which the primary
standards were formulatedHS], Changes to allow regional variability
must be achieved through legislative action.
In contrast to the fixed ambient standards, emission limitations on
stationary sources have been set according to State Implementation
Plans (SIP's) and vary from state-to-state, among source categories and,
in some instances, in time. Arkansas, for instance, allows the burning
of any quality fuel as long as ground level ambient standards are not
exceeded. Hence, emission standards are implicit. Although any general-
ization in this regard is hazardous, one might interpret this to mean
that emissions could be allowed to vary during different periods of venti-
lation and assimilative capacity of the atmosphere as long as ambient
standards are not violated. On the other hand, Alabama has an Imple-
mentation Plan which specifies .72 percent sulfur content for all
coal burned and 1.08 percent sulfur for residual fuel oil. New source
performance standards for utilities burning oil have been set at .72 per-
cent [8K
Section 202 of the Clean Air Act specifies that emission of carbon mon-
oxide and hydrocarbons for light duty engines and vehicles manufactured
in 1975 be reduced to ninety percent of levels for engines manufactured
in 1970. The limitations are the same for nitrogen oxides emissions for
vehicles manufactured in 1976, based on levels emitted by engines in 1971.
Recently, the EPA Administrator granted a one year extension for imple-
mentation of these standards. These limits, expressed in grams per vehicle
mile, will be fixed in time for all sections of the country.
Emission standards for new stationary sources have been promulgated for
various pollutants as they apply to Group 1 industrial categories (see
Table 1). Standards are being developed for sources in Groups 2 and 3-
Other groups may be considered to include sources such as gas turbines,
lime plants, grain milling, auto assembly plants and petroleum refineries.
It is likely that these standards may be fixed in time, space, and
within source category (e.g., 0.8 pounds of sulfur dioxide per million
BTU for liquid fossil fuels and 1.2 pounds of sulfur dioxide per million
BTU for solid fossil fuels burned in all affected new steam generating
plants), but variable among categories, for a particular pollutant. While
total emissions from a given emitter may vary because of size of the emit-
ter, emission rates are likely to be fixed.
Hazardous pollutant emission standards for mercury, asbestos and beryl-
lium have been developed with reference to specific source categories
and have similar space, time and source variability characteristics as
new source performance standards. In the future, standards may be de-
\J-k2
-------
TABLE 1
NEW SOURCE PERFORMANCE STANDARDS
SOURCE
GROUP 1 Steam Generators >250 Million BTU/hr.
Incinerators
Portland Cement
Nitric Acid Manufacture
Sulfuric Acid Manufacture
GROUP 2 Asphalt Batch
Petroleum F.C.C.
Rendering Plants
Brass and Bronze
Basic Oxygen Furnace
Sewage Incinerator
Secondary Lead
GROUP 3 Non-Ferrous Smelters
Aluminum Reduction
Kraft Mills
Coking Plants
Phosphate Fertilizer
Phosphorus Reduction
Animal Feed Defluorination
Ferro-alloy Plants
Coal Cleaning Plants
-------
veloped for other selected hazardous pol1utants.*
SUMMARY OF VARIABILITY CHARACTERISTICS
The preceding discussion emphasizes that the interpretation of the con-
cept of fixed versus variable standards is complex because one must consider
the various types of standards, the environmental medium, and time, space,
source category and use level parameters. The pervasiveness of environ-
mental standards will have a significant impact on all major industrial
sectors of the country and related economic and social activities. The
examples of air and water standards are sufficient to illustrate this
point. A summary of the present situation based on the preceding illustra-
tion is shown in Table 2. The designation of fixed (F) or variable (V)
represents major indications rather than clear, unambiguous extremes.
This summarization provides a frame of reference for discussion in the
following sections. Within this frame of reference, only the ambient
standards and mobile source emission standards may be characterized as
fixed.
SOME OBJECTIONS TO VARIABLE STANDARDS
Consideration of variable standards might allow some flexibility in
balancing risk of exposure with potential economic, technical and social
effects of implementation of control technology. In addition, a control
strategy which would permit variable emission standards (e.g., selective
or intermittent controls) within source categories designed to meet
ambient standards might provide some less stringent requirements for
specific sources, with no deterioration in environmental quality. The
issues are particularly important in cities with older housing and in-
dustries where implementation of fixed standards on a uniform basis might
create significant dislocation and inhibit opportunity for economic and
socially viable renewal and growth.
Reasons offered against adopting variable standards are discussed below.
INEQUITABLE TREATMENT OF SOURCES
This is an important concern to the individual emitter who is controlled
more stringently than a neighboring or distant competitor. His costs,
"These selected potential hazardous pollutants are: cadmium, arsenic,
polychlorinated biphenyl, nickel, polycyclic organic matter, aeroallergens,
reactive organic, pesticides, radioactive material, vanaduim, manganese,
chromium, selenium, chlorine, hydrochloric acid, copper, zinc, boron,
barium, tin, phosphorous, and lithium.
-------
TABLE 2
FIXED VS. VARIABLE STANDARDS AND GUIDELINES
FOR AIR AND WATER MEDIA
MEDIUM
WATER
AIR
S TANDARD / GU IDELINE
WATER QUALITY
EFFLUENT DISCHARGE
AMBIENT
STATIONARY SOURCE
EMISSIONS (SIPs)
MOBILE SOURCE
EMISSIONS
NEW SOURCE PERFOR-
MANCE
HAZARDOUS POLLUTANTS
TIME
F
F
F
F
F
F
F
SPACE
V
F
F
V
F
F
F
AMONG SOURCE
CATEGORIES
(UNIT RATES)
—
V
—
V
—
V
V
WITHIN SOURCE
CATEGORIES
(UNIT RATES)
—
V
—
F
—
F
F
USE
V
V
—
—
—
—
—
LA
-3-
F - Fixed
V = Variable
- = Not Applicable
-------
theoretically, are higher, and he has a disadvantage in the marketplace.
This is a valid concern, but on the other hand, the concept of equity
ought to be viewed more broadly to include external costs of environ-
mental damage. If specific emitter A degrades the environment more
severely than emitter B, thereby imposing greater social and economic
burdens on society, one can argue that A ought to pay more than B to
improve the situation (given that society dictates that the situation
must somehow be improved). It is not clear, without additional analysis,
which alternative is preferable from a societal point of view.
Another aspect of this issue involves the equitable allocation of allow-
able air pollution emissions among and within specific emitter categories.
One approach is to set an ambient air quality goal and to allocate emis-
sion rates in a localized area based upon the ambient effect of these
emissions, so that the desired air quality goal is achieved, or surpassed.
The similarity in the structure of the problems confronting economic de-
cision makers in setting fiscal policy to environmental decision making
is illustrated in Table 3
TABLE 3
SIMILARITY IN THE STRUCTURES OF
ENVIRONMENTAL AND FISCAL PARAMETERS
Structural Element
Goals
Mechanism
Safeguards
External
Inf1uences
Envi ronmental
Achieve ambient standards
Flexible emission rates
Non-degradation
Variation in assimilative
capacity of environment
Fiscal
Balance Budget, main-
tain high income and
employment
Flexible and grad-
uated tax rates
Debt retirement
Variation in GNP
The analogy between environmental and fiscal structures when certain en-
vironmental impacts result in irreparable, irreversible changes in the
physical situation. The economy is man-made and not subject to similar
irreversible changes.
Allocation of emissions, implied by allowing variable emission standards,
is in some ways analogous to allocation of block grants for public assis-
tance. Questions concerning how to set the maximum emissions (aggregate
amount of assistance) and how to distribute the emissions (grants) are
similar in each case. James A. MaxwellH^J suggested in 1955 that the
distribution of the national aggregate in the form of block grants be
-------
set on the basis of minimum per capita expenditure. A standard effort
for each state would be defined as a percentage of the income payment
raised and spent by the state. Poor states would not reach the per capita
standard and would receive federal grants to meet the minimum goal. Some
wealthier states may receive no supplementary federal grants. In this
example, the question of equity is based not on differences in amounts
of federal grants received by different states but on a minimum national
per capita expenditure for public assistance for all citizens.
The problems of environmental policy and standards are relatively recent
national issues compared to the problems of fiscal and economic policy.
Environmental problems require an understanding of the natural sciences
and technology, utilizing fundamental principles of chemistry, physics
and biology. The preceding discussion suggests that they also include
allocation considerations which economic and fiscal policy makers have
been confronting over a longer period of time. Personnel from these
disciplines could provide a fresh perspective for the scientifically ori-
ented environmentalists in the formulation of environmental standards.
COMPLEXITY AND ADMINISTRATIVE COSTS
Some people argue that variable standards are more complex to administer
and enforce than fixed standards. Yet, one should consider whether the
benefits of variable standards (e.g., in regard to degree of environmental
quality achieved, greater availability of low sulfur fuels, overall operat-
ing costs, economic dislocations) are greater than for fixed standards and
if these benefits outweigh potentially higher administrative costs. Our
federal tax structure is inequitable, in an absolute sense, and highly
complex; yet, according to figures from the Internal Revenue Service, ad-
ministrative costs amount to only 0.5 cents on each dollar col lected [2**] .
This is not to say that they could not be lower if a less complex tax
structure were adopted. Administrative costs do not appear to be the over-
riding issue associated with overhauling the tax structure. Voluntary
compliance is an important reason for low administrative costs of the tax
collection. This technique could also be employed in enforcement of emis-
sion standards. It has yet to be demonstrated from a cost-benefit point
of view that administrative costs would eliminate consideration of variable
environmental standards.
NATIONAL ECONOMY
American companies have manufacturing facilities in many parts of the
country and sell their products in national and worldwide markets. If
motor vehicle emission standards varied from state to state, this would
require that the manufacturers adopt a variety of control devices to
meet the different standards. Assuming these devices were developed and
performed effectively, it would probably not strain the industry's in-
genuity to include another option in the assembly process. The combination
of options already offered are in the thousands, and multiplying these by
a factor of four or five should pose no serious problems. But, relocation
by individuals from one section of the country to another would constitute
-------
significant problems in insuring that their vehicles met local standards.
The monetary cost of retrofit to the motorist could be significant, in
addition to the inconveniences likely to be encountered.
GENERAL IMPACT OF VARIABLE AMBIENT STANDARDS
What are some of the impacts of fixed versus variable standards? The
national ambient standards for six primary air pollutants are designed to
protect the public health and welfare. Questions have been raised con-
cerning the values of the standard with respect to health risk. They may
be changed as more health effects data become available, but variation
on a geographic basis would require a change in the law.
A specific example of the drastic measures proposed to achieve the fixed
ambient standard for oxidants" applies to the South Coast Air Basin which
covers a major portion of Southern California, including most of Los
Angeles Countyt^J. In 1970, this standard was exceeded in some locations
on 250 days. Ten percent of the readings taken in the basin were .^0 parts
per million. There is a serious problem in achieving the ambient standard
Uncontrolled emissions of reactive hydrocarbons, a major precursor of
oxidant formation, is forecast by the EPA to be 691 tons per day in 1977.
In order to meet the oxidant standard, EPA estimates that emissions must
be reduced to 160 tons per day. A variety of controls have been proposed
to meet this goal, the most dramatic of which involve a reduction of over
eighty percent fn vehicle miles traveled during critical periods from May
to October. A mechanism to achieve this reduction would rely on ration-
ing of gasoline by as much as eighty-two percent. Other actions would
involve: (a) installation of retrofit devices on all 1955 and newer ve-
hicles (in 1972, there were about six million such vehicles in the area),
(b) annual inspections, and (c) conversion of all 1971-197^ light and
heavy duty vehicles in fleets of over ten cars to use gaseous fuels.
The economic and social impact of the proposals would include: increased
cost to vehicle owners ($200-$400 capital and $5~$15 annual maintenance)
with particularly severe impact on low income groups; increased reliance
on car-pooling and public transit; reduced mobility; potential loss of
income due to decreased mobility; economic curtailment of automotive ser-
vice and supply facilities; changes in property values; reduced taxes;
and potential development of effective rapid transit.
The total extent of these impacts are yet to be analyzed. Under the
present provisions of the Clean Air Act, the ten million people in this
section of the country face a severe change in their current life style,
as well as a drastic reduction in the economic viability of the area.
3 or .08 parts per million for a one hour period not to be ex-
ceeded more than once per year.
V-48
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One can speculate on the potential impact that variable ambient standards
might have on this kind of a situation, A higher limit might be less
restrictive, but it is not clear by what amount, Fioure 2 shows two hy-
pothetical relationships between hydrocarbon emission limits and oxidant
concentrations. The EPA has estimated that at ,08 parts per million,
the emissions must be at most 160 tons per day (point P, Figure 2),
Beyond this point, curve B indicates a more favorable emission allowance
than curve A. If one were contemplating raising the oxidant standard
from .08 to 0.15 parts per million, then the emission limit would be 200
tons per day if curve A described the situation (point P1), and would be
425 tons per day if curve B did (point P11). One might conclude that the
Increased risk represented by increasing the standard buys little relief
under curve A, but provides significant relief under curve B. It would be
desirable to quantify the risk as a function of the concentration to arrive
at a proper balance of risk and impact and cost of limiting emissions.
Let us assume that curve B prevails and that at 0.15 parts per million
oxidant concentration there is little more noticeable effect than increased
eye irritation. It is conceivable that the citizens in the area may opt
for the greater risk associated with the higher standard in order to
suffer a less severe curtailment on limitation of emissions. While a
detailed analysis is required for obtaining precise quantitative estimates,
it is safe to say that most adverse impacts (related to emission controls)
listed above would be reduced. Suppose the limit of 0.15 parts per mil-
lion might be achieved by increasing car pooling by fifty percent; this
might represent a far more attractive option than living with the conse-
quences of achieving a .08 parts per million standard. As long as great
uncertainty exists concerning precise health effects of various concentra-
tion levels, consideration of variable ambient standards on a geographical
basis has some merit. No one would argue that the Los Angeles area has
had acceptably clean air over the last thirty years. On the other hand,
the general area has attracted ten million people and offered some form
of satisfaction of human needs.
People have long accepted risks associated with the automobile. Former
Administrator Ruckelshaus has reported that eighty-five percent of the
people surveyed in an opinion poll indicated that the consequences and
risks related to the automobile - displacement of homes and business by
highways, air pollution, noise, congestion, two million deaths and tens
of millions injured in this century - was worth the freedom of mobility.
Perhaps the people in southern California may feel that they would prefer
to preserve a significant portion of that freedom at the expense of re-
laxing the air quality standard HS] . /\ny SUch choice made by people in
this area has to consider its impact on the people outside this area.
Acceptance of variable standards in different geographic areas might
allow people to make a choice regarding where they may want to live,
based on a consideration of risk associated with air quality and other
economic and social factors. Apparently, however, environmental aware-
ness does not yet play that prominent a role when people choose their
residence. Financial constraints and economic opportunities probably
-------
600-
500-
B,
«£ *f^O — •
2 400-
co
CO
•S >: 30°-
^ <^
QJ ^"\
CQ t:
cc co
i 100-
X _l
0
/
s
/
/
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s
/_ ^. — — •*"""
pi
i
i
i
i
P"
/
*
/
/ A
^
.
^
P'
o
LA
0.08 0.10 0.15 U2 0.4
OXIDANT CONCENTRATION-ppm
t t
LIFESTYLE IMPACT DECREASING SEVERITY
RATIONING
CAR-POOLING
RETROFIT
FLEET CONVERSION
IMPACTS
JOBS
TAXES
SERVICES
CAR-POOLING
FIGURE 2
TT1.HSTRATTVE RELATIONSHIPS - HYDROCARBON EMISSIONS
VS. AMBIENT OXIDANT CONCENTRATION
-------
are more significant factors. As pointed out in a recent report of the
Adivsory Committee on the Biological Effects of Ionizing RadiationL2uf
...the annual difference in natural radiation between a
location in Louisiana and one in Colorado might be 100
mrem or more. Even a person who knows this probably does
not take this difference into account in deciding to change
his residence.
An adverse impact of allowing variable ambient standards might be to
drive industry into geographic areas allowing higher (numerical) standards,
These areas are likely to be dirty and heavily populated. This would
occur particularly if standards in a given area were set to allow degrada-
tion of the current ambient levels. To prevent areas with severe air
pollution problems from getting worse, and to discourage industries from
seeking air pollution control havens, a non-degradation limit with respect
to current ambient air quality might be imposed.
In new town development areas, more stringent ambient standards might be
promulgated on the basis of utilization of feasible new technology (e.g.,
emission controls, waste heat utilization, recycling) which might be
planned, designed, and applied at the beginning to achieve a high level
of environmental quality.
GENERAL IMPACT OF VARIABLE EMISSION STANDARDS -
STATIONARY SOURCES
Stationary source emission standards tend to be variable among source
categories, but fixed among emitters within a specific category (Table 2).
Emission standards and regulations should be set on the basis of achieving
an ambient level goal. Emission regulations prepared by the states at-
tempt to achieve ambient standards throughout an Air Quality Control
Region, based on the monitoring site having the highest ambient value in
the Region. All emitters within a combustion source category, for example,
must burn fuel in order not to emit more than a maximum amount of sulfur
per million BTU. This tactic often results in severe restrictions on some
emitters who contribute relatively little degradation to air quality levels
In older urban areas, this may arbitrarily impose severe economic control
costs on some plants. This may result in the abandoning of industries and
residential apartment areas, creating hardship among the lower and middle
income groups. Secondary effects may include intensifying social unrest
in the form of increased delinquency, crime, and dereliction. A combina-
tion of allowing flexible ambient standards with more selective applica-
tion of controls may allow these areas to be economically and socially
maintained.
The implementation of variable emission standards is interrelated with
strategies for emission controls that employ two types of strategies -
fixed and intermittent.
V-51
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FIXED STRATEGIES
Fixed strategies in pollution control consist of techniques such as pro-
cess modification, time variance in implementation of regulations, and
selective control of sources whose emissions constitute the greatest deg-
radation to ambient air quality.
The results of several studies tend to support greater flexibility in
emission standards and application of control strategies. Plotkin and
Lewis have compared the application of uniform emission standards to
source categories with a least cost selective control strategy for the
St. Louis AirshedLl7J. The least cost approach achieves a minimum cost
of control by applying the most stringent controls to sources which con-
tribute most to air quality degradation or whose marginal control costs
are low, or both. The uniform emission control strategy, according to the
analysis, would cost $10.4 million annually while the least cost strategy
would cost $6 million. The ground level concentrations for the least cost
strategy were higher than for the uniform emissions strategy. The addi-
tional benefits of uniform controls were not computed to relate them to
the additional $4.4 million annual cost. Additional analysis performed
by the EPA recently for the St. Louis area indicates a cost reduction
factor of 3 to 6 for selective control (with respect to fixed emission
standards) depending on the emission level Hi],
Results of a study for three Air Quality Control Regions conducted by
Krajeski and YeagertS-l, show that seventy-five percent effective control
applied to a relatively small number of emitters on a selective basis
would result in achievement of the primary sulfur dioxide standard (Table
4). For example, control of 300 emitters at seventy-five percent effective-
ness in the New York area reduces overall emissions by sixty-four percent
and achieves the ambient level at all receptors (Table 5). All emissions
requiring control are combustive in origin. Since the New York area may
be using five million tons of coal and 215 mi 11 ion barrels of residual
fuel oil annually, less stringent emission controls on thirty-six percent
of the fuels would provide a substantial contribution in reducing pro-
jected clean fuel deficits. These savings in clean fuel might be extended
on a national basis. Moreover, allowing variability of extent of controls
within and among source categories might allow even further economies.
Another alternative to allow more flexibility in emissions has been a
proposed emissions tax. Many investigators have examined the implication
of an emission tax which, if set at a proper rate, would provide an in-
centive to minimize operating costs and reduce emissions. Tax revenues
could be applied toward developing better control technology and alleviating
damage costs[7,12,19,22,23].
Increased flexibility might allow most areas in the country to achieve
clean air standards with minimal imposition of economic and social dis-
locat ion.
V-52
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TABLE 4
SUMMARY OF SELECTIVE CONTROL STRATEGY APPLIED TO
THREE AQCR'S
AQCR
New York
Philadelphia
NiagraFrontier
NO. OF
EMISSION
SOURCES
1,285
700
541
NO. OF EMITTERS
CONTROLLED AT
75% EFFECTIVENESS
300
53
17
% OF
EMISSIONS
REQUIRING
CONTROL
64
19
27
TABLE 5
SELECTIVE REDUCTION OF SOV EMISSIONS TO ACHIEVE 80
^\
NEW YORK AQCR
UNCONTROLLED
EMISSIONS FROM
SOURCES REQUIRING TOTAL
PRESENT EMISSIONS CONTROL AT 75% CONTROLLED EMISSIONS
EMITTER
Industri
Industri
Uti 1 i ty
CATEGORY
al Combustion
al Process
Power
Area Sources
TOTAL
SOURCES
106
42
31
1,106
1,285
TONS/DAY (A)
1
2
3
238
79
,389
,020
,726
SOURCES
14
0
21
265
300
TONS/DAY (B
111
0
1,039
1 ,248
2,398
) SOURCES
106
42
31
1,106
1,285
TONS/DAY (C)
155
79
610
1,084
1,928
C = .25B + (A-B)
V-53
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INTERMITTENT STRATEGIES
Air quality is generally a function of emissions, assimilative capacity
of the environment, control strategies and background levels. The
dynamic interplay of these parameters constitutes an intermittent control
strategy. Examples of these include^]: load switching (e.g., drawing
power from outside an area which is experiencing low assimilative capacity);
work pattern modification (e.g., staggering of work schedules); and fuel
switching (by sulfur quality or by type, i.e., coal to oil).
Criteria for evaluating intermittent control systems, based on meteoro-
logical conditions have been developed by EPA[5J. Fuel and load switch-
ing strategies (seasonally, daily) to minimize use of low sulfur fuels
while still achieving ambient standards have been described in several
studiesH,6,13J. The Tennessee Valley Authority has had experience in
investigating applications of fuel and load switching techniques based
upon meteorological conditions at the Paradise Steam Plant. Development
costs were estimated at $262 thousand and annual operating costs were
estimated at $103 thousand [10,20].
E. A. Ward has made a gross estimate of the national impact of applying
a fuel quality switching strategy[25] (i.e., switching from low sulfur
to high sulfur content coal or low sulfur to high sulfur oil during days
of good ventilation or high assimilative capacity). An analysis of Air
Pollution Potential Advisories issued by the National Weather Service
indicates that eighty percent of the time it would be possible to burn
high sulfur content fuel because the assimilative capacity of the atmos-
phere is high. In 1970, steam electric plants consumed 328 million tons
of coal and 287 million barrels of oil. About two-thirds of the total
power generated from plants which burned coal (either exclusively or in
combination with gas or oil), was generated by plants which burned coal
exclusively. It may be possible, therefore, for power plants to burn as
much as
(328 x 106)(2/3)(.8) = 176 million tons
of higher sulfur coal based on 1970 consumption. Because of concentra-
tion of plants in populated areas, low sulfur coal must probably be
burned even on some days with good ventilation in order to achieve ambient
standards. Even if twenty-five percent of this estimate is realizable,
it would save about forty-four million tons of low sulfur coal out of a
projected deficit ranging from under 100 million up to 250 million tons.
Assuming a price differential of $5 per ton between low sulfur and high
sulfur coal, this represents a fuel cost savings to the utilities and to
consumers of about $220 million annually.
About thirty percent of the total generating capacity of plants which
burn oil is generated to some extent by plants which burn oil exclusively.
A similar analysis as the one described for coal, above, indicates a max-
imum potential of burning seventy million barrels of high sulfur oil on
good ventilation days. Assuming that twenty-five percent is actually
-------
attainable, a potential switch from low to high sulfur oil by utilities
might produce savings amounting to about eighteen million barrels per
year. Assuming an average of $1.25 difference per barrel between low and
high sulfur oil, an annual fuel cost savings of $22.5 million might be
realized. The low sulfur fuel would be available for use by area sources
whose emissions generally have a relatively high impact on ambient air
quality.
The price for the fuel savings is paid by the utilities in that they must
install and operate the necessary forecasting and monitoring systems to
allow implementation of the strategy. About 1000 plants burn coal or oil
exclusively. If as many as a half of these installed and operated the
necessary intermittent control system monitoring equipment and processing
facilities, the total development cost would be about $131 million and
the total operating cost would be $51-5 million annually, according to
the TVA Experiencel20]. The development cost would be recovered within
one year by the savings in fuel costs, with an additional potential annual
savings amounting to $190 million. The data suggest that these options
may offer promising possibilities if they are confirmed by a more detailed
study.
CONCLUSIONS
This paper has illustrated some types of potential impacts associated
with implementation of environmental standards characterized by varying
degrees of flexibility. Variable standards should not be interpreted as
frequently allowing spurious and arbitrary changes. This would be unac-
ceptable to the general public and would create uncertainty and distrust
of the standard setting and enforcement process by private industry.
There are many opportunities to allow for implementation of more flexible
standards in order to achieve environmental quality goals on an economical
basis, particularly for emissions and effluent discharges. These opportu-
nities must be explored and selected through systems analysis of inter-
relationships among control technology and environmental, social, and eco-
nomic impacts. Related issues are forming around apparent conflicts be-
tween obtaining an improved environment and abundant energy production
and consumption. Both abundant energy and a clean environment are related
to the overall quality of life. The question of fixed versus variable
standards should be examined in the hope of minimizing or eliminating the
apparent conflicts.
V-55
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REFERENCES
1. "Application of Implementation Planning Program (IPP) Modeling Analysis
New Jersey-New York-Connecticut Interstate AQCR," Air Quality Manage-
ment Branch Applied Technology Division of SSPCP, Office of Air Pro-
grams, Environmental Protection Agency (February, 1972).
2. Barth, C. C., et.al., "Environmental Standards." Proceedings of the
Interagency Conference on the Environment, Environmental Protection
Agency, CONF721002 (October, 1972).
3. Barth, D. S., Romanovsky, J. C., Morgan, G. B., "USA Approach to the
Development of Air Pollution Emission Standards for Stationary Sources,"
Environmental Aspects of Nuclear Power Stations, International Atomic
Energy Agency, Vienna (1971)-
k.
"California Air Quality Standards," Federal Register, Vol. 38, No.
Part II, Washington, D.C., (January 22, 1973) .
5. "Criteria for Evaluating an Intermittent Control System (ICS)," Pre-
pared by Air Quality Management Branch, Division of Applied Technology,
Stationary Source Pollution Control Programs, Office of Air Programs,
Environmental Protection Agency (October, 1970-
6. de Nevers, N., Wehe, A. H., "An Air Quality Approach to Natural Gas
Curtailment," (A paper presented at) the 7^th Annual Meeting of the
American Chemical Engineers, New Orleans (march ll~15j 1973).
7. Freemen, A. M. , III, Haveman, R. H., "Residuals Charges for Pollution
Control: A Policy Evaluation," Science, Vol. 177 (JSjIy, 1972).
8. Keitz, E. L., "Approximate Low Sulfur Regulations for Air Quality
Control Regions for 1975," The MITRE Corporation, WP-10015-
9. Krajeski, E. P., Yeager, K.E., A Case for Selective Controls to Achieve
Ambient Air Quality Standards, M72-84, The MITRE Corporation (November,
19727:
10. Leavitt, J.M., et.al., "Meteorological Program for Limiting Power Plant
Stack Emissions," Journal of the Air Pollution Control Association,
Vol. 21, No. 7 (July, 1971).
11. Lewis, D., Environmental Protection Agency, Implementation Research
Division, Office of Research, Telephone conversation (March 8, 1973).
12. Lumb, H. C., "Fallacies of a Pollution Tax," Industrial Water Engineer-
(April, 1971) .
V-56
-------
REFERENCES (CONT'D)
13. Mahoney, J, R., Gaut, N. E., Newman, E., "Impact of Fuel and Load
Switching on Air Quality," Presented at the 72nd National Meeting of
the American Institute of Chemical Engineers, St. Louis (May, 1972).
14. Maxwell J. A., Fiscal Policy, Henry Holt and Company, New York (1955).
15- Missouri Water Quality Standards Summary, U.S. Environmental Protec-
tion Agency, Missouri Clean Waster Commission (May, 1972).
16. "National Primary and Secondary Ambient Air Quality Standards,"
Federal Register. Vol. 36, No. 8k, pp. 8186-8201 (April 30, 1971).
17- Plotkin, S. E., Lewis D. H., "Control Strategy Evaluation Using Models,"
AlChE 72nd National Meeting, St. Louis (May, 1972).
18. Ruckelshaus, W. D. , "Transportation Controls - A Way to Air Quality,"
Congressional Record - Senate, Vol. 119, No. 41 (March 15, 1973).
19. Talsky, L. C., "Dollars in the Air: An Approach to Pollution Abate-
ment Through Effluent Taxes," Journal of Environmental Sciences,
Vol. 14, No. 5 (September/October, 1971).
20. Tennessee Valley Authority, "Cost Analysis for Development and Imple-
mentation of a Meteorologically Scheduled Sulfur Dioxide Emission
Limitation Program for Use by Power Plants in Meeting Ambient Air
Quality Sulfur Dioxide Standards."
21. The Effects on Populations of Exposure to Low Levels of ionizing
Radiation, Report of the Advisory Committee on the Biological Effects
of Ionizing Radiations, Division of Medical Sciences, National Academy
of Sciences, National Research Council, Washington, D.C. (November, 1972)
22. Upton, C., "Application of User Charges to Water Quality Management,"
Water Resources Research, Vol. 7, No. 2 (April, 1971).
23. Upton, C., "Optimal Taxing of Water Pollution," Water Resources
Research, Vol. 5, No. 5 (October, 1968).
24. U. S. Department of Treasury, Internal Revenue Service, 1972 Commis-
sioners Annual Report, pp. 128 and 102.
25. Ward, E. A., Secondary Strategies, Unpublished Report (July 6, 1972).
26. "Water Pollution - Environmental Protection Agency Prepares Effluent
Guidance for Twenty-One Industries for Permit Program," Envi ronment
Reporter, The Bureau of National Affairs, Incorporated, Vol. 3, No. 37
(January 12, 1973)•
V-57
-------
REFERENCES (CONCLUDED)
27. Water Quality Standards Digest - A Compilation of Federal/State
Standards on General Stream Use Designation, Environmental Protection
Agency, Washington, D.C.(August, 1972).
V-58
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ENFORCING ENVIRONMENTAL LAW IN THE CITY
*
Norman Red lien
Several broad concepts are important in organizing municipal government
to play its role in environmental control. First, government at the
municipal level must organize and structure itself environmentally.
Prior to Mayor John Lindsay's administration in January, 1966, in New
York City the traditional municipal departments handled environmental
programs: the Sanitation Department, the Department of Air Pollution
Control, the Department of Water Resources, etc. These separate depart-
ments were not unified in an environmental context. Since that time,
these entities have been combined into one so-called "super-agency,"
the Environmental Protection Administration, which has the capacity to
plan, select priorities, and to budget in environmental terms. For
example, if an air pollution control measure would prevent burning
garbage in incinerators, the impact of that action on solid waste collec-
tion and disposal should also be considered before the decision is made.
In a single agency, such coordination is facilitated.
Local governments as well as state governments have to organize to make
the hard priority choices, for example, the selection of power plants.
In New York, we have created an interdepartmental committee on public
utilities. We recognize that to deal with such questions as rate-
making, we must first decide whether we want to curb the use of electric
air conditioners and electric heating and where we plan to locate a
particular plant. To make these decisions we needed a combined inter-
governmental roof consisting of our city planners, our Consumer Affairs
Commissioner, our Environmental Protection Administrator, and the Ad-
ministrator of Municipal Services (who is responsible for providing power
for the city). It is important that local governments create a structure
which can deal with the complexities of the environmental conflict.
There are two aspects of the legal framework that appear obvious, but
are often overlooked -- the method by which we identify and regulate
pollution problems, and the enforcement mechanism. Traditionally, local
governments controlled the environment through a haphazard and non-
scientific approach — chasing smoke, trying to keep people from making
loud noises, etc. Enforcement consisted of issuing summonses to people
who were making loud noises, or who were chasing dark smoke coming out of
chimneys. People often ignore these summonses. It is an improper use
'Presented by Norman Redlich, Corporation Counsel for the City of New
York, at the National Conference on Managing the Environment.
V-59
-------
of valuable police resources for the police to spend time following
up these violations.
Another traditional method of law enforcement is the abatement of
nuisances. When somebody complained enough, the city's lawyers went to
court in order to "abate a nuisance." This is basically an injunctive
remedy which is totally ill-suited to the urban environment. There
simply are not enough policemen to issue summonses, nor enough city lawyers
to handle injunctions, nor enough courts who are willing to spend their
resources in contempt citations. The urban scene is different from a
rural scene, where the injunctive remedy against a major polluting
factory has some significance. The urban scene requires different
techniques, some of which we have tried in our city.
The basic technique is to deal with the cause of pollution by imposing
standards on the actual device which is the polluting instrument. Such
devices include incinerators, noise generators, and fuel-burning equip-
ment. Another enforcement technique is requiring permits to operate
certain types of devices — this enables the enforcing agency to set
certain standards in order to obtain such a permit. We also set
standards for fuels. The permissible sulfur content in our fuels is a
standard which has been set by local law in our city. Compliance need
not be measured by the old cumbersome method of determining whether there
was too much sulfur dioxide or particulate matter in the air. The New
York City Air Pollution Code and the Noise Pollution Code are scientific
documents setting certain very precise standards with regard to the
amount of contaminants in the air, the amount of sulfur in our fuel,
and the decibel level of various types of noise devices.
Moreover, the Administrator has the power and authority to test various
devices to determine whether they are meeting these standards. Setting
very precise standards is a two-fold weapon. First, they enable a fairly
scientific method of testing, so that even without a complaint we can
test a particular device to see whether it is exceeding a decibel level
or whether it is exceeding a given air pollution level. Second, by set-
ting specific measurable standards, violators can be prosecuted. Through
the use of standards-setting and permit requirements, a range of enforce-
ment techniques become available. It becomes possible to prosecute
someone for failing to renew an operating permit or an operating certifi-
cate. A cease and desist order can be issued to prevent a person from
operating without a given type of approved certificate. An order can be
issued compelling various types of improvements in the particular
polluting device in order to eliminate the offending characteristics.
It is terribly important to remove these cases, as much as possible,
from the courts and into an administrative agency. The City of New York
has created an environmental control board which acts as an adminis-
trative tribunal, consisting of five city officials and four qualified
persons from outside the government. Their job is to enforce the aforemen-
tioned environmental provisions. It has the power to issue cease and
V-60
-------
desist orders; it has the power to revoke permits and operating certifi-
cates; and it has the power to impose civil penalties which can be as
much as $100 per day for every day of violation. These civil penalties
can be enforced in court. Thus far, under our law they must be reduced
to a judgment. We are hoping to secure state legislation which would
enable us to enforce these penalties without the necessity of reducing
them to judgment, subject only to judicial review (under the doctrine
of preventing arbitrary, illegal and capricious penalties). One of the
great unsettled questions in this area is the extent to which the courts
will respect the decisions of an administrative tribunal. If they do
not give weight to the decisions of the administrative tribunal, the
proceedings will be repeated in the courts and the entire administrative
process will have been largely a waste of time. On this the returns
are not yet in.
Finally, we have adopted a citizen complaint technique, which is par-
ticularly useful at the local level. A citizen can file a complaint with
the environmental control board alleging a violation of the various
standards set forth in our code. It is the option of the administrative
agency to prosecute that complaint. If it decides not to, the citizen
can prosecute it himself in his own course. If there is a fine imposed,
there is a sliding bounty system, whereby the citizen will get a per-
centage of whatever is recovered, and will get a higher percentage if it
turns out that he was right and the government agency was wrong in re-
fusing to prosecute the citizen's case. This system has evoked wide-
spread criticism that we are creating a city of bounty-seeking informers,
but we think it is possibly a very useful enforcement method.
The use of these major legal weapons and insititutions by local govern-
ments can enable them effectively to play their role in controlling the
envi ronment.
V-61
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CHAPTER VI: ENVIRONMENTAL MANAGEMENT INFORMATION SYSTEM
As the complexity of environmental problems increases, the decision
maker's need for comprehensive information increases. In most regions,
the environmental manager must understand the technical and legal
issues related to industrial pollution, resource management, interpre-
tation of pollution levels, transportation systems, and population
growth. The development of effective programs and policies of environ-
mental management requires an adequate means of obtaining, processing,
and applying information or data to these types of problems.
In designing an environmental management information system (EMIS),
managers are increasingly turning to computer technology and quantita-
tive analysis. The first step in devising an EMIS is to define the
economic and social objectives or desired output of the system.
The data collating and processing phases are based on the manager's
determination of the type of information system required. Setting a
broad goal such as "improving the region's environment" will complicate
the task of implementing an EMIS. While such a broad goal may be a
long-term decision, the manager must define goals and objectives more
specifically. The manager must determine what information is needed
to guide and strengthen his decisions. Information needs, for example,
should be expressed as examining pollutant levels or air quality
standards; evaluating the transportation system in relation to its
pollutants, capacity, and future needs; or examining land use for the
region.
Managers must be cognizant of those parameters that will be included
in order to achieve an adequate final system design. The final deter-
mination for the systems operation should be made by the manager rather
than research and computer analysts.
Specific objectives of the information system should be carefully
conceived and explicitly stated. What types of pollutants should be
considered? What types of land and its uses should be examined:
recreational, residential, industrial? What alternatives to transpor-
tation systems should be examined: buses, rapid transit, banning
automobiles, gas rationing? What economic characteristics should be
examined: population, income, employment, prices, production? The
objectives should be carefully detailed without, at this stage,
detailing how results should be achieved.
Subsequent to detailing specific objectives, it is necessary to
establish the constraints that ought to be built into the system.
Vl-l
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Constraints are limitations placed on the achievement of an objective.
For example, cost, time, and personal constraints may be placed on
achieving the overall objective of an EMIS. Limitations will probably
have to be established for the variables in relation to those controll-
able by management and those that are not. Non-controlled variables
involve levels of detail and resource assignment too costly and time
consuming for most information systems.
What appears to be a good pollution information system at a reasonable
cost may turn out to be inadequate when new viewpoints and alternatives
are examined, especially for the variables included and overall system
design. An additional expenditure of only five percent for better data
collection may be all that is needed to transform a fair system into an
excel lent system.
Definite criteria should be established for evaluating each alternative..
These criteria may involve simply a written report indicating pros and
cons of each alternative to a specific analytical process for evaluation.
Each alternative should be evaluated in relation to the original objec-
tives and constraints. The manager must keep an open mind to alterna-
tives and be ready to modify unrealistic objectives, goals, constraints
or the alternatives, if a viable system is to be established.
The manager must define the specific economic, demographic, and environ-
mental variables relevant for policy-making, based on present knowledge
and problems and future expectations. A variable is an element
(pollution, land use) or attribute (amount, size, age) which is under
empirical investigation. Variables may be qualitative or quantitative,
and the concern of the environmental manager is to understand the
relationship among variables in order to assist in the evaluation of
competing policy alternatives.
The next phase involves determining whether the necessary data is
available and able to be maintained and collected on a continuing basis,
at a reasonable cost, and with an acceptable level of statistical
validity and reliability. For example, in order to evaluate economic
growth, data must be available on population, income, employment, and
housing. Comprehensive analysis may be limited if the data is not
collected on a continuing basis or if there are distortions in the data
due to variations in methods of collection.
The goal in the data collection process is to create standard defini-
tions, identifications, and classifications of data so that the
manager receives timely, reliable data that is useful for inter- and
intra-regional comparisons. Ultimately, the information system, more
than a simple inventory of data processes, must transform data into
useable information for purposes of decision making. An unrealistic
data base design is the major reason for an information system's
failure (i.e. one that is overly detailed, or fragmented). The
VI-2
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failure is a result of poor design, unused and unuseable data, and
excessive cost burdens to maintain current data. Data elements com-
mon to more than one component of the system should be identified and
evaluated with a view towards multiple purposes (i.e. an integrated
data base).
A necessary tool for recording, storing, and processing data is the
computer. It combines speed with accuracy and economy; it can sort,
store, calculate, merge, correlate, and otherwise manipulate data at
high speeds. They rarely make mistakes and reduce data collection
and processing costs. Most mistakes that do occur are caused by humans;
the computer performs only those functions programmed for it. Three
important characteristics explain the extraordinary utility of computers:
storage capacity -- which permits the adaptation of a central or common
data file and allows for the inclusion of all data input for each pro-
cess; direct interrogation of the system via remote inquiry devices;
and legibility of computer output -- which may take the form of tabular
listings, mappings, graphical display, and printed text.
An accurate, worthwhile computer-based EMIS cannot be built overnight.
The manager should ascertain, with expert assistance, the computer hard-
ware and software (e.g., computer programming) needed for the application
of a system. Many presently operating regional systems may be modified,
expanded or combined, thereby reducing the time needed to establish
a working data base and EMIS. However, the capabilities of any com-
puter system are limited by the ability and techniques of the computer
analyst or programmer. It is the analysts who conceptualize a problem
and make decisions about how a problem will be solved. Analysts inte-
grate data with statistical and mathematical techniques. The environ-
mental manager is responsible for the overall design and guidance of
the system. In thinking about alternative designs for a total EMIS,
the manager should consider in-house capabilities, as well as assistance
from universities and consulting firms.
A properly instituted EMIS will give managers more planning time with-
out the need for extensive research, provide for the evaluation of
alternative actions, and anticipate environmentally induced changes
that will effectively centralize the control of the information and
analysis process.
Implementation of an EMIS requires a close working relationship be-
tween managers and research and computer analysts. Analysts trans-
late technical methods and concepts into a practical language to meet
the needs of the manager. However, the manager must have sufficient
knowledge of the disciplines available for analysts, have a rudimentary
understanding of their techniques and language, and be able to grasp
the importance of quantitative analysis.
VI-3
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MODELS AND SIMULATION
In order to respond to a request for information on an environmental
problem from the manager, the research and computer analyst's first
step is to develop a model or simulation.
Models present a facsimile of reality. A model simplifies reality by
using a small number of variables to describe, explain and predict a
phenomenon (e.g., using population increases to predict additional
employment).
There are three basic types of models: iconic or physical; analogue
or abstract; and symbolic. The iconic or physical models look like
what they represent, that is, a "model" airplane or ship, or maps and
drawings. The analogue or abstract model uses symbols to represent
a set of properties of reality, for example, using words to describe
an object or lines on a photograph to represent contours. The sym-
bolic model uses symbols (letters, numbers) to represent a relation-
ship of reality. This type of model is usually specified by a mathe-
matical relationship.
Models are simplifications of reality that supply alternatives for
solving a problem. While it is possible to make extremely complex
models, they are usually incapable of being used directly for decision
purposes without additional analysis.
Models may be simplified in four ways. First, variables may be omitted.
Only those variables offering a specified level of significance should
be maintained in a model. For example, transportation variables that
may be included are buses, cars and trucks. However, detailing makes
and models of each would add little additional significance to the out-
come. Variables may also be aggregated to reduce their number. Income
groups may be classified as high, middle, and low rather than broken
down into more refined categories.
Second, the manner in which variables are used may be changed. Rather
than using explicit distributions of a variable, an average value may
be used so that the variable may be considered a constant, for example,
the average number of new housing starts per month.
Third, relationships between variables may be changed. The most com-
mon type of relationship change is substituting a linear relationship
for a non-linear one. For example, pollution may increase at an in-
creasing rate as automobile weight increases, until some limiting weight
is reached whereby pollutants increase at a decreasing rate no matter
how much more an automobile weighs (an exponential function). This
type of situation may be simplified with a straight linear relation-
ship explaining that pollutants increase as automobile weight increases.
VI-4
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The fourth possibility is to modify the constraints of the model. Con-
straints can be added, subtracted, or changed to simplify a model. Re-
quiring industry to add pollution abatement may cause, a shortage of pro-
duction to occur to some maximum limit. The model would obviously need
an estimate of these shortages, although such an estimate would probably
be extremely difficult to obtain. However, as the shortage increases,
the costs and difficulty in reducing pollution may become higher. A con-
straint may then be built in so that lost production does not exceed
this upper amount.
Environmental models are time consuming to construct and extremely complex.
It is therefore necessary to construct a model in parts so that the final
result is a multiple model (or a large model with many sub-models). The
output of one model may become the input to other models. Determining
air quality standards would require, at a minimum, the input from an
economic characteristics model to determine population and industrial
growth. Input would also be required from a transportation model to deter-
mine traffic congestion and patterns, which in turn requires input from
the economic growth model. Multiple models may function completely in-
dependently, with each model providing a set of solutions, or sequentially,
with all the models working together to provide a set of solutions.
Simulation is an imitation of reality. Simulation of a system involves
the manipulation of a model (a representation of reality) to yield as
true a picture of reality as possible. Model manipulation allows alterna-
tive policies and decisions to be tested to eliminate expensive trial and
error methods.
A simulation requires data on how various operations are interrelated, as
well as a time frame for the different conditions and objectives to be
examined. By using multiple iterations of a designed model, a simulation
allows examination of the different phases of a system.
A model may predict the final levels of pollution, but it cannot tell how
those levels were arrived at. A simulation, in contrast, examines the
transitional states between the present and the future. It details the
time frame for each aspect of a solution. While pollution may indeed de-
crease in the end, it may have had to increase substantially in the interim.
Simulations offer the possibility for developing transitional phase solu-
tions.
EMIS MODELS
At the National Conference on Managing the Environment, four workshop
sessions were devoted to information systems. Summaries of these sessions,
as well as some of the more pertinent speeches,are discussed below. The
first system to be discussed is the Integrated Regional Environmental Model
(IREM), designed for the San Diego region. This model is used as a tool for
developing and implementing a comprehensive regional plan. The second is
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the Arizona Trade-Off Model (ATOM), designed specifically for the state
of Arizona in order to provide the state's policy makers with alternative
choices for achieving desired goals and objectives, Third, the General
Environmental Model (GEM) was designed as a simulation model to aid policy
makers in developing strategies to deal with urban problems. Fourth,
the Strategic Environmental Assessment System (SEAS) is being prepared
by the Environmental Protection Agency as a general national policy making
model for use by localities and regional planning bodies to interrelate
national environmental policies. The summaries that follow are presented
for guidance to environmental managers for planning an information system.
The ATOM and GEM models are described in detail with respect to the work-
ing models and the interrelationships that should be considered. The
IREM model is a summary paper describing an overall integrated model with-
out discussing the finer points of modeling techniques. Finally, SEAS is
summarized in the speech delivered by Dr. Stanley Greenfield, Environmental
Protection Agency Assistant Administrator for Research and Development.
VI-6
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INTEGRATED REGIONAL ENVIRONMENTAL MANAGEMENT PROJECT
The Integrated Regional Environmental Management (IREM) Project is a product
of the San Diego County Comprehensive Planning Organization (CPO) program
to develop and implement a comprehensive regional plan. The IREM project is
part of a formulation for a fully integrated and analytically sound compre-
hensive plan.
The project is based on a regional modeling system to develop accurate and
sound information. The planning models are designed to evaluate alternative
policies for land use and transportation patterns. Nine steps were defined
for establishing a comprehensive plan:
1) Identify a set of broad long-range regional goals and ob-
jectives ;
2) Specify alternative sets of policies and public actions which
can be used to achieve these goals;
3) Develop alternative plans based on policy combinations to
represent future development and transportation;
*0 Test each alternative plan concept to determine the effective-
ness of alternate policies for achieving goals;
5) Identify pro and con aspects for each alternative plan;
6) Evaluate each alternative plan for effectiveness, feasibility
and cost;
7) Select alternative plans and policies;
8) Decide upon an implementation plan that utilizes public facil-
ities and services; and
9) Monitor actual growth and development and relate to goals.
JREM relies heavily on five computer models. Each model examines a different
aspect of a regional environment. The elements of the regional models system
may be used independently for analyzing a specific problem for which it is
best suited, or may be used in sequence, with the output of one sub-model
serving as the input of another. Figure 1 shows the individual models and
thei r 1inkages.
INTERACTIVE POPULATION/EMPLOYMENT FORECASTING MODEL
The Interactive Population/Employment Forecasting (IPEF) model is designed for
long range forecasts of population and employment, given various regional
policies. For example, regional population and the quality of growth could
VI-7
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Figure 1.
REGIONAL MODEL SYSTEM
POLICY INPUTS (Policies)
MODELS (Tools)
MODEL OUTPUTS (Products)
I
oo
Regional Growth Policies \
/
Y
K
Alternative Land Use Develop- \
ment Pol icies /
f
Systems /
r
K
Air Quality Standards ^
V
_
Criteria /
\ . P . E . F . Forecas t i ng Mode 1
I
Urban Development Model
l *~ ~~ — —
Transportation Model System
i~~ _ _.
Stategic Air Quality Model
i— — — —
Evaluation Method (Model)
z>
^>
—
I>
_. _
z;>
_
=>
Regional Population &
Employment Forecasts
i
• ••• BM>
Alternative Regional Develop-
ment Patterns
— — — - '
Future Travel Patterns By Mode
1_._._ |
Regional Air Quality Measures
._ _ _ •
Final Regional Development Plan
-------
be substantially affected if there were a reg-ional growth policy.
The model responds to alternative policies and tests their effects and
impact on unemployment rates>family planning, health care, industrial expan-
sion and population migrations.
The IPEF model has five regional growth components: births; deaths; employ-
ment-related migration; military-related migration; and retirement-related
migration. The components have various mixes that are simulated for specific
policy alternatives.
Each policy assumption which is used,produces a forecast of population by
age, race, sex and industry employment for five-year intervals. The general-
ized output may be in graph or tabular form.
URBAN DEVELOPMENT MODEL
The Urban Development Model (UDM) is itself a set of sub-models that simulate
development patterns in the San Diego region. The population and employment
forecasts of the IPEF model are the input to the Urban Development Model
for regional distributions. Given growth policies and development constraints,
the UDM distributes future incremental growth and identifies the growth pat-
tern for sub-areas within the region.
The model uses an "allocation function" to examine potential development with-
in the region. The three basic factors used are: (1) The accessibility to
employment opportunities, examining commuting patterns and travel times;
(2) the availability of developable land, considering residential densities
and open space policies to locate this developable land; and (3) the "attrac-
tiveness" of a given area, based on characteristics which would attract
developers (housing values are used as the measurement for "attractiveness").
The alternative policies of transportation systems, governmental services
and land use are used as input for the allocation function. Transportation
factors considered are those which affect travel times, costs and alternative
modes of transport. The urban governmental factors considered are municipal
water and sewer services. The identification of land specifically withheld
from development is based upon land use constraints, which were established
for topological or planning considerations.
Each of the policies (transportation, governmental services, and land use)
works independently and in concert with the others to determine development
that will occur in the region. Primary regional factors such as income,
family size, housing needs, recreation, industry employment, government goods
and services and transportation needs are all interrelated to establish the
final development growth patterns.
The Urban Development Model provides output on how the region would develop
under various policy alternatives. The model forecasts an economic and
land use profile for a variety of geographic units. Details on total popu-
lation and dwelling units, employment by place of work and place of residence,
total land use acreage by type of use, household income, housing values and
VI-9
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property, sales, and income tax revenues are available by census tract (315),
regional traffic zones (85) or the smallest geographic unit, traffic zones
(663).
TRANSPORTATION MODEL SYSTEM
Using detailed descriptions of a transportation system (speeds, distances,
costs and travel times) this model simulates traffic patterns for different
segments of a transportation network. The overall transportation model
system consists of four individual sub-models: trip generator; trip distrib-
ution; mode split; and assignment.
The trip generator model estimates the origin and final destination of trips
according to traffic zones. The model considers the numbers and locations
of residences and places of employment. Identification of the transporta-
tion mode (automobile, bus, train) is performed by the mode split model.
Identification is made of the type of trip including purpose, basic transpor-
tation characteristics, costs, time, and convenience, and of the user
characteristics, such as income, age and occupation.
The final element of the network, to identify the route for each trip, is
accomplished by use of the trip assignment model. Assignments are made on
the basis of minimizing time and distance to a trip's destination.
Output from the transportation system model indicates the future patterns for
transportation facilities. By indicating traffic densities and user facili-
ties, it facilitates making policy decisions on existing and proposed
faci1ities.
STRATEGIC AIR QUALITY MODEL
The Strategic Air Quality (SAQ) model describes future air quality based on
fixed and mobile pollution sources, as well as meteorological characteristics.
The Urban Development Model and the transportation model provide the input on
the sources (fixed and mobile) to the Strategic Air Quality model. Once
located, the dispersion of these pollutants throughout the region is examined
by the Strategic Air Quality model, which then provides the expected regional
pollutant levels.
THE PLAN EVALUATION METHOD (OR MODEL)
The final step of IREM is the Plan Evaluation Method. The previously dis-
cussed models provide details on population, housing, employment, land use,
transportation and environmental quality. Using the output of all the models
the Plan Evaluation Method related the data to predetermined criteria in
order to identify those policies that produce the most desired situation and
meet the plans for the San Diego Region.
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CONCLUSION
The models explained above require a large computer system for their main-
tenance. Since the IREM model was designed for a specific region, another
area would have to establish a data base before it would be able to adapt
the model for its own usage.
The project has limitations that are not exclusive to IREM. The models
require gross assumptions and accurate, reliable and current data. City,
county and industry interests must work together. However, the model does
integrate environmental considerations into the policy making process, is
highly flexible to meet the region's needs, and is technically sound.
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ARIZONA TRADE - OFF MODEL
The Arizona Trade-Off Model (ATOM) Is an operational environmental
management tool that analyzes economic growth versus natural environ-
ment policy issues. The model is designed to assess the impact of
specific policy or program alternatives on the economy and environment
of Arizona.
To measure trade-off, the model uses employment as a rough indicator
for economic change and a composite index for measuring environmental
quality units- The environmental composite index is derived using
weighted scores for sixty-six variables representing environmental
quality. The sum of the highest values for the sixty-six variables,
or a perfect score of 1000, represents zero pollution as shown in
Figure 2. This method allows for a crude quantitative measurement of
environmental quality as well as integrating policy issues into the
weighing scheme.
The ATOM has two distinct stages - an exogenous or external stage and
an endogenous or internal stage. The exogenous stage allows for
variables that are outside the model's determination to have a value
assigned. The endogenous stage is the working ATOM model and uses the
external factors to calculate a solution. The model is outlined in
Figure 3- The final evaluation phase of the ATOM model uses the
technique of simulation. Since internal variables may change and
affect the final solutions, the ATOM is considered a dynamic simulation
model.
EXOGENOUS STAGE
Before the actual trade-off solutions can materialize,it is necessary
to determine the outside factors affecting the economy and environment.
This is accomplished in the exogenous stage.
The first step is determining the specific public policy (Public Policy
Sub-model) alternatives that are to be considered. The policy alternatives
presently considered by the ATOM are economic growth, industrial
structure, and environmental protection.
After the objectives have been specified, the Sub-model produces the types
of programs to be implemented and the results associated with them.
VI-12
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Figure 2
I. Ecology (315 units)
Species and Populations (144 units) B.
1. Rare and endangered plant
and animal species (16)
2. Productive plant species (16)
3- Game animals (16)
4. Other animals (16)
5- Resident & migratory birds C.
(16)
6. Sport fisheries (16)
7- Commercial fisheries (16)
8. Pestilent plant and animal
species (16)
Parasites (16)
Habitats and Communities (96 units)
10. Species diversity (48)
11. Food chains (2k)
12. Land use for habitats and
communities (24)
Ecosystems (75 units)
13. Productivity rate (25)
14. Hydrologic budget (25)
15- Nutrient budget (25)
9.
Water
16.
17-
18.
19-
20.
21.
22.
23.
24.
25.
26.
27-
28.
29.
II. Environmental Pollution (321 units)
Pollution (160 units)
Algal blooms (5)
Dissolved oxygen (20)
Evaporation (6)
Fecal conforms (5)
Nutrients (12)
Pesticides, herbicides,
defoliants (8)
PH (8)
Physical river
characteristics (6)
Sediment load (15)
Stream flow (20)
Temperature (20)
Total dissolved solids
Toxic substances (5)
Turbidity (10)
(20)
Air Pollution (40 units)
30. Carbon monoxide (8)
31. Hydrocarbons (8)
32. Particulate matter (8)
33- Photochemical oxidants (8)
34. Sulfur oxides (8)
Land Pollution (93 units)
35. Land use and misuse (31)
36. Soil erosion (31)
37. Soil pollution (31)
Noise Pollution (28 units)
38. Noise (28)
VI-13
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Figure 2 (cont.)
III. Esthetics (159 units)
H. Land (25 units)
39. Land forms (15)
40. Geologic surface
material (10)
I. Air (11 units)
41. Pleasantness of
sounds
J. Water (39 units)
42. Surface characteristics
(25)
43. Water-land interface
characteristics (14)
K. Biota (28 units)
44. Vegetation (18)
45. Fauna (10)
L. Man-made Objects (21 units)
46. Visual
47. Condition (5)
48. Consonance with environment
(8)
M. Composition (35 units)
49. Interaction of land, air,
water, and man-made
objects (25)
50. Color (10)
IV. Human Interest (205 units)
60.
61.
62.
Educat ional-Scientific
Significance (64 units)
51. Geological significance
(18)
52. Ecological significance
(18)
53- Archeological significance
(18)
54. Unusual water phenomenon
(10)
Historical Significance (55 units)
55- Related to persons (11)
56. Related to events (11)
57- Related to religions
and cultures (11)
58. Related to architectures
and styles (11)
59- Related to "western
frontier" (11)
Source: Battelle Memorial Institute, Columbus Laboratories
P. Cultural Significance (§4 units)
Related to Indians (18)
Related to religious
groups (18)
Related to other ethnic
groups (18)
(32
Mood-Atmosphere Significance
units)
63- Isolation-solitude (8)
64. Awe-inspiration (8)
65- "Oneness" with nature (8)
66. Mystery (8)
VI-14
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Public
Pol icy
Regional/Industrial
Al location Model
(RIAL)
Economic and
Envi ronmental
Conditions and
Constraints
Data and Pol icy
Inputs
Exogenous Submodels
Trade-off Evaluation
Evaluate Total
Envi ronment
Total Environmental \ Yes
Constraints Satisfied
HAre Modifications \NoNo/ ,s simulation
Mthln an Industry > •!• \ Period Complet
Feasible / \
Select New
Industries
10
Environmental Development \ yes
Constraints Satisfied f1
Projection
Model
11
12
Determine Changes
From Development
13
Economic Results
FINAL OUTPUT
Envi ronmental
Results
FIGURE 3- FLOW DIAGRAM OF THE ARIZONA MODEL
VI-15
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Additional exogenous factors are determined by the Regional Industrial
Allocation Model (RIAL). The RIAL is itself an independent analytical
model. Used within the context of the ATOM it evaluates the feasi-
bility of industry location. RIAL produces a ranked list of new
industries that may feasibly locate in a specific area. This ranked
list is further used to evaluate economic growth and/or industrial
structure.
Industry location is based on input factors such as existing indus-
tries, transportation needs and facilities, market locations, and labor
force growth. Specific environmental factors that can be considered
in RIAL are amounts of pollution generated and the water requirements
for each type of industry.
Using what is described as an "input - output linkage," the model
produces its ranked list by comparing industrial needs with area
resources. The model does not attempt to establish likelihood
estimators for each industry (i.e., a probability estimate to determine
if an industry will locate) nor does it rank the industries to determine
which industry would locate in a competitive situation.
The final exogenous factors necessary for operating the ATOM are
economic and environmental conditions and constraints or a data base
of economic, demographic and environmental characteristics.
All input data utilized in the ATOM are arranged in a map format using
six by ten mile grid cells. Much of the economic data is available
only at the county level and is therefore distributed through approxi-
mations to the sixty square mile grids.
The three exogenous stages supply data to the ATOM through a selection
process that usually includes policy and program definitions and data
base elements. The three exogenous stages are initiated only once
with the results used for unlimited ATOM evaluations.
An additional data input which is necessary before initiating the ATOM
are base line projections. These projections are future economic and
environmental conditions upon which the policy and program alternatives
are to act. The trade-off solutions of the ATOM are variations from
these baseline projections.
Values for the baseline conditions are projected for each year of a ten
/ear future. Estimates are made for population characteristics such
as age, sex, education, minority representation, labor force participa-
tion, and economic structure described by industry employment. The
estimates are made using the projection model (step 2 of ATOM) on an
VI-16
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independent cycle from the actual evaluation.
ENDOGENOUS STAGE
The endogenous stage of the ATOM performs the trade-off evaluation.
The model determines economic and environmental consequences that
would be brought about by the policies or programs for a ten year
period. However, provision is made for the model's user to select
a time frame as small as quarterly.
For each policy-induced change, the model performs an evaluation of
the total environment. The evaluation is actually a simulation of
present development with proposed environmental constraints. Economic
growth can also be predicted according to environmental constraints.
Additional simulations can be made for testing the impact of a different
level of economic activity and associated pollution vjs-a-vis land use
and pollution constraints.
Three options are available if constraints are violated. First, a
different industry which is more suitable for the environment may be
selected. Second, controls may be imposed on the industry to meet the
proposed pollution levels. Third, new constraints may be constructed.
The model is able to evaluate environmental improvements. The indus-
tries most environmentally sound for a given area are taken from the
ranked industry list provided by the RIAL submodel. Testing of an
industry's suitability is continued with the introduction of pollution
abatement methods and costs. Included in the analysis are the impacts
of different policies and programs (e.g., abatement) and potential
industry reactions (e.g., add!tional financing, passing on pollution
control cost to consumers or cessation of operations).
Total industrial structure is examined by selecting new industries in
the simulation phase. A new industry is chosen from the ranked list
provided by the RIAL if a targeted growth rate is different from the
exogenously determined baseline growth projection. The determination
of whether an industry can be located in a given location depends upon
the economic growth objective.
The final endogenous step is the projection cycle. This is the same
submodel that works independently to provide the baseline projections.
Used within the ATOM framework, the submodel provides estimates of
migration rates as a function of economic conditions and employment
opportunities. The projection step also estimates economic activity.
Estimates are made for industry export activity (as a source of income
flow into an area), employment growth via a multiplier effect for
each type of firm in an area, and population and households. Employ-
ment is used as a measure of economic impact in the model.
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ANALYSIS
Two of the more important aspects of the ATOM are land use and resources
analysis. Land use is analyzed for each six by ten mile grid cell for
the state. Each grid receives a general classification of its surface
resources, a distribution for the major types of activities, and a
description of the grid's attributes.
The major surface resources are described by the eleven classifications
of: surface water; riparian; urban land; cultivated and pasture; coniferous
forest; grassland; woodland; chaparral and mountain brush; northern
desert shrub; non-urban highways and airports; and southern desert shrub.
Human activity is also described. I terns such as urban settlements,
recreational facilities and activities, agricultural activities, and
mineral extractions are used to relate human activities to land attri-
butes. The land attributes that are considered include: land ownership,
mineral deposits, game birds, and recreational demands. Items such as
recreational demand, that change over time, have detailed computations
made on the activity in each cell.
The analysis focuses on environmental quality and calculations are
made for changes that would occur because of industrial emissions or
increased population. Water and air effects are traced from cell to
cell until they are dissipated.
The Arizona Trade-Off Model is extremely complex. There are various
internal effects and interactions that are impossible to trace in a
summary type paper. However, the model is providing environmental
managers with information needed to establish policies and directions.
The model does have many limitations in its built-in assumptions,
exogenous needs and simplistic causalities. But the model is a
beginning for rational environmental decision making.
VI-18
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GENERAL ENVIRONMENTAL MODEL
The General Environmental Model (GEM) is still in the development stage.
When completed, it will provide policy analysis and strategies for re-
sponding to urban problems and issues for use by policy and.decision
makers. (GEM is to be an Urban Policy Model.)
Basically, the GEM provides information for urban-environmental policy
evaluations. Using specific policy criteria as input, spatial and
temporal distributions are the output. The model includes various
physical, economic and social indicators and uses interrelationships
to provide secondary and tertiary effects.
One of the more important aspects of the GEM is the quality of urban
life indices. Indices are provided for pollution, housing quality and
costs, quality of public services, and public preferences for goods and
services. Presented as levels of dissatisfaction, the indices induce
change and allow for more complete interrelationships to occur.
The GEM, when completed, will consist of various subsections to meet
the needs of a variety of users. Unlike many models, the GEM is not
being designed for or by a specific municipality, which would require
various modifications if the model were to be used by other cities.
Rather, it is to be a general policy model, designed for a specific
task, which can be used by anyone.
DATA BASES
The GEM requires an extensive data base that, like most, requires a
great amount of time and expense to construct. The model's data in-
put will have three basic characteristics. First, they will be dis-
played spatially on a grid with 625 squares, each square representing
one square mile. However, the grid may be clustered into jurisdictions
with input correlated to jurisdictional boundaries. Second, the data
input will provide description of natural, physical, human? and monetary
resources. Third, the data will be adapted to fit the system behavior
of economic, social and government sectors.
The general data categories include: topographic and geographic, land
use and zoning, transportation network, housing and population density,
levels of public and private sector activities, and monetary conditions.
To save time and expense for a user of the model, representative situa-
tions are under development. To test the impact of a policy decision
there will be nine model data bases representing 221 Standard Metropol-
itan Statistical Areas (SMSA) known as Modal Cities.
VI-19
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As an alternative, there is a data base generator, known as the Simu-
lation City model, under development.
MODAL CITIES
The modal cities provide GEM users with a standard urban area's data base.
There are nine basic types of modal cities defined for use. Type A con-
sists of very large, highly-developed urban areas with important manufac-
turing sectors. Type B is highly specialized in recreation, with rapid
growth and high income. Type C contains the medium-sized areas with a
relatively smaller service sector, emphasizing distribution and some
manufacturing. Type D areas are affluent and growing, but less highly
urbanized. Type E represents less well-to-do areas with elderly popu-
lations. Type F are traditional New England with relative stagnation,
lack of wholesaling and an absence of Blacks. Type G are nonmanufactur-
ing with rather high levels of poverty and many Blacks. The Type H areas
are archetypal Midwestern, stressing manufacturing, somewhat smaller but
growing. Finally, the I group are reasonably affluent, medium-size re-
gional centers, individually specializing in a variety of functions.
Representative areas for the nine classes are shown in Figure k.
SIMULATION CITY
The Simulation City (SC) model will assist the GEM users in preparing
a regional data base. The model will utilize descriptors for a speci-
fic SMSA to generate a detailed data base to meet the requirements of
GEM.
Required inputs to the SC model are metropolitan area descriptors,
either explicit (e.g., population) or subjective (judgments), and topology
descriptors (roads, rivers, non-developable land). These inputs provide
limitations for the ongoing simulation.
The actual simulations provide a data base by using location and econom-
ic theory. For example, industries are located near transportation
sources, and distances are minimized for households and services. While
detailed area information can be used to generate the data base, the SC
model is designed to use readily available information (from the statis-
tical abstracts and United States Geological Survey (USGS) topographic
maps).
DECISION INPUTS
The GEM will have decision simulators for economic, social and governmen-
tal sectors. Presently only the Economic Decision Simulator (EDS) is
under development. The simulators utilize decision trees to assign prob-
abilities to specific courses of action based on past success of those
actions.
VI-20
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Type A_
Philadelphia
Cleveland
Type B^
Las Vegas
Reno
Type C
Kansas City
Dal las
Type D_
Phoenix
Orlando
Type E
Knoxv i11 e
Ashville
FIGURE 4
Model Cities Suggestions
Type F_
Lowel1
Worcester
Type G^
Mobile
Savannah
Type H_
Saginaw
Rockford
Type I
Tulsa
Tacoma
VI-21
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The GEM user can plan actions for economic activities with information
provided on economic patterns. The simulator examines the economic
sector with respect to new business formation, land use allocation, eco-
nomic growth, business operating decisions, business expansions, and pro-
vides input to the social and government sectors. The decision simula-
tors will limit the number of inputs required by the GEM user.
The simulators are an independent sub-model of the GEM and therefore
allow the user to modify or substitute decisions before final process-
ing. The decisions available to the GEM user are shown in Figure 5.
GEM MODULES
After the data base has been established and the decision inputs made,
the final processing through the GEM can be accomplished. Four GEM
modules provide a basic system framework and user evaluation of goals
and needs.
The Social Module contains population groups broken into socio-economic
classes, population characteristics and population needs (housing quality,
school quali ty).
The Economic Module presents basic economic activities (industries and
services) and describes economic needs, business transactions, growth,
and economic and environmental effects.
The Government Module describes the public and semi-private activities
that serve basic governmental services. These include: budgets, tax
rates, assessments, zoning, public safety and welfare services, utili-
ties, education and transportation.
The Environmental Module represents fuel, power and water consumption;
the generation of consumption and industrial processes pollution; and
pollution treatment activities. Also included are secondary pollution
effects.
OPERATIONS
The last stage of the GEM determines the system behavior through the
interrelationships of allocated resources via the GEM modules and the
effects of the decision inputs.
There are eight operations in the final calculations: population shifts
are determined through dissatisfaction indices; developments are depre-
ciated with calculations made for maintenance expenditures; full and
part-time workers are assigned jobs by ranking their education achieve-
ments and maximizing their net salaries; total transportation costs are
minimized subject to public transit capacity, road congestion, and
VI-22
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Figure 5- Decisions Available to Users of the Model
Economic Decisions
. buy and sel1 land
. set rents
. set prices
. set salaries
. set maintenance levels
. lend money
. borrow money
. build and demolish three types of
residences, twelve types of basic
industries, and four types of
commercial establishments
. transfer money to other economic
and social and government decision
makers
. boycott commercial establishments
. construct chlorination, primary,
secondary and tertiary effluent
treatment facilities at basic
industries
. change the operating level of a
business (without demolishing the
buiIding)
. set the amount of water which is
recycled at basic industries
. construct residences which use
ground water
. set the fuel mixture for an
economic activity
. contract between a basic
industry and a solid waste
company for solid waste
col lection
. convert an industrial open
dump into usable land
. install and remove three types
of air treatment at a basic industry
Social Decisions
. allocate time to extra work,
education, politics and recreation
. boycott work locations, commercial
establishments, and modes of travel
. set the dollar value of time
travel 1 ing to work
. transfer money to other social,
economic and government decision
makers
3. Government Decisions
. grant appropriations
. grant subsidies
. transfer money to other
government and social
and economic decision
makers
. set welfare payments
. set tax rates
. float bonds
. assess land and buildings
. buy and sel1 land
. set the number of job open-
ings in government
. set government service
districts
. request Federal-State aid
. set the salaries offered
government workers
. build and demolish schools
. build and demolish munic-
ipal service plants
. grant contracts with local
goods and service establish-
ments for government
purchases
. set the amount of public
adult education offered
by the government
. construct and demolish roads
. construct and demolish
terminals
. zone land
. build and demolish public
institutional land uses
. provide parkland
. install water and sewage
1 ines
. construct and demolish water
and sewage plants
. locate bus routes
. buy and sell rail rolling
stock
. locate rapid rail routes
. set the amount of service
on bus and rail routes
. set the maintenance level of
government facilities
VI-23
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Figure 5. Con't.
set prices for private use of
publicly-provided water
construct and demolish primary,
secondary, and tertiary sewage
treatment plants
construct and demolish water
intake treatment plants
locate municipal water intake
points
locate municipal sewage outflow
points
locate water sampling stations
change a business1 operation
level (without demolishing the
buiIding)
build and demolish nuclear and
fossil fuel power plants
set fuel mixtures at fossil
fuel power plants
set fuel mixtures at schools
set fuel mixtures at municipal
services
build and demolish cooling
towers at power plants
install and remove air treatment
at fossil fuel power plants
set power prices
create land fills
convert land fills into usable
land
contract between a basic industry
and a Solid Waste Company for
solid waste collection
contract between a Solid Waste Company
in one jurisdiction and that in
another jurisdiction for use of
the other's land fill site
set solid waste collection fees
build and demolish incinerators
install air treatment at incinerators
assign parcels to incinerator
districts
establish ambient air sampling
stations
establish point source air sampling
stations
set air and water pollution fines
set air point source regulations
buy and sel1 buses
set bus and rail fares
buiId rai1 1ines
build rail stations
assign parcels to land fill
districts
raise local air ambient stan-
dards above national standards
implement motor vehicle
pollution emissions regula-
tions
VI-24
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transportation boycott constraints; school quality and capacity are used
to allocate students by districts; each population unit is allocated
time for education, politics, recreation and employment; personal goods
and services and business goods and services expenditures are allocated
by minimizing total costs; and final calculations are made for indicators,
incomes and expenditures.
OUTPUT
There are four output modes to the GEM: maps, indices, detailed informa-
tion* and summary information. The map output provides visualization of
economic activity, transportation networks, municipal services, land use,
planning and zoning, and market values. Information is provided for each
of 625 grids in a detailed format of economic and demographic uses.
Indications about quality levels are provided by indices. Indices are
provided for: pollution (air and water quality); neighborhoods (housing,
rents, schools, tax rates, and services); health (crowding, bacteria counts
and services); and time (involuntary, transportation and recreation).
Detailed information is available to examine the exact functional relation-
ships of the model. Economic activity, pollution levels, financial
operations, and employment selection can be developed in detail.
Summary information is provided by descriptions and graphs for every ma-
jor economic, environmental, social, and governmental activity processed
by the GEM.
CONCLUSIONS
The GEM will provide a user one-year cycles to determine the present sta-
tus of an urban area's resources and policy effects on those resources.
The model can, through iterations, examine urban area effects brought on
by various policy changes. The model is basically concerned with the
allocation and real location of systems resources given the effects of
various policies and their implementation.
The model is an attempt to provide policy and decison makers the capability
of analyzing urban-environmental issues. Using a systems simulation, pol-
icies can be examined in detail as to their effects,and workable solutions
and alternatives may be suggested.
VI-25
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THE STRATEGIC ENVIRONMENTAL ASSESSMENT
SYSTEM (SEAS): A RESEARCH PROJECT
Dr.' Stanley M. Greenfield*
I am pleased to discuss with you this morning a research project
underway in my office to develop a Strategic Environmental Assess-
ment System, known as SEAS. This project is particularly appropriate
in the context of this conference and especially within the scope
of this session on Environmental Technology. As you will see, the
SEAS project is based upon the fundamental premise that modern com-
puter technology, when combined with expert opinion, can if applied
properly be of significant value in assisting public decision makers
at all levels of government in understanding the complex inter-
relationships of the environment and the less apparent consequences
of our current and contemplated policies and actions.
The EPA is charged to carry out a program that will result in the
protection of the environment of the nation by abating or avoiding
pollution. Currently, this program is primarily regulatory in form.
In response to this charge, the program of my office is structured
so as to emphasize the accomplishment of the following six major
goals:
1) The development of appropriate science and technology for
setting and enforcing pollution control standards;
2) The full understanding of the environmental impact of that
which we are mandated to control;
3) The knowledge of what it "costs" to meet environmental
quali ty standards;
k) Knowledge of the "costs" of not meeting environmental
standards (i.e., the benefits to be derived from meeting
them);
5) Monitoring, to meet environmental goals; and
6) Establishing the means to forecast the long-range effects
^Presented by Dr. Stanley M. Greenfield, EPA Assistant Administrator
for Research and Development at the National Conference on Managing
the Envi ronment.
VI- 26
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of societal actions so as to avoid deleterious environmental
impacts.
The SEAS project is primarily focused on this last goal and is
primarily concerned with developing an improved capability to
strategically assess the comprehensive and long-range environmental
effects of various policies upon society.
It is clearly recognized that the acquisition of such a capability
involves a number of very difficult obstacles. In this connection
it is instructive to consider a number of the more apparent problems
that beset any such endeavor.
First, there is the critical issue of uncertainty. No one factor
exemplifies this issue more than the attempt to predict future
technological trends. Technological trends are perhaps the most
critical component of any forecast of the future, but also the
most difficult to assess. The institutionalization of R&D efforts
has, to some extent, alleviated the problem of anticipating new
technologies, but the nature and timing of technological "break-
throughs" and, more importantly, the rate of implementation, remain
subject to many unpredictable factors. One thing we have learned
is that there is wide variation in the rate of adoption of new
technolog ies.
A corollary issue with respect to technological forecasting is
predicting impacts upon society. We know from experience that
institutional and social factors and values are fundamental to
environmental quality , yet our ability to predict such changes is
equally difficult. For example, assessing the first-level impact
of new technologies upon the economy is problematical in itself;
but predicting the secondary effects of technology on human life
styles, urban form, and behavioral patterns and values is extremely
complex.
Secondly, we face the issue of the interrelationships of factors
and the nature and degree of interaction. It is obviously not
sufficient to state that environmental factors are related to each
other. What is important is to acquire better knowledge on the "why"
and "how" of these relationships. Central to this problem of inter-
action is the nature of the driving force and the resulting perceived
environmental system. As we all know, the status of the environment
depends upon a complex series of actions and inactions at all levels
of government, industry, natural processes, and human behavior, to
name but a few. Such actions occur in a highly decentralized fashion,
Those of you with responsibility for environmental management know
well what your sphere of influence involves — whether it be geo-
graphical, jurisdictional, legislative or economic. Thus, from the
perspective of prediction or forecasting, major problems are faced
in terms of measuring both the nature of these decentralized actions
and, perhaps more importantly, their interrelationships.
VI-27
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All forecasting starts from the premise that there are certain
continuities running through the past and present into the future,
and that the reactive or response type of decisions can be assumed
to have relative relationships. In predicting environmental con-
sequences of policy choices, the assumption that a first order fore-
cast is a simple extrapolation may be inadequate, because the com-
plexities and subtleties of the interactions are simply not well
understood, and the multitude of unforeseen branchpoints downstream
preclude this type of approach.
Another difficulty in forecasting involves the risk of deceptiveness
of short-term considerations. On the one hand, such a risk justifies
the need for long-range forecasting, since assumptions made about the
nearterm future are often spurious with respect to the longer-run
ramifications, which may be irrevocable. In practice, however, the
complexities to be dealt with in forecasting are normally assumed
to be of one form or another based upon our best estimates of the
future, which usually amount to short-term considerations. Thus
we have a double-edged sword -- we are continually faced with the
need for long-term forecasting but constrained by near-term com-
prehension and understanding, coupled with the demand for near-term
decis ions.
Furthermore, we must consider the issue of validation. Assessment
of the implications of policy choices is critical to effectiveness,
and the quality of our techniques for conducting such assessments is
fundamental to the process. There is much information in the
literature describing the problems and needs of validation, but the
state-of-the-art is imperfect. Essentially, one must be continuously
conscious of the issue and strive to improve the methodology as
experience is gained. Effective forecasting of the past to the
present is a minimum test of validation, but by no means sufficient,
primarily because our models, drawing from past experience, are ex-
pected to optimize such forecasts.
In summary, there are difficult and complicated problems involved in
forecasting. These must all be taken into account and internalized
as one attempts to develop a capability for strategic assessment.
On the positive side, however, there are numerous significant benefits
to be gained from attempting to forecast future problems. From a
policymaking point of view, the ability to consider the likely long-
range and comprehensive implications of policy choices can contribute
substantially to policy effectiveness.
First, one can have the benefit of organization of thought. Strategic
assessment requires structuring choices, considering ramifications
and attempts at predicting impacts, all of which demands some set of
rational criteria by which policy choices can be evaluated. The con-
cept of "alternative futures", or the consideration and evaluation
of alternative states of the environment, is one such example. With
VI-28
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an effective forecasting Capability, one can develop certain scenarios
within the general limits of expected growth trends or patterns and
evaluate the likely outcomes or impacts upon environmental quality.
Only by organizing and bounding the possible futures can one ration-
ally consider alternatives for growth policies.
Another benefit is the ability to help move environmental policies
in the direction of protection. With an ability to foresee long-
range pollution problems, in an "early-warning" sense, one can con-
sider corrective actions in the interim to protect rather than only
to regulate or penalize. Thus new policy options are surfaced
which may have been overlooked. Policies in the areas of incentives,
land use planning, risk avoidance, and conservation, for example,
may be shown to be of greater long-range value or, alternatively,
shown to be of little overall consequence, if not counter-productive
in certain respects.
Effective strategic assessment can also assist environmental managers
in decision making. As some of the speakers at this conference are
pointing out, we can no longer assume that the natural abilities of
the market place and our behavioral patterns will self-correct, or,
in other words, automatically turn the environment around toward
quality. Rational consideration of various management strategies
and actions is necessary before problems result from poor or non-
existent planning. In particular, our technological and institu-
tional solutions need to be broadened to include the long-range
effects of our actions or inactions. In this context, forecasting
within a comprehensive framework can assist the management of
policy making.
One example of this concept is the ability to use forecasting as a
means to track progress in reaching goals. For instance, a growth
policy may be established which is designed to reach a long-range
goal of a specified quality of life. Forecasting techniques can
then be applied periodically to assess the actual progress being
made over time toward achievement of the goal. In this way, mid-
course corrections can be made in the policy or, if necessary, in
the goal statement.
In a similar fashion, one can measure the impact of alternative
policies. For instance, if a mid-course correction were implied,
a set of alternative growth policies could be tested at that point
in time and evaluated according to their relative impacts upon the
environment and thus their projected progress toward reaching the
stated goal. In this way, the forecasting system would be sensitive
to perturbations in that progress, for example, unforeseen value
changes, and would highlight those areas in need of modification.
It is clear that one does not have to produce a perfect forecast
system in order to obtain many of the above benefits. Let me
now highlight a few of the characteristics of SEAS which is being
designed in general to acquire the previously mentioned benefits.
VI-29
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First and foremost, SEAS is a research project. As such, it is time-
phased in its development cycle. The research plan revolves around
our ability to synthesize the available state of the art in tech-
niques and methods for assessing long-range comprehensive pollution
problems.
SEAS has a number of attributes, the collection of which differenti-
ate it from other models and systems which have been attempted in
the past. Some of these are as follows:
1) SEAS will deal explicitly with pollution generators and
possible controls and known effects of residuals;
2) It is to be a national-level model system for use by EPA
Headquarters and Regional policy makers;
3) It is to have a ten to twenty year time horizon;
4) It will make use of "official" environmental, economic and
demographic data;
5) It is to be used together with expert opinion to maximize
the combined man-machine capabilities; and
6) SEAS will project the state of the environment and socio-
economic systems in the ten to twenty year planning
period that would likely result from alternate projects of
population growth, technological change and economic
activity levels, and the effects of environmental
policies in a comprehensive context.
Thus, SEAS is to be a complex model system, attempting to tie together
in a comprehensive sense the interrelated areas of environmental and
socio-economic factors.
At this workshop, you will be able to learn about the progress made
over the past six months on the SEAS Test Model. This test model is
being done as a research tool for the development of the SEAS Proto-
type Model that will be completed by December and used to prepare
a "1980 State of the Environment" projection. The prototype will
be a state-of-the-art system insofar as it will incorporate the
best available submodels into the comprehensive SEAS context. We
are now in the process of surveying various federal and state/local
agencies, research institutes, universities, and private firms for
the most appropriate set of techniques and data bases for the SEAS
Prototype. One of the final products of the SEAS prototype effort
will be complete documentation of the effort and an estimate of
what benefits and costs would be incurred from proceeding further
toward the full SEAS system.
Let me now mention briefly some ideas we have for the applications
of SEAS when it is developed.
VI-30
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Initially we envision SEAS aiding in the assessment of alternative
policies in terms of their long-range impact on the environment. This
use we view as a "process", whereby SEAS, as a computer-based system
of models, will be augmented by human expert opinion in an integrated
analytical fashion. State of the Environment Reports can be produced,
which result from man-machine analysis of the long-range ramifications
of current and contemplated environmental policies upon the Nation and
Federal Standard Regions.
This initial use could also involve assisting us in the illumination of
possible research goals and needs. If it is possible to describe the
environmental system, it may then follow that sensitivity tests may help
in identifying potential gaps in the sense that our information in cer-
tain areas may be lacking and the particular gap may be more important
than we thought. Our goal of a better understanding of the way the
total environment interacts with itself, with man, and with all the
elements that go to make it up, may be broken down, with the help of
SEAS, into relative critical components with varying research needs.
Ultimately SEAS could be helpful in formulating policy choices and in
monitoring the overall progress of the Nation or region in reaching
policy goals. Obviously this will require effective solutions to the
forecasting issues I mentioned earlier. But we are hopeful that devel-
opment of the Prototype will indicate that it can be done, because this
is the most effective way we can hope to anticipate long-range problems
and to take proper actions to prevent them from occurring. For instance,
we know from experience that the problems we face today are not neces-
sarily those we will face at some time in the future. This is the
principal reason that technology alone rarely solves problems. Insti-
tutional and societal factors and values really determine the success of
proposed solutions. With an effective forecasting system such as SEAS
we may have the capability to consider new policy options and assess
their ramifications upon the total environment.
Finally, I want to suggest to you that the concept and process under-
lying SEAS is directly applicable to your organizations and objectives.
As you move toward a more comprehensive and integrated view of managing
the environment, the process of organizing and synthesizing the best
available information to consider alternative policies can be extremely
beneficial as a management tool.
We believe SEAS is a very worthwhile research project. It is being
developed carefully and documented completely and I encourage you to
follow its progress and take advantage of our experiences. Since we
have the same environmental management goals, our techniques and
methodologies should be shared.
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THE DEVELOPMENT AND OPERATION OF A
PROTOTYPE STATE ENVIRONMENTAL INFORMATION CENTER
Dr. Robert V. Garner-
The Oklahoma Environmental Information and Media Center (OEIMC) was
established by action of the Oklahoma Legislature and the Oklahoma
Regents for Higher Education. Its purpose is to provide an environ-
mental knowledge base for all interests in the state, including
business and industry, education, government, and the public.
Action establishing the center was taken after a state-wide environ-
mental action plan study indicated that one of the most pressing
environmental needs concerned environmental information and data.
There was no central authority or source upon whom the potential
information user could depend for current, factual environmental
information. Locating and acquiring much needed information was be-
yond the operational and financial capability of a majority of Oklahoma
users.
The original state funding for the first year of operation was supple-
mented during the second year by grant funds from the Environmental
Studies Division of EPA. The federal funds allowed continued development
of the center.
IDENTIFICATION OF NEEDS
Needs were defined by target groups within two broad categories. The
categories were (1) short range, i.e., problem solving, enforcement,
training, etc.; and (2) long range, i.e., educational, continuing research,
public information, etc. The first category, Short Range Needs, includes
the following areas: (a) environmental management information for small
industry and local government; (b) environmental information required by
local and state government agencies for enforcement measures; (c) environ-
mental training materials required for industry and governmental training
programs; (d) environmental information necessary for the research activi-
ties of industry, academia, and government; and (e) general environmental
information solicited by the public on significant environmental issues.
^Presented by Dr. Robert V. Garner, Director, Oklahoma Environmental
Information and Media Center, East Central State College, at the
National Conference on Managing the Environment.
VI-32
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The second category, that of Long Range Needs, includes the following
areas: (a) environmental information for curriculum building — an
urgent need in both public and higher education; (b) general environ-
mental information sought by special interest groups and others engaged
in support of environmental quality efforts; and (c) environmental in-
formation for the planning activities of those governmental and industrial
representatives charged with creating future environmental quality pro-
g rams.
BUILDING THE BASE
Once the needs were defined, an effort was made to identify information/
data bases containing environmentally related materials, and to find ways
to tap those bases. Caution was taken to avoid duplication of effort.
The following steps were taken: (l) Arrangements were made to allow
direct access of OEIMC information personnel to the Robert S. Kerr Envir-
onmental Research Lab Library, the East Central State College Library,
and other libraries with appropriate holdings; (2) Acquisition of selected
environmental documents and materials was begun. Formats included hard-
copy documents, microfiche, abstract listings, films, film clips, slides,
etc; (3) Contract and liaison arrangements were made with other informa-
tion centers to receive selected environmental materials in microfiche
format on a monthly basis; (4) Subscriptions to a number of document
abstract sources were initiated; (5) Subscriptions to periodicals, news-
letters, journals, etc. were initiated; and (6) A referral list of
environmental expertise was begun.
SEARCH AND DELIVERY TECHNIQUES
Though computer searches are available under some of the contract arrange-
ments, the cost factor with current budget level is virtually prohibitive.
Therefore, virtually all information searches are performed manually by
environmental science students.
Delivery techniques vary considerably. The key word is service, and the
center tries to provide a service in answer to all requests for informa-
tion while also using media methods to disseminate environmental informa-
tion. Briefly, there are five kinds of services:
(1) Problem or question oriented requests.
Such requests may be handled by phone, mail, or in person.
They vary in depth from questions which can be answered
immediately from reference materials to some which may
require search of thousands of document titles and abstracts.
(2) Field Service.
The field service is designed to provide a direct interface
with the local government and small industry. The field
representative is available to inform potential users of the
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center's services, assist in obtaining access to the center's
resources, and on occasion, advise the user on applying the
informat ion.
(3) Public information education displays.
Directed at informing the general public, this method is
employed by setting up displays at environmental, scientific,
educational, and industrial meetings around the State.
(4) Publication of periodicals and fact sheets.
OEIMC publishes "ECO SYSTEMS", an environmental periodical,
eight times per year, and produces fact sheets on environ-
mental subjects for mail outs and for handout at meetings,
etc.
(5) Use of news media.
With an experienced newswoman on the staff, OEIMC makes
frequent use of newspapers. The TV and radio media have
also been used on a number of occasions.
FUTURE DIRECTIONS
Even though manual search techniques have been proven more relevant and
effective than computer searches, the increasing volume of requests
necessitates the use of some automat ion.*
Since the advantage of the manual search results from the individual's
ability to scan the text of an abstract or article, OEIMC studied several
automated systems advertising free text search capability. All but one
of the systems studied require a large computer and considerable software.
The one system which did not require a large computer showed the most
promise. Based on a special purpose machine employing a hard wired
associative logic, the system will search on word combinations or whole
phrases. Limited software is required for storage, none for retrieval of
free text. It is accessed by keyboard, it is compatible with most com-
puter systems, and it can accommodate remote terminals. Cost per query
is lowest of all systems studied. Of four units in the world, only two
are now in the U. S. One is currently on loan to OEIMC. Plans are under
way to purchase a complete system with peripheral equipment to allow
service to the entire state.
*NASA Report NASW-2085 - A Study of NASA Literature Search Strategies
and NASA Report NSR 37-004-008 - Technology Utilization in a Non-Urban
Reg ion.
M\-3k
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COMMUNICATIONS IN ENVIRONMENTAL MANAGEMENT
Rodman T. Davis*
In the New York metropolitan area we are working on a project which
involves both technology transfer and environmental management, primarily
as it pertains to the techniques of telecommunications. Specifically
it is a television system that was built by the Metropolitan Regional
Council in the last several years.
The metropolitan regional council is a small voluntary council of govern-
ments serving essentially a tri-state, twenty-two county metropolitan
area, 8000 square miles in size, with a population base of 18 million
people. We have 550 general purpose governments, and another 800 special
districts. This is an extreme example of jurisdictional and administrative
fragmentation. It is a type of fragmentation similar to other large metro-
politan areas, particularly in eastern parts of the United States.
The Council of Government concept is fairly well known. Essentially, it
is an attempt to fill the vacuum which has developed in relation to inter-
governmental relations and Constitutional definition of what states, local
governments, and the federal government do. With the exception of the
Metropolitan CouncM of the Twin Cities, Councils of Governments are still
tentative, administrative mechanisms designed to improve coordination be-
tween jurisdictions in the metropolitan area.
A few years ago our organization visited with a county in New Jersey. They
were deliberating about putting in closed circuit television in a court
system. Anyone who has ever served on jury duty in the last two or three
years in a court system in a large city probably appreciates the problems
faced in these systems. There is an incredibly inefficient and counter-
productive use of peoples' time and energies. Since closed circuit tele-
vision between buildings and between court systems is feasible, the possi-
bility exists that communications technology may be used for improving
the flow of information between jurisdictions, between administrative
agencies or between administrators in a large metropolitan area.
In 1969 we prepared a brief feasibility study of the present state of the
art in closed circuit television technologies. It was not sponsored by
the central research and development oriented federal agencies or founda-
*Presented by Rodman T. Davis, Director of Planning, Metropolitan Re-
gional Council of New York City, at the National Conference on Managing
the Environment.
VI-35
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tions which have stated interest in communications, Rather, the sponsor
was a regional office of a federal agency which was aware of the lack of
coordination between and among jurisdictions in the area of, among other
things, the environmental management problem.
The results of the study indicated that there was a technology, known
as ITFS (Instructional Television Fixed Service). This is a technology
of microwave television, whereby the signal goes through a converter, into
a dish antenna kind of configuration, and then through the air by line of
sight ten, twenty; or thirty miles, depending upon topography, and is re-
ceived by a dish and converted back to a television set.
The Federal Communications Commission (FCC) opened about thirty-one channels
in the 2500 megahertz frequency about 1963. Construction of the first
systems began in the mid-1960's. For instance, in 1964 there was one that
started in Mineola with six schools tied together. Then universities
instituted a system in, for example, extension courses for engineering
students, whereby they could stay in their factory or their firm and take
courses during the working day or in the late afternoon, with some kind
of audio talk-back capability.
Then it spread into the hospital world. Massachusetts General Hospf-ta! has
a system linking the teaching hospital, the veteran's hospital, and Logan
Airfield. Some of the medical schools have also used this technique and
a police system has initiated a microwave system.
Our role in relation to environmental management is to try to improve
the collective decisions and improve the flow of information between a
large host of federal, state, and local agencies which have specific
missions in the environmental protection, environmental planning, and the
administration of environmental control programs.
After selecting the system, we contacted the FCC. Basically, we proposed
to build a closed circuit TV system which would link the administrative
headquarters of the major counties and some of the major cities in the
metropolitan area. That was the concept. It included two-way communica-
tion. This had not been done through the traditional use of ITFS closed
circuit television which was primarily classroom instruction. Initially,
we had a problem in soliciting participation from a builder and a system
designer. Prior to that, we had to contact the FCC and explain that we
were not a school district, but rather a Council of Governments, and that
we were interested in governmental management and in improving the pro-
gramming of governmental programs. This did not necessarily fit into their
traditional categories of licensing.
However, since the school systems had not used up all the channels in our
metropolitan region, the timing was in our favor, and the FCC said, "Sure,
try it out. It might work." We were able to get the authorization to go
ahead with seventeen points in the metropolitan area in September of 1970.
At that point, we started to prepare fairly detailed path surveys. If
you intend to use the microwave type closed circuit system, you need either
VI-36
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a mountain or a tall building to provide unobstructed paths between points.
It is meant to be a fairly cost-effective technique as opposed to cable,
which may be a very expensive way of getting television, either one-way
or two-way, between points. We selected the 110-story World Trade Center
and moved in during September 1971.
At this point we were surprised to receive only three fairly good bids on
this system. Two of them were general contractors and would farm out
different pieces of the system. We found few people who could design,
package, and deliver a bi-directional or interactive closed circuit tele-
vision system oriented towards governmental management.
The firm which had the most experience in total systems was selected and
construction began in June of 1972. A construction strike in New York
City slowed us down, but we were successful in obtaining nine closed cir-
cuit facilities built into governmental office buildings, primarily county
headquarters, during the summer and the fall. The dishes and the antennas
on the roof of the Trade Center were placed in the winter. Presently, the
system is about ninety-nine percent complete.
We are scheduling initial test transmissions in June of 1973 when we will
be able to call a meeting of the air pollution administrators at the county,
state, and federal level. They can collect around the various points in
the region -- White Plains, Mineola, Newark and Now Brunswick, for example
— and have a live, two-way, bi-directional discussion.
There are several related potential uses for the system. First, each of
these trunk systems could feed out in an omnidirectional pattern to branch
offices, like borough halls or village halls, fire stations, police sta-
tions, hospitals, and neighborhood community centers. It has a networking
capability, but it is not broadcasting. Unlike the entertainment industry,
large numbers of people are not involved. Secondly, there is the potential
for relating material from the microwave system to a cable television system.
Related to this technique is the potential for facsimile transmission, as
well as for data transmission. Our strategy, though, was not to get in-
volved with data transmission systems at present but to concentrate on a
management teleconferencing technique, which would bring the decision makers
at the state and the local government together on a periodic, real time
kind of basis where we could have them continue monitoring specific progress
and specific projects within their administrative purview.
We learned several things. One is that local governments will respond to
the offer of communications technology only when they believe that they
can have some control over it. Local governments, particularly smaller
local governments, are very reluctant to buy a system which "comes from
above."
Secondly, we learned that bi-directional television is probably profoundly
different than what we usually think of as television. We are used to
VI-37
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being only the receiver of a television image. This is a problem when you
start putting people in rooms connected by bi-directional television. The
predisposition of many people to perceive these systems as entertainment
must be overcome.
Thirdly, although you may offer the most beautiful system on paper, most
people will not buy into a system on the basis of the description. Govern-
ment officials want to see how the communications system works, and see
what the mayor of the other town got out of it, before committing their
own resources.
There are four general kinds of barriers that we experienced in the three
years from conception to actual construction. First, the potential users
and the local administrative agencies often lack an understanding of how
to effectively utilize a new communications system. They need time and
assistance to discover how to make the system responsive to their needs.
Second is the inadequate financing techniques for aggregating markets. We
are basically running a user-oriented, user-paid system. Each local govern-
ment will contribute $14,000 per year. We are not billing per hour nor per
minute. Beware of "on the shelf technology." Although it may be available,
it also may be left over from a previous era of application. in our par-
ticular case, much of the hardware we are working with is instructionally
oriented, that is, teacher-pupil oriented. This is logical, because it
was organized initially for use by school systems. However, when fifteen
mayors, for example, are talking about recent sulfur dioxide regulations
of the state environmental protection agency, they are going to make dif-
ferent demands on the system than students and teachers.
Another barrier is that communication system designers and manufacturers
have a propensity to work with large systems. The users, particularly
managers and administrative users at the state and local level, think in
terms of small increments of investment and small steps toward progress
rather than in terms of systems. in addition, implementing a large system
extends the time lag between system design and system utilization. We
might have approached the problem by exploring the possibility of obtain-
ing a two-way TV set in front of every one of the 550 local governments.
This would be a total system concept. Instead, however, our approach was
to install the system in ten major counties and cities, and demonstrate
its operation to area mayors and managers.
Finally, in terms of television as a technology, we found a need for more
transparent kinds of systems. In other words, if the hardware in any way
impedes or gives the impression that it is limiting the dialogue or the
bargaining or the debate, it becomes less useful and less flexible for
the administrator.
Ours is a time-shared system which means that we are going to be opening
up different kinds of relations between jurisdictions and departments of
one kind or another. This creates some difficulties. For instance, law
enforcement agencies sometimes fear sharing the system with other depart-
VI-38
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ments.
Finally, we attempted to build a flexible system that could tie into other
communication systems, such as cable, and could adapt to new systems as
they may be developed.
In conclusion, we found that local governments are bombarded with all kinds
of either contradictory or non-cohesive information related to environmental
management. If you ask a mayor of a city or a county official, it is fair
to say that we have incredible amounts of information in our administrative
system, but it is not presently comprehensive, cohesive, nor communicated
so that systematic decisions may be made. Our region has begun to address
this problem by utilizing innovative communication technology.
VI-39
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CHAPTER VII: INTERGOVERNMENTAL RELATIONS IN THE ENVIRONMENT
Environmental management has traditionally been a local responsibility.
Environmental functions such as sewage, solid waste disposal, and water
supply were among the earliest performed by local governments in the
United States. Throughout the twentieth century, however, there has been
increasing environmental activity at the state and federal levels, and
the relationships between the federal, state and local levels have changed,
As [it] might be expected, the changes in the roles and responsibilities
among levels of government have resulted in conflict and uncertainty.
Not only is there some turmoil surrounding the roles of the three basic
levels of government, but efforts to solve environmental problems have
led to the development of regional approaches, e.g., regional sewer dis-
tricts.
The result has been confusion and frustration for all concerned. Local
governments, for example, often feel trapped between changing environ-
mental standards, increasing enforcement actions, expanding investment
in environmental facilities, and continuing uncertainty of state and
federal financial assistance. Speaking at the Conference, John Quarles,
Deputy Administrator of EPA, explained:
One of the themes that has come out repeatedly is a concern
that the problems have to be solved at the local level.
There has been ... frequent comment by city administrators
to the effect that the state officials do not understand
the problems that exist at the city (or county) level, the
need to deal with the problems there, and the need for flexi-
bility to deal with them in a way that makes the most sense
in light of the local circumstances. The state representa-
tives say that the federal government does not understand
the need for flexibility to deal with these problems at
the local (state) level. Our regional people say that the
Headquarters in Washington does not understand the need for
the regions to have flexibility. Then I say ... to you ...
that I guess we do not understand, (laughter).
As the most powerful actor in the intergovernmental arena, the federal
government has developed a clear policy direction -- "New Federalism,"
to help bring order to the system. The complex web of intergovernmental
relationships in the area of environmental management promises to serve
as a fundamental test of that policy.
Vll-l
-------
NEW FEDERALISM
The concepts behind the "New Federalism" had antecedents during the 1960's,
when attempts were made to emphasize decision making at the state and
local levels. As discussed today, the objectives of the New Federalism
include: (1) redistribution of revenues and power from the federal govern-
ment to the states and local governments; and (2) reorganization of the
federal bureaucracy to make it more responsive and more regional. Presi-
dent Nixon stated in his 1971 State of the Union message:
The idea that a bureaucratic elite in Washington knows
best what is best for people everywhere and that you
cannot trust local government is really a contention
that you cannot trust people to govern themselves.
At the present time, the major elements of President Nixon's "New Federal-
ism" include:
--general revenue sharing, a program returning $30.2 billion
to state and local governments over a five year period for
expenditure in njne broad areas;
—special revenue sharing, a proposal combining a number of
categorical grant programs into funds for broad general
purposes -- community development, education, manpower, etc.
--federal regional councils, the focusing of federal efforts
and authority at the regional level to handle specific
problems as close to the source as possible given to the
councils representing seven federal agencies in each of
the ten federal regions;
--intergovernmental cooperation, particularly the A~95
review process which allows state, regional, and local
review of certain federal or federally assisted projects;
--administrative changes, including reorganization of the
federal bureaucracy along program lines, decentralizing
federal operations, establishing uniform regional bound-
aries, reducing grant processing time, and simplifying
regulations.
Many of these programs are currently being implemented. Proposals for
special revenue sharing and federal reorganization have not yet been ap-
proved by the Congress.
THE FEDERAL ROLE: ENVIRONMENTAL PROTECTION UNDER THE NEW FEDERALISM
Federal involvement in environmental management expanded rapidly after
World War II. This involvement has generally moved through three stages.
The tendency has been for Congress first to enact legislation encouraging
state and local actions and establishing a federal agency for monitoring
research and technical assistance. This is followed by legislation con-
VI 1-2
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taining greater incentives to state and local governments, plus federal
authority to promulgate certain standards. Finally, Congress has mandated
action at the state and local level, backed by the authority of the federal
government to implement programs where necessary. For example, in 1955
Congress authorized the Public Health Service to provide air pollution re-
search and technical assistance. The Clean Air Act of 1963 contained fi-
nancial incentiv2S for state and local programs and limited federal en-
forcement to seek relief during interstate air emergencies. The Clean
Air Act of 1970 authorized national standards to be established (and en-
forced if necessary) by the federal government. The same progression can
be cited in the area of water pollution, beginning with the Water Pollution
Control Act in 1956. The federal role was gradually strengthened by the
amendments passed in 1961, 19&5, and 1972. Another example of the expanded
federal environmental role is the National Environmental Policy Act, passed
in 1969, which requires that federal and federally-assisted projects be
evaluated for their impact on the environment.
These examples seem to substantiate the position that environmental
management, pollution control, in particular, is being concentrated at the
federal level. This would seem to be a contradiction of the "New Federal-
ism." In clarifying this point, EPA Deputy Administrator Quarles agreed
that:
There has been a tendency for Congress to pass laws which
specify that there be stronger federal role..... [While] it
is true that these problems do need to be handled at the
local level, it is also true that the legislation which
has passed sets a number of obligations which must be mon-
itored or met by EPA or other federal agencies. These are
responsibilities in setting standards, in specifying what
the best pattern of controlled technology means for indus-
try, in developing systems for planning programs, and in
setting out the framework for a variety of activities to
occur.
In response to the policy direction of the New Federalism, the Environ-
mental Protection Agency formed regional offices conforming to the uni-
form regional boundaries. Regional Administrators were given a broad
mandate for administering the Agency's programs in the field. The EPA
Regional Administrator for Region I, based in Boston, John McGlennon,
commented that:
There is an old adage that applies here. You can declare
war in Washington, but you have got to run the war in the
field. This seems to me to summarize the basic domestic
policy thrust of the Environmental Protection Agency and,
in fact, of the Nixon Administration. It is a program of
decentralizing federal bureaucratic power and on increas-
ing state and local authority. This is the essence of the
New Federalism. ... In order to administer these laws, to
manage pollution control, ... EPA must recognize two facts:
[1] the states will be doing much of the day-to-day work,
VI 1-3
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and [2] it is the regions that must have the authority
to assist them.
Recent federal environmental legislation, notably the Clean Air Act of 1970
and the 1972 Water Pollution Control Act Amendments, has resulted in two
major changes in roles and responsibilities in the federal system: (l) in-
creased federal authority over state and local jurisdictions; and (2) in-
creased responsibility regarding environmental matters for state and local
jurisdictions. In each case state governments are given primary responsi-
bility for implementing the legislation. States are to prepare plans
for implementation of both air and water programs. This has led both
state and local governments to extend their authority into areas generally
bypassed before. For example, state and local governments must have author-
ity to act in case of an air pollution alert.
On the other hand, EPA defines the program to be implemented, approves
the state plans, and retains authority to intervene when not satisfied
with state and local performance. A recent example of this was the is-
suance, on July 6, 1973, of transportation control measures by EPA to
achieve air quality standards in eleven metropolitan areas (Salt Lake
City, Utah; Seattle and Spokane, Washington; Chicago, Illinois; Phoenix-
Tucson, Arizona; Fairbanks, Alaska; and the California urban areas of
San Francisco, San Diego, Sacramento, San Joaquin Valley, and Indio).
These controls were issued to supplement sections of state plans that were
found to be inadequate. The measures included: automobile inspection and
maintenance, automobile emission control requirements, parking limitations,
and gasoline sales restrictions.
THE STATE ROLE
States were relatively inactive in the environmental area until around
the turn of the century, when programs in the areas of health and conserva-
tion were widely adopted. State activities increased with federal>encourage-
ment after World War II, developing stronger programs in air and water pol-
lution control. The recent environmental movement has had tremendous im-
pact on state programs. Since 1970, nearly every state has passed legis-
lation to preserve environmental quality, and several have made major or-
ganizational changes (see Chapter III). The range of these new programs
include: land use planning, growth controls, wetlands protection, coastal
zoning, environmental facility financing, environmental impact assessment,
surcharge on non-returnable containers, restrictions on chemicals (e.g.,
phosphate) and pesticides, as well as increased efforts in air and water
pollution control, and solid waste disposal.
In many ways, the state holds the pivotal position in terms of determin-
ing the shape of intergovernmental relations in the environmental field.
In addition to defining their own environmental role, their action or in-
action in response to recent federal legislation, such as air and water
programs, determines whether the federal government will become directly
involved in implementing various environmental programs or whether the
VI 1-4
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state will retain primarily operational responsibility. Also, by virtue
of the legal dependence of local governments on states, states dictate
the role and functions of both regional and local governments. In an
article found later in this chapter, "State Responsibility in Managing
the Environment," Dan Lufkin, Commissioner, Connecticut Department of
Environmental Protection, discusses the need for states to assume the
initiative in developing environmental programs and to be charged with
implementing major federal programs.
I
Recent federal legislation in the areas of air pollution control, water
pollution control, and land use planning have emphasized implementation
at the state level. In the area of water pollution for example, states
are given the responsibility for such activities as setting standards
(as long as minimum federal standards are met), administering the permit
program, developing state water plans, placing priorities on construction
needs within the state, and designating areawide planning and management
agencies. In each of these areas, state actions must be approved by EPA.
Failure on the part of the states to follow through, however, will result
in federal assumption of these new programs.
States also are a major influence on the form of regional and local juris-
dictions. For instance, a state may allow regional planning commissions,
councils of governments, special districts for certain functions, but not
multi-purpose districts. The legal framework for those jurisdictions
are set by state law. This framework can include such factors as: area
of jurisdiction, sources of revenue, and scope of programs. State law,
therefore, defines responsibilities for environmental functions within
the state. Air pollution control, for example, may be designated a health
department function, administered by the state, and county, and/or local health
departments. There is considerable variation among states as to the
amount of autonomy regional and local governments are given. Some local
governments are permitted some home rule, while in other states, local
governments must seek state enabling legislation for new programs. Only
a few states, for example, allow local governments to set their own environ-
mental quality standards in addition to state standards.
THE REGIONAL ROLE
In a recent article, Francis B. Francois, a councilman in Prince George's
County, Maryland, stated that:
We no longer need to debate "Why Regionalism?," because
that is no longer a valid issue. Politicians and the vot-
ing public they represent have both recognized that we
must solve those problems that fail to stop at our arti-
ficial city and county boundary lines, and that it will
require more than our own individual local governmental
powers to bring about those solutions. The issue for the
'70's and the '80's is, "How are we going to develop and
VI 1-5
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implement the needed regional solutions, and who is
going to be responsible for the process?"*
This is particularly appropriate for environmental management, where
problems can be more effectively addressed on the basis of flood plain,
river basin, air basin, and the like.
A variety of regional approaches have been developed, including regional
planning commissions, councils of governments, special districts, metro-
politan federations, consolidated city/county forms, and compacts. Regional
planning commissions and councils of government have become popular ap-
proaches to regionalism. These are primarily products of federal plan-
ning legislation, recently bolstered by the A-95 review process stem-
ming from Section 20k of the Metropolitan Development Act of 1966 and
the Intergovernmental Cooperation Act of 1968. These approaches are pop-
ular among local officials because: (1) they do not alter the existing
political relationships; and, (2) they are multi-purpose in nature and
therefore reduce the proliferation of governmental units.
Special districts are perhaps the most prevalent type of regional organiza-
tion, particularly for environmental programs, e.g., air quality control
region, regional sewer district. While offering many of the advantages
of regional approaches, single-purpose special districts make comprehensive
approaches to regional problems exceptionally difficult. This is especial-
ly important in environmental management because complex interrelation-
ships between environmental components, e.g., air and water, are charac-
teristic of environmental problems. Plus, the proliferation of the agencies
create a serious problem in terms of policy coordination, and public acctunt-
abi1i ty .
Other regional approaches have not proven to be particularly popular. City-
county consolidation, for example, has been adopted in only thirteen com-
munities since the end of World War II. Similarly, the United States has
not been as active as Canada in pursuing the Metropolitan Federation. Metro-
politan Dade County (Miami) is perhaps the closest approximation in this
country.
States are beginning to show strong signs of taking the initiative in devel-
oping regional approaches to problems. At least two states have moved ag-
gressively to create state-sponsored regional councils: (1) the Twin
Cities Metropolitan Council (Minnesota), which is described in "How a Re-
gional Organization Assumes Environmental Responsibility" by Frank Lamm,
Director of Environmental Planning for the Metropolitan Council of the
Twin Cities Area; and, (2) the Atlanta Regional Commission (Georgia),
which has also been given wide authority to coordinate the decisions and
Francis B. Francois, "Who Will Make Our Regional Decisions," Nation's
Cities, November, 1972, p. 12.
VII-6
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programs of local governments in the region.
Also, forty-two states have created a system of sub-state districts cover-
ing the entire state. The districts are designed to be the boundaries for
federally-sponsored planning programs, councils of governments, and state
service areas. In many cases the boundaries have been chosen with the
needs of local government firmly in mind. In other cases state decisions
have been unilateral. It should be remembered, however, that in many
cases the sub-state districts are only on paper, yet to be operational ized.
Perhaps the strongest and most widespread trend in recent years has been
the activity of the federal government in sponsoring areawide planning
through grants-in-aid. In a study conducted by the staffs of the public
interest groups representing local and state government mentioned earlier,
(Federally-Sponsored Multijurisdictional Planning and Policy Development
Organizations), eleven federal programs sponsoring areawide planning were
identified. In a yet to be released and more comprehensive study by the
ACIR, twenty-four such multijurisdictional programs were found. These
programs have created hundreds of regional planning agencies and poured
hundreds of thousands of dollars into the agencies. David Walker, Assis-
tant Director, Advisory Commission on Intergovernmental Relations, re-
ported "at last count, there were [to list a few]:
•481 law enforcement and criminal planning regions
'kSl Community Action Agencies
•419 sub-state CAMPS Committees
•129 regional comprehensive health planning agencies""
The most recent example of federal legislation that initiates a regional
agency is Section 208 of the 1972 Water Pollution Control Act Amendments
which requires areawide planning to coordinate all water pollution control
efforts. The Act gives state governors the first option of designating
the areawide planning agencies. If a governor fails to act, the chief
elected officials of local governments within an area may make the desig-
nation.
THE LOCAL ROLE
Of all the levels of government, local government has the longest history
of environmental management. Environmental functions such as water supply,
solid waste collection and disposal, and sewage collection and disposal
"David B. Walker, "The Triumphant Technocrats and Nonfunctioning Federal-
ism," Anthology of Selected Readings for the National Conference on Man-
aging the Environment, p. vi-22.
VI 1-7
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were among the earliest municipal functions, Provision of these services
was a local government responsibility, which meant that environmental
services were quite responsive to local conditions and political process.
However, because of the local focus, insufficient attention was paid to
the impact of environmental conditions on the surrounding area.
Although some local governments are severely restricted legally and fi-
nancially from expanding their environmental focus, many local govern-
ments have made dramatic changes during the past few years. Examples of
these new local programs include: new organizational arrangements (see
Chapter III); greater citizen participation; environmental planning; ad-
ditional land use controls, e.g., open space zoning, marshland controls,
growth controls; adoption of environmental standards, e.g., noise, or
performance standards; environmental impact assessment; and, construction
of improved facilities.
In many cases, local governments have found it advantageous to join through
intergovernmental service agreements, with other local governments on a
subregional level for environmental programs. Joseph Zimmerman, Professor
of Political Science at the State University of New York at Albany, dis-
cusses in greater detail the use of intergovernmental service agreements
in "The Cooperative Approach to Environmental Enhancement" found later
in this chapter. Zimmerman found that three fifths of a sample of local
governments utilized this mechanism. He concludes, however, that although
service agreements will probably continue in popularity, their use is
limited and "pressure for the upward shift of responsibility for problem
solving" will increase.
The "New Federalism" has had a major impact on the role of local govern-
ments. Revenue sharing and the block grants (including special revenue
sharing), place more responsibility on the local decision making process.
This is less important for environmental programs, which thus far have
related more to state governments. However, there is a logic to adminis-
tering as many environmental programs as possible at the local level.
Mark Keane, Executive Director, International City Management Association,
discussed this in "Managing at the Local Level." Mr. Keane went on to
emphasize the need to build the capacity of local government to respond
to the increased responsibility.
ENVIRONMENTAL MANAGEMENT: INTERGOVERNMENTAL ISSUES
The intergovernmental issues of environmental management parallel most
other program areas. These include: overlapping programs, conflicting
(or unrealistic) standards, unreasonable enforcement measures, inadequate
participation in policy making, inadequate communication, inadequate tech-
nical assistance, uncertainty and delay in program administration, and
inadequate funding. The "New Federalism" attempts to resolve some of these
problems. However, the Administration's decision to hold back funds for
certain programs, the failure to clearly sort out the responsibilities of
VII-8
-------
the various levels of government, and the absence of a consistent regional
alternative have hampered these efforts, In some cases these problems
have created still more conflict, e.g., the court battle over the im-
poundment of appropriated funds for water programs.
The future of environmental management in the federal system is open for
speculation. It has already been noted that the environment conforms
less to the "New Federalism" than most other program areas, in spite of
the efforts of EPA. A recent study indicated that approximately eighty
percent of a sample of "urban experts" (mayors, administrators, and aca-
demicians) predicted that environmentaluresponsibi1ities would be central-
ized in the federal government by 1980."
*Ly1e J. Sumek, "Urban Organizations of the Future," Center for Govern-
mental Studies, Northern Illinois University, forthcoming August, 1973-
VI 1-9
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STATE RESPONSIBILITY IN MANAGING THE ENVIRONMENT
Dan W. Lufkin*
The philosophy of the new federalism that we now espouse in terms of
revenue sharing and financial talk, has to extend to delegating author-
ity and responsibility to the state level, with overview and assistance
clearly coming from the regional level. Management by exception by the
federal government is the rule of the day, rather than management by
attention to every little detail. It is not only absolutely crazy, but
impossible for the federal government to make all of our decisions for
us. We have 16,000 point sources of air pollution in Connecticut alone,
just for starters.
Peter Drucker, always one of the most direct and thoughtful writers
about business (and we are in a business, and this is true of bureau-
crats as well, myself included), says that by and large, all businessmen
spend ninety percent of their time concentrating on problems, and ten
percent of their time concentrating on opportunities.
Where we really have a role to play, federal, regional, or state offi-
cials, is to concentrate on our opportunities. That role must be on the
state level, the responsibility for enforcement; and on the federal and
the regional level (this is split a bit), the setting of the goals, the
putting in place of the standards, and the establishment of the objectives,
penalties and rewards. But the individual state administrators and state
organizations must be left to implement the program. When the state fails
to do that job, then the federal government should get in there fast, and
change the deck, both in terms of dollars supplied, and in terms of author-
ities exercised, from Washington. Speaking for Governor Meskill, there
is nothing that I know of in the State of Connecticut (other than a junior
edition of Watergate) that would agitate him more than having the federal
government in his backyard and all the attendant publicity about his
inability to handle the job. And that's the greatest incentive for the
State to do the job.
There was an article in our main newspaper in Connecticut, the Hartford
Current, about Russell Miller. Our main regional airport in Connecticut
is Bradley Field. The article stated the following: "Russell Miller, an
amateur naturalist who makes a living as an airport businessman, maintains
-Presented by Dan W. Lufkin, Commissioner, Department of Environmental
Protection, State of Connecticut, at the National Conference on Managing
the Environment.
VI 1-10
-------
that Bradley Field is one of the best wildlife sanctuaries in Connecticut.
He would like to see the new organization of the State Department of
Environmental Protection declare the area a sanctuary. 'Wild animals
quickly get used to the sounds of aircraft taking off and landing
These sounds may in fact increase wildlife population by keeping them
awake and breeding instead of sleeping.1" You can get anything you want
under the tent of environment! Many of us often try it!
The legislature and the governor of Connecticut established the Depart-
ment of Environmental Protection, and took the pieces (we really followed
the lead of the federal EPA) out of health, natural resources, and
agriculture. We put air, water, solid waste, pesticides, radiation, and
all of the natural resource capabilities of the state for recreation,
forest, fish and game, parks, boat launching, and all of those activities,
together in one department, and gave the department a broad mandate.
Under Act 872, which established the department, there is so much author-
ity that we really have not found it all yet. What is not there, we pre-
tend is there.
We have the opportunity to do the job. Within that framework, some
accomplishments have come forth, and they have come forth with the support,
the encouragement, and even the prod of the regional EPA in Boston under
John McGlennon. There is a solid waste program that, for the first time,
establishes solid waste as a state authority. We set up an independent
contractor, the General Electric Company, to examine the difficult issue
for one year: how to attack solid waste on a regional basis, what are
the types of technology, what are the costs of those technologies, where
is resource recovery in harmony with the pocketbook, and so on. What has
come out of that study is the solid waste authority bill, which establishes
an independent authority in the state to manage and handle solid waste.
General Electric developed a plan in conjunction with our state depart-
ment, that sets up 23 wastesheds, separation of combustible and non-
combustible material, and the re-use of those materials, at a cost of about
$10. a ton. That is economically advantageous, if all costs are figured
in the high density areas of Connecticut. There is also a bonding capacity
of $250 million to the authority, with one interesting aspect -- in the
authority bill is the provision that, by law, there can never be more than
thirty employees in that authority. There will probably never be more
than fifteen. In that authority is a nine member board, and a $250 million
independent bonding capability. The authority gives the incentive to the
private business sector to perform efficiently on a profit making basis,
creating, managing, innovating, bringing about change which is properly
directed and properly incentived, and which is a role best performed by
private industry.
Let government do what it is good at doing. That is establishing the
policies, directing the roads to follow, and legislating into place the
rewards and penalties.
One ability needed by the states is an administrative enforcement procedure,
rather than a court enforcement procedure which would be used only by ex-
Vll-ll
-------
ception. What I am referring to is a series of administrative fines that
equate the cost of compliance with the cost of non-compliance. The only
thing we have now to get at a polluter in the State of Connecticut is
two things: we can issue him an order, and go through all of the cumber-
some and tortuous court procedures involved, or do nothing. There is
nothing in between. We issued a registration activity for the 16,000
point sources of air; twenty-five percent did not respond. They probably
lost it, or maybe a minority decided that they were not going to respond.
The only way that we can get back that questionnaire is to take the guy
to court under order. That is crazy. What we have done in the legisla-
tion, which will be passed soon, is to set an enforcement procedure, an
administrative fining capability. We measure the cost of compliance, the
cost of operation, the cost of equipment, opportunity costs lost, the
cost of capital, on and on, and equate with that the cost of non-compli-
ance -- legal fees, capital use saved by not being employed in that
fashion, operating costs saved, fines that under the bill run, and ultimate
costs discounted in terms of time of finally complying with the order.
That is a big bill. So when you equate that, that is the cost of non-
compliance. You equate your cost of compliance with that cost of non-
compliance -- the fine. It is a continuous, running fine, which does two
things. One is that people recognize the extent to which it is just as
economic to comply as it is not to comply. Secondly, it eliminates all
but the most meritorious suits. The frivolous suit does not go, because
the clock is running while the pollution is continuing. It really does
bring an additional tool which is desparately needed to the state arsenal
of getting the job done at the local and at the state level.
What Washington and what the region should be spending their time doing
is giving the field the tools, the incentives, the dollar bills (where
the taxing capacity or the financial base of the state will not support
it). They should be giving all of the opportunity to the states to do
the job. When the job then is not done, step in,lock, stock, and barrel,
with funds and with enforcement at a Federal or regional level. This
will be management by exception which the Federal government should strive
for.
VI 1-12
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HOW A REGIONAL ORGANIZATION ASSUMES ENVIRONMENTAL RESPONSIBILITY
Frank T. Lamm*
INTRODUCTION
Wise management of the environment requires commitment from the local,
regional, state, and federal levels of government. The failure of any
single level to do its part can negate or place in jeopardy the good
work of all the rest. Since the regional organization is often the
newest level of government or quasi-government, its role is often less
clearly defined than that of older, more established levels. However,
it can be shown that many of the important environmental management
concerns can be effectively resolved at the regional level. It is,
therefore, of paramount importance that regional organizations through-
out the country define and assume the appropriate responsibilities that
will enable them to provide effective management.
REGIONAL ORGANIZATIONS - VARIETY OF MAKEUP
There is no single description of a regional organization that is
accurate for all such agencies. Some are formally structured, as by
specific state legislation, while others are organized by consensus of
participating local units of government. Some have an elected body,
while others consist of appointed persons. Some are omni-governmental,
some merely have general planning and review responsibilities, and
others may have responsibility only in a single functional area of con-
cern. Some operate under specific legislative mandate, while others
are more free to function in those areas chosen by their governing body.
Some can count on ample funding and staff expertise, while others are
severely constrained by these factors.
The political climate within which the individual regional organizations
function can also vary. In some instances the state executive role is
so strong and well defined regarding regional concerns that the respon-
sibilities of the regional organization are drastically limited, while
in other instances the regional organization may be stepping into a
^Presented by Frank T. Lamm, P.E., Director of Environmental Planning
Metropolitan Council of the Twin Cities Area, at the National
Conference on Managing the Environment.
VI 1-13
-------
governmental vacuum where no such well defined state responsibility
exists. Also, the amount of cooperation and coordination received
from local units of government and citizens at large can vary greatly.
Within the seven-county, 3,000 square mile Metropolitan Area serving
Minneapolis, Saint Paul and vicinity, the Metropolitan Council is the
regional organization. Many features of the Council, such as govern-
mental structure and legislative mandate, are not typical to regional
organizations as a whole. However, many of the approaches used by the
Council in planning and implementation of solutions of environmental
problems can be applied to other regions.
METHODS OF ASSUMING ENVIRONMENTAL RESPONSIBILITY AT THE REGIONAL LEVEL
Regardless of the ability of the regional organization to provide
solutions, there are a myriad of environmental concerns which can and
should be approached at the regional level. Whether or not the regional
organization has specific legislative mandate, there are many opportu-
nities for cooperation with the appropriate state natural resource or
environmental protection organization, or local implementing organization
in order to address these concerns. This is especially true in the case
of a regional planning and review organization, such as a council of
governments or a metropolitan council, where limited operational or
monitoring responsibility may preclude direct access to appropriate legal
and other implementing devices, as well as to specific federal or state
funding sources. Such cooperation can result in effective planning and
implementation, assuring maximum consideration of regional concerns.
Important indications of environmental responsibility at the regional
level include the designation of the organization by HUD as the area-
wide planning organization with appropriate certifications, and designa-
tion of the organization as regional clearinghouse under Bureau of the
Budget Circular A-95.
The Twin Cities Area Metropolitan Council has environmental responsibil-
ity in the separate areas of air quality, solid waste management, water
pollution control, water resources, and protection and recreation open
space. This paper briefly discusses some methods of assuming regional
responsibility in each of these environmental areas. In some instances,
the Council has acted in conformance with clearly defined federal or
state legislation, while in other instances it has been necessary to
establish roles of cooperation with other governmental agencies that
have the specific legislative responsibility.
Air quality has important regional implications, especially in regard
to area-wide comprehensive planning, since air quality standards and
other regulations, combined with the state-wide air quality implementa-
tion plan, may have a significant effect on the location of such
facilities as major airports, highways, and industrial or commercial
complexes. Air quality responsibility rests primarily with the state.
In Minnesota, state legislation assigns that responsibility to the
VI 1-14
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Minnesota Pollution Control Agency, which may delegate many powers to
regional implementation organizations. Through administrative agree-
ment, regional air quality planning and referrals concerning approval
of permits for certain large facilities must be approved by the
Metropolitan Council prior to action by the State PCA_
It is difficult for general planning organizations to receive funding
for air quality planning from the Environmental Protection Agency.
However, there are funds from other federal agencies, such as the
Federal Highway Administration, Urban Mass Transit Administration, and
Federal Aviation Administration, which may be available to appropriate
regional agencies. The Twin Cities Metropolitan Council uses funds
from these agencies and also cooperates with the Minnesota Pollution
Control Agency in developing the metropolitan area's portion of the
state-wide implementation plan for air quality.
Solid waste management is another environmental concern where coopera-
tion with state, regional, and local agencies can occur effectively.
In 1969 the Minnesota legislature created the Solid Waste Management
Act. Recommendation for such legislation came from private citizen
groups, municipalities, counties, and state interests, and was based
on Metropolitan Council studies, hearings, and advisory board delib-
erations. The act assigned certain planning and permit review responsi-
bilities within the metropolitan area to the Minnesota Pollution Control
Agency, the Metropolitan Council, and the metropolitan area counties.
The Pollution Control Agency grants a state permit, subject to Council
review, and monitors the sites. The Council develops a regional solid
waste management plan, approves county plans if they conform to the
Council plan, and reviews permit applications. The counties develop
county plans and ordinances, issue local permits, and also inspect
sites. This distribution of planning and review functions has operated
very effectively over the past four years. In this area of concern,
it is very difficult for a planning and review agency to directly re-
ceive EPA planning funds. However, it is possible to act as a subcon-
tractor to the appropriate federal or regional operational agency.
Metropolitan Council has received flow-through funding from MPCA for
solid waste studies. Also, HUD does have authority to grant planning
monies for solid waste management, although this is not one of the more
widely used funding sources.
Water Pollution control has become the most widely publicized environ-
mental concern. The idea of a regional agency planning the solution
to the Twin Cities Metropolitan Area water pollution control problems
was one of the reasons for creation of the Metropolitan Council in
1967. The Council immediately began a technical study of the existing
sewerage system and present and future needs, which resulted in a
recommendation to the 1969 legislature to create a single operating
agency to be responsible to the Council for provision of adequate metro-
politan sewage collection and disposal facilities. The Council, after a
lengthy public hearing process, adopted a development guide section for
water pollution control in the Metropolitan Area. That guide section,
VI 1-15
-------
modified annually since 1970 by capital improvements programs, forms
the basis of construction and operation of the metropolitan disposal
system. The Minnesota Pollution Control Agency has agreed annually
to accept the Council's capital improvements program and project
priority list as the Metropolitan Area's portion of the state request
for EPA construction funding. The Council has received a three year
basin planning grant from EPA. With the grant, the Council has produced
the interim Water Quality Management Plan for the Metropolitan Area and
is preparing the "official" Water Quality Management Plan. Also, the
Council is recognized as the area-wide planning organization by HUD.
Metropolitan Council water pollution control responsibility extends far
beyond the planning and capital improvements programming processes.
The Council also approves the annual operating budget of the Metropol-
itan Sewer Board and the allocation of metropolitan disposal system
costs to municipalities. The Council provides A-95 review for federal
funding purposes and, in addition, review of required local comprehen-
sive sewer plans for conformance to the Council's development guide.
This latter review takes place in cooperation with the review provided
by the Metropolitan Sewer Board, which under the Metropolitan Sewer
Act was given that responsibility.
The Council received substantial planning funding for water pollution
control studies from HUD during the initial study years. From 1970 to
early 1973 the Council had a three year basin planning grant awarded
by EPA. It is true that the 1972 amendments to the Federal Water
Pollution Control Act has caused EPA planning sources to be temporarily
closed, but the Council does anticipate planning funds to be made
available under the new amendments, under at least one of three sections
of the act: 201, wherein through cooperation with the implementing
agency (the Metropolitan Sewer Board) planning funds could be made
available as a part of the construction grant; 208, where the Council
would meet the test of an area-wide planning agency; or 303(e), through
cooperation with the Minnesota Pollution Control Agency as part of the
state-wide continuing planning process.
In the water resources area, efforts by the regional organization can
result in a broadened respect for that organization throughout the
regional area. Problems such as erosion, sedimentation, and flooding
are prevalent in many parts of the nation. Coordination of water
supply needs is also important, whether there is one single, limited
source, or where there is a choice of a number of surface and ground-
water sources. Adequacy of treatment, storage, and fire protection,
variations in water rates, and provision of water supply on a multi-
municipal basis are all subjects which may be considered. It is
necessary to provide an area-wide plan for water supply and storm drain-
age in order to receive HUD certification.
The legislation creating the Council gave it planning responsibility in
the area of water resources within the Twin Cities Metropolitan Area.
Subsequent amendment of the state Watershed Act required watershed
VI 1-16
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districts in the Metropolitan Area to submit their Overall Plans and
Comprehensive Plans to the Council for review and approval.
The Council staff works closely with local, state, and federal water
resource organizations. The U.S. Geological Survey provides data under
cooperative agreements, including a three and one-half year study of
water sources available to the area. Staff represent the Council and
the Metropolitan Area on the State Water Resources Coordinating Com-
mittee and on the advisory board to the State Water Resource Research
Center. Staff also represents the state on the Upper Mississippi River
Basin Commission Level "B" study for the Metropolitan Area. The
Council has participated in water resources studies of portions of the
Metropolitan Area in cooperation with the State Department of Natural
Resources and has jointly sponsored a seminar on watershed districts
in cooperation with the Minnesota Association of Watershed Districts.
Planning for most of the water resources effort has been supplemented
by HUD funding throughout the life of the Council.
Protection and recreation open space are two natural resource consid-
erations that are of great concern to the Council. There does not seem
to be a wel1-coordinated effort in the area of open space protection
assuring that our important or unique land resources will be properly
managed and where necessary preserved or protected. Of particular
importance are areas under immediate pressure for urban development.
Regional organizations can provide a much-needed focal point to examine
such issues. This is not easy to do, for many reasons. First, it is
difficult and costly to document the importance and uniqueness of many
land forms. Secondly, it is difficult and expensive to determine what
proper protection or management steps are to be taken. Thirdly, it is
difficult to persuade local units of government to consider protection
elements in their zoning and land use ordinances.
The Council has adopted and revised its Open Space Development Guide.
That guide has attempted, through policies, general system plan, and
procedures to persuade local units of government to consider protection
and management proposals. The difficult job of documenting those
protection measures is now being initiated. The Council has been
assigned a soil conservationist from the Soil Conservation Service under
the Intergovernmental Cooperation Act to assist staff in developing the
technical data.
In recreation open space the Council has concentrated on recommending
the regional portions of a recreation system, along with appropriate
policies. Council staff has cooperated with various public and private
groups in the open space arena. Of particular note was the creation of
an Open Space Advisory Board which developed the latest guide section
and recommended legislation which is presently being considered by the
Minnesota Legislature.
VII-17
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SUMMARY
I have attempted to outline some of the methods by which regional
organizations can assume environmental responsibility, using the Twin
Cities Area Metropolitan Council as an example. Major methods of
assuming responsibility or participating in the approval process can
be summarized as follows:
(1) Refer to the mandate of legislation which created the
regional organization. Where the organization was not
formed by legislation, incorporate such responsibility
in the charter of the organization or other document
creating it. Legislate changes to the mandate when
necessary.
(2) Receive designation as regional clearinghouse for A~95
review and for HUD certification purposes as the area-
wide planning agency.
(3) Cooperate and coordinate with those organizations at
other levels of government which have specific environ-
mental responsibilities resulting from federal or state
legislation. Where necessary, enter into contractual
agreements or memos of understanding to provide the
coord inat ion.
(4) Cooperate with and be responsive to queries from the
public at large. Often the effectiveness of the regional
role in environmental management is directly related to
the credibility of the regional organization in the eyes
of the private citizen. Disseminate information to the
widest extent feasible.
(5) Provide adequate staff and a continuous program of study,
along with appropriate products, to assure contribution
to the environmental concerns commensurate with your
responsibilities. Make full use of federal, state, and
other sources of funding.
(6) Be innovative in your thinking, and remember to address
the governmental structure and fiscal measures best suited
to provide the changes recommended.
VI 1-18
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THE COOPERATIVE APPROACH TO ENVIRONMENTAL ENHANCEMENT
Joseph F- Zimmerman
Interlocal service agreements have been utilized for many years,
with federal encouragement, to solve areawide environmental problems.
The emphasis the federal government places upon such agreements is reflect-
ed in the Federal Water Pollution Control Act Amendments of 1972 which
direct the Governor of each State to identify areas suffering from water
quality control problems and designate "a single representative orga-
nization, Including elected officials from local governments or their
designees, capable of developing effective areawide waste treatment
management plans for [each area].11*
The number of service agreements has increased sharply during the
past twenty-five years following the removal of many constitutional
and statutory restrictions inhibiting the ability of local governments
to enter into such agreements. Currently, forty-two states have enacted
a general interlocal contracting act. In twenty nine states local
governments are authorized to cooperate with local governments in other
states, and Michigan authorizes its local governments to cooperate with
Canadian local governments, (see Table 1).
One of the broadest grants of power to local governments to cooperate
with other governmental units is found in the New York State Constitu-
tion.
*Presented by Joseph F. Zimmerman, Professor, State University of
New York, Albany, at the National Conference on Managing the Environment,
+This paper is based on data collected for a larger study of sub-
state regionalism being conducted by the Advisory Commission on
Intergovernmental Relations under the direction of Dr. Carl W.
Stenberg. See Joseph F. Zimmerman, "Intergovernmental Service
Agreements" in Substate Regionalism (Washington, D.C.: Advisory
Commission on Intergovernmental Relations, forthcoming), chap. III.
^Federal Water Pollution Control Act Amendments of 1972, 70 STAT.
33 U.S.C. 1151.
VI 1-19
-------
to
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Illinois
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Loui s iana
Ma i nc
Maryland
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Michi q.in
Mi nnt'iola
Mississippi
Hi s'lOur I
Mon tana
Nebraska
Nevada
Hfri l.i "fi'.h i r
Kerf Jersey
He.; York
North Onkota
Ohio
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Pennsylvania
Rhod^ 1 v 1 -3rd
Sojth C^roli
South Dakota
l-jr.r.cv.ee
Te*as
Utah
Verront
Virg nia
Wash ngton
West Virgin!
Wisconsin
Wyoming
Puerto Rico
Refer. Power
s
C .X. Sec. 13 X
Sec. lT-Sll) 1 X
S^c II.-901 X
Gov.fc$00 x
B8-2-I X
1
Sec. 163.01 X
Sec. 2-5901 X
67-23 9 X
2^ec. 1-1-5 X
Sec. 53- \0lt X
Sec.28E. 1 X
12-2^01 X
65.210 X
3J'jcc. 1321 X
JOScc. 1951 X
ch.'irr.rt.'ia x
S.^CBB X
Sec. ^7 1 . 59 X
Sec, 70. 210 X
I6~ii30't X
Sec. 23-?20l X
277.0^0 x
c
^O.'lfiB- X
£t-22-| X
X
S't-'iO-OI X
7*1$'^. 1001 X
Sec. 190.003 X
53Sec.^7l X
na Sec. -75 X
l-2li-l X
12-bOI X
Art . 't'l 1 3 (32<) X
Sec. 1 1-13-1 X
2*
-------
Local governments shall have the power to agree, as
authorized by act of the Legislature, with the federal
government, a state or one or more other governments
within or without the state, to provide cooperatively,
jointly, or by contract any facilities, service, ac-
tivity, or undertaking which each participatingJocal
government has the power to provide separately.*
Most^states have granted blanket authorization to their local units to
provide services to other units or jointly provide services, yet a
number of states still have specific statutory provisions authorizing
such agreements. Minnesota, for example, has approximately 110.+
Two provisions in many general interlocal cooperation acts impede the
ability of local governments to enter into service agreements. A
power may not be exercised in thirty-two states unless each local
government possesses the power. This means that a city and a town can
not jointly provide a service if only the city possesses the authority
to provide the service. The general interlocal cooperation statute
in thirteen states further restricts the ability of local governments
to enter into agreements by stipulating that an individual statute
authorizing cooperation in a specific functional area is not superceded
by the general statute. There are approximately two hundred specific
statutes in New Jersey.*
The State of Rhode Island and Providence Plantations lack a joint
exercise of powers act, but do have a general law specifically
authorizing cities and towns to establish regional councils of govern-
ments. The law contains an unusual provision: A "council may, by
appropriate action of the governing bodies of the member governments,
exercise such other powers as are exercised or capable of exercise by
the member governments and ngcessary or desirable for dealing with
problems of mutual concern.""'
One of the major reasons accounting for the popularity of intergovern-
mental service agreements is their high degree of political feasibility.
*Constitution of the State of New York.art. IX, sec. 1 (c).
+Leigh E. Grosenick, A Manual for Interlocal Cooperation in Minnesota
(St. Paul: Office of Local and Urban Affairs, State Planning
Agency. May 1969), p. 113-
Joint Services—A Local Response to Areawide Problems (Trenton:
County and Municipal Government Study Commission), p. 38.
**Rhode Island General Laws Annotated, §§ 5^-^3-3.
VII-21
-------
i he usiia
,,,- ucua,i; encounter little opposition since they do not restrict
significantly the freedom of action of the recipient governments, do
net require voter approval in most cases, and usually can be terminated
on relatively short notice. Consequently, local officials view service
agreements as a flexible method of obtaining services as needed.
Three other reasons also account for the popularity of service agree-
ments. First, a local government by means of an agreement,may be able
to obtain a product or a service, such as water or sewage disposal,
which the locality can not produce itself. Second, obtaining a service
from another governmental unit may lower the cost and improve the
quality of the service. The provider of the product or service also
may benefit from a service agreement if it results in economies of
scale. Third, interlocal agreements may facilitate the solution of a
problem transcending local political boundaries without necessitating
a major structural change in the local government system.
A local government, of course, may not have the option of producing a
service or obtaining a service from another producer for one or more
of the following reasons. First, a city or a public authority may have
monopolistic control of a basic resource such as water, and all local
governments must obtain water from this one supplier. Second, the cost
of directly providing a service may be prohibitive. Third, the isolated
location of a unit may preclude the possibility of obtaining a service
from another unit. Fourth, the only neighboring local government with
the ability to provide a given service may refuse to do so.
Service agreements, with a few exceptions, are entered into voluntarily
by local governments. A state government on rare occasions has ordered
one local government to provide a product or a service to a neighboring
unit. And in a few states, Texas is an example, counties are required
by statute to provide certain specified services upon receipt of a
request from a city.
Data for this paper on the scope and nature of agreements for seventy-
six services were obtained by means of a twenty page questionnaire sent to
5,900 incorporated municipalities--cities, villages, boroughs, incorporated
towns—over 2,500 population. Returns were received from forty percent of
these units, and were classified by population categories, geographic
region, form of government, and central city, suburban and non-metro-
politan types.
The collection of data on service agreements by means of a mail
questionnaire, particularly a long one, results in an under-reporting of
the number of agreements for two principal reasons."
"For a fuller description of the problems encountered in gathering
data on service agreements, see H. Paul Friesema, Metropolitan
Political Structure: Intergovernmental Relations and Political
irTtegratj_gn_jn the Quad Cities (Iowa City: University of Iowa Press,
T971), pp. 37=^2.
VI1-22
-------
First, accurate records of service agreements, especially unwritten
ones, are not maintained by most local governments. Second, several
respondents indicated they did not have time to complete the questionnaire
and returned it blank. It is reasonable to assume that some of these
municipalities, as well as some which did not return the questionnaire,
are parties to service agreements.
SERVICES RECEIVED
Table 2 reveals that sixty-three percent of the 2,375 responding
municipalities have entered into formal and informal agreements for the
provision of services to their citizens by other governmental units or
private firms. The propensity to enter into agreements generally is
related to population size. Units in the 50,000 to 100,000 population
class, however, enter into agreements with a slightly greater degree
of frequency than larger units, and units in the 25,000 to 50,000
class enter into agreements more often than units in the 100,000 to
250,000 class.
The presence of a larger number of acute problems and service suppliers
in metropolitan areas accounts for the finding that central cities
(seventy-five percent) and suburban governments (seventy-one percent)
enter into service agreements with more frequency than municipalities
in non-metropolitan areas (fifty-three percent).
Classifying service agreements by region, we find that they are most
common in the West (seventy-nine percent) and least common in the
South (fifty-four percent). Although agreements with a local government
in a neighboring state were reported by only fourteen respondents,
we know that such agreements are more common. To cite only two examples,
sixteen Rhode Island cities and towns have joined with Attleboro and
Seekonk, Massachusetts in a police communication network, and cities
and towns in New Hampshire, Massachusetts, and Vermont are members
of the Southwestern New Hampshire District Fire Mutual Aid System.*
Of the various forms of municipal administration, counci1-manager govern-
ments enter into service agreements with the greatest degree of fre-
quency (sixty-nine percent). Vincent L. Marando reported a similar finding
in the Detroit area in 1968.+
AJoseph F- Zimmerman, "Solving Areawide Problems in Rhode Island,"
Newsletter (Kingston: Bureau of Government Research, University
of Rhode Island, September 1972), p. 2. and "Can Cities and Towns
Meet the Challenges of the Space Age?" New Hampshire City and
Town, June 1972, pp. lO^f-lO.
+Vincent L. Marando, "Inter-Local Cooperation in a Metropolitan
Area: Detroit," Urban Affairs Quarterly, December 1968, p. 193-
VI1-23
-------
TABLE 2
MUNICIPALITIES WITH AGREEMENTS
FOR RECEIPT OF SERVICES
TOTAL, ALL CITIES
POPULATION GROUP
OVER 500,000
250,000-500,000
100;000-2SO,000
50,000-100,000
25,000- 50,000
10,000- 25,000
5,000- 10,000
2,500- 5,000
GEOGRAPHIC REGION
Northeast
North Central
South
West
FORM OF GOVERNMENT
Mayor-Council
Counc il- Man age r
Commission
Town Meeting
Representative Town
Meeting
LOCATION
Central City
Suburban Unit
Non-Metropolitan Unit
NUMBER OF
REPORTING
CITIES
2375
10
10
50
110
236
532
618
812
502
791
706
398
1148
1098
78
57
14
155
1076
1164
HAVE AGREE-
MENT FOR
SERVICES
#
1491
8
8
36
89
180
357
360
446
275
513
380
313
645
762
46
30
8
117
762
612
\
63
80
80
7?
81
76
67
58
55
55
65
54
79
56
69
59
53
59
75
71
53
WITH —
MUNICI-
PALITIES
tt
600
1
3
18
42
81
156
141
154
149
224
118
109
257
315
11
12
5
43
426
131
0,
Q
40
13
38
SO
47
45
44
39
35
54
44
31
35
40
41
24
40
63
37
56
21
WITH
COUNTIES
#
919
3
7
27
67
118
225
217
251
83
317
253
266
357
519
34
6
3
81
458
380
%
62
38
88
75
73
66
63
60
56
30
62
67
86
55
68
74
20
38
69
60
62
WITH
SCHOOL
DISTRICTS
#
380
1
6
15
36
60
114
77
69
72
126
66
116
136
249
8
15
2
41
201
128
\
25
13
75
42
41
33
32
21
15
26
25
17
37
21
33
17
SO
25
35
26
21
WITH
OTHER
SPECIAL
DISTRICTS
#
412
2
7
18
35
60
106
86
96
55
142
81
134
152
238
9
9
2
46
241
127
%
28
25
88
50
39
33
30
24
22
20
28
21
43
24
31
20
30
25
39
29
21
WITH
PUBLIC
AUTHOR-
ITIES
#
249
0
5
14
31
46
51
52
49
67
58
81
43
91
157
5
6
1
37
142
70
%
17
0
6?
39
35
46
14
14
11
24
11
21
14
14
21
11
20
13
32
19
11
WITH
STATE
429 29
79 29
122 24
123 32
105 34
167 26
233 31
16 35
11 37
2 25
53 45
201 26
176 29
WITH
OTHER
217 15
1
7
22
39
64
93
98
104
13
88
61
44
36
26
27
23
3
6
12
21
31
41
41
62
38
75
33
24
17
11
11
14
37 13
73 14
66 17
41 13
88 14
118 15
4 9
4 13
2 25
39 33
112 13
76 U
-------
The finding of the national and Marando surveys is not surprising as
a professional administrator is more likely than an elected chief
executive to seek to lower the cost of a service or a product by
obtaining it from other governmental units or private firms.
Municipalities most commonly enter into service agreements with counties
and other municipalities. Nevertheless, the state government, public
authorities, and private firms are major suppliers of services to local
governments. Police training, criminal identification, police patrol,
fireman training, traffic control, and water pollution abatement services
are the principal services provided by state governments. Private firms
are major providers of the following services — refuse collection, engineer-
ing, legal, street lighting, public relations, and microfilm.
The most popular agreements involve jails and detention homes, police
training, street lighting, refuse collection, solid waste disposal,
and animal control services.
Data relative to sewage disposal agreements are contained in Table 3-
The bulk of the agreements, fifty-three percent, are with other local
governments. Special districts also are parties to a significant number
(eighty-seven) of agreements. Agreements with other local governments
are most common in the South (sixty-nine percent) and least common in
the Northeast (thirty-six percent), and counci1-manager and mayor-
council units have about the same proclivity for entering into agree-
ments. As one would anticipate, it is the smaller and medium size
units which are parties to the agreements for the disposal of sewage
with a greater degree of frequency than central cities which are more
likely to have their own disposal facilities.
Table A reveals that solid waste disposal is most often provided under
a service agreement by other local governments (forty-eight percent)
and private firms (forty-two percent). The tendency of a local govern-
ment to enter into an agreement with another local government for the
disposal of solid waste is positively correlated with increasing population
size with the exception of the 5,000 to 10,000 population category.
The breakdown of agreements by geographic region is revealing.
Whereas sixty percent of the responding incorporated municipalities in
the North Central Region have entered into agreements with private firms,
only thirty-one percent have entered into agreements with other local
governments. By comparison, seventy-three percent of the responding
municipalities in the South have entered into agreements with other
local governments, but only sixteen percent have entered into agreements
with private firms. Relative to form of government, fifty-one percent
of the council manager units and forty-three percent of the mayor-
council units have entered into agreements with other local governments
for the disposal of solid waste.
The major suppliers of water, according to Table 5, are other local
governments (forty-five percent), private firms (twenty-five percent),
and special districts (twenty-one percent). In general, water supply
VI1-25
-------
N)
cr.
TOTAL, ALL MUf ICIPALITIES
POPULATION GROUP
OVLR 500,000
250,000-500,0,00
100,000-250,COO
50,000-100,100
25,000- 50,000
10,000- 25,000
5,000- 10,000
2,500- 5,000
GEOGRAPHIC RECION
Northeast
North Central
South
West
FORM 0^ HOVER] MENT
Major-Council
Council-Manager
Commission
Town Meeting
Representative Town Meeting
LOCATION
Central City
Suburban Unit
Non-Metropolitan Unit
NU4BER OF
UNITS
REPORTING
307
3
1
10
26
48
81
67
71
68
95
65
79
115
181
3
7
g 1
20
247
40
WITH
LOCAL
GOVERNMENTS
#
165
0
0
5
13
28
41
41
37
25
54
45
41
61
102
0
1
1
7
139
19
%
53
0
0
50
50
58
50
61
52
36
56
69
51
53
56
0
14
100
35
56
47
WITH
SCHOOL
DISTRICTS
#
1
0
0
0
0
1
0
0
0
0
1
0
0
1
0
0
0
0
0
1
0
%
0
0
0
0
0
2
0
0
0
0
1
0
0
0
0
0
0
0
0
0
0
TABLE 3
SEWAGE DISPOSAL AGREEMENTS
WITH OTHER
SPECIAL
DISTRICTS
Jf
87
28
WITH COG
OR OTHER
REGIONAL
UNITS
23
2
0
4
9
12
29
15
16
66
0
40
34
25
35
22
22
0
0
1
1
5
5
6
5
0
0
10
3
10
6
8
7
26
25
11
25
26
58
1
2
0
8
70
9
38
26
16
31
22
32
33
28
0
40
28
22
8
6
3
6
11
11
1
0
0
1
21
1
11
6
4
7
9
6
33
0
0
5
8
2
WITH
STATE
GOVERNMENT,
U 0,
5 1
wi m WITH
FEDERAL PRIVATE
GOVERNMENT FIR'S
18
0
0
0
0
0
1
2
2
0
0
0
0
0
1
2
2
0
0
0
0
I
2
0
2
0
0
0
0
2
2
0
2
1
0
0
2
1
3
3
8
33
0
0
7
2
3
4
11
2
2
1
0
1
2
0
2
0
0
2
3
2
2
1
0
0
1
0
28
0
0
0
7
0
1
2
2
4
1
0
0
0
0
3
2
0
1
3
2
3
0
0
0
0
0
1
5
7
5
3
3
10
6
0
2
0
2
10
6
10
5
4
3
S
3
0
28
0
10
4
15
-------
TABLE 4
SOLID WASTE DISPOSAL AGREEMENTS
NUMBER
OF UNITS
REPORTING
WITH
LOCAL
GOVERNMENTS
ti 9-
fr -6
WITH
SCHOOL
DISTRICTS
# *
WITH
OTHER
SPECIAL
DISTRICTS
# %
WITH COG
OR OTHER
REGIONAL
UNITS
# \
WITH
STATE
GOVERN-
MENTS
# 1
WITH
FEDERAL
GOVERN-
MENT
# \
WITH
PRIVATE
FIRMS
# \
TOTAL, ALL MUNICIPALITIES
POPULATION GROUP
OVER 500,000
250,000-buO,000
100,000-250,000
50,000-100,000
25,000-50,000
10,000- 25,000
5,000- 10,000
2^500-- 5,000
GEOGRAPHIC REGION
Northeast
North Central
South
West
301
146
48
14
128
2
1
9
20
42
71
64
92
0
1
5
11
20
33
36
40
0
100
55
55
47
46
56
43
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
1
0
4
5
1
3
0
0
11
0
9
7
1
3
n
0
0
0
1
1
2
4
0
0
0
0
2
1
3
4
0
0
0
0
1
0
2
1
0
0
0
0
9
0
3
1
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
2
0
3
9
16
32
23
43
100
0
33
45
38
45
35
48
48
108
79
66
22
34
58
32
45
31
73
48
0
0
0
0
0
0
0
0
i
L*
4
3
5
4
3
3
7
0
4
2
2
0
3
2
3
1
0
-j
o
0
2
0
3
0
0
0
0
0
0
0
0
0
23
65
13
27
47
60
16
40
FORM OF
Mayor-Council 126
Council-Manager 170
Commission 0
Town Meeting 5
Representative Town Meeting 0
LOCATION
Central City 29
Suburban Unit ,yr
Non-Metropolitan Unit 97
;s
18
0
3
0
43
51
0
60
0
0
0
0
0
0
0
0
0
0
0
5
8
0
1
0
3
4
0
20
0
6
2
0
0
0
4
1
0
0
0
3
1
0
0
0
2
"
0
0
0
0
0
0
0
0
0
0
0
0
0
56
71
0
1
0
44
41
0
20
0
15
73
58
51
41
59
13
0
.7
0
13 44
81
34
46
35
-------
TABLE 5
WATER SUPPLY AGREEMENTS
TOTAL, ALL MUNICIPALITIES
POPULATION
OVER 500,000
250,000-500,000
100,000-250,000
50,000-100,000
25,000- 50,000
10,000- 25,000
5,000- 10,000
2,500- 5,000
GEOGRAPHIC LOCATION
Northeast
North Central
South
West
FORM OF GOVERNMENT
Mayor-Council
Counc i 1 - Man age r
Commission
Town Meeting
Representative Tow Meeting
LOCATION
Central City
Suburban Unit
Non-Metropolitan Ur it
NUMBER OF
UNITS
REPORTING
297
0
0
11
26
38
76
71
75
64
98
76
59
129
156
6
4
2
19
218
60
WITH
LOCAL
GOVERNMENTS,
#
135
0
0
3
9
16
38
32
37
20
66
37
12
63
67
3
1
1
8
110
17
I
45
0
0
27
34
42
50
45
49
31
67
48
20
48
42
50
25
50
42
50
28
WITH
SCHOOL
WITH
OTHER
SPECIAL
DISTRICTS
#
1
0
0
0
0
1
0
0
0
0
1
0
0
1
0
0
0
0
0
1
0
%
0
0
0
0
0
2
0
0
0
0
1
0
0
0
0
0
0
0
0
0
0
DISTRICTS
#
65
0
0
5
9
10
13
14
14
13
8
22
22
19
44
1
1
0
7
45
13
%
21
0
0
45
34
26
17
19
18
20
8
28
37
14
28
16
25
0
36
20
21
WITH
COG
OR OTHER
REGIONAL
UNITS
#
7
0
0
0
1
1
0
4
1
3
0
1
3
3
4
0
0
0
1
5
1
%
2
0
0
0
3
2
0
5
1
4
0
1
5
2
2
0
0
0
5
2
1
WITH WITH
FEDERAL PRIVATE
GOVERNMENT FIRMS
77 25
0
0
9
3
5
0
1
0
0
1
3
1
0
2
0
0
0
0
1
1
0
0
2
5
8
25
18
19
28
20
11
18
37
35
2
2
1
3
49
25
0
0
18
19
21
32
25
25
43
20
14
30
28
22
33
50
50
15
22
41
-------
agreements are inversely correlated with population size; the exception
being the 10,000 to 25,000 population class. Special districts
(thirty-seven percent) are the major suppliers of water in the West
and other local governments (sixty-seven percent) are the major suppliers
in the North Central Region. Not surprisingly, incorporated munici-
palities in non-metropolitan areas receive water more often from
private firms than from other local governments since there are few
municipalities in such areas with the capacity of supplying water to
other units.
Water distribution agreements present a somewhat different pattern than
water supply agreements (see Table 6) in that incorporated municipalities
have a greater tendency to enter into distribution agreements with
private firms (thirty-eight percent) than with other local govern-
ments (thirty-five percent), and mayor-council units (thirty-two
percent) have a lesser tendency than counci1-manager units (forty-one
percent) to enter into agreements with private firms. The geographical
pattern of the two types of agreements is generally similar, but
suburban units are more dependent upon agreements for the supply of
water than for the distribution of water.
PACKAGE OF SERVICES
Relatively few agreements involve a package of services (see Table 7).
The bulk of the agreements involve only one service and only two
governments — the provider and the recipient of the services. Most
binary agreements relate to functions which tend to be non-controversial
--civil defense, fire and police mutual aid, jails, and water supply.
We must point out, however, that many municipalities have entered into
several individual service agreements.
There is a two-fold explanation for the small number of package agree-
ments. First, few local governments have the ability and the desire to
provide a package of services. Second, most recipients of services are
interested only in a service which they can not provide economically
themselves or a product which they can not produce themselves.
Not surprisingly, local governments in non-metropolitan areas are the
recipients of the fewest packages of services. In these areas there
often is no local government with the capacity to provide a package
of services to other units.
The number of package agreements declines with a decrease in population
with one exception--the 2,500 to 5,000 population class. Package
agreements are most common in the West which is the home of the
Lakewood Plan.
Many municipalities had received more than one service from another
local government on a contract basis prior to 195^, yet the concept
of a contract providing for a large number of services did not
originate until 195A when the newly incorporated City of Lakewood
signed a formal agreement with Los Angeles County to have it provide
VI1-29
-------
TABLE 6
WATER DISTRIBUTION AGREEMENTS
TOTAL, ALT, '•(!;j-;.r,CIPALITIES
POPULATION GROUP
OVER 500,000
250,000-500,000
100,000-250,000
50,000-100,000
25,000- 50,000
10,000- 25,000
5,000- 10,000
2,500- 5,000
GEOGRAPHIC REGION
Northeast
North Central
South
West
FORT-! OF GOVERNMENT
Mayor-Council
Council-Manager
Commission
Toivn Meeting
Representative Toim Meeting
LOCATION
Central City
Suburban Unit
Non-Metropolitan Init
NUMBER OF
UNITS
REPORTING
163
0
0
6
10
18
36
42
51
38
50
39
36
78
77
2
4
2
11
112
40
WITH
GO*-
MENTS'
58 35
0
0
3
2
5
12
16
20
8
26
20
4
32
25
0
0
1
5
40
13
0
0
50
20
27
33
38
39
21
52
51
11
41
32
0
0
50
45
35
32
WITH
SCHOOL
DISTRICTS
#
1
0
0
0
0
1
0
0
0
0
1
0
0
1
0
0
0
0
0
1
0
I
0
0
0
0
0
5
0
0
0
0
->
L.
0
0
1
0
0
0
0
0
0
0
WITH
OTHER
SPECIAL
DISTRICTS
#
33
0
0
2
3
5
4
7
12
8
4
10
11
13
19
0
1
0
3
25
5
0
20
0
0
33
30
27
11
16
23
21
8
25
30
16
24
0
25
0
27
22
12
WITH COG
OR OTHER
REGIONAL
UNITS
it
5
0
0
0
0
0
0
2
3
1
0
")
L,
2
4
1
0
0
0
0
o
L*
3
%
3
0
0
0
0
0
0
l\
5
2
0
5
5
5
1
0
0
0
0
1
7
WITH
STATE
GOVERN-
MENT
#
1
n
0
0
0
0
0
0
i
0
0
0
1
1
0
0
0
0
0
1
0
%
0
0
0
0
0
0
0
0
1
0
0
0
2
1
0
0
0
0
0
0
0
WITH
FEDERAL
GOVERN-
MENT
a
3
0
0
0
0
1
0
1
1
0
1
2
0
2
0
1
0
0
0
2
1
0,
'0
1
0
0
o
0
5
0
2
1
0
2
5
0
2
0
50
0
0
0
1
2
WITH
PRIVATE
FIRMS
38
0
0
1
5
6
20
16
14
21
13
5
18
25
32
1
3
1
3
41
18
0
0
16
50
33
55
38
27
55
36
12
50
32
41
50
75
50
27
36
45
-------
TABLE 7
MUNICIPALITIES RECEIVING AND
PROVIDING A PACKAGE OF SERVICES
NUMBER OF
MUNICIPALITIES
REPORTING
TOTAL, ALL MUNICIPAL-
ITIES
POPULATION GROUP
OVER 500,000
250,000-500,000
100,000,250,000
50,000-100,000
25,000- 50,000
10,000- 25,000
5,000- 10,000
2,500-
UNDER 2,500
5,000
GEOGRAPHIC REGION
Northeast
North Central
South
West
FORM OF GOVERNMENT
Mayor-Council
Council-Manager
Commission
Town Meeting
Representative Town
Meeting
LOCATION
Central City
Suburban Unit
Non-Metropolitan Unit
139^
k
8
31
82
16?
338
8
5
256
1*92
352
29k
599
721
ko
27
100
72U
570
RECEIVE
PACKAGE'
OF SERVICES
# %
188
1
2
8
18
32
1*6
31
^9
'1
3k
52
kk
58
61
nil
10
2
22
116
50
13
25"
25
26
22
19
13
9
12
20
13
11
13
20
10
16
25
7
22
16
9
NUMBER OF
MUNICIPALITIES
REPORTING
'2135
10
^3
97
216
1+82
726
13
699
619
366
997
6k
kl
13
133
977
1025
PROVIDE
PACKAGE OF SERVICES
TO OTHER UNITS
# %
239
3
k
8
2k
31
61
59
ki
55
86
56
k2
86
6
l
31
111
97
11
50
iio
19
25
lU
13
11
6
15
12
12
9
11
9
Ik
9
2
23
11
9
-------
'
all municipal type services to the citizens of the City. ' Since
all thirty-two cities incorporated in the County have contracted with
the County for a package of services. Most agreements are for a five
year term.
A typical service package includes animal regulation, election services,
emergency ambulance services, enforcemer of city health ordinances,
engineering services, fire and police pr tection, library, planning and
zoning, street construction and maintenance, and street lighting.
Certain services, such as animal regulations, are financed by fees.
Other services--f ire protection, library, sewer maintenance, street
1 ighting--are financed by means of special districts administered by
the County. All other services are financed by direct reimbursement
of county costs by the recipient cities.
Currently, seventy-seven cities in the County are parties to contracts
with the County for the receipt of services. All seventy-seven cities
receive election services under contracts, and all cities except
Vernon contract with the County for state health law enforcement.
And all cities but Santa Monica have contracted for the maintenance of
city prisoners in the County Jail.
REASONS AND NEGOTIATION
Each recipient of the survey questionnaire was requested to "check the
reason that best explains your decision to use an intergovernmental service
agreement for the provision of the service." Eight reasons were listed
-- (1) take advantage of economies of scale, (2) lack of facilities,
(3) lack of qualified personnel, (4) meet an urgent problem, (5) citizen
demand for service agreement, (6) take the service out of politics,
(7) civil service avoidance, and (8) other. As Table 8 reveals, the
principal reason for entering into agreements for the receipt of environ-
mental services is to take advantage of economies of scale. The
reasons, of course, vary according to the service involved. Lack of
facilities, for example, is a more important reason for entering into a
noise pollution abatement agreement than economies of scale.
Agreements in thirty-six percent of the reporting municipalities are
negotiated by the mayor and council. The manager or administrator
negotiates the agreements in thirty-four percent of the units, and the
manager and council negotiate the agreements in twenty-six percent of
the units.
"See the California Government Code, § 51301 and Los Angeles
County Charter, § 56 1/2.
VI1-32
-------
TABLE 8
REASONS WHY MUNICIPA:ITIES USE INTERGOVERNMENTAL AGREEI-ffiNTS]
Take
J°^ . - ... Advantage aS '
Municipalities of economies <*.«..
Reporting of scale Facilities
CD (2)
w 9, # g-
IT Q TT •&
AP
NP
WP
RC
SD
BT
S1V
ws
WD
112
46
111
329
306
105
283
278
126
74
16
37
168
164
55
155
L
126
51
66
35
33
51
54
52
55
45
40
44
22
37
123
93
28
101
119
43
39
48
33
37
30
27
36
43
34
Lack
of
Qualified
Personnel
(3)
# ?.
28
5
15
16
13
11
11
8
5
25
11
14
5
4
10
4
3
4
Meet
an
Urgent
Problem
(4)
8
5
12
31
40
16
35
36
11
7
11
11
9
13
15
12
13
9
Citizen
Demand for
Service
Agreement
(5)
1
1
-
7
•3
1
-
8
2
1
2
-
2
1
1
-
3
2
Take
Service
out of
Politics
(6)
& 9-
Tf 'Q
1 1
-
—
5 2
2 1
1 1
1
3 1
5 4
Civil Other
Service (Specify)
Avoidance
(7) (8)
0 - 12
5
119
9 3 12
0 - 18
10
1 - 8
2 1 21
18
11
11
8
4
6
10
3
8
14
1Percentages, when totaled, may exceed 100% since many
respondents noted more than one reason.
2 Less than 1 per cent.
pollution
polli
WP - Water Pollution
RC - Refuse collection
SD - Sewage disposal
SL - Sewer lines
SW - Solid waste disposal
WS - Water supply
WD - Water distribution
-------
The mayor and council most commonly negotiate the agreements in
cities over 250,000 population whereas the manager or administrator
most commonly negotiates the agreements in cities in the 25,000 to 100,000
population category. This finding is in general accordance with the
prevalence of these two forms of administration in municipalities in
these two forms of administration in municipalities in these population
categories.
EVALUATION OF AGREEMENTS
In fifty-six percent of the reporting municipalities the performance of
the supplier of services is evaluated by performance measures established
in the agreements. Sixty-five percent of the central cities, however,
evaluate the services by means of periodic inspection by their personnel.
This method also is used by fifty-two percent of the suburban communities
and forty percent of the non-metropolitan communities. Levels of
citizen satisfaction, as measured by the number of citizen complaints,
are used by sixty-one percent of the central cities, fifty-eight percent
of the suburban communities, and forty-eight percent of the non-metro-
politan communities to evaluate the performance of the suppliers of services,
The vast majority of the recipients of services are satisfied with the
service agreements as only 137, or six percent, of the 2,36? responding
local governments have terminated agreements. Central cities (twelve per-
cent) discontinued agreements with greater frequency than suburban
municipalities (five percent) or municipalities in non-metropolitan
areas (three percent). The small percentage of agreements terminated
in the latter type of municipalities undoubtedly is due to the fact
that these units have few if any alternative methods of providing or
obtaining the services.
JOINT AGREEMENTS
Agreements for the joint provision of services and the joint construction
and operation of facilities are relatively common. Union agreements
differ from standard service agreements in that two or more governmental
units join forces to provide the service or construct the facility,
a joint body usually is created to administer the program, and each
participant typically is a coequal partner.
Thirty-five percent of the reporting municipalities are parties to
agreements for the joint provision of services. Larger units generally
enter into these agreements most of ten—eighty percent of the units
in the 250,000 to 500,000 population category and only twenty-seven
percent of the units in the 2,500 to 5,000 category.
Conjoint service agreements are most common in the West (forty-nine percent)
and least common in the South (twenty-eight percent). Forty-three
percent of the counci1-manager municipalities participate in joint
VI1-34
-------
agreements compared to thirty-one percent of the commission cities and
twenty-nine percent of the mayoi—council cities. Not unexpectedly,
central cities (sixty-two percent) enter into such agreements with
greater frequency than suburban communities (thirty-nine percent),
or non-metropolitan municipalities (thirty-one percent). In part, this
finding is a reflection of the fact that the central city usually has
more opportunities to enter into joint agreements, particularly with
the county.
Twenty-one percent of the responding municipalities are parties to
joint construction and joint leasing agreements. Once again, larger
units have the greatest proclivity for participating in such agreements--
sixty percent of the units in the 250,000 to 500,000 population category
compared to fourteen percent of the units in the 2,500 to 5,000 cate-
gories. Counci1-manager units are nearly twice as likely to be parties
to these agreements as are mayor-council cities. And more central cities
(forty percent) sign these agreements than suburban governments (twenty-
two percent) or non-metropolitan municipalities (eighteen percent).
Agreements for the joint leasing of equipment are relatively uncommon.
Only fifty-five municipalities report that they are signatories to such
agreements. Agreements for the loan of personnel or equipment are more
common with fifteen percent of the reporting units parties to agreements
of this nature.
SERVICES PROVIDED BY COUNTIES
In 1971, the Advisory Commission on Intergovernmental Relations,
International City Management Association, and National Association of
Counties cooperatively surveyed 3,0^7 county governments relative to
services provided for individual local governments within each county
on a contract basis, provided on a joint basis with local governments
in each county, and jointly provided or under contract with another
county.
As Table 9 reveals, one-third of the 8^8 reporting counties provide
services on a contract basis to local governments located within the
county. Although seventy-three percent of the reporting counties with
a population over 500,000 provide contract services, these counties
account for only 5.7 percent of the total number of service agreements.
Interestingly, slightly more than one-quarter of the reporting counties
providing services are in the 10,000 to 25,000 population class. This
finding in part is a reflection of the greater number (998) of counties
in this population class.
More than one-third of the responding counties provide services jointly
with other local governments. As in the case of the contract services,
joint service agreements are most common among counties in the 10,000
to 25,000 population class. This finding in part is a reflection of the
VII-35
-------
TABLE 9
COUNTIES SUPPLYING SERVICES
ON A CONTRACT BASIS
1971
POPULATION
GROUP
Over 500,000
250,000-500,000
100,000-250,000
50,000-100,000
25,000- 50,000
10,000- 25,000
Under 10,000
Total
NUMBER
OF
COUNTIES
58
70
185
326
566
998
3,047
NUMBER OF
RESPONDING
COUNTIES
22
39
62
9^
153
258
230
848
PROVIDE
SERVICES
#
16
16
32
40
48
73
56
%
5.7
5.7
11.4
14.2
17.1
26.0
19.9
281 100.0
DO NOT PROVIDE
SERVICES
#
6
13
30
105
185
174
1.1
2.3
5.5
9.0
18.8
32.6
30.7
567 100.0
SOURCE: 1971 survey of county governments by the Advisory Commission
on Intergovernmental Relations, International City Manage-
ment Association, and National Association of Counties.
-------
greater number (998) of counties in this population class.
Joint agreements with another county for the provision of services are
relatively prevalent--226 out of 7^ reporting counties have such agree-
ments. These agreements also are most common in the 10,000 to 25,000
population class and in non-metropolitan areas.
INHIBITING FACTORS
"Limitations placed on independence of action by the agreement"
was checked by nearly one-half of the reporting incorporated munici-
palities as the factor which has the most adverse effect on their
willingness to enter into an agreement with another governmental unit
to obtain services.
"Inequitable apportionment of the cost of the service" inhibited
nearly one-forth of the municipalities from entering into agreements.
The only other factor checked by a significant number of officials
(nine percent) was "adverse public reaction to services presently
being provided by another unit." Responses did not vary much by
region, form of government, and central city, suburban, or non-
metropolitan type.
The New Jersey County and Municipal Government Study Commission found
"great hope in the fact that the overwhelming majority of officials in
over ^00 municipalities polled and interviewed are willing and anxious to
enter into joint service agreements on a wide variety of areas.1"' Our
national survey did not produce such optimistic data--^78, or twenty
percent, of the 2,383 reporting incorporated municipalities are contemplat-
ing entering into agreements with other units for the provision
of services.
STATE AND FEDERAL ENCOURAGEMENT
Only forty-four of the respondents felt that the state constitution
prohibits their municipalities from entering into agreements for the
receipt of services or inhibits their ability to enter into agreements.
A larger number (109) report that state statutes impede their ability
to enter into service agreements.
Three-fourths of the reporting municipalities indicate that the state
government actively encourages the intergovernmental provision of ser-
vices. Forty-eight percent report that the state provides incentive
grants-in-aid, forty-two percent mentioned financial assistance for
studies, and fifty-six percent report the state provides technical assistance.
'Joint Services: A Local Response to Areawide Prcbiems, (Trenton:
County and Municipal Government Study Commission, ~1970) , p. iv.
VII-37
-------
Only twenty-eight local governments felt that federal statutes and
regulations restricted their ability to enter into agreements for services
with another governmental unit. One-half of the respondents replied
affirmatively to the question "Do federal statutes and regulations
encourage intergovernmental contracting and cooperation?"
CONG LUD I_NG_ COMMENTS
Incorporated municipalities over 2,500 population, according to our
national survey, receive a significant number and a large variety of
services from other governmental units and private firms under provisions
of informal and formal agreements. More than three-fifths of the re-
sponding units receive services from other governmental units, yet most
agreements are limited in scope and involve only a single service. This
finding agrees with the finding of Vincent L. Marando that in the Detroit
area "cooperative agreements entered into by a municipality were generally
confined to one functional area. It did not appear that such agreements
were generally confined to one functional area. It did not appear that
such agreements were encouraging municipal?ties_to cooperate with one
another on a large number of varied functions."''
Service agreements would play a larger role in solving major environmental
problems if a plan for the multilateral use of agreements was developed
and promoted in each region by a metropolitan planning commission,
council of governments, or the state. The widespread and successful use
of multi-lateral agreements, however, would have three undesirable
consequences.
First, a large number of agreements would complicate an already complex
local governmental system and make it less comprehensible to the average
citizen. This, in turn, will make it more difficult for citizens to
pinpoint responsibility for failures of the local governmental system.
A second undesirable consequence of a proliferation of service agreements
would be the reinforcement and perpetuation of the existing fragmented
governmental system in the typical metropolitan area. Service agreements
may make more difficult the creation of an areawide government with
adequate powers to solve the major problems of the metropolis.
A closely related consequence may be the promotion of additional polit-
ical fractionation and fiscal disparit-es in a number of metropolitan
areas. Even the Advisory Commission on Intergovernmental Relations,
a strong supporter of interlocal contracting, recognized "that under
"Vincent L. Marando, "Inter-Local Cooperation in a Metropolitan
Area: Detroit," p. 1?9.
VI1-38
-------
certain conditions such contracts can only further fragment unnecessarily
the metropolitan tax base. The presence of nonviable 'paper' communities,
incorporated under highly permissive state legislation and sustained
by interlocal contracting arrangements, undoubtedly creates extremes
of fiscal capacity or incapacity within certain areas.""
The cooperative or ecumenical approach to the solution of service
problems will continue to be popular with local government officials in
the future because the approach allows units to take advantage of
economies of scale and has a minimal disruptive impact on local
governments. And it is not unreasonable to forcast that most state
governments will expand their efforts to encourage local governments
to enter into service provision agreements and in special cases to
order one unit to provide a service to one or more contiguous units.
Service agreements probably will continue to act as a safety valve
in reducing the pressures for the establishment of a metropolitan government,
If cooperation, however, fails to solve the major problems of the
metropolis, pressure will be generated for the preemption of responsi-
bility for solving problems by the federal and state governments.
One must not lose sight of the facts that not all governmental service
problems lend themselves to solution by means of service agreements,
and that the potential of intergovernmental cooperation \s limited
principally to the solution of relatively minor and non-controversial
problems involving a small number of local governments.
We conclude by pointing out that increasing metropolitan scale and
development of megalopolises limit severely the ability of interlocal
cooperation to solve major areawide problems and will increase the pressure
for the upward shift of responsibility for problem solving.
Fiscal Balance in the American Federal System: Metropolitan Fiscal
Disparities.Vol. 2 (Washington, D.C.: Advisory Commission on
Intergovernmental Relations, October 1967), p. 15.
VII-39
-------
MANAGING AT THE LOCAL LEVEL
Mark E. Keane
Environmental management is one of the most intriguing public issues.
It has about it a spirit of hope which is otherwise in short supply
today. There is a sense of being in on the beginning of a great battle
on behalf of society.
There are ten points on the nature of environmental management and the
need for a strong local government in the "New Federalism" that I feel
are important and should be discussed. They are as follows:
Point 1. This conference is typical of the environmental movement in
the variety of speakers you have heard. The academic community is well
represented along with all levels of the government -- Federal, state,
county, metropolitan, and city. The private business sector has been
represented too, although probably not in adequate strength commensurate
with their importance. From the White House to the Courthouse we have
looked at this strange creature known as the environment. And that is
the only way we will make progress back in our home communities --
by getting together like this.
Point 2. The environmental struggle needs constant attention from the
media, not only when it stages a dramatic crisis or demonstration.
The papers, radio, and TV need to be educated to the issues, the problems,
and the potentials, even as we do.
Point 3- The dimension of race is a pervasive influence in all the
problems of current American society. No matter how we may measure the
quality of life in our nation or in our community, we need to establish
a base point monitoring system on those who have been short circuited in
the affluence of the rest of society.
Point 4. Politics determines the environment. We have faced the
enemy of pollution: how can he be defeated? - by the government,
or federal, state, and local working together. They will allow the
citizen to express himself and they wi11 heed the computers and the
system analyses of their professional staffs and of the academic
"Presented by Mark E. Keane, Executive Director, International City
Management Association, at the National Conference on Managing the
Envi ronment.
VI1-40
-------
community. And who is they? It is the elected leaders, from the
President of the United States to the trustee of the smallest village.
We know by now that they are human and uncertain, and often tired
and weak, even as we are. We do not generally understand .however, the
tremendous stress and pressure of elective office today. We do not
adequately analyze how the elected official may be helped and
supported in making those decisions we may think are so right and so
necessary. But they must and will make the decision, even if the
decision is to do nothing.
Point 5. We adapt to the environment at the local level. It's so
obvious -- "you've made your bed, now lie in it." In the cities, the
complex jargon and the sophisticated interrelationships of the eco-
systems translate to plain sensory shocks: stinks, worms, rats, mud
and flood, backed-up sewage, messy garbage, ugliness, noise, sickness,
coughs, jams and delays, ad nauseum. This is the way you feel it, the
way _l_ feel it. These are insults to the senses that are largely controllable
by community action, given the essential national foundation of basic
law, commitment and resources.
Point 6. National strategy should aim at creating the climate for
energizing local initiative. The results will be uneven, but there will
always exist a basic need for diversity and freedom of choice. The
goal is to achieve an ever-rising minimum standard, not some ideal equality
and purity.
Point 7- At the local level, this point of most important action,
decisions are difficult to come by. The people are there. They
see, feel, touch, taste, and smell what their local officials do
to them. City Hall and the Courthouse are within reach. No long
distance toll charges are necessary. Decisions are less likely to be
dramatic or revolutionary, less likely, in fact, to deal with ego-
systems. They move incrementally. Comprehensive plans are generally
ignored, while a change in zoning on one single lot may fill the council
chambers for a public hearing. So, do we surrender to destruction of
the environment while constructive change moves at such a local pace?
This may be. Or, we may evolve a science of political action that
permits such involvement at the local level while reshaping the basic
framework at regional, state, and federal levels.
Point 8. Political leadership at the local level needs to build,
develop, and sustain the best talent available as staff, to help them
understand and analyze the environmental issues. Not even a sign ordinance
is simple; a water bill is potential dynamite; a garbage bag will break
in your face. A local elected official needs the help of well trained,
broad-gauged advisors, who will help evolve policies that will actually
work to achieve the original objective. They need to be organized in
new ways that integrate their viewpoints, ways that bring them out of
their functional specialities, a climate of interrelationships that
focuses their attention on the common problem and away from their
particular departmental kingdoms.
VI|-
-------
Point 9. The technological capacity to deal with environmental issues
cannot reach local governments today through the traditional channels.
Field representatives of federal or state agencies and private
consulting firms are helpful, of course, but in most cases they have
a standard product to sell. New kinds of institutions will be created
by local governments to serve their special needs. An example is Public
Technology Incorporated, which has been organized by the national
associations, such as ICMA, representing state and local government.
PTI is designed to serve as the vehicle for facing the local governments'
problems against the technology of the universities and of industry. The
software and hardware products developed through this constant interface
of producer and consumer will constitute an important part of the capacity
of local government to meet environmental needs.
Point 10. We have postulated much about citizen involvement in the
decision-making process. We have concluded that it is vital. We reach
the same conclusion on every public issue. A public official welcomes
public participation when it tends to support the ongoing process of
government, but tends to wish it would go away when seemingly essential
projects are stopped dead or when decisions seem forever delayed. You
in public life at the front lines in local government know there is no
formula, no pat solution. It is the essence of the local political
process. However, there has been too little effort to help the
politican bridge the gap of understanding between him and his voters.
Those who hope to improve the effectiveness of citizen involvement need
to develop a strategy in each community, one that best fits its
political traditions. Frontal assault will be necessary in some, while in
others city hall will gladly join with the citizens as a team if the
method and the motivation is carefully and wisely developed.
The environment, perhaps more than any other issue, requires intergovern-
mental solutions. It is important therefore that an appropriate role
for the federal, state and local levels be defined and adhered to.
The direction of the "New Federalism," as exemplified in general
revenue sharing and the proposed special revenue sharing,has rightly
placed greater responsibility back in the local level. The local
government official will make or break this great national effort.
We need to continue this process of helping him, respecting him,
and most importantly, listening to him.
VI1-
-------
Sponsored by
The U. S. Environmental Protection Agency
Office of Research and Monitoring
Environmental Studies Division
Administered by
The International City Management Association
-------
NATIONAL CONFERENCE ON MANAGING THE ENVIRONMENT
Conference Chairman
Stanley M. Greenfield
Assistant Administrator, Research and Monitoring
U. S. Environmental Protection Agency
AGENDA
SUNDAY, May 13
2:00 Registration
k:00 Environmental films
7:00
8:00
10:00
Film "Pollution is a Matter of Choice"
Registration Closes
Informal Mixer
Mixer Ends
Lobby
Royal Suite
Royal Suite
Esplanade
MONDAY, May
8:30
9:00
Welcoming Remarks: Stanley M. Greenfield
Keynote: RUSSELL TRAIN (Chairman,
Council on Environmental Quality)
THE ENVIRONMENT: HOW COMPREHENSIVE?
A discussion aimed at expanding traditional
perceptions of the scope of environmental
management concern from the varying view-
points of a theoretical planner, a state
planning director, and a multidisciplinary
ecolegist.
MODERATOR: Ralph Tabor (Director,
Federal Affairs, National
Association of Counties)
1. "Comprehensive Planning"
Ian McHarg (Professor,
University of Pennsylvania)
Normandy-Savoy
Normandy-Savoy
-------
-2-
"The Economics of Ecology"
Kenneth Boulding (Professor,
University of Colorado)
"Planning for Quality Growth"
Shelley Mark (Director,
Department of Planning 6 Economic
Development, State of Hawaii)
10:30
BREAK
12:30
INTERACTION AT THE LOCAL LEVEL
Focusing on the issues of both economic
and social costs, this session will
consider interaction among key actors
on the local scene.
MODERATOR: Walter Scheiber (Director,
Washington Metropolitan Councils
of Governments)
1. "Public Needs and Private Concerns in
the Environment"
Arthur Busch (EPA Regional Administrator,
Dal las, Texas)
2. "Costs of Pollution"
Joseph Fisher (President,
Resources for the Future)
3- "Corporate Responsibility and the
Envi ronment"
Ernest Starkman (Vice President,
General Motors Corporation)
k. "Community/Industry Relations on the Local
Level"
Stephen May (Mayor, Rochester, New York)
LUNCHEON: Earl S. Mackey (Executive Director,
National Legislative Conference)
ADDRESS: Robert Fri (Acting Administrator,
Environmental Protection Agency)
"Beyond the Brushfires"
Normandy-Savoy
Dauphine-Brittany
-------
-3-
2:00 A DECISION-MAKER FACES THE ENVIRONMENT Normandy-Savoy
This discussion attempts to focus on the
process decision-makers employ in trans-
lating broad goals and comprehensive plans
into action programs at the local level.
MODERATOR: Morris William Collins (Director,
Institute of Government,
University of Georgia)
1. "Incrementa1ism and Environmentalism"
Charles Lindblom (Professor,
Yale University)
2. "Managers and the Environment"
Lynton Caldwell (Professor,
Indiana University)
3. "Environmental Decision Making"
Peter Wilson (Mayor,
San Diego, California)
J». "Industrial Involvement in the Decision-
Making Process"
J. L. McClintock (Director,
Environmental Resources,
Weyerhaeuser Company)
3:30 BREAK
3:kS WORKSHOPS
A. LOCAL GOVERNMENT EXPERIENCE Normandy-Savoy
Discussants exchange practical experiences
gained in local communities.
1. "How a City Government Organizes to
Handle the Environment"
Herbert Elish (Administrator,
Environmental Protection Administration,
City of New York)
2. "A Team Approach to Environmental
Management"
Beverly Briley (Mayor,
Nashville, Tennessee)
-------
-k-
3. "Local Government Perceptions
Regarding the Environment"
Richard Gray (City Manager,
Norman, Oklahoma)
B. REGIONAL GOVERNMENT EXPERIENCE Brittany
Discussants exchange practical experiences
gained in regional settings.
1. "Alternative Regional Arrangements"
Joseph Zimmerman (Professor,
State University of New York, Albany)
2. "Supporting County Planning"
Edwin Coate (Director,
IREM Project,
San Diego, California)
3. "How a Regional Organization Assumes
Environmental Responsibility"
Robert T. Jorvig (Executive Director,
Metropolitan Council,
St. Paul, Minnesota)
4. "Regional Planning and Implementation"
Richard Hartman (Executive Director,
National Association of Regional
Counci1s)
C. TECHNICAL WORKSHOP ON SAN PI EGO/IREM PROJECT Royal Suite
5: 15 BREAK FOR DINNER
7:15 WORKSHOPS
A. LEGAL AND JUDICIAL CONSTRAINTS Brittany
The legal aspect of environmental
management is addressed by a panel
representing the spectrum of involvement
by the legal profession.
1. "The Law and the Environment"
Frank Grad (Professor,
Columbia Law School)
2. "The State Role in Environmental
Enforcement"
Henry Lord (Deputy Attorney General,
State of Maryland)
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3. "Enforcing Environmental Law in the
City"
Norman Redlich (Corporation Counsel,
City of New York)
4. "The Role of Industry in Environmental
Law"
Everrett H. Bellows (Vice President,
01 in Corporation)
5- "Citizen Participation in Making
Environmental Law"
John Dienelt (Environmental Defense
Fund)
B. PUBLIC INVOLVEMENT IN ENVIRONMENTAL PROGRAMS Dauphine
Discussants focus on the problem of educating
the public to gain support for extensive
environmental programs.
1. "The Voice of the Citizen"
Ruth Clusen (League of Women Voters)
2. "Citizen Participation in Environmental
Management"
Gerald Springer (Deputy Mayor,
Cinci nnati, Ohio)
3- "Creating an Environmental Awareness"
George Schrader (City Manager,
Dallas, Texas)
k. "Implementing Citizen Participation"
John Goodman (Technical Assistance
Research Programs)
TECHNICAL WORKSHOP ON ARIZONA TRADE-OFF
MODEL (ATOM)
Royal Suite
8:45
D. TECHNICAL WORKSHOP ON GENERAL ENVIRONMENTAL Savoy
MODEL (GEM)
ADJOURN
TUESDAY, May 15
8:30 Welcoming Remarks: Stanley M. Greenfield
Keynote: SENATOR HIRAM L. FONG (Hawaii)
Normandy-Savoy
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9=00 ENVIRONMENTAL TECHNOLOGY Normandy-Savoy
New technological developments and
experiments provide new tools for
environmental managers.
MODERATOR: Allen Pritchard (Executive Vice
Pres ident,
National League of Cities)
1. "A National Environmental Assessment Model"
Stanley M. Greenfield (Assistant
Administrator for Research and Monitoring,
EPA)
2. "Arizona Trade-Off Model"
C. W. Myers (State of Arizona)
3- "Communications in Environmental Management"
Rodman T. Davis (Metropolitan Regional
Counci1 ,
New York City)
4. "A Statewide Environmental Data Information
Center"
Robert Garner (Oklahoma Environmental
Information Center)
10:30 BREAK
10:45 WORKSHOPS
A. GROWTH Normandy
Effective environmental management must be
achieved in the context of a dynamic society
characterized by rapid and uneven growth.
This discussion centers on questions relating
to growth-associated problems and their effect
on environmental managers.
1. "The Concept of Carrying Capacity"
A. Bruce Bishop (Professor,
Utah State University)
2. "Regional Concerns in Growth Patterns"
Francis T. Mayo (EPA Regional Administrator,
Chi cage, I 11i noi s)
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3. "Land Use Controls"
Roger Hansen (Executive Director,
Rocky Mountain Center on the
Env i ronment)
k. "Limiting Growth"
Martin Johnson (Secretary,
Agency of Environmental Conservation,
Vermont)
5. "Managing for Controlled Growth"
William Lament (Acting City Manager,
Boulder, Colorado)
10:^5 B. STANDARDS AND THE ENVIRONMENT Esplanade
A representative sampling of new techniques
being considered or developed for use by
environmental managers. Much of this
effort is supported by EPA research funds.
1. "Single vs. Variable Standards"
Robert Piku1 (MITRE Corporation)
2. "Performance Standards"
Frank Beal (American Society of
Plann ing Off i cials)
3. "The Translation of Federal Environmental
Standards into a Local Enforcement
Program"
Jack E. Ravan (EPA Regional Administrator,
Atlanta, Georgia)
k. "The State/Local Interface"
William L. Blaser (Former Director,
Illinois Environmental Protection Agency)
10:A5 C. COMPREHENSIVE PLANNING Savoy
Methods of analyzing the effects of
particular events within the framework
of a comprehensive plan.
1. "Total Impact Analysis"
Douglas W. Ayres (City Administrator,
Inglewood, California)
2. "The Impact Statement and the
Comprehensive Plan"
Robert C. Einsweiler (American Institute
of P 1 anners)
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3. "Resource Recovery Considerations for
the Planning Process"
Richard Lesher (President,
National Center for Resource Recovery)
k. "Regional Comprehensive Planning and
the Environment"
Gerald T. Norton (President,
Georgia House of Representatives)
D. TECHNICAL WORKSHOP ON STRATEGIC ENVIRONMENTAL Royal Suite
ASSESSMENT SYSTEM (SEAS]"
12:30 LUNCHEON Dauphine-Brittany
2:00 IMPLEMENTING THE ENVIRONMENTAL MANDATE - Normandy-Savoy
INTERGOVERNMENTAL RELATIONS
Discussants, representing public administrators
at all levels, will focus on the implementation
of environmental plans and programs. Inter-
governmental relations and responsibilities are
a prime concern.
MODERATOR: John Quarles (Acting Deputy
Administrator, EPA)
1. "Balancing Competing Goals"
Richard M. Fairbanks (Associate Director,
Domestic Council) —
2. "The Role of the Federal Regional Councils
in Environmental Management"
Gary Baise (Director,
Office of Legislation, EPA)
3. "Regional Mandates and the Environment"
John A. McGlennon (EPA Regional Administrator,
Boston, Massachusetts)
J». "State Responsibility in Managing the
Envi ronment"
Dan W. Lufkin (Commissioner,
Department of Environmental Protection,
Connecticut)
5- "Managing at the Local Level"
Mark Keane (Executive Director,
International City Management Association)
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4:00 CLOSING REMARKS: John Quarles Normandy-Savoy
(Acting Deputy Administrator,
Environmental Protection Agency)
4:30 ADJOURN
.S. GOVERNMENT PRINTING OFFICE: 1973-546-309/52
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