United States
Environmental Protection
Agency
Washington, D.C. 20460
Office of Solid Waste and
Emergency Response (5101)
EPA500-R-99-001
January 1999
A Sustainable Brownfields Model Framework
Sustainable Redevelopment
Linking the Community and Business for a Brighter Future
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A SUSTAINABLE BROWNFIELDS MODEL
FRAMEWORK
January 1999
Contract No. 68-W7-0060
Prepared by:
Platinum International, Inc.
5350 Shawnee Road, Suite 200
Alexandria, VA 22312
Prepared for:
U.S. Environmental Protection Agency
Office of Solid Waste and Emergency Response
Outreach and Special Projects Staff
Washington, D.C.
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EXECUTIVE SUMMARY
This report is based on the premise that successful
Brownfields redevelopment can also be ecologically,
economically, and socially sustainable. The nature, context,
and perspective of the challenges confronting Brownfields practitioners demand
this new approach. By integrating the concepts of sustainable development,
community involvement, risk management, and collaborative project teams with
Brownfields redevelopment, Brownfields redevelopers can avoid re-creating
Brownfields and continuing their legacy. Ideally, sustainable Brownfields
redevelopment can be achieved - but only by those communities that are
committed to considering and including the elements of sustainability into local
Brownfields project operations.
Until now, the factors upon which the viability of redeveloped Brownfields
projects depend have neither been adequately defined nor characterized in
models that can be used by the EPA to assess and support Brownfields
environmental restoration and economic development over an extended time
period. The complexity of a Brownfields project, as evident by the number of
different ways the process has been characterized, the realm of particular
variations in the nature of a site and how the process can be approached and
performed, poses a significant challenge to the development of a model
framework that can represent the full range of possible projects.
The purpose of this study is to integrate the concept of sustainable development
into the Brownfields redevelopment process. The effort is intended to organize
and associate those parameters, elements, and characteristics of a sustainable
January 1999
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EXECUTIVE SUMMARY
approach with the operational context of a Brownfields project. The result is a
model framework that outlines the process and thereby contributes to the
understanding and tools of those pursuing sustainable Brownfields
redevelopment.
This study has been divided into two parts. The first, published by the U.S.
Environmental Protection Agency (EPA) in July of 1998 as "Characteristics of
Sustainable Brownfields Projects," addressed the development of background
information on the concept of sustainability in order to isolate key parameters,
elements, and characteristics of a sustainable development project that could be
associated with and are indicative of successful Brownfields redevelopment. The
second part of the study, represented here, organizes these ten key elements
(highlighted in Table ES-1 below) and their respective characteristics into a
model framework based on where and how they may be applied within the six
major phases (see Table ES-2) defined for the Brownfields redevelopment
process. This approach emphasizes the incorporation of the principles of
sustainability into the redevelopment process.
The general approach taken to the development of the model framework is that of a
standard modeling process. Initially, the purpose and objectives of the model
framework are identified along with the potentially affected components of the
processes and systems involved. The context in which the model framework
operates is also defined. From this framework, the type of model to be developed is
determined, and the identification and definition of the primary elements to be
included in the model can proceed.
The scope of this study and the limited available information on actual
completed projects constrained the extent to which the model framework could
be validated or verified. However, a comparison of the framework with the
structural elements of other models of sustainability provides a method for
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EXECUTIVE SUMMARY
substantiating the validity of the component elements defined for the
Brownfields model framework.
Table ES-1: Summary of Key Elements Associated with Sustainable Brownfields Redevelopment
Elements
Community Profiling
Effect on Sustainable Brownfields Redevelopment
Sets the foundation for project decisions and future growth.
Comprehensive Community Involves community participants and stakeholders in creating a
Planning common vision and goals.
Organizational Focus and
Structure
Site Identification and
Characterization
Risk Management and
Restoration
Legal/Regulatory Issues
Site Marketing and
Redevelopment
Technology Applications
Project Funding and Finance
Environmental Justice
Integrates the project into the local political and administrative setting.
Reduces risks associated with financing and marketing.
Addresses fear and misconception by clarifying uncertainty and
balancing cost with benefit.
Prescribes requirements for property transfer and utilization, and
defines liabilities of owners, operators, lenders, buyers, and municipal
government.
Highlights the importance of balancing social, economic and ecological
factors in land use decisions.
Increases cost efficiency and quality of life as new technologies are
developed and integrated.
Provides the basis to initiate and continue projects until market forces
take over.
Ensures equitable costs and benefits across all sectors of the
community.
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EXECUTIVE SUMMARY
Table ES-2: Major Phases or Events of a Brownfields Redevelopment Project
Event
Primary Characteristic (s)
Initiation
Planning
Evaluation
Begins with an expression of interest or concern for the actual or potential
existence of Brownfields and represents the beginning of a continual
commitment to improvement among project stakeholders.
Represents an effort to conceptualize and implement the project while
maintaining flexibility that allows the project to evolve throughout the process.
Systematically examines events and conditions and their relationship to community
values and goals to establish the project's direction, priority for action, and resource
commitment.
Staging
Focuses on negotiated agreements for proposed site plans, financing,
ownership, risk allocation and indemnification, as well as any required
institutional controls.
Implementation
Marks the actual onset of physical activity at the site; finalizes and incorporates
stakeholder decisions and agreements regarding cleanup, risk management,
proposed reuse, and funding in order to undertake the selected project
alternative.
Synthesis Continues the collaborative effort and commitment to adapt and refine the
project to future needs by integrating the project into the ongoing fabric of
community life.
In addition to the review of conceptual models, the study also uses two actual
cases from on-going Brownfields projects (the Oregon Mill Sites project that is
rural in character, and the City of Baltimore, MD, an urbanized area) to serve as a
comparison with real-world projects.
The resulting model framework is depicted below in Figure ES-3. The model
framework is based on six major events ranging from the first recognition of the
potential benefit of Brownfields redevelopment through the final integration of
the project into the ongoing life of the community. At each of the six major
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EXECUTIVE SUMMARY
events, elements and characteristics that contribute to the ultimate sustainability
of the project are identified. Milestones define the movement of the process
through the various event stages.
This model framework is intended to serve as a guide to assist municipalities and
other Brownfields practitioners in structuring the planning and development
process. It also serves to structure subsequent efforts directed toward identifying
those factors on which the viability and sustainability of a Brownfields
redevelopment effort depend. The features described in this model framework
also provide EPA with an additional basis for the organization and evaluation of
Pilot Project results in order to assist in the development of predictive criteria for
the success of individual Brownfields Pilot Projects.
The study found that a single model framework can be broad enough to include
multiple contexts of Brownfields redevelopment projects ranging from single to
multi-site and urban to rural scales. In fact, the primary differences between
urban and rural projects are mainly details in the infrastructure and resources
locally available that apply to the project. These differences can be minimized in
their influence depending on how the project is approached and how the process
is implemented within the overall model framework.
Another important finding is that the ability to incorporate the concepts of
sustainability into the project is a natural extension of the project and can actually
help facilitate many activities involved in the process. This finding is contrary to
concerns raised by project officials interviewed during this study who feared the
addition of requirements for sustainable development would impose another
layer of obstacles to burden the process.
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EXECUTIVE SUMMARY
Figure ES.3: Model Framework for a Sustainable Brownfields Redevelopment Process
V
V
V
V
y
Project Initiation
it
i
r
Planning
^
i
r
Evaluation
i
r
Staging
i
r
Implementation
IK
i
r
Synthesis
Parameters
| Charact
Parameters
| Element
Parameters
| Elements
1 Charact
Parameters
| Element
| Charact
Parameters
| Element
| Charact
Parameters
Sample Milestones
V Conceptualize Approach and Goals.
V Develop Site Design and Remediation Strategy.
V Refine Strategy for Site Redevelopment.
Stakeholder Input Evaluated and
Incorporated.
V Finalize Agreements on Insurance and
Indemnification, etc.
Acceptance by All Parties.
V Complete of Remediation.
Onset of New Construction.
Site Operation.
V Integrate into Community
Retention of Service and Value to Future
Generations.
| Characteristic-
Parameters, Elements and Characteristics
Parameters:
* Economic
» Social
* Ecological
Elements:
Community Profile.
Comprehensive Community Planning.
Organization Focus and Structure.
Site Identification, Characterization and
Prioritization.
Risk Management.
Legal/Regulatory.
Site Marketing and Redevelopment.
Technology Applications.
Project Funding/Finance.
Environmental Justice.
Characteristics:
^ Refer to Figure 4.3 - Matrix of Parameters,
Elements and Characteristics
The study identified several other important factors. A sustainable Brownfields
redevelopment:
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EXECUTIVE SUMMARY
Recognizes that the social structure, economy, and the natural environment
of a community, rather than being discrete and separate entities, are
interconnected in fundamental and critical ways;
Does not reflect a standard set of sustainability criteria universal for all
projects, but rather that sustainability depends on the changing community
attitudes, values, demographics, ecological health and economic trends which
together comprise the quality of life desired by a community;
Must be planned, coordinated at the local level of government, and
integrated into a community-wide strategic planning approach;
Maintains flexibility to promote creative financing and acceptable risk
management practices so as not to be dependent solely on market forces;
Assures public involvement throughout the process to foster equity among
all community groups;
Makes maximum use of new and innovative technological applications for
resource conservation, materials reuse, information availability, and public
safety and mobility;
Contributes to community efforts that link the past, present, and future in
order to create a sense of place and belonging that promotes individual pride
and accountability for future project outcomes; and,
Establishes a means for continuous learning and improvement to help
prevent Brownfields in the future.
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EXECUTIVE SUMMARY
Finally, the study offers the following four recommendations that will help
contribute to the ability to predict and promote sustainable Brownfields
redevelopment projects in the future:
^ Include measurable factors for sustainability as key components of all future
projects and formally incorporate them into project reporting requirements;
^ Develop a comprehensive set of activities, milestones, elements,
characteristics, and indicators by reviewing the broadest possible set of EPA
Demonstration Pilot Projects and other Brownfields related projects;
^ Analyze privately funded Brownfields projects to identify variations in
approach and content that may be useful in developing new projects; and,
^ Re-evaluate sustainable Brownfields projects every few years to identify
cause-and-effect relationships to particular outcomes of the process.
This study represents an initial attempt to identify and examine the factors that
contribute to the viability of Brownfields redevelopment projects. Its goal is to
develop a model framework that can ultimately be used in assessing and guiding
Brownfields environmental restoration and economic development over an
extended time period.
The development of this preliminary model framework indicates a high degree of
correlation between the types of activities that people are already performing on
Brownfields sites and the elements of sustainable development associated with
Brownfields projects. This supports the one over-arching concept regarding the
pursuit of sustainable Brownfields redevelopment: What is ultimately sustainable
is what makes the most sense for a community's future.
viii January 1999
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TABLE OF CONTENTS
EXECUTIVE SUMMARY i
TABLE OF CONTENTS ix
LIST OF TABLES & FIGURES xi
1.0 INTRODUCTION 1
1.1 THE BROWNFIELDS CONTEXT 1
1.2 PURPOSE AND SCOPE OF THIS PHASE OF THE PROJECT 4
2.0 TECHNICAL APPROACH 7
2.1 ANALYTICAL DESIGN AND APPLICATION OF THE MODEL FRAMEWORK 7
2.2 SCALE OF THE MODEL FRAMEWORK 10
2.3 ANALYTICAL LIMITATIONS AND CONTROLLING ASSUMPTIONS 11
3.0 OVERVIEW OF SUSTAINABLE BROWNFIELDS REDEVELOPMENT 13
3.1 THE CONCEPT OF SUSTAINABLE DEVELOPMENT 14
3.2 BROWNFIELDS HISTORICAL OVERVIEW 18
4.0 MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT 21
4.1 THE URBAN VS. RURAL DISTINCTION 24
4.2 THE PARAMETERS, ELEMENTS, AND CHARACTERISTICS (PECS) OF SUSTAINABLE
BROWNFIELDS REDEVELOPMENT 31
4.3 THE BROWNFIELDS REDEVELOPMENT PROCESS 52
4.4 INTEGRATING THE PARAMETERS, ELEMENTS, AND CHARACTERISTICS (PECS) AND
THE BROWNFIELDS REDEVELOPMENT PROCESS 74
5.0 CONFIRMATION OF MODEL FRAMEWORKS 89
5.1 COMPARATIVE MODELS 91
5.2 COMPARISON TO ACTUAL BROWNFIELDS COMMUNITY PROJECTS 95
6.0 CONCLUSION AND RECOMMENDATIONS 109
6.1 APPLICATION OF THE MODEL FRAMEWORK Ill
6.2 RECOMMENDATIONS 112
REFERENCES 115
APPENDIX A - LIST OF ACRONYMS 117
APPENDIX B - GLOSSARY OF TERMS 119
APPENDIX C - MODELS OF SUSTAINABLE DEVELOPMENT 125
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TABLE OF CONTENTS
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LIST OF TABLES AND FIGURES
Figure ES-1 Summary of Key Elements Associated with Sustainable Brownfields
Redevelopment
Figure ES-2 Major Phases or Events of a Brownfields Redevelopment Project
Figure ES-3 Model Framework for a Sustainable Brownfields Redevelopment Process
Figure 2.1 The Analytical Approach
Figure 4.1 The Brownfields Redevelopment Process
Figure 4.2 Model Framework for a Sustainable Brownfields Redevelopment Process
Figure 4.3 Matrix of Integrated Parameters, Elements, and Characteristics and Brownfields
Processes
Figure 5.1 Matrix of Comparable Development Models
xi
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LIST OF TABLES AND FIGURES
xii January 1999
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CHAPTER ONE
INTRODUCTION
INTRODUCTION
^ Brownfields Context
^ Purpose and Scope
Contemporary American communities are a physical
representation of the history of economic and social
development in the United States. These communities are
the result of attempts to resolve problems emerging from the industrial growth
and geographic expansion of the 19th and 20th centuries. The solutions have
created architectural designs and social patterns that are specific to the temporal,
physical and social context of the communities in which they were created. But,
in many cases, this context has changed. What was once a solution, is today the
source for a new set of economic development, public health, environmental
quality, and land use concerns.
Changes in the way in which goods and services are produced, as well as the
transition from a national to a world-based economy, have created a new
economic environment for contemporary urban and rural communities. The
demographic shift of the nation's population from the northeast and north
central regions to the south and west, as well as a more local shift in economic
activity from urban areas to suburban areas, have also contributed to this
changing context. The result is an overall decline in the economic and social
infrastructure of many communities, and a corresponding legacy of economically
unproductive, abandoned or underutilized industrial sites.
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CHAPTER ONE
INTRODUCTION
In addition to impediments to development presented by the prevailing
economic and social conditions, many sites are also burdened with an assortment
of environmental problems. The actual or perceived presence of hazardous
wastes or other pollutants further complicates the effective reuse of these sites.
These properties have come to be known as Brownfields — abandoned, idled or
underused industrial and commercial facilities, where expansion or
redevelopment is complicated by real or perceived environmental contamination
(Fields, 1995).
Along with the creation of Brownfields sites, communities have experienced a
growing loss of greenspace as land development spreads into the urban fringe; a
decrease in the level of investment in the urban center; a diminishing
employment and tax base within the core community; and, increased cost to local
governments for associated infrastructure development. However, as the
potential benefits of restoration and redevelopment are realized, Brownfields
sites are increasingly being understood as an opportunity or resource. Growing
public interest in Brownfields redevelopment centers around such core issues as:
environmental clean-up and restoration of specific sites; job creation and
retention in the local community; attraction or creation of new, compatible
business or commercial interests; retention of the existing business base; and the
broadest possible involvement of the public in planning, decision-making, and
implementation. Through cooperative effort among stakeholders, many of these
Brownfields sites are being redeveloped into facilities that support both the
immediate neighborhood and the community as a whole.
As a result, Brownfields redevelopment, in addition to benefiting human health
and the environment by the restoration of once-contaminated properties to
productive uses, can also become an essential component of the economic and
social revitalization of the community itself. Communities are beginning to
recognize that a combination of historic processes (both economic and social, as
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CHAPTER ONE
INTRODUCTION
well as environmental) is responsible for the loss of potentially valuable and
productive properties and the creation of Brownfields sites. This has led many
communities to look for more sustainable alternatives as opposed to the
traditional or conventional approaches that have been characteristic of past
development practice.
The sustainable development perspective recognizes that the social structure,
economy, and natural environment of a community, rather than being discrete
and separate entities, are interconnected in fundamental and critical ways. The
incorporation of sustainability into the Brownfields redevelopment process is an
important mechanism for ensuring not only the restoration and reuse of existing
Brownfields properties, but also that previous cycles of decay and abandonment
are not repeated.
But, sustainable development must be planned. It does not happen by accident
or without specific direction from the planning process. Market forces alone
cannot achieve the integration of environmental, social, and economic concerns
that are necessary. Of particular importance is the integration of such diverse
factors as natural resources management, urban economic process, social issues,
economic mobility and accessibility, land use planning, urban development and
preservation of cultural heritage (European Community, 1998).
Similarly, a Brownfields redevelopment cannot depend solely on the processes of
the marketplace to deal with abandoned or underutilized properties. The market
cannot always assure that what is rational and attractive to the developer will also
be beneficial to the community, or that building what people want is a natural
function of the market system. As McMahon (1997) notes, despite a concern for
the increase in sprawl development and subsequent loss of greenspace,
developers are still inclined to ignore opportunities for high quality infill
development in the city and concentrate their efforts on the fringe.
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CHAPTER ONE
INTRODUCTION
For Brownfields redevelopment, what is required is a planned, comprehensive
and concerted approach (Jones, 1998). This approach recognizes the needs of
the local community and provides incentives to potential developers to stimulate
the kinds of development that will meet those needs. The planned development
has a greater potential to be successful in the long term (sustainable) than one
that relies only on the immediacy of market demand as the basis of planning and
decision making.
The purpose of this study is to integrate the concept of sustainable development
into the Brownfields redevelopment process. The effort is intended to identify
and categorize those components of a sustainable approach that can also be
associated with a Brownfields redevelopment project; and that can be used to
differentiate it from more traditional redevelopment efforts. The objective is to
outline these elements in a model framework for sustainable Brownfields
redevelopment.
This study is divided into two parts. The first, published by the U.S.
Environmental Protection Agency (EPA) in July of 1998 as "Characteristics of
Sustainable Brownfields Projects," addressed the development of background
information on the concept of sustainability in order to isolate key parameters,
elements, and characteristics of a sustainable development project that could be
associated with and are indicative of successful Brownfields redevelopment.
The second part of the study, represented here, organizes these parameters,
elements and characteristics into a model framework that can serve to inform
and guide the process of Brownfields redevelopment in a manner that
emphasizes the incorporation of the principles of sustainability into this process.
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CHAPTER ONE
INTRODUCTION
This framework is intended to serve as a guide to assist municipalities and other
governmental entities in structuring the planning and development process, and
to inform subsequent research efforts directed toward identifying those factors
on which the viability and sustainability of a Brownfields redevelopment effort
depend. The model framework also provides EPA with an additional basis for
the organization and evaluation of demonstration project results in order to assist
in the development of predictive criteria for the success of individual
Brownfields projects.
The scope of this study and the limited available information on actual
completed projects constrained the extent to which the model framework could
be validated or verified. However, a comparison of the framework with the
structural elements of other models of sustainability provides a method for
substantiating the validity of the component elements defined for the
Brownfields model framework.
This introduction establishes the context and purpose for the model framework
to be developed in the subsequent sections. In Chapter Two, the general
approach and criteria for the development of the model framework are discussed
along with the assumptions on which the model framework is based. A review
of the basic elements of the concept of sustainable development and an overview
of the Brownfields redevelopment process are presented in Chapter Three.
Chapter Four discusses the difference between urban and rural projects, then
presents the model framework itself including the elements and characteristics
identified with sustainability and the Brownfields redevelopment process.
To provide a comparison of the model framework against the experience of
existing theoretical and real world project perspectives, Chapter Five contrasts
the major themes of the model framework with four existing sustainable
development models, and with two actual Brownfields efforts that have been
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CHAPTER ONE
INTRODUCTION
completed. A summary of the key principles that are relevant to the application
of the model framework is provided in Chapter Six, including recommendations
for future research to support the model development effort that have emerged
from this study.
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CHAPTER TWO
TECHNICAL APPROACH
2.0 Technical Approach
TECHNICAL
APPROACH
Design and Application
Model Framework Scale
Analytical Limitations
This report is designed to analytically construct a conceptual
model framework of sustainability as it relates to the
Brownfields redevelopment effort. The model outline is
intended both to inform communities engaged in the Brownfields
redevelopment effort of those aspects of the project that may contribute to its
overall sustainability, and to serve as the precursor of more detailed and focused
models that may be developed in the future, as the experience of individual
Brownfields projects unfolds.
The material presented here is intended to act as a planning aid for the
implementation of a Brownfields redevelopment project; but it does not define
or support a single, specific procedure. Individual development projects will be
unique to the communities in which they are initiated. At the project level, this
model outline will be further enhanced or refined as each community identifies
the specific processes it will follow in the Brownfields redevelopment process.
2.1 Analytical Design and Application of the Model
Framework
The approach to development of this model framework is designed around two
specific objectives. In Part 1 of the study (EPA, 1998), the objective was to
collect and organize background information to support the analysis of
sustainable Brownfields redevelopment and the development of the model
framework. Of concern was the manner in which the concept of sustainability
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CHAPTER TWO
TECHNICAL APPROACH
and the associated process of sustainable development have been described and
understood both in the literature and in the general perception of what is
sustainable on the part of Brownfields participants and the public at large. The
outcome was the description of parameters, elements and characteristics (PECs)
that are associated with sustainable Brownfields projects.
Another area of inquiry was centered on the characterization of the Brownfields
process itself. This effort was concentrated on those structures, activities and
issues (i.e. assessment, restoration, reuse and remediation), that are common to
the process in differing contexts and that serve to distinguish the redevelopment
of a contaminated property from other forms of real estate or community
economic development. A major emphasis was the identification of the key
events and factors that occur in Brownfields redevelopment projects and the
assessment of how those events and factors are associated with successful
environmental restoration and the economic redevelopment of affected
communities.
The second part of this study is the development of a model outline or
framework. The model framework is created by integrating the events and
factors that constitute a successful Brownfields redevelopment process with the
three parameters and ten key elements that contribute to the sustainability of a
Brownfields project. Each of the ten elements is described in terms of those
characteristics that could be specifically associated with sustainability. The
analytical process employed to integrate these variables is shown in Figure 2.1.
The model framework, once constructed, is compared against four other
development models that contained the concept of sustainability as their primary
focus. It is also compared against two actual projects; one rural in character, the other
from an urbanized area. Although this comparison is not sufficient to establish a
rigorous validation of the framework, it is made to assure that there is an association
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CHAPTER TWO
TECHNICAL APPROACH
between the model framework, the analytically derived concepts of what is
sustainable, and the real world practice of Brownfields redevelopment.
Figure 2.1: The Analytical Approach
Assessment
Remediation
Restoration
Reuse
Brownfields Redevelopment
Ecology
Economy
Society
Sustainable Development
Community Profile
Comprehensive Community Planning
Organization Focus and Structure
Site Identification, Characterization and
Prioritization
Risk Management
Legal/Regulatory
Site Marketing and Redevelopment
Technology Applications
Project Funding/Finance
Environmental Justice
10 Key Elements Associated with Sustainability
Sustainable Brownfields Development
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CHAPTER TWO
TECHNICAL APPROACH
A comparison with the structural elements of other models of sustainability provides
a method for substantiating the validity of the component elements defined for the
Brownfields model framework presented here.
Several additional factors are also considered as relevant to the study approach.
The model framework design incorporates existing theory or ideas related to
planning and sustainable development. It is a representation of those aspects of
the process that are considered significant, and that can be affected or controlled
by the project participants. To the extent possible, the model framework allows
for the uncertainties inherent in the redevelopment process and recognizes their
influence in the decision making process
The implications of scale are important to the approach used in the development
of this model framework. The literature on sustainable development represents
multiple and varied positions with respect to the relationship of scale differences
to the sustainability of a redevelopment effort and in particular to the
Brownfields effort. Scale is primarily categorized into large-scale projects such
as regions and densely populated urban areas, and small-scale projects such as
those in rural areas, small communities, and towns. This would initially appear to
support a primary distinction between urban and rural projects in the
development of the model framework.
Scale, however, may be better characterized by estimating the potential effect of
the development and determining where these effects will be experienced (e.g.,
affected populations and ecosytems). Scale considerations may be influenced by
the size of the affected community, as well as by the size of the development
project itself. They may include such factors as the availability of community
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CHAPTER TWO
TECHNICAL APPROACH
resources; the extent of any affected ecosystems, watersheds, and specific
habitats; and any political, geographic or cultural considerations. As a result, the
distinction between rural and urban may not be the most useful for the
development of the Brownfields model framework.
For this reason, the model framework developed here will be structured to
address the question of sustainability generically across all communities. Where
distinctions based on scope are considered important, they are presented
individually in the context of the particular element or element characteristic to
which they are relevant. The result is a single model framework that addresses
the component elements of sustainability without regard to distinction between
rural and urban projects.
In order to construct the model framework proposed here, it is necessary to note
certain controlling assumptions that influence its development.
The perspective employed here emphasizes the construction of a Brownfields
model framework that considers sustainability as an integral value of the
development process. Because of the complexity of the component processes
that govern sustainability and their intricate interconnections to the external
environment, it is difficult to determine that the outcome of a project will be
sustainable over time. By incorporating concepts and practices associated with a
sustainable development process, the model framework contributes to the
potential sustainability of the outcome, but does not ensure, by itself, that the
outcome will be absolutely sustainable.
In addition, although a number of characteristics are associated with the
sustainability of a project, they are evaluated only in terms of their presence or
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CHAPTER TWO
TECHNICAL APPROACH
absence from the overall project. The level of success achieved, the skill with
which project participants have carried out a particular project, and the affect
that priorities, timeframes and delays associated with various activities have on
sustainability, have not been included as variables under consideration in this
study.
Because the individual communities involved in Brownfields redevelopment
cannot be isolated from the influences of the larger socioeconomic structure of
American society and its larger ecological context, certain macro-structural
variables may also influence the development of sustainability. In defining
sustainability at the community level and subsequently at the project level, this
study assumes that all other extraneous variables are held constant in order to
identify specifically those variables that may be under the influence and control
of Brownfields project participants.
Further, for the purposes of this study, sustainable Brownfields redevelopment
has been defined as redevelopment and growth maintained over the long-term
and occurring within the limits of the environment so that the current needs of
citizens are met without compromising the ability of future generations to meet
theirs (EPA, 1998). However, the degree to which projects impact the limits of
their environment or may impair the abilities of future generations is difficult to
evaluate in the present context. This is because the ultimate outcome of these
projects is not yet known. Therefore, an empirical basis for direct correlation of
subject projects with the defined criteria for sustainable Brownfields
redevelopment is not possible. Instead, it is assumed that a direct or indirect
association of the elements and characteristics of Brownfields redevelopment
with the theoretical principles and factors of sustainability and sustainable
development at the community and project levels can serve as a reasonable basis
for analyzing the potential for sustainability of any given project.
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CHAPTER THREE
OVERVIEW OF SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
3.0 Overview of Sustainable
Brownfields Redevelopment
OVERVIEW
Concept of Sustainable
Development
Historical Overview
In one sense, a Brownfields redevelopment project appears much
like any other redevelopment project and embodies many of the
same requirements from stakeholders and participants. But, the
unique character of the Brownfields redevelopment effort - defined by the
presence, or perceived presence, of hazardous substances, the associated
ecological and economic risks, and the unique partnership between public,
private, and community resources - distinguishes it from other, more
conventional, development initiatives.
Once implemented, the Brownfields process becomes connected to an extensive
and complex structure of economic, ecological, and social systems, all of which
influence not only what can be done with a specific property, but also how
sustainable the outcome will be. The Brownfields redevelopment process also
represents a unique combination of stakeholder interests, technical skills,
planning theory, public policy and program management techniques.
Distinguishing Features of Brownfields Redevelopment
• Real or perceived presence of hazardous materials or pollutants.
• Unique combination of public and private initiatives.
• Community participation in all levels of planning and decision making.
• Human health, environmental, and economic risk management.
• Legal and regulatory requirements (environmental liability, zoning, covenants).
• Environmental justice issues.
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BROWNFIELDS REDEVELOPMENT
The principle objectives of the EPA's Brownfields Initiative are to encourage
states, communities, tribes, and other stakeholders in economic redevelopment
to work to prevent, assess, safely remediate, and sustainably reuse Brownfields;
and to rectify concomitant environmental inequalities and human health impacts
that have evolved over time (EPA, 1997). For the purposes of the development
of the model framework proposed here, a sustainable Brownfields
redevelopment project is defined as one in which redevelopment and growth are
maintained over the long term and occur within the limits of the environment so
that the current needs of citizens are met without compromising the ability of
future generations to meet their needs (EPA, 1998).
Although there are a number of ways in which to represent or define the concept
of sustainability, one of its elemental features is a recognition of the relationship
between the environment and the economy. All economic activity requires that
materials and energy be drawn from the environment. Conversely, these
materials are returned to the environment again in the form of waste products
that are the by-products of both production and consumption. The result is the
evolution of a system that is adapted to the way in which resources are
appropriated and consumed.
The relationship between environment and economy is therefore established in a
manner in which the economy, defined by patterns of production, distribution,
and consumption, functions essentially as a subsystem of the ecological system.
The environment, in turn, supports the economy and, by extension, the social
structure through the provision of necessary resources and the acceptance of
wastes. Sustainability is defined in the context of this relationship.
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The systems on which current economic development is based have evolved in a
manner that is adapted to this context. Sustainability, however, requires a new
mechanism for examining the economic and social reality which future
development will be based. In order to alter the pattern of development, it is
also necessary to change the conventional way of viewing the socioeconomic
world in favor of a more sustainable approach. This approach, in addition to
considering the standard economic inputs of land, labor and capital, expands to
include the natural environment, in its entirety, as well as human capital, social
capital, manufactured capital, and credit capital as additional forms of wealth that
are both created and depleted by economic processes.
This concept departs from previous conceptions of economic development and
requires changes in the manner in which development is planned, the
organization of the social mechanisms that control and implement planning, and
the role of the community in the planning process. In this manner, the elements
of a sustainable approach can be differentiated from more traditional
approaches. This distinction can be characterized as a shift from the old
paradigm of community economic development to a new more sustainable
approach (Schaffer, 1995).
The old paradigm assumes that:
• growth is more of the same;
• the benefits of growth will naturally trickle down and out to others;
• technological change is always good and will solve most problems;
• externalities of space, time and class are typically of minor concern and will
likely take care of themselves; and
• socioeconomic-biological elements are largely independent, or can be
treated as such.
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In contrast to the old paradigm, the new development paradigm assumes that:
• development is a long-term transformation;
• benefits of growth require conscious policy efforts to ensure equity;
• technological change is only one of many possible solutions, and may not be
the best solution;
• externalities of space, time and social groups must be explicitly considered;
• dynamic economies create new choices, reframe issues, and change
perceptions of markets, resources and value; and
• socioeconomic-biological elements are so interdependent that failure to
consider linkages creates problems.
During the first part of this study (EPA, 1998), several key parameters and
elements of sustainability were identified. Sustainability, itself, is a function of
what activity is carried out; who performs the activity and how many performers
there are; the manner in which the activity is carried out; the level of material
consumption incorporated as a part of the activity; the potential environmental
damage associated with production or consumption of the associated material;
when and where the activity is performed; and who benefits from the activity. In
this sense, sustainable development refers both to the process by which a
sustainable outcome is achieved and to the sustainable outcome itself. In order
to be sustainable, a process must consider the three systems associated with
ecology, economy, and society, as component parameters.
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Key Elements of Sustainability
Implies protection and maintenance of the economic, social and ecological
systems of the community.
Is considered as a process in which decisions and trade-offs occur between
perceived requirements of present and future generations, and the potential
for damage or destruction of the environment.
Is a normative concept in that both the requirements of the social system and
how those requirements are to be met within the parameters of a sustainable
redevelopment are considered.
Is an evolutionary process requiring multiple iterations in order to achieve a
balance between the three dominant parameters, social, economic, and
ecological, as well as considerations for human health.
Is context dependent in that it is determined by factors that are unique to the
individual interests, needs, and culture of the community.
Relates to the manner in which growth and development are accomplished as
well as to the ultimate outcome.
Requires emphasis on new structures and approaches, including changes in
the overall paradigm of community planning and economic development.
Sustainable development then, requires that a development project operate
within limits, or boundaries prescribed by the requirements of the human social
system and the ecological systems which surround and support it. All of the
economic forces associated with the market system continue to function, but
they function within defined constraints and, in many cases, require supports or
incentives defined by the public sector. These constraints act both to limit
uncertainty with respect to the impact of the development on the environment
and to influence development that is socially beneficial, will address social needs,
and can be supported by prevailing social patterns as perceived for the present
and anticipated in the future.
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The process of determining which variables will be defined as those representing
sustainability for any specific community is a social process and will be specific
to the perceived goals and requirements of individual communities. What is
sustainable under one set of circumstances, will not be under others. Similarly,
the selection of appropriate indicators of these variables and the subsequent
threshold, or limiting values associated with these indicators becomes an element
of the sustainable development process that is, for the most part, also outside the
range of a standardized model of development
Brownfields sites are not just remnants of contaminated lands that have scared
off developers and investors, but, as with any other social event or issue, are the
result of the interplay of multiple and complex processes and events, many of
which are outside the control of the community and may have little or no direct
connection to a particular site. These patterns develop over time and may
include external events, such as changes in the national economy, or locally based
issues such as the decline of a particular neighborhood or section of a city.
Some of the factors (Fellow, 1998) which may be important to the formation of
Brownfields include:
• A demographic shift away from the city to the suburbs and urban fringe
areas;
• Expanded transportation networks - throughways and highways built in post
World War II America that almost entirely by-pass the inner city and provide
little incentive to develop there, contributing to suburban sprawl growth;
• A regional shift of economic production and population centers within the
United States that limits or restricts investment in the older industrial cities
and towns of the northeast.
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• A global change in the technology of post-industrial economic production
that renders much of the early 20th century development obsolete, particularly
with respect to electronic communications.
• The rising global competition from trans-national corporations and their
increasing drive to cut costs, maximize profits, and increase capital mobility -
all of which are antithetical to attracting and maintaining economic enterprise
and jobs in Brownfields areas, especially in inner city neighborhoods where
socioeconomically disadvantaged residents are unable to follow the flight of
investment capital to the suburban fringe.
These and other social changes have contributed to a general decline of urban
and rural industrial sites in the United States. Community resources and wealth
flow very quickly away from communities where these sites are located and into
areas (usually the growing suburban and urban fringe zones) where there is a
profusion of public and private investment (La More, 1995). Because there are
few institutions remaining in these communities, residents are forced to go
outside the community for necessary or desired goods and services, thus
increasing the flow of capital out of the community and perpetuating the cycle of
deterioration.
The result has been a deterioration of the affected communities and a pattern of
disinvestment in central cities that is increasing and further contributing to the
formation of Brownfields. In order to be successful, the redevelopment of
Brownfields sites, as with any other renewal project, must include a mechanism
to attract investment capital back into these depressed areas.
In addition to the problems caused by the presence or perceived presence of
hazardous materials posed by Brownfields sites, a sustainable model for their
development must also consider the historical context that resulted in the
original abandonment or under-utilization of these sites. To design a plan to
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meet current and future human and ecological needs, it is necessary to
understand social and economic processes not only in isolation at the present,
but also over time as trends within the community. "No program to enhance
sustainability can be considered practical if it does not incorporate such
fundamental knowledge" (Tainter, 1996).
The sustainable redevelopment of Brownfields sites requires recognition that the
impediments to Brownfields redevelopment are not limited to the specific risk
issues associated with environmental clean-up, but also include an array of
community based social and economic issues that contribute to their formation
and may still continue to affect their development. Thus, what causes
Brownfields is the same combination of social, economic, and ecological factors
that, when recognized and addressed, creates the basis for their sustainable
redevelopment.
The integration of sustainability with the Brownfields redevelopment process
represents a true paradigm shift to the extent that it reflects changes in the
manner in which development is planned, the organization of the social
mechanisms that control and implement planning, and the role of the
community in the planning process. Correspondingly, the process of
development itself requires new mechanisms and structures for linking issues,
goals, interests, and organizations into a combined redevelopment effort. A
more detailed discussion of the role of environmental issues in the development
process can be found in "The Effects of Environmental Hazards and Regulation
on Urban Environment" (HUD, 1997).
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4.0 Model Framework for
Sustainable Brownfields
Redevelopment
MODEL
FRAMEWORK
Urban v. Rural
Redevelopment PECs
Redevelopment Process
PECs and Process
Integration
The social world is complex, interconnected, and dynamic.
Urban planning and the design of policies and programs for
sustainable economic development all pose the problem of
dealing with systems in which natural and human factors are thoroughly
intertwined. Systems such as those involved in the Brownfields process must be
understood and managed as dynamic wholes so that changes in current patterns
can be absorbed by the community and system integrity is maintained.
Because of the multiple and varied externalities that influence the process of
development, it is difficult to assure absolutely that the outcome of a single
project will always be sustainable. However, by incorporating the concept of
sustainability into the development process itself, the model framework increases
the probability that the finished development project will contribute to the
overall sustainability of the community as a whole, and will be less likely to
become a Brownfields site again in the future.
For purposes of the model framework outline, the orientation of the sustainable
development effort is on those components of the process itself that contribute
to the sustainability of the outcome. Sustainable development is thus defined as
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an evolutionary process of change in which both the needs of the environment
and the needs of human society are balanced.
The information gathering effort conducted during the first part of this study
(EPA, 1998) indicated several key aspects of sustainability as a process associated
with Brownfields redevelopment. These key aspects are:
• Sustainability tends to be treated either as an abstract concept or in terms of
specific, discrete, and frequently isolated ecological or socioeconomic
indicators.
• The local community's approach to Brownfields redevelopment may include
sustainability as a consideration, but often does not recognize the
sustainability component in all phases of the project.
• Two major break points for the community in the Brownfields
redevelopment effort are the transition from the initial development of
community goals and vision to the formulation of the actual plan; and the
transition from the plan to actual implementation of the project.
• There is a need to connect sustainability to activities that are already part of a
Brownfields project conceptualization, organization and implementation so
that it becomes relevant at the individual project level and that future
Brownfields are avoided.
• There is a requirement for a pragmatic or operational model that is oriented
toward a local "how-to" approach that incorporates sustainability into the
overall Brownfields redevelopment process.
The focus of any development effort is ultimately the improvement of the well
being and quality of life of the affected populations. The requirement for the
development of a sustainable Brownfields model framework is to integrate the
three primary components: ecological remediation; economic development; and
social equity into an overall strategy that emphasizes development within the
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boundaries set by the local communities' resources, and its current and future
goals. In simplified form, the process described can be represented as:
Ecological system
Socioeconomic system
Physical Environment
Cultural Context
Human health
and well-being
There is no simple formula that can be applied mechanically to resolve all
questions associated with complex programmatic issues such as the sustainability
of a Brownfields redevelopment project. As previously noted the number of
variables and the unique character of each individual community preclude the use
of a standard procedure that may be applicable in all situations. However, it is
possible to develop a descriptive model framework of the Brownfields process
that includes and highlights those aspects of the development that may
contribute to its long-term sustainability.
Because the recognition and subsequent emphasis on Brownfields
redevelopment as a part of the overall development strategy of a community is
relatively recent, there is a limited body of successful projects on which to draw
for experience. Each community will find itself in the position of both learning
from the experience of other communities and in many cases becoming the
leader in exploring and communicating complex new ideas to those other
communities.
The development of a model framework to depict how the processes of
sustainability and Brownfields redevelopment relate at the project level must be
broad and conceptual in nature. The model framework for this study is
predicated upon the correlation of the key parameters, elements, and
characteristics (PECs) of sustainability with the major events and milestones
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associated with the Brownfields redevelopment process. The model framework
presented here outlines an abstraction or interpretation of the reality that these
communities experience. As the model framework evolves and becomes more
detailed and sophisticated, it will provide a basis to guide the organization and
coordination of the complex actions required for the Brownfields redevelopment
process.
In this section, the characteristics of Brownfields projects in two contexts, rural
and urban, will be examined to determine their applicability to the model
framework and recommended approaches for their implementation. A review of
the parameters, elements, and characteristics (PECs) of sustainable Brownfields
projects and an overview of the Brownfields redevelopment process at the
operational project level is presented to highlight what contributes to a
sustainable Brownfields project. The components of these two processes are
then integrated to form the actual model framework.
Distinctions based on urban and rural differences do exist between projects.
However, there is some limitation to this distinction. It does not account for the
requirements associated with rural development in unincorporated areas or
regions, such as the isolated mill or plant, as distinguished from those located in
small, incorporated towns. Other projects may include isolated industrial
facilities or processing plants, or various military installations which may be
located close to or may be immediately adjacent to an urban region, but are not
necessarily located in a political jurisdiction that has the resource base or internal
political coordination of service delivery systems to support the required
program.
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These differences do not appear in a uniform or consistent manner at the level at
which the model framework is developed. In many cases, the model framework
elements would be structurally the same for projects without regard to the type
of community or the scale of the project. Variations in project structure and
operation are more likely to respond to local conditions specific to the individual
community rather than being categorically identifiable across communities.
Within the individual communities, certain other distinctions may be more
influential than identity with urban or rural lifestyle. Various parts of large cities
often do not share a common identity, goals, or sense of solidarity with other
parts of the same city. There is an increasing gap between wealthier and poorer
neighborhoods within the same community. In some cases, suburbs or outlying
regions may have more in common (i.e. political, economic, social, and
development interests) with each other and with similar regions of other cities,
than they do with their respective central cities.
The outward sprawl of urbanized areas, as well as technological advances in
agricultural production, increased distribution capabilities, extension of
commuting distances, development of bedroom communities, information
application resources, influx of acreage development, transportation advances,
suburban compaction, economic shifts, functional reclassification and more;
have served to dilute the distinction between urban and rural areas. Many areas
may fit into the classification of one, but may be more associated or reliant on
the other. For example, a small town located hours from a city may see a large
summer population influx because it also serves as a seasonal resort community.
Other small towns may retain constant populations year-round, because they
serve as bedroom communities for commuters escaping city life.
City growth often takes on a rural feel and countenance with acreage
developments and large tracts of open space. In addition, mass market television
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and radio programming and newspaper distribution may influence common
social values in both rural and urban areas. As population grows, distinctions in
values, education, and traditions are muted and the gaps of influence are reduced.
Hence, new definitions and terms such as suburban, edge city, metropolitan area,
and megalopolis are constantly attempting to capture the pace, effect, and
definition of community growth.
The growing inability to distinguish categorically between urban and rural
communities has led to a commonality of styles, systems, economies, and
problems. A sharing of services, amenities, and information between urban and
rural communities has proven feasible and beneficial. Many communities are
finding similarities in these areas despite population size, density, demographics,
and social or industrial differences. Hence, growth-oriented land use initiatives
in these communities are increasingly approached from a broader perspective.
The Regional Approach
A regional approach is a method of coordinating project or program
activities within the context of a region, benefiting the surrounding
communities, and preventing individual jurisdictions from directly
competing with each other for resources and similar projects. A
regional approach is often very beneficial to rural communities,
which differ from urban areas primarily in the extent and diversity of
existing resources and infrastructure. Using regional and state
agencies to coordinate and control projects can help to effectively fill
this gap.
Regional planning agencies function as a voluntary association or
council of local governments under the terms of an inter-local
agreement to provide a forum for coordinating local planning and
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development activities. As an organization of local governments,
these agencies exist to help member governments address problems
that are regional in scope, may cross jurisdictional boundaries, and
could overwhelm the capability of an individual local government.
The agencies bring local government officials together to address
mutual and overlapping concerns in the areas of transportation, solid
and hazardous waste, community and economic growth and
development, air quality, energy, and information management.
Perhaps the most important aspect in the functioning of regional
planning agencies is providing interface among local officials.
Usually these officials feel that their role is limited in scope to their
own jurisdiction. However, many issues cross political boundaries
and have farther-reaching effects.
Regional planning agencies also serve the specific functions of
promoting intergovernmental cooperation, collecting and exchanging
information, coordinating services, planning regional facilities and
programs, providing technical assistance, and advocating local needs
and issues. Under these guidelines, the agencies produce essential
maps, data files and other materials; meet with cities and counties to
identify needs; analyze traffic impacts; prepare comprehensive and
revitalization plans; and much more. Regional planning agencies can
thereby serve to enhance the quality of life and preserve the public
health, safety, and welfare of the citizens in the region.
Communities often perceive themselves as different or more urban
than others and view their problems as place-specific and unique.
Many communities act without considering the effect of their actions
on adjacent, neighboring communities. Regional agencies can
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mitigate these practices by providing a mechanism for the sharing of
data and a forum for interaction among officials.
The need for these regional agencies is becoming more pronounced
as metropolitan areas continue growing, but with fragmented local
control agencies. This leads to a fragmented growth pattern and an
increasing variety of obstacles to redevelopment projects. Problems
are becoming larger and more complex as metropolitan areas become
larger, and urban and rural areas grow together to become more
similar. Officials, investors, and stakeholders need to realize the
mutuality of concern and action needed for a region.
A regional approach is also a valid course for urban or rural
sustainable Brownfields redevelopment. Many Brownfields exist at
least in part because of the competition for similar projects, tax and
other relocation incentives, new growth areas, development of rural
greenfields, and more. As a result, the primary differences between
rural and urban areas are unique to each community and related to
the infrastructure and resources that the respective areas have to
allocate to a specific project.
For example, because many rural community officials are "part-time"
or volunteers, they often lack the time, experience, and technical
knowledge required to address and resolve the unique issues related
to Brownfields sites and their redevelopment. Consequently, these
communities may facilitate projects that are not sustainable in order
to resolve a project quickly, or they may be reluctant to initiate
Brownfields projects due to the perception of the overwhelming
complexity and resource commitment required. Likewise,
developers, investors, stakeholders, and the local public may lack the
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confidence in a rural community needed to address environmental
and financial risks, and thereby support the sustainability of the
project.
A regional collaboration could provide the technical resources and
knowledge needed while maintaining a local agenda. Recognition by
regional, state, or national entities through awards, grants, or other
acclaim programs also promotes confidence in rural community
efforts which can help sustain long term support for Brownfields
projects. The Cape Charles, VA project is one example of a
community that has benefited from such national recognition (EPA,
1998).
Visibility of a project plays a greater role in urban than rural projects
because a greater concentration of people live near the site and may
be more affected by the redevelopment project. As a result, the
community stakeholders seek greater involvement and control of the
project. This demands a greater need and more skillful effort at
consensus building to ensure equitable consideration of all
stakeholder interests and concerns. New Orleans, LA and Boston,
MA are good examples of urban areas with highly visible Brownfields
sites occurring in high density populated areas. Correspondingly,
both communities have very active and involved community
organizations and public stakeholders involved in the redevelopment
process (EPA, 1998).
Urban sites are more vulnerable and closely linked to changes and
influences in the surrounding community matrix, which is typically
less stable than rural areas due to increased population mobility,
growth, and ethnic diversity. Further, urban sites are often small
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parcels of land scattered throughout the community or in a
patchwork within an existing development area. These factors
require tailored approaches not as likely to occur in rural areas. An
example is the State of Rhode Island Pilot Project in which the state
is coordinating the redevelopment of multiple Brownfields sites
within the Woonasquatucket and Blackstone Watersheds, many of
which exist within the urban areas of Providence and other smaller
towns (EPA, 1998).
The values and goals of rural community projects will also differ
markedly from urban projects. Ecological considerations may require
greater priority, the need to provide employment opportunities may
be more immediate, and the redevelopment alternatives may be more
limited due to the skills of the local workforce in rural areas. As a
result, rural communities are more likely to provide special incentives
or to subsidize the necessary infrastructure development to support a
project. These areas may offer lower taxes or other tax incentives,
less restrictive zoning and proffers, and faster processing and
approval of licenses, permits, or other local requirements. Such
efforts need to be closely evaluated for their long-term impacts on a
sustainable project and the surrounding community.
As is evident from these examples, the differences in sustainable Brownfields
redevelopment between urban and rural projects are not in the overall process,
but in how each event of the process and specific considerations of the project
may be approached and implemented. Regardless of the project's location or
classification, successful redevelopment will generally follow the overall process
described later in Section 4.3. The factors that will promote the sustainability of
the project, either urban or rural, are reviewed in the following section.
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Community
Profile
Comprehensive
Community
Planning
Organization
Focus and
Structure
4.2 The Parameters, Elements, and Characteristics (PECs)
of Sustainable Brownfields Redevelopment
The development of the model framework for sustainable Brownfields
redevelopment is supported by the identification and correlation of the key
parameters, elements and characteristics (PECs) associated with successful,
sustainable Brownfields redevelopment. These PECs were characterized on the
basis of a systematic analysis of when, how, and the degree to which the factors
are present and interact to influence the sustainable redevelopment of
Brownfields. They represent a categorical representation of the more salient
features of sustainability as it is related to the Brownfields redevelopment process
at the project level. Each category can also be addressed, in essence, as a process
unto itself.
The result is the set of ten key elements defined in this section and presented as
sub-processes of the overall sustainable Brownfields redevelopment process.
This compilation of key elements and characteristics however, should not be
considered as all-inclusive or final. Rather, it is a dynamically evolving list that
will change as more Brownfields projects mature and additional experience is
acquired.
Site Identification,
Characterization and
Prioritization
Risk
Management
Legal/Regulatory
Site Marketing
and
Redevelopment
Technology
Applications
Project Funding/
Finance
Environmental
Justice
4.2.1 Community Profile
Community profiling is the critical process through which a community develops
self-knowledge of its social and economic history, its culture and collective
character, its current composition, community assets, and the physical, biological
and functional attributes of the natural ecosystem(s) with which its members
interact. The profile sets the context in which the proposed redevelopment will
take place.
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The sustainability of a proposed development depends heavily on the degree of
"fit" between the intended future uses of the site and the community's
understanding of itself, its quality of life standards and its projected goals for the
future. In addition to providing critical decision support information to
community leaders, planners, other public officials, and the community as a
whole, the community profile also provides potential property developers with a
guide to assist in the preparation of their proposals. It further serves as a basis
for interpreting and evaluating the effect of those proposals and establishing a
degree of community control over the project outcome.
Key characteristics of the community profiling process include:
• Developing a comprehensive environmental baseline inventory that includes
natural and biological resources, pollution sources, and potential areas of
contamination.
• Estimating limits of natural resource consumption use and loss based on
historical patterns.
• Identifying significant landscape features, physical assets, sensitive habitats,
endangered and keystone species, and unique areas to be protected.
• Associating ecological assets with community values.
• Defining the demographic composition and general character of a
community.
• Developing a general understanding of sociocultural conditions that
contribute to community stability or instability, family cohesion, crime, and
social institutions.
• Recognizing and understanding what features make the community
attractive.
• Describing and preserving significant archeological and historical resources.
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Identifying the degree to which the community has established a sense of
self-reliance and developed external linkages that strengthen its ties to the
outside world.
Characterizing of the economic basis of the community.
Assessing the formation of social capital in the form of the skill, education
level, and availability of the potential workforce.
Assessing the existing and potential, future climate for investment both
within the community and in the larger society.
4.2.2 Comprehensive Community Planning
The primary goal of a comprehensive approach to community planning is to
integrate the Brownfields redevelopment process into a larger community
development plan. The process of development is a public process and
correspondingly, the planning of that process must include not only narrow
sections of the public interest, but also a response to the community's larger
needs.
The focus of community planning is the planning process itself, rather than any
single, specific outcome. It is through the planning process that community
participants, including individual stakeholders, become involved and committed.
The plan itself evolves as the community's needs change, thus enhancing the
potential sustainability of the plan by maintaining a predictive balance between
needs and services — both in the near-term and long-term future.
The requirements, needs and goals incorporated into the planning process will be
unique and specific to each community. Brownfields program or project based
planning is more likely to make a sustainable contribution to the community if it
takes these specific needs into consideration early in the process and maintains a
community based planning focus throughout the life of the project. The plan is
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also focused on defining who the development is directed to assist, where they
are located and what assets and liabilities of the community are involved.
Because of the number of individual entities, agencies, organizations and areas of
professional expertise involved in a Brownfields redevelopment process, the
comprehensive planning process requires the forging and nurturing of
relationships across several different institutions and agencies. The planning
process therefore becomes a conscious, intended collaboration between private
sector organizations, public agencies and the community as a whole.
One of the more productive strategies incorporated into the planning process is
a revised conception of the role of public agencies in facilitating and supporting
the development process, including the redevelopment of private properties.
The public sector can serve as the stimulus, or catalyst to change in those
situations where private companies would be precluded due to risks, costs, or
market conditions. The nature of the Brownfields process also requires a strong
cooperation between public entities and private developers both in the planning
and implementation stages.
The community can have a number of influences on the Brownfields
redevelopment process. The range of activity includes the formation of
community advisory boards to assist in the development of selection criteria and
the site screening process, as well as the participation of community
representatives in design charrettes to formulate and review the design plans for
proposed facilities, or site uses.
The inclusion of a regional and/or ecosystem perspective in the planning process
affords the benefit of linking the project to a wider base of resources, natural
functions and personnel expertise. This is especially important for rural projects
that have limited organizational resources in the immediate community, but are
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rich in natural resources. A regional model also contributes to the overall
marketability of the area and increases the potential to generate new investment
and business expansion.
Several important socioeconomic and ecological considerations of the planning
process can be identified.
• A comprehensive approach that includes external factors such as changes in
the national economy, and local conditions such as the decay of a particular
neighborhood or region of a city.
• Assessment of carrying capacity not only of the affected ecological area, but
also the ability of the community to support the proposed activity.
• Urban growth boundaries, institutionalized through the planning process,
provide the community with a basis for rejecting development proposals that
are unacceptable, unbalanced, or that exceed the tolerances and limits of
socioeconomic and ecological systems.
• Consideration of surrounding land uses, not only at present, but also in the
foreseeable future.
• Emphasis on a mixed-use environment with pedestrian orientation is
especially appropriate for development in inner city and suburban
neighborhoods.
• Emphasis on economic self-sufficiency highlights the importance of reducing
reliance on external resources or imports, increases the potential flow of
money into the area resulting in increased employment and business
opportunities.
• Community-Stakeholder consensus is essential to the planning process,
especially where some measure of compromise of the goals and vision of the
community is required.
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Uncertainty is an inevitable fact of the planning process. Thus, any planning
process must account for variables and maintain sufficient flexibility to allow
for the maximum possible freedom in terms of ranges of acceptable options
at every stage of the process.
Emphasis on equal benefits and burdens of Brownfields redevelopment
increases the potential support for the project from all segments of the
community increasing its potential stability and continuity.
4.2.3 Organizational Focus and Structure
The Brownfields process has been described as an iterative one in that a number
of parallel sub-processes, all of which are operating simultaneously during the life
of the project, exist and must be successfully integrated. Through the focus and
organizational structure of the Brownfields project, each project and each
community has to develop its own distinct approach to the successful effort.
The ability of the project to maintain itself and function over time and the role
the project plays in the redevelopment and revitalization process of the
community are important concerns.
Although each Brownfields redevelopment project is in many ways distinct, there
are several characteristics of project organization and function that can be
commonly associated with sustainability. These characteristics include control of
the program by local jurisdictions, a conducive institutional structure, the need
for extensive intergovernmental coordination, and resource commitment.
The program also requires the successful involvement of a number of people in
the community (stakeholders and other participants) to make the program work.
Individual stakeholders may be part of one or more interest groups or categories,
and therefore will approach an issue differentially, depending on the perceived
effect on their interest group.
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Current Owner
Prospective Owner/
Developer
Investors
(Banking Organizations)
Neighborhood Groups
Municipal /State Agencies
[The Local Business Lobby
(Chamber of Commerce)
Community or
Citizens Groups
Grassroots Groups
Legal, Scientific and
Technical Personnel
National Pub lie
Interest Lobbies
Typical Stakeholder Configuration
Interest
release from current liability
income from sale or redevelopment
identify marketable properly
reduce uncertainly/quantify risk
balance liability against return on investment
minimize development cost
maximize return on investment
avoid liability on potential foreclosure
provide needed facilities or services
remove hazardous, dangerous or undesirable conditions
increase employment
improve quality of life
carry out regulatory, funding, or redevelopment mandate
improve community image
increase level and diversity of business activity
improve general condition or specific segment of community
eliminate contamination / hazardous conditions
advance single issue agenda
clarify statutory/regulatory requirements
improve ecological quality
increase technical knowledge
improve or innovate new techniques
support agendas to be incorporated as a part of proposed
development.
4.2A Site Identification, Characterization and Ptiotitization
The degree of knowledge regarding the presence, type, source, extent, and
severity of the contamination directly influences project success, in terms of
marketing, redevelopment, financing, and legal or regulatory strategies and
options. The goal is to obtain as much information through an integrated,
streamlined approach as project funding permits.
The approach and strategy required to implement this element will vary on a site-
by-site and project-by-project basis. There are several possible mechanisms by
which the process may be initiated, such as:
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• current property owner operating responsibly or under consent agreements;
• prospective property owner/user operating under related state laws;
• private developer and non-profit development organization also operating
responsibly or under state laws; and
• Federal, state, or municipal government agency operating under applicable
statutory or delegated authority (e.g. CERCLA, RCRA, TSCA, State
"Superfund", etc.).
Regardless of who initiates and performs the site identification, characterization
and prioritization process, a number of important ecological considerations
contribute to the overall success and sustainability of the redevelopment effort.
These include:
• An accurate delineation of site location, boundaries, historical
use/ownership, and physical characteristics with regard to the local
landscape, ecosystem, and municipal plat;
• An accurate representation of the nature of the contamination including type
of contaminants, source(s), concentrations, location on site, extent and
potential for migration, pathways of exposure to the public health and local
biota, and relative toxicology or health threat;
• Streamlined or "targeted" site assessments using field screening technologies
and mobile analytical laboratories;
• Integrating Brownfields site assessments with other environmental
compliance audits, e.g. Due Diligence, Phase I and Phase II Environmental
Site Assessments (ASTM 1997a and 1997b);
• Identification and characterization of groundwater contamination - especially
critical due to the complexity of evaluating its extent and remediation
options;
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• Integrating site characterization information into the community profile to
create a continuous updating procedure;
• Developing site prioritization schemes that include ecosystem management
criteria that reflect community goals and values, natural resource assets, and
the benefits/impacts of redevelopment;
• Utilizing a prioritization model that classifies sites according to two criteria,
the nature and extent of site contamination, and the inherent redevelopment
potential or site marketability; and
• Utilization of technical resources available to small communities and private
owners/developers through Federal agencies, academic institutions, and
private consultants.
Two factors considered important to the potential sustainability of site
redevelopment are the nature and extent of site contamination, and the inherent
redevelopment potential of the site. Other factors that may be important to
establishing the current status of the site and therefore its potential long-term
success as a Brownfields redevelopment project are:
• The site's relationship with surrounding land uses and adjacent landowners;
• The time and level of effort involved in acquiring the site and implementing
any final plans for its redevelopment;
• The potential cost of remediation;
• The socioeconomic context presented by the surrounding community;
• Transportation and infrastructure considerations;
• Significant features such as waterfront or shoreline (e.g. harbor, lake,
riverfront), historic districts, entertainment or recreational areas, greenways,
significant architectural features, traditional ethnic neighborhoods, etc.; and
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• Current economic conditions of the immediate neighborhood, local
community, or nation as a whole that heavily impact the site and its potential
for future reuse.
Of equal importance to the Brownfields process is the question of selecting
which of the inventory of potential sites will be redeveloped and which will be
given priority in the redevelopment process. Community stakeholders should be
involved in, or at least well informed of, these efforts so that the results are
mutually understood and the potential for unrealistic cleanup expectations is
minimized. Site ranking criteria are usually developed through some combination
of information modeling, public input, and other trial or intuitive factors.
4.2.5 Risk Management and Site Restora tion
Brownfields site restoration and reuse is one component of a broader economic
development process that must deal not only with the traditional risks involved
with real estate transaction and development, but also with the concern for
protecting the public health and environment from exposure to hazardous
chemical contaminants. These risks include, among others:
• environmental liability;
• time and cost overruns caused by project delays;
• technology faults and obsolescence;
• personal and third party liability for accidents;
• diminished property value;
• loss of investment;
• changes in market conditions;
• community fears regarding public health; and
• the need for community support.
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Risk management and site remediation processes can promote sustainable
Brownfields redevelopment by addressing a number of key project requirements
that relate to the immediate and long-term interests of different stakeholder
groups. Overall, the risk associated with a Brownfields redevelopment process
has essentially two components. The first is the potential risk of chemical
exposure to the community surrounding the site. The second is the level of
uncertain liability that the potential project participants (e.g., owner, developer,
lender) face in the management of the project.
The community as a whole is concerned with the benefits associated with the
reduction of risk to public health posed by a contaminated property and the
potential adverse effect of any increased exposure encountered during the
restoration process. This can include the residual contamination remaining after
the redevelopment process is completed. The direct project participants (e.g.
owner, developer, lender) are confronted by the potential risk associated with a
continuing responsibility for any previously undetected contamination of the
property.
The key factors influencing the response to risk relate to the manner in which the
potential risk is presented and interpreted, and the level of trust or confidence
the public places in the defining institution or agency. Although the types of
risk inherent in a Brownfields redevelopment are not new, they are unfamiliar to,
and not fully understood by, the broader range of stakeholders and the
community at large.
The important connection of risk communication to the sustainability of a
Brownfields project, rests with this need to provide not only for the transmission
of information, but also to develop shared meanings among individual
stakeholders, institutions, and communities, and to establish relationships of
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trust. This is a specialized effort undertaken to reach out to those stakeholders
and public citizens who are interested in the project, to educate them, and to
involve them. The objective is to achieve community and stakeholder
acceptance and support for the proposed site cleanup and reuse or restoration
plans.
In many ways, the most serious obstacle to the potential redevelopment of a
Brownfields property is not the presence of contamination, but the perception of
contamination. The project participants (e.g., owner, developer and potential
investor) associate economic concerns with the uncertainty of future liability.
These project participants are interested in the potential benefit that may be
derived from development of the property in question. However, they are
significantly impeded by the adverse impact that may result from an incomplete
characterization of existing site contamination. Also, the potential for discovery
of new contamination at some future time, the failure of institutional controls
related to a limited reuse development, or changes to government policies that
threaten the basis for earlier negotiations or agreements play a role.
4.2.6 Legal / Regula tory Issues
The effects of legal/regulatory issues are woven throughout the fabric of
Brownfields projects. They may take such forms as barriers to property transfer
(e.g. investigation and commitment to cleanup triggered at time of change in
ownership) and utilization (e.g. zoning, wetlands) or limitations on owner (e.g.
restrictive covenants) or governmental authority (e.g. municipality's inability to
spend its money on privately owned sites). Most of these impacts, however, are
known and their associated cost or risk can be defined and quantified.
The legal/regulatory issues of most concern to the Brownfields' investor are not
the ones that impact cost directly or indirectly, but those that introduce risk,
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particularly undefined or ill-defined risks. The investor is comfortable with
legal/regulatory obstacles when the cost to overcome these obstacles can be
factored into the economic viability equation.
The principal source of Brownfields environmental liability is the liability for
cleanup under the Federal Superfund Statute — the Comprehensive
Environmental Response, Compensation, and Liability Act (CERCLA). The
intent of CERCLA is to impose strict, joint and several liability for the cost of
cleanup of a contaminated site on the parties responsible for the contamination.
As a result, concerns for environmental liability can act as a disincentive for the
following parties associated with a Brownfields project:
• potential purchasers, developers, and occupants of such properties;
• current owners who wish to avoid investigation of or loss of control over
such properties in connection with redevelopment;
• lenders for Brownfields projects; and
• corporate entities and individuals associated with such parties whose
activities or responsibilities might cause them to be considered as included
within the categories of owner or operator, disposer, transporter, or others
who may take responsibility for arranging for treatment, disposal, or
transport, or who accept, materials (see CERCLA §107, 42 U.S.C., Section
9607 for a more detailed explanation of these categories).
Other environmental laws may also impact the environmental liabilities of the
parties involved in a Brownfields project during the cleanup and redevelopment
phases. Air emissions during this stage may be regulated by the Clean Air Act.
Process stormwater discharges may be regulated by the Clean Water Act. Even
PCBs or other substances subject to the Toxic Substances Control Act may be
involved.
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However, the law most likely to impact a Brownfields site is the Resource
Conservation and Recovery Act (RCRA). It was enacted to regulate hazardous
waste treatment, storage, and disposal (TSD) facilities and underground storage
tanks (UST). Most Brownfields sites, if not classified as hazardous waste TSD
facilities, will have a UST somewhere on the site. Even if a Brownfields site is
not regulated because of USTs, or because it was a former hazardous waste TSD
facility, the developer may become a "generator" under RCRA simply by
excavating any substances on the site which come within the definition of a
"hazardous waste" (RCRA Section 3002). Either way, the RCRA "corrective
action", "manifesting", "permitting", and "land-ban" restrictions may come into
play and have a severe impact on the environmental liabilities and costs
associated with development of the site.
4.2.7 Site Mark eting and Redevelopment Approach
Since Brownfields sites were once active industrial or commercial businesses,
redevelopment strategies for these sites typically focus on rehabilitating them
into vibrant new commercial or industrial uses. But new strategies are needed for
many sites to prevent them from reverting again to a Brownfields condition, and
to allow them to contribute to the sustainable growth in the community.
One such strategy is to link the intended land use and architectural design with
ecological and aesthetic qualities valued by the community. This strategy applies
to urban as well as rural Brownfields sites. Several approaches that apply this
strategy and thereby promote the sustainability of Brownfields site
redevelopment can be identified:
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Brownfields Sustainability Approaches
Eco-Industrial Parks
Reclaimed Brownfields for Parks and Open Spaces
Greenspace as Interim Use
Reclaiming Brownfields in Ecologically Sensitive Areas
Landscape Design Factors
Eco-Industrial Parks - Combining manufacturing and service businesses in a design
that coordinates their collective resource needs and processes in order to increase
efficient use of raw materials, minimize waste outputs, conserve energy and
natural resources, reduce transportation requirements, and provide an
aesthetically attractive place to work.
ds for Parks and Open Space - Creating parks, gardens, greenways
(linear corridors of protected land that connect important resources and provide
for human access), trails, and open space (large expanses of natural or sparsely
developed land) as an effective and inexpensive way to catalyze sustainable
redevelopment, especially of infill properties.
•e as Interim Use - Redeveloping a Brownfields site by converting it into an
urban forest, park or garden on an interim basis until the parcel can be integrated
into a larger redevelopment plan for the area.
• in Ecologically Sensitive Areas - Restoring Brownfields to blend
into the surrounding ecological systems offers many indirect benefits to
sustainable communities.
Landscape Design Factors - Integrating Brownfields design and land use with natural
landscape features builds sustainable links between the redevelopment and the
ecology.
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The Brownfields redevelopment process should contribute in some way to the
overall sustainability of the community, as a community. To a great extent, the
design parameters for an individual project will be affected by the site
characteristics, the influence of surrounding land uses, and the goals of the
comprehensive plan. But the proposed reuse of the subject site should also
conform to the overall vision of the community's economic and social future.
From the standpoint of the project itself, the most important factors
contributing to overall success can be summarized as:
Brownfields Success Factors
• The Right Property BThe Right Use
DThe Right Incentives
The Right Property — The property must have some value. In the case of the
Brownfields site, this value is calculated in terms of the desirability of a clean site
at the current location. Several factors can influence this determination,
including: the value and use of surrounding real estate; the cost of the initial
acquisition of the property; and the level of environmental uncertainty associated
with the project.
The Right Use - Determination of the right land use for a candidate site is critical.
Important to this process, in addition to site history and surrounding land uses, is
the role of the community in specifying its needs, values and most especially, its
understanding of the project and its role in the community.
The Right Incentives - The successful development of incentives and trade-offs to
increase the potential value or return on a Brownfields redevelopment are
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important both to the overall success of the project and to the interests of
individual stakeholders as an inducement to sell or cleanup existing contaminated
property; a potential for increased return on investment by decreasing
uncertainty; a balance against other real estate or market investments; and
encouragement to community residents to patronize or support the intended use.
One of the most frequently cited challenges associated with a Brownfields
redevelopment is the process of marketing the site to potential developers. This
includes not only the process of selling the redevelopment project to potential
developers, investors, or lenders, but also to the community as a whole. The
question for a Brownfields redevelopment is that of balancing community values
and goals against the requirements of the marketplace and what the market will
bear and support.
4.2.8 Technology Applies, tions
Technology and its application are clearly major elements of sustainability. The
process of identifying, developing, evaluating, and integrating new technology
applications into community redevelopment provides opportunities to achieve
significant cost and resource savings for projects and quality of life
improvements for the residents. This process can also help change traditional
social, economic and ecological perspectives and values that contribute to
unsustainable development.
The Public Technology, Inc. (PTI, 1998), a non-profit organization supporting
city and county governments nationwide, has identified five primary areas of
technology that provide an effective framework for characterizing technology
applications that promote immediate and sustainable Brownfields redevelopment
in urban and rural communities. These areas are:
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Technology Applications
Energy Technology
Environmental Technology
-
Transportation Technology
Telecommunication and Information Management Technology
Public Safety and Health Technology
-
- Sustainable Brownfields redevelopment seeks to improve
energy efficiency, conserve energy resources, reduce energy demands, cut costs,
and develop revenue from local energy assets. Energy consumption is therefore
an effective indicator for measuring sustainability.
Environmental technology - New and innovative environmental technologies are
emerging to promote community sustainability and sustainable Brownfields
redevelopment including pollution prevention and waste management, site
assessment and remediation, and ecological monitoring and assessment.
Transportation technology - Transportation systems and the various modes or
"hardware" to move people and goods are being enhanced by major technology
improvements. Two specific transportation technologies that can be associated
with sustainable Brownfields redevelopment are: Intelligent Transportation
Systems - utilizing advanced computer, electronics, and communications
technologies to increase the effectiveness, efficiency, cleanliness, and safety of
surface transportation systems, and Alternative Fuels and Vehicles
incorporating innovative applications of natural gas, electricity, and other
alternative fuels to power privately owned and commercial fleet vehicles is
growing in public acceptance and economic feasibility.
Telecommunication and information management technologies — The sustainability of
Brownfields redevelopment is enhanced by improving services, cutting costs, and
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developing new businesses that are environmentally "clean" and readily
adaptable to existing Brownfields buildings.
Public safety and health technology — Experiencing a wide range of new trends and
capabilities, these areas can promote Brownfields sustainability by enhancing the
marketability of a site and reassuring the community's confidence that safety and
health risks are effectively addressed.
4.2.9 Project Funding and Finance
The association between long-term financing and the sustainability of a
Brownfields redevelopment project is fundamental. Access to equity financing
and early-stage capital is often considered not only to be the most important
factor in a project, but also the most difficult to secure (Brookings, 1997).
Conversely, the under commitment of resources and a lack of funding are
considered a major impediment to the redevelopment of a Brownfields site.
Brownfields project funding requirements can be seen as a continuum ranging
from a project that is expected to be ultimately self-sustaining within the private
marketplace to one that is completely supported by public funds throughout its
anticipated life-cycle. The mix of private and public funds embodied in a
Brownfields redevelopment project will differ from project to project, based on
the characteristics of the specific site in question, capabilities of the current
owners, and the planned future use of the site. On the basis of the funding
sources, Brownfields projects can be characterized into three types; those funded
primarily by private organizations, those funded by public entities, and those that
are a mixture of public and private funds.
Essentially, the Brownfields redevelopment process can be characterized as five
separate processes, each of which requires some form of funding:
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• the Brownfields program and program related expenses;
• site characterization and remediation;
• planning, public outreach and design approval;
• development and reconstruction; and
• long term operational support.
For the greater majority of Brownfields redevelopment projects, the initial
project funding will come from public sources. However, a sustainable project
cannot depend solely on external resources. Important to the long-term success
of the project is the process of defining where the project is going, in terms of its
long-range goals, and then identifying both public and private funding that
supports what the community has decided to do. Based on the prevailing site
characteristics and the anticipated future uses of a proposed site, a mixture of
private and public funds will be required for development. Important
characteristics associated with sustainability are the early and accurate
identification of financing requirements, a high level of community awareness
and knowledge of the financing process and the careful preparation and analysis
of the project characteristics as a part of the overall strategy to attract outside
investment.
4.2.10 Environmental Justice
In recent years, concern has been raised that persons from low-income and
minority communities are suffering a disproportionate burden of adverse health
consequences from the siting of industrial plants and waste dumps at nearby
locations, and from exposures to pesticides and other toxic chemicals within
their home and occupational environments. There is also concern that the
environmental programs and policies being established by government agencies
do not adequately addressing these disproportionate exposures.
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Environmental justice represents an attempt to address these issues in the
context of the sustainable Brownfields redevelopment.
"Environmental justice and Brownfields are inextricably linked: the
inescapable context for discussion of the Brownfields issue is
environmental justice and urban revitalization. At the core of a
justice perspective is recognition of the interconnectedness of the
physical environment to the overall economic, social, human, and
cultural/spiritual health of a community. The vision of
environmental justice is the development of a paradigm to achieve
socially equitable, environmental health, and economically secure,
psychologically vital, spiritually whole, and ecologically sustainable
communities. To this end, Brownfields redevelopment must be
linked to helping address this broader set of community needs and
goals" (NEJAC, 1996).
The important aspect of environmental justice as it relates to sustainable
Brownfields redevelopment is the participation and involvement of the
community in the decision-making process. This includes:
• early, adequate and meaningful community involvement in the decision-
making process;
• a group of stakeholders committed to effecting a change for the better;
• all parties having equal access to all information relating to the proposed
redevelopment;
• honesty and integrity for all participants for dealings between stakeholders;
• willingness to negotiate in order to achieve the necessary balance for the final
decisions so that ideally all participants see the results as a win-win situation.
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Environmental justice contributes to the sustainability of a Brownfields
redevelopment project in a way that is somewhat unique when compared to that
of the other elements. Brownfields tend to be located in close proximity to the
neighborhoods of low-income and minority populations. When a
redevelopment project is implemented in such a community, there will naturally
be degrees of community and quality of life improvement experienced by the
nearby residents.
Project Initiation
Planning
Implementation
One significant aspect of a Brownfields project is its apparent (but illusory)
simplicity. Initially, a Brownfields redevelopment project appears as a
straightforward process of reclaiming an abandoned or underutilized property
through the elimination or control of potential contaminants, and putting the
land to some new use for the benefit of the community. But, the moment that
this process is begun, the Brownfields redevelopment effort becomes connected
to an extensive and complex web of ecological, economic and social systems, all
of which influence not only what can be done at the site, but also how, when,
and at what cost it can be done.
The complexity of a Brownfields redevelopment project is evident in the number
of different ways in which the Brownfields process itself has been characterized,
both in the literature and by the project participants and government officials
who were interviewed for this study. Apart from the problems associated with
contamination, the Brownfields redevelopment process has been described as a
real estate transaction, a land use issue, a planning issue, a community
development issue, and an economic development issue, among others. From
the information collected during the first phase of the study, it is evident that a
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Brownfields redevelopment effort is probably all of these at once, and none of
these in particular.
Closer analysis reveals that each of these perspectives have a common
characteristic, they manifest themselves through a traditional project
management process. Every Brownfields project contains certain aspects
associated with each phase of the project management process: definition,
organizing, planning, executing, monitoring, and correcting. What makes a
Brownfields redevelopment project challenging to define for modeling purposes
is that no two projects routinely follow the linear project management process in
a sequential and similar manner. The point where a project begins will vary
depending on the project participants' perspective and their respective reasons
for involvement. Typically, multiple phases will be occurring simultaneously;
progress towards specified milestones, rather than their actual achievement, is
often enough to initiate the next event; and feedback loops can occur
continuously or during intermittent time periods throughout the overall process.
During the initial research for this study, one project participant commented that
conducting a Brownfields redevelopment project is like working a Rubik's cube
puzzle, one keeps trying different combinations until you find the combination
that works.
Nevertheless, in order to develop a model framework applicable to all
Brownfields projects, a simplified process diagram has been derived that captures
all the major phases, significant milestones, and range of activities that may
occur. Although the proposed model framework correlates to the traditional
project management process, it deviates slightly to focus on the key events of
Brownfields redevelopment projects identified in the analysis of EPA Pilot
Projects. Figure 4.1 presents this overall process.
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Figure 4.1: The Brownfields Redevelopment Process
Project Initiation
Planning
\
Evaluation
Staging
Implementation
Synthesis
4.3.1 Pro] ect Initia tion
The Project Initiation event is characterized by an expression of interest or
concern, by any of a number of organizations or individuals, in the actual or
potential existence of Brownfields. It may occur as part of a more encompassing
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community development or regional economic development effort, or as a
distinct and focused effort to identify one or more Brownfields properties. It is
significant because it represents the beginning of a continual commitment to
improvement among the members of a community or private property owners.
The Community's recognition of Brownfields as a real or potential challenge
begins with an increasing public awareness of the potential for reuse of
Brownfields sites and the local government's desire to address abandoned and
underutilized properties. Connections are established between community
components and the property of interest that add credibility and value to the
project. As a result, the community begins to examine itself, preliminary
organizational needs are identified, and public opinion is stirred as the potential
benefits of sustainable Brownfields are envisioned.
Conceptual approaches to addressing a Brownfields property are developed to
determine the scope and scale appropriate for a community or individual
response based on the local conditions and number, type, and location of
Brownfields properties.
Project authority is formalized as an organization is empowered and made
responsible for overall control and achievements in sustaining the Brownfields
project(s). This can be established by a local, regional, or state authority and
provides focus, decision-making capability, and commitment to the project.
MILESTONE(S):
The process generally evolves to the next major event or series of events when
one or more of the following milestones are reached:
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• Community recognizes existence of Brownfields and value of
redevelopment.
• Organizational point-of-contact formally established.
• Community/land owner/developer display commitment to proceed with
project.
• Conceptual approach identified that addresses context of project and basic
goals to be achieved.
4.3.2 Planning
The Planning phase is characterized by a focus on the planning process itself.
This process is an amalgamation of planning approaches put to a uniform use. It
is significant because it represents an effort to conceptualize and implement the
project as a continuous process, while maintaining degrees of flexibility that
allow the project to evolve and change throughout its lifespan.
The planning process incorporates many variables such as transportation,
neighborhood identity, pedestrian orientation, land use planning, and more. The
intent is to provide for adequate open space for traffic, recreation, buildings, and
infrastructure; and for the distribution of population and traffic in orderly
conditions favorable to health, safety, and convenience.
The planning process begins with an analysis of the project goals as outlined
during the Project Initiation event. The community profile is used as the basis
for establishing the context of the planning effort. A target market survey
delineates who will benefit and who will be affected by the project. Analyses of
possible project areas are undertaken to gather information on land use,
demographics, transportation, and environmental systems. The information is
analyzed to decipher problem areas and identify approaches to the goals of the
project. Surveys (geotechnical, topographic) are then conducted to observe
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wetlands, elevations, drainage, and soil. A functional analysis is conducted to
examine the relationship of activities among the various land uses and how they
relate to each other and circulation systems. Design initiatives are instituted to
display activity nodes, site features, attractions, and study transition in use.
Financial analysis begins as an ongoing cost study into the feasibility of the
various approaches.
The gathered data and analysis of the situation and potential problems are
synthesized into plans or proposals for action. These proposals become
alternatives to accomplishing the goals of the project that will be reviewed by
stakeholders and community.
The Planning event encapsulates a range of functions throughout the project that
are continuously updated and refined. The ongoing process revolves around
these key functions:
• Define who the project is intended to benefit and who will be effected by the
project;
• Develop/identify various alternatives for site use, design, and remediation
that can achieve the intended goals;
• Match the site to the context and stated goals of the stakeholders,
community, target market, and the intended use;
• Determine various approaches that are best able to contribute to the
sustainability of the community;
• Design a project that fits the social, environmental, economic, legal, political,
and physical make-up of the community; and
• Identify and attain funding capable of bringing the project to fruition and
maintain it as a component of the community.
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The planning methodology includes an ongoing process of obtaining, analyzing,
and formulating information pertaining to the project. This involves several sub-
processes such as:
Planning Methodology Sub-processes
D Market Research I Site Assessment
D Community Planning D Financial Analysis
Market Research -
• Develop and analyze the community profile to determine lucid
approaches to the community context;
• Review the data to define the best fit for sustainable development within
the community, allowing the decision-makers to weigh different options
that relate to current conditions;
• Identify economic trends that influence the project at various levels or
scale;
• Determine possible marketing strategies to be undertaken;
• Define who the project is intended to benefit (determine target market)
and approaches to be undertaken to achieve this;
• Observe proximity to amenities for location attraction and value;
• Assess adjacent properties to define neighborhood context and achieve
integration of uses; and
• Assess the historical character of the site to determine effects of past
efforts, obstacles, historical/architectural/archaeological significance, and
infrastructure enhancements.
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Site Assessment -
• Develop site characterization criteria and data quality objectives to
support site screening and prioritization processes;
• Analyze geotechnical conditions (geological, soil, and hydrological) that
influence infrastructure placement (utilities), buildable depth, types of
roads and building foundation, and stormwater management;
• Analyze topographic conditions (contours and elevations) that influence
drainage, stormwater management, and earthwork;
• Study the physical characteristics of a site to determine the adequacy and
attributes of a site's location;
• Conduct an ASTM (1997a and 1997b) Phase I "Due Diligence"
Assessment to highlight possible past hazardous uses;
• Perform a baseline Environmental Impact Survey to determine extent of
project impact on present conditions of the area;
• Conduct a Brownfields Site Assessment to identify contamination type,
danger, spread, and remediation options;
• Integrate ASTM Phase I and II Assessment and Brownfields Site
Assessment data collection with the baseline Environmental Impact
Survey and wetlands delineation, floodplain mapping, tree survey,
stormwater drainage analysis, and other pertinent studies that effect site
engineering, design, or cost; and
• Assess and clarify environmental risks and legal/regulatory liability.
Community Planning -
• Review the Comprehensive Plan, Subdivision Ordinance and Zoning
Ordinance to determine requirements, options and limitations on uses;
• Clarify code enforcement and permitting requirements;
• Determine need for easements;
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• Assess the political climate of the community and the political context of
the stakeholders;
• Conduct traffic impact study to understand effect on patterns, access,
volumes, parking, and circulation; and
• Establish architectural, technological, and other physical design initiatives
that complement community features.
Financial Analysis -
• Estimate project's total cost in order to assess local financial
condition/capability to incur debt, equity availability and bonding
capacity;
• Research options and requirements for grants and/or loans, secure grant
writer for applications;
• Determine methods of measuring cost;
• Delineate required rate of return; and
• Identify lending institutions or other funding mechanisms.
MILESTONE(S):
• Plans that assess development alternatives.
• Development of site design considerations.
• Identification of a developer as a stakeholder.
• Understanding and agreement of liability issues.
• Identification of presumptive remediation approaches.
• Identification of financial considerations.
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4.3.3 Evaluation
The Evaluation phase is the systematic examination of plans, situations, or
conditions associated with the Brownfields property, the community, the region,
and other macro-scale influences, that have occurred or are ongoing and their
comparison to desired community goals, objectives, standards, traditions, and
trends. This examination may or may not be a distinct event within the
Brownfields redevelopment process. In practice, the evaluation of a project will
often be an ongoing event associated concurrently with the planning, staging,
and implementation phases of the project.
The objective of the Evaluation phase is to determine the viability of various
alternatives developed in the Planning phase in order to develop an overall
strategy for how to proceed and what contingencies should be included. The
evaluation considers the input of the full range of stakeholders as well as the
local community. Its fundamental aspect is to ensure that key factors affecting
sustainability are examined by ensuring the right questions are asked. For
example:
• What are we dealing with?
• What alternatives do we have to improve the site?
• How does an alternative make sense for the community?
• Has the alternative proven to be sustainable elsewhere? If so, were the
conditions the same?
• What long-term controls will be necessary?
• How does the preferred alternative balance the ecological, economic, and
social benefits and impacts?
This phase has a significant impact on the project's long-term sustainability
because it defines the project's direction, establishes the project's priority for
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action and resource commitment, and solidifies the stakeholders' and
community's support. The timeframe and extent to which the evaluation is
performed will vary based on the complexity of the site/project, time, potential
cost, personnel expertise needed, location, infrastructure, and degree to which
useful information is obtained.
Three key functions or activities are performed during the Evaluation Phase.
These functions are:
• Notifying and involving key stakeholders;
• Designing an effective evaluation methodology; and
• Determining how evaluation information is to be managed and used to
support ongoing efforts.
The evaluation methodology focuses on obtaining and analyzing information
pertaining to, or derived from these six components:
Evaluation Methodology
D Site Assessment D Market Research
D Community Planning Variables D Risk Analysis
D Feasibility Analysis CD Site Prioritization
Site Assessment -
Identify the status of property ownership, liens, loans, etc.:
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• Identify physical characteristics and natural features such as topography,
frontage, access, soil/substrate, wetlands/drainage, flora/fauna, and
historic/archeological;
• Identify chemical hazards, their source, extent of contamination and
containment, compliance status, general remediation approaches, and
estimated remedial action costs; and
• Determine integrity and adaptability of existing structures, infrastructure,
and utilities.
Market Research -
• Select type of study — general market, site-specific, highest-and-best-use,
target market profile;
• Determine regional, community and site-specific demographics,
transportation, business environment, and psychographic profile;
• Assess capture ratio needed; and
• Identify contiguous property and positive/negative off-site factors such
as the influence of nearby developments, parks, businesses, etc.
Community Planning Variables -
• Identify legal and political factors;
• Consider comprehensive land use requirements, zoning classification,
variance potential, subdivision ordinances;
• Integrate community planning vision, goals, and objectives; and
• Consider environmental justice concerns.
Risk Analysis -
• Identify and clarify environmental liabilities;
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• Determine public awareness, perception, and concerns with existing
property conditions;
• Identify potential stakeholder communication and coordination barriers;
• Consider completeness and accuracy of site characterization data;
• Consider impact of possible changes in government policy and
requirements;
• Determine market opportunity window and estimated project timeline;
and
• Identify characteristic tools and approaches for managing risks.
Feasibility Analysis -
• Identify alternative site approaches to remediation and construction
designs;
• Determine actual requirements and estimated cost of engineering,
ownership, taxation, and risk management factors;
• Estimate property values before and after redevelopment;
• Determine affordability, financing potential and services; and
• Identify development alternatives and their potential impacts, advantages,
disadvantages, resources available and underutilized, implementation
timelines, and cost/benefit.
Site Prioritization (applies to projects that deal with multiple sites.
properties, and property components) -
• Develop site remediation and redevelopment criteria;
• Develop methodology for ranking sites;
• Incorporate community involvement; and
• Develop approach for addressing sites on priority basis.
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4.3.4 Staging
MILESTONE(S):
The major milestone for the Evaluation event is a refined strategy for
redeveloping the project site(s) that has support of all key stakeholders and
incorporates the community's goals for sustainability. This strategy identifies the
approaches to overcoming barriers to sustainable redevelopment, includes
acceptable alternatives for negotiation and project implementation, and is
technically and financially feasible.
SECONDARY MILESTONES INCLUDE -
• Clarification of property ownership and owner cooperation.
• Proposal of a Remedial/Corrective Action Plan for site cleanup and
restoration that is risk based and incorporates future uses of the site as
defined in the community's zoning ordinances or other master plans.
• A market feasibility study that identifies alternative land uses, economic
trends, opportunities, and potential fiscal returns.
• Acceptance of site prioritization methodology.
• Risk management strategy developed and accepted.
• Identification and preliminary discussions with prospective
buyers /developers /lenders.
• Input by all interested community/public groups has been considered to
ensure environmental equity, equitable costs, and equitable benefits for the
neighboring residents.
The Staging event is that portion of the process during which proposed site plans
and financing arrangements are negotiated and agreement is reached. In certain
cases, an actual change in the ownership of the property/project will occur.
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During this phase, the proposed corrective action plan is finalized, allocation of
risk to all participating parties is determined, indemnification agreements are
established, and any required institutional controls are formalized. In many
cases, it is at this stage that permits are transferred, and new consent orders,
voluntary corrective actions, or comfort letters and covenants not to sue are
established between the new owner and the regulatory agency.
At this point in the redevelopment process, the initial site assessment and
community profiling and visioning process have been completed. Final decisions
by the owner or developer about the proposed reuse of the property have also
been made and funding for the implementation of the selected alternative should
have been secured.
Normally, the stakeholders participating in this phase are limited to those who
have some direct, critical contribution to make to the negotiation/transaction
processes that are taking place and include: representatives of government
agencies (local, State, Federal), the current owner and prospective buyer, the
developer (if other than the prospective owner), consultants, attorneys, and
representatives of financial institutions or funding agencies that are supporting
the project. The role of the public or community based stakeholders is reduced
at this point and is limited to an oversight and support function. Important
decisions involving community stakeholders will already have been made prior to
this point. The guidance and criteria established through community
participation in the earlier Planning and Decision phases will already be in place
to channel negotiations and transaction activity.
Each of the processes normally carried out during this phase depends on
activities and decisions reached during previous phases of the process and are in
some way connected to the transfer of ownership and liability, funding and
finance considerations, or the ultimate creation, enhancement, or maintenance of
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the marketability of the property. Apart from those activities related to the
liability and financing of the remediation or removal of contaminated materials
from the site (typically associated with a Brownfields type redevelopment
project), the various processes ongoing during this phase are not dissimilar from
those characteristic of any other typical redevelopment effort. Activities or
processes carried out during this phase include:
Transaction Event Processes
D Corrective Action Plan
DAllocation of Risk
D Environmental Covenants
D Finalization of Cost Sharing Agreements
D Final Change of Ownership
Corrective Action Plan -
• finalized and accepted by all participating stakeholders.
Allocation of Risk -
• Determination of the method to manage and allocate risk;
• Insurance or indemnification requirements;
• Acceptance by all parties with a fiduciary interest.
Environmental Covenants -
• Resolution of any existing covenants or institutional controls established
to address risk from previous contamination;
• Formal acceptance of Operating Covenants for any proposed new
development.
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Finalization of any cost sharing agreements -
• Limits and caps are established;
• Role and liability of participating public and private entities is defined.
Final change of ownership is accomplished -
• Pre-closing agreements are executed;
• Representations and warranties are made.
MILESTONE(S):
• Acceptance of the property by the prospective new owner.
• Acceptance of remediation approach and risk management criteria by all
parties.
• Finalization of the agreements related to indemnification, insurance and
formalization of the sources of funding, whether by equity investor, owner,
or public funding agencies.
4.3.5 Implementation
Upon implementation of the project, all major decisions reached during the
process of the Brownfields redevelopment effort come together. Where
necessary, transfer of the property to new ownership has been completed.
Project related negotiations with the owner and potential developer are
completed, or are nearing completion. A site clean-up plan that incorporates
acceptable levels of risk based on the proposed new land use designation has
been established and accepted by all stakeholders, and the site clean-up process
can begin.
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Completion of the project is anticipated once the proposed remediation is
accomplished, any new institutional controls are in place, and construction of the
proposed new facility for the site has begun. In some situations, especially where
the site is initially transferred to a public agency, a marketing effort may be
required to ensure proper completion of the project. In certain cases, the
manner and process by which the Brownfields redevelopment authority will turn
the project over to its final owner/operator is defined and formally executed to
ensure that the site will be effectively utilized and managed into the future.
Stakeholder involvement at this phase is somewhat limited as most of the
processes included as part of this event will be the responsibility of technical
personnel in the various fields covered. Continuing public involvement in
monitoring the progress of the project and its conformance to the proposed plan
is important.
With the culmination of the planning and decision making aspects of the project
essentially completed, the implementation phase marks the actual onset of
physical activity at the site related to any demolition, renovation, or remedial
action that may be required because of the Brownfields nature of the selected
property. Any new or innovative technologies that have been incorporated into
the remediation plan are tested and approved for use.
Once the site has been successfully restored to the appropriate level of risk
associated with the proposed land use, the completion of the site redevelopment
process proceeds in a manner similar to any other site development or
redevelopment project. In many cases, it is preferred that the remediation
activities at the site be integrated with the site's restoration and reconstruction of
the new facility in order to achieve time, technology, permitting, and cost
efficiencies. Key functions carried out during this phase include:
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Implementation Phase Functions
lOSite Construction HM arketing/Sales DProject Completion I
Site Construction -
• Regulatory requirements and institutional controls are established and
monitoring procedures are instituted;
• All necessary permits and agreements are executed and in place;
• Remedial action occurs;
• Developer negotiations are completed; and
• Site preparation and reconstruction activities are initiated or integrated
with remediation effort.
Marketing/Sales -
• A plan to market the site itself or to sell the finished facility in whole, or
in part, are completed and put into effect;
• Any necessary workforce requirements are defined and training programs
are established to support site cleanup and reuse of the property.
Project Completion -
• A plan for transition of the project from the Brownfields public/private
authority to the new owner or final operating entity is prepared;
• Project responsibility is transferred to new owner; and
• Public communication and monitoring of site progress continues.
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MILESTONE(S):
• Completion of site remediation and restoration activities.
• Confirmation of new developer and the development plan.
• Onset of new construction.
• Exit of the initial Brownfields project organization and transfer of project
responsibility to the operating public agency and/or private developer.
• Ultimate operation of the site or redevelopment business.
With respect to the sustainability of the project, a future milestone is represented
by the point at which the project is successfully transitioned from the use of
public grant funds to support ongoing operations to a status as fully self-
supporting (whether by private capital or through private endowment or grant
support). For public facilities, this milestone may be marked by the achievement
of some other operational success criteria.
4.3.6 Synthesis
A primary goal of a sustainable Brownfields project is to prevent the redeveloped
site from reverting to a Brownfields property in the future. Simply following the
Brownfields redevelopment process from Initiation through the Implementation
phases does not assure long-term success and sustainability of the project. All
the factors that were considered in the earlier events will change over time. For
example, the demographics of the neighborhood will shift by age, income levels,
or nationality; the products or services provided by the new business enterprise
may no longer be competitive or even desired; the cultural and architectural
features once sought to be preserved may no longer be valued; and, the natural
or ecological resources will evolve, degrade, or eventually diminish.
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The final event within the process must be a continuing effort and commitment
to continuously monitor, re-evaluate, and refine the process in order to adapt the
project to changes in the balance between ecological, economic and sociocultural
systems. This facilitates the integration of project operations and outcomes into
the fabric and daily functions of the community. This effort is performed
through the collaboration of private property and business owners, local
community leaders, the local and regional government organizations, and the
general public. In this manner, a continuing synthesis is maintained between the
goals of the Brownfields redevelopment project and the community's goals for
economic development and environmental health.
The synthesis of the Brownfields project within the community requires that
three key functions be performed throughout the time frame during which the
community seeks to sustain its economic, social, and ecological health.
Three Key Functions for Brownfields Prevention
DAdaptive Management D Information Management
D Resource Management
ive Management — ensures that the owners or oversight organization, new
business, community plans, and project criteria remain flexible enough to
adapt to changing ecological-economic conditions, human behavior and
objectives, and technological advances. Important features of adaptive
management that contribute to a sustainable Brownfields project include:
*/ Continuing organizational and individual accountability for process
outcomes;
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S Recurring strategic planning and decision-making based on updated
community values, vision, and goals;
*/ Systematic monitoring and evaluation of existing conditions to learn
from experience and correct for desired outcomes;
*/ Adjustment of risk management and land use controls as needed; and
*/ Integration of innovative community/building design experiments with
the planning process in order to replace learning by "trial-and-error" with
careful testing.
• Information Management — ensures that all stakeholders have access to, and
understand the data required for effective monitoring and decision-making.
Important features include:
S Integrated data compilation, organization, assessment, and retention;
S Effective interpretation, presentation, and sharing of information;
S Collection of comparable data and clarification of facts versus
uncertainties;
S Equal access to the best available information for decision-making; and
S Enrichment of the community's knowledge-building processes.
• Resource Management — ensures that the continued use and impacts upon
ecological, economic and social resources do not exceed their respective
threshold capacities appropriate for the various project scales in which the
resource use is planned. Important features include:
S Measurement, monitoring, and evaluation of internal and external
resources against established baselines in order to identify changes, their
causes, and effects;
*/ Quality enhancement of intergenerational trade-offs and cost-benefit
analyses;
*/ Assurance of no net gains in energy consumption; and
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S Assurance that resource preservation and conservation practices are
applied as needed.
MILESTONE(S):
• Future liability concerns associated with site ownership, operations, and
subsequent transfer of ownership are clarified and resolved.
• The new project is supported by the community and remains economically
viable over the time period intended by the project plans and community
objectives.
• The project retains its service and value to future generations thereby
preventing future Brownfields.
• Collaborative project teams apply their recent experience to initiate new
Brownfields projects.
• The local community members involved in the project are satisfied that the
project achieved equitable balance between ecological, economic and social
values.
• Specific project goals and objectives were achieved, such as jobs created, job
training program conducted, air quality improved, soil and groundwater
cleaned-up, renewable energy sources tapped, resources recycled and reused,
natural/historic resources and biological diversity protected, individual health
and wealth improved among community residents, etc.
• The individual project is accepted as an integral part of the community as a
contributing element, which is also supported by the community's residents.
4.4 Integrating the Parameters, Elements and Characteristics
(PECs) and the Brownfields Redevelopment Process
Sustainable Brownfields redevelopment refers to redevelopment and growth that
are maintained over the long-term, and occur within the limits of the
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environment so that the current needs of the citizens are met without
compromising the ability of future generations to meet their needs. There is a
distinction between a successful Brownfields redevelopment project and a
sustainable Brownfields project. One definition of a successful project includes
"cleaning up the contamination to levels appropriate for the new use of the
property [and] that the new development is appropriate and beneficial to both
the city and the neighborhood" (R. Morrison, 1996). Whereas, a sustainable
Brownfields project meets the criteria defined for sustainability that may not be a
prerequisite for the immediate success of the Brownfields project itself. The
ultimate goal of this study is to connect the sustainability criteria with activities at
successful Brownfields projects and to depict this relationship in a model
framework.
Section 4.2 of this Chapter reviewed the parameters, elements, and characteristics
(PECs) of sustainability that have been derived through research and are
associated with Brownfields at the project level. Section 4.3 presented and
discussed the major events and milestones that typically occur during the
successful implementation of a Brownfields redevelopment project. By
integrating the PECs into the operational Brownfields redevelopment process, a
model framework is established to help guide communities seeking to
successfully redevelop sustainable Brownfields projects. The intention of this
model framework is not to establish "hard-and-fast" requirements that may
impede a project, but to assist the project in identifying what sustainability is and
what project factors may support sustainability.
Based on research into EPA Brownfields Assessment Demonstration Pilot
Projects and the City of Chattanooga's Brownfields project (EPA, 1998), each of
the six major events within the Brownfields redevelopment process were found
to entail elements and characteristics attributed to sustainability. Various PECs
of sustainable Brownfields projects are inherent within each event but may differ
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with regard to when, how, and to what degree they occur depending on the
individual project goals, objectives, and requirements. The dynamic relationship
between the PECs and the events of a Brownfields redevelopment process is
represented in Figure 4.2. The remainder of this section illustrates how the
elements can relate to each event and why they are significant. Figure 4.3 (located
at the end of the chapter) represents a summary matrix of the PECs and the
events of the Brownfields redevelopment process within the model framework.
PROJECT INITIATION EVENT:
The following elements of sustainable Brownfields redevelopment projects are
applicable to this event.
• Community Profile — serves as the basis for community awareness of its needs
and the interrelationships between the land, development, people, economy,
and quality of life; establishes the context for the next phase's planning
efforts; and, begins to define the "best fit" for a sustainable development
within the community.
• Environmental Justice — involves the community early-on in the process, helps
ensure fair and equitable treatment of low-income and minority communities
to support the long-term sustainability of the project, and reduces the chance
of inadvertently creating additional future Brownfields in distressed
neighborhoods.
• Organisational Focus & Structure — establishes the primary point-of-contact for
the project (either public, private, or municipal), authority, government
commitment of resources, initial stakeholders, and preliminary channels of
communication and project coordination.
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Figure 4.2: Model Framework for a Sustainable Brownfields Redevelopment Process
Sample Milestones
Project Initiation
Planning
Evaluation
Staging
Implementation
Conceptualize Approach and Goals.
Develop Site Design and Remediation Strategy.
Refine Strategy for Site Redevelopment.
Stakeholder Input Evaluated and
Incorporated.
Finalize Agreements on Insurance and
Indemnification, etc.
Acceptance by All Parties.
Complete of Remediation.
Onset of New Construction.
Site Operation.
Integrate into Community
Retention of Service and Value to Future
Generations.
Synthesis
Parameters, Elements and Characteristics
Parameters:
» Economic
» Social
» Ecological
and
Elements:
Community Profile.
Comprehensive Community Planning.
Organization Focus and Structure.
Site Identification, Characterization
Prioritization.
Risk Management.
Legal/Regulatory.
Site Marketing and Redevelopment.
Technology Applications.
Project Funding/Finance.
Environmental Justice.
Characteristics:
^ Refer to Figure 4.3 - Matrix of Parameters,
Elements and Characteristics
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PLANNING EVENT:
In addition to those elements that are continuing from the Initiation event, the
following elements of sustainable Brownfields redevelopment projects are
appropriate for this event.
• Comprehensive Community Planning — integrates the Brownfields redevelopment
process into a larger community development plan that incorporates
requirements, needs, and goals specific to each community.
• Site Identification, Characterisation & Prioriti^ation — delineates all aspects of a
site (topography, infrastructure, ownership, economic conditions, etc.) to
determine the level of site contamination and the inherent redevelopment
potential of the site.
• Risk Management and Site Restoration — provides maximum flexibility and
balance between facilitating the project and protecting the public health,
environment, and personal or corporate liability by involving, educating, and
translating scientific/technical results to stakeholders and citizens who are
interested in the project.
• Legal/Regulatory Issues — uncovers potentially inimical issues that hamper
redevelopment because of inherent risk factors that are ill-defined, and
establishes a range of options and opportunities that decision-makers can
implement into their decision-making process.
• Site Marketing and Redevelopment Approach — balances economic factors with
social and ecological factors to contribute to overall sustainability of the
Brownfields process through community development goals; develops
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marketing skills and strategies that entice business or industry in a process of
selling the project to potential developers as well as the community.
• Technological Applications — identifies, develops, evaluates, and integrates new
technology applications into the characterization, remediation, and reuse of
the property to provide cost benefits to the communities and developers,
foster community confidence in technology, provide quality of life
improvements for the residents, and directly promote long-term
sustainability of the project.
• Project Funding/'Finance — analyzes the funding needs of a project, both
incrementally and in whole addresses the viability of investment in all of the
redevelopment alternatives, outlines public funding as an inducement to
development, identifies/confirms the long term funding source(s), and
maintains a continuous source of income throughout the life of the project.
• Environmental Justice — develops a holistic approach for community
participation/involvement to ensure equitable distribution of the costs,
benefits and burdens of the redevelopment plan as it will incorporate into the
community.
EVALUATION EVENT:
All ten elements of sustainable Brownfields projects apply to this event in
varying degrees. Basically, the organizational focus and structure will determine
who performs the evaluation, when, and with what resources. Information
generated by the community profile, community planning, environmental justice,
site identification and characterization, legal/regulatory issue clarification, and
market research forms the baseline for evaluating alternative approaches in order
to generate a redevelopment strategy. The strategy is further refined to address
79 January 1999
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BROWNFIELDS REDEVELOPMENT
risk management, financing, and technology application factors, uncertainties,
and opportunities.
STAGING EVENT:
In this phase, earlier project activity related to the elements of sustainability is
realized. Information regarding site selection and characterization, the
community profile, and the subsequent community visioning process have
directly affected project success up to this point. Similarly, most of the
considerations established during the comprehensive planning process have
come to fruition by this stage. Actively important during this phase of the
process are the elements of project organization, risk management and
restoration, legal and regulatory issues, and site marketing and redevelopment
concerns, especially with respect to decision making and the establishment of
effective operating covenants and management of risk. The importance of early
identification and agreement on project funding sources is emphasized at this
stage.
IMPLEMENTATION EVENT:
The proposed plan for redevelopment incorporates all of the sustainability
considerations that have been identified in the previous four phases. Appropriate
consideration is given to any population segments that may be negatively
affected by the remediation action, including careful consideration of
environmental justice issues. The sustainability of the project at this point is
heavily dependent on the success of the prior project organization and the level
of communication that is established between project participants, especially the
developer, owner, regulatory agencies, funding sources/investors, and the
community as a whole. Such communication facilitates the resolution of
problems and other project related issues, including schedule delays.
80 January 1999
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MODEL FRAMEWORK FOR SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
Also important to the sustainability of the project is the identification of the
necessary labor skills that may be required to support the project, both during
development and in the later operational phase, and the availability of those skills
in the existing workforce. Partnerships between the project and local education
and training institutions are also important to the creation and maintenance of
necessary skills in the resident population throughout the life of the project.
SYNTHESIS EVENT:
In order for the project to be sustainable, it must be fully integrated into
community functions in order to continually adapt to changes in the balance
between the three parameters of sustainability — ecological, economic, and social
systems. These parameters are reflected in the following elements:
• Organisational Focus and Structure — maintains consistency and reliance in a
single point-of-contact that has the authority for decision-making and can be
held accountable for outcomes, includes stakeholders representing ecological,
economic, and social values within the community, and serves as a
coordinating body over the long-term for conducting the various
management functions discussed above.
• Community Profile — is updated periodically to reflect changes in the
community vision and goals, economy, demographics, and landscape;
thereby serving as a dynamically evolving baseline for ongoing project
evaluation.
• Environmental Justice - becomes an ongoing effort achieved through continual
community awareness and involvement.
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MODEL FRAMEWORK FOR SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
• Comprehensive Community Planning — continues as an ongoing process in order
to reflect the input from the adaptive, information, and resource
management functions performed.
• Legal/Regulatory Issues — changes in statutory and regulatory requirements are
continuously monitored and evaluated for potential impacts on the project
while new laws, regulations, and ordinances are established based on lessons
learned and new technologies becoming available.
• 'Risk Management and Restoration — continues to apply as the effectiveness of
the remediation and institutional controls is re-evaluated, tools for managing
any residual risks are revised as necessary, and project participant/community
concerns are resolved or further addressed.
• Technology Applications — provide a major influence on traditional or existing
social, economic, and ecological perspectives and values and requires that
new technologies are continually evaluated in terms of how they contribute
to provides the quality of life desired for future generations.
• Project Funding/'Finance — emphases the ability to maintain long-term
operational support for risk reduction (i.e., groundwater treatment systems),
and reinvestment of proceeds from redevelopment back into the community
to continue the funding of local governments' Brownfields initiative
programs for future projects.
82 January 1999
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MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT
FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
EVENT /
ELEMENT
Organizational
Focus and
Structure
Community Profile
Comprehensive Planning
Environmental
Justice
Site
Characterization
Project
Initiation
Emphasize need for strong
community and public leadership
Include all project stakeholders
and concerned or interested
citizens
Centralize local government
coordination, point-of-contact,
and authority
Associate ecological assets with
community values
Determine the economic basis of
the community and climate for
investment
Understand the socio-cultural
influences and needs that promote
stability
Seek to preserve natural, cultural,
and historic resources for inter-
generational continuity
Environmental equity, equitable
costs and equitable benefits for all
Early, adequate and meaningful
community involvement in
decision making
Stakeholders who are committed
to effecting a change for the better
Planning
Integrate all public and private
resources
Develop environmental baseline
inventory for future ecosystem
management
Estimate natural resource
consumption limits
Incorporate important landscape
and attractive community features
Define the composition and
character of the community
Develop a sense of community
self-reliance
Recognize the skills and
knowledge of the community
labor force
Develop private-pub lie
partnership
Incorporate community concerns
into the decision-making
processes
Integrate the regional ecosystem(s)
perspective
Include "Best Practices" for
sustainability
Develop a comprehensive
approach to all concerns
Identify the carrying capacity of
the ecosystem
Establish urban growth
boundaries
Determine current and planned
surrounding land use
Promote the potential benefits for
minimizing automobile use
Determine economic self-
sufficiency
Depend on community-
stakeholders' consensus
Identify uncertainties and build-in
flexibility in planning options
Equal access to all information
relating to the redevelopment
Willingness to negotiate to achieve
a win-win situation
Early, adequate and meaningful
community involvement in
decision making
Stakeholders who are committed
to effecting a change for the better
Obtain accurate ecological
information
Delineation of site characteristics
Representation of nature of
contamination
Integration of site assessments,
audits and inspections
Identification of groundwater
contamination
Create continuous updating
procedure
Use of technical resources
available
Assess the redevelopment
potential of the site
Adjacent land owners and uses
Cooperation of the owner
Cost of remediation
Socioeconomic conditions of the
community
Transportation and infrastructure
Attractive natural or historic
features
Evaluation
Emphasize need for strong
community and public leadership
Include all project stakeholders
and concerned or interested
citizens
Centralize local government
coordination, point-of-contact,
and authority
Integrate all public and private
resources
Develop environmental baseline
inventory for future ecosystem
management
Estimate natural resource
consumption limits
Incorporate important landscape
and attractive community features
Define the composition and
character of the community
Develop private-pub lie
partnership
Incorporate community concerns
into the decision-making
processes
Integrate the
regional/ecosystem(s) perspective
Include "Best Practices" for
sustainability
Develop a comprehensive
Early, adequate and meaningful
community involvement in
decision making
Involve Stakeholders who are
committed to effecting a change
for the better
Provide equal access to all
information relating to the
redevelopment
Incorporate ecological
information into decision-making
Delineation of site characteristics
and nature of contamination
Integration of assessments, audits
and inspections results
Magnitude of groundwater
contamination
Create continuous updating
procedure
83
January 1999
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FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
Develop a sense of community
self-reliance
Recognize the skills and
knowledge of the community
labor force
approach to all concerns
Assess impact to the carrying
capacity of the ecosystem
Establish urban growth
boundaries
Determine current and planned
surrounding land use
Consider the potential benefits for
minimizing automobile use
Determine economic self-
sufficiency
Depend on community-
stakeholders' consensus
Equalize benefits and burdens for
the community and stakeholders
Willingness to negotiate to achieve
a win-win situation
Environmental equity, equitable
costs and equitable benefits for all
Use of technical resources
available
Assess the redevelopment
potential of the site
Adjacent land owners and uses
Cooperation of the owner
Cost of remediation
Socioeconomic conditions of the
community
Transportation and infrastructure
Attractive natural or historic
features
Illustrate the basis of prioritizing
the site over other candidate sites
Site pnontization schemes
Multi-level screening
process/prioritization model
Staging
Include all project stakeholders
and concerned or interested
citizens
Integrate all public and private
resources
Willingness to negotiate to achieve
a win-win situation
Environmental equity, equitable
costs and equitable benefits for all
Implementation
Emphasize need for strong
community and public leadership
Include all project stakeholders
and concerned or interested
citizens
Centralize local government
coordination, point-of-contact,
and authority
Integrate all public and private
resources
Early, adequate and meaningful
community involvement in
decision making
Involve Stakeholders who are
committed to effecting a change
for the better
Provide equal access to all
information relating to the
redevelopment
Environmental equity, equitable
costs and equitable benefits for all
Syntht
Emphasize need for strong
community and public leadership
Include all project stakeholders
and concerned or interested
citizens
Centralize local government
coordination, point-of-contact,
and authority
Integrate all public and private
resources
Monitor natural resource
consumption vs. limits
Re-Define the composition and
character of the community
Monitor the socio-cultural
influences and needs that promote
stability
Preserve natural, cultural, and
historic resources for inter-
generational continuity
Develop a sense of community
self-reliance
Enhance the skills and knowledge
of the community labor force
Develop private-pub lie
partnership
Incorporate community concerns
into the decision-making
processes
Integrate the
regional/ecosystem(s) perspective
Include "Best Practices" for
sustainability
Continuous community
involvement in decision making
Involve Stakeholders who are
committed to effecting a change
for the better
Provide equal access to all
information relating to the
redevelopment
Environmental equity, equitable
costs and equitable benefits for all
84
January 1999
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CHAPTER FOUR
MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT
FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
EVENT /
ELEMENT
Project
Initiation
Planning
Evaluation
Risk Management
• Identify and clarify the barriers to
effective risk management
^ Lack of communication and
coordination with stake holders
^ Reluctant or hesitant stakeholders
^ Community priorities and
objectives
^ Incomplete or inaccurate site
characterization
^ Threat of contamination spread
^ Long-term remedial approaches
• Address the community concerns
^ Relate scientific results and risks
to community understanding
^ Inform the public of issues critical
to their interests
^ Empower the public to act with
respect to the risk communicated
• Address the project participant
concerns
^ Reluctance to participate and
liability indemnification for
current owner
^ Return on investment and risk
factors/perception for buyer &
developer
^ Borrower circumstances and
property value maintenance for
lender
• Identify the tools for Risk
Management
^ Project organizing
^ Include Federal and State agency
roles
^ Use risk based corrective actions
based on future uses
• Identify property ownership
alternatives
• Determine how to resolve the
barriers to effective risk
management
^ Lack of communication and
coordination with stake holders
Legal / Regulatory Issues
• CERCLA
^ "Joint and Several Liability"
-/ SARA, 1986
-S EPA Guidance, 1992
"Covenant not to Sue"
"Prospective Purchase Agreements"
-/ CERCLA Amendment, 1996
"Comfort Letter Policy"
"Secured Lenders and Fiduciaries"
' protections
• RCRA, Clean Air Act, Clean
Water Act, Toxic Substances
Control Act, etc.
• CERCLA
^ "Joint and Several Liability"
-/ SARA, 1986
-S EPA Guidance, 1992
"Covenant not to Sue"
Marketing
And
Redevelopment
• Promote program factors
^ Community expectations
^ Rationality and incentives
^ Ownership
^ Program life cycle
^ Control of development
• Promote ecological factors
^ Eco-Industnal parks
^ Reclaimed Brownfields for parks
and open spaces
^ Green space and open space as
interim use
^ Reclaimed Brownfields in
ecologically sensitive areas
^ Landscape design considerations
• Promote socioeconomic factors
^ The right property
^ The right use
^ The right incentives
• Site Marketing
^ Sites as community assets
^ Role of prevailing market forces
^ Market or feasibility analyses
• Promote program factors
^ Community expectations
^ Rationality and incentives
^ Ownership
^ Program life cycle
Financing
• Identify potential sources of
funds, primarily for the initial
stages of the project
• Redevelopment processes
requiring funding
^ Site characterization and
remediation
^ Planning, public outreach and
design approval
^ Development and reconstruction
^ Long term operational support
• Public Sources of funds, primarily
for the initial stages of the project
-S Federal - EPA, HUD, DOT,
DOC, SB A
^ State — environmental or
economic agencies, tax programs,
loans
^ Local — incentive programs, tax
increment financing programs,
grants
• Private Sources of funds
^ Property owners or other
responsible parties
^ Prospective purchasers or
developers
^ Equity investors
^ Commercial banks
^ Private foundations and
universities
• Redevelopment processes
requiring funding
^ Site characterization and
remediation
Technology Applications
• Energy Technology
^ Reducing energy demands
^ Renewable energy
• Environmental Technology
^ Industrial Ecology
^ Eco-Industrial parks
^ Pollution prevention and waste
minimization
^ Site assessments and remediation
^ Ecological monitoring and
assessment
• Transportation Technology
^ Intelligent Transportation Systems
(ITS)
^ Alternative fuels and vehicles
• Telecom/Information Technology
^ Geographic Information System
(CIS)
• Public Safety Technology
• Energy Technology
^ Reducing energy demands
^ Renewable energy
• Environmental Technology
^ Industrial Ecology
85
January 1999
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CHAPTER FOUR
MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT
FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
Staging
^ Reluctant or hesitant stakeholders
^ Community priorities and
objectives
^ Incomplete or inaccurate site
characterization
^ Threat of contamination spread
^ Long-term remedial approaches
^ Government policy and
requirement changes
^ Loss of market opportunity
window
^ Contingent risks of
owners/developers
• Address the community concerns
^ Relate scientific results and risks
to community understanding
^ Inform the public of issues critical
to their interests
^ Empower the public to act with
respect to the risk communicated
• Address the project participant
concerns
^ Reluctance to participate and
liability indemnification for
current owner
^ Return on investment and risk
factors/perception for buyer &
developer
^ Borrower circumstances and
property value maintenance for
lender
• Identify the tools for Risk
Management
^ Project organizing
^ Include Federal and State agency
roles
^ Consider risk based corrective
actions based on future uses
^ Consider property ownership
alternatives
^ Establish institutional controls and
insurance
• Resolve the barriers to effective
risk management
^ Lack of communication and
coordination with stake holders
^ Community priorities and
objectives
^ Long-term remedial approaches
"Prospective Purchase Agreements"
-/ CERCLA Amendment, 1996
"Comfort Letter Policy"
"Secured Lenders and Fiduciaries"
protections
• RCRA, Clean Air Act, Clean
\Vater Act Toxic Substances
Control Act, etc.
• CERCLA
^ "Joint and Several Liability"
-S SARA, 1986
S EPA Guidance, 1992
"Covenant not to Sue"
"Prospective Purchase Agreements"
-/ CERCLA Amendment, 1996
^ Control of development
• Promote ecological factors
^ Eco-Industnal parks
^ Reclaimed Brownfields for parks
and open spaces
^ Green space and open space as
interim use
^ Reclaimed Brownfields in
ecologically sensitive areas
^ Landscape design considerations
• Promote socioeconomic factors
^ The right property
^ The right use
^ The right incentives
• Site Marketing
^ Sites as community assets
^ Role of prevailing market forces
^ Market or feasibility analyses
• Promote program factors
^ Community expectations
^ Rationality and incentives
^ Ownership
^ Program life cycle
^ Control of development
• Promote ecological factors
^ Planning, public outreach and
design approval
^ Development and reconstruction
^ Long term operational support
• Public Sources of funds, primarily
for the initial stages of the project
-S Federal - EPA, HUD, DOT,
DOC, SB A
^ State — environmental or
economic agencies, tax programs,
loans
^ Local — incentive programs, tax
increment financing programs,
grants
• Private Sources of funds
^ Property owners or other
responsible parties
^ Prospective purchasers or
developers
^ Equity investors
^ Commercial banks
^ Private foundations and
universities
• Redevelopment processes
requiring funding
^ Site characterization and
remediation, planning, public
outreach and design approval,
development and reconstruction,
long term operational support
^ Eco-Industrial parks
^ Pollution prevention and waste
minimization
^ Site assessments and remediation
^ Ecological monitoring and
assessment
• Transportation Technology
^ Intelligent Transportation Systems
(ITS)
^ Alternative fuels and vehicles
• Telecom/Information Technology
^ Geographic Information System
(CIS)
• Public Safety Technology
86
January 1999
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CHAPTER FOUR
MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT
FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
Loss of market opportunity
window
Contingent risks of
owners/developers
Address the community concerns
Address the project participant
concerns
Reluctance to participate and
liability indemnification for
current owner
Return on investment and risk
factors/perception for buyer &
developer
Borrower circumstances and
property value maintenance for
lender
"Comfort Letter Policy"
"Secured Lenders and Fiduciaries"
protections
RCRA, Clean Air Act, Clean
Water Act, Toxic Substances
Control Act, etc.
Eco-Industrial parks
Reclaimed Brownfields for parks
and open spaces
Green space and open space as
interim use
Reclaimed Brownfields in
ecologically sensitive areas
Landscape design considerations
Promote socioeconomic factors
The right property
The right use
The right incentives
Site Marketing
Sites as community assets
Role of prevailing market forces
Market/feasibility analyses
Public Sources of funds, primarily
for the initial stages of the project
Federal - EPA, HUD, DOT,
DOC, SB A
State — environmental or
economic agencies, tax programs,
loans
Local — incentive programs, tax
increment financing programs,
grants
Private Sources of funds
Property owners or other
responsible parties
Prospective purchasers or
developers
Equity investors
Commercial banks
Private foundations and
universities
Implementation
Resolve the barriers to effective
risk management
Lack of communication and
coordination with stake holders
Community priorities and
objectives
Incomplete or inaccurate site
characterization
Threat of contamination spread
Long-term remedial approaches
Government policy and
requirement changes
Address the community concerns
Relate scientific results and risks
to community understanding
Inform the public of issues critical
to their interests
Empower the public to act with
respect to the risk communicated
Address the project participant
concerns
for current owner
Return on investment and risk
factors/perception for buyer &
developer
Borrower circumstances and
property value maintenance for
lender
Use the tools for Risk
Management
CERCLA
"Joint and Several Liability"
SARA, 1986
EPA Guidance, 1992
"Covenant not to Sue"
"Prospective Purchase Agreements'
CERCLA Amendment, 1996
"Comfort Letter Policy"
"Secured Lenders and Fiduciaries"
protections
RCRA, Clean Air Act, Clean
Water Act, Toxic Substances
Control Act, etc.
Promote program factors
Community expectations
Rationality and incentives
Ownership
Program life cycle
Control of development
Promote ecological factors
Eco-Industrial parks
Reclaimed Brownfields for parks
and open spaces
Green space and open space as
interim use
Reclaimed Brownfields in
ecologically sensitive areas
Landscape design considerations
Promote socioeconomic factors
The right property
The right use
The right incentives
Site Marketing
Sites as community assets
Role of prevailing market forces
Redevelopment processes
requiring funding
Site characterization and
remediation
Development and reconstruction
Long term operational support
Public Sources of funds, primarily
for the initial stages of the project
Federal - EPA, HUD, DOT,
DOC, SB A
State — environmental or
economic agencies, tax programs,
loans
Local — incentive programs, tax
increment financing programs,
grants
Private Sources of funds
Property owners or other
responsible parties
Prospective purchasers or
developers
Equity investors
Commercial banks
Private foundations and
universities
Energy Technology
Reducing energy demands
Renewable energy
Environmental Technology
Industrial Ecology
Eco-Industrial parks
Pollution prevention and waste
minimization
Site assessments and remediation
Ecological monitoring and
assessment
Transportation Technology
Intelligent Transportation Systems
(ITS)
Alternative fuels and vehicles
Telecom/Information Technology
Geographic Information System
(CIS)
Public Safety Technology
87
January 1999
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CHAPTER FOUR
MODEL FRAMEWORK FOR SUSTAINABLE BROWNFIELDS REDEVELOPMENT
FIGURE 4.3: MATRIX OF INTEGRATED PARAMETERS, ELEMENTS AND CHARACTERISTICS (PECS) AND BROWNFIELDS PROCESSES
Project organizing
Federal and State agency roles
Use risk based corrective actions
based on future uses
Apply institutional controls and
insurance
Synthesis
Address the community concerns
Relate scientific results and risks
to community understanding
Inform the public of issues critical
to their interests
Empower the public to act with
respect to the risk communicated
Use the tools for Risk
Management
Project organizing
Continue Federal and State agency
roles
Use risk based corrective actions
based on future uses
Monitor property ownership
changes
Monitor effectiveness of
institutional controls and
insurance
Monitor CERCLA agreements
"Joint and Several Liability"
SARA, 1986
EPA Guidance, 1992
"Covenant not to Sue"
"Prospective Purchase Agreements"
CERCLA Amendment, 1996
"Comfort Letter Policy"
"Secured Lenders and Fiduciaries"
protections
RCRA, Clean Air Act, Clean
Water Act, Toxic Substances
Control Act, etc.
Monitor changes in laws and
regulations
Monitor program factors
Community expectations
Rationality and incentives
Ownership
Program life cycle
Control of development
Promote ecological factors
Promote socioeconomic factors
Site Marketing
Maintain sites as community assets
Monitor changes in prevailing
market forces
Identify new Redevelopment
processes requiring funding
Development and reconstruction
Long term operational support
Identify new public sources of
funds, primarily for the re-
initiating projects
State — environmental or
economic agencies, tax programs,
loans, revolving funds
Local — incentive programs, tax
increment financing programs,
grants
Private Sources of funds
Property owners or other
responsible parties
Prospective purchasers or
developers
Equity investors
Commercial banks
Private foundations and
universities
Energy Technology
Reducing energy demands
Renewable energy
Environmental Technology
Industrial Ecology
Eco-Industnal parks
Pollution prevention and waste
minimization
Site assessments and remediation
Ecological monitoring and
assessment
Transportation Technology
Intelligent Transportation Systems
(ITS)
Alternative fuels and vehicles
Telecom/Information Technology
Geographic Information System
(CIS)
Public Safety Technology
88
January 1999
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CHAPTER FIVE
MODEL FRAMEWORK FOR SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
CONFIRMATION OF
MODEL
FRAMEWORKS
^ Comparative Models
^ Brownfields Project
Comparisons
A model is an approximation (or interpretation) of reality that
represents a system or process in sufficient detail that it can
be used as a means of communicating and illustrating
information in a manner that is more easily understood and manipulated than the
actual subject it represents. It serves as a mechanism for establishing consensus
on basic values, rules, procedures, and provides an understanding of the
mechanisms by which various actions and processes work together. Normally
the model structure is composed of one or more elements or characteristics
defined as independent variables, that is accessible and subject to manipulation
by sources external to the model, while the remaining elements are understood to
be dependent variables, or assumed to be the consequences of the actions taken
to alter or manipulate the independent variables.
The purpose of this study is to create the framework for a model such as that
described above. This framework integrates the essential components of the
concept of sustainability with the requirements of a Brownfields redevelopment
process in order to establish the essential outline of the process of sustainable
Brownfields redevelopment. The approach employed in the development of
this framework was focused on those aspects of the Brownfields process that are
within the purview of project participants to guide and direct, and that are
identified as having some association with the process of sustainable
development.
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January 1999
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CHAPTER FIVE
MODEL FRAMEWORK FOR SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
This framework is based on a dynamic perspective. It describes a process of
Brownfields redevelopment that is generic to multiple contexts and is broad
enough to serve as an aide to the understanding of the essential elements of
sustainability that are important to the process. It also allows sufficient flexibility
to accommodate the individual variations that make each project unique to the
community context in which it takes place. As with any model, the framework
developed here is only as good as its initial assumptions and the quality and level
of detail of the data developed, both to support the creation of the framework
and to support the subsequent actions of the model framework as it is applied to
a specific situation.
In order to confirm that the resulting model framework accurately reflects the
Brownfields redevelopment process, it is necessary to verify its primary elements
against real world experience (see the schematic of the model process, Figure
2.2). A detailed verification of the model framework is not possible within the
scope and limitations of this study. However, it is possible to establish a
mechanism by which the major elements are confirmed in their association with
the key elements of sustainable development and the basic requirements of a
Brownfields redevelopment project. This is accomplished by a comparison with
other similar models.
Comparison with other existing models of sustainable development that do not
address Brownfields directly provides a form of validity. That is, does the model
actually represent what it purports to represent, the elements and characteristics
of sustainable development? In this case, identification with key components of
other models of sustainable development provides a basis for confirming that the
elements and characteristics defined for the model framework here are those
generally associated with the concept of sustainability in other contexts and
therefore can be assumed to be integral to the process of sustainable
development.
90 January 1999
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CHAPTER FIVE
MODEL FRAMEWORK FOR SUSTAINABLE
BROWNFIELDS REDEVELOPMENT
Also, by comparing the model framework with the experience of two existing
Brownfields redevelopment projects, one urban in character and one rural, a
preliminary evaluation of the applicability of the model elements to successful
real-world situations can be conducted. Although this comparison is limited by
the small number of projects examined and the availability of specific
information related to these projects, it is sufficient to establish a basis for
demonstrating the ability of the model framework to anticipate the requirements
of actual projects.
The concept of sustainability and the companion process of sustainable
development have become important components of a growing number of
development models. Although these models can exhibit large differences in
focus and approach, they are also complementary in terms of their overall
objectives, elements considered, and insight into the sustainable development
process.
For the purposes of this comparison, a number of models of sustainable
development were considered and reviewed. Four of these were selected on the
basis of differing scope, context, and emphasis:
Ecosystems Approach - a conceptual planning model framework defined
primarily by the boundaries of ecological systems and based on the
key issues of: maintaining viable economic development; ensuring
pristine ecological conditions; and addressing natural resource
impacts from socioeconomic developments.
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Eco-village Model - a model that incorporates the concept of the human scale
community in which all major functions necessary to support human
activity are maintained in balanced proportions and integrated into
-(-In £} t^o+n i +*o ^>t^TTl t~/~\t-i tTi^t-i +•
the natural environment.
New Urbanism - an approach that seeks to reverse the patterns of urban sprawl,
disinvestment in central cities, environmental deterioration,
segregation of communities, and loss of open space through an
emphasis on the design of a supportive physical framework
Smart Growth - a model framework that emphasizes the process of making
development within the community more sustainable by directing
new growth to designated areas, protecting sensitive land and habitat,
avoiding increased sprawl development, and emphasizing quality of
life and community identity and cohesion.
To facilitate the comparison of each of the models with the Brownfields model
framework presented here, each of the models was arrayed individually across
the ten key elements of sustainable Brownfields Projects. The results are
presented in Table 5.1, The Matrix of Comparable Development Models. A
more detailed summary of the four sustainable development models employed
for this comparison is presented in Appendix C.
Although Brownfields redevelopment is not a specific objective of any of the
four models examined in detail, each of these models emphasizes land use,
avoidance of sprawl development, preservation of green space, and the
interrelationship of social, economic, and ecological factors. These are all factors
that are an integral part of the Brownfields redevelopment process. The
approach and points of emphasis (e.g. physical design, ecosystem management,
community development, economic development) are different, but the
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emphasis on these factors as essential elements in the achievement of
sustainability is common to each.
Figure 5.1: Matrix of Comparable Development Models
Model
Ecosystems
Approach
Eco-Village Model
New Urbanism
Smart Growth
Scope
Ecological
resources and
the supported
communities
Sustainable
community
development
Urban planning
and design
practice
Sustainable
Development
Context
Regional or
geographic
framework
Community
(urban and
rural)
Urban centers
and towns
within
metropolitan
regions.
Community-
wide
Approach
Descriptive,
ecosystem
management
approach
Conceptual
framework -
process
development
physical design
Procedural
Objective
Sustaining or restoring the
health, productivity, and
biological diversity of natural
systems, and development of a
future vision that integrates
ecological, economic and social
factors.
Meeting human needs while
protecting the ecology by
developing human scale
communities where major
human functions are in
balanced proportion, integrated
into the natural environment,
and sustainablly organized.
Reverse community and
ecological deterioration
through creation of cohesive
mixed use neighborhoods that
are linked to a larger, regional
open space framework.
Directed growth to avoid sprawl
development and protect
sensitive land, making
development more sustainable
and minimizing the overall
impact on the community and
its environment.
Benefits
Contributes through consensus-
building, prompt action,
reduced uncertainty,
managerial efficiency,
economic equity, and balancing
development goals with
resource conservation.
Responds to a broad range of
conditions in both rural and
urban contexts; emphasizes
conservation of existing
community, while also providing
for ongoing development of
more sustainable alternatives.
Growth that is compatible with
existing scale; improved air
quality; lower services cost; and
greenspace preservation
through decreased
consumption of land and
resources.
Emphasizes development as a
quality of life issue; increases
sense of community; protects
neighborhood investment;
facilitates environmental
protection and the effective use
of public capital.
Elements of Sustainability
*
A
*
*
A
*
*
A
*
*
*
*
*
*
A
*
$M/y
'•$/*/
£v /
A
*
On this basis, it is a reasonable assumption that the components of the
successful Brownfields redevelopment are amenable to treatment from a
perspective that emphasizes sustainability. This supports the potential
importance of a sustainable model in the Brownfields planning process as both a
practical mechanism for addressing the immediate problems of Brownfields
redevelopment, and as a means of decreasing the probability that a site may
become a Brownfields site in the future.
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Of the ten key elements defined by the model framework presented in this study,
all were included by at least one of the four models that served as a basis for
comparison. With the exception of risk management, technology applications
and project funding considerations, all of the other elements figure prominently
in more than one of the models.
Concerns for risk management and technology applications would not be
expected for most of these approaches, since they do not directly address
contaminated or potentially contaminated property as a central theme in the
same manner that the Brownfields redevelopment process does. However,
specific consideration for environmental effects are a component part of all four
of the models. Technology, especially transportation related technology, does
play an important role in these models. Similarly, although project funding and
public/private initiatives are not given specific attention as components of three
of the models discussed, they are acknowledged as an area of consideration.
Three of the ten elements - the use of a community or baseline profile, the
employment of a comprehensive planning process based on extensive
community involvement, and the role of a defined organizational structure in the
planning and implementation of the development effort are essential
components of all four of the models studied. Also important were site
characterization techniques and prioritization criteria that were an important
element in three of the four models, but did not emerge as a prominent concern
for the eco-village model.
The results of the review would indicate that all ten of the elements identified
can be considered to have a part in the consideration of sustainability for the
Brownfields redevelopment process. There is sufficient correspondence with
other models of sustainability to also justify their inclusion as a part of the
framework presented here. Several specific components addressing the
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environmental remediation of contaminated sites are not as important to some
community development approaches since these approaches are more focused
on prevention and future protection than on the remediation of existing
contamination. In all cases, the role of the community and its involvement in the
planning and decision making process is emphasized as a key element in assuring
future community support and participation in the project, thereby reducing the
potential for the development again becoming abandoned or underutilized.
5.2 Comparison to Actual Brownfields Community Projects
To further evaluate the applicability of the model framework and potential for project
predictability, two successful real-world projects have been analyzed to determine
how their features compare to the model framework. Based on the recommendation
of various EPA officials, the Baltimore, MD and Oregon Mills Sites Brownfields
projects were selected. These two sites are representative of urban and rural projects
respectively, and are both EPA Brownfields Assessment Demonstration Pilot
Projects. They have progressed further along than most others, and they are generally
recognized as having achieved successful results.
Site-related information highlighted in the following summaries has been extracted
from a variety of published sources including the Pilot Projects' own internet websites
and EPA's Brownfields Information Management System. Significant features of the
projects, composed of either key elements, activities, outcomes, or achievements, that
may be related to the elements and characteristics of sustainability from the model
framework are identified. The significant features are listed according to the general
phase of the project in which they may likely have occurred. In most cases,
assumptions have been made as to when certain features occur because this data
component was not a requirement of project reports.
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The City of Baltimore, Maryland's Brownfields project is representative of a large
urban/metropolitan community redevelopment project. Approximately 1,000 acres
of potential brownfields are located on industrial properties in Baltimore's Federal
Empowerment Zone, half of which are suspected to be contaminated and could
therefore present an additional obstacle to economic revitalization. Sites range in size
from under an acre to about 60 acres and cleanup costs are estimated at less than
$500,000 at most sites.
Since September 1995, when the city was awarded an EPA Brownfields Assessment
Demonstration Pilot and received $200,000, the Baltimore Brownfields Initiative has
assessed more than 30 sites through federal, state, local, and private partnerships and
has voluntary cleanup actions being conducted at four city-owned sites. The goals of
Baltimore's Brownfields Initiative are similar to other city, regional, and statewide
revitalization efforts, including the Baltimore City Comprehensive Plan, Presidential
Empowerment Zone Initiative, and Maryland's "Smart Growth Initiative." The focus
is to encourage economic growth and redevelopment in urban areas while continuing
to provide appropriate and sufficient ecosystem protection, especially within the
regionally sensitive Chesapeake Bay watershed.
The following synopsis highlights the key events, elements, characteristics, and
activities from the Baltimore Brownfields project that compare to this study's
proposed model framework for sustainable Brownfields redevelopment.
• Project Initiation — occurred in 1995 when the City's Planning Office
applied for the EPA Pilot Project grant to complement ongoing economic
development efforts within the Federal Empowerment Zone.
S City's Planning Department and Brownfields Industrial Redevelopment
Council empowered by the City Mayor to provide organizational focus and
central management structure;
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*/ Brownfields Redevelopment Council (comprising community
representatives, State agencies, environmental advocacy groups, and
economic development groups) serves as a project coordination and
technical advisory body;
S Partnerships were fostered between Baltimore city departments, State of
Maryland agencies, EPA, HUD, and the Baltimore Redevelopment
Corporation to develop an inventory of sites;
*/ Outreach meetings were conducted to inform public stakeholders and to
examine State legislation and its effect on Brownfields revitalization.
• Project Planning — conducted by the City's Planning Department under a
city-wide or Empowerment Zone approach to include multiple Brownfields
sites within the project area, and to be integrated with routine planning
activities of City such as developing community profiles and Comprehensive
Master Plans.
*/ Key component of strategy is to leverage City planning and funds with
other programs and organizations having similar goals and objectives for
economic development and environmental protection;
*/ Community profile's socio-economic data used to direct attention of
Federal Empowerment Zone planning and implementation;
S Census data used to delineate neighborhood composition of community
profile to direct outreach, steer minority participation efforts, and
delineate environmental justice concerns;
*/ Computerized inventory of vacant, under-used, and potential
Brownfields properties was developed as a planning tool and linked with
GIS and other information technology systems (ex. COSTAR) and
Baltimore's real property files;
*/ A new citywide Comprehensive Plan is being developed to integrate
Smart Growth initiative and other sustainable development criteria;
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*/ Funding for site assessments used to identify and characterize sites by
determining contamination and marketability;
*/ Project information presented to the public in various settings in order to
further public understanding of the issues and encourage prospective
purchasers/developers to act;
S Community outreach and education conducted among the general public
through meetings, forums, and organized speaking engagements with
political, community groups, and national conferences;
*/ Community associations involved to help identify neighborhood
opportunities for revitalization;
S Partnering with MD Department of the Environment (DEP) to conduct
ASTM Phase I and preliminary ASTM Phase II site assessments on 24
sites (ASTM, 1997a and 1997b);
S Local academic resources and educational technology used to assist in
creating the site inventory, assessing merit and functions of an eco-
industrial park, and identifying Ph.D. research dissertation topics on
innovative technology applications; and,
S Links developed among local agencies and the Baltimore Urban League
to help find project jobs for minorities, and to assist in job training and
placement to address environmental justice concerns.
Project Evaluation — includes many of the same activities as the Planning
event conducted concurrently as information is created, assessed, and now
evaluated in terms of the City's goals and individual site/project objectives.
S Planning and assessment information evaluated for development of a
strategic plan for each site;
S A 'Baltimore Erownfields Report news letter is published and periodic tours are
conducted of Brownfields sites to promote project marketing and
redevelopment opportunities;
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S City's Brownfields Industrial Redevelopment Council conducts regular
meetings with stakeholders to examine issues;
*/ State of Maryland's Voluntary Cleanup Program (VCP) statute
designating innocent purchaser as inculpable person is applied to risk
assessment and management;
*/ Interaction with MD DEP to identify legal/regulatory obstacles and
produce a better and more accessible regulatory environment for
investors;
*/ Interaction with City's Department of Public Works on needed
infrastructure improvements to better market and support
redevelopment projects;
*/ City Planning Department assisting potential developers with matching
sites and projects; and,
*/ Waste-to-energy technology application program integrated into ecopark
redevelopment design to make project largely self-contained with tenants
using the waste generated by other tenants as raw materials.
• Project Staging — many staging-related activities have occurred
simultaneously with other Planning and Evaluation activities in order to
achieve efficiency in addressing multiple sites within a single project, and
because of the different timeframes associated with individual sites within the
project.
*/ Interaction with MD DEP to clarify liability and other environmental
risks and to help resolve any other legal/regulatory obstacles;
S MD VCP provides indemnification as a risk management tool to attract
and protect new users and lenders pursuing remediation of contaminated
property;
S Maryland Smart Growth Initiative (SGI) statute defines and implements
necessary improvements for site restoration;
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*/ Baltimore City and MD SGI promote urban revitalization by focusing
infrastructure spending in previously developed areas or designated
growth areas;
*/ Development of a site marketing and redevelopment trust being explored
that will act as broker/ombudsman to promote private industrial
development and act as a redevelopment authority (acquiring,
remediating, and marketing property for private development);
S EPA Brownfields Assessment Demonstration Pilot and Brownfields
Showcase Community award provides federal funds for site assessment.
community outreach, project planning, and seed monies to establish a
revolving loan fund;
*/ State Department of Business and Economic Development and MD
Economic Development Corporation providing low interest loans and
loan guarantees;
*/ Federally-designated (HUD) Empowerment Zone (for poor urban areas)
to fund $100 million in federal investment capital and $250 million in
business tax incentives; and,
*/ Other partnerships with public agencies are being pursued for federal
funding and technical assistance (ex. DOC Economic Development
Administration, DOD Corps of Engineers, and DOE);
*/ Local lending institutions and individual investors providing private
financing which has proved key to making the project happen.
• Project Implementation — represents the culmination of many activities
initiated during the Planning, Evaluation, and Staging phases and the
transition to actual site restoration or construction of new enterprises/uses
on the property.
*/ Continue to publish the 'Baltimore Brownfields Report news letter and conduct
tours of project to maintain community understanding and continued
marketing;
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*/ MD SGI statute establishes necessary improvement of guidelines for
restoration;
S The Mayor's Office of Employment Development assists with job
placement;
S Fairfield Ecological Industrial Park (EIP) established making Baltimore
the only Empowerment Zone City grantee with a designed EIP;
*/ Inter-modal transportation opportunities and mass transit commuting
options linked to economic redevelopment initiatives;
*/ Academic institutions and education technology resources tapped to
provide technical assistance in site-specific bioremediation solutions and
establishing operating parameters for eco-industrial park;
S EIP linkages to explore connections that target waste exchanges; and,
*/ Unique EIP recruiting process targets "Green" or clean manufacturing or
commercial businesses, potential environmental technology firms to
expand pollution prevention, business networking, and closed-loop
capabilities within the Park, and small service-oriented companies to fill
strategic needs within the EIP.
• Project Synthesis — involves activities that "look to the future" in order to
integrate redevelopment projects into the community fabric and prevent the
occurrence of more Brownfields.
*/ Experience from EPA Pilot Project served as a catalyst for the
assessment, remediation, and redevelopment processes at the ASARCO
Smelter property, another Brownfields project;
S Agreement reached between the City and State on improving public
education as a Brownfields Initiative objective;
*/ Technology transfer program from local military industries to community
development being explored;
*/ Selection criteria developed for determining where innovative
technologies may be applied;
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$3 million revolving loan and grant program with the City Planning
Department and Empower Baltimore Management Corporation
dedicated to financing future Brownfields revitalization projects in the
City's Empowerment Zone; and,
Working with EPA's Small and Disadvantaged Business Utilization
Office and the National Association of Minority Contractors to discuss
opportunities for environmental training programs for minority business
owners and employees.
The Oregon Mill Sites conversion project is an example of a Brownfields
redevelopment project based in a predominately rural context. The goal of the
project is the rehabilitation of vacant and abandoned mill sites into productive,
readily usable, industrial and commercial properties, that can be targeted for
recruitment, expansion, or retention of businesses suitable to the communities'
resources and development strategies. The Pilot project has expanded from the
original seven sites to address nine target sites with a combined coverage of 550
acres. An additional five sites have been added to the project since the initial
pilot was begun, bringing the total number of sites considered by the project to
fourteen.
The project organization is a public/private partnership managed by a non-profit
corporation under the overall coordination of the State Economic Development
Department. A project advisory committee has been formed with
representatives from the partnership groups as well as others with particular
expertise. The pilot is an example of the use of a regional approach to take
advantage of expanded resources and shared efforts in areas where resources
available to individual projects may be limited. Local Action Committees (LAC)
are responsible for developing and implementing redevelopment plans tailored to
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each site that consider land use, wetland mitigation, cleanup, and redevelopment
incentives. Each LAC creates outreach plans to ensure broad community input
to cleanup and redevelopment efforts.
Most sites have completed ASTM Phase I and Phase II site assessments
combined with wetlands delineations. The project is emphasizing community
awareness programs to address risk communication with local citizens. The
project is also evaluating the potential for using generic cleanup options to help
developers assess cleanup liability, financing options and development risks; and
to establish cleanup standards for similar abandoned mill sites.
The following synopsis highlights events, elements, characteristics, and activities
from the Oregon Mill Sites Conversion Project that compare to this study's
proposed model framework for sustainable Brownfields redevelopment. This
summary is not intended to be a comprehensive description of all project related
activity and is limited by the availability of project related information available to
this study.
• Project Initiation — occurred as a result of increasing awareness of the
effects of cutbacks in local industries resulting in depressed property values,
decreasing tax base, abandoned infrastructure, and decreasing family
incomes. The pilot project was initiated by a joint venture group who
applied to the EPA for a demonstration pilot in 1966.
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•S Project was formed as a pub lie/private partnership with a private, non-
profit organization, the Rural Development Initiative (RDI) under the
overall coordination of the Oregon Economic Development Department
to serve as the public entity to oversee activity;
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S Local action committees participate in the design charrette process and
assist in the public outreach effort to achieve community acceptance of
the proposed redevelopment program; and
*/ Project has established a working relationship with the State's banking
committee to assure that banks will be interested in lending for the
redevelopment effort once the site environmental remediation is
completed.
• Project Staging — involves multiple activities directed toward moving sites
toward the implementation of the redevelopment project. A number of sites
have begun this phase of development, with one already seeking qualified
candidates to undertake the redevelopment effort.
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•S Astoria site, identified as a priority remediation effort, is utilizing a
combination of grant and loan funding to provide new shopping,
commercial and residential units for surrounding neighborhood;
*/ Funding strategies for the development effort are in the exploratory
phase, with the expectation that site owners will be required to participate
in the funding, particularly in terms of the site assessments; and
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CONCLUSION AND RECOMMENDATIONS
CONCLUSION AND
RECOMMENDATIONS
^ Application of Model
Frameworks
^ Recommendations
I ntil now, the factors upon which the viability of
I redeveloped Brownfields projects depend have neither
^h been adequately defined nor characterized in models that
can be used by the EPA to assess and support Brownfields environmental
restoration and economic development over an extended time period. The
complexity of a Brownfields project, as evident by the number of different ways
the process has been characterized, the realm of particular variations in the
nature of a site, and how the process can be approached and performed, poses a
significant challenge to the development of a single model that can represent the
full range of possible projects. In addition, the desire to include in the model the
concept of sustainability applied at an operational level further complicates the
modeling effort.
The objective of this study was to use those parameters, elements, and
characteristics indicative of successful Brownfields sustainable redevelopment
that were developed during the initial research phase of the study to build a
model framework that can be used by EPA to evaluate and support potential
scenarios for future Brownfields cleanup, restoration, and redevelopment. This
objective was achieved by evaluating the occurrence of activities in the fifteen
Brownfields Assessment Demonstration Pilot Project case studies that were part
of the initial research effort, in order to define major events and significant
milestones, where possible, that could be all-inclusive of activities from any
Brownfields project. By applying this range of activities against a model of the
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basic project management process, a framework was developed to represent the
overall process for Brownfields redevelopment projects. Then, by integrating the
parameters, elements, and characteristics (PECs) of sustainable Brownfields
projects according to their observed and potential occurrence within the overall
process, it was possible to create a model framework (depicted in Figure 4.2) that
represents a sustainable Brownfields redevelopment project.
The study also found that the model framework is generally broad enough to
include multiple contexts of Brownfields redevelopment projects ranging from
single to multi-site and urban to rural scale projects. In fact, the primary
differences between urban and rural projects are mainly details in the
infrastructure and resources locally available that apply to the project. These
differences can be minimized in their influence depending on how the project is
approached and how the process is implemented within the overall model
framework. For example, though still adhering to the model framework, a
regional approach leverages resources by incorporating partnerships and inter-
governmental (and inter-community) collaborations, effectively normalizing the
perceived resource deficiencies in rural projects and promoting greater
economies of scale in resource effectiveness. The fundamental concepts of this
regional approach also apply to multi-site projects within a community,
regardless of its urban or rural character.
The challenge of connecting the concepts of sustainability to activities at the
project level can be achieved in a manner that does not impede the
redevelopment process. The high degree of correlation between the elements
and characteristics theoretically associated with sustainable Brownfields projects
and their frequent occurrence within the two case studies is evidence that a
balance of social, economic, and ecological requirements can be integrated
through a structured approach with successful results.
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The model framework has been designed to assist EPA in evaluating and
supporting various scenarios of Brownfields projects. By incorporating concepts
and practices associated with a sustainable development process, the model
framework contributes to the potential sustainability of the outcome, but does
not ensure, by itself, that the outcome will be absolutely sustainable.
The process described here is neither rigid nor essentially a linear process. Because of
the broad range of variation across communities in terms of values, goals, available
resources, and existing economic and social conditions, no community will start and
end the process at the same point. Similarly, not every component of the model
framework will be applicable to every community. Although all of the component
elements of sustainability are essential to the successful completion of the project,
there appears to be no single step in the process that is required (i.e. a step that if
missed would cause the project to fail). Apart from the remediation of contaminated
areas, the legal and regulatory requirements, and local requirements to permit and
transfer real estate, there is really no single element of the model framework that
absolutely must be accomplished.
Similarly, the framework can be used by communities as a general guide to identifying
Brownfields project factors to be considered if sustainability is a project goal.
However, because goals and objectives are unique to each community's program or
project, no standard set of criteria was defined for successful and unsuccessful
Brownfields redevelopment. Each project's progress will vary according to the
various organizational goals, property location, economic market conditions, existing
legal and regulatory contexts, timeframes established in which to achieve its objectives
or milestones, and other factors often beyond the project management control.
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The social system is dynamic. Events will occur (or new information may be
developed) that impact the process and that could not have been known at the
time the process was begun. The openness of the Brownfields process may
create complications as these externalities (economic, ecological and social), are
imported through trade or connection with other local economies, ecosystems,
or the national and international economy. Sustainability is therefore contingent,
not only on how the development process is carried out, but on the extent to
which the local community and the direct project participants are successful in
anticipating future needs and trends. From this perspective, the process of
ensuring sustainability and avoiding the formation of future Brownfields sites
must be seen as extending beyond final completion of the specific project to
continuing maintenance, monitoring, and adaptation of the project to future
community needs and endeavors.
Sustainability of the redevelopment process also assumes that political certainty
can be established. Any degree of uncertainty jeopardizes the potential for
continuity and consistency in the process. There must be agreement among all
competing parties so that the process continues with similar goals, objectives,
and an assured level of support from public officials and competing interest
groups.
During the course of conducting this study, the following recommendations
were identified that would further refine this model framework and contribute to
the ability to better predict and promote sustainable Brownfields redevelopment
projects in the future:
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^ Brownfields projects should clearly delineate and incorporate factors for
sustainability. These factors should include quantitative measures and be
formally incorporated into periodic reporting requirements so that a set of
comparable data can be established to support ongoing qualitative and
quantitative analysis and evaluation.
^ A review of all 227 current EPA Brownfields Assessment Demonstration
Pilot Projects should be conducted so that a comprehensive data set of
significant events, activities, milestones, elements, and characteristics can be
compiled, recorded, and evaluated that would benefit the refinement of this
model framework and contribute to developing a comprehensive set of
indicators associated with sustainable Brownfields projects.
^ Additional case studies of privately funded, Brownfields type projects need to
be developed in order to document variations in the approach used for these
projects which may differ from those employed in the EPA Demonstration
Pilot Projects.
^ Brownfields projects should be re-evaluated every few years over the next 20
or more years in order to demonstrate the actual contribution that the
elements and characteristics of sustainable Brownfields redevelopment are
able to make to multiple generations, as required by the definition of
sustainability.
These recommendations are offered in order to further the efforts of EPA and
the Brownfields National Partnership Action Agenda.
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EPA (U.S. Environmental Protection Agency), 1997. "Brownfields National Partnership Action Agenda, Fact Sheet."
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DC, U.S.E.P.A. Office of Solid Waste and Emergency Response. EPA500-R-98-001. July.
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Fields, T. 1995. "Federal Agency Brownfields Initiatives." Presentation by the Deputy Administrator, Office of Solid
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Redeveloping Brownfields Workshop. Washington, DC. March 8.
HUD. 1997. "The Effects of Environmental Hazards and Regulation on Urban Environment." Prepared for the U.S.
Department of Housing and Urban Development by the Urban Institute, et. al. Washington, D.C. August.
Jones, D. 1998. "Park-ing Lessons" Brownfields News, Vol.2, No. 3, June.
La More, R., 1995. "Creating a Community Based Economic Model" Urban Record, Volume 11 #1, Summer.
McMahon, E. T., 1997. "Stopping Sprawl by Growing Smarter." Planning Commissioners Journal. Issue 26. Spring.
Morrison, R., 1996. "Brownfields Redevelopment." Presentation Delivered to the U.C. Berkeley Extension
Environmental Leadership Roundtable. Bank of America. March 15.
NEJAC (The National Environmental Justice Advisory Council). 1996. "Environmental Justice, Urban Revitalization,
and Brownfields: The Search for Authentic Signs of Hope. (A report on the "Public Dialogues on Urban Revitalization
and Brownfields: Envisioning Healthy and Sustainable Communities." December.
Pellow, D. N., 1998 "A Community based perspective on Brownfields: Seeking Renewal From the Bottom-Up.
Evanston IL.: Northwestern University, Department of Sociology, Institute for Policy Research.
PTI. 1998. "The Technology Home Page for Local Governments." [online]. Public Technology, Inc. available:
http://pti.nw.dc.us. [April 26, 1998].
Resource Conservation and Recovery Act of 1976 (RCRA), as amended. 42 U.S.C., Section 6901, et. seq.
Schaffer, R. (1995). "Achieving Sustainable Economic Development in Communities". Journal of the Community
Development Society. 26(2):145-154.
Tainter, J.A., 1996. Complexity, Problem Solving, and Sustainable Societies. In Getting Down to Earth: Practical
Applications of Ecological Economics, Island Press.
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REFERENCES
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APPENDIX A
LIST OF ACRONYMS
A List of Standard Acronyms Used in This Document
ASTM American Society for Testing and Materials
BERI Brownfields Economic Development Initiative
BRAG Base Realignment and Closure
CAP Corrective Action Plan
CDBG Community Development Block Grant
CDC Community Development Corporation
CERCLA Comprehensive Environmental Response, Compensation & Liability Act (Superfund)
CERCLIS Comprehensive Environmental Response, Compensation & Liability Information System
CESD Center of Excellence for Sustainable Development
CPC Cuyahoga County Planning Commission
CRA Community Reinvestment Act
DOD U.S. Department of Defense
DOE U.S. Department of Energy
DOI U.S. Department of the Interior
DOJ U.S. Department of Justice
EC Enterprise Community
EDZ Economic Development Zone
EJ Environmental Justice
EPA U.S. Environmental Protection Agency
ESA Ecological Society of America
EO Executive Order
EZ Enterprise Zone
EZ/EC Empowerment Zone/Enterprise Community
FUSRAP Formerly Utilized Sites Remedial Action Program
GAO U.S. General Accounting Office
GC/MS Gas Chromatography/Mass Spectrometry
GIS Geographic Information System
GPS Global Positioning Satellite
HUD U.S. Department of Housing and Urban Development
ICMA International City/County Management Association
IDA Industrial Development Authority
IDE Industrial Development Bond
IEMTF Interagency Ecosystem Management Task Force
IRM Institute for Responsible Management
ISTEA Intermodal Surface Transportation Efficiency Act
ITI Intelligent Transportation Infrastructure
ITS Intelligent Transportation System
LAC Local Action Committee
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LIST OF ACRONYMS
LCLT Lopez Community Land Trust
LNYW "Live Near Your Work" Program
LUSTs Leaking Underground Storage Tanks
MOU Memorandum of Understanding
NEJAC National Environmental Justice Advisory Council
NIMBY "Not in My Backyard"
NFS National Park Service
NYSEDZ New York State's Economic Development Zone
OEA Office of Environmental Affairs (US.E.P.A.)
OSWER Office of Solid Waste and Emergency Response (U.S.E.P.A.)
PCB Polychlormated Biphenyl's
PECs Parameters, Elements, and Characteristics of Sustainable Brownfields Redevelopment
PPA Prospective Purchase Agreement
RBCA Risk-Based Corrective Action
RBDM Risk-Based Decision Making
RCED Rural Economic and Community Development
RCRA Resource Conservation and Recovery Act
RFP Request for Proposal
RIDEM Rhode Island Department of Environmental Management
SARA Superfund Amendments and Reauthonzation Act of 1986
SEP Supplemental Environmental Project
STIP Sustainable Technologies Industrial Park
SUNY State University of New York
TDR Transfer of Development Rights
TQM Total Quality Management
TSCA Toxic Substances Control Act
TSD Treatment, Storage and Disposal
U.S.C. United States Code
USEPA United States Environmental Protection Agency
UST Underground Storage Tank
UVA University of Virginia
VCP Voluntary Cleanup Program
WCMC West Central Municipal Conference
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APPENDIX B
GLOSSARY OF TERMS
ASTM
Brownfields
Brownfields Program
Brownfields Pilot
Brownfields Site
CERCLA
CERCLIS
The American Society for Testing and Materials. An organization that establishes standards for industrial
and other services, including methods of testing and sampling of hazardous waste and contaminated media.
Brownfields sites are abandoned, idled, or underutilized industrial and commercial facilities where expansion or
redevelopment is complicated by real or perceived environmental contamination.
The U.S. Environmental Protection Agency's Brownfields Economic Redevelopment Initiative is organized to
help communities revitalize Brownfields properties (both environmentally and economically), mitigate potential
health risks, and restore economic vitality to areas where Brownfields exist. It is designed to empower States,
communities, and other stakeholders in economic redevelopment to work together in a timely manner to
prevent, assess, safely clean up, and sustainably reuse Brownfields. Efforts under the Brownfields Initiative are
grouped into four broad and overlapping categories: 1) Providing grants for Brownfields pilot projects; 2)
Clarifying liability and cleanup issues; 3) Building partnerships and outreach among federal agencies, states,
tribes, municipalities, and communities; and 4) Fostering local job development and training initiatives.
The Brownfields pilots are designed to support creative explorations and demonstrations of Brownfields
solutions. The Pilots, each funded at up to $200,000 over two years, test redevelopment models; direct special
efforts toward removing regulatory barriers without sacrificing protectiveness; and facilitate coordinated site
assessment, environmental cleanup and redevelopment efforts at the federal, state, and local levels. These grants
are used to generate interest by bringing together community groups, investors, lenders, developers, and other
affected parties to address the issues of cleaning up sites contaminated with hazardous substances and returning
them to appropriate, productive use. The pilots are intended to provide EPA, States, Tribes, municipalities, and
communities with useful information and strategies as they continue to seek new methods to promote a unified
approach to site assessment, environmental cleanup, and redevelopment.
A Brownfields site is a property, or portion thereof, that has actual or perceived contamination and an active
potential for redevelopment or reuse.
The Comprehensive Environmental Response, Compensation, and Liability Act authorizes the federal
government to create a special trust fund (the Superfund) to be used for the assessment and cleanup of spills and
other releases of hazardous substances, as well as abandoned or uncontrolled hazardous waste sites. It
establishes the requirements and procedures for the cleanup of sites that have been contaminated by releases of
hazardous substances, and requires that a deed for federally owned property being transferred outside the
government contain a covenant that all remedial action necessary to protect human health and the environment
has been taken, and that the U.S. shall conduct any additional remedial action necessary after transfer.
The Comprehensive Environmental Response, Compensation, and Liability Information System is a
database that serves as the official federal inventory of CERCLA hazardous waste sites, and includes information
about the sites, planned and actual site activity, and financial information.
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APPENDIX B
GLOSSARY OF TERMS
Ecosystem
EZ/BC
Enterprise Zone
Environmental Justice
Fringe
Greenways
Hazardous Substance
Human-made Capital
Industrial Ecology
Institutional Controls
Infill Redevelopment
Leakage
Described in its simplest terms, an ecosystem is an interconnected community of living things (including humans), and the
physical environment (non-living substances) within which they interact.
Empowerment Zone/Enterprise Community. A geographic area that has been targeted to receive special
federal treatment and incentives in an effort to spur private investment and job creation. The program is a
Presidential initiative designed to afford communities real opportunities for growth and revitalization through
economic opportunity, sustainable community development, community-based partnerships, and a strategic
vision for change. Designated communities receive technical assistance, grants, employer tax credits, tax-free
facility bonds, tax deductions, and increased coordination with federal programs. The urban portion of the
program is administered through HUD; the rural portion through USDA Rural Development.
A targeted area that has been designated as blighted or economically depressed by a governmental entity in an
effort to stimulate economic activity through tax reduction, changes in zoning restrictions, and other
governmental regulations on private enterprise. Implemented through state legislation, these economic incentives
for investment and/or job creation are expected to stimulate market forces to respond in the designated areas.
Established by Executive Order No. 12898, environmental justice asserts the fair treatment of people in the
development of environmental laws, regulations, and policies; irrespective of race, culture or socioeconomic
status.
The contiguous area on the periphery of existing development and infrastructure that is connected to the urban
core.
Linear areas containing protected lands that connect important natural, cultural, and recreational resources. A
Greenway provides human access to a resource through trails or other recreational resources. It can also be set
aside as a means of protecting sensitive resources.
As defined under CERCLA, any chemical or radiological material that poses a threat to public health or the
environment; also any such wastes as defined under RCRA. Examples include materials that are toxic, corrosive,
ignitable, explosive, or chemically reactive.
All of the tools, machines, equipment, technologies, structures, factories, and infrastructure that are the output
product of economic production, or are consumed in the process of economic production.
The study of engineering principles and processes based on the concept that society must balance its accounts of
materials and energy with the ultimate goal of minimizing harmful wastes and reusing, to the greatest extent
possible, both the wastes and the industrial products themselves.
A legal or institutional measure that subjects a property owner (or tenant) to limitations on access or activity at a
particular site in order to protect human health or the environment. Institutional controls normally allow a
contaminated property to be returned to use more quickly.
Construction of new projects on undeveloped parcels of land that are interspersed among existing, developed
parcels with supporting infrastructure in place; or reintroducing development and adaptive reuse to a previously
developed, abandoned, demolished, or vacated site with supporting infrastructure in place.
That portion of income to a community that is not spent or reinvested locally, but leaves the area as payment for imported
goods and services, outside investment, or as tax payments to government.
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APPENDIX B
GLOSSARY OF TERMS
Natural Capital
Open Space
PECs
Phase I Audit
Phase II Audit
Phase III Audit
PRP
Public Capital
RBCA
RCRA
Removal Action
Revolving Loan Fund
Risk Assessment
The natural environment and its living systems, defined in terms of a stock of environmentally provided assets (soil,
atmosphere, forests, minerals, water, fauna, wetlands), that provide the useful materials that represent the raw input or
consumable products of human production.
Designated areas of a site, development, community, or region set aside to be maintained in a natural state, or
restricted to only very sparse development.
The parameters, elements and characteristics of sustainable Brownfields redevelopment, defined so that
parameters represent the three major systems of social structure; economic, social, and ecological. Within these
three parameters, specific elements are defined in terms of their association with sustainable development and
the associated characteristics of those elements are documented.
An ASTM Phase I Environmental Audit is an initial environmental investigation that is limited to a historical
records search to determine ownership of a site and to identify the kinds of chemical processes that were carried
out at the site. A Phase I audit may include a site visit, but does not involve any environmental sampling.
An ASTM Phase II Environmental Audit is an investigation that includes tests performed at the site in order to
confirm the location and identity of environmental hazards and recommend cleanup alternatives.
A Phase III Environmental Audit includes the comprehensive characterization, evaluation, and removal of
contaminated materials from a site, and their legal disposal.
A potentially responsible party is any individual, or organizational entity (e.g. owners, operators, transporters,
managers, or generators of hazardous wastes) that is potentially responsible for, or contributing to, the
contamination problems at a CERCLA (Superfund) site.
Funds that are spent by government entities for products, facilities, or services that are designated for the benefit
of the public.
Risk-Based Corrective Action is a streamlined approach, defined by the ASTM, in which exposure and risk
assessment practices are integrated with traditional components of the corrective action process to ensure that
appropriate and cost-effective remedies are selected, and that limited resources are properly allocated.
The Resource Conservation and Recovery Act (1976) establishes the federal regulatory program to track solid
and hazardous waste management from generation to disposal. The Act defines solid and hazardous waste,
authorizes EPA to set standards for facilities that generate or manage hazardous waste, and establishes a permit
program for hazardous waste treatment, storage, and disposal facilities.
A removal action is usually a short-term effort designed to stabilize or cleanup a hazardous waste site that poses
an immediate threat to human health, or the environment.
A loan program, usually sponsored by a government entity, in which a specific amount of public funds is set
aside to make loans for delineated purposes. As the loans are repaid, the funding pool is reallocated and loaned
out again.
The process of identifying and documenting actual and perceived risks to human health or the environment, to
allow further evaluation and appropriate responses.
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GLOSSARY OF TERMS
Risk Communication The exchange of information about human health or environmental risks among public and private individuals to
accurately inform and promote mutual understanding.
Rural Areas of land constituting various land uses at a low density which are suitable for sparse settlement, farms; or
areas with little or no public services not suitable, necessary, or intended for urban use; separated from other
jurisdictions by farms, forest, or open space; and usually dependent on agriculture or some other singular
industry. Defined by population, the US Census Bureau considers rural to be all territory, population, and
housing units in places of less than 2,500 including outside incorporated areas and census designated places, and
the rural portions of extended cities.
Site Assessment The process of determining whether there is contamination present at a site, the source and extent of that
contamination, and the potential pathways of exposure to the public and the environment.
Social Capital People, their capacity levels, institutions, cultural cohesion, education, information, skills, and knowledge.
Suburban Areas adjacent to the urban core with various land uses at various densities having disclusionary zoning that
implements a separation of uses, and with a focus on residential spacing.
Sustainability The ongoing process of achieving development or redevelopment that does not undermine its physical or social systems of
support.
Sustainable Development A process of change in which the resources consumed (both social and ecological) are not depleted to the extent that they
cannot be replicated. The concept also emphasizes that the creation of wealth within the community considers the well-
being of both the human and natural environments, and is focused on the more complex processes of development rather
than on simple growth or accumulation.
Sustainable Brownfields A project defined as one in which redevelopment and growth are maintained over the long-term and occur
within the limits of the environment so that the current needs of the citizens are met without compromising the
ability of future generations to meet their needs.
Tax Increment Financing A method of financing infrastructure and other public costs of preparing and providing useable lands for
development or redevelopment by enabling a city to specifically allocate the property tax revenue generated from
a new development to the debt incurred as a part of the initial improvements required for that development. The
taxable value on the developable land is frozen before development occurs. Upon the completion of
development, the ensuing increased tax revenues realized as a result of an increase in taxable valuation above the
frozen value is reallocated to pay for the improvements to the property. The developer still pays all taxes due on
the increased value. The amount up to the frozen valuation is distributed to all governmental taxing jurisdictions
(city, county, school district, public utility, etc.). However, the increased increment above the frozen value is
reallocated away from the various taxing jurisdictions and governmental purposes and applied to the initial
project improvement costs. Once these debts are recovered, the full taxable valuation is again distributed among
the various taxing jurisdictions.
Urban Areas of large land mass and population nucleus constituting various land uses at high density with supporting
infrastructure and public services, and a high degree of economic and social integration. Defined by population,
the US Census Bureau considers urban to be all territory, population, and housing units in urbanized areas and in
places of 2,500 or more persons outside urbanized areas.
Urban Sprawl The decentralization of the urban core through the unlimited outward extension of dispersed development
beyond the urban fringe where low density residential and commercial development exacerbates fragmentation
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GLOSSARY OF TERMS
of powers over land use; also, the consumption of resources and land in excess of what is necessary where
development is costly and underutilizes existing infrastructure.
Voluntary Cleanup A formal means established by many States to facilitate assessment, cleanup, and Program (VCP) redevelopment
of Brownfields Sites. Under VCP, owners or developers of a site are encouraged to approach the State
voluntarily to work out a process by which the site can be readied for redevelopment.
Zoning The local governmental control over land use by stipulating what can be constructed in certain areas and how
structures may be used. A community is classified by various zones, with differing land use controls imposed on
each zone, specifying the allowable uses of land and buildings, the intensity or density of such uses, and the size
and placement restrictions of buildings.
— Disclusionary Zoning - The separation of uses by strict delineation of what can be included in certain
zoning classifications and buffering the different uses and their intensities.
— Inclusionary Zoning - The prerequisite of including low- to moderate-income households in a
development that exceeds a certain specified number of housing units.
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GLOSSARY OF TERMS
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APPENDIX C
MODELS OF SUSTAINABLE DEVELOPMENT
Appendix C: Models of Sustainable Development
Model: Eco-village (Eco-city)
Scope: Sustainable community development.
Context: Community-wide (urban and rural settings).
Approach: The model is both conceptual (in terms of key parameters and principles, and the treatment of the relationship between
component elements), and process oriented (in the actual development of the eco-village itself).
Objective: Although there is no generally agreed upon definition of the eco-village, the model incorporates the concept of a human
scale community in which all of the major functions necessary to support normal human activity are present, in
balanced proportions, integrated into the natural environment, and supportive of healthy human development in a
manner that is sustainable (i.e. can be continued into the indefinite future). The objective of the model is to provide a
framework for solutions that meet human needs while protecting the environment and providing an enhanced quality of
life.
Key Characteristics: The framework is based on the concepts of economic viability and ecological sustamability. The primary focus includes:
the relationship between the level of human activity and the sustamability of current land uses; maintenance of the
character of the immediate neighborhood; and maintenance of a strong community identity. Economic viability is
considered critical to a continuing sense of community. Viability allows residents to live and work in the same
community; thus, contributing to an overall sense of community identity and stewardship.
Specific enterprises within the community are evaluated on the basis of their ability to: promote the vitality of the
natural resource base; increase the biological diversity; address the needs of the system as a whole; and strengthen the
aesthetics and values of the community. In this framework, the conscious awareness of the interrelationships between
ecological and economic systems and the cyclical nature of sustainable systems are emphasized. Also important is the
adoption of viable new techniques and technologies that do not farther harm the ecological systems.
Key principles of the framework include:
• A recognition that community development is a process that requires some time to unfold and may never be fully
completed, therefore, an over emphasis on the long-term as opposed to concentrating on the process of
development may result in short-term frustration and disappointments.
• The requirement for a clear, shared community vision as one of the most important elements in holding the
community together, especially where each member develops a positive response to the intellectual content of the
vision.
• The importance of solid relationships and mutual understanding in the development process.
• An emphasis on community self-reliance as opposed to heavy reliance on outside expertise. Also important is the
process of group education about how to manage tasks, build group processes and implement plans. This is
based on the recognition that lack of management or process skills is a prime failure component for community
development efforts.
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MODELS OF SUSTAINABLE DEVELOPMENT
Eco-village (Eco-city) Page 2-
Key Characteristics: • The maintenance of sustamability and a balance between differing component elements of the process.
(continued) » The maintenance of a human scale, i.e. limited to a size in which each member of the community is able to know
and be known by others and to feel that they can influence the community's decision.
• The maintenance of sustamability and a balance between differing component elements of the process.
• The maintenance of a human scale, i.e. limited to a size in which each member of the community is able to know
and be known by others and to feel that they can influence the community's decision.
Benefits: The principal value of the model is that it is applicable across a broad spectrum of contemporary communities and is
appropriate to both rural and urban environments. The model combines preservation of the sense of place and of
community that already exists with an ongoing development process for the transformation of the community to a
more sustainable relationship between economic processes and the ecological systems that support these processes.
The eco-village concept recognizes that no single model is sufficient to address all circumstances and is therefore
flexible and able to respond to the particular circumstances (e.g. ecosystems, mix of local natural resources, mix of
human personality, intelligence and creativity) of each individual community.
Other Features: The eco-village process is often presented in terms of the different systems to be addressed from a sustainable
perspective.
• The Bio-system — requiring mechanisms to preserve habitat and produce necessary raw material without damaging
the environment.
• The Built Environment — requiring construction with environmentally friendly materials and use of renewable
energy sources.
• The economic system — requiring sustainable activity both in social and ecological terms and defining the
appropriate forms of business organization.
• Governance — addressing questions of fairness and non-exploitation, how decisions are to be made, conflict
resolution, regulation and enforcement.
References: Dommski, Tony. 1993. "The Evolution of Eco-cities." In Context, no. 35. Spring.
Community Forester Institute, 1998. "An Eco-village Community Model." [Online]. Mancelona, MI, The Community
Forester Institute. Available: www.trverse.com/eco_vill.html. [7/23/98]
Gilman, Robert. 1991. "The Eco-system Challenge/ In Context. No 29. Summer.
Gaia Trust. 1996. "Eco-village" Denmark. The Gaia Trust. November.
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MODELS OF SUSTAINABLE DEVELOPMENT
Model: Ecosystem Approach: Healthy Ecosystems and Sustainable Economies
Scope: Conceptual planning model framework to protect, restore, and sustain ecological resources and the communities and
economies that they support.
Context: A comprehensive regional or geographic framework defined primarily by ecological boundaries. The approach is
tailored to specific project area boundaries based on the key issue(s) to be addressed (i.e., maintaining a viable economic
development, ensuring pristine ecological conditions, or addressing natural resource impacts from socioeconomic
developments). The size of the project area is tentatively defined to allow effective action by stakeholders. It should be
small enough to maintain focus on desired objectives, yet broad enough to meaningfully include key ecological
components, processes, and functions.
Approach: The model framework is descriptive based on typical steps in an ecosystem management approach to address a specific
issue, or evolving issues. The steps are not necessarily sequential. The order in which they are applied may vary and not
all are applicable in every project. The issue(s) that entail ecosystem factors may be very specific but should always be
viewed in the broader ecosystem context. How the issue is framed determines which stakeholders are involved. The
level and nature of stakeholder involvement will vary depending upon many factors.
Objective: The fundamental goal is to restore and sustain the health, productivity, and biological diversity of ecosystems and the
overall quality of life through a natural resource management approach that is fully integrated with the social and
economic goals of the community. The ecosystem approach is a method for sustaining or restoring natural systems and
their functions and values. It is driven by project-specific goals that are based on a collaboratively developed vision of
desired future conditions that integrates ecological, economic and social factors.
Key Characteristics: The model framework involves eight steps:
1. Define the area of concern/interest;
2. Involve stakeholders;
3. Develop a shared vision of the ecosystem's desired future condition;
4. Characterize the historical ecosystem and the present economic, ecological, and social conditions and trends;
5. Establish ecosystem-based goals;
6. Develop and implement an action plan to achieve the goals;
7. Monitor conditions and evaluate results; and,
8. Adapt project management according to new information.
Benefits: The ecosystem approach contributes to the community development process by providing clear economic and social
benefits, that result from protecting, restoring, and sustaining ecosystems, critical to the local economies of the region.
These benefits include:
• Consensus-building orientation — an open government decision-making process with greater public involvement
early in the process helps to ensure the community is more likely to get what it wants;
• Prompt action — continuous monitoring of ecosystem conditions and progress towards goals ensures issues are
identified and addressed before they become problems;
• Reduced uncertainty — to the extent that ecosystem issues can be addressed simultaneously or comprehensively,
the approach tends to help clarify government programs, goals, and compliance requirements, thereby offering
economic opportunities to the private sector;
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MODELS OF SUSTAINABLE DEVELOPMENT
The Ecosystem Approach: Healthy Ecosystems and Sustainable Economies Pa£e 2-
Benefits: • Consideration of all important interests — collaboration among all stakeholders helps to ensure open
(continued) communication to identify and address interests and key factors, and to ensure local input that addresses local
community concerns;
• Investment in economic equity — protecting the environment ensures long-term sustainability of natural
resources, and thereby balances and sustains the economies that rely on those resources;
• Managerial and budget efficiency — stakeholder collaboration reduces duplication and increases efficiency by
realizing savings from economies of scale in the long term;
• Reduced burden on small landowners — achieved because issues are addressed comprehensively at a scale large
enough to reduce the individual burden on small landowners;
• Reduced disruptive changes — emphasizes long term goals on broad ecological and economic sustainability terms
thereby reducing probability, and impacts, of "boom and bust" cycles on individuals and communities; and,
• Balances economic development goals with natural resource conservation — avoids framing issues around the
"either/or" argument by assuming long-term economic prosperity depends upon sustaining ecosystem functions.
Other Features: Key principles of the ecosystem approach that contribute to sustainability are:
• Develop a shared vision that considers all relevant and identifiable ecological and economic consequences (both
long term and short term);
• Develop continuous, coordinated, collaborative approaches among all stakeholders;
• Use ecological approaches that restore or maintain biological diversity and sustainability of the ecosystem;
• Support and incorporate sustained economic, sociocultural, and community goals;
• Respect and ensure private property rights;
• Recognize that ecosystems and institutions are complex, dynamic, heterogeneous over time and space, and
constantly changing;
• Use an adaptive management approach;
• Integrate best science into the decision-making process and continue to improve the knowledge base; and,
• Establish baseline conditions and indicators by which change can be measured, monitored, and evaluated to
determine progress towards achieving the desired goals and outcomes.
References: The Ecosystem Approach: Healthy Ecosystems and Sustainable Economies. A Report of the Interagency Ecosystem Management
Task Force, Volume I-III,June 1995.
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APPENDIX C
MODELS OF SUSTAINABLE DEVELOPMENT
Model: New Urbanism (Neo-traditional Design)
Scope: Urban planning and design practice.
Context: Urban centers and towns within coherent metropolitan regions.
Approach: Community development planning with emphasis on the design of the supportive physical framework.
Objective: Based on pre-World War II design concepts, this approach seeks to reverse the patterns of urban sprawl, disinvestment
in central cities, environmental deterioration, segregation of socioeconomic and cultural communities, loss of open
spaces, and erosion of the built environment that is characteristic of more contemporary communities. The preferred
strategy is to reintegrate the components of modern life into compact, cohesive, mixed use neighborhoods that are
linked by public transit and established in the context of a larger, regional, open space framework. Two primary
emphases of this approach are that new development should be pedestrian oriented and incorporate more traditional
urban design concepts (including clearly defined boundaries or growth limits), and that increasing suburban sprawl
development should be avoided through increased emphasis and investment in infill development. The goal is a
community ecology where the city, suburb, and the natural environment coalesce.
Key Characteristics: The basis for this approach is the reconfiguration and restructuring of urban centers and towns with a focus on mixed
use; diverse population base; pedestrian orientation; physically defined and universally accessible public spaces and
community institutions; the conservation of natural environments; and the creation of urban spaces that celebrate local
history, climate, ecology, architecture and landscape design.
Key principles of this model include:
• The metropolitan region defined as a finite place derived from topography, watersheds, coastlines, farmlands,
regional parks, and river basins.
• A necessary and fragile relationship between the metropolitan region and its agrarian hinterland and natural
landscapes.
• A unified coherent strategy that combines infill development in the cities and inner suburbs with planned new
development of open land to ensure protection of agricultural uses and environmentally sensitive areas.
• Planning at every level that is infused with considerations of cultural diversity and environmental sustainability.
• Within neighborhoods, a broad range of housing types and price levels that brings people of diverse cultural and
socioeconomic background and generational stature into daily interaction, increasing community cohesion and
strengthening community bonds.
• Development and redevelopment of towns and cities that respects historical patterns, precedents and boundaries
• Buildings that respond to their context and are designed and sited to define the character of streets and open
spaces.
• Infill development within existing urban areas that conserves environmental resources, economic investment, and
social fabric while reclaiming marginal and abandoned areas.
• Revenues and resources shared more cooperatively among the municipalities and centers within the region to
avoid destructive competition for tax base and to promote rational coordination of transportation, infrastructure,
recreation, and community institutions.
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MODELS OF SUSTAINABLE DEVELOPMENT
New Urbanism (Neo-traditional Design) Page2.
Key Characteristics: • Preservation and renewal of historic buildings, districts and landscapes to affirm the continuity and evolution of
(continued) urban society
• Cities and towns that bring together a broad spectrum of public and private uses to support a regional economy
that benefits people of all incomes. Affordable housing distributed throughout the region to match job
opportunities and to avoid concentrations of poverty.
Benefits: This approach enables a community's growth to be channeled into a physical form that is more compatible with the
scale of existing neighborhoods, improves air quality through the discouragement of auto use, is less costly to service,
and preserves existing greenspaces through decreased consumption of land and resources. The approach is especially
attractive to regions experiencing conflicts related to growth. The focus on infill development is important to the
prevention of neighborhood degeneration and includes an emphasis on inclusive participation in the planning process as
a mechanism for promoting life-long investment of residents in the community. Emphasis is placed on all levels
including the region, the neighborhood, and the block, including the physical definition of streets, open spaces and
individual units of the built environment.
Other Features: Certain additional premises of the model emphasize economic and development characteristics that may also contribute
indirectly.
• The metropolitan region is a fundamental economic unit of the contemporary world. Public policy, urban
planning and community economic development strategies should be adapted to this new role.
• The basic building blocks of communities should be neighborhoods with defined, but not exclusionary)
boundaries, individual characteristics, and centers offering public facilities and amenities.
• There should be a network of streets and sidewalks with streets conceived as "outdoor public rooms" defined by
building fronts and other elements such as trees, hedges and fences.
• Communities should avoid regulations requiring large lots and large houses, moderate to high density
neighborhoods are much more amenable to public transit, increasing access to residents without automobiles.
• The physical organization of the region should be supported by a framework of transportation alternatives. A
multi-tier transportation system, from regional public transit to small vehicles for movement between
neighborhood centers, in addition to pedestrian and bicycle systems should maximize access and mobility
throughout the region while reducing dependence on the automobile.
• Where appropriate, new development contiguous to urban boundaries should be organized as neighborhoods and
districts and should be integrated with the existing urban pattern. Noncontiguous development should be
organized as towns and villages with their own urban edges and should be planned to include an employment-
housing balance to avoid bedroom suburbs.
References: Canty, Donald. 1995. "Defining the New Urbanism." Bm/der:vol. 18, no. 1. (May).
Congress for the New urbanism, 1996. "New Urbanism Basics." Charleston, SC. May
Langdon, Philip. 1995. "The Urbamsf s Reward." Progressive Architecture, vol. 76, no. 8. (August).
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APPENDIX C
MODELS OF SUSTAINABLE DEVELOPMENT
Model: Smart Growth Approach to Brownfields Redevelopment
Scope: Sustainable development
Context: Community-wide
Approach: Procedural
Objective: The emphasis of this approach is to make development within the community more sustainable, and minimize the
overall impact of development on the community and its environment. This is done by directing growth to particular
designated places and protecting sensitive land, while avoiding increased sprawl development. Emphasis is also placed
on the need to preserve or improve quality of life and maintain cohesion and identity in neighborhoods and
communities. New growth is more town-centered and pedestrian oriented.
Key Characteristics The Smart Growth approach to redevelopment provides a framework that integrates economic factors (involving the
generation and growth of businesses, public revenues, and employment), social factors (associated with
socioeconomically disadvantaged and minority populations), and environmental factors (related to human health and
ecological benefits).
The redevelopment framework identifies site, neighborhood and land-use factors that may be incorporated into a six
step process of evaluating the overall marketability and potential community benefits associated with a site
redevelopment. These include:
• Definition of broad geographic areas where redevelopment is most likely to be successful, as a means of
addressing problems associated with limitations on resource availability.
• Creation of a comprehensive listing of sites where redevelopment opportunities exist to ensure that sites with a
potential benefit for the community are not overlooked and to serve as a decision tool to be used by planners and
developers as a means to reduce associated costs. Sources of information include: local knowledge and land use
surveys, aerial maps, local community development organizations and economic development offices, GIS
systems, Federal and State environmental databases, and other urban planning products.
• Site characterization based on marketability in order to develop an understanding of the level of public investment
necessary to successfully redevelop the site (tax incentives, funds for remediation, and technical support).
Screening criteria include both site and neighborhood characteristics.
• Site characterization based on the potential benefit to the community from redevelopment so that the community
can concentrate its efforts on those sites most likely to contribute to neighborhood or community well-being, and
identify any potential impediments to the community's ability to take advantage of the associated benefits.
• Impact assessment of redevelopment alternatives to serve as a tool for establishing priorities to assist in identifying
characteristics that qualify projects for alternative funding sources and developing the rationale for applying those
sources. Factors included in the impact assessment are related to health and environmental risk, environmental
restoration, environmental justice, pollution prevention, creation of green spaces, job creation, increased tax
revenues, secondary economic effects, increased utilization of infrastructure, social benefits, and social, economic
and environmental costs of remediation.
• An integrated strategy for development that is specific to the site under consideration and that addresses the needs
of individual participants in the development process. This plan can be expected to result in more efficient use
and leveraging of resources, improved coordination among the variety of participants, and establishment of
partnerships between participants who have complementary objectives.
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APPENDIX C
MODELS OF SUSTAINABLE DEVELOPMENT
Smart Growth Approach to Brownfields Redevelopment Pag£ 2-
Benefits: The smart growth approach focuses the development effort away from the pro or anti-growth debate and concentrates
on the role that development plays in the maintenance and enhancement of the quality of life in each community.
Benefits that are considered common features of Smart Growth communities include: an enhanced sense of
community, protection of investment in existing neighborhoods, environmental protection, decreased traffic
congestion, more effective deployment of public capital, and increased certainty and flexibility in the development
process itself.
Other Features: The approach emphasizes the role of alternative transportation models in the reduction of air quality and traffic
congestion issues. The connection between existing development patterns and increases in the number and length of
automobile trips is emphasized. Alternatives to "sprawl" development (e.g. mixed use, more compact, higher density)
and increased investment in rail transit and forms of public transportation, other than the automobile, are encouraged as
a mechanism to improve air quality, accessibility, and the quality of life in communities.
References: Froehlich, Maryann. 1998. "Smart Growth: Why Local Governments are Taking a New Approach to Managing
Growth in Their Communities. Public Management. May 1998, vol. 80, no. 5 (May).
Smart Growth Network, 1998. "What is Smart Growth." Washington, DC. International City/County Management
Association. [Online] available: www.smartgrowth.org.html. July 30, 1998.
Smart growth network, 1996. "An integrated Approach for Brownfields Redevelopment, Washington, DC, U.S. EPA,
Office of Policy, Planning, and Evaluation, Urban and Economic Development Division. [Online], available:
www.smartgrowth.org/library.html. March 12, 1998.
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