Local Planning Agency Management Management Agency Planning Local

PAS REPORT 582 REPORT PAS

LOCAL PLANNING AGENCY MANAGEMENT MANAGEMENT AGENCY PLANNING LOCAL

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Feiden

p a s r e p o r t 5 8 2 LOCAL

AMERICAN AMERICAN PLANNING ASSOCIATION PLANNING AGENCY MANAGEMENT

Wayne Feiden, faicp POWER TOOLS ABOUT THE AUTHOR

APA RESEARCH MISSION Wayne Feiden, faicp, is director of planning and sustainability for the City of Northampton, Massachusetts, and lecturer of practice at APA conducts applied, policy-relevant research the University of Massachusetts. His work in Northampton helped that advances the state of the art in planning the city earn numerous accolades, including the first 5-STAR Com- practice. APA’s National Centers for Plan- munity sustainability rating, the highest Massachusetts Common- ning—the Green Community Research Center, wealth Capital Scorecard rating for smart growth efforts, a bronze the Hazards Planning Research Center, and the Bicycle Friendly Community rating, a bronze Walk Friendly Com- Planning and Community Health Research munity rating, and an American Planning Association Great PAS SUBSCRIBERS GET EVERY NEW PAS REPORT, PLUS Center—guide and advance a research direc- Streets award. He served as a German Marshall Fund Urban and THESE RESOURCES FOR EVERYONE IN THE OFFICE TO SHARE tive that addresses important societal issues. Regional Policy Fellow in Northern Ireland, England, and Den- APA’s research, education, and advocacy pro- mark; a Fulbright Specialist in New Zealand and South Africa; and grams help planners create communities of an Eisenhower Fellow in Hungary. He is also author of several PAS PAS Reports Archive PAS QuickNotes lasting value by developing and disseminating Reports on topics including performance guarantees, decentralized Free online access for subscribers Bite-size backgrounders on planning basics information, tools, and applications for built wastewater treatment, and the assessing of sustainability. He is also and natural environments. an Honorary Member of the Western Massachusetts American In- Inquiry Answer Service PAS Essential Info Packets stitute of Architects, and he was inducted into the American Insti- A crack research team on call Resource roundup on a single topic tute of Certified Planners College of Fellows in 2008. PAS Memo Learn more about PAS subscriptions Bimonthly shoptalk on hot planning issues at planning.org/pas

James M. Drinan, jd, Executive Director; David Rouse, faicp, Director of PAS 564 PAS 568 PAS 573 p a s r e p o r t 5 8 0 PAS 580 Joseph Schilling and Alan Mallach, faicp Eric Damian Kelly, faicp STREET GRAPHICS Jennifer Evans-Cowley, aicp, and Joseph Kitchen Revised Edition 2011 2012 2013 2015 Research; Camille Fink, phd, Senior Editor. AND THE LAW www.planning.org American Planning Association 105 pp. American Planning Association 168 pp. American Planning Association 100 pp. 144 pp. Planning Advisory Service Planning Advisory Service Planning Advisory Service Fourth Edition Report Number 564 Report Number 568 Report Number 573 American Planning Association Planning Advisory Service Daniel R. Mandelker, John M. Baker, and Richard Crawford $48 Report Number 568 $60 $48 $60 PAS Reports are produced in the Research Department of APA. E-Government Cities in Transition: A Guide for Working with Planning Street Graphics and the Law For missing and damaged print issues, contact Customer Service, Ameri- Jennifer Evans-Cowley, aicp, and Practicing Planners Consultants Daniel R. Mandelker, John M. can Planning Association, 205 N. Michigan Ave., Suite 1200, Chicago, IL Joseph Kitchen Joseph Schilling, and Eric Damian Kelly, faicp Baker, and Richard Crawford 60601 (312-431-9100 or [email protected]) within 90 days Alan Mallach, faicp of the publication date. Include the name of the publication, year, volume, and issue number or month, and your name, mailing address, and mem- This new edition shows how Most urban planning tools are This report shows not only how This guidebook points the way bership number, if applicable. to use today’s technologies to designed to manage growth. to hire a good consultant but to a better system of designing, engage citizens in the planning What happens when the how to be a good client—one displaying, and regulating signs. © March 2016 by the American Planning Association process and make services more process runs in reverse? Find who gets good value from the Completely updated, this new APA’s publications office is at 205 N. Michigan Ave., Suite 1200, efficient. The report looks at the workable, scalable strategies for investment in consulting ser- edition has the latest on the Chicago, IL 60601–5927. latest tools for streamlining rou- making transitional cities and vices. Learn about pointers for evolution of digital signs and APA’s headquarters office is at 1030 15th St., NW, Suite 750 West, ON THE COVER tine tasks, sharing information, inner-ring suburbs healthier and navigating the selection process the last word on legal points Washington, DC 20005–1503. and facilitating public outreach. more resilient. more smoothly. every planner should know. E-mail: [email protected] Photo by Juno Carlson, Omnitrans

Order back issues of these and other PAS Reports at planning.org/books. TABLE OF CONTENTS

EXECUTIVE SUMMARY 4

CHAPTER 1 INTRODUCTION 8

CHAPTER 2 MANAGEMENT 101 AND BEYOND 12 Hiring Smart 13 Planning Agency Management Reviews and Accreditation 15 Customer Service 17 Office Space 17 Consultants 18 Planning Management Overview 18

CHAPTER 3 PLANNING OFFICE ORGANIZATION 20 Organizational Models 21 Sustainability and the Planning Office 22

CHAPTER 4 THE PERMIT PROCESS AND THE PERMIT COUNTER 44 Checklists 47 Evaluation of Applications 47 Staff Reports 49 Development Agreements 50 Alternative Dispute Resolution 51 Performance Guarantees 51 Permits and the Planning Office 54

CHAPTER 5 PLANNING IN A POLITICAL AND PROFESSIONAL ENVIRONMENT 58 Planners and Their Skill Sets: What Makes a Good Local Government Planner? 60 Risk-Management Perspective 60 The Negotiation of Politics and Risk 62

CHAPTER 6 COMMUNITY ENGAGEMENT 66

CHAPTER 7 METRICS AND DATA 84

CHAPTER 8 INFORMATION TECHNOLOGY 92 Strategic Planning for Online Services 93 Online Permit Tracking 94 Content Management 94 Databases 94 Geographic Information Systems 95 Smartphone and Wearable Technology Applications 95 Social Media 95 Printing 96 Technology Looking Forward 96 CHAPTER 9 PLANNING LEADERSHIP 100 Lessons in Planning Leadership 101 Leadership Ahead 102

APPENDIX A: SAMPLE ORGANIZATIONAL CHARTS 106

APPENDIX B: PLANNING DEPARTMENT VISION AND MISSION STATEMENTS 109

REFERENCES 112

ACKNOWLEDGMENTS 118

LOCAL PLANNING AGENCY MANAGEMENT PAS 582, EXECUTIVE SUMMARY

EXECUTIVE SUMMARY

This PAS Report examines management issues for local government planning, especially management trends. Most planning managers are already leading, responding to, or at least considering most of these trends. The focus of this report is on key issues and management trends to help managers, planners, and students think strategically.

Planning, project reviews and approvals, and plan imple- powering and supporting employees to take risks and help mentation often receive public notice, acclaim, and criti- advance a mission. cism. Management issues, on the other hand, tend to make A clear mission and an optimized department organiza- news only when a new planning director is hired or an tional structure should also enhance a department’s ability old one is fired; when allegations of corruption emerge; or to excel at providing customer service. Providing excellent perhaps when a mayor, city manager, or county supervisor customer service is one of the most important functions of proposes a major reorganization or budget. Generally, the a taxpayer-funded public agency. Customer service, however, public view of management issues is obscured by substan- is perhaps the area where planning offices are most ripe for tive planning issues, as it should be. Although the general improvement. public may not follow management issues, they may be as important as substantive planning issues for many munici- PLANNING OFFICE ORGANIZATION pal and county planning managers, line planners, and public users of planning services. For some planning managers, office organization is the result of careful thought. For others it is the result of historical or BASICS OF MANAGEMENT legacy factors that never changed. Almost any organizational structure can work when there are willing and cooperative The best organizations and agencies have strong and vision- players who want to make it work and who have both strong ary leadership; excellent communication, coordination, political support and a culture of collaboration. Smaller com- and collaboration; and very strong employees. Arguably, munities are more likely to have a consolidated model in the most important task for a planning manager is to build which planning, building, housing (including grants admin- and maintain the best team possible. Key to any operation istration), and economic development are together in a single is hiring the right people; valuing, training, empowering, department. Large cities and counties typically house those feeding, and protecting those people; and getting rid of un- functions in separate departments or in divisions within a manageable people. Political constraints, civil service re- larger department. strictions, union contracts, the challenges of working in a A very strong argument certainly exists to have cur- fishbowl, and other legal structures sometimes limit a man- rent and long-range planning integrated in some formal way. ager’s ability to develop the right team, but building that Zucker (2007) recommends keeping current planning and team should always be the holy grail. long-range planning in the same department to ensure col- Hiring the best staff means hiring the best people laboration and integration of different functions. The goals available—even if that means knowing that staff will and policies expressed in comprehensive and general plans move on. It is critical for top managers to know how to and subarea plans are implemented by current planning get the best from every employee, whether that involves functions, including site plan and development review, zon- training, coaching, or simply providing assignments that ing, and form-based codes. Planning department leadership will help staff members grow while also playing to their must focus on creating and embracing the vision of the de- strengths. The same goal should apply to line profession- partment’s work, coordinate all functions so that depart- als, which includes planning managers and leaders who ments collaborate, and work toward a shared mission. set the policy direction and take political risks, and staff In planning management, as in planning, context is who support the agency mission, such as staff who work everything. The different contexts of inner city, urban, sub- at the permit counter. In planning, the distinction be- urban, exurban, and rural communities; fast-growing and tween line and staff may be hard to see, but often the dif- shrinking communities; and wealthy and working-class ference is about empowerment—such as a manager em- communities all lead to different management needs—to say

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nothing of different values and perspectives. However, more training, and oversight so that those junior-level staffers are similarities than differences likely exist within different com- providing quality customer-friendly support while ensuring munities, and an understanding of context simply reinforces consistent treatment of new projects. the options. The same issues can be raised about the integra- Consistency and reproducibility are especially impor- tion of economic development, sustainability, development tant for development reviews. Checklists provide consistency services, housing, and planning. and help planners avoid forgetting simple steps. They also Sustainability is one of the newer organizing principles provide two other critical benefits for overwhelmed planning in local planning. It involves finding integrative approaches offices. First, the more checklists can be used, the more steps to addressing the “three Es”: environment, economy, and so- in planning reviews can be delegated to junior professional cial equity. As sustainability becomes a dominant paradigm staff and support staff. Second, and even more promising, for planning, planning managers and communities are grap- many things that can be codified in checklists can now or pling with their organizational structures. There are no uni- eventually be moved online and made part of an interactive versal guidelines about where sustainability functions should process with an applicant. be housed in local governments, what a sustainability func- The first step in evaluating any application is to ensure tion is, which professionals should take the lead in sustain- that it is complete. One of the benefits that planning man- ability, or even what the relationship between sustainability gers have discovered when they use online application pro- and planning should be. Local government sustainability cesses—with checklists incorporated into the permit applica- functions are typically located in one of four (all good) orga- tions—is that the applications cannot be submitted until at nizational structures: least the basic steps are complete: attachments included, fees paid, and questions filled out. Obviously, this same approach 1. Sustainability in an integrated planning department, of- is done in most planning offices manually if the process is not ten with major or minor restructuring or rebranding automated. Until an application is judged complete, planners 2. Sustainability integrated into a chief legislative or execu- will find that understanding the context of an application and tive office undertaking a substantive review will be more difficult. 3. Sustainability as a standalone department Written and oral staff reports are a critical aspect of cur- 4. Some combination of integration and separate depart- rent planning, development permitting programs, and devel- ments opment-related plan and zoning amendments. Most importantly, planning managers require staff reports to provide the The reality is that all four models can work exception- public and decision makers with consistent and informative ally well when planning managers ensure that there is good reviews, regardless of the staff planners who actually write communication and collaboration; all four can also fail spec- the reports. Reducing litigation risks and providing consis- tacularly without such communication and collaboration. tency in staffing and responses are also extremely important. What is most important for communities is that they care- Disputes are probably more common in the permit pro- fully examine which organizational structures, within each cess than any other aspect of planning. In the permit process, community’s context, will allow the best integration, stron- alternative dispute resolutions are an option for planning gest collaboration, sharpest focus, and most effective use of managers to consider. They can cool down affected parties limited resources. to allow successful dialogues and agreement on mutually beneficial resolutions of issues. They are an alternative to the CUSTOMER SERVICE AT THE PERMIT COUNTER traditional permit process—that is sometimes winner take all—and to litigation. Alternative dispute resolutions may With unlimited resources, staffing ideally would consist of take many forms; they usually involve some variation on me- senior-level staff that understand the context, represent the diation, arbitration, and negotiation. process inside and out, can give consistent help to the com- A critical part of any permitting system is ensuring that munity, and can make consistent decisions. As a practical projects will be built as proposed and approved. Performance matter, front-counter work is usually assigned to junior staff- guarantees are the legal and financial mechanisms to ensure ers who are less expensive, have more time to spend with the that improvements offered as part of the permit process are public, and do not have the seniority to request other assign- provided and that construction projects are properly comments. It is critical that planning managers set up procedures, pleted, generally without the need to resort to criminal or civ-

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il sanctions. Performance guarantees are the heart and soul Because citizen engagement is so important to the man- of most government efforts that avoid after-the-fact criminal agement of local planning, it should be thought of as one of and civil sanctions, and they are generally much faster, less the core constructs of any local government planning office. expensive, less complicated, and less adversarial than sanc- However, there is no “right” way to organize a planning of- tions. The three types of performance guarantees are non- fice around such a construct. Some planning managers want financial performance, third-party responsibility, and finan- to make sure that every staff member is good at community cial performance. engagement and that this aspect of planning is part of everyone’s work. Other planning managers assign especially POLITICAL AND PROFESSIONAL skilled staff members to serve as community engagement ENVIRONMENTS experts and to help the rest of the staff with their projects. Ultimately, the organizational structure may be less impor- Planning, especially in local government in the United tant than the overall orientation of local government plan- States, is a political exercise—not partisan, but political ning managers and their staff. nonetheless. Planners are charged with managing change, which requires great sensitivity to the communities they METRICS AND DATA serve, the political context, and the need to accomplish things at the end of the day. One of the best trends occur- Planning offices use metrics and data in several ways: to ring today is a growing commitment within governments evaluate planning office management, to support the plan- to create clear departmental visions and missions. Planning ning process, to assess how well planners are doing, and to offices are mission driven. Ideally those missions are fo- conduct trend analyses. Metrics and assessments are most cused on implementing community master, comprehensive, useful when they are performance or outcome oriented. The or general plans. The job of planning managers is to ensure number of ordinances or plan changes proposed is not a mea- that their work remains mission driven. sure of success (although too-frequent plan changes might Risk management, in the local government context, is be a metric for failure to plan well). Implementing the plans used to identify potential events that may affect the govern- and visions of communities and achieving community goals ment and to protect and minimize risks to the government’s should be the focus. Performance measurements, however, property, services, and employees. Planning and govern- should not just be about the big picture. Planning managers ments are often faulted for not being willing to address risks. still need to understand the productivity and customer ser- This is especially a problem with long-term risks—from such vice abilities of their staffs and create metrics to measure and things as climate change—because of the lack of short-term assess those areas. political payback and political and community support in Data of all kind are designed to help inform rational de- light of enormous uncertainties. For local governments, the cisions. Planners like to believe that information provides un- primary threats are litigation risk and political risk. limited answers, whether the criteria are indicators, benchmarks, assessments, performance measures, or other metrics. COMMUNITY ENGAGEMENT In a rational planning model, once but no longer the holy grail of urban and regional planning, decisions and alterna- Planning managers need to ensure that their staff, policies, tive assessments are driven by data. Under that model, “cor- and procedures support community engagement. This en- rect” management decisions are made based on assessments gagement in turn influences the management of planning of data. This approach has obvious problems, most notably offices. Community engagement is at the core of the plan- that the public is typically excluded from the decision-mak- ning profession, particularly for public-sector planners. It ing process. Regardless, planners like the idea that facts make is the planner’s job to guarantee that low-income, minority, a difference in decision making. and historically underrepresented communities are engaged Metrics and data are critical for the management of in the planning process Depending on the perspective, the planning offices and for creating positive futures. However, actual process of citizen engagement is either an opportunity planning managers needing to carefully manage scarce re- for collective empowerment and collaboration or the bane of sources must ensure that data are not being collected sim- the existence of local planners—or, for most planners, prob- ply for the sake of collecting. This requires identification of ably some of each. needs, costs, and opportunities and development of the most

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cost-effective data collection systems available. An effective and their communities’ visions in just a few sentences—the strategy includes assessments of existing data—often col- one-minute elevator pitch that inspires and brings along the lected by others—and data analysis, and identification of the community. Charisma in a planner is a great trait, but it defi- ways these can serve planning needs and instances when new nitely is not an essential one. Vision and an entrepreneurial data collection systems or analyses are needed. risk-taking attitude, however, are irreplaceable. Converting the vision into a mission-driven operation is INFORMATION TECHNOLOGY the next step for planning managers. A mission-driven operation may start with a mission statement, but it needs to Perhaps no area of planning, or any other profession for that be far more than just a statement. A mission needs to be the matter, is changing as quickly as information technology. The compass that drives the organization. At the same time, the information technology available to planners evolves so fast head of a department cannot be the only person articulat- that any discussion about it will be out of date very quickly. ing a vision and a mission and providing leadership. Many One of the most important rules of technology is that sim- very good planners see themselves as technicians, and they ply automating a function is not enough. Planners need to may not always be great leaders. Great planning managers, rethink how and why automating functions can take full however, need to also be leaders. Planning leaders need to advantage of new opportunities. Managers talk about ideas possess key characteristics that reflect great leaders: visionary leading to innovation and innovation leading to implementa- and entrepreneurial perspectives, an openness to new ideas, tion. Technology helps planners implement their ideas and the willingness to work collaboratively and to bring people innovations, and it can support a feedback loop to ensure together, a focus on problem solving (instead of a focus on that they are modifying what they do and using technology why problems cannot be solved), and the ability to generate to think differently. enthusiasm and respect. Citizens expect and deserve that many, if not most, government services will be available 24/7. This concept came about before the Internet, with older technology such as informative voicemail or automated fax responses, but the pace of change continues to accelerate. Most planners have embraced these changes for a number of years. In many municipal planning offices, for example, the number of visitors to the offices is a small fraction of what it was a few years ago because citizens can use the web and electronic services instead of coming in. This decrease alone can result in savings that more than cover any investment in these emerging technologies. The pace of change, however, continues to be daunting for most public agencies—not so much because of resistance to the changes themselves but because of the need for constant reinventing and investment. The new challenges for municipal governments are lowering the cost of such offerings so that they are available to smaller communities, lowering internal resistance to making all public information readily available, and addressing the digital divide of data access.

LEADERSHIP

Ultimately, the best planning directors, mayors, managers, and leaders of a community are those with compelling visions and who are willing to take risks to fulfill those visions. The most successful are those who can share their visions

www.planning.org AMERICAN PLANNING ASSOCIATION 7 CHAPTER 1 INTRODUCTION This PAS Report examines management issues for local government planning, especially management trends. Most planning managers are already leading, responding to, or at least considering most of these trends. The focus of this report is on key issues and management trends to help managers, planners, and students think strategically. The report starts with a discussion of planning management and identifies the strategic issues and trends in the field.

For many planners, their work on planning, planning verted from the real issues, or under-politicized, refusing to implementation, good governance, and sustainability is their acknowledge that much government decision making is a first joy; the work that they share with colleagues, friends, political process. In the perennial era of budget cuts and re- and family; and also perhaps their elevator pitch. Most do not organizations, people may forget that some reorganizations quite leap up and down when discussing planning manage- can be devastating, but others can strengthen an agency’s ment or permit programs, even though they know those are mission and sense of purpose. critically important elements. One of the contributors to this A considerable body of literature exists about plan- report—an excellent manager himself—said that writing his ning and many planning specialties, but surprising little part was difficult because management can be boring. The comprehensive work is available about the thinking that pesky details of the management of municipal and county goes into planning office administration and management. planning offices and current planning functions may not be While this information is limited, two books stand out as a sexy or exciting subject, at least to some people. However, extremely useful resources for the management of local planning in different contexts around the United States and planning offices. The firstABZs is of Planning Management the world makes clear that ignoring the details of good man- (Zucker 2007), which is probably the best resource focus- agement can be perilous. ing solely on planning management—often in intimate de- Planning, project reviews and approvals, and plan im- tail, right down to telephones and office space. The second plementation often receive public notice, acclaim, and criti- is Local Planning: Contemporary Principles and Practice cism. Management issues, on the other hand, tend to make (Hack et al. 2009), which presents one of the most compre- news only when a new planning director is hired or an old hensive approaches to local planning practice and includes one is fired; when allegations of corruption emerge; or per- a chapter on management. haps when a mayor, city manager, or county supervisor pro- The American Planning Association (APA) has an poses a major reorganization or budget cuts (see “Planning enormous amount of information on planning office and Reorganizations in the Media,” p. 11). Generally, the public current planning management available through various view of management issues is obscured by substantive plan- Planning Advisory Service publications (e.g., the PAS Re- ning issues, as it should be. port and PAS Memo), the Journal of the American Plan- Although the general public may not follow man- ning Association planning practice articles, and Planning agement issues, they may be as important as substantive magazine. For example, Performance Guarantees for Gov- planning issues for many municipal and county planning ernment Permit-Granting Authorities (Feiden and Burby managers, line planners, and public users of planning ser- 2002) is of great use to planners needing detailed infor- vices. Communities might gut regulations in the interest of mation, but it may be too detailed for more casual read- “streamlining” when the problem is a poor permit process. ers wanting a summary on local government and permit- In some settings, planners may become over-politicized, di- granting practices.

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This report is organized around the following eight topics: 6. The use of metrics and data (Chapter 7): Planning offices of all sizes are increasing their use of metrics and 1. The basics of management (Chapter 2): All orga- all types of data. This comes from a desire for greater nizations, including public planning agencies, need accountability, the balancing of limited resources and excellent management. As is the case with other orga- greater productivity, the need for metrics for plan- nizations, planning agencies need skilled professional ning and for the tracking of progress and trends, and planners who have mastered the substantive aspects of the availability of standardized measurement systems, the field and can become great managers. such as STAR Communities (2015). 2. Planning office organization (Chapter 3): Planning 7. Information technology (Chapter 8): The availability office structures have always been in flux to meet the and rapid evolution of new technology, especially in- needs of the communities that they serve and to respond formation technology, has created opportunities and to changing political and professional environments. expectations that are transforming planning offices, The ongoing evolution of office layout will always -con along with most professions. tinue, and communities have an opportunity to think 8. Expectations of leadership (Chapter 9): The need for about what models best serve their needs. Local govern- effective, strong, and professional leadership is perhaps ment and public interest in sustainability—including the one constant in local government planning. Tomor- energy, climate change, linkages between public health row’s leaders must have the professional backgrounds, and planning, and food—is perhaps the most dramatic skill sets, and forward-thinking mindsets necessary to change to the planning field in the past couple decades. prepare for a changing future and to envision and un- The incorporation of sustainability functions into local derstand local government planning issues. government offices or into offices outside of planning is changing the practice of planning for some. It is also These eight topics represent the most important current at times blurring the distinction between planners and challenges in managing local government planning offices, as other professionals in local governments. well as those emerging in the next couple decades. None of 3. Customer service at the permit counter (Chapter 4): the issues related to these concepts are static, the opportuni- Current planning is where the rubber meets the road, ties and expectations will evolve, and a focus on both internal and it involves the routinized side of planning: the co- and external aspects of these issues is critical. ordination of private development and permit application and review processes, environmental analysis, code revisions, code enforcement, and city projects. This world is being transformed by community expectations, fiscal and economic pressures, and technology. 4. The political and professional environment (Chap- ter 5): The environment in which planning occurs is changing in many communities, whether it is driven by budget constraints, changing community expectations, new opportunities and leadership, or other local and national trends. 5. Community engagement (Chapter 6): For most local government planners, community engagement is a core part of their jobs and their identities. While public participation has been a central part of local government planning for decades, the practice is rapidly evolving. This evolution comes as a result of the changing nature of community expectations, community composition, technology, and an increasing political commitment to more meaningful engagement and community collaboration.

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PLANNING REORGANIZATIONS IN THE MEDIA

Reorganizations of planning functions with Less,” seeks to create a more efficient are a quick way to get headlines, and planning process and improve service to they happen with some regularity. developers and the public. Realigning functions, merging departments, and splitting up departments (Mitchell B. Menzer and Edgar Khalatian, may come about as a result of a blue- Paul Hastings: Stay Current, January 2011) ribbon study committee or a new mayor, manager, or supervisor, or as Planning Department Changes in a way to address budget cuts. Often San Diego reorganizations happen in quick suc- In the 1990s, San Diego’s city manager cession, as one leader strives to undo Jack McGory eliminated the planning what is perceived to be the last lead- department through a reorganiza- er’s mistakes or signature initiatives. tion. However, the planning department was reborn under the next city City’s Plan to Merge manager. Departments Hits a Snag In 2011 Mayor Jerry Sanders again An ambitious plan to reorganize city of eliminated the San Diego planning de- Pittsburgh planning and development partment, moving planners together functions has apparently resulted in little with building permit processors. The more than orphaned furniture. Yesterday mayor said that “the consolidation Mayor Luke Ravenstahl confirmed that [would] allow the staff of these two re- an effort to reshuffle city functions to lated departments to work more closely streamline development, outlined in his together and create efficiencies in man- November budget address, is “more dead agement and information sharing.” than alive. . . . I would characterize it as Mayor Bob Filner restored the San on hold right now with no plans to revisit Diego planning department in 2013. it in the near future.” The mayor said then, “We will restore long-range community planning to its (Rich Lord, Pittsburgh Post-Gazette, rightful place as an important compo- May 1, 2008, excerpted with permission) nent for city business.”. Observers noted that San Diego dismantled its planning Blueprint 2010–2011: The Los department in hard economic times Angeles Planning Department but brought it back when things im- Announces Major New proved—what was termed “that historic Reorganization and New yo-yo.” Staff Assignments The Los Angeles Department of City (Roger Showley, “Mayor Abolishes Planning recently announced a major City Planning Department,” San Diego reorganization to better align the de- Union-Tribune, April 22, 2011 and “Plan- partment’s resources for processing de- ning Lives Again at City Hall,” San Diego velopment applications and performing Union-Tribune, October 29, 2013) long-range community planning. Devel- oped in response to significant budget cuts in the City of Los Angeles, the plan, entitled “Blueprint 2010–11, Doing More

www.planning.org AMERICAN PLANNING ASSOCIATION 11 CHAPTER 2 MANAGEMENT 101 AND BEYOND The basic rules of management in any field certainly apply to planning. Planners are primarily trained in planning, not management. Yet being a great planning manager requires mastering many aspects of management.

According to Axson (2010, 65), “best practices are a rec- Planning department leadership must focus on creating ipe in which the right mix of ingredients combined with the and embracing the vision of the department’s work, coordi- right preparation is the key to realizing value.” A best practice nating all functions so that divisions collaborate and work can be distinguished from a better practice if it meets the fol- toward a shared mission, hire and coach the best staff, and lowing criteria (Axson 2010, 27): develop critical relationships inside and outside of the department. People should be hired who will implement the • Effect a measurable change in performance vision and mission of the department. In a modern depart- • Apply to a broad spectrum of organizations ment, staff members at all levels need to be full partners in • Be proven in practice creating the vision and a collaborative environment. That is • Exploit proven technologies why hiring the best staff and providing training, coaching, • Ensure an acceptable level of control and risk management more coaching, and responsibility to allow the staff to shine • Match the skills and capabilities of an organization should be the top priority of any planning manager. • Be capable of operating effectively in an uncertain and While training and coaching can transform workers, turbulent world there is a limit. Restarting a job search is better than hiring the wrong person. Even though it is increasingly rare that people The trick is to know when to follow best management stay in the same job for their entire careers, staff should be practices (usually) and when particular political and legal hired as if an expectation exists that new hires will be around structures require a different approach (ideally rarely). This for a long time; hiring decisions should include consideration chapter offers a quick overview of Management 101, which is of growth potential. A single hiring decision can be a million- well covered in the public administration literature. Its focus dollar or more decision, if the person stays long enough. Get- is on what is especially important and specific to local gov- ting it right the first time is a worthwhile goal. ernment planning. The best organizations and agencies have strong and visionary leadership; excellent communication, coordination, HIRING SMART and collaboration; and very strong employees. Arguably, the most important task for a planning manager is to build and There is an adage that says there are two ways to quit: quit maintain the best team possible. Key to any operation is hir- and leave or quit and stay. A manager’s worst nightmare can ing the right people; valuing, training, empowering, feeding, be the employee who has given up caring but stays in place. and protecting those people; and getting rid of unmanage- Often this is management’s fault and its responsibility to re- able people. Political constraints, civil service restrictions, pair, but if the situation cannot be fixed then cutting nonper- union contracts, the challenges of working in a fishbowl, and forming staff members who clearly do not have growth po- other legal structures sometimes limit a manager’s ability to tential—even in environments where removing staff can be develop the right team, but building that team should always difficult—is preferable to tolerating bad staff. However staff be the holy grail. who are known to bring different ideas and perspectives and

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who challenge existing practices in a department should not can grow and improve their performance. The small percent- be automatically labeled as bad or removed for the sole reason age of employees who are truly problem employees should, that they stir the pot. however, be let go rapidly rather than being allowed to stay Hiring the best staff means hiring the best people avail- around and infect employee morale. That said, failing to grow able—even if that means knowing that staff will move on. It an employee is often both the failing of the manager and the is critical for top managers to know how to get the best from employee. every employee, whether that involves training, coaching, or Delegation requires the willingness to take risks. But it simply providing assignments that will help staff members is critical to growing esprit de corps, dedication, happiness, grow while also playing to their strengths. Money certainly skills, perspective, and productivity. Delegation is also criti- helps, but what may be most important for many people is cal to allowing managers to free up time to do their own work working in a great environment where they make a differ- and think and act strategically. Delegation should never be ence. This is the case as long as their salaries are not ignored an opportunity to set up an employee for failure, and it must and the organization shows that they are at least respected be accompanied by adequate training, coaching, support, au- in the work place, especially in comparison to other agency thority, trust, a commitment to achieving employee potential, employees. and an acknowledgement that mistakes are inevitable. The The approaches may be subtly different, but the same goal should be to avoid making the same mistake twice but goal should apply to line professionals, which includes plan- not to eliminate mistakes. Even in light of mistakes, however, ning managers and leaders who set the policy direction and the ultimate responsibility remains with the manager. take political risks, and staff who support the agency mission, Coaching is a close cousin of delegation. Coaching in- such as staff who work at the permit counter. In planning, the volves helping employees grow and taking advantage of their distinction between line and staff may be hard to see, but of- distinct skills, perspectives, and innate abilities. A key aspect ten the difference is about empowerment—such as a manager of coaching is acknowledging that each employee is differ- empowering and supporting employees to take risks and help ent. Some employees need to build proficiency in their tech- advance a mission. nical skills, and some need to build confidence. Some need If the team is one critical component of a planning or- to feel in control, and some thrive in chaos. Some are detail ganization, the other is developing the right culture, defining and solution oriented, some are process and people focused, mission and goals, and making sure that the team is working and some want to keep the focus on the big picture. Some toward those goals. Organizational structure (discussed in staff members have learning, physical, and mental disabilities more detail later in Chapter 3) is largely built on the concept and other challenges that require them to develop systems of creating a structure that defines and advances the mission that work for them. Everyone’s values, perspectives, feelings, and develops the team collaboration necessary for that work. and needs are different. Perhaps the most important rule of Mission statements are critical (also discussed later in this coaching for planning managers is not to try to make clones report, in Chapter 5), but a mission statement without an or- but to listen and identify specific employee needs and oppor- ganization designed to achieve that mission may just result in tunities. a department spinning its wheels or, worse, working without Old adages, revised in the retelling, may be especially a clear purpose. useful to coaching. We have two ears and one mouth to lis- Most effective managers emphasize staff empowerment, ten more than we talk (in different versions, by Epictetus and delegation of authority and decision making, and coaching. Mark Twain) certainly applies to coaching. Praise in public; As with the participatory planning process, staff empower- criticize in private (most famously said by Coach Vince Lom- ment will grow staff capabilities, effectiveness, and commit- bardi). Listen, ask, explore, do not instruct, and listen again. ment. Some managers are especially good at identifying their All true. staff’s weaknesses and opportunities for growth, and some The same rules of coaching—respect of employees and are especially good at identifying their staff’s strengths. Both their ideas, empowerment, a diversity of ideas—should approaches are critical to avoid rose-colored glasses while re- apply to both individual employees and the collective warding some employees and stigmatizing others. Evaluation staff. Empowerment means fostering a positive environ- systems should be heavily focused on positive reinforcement ment and counteracting the rise of a negative culture in and celebrating success. All employees have their own work the workplace. This could require, for example, addressing style, everyone makes mistakes, and almost all employees employee gripes before they take on a life of their own.

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It also means that a planning manager is committed to and organizations undergoing accreditation, (4) an outside ensuring that staff view the department as “us” and not peer and expert review, and (5) an accreditation report from as “them.” Empowerment does not mean delegating deci- the accreditation agency. Most professional planning degree sion making that should be made at the managerial level programs in the United States, especially at the graduate lev- or pretending that the internal workings of a public agen- el, are accredited by the Planning Accreditation Board (PAB). cy are democratically run. Active and empathic listening, The accreditation process includes a clear set of standards, a respectful but assertive verbal interaction, collaboration, planning program self-evaluation, a site visit and report by a and a nonjudgmental approach are ways in which manag- team of two planning educators and one planning practitio- ers can foster empowerment. Arnstein’s (1969) ladder of ner, and review and action by the full PAB. citizen participation also applies internally to planning Formalized accreditation programs do not yet exist for offices, except it is a nonjudgmental ladder in which staff planning departments. Perhaps it is time. Such programs members have no expectations that all decisions are em- already exist for many other public agencies, including the powerment focused. Rather, the kind of internal participa- following: tion will depend on the issue, and the managers should honestly disclose when staff are sharing in the decision • Park and recreation agencies: Commission for Accredi- making and when they are not. tation of Park and Recreation Agencies Sorkin (2014) tells the story of Berkshire Hathaway’s • Police departments: Commission on Accreditation radical strategy, trust. He reports that the corporation, one for Law Enforcement Agencies, or more localized proof the largest and most successful in the United States, has grams such as the Massachusetts Police Accreditation no general counsel and no human resources department. In- Commission stead of departments whose role it is to oversee or limit other • Public health departments: Public Health Accreditation departments, Berkshire Hathaway follows the approach of Board, a relatively new effort finding good managers and empowering them to make the • Public schools: AdvanceED, Middle States Association right decisions. Perhaps this is a fitting model for planning Commission, New England Association Commission, managers and local government. North Central Commission, Northwest Association of Accredited Schools, Southern Association Commission, and Western Association Accrediting Commission PLANNING AGENCY MANAGEMENT REVIEWS AND ACCREDITATION The standard methods used as part of an accreditation processes can be applied by planning managers and outside Local governments regularly conduct internal reviews or hire consultants to study the progress of a department in meet- experts to conduct external reviews of management struc- ing its mission, to audit department operations, and to review ture and internal operations. Such reviews aid departments management approaches and options. These review methods in thinking about their missions and management practic- can include the following elements: es, compare practices with national or regional standards, identify opportunities, and help make the case for proper • Internal department reviews by planning managers (for- resources. The self-study process that most planning manag- mal or informal) ers go through to prepare for management reviews is an op- • Internal reviews by city managers, auditors, or other ad- portunity to step away from day-to-day crises, deconstruct ministrative or political agencies all aspects of their operations, and identify how those decon- • Consultant reviews and external audits structed elements contribute to the big picture. Of course, • Program reviews by peers (e.g., planning directors from the challenge for public agencies living in a fishbowl is that other cities) any management review must have the highest expertise and • Benchmarking of community performance against other credibility—not just for public acceptance but for acceptance communities (as an element of any internal or external re- by the planning manager. view or a freestanding product) Accreditation programs typically have five components: • Regulatory reviews—for example, a smart growth or sus- (1) a set of minimum standards that must be met, (2) a set of tainability audit of existing zoning and land development aspirational principles, (3) self-study guidelines for agencies controls

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• Review of programmatic (not management) aspects (e.g., departments and cities (see AIA San Francisco and SPUR the STAR Community rating system does not review 2007, an analysis of San Francisco’s planning and related de- planning management but does provide communities partments). A review by peers is usually less rigorous and less with a standardized way to look at their planning and in depth. Such reviews, however, may be more effective at get- sustainability effectiveness, which indirectly may suggest ting managers to challenge existing assumptions and encour- how effectively a department functions) age much needed paradigm shifts, and may be less threatening to staff because the reviews are from respected peers. There are additional, specific departmental tasks and Not surprisingly, comprehensive management reviews processes that can be addressed as part of an organizational often come in response to internal or external perceptions performance analysis: that customers, especially development services customers, are not being well served (Carson 2009). Newly elected • Customer service systems, including web-based user in- mayors or new leadership brought about by turnover on a terfaces city council or plan commission may also trigger the desire • Staffing, training, and professional development to undertake a comprehensive review of planning manage- • Interdepartmental and intradepartmental communica- ment. Entitlement and permit processing systems—every- tion processes thing from permit tracking systems to the flow of paper, staff • External communications channels (e.g., media relations training, and consistency—are a common target or focus of and public comment loops) management reviews. But not all reviews need to be compre- • Internal information technology functions, including hensive. A narrow strategic review to address a specific issue document management, permit processing, grants ad- is sometimes a more appropriate use of resources, and it is an ministration, and integration needs between other gov- approach that is less threatening to staff. ernment departments For some planning managers, identifying the optimal organizational structures and missions may be most impor- Compared to external reviews, internal department or tant in defining their departments. Mission creep is always local government reviews can often be done at lower cost and a risk for planning operations. Over the years, new tasks are in more detail and can be more closely aligned with that lo- added and embraced, even while old systems and staffing ap- cal government’s mission. Such approaches, however, may not proaches apply. Identifying what is mission critical, and what have the independence or gravitas of an external review that is skill sets planners need to accomplish those missions, should important for external validation (see Salt Lake County 2009, be a focus of any internal or external management reviews. an example of an internal review involving an analysis of plan- For other departments, reviews may be around a specific ning and development services in Salt Lake County, Utah). programmatic function. For example, Story County, Iowa, External management reviews by private-sector, non- in 2012 requested that the American Planning Association’s profit, or university-related consultants allow departments to Community Planning Assistance Team (CPAT) help it think learn about current best management practices and gain the about how best to add economic development to its portfolio credibility that is often needed to change management prac- (APA 2011). Although not a traditional management review tices, assuming that the consultants are experts in the field by any means, CPAT had to include a brief strategic review (Carson 2009). An organizational review of the City of Col- of certain management practices in order to make its recom- lege Station, Texas, includes written records, interviews with mendations. Similar strategic reviews may well be more com- customers and policy makers, and a wide range of planning mon, and certainly more affordable, for many departments department interactions—in essence a 360-degree review of than comprehensive management reviews. planning operations (College Station 2005). Extensive analy- Perhaps the most politically sensitive aspect of manage- sis of this information is used to create recommendations. ment reviews is whether planning staff—from the director External reviews may look at many departments across on down—view management reviews as threatening. De- a city, including planning (see Greenbelt 2013, an analysis of partments that want to learn and grow should be requesting the City of Greenbelt, Maryland). An external review might and embracing management reviews to help them learn new be contracted by the community and prepared by a consul- skills. But a comprehensive review process should also con- tancy (as in Greenbelt) or independently prepared by a mis- sider questions of leadership and staff competence, so there sion-driven organization with the cooperation of the affected are legitimate reasons that staff and planning managers can

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find reviews threatening. Developing buy-in about the ap- That said, planning managers should ensure that their proaches and goals of management reviews and the review operations always provide customers with fast, accurate, teams can make the process far more effective. consistent, and courteous service, with much of the service available at all times using automated services, especially through the Internet. Customer service cuts across all aspects CUSTOMER SERVICE of planning office operations—whether it is technology, -en titlements, office structure, or office layout and location. The A clear mission and an optimized department organizational customer may not always be right, but customer service is one structure should enhance a department’s ability to excel at of the primary lenses through which a planning office opera- providing customer service. Providing excellent customer tion and its planning managers are judged. service is one of the most important functions of a taxpayer- funded public agency. Customer service, however, is perhaps the area where planning offices are most ripe for improve- OFFICE SPACE ment. Certainly it is one of the first areas where outside audits (see Dane County 2005) and internal user surveys and focus Office space layouts can help or hinder all aspects of planning groups across communities consistently identify opportuni- operations. Across disciplines, there has been a trend toward ties for improvement. open office layouts for years and a majority of US offices now All departments should use some kind of instrument to have office layouts without walls. Open offices are appealing identify opportunities for customer service improvements. because of their lower cost and higher workspace density, Commonly used instruments include the following: greater layout flexibility, and perceived better communication. True open offices, with low-height or no cubicle dividers • Counter or web surveys of all visitors and fewer visual and sound barriers, can maximize conver- • Random-sample follow-up surveys of customers going sation, information flow, and collaboration. Open offices are through the entitlement process especially valued in organizations that put a premium on col- • Monitoring of Facebook, Twitter, and other social media laboration, including newspaper newsrooms, which used this postings, especially on planning office social media -ac approach for close to a century; Michael Bloomberg’s bullpen counts when he was mayor of New York City; and Facebook, which • Outside audits and management reviews (see “Agency has joined the open-office bandwagon. Offices that promote Management Reviews and Accreditation,” p. 15) formal and informal mixing beyond just a shared water cooler • 360-degree reviews of all who encounter planning services can promote communication and a stronger sense of cama- • Focus groups raderie. The office that chats together finds blaming harder. • Staff audits of a department’s own process, described by Yet there is also strong pushback against open-office lay- Nathan West in “Being an Applicant in Your Own Regula- outs. The lack of privacy, the volume of noise, and the dis- tory World” (p. 56) (a good analogy is Undercover Boss, a tractions impede some kinds of conversations and interrupt TV series produced in several countries where executives workers trying to concentrate. For many people and many take entry-level jobs to see how their businesses really op- different kinds of tasks, what is gained in communication erate in the trenches) may not offset what is lost in productivity. Interestingly, Bloomberg installed his bullpen, which in- Good reasons might limit a customer-service orienta- cluded his own desk, using lessons he learned on Wall Street tion. There are obviously inherent differences between pri- and using a model that has been much emulated. Most of vate-sector goods and services, where “the customer is always the candidates to succeed Bloomberg, including Mayor Bill right” and the primary goal is to serve the customers, and de Blasio, criticized the bullpen as being too noisy, distract- governments, where what customers who show up at the per- ing, and potentially isolated (Barbaro 2013). When he became mit counter want will sometimes be in conflict with what the mayor, de Blasio decided it was too expensive to remove the community wants and what serves the public good. Because bullpen, although he located his own private office away from customer revenue often pays only a certain percentage of de- the bullpen and its noise and distractions (Karni 2014). partment costs, resources available for customer service may As always, one should be careful about theory over prac- be limited or dedicated to other functions. tice, as the author of this report once experienced. In one

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university classroom and faculty office building, people from lead to penny-wise but pound-foolish decisions. In some disciplines were spread out throughout the building with the jurisdictions, union and civil service restrictions may lim- goal of better collaboration, instead of being grouped togeth- it the ability to hire some consultants. er as is commonly done. In the end, however, this building • Do not play with consultants. When planning manag- had more closed office doors than any other similar building. ers know who they want to use, they should not do a full It did, however, have faculty and staff lunchrooms with free request for proposals (RFP) just to meet procurement daily newspapers, coffee, and tea. Those lunchrooms were requirements. where the social mixing, and ideally the collaborative chats, • Use electronic processes for posting and accepting pro- took place. posals. This is easier for consultants to use, for internal Different office configurations serve different purposes. and external review teams sharing information, and for Open offices may create more interactions, but they may be departments making proposals available to the public. very short side conversations, as opposed to those in two- or • Understand the consultant’s costs. Many requirements three-person workgroup-enclosed clusters where real col- that are common in RFPs (e.g., customized proposals, on- laboration happens. High-cubicle offices are almost univer- site interviews, unnecessary expertise or experience) add sally disliked, but private offices may not be more productive greatly to the cost for a consultant and reduce the number and are certainly more costly. The question for any planning of competitive proposals. Each of these items is critical for manager is what kind of office is best for the specific kind of some projects and should not be dropped lightly, but each collaboration going on, and how flexible the overall office is item should be thought about carefully and not just listed in supporting different kinds of projects over time. Much of because it was included in the last RFP. the research has concluded that well-designed small clusters, • Identify the best way to use consultants hired to supple- small bullpens, or small pods may be the most balanced, ef- ment or replace staff. Consultants usually have a much fective, and productive approach (Becker and Sims 2001). The higher hourly rate than staff, but that rate includes their right mix matters. overhead (e.g., payroll, sick leave, vacation time, retire- ment, training, internal support teams, and unemploy- ment compensation), and overhead can add 50 percent CONSULTANTS (or significantly more) to the cost of actual salaries. More importantly, use of consultants provides a very easy way Local planning managers hire planning, engineering, and to staff up or staff down, ideally with the proper creden- other consultants at various times, whether it is to bring in tials and skillset. On the other hand, consultants may not expertise and perspectives not on staff, supplement staff at provide the long-term vision, commitment, or team- and peak times, provide temporary staff replacements for leaves relationship-building that staff can provide. and vacancies, replace staff, or provide credibility. When well managed and executed, contracts with consultants can be powerful partnerships. When poorly done, the results can be PLANNING MANAGEMENT OVERVIEW disastrous—squandering resources, generating bad feelings, and wasting what can be fleeting opportunities. Effective planning managers never finish creating systems Working with Planning Consultants (Kelly 2013) goes and processes. Rather, the process must use a continuous into much greater detail on this subject. The following are a improvement model, with ongoing evolution and 360-de- few basic rules for planning managers: gree feedback and evaluations to make sure that a management system fulfills changing missions, opportunities, and • Comply with local and state procurement require- constraints. All this must be done as efficiently as possible ments, which vary dramatically across the country. and while serving all users, staff, external customers, inter- Planning managers should not, however, let procurement nal customers, and the community. This chapter’s review of requirements drive a bad process. In every state there are management basics, the next chapter on planning office -or ways to comply with the regulations without blaming ganization, and all other aspects of management and opera- those regulations for a bad process. Consistently, the big- tions are as important to planning managers and to success- gest challenges are procurement regulations that require a ful planning as are the substantive and more visible aspects choice made on price alone—and not quality—which can of planning.

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CHAPTER 3 PLANNING OFFICE ORGANIZATION Planning offices, at least large ones with multiple divisions, are ideally organized to fulfill their stated missions and to be- ef ficient. Planning managers can organize planning offices in any number of ways. A 2009 article for PM magazine, an online publication of the International City/County Management Association (ICMA), offered local government managers some advice about reorganizing a public agency during a period of drastic budget cuts. The article noted that managers may want to wait and see if financial conditions return to normal before making changes to the agency’s organizational structure—but, as noted in the article and as has turned out to be true, reduced budgets are the new normal (Ibarra 2009).

ORGANIZATIONAL MODELS regulatory and entitlement processes), and enforcement (e.g., permit administration) According to David Morley, who manages the APA’s Planning Advisory Service, the most common question plan- For some planning managers, office organization is the ning managers have about department organization is which result of careful thought. For others it is the result of historical functions should be grouped together within a department or legacy factors that never changed: “To be honest, I am not (David Morley, APA senior research associate, pers. comm.). sure why the staff for the Zoning Board of Appeals is stationed One of the most common is a horizontal integration grouped in the Building Department. It has been that way since I have by time frame with some variation on a theme: been here” (Philip Dromey, deputy director of planning, City of Springfield, MA, pers. comm.). Almost any organizational • Management (e.g., human resources, board staffing, infor- structure can work when there are willing and cooperative mation technology) players who want to make it work and who have both strong • Current planning (e.g., permitting, environmental assess- political support and a culture of collaboration. As the ICMA ments, project management) article notes, “A well-designed organization ensures that the • Advance or long-range planning (e.g., strategic plans and form or infrastructure of the organization matches its purpose master/comprehensive/general plans) and strategy, meets the challenges posed by business realities, and significantly increases the likelihood that the collective ef- Other planning organizational themes, often combined forts of people will be successful” (Ibarra 2009). with the above, include the following (Higgins, Speers, and Smaller communities are more likely to have a consoli- Summerell 2006): dated model in which planning, building, housing (including grants administration), and economic development are • Planning specialties and sub-disciplines and vertical inte- together in a single department. Large cities and counties gration by skill set and subject area (e.g., transportation, typically house those functions in separate departments or land use, housing, economic development, community in divisions within a larger department. A system with direct development, comprehensive planning, waterfront and reports to a mayor or a city/county manager may suggest a environmental planning) single consolidated planning office to reduce the number of • Functional approaches (e.g., planning, regulations, infor- direct supervisors required. On the other hand, a system with mation systems, investment, policy) direct reports to an assistant city/county manager might in- • Legal status of the agency—legislative (e.g., planning, code volve smaller dispersed functions because the manager pre- writing, planning implementation), quasi-judicial (e.g., sumably has the time to coordinate smaller departments.

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A very strong argument certainly exists to have cur- small city (Del Mar, California), a medium-sized city (Cary, rent and long-range planning integrated in some formal North Carolina), and a large city (San Francisco). way. Zucker (2007) recommends keeping current planning Organizational structures tend to evolve, or not, when and long-range planning in the same department to en- the legacy organizational structures remain longer than sure collaboration and integration of different functions. makes sense. In “A Tale of Three Cities” (p. 25), Jeff Levine The goals and policies expressed in comprehensive and discusses organizational differences in three Northeast cit- general plans and subarea plans are implemented by cur- ies where he has worked. “Mergers and Acquisitions” (p. 27) rent planning functions, including site plan and develop- by Jonathan Tucker looks at the challenges to and outcomes ment review, zoning, and form-based codes. As discussed of reorganizing and consolidating various local government in Chapter 2, planning department leadership must focus departments in Amherst, Massachusetts. In some commu- on creating and embracing the vision of the department’s nities, affordable housing and grants administration is in- work, coordinate all functions so that departments col- tegrated into planning offices, in others it is a free-standing laborate, and work toward a shared mission. That point function, and in still others affordable housing programs of view corresponds with Zucker’s recommendation that are managed by a quasi-governmental or nongovernmental current and long-range planning functions be kept in agency. In all these different contexts, the relationship of lo- the same department. An older study of Seattle’s failure cal government to external affordable housing agencies can in its efforts to separate long-range planning from cur- be very different. Robert Ansley examines these differences rent planning supports and illustrates this same point and the ways in which planning departments and housing (Dalton 1985). Removing planning from implementation agencies must coordinate their work in “The Relationship to makes planning less effective and threatens its political Affordable Housing Agencies” (p. 28). legitimacy. This does not mean that some separation is Communities also grapple with whether planning and not sometimes desirable—for example when a mayor em- economic development functions should be in a consolidat- braces long-range planning and wants to elevate its status ed department. Having separate departments is a common in the mayor’s office. It can, however, raise concerns about model, allowing each department to be a strong advocate how local politics will influence issues, especially when it for its perspective. The risk of separating any of the integral is time for that mayor to leave office. functions from the planning office is the potential to cre- Each community has a story that influences how plan- ate silos, which over time reinforce a functional separation ning functions are organized and managed. Issues that influ- and often a tension between agencies that share some but ence the planning context—such as the community’s focus not all goals. In “Balancing Planning and Economic Devel- on sustainability, participatory planning, or economic development” (p. 30), Nathan West, aicp, discusses how to find opment—are discussed later in this report, but obviously doz- that middle ground. ens of other local issues influence community context. Local politics influence how planning functions are organized and, to some extent, how planning is managed. SUSTAINABILITY AND THE PLANNING OFFICE In planning management, as in planning, context is everything. The different contexts of inner city, urban, suburban, Sustainability is one of the newer organizing principles in exurban, and rural communities; fast-growing and shrinking local planning. It involves finding integrative approaches to communities; and wealthy and working-class communities addressing the “three Es”: environment, economy, and social all lead to different management needs—to say nothing of equity. In Sustaining Places: Best Practices for Comprehensive different values and perspectives. However, more similarities Plans, Godschalk and Rouse (2015) make the case that the than differences likely exist within different communities, comprehensive plan is a perfect outlet for planners to apply and an understanding of context simply reinforces the op- a “systems thinking” approach that uses a framework of (1) tions. The same issues can be raised about the integration of principles (livable built environment, harmony with nature, economic development, sustainability, development services, resilient economy, interwoven equity, healthy community, housing, and planning. There are endless variations on what responsible regionalism), (2) processes (authentic participa- might be considered the optimal organizational structure, as tion, accountable implementation), and (3) attributes (con- illustrated in the case studies throughout this chapter and in sistent content, coordinated characteristics). These factors the examples in Appendix A of organizational charts from a together will help planners identify opportunities for cross-

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integration between sustainability and traditional compre- grate the environment, economy, and equity core principles; hensive plan elements, including land use, transportation, and balanced efforts that ensure all stakeholders have equal housing, economic development, and the environment. seats at the table. When the planning department takes ownership of Local government sustainability functions are typically a city’s sustainability initiative, the planning manager is located in one of four (all good) organizational structures: tasked with identifying available resources to manage the initiative and to guide staff through discussions about sus- 1. Sustainability in an integrated planning department, tainability and how it will be made a focus in the depart- often with major or minor restructuring or rebrand- ment. To address these emerging priorities, effective plan- ing: This model allows the greatest integration into planning managers should be at the forefront of sustainability ning and the involvement in all city sustainability func- efforts in their communities. In “Sustainability in Practice: tions. It may range from adding sustainability duties to From Aspirational to Operational” (p. 32), Joel Mills looks an existing planning office structure or, in what appears at sustainability initiatives across the country and the to be a more common approach, adding a sustainability lessons learned from two decades of sustainability work. division within a planning office. This approach is used Mark Hamin, in “Sustainability as a Planning Construct” by the Portland Bureau of Planning and Sustainability in (p. 34), provides an overview of the evolution of contempo- Portland, Oregon; the Baltimore Office of Sustainability; rary sustainability. the Community Development Department of the City of For all the growth in interest in sustainability as a Cambridge in Massachusetts; the Community & Eco- construct for planning or even as a core principle for lo- nomic Development Office of Burlington, Vermont; and cal government, many of the basic principles of sustain- the Planning and Code Administration department in ability, and certainly specific sustainability measures, still Gaithersburg, Maryland. In “Sustainability within Plan- have relatively low adoption rates. Interestingly, a focus on ning” (p. 36), Dyan Elizabeth Backe describes in more sustainability does not seem to be strongly correlated with detail the sustainability planning efforts of Gaithersburg. race, class, or wealth. A community’s commitment to just 2. Sustainability integrated into a chief legislative or one broader sustainability issue—such as energy conserva- executive office: This model typically has the narrowest tion, green jobs, or climate change mitigation—is the best definition of sustainability—usually climate mitigation indicator of whether the community will be committed to and adaption—but potentially great buy-in by the chief sustainability more broadly (Svara, Watt, and Jang 2013). executive. Dane County, Wisconsin, is an example of a Regardless of how city government is structured, strong local government using this approach, and Lisa MacKin- community networks and citizen support are critical to non explains her role as the county’s sustainability coor- making community sustainability happen (Daley, Sharp, dinator/audit analyst in “Sustainability under the Chief and Bae 2013). In other words, strong leadership and the Elected Office” (p. 37). incorporation of sustainability into planning may be criti- 3. Sustainability as a standalone department: This ap- cal, but nothing is as important as community networks proach is used in the City of Boston’s Environment, En- and citizen support. ergy, and Open Space Cabinet as well as in Richmond, Virginia. Alicia Zatcoff describes Richmond’s sustainabil- Organizing for Sustainability ity and energy management office in “Sustainability as a As sustainability becomes a dominant paradigm for plan- Freestanding Department” (p. 39). This model allows for a ning, planning managers and communities are grappling focus on sustainability, but it does not automatically lead with their organizational structures. There are no universal to full integration of all sustainability issues. guidelines about where sustainability functions should be 4. Some combination of integration and separate de- housed in local governments, what a sustainability func- partments: This approach is used in Albany, New York, tion is, which professionals should take the lead in sustain- where the Mayor’s Office of Energy & Sustainability ability, or even what the relationship between sustainability reports to the mayor, but it is physically located and and planning should be. Different approaches lead to the shares staff with the Department of Development and restructuring of some planning and sustainability func- Planning. A hybrid is also used in Northampton, Mas- tions. What remains to be seen is whether that leads to the sachusetts, with a Planning and Sustainability Depart- creation of sustainability offices; planning efforts that inte- ment and a separate energy and sustainability officer

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in the Central Services Department as David Elvin discusses in “Climate Adaptation and Mitigation” (p. 40). This model allows for a strong independent focus on energy or any other freestanding issue and also provides a way for other sustainability functions to be integrated into planning.

The reality is that all four models can work exceptionally well when planning managers ensure that there is good communication and collaboration; all four can also fail spectacu- larly without such communication and collaboration. What is most important for communities is that they carefully examine which organizational structures, within each community’s context, will allow the best integration, strongest collaboration, sharpest focus, and most effective use of limited resources. When the sustainability focus is climate mitigation and adaptation, the various models can be equally effective. For a sustainability focus based on a broader definition of sustainability (environment, social equity, and economy), it is usually most effective to house all of the responsibilities under one roof. However, the other models can work if excellent communication is present. There are probably almost unlimited variations on how planning offices are organized. The key to effective organization is that it matches the department’s mission and strategy. For planning managers, the most important theme is ensuring that any organizational structure maximizes communication and collaboration at all levels and scales:

• Within local government, communication and collaboration between diverse departments, executives, and legislative bodies require both formal organizational structures and informal communication networks and practices. • For local government planning functions, regardless of where they are located within a local government, communication and collaboration require attention to physical layout, communications strategies, and deployment of consultants. • In the community, communication and collaboration require attention to customer service, physical layout, and a virtual presence.

Often, the most important item is simply perspective. Plan- ning managers must strive for continuous improvement, not assuming that what worked yesterday makes sense today. They must be willing to consider new ways of doing business and seek new and outside ideas and approaches for growth and development.

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TALE OF THREE CITIES Jeff Levine, Director of Planning and Urban Development, City of Portland, Maine

To planning managers and planners around a new rapid transit station— comprehensive plan completed, bring who have worked in more than one rather than the big box mall that initial- bicycle-sharing to the town, and work municipal planning office, it should ly seemed politically more expedient. with local developers to produce over come as no surprise that the type of The strong-mayor system of gov- 60 units of permanently affordable government a place has affects how its ernment has some advantages for housing. The decentralized model of planning gets done. While many differ- the urban planner. For one, you know governance also has some advantages. ent types of municipalities—cities with where the buck stops. It is easy to get The planner is somewhat free to market strong mayors, counties with supervi- clear guidance on direction and, if you best practices and sound planning con- sors, the town meeting of traditional are respected within the organization, cepts to a wide variety of community New England towns—can plan for your ideas can be leveraged signifi- members—and then democracy takes sustainable and equitable futures, the cantly when you can get the mayor to over. If you can sell enough residents on path to that good planning is differ- support them. your ideas, they will carry the day at the ent in each case. I have had the good As the director of the Planning and town meeting. fortune to work as a planning manager Community Development Department Currently, in Portland, Maine, I am in several different municipal environ- for the Town of Brookline, Massachu- learning more than just a different set ments. As someone who is interested setts, I learned how a highly decentral- of state laws and traditions. I am also in the nuts and bolts of government, ized system did, and did not, lead to de- learning how a system with a strong I have found it fascinating to see how cisions. The town has an elected town city manager and a city council works. decisions are made based on what a meeting, which gathers twice a year as Portland is a slight variation on this city charter says. the legislative body of the town, as well common model in that it also has a In the City of Somerville, Massachu- as a strong group of residents serving directly elected mayor who leads the setts, I worked for a traditional strong as the advisory committee to the town city council—but the concept is the mayor who held the reins of control meeting. Rather than a city manager same. very tightly. While the community had or mayor, the town’s executive author- In this model, and in a community an effective group of citizens who pro- ity lies in the hands of a five-member where planning issues are important moted good planning, and state legis- board of selectmen, whose members to residents, doing good planning is lators who did the same, at the end of do not always agree with each other. somewhat of a hybrid of the models the day it was essential to convince the Decision making and planning is highly discussed above. While keeping the mayor’s advisors that good planning decentralized. support of the city manager, mayor, made good politics. It made better Add to that the fact that Brook- and councilors is important, taking politics, in fact, than accommodating line, with 60,000 residents living in the lead on good planning is also im- short-term developments that might high-density neighborhoods, is more portant. The system is just centralized preclude better things from happen- complicated than many cities—and enough to empower the planning ing over time. the stage was set for an interesting director to do so, and it is just decen- I spent a lot of my time as an in- contrast to Somerville. Decision mak- tralized enough to require someone to ternal mediator, taking good planning ing in a decentralized environment is take that lead. ideas from staff and the public and all about personal relationships and This system of government also turning them into political gold. I was connecting to the key stakeholders has its advantages. It provides some of not always successful, but that was in various areas. You then have to rely the best of both worlds: a strong cen- the formula. As a result of the work of on those stakeholders reaching out tral system that can provide you with many planners and politicians, the city to their connections in order to move key support but also the freedom to is now redeveloping the 145-acre As- anything along. work with many different residents on sembly Square district into a mixed use, I had my share of setbacks in Brook- planning issues. It is somewhat similar transit-oriented development building line as well, but I was able to get a new to the strong-mayor system. However,

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it provides more protection from the day-to-day political forces at play in a community. Of course, the overall political climate of a place is as important as the governmental form. Two different cities, each with a strong-mayor system, can have vastly different levels of planning capacity. A visionary mayor elected by a community that believes in planning can work with an effective planning manager and staff planners to make great things happen. A less visionary leader can drive away good planners, or at least keep them from being effective. However, knowing how the strings of power are pulled in different places is essential to maxi- mizing your effectiveness as a planner, whether as a staff planner or as a consultant. Political junkies can rejoice!

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MERGERS AND ACQUISITIONS Jonathan Tucker, Planning Director, Town of Amherst, Massachusetts

Amherst, Massachusetts, has a very in- of town services. One of the outcomes permit-review process. Town permitting volved citizenry; the town has more than was the development of new permit- boards that had developed their own 50 standing boards and committees. tracking software to allow all permitting subcultures and informal policies and Day-to-day governance is conducted departments to communicate more practices over the decades have also by a town manager, an elected five- effectively on development projects. had to adjust, sometimes slowly and un- member select board, and town staff — Within a couple of years, the town man- comfortably, to an increasing formalizing and all those committees. Budgets and ager, working with town staff, moved of the permit process. Other town de- changes in local zoning and regulations the Inspection Services Department and partments involved in the development are undertaken by a 240-member rep- Community Development into newly process have had similar adjustments to resentative town meeting, which meets renovated Planning and Conserva- make to what had been in the past a se- twice a year. It has heavily participatory tion Department office space. He then ries of smaller actions or requests from local governance and reflects a com- merged the four departments into a new individual departments but was now munity that wants to accomplish a great Office of Conservation and Develop- a single, unified approach. As with all deal—sometimes more than it is able to ment, which also includes sustainability. change, some discomfort will result. accomplish—while changing as little as The merger required a great deal of staff One initial effort included attempts possible. It requires a higher-than-normal time and effort, and it required a refine- to cross-train administrative staff mem- investment in, and by, professional staff ment of the permit-tracking software. bers so that they could undertake mul- to support and help guide citizen efforts. This process has resulted in a signif- tiple tasks as needed across departmen- For decades, Amherst had located its icant consolidation of departments and tal boundaries. That particular effort was planning, conservation, and inspections resources. The department now pro- emphasized and accelerated during a departments in different parts of its 1889 vides a more coordinated and efficient period of severe budget constraints, brick Town Hall. As has been the case in place for citizens, business owners, and serving as a response to necessity as well so many communities, this separation potential permit applicants to access as an attempt to improve the flexibility had encouraged these departments to information and meet with staff mem- and adaptability of the department. It has function in insular and compartmented bers. While the change has involved on- since become apparent that some blend ways, even when efforts were made to going growing pains and numerous ad- of flexibility and compartmentalization reach out beyond the respective “silos.” justments, simple proximity and regular of administrative tasks creates the best During a 1997 renovation of the historic meetings among different functional efficiencies, so the pendulum is swing- Town Hall, the town brought the plan- groupings of staff have enabled closer ing back as part of an evolving process. ning and conservation departments coordination of approaches to address The upshot is that the changes have together to share a large second floor development review, town projects, worked. Putting these departments to- space. A decade later, in 2007, proxim- and pressing community issues. One gether and allowing them to work coop- ity and ongoing coordination led to the example of an outcome has been the eratively has produced marked improve- merging of those departments into the town’s ability to pursue grants. Absorb- ments in the Town of Amherst’s ability to Conservation and Planning Department. ing the grant writing and administra- carry out its responsibilities. The process The Inspections Services Department, tion capacity has enabled the office to has required patience, good will, and en- including the building commissioner/ significantly improve the ability to lo- durance—all qualities essential to work- zoning enforcement officer, continued cate and obtain a wide range of grants; ing in local governance—and these to occupy an office in the basement, two this likely has paid for the costs of the needs will continue to exist. The chang- floors and a world away. consolidation many times over. es, however, have resulted in improved In 2007 the select board hired a new Among the growing pains has been coordination that has benefited both town manager and assigned him the the need to regularly re-evaluate the role public and private interests and helped tasks of spurring economic development of different professional and administra- local planners and other professionals to and significantly increasing the efficiency tive staff, especially in relation to the better fulfill their responsibilities.

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THE RELATIONSHIP TO AFFORDABLE HOUSING AGENCIES Robert Ansley, faicp, President, Orlando Neighborhood Improvement Corporation, Orlando, Florida

Planning for housing has long been an agencies are not otherwise involved in typically prescribe or give preference to integral part of city planning’s func- the direct provision of housing. such details as: tion, but planning managers have dif- Since the 1930s, separate public ferent approaches to addressing vari- agencies have been created to actually • Housing type (single or multifamily; ous aspects of housing planning. The stimulate housing production—pri- ownership or rental) future land-use plan provides for pro- marily of affordable housing but also • Unit type (the mix of bedrooms) jected housing needs within a frame- housing in redevelopment areas. The • Construction type (frame versus ma- work of location and general housing- agencies are separate from planning sonry) density classifications. Development departments in part because local • Density (attached or detached; gar- codes specify form, type, and density governments normally do not have suf- den or midrise) details and generally relate housing ficient authority to create and adminis- • Location (infill or greenfield) development to availability of servic- ter the financial tools that are used to • Geographic distribution (small coun- es. Other aspects include such items fund affordable housing development. ty versus large county; small city ver- as housing quality standards, group Today states, many counties, and even sus large city) home regulations, and streamlined some cities have housing finance agen- • Highest leverage of public funds (i.e., permitting. All of this creates a frame- cies (HFAs) that issue tax-exempt bonds, fewest public dollars per unit) work for the private-sector delivery of allocate low-income housing tax cred- housing within a local government’s its, and may also invest tax-increment Procedures for funding via bonds goals and vision. funds for the development of affordable or tax credits usually dictate that a Many local governments have housing. Some of these agencies also funded project be consistent with a housing divisions and housing plan- administer federal housing funds, such local government’s local land-use and ners, either as part of a planning office as the HOME Investment Partnership related plans. Further, the use of HUD or in a separate department. These de- program and state housing trust funds. funds at the local level is governed by partments and staff are often involved State agencies cover cities and counties a local consolidated plan, and state in assessing needs; directing resources, statewide, while a local HFA serves a housing trust funds similarly mandate especially the Community Develop- county and its cities. Sometimes HFAs a local housing plan to guide their use. ment Block Grant (CDBG), HOME In- serve several contiguous counties in a (In medium and large urban areas, the vestment Partnership Program, and US more regional role, thus allowing hous- consolidated plan is prepared by the Department of Housing and Urban De- ing producers in small counties access CDBG entitlement. States prepare the velopment (HUD) Supportive Housing to these financing tools. Most often, the plan for smaller communities. Consoli- Program funds and local bond funds; funding is awarded through a competi- dated plans are not required within In- working with community redevelop- tive application process. dian tribal reservations.) ment agencies on housing projects; It is important for planning direc- Nonetheless, housing agencies and coordinating with public housing tors and managers to have good rela- need to be made aware of the housing agencies/authorities, local community tionships and frequent communication priorities of the jurisdictions they serve; development corporations, and other with housing agencies and other hous- otherwise, they will set their preferences nonprofit and for-profit housing devel- ing partners to ensure that the housing according to the market and other crite- opers. In addition, some states—such production promoted by such agencies ria that may or may not align with those as Florida—and some federal grant fits the local government’s plans and of a city or county in their service area. programs require local government goals and also to ensure that the local- For example, a city may have affordable signoff either of the specific project or ity receives its fair share of housing fund- infill housing as a priority, whereas a local generally through the comprehensive ing. Left to their own devices, housing HFA may have highest unit production plan in order to receive housing fund- agencies can become shadow land-use as a top goal. The HFA’s policies would ing. Generally, however, local planning planners. Their funding requirements reward lowest cost (land and building)

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to the extent that the more expensive infill housing would not be competitive in the application for funding. The funding would flow to projects located in suburban or even exurban sites that may or may not be in the city in question. As far as the agency is concerned, if a project meets someone’s housing priorities and plans, who that someone is does not matter. Therefore, planning departments and housing agencies must closely coordinate their preparation of housing plans, policies, and procedures so as to achieve the best support for the affordable housing in the jurisdiction. Simi- larly, where a government’s plans clash with the plans and policies of a housing agency, particularly at the state level, the money will likely go elsewhere and opportunities will be lost. The language of the HFA is one of high finance and is outside the comfort zone of most planners, so it is usually avoided altogether. All too often planning directors fail to make the connection between the planning function and the housing agency and thus lose valuable resources that could have benefitted their jurisdictions.

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BALANCING PLANNING AND ECONOMIC DEVELOPMENT Nathan West, aicp, Director of Community and Economic Development, City of Port Angeles, Washington

A balanced community development can include internal disagreement re- Both approaches have merits and approach is important to think about sulting in the overruling of the planning both can be rewarding, as long as the de- during the transition toward greater director’s decision, or public disagree- cision makers of local governments have sustainability. The success of an orga- ment between planning directors and prioritized the importance of balancing nization’s structure within a small mu- economic development directors. Bal- economic success with a quality built nicipality is critical for sustainable and ance is achievable, but one individual environment. In today’s economy, re- balanced development. Traditionally, is not accountable for such balance, ex- gardless of the framework, it is critical to small municipalities have had a planning cept at the mayor or city manager level. maintain an open-minded approach that director responsible for land-use and Many municipalities are moving recognizes the need to pave the way for permitting issues, while economic de- to an approach where one director economic success. To achieve this, both velopment has been left to the mayor oversees both economic development approaches require flexibility and new or city manager or a separate economic and land use, and often sustainability ways to create local opportunities. development director. Simply stated functions as well. This model forces the there are two approaches: one that has director and the department to proac- economic development as a separate tively balance decisions and recommen- An International Perspective functional responsibility and one that dations to ensure consideration is given After spending seven years as a plan- combines responsibilities under one di- to businesses, developers, and overall ner in the Caribbean and nine years a rector position. Both approaches have code implementation. A cohesive ap- planner in Port Angeles, Washington, a their benefits and pitfalls, but the key for proach to planning and economic small US city, I have noticed striking dif- all municipalities is to find the approach development can strategically enable ferences and essential commonalities that achieves balance. the success of development within the in the approaches and roles involved The traditional planning director context of the regulatory environment. in balancing planning and economic approach excels at achieving the best Balance is ingrained in staff reviews, redevelopment. The Caribbean approach planned outcome for the community. ports, and overall recommendations. was to encourage economic develop- It may, however, lack recognition of the Often this type of oversight can result in ment but to do it by managing growth needs of local businesses and develop- incentives-based approaches that drive and not necessarily taking a long-term ers. Planning directors are expected to new development opportunities, which planning or environmental perspective. focus on implementing the compre- in turn can ensure desirable outcomes In the Caribbean, a constant interest ex- hensive plan, zoning code, and build- in planning and the implementation of ists in investment from visiting developing code. They sometimes do this with local codes and plans. Only when both ers and real estate professionals. Even in limited consideration of the financial planning managers and line staff are slower economic times, Caribbean des- implications for businesses and the eco- committed to the entire process can tinations continue to receive a moderate nomic growth of the community—even plans come alive. flow of development applications. though most planning directors think a The combined framework is not Fast-paced development results in great deal about these issues and weigh without its own difficulties. One indi- immediate implementation and on-the- them as part of the decision making pro- vidual bears the pressure to ensure ad- ground results in code-related changes. cess. The traditional planning director equate and appropriate balance. For a Growth is constant and competitive. In or staff planner role, however, does not business advocate, the important con- these environments, developers expect include the responsibility of advocating text of design standards and code can to provide amenities and contributions for business and development. The ad- become a second issue of priority. If bal- for community facility needs. To make vocate’s role is left up to the economic anced correctly, however, advocacy and planning even more interesting, many development director, city manager, stewardship of the public realm can be island environmental regulations are in mayor, or even city council. Direct out- aligned, resulting in a progressively sus- a state of infancy. For planners, this type comes of a planning director approach tainable community. of environment is a great opportunity to

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develop and implement working plans larities do exist. Good policy makes a and new policies and to learn about difference, and any development results their effectiveness within a reasonably in immediate impacts to the commu- short timeframe. nity. Major developments get attention My experience in the United States and can be game changers for both was one of more integrated planning types of communities. Planners must and economic development but in a recognize the regular pace of planning very different context. In contrast to in their communities and take actions the Caribbean, many small US urban that reflect expected rates of change. centers, outside of the fastest growing Whether a small urban center or a Ca- metropolitan regions, experience slow- ribbean community, the best planning paced urban growth, and decades can happens when policy enables oppor- pass before the results of a new policy tunities to create vibrant and attractive are actually seen in the form of com- communities. munity change. These communities are challenged to find ways to interest in- vestors. They must be creative in setting their communities apart from larger municipalities that may appear to be easier choices for average developers. Offering incentives is the best approach to stimulate such investment. Façade improvement programs can also be a good tool for municipalities to offer direct financing to improve the public realm and encourage investment. Infrastructure contributions and tax incentives combined with limited permit requirements and fees improve the chances of successful investments. In smaller urban areas, extra effort may be necessary to identify and measure the results of policy-related changes. A slower pace means the visual results can take years to appear, but this pace also allows for careful and thoughtful change in policy without the demands of a high-pressure permitting environment. One way to determine the effectiveness of new policies is to have designers do scenario tests of policies and codes. These tests or code trials benefit from a regulatory environment that is often already mature and that provides a stable foundation upon which new policy can build. While these two planning environments highlight many differences, simi-

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SUSTAINABILITY IN PRACTICE: FROM ASPIRATIONAL TO OPERATIONAL Joel Mills, Director, Center for Communities by Design, American Institute of Architects

In the decades since the Brundtland Beyond Green: The New nity approach, covering essential public Commission’s seminal work on sustain- Sustainability services as well as quality-of-life issues able development, the ways in which The challenges associated with early and culture. It embodies a collective communities approach sustainability sustainability experiences have led to strategy for community success (Corpus has undergone wholesale change. Much an adapted approach which stresses Christi 2009). of the international work on sustainabil- a more practical operational strategy These kinds of local efforts mirror ity has been the subject of debate and to lead systems reform efforts and to attempts at the regional, state, and na- political paralysis at the national level in define a framework for holistic com- tional levels to succeed in scalable inte- the US, and it has been overshadowed munity success. As a result, communi- gration of effort. At the national level, the politics of climate change. Substan- ties are using sustainability for whole- in 2009 the US Department of Hous- tial change, however, has taken place at sale realignment of efforts stressing ing and Urban Development (HUD), the local level. interconnections and integrated re- US Department of Transportation, and While much of the local experi- sponses. The City of Santa Monica in US Environmental Protection Agency ence with sustainability over the last California developed a Sustainable City formed the Partnership for Sustain- two decades can be characterized as Plan founded on 11 guiding principles, able Communities (www.sustainable aspirational goal setting and targets, with the primary guiding principle be- communities.gov) to coordinate ef- the concept has evolved in its meaning ing that “the concept of sustainability forts on housing, transportation, en- for localities. During the last decade, guides city policy” (Santa Monica 2014, vironmental, and related infrastruc- over 1,000 mayors signed the US Con- 6). However, the principles together ture investments in communities. The ference of Mayors Climate Protection embrace concepts of holistic thinking, partnership’s work on federal funding Agreement, marking a commitment publicly driven implementation, and programs, policies, and legislative pro- to “strive to meet or beat the Kyoto the importance of cross-sector part- posals is based on six core principles of Protocol targets in their own commu- nerships. They also apply scalable ap- livability: (1) provide more transporta- nities, through actions ranging from proaches, recognizing the that the city tion choices; (2) promote equitable, anti-sprawl land-use policies to urban is part of a broader regional, national, affordable housing; (3) enhance eco- forest restoration projects to public in- and global context with the plan tied nomic competiveness; (4) support ex- formation campaigns” (US Conference to specific, measurable indicators to isting communities; (5) coordinate and of Mayors 2008). monitor success (Santa Monica 2014). leverage federal policies and invest- This pledge was fueled by the ur- In Corpus Christi, Texas, planners ment, and (6) value communities and gency of climate change and the need designed the firstIntegrated Commu- neighborhoods (Partnership for Sus- to develop detailed responses. Partici- nity Sustainability Plan in 2009 with an tainable Communities 2015). pation in the agreement represented interdisciplinary and data-driven public At the state level, over a dozen a mainstream approach and, it was process. This process accommodated states have ongoing initiatives, and widely adopted as an aspiration for lo- the need for “consideration of commu- a number of models have emerged. cal governments. Over 1,000 community-wide issues as well as site-specific In New Jersey, officials created the nities across 84 countries also became opportunities for key locations around Sustainable Jersey program (www members of ICLEI-Local Governments the city” (Corpus Christi 2009, 2). The .sustainablejersey.com). This is a vol- for Sustainability in an attempt to ac- plan includes a specific focus on imple- untary municipal certification and cess a peer network and resources to mentation, specifically scalable imple- technical assistance program that assist with local efforts (ICLEI 2016). mentation incorporating both no-cost has certified 116 localities throughout Many municipalities also created offi- community-based activities and major the state. Minnesota GreenStep Cities cial sustainability offices, in planning or capital improvements. It integrates plan- (http://greenstep.pca.state.mn.us) is a elsewhere, to lead local efforts to reach ning, code reform, and policy change. voluntary program that assists cities in commitment targets. The plan addresses a holistic commu- reaching their sustainability goals.

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At the regional level, HUD has cata- • The need to address countervail- lyzed a host of new efforts through ing trends toward decentraliza- its Sustainable Communities Region- tion and aggregation: A rethinking al Planning Grants program (http:// toward effective, scalable projects portal.hud.gov/hudportal/HUD?src= has emerged from the need to form /program_offices/economic_resilience regional responses that aggregate /sustainable_communities_regional and align actions at a broader scale, _planning_grants). The program sup- while also developing responses ap- ports regional and multijurisdictional propriate to the diversity of prevailing planning efforts that generate jobs and local conditions and with the neces- regional economic development. The sary detail at the neighborhood scale. program focuses on long-term develop- • The impact of the global econom- ment and reinvestment, issues that affect ic crisis: The global economic crisis regions, the use of data to set and mea- has put enormous pressure on gov- sure goals, and the engagement of stake- ernments for the need for effective holders and the community in decision organization to remain economically making efforts. The program uses the six competitive and to adapt to new livability principles of the Partnership for environmental, social, and economic Sustainable Communities as a guide. challenges in an integrated manner. Several key lessons learned from the first two decades of experience have There are also growing efforts to emerged to help shape a new approach form peer-to-peer learning and ex- to sustainability: change networks and to integrate initiatives from the bottom up. In 2009 the • The need for effective measure- Urban Sustainability Directors Network ment: Localities have struggled (www.usdn.org) was formed to bring to- with the development of effective gether sustainability professionals from measurements and indicators to across the United States and Canada. track progress toward their goals, This network provides opportunities to and some best-practice communi- discuss cross-cutting issues in sustain- ties have begun to develop their ability, share best practices, and work own specific sets of indicators and together on common issues. In 2013 Re- benchmarks to measure progress silient Communities for America (www in more tangible ways. The STAR .resilientamerica.org) was launched with Communities (Sustainability Tools over 60 local elected officials committed for Assessing & Rating Communi- to a campaign to develop and integrate ties) rating system has filled some local initiatives. Together these new ap- of this need. proaches are redefining sustainability as • The need for more than stand- a practical operational strategy that can alone sustainability offices: From drive implementation efforts at multiple a governance perspective, singular scales and levels of government. sustainability offices as a response to sustainability needs have proven largely ineffective. Those communities with coordinated, cross-agency and cross-sector approaches have re- alized more success in making progress toward their goals.

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SUSTAINABILITY AS A PLANNING CONSTRUCT Mark Hamin, Senior Lecturer and Director, Master of Regional Planning Program, University of Massachusetts, Amherst

What has been, is now, and will be the address environmental issues in relation rather than merely responded to long- relationship between the concept of to economic development. This period term trends, and (3) from a limited goal sustainability and the professional prac- saw a more comprehensive view of the of negative prohibition of harm and risk tice of urban and regional planning? practical relationships between land and to a greater goal of positive promotion How could and should the planning resource use, air and water quality, eco- of overall quality of life and well-being. field become more sustainable? But also, nomic productivity and distribution, and From the advent of the industrial how should the process of sustainable overall the quality of life in cities. and urban revolutions of the nineteenth development become more planned? The field of city (and later, regional) century through the early twentieth As a result of growing concerns about planning was influenced not only by century, concerns about negative envi- peak, nonrenewable resources, fresh- the expansion of scientific and technical ronmental, economic, and social con- water scarcity, loss of habitat, species research on urban environmental qual- sequences were often tempered by extinction, climate change, and similar ity but also by the preceding municipal general pro-growth optimism based issues, sustainability has become in the institutional and infrastructural reform on the belief that technological innova- past decade one of the major frame- movements of the nineteenth century. tion, rational organization, and scientific works guiding many fields of academic It emerged through early twentieth- management could effectively address and professional practice. While the fo- century coalitions representing the in- and resolve such problems. It was not cus has been primarily at the global level tersection of professional urban design, until the aftermath of economic depres- and oriented toward large-scale natural civil engineering, municipal law and reg- sion, total world war, and end of formal systems, increasing local attention to ulation, public health, and social reform empire mid-century that such optimism urban ecological, economic, and social initiatives (Peterson 2003; Shutkin 2001). about modernization and rational plan- systems has brought city and commu- However, the concept of sustainability ning for growth came under more ex- nity planning more squarely into the was not yet explicitly articulated within tensive critical scrutiny. By middle of the sustainability discussion. the planning profession; urban and met- twentieth century, Aldo Leopold had de- ropolitan issues were at first generally veloped a conservation and preservation Origins of the Sustainability addressed from the legal and regulatory framework that recognized land and re- Concept standpoint of specific impacts, harms, sources in terms of their ecological carry- The significant shift in scale, scope, and and nuisances rather than from a wider- ing capacity as well as their significance rate of urban-industrial growth during scale, longer-term perspective. to cultural ways of life, an approach that the nineteenth century, resulting from There were, however, some theo- was scientific but also ethical. new forms of mechanization and en- retical exceptions to this trend—best Following World War II, concerns ergy, posed increasingly acute problems represented by the examples of Eb- about population growth and resource with air and water quality as well as en- enezer Howard’s Garden City as well as depletion began to emerge as a coun- vironmental health and safety (Costanza the emerging “biotechnic” regionalism terpoint to the prevalent views of and Graumlich 2007). These negative im- described by Patrick Geddes and Lewis boundless technological innovation and pacts were regarded not only as threats Mumford, which achieved some lim- urban-industrial growth. Authors such to human well-being but also challeng- ited practical application in the interwar as Kenneth Boulding, Garrett Hardin, and es to economic prosperity. A significant period. Nevertheless, in planning over Paul Erlich expressed alarm about the body of scholarship by urban histori- the course of the twentieth century, a imminent threats posed by the “tragedy ans—including Joel Tarr, Martin Melosi, three-fold shift occurred: (1) from a case- of the commons” or a population explo- and Christine Meisner Rosen—has docu- by-case exercise of the municipal police sion and called for dramatic efforts to mented the rapid growth of nineteenth- power to a more comprehensive long- control rates of growth and consump- century cities and the various efforts to range planning strategy based on the tion. Equally impassioned but perhaps promote, finance, plan, design, build, public use doctrine, (2) from a reactive less harsh in their proposed remedies, and manage technological systems to to proactive orientation that anticipated Ian McHarg, Rachel Carson, Barry Com-

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moner, E. F. Schumacher, and others sustainable development has been various types of local plans to address made compelling indictments of envi- a significant achievement in recent multiple facets of sustainability (climate ronmental contamination and its lasting decades. More recently, beginning in action, open space and conservation, effects on quality of life in the 1960s. the 1990s and continuing to the pres- and community and preservation plans). By the 1970s, views on potential ent, a number of researchers have A number of cities and metro regions— long-term crises achieved more wide- further attempted to produce frame- including the New York metropolitan spread and sustained institutional ex- works to more adequately articulate area and metropolitan Boston—have pression: the seminal work Limits to theory relative to practice—in other begun to develop long-term climate ad- Growth (Meadows et al. 1972) was pub- words, promoting implementation of aptation plans as well as comprehensive lished and was among the first to explic- specific actions and the comparative regional sustainability plans. itly invoke the term sustainable develop- assessment of their effectiveness. For ment. In the 1980s, the United Nations example, Maclaren (1996) and others Sustainability and Local World Commission on Environment have developed the method of iden- Government and Development (1987), known as the tifying sustainability indicators that are Planning managers in local govern- Brundtland Commission, produced a re- intended to measure a community’s ment are reflecting on what sustain- port, Our Common Future, which articu- progress toward achieving particular ability means and how those practices lated and thereby accessibly popularized long-term, distributive, multi-stake- can strengthen local government and key definitions and core criteria regard- holder goals. The ecological footprint planning services. Just as understanding ing global sustainability and its mutually analysis and assessment calculator cre- planning history has enabled planning interdependent ecological, economic, ated by Wackernagel (1994) and Rees offices to be more effective, understand- and social dimensions (Hempel 1999; (1992) is another example. ing the evolution of sustainability is criti- Mitcham 1995). Issues of intergeneration- A number of authors have pro- cal in adapting our communities and oral equity and intercommunal fairness vided comprehensive overviews and ganizations to the new challenges. As a received a greater degree of attention. critiques of such techniques that practical matter, planning managers that Thereafter, a series of United Nations and measure and account for specific sus- are slow to adapt will lose resources to other international forums throughout tainability characteristics (see Alberti other departments. the 1990s and 2000s further elaborated, 1996; Brugmann 1997; Feiden and Ha- The evolution of the sustainability refined, and updated these multilateral min 2011; Lamberton 2005). Others concept relative to city and regional aims, especially around issues of gover- have attempted to produce general planning has been a long transition nance, social difference, cultural diver- overviews of the ways in which these from a primarily scientific understand- sity, equity and justice, and participation. various concepts, definitions, metrics, ing and inquiry toward practical re- These various formulations are relevant and techniques may inform and im- sponse to institutional as well as infra- to urban planning insofar as they have prove sustainability policy, especially structural systems. In addition, this has identified globalized urbanization as one at the local community, municipal, and been a move from more limited-scope, of the key dimensions of global sustain- metro-regional scales (Mazmanian and reactive, remediative approaches to ability challenges, most significantly in Kraft 2009; Roseland 2012; Wheeler and more wide-ranging, long-term, proac- terms of long-term demographic shifts Beatley 2009). tive, regenerative approaches—based into megacity regions, along with the Organizations such as ICLEI-Local less on a strictly top-down, expert- resource and infrastructure problems Governments for Sustainability have pro- oriented framework and more on a and the structural socioeconomic im- moted sustainability goals and targets participatory, multi-stakeholder one. balances that have emerged as a result based on the work of international agen- Planning practice is especially comple- (O’Meara 1999; Pugh 1996). cies. In the US context, such sustainability mentary to sustainable development strategies and metrics have begun to be strategy because both are robustly in- Recent and Current Practices implemented over the past two decades terdisciplinary, strongly future-oriented, for Measuring and Monitoring through participation in STAR Communi- fully committed to collaborative pro- Urban Sustainability ties; ICLEI; and state-level smart growth, cess, and concerned with balancing the The formulation of criteria to define green building, and sustainable commu- often contentious values of efficiency, and evaluate the characteristics of nities programs and through drafting of equity, and aesthetics.

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SUSTAINABILITY WITHIN PLANNING Dyan Elizabeth Backe, aicp, Environmental Planner, City of Gaithersburg, Maryland

Gaithersburg, Maryland, is an urbanized, tives. This model also means that initia- diverse community with a rural farm tives can move forward quickly with sup- town history. Located just 13 miles from portive leadership. Washington, DC, Gaithersburg is home Addressing sustainability issues to the renowned mixed use, new urban- within a small local government has ism community, the Kentlands. Gaithers- also resulted in various benefits for city burg’s model of government includes residents. Gaithersburg residents take a nonvoting mayor, five elected city on volunteer leadership roles in the city council members, a city manager, and and participate in city governance. The nine departments. This city of just over city in turn strives to be responsive and 60,000 residents enjoys an uncommon to address residents’ requests and con- debt-free status, the result of conserva- cerns in a timely manner. The city also tive fiscal planning and significant eco- values input from citizen committees, nomic development. and highly educated and experienced Gaithersburg is a Sustainable Mary- residents supplement staff resources. land certified community (http://sus- This is especially beneficial for a city with tainablemaryland.com). Since 2004, the lean staffing. city’s sustainability focus has been with- Still, challenges exist in addressing in the Environmental Services division in sustainability issues within a small local the Planning and Code Administration government like Gaithersburg. Staff and department. The division has three staff support resources and capabilities are members addressing environmental generally limited. Some facets of sus- and sustainability issues, and they are tainability planning in a smaller city are engaged in air quality, watershed plan- not under the direct control of the local ning, and water quality activities—es- government— such as water, wastewa- pecially those related to Chesapeake ter, and waste facilities—and this can Bay restoration, green infrastructure de- lead to disjointed responses. In addition, velopment, and an incentive program only one staff person may be assigned for low-impact development on private to a certain function. Sustainability ef- properties. The staff has not yet devel- forts may be neglected if sustainabil- oped the capacity to address the social ity is not a priority for that person or if equity aspects of sustainability or trans- customer service needs divert available portation issues. staff resources. Gaithersburg’s sustainability efforts within the Planning and Code Admin- istration means that initiatives are not seen as being under the auspices of one department or division. The small staff fits in well in the larger department and maximizes the operational efficiencies of the existing framework. In addition, sustainability initiatives are tied in with planning and land-use activities as well as other environmental efforts and initia-

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SUSTAINABILITY UNDER THE CHIEF ELECTED OFFICE Lisa MacKinnon, Sustainability Coordinator/Audit Analyst, Dane County, Wisconsin

Dane County, Wisconsin, is a large coun- partmental functions, and politics of riety of operational and budget infor- ty of 1,238 square miles and 488,000 all kinds. It requires local governments mation across county programs. While people. The city of Madison is at the to bring “all hands on deck” to do the most of the audits are performed by geographic center of the county, and work effectively both in the present contractors and address very specific is- it makes up about half of the county and for future generations. Although sues identified by the county board, my population. Moving out from Madison, the position is not a political or ap- coordination of these reviews and au- the county is first suburban and then pointed one, I was concerned initially dits allows me to identify opportunities becomes rural, with 61 cities, towns, about the work being politicized since for integrating further sustainability and and villages—the majority of them rural it is in the office of the county’s legisla- efficiency improvements into what we communities. tive body—rather than in some other do. The following are several strengths The county board of supervisors function of county government. The of this approach: created a sustainability coordinator/ benefit of this structure, however, is audit analyst position in 2012. The posi- regular contact with elected supervi- • Versatility: The location of this po- tion is located in the office of the county sors and the opportunity to provide sition provides the opportunity to board, the county’s legislative body. The resources and input on sustainability address sustainability in the policy, office supports the supervisors with issues, proposed capital projects, and operations, and budget realms of day-to-day management, budget man- operational and administrative items county government. agement, policy analysis, sustainability included in the budget. • Connection: The position has cre- coordination, legislative management, My goal is to ensure that the posi- ated an additional bridge between and research services. The following are tion serves as a bridge from this office the policy and operational aspects the responsibilities of the sustainability to all other departments and functions of the county by allowing me to coordinator/audit analyst: of county government in order to en- serve as a staff member and as a gage as many people as possible and resource to county board supervi- • Facilitate development of a sustain- also to take advantage of the broad sors and county personnel across ability framework for county gov- range of experience and knowledge departments. ernment that exists among our staff. To do • Collaboration: One of the benefits • Work with departments to integrate this, I convened a cross-departmental to the department staff of the cross- sustainability into departmental op- sustainability work group made up departmental sustainability work erations and long-term planning of Dane County department heads, group has been that it provides a • Solicit input from county employees managers, and other staff represent- regular opportunity to meet and on initiatives to advance sustainabil- ing 14 county departments. This group share ideas and resources about ity objectives and improve efficiency meets monthly and has been working how to improve operations and • Identify and assist with the imple- collaboratively to advance the county’s management. mentation of resource conservation sustainability efforts. So far, we have initiatives updated the county’s 2008 inventory This approach, however, also has • Coordinate yearly contracted proof sustainability-related initiatives and weaknesses, including what can be gram and management audit and created a sustainability-impacts analy- called “the silo effect.” No matter the evaluation activities selected by the sis based on countywide operations. location of the sustainability coordi- county board in order to identify Currently we are working on a draft nation function, the possibility will al- potential cost savings and program sustainability plan for county opera- ways exist that the position is viewed efficiencies tions guided by the sustainability prin- as aligned only with the functions or ciples the county adopted in 2012. personnel of that particular office. This The imperative for sustainability Finally, the audit analyst responsi- challenge is one we come across in all transcends jurisdictional borders, de- bility provides exposure to a wide va- the work we do.

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The bottom line is that having a dedicated, funded sustainability function—whether it is one point person or a multistaff office—will accelerate a local government’s progress and effectiveness in comprehensively addressing and achieving sustainability goals. Benefits and challenges will exist no matter how a sustainability position is structured or where it is located in local government. The key is to start with strategies that foster an environment of collaboration and resource sharing that will advance and support all of the local government’s efforts to become more sustainable and resilient.

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SUSTAINABILITY AS A FREESTANDING DEPARTMENT Alicia Zatcoff, Sustainability Manager, City of Richmond, Virgina

Richmond, Virginia, is 60 square miles Richmond is organized as a strong- filled with historic sites and landmarks, mayor form of government. The admin- nationally acclaimed art galleries, cul- istration is led by a chief administrative tural attractions, and shopping desti- officer. Four deputy chief administrative nations. Its 204,000 residents enthusi- officers oversee all city departments astically support the local food scene, and agencies under one of four areas: outdoor markets, and craft beer venues. (1) finance and administration, (2) opera- Richmond’s crown jewel is the James tions, (3) economic and community de- River, which runs right through the mid- velopment, and (4) human services. The dle of downtown and has some of the sustainability office is a standalone unit nation’s best urban whitewater. Outside within city government operations. The magazine named Richmond one of the sustainability manager leads the office “Best River Towns in America” in 2012. and reports to the deputy chief admin- The river, nearby parks, and green spaces istrative officer for operations. create a mecca for outdoor enthusiasts The sustainability office was created and serve as a catalyst for economic de- as a separate unit because the cross- velopment along the riverfront. functional nature of its work with other In 2010, under the leadership of city departments necessitated that it be Mayor Dwight C. Jones, the city created an independent office. As an indepen- a sustainability and energy manage- dent unit, the office is able to function ment program. The sustainability part with a higher degree of flexibility than it of the program focuses on making the might have had it been located within community more livable, more competi- a larger department, and this flexibility tive, and more resilient. The energy man- allows it to adapt more quickly. The of- agement program works to improve the fice is still relatively new, with a staff of economic and environmental perfor- only three people. Such a small indepen- mance of city government operations. dent office can face challenges when it Since 2010 the city has saved over comes to resources and budget issues. $1.9 million as a result of its energy efficiency and sustainability efforts. These activities include replacing the city’s die- sel garbage truck fleet with compressed natural gas vehicles; upgrading lighting and equipment in city facilities, including libraries and fire stations; and converting signalized intersections to LED lights. Most recently, the city worked with residents to develop a community-based sustainability plan called RVAgreen. The plan lays out triple-bottom-line goals across five focus areas: economic development, energy, environment, open space and land use, and transportation (Richmond 2012).

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CLIMATE ADAPTION AND MITIGATION David Elvin, aicp, Senior Planner, Pioneer Valley Planning Commission, Springfield, Massachusetts

Local government planning depart- • Review existing measures to reduce works handles parking standards and ments are often on the front line of risks bicycle and transit planning (J. Witten- climate change mitigation and adap- • Develop climate adaptation strate- berg, pers. comm.). tation (Bulkeley 2010). While climate gies in the planning, design, opera- Developing appropriate levels of change is a global problem, planning tion, and maintenance activities of expertise and engagement in climate for climate change in the United States relevant city departments change mitigation and adaptation is still a largely voluntary activity with • Improve information sharing, part- among all city employees remains a ma- little guidance from federal and state nership building, and public educa- jor challenge for local planning. The City agencies (Millard-Ball 2012)—although tion and outreach of Madison, Wisconsin, adopted a frame- that is beginning to change in Cali- • Engage stakeholders work to embed climate awareness and fornia. As a result, local organizational • Coordinate a city climate adaptation mitigation practices into municipal plan- approaches vary among municipalities working group consisting of repre- ning and services, providing “a model and agencies. sentatives from operations (streets, and a common language that facilitates Many larger cities manage climate water, and emergency management), cooperation in working toward the goal adaptation and mitigation functions in finance, parks and recreation, the of sustainability” (Madison 2015). The their planning offices (e.g., Portland, -Or planning commission, the mayor’s of- city’s facilities and sustainability man- egon) while some have created new sus- fice, and other relevant departments ager in the engineering department tainability offices staffed by planners and oversees the initiative, helping to “weave others who work on greenhouse gas In Minneapolis, the primary re- a number of diverse planning strands mitigation and adaptation projects in co- sponsibility for planning and tracking together, better aligning the actions of ordination with other departments. In- climate-related activities resides with different city departments and agencies dependent offices can be very effective the sustainability office, Minneapolis while still allowing them to work inde- in those cities where sustainability efforts Sustainability. The office advances sus- pendently” (MacKay 2008, 2). are defined by climate change mitiga- tainability policy initiatives, pursues and In Northampton, Massachusetts, tion rather than a full focus on economy, manages partnerships on environmen- energy and climate mitigation plan- environment, and social equity. tal initiatives, and coordinates closely ning centers on the Energy & Sustain- In Philadelphia, the Mayor’s Office with those in other departments, inability Commission, a cross-disciplinary of Sustainability implements the city’s cluding planning and public works. Ja- body with members drawn from vari- sustainability plan, Greenworks Phila- son Wittenberg, planning manager of ous departments, including building, delphia (Philadelphia 2014). The office the city’s community planning and eco- public works, central services, planning works closely with the city planning nomic development department, says and sustainability; the city council; and commission to integrate greenhouse planners in land use and transportation residents. Other sustainability func- gas mitigation and climate adapta- view their work through a “sustainability tions—such as land use, open space, tion planning strategies into the city’s lens.” Sustainability, planning, and pub- and sustainable transportation plan- comprehensive plan, Phildelphia2035 lic works, among other departments, ning—are centered in the planning (Philadelphia 2011), and to create a have ownership of the city’s climate ac- and sustainability department. Chris comprehensive framework for climate tion plan. Interdepartmental coopera- Mason, the energy and sustainability adaptation. The framework identifies tion helps assure that the plan’s strate- officer, says this management structure extreme heat, flooding, and sea level gies are “owned” and implemented by works for Northampton because of rise as posing the greatest threats to appropriate staff. Community planning broad community support fostered the city. Ongoing actions include the and economic development is the lead during the development of the Sustain- following (Alex Dews, policy and pro- department for comprehensive plan- able Northampton Comprehensive Plan gram manager, City of Philadelphia, ning, zoning code updates, and devel- (Northampton 2008), adding, “Residents pers. comm.): opment review processes, while public have demanded that their city govern-

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ment take on the issue of sustainability, sures (National Association of Regional The Hartford Capitol Region Coun- and it works because the city govern- Councils 2012). cil of Governments (CRCOG) took the ment gives credit where it is due: to the Especially in communities where approach of bringing a transportation residents and citizens who are pushing there is no staff planner, a local commit- planner specializing in bike and pe- for it and making sustainability the so- tee can help inform and focus the work destrian programs into the community cial norm” (C. Mason, pers. comm.). of other boards, especially the planning development section. This enhanced Climate change planning in Fort commission, board of health, and local the agency’s focus on integrating alter- Collins, Colorado, is part of the social schools. A citizen committee can also native transportation into community sustainability department; this depart- write procurement requests for energy planning and strengthening the land- ment brings environmental, economic, consultants or contractors and super- use connection to transportation, main- and social sustainability functions un- vise their work. In smaller communities, ly through transit-oriented develop- der one umbrella, including what many the involvement of public works staff, ment (Mary Ellen Kowalewski, director communities have in a community de- especially the director, is essential for of policy development and planning, velopment department. The city formed the success of climate change planning. CRCOG, pers. comm.). the department to “increase coordina- A motivated public works director can As the urgency of climate change tion, accountability, and collaboration quickly become the town’s champion of increases, many local government with the Fort Collins community, build sustainability. planners will weigh their options: to and strengthen partnerships, and [pro- In a somewhat different approach create a separate free-standing de- mote] continued overall improvement from the climate change planning partment or to attempt to better in- of the social health of the community approaches at the municipal level, tegrate climate-change planning into in coordination with environmental and many regional planning agencies the practices and job descriptions of economic health,” according to the di- are deciding to integrate climate ac- existing local planning units. The ex- rector Joe Frank. Six staff members from tion considerations into their existing amples presented above suggest the the advance planning department were planning processes and staff respon- answer is that both approaches may redeployed to the new department (J. sibilities. One example is the Atlanta be preferred—and necessary. The or- Frank, pers. comm.) Regional Planning Commission; it has ganizational structure that works in Local planning for climate change not singled out climate adaption plan- each community may vary, but what is in small towns looks very different from ning as a specific activity, but it has critical is that the approach in a given those in cities. A town may have only integrated elements of such planning community creates the greatest multi- one planner, a part-time consultant who into its long-range transportation plan- department commitment. assists the planning board, or citizen ning (National Association of Regional Local planners are now beginning volunteers. Organizational restructur- Councils 2012). Another strategy receiv- to routinely address climate change in ing may not be feasible, but other ap- ing increased consideration is the up- comprehensive plans or with separate proaches can be effective. Volunteer citi- dating of transportation improvement sustainability plans. Planners, however, zen committees, typically sustainability project criteria by planners at metro- have been addressing climate change or energy committees, can be the center politan planning organizations to give for a relatively short time (e.g., since of climate change activity in small com- greater weight to a project’s likelihood the US Conference of Mayors Climate munities. Successful committees gener- of reducing greenhouse gas emissions Protection Agreement of 2005). As a really start by producing a climate action and better surviving extreme weather. sult, the restructuring of departments or sustainability plan, as they do in larger A notable example is occurring at the and job duties to implement climate- cities. These plans need not be long or Massachusetts Southeastern Regional related aspects of these plans has only complex. Regional planning agencies Planning and Economic Develop- started in some communities, and the may be able to provide a template or ment District, which is introducing management of local climate change basic outline, baseline information on adaptation-related criteria based on planning is still a work in progress. Fed- municipal greenhouse gas emissions to years of experience in assessing road- eral legislation and guidance on most begin mitigation planning, and details way drainage performance through its climate change planning issues remain about infrastructure vulnerabilities that Geographic Roadway Runoff Inventory absent—in contrast to the volumes of could be priorities for adaption mea- Programs (SRPEDD 2016). well-established guidance for air and

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water quality, transportation, civil rights, housing, and other areas of federal planning participation. Local governments already han- dle many planning tasks. Adding climate change, a problem with many unknowns and a sometimes invisible nature, on top of existing demands can present a significantly larger set of challenges. Also, the interdisciplinary nature of mitigation and adaption responses means that lines of authority can blur within organizations as well as with other levels of government, and “such constraints to action may explain why the apparent interest in adaptation and adaptation planning hasn’t necessarily translated into the implementation of actions to reduce vulner- ability” (Measham et. al. 2011, 891). Community engagement is essential for climate change planning and for putting plans into action. Work- ing groups composed of city staff, businesses, utilities, and residents can be effective in achieving trust and transparency in what are going to be long working relationships. The planner need not be an expert in climate change; perhaps the planner’s most important role is to effectively facilitate the work of such cross-disciplinary groups. These multidisciplinary groups may come to feel they are a team, an approach recommended by ICLEI–Lo- cal Governments for Sustainability in which the varying levels of knowledge and expertise are assets that encourage the group itself to be sustainable. Common to most local planning for climate change is the effort to raise awareness among local governments, residents, and businesses about the impacts of climate change and the actions that they can take that will make a difference. This dual approach is essential as the scope of the climate change challenge continues to expand.

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CHAPTER 4 THE PERMIT PROCESS AND THE PERMIT COUNTER The permit process shapes what kind of community is developed, provides planning visibility, and helps determine the level of user satisfaction. But planners all know that working at the permit counter is not a glamorous job. Planning managers need to make sure that they reinforce and honor that work as one of the most important functions of local planning offices. This chapter explores trends and factors that make the permit counter work.

With unlimited resources, staffing ideally would consist 1. Information: All of the information necessary for de- of senior-level staff that understand the context, represent the termining what kind of permit is needed and applying process inside and out, can give consistent help to the com- for that permit should be available on the web and from munity, and can make consistent decisions. As a practical competent, well-trained front-counter staff. matter, front-counter work is usually assigned to junior staff- 2. Single point of contact: A single staffer should be avail- ers who are less expensive, have more time to spend with the able to manage and coordinate the entire process. That public, and do not have the seniority to request other assign- staff person does not need to know everything about all ments. It is critical that planning managers set up procedures, applicable permits but should be the go-to person to find training, and oversight so that those junior-level staffers are out information and convene key staff. As discussed ear- providing quality customer-friendly support while ensuring lier, permit staff need to have the expertise to understand consistent treatment of new projects. the context and provide solid dependable advice. The There are legal aspects of the permit process that must single point of contact should also help identify weak require coordination among planning staff and the city at- links in the review chain. torney. Common legal issues arise that require (1) ensur- 3. Ongoing collaborative review: From the pre-applica- ing decisions avoid inverse condemnation or regulatory tion meeting forward, all reviewing departments should takings; (2) training and overseeing staff to ensure proce- meet—in person when possible—to consider the permit dural due process, the fair process for decision making, and ensure that the applicant fully understands the is- which includes public records, sunshine laws, and open sues. Such focused collaboration can help the depart- meetings; (3) ensuring substantive due process, the right ment avoid situations where two permits have conflicting to basic fairness in outcomes and not overreaching; and conditions or where unforeseen issues arise that can be (4) educating boards and staff to understand that permit- identified and resolved before delays are incurred. Ide- granting boards are quasi-judicial and must follow limits ally, coordination should not only be for permits within on ex parte contacts. local government but for other external permit processes A strong permitting process requires attention to how (e.g., city, county, state, and federal permits) as well. This the entire process is structured. Ammons, Davidson, and is a highlight of most strong permit systems (Ammons, Ewalt (2008) identify five characteristics of the best permit Davidson, and Ewalt 2008). Once applications are com- processes: (1) high-quality services, (2) a focus on the cus- plete, the different reviewing agencies should continue tomer, (3) transparency, (4) high-functioning technology, to meet (in-person or electronically) to coordinate col- and (5) extraordinary relationships with information tech- laborations and reduce review times. nology staff. 4. Completeness review: Applications should not be ac- For many planning managers, a model permit process cepted into the system or should be put on indefinite includes these important elements: hold until the applications are fully complete and ready

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for primetime and action. Include an audit process as a 10. Mediation option: For projects with distinct impacts on double check on this and all reviews. (See also “Check- residential neighborhoods, the process should support lists,” p. 47.) or incentivize mediation—by the local government if it 5. Permit application and tracking software: Applica- is a qualified honest broker or otherwise by an outside tions should be available, completed, and submitted on- mediator—to see if developers and neighborhoods can line. The software suite should allow applicants and the reach consensuses that communities can support and public to understand exactly how an application is mov- that can be included in development or proffer agreeing through the review process and expedite and track ments. collaborative review by government reviewers. 11. Development or proffer agreements: Staff can negotiate 6. Consolidated and collaborative permitting: If possible, voluntary agreements with developers about what public required permits from a single local government should benefits a project will include—as a binding agreement be available from a single consolidated application. The for staff-issued permits and as an option to be voted up or collaborative review process in which all permitting down for board-, commission-, and council-issued per- agencies come together to review a single project is a mits. Such agreements avoid the unknowns, uncertain- comparable option to the one-stop-shop approach. The ties, missed opportunities, and potential litigation that latter is encouraged in some communities and incentiv- staff- or board-imposed permits sometimes create. (See ized in some jurisdictions (e.g., Massachusetts General “Development Agreements,” p. 50.) Laws, Chapter 43D). In “One-Stop Permit Shopping” (p. 12. Staff reports: Staff should write written reports on 55), Peter Lowitt presents a case study of a streamlined applications, options, and recommendations. These permit process from Massachusetts. reports should be written by the appropriate permit 7. Fast-track options: Exceptional applications that pro- managers, approved by the appropriate supervisors, vide easy review, projects that meet specifically identi- distributed to the approval boards, and made available fied local targets (e.g., jobs and affordable housing), and to the public. (See “Staff Reports,” p. 49.) very simple applications (e.g., small subdivisions where 13. Consolidated public hearings: When multiple public preliminary and final plat review can be accomplished in boards are required to review an application, the review a single hearing) should be fast tracked. This should in- process ideally should be considered in a consolidated clude full public transparency about the criteria for fast public hearing to cover, at a minimum, any overlap be- tracking and how these projects were chosen. tween board jurisdictions. If consolidated public hear- 8. Continuous communications: Regardless of the permit ings are not practical, an alternative approach is hold- tracking technology, staff should coordinate continuous ing all the public hearings before different boards on the communication with the applicant to ensure no surpris- same project on the same night—to ease the burden both es in the process and create the best information pack- for applicants and the interested public. As a long-term age available for public vetting. Nathan West describes goal, consolidating boards or adjusting jurisdictions to his own difficult experiences and frustrations navigating minimize overlapping reviews is worth examining when through the permit process in “Being an Applicant in statutes allow. Your Own Regulatory World” (p. 56). 14. Internal feedback and continuous improvement: Am- 9. Assignment of approvals to the easiest level possible: mons, Davidson, and Ewalt (2008) find that the best The balance between which approvals can happen permit processes included key steps to ensure that the quickly and as-of-right or with some substantive re- internal review process is continuously improved. The view by staff and those that go to community or elected elements of these processes include providing adequate boards (e.g., zoning, planning, or city council) should staff training and cross training; setting and adjusting, be reviewed from time to time. The goal should be to as needed, service targets; ensuring that every link in the simplify the process without compromising the sub- internal review process is held accountable to timelines stantive review and community engagement needed for and accuracy standards; supplying strong information certain projects. Easier and more predictable processes technology support for all software and technology; and obviously help the regulated community, but they also using time and motion studies of the permit review pro- ease staff burdens and allow for a strategic focus on cess to ensure it is as efficient as possible. In addition, more complicated projects. the permit process should survey and use focus groups

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to encourage users and stakeholders to provide feedback delegated to junior professional staff and support staff. on the process in a safe environment. Second, and even more promising, many things that can 15. Disclosure of mitigation formulas: Impact fees, exac- be codified in checklists can now or eventually be moved tions, and mitigation requirements should be fully dis- online and made part of an interactive process with an closed to inform the process and avoid the appearance applicant. Table 4.1 is an example of a partial submit- of backroom deals. tal checklist (p. 48). Checklists need to be customized to match local regulations and approaches. Ammons, Davidson, and Ewalt (2008), writing before Checklists can be used to ensure that the proper col- the Great Recession, also recommend enterprise funding for laboration takes place, all the relevant parties with infor- permit staff. This allows developer application fees to be com- mation are consulted, and all perspectives are actually mitted to staff review and processing costs and ensures suf- voiced and heard (Gawande 2011). Ensuring that all voices ficient resources. However, many planning departments that are heard sometimes requires a commitment to a collab- relied on this model had to slash huge numbers of staff mem- orative culture and divergent views that does not auto- bers when the recession hit. This created a boom-and-bust matically flow in all communities. Whyte (1952) defined cycle that continues to make consistent staffing difficult, even “groupthink” as not simply the conformity that comes after the economy rebounded. Communities and planning from any kind of group but the deliberate efforts to craft managers need to consider the advantages and disadvantages a group to create conformity. Unfortunately, most plan- of their funding models. Some hybrid models are available— ning managers can provide all too many stories of the war such as ensuring a core staff without enterprise funds but room of a mayor, manager, or executive where the em- funding support and outside consultants using more volatile phasis is on concurrence, unanimity, and exclusion of dis- development application fees. (See Kelly 2013 for information sent or even concerns. The use of checklists in planning about working with consultants.) processes can help counter this phenomenon and foster a collaborative one.

CHECKLISTS EVALUATION OF APPLICATIONS Consistency and reproducibility are especially important for development reviews. Checklists are one way to ensure this The first step in evaluating any application is to ensure that happens. A great deal of research has looked at how simple it is complete. The requirements vary from state to state as to checklists can result in dramatically improved and more when an application is judged complete and has a right to be consistent performance. Commercial aircraft, for example, heard before a permit-granting authority. If the correct docu- have become so complex that they can be virtually un-flyable ments and forms are completely filled out (the paperwork without checklists. Peter Pronovost of Johns Hopkins Medi- side of the application), an applicant may have the right to be cal Center developed a simple checklist for central line cath- heard before a permit authority whether or not the applica- eters, which saved $175 million and 1,500 lives in the first 18 tion is weak. months of use in Michigan hospitals alone (Gawande 2011). It One of the benefits that planning mangers have dis- is not brain surgery, people like to think. But “washing their covered when they use online application processes—with hands with soap,” the first item on the Pronovost checklist, is checklists incorporated into the permit applications—is not a step always done in the real world. Very bright people that the applications cannot be submitted until at least the still forget or ignore key steps. basic steps are complete: attachments included, fees paid, If checklists keep planes in the air and patients alive, and questions filled out. Obviously, this same approach is why not expect planning managers to set up a system that done in most planning offices manually if the process is uses them for the building blocks of development review not automated. Until an application is judged complete, to make sure that everything is complete? Checklists pro- planners will find that understanding the context of an vide consistency and help planners avoid forgetting sim- application and undertaking a substantive review will be ple steps. They also provide two other critical benefits for more difficult. However, pre-application conferences and overwhelmed planning offices. First, the more checklists ongoing pre-application dialogues between applicants and can be used, the more steps in planning reviews can be planning reviewers both help an applicant understand the

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TABLE 4.1. SAMPLE REVIEW ENTITLEMENT CHECKLIST

Submittal Checklists The first level of review can be done by para-professionals or entry-level staff and includes items such as the following:

☐ Filing fee (fee for correct amount) ☐ Completed application (with all required information provided) • Assessors or cadastral mapping property identification number • Zoning district • Certified abutters list • Description of how project meets approval criteria • Report about whether the plans have been shared with abutters

☐ Locus plan ☐ Site plan • Required scale • North arrow • Legend • Title block in required format • Certified abutters list • Information on abutting property ownership and road names • Stamp by the appropriate professional (e.g., land surveyor and engineer) • Zoning district boundaries • Structures and proposed structures

☐ Applicant-provided zoning code analysis in required format (e.g., required minimum or maximum setbacks/build-to lines and actual provided; required parking and actual provided)

☐ Electronic copies of all submittals in proper format (e.g., PDF and DWG files; certified abutters list)

The next level of review is usually done by the permit manager/entitlement planner assigned to the project and includes a more detailed analysis of items such as the following:

☐ Compliance with dimensional and density requirements (review applicant-provided checklist) ☐ Traffic (vehicle, pedestrian, bicycle, transit) impact analysis ☐ Lighting analysis ☐ Stormwater analysis ☐ Utility analysis (water, sewer, stormwater, electric, phone, cable, fiber) ☐ Impact fee analysis ☐ Landscaping analysis ☐ Compliance with master/general/comprehensive plan ☐ Adequacy of performance guarantees

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Permit Condition Tracking Tracking permit conditions are typically done with a permit tracking system or may be done with a simple list of key permit conditions. All conditions from the approval process can be added to the following basic conditions:

☐ Structures (e.g., buildings and parking) built as shown on plans ☐ Uses as approved or allowed by zoning ☐ Hours of operation as approved ☐ Impact fees or other mitigation paid as approved ☐ Required public realm improvements provided ☐ Environmental performance standards met (e.g., lighting levels and noise) ☐ Landscaping provided and remains healthy ☐ Financial performance guarantees provided

Source: Wayne Feiden expectations and help planners understand the context of be retained in accordance with state public records law, but an application. many jurisdictions go much further and commit to making Many planning managers have created processes that in all such information easily available to the public, usually on- essence make covenants with applicants ensuring that proce- line and in real time. durally and substantively complete applications jump to the top of the line and move through the permit process rapidly. On the other hand, applications that are not substantively STAFF REPORTS and qualitatively complete are processed as slowly as allowed by statutory time limits. When poor applications slow down Written and oral staff reports are a critical aspect of current staff, board, and community resources, the process is unfair planning, development permitting programs, and develop- to applicants who are ready. The best way to ensure high- ment-related plan and zoning amendments. Most impor- quality applications is if permit-granting authorities adopt tantly, planning managers require staff reports to provide the such covenants and make it clear to the regulated communi- public and decision makers with consistent and informative ties that they will reward strong applications and not approve reviews, regardless of the staff planners who actually write weak applications until they are ready. the reports. Reducing litigation risks and providing consis- Whatever the process, essential fairness is important. tency in staffing and responses are also extremely important. This requires, among other things, that no final decisions Before staff reports are written to evaluate projects, the are made until all parties—the applicants and stakeholders projects should be judged to determine if they are ready for at public hearings and workshops—have been heard and can primetime, based on clear guidelines created by the appro- present information, interpretations, and comments. Docu- priate planning managers. First, staff should meet with ap- mentation of any hearing, the administrative record, and the plicants prior to their applications to make sure that the ap- information used to render any decision are also essential to plicants understand what is expected and what is needed for ensure that the process is free from bias and to protect local projects to succeed. Staff should not be predicting outcomes governments if decisions are questioned either on appeal or or handicapping independent boards, but the processes in the political arena. Certain documentation is required to should be clear enough that staff can provide clear guidance

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to applicants. Second, staff should not fully evaluate appli- • traffic counts, if relevant cations until they are complete, to avoid delays and boards • floodplain or wetlands information, if relevant acting on incomplete information. Finally, review checklists 4. Staff analysis, including: should be provided both to applicants and to staff to make • presentation of decision-making criteria from plans the process more comprehensible and consistent (Center for or development codes with comment on how the Building Better Communities 2009). project meets or does not meet criteria (for rezonings, Staff reports serve two equally important functions. variances, and conditional uses) They need to inform the reader and be understandable, and • specialized impact analyses, if necessary they need to provide the legal basis for decisions. The actual • evaluation of consistency of proposed action with all written staff reports for the permit process should be care- applicable plans, ordinances, and regulations (sec- fully researched, written, edited, reviewed, and approved be- tion would include statements of comprehensive plan fore they ever see the light of day, using the same standards map designations, written policies, and excerpts of that apply to all staff reports. Ideally, especially with vetting relevant sections of ordinances and regulation) and review processes, staff reports would be assigned to any 5. Staff recommendations, including conditions, as appro- qualified staff within the department and the outcomes and priate recommendations would be virtually the same. Equally im- 6. Comments from other agencies portant, each staff report should be written as if the project 7. Maps displaying subject property will be appealed. While staff reports need to be complete, 8. Photographs of the property, including aerials, as appro- clear organization and brevity are critical if reports are to be priate accessible to readers and to effectively influence the process 9. Information submitted by applicant (as attachments) (Center for Building Better Communities 2009). 10. Written comments from citizens (as attachments) Planning managers adopt staff report formats based on 11. Description of information yet to be submitted local preferences, the roles of the permit process, and state and local legislation. The need to be complete suggests lon- In a recent study of staff reports, Johnson and Lyles (2016) ger staff reports, but the need to be accessible to decision evaluated a national sample of reports based on criteria relat- making boards and the public argues for shorter reports. ed to background information, analysis, recommendations, Meck and Morris (2004) suggest some standard compo- and organization and graphics. They identify additional ways nents of a staff report. This list is very broad and includes planners can improve the overall quality of reports, includ- elements that would not be applicable to all reports or all ing using bulleted lists and sidebars to summarize informa- application types: tion, providing checklists outlining the impacts of an application on public facilities, supporting recommendations, and 1. Cover sheet (includes application type, such as rezoning, publicizing the date of future public hearings. subdivision, or lot split) 2. Project description, including, if necessary, a legal description (required for a rezoning) DEVELOPMENT AGREEMENTS 3. Factual information about the site and surrounding area, including: Staff reports may also include draft development or proffer • the current zoning districts of the properties involved agreements for approval by boards. It is increasingly com- • description of the site, based on a site visit and survey mon for developers and regulators to work out these agree- by the planning staff ments. The details vary from state to state and municipal- • surrounding land use ity to municipality, but the agreements should be mutually • recent land-use actions affecting the area, including beneficial or at least agreeable to both parties. They should rezonings, conditional uses, and variances have less of the unknowns and lower risk of litigation than if • existing and proposed public facilities serving the regulators simply issue permits with “reasonable conditions,” site, including sizes of water and sewer lines and clas- which may or may not be reasonable to the applicants. sification and condition of roads Typically, applicants offer, or proffer, mitigation and con- • onsite tree inventory ditions that they would find acceptable as part of an approval • identification of other services, such as public transit or rezoning process. In most proffer or development agree-

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ments, discussion and negotiation occur so that the proffers cool down affected parties to allow successful dialogues and or terms are mutually agreed upon. The same basic rules ap- agreement on mutually beneficial resolutions of issues. They ply to a development or proffer agreement as to a permit con- are an alternative to the traditional permit process—that is dition issued by a regulatory entity or regulatory board: sometimes winner take all—and to litigation. Of course, the process does not always work, but it is often worth trying. • The agreement must be consistent with state and munici- Alternative dispute resolutions may take many forms; pal law. they usually involve some variation on mediation, arbitra- • The agreement must be voluntary for both parties and re- tion, and negotiation. Mediation options may be specifically lated to the proposed project, regulatory (quasi-judicial) incentivized in the entitlement process (as described in the or comprehensive plan revision, or rezoning (legislative) discussion about the model permit process, p. 45), or they request. may be voluntary or court ordered. Arbitration can be both • A nexus must exist between mitigation and the project be- a voluntary process—often to avoid the long expensive court ing proposed. In light of Koontz v. St. Johns River Water process—or, increasingly in contracts, required. Negotiation Management District (No. 11-1447 (Fla S. Ct. 2013)), at may be part of a formal mediation process or separate, and it least until the next US Supreme Court decision clarifies may be facilitated or nonfacilitated. For the last several de- issues, the essential nexus and rough proportionality must cades, courts have become actively involved in alternative be determined before any final agreement, making it dif- dispute resolution—typically some variation on mediation— ficult for the parties to negotiate an agreement acceptable both to divert cases from an overburdened court system and to all parties in lieu of a detailed assessment of impacts. to improve satisfaction with the outcomes. Arbitration has grown dramatically in contract disputes, where the signato- ries to a contract agree to settle any future disputes that might ALTERNATIVE DISPUTE RESOLUTION arise through binding arbitration. Local governments sometimes include this required arbitration clause in their devel- Disputes are probably more common in the permit process opment agreements, conservation easements, and contracts than any other aspect of planning. A developer may sue a to reduce the risk of future litigation. municipality if a project is denied, arguing that the decision The concept of principled negotiation is well estab- was arbitrary or that there is no other economically viable lished in the literature (see Fisher, Ury, and Patton 2011), use for the subject property. Cities are also sued on the basis and planners use it heavily. This approach is used most often of specific requirements like affordable housing set asides or in the permitting processes in communities using develop- sign regulations that are perceived to be too onerous. Some- ment agreements and proffer agreements before entering times disputes arise from third parties, in cases where there formal board approval processes. The primary rules for may have been inadequate community engagement, commu- principled negotiation are equally important for any media- nity planning, and community visioning to build consensus tion process. First, separate the relationships from the prob- about what a community wants to be. Sometimes they are lem, although both are important in the process. Second, due to NIMBY (not in my backyard) and BANANA (build focus on interests—what is really important to planners and absolutely nothing anywhere near anything) attitudes in not positions or a fixed idea of how to achieve those inter- many communities. Sometimes they result from the huge ests. Third, search for mutual gain for all parties and reject effect on property values and quality of life that some de- fixed-sum approaches where one party’s win means another velopment projects may cause. Sometimes, people simply party’s loss. Finally, active listening—really listening and do not understand what is going on until a specific project demonstrating that listening—is critical for respect, under- is proposed near them. In any case, rare is the local govern- standing, and openness. ment planner who does not have war stories about a difficult permitting process, irrational people who oddly enough were formerly rational people, extended litigation that clearly does PERFORMANCE GUARANTEES not make sense, or a political campaign that was launched by the outcome of one or more development projects. A critical part of any permitting system is ensuring that proj- In the permit process, alternative dispute resolutions ects will be built as proposed and approved. Performance are an option for planning managers to consider. They can guarantees are the legal and financial mechanisms to ensure

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TABLE 4.2. TYPES OF PERFORMANCE GUARANTEES

Type of Guarantee Function to Ensure Work Is Completed as Approved

Nonfinancial performance Future work prohibited (e.g., future approvals, permits, certificates of occupancy, release of property liens can be guarantee withheld)

Third-party responsibility Responsibility to complete a project transferred to a third party (e.g., homeowners’ association or special assessment district)

Financial performance guarantee Mechanism created to fund improvements if a developer defaults (e.g., surety bonds, letters of credit, and escrows) (or subdivision improvement guarantee)

Source: Wayne Feiden

that improvements offered as part of the permit process are • The local government withholds any other permit on the provided and that construction projects are properly com- property until the project is complete. pleted, generally without the need to resort to criminal or civil sanctions. Performance guarantees are the heart and soul Withholding of permits, approvals, and releases are of most government efforts that avoid after-the-fact criminal extremely effective at motivating recalcitrant developers to and civil sanctions, and they are generally much faster, less comply with the regulatory requirements. Withholding a CO expensive, less complicated, and less adversarial than sanc- or other approvals, however, is not effective for many proj- tions. (See Feiden and Burby 2002 for much greater detail on ects. For example, if a developer defaults or fails and no fu- this subject; see also Feiden, Burby, and Kaiser 1989.) Table ture owner is available to take over the project, withholding 4.2 lists the three types of performance guarantees, which are a permit does not create funding or motivation to complete a further discussed in the following sections. project. In a subdivision or many-phased project, the master Of all available performance guarantees, the most com- developer may be building the roads and infrastructure and mon and easiest to enforce are nonfinancial performance selling lots, units, or buildings to innocent purchasers by the guarantees. Subsequent approvals are withheld until the time the developer or master developer defaults. Likewise, appropriate infrastructure and early phases of a project are some infrastructure projects are not easily broken into dis- complete. Nonfinancial performance guarantees can include tinct phases (e.g., building a new school or sewage treatment the following activities: plant component). In some projects, with public approval, the guarantee of • Building officials withhold certificates of occupancy performance may be partially addressed by transferring the (COs), the final approval necessary for a building to be financial responsibility for some improvements to a mutually occupied, when a project is not properly completed. This acceptable third party (e.g., a landowner association). Special provides a strong incentive for the developer to address assessment districts, authorized in most states and used by the problems. Withholding COs is the most commonly such entities as Florida’s community development districts used mechanism to guarantee performance. and even some homeowners’ associations, may provide the • Planning staff or the appropriate regulatory board ap- funding mechanism for aspects of projects, allowing those proves larger projects, including many subdivisions, in improvements to be directly paid for by those who benefit phases with sequential approvals not issued until the first from the improvements. This mechanism, however, is usually phase is successfully complete. limited to only a portion of the required improvements. In • The local government holds liens or covenants not to sell addition, if a project totally fails or if subsequent owners are a property, granted as a condition of the project, until a not aware of the level of their liability, the special assessment project is complete. district or homeowners’ association may have inadequate or

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no capacity to fund the project, leading to failed and partially viable for small projects, such as the final landscaping or completed infrastructure. This is especially a problem during some narrowly defined phase of a project. a recession when property values are dropping, exactly the • Improvement or third-party credit agreements: situation that is often happening when developers fail. These are agreements with the financial institutions Because of the limits of other methods of guaranteeing funding projects that they will only release intermedi- the completion of a project, most subdivision projects and ate payments to fund infrastructure for a project when many other projects are required to post some kind of finan- the local government agrees that aspect of the project cial performance guarantee to fund the completion of a proj- has been properly completed. This agreement can en- ect—or at least the public and critical infrastructure aspects sure that each component of a project has been prop- of a project—if a developer defaults. The following are the erly funded, but it does little to protect against cost most common types of financial guarantees: overrides or failures of infrastructure before a project is complete. • Irrevocable standby letters of credit: Banks and other • Liens: These are secured interest in properties being de- financial institutions issue guarantees to fund the comple- veloped that prohibit them from being sold until local gov- tion of projects. Banks issue letters of credit in return for ernments approve the infrastructure. developer-paid fees and developer-provided collateral. Because a letter of credit is guaranteed by a bank, com- Most financial performance guarantees can be extreme- munities only need to research the bank’s financial rating; ly effective, but the devil is always in the details—especially they do not need to research the finances of developers. in the original agreement. It is incumbent upon planning The bank’s liability is capped by amount of the letter of managers, working with their attorneys, to create systems credit. Letters of credit do have expiration dates, at which where those details are worked out. One of the biggest prob- point they become worthless. These are the most com- lems local governments encounter is that by the time projects monly used financial performance guarantee for local- fail and they call the performance guarantees, the amount of government-permitted projects. funds available is often insufficient to finish the projects.- Ex • Performance or surety bonds: Performance bonds are piring guarantees can pose risks. provided by a surety (the issuer of the bonds) to fund The dollar amount of a performance guarantee must the completion of the project if the developer defaults. be sufficient to complete the work, in the opinion of the Sureties are paid by developer-paid fees along with de- government’s own engineers or consultants—even if a lo- veloper-provided collateral. Sureties can be as secure as cal government has to take over the project and pay pre- banks, but communities may need to do more research vailing wages or livable wages higher than required for on their financial stability. In addition, at least for local private-sector projects and even if inflation has driven up governments calling bonds, sureties have a reputation the price of project completion. Since communities usually for needing to be sued in order for the community to allow reductions in the amount of guarantees as projects collect. A surety’s liability is capped by amount of the proceed, any reductions should always ensure that enough bond, unless it decides to finish the work itself instead money is left to fund the worst-case scenarios. Time clocks of paying off the principal. This is the second most com- should be carefully monitored to ensure that performance monly used financial performance guarantee for local- guarantees are renewed or called before they expire, at government-permitted projects and, because of state which time they become worthless. statutes, the most common guarantee for public con- Finally, the standards to call performance guarantees struction projects. should only require certifications by the local governments • Escrows: Escrows are deposits of cash or other acceptable that the developers failed to complete the necessary im- real property, typically negotiable securities, with the lo- provements on time and to the approved standards. The cal government or mutually agreeable escrow agent. Be- guarantees should require proper documentation—for ex- cause the cash is posted, in theory these provide the best ample, a certified letter from the local government certify- security to local governments, assuming that the escrow ing that they find the developer in default—and not proof, agreements are iron clad. However, because they require such as inspectors’ reports of the condition of the project developers to fund projects twice (once to build a project and bid quotes to document the cost of completing the and once to secure the escrow), escrows are generally only project. This does not prevent guarantors from suing if the

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projects are not in default, but they ease the burden of communities trying to collect the funds.

PERMITS AND THE PLANNING OFFICE

Review and approval of development permits is a critical part of implementing plans and serving communities, and it is often the most visible part of a local planning function. Plan- ning managers want to provide resources and creativity so that permits are effective, relate to community and plan goals and objectives, and win community respect. Tools are always critical: the combination of technology, process, and most importantly customer service resources. The best tools, however, are worthless unless planning managers strive to make sure that all staff members are dedicated to customer service, continuously improve systems, and examine every step of all processes to ensure that they are necessary and as efficient as possible. Concise, well-organized, and well-presented staff reports on permit applications are one of the best ways for that process to serve applicants and communities. Perfor- mance guarantees are important to ensure that what ends up getting built is an accurate reflection of what was granted approval in the permitting process.

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ONE-STOP PERMIT SHOPPING Peter Lowitt, faicp, Director/Land Use Administrator, Devens Enterprise Commission, Devens, Massachusetts

The Devens Enterprise Commission vides financial and marketing incen- (DEC) is the regulatory entity in charge tives for communities that adopt expe- of permitting the redevelopment of a dited permitting. 4,400-acre former military base located All development within the Devens in Massachusetts, approximately 35 miles regional enterprise zone is as-of-right outside of Boston. Under Chapter 498 of (no special permits or special excep- the Massachusetts Acts of 1993, the DEC tions) development. Development must is empowered to act as a local planning be consistent with the Devens reuse or board, conservation commission, board master plan of development, the Devens of health, zoning board of appeals, his- bylaws, and the DEC’s rules and regula- toric district commission, and, in certain tions; use variances are not allowed. The instances, a board of selectmen. The DEC has authorized staff to administra- DEC has a staff of two certified planners tively review and approve smaller devel- and an administrative assistant, along opment proposals that qualify as lower with contracts for building inspectional impact level-one permits within 21 days services and development peer review of complete application submission to services. Devens has attracted well over the commission. The average time of $1 billion in private-sector investment development permitting is 56 days for to the state and created over 3,500 new level-two unified permits—those that jobs and over 4.5 million square feet of require public hearings with the requi- development. site legal notice requirements. By combining planning, conservation, health, historic, and variance issues under the authority of one entity, the DEC has been able to expedite the review and permitting of development projects to under 75 days—in a state where the norm is much longer. This consolidated expedited review process, known as the “unified permitting system,” not only demonstrates how the quality and efficiency of government can be improved, it also provides applicants with more certainty and less risk in project planning, both of which save them money and give them an incentive to bring their jobs and prof- its to the state. The DEC serves as the model for the streamlined permitting legislation outlined in Massachusetts General Laws, Chapter 43D (https:// malegislature.gov/Laws/GeneralLaws /PartI/TitleVII/Chapter43D), which pro-

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BEING AN APPLICANT IN YOUR OWN REGULATORY WORLD Nathan West, aicp, Director of Community and Economic Development, City of Port Angeles, Washington

I recently had a real-world opportunity federal permitting processes. A total of From this experience as an appli- to think about the balance between 13 permits were required that involved cant, I learned the following lessons: planning from a planning perspective over nine different agencies and organi- and planning from an economic de- zations. • Ensure the permitting process is velopment perspective. I had stepped Early on, reviewers speculated on predictable. Get the information outside my own regulatory position as a interpretations of code, jurisdictional is- needed from the applicant up front combined economic development and sues, and project-related requirements. in order to provide the applicant with planning director to be an applicant for The only certainty I was given that the as much certainty as possible. a very significant city project. Effectively I project could succeed was through • Provide applicants with a real- became a project proponent in my own mostly unwritten statements and ver- istic estimate on the time it will permitting world, and this proved to be bal assurances. I watched as specula- take to process the application. an eye-opening experience for me. tive assurances disappeared and turned Share with them the details about The starting point was to ensure into additional requirements and new what could delay the schedule so that ethical responsibilities were met. As permitting steps. No matter how many that they can proactively avoid an applicant, I was subject to the same emails I sent or clarifications I requested, those circumstances. high standard of development expected I could not obtain the predictability I • Think about the direct implica- of private-sector developers. Since I was needed to move forward. tions of recommended conditions overseeing the design of the capital Similarly, I struggled to receive of approval. Consider the real, on- project, it was not appropriate for me commitments on permit timing. Most the-ground benefit of such condi- to also review and process the related reviewers provided time-related esti- tions and the cost implications for the permitting applications. Three of my mates about when permits would be developer. Ensure those conditions critical permitting roles needed to be issued. Many were accurate and that are tied to findings of fact and based reassigned: shoreline administrator, state made the experience painless; however, on code. Recognize the overlapping environmental policy act-responsible of- when a time frame was provided and nature of additional required permits, ficial, and building official. After discus- not met, the ripple effect on the project and ensure consistency with other sion with municipal attorneys, I decided and other permits was disastrous. Delays agencies. the best approach was for the city’s legal resulted in design changes, cost implica- • Be professional and responsive. department to hire qualified external tions, and direct negative impacts to the Promptly return phone calls and be individuals to take on these roles. I was community. honest and straightforward with ap- now just an applicant with a project to More drastic changes came from plicants about the issues faced in pro- which I was fully devoted. unanticipated regulatory decisions. cessing applications. The result was a clearer picture of Just one arbitrary condition of approval • Think about new ways to audit the what really matters to an applicant. I was changes the outcome of a project and planning department with out- quickly reminded that predictability is can make it a no-go scenario. In my side eyes. This can include actions the first and most important factor for situation, some of the conditions were such as reading the website, calling an applicant. Second is the assurance arbitrary, with no relation to code, prec- the office, and thinking about how that regulators meet the timing needs edent, or finding of fact to substantiate the department is presented to all of the project. Third are the cost impli- them. One of the worst feelings I had as the citizens and stakeholders. cations of regulatory decisions. Fourth an applicant was a result of being treat- is the importance of professionalism. ed unprofessionally. Unresponsiveness My experience, though unpleasant, In my case, it is important to recognize made moving forward impossible, and was invaluable. Planners are constantly that I not only was taking the project in certain instances I even experienced moving between the private and pub- through the local permitting processes; retaliatory action for my persistence in lic sectors but stepping out mid-job I also was taking it through the state and obtaining answers. provided perspective and insight about

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my own permitting experience and the larger permitting world that applicants must navigate. Applicants must be per- sistent to be successful, and that persistence should be respected. I encourage planning mangers not to hesitate if an opportunity arises to be an applicant or to otherwise audit their own departments. It is a highly valuable learning experience that will permanently benefit their outlook on the permitting process.

www.planning.org AMERICAN PLANNING ASSOCIATION 57 CHAPTER 5 PLANNING IN A POLITICAL AND PROFESSIONAL ENVIRONMENT Planning, especially in local government in the United States, is a political exercise—not partisan, but political nonetheless. Planners are charged with managing change, which requires great sensitivity to the communities they serve, the political context, and the need to accomplish things at the end of the day. This chapter will explore how the political and professional environments that planning managers find themselves in shape planning management.

One of the best trends occurring today is a growing com- purpose, and mission. To do so requires hard mental work, mitment within governments to create clear departmental vi- time, trial and error, and even failure.” Mission statements sions and missions. Planning offices are mission driven. Ide- are critical for both stable departments and growing ones, ally those missions are focused on implementing community but they are especially important during periods of reorga- master, comprehensive, or general plans. The job of planning nization and shrinking resources, when staff members need managers is to ensure that their work remains mission driven. to understand why their positions exist and to identify mis- Planners believe in the idea of aspirational visions to sion-critical tasks. A review of the 100 largest US cities found move their communities forward. In spite of this focus on that the vast majority of large cities have department mis- community visions and collaborative visioning, many plan- sion or vision statements on their websites. A random review ners do not equally value vision and mission statements in of smaller communities, however, found that many do not the management of their own offices. For Axson (2010, 83), have such mission statements, or they do not share them on the purpose of a mission statement is to guide the general their websites if they do have them (Evan Aird, GIS analyst, path of an organization without delving into the specifics: MassGIS, pers. comm.). “A mission statement clarifies why an organization exists. There may be almost as many different perspectives It helps set direction and prevents confusion. Mission state- about mission statements as there are jurisdictions. In Puerto ments do not concern themselves with the details of how the Rico, for example, with strong centralized state control, plan- mission will be accomplished; that is the task of the broader ners often have an especially strong public policy and mi- planning process.” croeconomic focus. This is not the same focus on land-use But if people who work in a planning department do not planning that dominates many public planning offices else- know the department’s mission, then planning managers will where in the United States. In another example, a study of have a hard time assessing how well they are accomplishing attitudes of planners found that American planners favored what they are supposed to be doing. Planning department citizen participation significantly more than Dutch or Span- mission statements focus on a number of objectives, from ish planners (Kaufman and Escuin 2000). The study also not- everyday business transactions (e.g., City of Santa Clara, ed smaller differences among the three groups of planners in California, and Broome County, New York) to educational their attitudes toward planners’ technical and political roles. and public outreach roles (e.g., City of Oklahoma City, Okla- Planning perspectives and constructs stem from dif- homa) to aspirational and sustainability-related themes (e.g., ferent cultural systems, histories, and legal systems. Those City of Keene, New Hampshire. (See Appendix B for exam- cultural differences can be nearly as large between different ples of mission statements from planning departments across communities and planning subfields within the United States the country.) as they are between different countries. In the United States, Zucker (2007, 14) says that “nothing is harder or more more than in many other countries, the prevailing model is important for a planning department than setting its vision, one where planners are involved in all aspects of implementa-

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tion. This model requires that most American planners un- bases, and approaches to fill specific professional roles within derstand the politics necessary to make projects work. planning offices. Some of this is driven by local conditions In some places, planners are viewed as neutral experts and needs. For example, a large urban area with significant with no role in the messy business of making projects work in transit infrastructure needs a transportation planner with a political environments. This is especially true for planners in- different skill set than does a low-density, rural community. volved in highly technical subfields (e.g., positions focused on While some skill sets and perspectives are important approvals of state environmental policy acts and, traditionally, for all planners—as reflected in ethics education from the transportation planning—although this has recently changed American Planning Association and the American Institute dramatically) and those struggling to survive in areas where of Certified Planners and planning education approved by planning is highly politically charged. Planning perspec- the Planning Accreditation Board—much of what planning tives also evolve over time. For example, in Hungary after the managers are looking for will vary dramatically from job to country became democratic, planning evolved from a highly job and agency to agency. Effective planning managers iden- technical field removed from politics to a field where planners tify which skill sets are needed for specific positions, while began exploring the role and benefits of citizen participation ensuring that people they are hiring or training can grow into and the function of planning in democratic governance. To- other positions and address changing needs, and while avoid- day, American cities and metropolitan areas are extremely ing the trap of hiring people just like themselves. One skill set diverse, in terms of demographics and politics. Growing di- in particular most planning managers want for themselves versity and changing demographics have changed the work of and their staff is the ability to manage risk. A risk-manage- planning offices, who is doing the work, and how those offices ment perspective helps to identify which resources are needed are structured, especially as this relates to community engage- to reduce long-term risk and agency exposure. Dory Reeves ment. (See Chapter 6, “Community Engagement.”) explores the various other skills—personal, intellectual, pro- Most planners recognize the need to understand and re- fessional, and general—that planning managers should seek spect the diversity of the communities that they serve. Most in their staff in “What Makes Good Planners” (p. 64). also understand the pluralism of local governments and the need to work with underserved and underrepresented populations. In addition, planners need to be aware of the social RISK-MANAGEMENT PERSPECTIVE and political context in which they work. For example, in vast areas of the country with Native American and Alas- Risk management, in the local government context, is used to kan Native communities, planning managers must ensure identify potential events that may affect the government and that staff members have a full understanding of sovereign to protect and minimize risks to the government’s property, “domestic dependent nations” within the United States. To services, and employees. Planning and governments are often simply manage planning functions requires knowledge of faulted for not being willing to address risks. This is especially the different legal and cultural contexts this creates. Even in a problem with long-term risks—from such things as climate communities without sovereign areas, understanding these change—because of the lack of short-term political payback issues is part of understanding diversity in America. In “Na- and political and community support in light of enormous tive American Tribal Planning” (p. 63), Nicholas Zaferatos uncertainties. If the prevalent planning paradigm is to quan- provides an overview of jurisdictional issues that can arise tify and forecast the future, it does not leave enough room for in tribal planning. a wide range of outcomes and the uncertainty of future risks (Berke and Lyles 2013). However, effective risk management, according to the Government Financial Officers Association, PLANNERS AND THEIR SKILL SETS: WHAT MAKES ensures the continuity of government operations (GFOA A GOOD LOCAL GOVERNMENT PLANNER? 2009). Establishing a resilient community is impossible with- Among the most important responsibilities of planning man- out acknowledging that resilience involves risk management agers are the decisions to hire, promote, train, and empower along with acceptance of and planning for uncertainty. Obvi- staff. Planning managers, planning educators, and, of course, ously, this is true for climate change, a significant issue for entry-level planners and any planners looking for work need many communities focused on risk and resiliency. But it is to identify the right skill sets, specializations, knowledge also equally true for a whole host of issues, such as predictions

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about future economic engines and opportunities. The focus fairness and predictability, basing decisions strictly on the of resiliency and risk management has traditionally been facts; and providing adequate training for all board members natural hazards and disasters, perhaps more recently intensi- and all staff (Higgins, Speers, and Summerell 2006). fied by climate change, but it should be equally important in Some communities are moving away from highly discre- almost any aspect of planning. tionary permits simply to reduce litigation in the regulatory Local governments need to consider and plan for “loss process. Form-based codes and other regulatory approaches exposure,” which is defined as “any possibility of loss from an move more of the decision-making process about what the accidental or a business risk, or more specifically the possibil- community will look like to the planning process and away ity of financial loss that an entity faces as a result of a particu- from the entitlement process. They benefit both the public lar peril striking a particular thing of value” (Furst 2005, 14). and the regulated community in providing more certainty in This loss exposure can be grouped into five categories: the process. But, from a risk-management perspective, one of the greatest benefits may be reducing the risk of appeals and 1. Casualty risk: accidents involving property, personnel, endless litigation. and income Unfortunately, in most communities, not enough re- 2. Liquidity risk: insufficient cash to cover operations sources are provided to issue decisions, findings, and minutes 3. Market risk: inability to provide expected services in a way that will protect communities from legal appeals. As 4. Political risk: litigation brought by private entities in re- a result, part of risk management involves planning manag- sponse to government actions ers creating processes to minimize risk in every decision and 5. Technological risk: problems associated with keeping assessing which decisions are most likely to be appealed or pace with technological change both in hardware and otherwise challenged. The decisions that face the least risk of software appeal simply get fewer resources—because something has to give. This does not mean taking shortcuts per se in these For local governments, the primary threats are litigation risk areas, but it does mean that records may be thinner and re- and political risk. Political risk can include a number of types sources less available. Ideally managers are then assessing of risk: public and political leadership views on planning, the risk well so that the thinner records in some areas do not the community’s view on planning and engagement in the create problems later. One appeal of a decision with an inad- planning process, budgetary consequences of actions or inac- equate record can use up a great deal of resources. tions, and the inability to fulfill planning missions. Risk management is also critically important in legisla- Since almost any public decision entails some risk, risk tive actions, like comprehensive planning, and project imple- management is or should be a critical part of a planning man- mentation efforts, such as eminent domain proceedings. In ager’s efforts. It is also one of the most legitimate rationales this context, risk management is often about reducing exter- for avoiding budget cuts (“pay me now or pay me later”) so it nal risks, be they political risks or permit appeals and other is an especially attractive focus in difficult fiscal times. There litigation. Although the litigation risk in legislative actions is are never enough resources to do everything, and resources less than in quasi-judicial actions, litigation can easily arise as often must be prioritized to reduce future financial, litiga- a result of claims of lack of government transparency, records tion, and political risks. Sometimes these assessments are ob- not being public, a failure to consult required stakeholders, vious to planning managers working with local government and state and local procedural requirements and procedural attorneys, legal departments, and risk officers. More often, due-process violations. the assessments are more subtle, with resources allocated to As a perspective, risk management applies to any risk squeaky wheels and for reduction of a variety of risks. and not just litigation (e.g., staff cuts may lead to more loss of Risk management is most often a major focus in the discretionary grants or increased legal costs than what they regulatory permit process, since that is the biggest source of save in staff costs). Although the termrisk management is planning-related litigation in most communities. The Insti- not always used, it helps inform planning and budgeting pro- tute for Local Government recommends that risks be man- cesses. Whether weighing political risk or the risk of getting it aged by regularly reviewing regulations to ensure they are up all wrong, any decision-making process should be heavily fo- to date and consistent with basic authority; providing strong cused on risks. What happens if projections—about growth, staffing to ensure that decisions are defensible decisions; de- traffic volumes, the success of projects, employment projec- veloping clear written procedures for hearings to guarantee tions, public revenues, future storm events, and future sea

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levels, for example—do not come true? Equally important, of course, is the risk of doing nothing, the take-no-action alternative, which often has far greater negative consequences. Planners are and should be entrepreneurial risk tak- ers, and they should not settle for the status quo. As with any business, planners face huge degrees of uncertainty in everything they do, in management and in planning, and everything involves risks. Planning managers should embrace and, to the extent possible, quantify risk in identifying options and strategies. In community planning, the risks are to communities as a whole, and ultimately communities must decide what risks they want to share. Planning managers, however, usually decide the appropriate levels of risk by themselves or with their own managers within their planning offices. For example, the decision to hire the safe candidate who may never evolve or the not-quite-ready-for-primetime candidate with more promise for growth is really a decision about managing the appropriate level of risk. In the private sector, Axson (2010, 197) notes that “increasingly success is being defined by those organizations that can anticipate and react best to changes in the marketplace,” with two forces spurring these changes. The first force is unpredictable and singular events whose impacts are fast and far reaching. The second is the increased speed of internal and external trends becoming material. Anticipation always involves risk, whether in the marketplace or in public planning practice.

THE NEGOTIATION OF POLITICS AND RISK

Local government planning agency managers cannot be effective if they try to build their departments simply as techno- cratic agencies divorced from politics. Most planners strive to stay out of partisan and elected politics, with varying degrees of success. However, to be effective, they need to acknowledge that local governments are political environments. Serving the public interest means being aware of all the steps needed to get plans implemented, some of which are political. Surviving and thriving in a political world requires that planning managers ensure planning functions have a transparent vision and mission and that they understand and evaluate all kinds of risks. This certainly does not mean that planner managers should be involved in elective politics or should let extraneous issues affect their professionalism. This does, however, mean that planners need to be fully committed to fulfilling the community interest and never hide behind their credentials, expertise, or independence.

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NATIVE AMERICAN TRIBAL PLANNING Nicholas Zaferatos, aicp, Associate Professor, Huxley College of the Environment, Western Washington University

Planning can be described a process that guides communities’ future development. For local governments, the authority to plan is well established through state enabling laws. For Native American reservation communities, however, a tribe’s jurisdictional authority is often not as clearly evident. The challenges in administering tribal planning vary greatly, and they depend on the context of a particular tribal situation. In contrast to local government planning under state laws, a tribe’s planning authority is established under its own constitutional enabling legislation and self-governance authority. However, that authority is often subject to legal challenges by nontribal governments. Tribal control over reservation lands and natural resources is fundamental to the fulfillment of tribal sovereignty and the attainment of tribal community development objectives. The overlapping and often subjugating presence of nontribal interests continues to thwart tribal social, political, and economic ad- vancement. Successful tribal community Figure 5.1. Planning in a Native American nation (Wayne Feiden) development is integrally linked to de- vising planning methods that can both identify and reconcile conflict posed by ing Native American reservation plan- administering their planning programs. nontribal interests. ning are due to the inconsistencies of For example, some tribes have adopted There are 566 federally recognized past federal Indian policies, which have state-compatible tribal planning struc- tribal governments in the United States, caused continuing jurisdictional uncer- tures under their own constitutional each of which is distinct in terms of its tainty with state and local governments authorities in order to minimize policy culture, traditions, community priorities, and overlapping and conflicting jurisdic- inconsistencies with their surround- and political and administrative capaci- tions. Therefore, effective tribal planning ing regions. Other tribes have adopted ties to operate planning systems (Fig- must first begin with clarification of a more isolated approaches by empha- ure 5.1). Tribal planning structures are tribe’s underlying authority to control its sizing traditional values and decision- specific to each tribe and seek to guide reservation territory. making processes apart from regional reservation development in ways that The degree of jurisdictional cer- policy frameworks. The distinction in are effective within each particular, and tainty that tribes possess in administer- approaches has much to do with the often complex, jurisdictional state of af- ing their internal affairs is a central factor political relationships between tribes fairs. In large part, the complexities fac- in how tribes go about formulating and and nontribal governments.

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WHAT MAKES GOOD PLANNERS Dory Reeves, Professor, School of Architecture and Planning, University of Auckland

Planning is future oriented to create sus- 2. Self-regulation: For planners, this A key aspect for planners is the ability to tainable and better places to live. Plan- would mean ensuring and maintain- interact positively with the public, citi- ning is also a discipline and a profession. ing positive outlooks. zens, and communities by acknowledg- As a profession, planners work in various 3. Social skills: Managing relationships ing the expertise of these groups. These sectors and in different types of orga- is important for planners who are skills are increasingly important for plan- nizations and subdisciplines. Planning working with communities as well as ners as participatory planning approach- managers clearly want all their planning with clients, customers, or applicants es become more widespread. staff to have some generic skills; some seeking advice on planning applica- Related to interpersonal skills is the planners will also need more specific tions and policies. ability to empathize and work with peo- knowledge, understanding, and skills 4. Empathy: The ability of planners to ple from a wide range of backgrounds dependent on their particular context. empathize in situations where deci- and cultures. In the United States and I have interviewed senior manag- sions may go against the wishes of Canada, for example, skills and knowl- ers and early career planners face to face communities with whom they have edge are needed when working with and through online questionnaires to been working helps to keep long- Native American communities and or- identify what makes good and effective term relationships intact. ganizations. In these cultures, personal planners. This information can help plan- 5. Motivation: Being driven to achieve visits are important as well as an un- ning managers as they work to hire, su- is important for planners since much derstanding of information and formal pervise, coach, promote, and train their work is very long term, and planners structures (Norstog 2012). Culturally staff. The findings confirm the impor- need to appreciate the bigger picture. specific interpersonal and management tance of having well-developed generic skills help planners develop the ability to skills and the ability to learn from both Planners should also acknowledge adapt to differing and changing circum- work situations and general life experi- when they do not know something. The stances. ences (see Gardner 1983; Goleman 1995). failure to recognize a lack of understand- Planning managers should ensure ing not only reduces the actions plan- Intellectual Skills that their planners have significant skills ners can take; it frustrates managers and Intellectual skills for planners include the in five areas (Reeves 2015): (1) personal clients, possibly resulting in poor deci- ability to find and synthesize information skills, (2) interpersonal skills, (3) intellec- sions and damaged working relation- and use that knowledge appropriately. tual skills, (4) profession-specific skills ships. This undermines the confidence They should be open minded to the dif- and knowledge, and (5) generic skills and assertiveness needed to ensure is- ferent ways of achieving goals and un- and knowledge. sues are articulated and out in the open. derstand when they have discretion and Planners at all levels need to be able to when they do not. Government agen- Personal Skills learn from their own errors and listen to cies, for example, are bound by legisla- This area of skills helps professionals constructive feedback. Managers need tion that may appear limiting. navigate work and social environments. to seek 360-degree feedback, and less Regardless of the sector in which a Goleman (1995), noted for popularizing experienced planners need to recognize planner works, the ability to keep an eye emotional intelligence, highlighted five the experience of managers and team on the big picture and look at core issues main constructs, each of which can be leaders. from a number of different perspectives applied to the work of planners: is essential. This means keeping abreast Interpersonal Skills of political, economic, social, and tech- 1. Self-awareness: For planners, this Interpersonal skills—including the ca- nological developments. For planners, might mean having a well-devel- pacity to understand the intentions, mo- the big picture might involve reviewing oped sense of cultural competence tivations, and desires of other people and developments in the national and global to judge how and when to interact interact with other people—are another economies, understanding the impacts with people (Reeves 2011). type of social intelligence (Gardner 1983). of national and international conven-

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tions and agreements, and thinking creativity, and commitment are also about new ways to engage with other important qualities for planners to pos- cities across the country and around the sess. The demand and need for planners world. with these developed skills and who can work effectively with communities will Profession-Specific Skills continue. and Knowledge Profession-specific skills involve understanding and applying the tools of planning in different contexts and to a range of projects and issues. Planners need to consider how the work they do reflects on and affects their own organizations. In addition to planning-specific skills, the work of planners is enhanced by knowledge of related topics, such as social equity. Planners also need to understand the political context in which they work; the ability to balance the technical and political aspects of planning solutions is important. Professional institutes and networking strategies can help planners stay abreast of current issues, debates, and developments.

Generic Skills and Knowledge More generic skills and knowledge are those that do not neatly fit into the preceding categories but are still very important. They include the ability to communicate and perform key work functions using technology; to make effective presentations to clients, officials, and community members; and to organize work time. This also means more than talking and presenting. Along with written, verbal, and presentation skills, planners need flexibility, focused listening skills, and the ability to ask questions.

Looking Ahead Planning managers should look for planners who have a range of personal, interpersonal, and intellectual skills as well as a combination of skills and knowledge that are planning-specific and more generic. Effective planners use both their technical and social skills. Persistence,

www.planning.org AMERICAN PLANNING ASSOCIATION 65 CHAPTER 6 COMMUNITY ENGAGEMENT Planning managers need to ensure that their staff, policies, and procedures support community engagement. This engagement in turn influences the management of planning offices. Community engagement is at the core of the planning profession, -par ticularly for public-sector planners. It is enshrined in planning ethics—for example, public participation is part of the AICP Code of Ethics and Professional Conduct of the American Institute of Certified Planners (in a section entitled Our“ Overall Responsibility to the Public”) (AICP 2009) and the American Planning Association’s Ethical Principles in Planning, which states that “the planning process must continuously pursue and faithfully serve the public interest” (APA 1992).

Planners should, consistent with those ethics, engage all fice around such a construct. Some planning managers want community members and stakeholders, with a special em- to make sure that every staff member is good at community phasis on social justice. It is the planner’s job to guarantee engagement and that this aspect of planning is part of ev- that low-income, minority, and historically underrepresented eryone’s work. Other planning managers assign especially communities are engaged in the planning process. Depend- skilled staff members to serve as community engagement ing on the perspective, the actual process of citizen engage- experts and to help the rest of the staff with their projects. ment is either an opportunity for collective empowerment Ultimately, the organizational structure may be less impor- and collaboration or the bane of the existence of local plan- tant than the overall orientation of local government planners—or, for most planners, probably some of each. The pub- ning managers and their staff. lic process can be both the most rewarding part of planners’ Understanding the critical need for community engage- work, when communities develop the consensus and culture ment is not new to planners. For example, a 1950 proposal for to make that happen, and the most frustrating part, when reorganizing planning functions in New York City notes that the planning process is dominated by ad hominem attacks, “the private citizen, as an individual or in small groups, has NIMBY battles, exclusionary perspectives, and the need to been practically excluded from the planning process. It has re-litigate every past issue. become too complex. The interests in most cases are highly Planning managers and planners want the engagement specialized and highly organized. This is not intentional, but process to be productive, and they want to serve their com- results from the magnitude of the problems” (Reuter 1950, munities and inform decision making. Excitement, enthusi- 11). In most communities, things ideally have improved since asm, collaboration, inclusion, productivity, and trust-build- 1950 but perhaps not as much as most planner managers ing—and, of course, food and fun—make the process work. wish. Nonetheless, planning offices and planning functions (Some planners claim that food is a necessary precondition are not always optimized to serve and engage the community. for any successful meeting.) The overall process is very famil- Developing the capacity to use modern public participa- iar to most planning managers: coordinating outreach using tion techniques—and either incorporating these processes every kind of media and social media outlet, understanding into the formal governance framework or allowing them the needs and opportunities of different populations and to influence formal proceedings—is a critical task for lo- stakeholders, and facilitating the public process. cal government planning managers in the next decade. The Because citizen engagement is so important to the man- millennial generation’s values are increasingly helping to re- agement of local planning, it should be thought of as one of shape and redefine society in the twenty-first century. Col- the core constructs of any local government planning office. laboration, innovation, and community will take on added However, there is no “right” way to organize a planning of- importance in how organizations and governments orient

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themselves. Public participation should play a vital role in redefining governance for local jurisdictions across the country, as civic capacity and cross-sector collaborations become more robust. The presence of a strong civic sector and new technologies that are fully leveraging a community’s resources to realize public aspirations provide significant opportunities to reshape “business as usual” and create a modern standard operating procedure for public work. By fully engaging the public as partners in defining and achieving community aspirations, local government can redefine its role in community-building and empower residents to redefine a modern, active citizenship as well. Community engagement, first and foremost, requires the commitment to craft a planning process that reaches the community and engages citizens on their terms. Relatively few planners still expect the public to come to planners on planners’ terms. Planning managers need to structure their offices to ensure that forums, workshops, media, and all aspects of the process are truly engaging and attractive to the community. To do this, managers need to make sure that staff members at all levels are committed to these goals and that the allocations of staff time match the need. The following case studies explore a range of approaches and priorities to guide planning managers in community engagement endeavors. Joel Mills, in “Planning as a Demo- cratic Practice” (p. 69), explores various strategies to engage communities effectively. In “Engagement Brings Change” (p. 78), Harris Steinberg describes the extremely effective community engagement effort around Philadelphia’s waterfront. David Kittredge looks at a constituency underrepresented in the political process in “Community Engagement of Rural Landowners” (p. 81). Finally, Mark Hinshaw, a planner and a journalist, explains in “Secrets from a Planner-Journalist” (p. 82) how planning managers can maximize their use of media outlets.

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PLANNING AS A DEMOCRATIC PRACTICE Joel Mills, Director, Center for Communities by Design, American Institute of Architects

Cities have the capability of providing The Rise of the Citizen Planner • The City of New York adopted the something for everybody, only be- The lines between professional plan- Vision 2020: New York City Compre- cause, and only when, they are created ners and citizen planners have always hensive Waterfront Plan, which out- by everybody. been blurred. Some of the most in- lines development for more than —Jane Jacobs, The Death and Life of fluential thinkers in the field, such as 500 miles of waterfront and involved Great American Cities Jane Jacobs, were not professional thousands of residents from ev- planners. While the genesis of citizen- ery borough of the city (New York For the past half century, the planning led planning began the 1960s, it has 2011). The plan was awarded with profession has been at the forefront of experienced rapid acceleration with the Waterfront Center’s Excellence local democratic practice. In contem- the democratization of cities in the on the Waterfront Award as well as porary democratic life, more citizens last 25 years, and this trend is likely to the American Planning Association’s participate in the public work of plan- continue. Daniel Burnham Award. ning than any other component of lo- A 2012 survey found that a major- • In Texas, the City of El Paso unani- cal decision making besides voting. In ity of Americans, 51 percent, express a mously adopted a new comprehen- a survey of public officials in more than desire to participate in future commu- sive plan following a process that in- 300 localities, the National League of nity planning efforts (APA 2012). Public cluded contributions from more than Cities found that 60 percent of respon- participation in the planning process 30,000 participants (El Paso 2012). dents claim that their municipalities has been most evident during the last • Imagine Austin, the first compre- use public engagement processes “of- 15 years in larger urban jurisdictions hensive plan for Austin, Texas, in ten” and another 21 percent report that where major planning processes can decades, incorporated more than public engagement processes are used include thousands of participants. In 18,500 submissions from the com- “sometimes.” In addition, 28 percent the late 1990s, for example, the Envi- munity (Austin 2012). of respondents state that their mu- sion Utah regional planning process in- nicipalities have formal public engage- volved more than 20,000 participants. Shrinking Public Budgets ment plans. Most importantly, respon- Such levels of participation are com- The national economic climate and on- dents indicated that their communities monplace today in large municipali- going fiscal crises at the state and lo- would “likely” or “very likely” design ties, as the following examples show: cal levels have constrained municipal deliberative public engagement pro- budgets and forced local governments cesses for three top issues: zoning • The Stand campaign—an initiative to seek partners in the private and non- and land use (82 percent), downtown to gather feedback from Chattanoo- profit sectors. As a result, many local development (78 percent), and neigh- ga, Tennessee, area residents about governments, particularly through their borhood planning (76 percent) (Barnes the future of the city—collected planning departments, are encouraging and Mann 2009). more than 18,500 survey responses greater levels of democratic practice and in 2008 during what was reportedly cross-sector collaboration as a critical Changes in Public Engagement the “world’s largest survey-based component of making public initiatives and Participation community visioning project” (Mc- feasible. During the last decade, a genuine Clane 2009). civic movement around planning has • In 2010, an action agenda emerged Local Devolution and the Growth of taken hold in the United States, bring- in Prince George’s County, Maryland, Neighborhood Councils ing many planning managers and based on the input of thousands of Most major cities now have a system their communities to new heights residents and stakeholders in a proof neighborhood councils or advisory of community engagement. Six key cess called Envision Prince George’s commissions of citizens who interact trends have led this development at (Prince George’s County Social Inno- with local government representatives the local level. vation Fund 2015). on a host of issues, particularly those

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related to neighborhood planning and as crowdsourcing and tactical urbanism age community building and commu- development. The National League of initiatives. These actions have ranged nity engagement. Cities (2004) reports that cities and com- from temporary, guerilla interventions Chattanooga Stand, a civic orga- munities across the country have started that are outside of the boundaries of nization in Chattanooga, Tennessee, neighborhood council systems and the law to government-sponsored and started CityShare, a public series of web- democratic governance projects. Some supported efforts, and they have en- based and in-person presentations, fo- of these systems, such as in Washington, couraged a great deal of civic activity in rums, and small-group discussions that DC, tied the creation of neighborhood communities. Planning managers and address a variety of community and councils to local planning processes, all their communities are responding to urban design issues. The organization integrated into citywide summits. Oth- the growing civic movement to reclaim has also funded seed projects to bring ers, such as Seattle’s system, provided cities by creating new support systems emerging leaders together and facilitate neighborhood grants that catalyzed to build capacity and leverage the col- innovative demonstration projects. exponential private investment through lective energy of citizens. The following Smaller communities are also hav- resident-driven projects. examples illustrate these actions in cities ing success with grassroots efforts. In across the country. 2009 officials in Newport, Vermont, a city Extension of Democratic Planning The City Planning Commission in of 5,000, hosted a community-wide plan- beyond Government Philadelphia created a Citizens Planning ning process with the American Institute The emergence and growth of non- Institute in association with its new com- of Architects that involved hundreds of profit, civic intermediaries has had a prehensive planning and zoning efforts. residents. Since that time, the city has profound impact on local democratic The institute, supported by local founda- implemented the region’s first participa- practice, expanding beyond the limits tions, provides a series of courses and tory form-based code and foreign trade of traditional government processes workshops about planning to the com- zone, formed a number of key partner- and the public sector and involving new munity, and by 2011 it had certified al- ships and initiatives, and supported participants in democratic planning. most 100 “citizen planners” from dozens residents with various tactical urbanism These semi-public entities and nongov- of neighborhoods across the city. The projects ranging from urban gardens ernmental neighborhood organizations city also launched websites and Face- to “chair-bombing,” where homemade are increasing community capacity, and, book pages in association with Phila- seating is put out in public spaces. The in the process, they are helping to re- delphia2035 comprehensive planning cumulative impact of the city’s work has define the public sector. Groups such activities. In addition, it partnered with led to more than $200 million in new in- as Envision Utah, Chattanooga Stand in Code for America to launch Textizen, vestment and 2,000 new jobs. Tennessee, and the Urban Charrette in a digital public engagement strategy Tampa, Florida, are playing critical roles that used posters around the city asking Lessons of Civic Engagement in convening the public. residents to respond by text message to Planning managers can learn several questions like “what would make Central key lessons from these efforts as they The Data Revolution City more kid-friendly?” and “how do relate to democratic practice and In localities across the country, the role you mainly use city recreation sites?” healthy communities. First, contempo- of data and information has transformed The Office of Planning of Washing- rary planning is an act of democracy in approaches to planning. Today, using ton, DC, launched the Citizen Planner a pluralistic society. Citizens not only GIS technology and a range of mobile initiative, which solicited input from want to be informed about planning applications, citizens can participate di- a cross-section of residents through decisions, they want to be involved in rectly in both data collection and the focus groups on neighborhood and influencing the decisions about their dialogues that drive decision-making quality-of-life issues. The city also start- communities. The failure to fully and processes. ed the Temporary Urbanism initiative meaningfully involve the public in to support civic initiatives that activate planning processes can have signifi- Direct Grassroots Action vacant spaces, foster creative entre- cant consequences. Planners must be Increasingly, citizens are reclaiming their preneurs, and promote neighborhood public ambassadors to the community communities through direct action at pride. Through creative placemaking and serve as a bridge linking citizens the local and neighborhood levels, such activities, this initiative seeks to encour- and public processes.

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Second, while planning processes participation are well-positioned to le- the workforce, twenty-first-century gov- require government support, planning is verage the talents and resources of citi- ernance will increasingly be fashioned inherently a community activity. Effective zens to achieve successful outcomes to respond to their values by utilizing planning practices should be inclusive (Knight Foundation 2010). more effective collaboration, innovation, and broaden understandings of the pub- and engagement. While most jurisdic- lic sector. Good planning should facilitate An Era of Change tions today practice some form of pub- novel and robust public-private partner- Public work continues to undergo lic participation, wide disparities in the ships, cross-sector collaborations, and much change—driven by community quality of existing practice continue to broad civic engagement, and it should experience, changing public expecta- characterize much of the field. Much of leverage all the assets and resources of tions, and progressive planning man- contemporary public participation still communities. agers. Some communities, however, falls short of its potential, as it is limited Third, planning that invests in and still lag behind the leaders in engaging to the use of outdated tools and the mis- encourages the civic sector has direct, the public. Planning managers need use of modern technologies. Qualitative tangible benefits. Good planning pro- to update existing civic infrastructure differences in public participation often cesses help build social capital and com- for the twenty-first century, modernize exist not only between jurisdictions, but munity identities and foster civic en- governance frameworks, and improve between local government agencies in gagement and volunteerism. One study standard practice to match public ex- a municipality and across systems within found that states and communities with pectations. The media and politicians a single jurisdiction, leading to unmet higher levels of civic engagement are often report that the public is apathetic, public expectations and civic frustration. more resilient in economic downturns overwhelmingly divided on important (National Conference on Citizenship issues, and distrustful of government. Contemporary Experience 2011). Planning managers are finding Much of this thinking, however, has with Public Participation value in focusing on civic infrastructure been the result of insufficient public Almost five decades ago, Arnstein and in the capacity of the civic sector participation and does not reflect much (1969) presented a typology of public to act as a partner in both the planning of the work of progressive planners and participation, what she termed a ladder and implementation processes. These communities. Research has shown that of citizen participation, spanning a range developments offer tremendous oppor- Americans have a strong desire to par- from nonparticipation to tokenism to tunities for planning to contribute to the ticipate in community planning efforts, citizen power. These various levels of democratic process. regardless of their political affiliation or participation highlighted the extent to Starting in the 1990s, planning their locations in urban, suburban, or which perceived participation is actual- managers have profoundly changed rural areas. (APA 2012). ly not legitimate. Many public participa- the orientation of local government Age demographics are having pro- tion tools and strategies have evolved, planning and the crucial need to en- found impacts on the public’s view of and the International Association for gage the public. Studies in recent years participation. Today, millennials repre- Public Participation’s (2007) spectrum have confirmed that effective public sent one-third of the American work- of public participation is an updated processes are much more widely used force, and unlike preceding generations, categorization of public participation than in the past, with clear public de- they place increased importance on goals and activities. It identifies five key mand for involvement in decision collaboration over hierarchy. As a tech- types of public participation, with vary- making. The empirical evidence for savvy generation, they also value ining degrees of direct participation by the benefits derived from an engaged novation. A study by the Pew Research the public: community has also become clearer. Center found that 44 percent of respon- The Knight Foundation’s Soul of the dents ages 18 to 24 engage in online • Inform: To provide the public with Community project looked at 26 com- civic communications (e.g., signing a balanced and objective information munities and found a positive correla- petition, contacting a government offi- to understand problems, alternatives, tion between residents’ sense of at- cial) and 67 percent are politically active and solutions. tachment to their communities and the on social networking sites (the highest • Consult: To obtain public feedback economic growth in those areas. Com- percentage of all age groups) (Smith about analyses, alternatives, and munities that practice effective public 2013). As millennials come to dominate decisions.

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• Involve: To work directly with the only 19 percent indicated that “empow- transformed citizen engagement and public throughout the process to er” is “important” or “highly important.” embraced a pluralistic democracy. Pub- ensure that concerns and aspirations The responses to questions about lic hearings and meetings, however, are are consistently understood and con- the quality of civic discourse also provide still standard operating procedure in the sidered. important insight. Almost 40 percent of permit review and approval process. This • Collaborate: To partner with the respondents said the civic discourse in is one of the reasons for the popularity public in each aspect of decisions, their community was “very polarized of form-based code and other pre-per- including the development of alter- and strident, often rude” or “some- mitting efforts that encourage public natives and the identification of pre- what polarized and strident, occasion- engagement and consensus building ferred solutions. ally rude.” These responses indicate that before contentious dichotomous win/ • Empower: To place final decision conventional public participation meth- lose battles. making in the hands of the public. ods are proving increasingly insufficient Virtually all requests for proposals given public needs and citizens’ level of for a consultant to undertake a com- In 2014 the International City/Coun- sophistication. prehensive plan or zoning revision now ty Management Association (ICMA) require the consultant to include a plan conducted a survey of its membership Public Engagement for community engagement. Planning using the spectrum. It asked participants Tools and Strategies managers can leverage the growing to rate the importance of varying lev- Planning managers have taken conven- expertise in the private sector on new els of public participation to determine tional public participation techniques, ways to not only increase the number the types and goals of public participa- used for decades, and transformed of people who participate in the pro- tion efforts (Figure 6.1) (Vogel, Moulder, them into new sophisticated, effective, cess but to also make it fun and engag- and Huggins 2014). Most respondents and inclusive approaches. This evolution ing for them to do so. In 2016, a robust (88 percent), said that “inform,” the least is especially clear in strategic and com- community engagement plan would direct public participation approach, is prehensive planning processes, where include the development of a project “important” or “highly important” while these new approaches have effectively website, interactive tools, 3D visualiza- tions and renderings, a marketing campaign, and surveys. Consultants also 100 routinely use Facebook and Twitter ac- counts to attract the public’s attention and to create an iterative process where

80 residents have many opportunities to provide feedback over the course of a project. Visual preference surveys are a common visualization tool found on 60 project websites. For example, interactive tools can be used to invite residents to submit photos of community features they would like to see more of 40 and things they want less of or want improved. Consultants can also create apps for smartphones that make the feedback loop easy and open ended for 20 public participants. A website created exclusively for a % RESPONDENTS SUPPORTING CITIZEN ENGAGEMENT CITIZEN SUPPORTING RESPONDENTS % comprehensive plan update or major code revision can serve as a reposi- INFORM CONSULT INVOLVE COLLABORATE EMPOWER tory for all project documents. Drafts of Figure 6.1. Importance of different levels of citizen engagement (Adapted from Vogel, Moulder, and Huggins 2014) plan elements and code sections can

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be posted after initial rounds of more 3. The use of alternative polling After the comment period closed, staff formal review and comment. Concep- models for meaningful participa- analyzed the feedback and used these tual maps of the project area can be tion: One example of an alternative perspectives, opinions, and ideas to posted with background explaining the polling method is Deliberative Poll- draft an ordinance (Vogel, Moulder, and issues that are under discussion. Also, a ing®—an approach that involves Huggins 2014). project calendar, updates, and links to bringing together a group of people media stories can also be posted on who have been polled, exposing Public Hearings and Meetings the site. Planning managers can work them to a wealth of information and Public hearings are required by state with the consultants to decide who is engaging them in dialogue, and then zoning and subdivision statutes to gain responsible for maintaining the con- repolling them to see how their opin- citizen input in the decision-making tent on the sites and at which points ions have changed. The change in process, especially during the permit- or regular intervals it will be updated. opinion is representative of this addi- ting process. Rigid rules, whether archaic Such sites are typically hosted on the tional information and, as James Fish- protocols or efforts to protect permit consultant’s server but certain docu- kin of the Center for Deliberative De- applicants’ rights, often do not permit ments and other items would need to mocracy at Stanford University points dialogue or interaction. As a result, par- be prepared and made ready for post- out, the effects can be substantial: ticipants are often allowed only a short ing by department staff. “If people think their voice actually time at the microphone, speaking se- matters, they’ll do the hard work, re- quentially and with little or no discussion Public Opinion Polls ally study their briefing books, ask the or follow-up. Citizens may be dismayed and Surveys experts smart questions, and then by the inefficiency and lack of effective- Surveys and polls are a more indirect make tough decisions. When they ness of public hearing formats, and so form of public participation, and they hear the experts disagreeing, they’re they opt out. Therefore, participants at should be used judiciously. Their over- forced to think for themselves. About public hearings all too often represent use can create artificial divisions—es- 70 percent change their minds in the narrow interests on opposing sides of pecially polls with discrete choices that process” (Klein 2010). an issue that reflect extreme community oversimplify and misinterpret complex viewpoints. This leads to discussion that issues, engage citizens without provid- The Internet has made public sur- is defined by conflicting views rather ing context and information, and ask citi- veys and polling an infinitely quicker and than common ground. The format en- zens to choose sides. Fortunately, more less expensive way for planning manag- courages grandstanding, conflict, and and more communities are using pub- ers to gauge public opinion on either a “winner-loser” outcomes. The ICMA lic opinion polls effectively, with three broad range of issues or a single topic. survey confirms these concerns: only 12 models to guide these efforts: Rancho Cordova, California, for example, percent of respondents indicated that used an online public engagement tool there is a “high level of participation in 1. Surveys on narrow issues where to pose a question: “Should the City of their local government’s engagement understanding community inter- Rancho Cordova change its regulations efforts,” and among communities with est is important: For example, sur- to allow residents to raise chickens at fewer than 10,000 residents, a majority veys can be very effective in gaug- their homes?” The rate of participation reported “low participation” levels (Vo- ing interest in or the effectiveness in the survey (560 individual visits to the gel, Moulder, and Huggins 2014). of government programs, such as site, 66 comments, and 147 persons sub- There are vast differences among potential interest in a car-share pro- scribed to receive follow-up information) communities in the quality of public gram or a municipal identification was much higher and involved more meetings and community processes. card program. civic participation than the city’s typical Many jurisdictions approach these 2. Surveys to test-market specific ap- public hearings. City personnel moder- meetings with a goal to gain public proaches: Surveys, for example, can ated the online comment forum to en- buy-in rather than to engage residents be used to test ideas developed in sure that the discourse was polite. Each in authentic participation. This is of- community workshops or to target person was only allowed to comment ten the case in the permitting process, populations that may not have been one time to prevent a single person or where there is less room for flexibility well represented in such workshops. group from dominating the discussion. and creativity. As a result, meetings of-

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Glencoe, Illinois, a northern Chicago sub- urb of 9,000 people, posted chalkboards with the prompt “Downtown Glencoe would be better if. . .” as a way to get public input on the village’s new downtown plan, Downtown Tuneup. Planning staff photographed the chalkboards each day to document the input. Even- tually the ideas written on the chalkboard were tabulated and the findings were posted on the village web page dedicated to the planning project.

Media and Community Engagement A good media strategy is one of the most cost-effective methods a plan- Figure 6.2. “Before I Die . . .” wall installation by Candy Chang in Washington, DC (Photo by Elvert Barnes, CC ning department can use to get the BY-SA 2.0, http://tinyurl.com/h7jsfxn) word out to the community and to set the stage for informed community engagement. Which media outlets to ten incorporate lengthy presentations nity and build meaningful participation use depends on the local context and from city staff followed by periods of while not allowing any one stakeholder setting. Some communities, fewer and unstructured open comment to collect group to dominate the process and fewer each year, have their own local public input on ideas that are already subvert broad community consensus- newspaper—increasingly available on- formulated. Other common shortcom- driven goals. line only—while some have almost no ings include poorly articulated meeting newspaper coverage. Most local gov- goals, generic meeting design that is not Chalkboards (Candy ernments have a presence on Facebook sufficiently interactive or efficient and Chang Walls) and Twitter and many rely heavily on does not succeed in producing effective A Candy Chang wall (also referred to as those outlets to reach the media and outcomes, a lack of quality public infor- an “idea chalkboard”) is an example of the public. mation to make informed choices, and a very low-tech participatory public art The media environment is chang- the need for trained facilitators to struc- tool that can be used to collect thoughts ing so rapidly that any suggestions ture and lead the dialogue. and substantive input from the public on about the future are very speculative. Most planning managers prefer to a range of matters. It was first employed Traditional print media remains strong use public workshops whenever pos- by Candy Chang, a New Orleans-based in some communities and is all but com- sible for comprehensive and strategic artist with an urban planning back- pletely gone in other communities. Vir- planning. In contrast to standard public ground, who covered the exterior of an tually every media source has a strong hearings, most planners find that public abandoned house in New Orleans with online presence, and in many settings, workshops—without the public hearing chalkboard paint and posted the words especially in print media, the online constraints—are the most rewarding, in- “Before I Die. . . ” with spaces for people presence has either already eclipsed the teractive, and community-building parts to fill in responses (Figure 6.2). There are traditional media or is expected to do so of the strategic and comprehensive now thousands of examples of such soon. This effects not only the obvious, planning process. There are dozens of walls around the world. Chang’s website how information is distributed, but also extremely effective workshop models. offers guidance and suggestions to in- more fundamentally what information is The commonality is a commitment to dividuals and communities that want to collected. Stories that might have played engage all stakeholders in the commu- use the method. In the summer of 2014, well in a daily newspaper, for example,

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are not always those the same as those past, old meeting formats can be frus- The City of Oakland, California, for ex- that play well in a continuous web cycle, trating to citizens. They are more skilled ample, has received over two dozen leading to both opportunities and chal- and educated than their predecessors, awards in recent years for achieve- lenges. have access to endless quantities of in- ments in sustainability, walkability, and The tried and true method of cul- formation through their smartphones, livability, and it was one of the first juris- tivating good honest relationships with and are used to having a wide array of dictions to adopt the model municipal the media holds firm in any media plat- choices open to them. Older meeting public participation ordinance. Howev- form, whether it is print or broadcast formats make meetings seem like a er, Oakland’s process surrounding the journalism or social media. Planning waste of time as there is little for them to Latham Square pilot plaza in 2013 illus- managers can meet the media’s needs learn and little they can contribute. The trates the challenge. In an account from by being truthful and accessible, always consequences, however, go far beyond Streetsblog, the city held a second com- returning media phone calls as quickly miserable meetings. As the relationship munity meeting after public pressure as possible. When speaking to the me- deteriorates between the people and and then shut down the meeting early dia, it is important for planners to tell the their public institutions, the legitimacy despite a standing-room-only crowd story that the department wants heard and financial sustainability of govern- (McCamy 2013). The article concluded in crisp, effective sound bites. ments continue to decline. The com- that “for city officials, the proposal to Some larger communities have me- mon result is that residents opt out of widen sidewalks but permanently re- dia policies that limit the ability of de- participating. instate two-way car traffic at Latham partments to directly respond to report- Even well-performing jurisdictions Square appears to be a done deal,” cit- ers; instead, media calls are directed to an are not immune to these issues. Mem- ing a previous “invitation-only meeting” official spokesperson. Ideally, planning bers of the public may think that they the city held with key stakeholders. The managers and their designees should are not being heard, while decision city’s planning director reportedly an- be authorized to engage the media di- makers think that the public is being nounced at the meeting that they were rectly. That said, managers must ensure heard. But hearing the loudest voices “not going to satisfy everybody,” a self- that staff is trained to stay on message is not the same as agreeing with those fulfilling prophecy given the manner in and communicate effectively. In “Secrets voices, especially at the expense of con- which the public participation process from a Planner-Journalist” (p. 82), Mark sideration of all community members. was designed and implemented. While Hinshaw discusses ways planners can most effectively use media.

Beyond Public Hearings While mandates for traditional public hearings create a baseline for public process, communities can go beyond that process to engage the community. In Making Public Participation Legal, the Working Group on Legal Frameworks for Public Participation (2013) presents various tools that planning managers can use to encourage public participation, including a model municipal public participation ordinance, a model state public participation act, and a host of policy options and resources for local government. The guidebook notes that because citizens today are more educated and informed and have access to much more information than in the Figure 6.3. Seattle PARK(ing) Day, 2014 (Photo by Trevor Dykstra, CC BY-NC-SA 2.0 ,http://tinyurl.com/gu879at)

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transformed a vacant area. Local governments are now responding to this movement with supportive policy and programs. For example, the Los Ange- les Department of Transportation offers kits and resources to assist business and civic organizations in creating “park- lets” to enhance sidewalks and streets. In Dallas, the Go Oak Cliff community group sponsored a Better Block project using volunteers and cheap and do- nated materials. The City of Dallas then moved to make the improvements per- manent (Lydon et al. 2011). According to the Corporation for National and Community Service (2016), approximately 64.5 million Americans gave 7.9 billion hours of volunteer time worth $175 billion in Figure 6.4. Day of the Dead on Granary Row, Salt Lake City, 2003 (Photo by Rudy van Bree, All Rights 2012, providing an enormous oppor- Reserved, http://tinyurl.com/zuzmmeh) tunity for localities to leverage citizen engagement into tangible projects. This opportunity is not limited to the Oakland’s Latham Square may be em- projects throughout the city and pro- United States. In Christchurch, New blematic of some key public partici- duced $72 million of community match Zealand, residents banded together pation challenges facing jurisdictions funds (Seattle 2016). The city also par- following a devastating 6.3 magnitude today, it is only one of many examples. ticipates in an annual PARK(ing) Day, an earthquake in 2011, and they are trans- In fact, some of the most high profile event on the third Friday in September forming the urban landscape with cases in recent years, even when em- in cities around the world (Rebar Group projects such as the Pallet Pavilion, ploying modern techniques, have been 2012) (Figure 6.3, p. 75). the Cardboard Cathedral, the world’s more notable for the lessons learned This community-led approach first “post-disaster mini-golf course” in than their successes. to small-scale, catalytic projects has parking lots across the city, along with expanded over the past 15 years and dozens of other community-driven Scaling Up Citizen Engagement emerged in a process called tactical projects. The ability to engage the through Small Projects urbanism. Many projects are citizen- public and collaborate on volunteer- In this era of declining public resources, led and represent tangible, visual signs driven, small-scale work has proven to it has become fashionable for planning of civic pride while transforming the be a significant tool to build momen- managers and their communities to physical urban character. Examples tum for longer-term investment. think of incremental strategies for city- vary across the country, including wide change. Grand catalyst projects streetscape transformations, com- Public Participation in Capital are no longer the norm. In this environ- munity gardens, and popup retail. In Investment: Crowdfunding ment, effective public participation can Salt Lake City, a nonprofit organization Community-driven participation in the become an important tool for local gov- recently converted shipping contain- funding of capital projects has emerged ernment. During the 1990s, Seattle be- ers into micro-retail spaces and placed as an important local government tool came a hotbed of civic activity through them on a little-traveled street to create to implement projects. While fundrais- its Department of Neighborhoods. The Granary Row (Figure 6.4). The project ing for community projects has a long Neighborhood Matching Fund has con- included food trucks, a performance history, the use of technology to orga- tributed $49 million to more than 4,000 stage, and a community garden, and nize potential projects and raise signifi-

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cant capital through many small contri- generation of public-minded profes- of architecture now have in-house butions, or crowdfunding, has emerged sionals has emerged. According to a design-build programs, most of which as a significant investment tool. In 2012 2013 survey, 81 percent of architects include a specific mission to provide the Crowdfunding Industry Report found reported that they were currently services to communities in need. ACSA that close to $1.5 billion in capital had engaged in “public interest design” identifies 139 university-affiliated com- been leveraged through crowdfunding and 77 percent had worked pro bono munity design centers and programs initiatives the preceding year (Massso- or for a reduced fee (Feldman et al. across the country and another 48 that lution 2013). This movement has been 2013). Likewise, partners such as Code are either independent community de- referred to as the “democratization of for America and hackathon.io have sign centers or programs within design finance,” with huge opportunities for helped create local hackathons and firms. These organizations represent im- local governments and civic partners encourage technology development portant mediating institutions that can as well as more equity for participants to address civic needs and foster com- convene the public and partner with lo- because “rather than rely on traditional munity participation. cal governments. sources to put up the funds, this ap- The spirit of public service char- One prominent example of the criti- proach allows individuals in the com- acterizes some of the most prominent cal role the civic sector has played is the munity to have a stake in the project” public interest design organizations as contribution to the Detroit Works Long (Binkovitz 2014). well. Founded in 1991, Design Corps Term Planning Project, now called De- Kickstarter popularized crowd- (2016) is focused on leveraging public troit Future City. The Detroit Collabora- funding in the US, but now shares the service to create “positive change in tive Design Center has played a crucial headlines—especially around char- traditionally underserved communi- role in the success of the city’s plan by ity fundraising—with such groups as ties by using design, advocacy, and reaching out to 163,000 residents in over GoFundMe, Indiegogo, Teespring, You- education to help them shape their 30,000 stakeholder meetings (University Caring, Causes, Crowdrise, GiveForward, environment and address their social, of Detroit Mercy 2013). This level of com- Patreon, and FirstGiving. Communities, economic, and environmental chal- munity engagement built into the plan- community-based foundations, and lenges.” Architecture for Humanity ning process distinguishes this project community development corporations was founded in 1999 to bring together from many other urban redevelopment have all joined with their own offerings. professionals who wanted to donate plans. A report from the World Bank (2013), their time and expertise to communi- A key characteristic of this project, estimated 344 crowdfund investing ties that would not be able to afford in contrast to typical urban redevelop- platforms in the United States. Such ap- their services. At its peak, the organi- ment plans of the past, is the unprec- proaches represent a new opportunity zation had 58 chapters in 16 countries edented level of meaningful community for local governments to conceive of and more than 13,100 professional vol- engagement that was built into the pro- projects and use public participation unteers. Although Architecture for Hu- cess. The plan will certainly prove to be to help fund implementation. One ex- manity has since gone bankrupt, un- transformational in the evolution of De- ample is Memphis Civic Solar, a project able to raise enough funds, the model troit around future land use, community to install solar energy in 30 municipal and the energy it represented remain prosperity, and the quality of life for the buildings throughout Memphis, Ten- important. city’s residents. nessee, using no taxpayer monies. Oth- Founded in 2002, Public Architec- Dan Pitera, the center’s executive er such projects are proliferating across ture connects resources and public in- director, captured the values that un- the country. terest needs. It has promoted a national dergird successful public participation: campaign called 1+ (formerly 1%) to “People are our greatest asset. And it’s Importance of the Civic Sector enlist every design professional for pub- the people who will define the vision of The increasing use of public participa- lic service and pro bono projects. As of the project. We didn’t come in with an tion in local government over the past 2012, there were more than 1,600 organi- idea of what the end result would look two decades has mirrored a renewed zations and design firms participating in like. The vision is being created by the energy for public-interest work in the program. According to the Associa- Detroit community, through the pro- the planning and design professions. tion of Collegiate Schools of Architecture cess of engagement” (University of De- Within the design profession, a new (ACSA), more than 70 percent of schools troit Mercy 2014).

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ENGAGEMENT BRINGS CHANGE Harris M. Steinberg, faia, Executive Director, Lindy Institute for Urban Innovation, Drexel University

Civic engagement is experiencing a bit A New Form of Engagement of having one of the only waterfront of a renaissance these days. In politics, in Philadelphia Walmart stores. the Internet is credited with engaging In Philadelphia, PennPraxis, the applied In the heady days before the col- a new generation of civic actors gather- research arm of the School of Design at lapse of the international financial mar- ing in places near and far, such as Tah- the University of Pennsylvania, has devel- kets in 2008, Philadelphia was strug- rir Square and Zuccotti Park. This new oped a successful series of partnerships gling to keep up with the onslaught form of social and political organizing is between the public sector, the media, of proposed development projects, upending established civic, communi- the philanthropic community, the aca- particularly ones along the Delaware cation, and societal hierarchies. The old demic community, and citizens. These riverfront. Funny money before the guard is rapidly giving way to diffuse and partnerships have created a model for crash combined with an archaic zon- horizontal systems of leadership and po- civic engagement that works for Phila- ing code and a 10-year tax abatement litical organizing. delphia and might provide valuable les- on new construction—not to mention In urban planning, civic engage- sons for other cities and municipalities. casino gambling that the Pennsylvania ment is also finding a strengthened As a northeastern city, Philadelphia suf- legislature approved in 2004—made for footing within the body politic. As fered from decades of decline, disinvest- a particularly volatile civic stew. Without information about communities is ment, depopulation, and deindustrializa- a mechanism to respond to develop- disseminated at lightning speed on tion. The story is one that is all too sadly ment proposals in a comprehensive blogs, listservs, Facebook, Twitter, told about many of America’s former and transparent fashion (the city’s last and websites, citizens find themselves industrial powerhouse cities. However, comprehensive plan was completed in with a surfeit of knowledge about po- over the past decade, Philadelphia has 1960), civic groups became the frontline tential changes to their communities. seen its first uptick in population, gain- warriors fighting to control the pace and At the same time, public officials are ing slightly more than 8,000 people in scale of development in Philadelphia’s using technology to engage a host of the 2010 census—the first rise in popu- historic rowhouse neighborhoods. The new constituencies—from apps that lation since 1960. Much of that increase tradition of council-centric prerogative encourage the reporting of potholes can be attributed to empty nesters re- gave district councilmembers undue and abandoned vehicles to systems turning to the city and millennials who influence over development in their that enable citizens to participate in have decided to call Philadelphia home. council districts. This resulted in the planning debates electronically and Until recently, Philadelphia suffered city council making a host of question- from afar. the curse of prevailing wisdom that “any able spot zoning changes to encumber Technology has clearly expanded development was good development.” building parcels with wildly unrealistic the options for communication and Successive mayoral administrations in use and height allowances—all in the participation. And yet how best might the 1990s and early 2000s struggled to name of progress. planners, public officials, and citizens right the city’s finances, and in so doing Against this chaotic civic back- harness the increased energy, trans- they stripped any pretense of rational or drop, PennPraxis in 2006 was asked to parency, immediacy, and engagement thoughtful urban planning. Megapro- lead a public planning process for the that the digital age has afforded them ject after megaproject was proposed for Central Delaware River, a 1,176-acre, around planning and urban design? To the Delaware River Waterfront, Center six-and-a-half-mile stretch of riverfront what end and why should the public City, the port, and cultural districts. The along Philadelphia’s eastern shore be engaged in terms of the shaping of market, politics, and development costs that straddles both historic working- the built environment? And how might spared the city the worst of these grand class and up-and-coming gentrified planners begin to think about creat- schemes (for example, an enclosed en- neighborhoods. The development of ing pathways for substantive dialogue tertainment complex with a 400-car the riverfront had languished for de- about changes to neighborhoods, parking garage right at the river’s edge), cades under what was at times a cor- communities, towns, and cities? but Philadelphia has the dubious honor rupt public development corporation

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(two members of the corporation had • Outreach and trust building: Penn citizen-derived, values-based plan- gone to prison for extortion). Citizens Praxis conducted extensive commu- ning principles. These principles re- were angry, frustrated, and suspicious nity outreach along with civic associ- flect the community’s desire for pub- of the government’s ability to plan the ations and key stakeholders. In addi- lic waterfront access. waterfront without being held hostage tion, it held three public walks of the • Public charrette: PennPraxis, along to special interests. To make matters waterfront, bringing Philadelphians with Wallace Roberts & Todd and worse, Interstate 95, a six-lane highway together to experience the existing the Philadelphia City Planning Com- built during the 1970s and 1980s, had conditions of the largely privatized mission, hosted a three-day public decisively cut the neighboring com- riverfront. PennPraxis’ stipulations for charrette five months into the plan- munities off from the river. taking on the project were that the ning process. Until this time, the PennPraxis deployed a public en- process be citizen driven, open, and planning team had not produced gagement and planning process that transparent; the press be involved any drawings, renderings, or other was more political campaign than plan- and help ensure transparency at ev- visuals. Critical to the success of the ning, in order to address these issues ery step; and the recommendations project was a design response that and reach a plan for the waterfront that for an implemention strategy include would reflect the public’s values was citizen driven rather than through accountability to the public. and input. The charrette was led a development-by-political-relationship • Advisory group: The mayor ap- by local, national, and international process. PennPraxis recognized the pointed a 43-member advisory design and planning talent, and need to win the hearts and minds of group that included representatives the results of the charrette were Philadelphians and create a civic force of city and state government, local presented in real time. The public field to deter special interests from shut- nonprofits, the business community, and media response was extremely ting down the process. With the finan- and civic associations. The monthly positive. cial and institutional support of the Wil- meetings of the advisory group • Refine of the design: The design liam Penn Foundation, it partnered with were open to the public and were team refined the design concepts the Penn Project for Civic Engagement videotaped and posted on the Plan- that grew out of the planning pro- to design and implement a 13-month Philly site. cess. These refinements included public planning process that ultimately • Values sessions: PennPraxis and extending Philadelphia’s walkable engaged more than 4,000 Philadel- the Penn Project for Civic Engage- street grid over the interstate and phians in a very vocal and at times con- ment designed and hosted four across the project area and creating tentious planning process. Two of the public meetings to elicit from Phila- more than 300 acres of parks and various drivers that fueled public partici- delphians what they valued about trails along the waterfront to ensure pation at previously unheard-of levels their waterfront. The goal of these a maximum 10-minute walk to park were the prospect of the state granting forums was to lay the groundwork space for the 60,000 people living two casino licenses and concern from for eventually developing a set of along the river. The design also links the longshoreman community about values-based planning principles. the planning area to Philadelphia’s the future of that livelihood. More than 800 people attended robust transit system and ensures In addition to traditional outreach these meetings. that no single land use dominates and media partnerships, PennPraxis cre- • Best practices sessions: PennPraxis riverfront development. ated its own alternative media site called hosted a series of daylong public pre- • Return to the public: The design PlanPhilly (http://planphilly.com). This on- sentations and facilitated discussions team then consulted again with the line resource was an exercise in alterna- about best planning practices in wa- public to test the ideas developed in tive journalism that began with the Phila- terfront planning, design, transporta- the charrette and subsequently refine delphia waterfront planning process and tion, and management. them. This step was critical to ensure to this day continues to provide the city • Principles sessions: PennPraxis and that the public maintained faith in with unbiased professional journalism the Penn Project for Civic Engage- the citizen-driven nature of the pro- coverage on design and planning issues. ment designed and hosted forums cess. The team integrated feedback The public engagement process itself in- that asked citizens to blend values from these forums into the design cluded the following components: with best practices to inform a set of proposals.

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• Public presentation: Although vari- for Civic Engagement to manage highly ous interest groups (anti-casino ac- complex civic conversations enabled tivists, longshoremen, members of PennPraxis to focus on creating plan- the development community) had ning principles that reflected the desires threatened to upend the process at and values of the community. The in- different stages, the public presenta- tegrity of the William Penn Foundation tion drew more than 1,500 people to ensured that the project was not only the Pennsylvania Convention Center well resourced but that opinion lead- and appealed to a wide cross-section ers and public officials took it seriously. of the community. The vision is now The media’s continuous scrutiny of the guiding riverfront development. project, together with the PlanPhilly online resources, ensured that special The final report, A Civic Vision for the interests could not scuttle the process, Central Delaware (PennPraxis, WRT, and and it safeguarded transparency of the William Penn Foundation 2007), is the planning process. Lastly, the robust par- basis for development along the Central ticipation of the public gave the project Delaware River. The process upended the civic legitimacy and momentum four decades of failed attempts to de- that has carried the process forward into velop the waterfront. It led to the disso- implementation. lution of the disgraced Penn’s Landing Corporation and the creation of a transparent waterfront agency, the Delaware River Waterfront Corporation (DRWC), in 2009. The DRWC commissioned a master plan based on recommendations in final report, and the Philadelphia City Council adopted the plan in 2012. The DRWC is actively creating new public spaces, such as the Race Street Pier, and investigating the possibility of building a seven-acre park to cap the interstate. The Central Delaware Advocacy Group, a coalition that grew out of the planning process, remains engaged as a public watchdog to ensure that the public’s vision is implemented.

Lessons Learned The planning process for the Central Delaware River is an example of civic engagement that altered planning practice. It was successful for a number of reasons. The public and stakeholders perceived PennPraxis as a neutral party and honest broker without any skin in the game whose aim was to achieve excellence in urban design along the waterfront. The ability of the Penn Project

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COMMUNITY ENGAGEMENT OF RURAL LANDOWNERS David B. Kittredge, Professor and Extension Forester, University of Massachusetts, Amherst

Public sector planners are largely ing or emerging planning and land and can help inform planning efforts committed to community engage- conservation goals that aim to direct that will appeal to this constituency. An ment. In urban areas, owners of large development into or adjacent to al- ancillary benefit of this one-on-one ap- developable parcels are well served in ready built-up areas, such as villages proach is that it demonstrates genuine the planning process. In some rural, and small towns. interest of planners, and the positive exurban, and suburban communities, A key step in the planning process is public perception of these efforts is however—especially those under- to identify staff and community partners powerful. going cultural change in traditional who have good relationships with these natural-resource-based economies— landowners and who can help with di- rural farmers and other resource- rect outreach. Snowmobile, rod, and gun focused landowners sometimes feel clubs; nature groups; farmers’ bureaus; disempowered and excluded from the and extension services are examples of planning process. In addition, these organizations that often have especially landowners may own significant por- strong connections to private landown- tions of an area’s undeveloped land ers. Planners should attend meetings of but make up a small proportion of these groups and engage participants. the community’s population. Planning Presentations should be very brief, as the managers must understand the impor- goal is not to educate but rather to un- tance of structuring their departments’ derstand their perspectives. functions to engage these landowners, Another effective strategy is to many of whom may not be prepared have staff, especially senior staff, meet for the ways in which growth and de- with key landowners individually to dis- velopment are dramatically changing cuss the implications of planning and their communities. zoning issues on their land. With a map Even when rural landowners at- of the property on the table, staff can tend workshops or hearings, their voic- explain the implications of setbacks, es might be lost in the larger conver- frontage, minimum lot sizes, or cluster sations. A clear understanding of their developments and how these potential distinct perspectives can contribute to changes will affect property taxes and the success of community planning property values. efforts. While private landowners are One-on-one meetings might citizens and taxpayers, they also form seem laborious or inefficient. How- a special subset of the public because ever, this approach has a number of their land provides many community advantages. Planners are able to learn benefits. These benefits include eco- a great deal about landowner concerns system services, recreation opportu- in this conversational setting, particu- nities, enhanced rural ambiance, an larly when some landowners might not improved quality of life, and a buffer speak up about their personal concerns from development. In many rural ar- in a public forum. And while staff might eas, the primary interest of some own- not be able to meet with all landowners of large tracts of land may be in ers individually, the conversations they ensuring that they retain the right to do have will more likely than not reflect sell their land for future development. the views of other landowners in town. This can put them at odds with exist- Again, listening has tremendous value

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SECRETS FROM A PLANNER-JOURNALIST Mark Hinshaw, faicp, faia, Principal, Walker Macy

Over most of my professional career, I Fourth, do not expect writers to have pursued two professions: urban get every detail of a story right. Inevita- planning and journalism. I have worked bly, they will not get everything down in cities and towns of all sizes throughout to the last bit of obscure detail. Also, the country and written for professional writers are given a maximum word journals, big city newspapers, alternative count (or column inches), and so they weeklies, and now online magazines. As have to summarize and reduce the a planner, I have lost count of the num- subject matter. ber of planning colleagues who have Fifth, know that the writer does bemoaned getting bad press about not write the headline. That is some- their projects. So many seem to be one else’s job, someone who wants devastated that the media did not fairly to pull in the reader within seconds. recognize their good works. Well, I am Therefore, do not expect something here to offer some tips. While I cannot like “Planning Department Proposes guarantee that these suggestions will Reasonable Land Use Changes in Sin- prevent negative publicity, I can assure gle Family Neighborhood.” Instead, it you they will reduce it. is going to be “Neighbors Say No.” You First, do not wait for a project or must grow thick skin. proposal to become controversial. By the Finally, learn to be a source. You can time it hits the headlines, it is far too late. insist upon not being identified; one eth- All you will be doing is damage control, ic of writers is to keep sources secret. But and you will find the situation uncom- you should sometimes be willing to go fortable at best and ugly at worst. Find on the record—and ideally with a pithy out (if you do not know) who covers the sound bite. A writer is never going to city beat and go talk with that person— write, “We evaluated all the options and far ahead of any specific release or news. presented a careful analysis and a rec- Second, never use a press release to ommendation that reflects best profes- make the agency’s first announcement sional practices.” But the writer will use of a proposed project. Press releases are what you say if it is something like, “We’re generally ignored as simply fluff on the confident this is the best choice.” part of the issuing agency, or they give Working with the press is a great the public the impression that the proj- opportunity for planners. Far more ect is a done deal before any public pro- people want to read the newspaper’s cess has taken place. coverage of a hearing or a project than Third, get to know the beat writers the planner’s staff report on the same personally. Tell them in advance that topic. A worthwhile exercise is think- something might be controversial. After ing about how a staff report can be all, you are alerting them to a potential reshaped so that it is complete but is story. Give them the names of people also as clear, concise, and interesting as in the community they can talk with— a newspaper story. and not just people on your side of the issue. Be forthcoming and helpful. Lay out the issues and the larger principles that are at stake.

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CHAPTER 7 METRICS AND DATA Planning managers use data to inform management and planning decisions. Whether they are trying to justify their existence, gauge their efficiency, or figure out how to make things better, they measure. The amount of raw data, big-data analysis tools, geographic information systems (GIS), low-cost computing, relational and linked databases, and computer-literate planners create measurement opportunities unimaginable just a few years ago. This chapter focuses on metrics and data. Information technology trends will be discussed in the next chapter.

Planning offices use metrics and data in several ways: achieving community goals should be the focus. Performance measurements, however, should not just be about the big pic- • Evaluate planning office management: Planning ture. Planning managers still need to understand the produc- managers want to understand the productivity of plan- tivity and customer service abilities of their staffs and create ners, the speed of the permit process, the satisfaction metrics to measure and assess those areas. level of customers, the costs of doing plans in house Data of all kind are designed to help inform rational de- versus through hired consultants, and many other as- cisions. Planners like to believe that information provides un- pects of office management. limited answers, whether the criteria are indicators, bench- • Support the planning process: Planners need to un- marks, assessments, performance measures, or other metrics. derstand all aspects of communities and their needs In a rational planning model, once but no longer the holy as well as the effectiveness of potential policies to meet grail of urban and regional planning, decisions and alterna- those needs and community visions. tive assessments are driven by data. Under that model, “cor- • Assess how well planners are doing: Planners need rect” management decisions are made based on assessments to know if communities are meeting expected objec- of data. This approach has obvious problems, most notably tives and metrics, how they compare to their peers, and that the public is typically excluded from the decision-mak- whether they are developing in measurable ways. ing process. Regardless, planners like the idea that facts make • Conduct trend analyses: Planners should consider a difference in decision making. how they mine data to do evaluations, from the micro With New York City’s CompStat program, started in level (e.g., do all permits include conditions that should 1994 to drive police assignments based on crime data, and be included in land-use regulations?) to the macro level then CityStat in Baltimore, local government use of data be- (e.g., how are residents’ desires and needs evolving?). In came a must-have for many communities. Formalized data- an era of big data, the opportunity to look at huge data driven performance models have quickly spread to commu- sets—such as every permit ever issued or every transit nities all over the United States to identify how to best use trip taken—can help planners identify trends and poten- resources and improve services. Behn (2008, 2) calls these tial solutions. performance measures “PerformanceStat” and describes the components that characterize these approaches, including Metrics and assessments are most useful when they are “regular, frequent, periodic, integrated meetings . . . [and the performance or outcome oriented. The number of ordinances use of] data to analyze the unit’s past performance, to follow or plan changes proposed is not a measure of success (although up on previous decisions and commitments to improve per- too-frequent plan changes might be a metric for failure to plan formance, to establish its next performance objectives, and well). Implementing the plans and visions of communities and to examine the effectiveness of its overall performance strat-

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egies.” He stresses that the process must be purpose driven and permit-tracking systems from scratch, and over the years with a rigorous methodology and clear responsibilities in or- many have moved these systems to more robust and stream- der to be effective. lined permit-tracking software. Municipalities subscribe to Planners have been using data information for decades— software services that provide technical support, mainte- sometimes well and other times not so well—from the earlier nance, and routine software upgrades. They also subscribe to days of the rational planning model to the development of any of a number of code and ordinance hosting sites, such as GIS as a standard planning tool to the current use of data for Municode, American Legal Publishing, and Codebook. Staff more specialized evaluations, such health impact assessments. and customers who want to access specific sections of the local Planners know that data are critical to making good decisions. code are directed from the municipal website to an external However, they are faced with the challenge of recognizing the host. These providers also offer codification services—the de- importance of data even when the implications of the data are tailed editing and cross referencing that is necessary to ensure rejected or ignored by some elected officials and members of that the final published version of an ordinance is as consistent the public. An adaptation plan for climate change in a coastal and error-free as possible. Interim drafts of ordinances typi- community, for example, requires a level of buy-in about what cally remain on the municipality’s home page until they have data projections indicate will happen at various levels of sea- been adopted by the local governing body. level rise. Planners still need to consider how data can help Each year, planning managers should summarize the them tell compelling stories and point to important insights; data they generated in an annual report. It should also be what types of data tell the best stories; and the most effective made easily available to local elected officials and commis- presentations of data to planning staff, elected officials and de- sioners who have an oversight role in the department’s ac- cision makers, and citizens. tivities and mission. Ample guidance is available from peer Planning managers, committed to informing the public, communities and from organizations like APA and the Inter- typically want to both provide both raw data, in the interest national City/County Management Association for planning of full disclosure, and present understandable stories. While managers creating new departmental performance measures. planners, policy analysts, and even some mayors crave raw The second data group shown in Table 7.2 (p. 88) is used data, most people want stories that resonate with them. One for forecasting and policy analysis. All of the data sources example is the difference between raw census data about ag- listed are typically stored in GIS systems as distinct data lay- ing, travel behavior, and mobility needs and the way a maga- ers. The most common sources of planning data are the US zine tells that same story (see “Aging-Supportive Transpor- census and the American Community Survey (an important tation Planning,” p. 89). In “How Data Can Actually Inform ongoing survey also administered by the US Census Bureau). and Influence People” (p. 90), Michele Wick examines ways Critical data on transportation and travel is collected by fed- in which planners can frame issues, particularly less tangible eral agencies as well as regional metropolitan planning orga- ones such as global warming, using data. nizations, which usually also provide technical assistance to Regardless of how measurement systems are crafted, local governments for using the data to establish baselines of they exist to inform policy makers and the public, tell stories, existing conditions and to set policies to accommodate future and resonate. Planning managers need measurements and transportation needs of regions. metrics for any local government planning office operation, Metrics and data are critical for the management of plan- small or large. Table 7.1 provides a summary of various meaning offices and for creating positive futures. However, plan- surement and performance tools for planning managers. ning managers needing to carefully manage scarce resources Table 7.2 (p. 88) shows types of data that planning man- must ensure that data are not being collected simply for the agers can use both for planning agency management and for sake of collecting. This requires identification of needs, costs, forecasting and policy analysis. The management data are nec- and opportunities and development of the most cost-effective essary to measure staff productivity against established goals data collection systems available. An effective strategy in- and the overall mission of the department and jurisdiction. cludes assessments of existing data—often collected by oth- Municipalities store and manage these types of data in sev- ers—and data analysis, and identification of the ways these eral ways. Many use off-the-shelf customizable permit track- can serve planning needs and instances when new data collec- ing software; this is widely available and has been used by tion systems or analyses are needed. Chapter 8 examines the local governments for several decades. Some municipalities, technology and related issues that planning managers need to especially larger ones, have developed their own databases understand to maximize the usefulness of these data.

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TABLE 7.1. MEASUREMENT AND PERFORMANCE TOOLS

Tool Attribute Examples Metrics The term metrics can be used to cover any measure- For the broader use of metrics, all of the entries in the table below are ex- ment system, or more narrow measurements, to amples. An example of the narrower measurement of performance-specific determine performance. measurements of an objective is the percent of a new development with walkability to a transit stop or village or urban center. Indicators Indicators are limited and distilled data that tell a sto- Indicators range from highly technical measures (e.g., per-capita vehicle miles ry without requiring review of all relevant data. They traveled) to policy- and headline-focused ones for easy public consumption can be provided in any form that tells a story, such as (e.g., wait time at a given intersection or photographs of the visible night sky through numbers or photographs. Indicators can be to highlight light pollution). Another example is the Federal Emergency Man- developed locally or using other outside indicators. agement Agency’s informal Waffle House Index, which determines the sever- They are most effective when they address core ity of a storm based on whether the Waffle House is doing normal business. issues with local buy-in. Media, think tank, These ratings are ubiquitous, with media and think- Examples of these ratings include best places to retire, best places to live, top and consultant tank lists on the best and worst of almost any topic regions for outdoor activities, and most sustainable cities. ratings or category. Benchmarks A benchmark is a target measurement used to Examples of benchmarks include reaching the per-capita vehicle miles trav- gauge how a community is doing in relation to a eled level or recycling rate of another successful or peer community. predetermined intermediate or final target. They can be developed locally or be based on achieve- ments of other successful communities. They are most effective when they reflect local consensus. Rating systems Rating systems are typically developed to identify Examples of rating systems include the STAR Community Rating System (for a desired norm, judge how communities are meet- local government sustainability efforts), LEED certification program, the for- ing that norm, and compare communities. They mer Massachusetts Commonwealth Capital Scorecard, the New Jersey Future are usually developed by outside organizations. Smart Growth Scorecard, and the Vermont Smart Growth Scorecard. They can be extremely effective but only if they are viewed locally as credible, appropriate for local issues, and representative of local values. Environmental These comprehensive assessments focus on a Program or policy assessments are conducted under the National Environ- impact assessments, project or policy and include a systematic project mental Policy Act (NEPA), state, or local mini-NEPA assessments, as well as strategic environ- analysis, identification of effects, and consideration policy-level assessments. mental assessments, of alternatives and mitigation strategies. and health impact assessments Municipal bond These assessments are independent ratings of Examples of these ratings include Standard & Poor’s (S&P), Moody’s, Fitch Rat- ratings investment risk for local government bonds. They ings, and investment advisors such as Breckinridge Capital Advisors. consider direct financial risks and indirect risks, such as environmental, social, and political risks. Ad hoc assess- These assessments involve outside “expert” panels These assessments are conducted by local government panels and through ments reviewing local issues. organizations such as the American Planning Association, the American Insti- tute of Architects, the Urban Land Institute, and the New England Municipal Sustainability Network. Municipal accredi- Accreditation programs and management reviews Accreditation programs exist for municipal arborists, law enforcement, fire tation and manage- do not currently exists for municipal programs, but departments, public works departments, and health departments. Some ment reviews management reviews are common. communities do self-studies and/or obtain consultant or peer reviews.

Source: Adapted from Feiden and Hamin 2011

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TABLE 7.2. PLANNING AGENCY DATA SOURCES

Data Group Use Source Planning Agency Management Staff productivity • Department mission fulfillment • Internal or external audits • Department performance measures • Management using enterprise software or • Peer-to-peer department standards customizable vendor application • Permit processing times • Personnel management Customer service • Department mission fulfillment • Community satisfaction surveys • Permit processing times • Focus groups • Staff training • Informal feedback • Community outreach • Online public comment portal Forecasting and Policy Analysis Demographics (e.g., employment, • Population growth forecasts • US census socioeconomic) • Employment growth forecasts • American Community Survey

Land-use inventory • Build-out analysis • Aerial photos • Identification of infill development opportunities • GIS • Field surveys Housing inventory (e.g., needs • Identification of growth trends • US census assessments) • Establishment and measurement of housing goals • American Community Survey • Tracking of affordability • Focus on specific populations (e.g., seniors and low- income families) Transportation and transit • Identification of travel trends • National Household Travel Survey (e.g.,travel surveys, traffic data, • Air quality planning • American Community Survey modeling) • Development of growth scenarios • Metropolitan planning organizations Levels of service (e.g., for • Establishment of performance standards Examples: infrastructure needs, school • Capital improvement programming • Performance Seattle (https://performance.seattle.gov) capacity, libraries, parks) • City of Austin, Texas (www.austintexas.gov /department/auditor) Public health • Health impact assessment • Centers for Disease Control • Planning policy implementation • State department of public health • Identification of health disparities • County health department

Source: Compiled by Marya Morris

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AGING-SUPPORTIVE TRANSPORTATION PLANNING

The topic of mobility and aging popula- with my balance,” Halpin says. “I made the tions is one that transportation and pub- decision for myself and for others. It wasn’t lic health researchers have largely ad- fair for me to keep driving. But I absolutely dressed using quantitative data in order hate asking people for a ride. I’ve always to identify planning and policy issues been strong and independent and so if I and long-term trends. The following ex- have to ask, it’s as a last resort.” cerpt from Planning magazine provides Halpin has several options and can a different perspective, one that reflects usually plan her own transportation. She the day-to-day experiences and chal- frequently travels on a fixed route bus lenges of elderly travelers in ways not equipped with a lift or ramp and driv- captured through conventional data- ers who are trained to help passengers collection means. on and off. She also uses Access-a-Ride, a door-to-door service for those who need We’re outliving our ability to drive, accord- more assistance. ing to a 2002 study in the American Journal She has other alternatives on hand, of Public Health. The difference between too. Denver’s SeniorRide program gets life expectancy and driving expectancy is groups to specific events—movies, con- seven years for men and 10 years for wom- certs, art center exhibits, and tours of the en. But finding a way to fill that gap could city—and it is popular. “We serve a lot of make the difference between healthy aging people and when things go wrong, we and isolation. . . . hear about it,” says Brian Matthews, special “Walking is probably the most dan- services manager for the Regional Trans- gerous thing I do in a day,” Denver resident portation District. “But with the SeniorRide Mary Halpin says. At age 77, Halpin travels program, we almost never get a complaint. over sidewalks that are in bad shape, either We’re making it possible for people to get uneven or full of cracks. And several don’t out of their homes and do [the things that] have curb ramps, which she needs for her any of us would want to do.” rolling walker to transition from sidewalk to street at crosswalks. (Excerpt from “Senior-Friendly Transpor- Making pedestrian routes walkable is tation” by Debbie Sullivan Reslock, Plan- vital if they are to be a mobility option for an ning, June 2015) aging population. Solutions can include increasing the time allowed to cross the street, installing better signage, and developing senior pedestrian zones. Walk audits can also bring residents and public officials together to evaluate a neighborhood’s concerns and identify needed improvements. . . . Getting seniors where they want to go only solves part of the problem. Many seniors feel a loss of independence when they’re no longer able to drive, so it’s important to offer transportation choices. “I voluntarily gave up driving about 10 years ago, when I started having problems

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HOW DATA CAN ACTUALLY INFORM AND INFLUENCE PEOPLE Michele Wick, Psychology Research Associate, Smith College

My friend lost two cars to Hurricane danger of hurricanes, a model shaped niers. Since 2008, this poll of a nation- Sandy’s high tides. He lives on Long Is- by previous experiences, current biases, ally representative sample of Americans land next to a canal. You can board a skiff and, very likely, incomplete facts. Mental asking about beliefs, behaviors, and from the dock that sits below the edge of models frame how people perceive and policy preferences related to global grass marking the end of his small back- respond to risk. People look for content warming has found six distinct groups: yard and in five minutes motor out to the that confirms their biases while avoid- (1) Alarmed, (2) Concerned, (3) Cautious, bay filled with briny Atlantic Ocean water. ing, dismissing, or forgetting information (4) Disengaged, (5) Doubtful, and (6) When Sandy threatened to swamp his that does not fit. Dismissive (Figure 7.1). lawn, he stayed put despite the plethora My friend’s response to Hurri- Moving across these “interpretive of media reports featuring satellite pic- cane Sandy illustrates how hard it is to communities” from left to right, the tures of giant swirling winds, damage change minds and behavior, even in the level of concern about global warm- reports from Sandy in the mid-Atlantic, face of a highly visible specific threat or ing decreases—from respondents and maps highlighting evacuation zones a clear opportunity. What about a dis- extremely worried about a climate in bright red. My friend lived in the red tant danger, like climate change, that is apocalypse to the belief that climate zone, but he stayed even with all the evi- nearly invisible? How can planners pres- change science is a hoax. Each of these dence indicating that he should leave. ent facts about the mitigation of and “Americas” represents a pre-existing adaptation to global warming in ways set of beliefs and values; individuals Mental Models that will convince people to support add their own experiences, person- My friend’s logic would not surprise re- planning strategies? Part of the answer alities, and emotional styles to the mix. searchers who study ways to communi- lies in knowing constituents and appre- Any communication of data, no matter cate so that people will listen. In his more ciating their differences. the media, filters through this matrix than 50 years of experience with hurri- and makes one-size-fits-all messages canes, he remained dry and safe in all of Global Warming’s Six Americas problematic. Framing the data by em- his waterfront homes. His problem was The report series Global Warming’s Six phasizing specific aspects of a problem not a lack of data, as an information-def- Americas (Roser-Renouf et al. 2014) based on the target group is a more ef- icit model would predict. He had heard highlights the diversity of community fective strategy. Research on best ways it all but filtered it through his preexist- opinion beyond the polarized catego- to frame issues has revealed several ing mental model that represented the ries of climate change worriers and de- thematic approaches.

Alarmed Concerned Cautious Disengaged Doubtful Dismissive

November 2013 16% 27% 23% 5% 12% 15% n = 830

Highest belief in global warming Lowest belief in global warming Most concerned Least concerned Most motivated Least motivated

Figure 7.1. Global warming community opinion (Leiserowitz et al. 2014)

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Use a Public-Health Framework Make It Personal Introducing climate change as a health Anecdotal stories may be the bane of da- issue appeals to people across a wide ta-driven planners, but this form of com- cross-section of audiences. Myers et al. munication is more likely to persuade (2012) presented a statement to partic- readers than statistics, especially when ipants about redesigning cities to pro- the audiences do not fully grasp the mote active transportation and transit, meaning of the numbers. To boost the which in turn would reduce emissions, persuasive power of statistics, planners car use, and traffic injuries and fatalities should place them in narrative contexts and also improve the health and well- illustrated with vivid images of real-world being of people. Their study finds that examples and personal experiences. 57 percent of respondents deemed the statement hopeful, including Appeal to Loss Aversion those who identified as cautious, dis- Behavioral economist Daniel Kahneman engaged, and dismissive. Hope is im- (2011, 282) has found that “when directly portant as it correlates with a readiness compared or weighted against each to back climate change policies and to other, losses loom larger than gains.” practice pro-environmental activities. Such reasoning may be an evolution- However, not all health messages are ary asset—treating threats as urgent met with equal approval. Pairing clean increases survival—but planners know and more efficient energy sources with the downside. Designing for the future healthy air appealed to many respon- is a tough sell. To counteract this all-too- dents. Suggesting that people eat human cognitive style, planners want less meat, important for both good to highlight near-term costs, both mon- health and mitigating climate change, etary and social, and add prevention aroused the ire of respondents in all frames focused on avoiding damage. groups (Maibach et al. 2010) Encourage a Move from Monologue to Keep It Local Dialog Far-flung, more abstract information Planners can join with other important does not trigger people’s neurologi- opinion leaders and stakeholders at cal alarm bells. People tend to focus community forums across towns and cit- on what is right in front of them. This ies (Groffman et al. 2010). Such meetings puts a crimp in long-term planning should be structured to promote dia- strategies. Placing data in local con- log about the facts planners want their texts, in both space and time, helps constituents to know. The benefit is that audiences relate climate change issues constituents will walk away with a bet- to their own experiences. Hart and Nis- ter understanding of technical informa- bet (2011) also find that for politically tion and tend to feel like their concerns conservative audiences a local focus are being heard. Frames are “interpretive reduces the boomerang effect, the storylines” (Nisbet and Schuefele 2009) tendency to react to a message with meant to encourage conversation about a view opposite to the intended one. all manner of complex planning issues, For example, while the Alarmed group from climate change to emergency might direct their anger toward policy evacuation plans. Rooted in facts rather change, the Dismissive group might than spin, the judicious use of frames feel provoked and direct it against the can help people overcome their biases same policy (Myers et al. 2012). and move to action.

www.planning.org AMERICAN PLANNING ASSOCIATION 91 CHAPTER 8 INFORMATION TECHNOLOGY Perhaps no area of planning, or any other profession for that matter, is changing as quickly as information technology. Dis- cussion of technology and the opportunities it creates is integrated into all of the previous chapters—because technology is everywhere. This chapter explores some of the information services and technology that local government planning agencies are using or that planners should be thinking about.

The information technology available to planners evolves changes for a number of years. In many municipal planning so fast that any discussion about it will be out of date very offices, for example, the number of visitors to the offices is a quickly. For example, 3D printers and 3D printing services, a small fraction of what it was a few years ago because citizens concept just a few years ago and an unaffordable luxury until can use the web and electronic services instead of coming in. recently, have started falling in price so that they are becom- This decrease alone can result in savings that more than cover ing accessible to many planning departments—perhaps even any investment in these emerging technologies. The pace of before planners have started to think about how to use them. change, however, continues to be daunting for most public As such, this chapter will focus less on specific hardware and agencies—not so much because of resistance to the changes software solutions and more on information technology con- themselves but because of the need for constant reinventing cepts and considerations. and investment. The new challenges for municipal govern- Perhaps the most important rule of technology is that ments are lowering the cost of such offerings so that they are simply automating a function is not enough. Planners need available to smaller communities, lowering internal resis- to rethink how and why automating functions can take full tance to making all public information readily available, and advantage of new opportunities. As Peter Drucker (2006) put addressing the digital divide of data access. it, “There is surely nothing quite so useless as doing with great The most successful online programs are the result of efficiency what should not be done at all,” suggesting that the strategic planning processes that create clearly defined goals best automation package that automates an “old” way of do- and objectives when it comes to developing and implementing something is a waste of resources. Managers talk about ing online services (Newcombe 2014). In fact, an established ideas leading to innovation and innovation leading to imple- process for identifying and developing new online services mentation. Technology helps planners implement their ideas is common for cities with exemplary websites. Governing and innovations, and it can support a feedback loop to ensure magazine reported in 2014 on an audit of the online services that they are modifying what they do and using technology that the City of San Diego provides to its citizens. The audit to think differently. indicated that the list of online services that the city reported it was offering was incomplete and hard to find. In fact, the city offered more than 50 services online, but most, more STRATEGIC PLANNING FOR ONLINE SERVICES than half, were not accessible from a dropdown list link on the homepage called “Access Online Services.” For users to Citizens expect and deserve that many, if not most, govern- locate some of the online services, they would “have to know ment services will be available 24/7. This concept came about which department offers the service, navigate to the depart- before the Internet, with older technology such as informative ment’s webpage, and then locate the link to the service” (Bar- voicemail or automated fax responses, but the pace of change rett and Greene 2014). The audit also found that in addition to continues to accelerate. Most planners have embraced these the existing online services the city already provided, it had

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other unrealized opportunities for online services, includ- with the application system determining which permits are ing several categories of permits. The auditors said that one required. If government services have not fully moved online, reason the website failed to offer the services that it is capable citizens increasingly want to know why their community is of offering is that “the city does not have a strategic direction lagging. or policy initiative for online service delivery” (Barrett and Greene 2014). CONTENT MANAGEMENT

ONLINE PERMIT TRACKING Content management systems are also rapidly migrat- ing online and offsite (to the cloud), although typically at a A core element of any planning department’s online presence slower pace than permit systems. Content management sys- is an online permitting processing system. Any citywide au- tems manage electronic documents, records, and other data dit of online services would most certainly recommend that through database, indexing, and search-and-retrieval sys- a city move to an online permitting system or, where one is tems. Planners use such systems internally for all data and in place, that it improves the system through customization can also use them to make all public files easily available to of existing functions and extensions to new modules. What- the public. Some communities, even those with internal con- ever the circumstances, planning managers should routinely tent management systems, do not put them all online, pre- evaluate the department’s existing online processes and be ferring to simply post the most desired files. One argument sure to involve all other departments, officials, and boards or against making all public files available is that important commissions that are involved or provide oversight. documents get lost in the mass of digital paperwork. As a Many communities, especially those with resources result, this does not encourage transparency. Communities, and those committed to public information, have made however, can achieve both goals: make important files stand permit tracking available online. This trend, however, is out and make all other public files available through a content certainly not universal, particularly in smaller communi- management system. ties. Large cities and counties can often afford to buy full Applications and data available online can be hosted lo- permit-tracking software suites with all the bells and whis- cally, on local government servers, or increasingly offsite in tles. Obviously, as the cost of such products drops and they the cloud (Newcombe 2014). When well planned, this migra- become more robust, more communities will go this route. tion to the cloud allows more efficient use of local informa- The options for full-service suites, including collaborative tion technology services, avoids the need for local services review and online applications, can still be daunting for to host and manage all equipment, dramatically improves many small communities. data recovery and data integrity, and provides a wide range Many online permit-tracking systems are powerful and of more specialized applications. A recent survey of 527 US user friendly, allowing online applications and queries. Most cities finds that 99 percent have an online presence, but there local governments have already moved their plans, regulato- is a wide range in the types of services available, the mobile- ry codes, and permit applications online, making documents device capabilities of websites, and what content is posted available and searchable and providing hyperlinks between (Riggs, Chavan, and Steins 2015). related sections. Other government information has been slower to migrate, impeding the development of truly accessible 24/7 local government. In many cases, governments are DATABASES simply moving the same paper process online and do not involve a rethinking of the permit process itself. For example, Databases are indispensable to local government planning. a true one-stop online permit process is still rare, where a Planners rely on data from their own local governments and developer of a large project can apply for every one of the var- regional planning agencies as well as from other regional ied permits required from multiple departments in a single partners, state and federal governments, nonprofit organiza- online application. A person wanting to build a house may tions, and privately maintained databases. Almost all local know what she wants to do but may not know which permits governments, regardless of size, have massive databases that are required. A modern permit system should allow users are of used for planning activities.. However, the following to describe the process as responses to a series of questions, challenges remain:

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• Creating clear and accessible metadata standards (data planning issues and informing planners and policy makers. about which datasets are available and what informa- Shannon McElvaney and David Rouse explore geodesign, a tion they provide) powerful merging of geospatial data and design practices, in • Addressing transitions from legacy software to more “Geodesign and Planning” (p. 98). powerful, accessible, and open-source formats • Lowering entry costs so that smaller and lower-income communities have full access SMARTPHONE AND WEARABLE • Connecting databases and transitioning to relational TECHNOLOGY APPLICATIONS databases • Taking advantage of the era of big data and understand- The world of smartphones and wearable technologies evolves ing and mining disparate databases for information daily, creating new information for all aspects of the planning process. These applications also provide new ways to Most planners can access cadastral (property), demo- get the same information that used to be delivered in other graphic, and other key databases. In many communities, ways. Noise complaints, for example, used to involve calling however, planners are less able to link diverse databases to out code enforcement officials of some kind (e.g., building help with planning efforts. Often much more limited is the inspectors, community compliance officers, or police). Now, ability to gather and process data that might tell a useful with a free smartphone application, staff and citizens can get story—for example, identifying consumption of city services basic decibel readings, determine if there are real violations, (e.g., water use by address to target water-saving regulatory or and contact local authorities or enforcement agencies. incentive measures or voter participation rates to focus com- Of course, new technologies and applications are con- munity outreach campaigns) or developing cross tabulations stantly emerging, making any attempt to classify them quick- of variables in different databases (e.g., employment data by ly out of date. However, the following are a few broad, and obesity rates). largely overlapping, functions of applications with respect to Private databases can provide better access to data than planning: ever. The Warren Group (for southern New England) and CoStar (for the United States) are examples of extensive com- • Mapping and GPS to track, collect data, and display in- mercial real estate databases that can inform zoning changes, formation downtown revitalization efforts, and comprehensive plan- • Monitoring of noise, lighting levels, bus headways, and ning. However, the fixed cost of some of these databases often other measures that allow local government and the puts them out of the reach of many communities. public to assess regulatory and service-level standards • Information services to allow citizens to access all government information GEOGRAPHIC INFORMATION SYSTEMS • Interactive services to allow citizens to apply for permits and report problems Geographic information systems (GIS) are used for collec- • Participatory government to engage the community tion, analysis, and modeling of spatial and geographic data. • Smartphone payment systems to replace cash, credit GIS comprises a number of components: hardware, such as cards, and fare cards for transit, parking, and other workstations and data collections devices; software, including public service fees GIS application packages, extensions and add-ons, software components, and web GIS software; data, primarily vector and raster data but also attribute and metadata; and GIS pro- SOCIAL MEDIA fessionals, including analysts and developers (Dempsey 2012). GIS is common in modern planning offices as the cost Social media is indispensable to the modern planning of- to implement GIS has decreased, the analytical skills of plan- fice. The International City/County Management Associa- ners have developed, and a wealth of data has become readily tion reports that 88 percent of all local governments in the available. And the applications in urban planning are numer- United States have a social media presence (ICMA 2015). At ous. In “Geographic Information Systems in Urban Planning” the very least, planning departments should have some kind (p. 97), Frank Stafford discusses the role of GIS in addressing of social media outlet to post information, follow community

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trends, and provide links to their websites. The applications willing to embrace technologies that provide opportunities will change, but creating a presence on social media makes for disruption and to think about how to do things differently planning accessible to the public and is critical for a planning and better rather than simply applying new technology to old office of any size. Larger offices may make an effort to be on processes. all of the most popular social media platforms and to aggres- The only thing that planners can reliably predict about sively use social media for community engagement. However, information technologies is that they will continue to evolve every office needs to create some presence. The discussion of rapidly, providing new opportunities and lowering the cost public engagement in Chapter 6 describes some of the ways in of what can be done today. At the same time, some emerg- which local planning departments use social media. ing technologies and software products may result in new costs for equipment like 3D printers and for software licenses. Some of these changes will develop slowly while others PRINTING will be immediately disruptive, requiring planners to adapt very quickly to changes in the way everyday operations are The cost of printers, color printers, large format printers, handled. Managers will need to keep abreast of trends and and, increasingly, 3D printing continues to drop, although have well-trained staff who can report regularly on new ap- the cost of consumables for all printers remains high. Most plications and tools that the department needs to adopt and departments have long since moved from outsourced print- implement in order to stay current. ing to in-house printing except for large press runs, 3D printing, and, for small departments, large-format printing. Conversely many departments have stopped printing publications like fact sheets and guidebooks and simply make documents available on the web, decreasing printing budgets and allowing on-demand printing of the most up-to- date versions of documents. Planners are now discovering increasingly affordable 3D printers and 3D print services. The ability to show models and alternatives to communities during any planning or permitting process—or better yet to engage in the public in hands- on design—makes this technology very exciting. Whether simply to create base models of existing conditions or to use it for what-if scenarios, 3D printing opens up a wealth of new planning opportunities. The City of Louisville, Kentucky, used 3D printers at a kickoff event for its new planning initiative, Vision Louisville. Staff created plastic models of buildings that community participants were then able to place on a map of the city (Jaffe 2012). In San Francisco, a real estate developer created a detailed 3D model of the city—one of the largest ever produced—at a much lower cost than producing a similar handcrafted model (Terdiman 2014).

TECHNOLOGY LOOKING FORWARD

For planning managers, new technologies highlight two seemingly contradictory approaches. The steady deliberative approach involves consistently evaluating new opportunities; this is the model of continuous improvement discussed earlier. At the same time, however, planners must also be equally

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GEOGRAPHIC INFORMATION SYSTEMS AND URBAN PLANNING Frank Stafford

The high installation and operational GIS is useful, for example, for moni- costs of geographic information sys- toring an area or conducting a feasibility tems (GIS) initially was a barrier to the study of a location for a specific purpose adoption of geospatial technologies in (e.g., assessing the suitability of a location the field of urban planning. A grid-based for the construction of a bridge or dam software system known as IMGRID was or even smaller structures like schools the strongest application in these early and hospitals). However, in cases where days. It focused mainly on mapping variants of a design or alternate plans are and less on analytical functions. As the being considered, GIS is supplemented price of hardware has decreased and the with more specialized equipment to user friendliness of GIS software has in- produce better results. creased, the use of GIS in urban planning Another example of the application has grown. Today, GIS has a multitude of of GIS is in environmental planning, and public- and private-sector planning ap- it is increasingly being used to address plications. problems of spatial modelling. Factors As the world continues to move such as the chemical, biological, topo- toward urbanization, the need for ef- graphical, and physical properties of an fective urban planning is more essen- area can be examined and considered tial than ever. However, urban planning using GIS. GIS analyses provide infor- has also become more complex, partly mation such as the environmental suit- because of the infrastructure already in ability of a site and the level and nature place—planners often do not have the of contamination. GIS can also be used liberty to modify existing infrastructure to ascertain the feasibility of an area for and instead have to work with it. In ad- waste disposal and treatment. Larger- dition, what could be achieved 50 years scale areas, like wetlands, can be easily ago through surveying is no longer suf- analyzed through GIS and remote sens- ficient. To achieve planning objectives ing technologies. today, highly specialized equipment, Early urban planners had to rely on advanced software, and skilled labor are the ideas of sociologists, designers, archi- necessary. tects, and economists to guide planning GIS is a powerful analytical and objectives. The advent of GIS changed modeling tool to address a wide array of this scenario and the possibilities of ur- urban planning problems and questions. ban planning. Today, GIS is not just a tool It has long been used to monitor differ- to capture and analyze spatial data but is ent geographic features for changes and also a valuable asset for decision making, trace patterns over time. It collects differ- policy development, and planning. ent kinds of spatial data in one system and allows users to examine different (The original version of this article, “GIS aspects of this information. Additionally, in Urban Planning,” was published on digital spatial information can be consid- GIS Lounge and is available at www ered in more varied and objective ways. .gislounge.com/gis-urban-planning) These factors in turn help planners understand conditions in an area and make informed planning and policy decisions.

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GEODESIGN AND PLANNING Shannon McElvaney, Community Development Manager, Esri, and David C. Rouse, faicp, Managing Director, Research and Advisory Services, American Planning Association

Our world is facing many challenges: graphic information systems—the com- tions, and real-time feedback to facilitate from extreme weather, population puterized systems by which we organize holistic designs and smart decisions” growth, urbanization, and globalization, and analyze geographic information to (McElvaney and Walker 2013). to increasing levels of social inequity, support wise decision making—is well environmental damage, and resource established in the planning world. De- Geodesign in Practice depletion. Never before has there been sign is about intent or purpose. A cre- To better understand how geodesign such a need for planners to anticipate ative act requiring imagination, design works, imagine assembling a team of future trends, propose solutions, and can produce something entirely new, or diverse stakeholders whose goal is to help communities and decision makers improve upon something that already improve public health by implementing make the most informed, wisest choices exists. It often requires the creation of a complete street guidelines. A transpor- possible. sketch or model, followed by an iterative tation engineer, a biking advocate, a sus- The following discussion explores process of rapid redesign and evaluation tainability director, an arborist, a health a new design approach that is rooted in of alternatives in order to attain the de- official, and a city planner all contribute the history of planning practice and en- sired result. valuable knowledge, including metrics abled by rapid advances in digital tech- Geodesign combines the best of that can be used to measure perfor- nology. This approach—called geode- both of these worlds, providing a new mance and help guide decision making. sign—provides a framework and set of way of thinking that integrates science A GIS analyst uses this information and tools for exploring issues from a trans- and values into the planning and design the local zoning code to create a set of disciplinary perspective and for resolv- process. In many ways, geodesign is the rules, a kind of city DNA that essentially ing conflicts between differing points of evolution of GIS, made possible by ad- encodes the team’s values directly into view. vances in technology — from so-called how the street might look, feel, and “cloud” computing and open data, to function as they suggest changes. And Introducing Geodesign distributed networks and sophisticated it is not one size fits all. The rules can be So exactly what is geodesign? In its modeling (Dangermond 2010). A short modified or recombined with any num- simplest form, geodesign is a made up definition well suited for planning was ber of other factors to allow the impacts of two words—geography and design. given at the American Planning Asso- of different design variations to be evalu- Geography is about place and processes, ciation’s National Planning Conference ated and discussed. the human and the natural, across both in 2013: “Geodesign is an iterative design Esri’s CityEngine, a three-dimen- space and time. It seeks to organize, un- method that uses stakeholder input, sional (3D) modeling software applica- derstand, and describe the world. Geo- geospatial modeling, impact simula- tion that specializes in the procedural

Figure 8.1. CityEngine’s complete streets rule allows planners to optimize a street scene across multiple variables (Esri)

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generation of 3D urban environments, and calming traffic by sketching in curb is such a city DNA generating tool. The extensions—lowers the predicted im- complete streets standards are just one pacts significantly, but not enough. An variation built into a set of procedural additional iteration is needed to meet rules that outline how the road, bike the team’s goals. lane, sidewalk, bus stop, and adjoining A decision is made to divide oppos- buildings might perform, much like your ing lanes with a median to further de- DNA instructs a protein to build muscle crease vehicle-related death and injury. (Figure 8.1). Someone then recommends changing Now imagine picking up a stylus the median type from concrete to a bio- and sketching the initial design for a swale planted with trees. These changes four-lane boulevard through a new area are sketched, and the dashboard reveals of town. As you sketch, a “dashboard” that the new design reduces runoff, non- (digital chart) provides “on-the-fly” as- point source pollution, and air pollutants sessment of the economic, social, and while also reducing injuries. The trees environmental impacts of the proposed provide added public health benefits, design, such as: such as shading of pedestrians and reduction of the urban heat island effect. • Construction and maintenance costs The geodesign team is satisfied with the of sidewalks and bikeways latest design. • Storm water runoff and nonpoint That is geodesign in practice. It al- source pollution lows the planner to receive near real- • Predicted vehicle related deaths and time feedback on the impacts of sketch injuries based on a 40-mph speed designs or policy decisions from GIS limit analyses being performed in the back- • Estimates of air pollutants and their ground. The vision of the geodesign impact on health and climate approach is to provide a fundamental • Heat island estimates alternative to the way planning and de- • Benefits of trees for carbon seques- sign are currently done, leading towards tration and stormwater reduction better solutions, better designs, and a better future. All these assessments have one thing in common. They are performed (Excerpt from “Geodesign and the Fu- using software that references geo- ture of Planning” by Shannon McElvaney graphic space: precise locations on the and David C. Rouse, PAS Memo, March/ earth that are influenced by the natu- April 2015) ral and built environment. This close coupling of design with geography is what sets geodesign apart from regular design. In this example, you might conclude from the assessment of the original boulevard design that the number of injuries and the amount of air pollutants are too high. The dashboard further reveals that certain design modifications — shield- ing pedestrians from vehicles by sketching trees between the road and sidewalk

www.planning.org AMERICAN PLANNING ASSOCIATION 99 CHAPTER 9 PLANNING LEADERSHIP This report began by discussing vision and so perhaps it is only fitting that it ends with reflections on leadership, since they are so strongly related. This chapter first explores leadership and lessons for planning managers and continues with a discussion of the planning office of the future. Ultimately, the best planning directors, mayors, managers, and leaders of a community are those with compelling visions and who are willing to take risks to fulfill those visions. The most successful are those who can share their visions and their communities’ visions in just a few sentences—the one-minute elevator pitch that inspires and brings along the community. Charisma in a planner is a great trait, but it definitely is not an essential one. Vision and an entrepreneurial risk-taking attitude, however, are irreplaceable.

It can be a long journey to get somewhere if leadership Local government planning leadership comes in many dif- does not know where it wants to go or cannot share its vision ferent forms and uses various approaches. There is not one with the community. As Kouzes and Posner (2009) point out, leadership style, and leaders should be comfortable with their “Being forward-looking—envisioning exciting possibilities individual leadership styles. Many leaders, for example, “lead and enlisting others in a shared view of the future—is the at- from behind” by focusing on coaching and collaboration. tribute that distinguishes leaders from non-leaders . . . The Such a leadership style, however, does not excuse leaders from only visions that take hold are shared visions—and you will having to make difficult decisions and take risks. Planning create them only when you listen very, very closely to others, leaders need to possess key characteristics that reflect great appreciate their hopes, and attend to their needs.” Although leaders: visionary and entrepreneurial perspectives, an open- their research is about leadership in general, it is especially ness to new ideas, the willingness to work collaboratively and applicable for both planning leadership and staff planners. to bring people together, a focus on problem solving (instead Converting the vision into a mission-driven operation of a focus on why problems cannot be solved), and the ability is the next step for planning managers. A mission-driven to generate enthusiasm and respect. operation may start with a mission statement, but it needs to be far more than just a statement. A mission needs to be the compass that drives the organization. Customer service, LESSONS IN PLANNING LEADERSHIP transparency, accountability, and all aspects of good government are part of planning, but an effective vision and mission Every successful planning leader needs to be able to bring a create a dynamic planning organization that can serve the vision alive, take risks, and bring an entrepreneurial perspec- community. Planning functions without an articulated mis- tive. The following are examples of effective leadership strate- sion guiding those functions create a vacuum that attracts a gies and approaches by local government planning leaders. de facto mission—one that usually does nothing that upsets Collaborate and lead, simultaneously. Shawn Warnke is the status quo and ultimately is not a mission that serves the the city manager of Tremonton, Utah. His portfolio includes community. work as a planner. Warnke has the ability to build community At the same time, the head of a department cannot be and collaboration and defer to his elected city council, while the only person articulating a vision and a mission and pro- at the same time being willing to be the first person in a room viding leadership. Many very good planners see themselves to take a position on an issue. When community members as technicians, and they may not always be great leaders. decided that they wanted to build a community splash park, Great planning managers, however, need to also be leaders. Warnke made sure that those efforts would be supported by

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the city while ensuring city needs were addressed. When a ers. I am passionate about my work in city planning, but hot-dog-and-ice-cream social related to a planning issue was I do not micromanage. I facilitate, guide, challenge, and a success, he immediately identified these events as a way to motivate through an open, transparent process. My goal is engage a community that had not traditionally been engaged. a win-win-win for the community, the neighborhood, and Share the vision. Doug Melnik is the chief sustainabil- the developer, whenever possible.” ity officer for the City of San Antonio, Texas. He previously Build consensus. Kathy Hersh is retired from her job as directed twin planning and sustainability portfolios for the director of community development for the City of Nashua, City of Albany, New York. Melnik helped deliver good city New Hampshire. Hersh’s work was critical in the revital- comprehensive and regional sustainability plans in Albany, ization of downtown Nashua and its waterfront and in gre- but perhaps, more importantly, he brought a passion for sus- enways and open-space preservation around the city. She tainability that is palpable and helped step up the level of demonstrated leadership through her clear and passionate community engagement. vision and never shied away from proposing new ideas. Most Inspire and empower. Nate West is the director of com- importantly, Hersh was a consensus builder and worked to munity and economic development in Port Angeles, Wash- bring the community to the table. ington. West can have very strong views on everything, but he brings a management style that engages stakeholders. West’s staff, the city council, the city manager, the boards, LEADERSHIP AHEAD and dozens of community groups are excited about solving problems, feel welcome at the table, and step up and take Planners are motivated by a love for their communities action. Activities include revitalization of the waterfront and the desire to make them stronger. They strive to be lead- and downtown and reinvention of the city by bringing the ers to serve their communities. But if they forget to manage community together, all while searching for the resources to and pay attention only to the details, all the visions and aspi- make things possible. rations may not come to fruition. While management should Just do it. Mercy Davison is the town planner for Nor- focus on the big ideas, the building of institutions is also es- mal, Illinois, with a portfolio including traditional planning sential to achieving real goals that benefit communities. In functions and all things green. As a one-person planning of- “The Planning Office of the Future” (p. 103), David Rouse fice for a town of 53,000, Davison could easily get lost in the describes the work of the American Planning Association’s weeds, but instead she stays focused on both the community Planning Office of the Future Task Force, which identified the vision and implementation. When Normal’s sustainability trends and principles that are shaping and will continue to plan identified the need for community gardens as a first step, shape the work and strategies of planning managers. she expanded her duties to ensure this was completed, making the plan’s first year a success. With strong town interest in bicycle planning, Davidson started attending the Wisconsin Bike Summit because Illinois did not have such an event. Af- ter three years, she organized the Illinois Bike Summit. She saw a gap and filled it, always working to get the community involved in these efforts. Collaborate and find the balance. Laura Carstens manages the planning services department of the City of Dubuque, Iowa. She has raised the profile of planning there by overseeing the creation of the first comprehensive plan in 60 years, establishing a unified development code, and launching downtown and riverfront restoration projects. Carstens’ leadership emphasizes communication, goal orientation, integrity, and collaboration. She has built teams with skills and ideas that complement her own, and she describes her management style as follows: “I try to be humble about my own skills and appreciative of the talents of oth-

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THE PLANNING OFFICE OF THE FUTURE David C. Rouse, faicp, Managing Director, Research and Advisory Services, American Planning Association

In 2014 William R. Anderson, president uitable access to and transparency in itating the transition from an economy of the American Planning Association the use of technology to engage and heavily reliant on steel manufacturing (APA), appointed a series of task forces inform the public; reevaluate practices, to more sustainable forms of develop- to make recommendations on critical tools, and approaches for dealing with ment, such as brownfield redevelop- issues for the planning profession. The environmental, economic, and social ment, transit-oriented development, Planning Office of the Future Task Force change; and assert the economic value and greenways that link neighborhoods was charged with reporting on planning of planning by setting targets, measur- to parks, trails, and riverfronts. management models for large and small ing outcomes, and understanding the Changing culture means reimag- jurisdictions, how technology is chang- dollars and cents of real estate develop- ining the internal dynamics of the plan- ing management and service provision, ment. ning office and how it interacts with and how to be more effective with fewer The task force then identified five the community—from nurturing en- fiscal resources. Chaired by Joseph Hor- principles to guide the planning office of trepreneurship and inspiring purpose- wedel, (also chair of APA’s City Planning the future in dealing with the above and driven work and lifelong learning to and Management Division), the task related trends. These principles are: developing creative office structures force included a mix of experienced that engage the community to utilizing practitioners and young planners just 1. Thinking big: Create, impart, and ex- mobile technology. For example, the entering the profession. It gathered in- ecute big ideas. Tallahassee-Leon County Planning De- put through a well-attended session at 2. Exercising leadership: Lead the partment encourages future-oriented the 2014 National Planning Conference community in addressing emerging “intrapreneurship” (employees taking in Atlanta, a survey of division members, issues and trends. on the mindset of entrepreneurs) within an online discussion forum, and a focus 3. Changing culture: Foster an innova- the department while creating a “cul- group of young planners. The task force tive, collaborative, and entrepreneur- ture of community” that welcomes staff made its final recommendations in a ial culture. input and ideas. (The Tallahassee-Leon report to the APA Board of Directors at 4. Implementing big ideas: Focus on County Planning Department received the 2015 National Planning Conference implementation and outcomes. the APA National Planning Excellence in Seattle. 5. Advancing equity: Be the voice for Award for a Planning Agency in 2014.) The task force began its work by equity and fairness. Implementing big ideas means identifying key trends that will impact establishing meaningful, measurable the work of public planning agencies Thinking big means creating ideas goals (including consideration of a over the next 5 to 10 years. These in- that are visionary and broad and, at “stretch” goal to take the organization clude demographic shifts caused by so- the same time, practical to implement. beyond its comfort zone), setting pri- cioeconomic trends and migration pat- Transformative examples in which plan- orities, and reporting regularly on prog- terns; the effects of technology on how ners played a key role include Boston’s ress. For example, the City of San Jose, people interact with each other, their Central Artery/Tunnel Project, Arling- California, set a very aggressive goal in institutions, and their service providers; ton County’s transit-oriented develop- its 2011 general plan to raise the jobs-to- the inadequacy of twentieth-century ment plans, and Oregon’s urban growth employee resident ratio from 0.8 to 1.3, planning practices to solve twenty-first- boundaries. and it actively tracks progress in terms century problems; and the need to Exercising leadership means of job growth and new employment for establish the value of planning in eco- getting close to decision makers and current residents (San Jose 2011). nomic and fiscal terms. To address these leading in different ways with different Advancing equity means mak- trends, planning agencies will need to segments of the community, including ing equity part of the values, goals, and monitor demographic changes in com- elected officials, citizens, and other agen- day-to-day activities of the planning munities and embrace these changes cies. For example, planners in Pittsburgh office; engaging the community in in- in internal organizations; promote eq- exercised community leadership in facil- novative and inclusive ways; and equi-

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tably and fairly “doing what planners do best.” Planning offices are uniquely positioned to address equity and fairness in an integrative manner through planning across scales (from comprehensive plans to neighborhood plans), functions (e.g., transportation and parks and open space plans), and implementation of projects. For example, Portland’s 2012 comprehensive plan has a “Framework for Equity” section that establishes strategies to achieve equitable outcomes (Portland 2012). The need for planners to be leaders is a common thread across these five principles. In a complex, rapidly changing world, planning agencies need to embrace and get out in front of change or risk becoming irrelevant. The positive takeaway is that the opportunity is great, as communities and other professions are increasingly looking for the creative problem-solving, integrated thinking, and collaborative approaches that the best planners provide. With the types of leaders profiled in this chapter, and many others who are accomplishing similar things, the planning office will have a bright future. In closing, I would like to acknowledge the exemplary leadership provided by task force chair Joseph Horwedel, who passed away in February 2016. Joe was a dedicated chair of APA’s City Plan- ning and Management Division and a devoted champion of APA and its divisions. He was former planning director of San Jose, California, and played a central role in the city’s growth and transforma- tion over three decades. Joe will be truly missed by his colleagues and friends.

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LOCAL PLANNING AGENCY MANAGEMENT PAS 582, APPENDIX A

APPENDIX A: SAMPLE ORGANIZATIONAL CHARTS

Planning and Community Development Department, City of Del Mar, California

A Planning and Community Development Director

P, P D E P P P

EsGil Corporation A , AIP MOE Engineering Planning Manager A Building O cial , AIP Clean Water Manager Senior Planner

S, AIP P MOE Engineering Building Inspector Senior Planner Code Enforcement II

N Associate Planner Building Technician

S Provisional Assistant Planner

I FY 2015-2016

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Planning Department, Town of Cary, North Carolina

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Planning Department, City and County of San Francisco

PLANNING COMMISSION HISTORIC PRESERVATION COMMISSION SECRETARY COMMISSION

PLANNING DIRECTOR

CURRENT CITYWIDE ENVIRONMENTAL ZONING ADMINISTRATION DIRECTOR’S PLANNING PLANNING PLANNING AND COMPLIANCE OFFICE

QUADRANT TEAMS GENERAL PLAN & POLICY ENVIRONMENTAL IMPACT ZONING ADMINISTRATOR’S FINANCE & GRANTS SPECIAL PROJECTS ANALYSIS OFFICE

PRESERVATION URBAN DESIGN TRANSPORTATION IMPACT CODE ENFORCEMENT INFORMATION TECHNOLOGY POLICY ANALYSIS

PLANNING INFORMATION DATA & ANALYSIS SFPUC TEAM OPERATIONS COMMUNICATIONS CENTER PIC

BUILDING DESIGN PLAN IMPLEMENTATION PERMIT TRACKING SYSTEM LEGISLATIVE AFFAIRS

HR & TRAINING August 2014

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APPENDIX B: PLANNING DEPARTMENT VISION AND MISSION STATEMENTS

City of Little Rock, Arkansas, Planning and Development to be a healthy, safe, attractive, and enjoyable place to live, (Mission Statement) work, or visit. We help plan the City’s form and character, To enhance the quality of life for the citizens of Little Rock support community values, preserve the environment, pro- by providing a Department which encourages quality mote the wise use of resources, and protect public health growth, development and redevelopment, and the stabili- and safety. zation of neighborhoods through a concentrated effort of Available at www.slocity.org/government/department planning, land use controls, historic preservation, permit- -directory/community-development. ting, and enforcement. Available at www.littlerock.org/citydepartments/planning City of Santa Clara, California, Planning and Zoning De- anddevelopment. partment (Mission Statement) We believe the residents and developers of Santa Clara City City of Los Angeles, California, Department of City Plan- are entitled to professional, efficient and accurate guidance ning (Strategic Plan 2010) from trained professionals in the areas of construction, ren- Mission Statement: We honor our heritage and shape our ovation and demolition, and planning of any and all prop- future by partnering with all Angelenos to transform Los erty within the city. Angeles into a collection of distinctive, healthy, and sustain- We are committed to provide such assistance to resi- able neighborhoods — the tapestry of a great city. dents and our fellow professionals in a courteous and timely Vision: We strive to create an efficient, effective, and manner. Therefore, the mission statement of the Planning sustainable organization that becomes the focal point for & Zoning Department shall be to provide knowledge and planning in Los Angeles; a trusted resource that provides service regarding local, state and federal building codes and innovative solutions, engages with the community, nur- standards in a manner, which supports our commitment to tures staff, and cultivates leadership. the safety of our residents and to the integrity of the depart- Available at http://cityplanning.lacity.org/Statements ment. /StrategicPlan_Web.pdf. We willingly participate in a program of continuing education and testing in order to keep our staff informed on City of Redondo Beach, California, Planning Depart- the latest techniques and requirements within the building ment (Mission Statement) trades industry as well as customer service and computer The Planning Department is committed to providing high- literacy. quality, proactive services and programs to enhance the In our performance of the duties we will bear witness quality of life of residents, businesses and visitors, and to to the realization of our mission and thereby warrant the promote a well-designed, physically integrated, livable and respect engendered to our department as professionals with prosperous community consistent with citizens’ long-range the community we serve. vision. Available at www.sccity.org/planning-and-zoning Available at www.redondo.org/depts/planning. -department-mission-statement.

City of San Luis Obispo, California, Community Devel- Madison County, Illinois, Planning and Development opment (Mission Statement) Department (Mission Statement) Our mission is to serve all persons in a positive and courte- It is the mission of Madison County Community Develop- ous manner and help ensure that San Luis Obispo continues ment to provide a progressive, responsive and timely de-

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velopment process that focuses on the public interest and To reflect the highest ethical and professional stan- results in a balanced, sustainable county. dards, and with enduring respect for our customers and the Madison County Community Development receives public trust. and administers Block Grants and other funds to facilitate Available at www.ci.keene.nh.us/departments/planning the development and preservation of affordable housing, to /mission-statement. aid in providing public services and facilities for low and moderate income citizens, and assisting in the creation Broome County, New York, Department of Planning and of employment and economic opportunities in Madison Economic Development (Mission Statement) County. The Broome County Department of Planning and Economic Available at www.co.madison.il.us/departments/community Development serves to promote the sound and orderly eco- _development/mission_statement.php. nomic and physical growth of Broome County and its con- stituent municipalities. It provides technical planning guid- Prince George’s County, Maryland, Planning Depart- ance and assistance to the County Executive and County ment (Mission and Vision Statements) Legislature and implements projects and programs designed Mission Statement: To help preserve, protect and manage the to improve the economy, environment, and physical infra- County’s resources by providing the highest quality planning structure of the county. The department extends professional services and growth management guidance and by facili- services to local municipalities and other public and private tating effective intergovernmental and citizen involvement entities in the areas of land use planning and zoning, grants- through education and technical assistance. manship, economic development, cartography, community Available at www.pgplanning.org/About-Planning. assistance, research, and infrastructure development. The Department of Planning and Economic Develop- City of Keene, New Hampshire (Planning Department ment consists of the following divisions: Mission Statement) To provide professional advice and technical expertise to • Planning and Economic Development elected officials, appointed boards and commissions, city • Geographic Information System/Mapping departments and citizens to assist in understanding and ad- • Environmental Management Council (EMC) dressing key community issues and priorities. • Binghamton Metropolitan Transportation Study (BMTS) To continue to focus on a long term commitment to economic vitality, environmental integrity, and development de- Available at www.gobroomecounty.com/planning. sign quality through the highest quality master plans, plan implementation and development review. City of Asheville, North Carolina, Planning and Urban To encourage: Design Department (Mission) The City of Asheville Planning and Development Depart- • planning principals that promote rational, economi- ment is dedicated to providing sound, professional land use cal and environmentally efficient use of land, to allow guidance as well as the highest level of technical and customer Keene to grow in a manner consistent with the goals of service to achieve safe and healthy residential neighborhoods the community and sustained economic growth. The department promotes • protection of the natural environment and the City of the orderly, harmonious use of land and improved quality of Keene’s critical and unique natural resources life for Asheville’s diverse community and future generations. • the utmost quality development and uses of the land Available at www.ashevillenc.gov/Departments/Planning through the application of conscientious regulations UrbanDesign. • identification and protection of land to maintain open space and the natural beauty of the City of Keene’s hill- City of Oklahoma City, Oklahoma, Planning Depart- sides, trails, woodlands and scenic vistas ment (Mission Statement) • both economic growth and the enhancement of Keene’s The Planning Department works to improve the welfare of quality of life, safe and efficient modes of transportation, people and the community by creating more convenient, eq- and identification of land suitable for all types of housing uitable, healthful, efficient, and attractive place for present for the City of Keene’s residents and future generations.

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That’s a big order and it requires involvement and in- City of Evanston, Wyoming, Planning and Development terest from the whole community. Planning enables civic (Mission and Vision Statements) leaders, businesses, and citizens to play a meaningful role in Vision Statement—The Planning and Development Depart- creating a great city that balances new development and es- ment offers a responsible vision for the future of the com- sential services, environmental protection, and innovative munity. This vision is shaped by citizen input, and com- change. munity values, goals, and objectives. Department policies Available at www.okc.gov/planning/. reflect creativity, practicality, and common sense. We promote quality of life for everyone. Metropolitan Government of Nashville and Davidson Mission Statement—The Mission of the Planning and County, Tennessee, Planning Department (Mission Development Department is to provide prompt, customer- Statement) friendly services. We offer advice, alternatives, and public The Planning Department provides design guidance, re- education within a profession setting. views zoning and subdivision applications, and shapes pub- Available at http://wy-evanston.civicplus.com/index lic policy related to growth and development. We are com- .aspx?NID=122. mitted to proactive, community-based planning founded on public participation, and to the building of livable, sustainable communities. Available at www.nashville.gov/Portals/0/SiteContent /Planning/docs/about/MissionStatement.pdf.

County of Sauk, Wisconsin, Planning and Zoning Department (Mission Statement) Protect the County: The Office of Planning and Zoning shall strive to protect and promote the health, safety and general welfare of all citizens and visitors of Sauk County and protect the environment and Sauk County’s physical and natural resources through the professional administration and equitable enforcement of all Sauk County codes and ordinances. Prepare for Tomorrow: The Office of Planning and -Zon ing shall strive to protect and enhance the County’s quality of life through the application of professional planning practices including actively soliciting the citizen’s views on the issues facing Sauk County. Educate the Citizens: The Office of Planning and -Zon ing shall strive to educate, inform, and assist all citizens of Sauk County in all facets of the physical and natural environment including the works and functions of this Office so as to involve all persons in defining the Sauk County of tomorrow. Ensure the Public Trust: The Office of Planning and Zoning shall strive to maintain, update and expand upon the staff’s knowledge and expertise in state-of-the-art planning practices and code enforcement techniques and to constantly upgrade staff professionalism and competence in public service and stewardship of the public trust. Available at www.co.sauk.wi.us/planningandzoningpage /planning-and-zoning-department-mission-statement.

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———. 2013. “UDM’s Detroit Collaborative Design Center Helps Build on Detroit’s Future.” Available at www.udmercy.edu/ news_events/news/by-year/2013/files/01-11-dcdc.htm. US Conference of Mayors, 2008. The US Conference of Mayors Climate Protection Agreement. Available at www.usmayors.org /climateprotection/documents/mcpAgreement.pdf. Vogel, Robert, Evelina Moulder, and Mike Huggins. 2014. “The Ex- tent of Public Participation: ICMA Survey Explores Public En- gagement and the Tenor of Civic Discourse.” PM, March. Avail- able at http://icma.org/en/press/pm_magazine/article/104159. Wackernagel, Mathis. 1994. “Ecological Footprint and Appropri- ated Carrying Capacity: A Tool for Planning Toward Sustain- ability.” PhD thesis, University of British Columbia. Wheeler, Stephen, and Timothy Beatley, eds. 2009. The Sustainable Urban Development Reader, Second Edition. New York: Rout- ledge. Whyte, William H., Jr. 1952. “Groupthink.” Fortune, July 22. Avail- able at http://fortune.com/2012/07/22/groupthink-fortune-1952/. Working Group on Legal Frameworks for Public Participation. 2013. Making Public Participation Legal. Available at http://icma .org/Documents/Attachment/Document/2739. World Bank, The. 2013.Crowdfunding’s Potential for the Devel- oping World. Available at www.infodev.org/infodev-files/wb _crowdfundingreport-v12.pdf. Zucker, Paul. 2007. ABZs of Planning Management, 2nd edition, San Diego: West Coast Publishers.

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ACKNOWLEDGMENTS

Thank you to the various people who contributed to the content of this report: Robert Ainsley, faicp, Orlando Neighbor- hood Improvement Corporation; Dyan Elizabeth Backe, aicp, City of Gaithersburg, Maryland; David Elvin, aicp, Pioneer Valley Planning Commission; Mark Hamin, University of Massachussetts, Amherst; Mark Hinshaw, Walker Macy; David B. Kittredge, University of Massachusetts, Amherst; Jeff Levine,aicp , City of Portland, Maine; Peter Lowitt, faicp, De- vens Enterprise Commission; Lisa MacKinnon, Dane County, Wisconsin; Shannon McElvaney, Esri; Joel Mills, American Institute of Architects; Marya Morris, faicp; Dory Reeves, University of Auckland; David C. Rouse, faicp, American Planning Association; Frank Stafford; Harris M. Steinberg, faia, Drexel University; Jonathan Tucker, Town of Amherst, Massachusetts; Nathan West, aicp, City of Port Angeles, Washington; Michele Wick, Smith College; Nicolas Zaferatos, aicp, Western Washington University; and Alicia Zatcoff, City of Richmond, Virginia.

A deep thank you is due to the Department of Landscape Architecture and Regional Planning at the University of Massachusetts, Amherst, for inspiring this project. This publication is an outgrowth of a graduate planning-tools-and- techniques class that I teach there. My students and I have benefited from the enormous body of literature on planning techniques. While there are some amazing resources, we found a relative scarcity of materials on planning management, especially about some of the newer trends. This report attempts to make some of this information more readily available to planning managers, practitioners, and planning students.

This report is dedicated to the memory ofJoseph Horwedel in recognition of his commitment and service as chair of the American Planning Association’s City Planning and Management Division and as planning director of San Jose, California.

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The Planning Advisory Service is a subscription service offered by the Cities in TransitionCities Research Department of the American Planning Association. Four reports are Cities in Transition: Working with produced each year. Subscribers also receive PAS Memo and PAS QuickNotes, E-Government A Guide for Practicing Planners Planning Consultants and they have access to the Inquiry Answer Service and other valuable benefits. American Planning Association American To learn more, visit www.planning.org/pas/index.htm. PAS Report Number 568 James M. Drinan, jd, Executive Director; David Rouse, faicp, Director of PAS 564 PAS 568 PAS 573 p a s r e p o r t 5 8 0 PAS 580 Joseph Schilling and Alan Mallach, faicp Eric Damian Kelly, faicp STREET GRAPHICS Jennifer Evans-Cowley, aicp, and Joseph Kitchen Revised Edition 2011 2012 2013 2015 Research; Camille Fink, phd, Senior Editor. AND THE LAW www.planning.org American Planning Association 105 pp. American Planning Association 168 pp. American Planning Association 100 pp. 144 pp. Planning Advisory Service Planning Advisory Service Planning Advisory Service Fourth Edition Report Number 564 Report Number 568 Report Number 573 American Planning Association Planning Advisory Service Daniel R. Mandelker, John M. Baker, and Richard Crawford $48 Report Number 568 $60 $48 $60 PAS Reports are produced in the Research Department of APA. E-Government Cities in Transition: A Guide for Working with Planning Street Graphics and the Law For missing and damaged print issues, contact Customer Service, Ameri- Jennifer Evans-Cowley, aicp, and Practicing Planners Consultants Daniel R. Mandelker, John M. can Planning Association, 205 N. Michigan Ave., Suite 1200, Chicago, IL Joseph Kitchen Joseph Schilling, and Eric Damian Kelly, faicp Baker, and Richard Crawford 60601 (312-431-9100 or [email protected]) within 90 days Alan Mallach, faicp of the publication date. Include the name of the publication, year, volume, and issue number or month, and your name, mailing address, and mem- This new edition shows how Most urban planning tools are This report shows not only how This guidebook points the way bership number, if applicable. to use today’s technologies to designed to manage growth. to hire a good consultant but to a better system of designing, engage citizens in the planning What happens when the how to be a good client—one displaying, and regulating signs. © March 2016 by the American Planning Association process and make services more process runs in reverse? Find who gets good value from the Completely updated, this new APA’s publications office is at 205 N. Michigan Ave., Suite 1200, efficient. The report looks at the workable, scalable strategies for investment in consulting ser- edition has the latest on the Chicago, IL 60601–5927. latest tools for streamlining rou- making transitional cities and vices. Learn about pointers for evolution of digital signs and APA’s headquarters office is at 1030 15th St., NW, Suite 750 West, ON THE COVER tine tasks, sharing information, inner-ring suburbs healthier and navigating the selection process the last word on legal points Washington, DC 20005–1503. and facilitating public outreach. more resilient. more smoothly. every planner should know. E-mail: [email protected] Photo by Juno Carlson, Omnitrans

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