The Living Landscape Living Landscape the Landscape SECOND EDITION

ARCHITECTURE / URBAN DESIGN / LANDSCAPE ARCHITECTURE STEINER The Living Praise for the second edition

of The Living Landscape Living Landscape The Landscape SECOND EDITION

“The Living Landscape offers a thoughtful and excellent examination of how we can understand, analyze, and interpret the landscape as interacting physical, biological, and An Ecological Approach to Landscape Planning cultural systems. This book is unique because of the emphasis the author places on understanding the landscape in terms of relationships among these systems. The Living Landscape is a useful and timely contribution to the growing body of knowledge on ecological planning.”

—Forster Ndubisi, professor and department head, Department of Landscape Architecture and Urban Planning, Texas A & M University

“Frederick Steiner demonstrates how an organized and clear model of ecological planning can be a useful tool for planners to deal with projects at different scales and with different natural and human components.”

—Danilo Palazzo, associate professor of urban design, Politecnico di Milano

The Living Landscape is a manifesto, resource, and textbook for architects, landscape architects, environmental planners, students, and others involved in creating human communities. Since its ﬁrst edition, published in 1990, it has taught its readers how to develop new-built environments while conserving natural resources. No other book presents such a comprehensive approach to planning that is rooted in ecology and design. And no other book offers a similar step-by-step method for planning with an emphasis on sustainable development. This second edition of The Living Landscape offers Frederick Steiner’s design-oriented ecological methods to a new generation of students and professionals.

FREDERICK STEINER is dean and Henry M. Rockwell Chair, School of Architecture, University of Texas at Austin. He is the author of several books, including Human Ecology: Following Nature’s Lead (Island Press, 2002) and The Essential Ian McHarg (Island Press, 2006). SECOND EDITION

Cover design by Ed Atkeson/Berg Design Cover photo by AVTG, iStockphoto.com

Washington • Covelo • London FREDERICK STEINER www.islandpress.org All Island Press books are printed on recycled, acid-free paper. With a new preface by the author

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ABOUT ISLAND PRESS

Island Press is the only nonprofit organization in the United States whose principal purpose is the publication of books on environmental issues and natural resource management. We provide solutions-oriented information to professionals, public officials, business and community leaders, and concerned citizens who are shaping responses to environmental problems. Since 1984, Island Press has been the leading provider of timely and practical books that take a multidisciplinary approach to critical environmental concerns. Our growing list of titles reflects our commitment to bringing the best of an expanding body of literature to the environmental community throughout North America and the world. Support for Island Press is provided by the Agua Fund, The Geraldine R. Dodge Foundation, Doris Duke Charitable Foundation, The Ford Foundation, The William and Flora Hewlett Foundation, The Joyce Foun- dation, Kendeda Sustainability Fund of the Tides Foundation, The Forrest & Frances Lattner Foundation, The Henry Luce Foundation, The John D. and Catherine T. MacArthur Foundation, The Marisla Foundation, The Andrew W. Mellon Foundation, Gordon and Betty Moore Foundation, The Curtis and Edith Munson Foun- dation, Oak Foundation, The Overbrook Foundation, The David and Lucile Packard Foundation, Wallace Global Fund, The Winslow Foundation, and other generous donors. The opinions expressed in this book are those of the author(s) and do not necessarily reflect the views of these foundations. THE LIVING LANDSCAPE

THE LIVING LANDSCAPE An Ecological Approach to Landscape Planning

Second Edition

Frederick Steiner University of Texas at Austin

Washington • Covelo • London The Living Landscape, Second Edition

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Steiner, Frederick R. The living landscape : an ecological approach to landscape planning / Frederick Steiner. — 2nd ed. p. cm. Originally published: New York : McGraw Hill, c2000. Includes bibliographical references and index. ISBN-13: 978-1-59726-396-2 (pbk. : alk. paper) ISBN-10: 1-59726-396-6 (pbk. : alk. paper) 1. Land use—Planning. 2. Land use—Environmental aspects. 3. Landscape architecture. 4. Landscape protection. I. Title. HD108.6.S74 2008 333.73′17—dc22 2007049541

Printed on recycled, acid-free paper

Manufactured in the United States of America 10 9 8 7 6 5 4 3 2 1

Keywords: biodiversity conservation, charrettes, ecological planning, farmland protection, geographic information systems, growth management, human communities, land conservation, land use planning, landscape architecture, neighborhood planning, participatory planning, regional planning, site design, suitability analysis, urbanization, watershed planning, wildlife planning To Anna Copyright notices: Planning Association, 122 S. Michigan Ave., Suite 1600, Chicago, IL 60603-6107. Page 9: Excerpt from “Think Little” in A Continuous Harmony, copyright Page 229: Excerpt from Paul Davidoff and Thomas Reiner, “A Choice © 1972, 1970 by Wendell Berry, reprinted by permission of Harcourt Theory of Planning.” Reprinted by permission of the Journal of the Amer- Brace Jovanovich. ican Institute of Planners 28(May): 102–115, 1962. Page 14: Excerpt from Thomas Dunne and Luna B. Leopold, Water in En- Page 243: Excerpt from Morris Hill, “A Goals-Achievement Matrix for vironmental Planning, copyright © 1978 by W. H. Freeman and Com- Evaluating Alternative Plans.” Reprinted by permission of the Journal of pany. Used with permission. the American Institute of Planners 34(1): 19–28, 1968. Pages 23–24: Excerpt from Charles F. Wilkinson and H. Michael Ander- Page 243: Excerpt from Donald Miller, “Project Location Analysis Using son, “Land and Resource Planning in National Forests,” Oregon Law Re- the Goals-Achievement Methods of Evaluation.” Reprinted by permis- view 64(1), 1985. Reprinted by permission. Copyright © 1985 by Univer- sion of the Journal of the American Planning Association 46(2): 195–208, sity of Oregon. 1980. Page 30: Excerpt from Richard S. Bolan, “Social Planning and Policy Devel- Pages 243–244: Excerpts from Larry Hirschhorn, “Scenerio to Writing: A opment,” in Frank S. So, Israel Stollman, Frank Beal, and David S. Arnold Developmental Approach.” Reprinted by permission of the Journal of the (eds.) The Practice of Local Government Planning, 1979. Reprinted with per- American Planning Association 46(2): 172–183, 1980. mission of the International City Management Association, 777 N. Capitol Pages 271–272: Excerpt from William R. Lassey, Planning in Rural St. N.E., #500, Washington, DC 20002-4201. Environments, copyright 1977 by McGraw-Hill, Inc. Reprinted with Page 34: Excerpt reprinted from Applied Geography, 15, Robert C. de permission. Loe, p. 58, copyright 1995, with permission from Elsevier Science. Pages 325–327: Figures 9.34, 9.35, 9.36, 9.37, 9.38, 9.39 granted with per- Pages 35 and 168: Excerpts from Don A. Dillman, Mail and Telephone mission from A Region at Risk, Robert D. Yaro and Tony Hiss, © Regional Surveys: The Total Design Method, copyright © 1978 by John Wiley & Plan Association, 1996. Published by Island Press, Washington, DC, and Sons, New York. Covelo, CA. Pages 39 and 353: Excerpts from John Reps, Town Planning in Frontier Pages 332 and 353: Excerpts from Philip P. Greene, Jr., “Land Subdivi- America. Copyright © 1969 by Princeton University Press. sion,” and Robert M. Leary, “Zoning,” in William I. Goodman and Eric C. Freund (eds.) Principles and Practices of Urban Planning, 1968. Reprinted Pages 39–40: Excerpt from Efraim Gil and Enid Lucchesi, “Citizen Partic- with permission of the International City Management Association, 777 ipation in Planning,” in Frank So, Israel Stollman, Frank Beal, and David N. Capitol St. N.E., #500, Washington, DC 20002-4201. S. Arnold (eds.) The Practice of Local Government Planning, 1979. Reprinted with permission of the International City Management Asso- Page 339: Excerpt from John A. Humphreys, “Breckenridge, Point Sys- ciation, 777 N. Capitol St. N.E., #500, Washington, DC 20002-4201. tems: Keeping Score” (vol. 55, no. 10, pp. 23–25). Reprinted with permission from Planning magazine, copyright 1985 by the American Planning Page 52: Excerpt from Fundamentals of Ecology, 3d ed., by Eugene P. Association, 122 S. Michigan Ave., Suite 1600, Chicago, IL 60603-6107. Odum, copyright © 1971 by Saunders College Publishing, a division of Holt, Rinehart & Winston, Inc., reprinted by permission of the publisher. Pages 342–343: Reproduced by permission of the Smithsonian Institu- tion Press from Planning Conservation for Statewide Inventories of Critical Page 64: Figure 3.7 from Physical Geology, Richard Foster Flint and Brian Areas: A Reference Guide (Report Three). Center for National Areas, J. Skinner, copyright © 1974, John Wiley & Sons, Inc. Reprinted by per- Smithsonian Institution. © Smithsonian Institution, Center for Natural mission of John Wiley & Sons, Inc. Areas, 1974. Page 68: Excerpt reprinted from Landscape Planning, 3d ed., William M. Page 367: Excerpt from Stuart M. Butler, “Enterprise Zone Theorist Calls Marsh, copyright © 1983, 1991, 1998, John Wiley & Sons, Inc. Reprinted for Unplanning” (vol. 47, no. 2, p. 6). Reprinted with permission from by permission of John Wiley & Sons, Inc. Planning magazine, copyright 1981 by the American Planning Associa- Page 103: Figure 3.38 reprinted from Biotic Communities: Southwestern tion, 122 S. Michigan Ave., Suite 1600, Chicago, IL 60603-6107. United States and Northwestern Mexico, David E. Brown, ed. Courtesy Page 373: Excerpt from William Toner, “Saving Farms and Farmlands: A The University of Utah Press. Community Guide.” Reprinted with permission from PAS Report No. Pages 110 and 170: Excerpts reprinted by permission of the publishers 333: “Saving Farms and Farmlands: A Community Guide,” copyright from Looking at Cities by Allan B. Jacobs, Cambridge, Mass.: Harvard 1978 by the American Planning Association, 122 S. Michigan Ave., Suite University Press, copyright © 1985 by the President and Fellows of Har- 1600, Chicago, IL 60603-6107. vard College. Page 390: Excerpt from Frank S. So, “Finance and Budgeting,” in Frank Page 158: Figure 4.3 from Henry C. Hightower, “Population Studies,” in So, Israel Stollman, Frank Beal, and David S. Arnold (eds.) The Practice of William I. Goodman and Eric C. Freund (eds.) Principles and Practice of Local Government Planning, 1979. Reprinted with permission of the In- Urban Planning, 1968. Reprinted with permission of the International ternational City Management Association, 777 N. Capitol St. N.E., #500, City Management Association, 777 N. Capitol St., N.E., #500, Washing- Washington, DC 20002-4201. ton, DC 20002-4201. Page 411: Excerpt from Richard E. Klosterman, “Foundation for Norma- Page 190: Excerpt from Steven I. Gordon and Gaybrielle E. Gordon, “The tive Planning.” Reprinted by permission of the Journal of the American In- Accuracy of Soil Survey Information for Urban Land-use Planning.” stitute of Planners 44(1): 37–46, 1978. Reprinted by permission of the Journal of the American Planning Associa- Page 412: Excerpt from The City in History copyright © 1961 and re- tion 47(3): 301–312, 1981. newed 1989 by Louis Mumford, reprinted by permission of Harcourt Page 204: Excerpt from Lewis D. Hopkins, “Methods for Generating Land Brace Jovanovich. Suitability Maps: A Comparative Evaluation.” Reprinted by permission of Page 412: Excerpt from Fremont E. Kast and James E. Rosenzweig, Orga- the Journal of the American Institute of Planners 43: 386–400, 1977. nization and Management: A Systems and Contingency Approach, copy- Page 217: Excerpt from Devon M. Schneider, David R. Godschalk, and right 1974 by McGraw-Hill, Inc. Reprinted with permission. Norman Axler, “The Carrying Capacity Concept as a Planning Tool.” Page 416: Excerpt use granted with permission from A Region at Risk, Reprinted with permission from PAS Report No. 338: “The Carrying Ca- Robert D. Yaro and Tony Hiss, © Regional Plan Association, 1996. Pub- pacity Concept as a Planning Tool,” copyright 1978 by the American lished by Island Press, Washington, DC and Covelo, CA. CONTENTS

PREFACE TO SECOND EDITION xiii Citizens’ Advisory Committees and Technical PREFACE TO FIRST EDITION xvii Advisory Committees 29 ACKNOWLEDGMENTS xix Neighborhood Planning Councils 29 Group Dynamics 30 CHAPTER 1 INTRODUCTION 3 Nominal-Group Workshops 31 Focus Groups 31 BASIC CONCEPTS 4 Delphi 33 THE TRADITIONAL FRAMEWORK OF PLANNING IN Policy Delphi 34 THE UNITED STATES 5 Public Opinion Polls 35 Town Meetings and Public Hearings 38 A NEW APPROACH 9 GOAL SETTING 40 ECOLOGICAL PLANNING METHOD 9 Step 1: Identification of Planning Problems and TWO EXAMPLES OF GOAL-ORIENTED Opportunities 12 PLANNING 41 Step 2: Establishment of Planning Goals 12 The Oregon Comprehensive Planning Law 41 Step 3: Landscape Analysis, Regional Level 13 The New Jersey Pinelands Comprehensive Step 4: Landscape Analysis, Local Level 14 Management Plan 45 Step 5: Detailed Studies 16 Step 6: Planning Area Concepts, Options, CHAPTER 3 INVENTORY AND ANALYSIS and Choices 18 OF THE BIOPHYSICAL Step 7: Landscape Plan 20 ENVIRONMENT 51 Step 8: Continued Citizen Involvement and Community Education 20 MAKING A BASE MAP AND A REGIONAL CONTEXT Step 9: Design Explorations 21 MAP 53 Step 10: Plan and Design Implementation 21 Major sources of information 55 Step 11: Administration 23 INVENTORY ELEMENTS 55 WORKING PLANS 23 Regional Climate 56 Summary of regional climate inventory elements 62 Major sources of information 62 CHAPTER 2 IDENTIFYING ISSUES AND Earth 62 ESTABLISHING PLANNING Summary of geologic inventory elements 65 GOALS 27 Major sources of information 67 Terrain 67 TECHNIQUES FOR INVOLVING PEOPLE IN THE Summary of physiography inventory elements 71 IDENTIFICATION OF ISSUES AND THE Major sources of information 71 ESTABLISHMENT OF GOALS 28 Water 71 Task Forces 28 Summary of hydrologic inventory elements 85

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Major sources of information 85 ANALYSIS AND SYNTHESIS OF SOCIAL Soils 86 INFORMATION 171 Summary of soils inventory elements 94 Establish Visual and Landscape Patterns 171 Major sources of information 95 Urban Morphology 173 Microclimate 95 Identification of Interactions and Relationships 173 Summary of microclimate inventory elements 99 Community Needs Assessment 175 Major sources of information 99 Vegetation 99 TWO EXAMPLES OF HUMAN COMMUNITY Summary of vegetation inventory elements 104 INVENTORY AND ANALYSIS 176 Major sources of information 104 New Jersey Pinelands Comprehensive Wildlife 104 Management Plan 176 Summary of wildlife inventory elements 107 The Biodiversity Plan for the Camp Pendleton Major sources of information 107 Region, California 178 Existing Land Use and Land Users 107 Summary of existing land-use and land-user elements 115 CHAPTER 5 SUITABILITY ANALYSIS 187 Major sources of information 115 ANALYSIS AND SYNTHESIS OF INVENTORY APPROACHES TO SUITABILITY ANALYSIS— INFORMATION 115 METHODS 188 Bivariate Relationships 116 Natural Resources Conservation Service Systems 188 Layer-Cake Relationships 120 Land Evaluation Value 191 The Holdridge Life-Zone System 120 Site Assessment Value 192 Combining the LE and SA Systems 194 TWO EXAMPLES OF BIOPHYSICAL INVENTORY Modified LESA System 194 AND ANALYSIS 122 Use of LESA at the Federal Level 198 The New Jersey Pinelands Comprehensive The McHarg, or University of Pennsylvania, Suitability Management Plan 123 Analysis Method 200 The Biodiversity Plan for the Camp Pendleton Dutch Suitability Analysis 207 Region, California 130 COMPUTER APPLICATIONS 213 THE CARRYING-CAPACITY CONCEPT 217 CHAPTER 4 HUMAN COMMUNITY TWO APPLICATIONS OF SUITABILITY ANALYSIS 219 INVENTORY AND ANALYSIS 141 The Development of Performance Requirements in SOURCES OF EXISTING INFORMATION 143 Medford Township, New Jersey 219 Land-Use Maps and Settlement Pattern Diagrams 143 Locating Areas for Rural Housing in Whitman Histories 145 County, Washington 220 Census Data 148 Newspapers and Periodicals 148 CHAPTER 6 PLANNING OPTIONS Phone Books 148 AND CHOICES 229 Community Organizations and Clubs 149 Colleges and Universities 149 OPTIONAL PLANS 230 Government and Public Agencies 149 TECHNIQUES FOR SELECTING PREFERENCES 235 Synopsis of Information Sources 149 The Charrette 235 USE OF EXISTING DATA TO GENERATE NEW The Charrette Process 236 INFORMATION 149 Charrette Groundwork 237 Introduction to Planning Area, Introduction Population Trends, Characteristics, and to Participants 237 Projections 150 The Teams 238 Trends 150 Team Instructions 240 Characteristics 153 Citizen Interviews 240 Projections 153 Brainstorming and Synthesis 240 Development Projections 159 Outcomes from the Charrette 241 Economic Analyses 161 Task Forces, Citizens’ Advisory Committees, and User Groups 165 Technical Advisory Committees 241 GENERATION OF NEW INFORMATION 167 Citizen Referendum and Synchronized Surveys 242 Mail and Telephone Surveys 167 Goals-Achievement Matrix 243 Face-to- Face Interviews 169 Scenario Writing 243 Participant Observation 170 Public Hearings 244 xi CONTENTS

TWO EXAMPLES OF SELECTING PREFERENCES 245 Phase 1 305 Portland, Oregon, Alternative Land-Use Plans 245 Phase 2 308 The Biodiversity Plan for the Camp Pendleton Region, Summary of the Concept Design 310 California 247 DEMONSTRATION PROJECTS 311 INNOVATIVE DESIGN PROJECTS 314 CHAPTER 7 LANDSCAPE PLANS 253 TWO EXAMPLES OF DETAILED DESIGN 317 RECOGNITION AND ADOPTION OF PLAN 255 Connecticut River Valley, Massachusetts 317 STATEMENT OF POLICIES 257 New York–New Jersey–Connecticut Metropolitan Region 321 STRATEGIES TO ACHIEVE POLICIES 259 LANDSCAPE PLAN MAP 260 PLAN ELEMENTS AND ORGANIZATION 261 CHAPTER 10 PLAN AND DESIGN TWO EXAMPLES OF PLANS 264 IMPLEMENTATION 329 Comprehensive Management Plan for the New Jersey POWER TO REGULATE 330 Pinelands 264 Zoning 330 Teller County/City of Woodland Park, Colorado, Growth Planned Unit Developments (PUDs) 334 Management Plan 266 Performance Standards 334 Design Guidelines and Controls 339 CHAPTER 8 CONTINUING CITIZEN Critical or Environmentally Sensitive Areas 339 INVOLVEMENT AND Floodplain Management 344 COMMUNITY EDUCATION 271 Wetland and Riparian Area Protection 346 Federal Wetlands Protection 347 CITIZEN INVOLVEMENT 272 General State Responses 348 CLASSIFICATION OF CITIZEN PARTICIPATION Habitat Conservation Plans 349 TECHNIQUES 274 Historic Preservation 352 Subdivision Regulations 353 CONTINUING COMMUNITY EDUCATION 275 Building Codes 355 Information and Education 275 Covenants 357 Publications 277 Television and Radio 278 POWER TO CONDEMN AND TO EXACT 358 Impact Fees and Land Dedications 358 TWO EXAMPLES OF EDUCATION PROGRAMS 279 POWER TO SPEND 359 University of Wisconsin–Extension Community Easements 359 Economic Development Program 279 Development Rights Purchase and Transfers 360 The Blueprint for a Sustainable Bay Area 285 Capital Improvement Programming 364 Public Land Management 365 CHAPTER 9 TESTING PLANNING CONCEPTS POWER TO TAX 366 THROUGH DESIGN 291 INTERAGENCY COORDINATION FOR GROWTH MANAGEMENT 367 SITE DESIGN 292 PROGRAM LINKAGE AND CROSS- INDIVIDUAL LAND-USER DESIGNS: FARM AND COMPLIANCE 369 RANCH CONSERVATION PLANS 293 NONGOVERNMENTAL STRATEGIES 369 SIMULATION 295 DESERT VIEW TRI-VILLAGES CONCEPTUAL DESIGN FROM CHARRETTES 296 IMPLEMENTATION 370 La Lomita Charrette 298 Desert Overlay 370 Common Themes from the La Lomita Charrette 298 Suburban Desert Overlay 371 Building Codes 299 Community Gardens 300 IMPLEMENTATION MATRIX 371 Housing Possibilities 300 THREE EXAMPLES OF PLANNING Solar Energy 300 IMPLEMENTATION 373 Arroyo Vista Charrette 301 Innovative Zoning for Agricultural Land Protection CONCEPTUAL DESIGN OF NEW FACILITIES 304 in York County, Pennsylvania, and Black Hawk The Concept Design 305 County, Iowa 373 xii CONTENTS

Scottsdale, Arizona, Environmentally Sensitive Lands Fiscal Impact Analysis 399 Ordinance 377 Social Impact Analysis 402 TWO EXAMPLES OF PLANNING CHAPTER 11 ADMINISTRATION OF ADMINISTRATION 404 PLANNING PROGRAMS 381 Portland, Oregon, Regional Growth Management Planning 404 CURRENT PLANNING 382 The Tucson WASH Ordinance and Environmental The Role of Planning Commissions and Resource Zone 407 Review Boards 382 The Role of Planning Staffs 383 The Impact of Procedural Requirements 385 CHAPTER 12 CONCLUSION 411 THE BUDGET 385 Planning, Programming, and Budget System APPENDICES 419 (PPBS) 385 GLOSSARY 425 Program Strategies 387 Capital Improvement Programming 390 ACRONYMS 437 ENVIRONMENTAL IMPACT ASSESSMENTS 391 BIBLIOGRAPHY 439 Environmental Impact Analysis 394 INDEX 459 Economic Impact Analysis 396 PREFACE TO SECOND EDITION

Communities in the United States and around the gions. The movement of people to cities and metro- world face dramatic change in the twenty-first cen- politan regions involves the transformation of spaces tury, driven largely by population dynamics and from rural and natural to urban and suburban, the consumption, urbanization, and global and regional urbanization of the wild, the abandonment of the environmental processes. We know, for instance, cli- rural, and the recovery of older urban neighbor- mate is changing globally and locally. How land and hoods. Here are some key questions related to both other resources are used and consumed influence population growth and urbanization: those climatic changes. Population growth and migration will change • Why do people choose to live where they do? the demographic structure of the planet. At the be- • What policies direct/affect growth and devel- ginning of the twentieth century, our planet was opment? home to some 2 billion inhabitants. Currently, over • What are the long-term impacts of these poli- 6.6 billion people live on Earth. The United Nations cies? projects the world’s population to plateau at 9.4 bil- • What knowledge is necessary to inform inter- lion by the year 2050, then creep up to 10.4 billion ventions designed to mitigate those impacts? by 2100. On Tuesday, October 17, 2006, the United States Various new technologies increase our ability to welcomed our 300,000,000th resident. Our popula- connect with each other and with vast amounts of tion is growing both naturally and through immi- information. New connecting networks and infor- gration. We expect to reach 400 million people in mation systems will alter landscapes and communi- 2043, if current trends continue. ties, the transfer of knowledge, time, social relation- We live in the first urban century. For the first time ships, and education. Connecting technologies—the in human history, half of the world’s population live automobile and the Internet—may also divide peo- in metropolitan regions. In the future, even more ple and, thus, further fragment landscapes and com- people will move to cities. Global urban populations munities. We constantly attempt to connect through are expected to double by 2030. By 2050, two-thirds information and transportation technologies. Con- of the people in the world will be living in urban re- nectivity will continue to transform human society,

xiii xiv PREFACE

but how? Some queries we could use to find answers ous consequences, while taking strategic advantage are the following: of opportunities. We are biological creatures who depend on the • What will cities look like when people do not living landscape to sustain us. We interact with each have to be close to each other for commercial other and with our physical environments. Plants reasons? and animals are affected by our actions, and our ex- • How will business, educational, and public in- istence is impacted by plants and animals. We exist stitutions be affected? within complex sets of interactions—that is, we live • How will connectivity affect use, knowledge, in an ecological world. experience, and perception of our built envi- Learning to perceive the world as a never-ending ronments? system of interactions—that is, to think about our surroundings and our relationships with our envi- Questions like these are being addressed by re- ronments and each other ecologically—is challeng- searchers in various disciplines. There is not a lack ing. Such perceptions force us to rethink our views of attention to the questions, but cohesiveness in of economics, politics, and business. It suggests dif- providing the answers is missing. The planning pro- ferent ways to plan and design communities and re- fession can bring threads together from different gions. In economics, for example, an ecological view disciplines in ways that other professions cannot. suggests a much more complex set of relationships Planning is based on linking knowledge from di- than supply and demand: supply of what, from verse fields to action. Plans, however, need to be re- where, and at what cost, not only in dollars but in alized and this can be accomplished creatively by ar- relation to other species and other generations. chitects and landscape architects. This book is intended for planners, architects, Global environmental processes also drive land- landscape architects, and others engaged in creating scape changes and adaptations. Climate-change human communities. My thesis is that we can learn trends are well known. Increased carbon dioxide in from our natural surroundings to plan for change. the atmosphere changes rainfall, cloudiness, wind In doing so, we can create more livable built envi- strength, and temperature. For example, these ronments while protecting natural environments. changes already influence the life cycles of polar Landscapes, as a synthesis of human and natural bears in the Arctic; cause small islands to disappear processes, provide an ideal scale for such planning. in the South Pacific, as the calamities of nature in- Henry David Thoreau observed that “the earth crease; and, with less and less cloud cover to support was the most glorious instrument, and I was audi- moisture-dependent species, cause rain forest island ence to its strains.” Those concerned with planning habitats around mountaintops in Costa Rica to de- have a responsibility to play that instrument with crease in area annually. care and precision. I hope that The Living Landscape In addition to global climate changes, local cli- will help in this quest. mates are changing as regions undergo urbanization and suburbanization. The urban heat island effect results as more surfaces are paved over. As we Guide to the Second Edition learn more about such drivers from the global to local scales, we can adjust our city and regional Throughout this edition, I have updated informa- plans and community designs to mitigate deleteri- tion and expanded sections. For example, I have ex- xv PREFACE

panded the discussions of regional-level landscape include urban morphology, remote sensing, design inventories and the takings/givings issue. Scant in- guidelines, floodplain management, wetlands and formation about geographic information systems riparian area protection, habitat conservation plans, (GIS) was included in the first edition; this edition and historic preservation. includes many GIS examples. Two additional techniques for citizen participation, policy Delphi and Frederick Steiner focus groups, are introduced, while charrettes re- Austin, Texas ceive more attention. Other new or expanded topics June, 2007

PREFACE TO THE FIRST EDITION

Two fundamental reasons to plan are to influence modate housing that is affordable? Can new com- equitable sharing among people and to ensure the munities be designed that are safe, healthy, and viability of the future. Because we cannot function beautiful? How can existing communities be revital- by ourselves, each of us is required to share time and ized and restored? Where can new development and space. Sharing is necessary for the well-being of our open space be located in the existing built-up areas neighbors and of future generations. This book is of metropolitan regions? Can we dispose of our haz- about a specific kind of planning; it is about how to ardous and solid waste in a responsible manner? share physical space in communities. What about the alternatives of recycling our waste The rather abstract notion of human spatial or- or simply using fewer hazardous products? How do ganization manifests itself in the use of land. But the we protect prime agricultural areas in urbanizing term land use oversimplifies the organization of hu- regions? man communities. Landscape I find to be a better Agriculture and urban uses often conflict, as do word. Working with landscapes, planners can begin many old and new uses—retirement communities to understand the connectivity of settlement pat- and mining, tourism and timber harvesting. Must terns and functions over time and space. The lines such old and new uses always conflict? People often between urban and rural as well as between natural move to suburban and rural areas for open space and and cultural have become blurred, if indeed such recreational amenities. In addition to causing prob- lines were ever clear. With the intermixing of the lems for existing inhabitants, the new land uses distinctions between urban/rural and natural/cul- created by the new residents often disrupt wildlife tural, understanding landscapes from a spatial, habitats and other environmentally sensitive areas. functional, and dynamic perspective becomes a key How do we plan open space that will allow both to balancing conflicting uses of land, water, and air. recreational uses and wildlife habitat? Sometimes The landscapes of this planet need help. Con- new land uses are sited in areas that are susceptible flicts over the use of land and about environmental to natural hazards. Can we use our growing knowl- and social degradation abound. Complex and often edge about earthquakes, forest fires, hurricanes, and seemingly contradictory questions must be ad- flooding to direct human uses to the safest locations? dressed: Where should new communities be lo- In seeking to address these questions, it is tempt- cated? How do new community developers accom- ing to adopt a global perspective. Certainly many

xvii xviii PREFACE TO THE FIRST EDITION

issues that prompt these questions exist internation- To more fairly share the bounty of natural really. But, because the legal, political, economic, and sources in the United States, we must ask: Who suf- cultural forces vary widely from nation to nation, I fers and who benefits from our decisions? In making have chosen to focus on planning in the United and adopting public policy, we must analyze who States. The citizens of the United States share a com- benefits and who pays for the decisions that elected mon boundary and cultural heritage with Canadi- leaders make. This book presents a framework for ans. Canada made many advances in environmental presenting information to decision makers. The planning during the 1980s, when the national lead- preparation of the book grew out of my need to ex- ership in the United States retreated from environ- plain the planning process to my students. Most of mental concerns. Because I have been influenced by these students have pursued degrees in planning, Canadian policy and because several Canadian col- landscape architecture, and environmental science, leagues have read and reviewed portions of this but they and I have been enriched by others from book in its manuscript form, I hope that some geography, architecture, soil science, forestry, civil Canadians may find it useful for their work. I also engineering, business, and sociology. Although hope that my international work filters through the written by a teacher, the book is based on my experi- pages that follow. The focus, however, is on the ence as a practitioner and researcher. Through my United States. practical experience and research, I have sought to Americans seem to have an especially difficult plan for places that are fit, adaptable, and delightful. time sharing when it comes to the land. We have set Planning is more than a tool or a technique; it is aside spectacular natural landscapes, but we despoil a philosophy for organizing actions that enable peo- other beautiful places with garish signage, trash, and ple to predict and visualize the future of any land just plain ugly buildings. We Americans produce area. Moreover, planning gives people the ability to garbage at an unequaled pace, yet resist the location link actions on specific parcels of land to larger re- of waste dumps in our neighborhoods. We seek to gional systems. It is up to us to plan with vision. Our live in the countryside but, once we settle in a rural responsibility is to retain what we treasure, because area, try to prevent farmers from continuing their we are merely guests on those spaces of the Earth normal, sometimes dirty and smelly, activities. We that we inhabit. We should leave good impressions do not want the government to tell us what to do about our visit. with our land, but we seek help from the government in times of natural disaster. We want our Frederick Steiner neighborhoods to be squeaky clean but turn our Tempe, Arizona, 1990 backs to poor people who live in substandard housing, or in trailers, or on the street. ACKNOWLEDGMENTS

There are several colleagues at Washington State late Nico de Jonge of the Dutch Agricultural Univer- University (WSU), the University of Colorado at sity, Wageningen. They know much about green Denver, and Arizona State University (ASU) who fields below dark skies and hope in new worlds. have supported my work and have offered helpful I benefited greatly from the helpful criticisms by advice and criticism. Those most helpful in the Elizabeth Watson and Sam Stokes on a draft of the completion of the first edition were Bill Budd, manuscript for the first edition. Others who have Hamid Shirvani, Paul Rasmussen, Jack Kartez, Mack contributed to my ideas in one way or another in- Roberts, Tom Bartuska, Don Satterlund, Yuk Lee, clude Mark Lapping, Lloyd Wright, Max Schnepf, Lois Brink, Lauri Johnson, Peter Schaeffer, and Ken Ron Eber, Chuck Little, Bill Toner, Lee Nellis, War- Struckmeyer. I owe much to my former students in ren Zitzmann, Cecily Corcoran Kihn, J. Glenn Eug- landscape architecture, regional planning, and envi- ster, Jean Tarlet, Christine Carlson, Dennis Canty, ronmental science at WSU and Colorado. Donna Larry Larsen, Kip Petersen, and Terri Morrell. (Hall) Erickson, George Newman, Doug Osterman, Typing of the manuscript for the first edition and John Theilacker stand out as four to whom I was done by various people including Brenda owe the greatest debts for the first edition. Stevens, Angela Briggs, Gail Rise, Telisa Swan, Nita I studied planning at the University of Pennsyl- Thomas, Jane Bower, Doris Birch, and Penn Clerical vania and was influenced by several of Penn’s fine Services of Philadelphia. The final version of the planning and design faculty, especially Ann Strong, first edition was typed by Pam Erickson and Kathy John Keene, Jon Berger, Dan Rose, Art Johnson, and Saykally of the School of Architecture and Planning, Robert Coughlin. The late Ian McHarg was a won- University of Colorado at Denver. I thank them for derful mentor and is an enduring inspiration. Le- preparing that manuscript in its final form. nore Sagan is a constant, steady influence within the The first- edition illustrations were completed by Penn community, and I value her sage, maternal a number of people, including Lonnie Kennedy, guidance through the ivy walks and city streets of Mark Woods, Gary McMath, Brandon Burch, Clint Philadelphia. Keller, Christine Carlson, Doug Osterman, Louis Several Dutch friends have influenced my think- Burwell, Chuck Watson, Brad Nelson, Richard ing about landscape planning, especially Ingrid Van De Mark, Brad Pugh, Gary Christensen, Eliza- Duchhart, Hubert van Lier, Meto Vroom, and the beth Slocum, Joseph Bell, and Gretchen Schalge. I

xix xx ACKNOWLEDGMENTS

appreciate their diligence and hard work. I also ical knowledge—about planning in southwestern thank the many others who allowed me to use their Wisconsin. The following individuals provided valu- illustrations and photographs and to quote from able assistance to update information about specific their work. Robert Yaro and Chris Reid, then with examples (including a few that were edited out be- the Center for Rural Massachusetts; Martin Bier- cause of space limitations): Ron Eber, Rob Ribe, and baum and Michael Neuman, then with the New Jer- Ethan Seltzer (Oregon and Portland); Chuck War - sey Office of State Planning; George Bowechop of sinske (the Makah Reservation); Peter Pollock the Makah Tribal Council, as well as the council’s (Boulder, Colorado); Kip Petersen (Teller County, planning consultant, Chuck Warsinske; Annemarie Colorado); George Newman (Snohomish County, and Hans Bleiker of the Institute for Participatory Washington); Ron Shaffer (University of Wisconsin– Management and Planning in Monterey, California; Extension); Bill Hendrix (Palouse Path); Judith Kari- the New Jersey Pinelands Commission; and the late nen (West Colfax Avenue, Colorado); and Willie Flu- Narendra Juneja were especially generous. Philip cos (Dayton, Ohio). Maechling’s photographs help portray the essence My ASU students have contributed much, as did of the living landscape and made an invaluable con- their predecessors at my previous universities. For- tribution to the first edition for which I am grateful. mer ASU students who were especially influential I would also like to thank the following review- for this edition include Jim McCarthy, Michael ers for their many helpful comments and sugges- Collins, Kate Goodrich, Scott Davis, Ross Cromarty, tions on the manuscript that led to the first edi- Kim Shetter, Donna Issac, Michael Rushman, Bill tion: Nicholas Dines, University of Massachusetts; Kasson, John Blair, Jeff Schmidt, Susan Jackson, Patrick Mooney, The University of British Colum- Ginny Coltman, Elisa Corcuera, Joaquin Maruffo, bia; and William Shepherd, Virginia Polytechnic In- Allyce Hargrove, Scott Pieart, Bill Whitmore, John stitute and State University. Leach, and Carlos Licón. Zitao Fang helped compile Four friends have had a substantial influence on data for several tables in Chapter 4. Lizi McGeorge, a the original edition, each in their distinct way, and visiting student from Australia, helped organize the have made an enduring contribution to this version North Sonoran charrette and provided much useful as well. They are Joanne Barnes Jackson, Jerry information about charrettes. Young, Ken Brooks, and Bill Wagner. I am grateful to At ASU, I am fortunate to be in an interdiscipli- each of them in many ways. In addition, I am in- nary School of Planning and Landscape Architec- debted through their published works to the pio- ture in a multidisciplinary College of Architecture neers in ecological planning—Patrick Geddes, Aldo and Environmental Design. I benefit greatly work- Leopold, Lewis Mumford, Benton MacKaye, Artur ing with colleagues from planning, landscape archi- Glikson, and G. Angus Hills. tecture, and environmental resources within the I incurred many debts in writing the original ver- School of Planning and Landscape Architecture. sion. I have accumulated many more in the process In particular, I appreciate the ideas of Professor of revision. Carl Steinitz and the U.S. Environmental Laurel McSherry with whom I cotaught an environ- Protection Agency were generous in providing per- mental planning studio. It is not easy to teach with mission for the Camp Pendleton study. Professor the school director, because there are many inter- Steinitz’s comments, suggestions, and criticisms ruptions and distractions. Laurel’s good humor were especially insightful. He and Allan Shearer of made teaching the studio a joy. She also influenced Harvard University were helpful with the Camp how I view and represent landscapes. David Pijawka Pendleton maps and illustrations. Kurt Bauer offered was a valued mentor on the subject of sustainability, excellent recommendations—and a wealth of histor- and I enjoy our work together. He is a most gener- xxi ACKNOWLEDGMENTS

ous and valued colleague. I collaborated with several other writing projects. In this regard, I thank the ASU colleagues on a series of studies in northern American Academy in Rome and the National En- Phoenix, notably Joe Ewan and Rebecca Fish Ewan. dowment for the Arts. I was fortunate to receive the They were generous in providing maps of their wash National Endowment for the Arts Rome Prize Fel- studies and preserve plans. I especially appreciate lowship in Historic Preservation and Conservation, the contributions of Jim Burke, Ward Brady, which enabled me to be in Italy during my sabbatical. William Miller, Jana Fry, Michael Collins, Nancy Italy provided an ideal setting for writing this edi- Osborne, and Jack Gilcrest to the geographic infor- tion. The translators of the Italian edition asked es- mation systems maps of north Phoenix included in pecially probing, thoughtful questions, which influ- this book. Excellent comments were provided on enced my approach to rewriting the book. I am drafts of this edition by Ramon Arrowsmith, Tony inspired by Maria Cristina Treu’s ecological plans for Brazel, John Brock, James Burke, Theresa Cameron, Italian provinces and Danilo Palazzo’s comprehen- Ash Campbell, Jeffrey Cook, Katherine Crewe, Ron sive review of American environmental planning. Faas, Joseph Ewan, Rebecca Fish Ewan, Grady Gam- Ornella Piscopo of the University of Rome was a val- mage, Douglas Green, Subhro Guhathakurta, John ued source of knowledge on the carrying capacity Keane, Mary Kihl, Hubert van Lier, Lynn Miller, Lee concept and its possible implications for planning. Nellis, Jolene Ostler, Ray Quay, Michael Rushman, Many individuals provided advice and sugges- Max Underwood, and Bob Yaro. Mookesh Patel of tions on the original edition, which were incorpo- the ASU School of Design helped significantly with rated into this version. In particular, Donna Erick- the consistency of the illustrations. Others who have son, Joan Woodward, and Forster Ndubisi have made contributions in various ways include Dick influenced the ways I approach planning and have Eribes, Julie McQuary, Gerald McSheffrey, Alvin made numerous suggestions about how to improve Mushkatel, Nan Ellin, Richard Lai, Ignacio San Mar- this book. I welcome the reader’s criticisms on this tin, Ted Cook, Gary Whysong, and Ruth Yabes. edition, because I see it as a living document. A group of us at ASU joined with colleagues Since 1993, I have been most fortunate to work from the City of Phoenix, the State of Arizona, and with Chris Duplissa: a writer could wish for no bet- several firms to form the North Sonoran Collabora- ter word processor. Not only does she not make typ- tive. Since 1994, our informal, interdisciplinary col- ing errors, Chris adds a critical understanding to the laborative has produced studies and plans and orga- projects she undertakes, contributing much to the nized charrettes for the northern Phoenix area. The quality in the process. Other staff keep the ASU concept for the collaborative was Ray Quay’s, the as- School of Planning and Landscape Architecture sistant planning director. Other city leaders of the functioning well, for which I am thankful, especially group include Jim Burke, Jolene Ostler, and Dean Dena Marson, Stefani Angstadt-Leto, and Sasha Brennan. Urban wildlife specialist Joe Yarkin pro- Valdez. vided leadership among the state agencies. I appreciate the support of many McGraw- Hill I particularly value the mentorship of Dean John staff in undertaking the second edition, especially Meunier. He provided unwavering encouragement Wendy Lochner and Robin Gardner. B. J. Clark and for the multidisciplinary environmental planning Jean Akers of McGraw- Hill were responsible for the mission of our school. I am also grateful to Dean first edition and their contributions were numerous. Meunier for his support, as well as that of my col- My deepest gratitude is for my family. Anna, leagues and of Arizona State University, for a sabbat- Halina, and Andrew provide the love and support ical leave. I spent much of the sabbatical in Rome en- that makes this work possible. gaged in preparing this second edition as well as

THE LIVING LANDSCAPE

1 INTRODUCTION

Conventionally the planning process is presented as a linear progression of activities. Decision making, like other human behavior, seldom occurs in such a linear, rational manner. Still, it is a logical sequence of activities and presents a convenient organizational framework. The common steps in the process include the identification of problems and opportunities; the establishment of goals; inventory and analysis of the biophysical environment, ideally at several scales; human community inventory and analysis; detailed studies like suitability analysis; the development of concepts and the selection of options; the adoption of a plan; community involvement and education; detailed design; plan implementation; and plan administration. This book is organized around these conventional topics—but with an ecological perspective. The chapters that follow cover most of the steps in the process. Each chapter includes a “how-to” section for accomplishing the pertinent step, and a few examples where such activities have been successfully undertaken. For many of the chapters, various planning efforts undertaken in northern Phoenix,

3 4 CHAPTER 1

Arizona, are used to illustrate each step. The author has working with people to accomplish organizational been involved in the Phoenix planning work for the goals. For practical purposes, many see the distinc- past decade. Because this work is largely on the subur- tion between planning and management as largely ban fringe, and because ecological planning is also use- semantic. The management of resources, such as ful for more urban and rural areas, several additional land, may be a goal of a planning process. Con- prototypical efforts have been selected to illustrate the versely, planning may be a means of management. principles described and to compare them with the Ecosystem management is the deliberate process of more conventional approaches to planning. understanding and structuring an entire region Before discussing each step, it will be helpful to first with the intention of maintaining sustainability and define a few key terms. It will then be necessary to pro- integrity (Slocombe 1998a, 1998b). vide a brief overview of traditional planning in the Land use is a self-defining term. One can debate United States. The ecological planning method, the whether a harbor involves land use or water use, but subject of this book, can then be described and the dif- “land” generally refers to all parts of the surface of ference of its approach better understood. the earth, wet and dry. The same area of that surface may be used for a variety of human activities. A harbor, for instance, may have commercial, industrial, and recreational purposes. A farm field may be used Basic Concepts for speculation and recreation as well as for agriculture. All human activity is in one way or another Planning has been defined as the use of scientific, connected with land. technical, and other organized knowledge to pro- Landscape is related to land use. The composite vide options for decision making as well as a process features of one part of the surface of the earth that for considering and reaching consensus on a range distinguish it from another area is a landscape. It is, of choices. As John Friedmann (1973) has succinctly then, a combination of elements—fields, buildings, put it, planning links knowledge to action. There is a hills, forests, deserts, water bodies, and settlements. difference between project planning and compre- The landscape encompasses the uses of land—hous- hensive planning. Project planning involves designing, transportation, agriculture, recreation, and nat- ing a specific object such as a dam, highway, harbor, ural areas—and is a composite of those uses. A land- or an individual building or group of buildings. scape is more than a picturesque view; it is the sum Comprehensive planning involves a broad range of of the parts that can be seen, the layers and intersec- choices relating to all the functions of an area. Reso- tions of time and culture that comprise a place—a lution of conflicts, often through compromises, is natural and cultural palimpsest. the inherent purpose of comprehensive planning. The English word ecology is derived from the Environment refers to our surroundings. Environ- Greek word for house, oikos. The expanded defini- mental planning is “the initiation and operation of tion is the study of the reciprocal relationships of all activities to manage the acquisition, transformation, organisms to each other and to their biotic and distribution, and disposal of resources in a manner physical environments (Ricklefs 1973). Obviously, capable of sustaining human activities, with a mini- humans are organisms and thus are engaged in eco- mum distribution of physical, ecological, and social logical relationships. processes” (Soesilo and Pijawka 1998, 2072). The use of ecological information for planning Management has been defined as the judicious has been a national policy since late 1969, when the use of means to accomplish a desired end. It involves U.S. Congress, through the National Environmental 5 INTRODUCTION

Policy Act (NEPA), required all agencies of the fed- project, or comprehensive social, economic, or envi- eral government to “initiate and utilize ecological ronmental goals. The traditional role of planning in information in the planning and development of re- the United States is responsible for many of these di- source oriented projects.” The act, signed into law by visions. In England, for instance, planning is under- President Richard Nixon on January 1, 1970, is a rel- taken as a result of strong statutes. Statutory plan- atively recent development in American planning. ning gives English planners considerable authority In spite of NEPA and other laws, ecological informa- in the decision-making process. In contrast, Ameri- tion has not yet been adequately integrated into the can planners generally have more limited statutory planning process. Although much more work will power than in England and other European nations. still be necessary to realize an ecological approach to There are several reasons for the differences be- planning, NEPA represents an important step. To tween European and American planning. First, land begin to understand its importance, it is useful to is recognized as a scarce commodity in Europe and quickly review the status of American planning. in many other parts of the world. In land-hungry Europe over the last century, public officials have been granted increasing planning powers over use The Traditional Framework of Planning of land (and other resources) through the governing in the United States process. In Europe, there is much concern about the quality of the environment, both in the older The function of land-use planning in the United democracies of the European Union and the emerg- States has been the subject of much debate. There ing democracies of Central and Eastern Europe. are diverse opinions about the purpose of planning; This concern has resulted in complex systems of that is, whether it is to achieve a specific physical planning that address a broad range of issues, in-

Landscape is the sum of the parts that can be seen with the eye. (David C. Flaherty, Wash- ington State University College of Engineering and Architecture) 6 CHAPTER 1

cluding housing, recreation, aesthetics, open space, The initial public purpose for the new nation and transportation. was the settlement, or the resettlement by mostly Another reason emerges from the origins of the European immigrants, of the American subconti- United States. Thomas Jefferson and the other nent (Opie 1998). However, when Jefferson (who founding fathers were influenced strongly by John had written the Declaration of Independence) and Locke, who viewed the chief end of establishing a the others who authored the Constitution rode to government as the preservation of property. Locke, Philadelphia on horseback or in carriages from their in his Two Treatises of Government, defined property Virginia estates, their Pennsylvania farms, or their as “lives, liberties, and estates” (Laslett 1988). Else- New England towns, they traveled through a seem- where, Locke wrote of the “pursuit of happiness.” It ingly endless expanse of woodlands, rich farmlands, was Jefferson who combined Locke’s terms, “life, lib- and rolling pastures graced by fresh, clear creeks and erty, and the pursuit of happiness.” But it has been rivers, abundant game, and pristine coastlines. In the view of property as possession, rather than Philadelphia they were concerned foremost with Locke’s predominant version—life, liberty, and es- protecting human rights and freedoms. Even the tate—that has prevailed. The constitution of the most foresighted of the framers of the Constitution Commonwealth of Pennsylvania states in Article 1, could not have envisioned the environmental and Section 1, that “all . . . men have certain inherent social crises that subsequently accompanied the in- and indefeasible rights, among which are those of dustrialization and urbanization of America. enjoying and defending life and liberty, of acquir- The U.S. Constitution, however, does give the ing, possessing and protecting property.” And the states and their political subdivisions the power of Fifth Amendment of the U.S. Constitution contains regulation. Police powers, which provide the basis this clause: “No person shall . . . be deprived of life, for state and local regulation, were derived by the liberty, or property, without due process of law; nor states from the Tenth Amendment, which reads: shall private property be taken for public use with- “The powers not delegated to the United States by out just compensation.” To those in the new repub- the Constitution, nor prohibited by it to the States, lic, who had fought against the landed elite of the are reserved to the States respectively, or to the peo- mother country, property rights were seen as a fun- ple.” damental freedom. The states, in the use of police powers, must con- The Bill of Rights institutionalized the founding sider the Fifth Amendment because the U.S. fathers’ concern about private property rights. Their Supreme Court has held that the “taking clause” is “Bill of Rights included no fewer than four separate embodied in the due process clause of the Four- provisions aimed specifically at protecting private teenth Amendment and hence applies to the states. interests in property,” observes John Humbach In addition, state constitutions contain taking (1989, 337). However, Humbach also notes that clauses, some with rather interesting twists. For in- “private property exists to serve the public good” stance, Article 1, Section 16 (the Ninth Amend- (1989, 345). The influential British utilitarian ment) of the Washington State Constitution states: philosopher Jeremy Bentham declared that “before “No private property shall be taken or damaged for laws were made, there was no property; take away public or private use without just compensation laws and property ceases” (1887, 113). As a result, having first been made” [emphasis added]. A per- according to Humbach (and other legal scholars), son’s private use of property cannot damage the “Property rights are a creation of laws, and the law property of another person in Washington State. of property must, like all other law, serve a public Given this constitutional backdrop, the federal purpose” (1989, 345). and several state legislatures have slowly but steadily 7 INTRODUCTION

increased statutory authority for planning. In addi- density housing complex, a factory, or a landfill. Ad- tion, the courts have consistently upheld land-use vocacy planners also work for nongovernmental or- regulations that do not go “too far” and thus consti- ganizations (NGOs), neighborhood planning com- tute a taking. In addition, courts have supported mittees, and community associations. some restrictions on the use of environmentally The rights of people have a deep-seated heritage sensitive areas, such as wetlands, floodplains, and in American history, from the Declaration of Inde- the habitats of endangered species. However, plan- pendence, the Constitution, and the Bill of Rights ning remains a fragmented effort in the United through the Thirteenth and Nineteenth Amend- States, undertaken primarily by powerful vested ments and to the labor, civil rights, and women’s business interests and sometimes by consent. Plan- movements. Human rights have been the important ning by consent, which depends largely on an indi- issue for one group of advocacy planners called by vidual’s persuasive power, has caused several adap- various terms including community organizers, ad- tations on the part of American planners. These versary planners, and change agents. In Reveille for adaptations can be broken down into two broad cat- Radicals, Saul Alinsky (1946) best articulated the egories: administrative and adversary. philosophy for the latest crest of this movement, Administrative planners are realists who re- which began to ebb when Richard Nixon cut off spond directly to governmental programs either as funding for a variety of programs created during the bureaucrats in a city or regional planning agency or 1960s. Many of the social programs created during as consultants. Successful administrative planners the 1960s were concerned with making basic build political power in the city or metropolitan re- changes in the urban power structure. The pro- gion where they work. They administer programs grams were a result of the civil rights movement and for voluntary community organizations and health, the attention brought to the poor living conditions education, and welfare associations designed to sup- in urban ghettos by the riots that occurred there. port the political–economic structure of the nation- The withdrawal of the federal commitment to do- state. They may also administer transportation or mestic human rights programs begun by President utility programs deemed necessary by the same Nixon continued through most of the 1970s, except structure. By building political power, administra- during the presidency of Jimmy Carter. During the tive planners serve the power structure of the city or Ronald Reagan administration, the social programs region. The result is that often the unempowered that had been created during the 1960s were almost groups in an area suffer. Poor people suffer the most, completely dismantled. The emphasis on “privatiza- bearing the brunt of the social costs, when planners tion” and “state and local control” for addressing so- and others administer the programs of the status cial issues continued during the 1990s in the United quo. States, as well as in some European nations. Adversary planners are idealists and respond to With the passage of the NEPA, the Congress of issues, such as those resulting from social or envi- the United States put into motion the machinery for ronmental concerns, often as advocates for a certain the protection of the environment by setting forth position. They usually work outside the power certain general aims of federal activity in the envi- structure, forming new coalitions among the previ- ronmental field, establishing the Council on Envi- ously unorganized in order to mobilize support for ronmental Quality (CEQ), and instructing all fed- their cause. Often advocacy planners work for veto eral agencies to include an impact statement as part groups—ad hoc organizations opposed to a contro- of future reports or recommendations on actions versial project or proposal such as a highway, a high- significantly affecting the quality of the human en- 8 CHAPTER 1

vironment. Subsequent regional, state, and federal organize the Miami Conservancy District in and actions—such as state environmental policy acts, around Dayton, Ohio, and later directed the Ten- land-use legislation, and the Coastal Zone Manage- nessee Valley Authority. During the New Deal, ment Act (CZMA)—have furthered this commit- greenbelt new towns—new satellite communities ment. surrounded by parks and accessible to cities by au- As with the heritage for human rights, these en- tomobile—were created by economist Rexford Tug- vironmental measures are deeply rooted in the well and other leaders. Urban parks, national parks, American tradition. Laced throughout the social watershed conservancies, greenbelt new towns— criticism of Henry David Thoreau, the novels of each was a response designed to maintain some por- Mark Twain, the poetry of Walt Whitman, the pho- tion of the natural environment during periods of tography of Ansel Adams, the films of John Ford, the increased human settlement. art of Georgia O’Keeffe, and the music of Woody Ian McHarg (1969) was Saul Alinsky’s environ- Guthrie is the love for nature. mentalist counterpart and the author of a manifesto Even before the recent governmental action, for ecological planning similar to the one Alinsky both administrative and adversary planners had wrote for community advocacy. Although social ac- been concerned with degradation of the environ- tivism and environmentalism are separate (and ment. In the nineteenth century, the young Freder- sometimes conflicting) American traditions, they ick Law Olmsted traveled to England where he wit- share common problems. Environmental programs nessed the efforts of reformers to use techniques of were as vulnerable in the 1980s as social programs the English landscape garden tradition to relieve the were a decade earlier. Ronald Reagan chose not to pressures of urban blight brought on by the Indus- enforce many environmental laws enacted during trial Revolution. The resulting public parks were the 1970s. He appointed people to key positions in viewed as natural refuges from the evils of the sur- environmental and natural resource management rounding industrial city. Public parks in English agencies who were opposed to the conservation cities were pastoral retreats and escapes from urban missions of those agencies. Legally established envi- congestion and pollution. Olmsted and American ronmental goals will not be achieved unless govern- reformers adopted the idea. Their first creation was mental enforcement is supported by the public. In Central Park in New York City, planned and built spite of actions of the Reagan administration, the between 1857 and 1861. Eventually, these efforts led American public has generally continued to favor to the City Beautiful Movement, after the World’s the protection of water, air, and land resources. In Columbian Exposition of 1893 in Chicago. The City addition, President Reagan’s successor, George H. W. Beautiful Movement resulted in numerous parks Bush, declared himself an environmentalist, and and public facilities being built in the early twenti- when presenting Ian McHarg with the National eth century. Medal of Art in 1992, he stated, “It is my hope that During the late nineteenth and early twentieth the art of the twenty-first century will be devoted to centuries a great national parks system took form restoring the earth” (McHarg 1997a, 331). Further- and blossomed under the leadership of President more, former vice president Al Gore is an avowed en- Theodore Roosevelt. Also in the late nineteenth cen- vironmentalist (see Gore 1992). The Clinton–Gore tury, the use of river drainage basins or watersheds administration established the influential Presi- as the basic geographical unit for planning was initi- dent’s Council on Sustainable Development (1996) ated. The humanist engineer Arthur Morgan, an ad- and generally emphasized more environmentally vocate of the watershed conservancy idea, helped sensitive policies for the federal government. How- 9 INTRODUCTION

ever, even the Clinton–Gore approach was not as Leopold was perhaps the first person to advocate an “green” as those taken by many other nations. “ecological ethic” for planning, doing so in the Neither administrative nor advocacy planners 1930s (1933, 1949). He was subsequently joined by have been totally effective. While administrative such individuals as Lewis Mumford (1944, 1961) planners may be able to get things done, unempow- and Benton MacKaye (1940). Mumford and Mac- ered groups often suffer. While advocacy planners Kaye were strongly influenced by the Scottish biolo- may win important civil rights struggles or stop fla- gist and town planner Patrick Geddes and the En- grant abuse of the natural environment, overall glish garden city advocate Ebenezer Howard. Others problems persist and people remain poor—fre- who have proposed or developed ecological ap- quently poorer—and environmental degradation proaches for planning include the Canadian forester continues, too often at a more rapid rate. G. Angus Hills (1961); the Israeli architect and town planner Artur Glikson (1971); the American landscape architects Philip Lewis (1969), Ian McHarg A New Approach (1969, 1996, with Steiner 1998), Anne Spirn (1984), Rob Thayer (1994), and John Lyle (1994); the Cana- There is a need for a common language, a common dian landscape architect Michael Hough (1995); the method among all those concerned about social eq- American planners Jon Berger (with Sinton 1985), uity and ecological parity. This method must be able Randall Arendt (1996), and Tim Beatley (with Man- to transcend disciplinary territorialism and be ap- ning 1997); the French geographer and planner Jean plicable to all levels of government. And it is imper- Tarlet (1985, 1997); the Italian planners Enzo Scan- ative that this approach incorporate both social and durra and Silvia Macchi (1995); and the American environmental concerns. As the poet Wendell Berry architects Sim Van der Ryn (with Cowan 1996) and has observed, “The mentality that destroys a water- Peter Calthorpe (1993). Daniel Smith and Paul Hel- shed and then panics at the threat of flood is the mund (1993) present a wonderful guide for apply- same mentality that gives institutionalized insult to ing ecology to the planning of greenways, while the black people [and] then panics at the prospect of Italian planner Danilo Palazzo (1997) provides a race riots” (1972, 73). comprehensive overview of the development of eco- What is needed is an approach that can assist logical planning in the United States. planners in analyzing the problems of a region as they relate to each other, to the landscape, and to the national and local political economic structure. This Ecological Planning Method might be called an applied human ecology, or simply ecological planning. Each problem is linked to the What is meant by ecological planning? Planning is a community in one or more specific ways. Banking is process that uses scientific and technical informa- related to real estate which is related to development tion for considering and reaching consensus on a pressure which is related to schools which is related range of choices. Ecology is the study of the relation- to a rising tax base which is related to retirees orga- ship of all living things, including people, to their nizing against increasing property taxes. This ap- biological and physical environments. Ecological proach identifies how people are affected by these planning then may be defined as the use of biophys- chain reactions and presents options for the future ical and sociocultural information to suggest oppor- based on those impacts. tunities and constraints for decision making about University of Wisconsin wildlife biologist Aldo the use of the landscape. Or, as defined by Ian 10 CHAPTER 1

McHarg, it is the approach “whereby a region is un- use in the absence of all or most detrimental condi- derstood as a biophysical and social process com- tions. Areas meeting this standard are deemed in- prehensible through the operation of laws and time. trinsically suitable for the land use under considera- This can be reinterpreted as having explicit oppor- tion.” tunities and constraints for any particular human As presented in Figure 1.1, there are 11 interact- use. A survey will reveal the most fit locations and ing steps. An issue or group of related issues is iden- processes” (1997a, 321). tified by a community—that is, some collection of McHarg has summarized a framework for eco- people—in Step 1. These issues are problematic or logical planning in the following way: present an opportunity to the people or the environment of an area. A goal(s) is then established in All systems aspire to survival and success. This state Step 2 to address the problem(s). Next, in Steps 3 can be described as synthropic-fitness-health. Its an- and 4, inventories and analyses of biophysical and tithesis is entropic-misfitness-morbidity. To achieve sociocultural processes are conducted, first at a the first state requires systems to find the fittest envi- larger level, such as a river drainage basin or an ap- ronment, adapt it and themselves. Fitness of an envi- propriate regional unit of government, and second ronment for a system is defined as that requiring the at a more specific level, such as a small watershed or minimum of work and adaptation. Fitness and fitting a local government. are indications of health and the process of fitness is In Step 5, detailed studies are made that link the health giving. The quest for fitness is entitled adapta- inventory and analysis information to the prob- tion. Of all the instrumentalities available for man for lem(s) and goal(s). Suitability analyses are one such successful adaptation, cultural adaptation in general type of detailed study. Step 6 involves the develop- and planning in particular, appear to be the most di- ment of concepts and options. A landscape plan is rect and efficacious for maintaining and enhancing then derived from these concepts in Step 7. human health and well-being (1981, 112–113). Throughout the process, a systematic educational and citizen involvement effort occurs. Such involve- Arthur Johnson explained the central principle ment is important in each step but especially so in of this theory in the following way: “The fittest envi- Step 8, when the plan is explained to the affected ronment for any organism, artifact, natural and so- public. In Step 9, detailed designs are explored that cial ecosystem, is that environment which provides are specific at the individual land-user or site level. the [energy] needed to sustain the health or well- These designs and the plan are implemented in Step being of the organism/artifact/ecosystem. Such an 10. In Step 11, the plan is administered. approach is not limited by scale. It may be applied to The heavier arrows in Figure 1.1 indicate the locating plants within a garden as well as to the de- flow from Step 1 to Step 11. Smaller arrows between velopment of a nation” (1981, 107). each step suggest a feedback system whereby each The ecological planning method is primarily a step can modify the previous step and, in turn, procedure for studying the biophysical and socio- change from the subsequent step. The smaller indi- cultural systems of a place to reveal where specific cate other possible modifications through the pro- land uses may be best practiced. As Ian McHarg has cess. For instance, detailed studies of a planning area summarized repeatedly in his writings and in many (Step 5) may lead to the identification of new prob- public presentations: “The method defines the best lems or opportunities or the amendment of goals areas for a potential land use at the convergence of (Steps 1 and 2). Design explorations (Step 9) may all or most of the factors deemed propitious for the change the landscape plan, and so on. Once the pro- 11 INTRODUCTION

FIGURE 1.1 Ecological planning model. cess is complete and the plan is being administered The approach to ecological planning developed and monitored (Step 11), the view of the problems by Ian McHarg at the University of Pennsylvania and opportunities facing the region and the goals to differs slightly from the one presented here. The address these problems and opportunities may be Pennsylvania, or McHarg, model places a greater altered, as is indicated by the dashed lines in Figure emphasis on inventory, analysis, and synthesis. This 1.1. one places more emphasis on the establishment of This process is adapted from the conventional goals, implementation, administration, and public planning process and its many variations (see, for participation, yet does attempt to do so in an eco- instance, Hall 1975; Roberts 1979; McDowell 1986; logically sound manner. Moore 1988; and Stokes et al. 1989, 1997), as well as Ecological planning is fundamental for sustain- those suggested specifically for landscape planning able development. The best-known definition of sus- (Lovejoy 1973; Fabos 1979; Zube 1980; Marsh 1983; tainable development was promulgated by the and Duchhart 1989). Unlike some of these other World Commission on Environment and Develop- planning processes, design plays an important role ment (WCED), known as the Bruntland Commis- in this method. Each step in the process contributes sion, as that which “meets the needs of the present to and is affected by a plan and implementing mea- without compromising the ability of future genera- sures, which may be the official controls of the plan- tions to meet their own needs” (WCED 1987, 8). A ning area. The plan and implementing measures more recent definition was provided by the National may be viewed as the results of the process, although Commission on the Environment, which has de- products may be generated from each step. fined sustainable development as 12 CHAPTER 1

a strategy for improving the quality of life while pre- and environmental processes, landscape planning serving the environmental potential for the future, of addresses those issues that concern the interrela- living off interest rather than consuming natural cap- tionship between people and nature. The planet ital. Sustainable development mandates that the pres- presents many opportunities for people, and there is ent generation must not narrow the choices of future no shortage of environmental problems. generations but must strive to expand them by pass- Problems and opportunities lead to specific ing on an environment and an accumulation of re- planning issues. For instance, suburban develop- sources that will allow its children to live at least as ment often occurs on prime agricultural land, a cir- well as, and preferably better than, people today. Sus- cumstance that local officials tend to view as a prob- tainable development is premised on living within the lem. A number of issues arise involving land-use Earth’s means (National Commission on the Envi- conflicts between the new suburban residents and ronment 1993, 2). the farmers—such as who will pay the costs of public services for the newly developed areas. Another Enzo Scandurra and Alberto Budoni have stated example is an area like an ocean beach or mountain the underlying premise for sustainability especially town with the opportunity for new development well and succinctly: “The planet cannot be consid- because of its scenic beauty and recreational ameni- ered as a gigantic source of unlimited raw materials, ties. A key challenge would be that of accommodat- neither, equally, as a gigantic dump where we can ing the new growth while protecting the natural re- dispose of all waste from our activities” (1997, 2). sources that are attracting people to the place. The environment is both a source and a sink, but its capacities to provide resources and to assimilate Step 2: Establishment of wastes are not limitless. Planning Goals Timothy Beatley and Kristy Manning (1997) relate sustainable development to ecological plan- In a democracy, the people of a region establish ning. They note that “McHargian-style environ- goals through the political process. Elected repre- mental analysis . . . [has] become a commonplace sentatives will identify a particular issue affecting methodological step in undertaking almost any their region—a steel plant is closing, suburban form of local planning” (Beatley and Manning sprawl threatens agricultural land, or a new power 1997, 86). They also note, however, that although plant is creating a housing boom. After issues have such analyses are “extremely important,... a more been identified, goals are established to address the comprehensive and holistic approach is required” problem. Such goals should provide the basis for (Beatley and Manning 1997, 86). The steps that fol- the planning process. low attempt to provide a more comprehensive ap- Goals articulate an idealized future situation. In proach. the context of this method, it is assumed that once goals have been established there will be a commitment by some group to address the problem or op- Step 1: Identification of Planning Problems portunity identified in Step 1. Problems and oppor- and Opportunities tunities can be identified at various levels. Local Human societies face many social, economic, politi- people can recognize a problem or opportunity and cal, and environmental problems and opportuni- then set a goal to address it. As well, issues can be na- ties. Since a landscape is the interface between social tional, international, or global in scope. Problem 13 INTRODUCTION

Residents and community leaders can help to identify local environmental issues that require future planning.

solving, of which goal setting is a part, may occur for local government, often resulting in the creation at many levels or combinations of levels. Although of new administrative regions to respond to a par- goal setting is obviously dependent on the cultural– ticular federal program. These regional agencies political system, the people affected by a goal should must respond to wide-ranging issues that generate be involved in its establishment. specific goals for water and air quality, resource Goal-oriented planning has long been advocated management, energy conservation, transportation, by many community planners. Such an approach and housing. No matter at what level of government has been summarized by Herbert Gans: goals are established, information must be collected to help elected representatives resolve underlying is- The basic idea behind goal-oriented planning is sim- sues. Many goals, those which are the focus of this ple: that planners must begin with the goals of the book, require an understanding of biophysical community—and of its people—and then develop processes. those programs which constitute the best means for achieving the community’s goals, taking care that the Step 3: Landscape Analysis, Regional Level consequences of these programs do not result in undesirable behavioral or cost consequences (1968, 53). This step and the next one involve interrelated scale levels. The method addresses three scale levels: re- There are some good examples of goal-oriented gion, locality, and specific site (with an emphasis on planning, such as Oregon’s mandatory land-use law the local). The use of different scales is consistent (see, for instance, Pease 1984; Eber 1984; DeGrove with the concept of levels-of-organization used by 1992; and Kelly 1993). However, although locally ecologists. According to this concept, each level of generated goals are the ideal, too often goals are es- organization has special properties. Novikoff ob- tablished by a higher level of government. Many served, “What were wholes on one level become federal and state laws have mandated planning goals parts on a higher one” (1945; as quoted by Quinby 14 CHAPTER 1

1988). Watersheds have been identified as one level of organization to provide boundaries for landscape and ecosystem analysis. Drainage basins and watersheds have often been advocated as useful levels of analysis for landscape planning and natural resource management (Doornkamp 1982; Young et al. 1983; Steiner 1983; Dickert and Olshansky 1986; Easter et al. 1986; Fox 1987; Erickson 1995; Smith et al. 1997; and Golley 1998). Dunne and Leopold provide a useful explanation of watersheds and drainage basins for ecological planning. They state that the term drainage basin

is synonymous with watershed in American usage and with catchment in most other countries. The boundary of a drainage basin is known as the drainage divide in the United States and as the watershed in other A major aim of landscape analysis is to obtain insight about natural processes. (A. E. Bye) countries. Thus the term watershed can mean an area or a line. The drainage basin can vary in size from that of the Amazon River to one of a few square meters drainage into the head of a gully. Any number of drainage basins can be defined in a landscape . . . depending on the location of the drainage outlet on Drainage basins and watersheds, however, are some watercourse (Dunne and Leopold 1978, 495). seldom practical boundaries for American planners. Political boundaries frequently do not neatly con- Essentially, drainage basins and watersheds are form with river catchments, and planners com- the same thing (catchment areas), but in practical monly work for political entities. There are certainly use, especially in the United States, the term drainage many examples of plans that are based on drainage basin is generally used to refer to a larger region and basins, such as water quality and erosion control the term watershed to a more specific area. Drainage plans. Several federal agencies, such as the U.S. For- basins cover a river and all of its tributaries, while est Service (USFS) and the U.S. Natural Resources watersheds generally encompass a single river or Conservation Service (NRCS, formerly known as stream. Richard Lowrance and his colleagues (1986), the Soil Conservation Service or SCS), regularly use who have developed a hierarchial approach for agri- watersheds as planning units. Planners who work cultural planning, refer to watersheds as the land- for cities or counties are less likely to be hydrologi- scape system, or ecologic level, and the larger unit as cally bound. the regional system, or macroeconomic level. In the Lowrance et al. hierarchy, the two smallest units are Step 4: Landscape Analysis, Local Level the farm system, or microeconomic level, and field system, or agronomic level. The analysis at the regional During Step 4, processes taking place in the more drainage-basin level provides insight into how the specific planning area are studied. The major aim of landscape functions at the more specific local scale. local-level analysis is to obtain insight about the 15 INTRODUCTION

natural processes and human plans and activities. Ian McHarg and his collaborators have devel- Such processes can be viewed as the elements of a oped a layer-cake model (Figure 1.2) that provides a system, with the landscape a visual expression of the central group of biophysical elements for the inven- system. tory or chorography of the place. Categories include This step in the ecological planning process, like the earth, the surface terrain, groundwater, surface the previous one, involves the collection of infor- water, soils, climate, vegetation, wildlife, and people mation concerning the appropriate physical, bio- (Table 1.1). UNESCO, in its Man and the Biosphere logical, and social elements that constitute the Programme, has developed a more exhaustive list of planning area. Since cost and time are important possible inventory elements (Table 1.2). factors in many planning processes, existing pub- Land classification systems are valuable for lished and mapped information is the easiest and analysis at this stage because they may allow the fastest to gather. If budget and time allow, the in- planner to aggregate specific information into gen- ventory and analysis step may be best accomplished eral groupings. Such systems are based on invento- by an interdisciplinary team collecting new infor- ried data and on needs for analysis. Many govern- mation. In either case, this step is an interdiscipli- ment agencies in the United States and elsewhere nary collection effort that involves search, accumu- have developed land classification systems that are lation, field checking, and mapping of data. helpful. The NRCS, USFS, the U.S. Fish and Wildlife

FIGURE 1.2 Layer-cake model. (Source: Adapted from Ian McHarg and drawn by Mookesh Patel) 16 CHAPTER 1

TABLE 1.1 whelmed with data for inventory and analysis. In re- Baseline Natural Resource mote rural areas, on the other hand, even a Natural Data Necessary for Ecological Planning Resources Conservation Service survey may not ex- The following natural resource factors are likely to be of ist, or the survey may be old and unusable. An even significance in planning. Clearly the region under study larger problem is that there is little or no consistency will determine the relevant factors, but many are likely to in scale or in the terminology used among various occur in all studies. agencies. A recommendation of the National Agri- CLIMATE. Temperature, humidity, precipitation, wind ve- cultural Lands Study (1981) was that a statistical locity, wind direction, wind duration, first and last frosts, snow, frost, fog, inversions, hurricanes, tornadoes, tsunamis, protocol for federal agencies concerning land re- typhoons, Chinook winds source information be developed and led by the Of- GEOLOGY. Rocks, ages, formations, plans, sections, proper- fice of Federal Statistical Policy and Standards. One ties, seismic activity, earthquakes, rock slides, mud slides, helpful system that has been developed for land subsidence classification is the USGS Land-Use and Land- SURFICIAL GEOLOGY. Kames, kettles, eskers, moraines, Cover Classification System (Table 1.3). drift and till The ability of the landscape planner and ecosys- GROUNDWATER HYDROLOGY. Geological formations tem manager to inventory biophysical processes interpreted as aquifers with well locations, well logs, water quantity and quality, water table may be uneven, but it is far better than their capabil- PHYSIOGRAPHY. Physiographic regions, subregions, fea- ity to assess human ecosystems. An understanding tures, contours, sections, slopes, aspect, insolation, digital of human ecology may provide a key to sociocultu- terrain model(s) ral inventory and analysis. Since humans are living SURFICIAL HYDROLOGY. Oceans, lakes, deltas, rivers, things, human ecology may be thought of as an ex- streams, creeks, marshes, swamps, wetlands, stream orders, pansion of ecology—of how humans interact with density, discharges, gauges, water quality, floodplains each other and their environments. Interaction then SOILS. Soil associations, soil series, properties, depth to sea- is used as both a basic concept and an explanatory sonal high water table, depth to bedrock, shrink-swell, com- pressive strength, cation and anion exchange, acidity-alka- device. As Gerald Young (1974, 1978, 1983, 1989), linity who has illustrated the pan-disciplinary scope of VEGETATION. Associations, communities, species, compo- human ecology, noted: sition, distribution, age and conditions, visual quality, species number, rare and endangered species, fire history, suc- In human ecology, the way people interact with each cessional history other and with the environment is definitive of a WILDLIFE. Habitats, animal populations, census data, rare number of basic relationships. Interaction provides a and endangered species, scientific and educational value measure of belonging, it affects identity versus alien- HUMAN. Ethnographic history, settlement patterns, exist- ation, including alienation from the environment. ing land use, existing infrastructure, economic activities, population characteristics The system of obligation, responsibility and liability is defined through interaction. The process has be- SOURCE: Adapted from McHarg 1997b. come definitive of the public interest as opposed to private interests which prosper in the spirit of independence (1976, 294). Service (USFWS), and the U.S. Geological Survey (USGS) are agencies that have been notably active in Step 5: Detailed Studies land classification systems. However, there is not a consistency of data sources even in the United Detailed studies link the inventory and analysis in- States. In urban areas, a planner may be over- formation to the problem(s) and goal(s). One ex- 17 INTRODUCTION

TABLE 1.2 UNESCO Total Environmental Checklist: Components and Processes Natural Environment—Components Exercise and distribution Military activities Soil Energy resources of authority Transportation Water Fauna Administration Recreational activities Atmosphere Flora Farming, fishing Crime rates Mineral resources Microorganisms Societal Groupings Natural Environment—Processes Governmental groupings Information media Biogeochemical cycles Fluctuations in animal and Industrial groupings Law-keeping media Irradiation plant growth Commercial groupings Health services Climatic processes Changes in soil fertility, salinity, Political groupings Community groupings Photosynthesis alkalinity Religious groupings Family groupings Animal and plant growth Host/parasite interactions, and Educational groupings epidemic processes Products of Labor Human Population—Demographic Aspects The built-up environment: Food Population structure: Population size • Buildings Pharmaceutical products • Age Population density • Roads Machines • Ethnicity Fertility and mortality rates • Railways Other commodities • Economic Health statistics • Parks • Education Culture • Occupation Values Technology Human Activities and the Use of Machines Beliefs Literature Migratory movements Mining Attitudes Laws Daily mobility Industrial activities Knowledge Economic system Decision making Commercial activities Information

SOURCE: Boyden 1979.

ample of such studies is suitability analysis. As ex- technique” (1969). This technique involves maps of plained by Ian McHarg (1969), suitability analyses inventory information superimposed on one an- can be used to determine the fitness of a specific other to identify areas that provide, first, opportuni- place for a variety of land uses based on thorough ties for particular land uses and, second, constraints ecological inventories and on the values of land (Johnson, Berger, and McHarg 1979). Bruce Mac- users. The basic purpose of the detailed studies is to Dougall (1975) has criticized the accuracy of map gain an understanding about the complex relation- overlays and made suggestions on how they may be ships between human values, environmental oppor- made more accurate. tunities and constraints, and the issues being ad- Although there has been a general tendency dressed. To accomplish this, it is crucial to link the away from hand-drawn overlays, there are still occa- studies to the local situation. As a result, a variety of sions when they may be useful. For instance, they scales may be used to explore linkages. may be helpful for small study sites within a larger A simplified suitability analysis process is pro- region or for certain scales of project planning. It is vided in Figure 1.3. There are several techniques that important to realize the limitations of hand-drawn may be used to accomplish suitability analysis. overlays. As an example, after more than three or Again, it was McHarg who popularized the “overlay four overlays, they may become opaque; there are 18 CHAPTER 1

TABLE 1.3 the accuracy problems identified by MacDougall U.S. Geological Survey Land-Use and Land-Cover (1975) and others that become especially acute with Classification System for Use with Remote hand-drawn maps; and there are limitations for Sensor Data weighting various values represented by map units. Level I Level II Computer technology may help to overcome these 1 Urban or built-up land 11 Residential limitations. 12 Commercial and services Numerous computer program systems, called 13 Industrial geographic information systems (GIS), have been de- 14 Transportation, communications, and services veloped that replace the technique of hand-drawn 15 Industrial and commercial overlays. Some of these programs are intended to complexes model only positions of environmental processes or 16 Mixed urban or built-up land 17 Other urban or built-up land phenomena, while others are designed as compre- 2 Agricultural land 21 Cropland and pasture hensive information storage, retrieval, and evalua- 22 Orchards, groves, vineyards, tion systems. These systems are intended to im- nurseries, and ornamental prove efficiency and economy in information horticultural 23 Confined feeding operations handling, especially for large or complex planning 24 Other agricultural land projects. 3 Rangeland 31 Herbaceous rangeland 32 Shrub and brush rangeland 33 Mixed rangeland Step 6: Planning Area Concepts, Options, 4 Forestland 41 Deciduous forestland and Choices 42 Evergreen forestland 43 Mixed forestland This step involves the development of concepts for 5 Water 51 Streams and canals 52 Lakes the planning area. These concepts can be viewed as 53 Reservoirs options for the future based on the suitabilities for 54 Bays and estuaries the use(s) that give a general conceptual model or 6 Wetland 61 Forested wetland scenario of how problems may be solved. This 62 Nonforested wetland 7 Barren land 71 Dry salt flats model should be presented in such a way that the 72 Beaches goals will be achieved. Often more than one sce- 73 Sandy areas other than beaches nario has to be made. These concepts are based on a 74 Bare exposed rocks logical and imaginative combination of the infor- 75 Strip mines, quarries, and gravel pits mation gathered through the inventory and analysis 76 Transitional areas steps. The conceptual model shows allocations of 77 Mixed barren land uses and actions. The scenarios set possible direc- 8 Tundra 81 Shrub and brush tundra 82 Herbaceous tundra tions for future management of the area and there- 83 Bare ground fore should be viewed as a basis for discussion where 84 Mixed tundra choices are made by the community about its 9 Perennial snow ice 91 Perennial snowfields future. 92 Glaciers Choices should be based on the goals of the SOURCE: Anderson et al. 1976. planning effort. For example, if it is the goal to protect agricultural land, yet allow some low-density housing to develop, different organizations of the environment for those two land uses should be de- 19 INTRODUCTION

FIGURE 1.3 Suitability analysis procedure. 20 CHAPTER 1

veloped. Different schemes for realizing the desired should be left so that local officials and land users preferences also need to be explored. can adjust their practices to new economic demands The Dutch have devised an interesting approach or social changes. to developing planning options for their agricul- This step represents a key decision-making tural land reallocation projects. Four land-use op- point in the planning process. Responsible officials, tions are developed, each with the preferred scheme such as county commissioners or city council mem- for a certain point of view. Optional land-use bers, are often required by law to adopt a plan. The schemes of the area are made for nature and land- rules for adoption and forms that the plans may take scape, agriculture, recreation, and urbanization. vary widely. Commonly in the United States, plan- These schemes are constructed by groups of citi- ning commissions recommend a plan for adoption zens working with government scientists and plan- to the legislative body after a series of public hear- ners. To illustrate, for the nature and landscape ings. Such plans are called comprehensive plans in scheme, landscape architects and ecologists from much of the United States but are referred to as gen- the Staatsbosbeheer (Dutch Forest Service) work eral plans in Arizona, California, and Utah. In some with citizen environmental action groups. For agri- states (like Oregon) there are specific, detailed ele- culture, local extension agents and soil scientists ments that local governments are required to in- work with farm commodity organizations and clude in such plans. Other states permit much flexi- farmer cooperatives. Similar coalitions are formed bility to local officials for the contents of these plans. for recreation and urbanization. What John Fried- On public lands, various federal agencies, including mann (1973) calls a dialogue process begins at the the USFS, the U.S. National Park Service (NPS), and point where each of the individual schemes is con- the U.S. Bureau of Land Management (BLM), have structed. The groups come together for mutual specific statutory requirement for land management learning so that a consensus of opinion can be plans. reached through debate and discussion. The term landscape plan is used here to empha- Various options for implementation also need to size that such plans should incorporate natural and be explored, which must relate to the goal of the social considerations. A landscape plan is more than planning effort. If, for example, the planning is be- a land-use plan because it addresses the overlap and ing conducted for a jurisdiction trying to protect its integration of land uses. A landscape plan may in- agricultural land resources, then it is necessary not volve the formal recognition of previous elements in only to identify lands that should be protected but the planning process, such as the adoption of policy also the implementation options that might be em- goals. The plan should include written statements ployed to achieve the farmland protection goal. about policies and implementation strategies as well as a map showing the spatial organization of the Step 7: Landscape Plan landscape.

The preferred concepts and options are brought to- Step 8: Continued Citizen Involvement and gether in a landscape plan. The plan gives a strategy Community Education for development at the local scale. The plan provides flexible guidelines for policymakers, land managers, In Step 8, the plan is explained to the affected public and land users on how to conserve, rehabilitate, or through education and information dissemination. develop an area. In such a plan, enough freedom Actually, such interaction occurs throughout the 21 INTRODUCTION

planning process, beginning with the identification logical, more sustainable design; these include John of issues. Public involvement is especially crucial as Lyle, Robert Thayer, Sim Van der Ryn, Carol the landscape plan is developed, because it is impor- Franklin, Colin Franklin, Leslie Jones Sauer, Rolf tant to ensure that the goals established by the com- Sauer, and Pliny Fisk. Michael and Judith Corbett munity will be achieved in the plan. with others helped merge these two strains in the The success of a plan depends largely on how Ahwahnee Principles (Local Government Commis- much people affected by the plan have been in- sion 1991; Calthorpe et al. 1998). (See Table 1.4.) volved in its determination. There are numerous ex- Ecological design, according to David Orr, is amples of both government agencies and private “the capacity to understand the ecological context businesses suddenly announcing a plan for a project in which humans live, to recognize limits, and to get that will dramatically impact people, without first the scale of things right” (1994, 2). Or, as Sim Van having consulted those individuals. The result is der Ryn and Stuart Cowan note, ecological design predictable—the people will rise in opposition seeks to “make nature visible” (1996, 16). These against the project. The alternative is to involve peo- principles provide clear guidance for ecological de- ple in the planning process, soliciting their ideas and sign (see also Grant et al. 1996, Beatley and Man- incorporating those ideas into the plan. Doing so ning 1997). While some designers and planners may require a longer time to develop a plan, but lo- might object to the placement of design within the cal citizens will be more likely to support it than to planning process, in an ecological perspective such oppose it and will often monitor its execution. placement helps to connect design with more comprehensive social actions and policies. Step 9: Design Explorations Step 10: Plan and Design Implementation To design is to give form and to arrange elements spatially. By making specific designs based on the Implementation is the employment of various landscape plan, planners can help decision makers strategies, tactics, and procedures to realize the goals visualize the consequences of their policies. Carry- and policies adopted in the landscape plan. The Ah- ing policies through to arranging the physical envi- wahnee Principles provide guidelines for imple- ronment gives meaning to the process by actually mentation (Table 1.4). On the local level, several dif- conceiving change in the spatial organization of a ferent mechanisms have been developed to control place. Designs represent a synthesis of all the previ- the use of land and other resources. These tech- ous planning studies. During the design step, the niques include voluntary covenants, easements, short-term benefits for the land users or individual land purchase, transfer of development rights, zon- citizen have to be combined with the long-term eco- ing, utility extension policies, and performance nomic and ecological goals for the whole area. standards. The preference selected should be appro- Since the middle 1980s, several architects have priate for the region. For instance, in urban areas called for a return to traditional principles in com- like King County, Washington, and Suffolk County, munity design. These “neotraditionals” or “new ur- New York, traditional zoning has not proved effec- banists” include Peter Calthorpe, Elizabeth Plater- tive for protecting farmland. The citizens of these Zyberk, Andres Duany, Elizabeth Moule, and counties have therefore elected to tax themselves to Stefanos Polyzoides. Meanwhile, other architects purchase farmland preservation easements from and landscape architects have advocated more eco- farmers. In more rural counties like Whitman 22 CHAPTER 1

TABLE 1.4 The Ahwahnee Principles Preamble: 10. Each community or cluster of communities should have Existing patterns of urban and suburban development seri- a well defined edge, such as agricultural greenbelts or ously impair our quality of life. The symptoms are: more wildlife corridors, permanently protected from develop- congestion and air pollution resulting from our increased ment. dependence on automobiles, the loss of precious open 11. Streets, pedestrian paths, and bike paths should con- space, the need for costly improvements to roads and public tribute to a system of fully-connected and interesting services, the inequitable distribution of economic resources, routes to all destinations. Their design should encour- and the loss of a sense of community. By drawing upon the age pedestrian and bicycle use by being small and spa- best from the past and the present, we can plan communi- tially defined by buildings, trees and lighting; and by ties that will more successfully serve the needs of those who discouraging high-speed traffic. live and work within them. Such planning should adhere to Regional Principles: certain fundamental principles. 1. The regional structure should be integrated within a Community Principles: larger transportation network built around transit 1. All planning should be in the form of complete and in- rather than freeways. tegrated communities containing housing, shops, work 2. Regions should be bounded by and provide a continu- places, schools, parks, and civic facilities essential to the ous system of greenbelt/wildlife corridors to be deter- daily life of the residents. mined by natural conditions. 2. Community size should be designed so that housing, 3. Regional institutions and services (government, stadi- jobs, daily needs, and other activities are within easy ums, museums, etc.) should be located within the urban walking distance of each other. core. 3. As many activities as possible should be located within Implementation Strategies: easy walking distance of transit stops. 1. The general plan should be updated to incorporate the 4. A community should contain a diversity of housing above principles. types to enable citizens from a wide range of economic 2. Rather than allowing for developer-initiated, piecemeal levels and age groups to live within its boundaries. development, a local government should initiate the 5. Businesses within the community should provide a planning of new and changing communities within its range of job types for the community’s residents. jurisdiction through an open planning process. 6. The location and character of the community should be 3. Prior to any development, a specific plan should be used consistent with a larger transit network. to define communities where new growth, infill, or re- 7. The community should have a center focus that com- development would be allowed to occur. With the adop- bines commercial, civic, cultural, and recreational uses. tion of specific plans, complying projects can proceed 8. The community should contain an ample supply of spe- with minimal delay. cialized open space in the form of squares, greens, and 4. Plans should be developed through an open process and parks whose frequent use is encouraged through place- in the process should be provided illustrated models of ment and design. the proposed design. 9. Public spaces should be designed to encourage the attention and presence of people at all hours of the day and night.

SOURCE: Calthorpe et al. 1998.

County, Washington, and Black Hawk County, mance standards. Like many other planning imple- Iowa, local leaders have found traditional zoning ef- mentation measures, performance standards is a fective. general term that has been defined and applied in One implementation technique especially well several different ways. Basically, performance stan- suited for ecological planning is the use of perfor- dards, or criteria, are established and must be met 23 INTRODUCTION

before a certain use will be permitted. These criteria the early 1990s, a counterforce to 1000 Friends of usually involve a combination of economic, envi- Oregon was organized; “Oregonians in Action” is a ronmental, and social factors. This technique lends property-rights group that is opposed to the pro- itself to ecological planning because criteria for spe- gressive statewide planning program. cific land uses can be based on suitability analysis.

Step 11: Administration Working Plans

In this final step, the plan is administered. Adminis- A method is necessary as an organizational frame- tration involves monitoring and evaluating how the work for landscape planners. Also, a relatively stan- plan is implemented on an ongoing basis. Amend- dard method presents the opportunity to compare ments or adjustments to the plan will no doubt be and analyze case studies. To adequately fulfill re- necessary because of changing conditions or new sponsibilities to protect the public health, safety, and information. To achieve the goals established for the welfare, the actions of planners should be based on a process, planners should pay special attention to the knowledge of what has and has not worked in other design of regulation review procedures and of the settings and situations. A large body of case study management of the decision-making process. results can provide an empirical foundation for Administration may be accomplished by a com- planners. A common method is helpful for both mission comprising citizens with or without the practicing planners and scholars who should probe support of a professional staff. Citizens should play and criticize the nuances of such a method in order an important role in administering local planning to expand and improve its utility. through commissions and review boards that over- The following chapters are organized roughly see local ordinances. To a large degree, the success of parallel to the method. The identification of plan- citizens’ boards and commissions depends on the ning problems and opportunities is not discussed extent of their involvement in the development of independently because it is assumed that once an is- the plans that they manage. Again, Oregon provides sue has been defined, a process such as the one dean excellent example of the use of citizens to admin- scribed here will be triggered. In addition, many of ister a plan. The Land Conservation and Develop- the techniques described in the next chapter can be ment Commission (LCDC), comprising seven used to both define issues and establish goals. Also, members who are appointed by the governor and there are no separate discussions of regional- and supported by its professional staff, is responsible for local-level ecological inventories (Steps 3 and 4) be- overseeing the implementation of the state land-use cause the techniques used are similar. Instead, there planning law. Another group of citizens, 1000 are separate detailed descriptions of inventories and Friends of Oregon, monitors the administration of analyses of the biophysical environment and the hu- the law. The support that the law has received from man community. the public is evidenced by the defeat of several at- The approach suggested here should be viewed tempts to abolish mandatory statewide land-use as a working method. The pioneering forester Gif- planning in Oregon. However, as Department of ford Pinchot advocated a conservation approach to Land Conservation and Development (DLCD) staff the planning of the national forests. His approach member Ron Eber observes, “It is a myth that plan- was both utilitarian and protectionist, and he be- ning is easy in Oregon—it is a battle every day!” lieved “wise use and preservation of all forest re- (personal communication 1999). For example, in sources were compatible” (Wilkinson and Anderson 24 CHAPTER 1

1985, 22). To implement this philosophy, Pinchot in ment sustains us as creatures; landscape displays us his position as chief of the U.S. Forest Service re- as cultures” (1979, 3). As an artifact of culture, land- quired “working plans.” Such plans recognized the scapes are an appropriate focus of planners faced dynamic, living nature of forests. In the same vein, with land-use and environmental management is- the methods used to develop plans should be viewed sues. Ecology provides insight into landscape pat- as a living process. However, this is not meant to im- terns, processes, and interactions. An understanding ply that there should be no structure to planning of ecology reveals how we interact with each other methods. Rather, working planning methods should and our natural and built environments. What we be viewed as something analogous to a jazz compo- know of such relationships is still relatively limited, sition: not a fixed score but a palette that invites im- but it is expanding all the time. As Ilya Prigogine provisation. and Isabelle Stengers have observed, “Nature speaks The method offered here has a landscape ecolog- in a thousand voices, and we have only begun to lis- ical—specifically, human ecological—bias. As noted ten” (1984, 77). by the geographer Donald W. Meinig, “Environ-

2 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

Human communities are dynamic where change is inherent and integral. Change is challenging—often presenting an opportunity and a problem simultaneously. For communities, it is important to sort out the important issues associated with change and to develop strategies for coping with the adjustments that may be necessary. Involving people in decisions about the future is one way to help communities address change. Participation is “the process by which public concerns, needs, and values are incorporated into governmental decision making” (Creighton 1992, 10) and “wherein citizens and government officials jointly plan or implement public policies” (Sarkissian 1994, 11). James Creighton (1992) identifies eight benefits of public participation: (1) improved quality of decisions, (2) the minimization of costs, (3) consensus building, (4) increased ease of implementation, (5) the avoid- ance of worst-case confrontations, (6) the maintenance of credibility and legitimacy, (7) the anticipation of public concerns and attitudes, and (8) the development of public expertise and creativity. Even though there are many benefits, citizens “will not participate in a . . . planning process unless: there are tangible

27 28 CHAPTER 2

issues, they consider the issues significant, and they feel comprehensive management plan for the New Jersey their participation has a reasonable chance of making Pinelands are two examples of planning that is goal a difference” (Institute for Participatory Management oriented and that emphasizes ecological concerns. and Planning 1997, III-12). Wendy Sarkissian observes that the following four components are required for citizen participation: Techniques for Involving People in the • Both citizens and government tacitly or explic- Identification of Issues and the itly agree to cooperate with each other in the for- Establishment of Goals mation of policy. • An atmosphere of mutual trust and respect must The most straightforward means of arriving at spe- dominate the process, although cooperation cific planning goals in a democratic society is by vot- need not be complete at all times. ing. However, before goals reach a vote, they must be • Both parties have real power to affect public- defined. In addition, many issues do not reach a pop- policy decision-making. Although one side may ular vote and are decided through actions by the leg- have more power than the other, the power of islative and/or the administrative branches of gov- neither side may be trivial. ernment. As a result, a variety of means have been • As a process, rather than as a stable state, partici- developed to identify issues, to establish goals, and to pation may evolve or regress. It is possible that assess public opinion about potential issues and cooperation may deepen or there may be a re- goals. Some techniques include the use of task forces, turn to conflict (1994, 11). citizens’ and technical advisory committees, neighborhood planning councils, group dynamics, nomi- Strategic planning is a process developed by busi- nal-group workshops, focus groups, and Delphi (Gil nesses to set the course of change by linking plans to de- and Lucchesi 1979). Policy Delphi is a variation on cision making. The process has also been adopted by the traditional Delphi technique. Once potential NGOs, public agencies, and communities to chart their goals are set, politicians and public officials often de- futures. The strategic planning process begins with an pend on opinion polls for public reaction. Public “environmental scan,” which helps to identify key issues opinion polls are also used to survey the problems and the context. The environmental scan has some par- and opportunities of an area and thereby to identify allels to the ecological inventory that will be discussed issues. An alternative to impersonal polling is the in the next two chapters. After the scan is completed, noisy, often emotional American tradition of the the organization writes a mission statement, that is, a town meeting, or its stepchild, the public hearing. brief declaration of the purposes for which the unit exists and functions. The mission statement attempts to Task Forces clearly delineate the purpose of the unit and its plan. It may be helpful for the individuals undertaking the plan A task force is an ad hoc agency-sponsored citizens’ to draft a mission statement at an early stage in the committee with a well-defined problem-solving or planning process. This mission should be linked to the specific task and charge relating usually to a single key issues to be addressed in the planning process. problem or subject (Gil and Lucchesi 1979). Such a Early on, draft goals can be established to direct the specific task may be establishing goals for a plan. process. These goals will be refined through the pro- The existence of task forces is temporary. The di- cess and eventually formally adopted (see Chapter 7). rected purpose of a task force means membership is The Oregon statewide land-use planning law and the limited in number to allow all members to partici- 29 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

pate actively and effectively. Typical task forces vary purpose is to advise some decision-making body in size from 8 to 20 participants. Task forces usually such as a planning commission, an agency staff, or a rely on planning agencies for technical assistance developer (Gil and Lucchesi 1979). and support but sometimes engage outside experts Citizens’ advisory committees have become in- (U.S. Department of Transportation 1976a, 1976b). creasingly popular for goal setting and policymak- For example, a county board of commissioners ing by legislative bodies (Institute for Participatory organizes a task force to explore the feasibility of es- Planning 1978). Citizens’ advisory committee is a tablishing a goal to protect prime farmland from de- generic term that covers a variety of committees and velopment. The commissioners must first answer councils differing in type, membership, and opera- two questions: Who should be appointed to the task tions. Most, however, share the following character- force, and what should be the scope of the task force’s istics: limited power and authority, large member- activities? The county is experiencing considerable ship (50 to 100 members), agency staff providing growth, so the commissioners seek to act as quickly technical assistance, a life span that is tied to the par- as possible. They select a six-person task force: a soil ticular program or project, and infrequent meetings conservationist, an extension specialist, two farmers of full membership (U.S. Department of Trans- (one who already serves on the planning commis- portation 1976a). sion, and one who is on the board of the soil and wa- Technical advisory committees are groups that ter conservation district), a banker, and a local envi- represent bodies of technical or scientific informa- ronmental activist (who is a retired high-school tion important to a planning commission, agency, history teacher). The commissioners direct the or developer. Often these groups are interdiscipli- county planning department and the county attor- nary or multidisciplinary. Citizens’ and technical ney to provide staff support for the task force. advisory committees may be organized similar to The commissioners request that the task force task forces. However, their role encompasses a answer a series of questions within a three-month broader scope than an individual task. These groups schedule. How serious is the issue of farmland con- may be involved in identifying issues, setting goals, version in the county? What are the economic and and later establishing preferences as well as imple- fiscal consequences of the conversion? What has menting the plan. Sometimes, such committees call been the level of past public investment in agricul- themselves “collaboratives” to emphasize their co- ture in the county? Are some lands better suited for operative intentions. agriculture than others? What state laws and pro- Technical advisory committee is also a generic grams encourage agricultural land protection? Are term. It may be an intraagency committee made up other counties in the state facing the same issue? If of representatives from various staffs involved with so, what actions have those counties undertaken? By or interested in a specific program or project, or it focusing on such questions the task force can help may be a group outside an agency from universities the county commissioners assess the farmland con- or consulting companies. version issue and determine if a protection goal is warranted. Neighborhood Planning Councils

Citizens’ Advisory Committees and Technical Neighborhood planning councils are organizations Advisory Committees formed by citizens or an outside community organizer that engage in a number of neighborhood Citizens’ advisory committees are presumed to repre- programs as well as in advocacy and advice (Gil and sent the ideas and attitudes of local groups. Their Lucchesi 1979). In some cities, these groups are 30 CHAPTER 2

called village planning committees or community available in support of, and resistant to, change. planning councils. Neighborhood planning councils Such techniques stress awareness of the need for came into wide use during the 1960s as a result of change and levels of change, methods for develop- federally funded programs such as urban renewal ing the goals of change, and the overcoming of resis- and model cities. These locally based councils serve tance to change” (1979, 538). Dan Iacofano (1990) as advisory bodies to elected officials and public identifies citizen participation as an organizational agencies in identifying neighborhood problems development process for environmental and com- and issues, formulating goals and priorities, and munity planning. implementing and evaluating plans (U.S. Depart- Once organized, neighborhood-level planning ment of Transportation 1976a). Sometimes, they councils may assist in the setting of goals for larger may be used to assist in spending federal or state communities and provide public participation in community development grants. In such cases, other stages of the planning process. Their effective- spending is linked to neighborhood issues and ness is dependent on the skill with which they are goals. Neighborhood councils are usually purely organized and the level of interest in the neighbor- advisory in nature and seldom have any decision- hood. Pitfalls include the inability of neighborhood making authority. groups to connect local issues to the needs of the Organizing neighborhood groups is a complex larger society, and the ephemeral nature of some of task. Two approaches familiar to many planners are these groups. the Alinsky approach and organization development. The former was developed by the famous Chicago Group Dynamics organizer Saul Alinsky. The steps in the Alinsky (1946) approach include entering the community, Group dynamics is a generic term for a variety of sizing it up, making contacts, bringing people to- problem-solving techniques used to clarify goals, gether, developing leadership, working with organi- encourage group interaction, and resolve conflicts zations, setting priorities, developing power tactics, within citizen groups (Gil and Lucchesi 1979). The building political power, working on self-help many techniques vary in their level of sophistication strategies, and exiting from the community. and degree of activity but share some common Organization development is a discipline that characteristics, including: evolved from group dynamics and field theory, which were established by psychologist Kurt Lewin. • Small-group involvement. Techniques are de- Students and followers of Lewin, including Chris signed for small groups ranging from 5 to 25 Argyris, Warren Bennis, Carl Rogers, Edgar Schein, members. If a larger membership is involved, and other behavioral scientists, differ from tradi- the participants are divided into small groups. tional social scientists in that their role as practi- • Skilled leadership. Techniques require the di- tioners, or change agents, occurs in organizations rection of a group leader knowledgeable in outside the academic environment. Organization and comfortable with the use of the particular development has been used extensively in large cor- technique. The role of the leader involves set- porate structures. Some community planners have ting the stage for the technique by providing a adapted these techniques for neighborhood-level general introduction and rationale, directing organizing. Richard Bolan explains organization de- the process and specific activities that may be velopment in the following way: “The change agent, required, and generally keeping the process together with the client group, analyzes the forces going to its conclusion. 31 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

• Structured process. Each technique involves a Afterward, each person presents one issue to the controlled, specified activity or series of or- small group and why he or she considers it to be im- dered activities and/or tasks for all members portant. These issues are listed on a blackboard or of the group. on a large sheet of paper. Members of the group take • Timing. Each technique covers a specific time turns presenting issues until all issues are exhausted. span ranging from 30 to 90 minutes for com- The nominal groups’ issues are then presented to pletion (U.S. Department of Transportation the whole body. Often only the top 5 or 10 issues 1976a, 104–105). from the nominal groups are presented to the larger group. Next, a vote is taken. Each person ranks what Group dynamics can be employed at almost any he or she considers to be the most important issues. stage of the planning process, including issue identi- Often the top 5 or 10 issues are listed on the ballot. fication and goal setting, in which the public is par- The voting may be done using paper ballots; it is ticipating in an advisory committee, a task force, or also becoming popular to vote using computers that a neighborhood council. Some strategies employed give an instant tally (Delbecq et al. 1975; Institute through group dynamics include empathy, feed- for Participatory Planning 1978; Institute for Partic- back, videotaped group interview, brainstorming, ipatory Management and Planning 1997). nominal-group workshops, and role playing (U.S. Next, the ballots are counted and ranked. This Department of Transportation 1976a). ranking is followed by general discussion. People lobby for and against issues. Another vote is taken, Nominal-Group Workshops and the results are listed in priority. If the ranking has drastically changed, then another round of dis- Nominal-group workshops are one form of group cussion, lobbying, and voting ensues. This contin- dynamics. The Institute for Participatory Manage- ues until a consensus is reached (Delbecq et al. 1975; ment and Planning (formerly the Institute for Par- Institute for Participatory Planning 1978; Institute ticipatory Planning) of Monterey, California, ex- for Participatory Management and Planning 1997). plains the concept in the following way: “This Nominal-group workshops have been used effec- technique is built on the premise that any reason- tively first to identify problems and opportunities ably representative group of people who are con- for an area and then to set goals. cerned with a project [or issue], identify virtually all of the problems associated with a project [or issue] Focus Groups and can make the individual compromises that are necessary for coming up with a single list of priori- Focus groups were developed by business to elicit ties or preferences” (1978, V-6). opinions and information about new or existing The nominal-group technique works in the fol- products. Similarly, social scientists and planners lowing manner. A large group is brought together use focus groups to assess public opinion about is- and given a balanced presentation of the project or sues and to help set goals (Krueger 1988; Leach subject being addressed by the workshop. This large 1992). A focus group consists of between 7 and 10 group is then divided into nominally small groups of people who are not acquainted with one another but 5 to 12 people. Each person then fills out several who share similar backgrounds. The focus group blank 3 × 5 cards without consulting others in the participants are brought together, typically for a group. On each card, the individual writes one major two-hour session, in a quiet, private room. An expe- issue and several reasons why this issue is important. rienced facilitator guides and focuses discussion by 32 CHAPTER 2

munity-oriented growth; neighborhood identity; local employment opportunities; regional context; the sense of community; market feasibility and ac- ceptability; density; implementation obstacles; open space; pedestrian environments; and biodiversity. The design and policy implications for each theme were probed. An important task of the facilitator was to ensure that each participant had an opportunity to contribute and that the meeting was not dominated by a few individuals. The focus group sessions were tape recorded, photographed, and videotaped. A checklist for the focus group organization During the planning process, members of a group present identified the following key items: issues identified as important, listing them on large sheets of paper. • Invitations • Vehicle (set time for departure; riders) asking open-ended questions of each group mem- • Video (tapes; operator; equipment; extension ber (Leach 1992). Richard Krueger notes that “Focus cords) groups can improve the planning and design of new • Refreshments (coolers; ice; food; sodas and programs, provide means of evaluating existing water; plates, napkins, and straws) programs, and produce insights for developing mar- • Script keting strategies” (1988, 15). • Facilitator For example, a planning research team at Ari- • Transcript zona State University received a grant from the U.S. • Themes Environmental Protection Agency (EPA) for sus- • Release forms tainable community design (Ingley 1998). The team • Roster selected two sites for the designs: one in central • Presentation aids (easels; flip charts; site aerial Phoenix and the other on the suburban fringe of photographs; paper and pencils) Scottsdale. Five focus groups were organized: one each involving neighbors to the two sites; one that A script for the facilitator included the following: included representatives of environmental groups and the environmental sciences; one comprised of 1. Housekeeping: developers; and one made up of architects, land- • Introductions. scape architects, and planners. • Reminder about sign-in, release, and com- About 20 people attended each of the sustainable ments forms. development focus group meetings. Each meeting • Explanation of video: for record of pro- had a facilitator who was responsible for a tightly ceedings and capture of all ideas. structured agenda. The structure of the agenda par- • Feel free to get up if you need a break, re- alleled key sustainable neighborhood design themes, freshments, or restroom. including community facilities; circulation; crime, • Please keep comments brief (30 seconds); safety, and security; air and ground pollution; habi- we want to hear from everyone; record your tat restoration; energy use; building materials; com- ideas on notepads. 33 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

• As facilitator, I’m not here to share my logical forecasting and is a technique that relies ideas, rather my role is to direct answers to strongly on experts. The name Delphi is taken from group; there are no right or wrong answers. the ancient Greek city where travelers went to con- • This is not a debate about specifics. Site is sult the oracle about the future (Linstone and Tur- representative of fringe (or infill) develop- off 1975; U.S. Department of Transportation 1976a; ment in sensitive desert. Institute for Participatory Management and Plan- 2. Objectives: ning 1997). The idea is to conduct consecutive • Capture your visions for development on rounds of argument, offering different points of the suburban fringe (or infill development). view about a project or issue, until finally reaching • What do you think are the important ele- a consensus. It is an indirect technique, compared ments for neighborhood design that con- to the direct citizen participation approaches in- tribute to community well-being? volved in group dynamics. • Present your ideas for appropriate, sustain- Delphi works in the following manner. Experts able development on the study site. are chosen to form a Delphi panel. The Institute for 3. Discussion questions: Participatory Management and Planning suggests Tell the group briefly about yourself: this may be done by conducting a survey among peo- • Where you live. ple knowledgeable about a particular issue. This can • Your interest in the site, or in fringe devel- be accomplished, for example, through a biblio- opment in general. graphical search of the literature about the issue. How do you think the city is doing in terms of From the survey, well-informed individuals are environmentally sensitive development? identified. These persons are contacted and asked to • What are the problems that need to be nominate others who are also knowledgeable about fixed? the subject. They are then contacted and asked to • What is appropriate with regard to: density; nominate their own list of experts. After a while, the open space; habitat protection; waste gen- same names keep reappearing. Experts representing eration and disposal; energy consumption; different points of view are sought. For instance, if water consumption? one is trying to establish land-use goals for a reclaimed strip mine, one expert from the mining in- How does neighborhood design help to cre- dustry may be identified, while another may be from ate a sense of community? What elements a nature conservancy, another from agriculture, and should it contain? so on. The leading experts from the various points of What are your views regarding “appropriate view become a Delphi panel that is never to meet or development” for the site? Use the outline know who the other members of the panel are (Insti- maps in front of you or describe them in a se- tute for Participatory Planning 1978; Institute for ries of statements. Participatory Management and Planning 1997). This panel of 8 to 12 experts is asked to predict What needs to be changed in order for your the future of the project or issue. These predictions vision to become reality? are compiled and distributed to the panel without Delphi identifying the authors. The panel reviews the prophesies and each expert is given the opportunity Delphi, developed in the 1950s by the RAND Cor- to change his or her own. If the predictions are poration, was originally used as a means of techno- changed, then a second round is conducted. The 34 CHAPTER 2

process is continued until the panel members reach 2. Exposing the options. Given the issue, what are a consensus or remain firm in their forecasts. The the policy options available? predictions may then be used by a citizens’ advisory 3. Determining initial positions on the issues. committee, technical advisory committee, neigh- Which are the ones everyone already agrees borhood council, planning commission, and/or upon and which are the unimportant ones to agency staff to establish goals and policy for the be discarded? Which are the ones exhibiting project or issue. disagreement among the respondents? 4. Exploring and obtaining the reasons for dis- Policy Delphi agreements. What underlying assumptions, views, or facts are being used by the individu- Policy Delphi is an extension of traditional Delphi als to support their respective positions? techniques. It usually involves a 7- to 15-member 5. Evaluating the underlying reasons. How does Delphi Expert Opinion Panel (Pease and Coughlin the group view the separate arguments used 1996; Steiner et al. 1994), although de Loë notes it to defend various positions and how do they “can be used to facilitate interaction in groups of up compare to one another on a relative basis? to 50 people” (1995, 53). 6. Reevaluating the options. Reevaluation is Like traditional Delphi, Policy Delphi is a multi- based on the views of the underlying “evi- ple-round, interactive technique. But whereas tradi- dence” and the assessment of its relevance to tional Delphi is characterized by anonymity, the each position taken (adapted from Turoff Delphi Expert Opinion Panel meets and its mem- 1975 by de Loë 1995, 58). bers interact. The group can consist of public em- ployees with a technical knowledge of the planning The foregoing techniques are the major ones focus, representatives of business and industry, and used for identifying issues and establishing goals. members of public-interest groups and the public. These and others may be used in the subsequent Needham and de Loë observe that purposes of stages of the planning process. The Institute for Par- Policy Delphi include identifying “problems and is- ticipatory Management and Planning has developed sues or . . . to generate new information about prob- a matrix of citizen participation techniques and lems and issues” (1990, 134). Policy Delphi is espe- their relative effectiveness (Figure 2.1). Each plan- cially useful early in the planning process, when ning issue or project should help to determine the issues and preliminary goals are being identified. appropriate participation technique. An effort Robert de Loë (1995) argues that Policy Delphi be should be made to keep people involved in the sub- employed as a precursor to more in-depth work- sequent steps of the planning process. Sign-up shops or interviews. sheets should be collected at all meetings and those De Loë identifies Policy Delphi an “idea-gener- lists used to keep people informed over time. Con- ating strategy.” The technique was first proposed by tinual communication between the public and the Turoff (1970, 1975) and subsequently refined by de planning agency or consultant can create knowl- Loë (1995, 1990 with Needham). Policy Delphi de- edgeable citizens who will support decisions that re- sign includes the following six steps: sult from the process. Some planners have found it helpful to maintain a clipping file of newspaper arti- 1. Formulation of the issues. What is the issue cles about public meetings to document public in- that really should be under consideration? volvement and the planning process. For many How should it be stated? planning processes, these direct participation tech- 35 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

niques need to be augmented by public opinion understand, as, for example, the siting of a nuclear polls to ensure that diverse views are recognized. power plant or hazardous waste disposal. Social and environmental issues are also becoming more com- Public Opinion Polls plex, requiring more specialized knowledge, and may not lend themselves to simple yes, no, maybe, Preference surveys, or public opinion polls as they are or no-opinion responses. more commonly known, have become a ubiquitous The second basis of criticism raised by Dillman part of American life. Surveys can be conducted concerning the use of surveys is the belief that “peo- through the mail, over the telephone, or by face-to- ple’s stated preferences are superficial and likely face interviews. Public opinion polls can be used to to change; thus, they can provide an inadequate ba- identify issues and to set goals. One of the leading sis for making decisions with long-lasting conse- practitioners of preference surveying, Don Dillman, quences” (1977, 32). A community’s perception of a a professor of sociology at Washington State Univer- need for a service—a school, hospital, or highway— sity, has suggested that there are three schools of may be higher than its willingness to pay for the thought concerning public opinion polls. The first is same service. A citizen may want the convenience of “do not conduct polls.” The second view is that sur- cheap electrical power or plastic garbage bags but veys are fundamental for community participation. resist the siting of a power generating plant or Finally, the third school of thought is that polls can chemical factory in her or his community. be useful—if done well. The final criticism is a technical one: “The pro- Preference surveys are popular for several rea- cedures used for assessing people’s preferences are sons. They are convenient for planners and other re- inevitably inadequate, leaving a very large gap be- searchers; a researcher does not have to leave the tween survey questions and policy questions they comforts of her or his office to write a survey or were supposed to address” (Dillman 1977, 32). Dill- compile the results. Moreover, results are relatively man (1978) gives several examples. For instance, a simple to tabulate. In this age of computers it is im- survey may ask very general questions, such as, “Do portant that research results can be tabulated for you consider juvenile delinquency to be a serious, statistical analysis. Finally, polls can be used to moderate, slight, or no problem in this commu- demonstrate that the government pays attention to nity?” and then attempt to use them to address a what the people are saying; thus, “because the gov- specific issue: “Should we increase the parks and ernment is responsive, democracy is working.” recreation budget by 25 percent?” The first of the arguments used by people who Dillman presents two models for policy surveys are pessimistic about the usefulness of polls is that (Figure 2.2). The first, the independent survey, is il- “people are not well enough informed or otherwise lustrative of the typical, simplistic one-shot survey. capable of stating their real preferences” (Dillman His alternative, the synchronized survey, is one that 1977, 31). Dillman questions whether people who can be used as an integral part of the entire planning never went to high school can effectively assess the process. In Chapter 4, surveys are discussed as a com- needs of higher education, or whether people whose munity inventory technique, while in Chapter 6, the medical experience consists of an annual checkup synchronized survey is presented as a means for the can accurately determine community health care selection of preferences among various choices. needs. Land-use and natural resource management Another form of opinion polling is the com- issues are equally complicated and may involve munity self-survey. In this less scientific approach, technical issues difficult for the average citizen to the people of an area write and collect a survey 36

CHAPTER 2

15 Mediate between polarized interests polarized between Mediate 15

among polarized PAIs polarized among

14 Search for commonn grounds grounds commonn for Search 14

that is communicated is that

13 Receive and understand information information understand and Receive 13

received and understood and received

12 Have your communications communications your Have 12

11 Nurture and protect your credibility your protect and Nurture 11

10 Articulate and clarify the key issues key the clarify and Articulate 10

9 Generate solutions Generate 9

relevant problems relevant

8 Identify all potentially potentially all Identify 8

through their eyes their through

7 Get to see the project project the see to Get 7

affected interests affected

6 Get to know all and potentially potentially and all know to Get 6

assumptions and earlier decisions earlier and assumptions

5 Establish and maintain the legitimacy of legitimacy the maintain and Establish 5

your processes your

4 Maintain the legitimacy of legitimacy the Maintain 4

your processes your

3 Establish the legitimacy of legitimacy the Establish 3

your agency and your project your and agency your

2 Maintain the legitimacy of legitimacy the Maintain 2

your agency and your project your and agency your 1 Establish the legitimacy of of legitimacy the Establish 1 2B 2C 2D 2A 2E 2I 2H 2F 9A 2J 2G 1D 9B 8 4B 10 1H 1I 1B 1E 3 11 1F 1C 5 1J 1G 7 6 13 14

Responsibility Responsiveness Effectiveness

2M 2N

Presenting the public full range of options “Go-fors” Advisory Committee

A H 2C Blue Ribbon Panel 2D Advisory Committee Watchdog 2A Popularity-type advice-giving Advisory Committee 2E Constituency-building Advisory Committee 2I “Foxes” Advisory Committee 2B Content-type advice-giving Advisory Committee 2F Consensus-building Advisory Committee 2J “Beavers” Advisory Committee 2K 2G Referee / third party negotiating Advisory Committee 1A meeting Working 1A 2L 4A interests and the media Producing and releasing materials to potentially affected 4A 9B Fishbowl planning 2M 4B 2 9 2N 10 terms Illustrating the final form of a solution in layman’s 1I 1B “Open” meeting 1E Public hearing 3 Nominal group workshop 11 Dealing with the public in Agency offices 1F Open house 1C Forum 5 Project or Agency newsletter 1J 1G meeting Town 1D Public mass meeting 12 Ombudsman 8 Mapping sociopolitical and environmental data 7 interests about your PS/DM processes Educating the potentially affected 6 Idiot” “Napolean’s 1H Samoan Circle 13 Facilitating internal communication 14 Gaming and role-playing

0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Limitations of Meetings of Limitations – – – – – – – – – – – – +

– – Limitations of Written Communications Written of Limitations

– + –

–

Creation of Record of Creation + + + + + + + + + + + + + –

+ + + +

+ + – + +

+ + +

–

Flexibility and Adaptability and Flexibility + – + + + +

+ + + – ++ + ++ ++ + +– + ++ Difficulty + – – – – – – + – – + + – – +

– + – – + – – – – – – –++ –++ –+ –+ Risk – – – – –

– – + – – – + – + – – – – – – – + – + – – – + – – + – + – – + –– –– Other Costs Other – – – – – – – – +

– – – –

+– +– +– +–

– Time Demanding... Calendar Time Calendar Demanding... Time – – – – – – – – – – – – – – – + – + – – +

– – – + – – –

– – –

$ Costs... Expensive: (–)... Cheap: (+) Cheap: (–)... Expensive: Costs... $ – – – – – +

+ + +

Techniques’ other PROs and CONs Techniques’ – – – – – – –

– – – – –

++ – – – + + – – –

+ ++ – +– +– – CP Techniques Number... Techniques CP 2A 2I 1J 0 2C 0 2D 0 2E 0 2B 0 2F 0 2J 0 0 2G 0 1A 0 9B 0 2K 0 2L 0 2H 0 1E 0 1B 0 2M 0 4B 0 10 0 9A 0 3 0 2N 0 4A 0 11 0 1I 0 0 1C 0 1F 0 5 0 12 0 1G 0 1D 0 7 0 0 1H 0 13 0 6 0 8 0 14 37 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS 33C 31 33A 33A 20 38A 38B 38C 21A 33B 35A 37A 26 22A 37B 19 27 36A 15A 28 23 15B 24A 15C 25 29B 16A 16B 30 16C 32 16D 18 17

34B

21B

35B 37C

35C

22B 35D

22C

36B

24B

29A 15D

29C

(Source: Institute for Participatory and Planning 1997) Management Institute (Source: Conduct a background study A Responsiveness summary / listening log 1 “Good Samaritan” 7 5 8 Monitor the media, and other nonreactive research 34A Lost letter 33A “Delphi” crystal ball 34B 21B 38B 38C 21A Experience empathy 33B “Delphi” public survey 35A Hot line / 800# 35B 26 Hire an advocate, or “intervenor”, for one several PAIs 37C 22A Be a“Participant Observer” 33C “Delphi” intelligence gathering 35C 37B 19 Collect data; do a survey 22B 35D 27 Look for analogies 22C 36A Poster campaign 36B 20 past actions Examine PAI’s 15A Storefront “Drop-in” center 28 Develop a “Catalogue of potential solutions” 38A Interactive cable TV 23 on the project Employ local PAIs 15B field office Temporary 24A Monitor new developments in other systems 3 24B 15C Mobile office 29A “Charrette” 15D 2 29B Brainstorming session 16A Use existing: clubs; civic groups; other organizations 16B Use existing: newsletters; other publications; media; etc. 30 Conflict mediation 29C 16C Use existing: school systems; other institutions 32 Monitoring the actual impacts of your project 16D Use existing: parallel problem-solving efforts 3 17 Open a channel with each PI 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 + + + – – – – – – + –

– +

– –

– – – – + + + + + + + + + + + + – – –

+ –

+ + + + + – – – + + + + + + ++ ++ + – ++ – ++ ++ ++ + + ++ – ++ ++ – ++ + ++ + – – – + – – – – + + + ++

–– –– + – – + – – – –+ –

– + + – –++ – Citizen participation techniques and their relative effectiveness. effectiveness. participation and their relative Citizen techniques – – – – – – + + –

+ – – – – – +– – – – – – – – – – – – + + + + + + + + – – ++ – – – – + + – + + + + – – + – – – + – – + + – + + – + + + + + + + + + + + + – + – + + – – –

+ – + + –

+–+

+ + – + + + + + + + + + + + + + + + + + – – + – + – + – – + – –– + –

– + – – – –

–

+ + – + ++

+ –

26 19 0 34A 0 33A 0 34B 0 33B 0 21B 0 35A 0 38B 0 21A 0 38C 0 0 0 22A 0 33C 0 35B 0 37C 0 35C 0 27 0 37B 0 22B 0 35D 0 38A 0 20 0 22C 0 15A 0 36A 0 28 0 23 0 36B 0 37A 0 15B 0 29A 0 24A 0 15C 0 24B 0 25 0 15D 0 29B 0 16A 0 0 30 0 16B 0 16C 0 29C 0 32 0 16D 0 31 0 17 0 0 18 FIGURE 2.1 Figure 2.1 Planning, 1997) (Source: Institute for Participatory Management and Citizen participation techniques and their relative effectiveness 5 38 CHAPTER 2

FIGURE 2.2 Two models for bringing stated preferences to bear on policy decisions. (Source: Dillman 1977)

themselves instead of utilizing the services of an required by law. The origin of the American tradi- outsider. The benefit of a self-survey is that it allows tion of town meetings is in New England. According and even encourages people to think about the area to planning historian John Reps, in New England in which they reside (Littrell 1976). The disadvan- “the complete rural-urban settlement was called a tages include possible biases in drafting the survey town, a word that encompassed not only the nucle- and inaccuracies that may result in tabulating and ated urban-type settlement but the entire commu- analyzing the results. nity of village lots and farm fields as well” (1970, 147). This form of town continues in New England Town Meetings and Public Hearings and has had enduring influence in American politics. Whereas citizen participation and public opinion The New England town meeting was an out- polls may be desirable means to help a community growth of the need to provide defense and to settle identify issues and establish goals, they are under- agricultural matters. It was strengthened by the reli- taken at the discretion of local officials. Town meet- gious bond that brought the Puritan settlers from ings and public hearings, in contrast, are frequently England to the New World and their special political 39 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

adeptness. The topography and hostile native peo- Another contemporary heir of the New England ple reinforced the group consciousness already town meeting for most of the United States is the forged by religious persecution and military frater- public hearing. City planners have advocated public nity. hearings as an essential part of good government While the village became the focus of the New and comprehensive planning since the beginning of England community, agriculture became its chief the twentieth century. Hearings are now a part of occupation. Lots were drawn for house sites in the most municipal and county governments in the village, and the surrounding farmland was divided United States and are often mandated by federal and into long strips, also assigned by drawing lots. Reps state law. Planning commissions as well as the local explains the unique farming structure: legislative body—the city council or board of county commissioners—are often required to hold While the strips themselves were not fenced, it was the hearings in order to make plans and to amend them. usual practice to enclose an entire field by a wooden Nowadays, many local issues are debated at public paling. Each farmer then became responsible for his hearings and goals are discussed. A group of citizens proportionate share of the fencing.... [The group may raise an issue at a public hearing, and as a result met to determine] what would be grown, when they the planning commission, city council, or county should be harvested and what land should be left in commission may resolve to address the issue. fallow. Common cultivation was thus carried out Diori Kreske observes that public hearings “are (1970, 148). normally more formal than public meetings” (1996, 267). Many American states have strict laws that The Puritans who developed this system of com- govern the conduct of a hearing. According to mon fields, or proprietor’s commons, were not a po- Kreske, a “hearing may have (1) a public official who litically naive group. They had risen in the sixteenth presides over the hearing, (2) ground rules on how century in the Church of England, demanding the hearing will be conducted, (3) a speaker’s micro- greater strictness in religious discipline. During part phone and podium, and (4) a court reporter or tape of the seventeenth century they constituted a pow- recording of the proceedings, or both” (1996, 267). erful political party, ruling England briefly after its Often public hearings can provide the best en- bloody civil war. As a result, the New England town tertainment in town. Certainly they have more di- meeting was a sophisticated forum where defensive, mensions than the average television fare, but to agricultural, and other political matters were de- participate one must leave the comfortable confines cided after open debate and discussion. Today town of one’s own home. Many local governments have meetings continue to be an integral part of local experimented with broadcasting hearings on cable government in New England. television public access stations, but such programs Beginning with President Jimmy Carter, tele- seldom dent the Nielsen ratings. The result is that vised town meetings have become increasingly pop- public hearings become dominated by single-issue ular with politicians. He and other elected officials adversary groups or special interests. have used these broadcasted town meetings “as a Efraim Gil and Enid Lucchesi explain this situa- tool to stay in touch with the grass roots” (Institute tion in the following way: for Participatory Management and Planning 1997, V-15). Town meetings are usually semiformal in Citizen participation is most often stimulated by ex- their structure. The addition of television cameras isting social problems coupled with a lack of con- adds formality to the gatherings. fidence in official solutions—and it varies with 40 CHAPTER 2

economic and social conditions. When citizens feel that officials are making decisions similar to those that they themselves would make, or that these decisions necessitate special knowledge that the official has and the citizens do not have, or when they feel the decision is economically sound, they are not likely to actively participate in government. It is when these criteria of government performance are not being met that citizens lose confidence in government officials and the demand for the active participation arises (1979, 553–554).

Public hearings are a difficult forum in which to involve citizens in goal setting. Because such hearings are often a legal requirement, they may often assume a legal aura, which may intimidate citizens. Some participants have limited time, and goals are often written before such hearings. This means the goals may be composed by a planning staff, perhaps only with the advice of vested interests. Therefore, people must be involved through task forces, advisory committees, or workshops before goals are set. The role of citizen involvement is much debated. One school of thought holds that citizens are a nuisance and their participation should be avoided. An- other viewpoint is that public participation programs are little more than tokenism and are FIGURE 2.3 Coordinated planning and organizing. ineffective because citizens are excluded from actual (Source: MacNair 1981) decision making. Many feel there is a gap between government agencies and grassroots community organizations. Ray MacNair (1981) has proposed a model to link agency planning and citizen organiz- goals. For example, the local planning commission ing (Figure 2.3). Town meetings and public hearings may believe that rapid growth is causing problems can be used at strategic points in this model to im- such as linking new public services to new develop- prove communication between citizens and plan- ment and raising the funds to pay for those addi- ners. tional public services. Furthermore, members of the planning commission may have observed that the quality of the new development is below existing Goal Setting community standards, creating safety hazards for new residents and negatively impacting the prop- Often more than one citizen involvement technique erty values of existing homeowners. They may also will be used by planners to identify issues and to set observe that the siting of some new development is 41 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

causing environmental damage and creating poten- Michael Neuman, these plans “chart collective tial health and safety problems. hope.” Neuman argues that “we need to better un- The planning commissioners may then request derstand the connection of people to place to plan, the staff planner or a consultant to study the situa- if we want to respond to the needs of residents tion. The staff or consulting planner may conduct a rather than regulations” (1998a, 214). mail survey of the planning area to determine if indeed these perceptions are accurate. If the findings The Oregon Comprehensive Planning Law of the survey are affirmative, a task force may be organized to recommend goals for addressing the Beginning in the 1960s and continuing to the pres- problems created by the growth. These suggested ent, several states adopted ambitious, new land-use goals are presented at hearings before the planning planning laws. These new laws often prescribe that commission, which can in turn recommend that local governments adopt specific goals. Among the goals be established by the county commission or most far-reaching statewide planning efforts are city council. At this step in the planning process, those of Hawaii, Vermont, Oregon, and Florida goals should be considered preliminary. Still there (Bosselman and Callies 1971; Bosselman et al. 1973; should be some agreed-upon goal statement to Callies 1980; DeGrove 1984; Kelly 1993; Nelson and guide the rest of the process. To address the growth Duncan 1995). issue, for instance, the goal could be “to provide for The Oregon comprehensive law provides one of planned and orderly development within the plan- the best examples of statewide goal-oriented planning area, while balancing basic human needs of a ning. The Oregon program began in 1969 with changing population and maintaining a healthy en- Senate Bill 10 and expanded significantly with the vironment for future generations.” passage of Senate Bill 100 in 1973 (Carson 1998). In an ecological planning process, goals should With Governor Tom McCall and state senators be approached in an evolutionary manner. At this Hector Macpherson and Ted Hallek providing the early step in the planning process, some consensus leadership, Senate Bill 100 was created by the Ore- should be reached about the direction to be taken to gon legislature. The law established the Land Con- address the problems and opportunities facing the servation and Development Commission (LCDC), area. These aims should be debated and refined and authorized the governor to appoint citizen throughout the planning process, as suggested by members to the LCDC and the LCDC to coordi- the central position of Step 8 in Figure 1.1. At some nate planning in Oregon. The Department of Land point, goals need to be adopted formally. In Chapter Conservation and Development (DLCD) was 7, it is recommended that goals become part of a formed to administer the law. Nineteen goals landscape plan. were set as regulations to be followed by city and county governments throughout the state. (Since some goals are specific to coastal counties or those Two Examples of along the Willamette River, the number of goals Goal-Oriented Planning that local governments must follow varies with their location.) The goals were established in 1975 Most plans include goals. Few plans link goals to after a program of 127 citizen workshops that sustained action. Oregon and the New Jersey involved 10,000 participants (Pease 1984). Each Pinelands provide examples of planning efforts of these goals reveals much about the problems where goals direct decision making. To borrow from and opportunities facing Oregon and the policies 42 CHAPTER 2

established to address the planning issues raised by the implementation, evaluation, and revision of those problems and opportunities. plans. The 19 statewide goals are printed in a 24-page The second statewide goal addresses land-use newsprint tabloid that has been continuously re- planning. It is the second goal of Oregon: printed and distributed throughout the state since 1975. More recently the goals have also become To establish a land-use planning process and policy available on DLCD’s website (www.lcd.state.or.us). framework as a basis for all decisions and actions re- The tabloid and the website offer accessible easy-to- lated to the use of land and to assure an adequate fac- read formats. Definitions of the technical terms are tual base for such decisions and actions. City, county, provided. As a result, Oregon’s statewide goals are state, and federal agency and special district plans and familiar throughout the state. The goals are not a actions related to land use shall be consistent with the thick technical report that has languished and been comprehensive plans of cities and counties and re- forgotten on someone’s office bookshelf. Nor are gional plans (Land Conservation and Development the goals a vapid “vision” statement printed on Commission 1980, 4; Department of Land Conserva- glossy paper and soon forgotten. A review of several tion and Development 1996). of Oregon’s goals helps to illustrate the thrust of the plan. There are three types of goals: process goals (1 The land-use planning goal is accompanied by a and 2); conservation goals (3, 4, 5, 6, 7, 8, and 15); statement explaining where exceptions could be and development goals (9, 10, 11, 12, 13, 14). The made under certain circumstances. An integrated coastal goals only apply to jurisdictions bordering framework is required for the preparation of plans the ocean and are not applicable to most jurisdic- and implementation measures; the conformance of tions, just as goal 15, the Willamette Greenway regional, state, and federal plans; the content of the Goal, only applies to that river corridor. The first plan; the filing of plans; revisions during the plan- goal, a statewide goal, addresses citizen involve- ning process; implementation measures; and the ment: “To develop a citizen involvement program use of the statewide planning goals (Land Conser- that [ensures] the opportunity for citizens to be in- vation and Development Commission 1980) (see volved in all phases of the planning process” (Land Chapter 7). Conservation and Development Commission 1980, The LCDC specifies how plans should be done, 3; Department of Land Conservation and Develop- and it mandates that plans must address the goals ment 1996). and that plans must be based on findings of fact, but This goal statement and the ones that follow are what actually goes into the plan is up to the local ju- accompanied by specific planning and implemen- risdiction. Oregon guidelines describe both the fac- tation guidelines. The guidelines for the first goal tual basis for the plan as well as planning elements. include standards for public involvement, commu- The factual basis of the plan should include data as nication, citizen influence, technical information, they relate to the goals. These data address natural feedback mechanisms, and financial support (see resources, human-made structures and utilities, Chapter 8). Citizens are to be involved throughout population and economic characteristics, and the the planning process in inventorying, recording, roles and responsibilities of governmental units. mapping, describing, analyzing, and evaluating the The elements of the plan include the applicable elements necessary for the development of local statewide planning goals, any critical geographic plans. The public is to participate in the prepara- area designated by the Oregon legislature, specific tion of local plans and the adoption process, plus local issues, and time periods of the plan. These ele- 43 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

ments are to fit together and relate to one another to tices. The Land Conservation and Development form a consistent whole at all times (Department of Commission has directed counties to establish min- Land Conservation and Development 1996). imum sizes for new lots or parcels in each agricul- The suggested guidelines for land-use imple- tural zoning designation. These minimum sizes are mentation include management measures like ordi- to be appropriate to sustain the existing commercial nances controlling the use and construction on the agricultural enterprise within the area. The com- land, such as building codes, sign ordinances, subdi- mission authorizes counties to designate certain vision regulations, and zoning ordinances. Oregon agricultural land as “marginal” and to allow those statutes require that subdivision and zoning ordi- uses and divisions on these lands as permitted by nances be used to implement the jurisdiction’s com- law (Department of Land Conservation and Devel- prehensive plan. Additional management measures opment 1996). are specific plans for public facilities, capital im- The NRCS land capability classification system provement budgeting, state and federal land-use is used to define agricultural land in Oregon. In regulations, and annexations and other governmen- western Oregon, agricultural land is predominantly tal boundary reorganizations. Site and specific area Class I, II, III, and IV soils, and in eastern Oregon implementation measures include building permits, land is predominantly Class I, II, III, IV, V, and VI septic tank permits, driveway permits, subdivision soils (see Chapter 5). Guidelines are established for review, zone changes, conditional use permits, the both the planning and implementation of the agri- construction of public facilities, the provision of cultural goal. The first planning guideline states that land-related public services such as fire and police, urban growth should be separated from agricultural the awarding of state and federal grants to local gov- lands by buffer, or transitional, areas of open space. ernments to provide these facilities and services, and The second planning guideline states that plans pro- the leasing of public lands (Land Conservation and viding for the preservation and maintenance of Development Commission 1980). Plan implemen- farmland for agricultural use should consider as a tation measures are discussed in greater detail in major determinant the carrying capacity of the air, Chapter 10. land, and waste resources of the planning area. Implementation, however, begins with the goals. There are four guidelines for the implementation of For example, the third statewide planning goal is to the agricultural lands goal. First, nonfarm uses per- preserve and maintain agricultural lands. This goal mitted within farm-use zones should be minimized states: “Agricultural lands shall be preserved and to allow for maximum agricultural productivity. maintained for farm use, consistent with existing Subsequent to the initial passage of the statewide and future needs for agricultural products, forest, planning goals, specific rules were adopted regulat- and open space and with the state’s agricultural ing nonfarm dwellings in agricultural zones. Sec- land-use policy” (Land Conservation and Develop- ond, extension of services, such as sewer and water ment 1996). supplies, into rural areas should be appropriate for Oregon counties authorize farm uses and those the needs of agriculture, farm use, and permitted nonfarm uses defined by LCDC rule that do not nonfarm use. Third, to protect the farm-use in- have significant adverse impacts on farm or forest tegrity of the area, special provisions are made for practices. Agricultural zoning implements the goal. services that need to pass through agricultural Such zoning limits uses that can have significant ad- lands. Finally, forest and open space uses are to be verse effects on agricultural and forest land, farm permitted on farmlands that are set aside for future and forest uses, and accepted farming or forest prac- agricultural development (Land Conservation and 44 CHAPTER 2

Development Commission 1980; Department of mission 1980, 10). To achieve this goal, buildable Land Conservation and Development 1996). land for homesites is to be identified. Plans are to The fourth statewide planning goal of Oregon is encourage the development on those lands of “ade- to conserve forestlands for forest uses. The goal is quate numbers of housing units at price ranges and “to conserve forest lands by maintaining the forest rent levels which are commensurate with the finan- land base and to protect the state’s forest economy cial capabilities of Oregon households,” and the by making possible economically efficient forest plans are to “allow for flexibility of housing location, practices that assure the continuous growing and type and density” (Land Conservation and Devel- harvesting of forest tree species as the leading use on opment Commission 1980, 10; Department of Land forest land consistent with sound management of Conservation and Development 1996). soil, air, water, and fish and wildlife resources and to The remaining nine goals are: provide for recreational opportunities and agriculture” (Department of Land Conservation and De- 11. Public facilities and services velopment 1996). 12. Transportation Forestlands are defined by the state. Such lands 13. Energy conservation are suitable for commercial forest uses including ad- 14. Urbanization jacent or nearby lands that are necessary to permit 15. Willamette River greenway forest operations or practices as well as other for - 16. Estuarine resources ested lands that maintain soil, air, water, and fish 17. Coastal shorelines and wildlife resources (Department of Land Con- 18. Beaches and dunes servation and Development 1996). Uses permitted 19. Ocean resources in forest zones include those related to and in support of forest operations. In addition, uses are al- Each of these 19 goals is explained in a succinct lowed that conserve soil, water, and air quality and statement. Each goal is accompanied by specific sug- that provide for fish and wildlife habitat as well as gested guidelines for planning and implementation. agriculture and recreation opportunities in a forest Key terms are defined with several of the goal state- environment. Locally dependent uses and dwellings ments and in a glossary on the two final pages of the authorized by Oregon law are permitted too (De- tabloid. This is the most comprehensive statement partment of Land Conservation and Development 1996). Again, there are specific guidelines for the planning and implementation of the forestlands goal. Goals 5 through 9 address open spaces, scenic and historic areas, and natural resources; air, water, and land resources quality; areas subject to natural disasters and hazards; recreational needs; and the economy of the state. The sixth goal indicates that local governments need to consider the carrying capacity of the air, water, and land when addressing growth in plans (Carson 1998). The tenth goal is “to provide for the housing needs of citizens of the Transportation is a focus of Goal 12 in Oregon’s statewide state” (Land Conservation and Development Com- planning program. 45 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

of goals ever developed for an American state. The achievement of these goals has required the careful balancing of often-conflicting demands. Because of the difficulty of this task and the success of the Ore- gon planning effort, it will be used as an example throughout this book, as will the plan for the New Jersey Pinelands. Oregon’s goal-oriented land-use planning has influenced subsequent state-level growth management efforts. This influence provides another reason to continue to probe the Oregon approach. John DeGrove (1998) identifies six common threads in the various state growth management programs, which can primarily be traced to the example set by Oregon’s goals: (1) consistency, (2) concurrency, (3) compact urban growth patterns, (4) protection of natural systems, (5) economic development, and (6) affordable housing. Several of these “threads” are self-explanatory and explicit goals in Oregon. Concerning consistency, DeGrove notes, “Beginning with Oregon in 1973, consistency has been one of the common threads among states’ systems. It is through the consistency requirement FIGURE 2.4 New Jersey Pinelands location. that the roles and responsibilities of state, regional, and local levels are defined” (1998, 86). Oregon’s mandate for consistency is absolute. The concurrency “thread” links infrastructure development to hensive Management Plan was a result of both fed- its impact. The idea is that planning goals should be eral and state legislative action. The federal action concurrent with fiscal policy and construction ex- was the designation by Congress in 1978 of the penditures. Such concurrency can result in more Pinelands as a national reserve. This legislative man- compact urban growth as well as the protection of date was set forth in the National Parks and Recre- natural systems. ation Act of 1978, signed by President Jimmy Carter on November 10, 1978. The state action was the The New Jersey Pinelands Comprehensive 1979 New Jersey Pinelands Protection Act (Pine- Management Plan lands Commission 1980; Lilieholm and Romm 1992; for the most recent planning information, see The New Jersey Pinelands, or Pine Barrens as the re- www.state.nj.us/pinelands). gion is known by its inhabitants, is a substate, multi- As a result of these actions, then Governor county region (Figure 2.4). The Pinelands is a Brendan T. Byrne issued an executive order that 935,000-acre (378,000-hectare) forest located in the established the Pinelands Planning Commission. midst of the most densely populated region in the The commission’s composition was prescribed in United States. The New Jersey Pinelands Compre- both the federal and state laws as follows: fifteen 46 CHAPTER 2

members, including one appointed by each of the policies adopted for the Pinelands are in Table 2.1. governing bodies of the seven Pinelands counties, As can be seen from this table, the Pinelands goals seven appointed by the governor of New Jersey, and emphasize the protection of natural, historical, cul- one designated by the U.S. Secretary of the Interior. tural, and agricultural resources. Development is to The overriding goals of the acts are to preserve, probe encouraged in a manner compatible with these tect, and enhance the significant values of the land resources. The overall goal of the Pinelands plan is and water resources in the Pinelands. The state act to balance resource conservation and development speaks of the need to maintain a contiguous tract of by guiding new growth away from environmentally land in its natural state; safeguard the essential char- sensitive areas and into designated growth areas acter of the Pinelands environment; protect the (Lilieholm and Romm 1992). (The plan is discussed quality of the surface and groundwater; promote further in Chapters 4 and 7.) compatible agricultural and recreational uses; and The Pinelands and Oregon cases are two exam- encourage appropriate residential, commercial, and ples of planning goals with a strong emphasis on en- industrial patterns of development (Pinelands vironmental protection and ecosystem manage- Commission 1980). ment. These examples have been criticized for not Based on the state and federal legislation, the adequately considering local values (for a critique of Pinelands Commission adopted 5 resource and use the Pinelands in this regard, see Berger and Sinton goals and 25 policies. The goals and policies were 1985). The effectiveness of the resultant planning not as comprehensive as those goals and guidelines programs has also been questioned (regarding Ore- developed by the LCDC. The resource goals and gon, see, for example, Daniels and Nelson 1986). Nevertheless, both are examples of goals for ecological planning that have been established by state and federal governments. In addition, both plans have resulted in the protection of important lands. For example, all counties in Oregon have adopted exclusive farm-use zones, and “more than 16 million acres [6.5 million hectares] of agricultural land have been protected from development” (American Farmland Trust 1997, 30). These goals were set because issues were identified and governments responded. The Pinelands region and the State of Oregon face a range of problems and opportunities because of their ecological and scenic resources. In the Pinelands, the threat to these resources was recognized at the state level, which prompted actions by New Jersey and the federal government. The actions set goals for the region and local governments. In Oregon, the environment During October the Pinelands bogs are flooded to loosen is highly valued by citizens throughout the state. cranberries from their vines, a step in the harvesting of this crop, which yields approximately $23 million a year in sales. Even so, Ethan Seltzer of Portland State University (Norma Martin Milner, New Jersey Pinelands Commission) observed, 47 IDENTIFYING ISSUES AND ESTABLISHING PLANNING GOALS

TABLE 2.1 Pinelands Goals and Policies Preserve, protect, and enhance the overall ecological values of the Pinelands, including its Natural Resources Goal large forested areas, its essential character, and its potential to recover from disturbance. Policy 1: Preserve, protect, and enhance the quality and quantity of surface and groundwater. Policy 2: Preserve, protect, and enhance the diversity of plant and animal communities and their habitats. Policy 3: Preserve, protect, and enhance existing soil conditions. Policy 4: Preserve, protect, and enhance existing topographic features. Policy 5: Preserve, protect, and enhance existing air quality. Policy 6: Protect natural scenic qualities. Historic and Cultural Goal Maintain and enhance the historic and cultural resources of the Pinelands. Policy 1: Maintain opportunities for traditional lifestyles that are related to and compatible with the overall ecological values of the Pinelands. Policy 2: Maintain the social and cultural integrity of traditional Pinelands communities. Policy 3: Maintain and enhance historic and archaeological areas and sites of national, state, and local importance. Agricultural and Preserve and enhance agricultural and horticultural uses that are compatible with the Horticultural Goal preservation and protection of the overall ecological values of the Pinelands. Policy 1: Reserve for agricultural purposes prime agricultural soils and soils of statewide significance in or adjacent to established agricultural areas. Policy 2: Reserve unique agricultural soils and protect water quality and quantity necessary for cranberry and blueberry cultivation. Policy 3: Protect the long-term economic viability of agricultural activities. Policy 4: Require the use of recommended management practices in areas of substandard water quality. Policy 5: Protect agricultural operations and other private landowners from trespass and vandalism. Policy 6: Encourage horticulture of native Pinelands plants. Accommodate residential, commercial, and industrial development in a way that is compatible with the preservation and protection of the overall ecological and cultural values of the Development Goal Pinelands. Policy 1: Permit infill development in existing communities. Policy 2: Direct new residential, commercial, and industrial development into environmentally suitable areas in orderly patterns which are with or adjacent to existing developed areas. Policy 3: Assure opportunities for housing for all economic groups. Policy 4: Allow economic development which supports existing community needs but does not generate new development outside those areas designated for future development by the Comprehensive Management Plan. Policy 5: Permit growth-generating capital improvements only within those areas designated for future development. Protect and enhance outdoor recreational uses and the natural resources on which they Recreation Goal depend. Policy 1: Preserve, protect, and enhance those natural resources, including forests, waters, and wildlife habitats, necessary for compatible recreational uses. Policy 2: Promote diverse recreational opportunities in a manner that minimizes land-use conflicts. Policy 3: Assure that recreational uses in undeveloped areas be of low intensity and compatible with the protection of the natural resources. Policy 4: Assure that, insofar as possible, intensive recreational uses be located in or near developed areas. Policy 5: Protect and enhance opportunities for proprietary recreational facilities in areas that are suitable for such uses.

SOURCE: Pinelands Commission 1980. 48 CHAPTER 2

The Oregon land use planning program [was ini- 1973 Oregon legislature, Governor McCall warned tially] primarily an agricultural land preservation that “sagebrush subdivisions, coastal condomania, program. It grew from the rural parts of the state and the ravenous rampage of suburbia in the looking into urban areas, not urban areas looking Willamette Valley all threaten to mock Oregon’s sta- outward. It had a lot to do with economy of the state, tus as an environmental model for the nation.” And and required strong rural area legislative support. “the interest of Oregon for today and in the future How grassroots it was is open for discussion. Never- must be protected from the grasping wastrels of the theless, the point is that it wasn’t motivated by general land” (McCall as quoted in Kellington 1998, 3). concerns for environmental quality and it depended This emphasis on ecological values differentiate on direct support from the governor and key leg- the Pinelands and Oregon goals from those of con- islative leaders, rather than a grassroots citizens ventional planning processes. As compared with movement (1998). conventional programs, the Pinelands and Oregon goals are linked more directly to specific policies However, the environmental leadership and vi- and implementation guidelines, which also empha- sion provided by Republican Governor Tom McCall size environmental protection and natural resource is undeniable. In his own words, when opening the management.

3 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

After a community has identified the challenges and opportunities that it faces and has reached some consensus concerning its goals to address those issues, then it is necessary to collect the information needed to achieve community goals. An inventory is a systematic acquisition of information needed to describe and characterize a place. Inventories provide the basis for ecological analysis. Information about nature has often been used in an ad hoc manner in American planning. Only that information needed to achieve a specific goal is collected—so too often it is disconnected information. The basic premise of ecology is that everything is connected to everything else. As a result, the ecological approach differs from more traditional methods. For example, a flood frequently prompts community interests in planning, especially when loss of life and property damage has occurred. With a conventional planning response, only the flood-prone areas are identified. Also, this approach focuses primarily on the negative consequences of flooding. Since flooding is recognized by a community as a hazard to human safety, the responsible elected officials adopt a

51 52 CHAPTER 3

goal to prevent buildings in flood-prone areas. These to local are undertaken. As Richard Forman has ad- areas are mapped and building restricted. The goal is vised, we should “think globally, plan regionally, and one-dimensional. In contrast, in ecological planning act locally” (1995, 435). A hierarchy of levels is identi- the complex matrix of factors related to flooding fied so that the planning area may be understood as would be considered. Flooding is the result of the in- part of a larger system and specific places may be seen teraction of several natural phenomena—rainfall, as parts of a whole. The large river drainage basin at bedrock, terrain, soils, temperature, and vegetation, for the regional level and the smaller stream watershed instance. Since ecological planning rests on an under- more locally are ideal units of analysis for ecological standing of relationships, broader-range information planning. A watershed is an area drained by a stream or about the biophysical processes of an area must be stream system, also called a catchment area or, in the collected and analyzed. In addition, an ecological United States at a larger river scale, including all the view acknowledges the benefits of natural flooding tributaries, a drainage basin. events, such as the deposition of fertile soils. Moreover, A drainage basin, or watershed, “is the area of land the sequence of collecting this information becomes that drains water, sediment, and dissolved materials to important. a common outlet at some point along a stream chan- Older, larger-scale components of the landscape nel” (Dunne and Leopold 1978, 495). According to exert a strong influence on more ephemeral elements. Donald Satterlund and Paul Adams (1992, 51), “A wa- Regional climate and geology help to determine soils tershed is defined by the stream that drains it.” The and water drainage systems of an area, which in turn drainageway, meanwhile, “refers to the principal areas affect what vegetation and animals will inhabit a place. of water accumulation (i.e., channels)” (Briggs 1996, The challenge for the ecological planner is to think ge- 17). ologically in both space and time. One must think big, A watershed, or other landscape, may be under- because it is likely that the geologic events that occur in stood through a chorography—in other words, a sys- a specific planning area or jurisdiction are probably tematic description and analysis. Ecology can be used driven by plate tectonic interactions thousands of kilo- to order such a chorography since ecology addresses meters away, and climatic events by processes working interrelationships among living things and their envi- on a global scale. The temporal scale is also quite large, ronments. The ecologist Eugene Odum has observed with the human time scale so much shorter than that the value of using watersheds in planning. Odum of the geologic events within a planning area. As a re- noted that “it is the whole drainage basin, not just the sult, in ecological planning one begins to inventory the body of water, that must be considered as the mini- older elements and proceeds to the youngest. The sys- mum ecosystem unit when it comes to man’s interests. tematic survey of information should lead to an un- The ecosystem unit for practical management must derstanding of processes, not merely the collection of then include for every square meter or acre of water at data. least 20 times an area of terrestrial watershed” (Odum When conducting such an inventory, it is useful to 1971, 16). identify boundaries so that the various biophysical ele- Peter Quinby (1988) notes that watershed bound- ments can be compared with each other over the same aries can be used as ecosystem boundaries. The water- spatial area and at the same scale. Often such a plan- shed is a handy unit that contains biological, physical, ning area is defined by legislative goals, as, for instance, social, and economic processes. Watersheds have dis- with the New Jersey Pinelands. crete boundaries, yet they can vary in scale. This pro- Ideally, several levels of inventories from regional vides flexibility to adapt to social, economic, and polit- 53 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

ical issues. Watersheds also offer linkages between the and synthesizing this information. Two examples, the elements of regions. One reason they can be consid- New Jersey Pinelands and the region of Camp Pendle- ered an ideal is that the flow of water, the linkage, ton, California, are also used as illustrations. Each ex- throughout the watershed may be easily visualized. ample employed an approach similar to the one pre- The use of watersheds for planning is not new. sented here, but the specific methods were designed by John Wesley Powell, who introduced the term region to the responsible planning teams. North America, essentially suggested the use of watersheds in his 1879 plan for the American West. The use of watersheds is also consistent with past efforts of watershed conservancies and river basin commissions, Making a Base Map and a Regional such as the Delaware River Basin Commission, the Co- Context Map lumbia River Basin Commission, and the Tennessee Valley Authority, and with programs of the Natural Re- The starting point for collecting information in a sources Conservation Service, the Army Corps of En- graphic format is the base map, a map from which gineers, the National Park Service, and the U.S. Forest copies are made or derived. The most convenient Service. But, more often than not, units other than wa- source for a paper base map in the United States is tersheds—political boundaries most frequently—are the USGS 7.5-minute quadrangle maps with a scale used. Still the principle of hierarchy can apply to polit- of 1:24,000. USGS maps are available for most areas ical boundaries, with counties forming the regional in the United States in paper and, increasingly, digi- scale and cities or towns being used as the unit for local tal formats. They give the location of all buildings landscape analysis. (except in urban areas), bodies of water, elevations, In this chapter, a method for the inventory, analy- contour lines, roads, rail lines, political boundaries, sis, and synthesis of the biophysical components of the and some woodlands. A portion of a quadrangle landscape in the planning process is presented. This map or several quadrangle maps pieced together approach to data collection can be used at the regional, can be photographically reproduced on polyester local, and even site-specific scales. To illustrate this film. Additional information can be added to the chapter, an example of the Desert View Tri-Villages polyester film to form the base map. The most im- Area of Phoenix, Arizona, is used. This landscape was portant information includes the map of the study formerly named “Planning Areas C & D” by city offi- area, a north arrow, a proportional scale, a map title, cials. This biophysical inventory and analysis was con- a legend, the source of the information displayed, ducted as a part of a larger city planning process. The the name of the planning area, and the names of the area encompasses approximately 20 percent of the city company, university group, and/or agency perform- and was largely undeveloped when ecological invento- ing the study. ries were initiated. Two slightly different boundaries The same process can be undertaken with the appear in the examples that follow because they were computer with geographic information systems drawn from different inventories conducted in the (GIS) technology (Figure 3.1). Planning teams de- space of three years (Ciekot et al. 1995; Brady et al. cide how to use the GIS. The data handling and 1998). In the intervening years, the city of Phoenix an- computation process can then be automated. The nexed more land, changing the study area boundaries. use of GIS can provide an effective cartographic This chapter presents methods for making base maps, presentation of the results in addition to creating inventorying elements of the landscape, and analyzing greater flexibility over paper maps (Xiang 1996, 8). 54 CHAPTER 3

FIGURE 3.1 Desert View Tri-Villages Area base map. (Source: Adapted from Ciekot et al. 1995)

When constructing maps, either digitally or ital line graph (DLG) data (including transporta- manually, one needs to consider the meaning of tion, hydrography, jurisdictional boundaries, and scale. A 0.5 mm pencil will draw out a 12 m (or public land survey), and hydrological unit data and driveway-wide) line on the ground if one makes a maps (Peck 1998). Images from satellites provide line with it on a 1:24,000 scale map. Such realization environmental information on spatial and temporal provides some context for map precision. Arguing scales that are not possible through traditional sys- over centimeters or inches will not usually be rele- tems (Conway et al. 1997). Satellite images are avail- vant for that, but tens to hundreds of meters or feet able from various sources through the Internet (Fig- might be. ure 3.2). According to Sheila Peck, “Recent satellite In addition to the familiar 7.5-minute quadran- imagery can be acquired from two private compa- gle maps, ortho aerial photographs at the same scale nies, Space Imaging Eosat and SPOT Image Corpo- are now available from the USGS for many places. ration. Space Imaging Eosat carries data from Land- The U.S. Geological Survey also is a source for geol- sat satellites and India’s IRS satellite, while SPOT ogy maps, digital elevation model (DEM) data, dig- Image Corporation features imagery from the 55 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

MAJOR SOURCES OF INFORMATION 1. U.S. Geological Survey For maps and related data: U.S. Geological Survey Reston-ESIC 507 National Center Reston, Virginia 20192 800-872-6277 703-648-5548 (fax) [email protected] http://www.usgs.gov For older satellite data: U.S. Geological Survey EROS Data Center Sioux Falls, South Dakota 57198 605-594-6151 FIGURE 3.2 Satellite image of the Desert View Tri- 615-594-6589 (fax) Villages Area. (Source: Brady et al. 1998) [email protected] http://edcwww.cr.usgs.gov 2. Local aerial photography companies 3. Space Imaging Eosat 4300 Forbes Boulevard French SPOT satellite” (1998, 183). These images are Landham, Maryland 20706 helpful for both performing inventories and dis- 800-232-9037 (customer service) playing information. 703-552-3762 (fax) A word of caution is necessary. The rectification http://www.eosat.com of imagery and other data, their projection, and 4. SPOT Image Corporation then the preparation of overlays of diverse data and 1897 Preston White Drive derivative maps based on query of the datasets is a Reston, Virginia 20191-4368 significant undertaking. Such exercises go beyond 800-ASK-SPOT (customer service) the basics of cartography. Although much digital 703-648-1813 (fax) data are available, it is important for planning teams http://www.spot.com to include individuals well qualified in GIS and cartography. Next, the study area needs to be placed in a re- Inventory Elements gional context. This is important because people who read a planning report often come from out- Chronology provides a logical framework to orga- side the area described. Often it is necessary to place nize information about a place. The ecological plan- the area in a subregional context, perhaps a county ner begins with the phenomena that are the major or other governmental jurisdiction, then in a larger influences on a place: (1) its macroclimatic pro- regional context, such as the state or multistate re- cesses and (2) its geological structure. These phe- gion (Figure 3.3). nomena exert influence on subsequent processes 56 CHAPTER 3

FIGURE 3.3 Regional context of the Desert View Tri-Villages Area. (Source: Brady et al. 1998)

such as water flows and soil development. These abi- the atmosphere is responsive to the landscape, and otic features set the stage for life. Plants, animals, landscape ecology will change in response to atmo- and people inhabit different places according to the spheric alterations. Changes in land use cause major varying possibilities of physical geography. alterations in both regional and local climate (Pielke and Avissar 1990). Regional Climate The study of climate is important in planning for many reasons. As Anthony Brazel notes, Climate is the set of meteorological conditions characteristic of an area over a given length of time. It is the famous 1980 heat wave in the middle of the U.S. defined as the study of extremes and long-term was estimated by . . . NOAA [National Oceanic and means of weather. The regional (or macro) climate Atmospheric Administration] . . . to have cost the is the big picture, the meteorological conditions and agricultural and energy sectors some 16 billion dol- patterns over a large area. Macroclimate is affected lars; and that one summer event stimulated the entire by physical conditions such as mountains, ocean scientific community to heightened awareness of currents, prevailing winds, and latitude. It in turn what a global warming world would portend. Hurri- affects the formation of the physiographic region cane Andrew, alone, cost society much more than 16 through the weathering of the terrain and the billion [dollars] (1993, 1). amounts of precipitation that fall on the landscape. As observed by R. A. Pielke and R. Avissar (1990), Hurricanes, tornadoes, and floods result in sig- 57 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

nificant economic costs, as well as causing injury must frequently use the best available information and the loss of life. Global climate change has stimu- and interpolate to area studies. The Tri-Villages lated considerable interest in the study of weather Area, like much of the Phoenix region, is generally patterns. Local actions are linked in global and re- hot and dry. According to the Köppen classification gional weather patterns in numerous ways. Under- system, the region is a desert. The adjacent town of standing climate, and planning communities ac- Carefree (where there is a weather station with the cordingly, can result in conserving financial and code BW), with monthly average high temperatures other resources as well as helping to protect public ranging from 62.6 to 101.9°F (17 to 38.8°C) and health and safety. monthly average low temperatures ranging from The Desert View Tri-Villages Area, or the Tri- 37.9 to 75.1°F (3.3 to 23.9°C), is representative of a Villages Area, illustrates the types of climate that planning area climate (Sellers et al. 1985). (See Ta- should be inventoried in its region. The Tri-Villages bles 3.1 and 3.2.) These temperatures average 4.0°F Area is located in the Sonoran Desert in the Phoenix (2.2°C) lower than those of central Phoenix. metropolitan region (Figure 3.3). The Sonoran The Tri-Villages Area has a typical annual rain- Desert covers some 120,000 square miles (310,800 fall of 8 inches (20.3 centimeters) (Table 3.3). The kilometers2) and comprises much of the states of rainfall in the area to the north that feeds Cave and Sonora (Mexico) and Arizona as well as most of the Skunk Creek washes is approximately 50 percent two states of Baja California (Norte and Sur) and a higher. There are two distinct rainy seasons. Winds small portion of California. This desert rings the from the Gulf of California and the Gulf of Mexico Gulf of California. In turn, the ocean arcs the desert flow into the area from the south to produce dra- to the west and to the south, while mountains form matic summer thunderstorms from July to Septem- an arc to the north and the east. The Sonora, a cor- ber (Figure 3.4). The thunderstorms cover small ruption of Mary’s title, Señora, is a hot and dry areas, are brief, and cause significant runoff, and replace. If aridity gives the West its character, then the sult in the potential for local flooding. Less intense Sonora is among the most western of places. but widespread and steady winter rains associated According to Anthony Brazel, with cold fronts come from the Pacific Ocean and the north. These rains, which occur from December Arizona has four “synoptic” or weather systems: (1) to March, rarely exceed infiltration capacity of the the summer thunderstorm or monsoon season of July soil and, therefore, flooding is less common. Be- through September; (2) the late summer-to-fall trop- cause of the sparse rainfall and the lack of perennial ical storm season of August through October; (3) the streams, the groundwater of the planning area is an variable winter low pressure storm season ranging important source of drinking water for Phoenix. from early storms in November through even April; The biennial rainfall supports a denser vegetation and (4) spring-to-summer meanderings of the atmo- cover than the other deserts of the United States sphere that may include late season storms, or the be- (i.e., the Great Basin, Mojave, and Chihuahuan). ginning of a very dry spell of early summer, typically Water and heat are two significant factors to con- from April to late June (1993, 3). sider in the Phoenix metropolitan area. Climatolo- gists have identified the emergence of a rapidly de- There is no weather station in the Tri-Villages veloping “urban heat island” in the region, which is Area. As a result, nearby stations were used to com- also being called an “urban heat archipelago.” Black pile climate data (Ciekot et al. 1995; McCarthy et al. asphalt, concrete, and roof surfaces act as solar 1995). This situation is common. A planning team collectors, emitting heat and increasing urban air TABLE 3.1 TABLE Area Tri-Villages View Desert (°F), Temperature Maximum Monthly Average 1995. et al. Ciekot from adapted 1985, Sellers et al. SOURCE:

58 TABLE 3.2 TABLE Area Tri-Villages View Desert (°F), Temperature Minimum Monthly Average 1995. et al. Ciekot from adapted 1985, Sellers et al. SOURCE:

59 TABLE 3.3 TABLE Area Tri-Villages View Desert (°F), in Inches Precipitation Annual and Monthly Average 1995. et al. Ciekot from adapted 1985, Sellers et al. SOURCE:

60 61 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.4 Macroclimate influences on the Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

FIGURE 3.5 Landsat image of the Phoenix metropolitan temperatures (Botkin and Beveridge 1997). Cities region. (Source: City of Scottsdale) and towns in the Phoenix metropolitan region are spread out, resulting in many patches of more intense development. As a result, heat islands are spread out, too, but connected by corridors of devel- perature patterns of the metropolitan region were opment. According to Robert Balling and Sandra strongly correlated with the presence of open water Brazel, since 1970 “the summer nighttime tempera- or biomass which provide an evapotranspirative tures have increased 3.9°F (2.2°C) while afternoon heat sink” (Lougeay et al. 1996, 79). temperatures have risen by approximately 1.1°F Some understanding about the regional climate (0.6°C)” (1987, 75). The heat island effect has been of a place can be gained by asking a series of ques- identified in several other American cities, including tions and by getting the answers (Steiner and McSh- Los Angeles (Botkin and Beveridge 1997). erry 2000), such as: Not all land uses or land covers contribute equally to this warming. Figure 3.5 is a Landsat im- • What is the regional climate of the planning age of the Phoenix metropolitan region, enhanced area? for heat reflectivity. The darker areas are cooler, • How has the regional climate of the planning while the lighter areas are warmer. Ray Lougeay and area determined where and how people live? his colleagues used Landsat thermal remotely sensed How has it determined the types and meth- data to analyze surface temperatures for various ods of construction? land uses. They found that radiative surface temper- The size of homes? atures do indeed vary by land-use surface type The layout of ranches and/or farm fields? (Lougeay et al. 1996) (Table 3.4). Irrigated agricul- • How does climate influence who lives in the tural and residential areas had among the relatively planning area? cooler surface temperatures, while desert and bar- • What is the relationship between climate and ren lands were hotter. They noted that “spatial tem- sense of place for the planning area? 62 CHAPTER 3

TABLE 3.4 Radiative Surface Temperatures (10:00 A.M.) and Areal Coverage (Phoenix, Arizona, June 24, 1992) Surface Temp Min. Temp Max. Temp Standard Dev. Area % of Surface Type Deg. c* Deg. c* Deg. c* Deg. c* km2 Scene** Water 30.07 22 35 1.58 6 0.2 Irrigated Ag. 31.54 26 36 1.43 210 5 Irrigated Res. 37.90 35 40 1.35 331 7 Dry Res. 43.64 42 45 0.89 468 11 Commercial 44.41 41 47 1.72 935 21 Desert 47.18 33 53 2.20 595 13 Barren 45.41 42 48 1.26 140 3 Unclassified (masked mountain slopes) — — — — 1760 40

* Surface temperatures (adjusted for emissivity) extracted from Landsat Thematic mapper band 6. ** Total imaged area of metropolitan Phoenix equals 4446 square kilometers. SOURCE: Lougeay et al. 1997, 85.

How are these characteristics reflected in Asheville, North Carolina 28801-5001 the location and character of the built 704-271-4800 landscape? 704-271-4876 (fax) How do these characteristics compare with [email protected] other regions in the state or elsewhere? http://www.ncdc.noaa.gov • What is the quality of the air in the planning Regional information is available concerning area? monthly precipitation, temperature, and wind data from SUMMARY OF REGIONAL CLIMATE 3. Federal Aviation Administration (FAA) INVENTORY ELEMENTS 4. State climatologists 1. Köppen classification 5. Local weather stations and/or airports 2. Average temperatures 6. College or university libraries 3. Average precipitation 7. Farmers 4. Prevailing winds; wind velocity and duration 5. Relative humidity Earth

MAJOR SOURCES OF INFORMATION Geology is the study of the earth. This study involves 1. National Weather Service both what has happened in the past, or geological 2. National Oceanic and Atmospheric Adminis- history, and what is happening on and in the earth tration (NOAA) today. The inventory of a place requires an under- The best source for climate information is: standing of the geological history and processes of National Climatic Data Center the region. Such understanding can begin with a ge- National Oceanic and Atmospheric Ad- ological map, which is “a graphic representation of ministration the rock units and geological features that are ex- Federal Building posed on the surface of the Earth.... In addition to 151 Patton Avenue, Room 120 showing different types and ages of rocks, most geo- 63 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

logical maps depict geologic features, such as faults, folds, and volcanoes” (Reynolds no date, 1). The relative timing of events can usually be determined from a geologic map, usually by the application of these principles: superposition (younger layers are above older ones); original horizontality (layers formed from deposition of sediment were originally flat); crosscutting relationships (younger features crosscut older ones; a fault will be younger than the layers or contacts it cuts); and inclusions (a rock unit is younger than the layers from which the inclusions it contains came). According to geologist Stephen Reynolds, geologic maps have four useful purposes: “(1) to discover mineral and energy resources; (2) to assess FIGURE 3.6 Stratigraphic section of the Transition Zone. the potential for natural hazards, such as earth- (Source: Adapted from Reynolds, no date) quakes and volcanoes; (3) to evaluate the suitability of an area as a construction site; and (4) to convey information about the geologic history of an area” section for the Transition Zone, the province north (No date, 1). Furthermore, he notes that “areas that of the Desert View Tri-Villages Area. Figure 3.7 in- contain recent volcanic rock (less than several mil- dicates the symbols commonly used to show kinds lion years old) are more likely to have volcanic of rocks in columnar sections and geologic cross eruptions than regions that lack such rocks. Like- sections. wise, earthquakes are more likely to occur in areas “Basin and Range” is the name of the geologic where faults displace recent rocks or deposits, such province where the Arizona portion of the Sonoran as river gravels. High concentrations of radon gas Desert is located. The name neatly describes the are commonly associated with volcanic rocks, such area: broad alluvial valleys surrounded by north- as particular types of granite, that have an anom- west-southeast trending, elongated mountain alously high uranium content” (Rey nolds no date, ranges (Nations and Stump 1981). To the northeast 2). As a result, knowledge of geology is valuable for of the Sonoran Desert, a giant escarpment called the protecting the health and safety of residents. Geo- Mogollon Rim rises above the desert dividing it logic information is also invaluable for the con- from the Colorado Plateau. The Baja portion of the struction of roads, bridges, buildings, and other el- desert was once connected to present-day Arizona ements of developments. and Sonora but was separated, and the Gulf of Cali- As epitomized by the Grand Canyon, much of fornia created in the process, by tectonic activity Arizona’s famous scenery is geologic. As in other that continues in California (Nations and Stump places, an understanding of geological processes is 1981). Most of the desert lies below 3048 feet (1000 important for community and economic develop- meters) in elevation. In general, the whole region ment in Arizona. The state has three geological tilts toward the sea. provinces: the Colorado Plateau, the Transition The Tri-Villages Area is located in the Basin and Zone, and the Basin and Range Province (Nations Range Province. The planning area is characterized and Stump 1981). Figure 3.6 provides a columnar by three major landforms: granite and metamorphic 64 CHAPTER 3

mountain masses, alluvial fans, and relatively flat alluvial plains (Little 1975) (Figure 3.8). Many intermittent washes cross the area, along with several major drainageways, most notably Cave Creek and Skunk Creek (Figure 3.9). The landscape is a dramatic mixture of higher gaunt hills and broad alluvial plains (Figure 3.10). Six major types of rock comprise the Desert View Tri-Villages Area: basalt, granite, metavolcanic, volcanic, older surficial deposits, and surficial deposits (Chronic 1983; Jagillo 1987; Ciekot et al. 1995; Brady et al. 1998). Alluvial fans are an especially important surficial feature. Thornbury notes that these fans are formed when “a heavily loaded stream emerges from hills or mountains onto a lowland” where “there is a marked change in gradient with resulting deposition of alluvium, apexing at the point of emergence and spreading out in a fan-like form onto the lowland” (1969, 173). When a series of alluvial fans coalesce, a bajada is formed (Thorn- bury 1969). Philip Pearthree observed that the “piedmonts of Arizona are complex mosaics composed of alluvial fans and stream terraces” (1991, 1). According to Pearthree, these alluvial fans, including those in the Desert View Tri-Villages Area, “are cone-shaped depositional landforms that emanate from a discrete source and increases in width downslope” (1991, 1). The stream terraces are described by Pearthree as “steplike landforms that are typically inset below adjacent fan surfaces. They represent former floors of stream valleys that were abandoned FIGURE 3.7 Common geologic symbols. (Source: Adapted from Flint and Skinner 1974) as the streams downcut even further” (1991, 1). Rock is a natural mixture or aggregate of materials and can be classified into three general types on the basis of origin: (1) igneous rocks, which have so- lidified from magma; (2) sedimentary rocks, which are derived from preexisting rock or rock materials by surficial geological processes of weathering, transportation, and deposition or as a result of chemical and biological processes; and (3) metamorphic rocks, which form from existing rocks as a result 65 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

A typical Sonoran Desert landscape. (Jane Heller Ploeser)

of heat or pressure changes in the crust of the earth. • Do the geologic processes pose any threat to A columnar section can be accompanied by a geo- human health or safety? logic history that explains the origin of rock units. • Are some areas easier and more economical to In some regions, it is helpful to produce separate build on than others? maps for bedrock and surficial deposits or regolith. • What is the depth to bedrock? A bedrock geology map shows the continuous solid rock of the continental crust, while the surficial ge- Surficial Geology ology map illustrates the distribution of deposits on • Have large areas been deposited by air or wa- the surface of the landscape. In the Tri-Villages ter? demonstration area, these two maps were com- • What is the relationship between surficial de- bined. In many places, it is important to map geo- posits and the deeper bedrock structure? logic hazards, such as radon-prone deposits and active fault zones. Such information may be included SUMMARY OF GEOLOGIC on the geology map or a separate hazards map. INVENTORY ELEMENTS The bedrock and surficial geology of a place can 1. Regional geographic history be understood by asking a series of questions and 2. Depth to bedrock seeking answers, such as: 3. Outcrops 4. Bedrock types and characteristics Bedrock Geology 5. Cross sections, columnar sections • What is the regional geology of the area? 6. Surficial deposits (regolith): kames, kettles, • How has the regional geology influenced land- eskers, moraines, drift and till forms? 7. Mineral resources • What are the ages of the rocks in the area? 8. Major fault lines, earthquake zones, and seis- • Do the rocks possess any mineral or energy mic activity value? 9. Rock slides and mud slides 66 CHAPTER 3

FIGURE 3.8 Geology, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 67 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.9 Primary drainages of the Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

MAJOR SOURCES OF INFORMATION Terrain 1. USGS. The best source for obtaining information is the circular titled A Guide to The world is a myriad of peaks and depressions, Obtaining Information from the USGS (Geo- ridges and valleys, rolling hills and flat areas, small logical Survey Circular 900). It is available bumps and slight slumps; it is uneven, varied. Phys- from iography deals with the physical conditions of the Branch of Distribution surface of the land. The broad physiography of an U.S. Geological Survey area can be determined by the knowledge of the Box 25286, Federal Center physiographic region in which it lies. For instance, Denver, CO 80225 as previously noted, the Desert View Tri-Villages http://greenwood.cr.usgs.gov/circular.html Area lies in the Basin and Range Province of Ari- 2. Bibliography of Geology. Published annually zona. This region is characterized by northwest- and compiled every 10 years by the USGS. to-southeast trending mountain ranges with wide 3. State departments of natural resources, min- valleys in between. Two helpful resources for de- ing, and ecology termining physiographic regions are Charles B. 4. College or university libraries Hunt’s Physiography of the United States (1967) and 68 CHAPTER 3

increases (Figure 3.11). For some study areas, it may be useful to build a physical model of the elevation. The Tri-Villages Area slopes downward to the southwest, with elevations ranging from 2200 feet (671 meters) above sea level in the far northeastern corner of the planning area to 1500 feet (457 meters) in the southwestern area. The mountain uplands, which form a backdrop to the north of the Tri-Vil- lages Area, rise out of the basin floor and reach 4890 feet (1491 meters) (McCarthy et al. 1995). A slope analysis was conducted for a portion of the Tri-Villages planning area, using GIS technology (Figure 3.12). For this analysis, three categories were used: 0 to 5 percent; 6 to 10 percent; and 11 percent FIGURE 3.10 Alluvial fan building. (Source: Adapted from and higher. Slope maps can be constructed manu- Ciekot et al. 1995) ally through GIS. Marsh explains the manual construction of a slope map as follows: William L. Graf’s Geomorphic Systems of North America (1987). 1. Definition of the minimum size mapping unit. The important aspects of physiography are ele- This is the smallest area of land that will be vation and slope. Slope, soils, geology, hydrology, mapped, and it is usually fixed according to microclimate, plants, and animals may be strongly the base map scale, the contour interval, and related to elevation. This means that elevation is an the scale of the land uses involved. For 7.5 important feature in analyzing landscapes. William minute U.S. Geological Survey quadrangles Marsh of the University of Michigan identifies the (1:24,000), units should not be set much two major planning problems related to the misuse smaller than 10 acres (4.05 hectares), or 660 of slopes. First, structures and facilities can be feet square (61.3 meters2). placed on slopes “that are already unstable or poten- 2. Construction of a graduated scale on the edge tially unstable” (Marsh 1998, 76). Second, stable of a sheet of paper, representing the spacing slopes can be disturbed, “resulting in failure, acceler- of the contours for each slope class. For ex- ated erosion, and/or ecological deterioration of the ample, on the 7.5 minute quadrangle where 1 slope environment” (Marsh 1998, 76). The causes inch represents 2000 feet (2.54 centimeters = of disturbance include the mechanical cut and fill 609.6 meters) and the contour interval is 10 of slopes, deforestation, and drainage alteration feet (3.048 meters), a 10 percent slope would (Marsh 1998). be marked by a contour every 1⁄20 inch Elevation maps are easily constructed by select- (0.127 centimeter). ing intervals from the base maps. Altitudes can be 3. Next, the scale should be placed on the map in a represented by coloring spaces between topographic position perpendicular to the contours to de- intervals. Elevation changes are depicted in shades of lineate the areas of various slope classes. browns, yellows, or grays with felt markers, colored 4. Finally, each of the areas should be coded or pencils, crayons, or through the use of computer symbolized according to some cartographic technology, becoming lighter or darker as elevation scheme (Marsh 1998, 79–80). 69 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.11 Elevation, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 70 CHAPTER 3

FIGURE 3.12 Slope, central portion of the Desert View Tri-Villages Area. (Source: Brady et al. 1998) 71 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

Slopes may be subdivided according to steepness plied in conjunction to physiography, are building and direction. Slope direction is referred to as as- form analysis and ground plan or town plan analy- pect, or orientation. Steepness may be important for sis. For example, a team of environmental planning such activities as agriculture or the construction of graduate students at ASU constructed an urban buildings, while the direction of slopes is an impor- morphological cross section of central Phoenix tant factor for such activities as siting housing for (Figure 3.16). The cross section relates to building solar energy collection. Slope composition and re- and ground elevations, exaggerating both to empha- lated lithology needs to be determined. Lithology is size variations (Andres et al. 1998). We will return to “the soil and rock material that comprise a slope” the topic of urban morphology in the land-use por- (Marsh 1998, 80) or the physical characteristics of tions of this chapter and the next. sedimentary materials. As with the elevation map, Answers to a few key questions can help with the the division of slope categories will depend on the understanding of the planning area, including: study. In the Desert View Tri-Villages Area, three categories were useful for the scale and issues ad- • What are the key features of the planning area, dressed in the study. In another area or for more including place names and major geographic specific studies or after the identification of addi- features? tional issues, the changes in topography may require • What are the highest and lowest places in the different slope categories. area? Computer technology presents many opportu- • Where are the other high spots and low spots? nities to analyze the physiography of a planning • Where are the steeper areas? area. For example, a Landsat image was superim- • Why are some places steeper than others? posed over a portion of the Tri-Villages Area (Figure • In what directions do the slopes face? 3.13). A topographic model was first constructed in the computer, and then the Landsat image was com- SUMMARY OF PHYSIOGRAPHY bined with it in three dimensions (Figure 3.14) INVENTORY ELEMENTS (Brady et al. 1998). In addition, digital terrain, or 1. Physiographic region digital elevation models, can be built (Figure 3.15) 2. Elevation (Burke and Ewan 1998a). 3. Slope: steepness and direction In urban locations, buildings can be considered 4. Lithology a physiographic feature. For such places, figure– 5. Digital terrain model ground analyses are helpful. In a figure–ground 6. Figure–ground analysis map, buildings are usually represented in black, MAJOR SOURCES OF INFORMATION while the ground is white, but this pattern can be re- 1. U.S. Geological Survey versed (Trancik 1986). The field of urban morphol- 2. College or university libraries ogy may also be helpful in understanding the phys- 3. Physiography of the United States (Hunt 1967) iography of a developed planning area. Urban and/or Geomorphic Systems of North America morphology is “the study of the city as human habi- (Graf 1987) tat” (Moudon 1997, 3). The field was pioneered in England by M. R. G. Conzen (Whitehand 1981; Water Slater 1990) and in Italy by Saverio Muratori (1959; Muratori et al. 1963). Two aspects of the Conzenian Water is essential for all forms of life. It is also a fi- urban morphological approach, which may be ap- nite resource. Most water in the hydrosphere is salt 72 CHAPTER 3

FIGURE 3.13 Landsat image superimposed over a portion of the Desert View Tri-Villages Area. (Source: Brady et al. 1998) 73 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

water (97.20 percent). Water in the polar icecaps and other frozen areas accounts for 2.15 percent of the resource. This means only 0.65 percent of the water in the world is fresh, and its distribution and quality is uneven (Tarjuelo and de Juan 1999). As a result, water is an essential factor to consider in planning. Bernard Palissy first explained in the sixteenth century that springs originate from and are fed by rain alone. He showed how this happens: seawater evaporates and is condensed to form rain, which falls, percolates into the ground, and emerges later as springs and rivers that return the water to the sea. FIGURE 3.14 Landsat image and physiography. (Source: This is the hydrologic cycle (Figure 3.17). The hydro- Brady et al. 1998) logic cycle expresses the balance of water in its various forms in the air, on land, and in the sea (Mori- sawa 1968, 12).

FIGURE 3.15 Digital elevation model. (Source: Burke and Ewan 1998a) 74 CHAPTER 3

FIGURE 3.16 Morphological cross section of central Phoenix. (Source: Adapted from Andres et al. 1998, originally drawn by Matt Jennings) 75 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

A water budget can be constructed for an average year, which represents the inflow and outflow through the hydrologic cycle. Figure 3.18 illustrates the water budget for Pullman, Washington. As can be seen, there is a water surplus early in the year, followed by a period when moisture in the soil is being utilized. Then through the summer and early au- tumn there is a period of water deficiency, and finally moisture is recharged in the soil. Water is an especially important resource in the desert. The Phoenix metropolitan region receives its water from two sources. First, the winter rains and snows in the nearby mountains are especially important, as is the relationship between the ranges and basins. Moisture is captured in the higher elevations as it moves in from the seas to the east. Often FIGURE 3.17 Hydrologic cycle. the moisture falls to the ground as snow and is stored in the mountains until it melts and flows into the basins below. The higher the range, the greater the precipitation. The greater the distance from the mountains and from the sea, the drier the desert and As the hydrologic cycle and water budget illus- the less the frequency of surface water flow. The ori- trate, hydrology deals with the movement of water entation and steepness of the slopes also has a strong through the landscape both on the surface and in impact on water flow and plant growth. the ground. Groundwater is water that fills all the The second source is groundwater. Much water unblocked pores of materials lying beneath the sur- seeps from the higher elevations into the ground. face. Surface water is water that flows above the The water then reemerges at lower elevations, so ground. Depth to water table, water quality, aquifer much so that one derivation of the name of Arizona yields, direction of movement, and the location of is from the “place of small springs.” The Phoenix wells are important groundwater factors. Data con- metropolitan region is located over a large ground- cerning these factors can be obtained from various water aquifer. The aquifer capacity is significant, sources including the U.S. Environmental Protec- with a depth of bedrock of over 1000 feet (300 me- tion Agency (EPA), the USGS, the NRCS, various ters) near the Salt River, south of the Tri-Villages state agencies, and individual well owners. From the Area (U.S. Army Corps of Engineers 1976; Ciekot et geology map, the location of aquifers can be deter- al. 1995). The Tri-Villages Area is at the northern mined. An aquifer is a water-bearing layer of perme- edge of this large aquifer, so it is important for re- able rock, sand, or gravel. The process of water filter- gional recharge (Figure 3.19). In the planning area, ing through the surface to an aquifer is known as the water table depth varies from approximately 200 infiltration. Vegetation, soil permeability, slope, and to 800 feet (60 to 240 meters) (Ciekot et al. 1995). soil saturation are the factors controlling infiltration Aspects of groundwater use in Arizona are rates (Easterbrook 1999). strictly regulated as a result of the Groundwater 76 CHAPTER 3

FIGURE 3.18 Water budget for Pullman, Washington.

Management Act (GMA) of 1980. This act essen- age basin—which has been the traditional source tially discourages new, large-scale irrigation in the for the region. The second is from the more contro- Tri-Villages Area. Active management areas (AMAs) versial Central Arizona Project (CAP). Controversy were also established by the act. The Tri-Villages exists due to CAP’s use of much electricity as well as Area is assigned to the Phoenix AMA. Within the its negative environmental impacts. The CAP was Phoenix AMA, there is a goal to balance future constructed mainly for agricultural use and the city groundwater pumping with groundwater recharge of Tucson to the south. Agriculture has declined, by 2025. The wells in the Tri-Villages Area are making more CAP water available. For several years, “among the most productive in Phoenix” (Ciekot et the CAP canal formed the northern border of the al. 1995, 5–4). city of Phoenix. The canal presented an obstacle for Another provision of the GMA is that a 100-year infrastructure development. It is the southern edge assured water supply must be guaranteed before de- of the Tri-Villages Area. velopment within an AMA can proceed. In addition The planning area is part of the Salt River to groundwater, there are two surface water sources drainage basin, which in turn is part of the Gila that assure such a 100-year supply for the Tri- River basin. The Gila River drains into the Colorado Villages. The first is water from the Salt River drain - River. Drainage systems in deserts differ from those 77 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.19 Groundwater, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

in more humid regions. Since water is scarce, fewer with two dikes, retains the flow to reduce flooding in free-flowing streams and rivers exist. The primary central Phoenix. drainageways are ephem eral washes, or arroyos, as The second primary drainage is Skunk Creek. they are known in Spanish. Its headwaters are near the western edge of the The two primary drainageways in the Desert Tonto National Forest. Skunk Creek drops approx- View Tri-Villages Area are the Cave Creek Wash and imately 14 ft/mi (2.7 meters per kilometer) in the Skunk Creek Wash (Figure 3.9). They both flow the Tri-Villages Area (Ciekot et al. 1995). Many in a southerly direction into the more developed smaller tributaries feed the Skunk and Cave Creeks. portions of the city. The headwaters of Cave Creek As Stephanie Ciekot et al. observed, the system of are in the Tonto National Forest to the north of the washes with the adjacent floodplains and ripar- planning area. Cave Creek drops approximately 51 ian vegetation, “provide flood water distribution, ft/mi (9.7 m/per kilometer) through the Tri-Villages groundwater recharge, moisture for vegetation, Area (Ciekot et al. 1995). Its natural flow is inter- wildlife habitat, and scenic beauty” (1995, 5–8) (Fig- rupted at Cave Buttes Dam, which, in conjunction ure 3.20). 78 CHAPTER 3

Aerial view of small Sonoran Desert washes.

For nondesert regions, several methods have ergy and resistance. Thus, the patterns of stream been suggested for stream ordering. The method drainage in the landscape are determined by the re- proposed by A. N. Strahler (1957) is the most gional geologic structure. Common types of straightforward. According to his system, stream or- drainage patterns are also shown in Figure 3.21. ders are designated as first, second, third, and so on. In desert and semiarid regions, the natural hier- First-order streams are primary drainageways; they archy of drainage systems is reversed in the canal are fingertip tributaries at the head of the stream system. Larger canals are found at the headwater system. Second-order streams are formed by the con- point. Flows in canals become progressively smaller fluence of two first-order streams, and third-order as water is used for agricultural, industrial, and resi- streams are formed by the confluence of two second- dential purposes. order streams, and so on (Figure 3.21). Flooding is the general and temporary condition First-order streams are usually at higher eleva- of a partial or complete inundation of normally dry tions and travel a shorter distance over a steeper land areas either from the overflow of streams, grade than do second-order streams. Second-order rivers, and other inland water or from abnormally streams are at higher elevations and travel a shorter high tidal water or rising coastal water resulting distance over a steeper grade than do third-order from severe storms, hurricanes, or tsunamis. Flood- streams, and so on. Gravity causes this manner of ing is also any relatively high flow as measured by ei- stream movement toward a steady state. This can be ther gauge height or discharge quantity (Waananen expressed graphically by plotting elevation versus et al. 1977). Floodplains “are lowlands adjacent to stream length for the streams in the study area (Fig- rivers, streams, oceans, lakes, or other water bodies ure 3.21). Average stream length can also be plotted that have been or may be inundated with water” against stream order. Streams develop along a loca- (Morris 1997, 11). Floodplains include the channel tion determined by a balance between available en- of the drainageway, its floodway, and the flood 79 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.20 Floodplains and washes, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 80 CHAPTER 3

FIGURE 3.21 Elevation versus stream length, stream orders, and common drainage patterns stream orders. 81 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

Canal near Valladolid, Spain.

fringe (Figure 3.22). For urban areas in the United States, maps indicating 100-year and 500-year floodplains are available from the Federal Emer- gency Management Agency (FEMA). As can be seen in Figure 3.20, much of the Tri- Villages Area is in a floodplain. Flooding is a serious problem in the Phoenix region. By definition, desert FIGURE 3.22 Elements of the 100-year floodplain. environments, the Sonoran included, experience lit- (Source: Morris 1997) tle precipitation. However, rains do fall in deserts, and in the Sonoran Desert the intensity and amount can be significant. Human settlement affects where the water flows once it reaches the earth. Paved measures to reduce the hazards of floods. (For an streets and buildings can prevent the infiltration of excellent primer on the subject, see Morris 1997.) In water (Botkin and Beveridge 1997). Increased ur- the Tri-Villages Area, flooding erodes the banks of banization results in greater runoff at higher veloci- the washes and results in some sedimentation prob- ties. In the desert, this runoff is frequently dramatic. lems. Flooding also is an important mechanism for Sometimes the consequence is destructive flash bank building through deposition and is an agent floods. In response, city officials in Arizona have for sediment routing. adopted measures to encourage and sometimes to While water quantity is an important considera- require that storm water be retained on site. For ex- tion for planning—we need enough water to sup- ample, the City of Tempe has an ordinance requir- port our communities, but too much may pose a ing property owners and developers “to provide hazard—water quality is equally essential. The qual- storage of sufficient volume to hold the total runoff ity of the groundwater in the Tri-Villages Area is from the . . . storm falling on that [property].” In ad- good and “does not contain the nitrates, chromium, dition, there is increased attention on protecting and organics found in other Phoenix groundwater” wash corridors. Many communities are adopting (Ciekot et al. 1995, 5–4). 82 CHAPTER 3

Limnology is the study of freshwaters in all their scribes ecological taxa, arranges them in a system physical, chemical, geological, and biological aspects useful for resource managers and planners, fur- (Odum 1971). There are two broad types of fresh- nishes units for mapping, and provides uniformity water habitats: standing-water habitats (lakes, of concepts and terms. Five systems form the high- ponds, swamps, or bogs) and running-water habi- est level of classification hierarchy, including ma- tats (springs, streams, or rivers). For purposes of hy- rine, estuarine, riverine, lacustrine, and palustrine. drological inventory and analysis, the chemical and These systems are further subdivided into subsys- biological aspects of aquatic ecosystems and the tems and classes. Figure 3.23 summarizes these sys- types of freshwater habitats are important. tems, subsystems, and classes. In coastal areas, a hydrologic inventory may be Wetlands are generally perceived to be swamps, replaced or supplemented by an analysis of oceanog- marshes, estuaries, and similar areas. Some forested raphy and/or estuarine ecology. Oceanography is the areas can also technically be termed wetlands. Ripar- study of the sea in all its physical, chemical, geologi- ian areas are those ecosystems within or adjacent to cal, and biological aspects (Odum 1971). For pur- drainageways and/or their floodplains and are char- poses of inventory and analysis of hydrology, the acterized by species and/or life-forms different from chemical and biological aspects of oceanography are the immediately surrounding upland (Lowe 1964). important, while the physical and geological aspects Riparian areas are variously considered by scientists may be covered in other inventory steps. Effective to be a type of wetland (Brown et al. 1978) or to be management of coastal zones and their related ocean physiographically distinct from wetlands (Odum environment is important for many reasons, includ- 1978). Wetlands and riparian areas are considered as ing the recent dramatic decline in fisheries. Accord- two physiographically (but not functionally) distinct ing to Carl Safina (1998), the giant bluefin tuna pop- ecosystems for federal and state regulatory purposes. ulation has declined by 90 percent off the Atlantic The changing public perception of the impor- coast since the early 1980s. Meanwhile, Pacific tance of wetlands has to do with their many positive salmon have disappeared from about 40 percent of ecological functions and the values that people place their breeding range in Washington, Oregon, Idaho, on these functions. According to M. Williams, “it is and California (Safina 1998). difficult to say where a function becomes a value Eugene Odum defines an estuary as “a semi-en- and there is much imprecision about these terms . . . closed coastal body of water which has a free con- the word benefit [can] be used where we cannot nection with the open sea; it is thus strongly affected clearly separate a function from a value” (1990, 13). by tidal action, and within it sea water is mixed (and The functions, values, and benefits of wetlands usually measurably diluted) with fresh water from and riparian areas are perceived to be similar: land drainage” (1971, 352). Again the chemical and groundwater recharge and discharge, sediment sta- biological aspects of this environment are the most bilization, flood flow attenuation, water quality important ones for hydrological inventory and maintenance, fish and wildlife habitat, climate mod- analysis, while the physical and geologic aspects may eration, shoreline protection, food production, and be covered in other inventory elements. recreation (Cooper et al. 1990; Meeks and Runyon The U.S. Fish and Wildlife Service has developed 1990; Kusler and Opheim 1996). Sixty-six percent of a useful classification system of wetlands and deep- commercially harvested fish depend on wetlands for water habitats of the United States (Cowardin et al. food or reproduction (Blumm and Zaleha 1989). 1979). This classification system was especially de- Riparian areas support 75 percent of the nation’s signed to be used for biophysical inventories. It de- breeding birds, 50 percent of the mammals, and 83 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.23 Classification hierarchy of wetlands and deep-water habitats, showing systems, subsystems, and classes. The Palustrine system does not include deep-water habitats. (Source: Cowardin et al. 1979, courtesy of U.S. Fish and Wildlife Service) 84 CHAPTER 3

more than 100 endangered species (McCormick mining, and alteration of hydrology (U.S. Environ- 1978; Steiner et al. 1994). mental Protection Agency 1988; Kusler and Opheim Several approaches have been developed to clas- 1996). Natural causes include erosion, subsidence, sify functions, values, and benefits of wetlands. R. W. sea level rise, droughts, hurricanes and other storms, Tiner (1984) suggests three categories: (1) fish and and overgrazing by wildlife (U.S. Environmental wildlife values, (2) environmental quality values, Protection Agency 1988). and (3) socioeconomic values. Williams (1990) em- There has been no comprehensive national or re- ploys four broad groups: (1) physical/hydrological, gional analysis of the loss or alteration of riparian (2) chemical, (3) biological, and (4) socioeconomic. areas. It has been estimated, however, that 70 to 90 Williams notes that “none of these categories is ex- percent of riparian ecosystems have been altered, clusive and each can have a profound effect on the and that natural riparian communities now com- other” (1990, 13). Williams (1990) classified flood prise less than 2 percent of the land area in the United mitigation, coastal protection, aquifer recharge, and States (Brinson et al. 1981; Ohmart and Anderson sediment trapping as the major physical/hydrologi- 1986). Riparian areas are especially important in the cal functions. The chemical functions of wetlands American West, where they are estimated to consti- include pollution trapping, removal of toxic resi- tute 0.5 percent of the landscape (Ohmart and An- dues, and waste processing (Wil liams 1990). Wil - derson 1986; Monroe 1991). Estimated losses for liams considers productivity and habitats to be states in the Intermountain West (parts of Nebraska, the biological functions. The major socioeconomic Kansas, South and North Dakota, Washington, Ore- qualities are consumptive values for farming, fish- gon, California, Arizona, New Mexico, Texas, and ing, hunting, fuel, and fiber, plus nonconsumptive Oklahoma) can be found in Cooper et al. (1990). benefits for views, recreation, education, science, The implications of the trend toward increasing and history (Williams 1990). wetland and riparian area losses are significant. An estimated 53 percent of wetlands in the coter- Flooding cycles have been altered, resulting in flood minous United States have been lost from the 1780s damage and associated costs for repair or preven- to the 1980s. In the 1980s, wetlands constituted an tion (Gosselink and Maltby 1990). Human safety estimated 5 percent of the land surface of the lower and property are put at risk by floods. Long-term 48 states (Dahl 1990). Alaska and Hawaii have also food supplies, genetic diversity, and wildlife reserves experienced wetland losses. Wetlands continue to can also be negatively impacted by flooding (Gos- decline nationwide, but estimates of decline vary selink and Maltby 1990). J. G. Gosselink and E. (Leslie and Clark 1990). It is estimated that some 80 Maltby (1990, 32) observe, “Wetlands are important percent of the remaining wetlands are privately elements in the global cycles of nitrogen and sul- owned (Environmental Reporter 1990). The causes of phur.... Inevitably the continuing loss of wetlands wetland conversions from the mid-1950s to mid- . . . must have significant impacts on these cycles, 1970s were as follows: agriculture, 87 percent; urban impacts whose repercussions we do not at present development, 8 percent; and other development, 5 clearly understand.” They also note negative conse- percent (U.S. Department of Interior 1988). quences for the carbon cycle (Steiner et al. 1994). Wetlands have been lost and degraded both as a The hydrology of a landscape can be studied by result of human action and natural causes. Human asking questions and seeking answers to those ques- actions include drainage, dredging and stream tions (Steiner and McSherry 2000), such as: channelization, deposition of fill material, diking and damming, tilling for crop production, grazing • How is water, or the lack of water, expressed by domesticated animals, discharge of pollutants, within the planning area? 85 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

• Is there a regional connection? 6. Physical water-quality characteristics • What is the visual connection to water? (sediment loads and temperature) • Is this visual connection limited to particular 7. Chemical water-quality characteristics places within the area? (such as pH, nitrogen, phosphorus, chlo- • How has the presence of water determined the rine, boron, and electrical conductivity) location of land development, ranching, and 8. Bacteriological water-quality characteris- farming? tics • What is the relationship between water and 9. Freshwater or marine flora and fauna sense of place in the planning area? (may also be included in the vegetation • Relative to the expression of water in the plan- and wildlife parts of the inventory and ning area: analysis process) Does water express itself through built 10. Eutrophication form? 11. Water supply systems Through the location of houses? 12. Sewage treatment systems Schools? 13. Existing industrial disposal and dis- Farms or ranches? charge points Roadways? 14. Existing solid-waste disposal sites affect- • What are the functions, values, and benefits of ing water quality wetlands and riparian areas? 15. Existing storm sewer systems and dis- • How does the spatial pattern of development charge points reflect water as either an abundant or a limited 16. Algal bloom problems resource? 17. Aquatic weed problem areas 18. Fish hatcheries and stocking areas (may SUMMARY OF HYDROLOGIC also be included in the land-use portion INVENTORY ELEMENTS of the inventory and analysis process) A. Groundwater systems 1. Aquifer recharge areas MAJOR SOURCES OF INFORMATION 2. Consolidated and unconsolidated aquifer 1. U.S. Geological Survey (USGS) location and yield National Wetland Inventory 3. Well locations and yields National Cartographic Information 4. Water quantity and quality Center 5. Water table, artesian supplies 507 National Center 6. Seasonally high water table Reston, Virginia 22092 7. Water-bearing characteristics of geologic http://water.usgs.gov units 2. U.S. Fish and Wildlife Service (USFWS) 8. Infiltration rates National Wetland Inventory B. Surface water systems 9720 Executive Center Drive 1. Watershed and drainage basins Suite 101 Monroe Building 2. Stream, lake, estuary, coastline, and wet- St. Petersburg, Florida 33702 land locations 3. Federal Emergency Management Agency 3. Stream volumes (FEMA) 4. Lake levels, tides Map Service Center 5. Floodplains, flood-hazard areas 6730 Santa Barbara Court 86 CHAPTER 3

Baltimore, Maryland 21227-5623 our houses, roads, septic and sewage disposal sys- Phone 1-800-358-9616 tems, airports, parks, recreation sites, farms, forests, Fax 1-800-358-9620 schools, and shopping centers. What is put on the 4. U.S. Natural Resources Conservation Ser- land should be guided by the soil that is beneath it” vice (NRCS) (1994, 1). 5. Agricultural Stabilization and Conservation Fortunately, many dedicated conservationists Service (ASCS) have mapped soil information for most of the United 6. U.S. Army Corps of Engineers States. These conservationists, working for the U.S. 7. U.S. Department of Housing and Urban De- Natural Resources Conservation Service, an agency velopment (National Flood Insurance Pro- of the U.S. Department of Agriculture (USDA), have gram) compiled map information in soil surveys for much 8. U.S. Forest Service (USFS) of the nation. The soil survey includes the informa- 9. Environmental Protection Agency (EPA) tion necessary: 10. National Marine Fisheries Service (U.S. De- partment of Commerce) • To determine the important characteristics of 11. Office of Coastal Zone Management soils (NOAA, U.S. Department of Commerce) • To classify soils into defined types and other 12. Federal Aviation Administration (FAA) classificational units 13. U.S. Coast Guard • To establish and to plot on maps the bound- 14. State departments of fisheries and coastal aries among kinds of soils management • To correlate and to predict the adaptability of 15. State sea-grant universities soils to various crops, grasses, and trees, their 16. College and university libraries behavior and productivity under different 17. River basin commissions management systems, and the yields of 18. State departments of natural resources, adapted crops under defined sets of manage- mining, and ecology ment practices 19. Individual well owners The principal purposes of the soil survey are: Soils • To make available all the specific information Soils occupy a unique position in the lithosphere and about each kind of soil that is significant to its atmosphere. They are a transition zone that links the use and behavior to those who must decide biotic and abiotic environments. Soil is a natural how to manage it three-dimensional body on the surface of the earth • To provide descriptions of the mapping units that is capable of supporting plants. Its properties reso the survey can be interpreted for land uses sult from the integrated effect of climate and living that require the fundamental facts about soil matter acting upon parent material, as conditioned by relief over periods of time. Many processes are According to Broderson, linked within the soil zone, so soils often can reveal more about an area than any other natural factor. A soil survey generally contains soils data for one Soils scientist William Broderson has noted, county, parish, or other geographic area, such as a “Much of our life’s activities and pursuits are related major land resource area [MLRA]. During a soil sur- and influenced by the behavior of the soil around vey, soil scientists walk over the landscapes, bore holes 87 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

with soil augers, and examine cross sections of soil the series divided by properties that are important profiles. They determine the texture, color, structure, to soil use, such as texture and slope (Broderson and reaction of the soil and the relationship and 1994). In a soil survey, these units are numbered. thickness of the different soil horizons. Some soils are Soil capability classification is a general way of sampled and tested at soil survey laboratories for cer- showing the suitability of soils for agricultural pur- tain soil property determinations, such as cation- poses. Soils are grouped according to their limita- exchange capacity and bulk density (1994, 1). tions, the risk of erosion under use, and the way they respond to treatment. Capability classification is de- Soil surveys describe some of what is known scribed further in Chapter 5. about the soil science, or pedology, of the area and The soil profile is an important part of the de- include information about soil associations, catenas, scription of each soil series and is defined as the se- series, phases, capability classes, profiles, erosion, quence of layers (horizons) from the surface down- and drain age. A landscape has a distinctive charac- ward to rock or other underlying material (Figure teristic pattern of soils. Such a pattern is called an 3.25). These layers, or horizons, include: association. It normally consists of one or more major soils and at least one minor soil and is named for O—Organic horizons (litter derived from dead the major soil or soils. A related but different group- plants and animals) ing is a catena, a sequence of soils of about the same A—Mineral horizons of maximum biological age, derived from similar parent material, and oc- activity curring under similar climate conditions but having E—Eluvial horizons (mineral horizons that lie different characteristics due to variation in relief at or near surface and are characterized as and drainage. zones of maximum leaching) A soil series is a group of soils having soil hori- B—Illuvial horizons (the layers of accumulation zons similar in characteristics and arrangement in into which the above minerals are washed) the soil profile, except for the texture of the soil, and C—Unconsolidated material under A and B lay- developed from a particular type of parent material. ers Each soil series generally is named for a town or R—Bedrock other geographic feature near the place where a soil of that series was first observed and mapped. Soils Soil erosion is the searing away of the land surface by of the same series name are essentially alike in those running water, wind, ice, or other geologic agents characteristics that affect their behavior in the and by processes such as gravity. Erosion hazard undisturbed landscape. may be considered the susceptibility of soils to these Soils of one series can differ in texture from the factors. The factors affecting erosion can be ex- surface layer and in slope, stoniness, or some other pressed in the following equation: characteristic that affects human use of the soil. On the basis of such differences, a soil series is divided E = f (C, S, T, SS, M) into phases. The name of a soil phase indicates a feature that affects management. For example, in the where Desert View Tri-Villages Area, the Gilman series is divided into nine soil phases, such as, Gilman fine E = erosion, sandy loam and Gilman loam, 1 to 3 percent slopes f = function of (), (Hartman 1977) (Figure 3.24). A mapping unit is C = climate, usually equivalent to a phase. A phase is a division of S = soil properties, 88 CHAPTER 3

FIGURE 3.24 Soils, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 89 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.25 Horizons that could occur in a soil profile. (Source: Hendricks 1985) 90 CHAPTER 3

T =topography, to soil loss from a 9 percent slope un- SS= soil surface conditions, and der otherwise identical conditions. M = human activities (Renard and Foster 1983; C = cover-management factor—the ratio Renard et al. 1997). of soil loss from an area with specified cover and management to soil loss Soil scientists developed an equation to express from an identical area in tilled contin- the functional relationship among these factors. As uous fallow. early as the 1930s, erosion prediction equations P = support practice factor—the ratio of were developed that came together as the universal soil loss with a support practice like soil loss equation (USLE) originally in the late 1950s contouring, stripcropping, or terrac- and the early 1960s (Wischmeier and Smith 1965, ing to soil loss with straight-row farm- 1978). Erosion prediction equations are improved ing up and down the slope (Renard et constantly, which has resulted in the revised univer- al. 1997). sal soil loss equation (RUSLE). Both USLE and RUSLE compute the average annual erosion ex- There are also wind-erosion equations that con- pected on field slopes as sider similar factors for wind erosion (see Skidmore 1994, for example). Some soil erosion occurs natu- A = R · K · L · S · C · P rally, so the question can be raised: What rate is tol- where erable? Tolerable soil loss can be defined as the maximum rate of annual soil erosion that will permit a A = computed spatial average soil loss and high level of crop productivity to be sustained eco- temporal average soil loss per unit of nomically and indefinitely. These T values vary from area, expressed in the units selected for soil to soil, depending on how fast new topsoil can K and for the period selected for R. In be formed to replace the soil lost to erosion. Typi- practice, these are usually selected so cally the universal soil-loss equation and the univer- that A is expressed in ton · acre–1 · yr–1, sal wind-erosion equation are used to determine but other units can be selected (that is, what cropping and tillage practices are necessary to t · ha–1 · yr–1). keep soil loss within a tolerable level. R = rainfall-runoff erosivity factor—the Soil drainage may be defined as the relative ra- rainfall erosion index plus a factor for pidity and the extent of the removal of water from any significant runoff from snowmelt. the surface and from within the soil under natural K = soil erodibility factor—the soil-loss conditions. Soil series in a soil survey will include a rate per erosion index unit for a speci- description of drainage. Some of this soil survey in- fied soil as measured on a standard formation will be explored further, using the Desert plot, which is defined as a 72.6-ft View Tri-Villages Area as an example. (22.1-m) length of uniform 9 percent The soils map (Figure 3.24) shows the mapping slope in continuous clean-tilled fallow. units in the Desert View Tri-Villages Area. The soils L = slope length factor—the ratio of soil of the area vary in texture. Sands, silts, and clays are loss from the field slope length to soil present. Figure 3.26 shows the soil textural classes, loss from a 72.6-ft length under identi- while Table 3.5 illustrates the various particle sizes cal conditions. and the corresponding nomenclature. There are S = slope steepness factor—the ratio of four basic texture groups—sands, silts, clays, and soil loss from the field slope gradient loams—that can be subdivided further to reflect var- 91 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

level to gently sloping areas. They are found along the primary washes, such as Cave Creek and Skunk Creek and on the valley plains in the southeastern portion of the Tri-Villages Area, just north of the Central Arizona Project canal (Ciekot et al. 1995). Gilman is an example of these soils. Its profile reveals a yellowish-brown loam surface layer about 5 inches (12.7 centimeters) thick. According to the soil survey, the underlying material is light yellowish-brown loam and very fine sandy loam to a depth of 64 inches (162.6 centimeters). Gilman is “moderately alkaline throughout and is weakly effervescent to strongly effervescent” (Hartman 1977, 27) (Figure 3.28). FIGURE 3.26 Soil textural classes. Soils from old alluvium consist of nearly level to moderately steep slopes on alluvial fans, bajadas, and valley plains. The most common soils in the Tri- TABLE 3.5 Particle Diameter Villages Area are derived from a wide mixture of basalts, granite, granite-gneiss, schist, rhyolite, an- Inch Texture mm (approximate) desite, and quartzite (Ciekot et al. 1995; Hartman 1977; Camp 1986). Ebon is an example. Its profile Clay <0.002 <8 × 10–5 Silt 0.002–0.050 8 × 10–5 to 20 × 10–5 reveals a brown, gravelly loam surface layer about 2 Sand 0.050–2.000 20 × 10–5 to 0.080 inches (5.1 centimeters) thick. According to the soil

SOURCE: Adapted from Brady 1974; Brady and Weil 1996. survey for the central part of Maricopa County, the subsoil extends to a depth of 60 inches (152.4 centimeters). The upper 11 inches (27.9 centimeters) of ious mixtures (for instance, loamy sands and sandy this subsoil are reddish-brown very cobbly clay loams). Sand is coarse-textured and comprises loose, loam, the next 25 inches (63.5 centimeters) are yel- single-particle grains that can be easily seen or felt. lowish-red and reddish-brown very cobbly clay, and Silts have a medium texture, while clays are fine-tex- the lower 22 inches (55.9 centimeters) are light red- tured and comprised of the smallest particles. Loams dish-brown very cobbly sandy clay loam (Hartman have a mixture of different sand, silt, and clay parti- 1977). Ebon soils are moderately alkaline through- cles (Rogers, Golden, and Halpern 1986). out and noneffervescent in the upper 23 inches The soils in the Tri-Villages Area can be grouped (58.4 centimeters) (Hartman 1977). into three broad categories based on their parent The soils formed on the mountain and butte material. Parent material refers to a great variety of areas are poorly developed and thin. As they start to unconsolidated organic (such as fresh peat) and develop, these soils are eroded into the valleys mineral material in which soil formation begins (Ciekot et al. 1995). The Cherioni soils are an exam- (Broderson 1994). According to Stephanie Ciekot ple. The Cherioni series has a white, silica-line- and her colleagues (1995), the three categories are cemented hardpan. The soil above the hardpan is a soils formed from recent alluvium, soils formed very gravelly, yellowish-brown surface loam about from old alluvium, and soils derived from moun- 1-inch (2.5-centimeter) thick and a 5-inch (13- tains and buttes (Figure 3.27). centimeter) thick layer of yellowish-brown to very The soils from recent alluvium occur on nearly pale brown loam (Camp 1986; Hartman 1977). 92 CHAPTER 3

FIGURE 3.27 Components of the characteristic desert profile. (Source: Adapted from Ciekot et al. 1995)

FIGURE 3.28 Gilman soil profile. (Source: Adapted from Hartman 1977) 93 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

The soils series name is like a plant or animal common name. For a broader exchange of information it is probably better to use a soils great group name. All soil surveys have a table relating soil series name to the soils classified, or scientific name. For example, alluvial soils along the washes of the Tri- Villages Area by Phoenix are classified as Torriflu- vents. The ents syllable in the name means that the soil has no developed horizons. The process forming this soil is soil movement by running water, indicated by the fluv syllable, an abbreviation for flu- FIGURE 3.30 Hierarchical soil classification. (Source: vial. The torri syllable denotes a climate with torrid Hendricks 1985) temperatures. Thus, the great group name provides considerably more information than stating the soil is of the Ebon series. been identified in the United States (Hendricks David Hendricks (1985) identifies Torrifluvents 1985). In contrast, the most general category is the as one of 64 soil associations in seven temperature– orders (Table 3.6). precipitation units in Arizona. Torrifluvents are a Soil survey information can be interpreted to hyperthermic arid soil, according to Hendricks’ produce maps that show processes in the planning classification (Figure 3.29). Hendricks (1985) ap- area. For example, Figure 3.31 illustrates erosion po- plied the USDA soil taxonomy system for his classi- tential. Soil surveys also frequently include helpful fication of Arizona soils. This soil taxonomy consists drawings, such as Figure 3.32 of soils formed in re- of a hierarchy, with soil series the narrowest cate- cent alluvium. The drawing shows three associa- gory (Figure 3.30). More than 14,000 soil series have tions. According to the soil survey, this “group of

FIGURE 3.29 Representative soils and profiles. (Source: Hendricks 1985) 94 CHAPTER 3

TABLE 3.6 Names and Important Properties of the Orders Name Important Properties Alfisols Mineral soils relatively low in organic matter, with relatively high base saturation. Contains horizon of illuvial clay. Moisture is available to mature a crop. Aridisols Mineral soils relatively low in organic matter. Contain developed soil horizons. Moisture is inadequate to mature a crop without irrigation in most years. Entisols Mineral soils lacking developed soil horizons. Moisture content varies. Histosols Soils composed mostly of organic matter. Moisture content varies. Inceptisols Mineral soils containing some developed horizons other than one of illuvial clay. Moisture is available to mature a crop. Mollisols Mineral soils with thick, dark surface horizons relatively high in organic matter and with high base saturation. Oxisols Mineral soils with no weatherable minerals. High in iron and aluminum oxides. Contain no illuvial horizons. Spodosols Soils that contain an illuvial horizon of amorphous aluminum and organic matter, with or without amorphous iron. Usually moist or well leached. Ultisols Mineral soils with an illuvial clay horizon. Has low base saturation. Generally found in humid climates. Vertisols Clayey soils with deep wide cracks at some time in most years. Moisture content varies.

SOURCE: Hendricks 1985.

associations consists of nearly level to gently sloping • Why are some soils different in color from soils formed in recent alluvium on alluvial fans at others? the base of mountains, in stream channels, on low • Do some places seem to erode more than oth- stream terraces, and on valley plans” (Hartman ers? 1977, 3). • What areas drain most rapidly? Most slowly? Hardpans, or caliche, are common in the So- • Do crops grow better in some places than in noran Desert. Desert soils are affected by the pre- others? Why? cipitation of salts produced by the weathering • What crops were grown in the past? of rock-forming minerals. Because seepage from rainfall is frequently not sufficient to carry these SUMMARY OF SOILS INVENTORY ELEMENTS salts down to the water table, they accumulate in 1. Soil series the soil as the water evaporates. Alluvial deposits 2. Permeability are then cemented by calcium carbonate to form 3. Texture the sometimes concrete-like caliche (Ciekot et al. 4. Profiles 1995). 5. Erosion potential During the inventory process, questions can 6. Drainage potential be asked about soils. The answers to these ques- 7. Soil associations and catenas tions can assist in the understanding of the place, 8. Cation and anion exchange such as: 9. Acidity–alkalinity 95 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.31 Soil erosion potential, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

MAJOR SOURCES OF INFORMATION Microclimate 1. U.S. Natural Resources Conservation Service (NRCS) Meteorological elements change vertically and hori- Soil survey information located at county zontally within short distances. Small-scale varia- offices. Additional information available at tions are brought about by changes in slope and ori- the NRCS website: http://www.nrcs.usda entation of the ground surface; soil type and .gov moisture; variations in rock, vegetation type and 2. Agricultural Stabilization and Conservation height; and human-made features. These different Service (ASCS) climates found within a small space are grouped to- 3. Soil Science Society of America gether under the general description of microcli- 4. Soil and Water Conservation Society mate. The term topoclimate is used when the effects 5. College or university libraries of topographic variations of the land on the micro- 6. County extension agents climate are considered. Generally, topoclimate is an 96 CHAPTER 3

FIGURE 3.32 Soils formed in alluvium. (Source: Adapted from Hartman 1977)

extension of microclimate into the higher layers of aligned with the prevailing wind. Rudolf Geiger, the atmosphere and over landscapes, depending on a German scientist who studied the effects of to- the relief of the land. Therefore, topoclimate can be pography on climate, developed the formula in Fig- considered to occupy an intermediate level between ure 3.33 to determine the relative values of ventila- macroclimate and microclimate. It is important to tion. The formula relates wind direction to understand microclimate and topoclimate for many landform. The d in the formula is determined by of the same reasons that macro, or regional, climate the direction of seasonal regional winds; thus dif- is important. These finer layers, however, relate ferent ventilation calculations may be necessary for more directly to building and open space design. the various seasons. It has been noted that, in gen- Some important microclimate elements to consider eral, “The greater or more pronounced the relief are ventilation, fog and frost, solar and terrestrial ra- [then] the greater the wind pressure on the slopes diation, and vegetative changes. perpendicular and facing the wind (windward) and Ventilation is the circulation of fresh air across the greater the formation of eddies on the lee side. the landscape and is largely dependent on land- These factors influence temperature and humidity forms and wind direction. The calculation of venti- and, therefore, have important influence on local lation is “important in determining local climate; microclimate” (University of Pennsylvania 1985, furthermore, wind pressure and eddy formation B1.4). largely depend on the degree of landform relief” Subtle topographic changes and their relative el- (University of Pennsylvania 1985, B1.4). Ventila- evation greatly affect temperature near the ground tion is greatest in those areas where the terrain is surface. These changes in temperature, in turn, in- 97 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.33 Geiger ventilation formula. (Source: Adapted from Geiger 1965, via the University of Pennsylvania 1985)

FIGURE 3.34 Fog and frost susceptibility.

fluence the susceptibility of an area to fog and frost mate in a variety of ways. Ventilation, fog and frost, (Figure 3.34). and solar radiation all are modified by changes in Solar radiation is influenced by slope steepness vegetation. Figure 3.35 illustrates some of the ways and direction. Donald Satterlund and Joseph Means vegetation influences microclimate. (1979) have observed that solar radiation is the pri- Anthony Brazel of the Arizona State University mary variable in energy exchange processes that de- Office of Climatology and the Department of Geog- termine ecosystem distribution, composition, and raphy has studied the influence of various surface productivity. In addition, radiation melts snow, conditions (such as asphalt, irrigated agriculture, powers the hydrologic cycle, and significantly influ- and natural desert) on microclimate. Surfaces re- ences agricultural productivity. spond differently to daytime solar load and night- Vegetation influences and results from microcli- time cooling processes. Albedo, which is the ratio of 98 CHAPTER 3

FIGURE 3.35 Vegetation influences on microclimate. (Source: Adapted from Higashi et al. 1978)

light reflectivity to incoming light, is typically ration. Understanding microclimate is important employed to assess the absorption and subsequent for ecological planning and design. For example, in heating of different surface materials. Thermal ad- his work for Scottsdale, Brazel (1998) recommended mittance is another surface characteristic that deter- to city planners that new asphalt surfaces be mini- mines net heat storage and resultant energy flow over mized to help sustain climate, and that existing as- a surface. In a study of various surfaces in Scottsdale, phalt areas be shaded or lightened to ameliorate heat Arizona (near the Desert View Tri-Villages Area), islands. In addition, he suggested the preservation of Brazel (1998) found that surfaces with lower albedos parks and green spaces for cooling. and high thermal admittances, like black asphalt, The topo- and microclimate of a specific envi- were warmer than those with higher albedos, if not ronment can be understood by asking questions and mitigated by other microclimatic factors like evapo- seeking answers (Steiner and McSherry 2000), like: 99 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

Topoclimate 3. First and last frosts • What is the relation between the sun and the 4. Solar radiation location/type of development in the planning 5. Surface condition albedos and temperatures area? 6. Vegetation changes • Identify the orientation of specific slopes. How does slope orientation influence mi- MAJOR SOURCES OF INFORMATION croclimate, and thus vegetation patterns? 1. National Weather Service How does slope orientation influence mi- 2. National Oceanic and Atmospheric Admin- croclimate, and thus the pattern of devel- istration (NOAA) opment? 3. Federal Aviation Administration (FAA) How does this orientation influence the 4. Environmental Protection Agency (EPA) style of architecture? 5. State environmental quality agencies How does this affect the pattern of develop- 6. State climatologists ment? 7. Local weather stations and/or airports • Has urbanization, suburbanization, or rural 8. College or university libraries development affected the climate of the plan- 9. County extension agents ning area? If so, how? 10. Farmers • Identify the places where it is warmer or cooler. Vegetation How does this determine the location of the development of public amenities, such as The ecologist Robert E. Ricklefs observed that “life is farms, ranches, wells, roads, schools, and an extension of the physical world” (1973, 81). This markets? observation is reinforced by J. E. Lovelock’s Gaia hy- When are the first and last frosts? pothesis, which suggests “the biosphere is a self-reg- Where are fog and frost likely to occur? ulating entity with the capacity to keep our planet • How is air quality related to soils, vegetation, healthy by controlling the chemical and physical en- land use, and traffic? vironment” (1979, xii). Living things are a result of the physical processes that have been discussed thus Microclimates far plus their interaction with other life-forms. Veg- • What are the sheltering effects of building etation refers to plant life—trees, shrubs, cacti, edges? herbs, and grasses. Because of the omnipresence of • What influence does shading (and climate) vegetation, it would seem that plants would be sim- have on land use, both built and temporal? ple to inventory. This, however, is not the case. For • How does the light level change through the various reasons, naturally occurring vegetation has day? not been inventoried to the extent that the earth, • Do colors appear different in the morning, at water, soils, or climate have. As a result, plants are midday, and at sundown? too often ignored in the planning process in the • What are the albedos for various surfaces? United States.1 SUMMARY OF MICROCLIMATE INVENTORY ELEMENTS 1An exception is that work done by the U.S. Forest Service or 1. Ventilation state agencies responsible for forestry and range programs. 2. Fog and frost frequency and location In this case, vegetation is viewed as an economic resource. 100 CHAPTER 3

Plants are important to study for many reasons. In two detailed studies led by Professors Rebecca They may have economic and medicinal value. They Fish Ewan and Joseph Ewan of the ASU School of provide habitat for wildlife. They have significant Planning and Landscape Architecture for the City of influence on natural events like fires and floods and Phoenix, five vegetation types have been identified may reduce the human consequences of such events. in the Desert View Tri-Villages Area (Ewan et al. Plants are beautiful and contribute to the scenic 1996, 1998). Wash vegetation is the first type and in- quality of landscapes. Plants are the source of oxy- cludes “the sandy, rocky, open channel and sand gen, which humans need to survive. bars and is characterized by annuals, big leaf bur- In addition, native plant species are in decline sage (Ambrosia ambrosioides), desert broom (Bac- worldwide. According to a 1998 international study, charis sarothroides), and seep willow (Baccharis sali- one in eight known plant species on Earth is either cifolia) (Ewan et al. 1998, x). Along the edges of the threatened or nearly extinct (Suplee 1998). Curt washes are the richest concentrations of vegetation. Suplee reports that the “results of a 20-year joint ef- Ewan and his colleagues note that blue palo verde fort among 16 organizations show that habitat de- (Cercidium floridum) and ironwood (Olneya tesota) struction and introduction of non-native species “are characteristic trees that grow along the wash have caused approximately 34,000 species to be- edges” (1998, x). come so rare that they could easily disappear. That Creosote bush–bursage flats are the second type amounts to 12.5 percent of the 270,000 fern, and are “dominated by creosote bush (Larrea triden- conifer, and flowering species known worldwide” tata) and triangle-leaf bursage (Ambrosia del- (1998, 1). toidea)” (Ewan et al. 1998, x). This vegetation, ac- There are several ways to classify land cover. One cording to Ewan and his colleagues, is the most helpful system is the USGS Land-Use and Land- widespread in the area “because it can tolerate saline Cover Classification System that was developed for caliche soil and hot arid conditions of the desert use with remote sensor data (Anderson et al. 1976) flats” (1998, x). (see Table 1.2). Once a system is selected, it is neces- The third vegetation type in the Tri-Villages is sary to identify the specific units. The most straight- found on hillsides and slopes. Foothill palo verde forward method is to use aerial or satellite images to (Cercidium microphyllum), triangle-leaf bursage, identify the homogeneous areas, then field-check creosote, teddy bear cholla (Opuntia bigelovii), the units. Ward Brady developed a potential natural buckthorn cholla (Opuntia acanthocarpa), and the vegetation map (Figure 3.36) and a more detailed magnificent saguaro cacti (Carnegiea gigantea) are land-cover classification map (Figure 3.37) for the the characteristic vegetation of the hillside type Desert View Tri-Villages Area. The latter was derived (Ewan et al. 1998). from Landsat imagery. Brady’s maps were influ- Tanks are cowboy watering holes and form the enced in part by detailed wash vegetation studies led fourth vegetation type. These artificial detention by Joseph Ewan and Rebecca Fish Ewan (Ewan et al. areas support dense communities of mesquite (Pro- 1996). A relatively abundant and specialized plant sopis velutina) (Ewan et al. 1998). The final type oc- community has evolved, especially in the northeast- curs in damaged areas. The main causes of the dam- ern section of the Tri-Villages Area. Because of the age are fire and cattle grazing (Ewan et al. 1998). higher altitude and greater rainfall, the plant com- After the vegetation units are identified and munity is abundant in density and diversity when mapped, it is often helpful to list the individual spe- compared to other areas of the Phoenix metropoli- cies in the area. (A comprehensive vegetation list for tan region. the Desert View Tri-Villages Area is located in 101 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.36 Potential natural vegetation, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 102 CHAPTER 3

FIGURE 3.37 Land-cover classification, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 103 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

Appendix A.) Physiognomic profiles show plant com- plant. Again, we can ask questions about the plants munities in three dimensions (Figure 3.38). Peter we see, such as: Skaller has noted that “besides revealing a great deal about ecosystem processes, physiognomy affords a • Which plants are native and which have been quick look at the structural components of wildlife introduced? habitat” (in Berger et al. 1977, 101). Between the • Which ones are rare, endangered, or threat- vegetation units are boundaries (Figure 3.38) whose ened? edges form ecotones. Ecotones are transitional areas • What are the tallest plants? between ecological communities and are generally • What species are present near water? of greater richness and equitability than the com- • When do blooms occur? munities they separate. • Which trees drop their leaves? In urban areas, vegetation is frequently identi- • What species seem to grow together? fied either as ornamental or as weedy. Ornamental • How does vegetation change throughout the decorates a home or a business. A weed is a plant out year? of place. What commonly may be called a weed, • Where does the vegetation grow? ecologists term a ruderal or a disturbance adaptive • Where has native vegetation been disturbed by

FIGURE 3.38 Vertical climatic zonation. (Source: Lowe and Brown 1994) 104 CHAPTER 3

human uses, such as grazing, mining, logging, life, wildlife protection is important for ethical and dumping, and development? moral reasons, for recreational benefits, and for economic and tourist values (Duerksen et al. 1997). SUMMARY OF VEGETATION A starting point is to compile a list of species in INVENTORY ELEMENTS the area (Table 3.7). State departments of game are 1. Plant associations and communities useful sources of information for hunted or fished 2. Vegetative units species. Some state game departments conduct re- 3. Species list search on some nongame species as well, but this is 4. Species composition and distribution still the exception rather than the rule. Conservation 5. Physiognomic profiles groups and academic facilities are usually the best 6. Ecotone and edge profiles resources for nongame species. 7. Rare, endangered, and threatened species Once such a list is compiled (which can be a sub- 8. Fire history stantial task in itself), it is important to analyze where the species live. One helpful tool is a matrix. MAJOR SOURCES OF INFORMATION Figure 3.39 is a matrix for the Pullman, Washington, 1. U.S. Geological Survey (USGS) area. Species were listed with both their common 2. U.S. Natural Resources Conservation Service and scientific names. The individual species were (NRCS) then matched with the vegetative units they use for 3. U.S. Forest Service (USFS) breeding, living, and eating. It was noted whether 4. Botanical gardens each species was common, uncommon, or rare, and 5. Native plant societies what its seasonal occurrence was. Additional re- 6. Nurseries and seed companies marks for each species were also included. For ex- 7. National, state, and local conservation and ample, the northwestern whitetail deer (Odocoileus environmental groups virginianus) is a common resident of the area. This 8. College or university libraries species uses a variety of habitats year-round and is a vegetarian. Figure 3.40 is a similar matrix developed Wildlife for a regional plan in Valladolid, Spain, by Juan Luis Broadly, wildlife is considered to be animals that are de las Rivas and his colleagues. neither human nor domesticated. Insects, fish, am- The dense plant life of the Tri-Villages Area gives phibians, birds, and mammals are more mobile than it a distinctive visual identity and forms the habitat plants. While closely linked to vegetative units for for the resident animal life. The palo verde, cacti, food and shelter, wildlife often use different areas to and mixed scrubs support a rich bird life, with a va- reproduce, eat, and sleep. Like vegetation, wildlife riety ranging from several species of hawks (e.g., Bu- have not been extensively inventoried except where teo jamaicensis) to hummingbirds (Brown 1982). the animals have some commercial value. Because Various doves, including the white-winged, mourn- animals are mobile, they are even more difficult to ing, and Inca are found, as are several varieties of inventory than vegetation. quail. Numerous colorful birds such as cardinals, Planners are paying increased attention to wild- Gila woodpeckers, and flickers are also found. Birds life (Beatley 1994a; Duerksen et al. 1997; Peck 1998). such as the cactus wren, the curved-bill thrasher, the Christopher Duerksen and his colleagues note that northern mockingbird, and quails and doves are no- most “people realize that the presence and protec- table because of the distinctive sound patterns that tion of wildlife improves their lives” (1997, 1). They they produce, which are as much a part of the desert observe that in addition to enhancing the quality of environment as the visual experience. Although not 105 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

TABLE 3.7 List of Wildlife Found in the Desert View Tri-Villages Area Mammals Antelope Jackrabbit Desert Kangaroo Rat Ringtail Lepus alleni Dipodomys deserti Bassariscus astutus Arizona Pocket Mouse Desert Pocket Mouse Rock Squirrel Perognathus amplus Perognathus penicillatus Spermophilus variegatus Badger Gray Fox Round-tailed Ground Squirrel Taxidea taxus Urocyon cinereoargenteus Spermophilus tereticaudus Blacktailed Jackrabbit Harris Antelope Squirrel Sanborn’s Long-nosed Bat Lepus californicus Ammospermophilus barrisii Leptonycteris sanborni Bobcat Kit Fox Spotted Ground Squirrel Felis rufus Vulpus macrotis Spermophilus spilosoma Brazilian Free-tailed Bat Merriam’s Kangaroo Rat Striped Skunk Tadarida brasiliensis Dipodomys merriami Mephitis mephitis Collard Peccary (Javelina) Mule Deer Western Mastif Bat Dicotyles tajacu Odocoiileus hemionus Eumops perotis Coyote Pallid Bat Western Pipistrelle Canis latrans Antrozus pallidus Pipistrellus hesperus Deer Mouse Pocket Gopher White-throated Woodrat Peromyscus maniculatus Thomomys bottae Neotoma albigula Desert Cottontail Raccoon Yuma Myotis Sylvilagus audubonii Procyon lotor Myotis velifer

SOURCE: Adapted from Ciekot et al. 1995. seen as often, several species of owls are an impor- cant variety of bats in the planning area. These in- tant part of the biological balance of the area (Mc- clude the Brazilian free-tailed, the pallid, the west- Carthy et al. 1995; Steiner et al. 1999). ern mastif, the big brown, and the Sanborn’s long- Among the most commonly observed mammals nosed bat. (The latter species is rare and in the area are several rabbit species, including the endangered.) Ground-based nocturnal mammals desert cottontail rabbit and blacktail jackrabbit. include the ringtail and raccoon. Several skunks, in- Several species of squirrels, including the Harris an- cluding the striped skunk and the less common telope, the rock, and the roundtailed ground squir- spotted skunk, are resident (McCarthy et al. 1995). rel, are present. Several species of pocket gophers, There is a significant variety of reptiles in the wood rats, and kangaroo rats, along with the desert planning area, including the desert tortoise, which, pocket mouse, are also found. Large mammals in- although not technically endangered, is rare and clude the coyote and, less often, bobcat, collared sensitive to disturbance. The Gila monster occurs in peccary (javelina), gray fox, and mule deer (Mc- the area and has an endangered standing similar to Carthy et al. 1995). that of the desert tortoise. The area harbors various The night reveals the presence of mammalian species of poisonous and nonpoisonous snakes. species that are not normally seen in the day. Be- Three species of rattlesnakes are resident, including cause of the numerous rock formations in the re- the western diamondback, the tiger, and the black- gion and the available insect life, there is a signifi- tail. Nonpoisonous snakes include the western 106 CHAPTER 3

FIGURE 3.39 Species-habitat matrix for the Palouse region of eastern Washington and northern Idaho.

coach-whip, patch-nose, common king, ground, inventorying wildlife lies in gaining an understand- lyre, western blind, Arizona glossy, blackhead, and ing of the ecosystem of an area. Food webs (Figure gopher snake. Chuckwallas, horned lizards, geckos, 3.42) are useful illustrations that help show people of and various other species of lizards reside in the an area how the living things use the region. planning area. At least five species of toads are found Questions that might be asked when conducting there, as well as the uncommon canyon tree frog a wildlife inventory are: (McCarthy et al. 1995). It is important to rate the habitats for their rela- • Which birds are residents or migrants? tive value (Figure 3.41). This can be done through a • Which species are native and which ones were series of interviews with game officials, conservation introduced? club representatives, landowners, and wildlife ecolo- • What are the dominant large mammals, small gists. Again, this task can be as complex as the plan- mammals, birds of prey, song birds, amphib- ning issue requires. In many areas, there is some de- ians, fish, and insects? bate between farmers and state game officials about • What species are hunted and fished? the value of various habitats. Although many farmers • What are the urban pests? Who are their pred- enjoy hunting, they may also view some game birds ators? and deer as pests. Game officials argue that habitats • What species are rare, endangered, or threat- need to be preserved for these species. The value of ened? 107 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.40 Valladolid species matrix. (Source: Courtesy of Juan Luis de las Rivas, Universidad de Valladolid)

SUMMARY OF WILDLIFE 4. U.S. Natural Resources Conservation Service INVENTORY ELEMENTS (NRCS) 1. Species list 5. National, state, and local conservation and 2. Species-habitat matrix environmental groups 3. Animal populations 6. College or university libraries 4. Habitat value map 5. Habitat of rare, endangered, and threatened Existing Land Use and Land Users species Existing land use refers to the physical arrangement MAJOR SOURCES OF INFORMATION of space utilized by humans. Almost all the land on 1. State departments of game and/or fisheries the planet—from the wilderness areas of Alaska to 2. U.S. Fish and Wildlife Service (USFWS) the alleyways of Philadelphia—is used by people in 3. U.S. Forest Service (USFS) some way. The human ecology, that is, the living 108 CHAPTER 3

friends, or roads for either driving or jogging (recreation, commercial, residential, transportation). A helpful starting point for identifying existing land use and land users is the history of an area. In- formation about the history of a place can be gathered from various sources, including interviews with older residents and research in community libraries. The first people settled the Tri-Villages Area in approximately A.D. 450. The Hohokam people established a sprawling culture in what is now the Phoenix metropolitan area. They developed a sophisticated irrigation network to support agriculture. The Hohokam established villages along Cave FIGURE 3.41 Habitat value matrix. (Source: Adapted from Creek, where they grew crops. These “ancient ones” Brunton et al. 1977) (as their name means in the Pima language) thrived, until they suddenly “disappeared” around a.d. 1400 (Carlson 1988; Ciekot et al. 1995). After the Hohokam, the Tonto Apache used the network of an area, is much more complex than area for hunting. The Apache were ferocious war- how land is used. However, land and other resource riors who discouraged Spanish exploration and set- utilization is a significant component of human tlement of the area. Americans opened the Butter- ecology. Human impact on the environment is field Stage Route across Arizona in 1850 to deliver great. So it is important when inventorying and an- mail to Californians. When gold was discovered in alyzing an area to recognize how people are using Arizona in 1858, many prospectors moved into the the land, as well as to distinguish land use from land territory, which prompted understandable hostility users. from the Apache. In response, the U.S. Army estab- Land use is fairly simple to define, but it is not lished Fort McDowell to subdue the Apache (Ciekot necessarily easy to understand. A particular area of et al. 1995). land is either used for agriculture or it is not. How- In the 1870s the town of Cave Creek was estab- ever, different users may view that area of land with lished along a wagon road and stage line because of different perspectives. For instance, farmland may the availability of nearby water. Mining and ranch- be used for a variety of crops or for pasture; or it ing would dominate the area for most of the next 90 may be used for hunting or other forms of recre- years. Extensive irrigation, which began in the early ation. Its owners also may see it primarily as an twentieth century and which was to transform most investment. of the Phoenix metropolitan area, first into agricul- Land use is only the beginning in the establish- ture, then into expansive post–World War II devel- ment of user groups. A particular person in a given opment, occurred to the south of the Desert View location may use many parcels of land. Part of the Tri-Villages Area. Grazing dominated the landscape land used by an individual will be called home (resi- into the 1950s, but tourists were beginning to be at- dential); another part will be called work (commer- tracted to the area because of its great scenic appeal. cial or industrial); many parts may be labeled play Since the 1980s rapid development has occurred in and be tennis courts, restaurants, the homes of the Tri-Villages Area, and today it is the focus of con- 109 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.42 Food web.

siderable speculation, much controversy, and ongo- ship, housing condition, and farm management ing planning. A timeline can be a helpful way to sum- maps also may be required (Figure 3.44). Much of marize the land-use history of an area (Table 3.8). the Tri-Villages Area consists of State Trust Lands, The next step is to determine land-use cate- managed by the Arizona State Lands Department gories. As with the vegetation inventory, the USGS (ASLD). According to the state constitution, these Land-Use and Land-Cover Classification System lands must be sold for the “highest and best” use to provides helpful standard categories (Anderson et benefit state schools and other agencies. Much land al. 1976). Again aerial photographs and field check- ownership and land management information can ing are useful to compile a land-use map (Figure be gathered from the local tax assessor and the 3.43). For many planning processes, this is just the county NRCS office. For other information, field- beginning of analyzing land use—property owner- work will be necessary. 110 CHAPTER 3

TABLE 3.8 Desert View Tri-Villages History Timeline

A.D. 450 Hohokam culture evidence, especially along Cave Creek 1450 Grazing and gathering lands for Apache tribes 1540 Spanish prospectors, probably first Europeans to explore area 1850 Butterfield Stage Route across Arizona enacted by Congress 1860 U.S. Army influence prevalent while Native Americans are subdued and confined to reservations 1870 Homesteaders and miners begin to infiltrate region 1880 Mining boom; first post office established 1890 Cattle and sheep ranches expand; school district established; Rio Verde Canal Company proposals initiated 1900 Tubercular cabins common as Arizona climate attracts many people with lung diseases; Tonto National Forest established 1910 Recreational outings in area expanding; stage coach line to Phoenix operates 1920 Long drought climaxes as many ranchers give up; Paradise Verde Irrigation District begins competition with Salt River Water Users Association 1930 U.S. Department of the Interior rules in favor of Salt River Water Users due to population explosion of Phoenix; Bartlett Dam constructed on Verde River 1940 Electricity begins to replace candles and kerosene lanterns in buildings of region; Horseshoe Dam constructed 1950 Phone service relay system begun; real estate developers “discover” area 1960 Residential and resort popularity of area increases as more people seek “quiet lifestyles and retreats” 1970 Region along Bell and Scottsdale Roads becomes center of Arabian horse breeding and training in United States 1980 Town of Cave Creek incorporates 1990 Marketing the “High Sonoran Lifestyle”; acres of pristine desert are converted for development 1995 North Area Charrette organized by the City of Phoenix Planning Department and the Arizona State University Col- lege of Architecture and Environmental Design 1995 Detailed ecological inventory conducted by Master of Environmental Planning students from the Arizona State University School of Planning and Landscape Architecture 1996 General plan for the eastern portion of the area adopted by the Phoenix city council to emphasize desert preservation and development character types 1998 Sonoran Preserve Plan adopted by city council, protecting much of the area from development

SOURCE: Adapted and updated from Ciekot et al. 1995.

Although reviewing census information is a in their community, the researchers can become ac- good starting point for understanding who uses the quainted with their concerns and issues. As Allan Ja- land, an even better method is to go out into the cobs of the University of California at Berkeley has community and talk to people. By talking with peo- observed, “Planners tend to be more careful in de- ple in their homes or places of work and by taking ciding on policies and actions when they associate photographs or making sketches, an idea of settle- real people’s faces and images of places with the de- ment patterns (Figures 3.45, 3.46, and 3.47) can be cisions” (1985, 8). realized. (See Hart 1998 for information about rural One of Stephanie Ciekot’s colleagues, Carlos settlement patterns.) Also, by meeting with people Licón, did three settlement pattern sketches and re- 111 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.43 Land use, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

lated them to where they are located in the Tri-Vil- The second settlement pattern (Figure 3.46) is lages Area (Ciekot et al. 1995). The first (Figure single-family residential. This settlement type is lo- 3.45) is for rural residential settlement. This type of cated in two main areas in the eastern portion but is settlement varies considerably in density, but in the expanding. These areas have a density of about 5 northeastern portion of the planning area the den- houses per acre (12 per hectare), and little or no sity is 1 house per acre (2.5 houses per hectare) or desert vegetation remains, except in a few natural less (Ciekot et al. 1995). Many residents own horses washes (Ciekot et al. 1995). The third settlement and like living in the desert because of the eques- pattern (Figure 3.47) is townhouse residential. At trian opportunities in the area. The homes in this the time of the Ciekot et al. study in 1995, only one settlement type are mostly surrounded by desert townhouse settlement existed in the Tri-Villages vegetation, except where horses have removed much Area. It had 108 houses on 28.69 acres (11.6 of the understory (Ciekot et al. 1995). hectares), for a gross density of 3.76 houses per acre 112 CHAPTER 3

FIGURE 3.44 Land ownership, Desert View Tri-Villages Area. (Source: Brady et al. 1998) 113 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.45 Settlement patterns, rural horse properties, FIGURE 3.46 Settlement patterns, lower density suburban Desert View Tri-Villages Area. (Source: Adapted from Ciekot housing, Desert View Tri-Villages Area. (Source: Adapted et al. 1995, drawn originally by Carlos Licón) from Ciekot et al. 1995, drawn originally by Carlos Licón)

(1.5 houses per hectare). The houses are clustered, urban densities; (3) stand-alone “gated” communi- leaving much of the site in open space (Ciekot et al. ties at suburban densities; (4) large, single-family 1995). lots with private on-site infrastructure; and (5) rural In his comprehensive study of human settle- agriculture, natural resource, and open-space lands. ment in the Sierra Nevada Mountain region, Timo- Duane’s exurban settlement patterns are typical for thy Duane (1996) identified five exurban develop- other regions of the American West. The compact ment patterns: (1) compact small towns of 100 to small towns are remnants from the nineteenth cen- 10,000 people; (2) contiguous subdivisions at sub- tury, the traditional American settlement form in 114 CHAPTER 3

ties (Duane 1996). The wide streets are lined mostly with single-family houses with large yards. The stand-alone gated communities are neither “physically contiguous to nor socially integrated with the small towns” in the Sierra Nevada, according to Duane (1996, 277). These communities are “private” and “homogeneous in ethnic (white), social (well-educated exurbanites), demographic (more retirees), economic (wealthy relative to the rest of the region) and political (conservative) characteristics” (Duane 1996, 277). These bedroom communities “are often built around significant recreational amenities (e.g., lakes and golf courses), and they generally have larger lots and more expensive homes” than their neighbors (Duane 1996, 277). Duane dubbed his fourth Sierra Nevada settlement pattern “large single-family lots with private on-site infrastructure” (1996, 277). The size of lots for this pattern is, according to Duane, “primarily a function of the public health need to separate on- site water supplies from on-site sewage disposal through septic tank and leach field systems” (1996, 278). This settlement pattern is very attractive to many Americans who seek to be close to nature and FIGURE 3.47 Settlement patterns, clustered suburban as far away from urban areas as possible. housing, Desert View Tri-Villages Area. (Source: Adapted The final settlement pattern that Duane identi- from Ciekot et al. 1995, drawn originally by Carlos Licón) fied in the Sierra Nevada relates to rural agriculture, natural resource, or open-space lands. People who live in such settlements are directly involved in agriculture, commodity extraction, or recreation. The the region. Duane describes them as walkable and specific structure of these settlements varies with compact because they “were built before the auto- the industry (i.e., agriculture or forestry) as well as mobile had been invented . . . around mining or with the location in the landscape (i.e., river valley other commodity extractive industries” (1996, 276). or mountain land). Settlement typologies, such as Duane’s “contiguous exurban subdivisions” in that developed by Duane (1996), can be helpful to the Sierra Nevada were built after the Second World understand the structure and function of places. War, usually adjacent to the older small towns. They Such settlement pattern analysis may be consid- are connected by water and sewer systems to the ered a type of urban morphology, or perhaps in the small towns with densities similar to those of subur- case of the Tri-Village Area, suburban or rural mor- ban communities in metropolitan regions. Roads phology. Anne Moudon states that morphological consume 20 percent of the land in these communi- analysis is based on three principles: 115 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

1. Urban form is defined by three fundamental • What are the ecological, social, and economic physical elements: buildings and their related consequences of human settlement patterns? open spaces, plots or lots, and streets. 2. Urban form can be understood at different By identifying land use and land users and ana- levels of resolution. Commonly, four are rec- lyzing who uses what, an elementary understanding ognized, corresponding to the building/lot, of the social organization of an area can be gained. the street/block, the city, and the region. How these groups are linked to resources and issues 3. Urban form can only be understood histori- is more complex, but this understanding is crucial cally since the elements of [which] it is com- to planning. These relationships are explored in prised undergo continuous transformation Chapter 4. and replacement (1997, 7). SUMMARY OF EXISTING LAND-USE AND LAND-USER ELEMENTS Moudon notes then that “form, resolution, and 1. Historical development time constitute the three fundamental components 2. Existing land use of urban morphological research” (1997, 7). We 3. Settlement patterns can ask questions about the land-use and settle- 4. Land-user groups ment forms of an area as well as about who lives 5. Settlement pattern-groups matrix there (Duane 1996; Steiner and McSherry 2000), 6. Groups-issues matrix such as: 7. Building and open-space types 8. Plot, lot, and street arrangement • Who are the people who live in the planning area? MAJOR SOURCES OF INFORMATION2 • Where did they and/or their ancestors come 1. Individual interviews from? 2. Interviews with groups and associations • How is the land used? 3. Local newspapers and libraries • Are there areas of multiple use? 4. Tax assessors • Are there land-use conflicts? 5. U.S. Bureau of the Census • What characteristics contribute to the area’s 6. U.S. Natural Resources Conservation Service uniqueness? (NRCS) • Are they traditional? Are they contemporary? 7. U.S. Geological Survey (USGS) Natural? Built? 8. College and university libraries • How has this place changed over time? • What influences (physical, economic, and political) have caused the changes? Analysis and Synthesis of • What are the resulting changes? Inventory Information • What role does history play in the land-use issues facing the planning area? When collecting information about a place, the eco- • What were the historical patterns of human logical planner notes the emergence of certain rela- settlement? tionships that form patterns on the landscape. The • What is the relationship between settlement amount of rainfall changes up a mountain slope and patterns and land-use designations and policies in local plans and zoning ordinances? 2Refer to Table 4.1 for a more complete list. 116 CHAPTER 3

the rain turns to snow. Flora respond to these In the Desert View Tri-Villages, as in most re- changes, and so one finds different plant communi- gions, geology influences elevation and slope (bi- ties on the higher elevations than in lower places. variate relationship 1 in Figure 3.48) in several ways. Several techniques enable the ecological planner to The physiography of the Tri-Villages Area is an in- synthesize the collected information and to analyze terplay between small mountains and alluvial wash process and pattern; these include bivariate rela- valleys (Ciekot et al. 1995). These kinds of relation- tionship analysis, the compilation of “layer cakes,” ships between geology and physiography are almost and the Holdridge life-zone system. always an important factor in analyzing the broad physical pattern of a region. The effect of geology on Bivariate Relationships elevation and slope can be quite striking, as with the Front Range of the Colorado Rocky Mountains, or If it is true that everything is connected to every- obvious, as with the New Jersey Coastal Plain, or thing else, then to be helpful for planning, those more subtle, as in the Great Plains. connections need to be made explicit. Synthesis Locally in the Tri-Villages Area, geology influ- helps the planner connect the many elements that ences microclimate (relationship 2). The microcli- comprise a landscape into a whole. As Paul Smith, mate is affected by both the small mountains and Jr., observed, “We experience the natural environ- the alluvial wash valleys. The north sides of the hills ment not merely as discrete physical objects, but as a are cooler than the south sides. The Tri-Villages’ multidimensional gestalt which is in a state of con- higher altitude in relationship to most of the rest of tinual synthesis” (1992, 1). A useful first step in the Phoenix metropolitan region results in a lower making synthetic connections in that “multidimen- average temperature (Ciekot et al. 1995). This situa- sional gestalt” is to analyze how the inventory ele- tion has attracted tourists and is increasingly desir- ments relate to each other. A useful guide is to iden- able to individuals seeking to escape the Phoenix tify bivariate relationships between all possible pairs heat island. In other regions, agriculture, forestry, of landscape elements (Figure 3.48). tourism, or shipping may be affected by how geology and climate are related. Geologic parent material is an important ingredient to the soil-forming process (relationship 3). The granites of the Tri-Villages Area are large- grained and decompose readily. Stephanie Ciekot and her colleagues (1995) observed evidence of such decomposition in the bajadas. The alluvial parent material in the washes includes large rocks carried into the valleys and finer grained deposits. The parent material in the Tri-Villages has not produced soils that are productive for agriculture. Certain rock formations make better aquifers and aquicludes than others (relationship 4). The al- luviums present in the valleys between the small mountains of the Tri-Villages Area are the primary locations of groundwater. The underlying bedrock creates the basin for the aquifer. The alluvial soils FIGURE 3.48 Bivariate relationships. help prevent water from evaporating before it per- 117 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

colates down to the aquifer. The granite-derived influences soils (relationship 10) in several ways. In soils are highly permeable, which also facilitates the the Tri-Villages Area, the amounts and types of soil percolation of water to the groundwater basin are closely related to slope. In the small mountains, (Ciekot et al. 1995). The interrelationships between soils are shallow or there are only rocky surfaces. As geology and hydrology are important for determin- slope angles decrease, the soils become deeper, being available water supplies and understanding cause less soil is washed away and more is deposited stream flows. (Ciekot et al. 1995). In even steeper regions of the Geology influences vegetation and wildlife (rela- United States, like the Rocky Mountains, such relationships 6 and 7) through its effect on physiogra- tionships will be more dramatic. In flat regions, phy, climate, and soils. Rocks affect soil type and such as the New Jersey Coastal Plain, physiography moisture distribution. The alluvial soils in the will exert a more subtle influence. washes are more fertile than the rest of the Tri-Vil- Physiography is related to groundwater through lages Area. As a result, the number and diversity of recharge (relationship 11) especially in relationship plant species is greater in the washes than elsewhere to steepness. Groundwater has accumulated in the in the area. valley basins of the Tri-Villages Area. Surface water The rocks and surficial deposits are particularly flows at different levels in relationship to elevation critical for reptiles. Snakes and lizards use rocks for and slopes (relationship 12). Essentially, water runs shelter and shade. The rock formations are also im- downhill, and it flows faster on steeper slopes than in portant for burrowing species, such as the kangaroo flatter areas. The floodplains along the washes are an rat. The walls along the washes, especially Cave especially important feature of the physiography– Creek Wash, are important for bats, owls, and other surface water relationship. In the Tri-Villages Area, cliff inhabitants (Ciekot et al. 1995; Ewan et al. 1996; the water flows ephemerally, except where it has been Burke and Ewan 1998a). dammed by the Central Arizona Project. In such Land use is influenced in several ways by geol- places, small water pools exist along the CAP canal ogy (relationship 8). The rocky, mountainous por- bank (Ewan et al. 1998). Because the water flows in- tions of the Tri-Villages Area pose difficulties for frequently but very dramatically, multiple braided construction, and generally, development has not courses are formed. occurred there. The alluvial valleys have fewer con- Physiography influences plant community de- straints and have been used for grazing and scat- velopment (relationship 13). Elevation exerts a sig- tered rural (and increasingly suburban) housing. In nificant influence on vegetation because of its re- some regions, geologic conditions can cause haz- lationship to water flows in the Desert View Tri- ards to human settlement, as in the case of earth- Villages Area. Plant types, density, and canopy quakes and volcanoes, and thus can be important change in response to elevation. In their wash stud- when determining the location of various land ies, Joseph Ewan, Rebecca Fish Ewan, and their uses. colleagues identified four plant communities re- Physiography is the surface expression of geol- lated to the terrain of the Tri-Villages Area. Their ogy. As a result, the influence of physiography on wash vegetation type occurs in the lowest eleva- climate (relationship 9) is similar to that of geology. tions, that is, in the wash bottoms and along the In the Tri-Villages Area, rainstorms frequently orig- edges. Both the hillside-slope and the creosote inate in the nearby mountains to the north and east. bush–bursage flat types are defined mostly by These storms move into the area, resulting in somewhere they occur in the landscape. Tanks are found what more rainfall than other portions of the met- at lower places, where they collect water (Ewan et ropolitan region (Ciekot et al. 1995). Physiography al. 1996, 1998). 118 CHAPTER 3

Since physiography influences vegetation, it also lages Area means that water evaporates rapidly, lim- influences wildlife (relationship 14), since animals iting both its percolation into the ground and its depend on plants for their habitat and food supply. surface flow. In the Sonoran Desert, flash floods and The physiography–land-use (relationship 15) rela- dramatic sheet flows occur during rainstorms. Con- tionships are similar to those of geology and land versely, long periods of dry weather mean that use. Development and grazing has occurred more in perennial flows do not occur in the Tri-Villages Area the flat portions of the Tri-Villages Area than (Ciekot et al. 1995). steeper areas. In other regions of the country the in- Vegetation is also greatly affected by climate (re- fluence of terrain on land use is also evident, as, for lationship 19). Water and solar radiation are the key example, in the San Francisco Bay area. Too often in influences on plant development. The hot tempera- the United States land use has been poorly adapted ture and paucity of precipitation in the Tri-Villages to physiography. Area are the major determinants of its desert vegeta- Climate plays a strong role in soil development tion. The region’s two rainy seasons mean that it is a through a number of processes (relationship 16). more lush desert than most others (Ciekot et al. Weathering impacts soil formation through the 1995). Every 10 to 15 years the desert experiences a processes of deposition and erosion. Most of the wildflower display during El Niño events. Frosts do soils in the Tri-Villages Area have been deposited occur in the area, and the more frost-sensitive and and eroded by water processes. However, especially drought-tolerant plants appear in the lower eleva- in the small mountains, some of the clay constituent tions (Ciekot et al. 1995). The plants are mar- of the soils is deposited by wind (Ciekot et al. 1995). velously adapted to the desert climate. Small shrubs Wind also erodes the surface of the Tri-Villages and and trees such as creosote bush (Larrea tridentata) contributes to particulate pollution. and foothills or little-leaf palo verde (Cercidium mi- Rainfall determines the moisture content of the crophyllum) grow close to the ground, with small, soil, which, in turn, influences the rate and manner thin leaves. Many plants, like the palo verde (which of its development. In addition, moisture affects means green stem) have green bark to aid with pho- leaching characteristics, which is important for the tosynthesis. Of course there are cacti too, including formation of the caliche in the area. Infrequent wet- the magnificent saguaro (Carnegiea gigantea). The ting and rapid drying result. There are some second- saguaro’s ribs are vertical, and the plant expands like ary clay deposits in the soils of the desert floor. an accordion when water is available. During storm These argillic horizons are the results of wet and dry seasons, the saguaro grows roots quickly to capture cycles, which transport clay colloids in the soil. The every available drop. hot dry temperature is an important factor for Similarly, climate influences wildlife (relation- desert soil development. The high temperatures ac- ship 20) through precipitation and solar radiation. celerate the rate of drying as well as the rate of Reproduction, migration, hibernation, and feeding chemical reactions. As Stephanie Ciekot and her col- are all influenced by the variation in climate leagues observe, “Consequently, the small amount through the seasons. Many mammals in the Tri-Vil- of organic material that is generated degrades very lages “have adapted to high diurnal temperatures by rapidly and is quickly lost” (1995). altering their behavior such as spending much of There are obvious relationships between climate the day underground or aestivating” (Ciekot et al. and hydrology (relationships 17 and 18). The fre- 1995). People are about the only animals who live in quency and intensity of rains, when combined with the desert aboveground and during the day. Most the high temperature, affect the groundwater level desert creatures are nocturnal; many bite and sting, and surface water flows. The dryness of the Tri-Vil- and several are venomous. With scarce resources, 119 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

desert animals are master recyclers and adapters. are suitable for septic tanks, so scattered rural devel- The pack rat, as its name indicates, will collect and opment has occurred. store about anything. The pack rat binds its nest Groundwater recharge influences stream flow with “urine cement,” which is capable of preserving (relationship 27). Surface flow is abundant after a its junk pile for centuries. The kangaroo rat, which is rainstorm; then it disappears. It also provides the neither a kangaroo relative nor a rat, never drinks supply of water available for vegetation, wildlife, water and eats its own excrement. and humans (relationships 28 to 30). Most existing The major land uses in the Tri-Villages Area, and rural settlements in the area use well water, while in fact throughout the metropolitan region, are de- newer developments are using both well water and pendent on climate (relationship 21). Until the in- water from remote surface sources. Except in low- troduction of refrigeration and air-conditioning, lying areas along the washes, vegetation in the Tri- the Phoenix region was much more sparsely inhab- Villages is largely independent of groundwater ited by people. As refrigeration and air-conditioning (phreatic water). Instead, it is dependent on soil contributed to significant population growth since moisture (radose water). Rebecca Fish Ewan, Joseph World War Two, past lessons about how to build Ewan, and their colleagues note strong relationships more appropriately in the desert were abandoned. between water and vegetation. For example, the An understanding of climate in planning and design wash beds are subject to scouring during floods, can help to conserve energy and water resources. In “which inhibits growth of large trees and dense the southwestern United States, such relationships patches of shrubs, and maintains a dynamic vegeta- are especially dramatic, but land use is affected by tion composition in which forbs are dominant” climate everywhere. (Ewan et al. 1998, x). Soils influence the amount of water that flows Surface water is related again to water supply for through the ground to feed aquifers (relationship animals and people (relationships 31 to 33), as well 22). The sandy alluvium facilitates the flow of water as providing a habitat for certain types of plant and into the groundwater in the Tri-Villages Area. In ad- animal life. Surface water is of concern to grazing in dition the permeability of the sandy soils con- the Tri-Villages because of erosion, and to other tributes to the recharge of the aquifers (Ciekot et al. land uses because of flooding. In other regions, irri- 1995). Water flowing across the land surface is a ma- gation or land drainage will be important. jor factor in erosion and drainage (relationship 23). The interrelationship between vegetation and Water also deposits material that develops into allu- wildlife is strong (relationship 34). Vegetation pro- vial soils, called fluvents. vides food and shelter for animals. The saguaros Soil characteristics such as texture, pH level, and have been called “desert condominiums” because of cation-exchange capacity are interrelated with vege- the number of bird species they house. Animals, in tation (relationship 24). Some plants have adapted turn, may affect the reproduction and growth to the alkaline soils in the area, while the shallow of plants. For example, long-nosed bats pollinate caliche limits the root growth of other plants saguaro cacti. Kangeroo rats cache seeds of plants (Ciekot et al. 1995). Wildlife species use soil as a for food that can germinate before being eaten. En- habitat (relationship 25). Again, it is hard to sepa- ergy-flow and food-web diagrams are good ways to rate the influence of soil on vegetation from wildlife. visualize these relationships. Plants and animals in- The soils have impacted past uses of the land in fluence how land is used by people (relationships 35 the Desert View Tri-Villages Area (relationship 26). and 36). Vegetation can provide energy-efficient Because of the poor quality of the soils, agriculture homesites that make pleasant places for people to crops were not grown there. Many soils in the area live. Certain wildlife species conflict with suburban 120 CHAPTER 3

development. That is, coyotes will eat kittens, This layer cake helps to illuminate bivarite rela- while cats eat native bird species. Animals relate to tionships and aids in analyzing multiple interrela- land use and users both as pests and as sources of tionships between elements across the landscape. recreation. For instance, the relationships between the elevation By reviewing bivariate relationships in such a and vegetation types as well as between vegetation manner, linkages between different elements of the and water availability are readily apparent. landscape can be made more explicit. One can also Depending on the study area, several such layer- start to view each element as it relates to other ele- cake diagrams should be constructed to analyze how ments. This perspective should be helpful when the different elements interrelate at different places contemplating options in the use of resources. in the landscape. In addition to being a useful analytical device, layer-cake diagrams can help an eco- Layer-Cake Relationships logical planner explain complex relationships to elected officials and to the public. One useful tool that helps to show how these elements interrelate across the landscape is layer-cake The Holdridge Life-Zone System relationships (Figure 1.2). Each element is considered one “layer” in the landscape as a whole. L. R. Holdridge (1967) of the Tropical Science Cen- Stephanie Ciekot and her colleagues produced three ter in Costa Rica devised a system for classifying life, layer-cake diagrams of the Desert View Tri-Villages or bioclimatic, zones. His goal was to develop a Area. Figure 3.49 shows the location of the three di- means of determining the basic natural units for agrams (Figures 3.50 through 3.52), which were ecology. Holdridge observed that: “Among plant constructed by using the same set of points overlaid ecologists, the usual definition of association has re- on each of the inventory maps. The collected infor- stricted the unit to a given set of plant species. Such mation was then stacked to form a “layer cake.” a definition not only places complete emphasis on

FIGURE 3.49 Location of layer-cake diagrams, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995) 121 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.50 Layer-cake diagram, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

vegetation alone, but renders difficult the mapping shown in Figure 3.53. According to Holdridge, “The of associations” (1967, 7). Holdridge took a broader life zone permits the groupings into natural units of view, contending, “The association must be thought several hundred or perhaps well over one thousand of as a natural unit in which the vegetation, the ani- associations of the earth. The life zone chart, consid- mal activities, the climate, the land physiography, ered as a three-dimensional representation, sepa- geological formation and the soil are all interrelated rates 120 distinct life zones, provided that the sub- in a unique recognizable combination which has a units of the Subtropical region and Premontane belt distinct aspect or physiognomy” (1967, 7). The sys- are counted life zones” (1967, 14). tem he developed is helpful for analysis and synthe- Life zones, then, are defined by Holdridge as a sis in planning because of this wider perspective. group of associations related through the effects of Holdridge based his life zones on equivalently heat, precipitation, and moisture. His system is ap- weighted divisions of three major climatic factors: plied in the following manner. By constructing a tri- heat, precipitation, and moisture. Based on his work angle (Figure 3.53), using the three parameters of in the Caribbean region, he developed the chart temperature, precipitation, and evapotranspiration 122 CHAPTER 3

FIGURE 3.51 Layer-cake diagram, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

as the three axes, any spot on Earth with climatic areas. For instance, the system was used for an inven- records can be placed in one of the Holdridge life tory and analysis of a large county in southeastern zones. The life-zone designations are those of the Washington State (Beach et al. 1978). The layer-cake “climatic association” characteristics of the zone, models in Figure 3.54 illustrate how the life zones re- that is, the normal climatic vegetation. This can lated to other inventory elements. be much modified by edaphic soil factors so that many plant associations are possible within each life zone, but there should be only one type of climax Two Examples of Biophysical Inventory vegetation. and Analysis The life zone of the Tri-Villages Area can be determined by locating its average maximum tempera- The inventories of the New Jersey Pinelands and the ture [82.57°F (28.1°C)] and average annual precipi- Camp Pendleton region were based on an under- tation [8 inches (20.3 centimeters)]. According to standing of landscape ecology. The ecological plan- Holdridge’s chart, the Tri-Villages Area is in the ners who undertook these inventories and analyses Desert Scrub zone. The life-zone system may be es- sought to reveal the complexities of these places. pecially helpful in larger, more complex planning The best available science was used in each case. The 123 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.52 Layer-cake diagram, Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

planners and landscape architects created syntheses rivers, spacious farms, crossroad hamlets, and small of this information to help the public and decision towns stretched across southern New Jersey” (New makers understand how elements and processes are Jersey Pinelands Commission 1998). The basis for connected. the New Jersey Pinelands Comprehensive Manage- ment Plan was a natural resource inventory. The New Jersey Pinelands Comprehensive This inventory summarizes reports by several Management Plan consulting firms, state agencies, and environmental organizations. The Pinelands Commission’s work, New Jersey is one of the most densely populated including the reports that constituted the biophysi- states in America. Yet, after 300 years of settlement cal inventory, was supported with state and federal by Europeans and African Americans and their de- funds in addition to grants from private organiza- scendants, as well as by more recent immigrants, tions. For instance, the Geraldine R. Dodge Founda- natural areas still remain in the state. The Pinelands tion contributed $200,000 to the effort (Pinelands is the largest of such areas. “The Pinelands is a Commission 1980). patchwork of oak forests, tea-colored streams and The biophysical inventory and analysis sections 124 CHAPTER 3

FIGURE 3.53 The world life-zone system of ecological classification by L. R. Holdridge. (Source: Adapted from Holdridge 1967)

in the management plan included a discussion of rolling terrain with sandy, droughty soils with no the evolution of the Pinelands ecosystem and a re- rock outcrops, steep slopes, or mountain peaks. The view of geology, hydrogeology, surface hydrology, geology of the Coastal Plain comprises a wedged- soils, vegetation, aquatic communities, wildlife, cli- shaped series of unconsolidated layers of sands, mate, and air quality. The evolution of the Pinelands clays, and marls on a gently southeastward-dipping ecosystem was a broad review from the early geo- bedrock (80 to 100 feet per mile), that is, 1300 to logic processes and the Pleistocene ice age through 6000 feet (397 to 1830 meters) below the surface. 10,000 years ago and the time of European coloniza- These layers extend seaward into the submerged tion to the present. A summary of human influences continental shelf (Pinelands Commission, 1980). A was also included. Land users were included in the thorough description of the geological components human inventory and analyses sections and are dis- of the Coastal Plain was included in the plan with a cussed in Chapter 4. foldout map of the surficial geology and a foldout The Pinelands is located in the Atlantic Coastal geologic cross section. Plain formation. Much of the description of the The hydrogeology of the Coastal Plain is charac- Coastal Plain in the management plan was based on terized by extensive sand aquifers. According to the the work of the geologist E. C. Rhodehamel. The comprehensive management plan (1980), this Coastal Plain has developed over the past 170 mil- groundwater supports 89 percent of the flow in the lion to 200 million years as a result of deposition Pinelands streams, discharging primarily through and erosion. The region is characterized by a gently the many swamps and marshes in the region. The 125 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.54 Layer-cake diagrams related to life zones. (Source: Beach et al. 1978) 126 CHAPTER 3

aquifers are replenished solely by precipitation, of an understanding about the potential soil produc- which about 44 percent of the annual total perco- tivity. Soil survey information from the then Soil lates through the sandy surface. The major Coastal Conservation Service (now U.S. Natural Resources Plain groundwater systems are the Potomac-Rari- Conservation Service) was used for mapping and tan-Magothy, the Englishtown formation, the description. The Pinelands Commission also uti- Wenonah formation, and Cohansey-Kirkwood. lized the then SCS (now NRCS) important farmland These systems and their relative importance to the system to describe prime, unique, and statewide im- Pinelands are described, as are hydraulic flows (Fig- portant farmlands (Pinelands Commission 1980). ure 3.55), groundwater quality, and groundwater The Pinelands contains one of the largest natu- contamination. ral areas in the northeastern United States. The au- Surface water is a distinctive character of the thors of the Pinelands management plan character- Pinelands. The Pinelands streams are typically slow ize it as “low, dense forests of pine and oak, ribbons moving and shallow because of the flat topography. of cedar and hardwood swamp bordering drainage The components of surface hydrology considered courses, pitch pine lowlands, bogs and marshes” by Pinelands planners include drainage basins, a hy- (1980, 58). There are two distinct floristic complexes drologic budget, surface water quality, and drainage in the Pinelands, the uplands and the lowlands. basin water quality. This information is discussed Pine-oak and oak-pine forests are characteristic of and summarized in tables and maps in the manage- the uplands complex, while cedar and hardwood ment plan. swamps and pitch pine lowland forests dominate The soils have developed from a parent mate- the lowland complex (Pinelands Commission rial of the sandy geologic deposits. These soils are 1980). unusually porous and acidic. Pinelands planners an- The Pinelands are a unique “pygmy forest,” with alyzed information about soil classification, devel- trees only 2 to 5 ft (.61 to 1.5 m) in height. Of the opment and mineralogy, characteristics and inter- 580 native species in the Pinelands, 71 have been pretations, depth to water table, hydrologic soil classified as rare, endangered, threatened, or unde- groups, factors that limit use for septic tank ab- termined (Mason 1986). Fifty-four plant species are sorption fields, and waste treatment information. in danger of disappearing entirely from the state Chemical aspects such as nitrogen, phosphorus, pH, (New Jersey Pinelands Commission 1998). The and organic matter were considered as well to gain management plan included analyses of vegetation

FIGURE 3.55 Hydrological flows of the Cohansey-Kirkwood aquifer system. (Source: Pinelands Commission 1980) 127 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

The largest known population of the rare Pine Barrens treefrog—bright green with a lavender and white side stripe—thrives in its boggy southern white cedar habitat in the New Jersey Pinelands. (Norma Martin Milner, New Jersey Pinelands Commission)

trends and patterns, the value of wetlands, endan- lists the total number of Pinelands mammals associ- gered and threatened plants, forest fire manage- ated with each habitat. Similar species lists and habi- ment, and forestry. tat relationships were developed for birds, reptiles, The general aquatic habitat types in the Pine- and amphibians. There were also discussions about lands include streams, lakes and ponds, and bogs. arthropods, wildlife, and fisheries resources and The components of these aquatic habitats discussed management practices (Pinelands Commission in the management plan include algae, macrophytes, 1980). The Pine lands contains 39 species (30 birds, 5 macroinvertebrates, and fish. Factors influencing reptiles, and 4 amphibians) considered threatened Pinelands aquatic communities, human influences, or endangered (New Jersey Pinelands Commission and a watershed inventory were also included (Pine- 1998). lands Commission 1980). The different types of Regional climate characteristics were analyzed Pinelands wetlands, such as cedar swamps and pitch by planners for the 1980 plan, including informa- pine lowlands “help reduce pollution, prevent flood- tion about temperature, precipitation, and winds. ing, and serve as the home for many of the region’s The brief description of climate was followed by a rare plants and animals” (New Jersey Pinelands review of air quality. Chemical air pollutants—par- Commission 1998). ticulates, lead, sulfur dioxide, carbon monoxide, Several wildlife studies were summarized in the ozone, and nitrogen dioxide—were reviewed, as management plan. Table 3.9 lists the mammals of were point, area, and line sources of air pollution the Pinelands and their habitats, while Table 3.10 (Pinelands Commission 1980). 128 CHAPTER 3 TABLE 3.9 TABLE ofMammals the Pinelands and Their Habitats 129 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT . ation will be rely encountered rely the Pinelands is capable of supporting, or the species is ra Abundant (A)—The species reaches its highest population densities in the Pinelands when compared with of Jersey other areas its highest densities in the Pinelands when compared New population (A)—The species reaches Abundant that the level is below level (UC)—The species population Uncommon This design abundant. to be uncommon the limits of may (P)—The species reaches It its distributionPeripheral in the Pinelands. 130 CHAPTER 3

TABLE 3.10 Biodiversity Research Consortium. The research Total Number of Pinelands Mammals Associated with team cooperated with the Marines as well as two Each Habitat regional planning agencies—the San Diego Asso- Number ciation of Governments and the Southern Cali- Habitat of species fornia Association of Governments. The team in- Pine-oak forest 23 cluded leading landscape planners Carl Steinitz and Oak-pine forest 24 Stephen Ervin, landscape ecologists Richard For- Pitch pine lowland 25 Cedar swamp 18 man and Michael Binford, and landscape architects Hardwood swamp 27 Craig Johnson and Dick Toth, among others.3 The Water 6 study combined the latest geographic information Bog 20 systems technology with new concepts about land- Marsh (inland and coastal) 13 Non-pine barrens forest 15 scape ecology in one of the fastest growing regions Agricultural 26 in the nation. Urban 13 The study area was a 49.7 by 83.2 mile (80 by 134 Nonforested 3 Borrow pits 4 kilometer) rectangle between San Diego and Los Old fields 24 Angeles, California (Figure 3.56). According to the research team, their strategy was “based on the hy- SOURCE: Pinelands Commission 1980. pothesis that the major stressors causing biodiversity change are related to urbanization” (Steinitz et The Pinelands Commission relied on a series of al. 1996, ii). This hypothesis helped determine what consultants to develop studies incorporated into inventory elements were used to describe the region. their management plan (see, for instance, Berger Geographic information systems technology was and Sinton 1985; and Mason 1986). These consult- used to collect, store, and analyze the data. Several ants utilized both existing data and fieldwork. This GIS software programs were used, with the Arc/Info information was presented in such a way as to illus- GRID analysis package from the Environmental trate the interrelationships between the biophysical Systems Research Institute of Redlands, California, components of the Pinelands. forming the core for the analytical models of the database. A multiscale approach was employed, The Biodiversity Plan for the Camp which consisted of the region as a whole, a third- Pendleton Region, California order watershed, a subdivision, and several specific restoration projects (Steinitz et al. 1996). The landscape study for the Camp Pendleton region The landscape process was organized and re- explores how urban growth and change in rapidly ported as follows: growing southern California might impact biodiversity. The focus of the two-year study (1994 to • Terrain 1996) was the U.S. Marine Corps base north of San •Soils Diego. The study was sponsored by the U.S. Depart- ment of Defense, the U.S. Department of Energy, 3The other team members included Paul Cote, Harvard Uni- and the U.S. Environmental Protection Agency. It versity; Thomas Edwards, Jr., National Biological Service; was undertaken by an interdisciplinary team of re- Ross Kiester, U.S. Forest Service; David Mouat, U.S. Environ- mental Protection Agency; Douglas Olson, Harvard Univer- searchers from Harvard University, Utah State Uni- sity; Allan Shearer, Harvard University; Robin Wills, The Na- versity, the National Biological Service, the U.S. For- ture Conservancy; plus landscape architecture graduate est Service, The Nature Conservancy, and the students from Harvard University and Utah State University. 131 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.56 Camp Pendleton region, California. (Source: Steinitz et al. 1996) 132 CHAPTER 3

• Hydrology One type of synthesis used by Steinitz and his • Fire colleagues was the development of a landscape eco- • Vegetation logical pattern. The elements that comprised this • Landscape ecological pattern pattern were • Single-species potential habitat Arroyo southwest toad • Contiguous natural vegetation: Areas larger Orange-throated whiptail lizard than 500 hectares (1235 acres) which cur- Coastal cactus wren rently form the pattern matrix and the princi- Least Bell’s vireo pal source of biodiversity California gnatcatcher • Isolated natural vegetation: Areas less than 500 Western bluebird hectares (1235 acres) which form natural Brown-headed cowbird patches and stepping stones surrounded by Gray fox disturbed or built landscape Mule deer • Natural edges: A 90 meter (295.3 feet) wide California cougar band that extends into the contiguous and iso- • Species richness lated natural vegetation from disturbed areas • Visual preference (Steinitz et al. 1996) • Stream corridors: Linear features up to 90 meters (295.3 feet) across which can connect These elements were used to address how the patch elements landscape operated as a process (Figure 3.57) • Disturbed landscape: Primarily agriculture and (Steinitz et al. 1996; also see Steinitz 1990, 1993a). As military impact zones, which have repeatedly examples, the descriptive aspects of the terrain, soils, disturbed vegetation hydrology, and vegetation will be summarized. • Built landscapes: All urban land and roads Then, the operational aspects of the landscape eco- • Water (Steinitz et al. 1996, 50) logical pattern and one of the single-species potential habitat analyses will be summarized. These elements were identified following For- The Pendleton research team employed GIS to man and Godron (1986) and mapped with GIS analyze different slope models and to calculate the technology (Figure 3.63). The research team ob- amount of land in each category (Figure 3.58). After served that the Camp Pendleton landscape “still re- mapping soil types from NRCS data, prime agricul- mains a set of natural patches and smaller ‘stepping tural soils were located (Figure 3.59). For hydrology, stones,’ connected by stream and riparian vegetation the team simulated “the relationships between land corridors” (Steinitz et al. 1996, 52). cover and the hydrological regime” (Binford in As part of their process and evaluation models Steinitz et al. 1996, 32). The diagram in Figure 3.60 of the Camp Pendleton landscape, the research illustrates the procedures used for “simulating both team studied the specific habitats of ten species. long-term hydrological and single-even regimes” The Habitat Suitability Index (HSI) models of the (Steinitz et al. 1996, 32). A drainage subbasin map U.S. Fish and Wildlife Service was used (USFWS (Figure 3.61) was constructed showing the seven 1981). According to Craig Johnson, “HSI models river basins that are located on or adjacent to Camp focus on spatially explicit habitat data, which in- Pendleton. The vegetation map (Figure 3.62) was clude vegetation type, stand age, stand density, per- developed with digital vegetation-type data, classi- cent cover, vertical and horizontal structure, patch fied by the California Natural Diversity Database/ size, patch configuration, edge, juxtaposition of Holland Code (Holland 1986). plant community types, disturbance, elevation, FIGURE 3.57 Steinitz landscape planning process. (Source: Steinitz et al. 1996)

133 134 CHAPTER 3

FIGURE 3.58 Slope in percent rise, Camp Pendleton study area. (Source: Steinitz et al. 1996)

aspect, soil, special features and other spatially ex- team modeled and mapped the cougar’s 1990 home plicit factors” (Johnson in Steinitz et al. 1996, 56). A range, its “stepping stones” or connecting areas, and list of possible animal species was developed, then the residual areas (Figure 3.64). The team used 1990 the ten wildlife specific species selected to ensure because that was the oldest data in the model. that all the major plant community types were in- The inventory of ecological processes for plan- cluded in the analysis. ning is a relatively new art. The Pinelands example The California cougar (Felis concolor califor - was published in 1980, and the Camp Pendleton nicus) was one of the ten species selected. It is the study a decade and a half later. The major advances top carnivore remaining in the Camp Pendleton re- of the latter study were the use of GIS technology, gion and requires large contiguous areas of habitat the development of a set of models about landscape (Steinitz et al. 1996). The Camp Pendleton research processes interacting with policy, and the applica- 135 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.59 Prime agricultural soils, Camp Pendleton study area. (Source: Steinitz et al. 1996)

tion of theory from landscape ecology. This theory The landscape is a result of the interaction of is apparent in the multiscale approach used by the natural factors and human activities. The natural Camp Pendleton researchers. Both examples differ factors include physical, or abiotic, elements such as from conventional planning processes in the scope climate, geology, hydrology, and soils as well as the of biophysical information collected and analyzed. biotic elements of plants and animals (Vroom et al. In both cases, a slice of time was taken of the inter- 1980). As noted by the Pinelands Commission, acting elements of the place. This slice represents a “The present Pinelands landscape and ecosystem momentary glimpse of a continuous process where have been shaped by natural processes which began natural factors and human society are in constant millions of years ago and, more recently, by the change. The landscape changes accordingly. This influence of man. A knowledge of these events is concept is illustrated in Figure 3.65. Since the land- necessary to fully appreciate the region’s signifi- scape is constantly changing, inventories should be cance and to plan for its continuing maintenance” viewed as a continuing activity that includes peri- (1980, 1). odic updating and reassessment of information as In the Pinelands and in Camp Pendleton such new data become available. knowledge was directly incorporated into the rest of 136 CHAPTER 3

FIGURE 3.60 Impact assessment model. (Source: Steinitz et al. 1996) 137 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

FIGURE 3.61 Drainage subbasin, Camp Pendleton study area. (Source: Steinitz et al. 1996)

FIGURE 3.62 Vegetation, Camp Pendleton study area. (Source: Steinitz et al. 1996) 138 CHAPTER 3

FIGURE 3.63 Landscape ecological patterns, Camp Pendleton study area. (Source: Steinitz et al. 1996)

FIGURE 3.64 Cougar home range. (Source: Steinitz et al. 1996) 139 INVENTORY AND ANALYSIS OF THE BIOPHYSICAL ENVIRONMENT

the planning process. Whereas a more conventional process may have included simple maps or descriptions of selected natural factors, in the Pinelands and in Camp Pendleton a more holistic perspective was taken. In both cases, the relationship of people with nature was carefully considered. Jon Berger and John Sinton (1985) provide descriptions of how the people of the Pine Barrens are linked to natural factors. Human interaction with these factors is more complex than simply the use of the land. The next chapter explores the elements that need to be collected to understand the human ecology of a place.

FIGURE 3.65 Landscape in a slice of time. (Source: Vroom et al. 1980)

4 HUMAN COMMUNITY INVENTORY AND ANALYSIS

Conventional approaches to planning incorporate surveys of socioeconomic information. However, connecting such studies to landscape ecological analysis for planning is relatively new. In this chapter, those population and economic studies familiar to planners are reviewed. In addition, a framework for integrating information about people and nature is presented. Planners use a variety of types of social information, and, basically, these materials fall into three categories: existing data, new information from existing data, and original information. These data include quantitative information—such as the number of people living in an area, as counted by a census. Data also may be more qualitative—such as the perceptions of people about the visual impacts of a new roadway or dam. Different planning projects and programs require different types of social information. For example, a growth management plan requires an estimate of future population, economic, and development trends. This information can be derived from existing sources and is quantitative. Conversely, for the placement of a new electric transmission line, planners need to collect original, qualitative information

141 142 CHAPTER 4

about perceptions and reactions through interviews Conventional planning processes have considered with affected residents. Because of the wide variety of and incorporated population and economic studies. planning projects and programs that are possible, a But in conventional planning the social characteristics blanket prescription cannot be given for the specific are not always related to the landscape—and this social inventories that should be conducted. The issues marks a major distinction between conventional ap- that have stimulated the planning process as well as the proaches and ecologically based planning. In an eco- goals that have been identified to resolve those prob- logical approach, social processes are connected to lems and opportunities will determine the types of landscape features. For instance, agriculture can be data to be collected and analyzed. related to specific combinations of biophysical ele- An understanding of current and possible future ments that vary with crops. Raising wheat requires population trends and characteristics will probably be different climate, water, and soil characteristics than essential for a community to achieve many of its goals. does raising cranberries. Rural housing units have dif- In Oregon, for instance, local governments are re- ferent needs than do high-rise apartments. Different quired to address specific goals concerning agriculture users of the land—cranberry farmers or high-rise and housing. As a result, planners must inventory and apartment dwellers—place different demands on the analyze information concerning trends in farm popu- landscape. lation (e.g., is it growing or declining?) and character- Each human community must be viewed as having istics of the agricultural community (e.g., what is the unique characteristics. In a major Texas city (Dallas, average age of farmers?). Planners must also analyze for instance), a population growth of 1500 people per population trends and characteristics and forecast fu- year may not be dramatic or even a source of concern. ture possibilities to make recommendations about But in a rural west-Texas county, the same number of housing needs. new residents may be quite significant and have conse- To accomplish such tasks, planners need to under- quences for several land uses, especially agriculture stand local economies. For agriculture, the percentage and housing. Ranching may have great symbolic value that farming contributes to the economic base of a in Dallas, but the number of real cowboys there may be community is important to know, as are the most im- few, while in a west-Texas county, people actively en- portant commodities and their markets. Through an gaged in ranching may constitute the most important analysis of the local agricultural economy, planners economic sector. Certainly, the biophysical processes can determine how healthy it is, whether it is worth are different in Dallas than in west Texas. As a re- protecting, and whether intervention is necessary to sult, each place, whether in Texas, Oregon, or New Jer- improve local farming systems. Understanding the sey, must be inventoried and analyzed for its special economic base of a locality helps planners analyze qualities. community needs. If the economic base comprises pri- Planners can use many existing sources of infor- mary industries (such as farming, fishing, mining, and mation to conduct social inventories. These sources logging) rather than those of the tertiary sector (such are summarized in the next several paragraphs, and a as retail, wholesale, and services), then demands for discussion will follow about how such existing data housing, for instance, will be different. Where primary can be used to generate new information about popu- industries are involved, it may be necessary for lation, future development, and land users. Some plan- dwellings to be relatively close to farmland, the ocean, ning efforts may require the generation of original the mountains, or forests. With tertiary industries, the information. Three ways of collecting new informa- linkage between home and workplace may be less spa- tion are through surveys, interviews, and participant tially dependent. observation. 143 HUMAN COMMUNITY INVENTORY AND ANALYSIS

Once information has been collected, there is a agencies (Table 4.1). Maps are one way to summa- need to analyze it. Ecological frameworks for analysis rize social and economic information. Various maps include identifying landscape patterns, social interac- of social characteristics are now frequently available tions, and relationships between people and nature. in both paper and digital formats. Many organiza- The inventory and analysis should lead to an assess- tions and agencies maintain websites with current ment of community needs. This chapter presents ex- information. amples of social inventories and analyses from the New Jersey Pinelands and the Camp Pendleton Region Bio- Land-Use Maps and Settlement diversity Plan in California. Pattern Diagrams

Land-use, land-user, and settlement pattern maps were introduced in Chapter 3. Land use and land Sources of Existing Information users are elements of both the biophysical and the sociocultural environments. The best sources in- Before discussing inventory and analysis methods, clude interviews with individuals and associations; the major sources of social information must be observations; the U.S. Natural Resources Conserva- identified. Major information sources include maps, tion Service; city, county, and regional planning histories, census data, newspapers, phone books, agencies; and city and county property tax as- community organizations, universities, and public sessors. School districts; public libraries; private

Settlement patterns and land uses vary from place to place. Cracow, Poland. 144 CHAPTER 4

TABLE 4.1 Summary of Sources of Information for Human Community Inventory, Analysis, and Synthesis Land-Use Maps and Settlement Pattern Diagrams Newspapers and Periodicals 1. Interviews with individuals and associations 1. Local newspapers 2. Observation 2. City, regional, or state magazines and periodicals (for 3. NRCS, USGS example, Philadelphia, Boston, New York, Cincinnati, 4. City, county, and regional planning agencies Sunset, Southern Living, Washington, California, High 5. City and county tax assessors Country News) 6. School districts 3. Public libraries 7. Public libraries 8. Engineering, landscape architecture, architecture, and Phone Books planning consulting firms The numerous private-advertising phone directories 9. Gas stations 10. The Library of Congress Community Clubs and Organizations 11. Election boards 1. Chambers of commerce 12. State departments of commerce and finance 2. League of Women Voters 13. Real estate agents 3. Service clubs 14. Chambers of commerce 4. Educational organizations 5. Garden clubs Histories 6. Political parties 1. Fire insurance maps 7. Community or neighborhood associations 2. Public libraries 8. Fraternal organizations 3. Interviews 9. Labor unions and guilds 4. Local and state historical societies 10. Business and professional associations 5. College and university libraries 11. Scouts and other youth groups 6. Community college, college, and university depart- 12. Arts associations ments of history, folklore, geography, and anthropology 13. Churches and synagogues 7. The Library of Congress 14. Farmers organizations (for example, the Grange, the 8. Local used-book shops Farm Bureau, commodity groups) 9. Genealogical societies 15. Nature and conservancy groups 16. Sports clubs Census Data 17. Volunteer firemen 1. U.S. Bureau of the Census, U.S. Department of 18. United Way and Community Chest Commerce ACSD Customer Service Colleges and Universities Washington, D.C. 20233 301-457-1128 301-457-3842 (fax) Government and Public Agencies http://www.census.gov 1. City, township, county, and regional agencies 2. Agricultural Census, U.S. Department of Agriculture a. Planning commissions and/or staffs 3. Public utilities b. Councils of government 4. Telephone companies c. School boards and administrators 5. Hospital and newspaper birth and death records d. County extension agents 6. College and university departments of geography and e. Utility companies sociology f. Special-use districts 145 HUMAN COMMUNITY INVENTORY AND ANALYSIS

TABLE 4.1 (Continued) g. County offices that record land tenure, titles, sales, b. Departments of planning, education, health, safety, marriages, divorces, deaths, criminal offenses, and welfare, and natural resources employment 3. Federal (or national) agencies h. Hospital registers and files a. Elected officials and their staffs i. Fire department and emergency services b. U.S. Department of Housing and Urban j. Police and sheriff offices Development k. Welfare agencies c. U.S. Department of Energy l. Health departments d. U.S. Department of Education m. Water and sewer departments, departments of pub- e. U.S. Department of Health and Human Services lic works f. U.S. Department of Commerce n. Juvenile delinquency centers g. U.S. Department of Agriculture o. Park and recreation departments h. U.S. Department of Transportation p. Drug and alcohol counseling centers i. Environmental Protection Agency q. Councils on aging j. The Library of Congress r. City and/or county prosecutors 4. International organizations. The United Nations has s. Public transit authorities several programs that may provide helpful information t. Recycling centers that might be used to put local communities into a 2. State (or provincial) agencies global perspective. a. Elected officials and their staffs

engineering, landscape architecture, and planning tions, water pipes under streets, fire hydrants, open consulting firms; gas stations; the Library of Con- waterways, parks, and railroad tracks. gress; election boards; state departments of state Many communities have at least one unofficial and finance; and real estate agents may all be map- historian who has compiled an account of past ping sources. Aerial photographs constitute another events. Local histories can be gathered through in- good source; these may be obtained from the terviews and discussions. Public libraries and local NRCS, U.S. Geological Survey, private pilots and air historical societies frequently keep unpublished survey companies, and state highway departments. manuscripts about local events in their archives. As oral histories become more popular, these may often Histories be stored in local libraries or historical societies. State libraries, college and university libraries, and A sense of history is vital to the understanding of a the Library of Congress are also good sources, as are community or region. Fire insurance maps, notably community college, college, and university depart- those from the Sanborn Map Company, are an espe- ments of history, folklore, geography, American cially rich source of information about the historical studies, and anthropology. land use of American communities. Sanborn maps Landscape ecological histories are especially comprise over 300,000 maps of more than 3500 helpful. For example, the San Francisco Estuary In- cities and towns in the United States. Sanborn maps stitute spent four years (1994 to 1998) compiling a were created for the fire insurance industry for risk historical view of the San Francisco Bay circa 1800, assessment purposes and date from the early twenti- as well as a current view (Figure 4.1). This historical eth century to the 1990s. The maps include many view of wetlands and other surface waters is based land-use details, including street widths, land eleva- on eighteenth-, nineteenth-, and twentieth-century 146 CHAPTER 4

FIGURE 4.1 1800 view (left) and current view (right) of San Francisco Bay. (Source: San Francisco Estuary Institute) 147 HUMAN COMMUNITY INVENTORY AND ANALYSIS 148 CHAPTER 4

maps, sketches, paintings, photographs, engineering The use of census data is discussed later in this reports, oral histories, explorers’ journals, mission- chapter. ary texts, hunting magazines, interviews with living elders, and other sources (Grossinger et al. 1998). Newspapers and Periodicals A similar approach has been taken by Paola Falini in Italy (Falini et al. 1980; Falini 1997). She Local newspapers and regional magazines can reveal has adapted the urban morphological approach of much about a community or region. Both daily and Saverio Muratori for landscapes and produced his- weekly newspapers can be rich sources of informa- torical maps documenting Italian cities from the tion about local happenings. Some of the informa- times of the Romans through the Renaissance and tion that can be found in local newspapers includes Industrial Revolution to the present. Such landscape different perspectives on local issues, employment histories can help illustrate how humans have mod- opportunities, the availability of real estate, and the ified places through time. activities of voluntary organizations and civic groups. By reading past newspaper articles and Census Data keeping an ongoing clipping file, a planner can track opinions about issues and learn something about The Bureau of the Census, administered by the U.S. trends in employment and real estate. Department of Commerce, is the finest single An ever-growing number of magazines may source of demographic information in the United help to establish the vernacular character of regions. States. A national census is undertaken the first year Some of these magazines, such as Philadelphia, New of every decade. These censuses include vital infor- York, Boston, and Cincinnati, focus on an individual mation about age and sex composition, birth and city. Others, like California, Washington, Sunset, death statistics, ethnic composition, rural/urban Southern Living, New West, and Rocky Mountain, ad- distribution, migration, general population charac- dress a state or broader region. A wonderful bi- teristics, housing, and general economic character- weekly newspaper focusing on western environ- istics, such as employment and income. There is mental issues is High Country News of Paonia, more thorough information available for metropol- Colorado. If a planner is new to a region or is a con- itan statistical areas (MSAs) than for rural regions. sultant from some other place, then this type of pe- Census information is available in published reports riodical can provide some information about the and over the Internet. character of the planning area. A review of specialized census information, Census Catalog and Guide, is published annually by Phone Books the Bureau of the Census. The Census Bureau also provides computerized geographical data. These The yellow, white, and blue pages of phone books TIGER line files include information about streets, each contain much information about the commu- rivers, railroads, jurisdictional boundaries, and cen- nities they serve. The yellow pages provide an index sus tracts (Peck 1998). Geographically, census in- of industry, commerce, and services in the area. The formation is organized by blocks, block groups, and white pages provide a source for family names, tracts. Additional socioeconomic information may which may reveal some information about ethnic be obtained from the agricultural census of the U.S. heritage. The locations of ethnic neighborhoods Department of Agriculture. State and regional may also be identified. The blue pages, which in- agencies as well as colleges and universities act as clude government listings, often include a map of clearinghouses or storage centers for census data. the area served by the phone book and a brief his- 149 HUMAN COMMUNITY INVENTORY AND ANALYSIS

tory of the area. In addition, local place and street Government and Public Agencies names can be learned from phone books. Government and public agencies collect and store a wealth of material about communities. Usually, Community Organizations and Clubs however, there is a lack of coordination between the Many people join organizations or clubs to associate various agencies, which means that information with people of similar interests. They may also at- must be collected, analyzed, and put into a format tend a particular church, synagogue, mosque, or with meaning for the particular studies. All levels of temple. Thus the social and religious clubs and or- government—local, regional, state, and national— ganizations found in a community reveal much are good sources. International organizations may about how the people there spend their leisure time, be a useful resource for some planning studies. what their political and religious beliefs are, and what the nature of their employment is. In addition Synopsis of Information Sources to the phone book, good sources of lists of community organizations and clubs are usually the local Paper and digital maps, histories, census data, news- chamber of commerce, the League of Women Vot- papers and periodicals, phone books, community ers, and religious institutions. A list of community organizations and clubs, colleges and universities, organizations and clubs with names and addresses and government agencies can yield much informa- may be useful if the planner is developing a mailing tion for inventories of human communities. Maps list to send newsletters or other information about are important for understanding the spatial organi- the planning program. Such a list can offer informa- zation of the planning area. Planners also may need tion about the scope of community activities in the maps to study the relationship of social systems to planning area. For some planning programs and natural patterns. Histories inform the planner about projects, it may be necessary to interview represen- the past of the place—when it was settled and why. tatives from these groups, which is discussed later in Newspapers and periodicals can help the planner to this chapter. confirm or deny the issues that have been identified as well as to learn what individuals or groups have an interest in the issue. Phone books reveal much Colleges and Universities about who lives and works in the area. Community The two main sources of cultural information in and government organizations represent the official colleges and universities are their libraries and indi- social structure of the planning area. Universities vidual faculty members. Faculty in departments of and colleges provide a bank of information about sociology, anthropology, economics, planning, geog- the place—its history, its social organization, and its raphy, business, African American studies, ethnic culture. studies, education, home economics, history, political science, landscape architecture, and law should be able to provide information about the sociocultu- Use of Existing Data to Generate ral characteristics of an area. Other members of aca- New Information demic communities, such as librarians and regis- trars, may be helpful additional information sources. The identification of existing sources of informa- The extension services of land-grant and sea-grant tion is just the beginning of a social inventory and universities often publish bulletins with socioeco- analysis. These existing data form the basis for the nomic profiles of counties and cities. generation of new information about the people 150 CHAPTER 4

and economy of a community. Information that is Phoenix is located in Maricopa County, Arizona, widely available includes population data, develop- one of the fastest-growing regions in the United ment projections, economic analyses, and land-use States. At the end of the Second World War, Phoenix classification, all of which suggest who is using the had 100,000 residents; now it has well over a million land. and is the sixth-largest city in the nation. From 1980 to 1997, the population of Phoenix increased from Population Trends, Characteristics, 798,704 to 1,205,285, a 53 percent increase. In the and Projections 1940s Maricopa County was home to 186,193 residents; by 1995 over 2.4 million people lived there. Three types of population studies are important in Table 4.2 illustrates population trends in Maricopa planning for the future: trends, characteristics, and County from 1940 to 1990, as interpreted from the projections. Population trends include changes in 1990 census. This table includes the city of Phoenix numbers, location, and components of people. Pop- and the three census tracts that comprise the Desert ulation characteristics include age and gender com- View Tri-Villages Area. Comparisons with neigh- position, birth statistics, death statistics, ethnic boring jurisdictions, in this case nearby cities and composition, distribution, migration, and popula- towns, and with a larger entity, in this case the city of tion pyramids. Generally, this information is avail- Phoenix, help to show how the planning area relates able from the U.S. Census. Other sources may also to other places. The table shows a slower growth for need to be studied; these include the records of the Tri-Villages than other areas of the metropolitan county and city governments, hospitals, newspa- regions, but this situation has changed dramatically pers, phone companies, public utilities, councils of since 1990 and will continue to change into the fu- government, and state agencies. Projection tech- ture. niques include the cohort-survival model, geomet- Population trends may also show shifts in the lo- ric interpolation, and simulation models. In this cation of people from urban to rural or from rural section, the Desert View Tri-Villages is used as an to urban areas. These changes have been dramatic example of population studies that were conducted since the Second World War. As demographers and as part of a planning process. planners have noted, continued suburbanization, regional redistribution, and rural repopulation are Trends. Planners study population trends to the three major trends shaping population settle- learn how the planning area has changed over time. ment in the United States and other developed na- Whether the population has been growing or de- tions (Nelson 1992; Long 1981; Wardwell and clining will be important to know in many planning Gilchrist 1980). For example, whereas Maricopa programs and projects. If a goal of the planning ef- County grew by 41 percent between 1980 and 1990 fort is to encourage economic development, then (and another 22.7 percent between 1990 and 1997, the planner will want to know whether the area is according to Gober 1998), rural population growth growing or declining, in order to devise business re- was only 7 percent, while urban areas grew by 42 cruitment strategies. If growth management is a percent (Table 4.3). Globally, the redistribution of goal, then trends give an indication of how many people in nonmetropolitan areas has a dramatic im- people have moved to the area and when. If the de- pact on energy use, the conversion of important velopment of new facilities is involved (schools and farmland, coastal management, and the protection parks, for instance), then population trends reveal of environmentally sensitive areas. In Maricopa past demand for these services. County, the dramatic population growth has come 151 HUMAN COMMUNITY INVENTORY AND ANALYSIS three census tracts occupy more than more tracts occupy census three part of one of the largest cattle holdings he whole tract 303’s population to repre- population to he whole tract 303’s Arizona Department of Commerce, Community Profile 1998. Community Profile DepartmentArizona of Commerce, Road and had a very low population density in 1970. We apply t We population density and had a very Road low in 1970. TABLE 4.2 TABLE Decade by County Population Maricopa and 1990; 1980, 1970, of 1960, Bureau Census 1950, U.S. SOURCES: was a cattle ranch and the area 1970, Before established in 1970. family-oriented community is a planned, Hills Fountain Note: about 80% of Plus tract 303 is north the tract of 303 area. Bell Area. Tri-Village View sent the Desert in Arizona. Therefore, we record the data beginning from 1980. the data beginning from record we Therefore, Arizona. in the aforementioned However tract one census and 303.43 all merge into 303. 303.42, tracts 1970 the census 1940 to 303.33, From 152 CHAPTER 4 TABLE 4.3 TABLE 1950–1990 Population, and Rural Urban of Bureau Census 1990. U.S. SOURCE: 153 HUMAN COMMUNITY INVENTORY AND ANALYSIS

mostly at the expense of irrigated farmlands and in- information is the population pyramid, such as Fig- creasingly fragile desert areas. ure 4.2. Because of the number of retirees in the Another element of population trends is the Phoenix region, Maricopa County exhibits an in- components of change. Components of change increase in older cohorts, whereas in most parts of the clude changing birth, death, and migration rates. United States there is a decline. Also note on Figure Birth and death rates are natural trends, while mi- 4.2 the number of women in the highest age bracket, gration rates are due to factors such as changes in reflecting their longevity compared to males. employment opportunities. Table 4.4 shows compo- Racial and ethnic distribution are those charac- nents of change in Maricopa County from 1950 to teristics that reveal how many and where minority 1990. people live. Special care should be taken to get an accurate count of minorities, since they have been tra- Characteristics. Planners study population char- ditionally undercounted in the U.S. Census. Some acteristics to learn about who is living in the plan- racial and minority categories used by the Bureau of ning area. If the planning issue involves economic the Census and planners include white (excluding development, then the planner will want to know Spanish surname), white (Spanish surname), black, about the labor force. If growth management is a American Indian, Asian, mixed ethnic background, goal of the process, then population density becomes and other. important. Age distribution is crucial to know if the Dependency ratios refer to those portions of the planning issue relates to schools or parks. population outside the wage-earning range group. Density, population distribution, dependency Such ratios are determined by dividing the sum of ratios, and labor force participation are important those in the 0 through 19 age group and those over in Maricopa County planning. Density is one char- 65 years old by those from 20 through 64. Table 4.6 acteristic of population, and is determined by divid- illustrates dependency ratios for Maricopa, Pima, ing the total population by the total area. Table 4.5 and Pinal counties and for the state of Arizona. compares the density of Maricopa County with that Another useful characteristic of population is of Pima and Pinal counties. The Maricopa County the labor force participation rate (Table 4.7). This population density of 230.6 persons per square mile is determined by dividing the number of people in (88.8 per square kilometer) can be contrasted to the labor force by the total population. As can be that of the Netherlands (1,086 people per square seen from Table 4.7, the participation rate in the la- mile, or 419 per square kilometer) or Alaska (1.0 bor force of Cave Creek, near the Desert View Tri- people per square mile, or 0.4 per square kilometer). Villages Area, is higher than the state average. It may Population densities need to be considered for also help to show age and sex distributions in the the specific issue being addressed by a plan. For ex- work force (Table 4.8). Men and women in the 25 to ample, when only the urban portions of Maricopa 54 years age group comprise the majority of the County are considered, the density increases to 669 Maricopa County labor force. persons per square mile (258.3 per square kilometer). For some situations, the densities of an entire Projections. Planners make projections to fore- jurisdiction may be necessary to consider. In other cast who will be living in the area. As an employee of cases, only the urban area or the rural area may be a municipal, county, or state agency, the planner important. may be responsible for making the projections. Age and gender distribution are characteristics Planning consultants may rely on these projections of population. A popular method of displaying this or, depending on the project or program, make new 154 CHAPTER 4

TABLE 4.4 Components of Population Change in Maricopa County, 1950–1990

Net Migration = Net Population Change Number – Natural Increase Natural increase* = births – deaths †Rate per 1,000 SOURCES: U.S. Bureau of Census 1950, 1960, 1970, 1980, 1990; The University of Arizona, Arizona Statistical Abstract 1990; Arizona Depart- ment of Health Service, Arizona Health Status and Vital Statistics 1996.

TABLE 4.5 Population Density, 1990

Note: Density is computed using land area. SOURCE: U.S. Bureau of the Census 1990.

forecasts. If there is an economic development goal, cline, then different economic development and fa- then it is crucial to know whether new people are cility planning strategies will be called for. likely to move into the planning area. Growth man- There are several methods for projecting popu- agement involves allocating places for new residents lation. Those methods most familiar to planners in- to live. The number of new people will determine clude the cohort-survival model, multiple regression how many new schools and parks are necessary. model, and simulation model (Kaiser et al. 1995; Conversely, if population projections indicate de- Chapin and Kaiser 1979; Hightower 1968). The as- 155 HUMAN COMMUNITY INVENTORY AND ANALYSIS

FIGURE 4.2 Maricopa County population distribution by age and gender. (Source: Adapted from U.S. Census information)

sumptions that planners make in making projec- mortality, and (3) net migration (Figure 4.3). The tions (for example, future household size) consti- natural-increase segment of cohort survival deter- tute a critical factor in all of the methods. mines the projected number of births by applying Three main components are considered when fertility rates to the female population of childbear- using the cohort-survival model: (1) fertility, (2) ing age. Each population group is then “survived”; 156 CHAPTER 4

TABLE 4.6 Dependency Ratios, 1990

*Dependency ratios = population of 9 to 19 age group + population of those over 64 years divided by population of 20 to 64 age group. SOURCE: U.S. Bureau of the Census 1990.

TABLE 4.7 Population in the Labor Force (16 Years and Older) by Census County Divisions, 1990

SOURCE: U.S. Bureau of the Census 1990. Note: The labor force includes all persons classified in the civilian labor force (employed and unemployed) plus members of the U.S. Armed Forces. 157 HUMAN COMMUNITY INVENTORY AND ANALYSIS

TABLE 4.8 Percentage in Labor Force by Sex and Age, 1990

SOURCE: U.S. Bureau of the Census 1990.

that is, an appropriate mortality rate is applied to used estimates from the Maricopa Association of each five-year period. These steps provide an esti- Governments (MAG), which derives its data from mate of future population if it were to grow by nat- traffic analysis zones (TAZ). Table 4.9 displays the ural increase alone, with no in-or-out migration. estimates for the three areas. The net migration rate is then considered, usually In collecting information about population based on past trends. Multiple regression has been trends, characteristics, and projections, one can ask used primarily as a supplement to cohort-survival several questions, including (adapted, in part, from models. Statistical simulation models involve the Duane 1996): use of a sample to project larger trends. Depending on the project or program, a plan- • What were the historical patterns of popula- ning team may make its own projections, or it may tion growth or decline? use existing projections from various sources. As its • What were the primary factors driving popu- name indicates, the Tri-Villages Area is divided by lation growth or decline over the past quarter the city into three parts (Figure 4.4). The city has century? 158 CHAPTER 4

FIGURE 4.3 Procedure used for the cohort-survival model. (Source: Adapted from Hightower 1968) 159 HUMAN COMMUNITY INVENTORY AND ANALYSIS

FIGURE 4.4 West, Central, and East Villages of the Desert View Tri-Villages Area. (Source: Adapted from Ciekot et al. 1995)

• What are the ecological, social, and economic management plan, for instance, then local officials consequences of projected population growth will want to know how much new housing and or decline? commercial building will be needed to accommo- • What is the current spatial pattern of popula- date the new people. Projections can be made for fu- tion distribution and housing density by den- ture development needs based on the relationship sity class? between population increase and residential build- • What are the relationships between developing permits. ment densities and other census variables? For example, according to the records of a county for the past ten years, the population in- Development Projections crease for each building permit issued has remained between two and four people per permit. To project For many situations, it is necessary for planners the number of additional building permits in future to make development projections based on popula- years, a ratio of three people to each permit may be tion studies. If a community is preparing a growth chosen. An assumption is made that the additional 160 CHAPTER 4

TABLE 4.9 Population and Population Projections Year 1990 1995 2000 2005 2010 2015 2020 2025 2030 2035 2040 2045 2050 West 139 150 239 1471 6773 12892 19874 27829 36354 43100 48148 53659 60407 Central 182 354 1884 3718 3851 6762 7621 12798 19060 25375 32158 39014 46214 East 2230 7444 13550 34206 59290 81880 100735 116837 135108 153796 169081 179134 182988 Total 2551 7948 15673 39394 69914 101534 128230 157464 190522 222271 249287 271807 289609

SOURCE: City of Phoenix 1995, adapted from Ciekot et al. 1995.

building permits correspond with the number of ties, parks, libraries, fire and police stations, com- additional housing units. The ratio of three people munity centers, and schools, based on the estimates per building permit then can be divided by the pop- in Table 4.9. ulation increase projected from one period to the Land is only one resource to consider when next. making development projections. Especially in the City of Phoenix planners have estimated the western United States, water availability is also a future numbers of dwelling units (Table 4.10) and crucial consideration. There may be enough suitable the future nonresidential square footage (Table land available for new development, but not enough 4.11) for the three subareas of the Tri-Villages. In water to supply to new residents. Arizona state law 1987, a build-out population for the area was esti- requires a guaranteed 100-year water supply before mated to be between 335,000 and 350,000, with new development can be permitted. Even though 80,000 to 90,000 new jobs (City of Phoenix 1987). Phoenix is located in an arid region, there is ample A subsequent estimate lowered the population to water to support new development in the Desert 290,000 (City of Phoenix 1995). Overall the View Tri-Villages Area. However, the projected Phoenix metropolitan region is adding about amounts of water necessary vary, depending on the 63,000 residents a year, who require about 23,000 amount used per household. For example, the new housing units (McCarthy et al. 1995). amount of water necessary for an irrigated lawn is Table 4.10 illustrates the dwelling unit projec- much higher than one with desert plants. In additions for the Tri-Villages Area (Ciekot et al. 1995). tion, the water supply does not account for off-site The city has assumed the density in the area to be environmental impacts of its use. from less than 1 dwelling per acre (2.5 DU/hectare) In some areas limitations in other public ser- to 15 DU/acre (37.5 DU/hectare), with an average vices, such as sewer capacity or road budgets, might of 4 DU/acre (10 DU/hectare) and 2.5 persons per constrain development. Like land and water, the lev- dwelling (Ciekot et al. 1995, based on City of els necessary will vary depending on assumptions Phoenix data). As a result, 15,700 acres (6,280 about future use. For example, different road widths hectares) of land will be consumed by residential can be used to estimate a range of projected costs. land use according to these projections. This is the The topics of environmental and fiscal impact as- equivalent to 25 square miles (64.72 kilometers2) or sessment are addressed in Chapter 11. 23 percent of the Tri-Villages Area as it existed in Development projections can lead to several 1995 (Ciekot et al. 1995). The city has also esti- questions about a planning area, such as (adapted, mated the amount of land needed for public facili- in part, from Duane 1996): 161 HUMAN COMMUNITY INVENTORY AND ANALYSIS

TABLE 4.10 Dwelling Units and Dwelling Unit Projections Year 1990 1995 2000 2005 2010 2015 2020 2025 2030 2035 2040 2045 2050 West 56 60 96 588 2709 5157 7950 14344 16981 19001 21205 23802 26612 Central 73 142 754 1487 1540 2705 3048 5119 7624 10150 12863 15606 18486 East 892 2978 5420 13682 23716 32752 40294 46735 54043 61518 67632 71654 73195 Total 1021 3180 6270 15757 27965 40614 51292 66198 78648 90675 101700 111062 118293

SOURCE: City of Phoenix 1995, adapted from Ciekot et al. 1995.

TABLE 4.11 Nonresidential Square Footage Projections in 1000s Year 1990 1995 2000 2005 2010 2015 2020 2025 2030 2035 2040 2045 2050 West 3 3 3 3 33 393 208 353 1123 1915 2965 4245 4930 East 0 5 5 105 110 410 930 1120 2320 2900 3380 4385 5030 Central 0 3 248 800 1400 2560 5250 5865 7820 8623 9597 9892 10187 Total 3 11 259 908 1543 3063 6388 7338 11263 13438 15942 18522 20147

SOURCE: City of Phoenix 1995, adapted from Ciekot et al. 1995.

• What is the likely spatial distribution of future is conducted, then existing information will provide population growth or decline? the initial database. Lay Gibson suggested the fol- • What are the relationships between develop- lowing outline for conducting an economic base ment patterns and infrastructure access and survey: costs? • What are the relationships between develop- 1. The base area. Determine the base area. For a ment patterns and environmentally sensitive planning study this would follow the bound- areas? aries for the established planning area. • What are the infrastructure needs and avail- 2. The measure of magnitude. Use existing em- able financing mechanisms to support future ployment figures to show where the area’s development? economy is based. Dollar value of sales, income, or some other measure may also be Economic Analyses used. 3. The labor force. All public and private-sector The first step in an economic study is to determine employers should be surveyed. Additionally, the economic base of the planning area. Some of the it is probably wise to interview at least the common sources of economic information are largest employers outside the study area if listed in Table 4.12. An economic base survey may they provide substantial employment oppor- be necessary where such data are not described in tunities for residents of the planning area. It existing sources. A survey may be a preferred source may be assumed that they are, functionally if if published information is out of date or if more not physically, part of the local economic detailed data are needed. If a new economic survey base. 162 CHAPTER 4

TABLE 4.12 Common Sources of Economic Information U.S. Government Bureau of the Census other economic news. Periodic changes in how na- Census of Population (printed copies and summary tape tional income is defined are files) also published in this magazine.) Current Population Report BEA Regional Projections Census of Housing Local Area Personal Income Annual Housing Survey National Center for Health Statistics Census of Retail Trade (years ending on 2 and 7) Vital and Health Statistics Census of Manufactures (years ending on 2 and 7) Social Security Administration Census of Wholesale Trade (years ending on 2 and 7) Earnings Distribution in the United States Census of Service Industries (years ending on 2 and 7) National Institute of Education Census of Mineral Industries (years ending on 2 and 7) Tax Wealth in Fifty States Census of Transportation (years ending on 2 and 7) Energy Information Administration Census of Construction Industries (years ending on 2 Monthly Energy Review and 7) Annual Energy Review Survey of Minority-Owned Businesses Office for Civil Rights Survey of Women-Owned Businesses Directory of Elementary and Secondary School Census of Governments Districts, and Schools in Selected School Districts County Business Pattern U.S. Department of Labor Bureau of Census Catalog (annual: describes all reports Monthly Labor Review and data files issued during the year) Survey of Consumer Expenditures Internal Revenue Service USDA Statistics of income: Individual income tax returns Federal Bureau of Investigation Bureau of Economic Analysis (BEA) Federal Reserve Board Survey of Current Business (Magazine containing infor- Immigration and Naturalization Service mation about national income, federal deficit, and Federal Trade Commission

Nongovernmental Sources American Bus Association Various development handbooks (such as the Industrial American Public Transit Association Development Handbook) Association of American Railroads The National Research Bureau, Inc., Chicago Dun and Bradstreet, Inc. Directory of Shopping Centers in the United States Motor Vehicle Manufacturers Association (annually) National Education Association (teachers’ salaries) National Retail Merchants Association Transportation Association of America Stores (monthly) Editor and Publisher Company, Inc. Sales and Marketing Management (Annual survey of Market Guide buying power) International Council of Shopping Centers Northeast-Midwest Institute, Washington, D.C. Communication Channels, Inc. The YEAR Guide to Government Resources for Economic Shopping Center World (monthly) Development Lebhar-Friedman, Inc. Chain Store Age Executive (monthly) Urban Land Institute Dollars and Cents of Shopping Centers (updated periodically)

SOURCE: Adapted from unpublished class handout of Peter Schaeffer, Program in Urban and Regional Planning, University of Colorado at Denver. 163 HUMAN COMMUNITY INVENTORY AND ANALYSIS

4. The questionnaire. Questions must be de- ten groups, known as sectors or industry divisions, signed (a) to produce a full-time equivalent which are: employment figure—one that is a standard expression of employment magnitude—and • Agriculture (b) to determine the local and nonlocal sales. • Mining For an economic base survey, it is enough to • Construction determine the portion of total sales made to • Manufacturing local and nonlocal customers (adapted from • Transportation, communication, and public Gibson, 1975, 4–6). utilities • Retail trade After existing or new information is collected, it • Wholesale trade is often useful to divide the local economy into sec- • Finance, insurance, and real estate tors, that is, to classify employment into different •Services industry types. A general breakdown is: • Public administration (or governments) (Mc - Lean and Voytek 1992). 1. Primary sector: Industries that use raw materials (i.e., extractive industries such as farm- The second level of detail is called “major indus- ing, fishing, mining, and logging). try groups” and is based on two-digit SIC codes. Ac- 2. Secondary sector: Industries that assemble cording to Mary McLean and Kenneth Voytek, there products or parts of products from raw mate- are “83 major industry groups currently identified” rials. These can range from steel mills to (1992, 23). Three-digit SIC codes identify “industry clothing manufacturers to makers of calcula- groups,” and four-digit SIC codes are based on tors. The sector may also be defined to in- product lines (McLean and Voytek 1992). clude such local types of manufacture as bak- Economic information may be summarized in eries (which sometimes causes confusion). tables and figures. As with population data, it may 3. Tertiary sector: Industries and services that be helpful to compare and contrast the planning primarily survive on the needs of the resi- area with similar areas and place it in a larger con- dent population. These are internally linked text. Table 4.13 summarizes occupation and selected activities that rest on the base of primary- industries for the three census tracts in the Desert and secondary-sector income: retail, whole- View Tri-Villages Area as well as for the Phoenix sale, and trade; financial services such as metropolitan statistical area. The percentage that banks, real estate, and insurance firms; busi- each occupation and industry comprises in the re- ness services such as lawyers and accountants; gion is also displayed. As can be noted, employed repair services; personal services such as bar- persons in the Tri-Villages Area comprised 0.98 per- bers and dry cleaners; and recreation and cent of the total regional work force in 1990. Table entertainment. 4.14 illustrates the labor force status, that is, how many individuals are in the labor force, employed, The U.S. government classifies industries ac- unemployed, or not in the labor force. cording to the Standard Industrial Classification Next it is important to provide a measure of the (SIC) code. The SIC is based on the primary prod- impact of new economic growth (such as new jobs) uct or service produced by the business. The broad- on the planning areas. Two common methods in- est level of industry divides economic activities into clude economic base analysis and input-output 164 CHAPTER 4

TABLE 4.13 Occupation and Selected Industries, Desert View Tri-Villages Area Phoenix Tract Tract Tract MSA 303.33 303.42 303.43 Sum Sum/MSA Employed persons 16 years and over 1005925 3727 3883 2224 9834 0.98% Executive, administrative, and managerial occupations 137453 639 620 444 1703 1.24% Professional specialty occupations 143084 495 510 308 1313 0.92% Technicians and related support occupations 42049 196 202 104 502 1.19% Sales occupations 132040 674 419 418 1511 1.14% Administrative support occupations 175072 591 795 353 1739 0.99% Private household occupations 3710 17 12 7 36 0.97% Protective service occupations 17599 89 156 22 267 1.52% Service occupations 112959 277 282 131 690 0.61% Farming, forestry, and fishing occupations 18888 60 21 110 191 1.01% Precision production, craft, and repair occupations 110418 315 522 194 1031 0.93% Machine operators, assemblers, and inspectors 45878 108 141 31 280 0.61% Transportation and material moving occupations 32864 147 124 54 325 0.99% Handlers, equipment cleaners, helpers, and laborers 33951 119 79 48 246 0.72% Construction 64475 139 275 217 631 0.98% Manufacturing 151425 544 636 228 1408 0.93% Transportation, communications, and other utilities 78498 250 443 231 924 1.18% Wholesale and retail trade 221601 887 697 368 1952 0.88% Finance, insurance, and real estate 90255 533 599 343 1475 1.63% Business and repair services 61954 271 190 145 606 0.98% Professional and related services 213758 684 653 398 1735 0.81%

SOURCE: U.S. Bureau of Census 1990, adapted from Ciekot et al. 1995.

TABLE 4.14 Labor Force Status, Desert View Tri-Villages Area Tract Tract Tract Phoenix MSA 303.33 303.42 303.43 Sum Sum/MSA Persons 16 years and older 1623198 5757 5756 3233 14746 0.91% In labor force 1079401 3901 4052 2329 10282 0.95% Percent of persons 16 years and older 66.50% 67.76% 70.40% 72.04% 69.73% Civilian labor force 1070667 3883 4052 2328 10263 0.96% Employed 1005925 3727 3883 2224 9834 0.98% Percent of civilian labor force 94% 96% 96% 96% 96% Unemployed 64742 156 169 104 429 0.66% Percent of civilian labor force 6.05% 4.02% 4.17% 4.47% 4.18% Not in labor force 543797 1856 1704 905 4465 0.82%

SOURCE: Adapted from Ciekot et al. 1995. 165 HUMAN COMMUNITY INVENTORY AND ANALYSIS

analysis. Economic-base analysis is a generic term sensing (see Table 1.3) provides standard categories. covering several techniques, such as location quo- But land use is only the beginning in the establish- tient, shift-and-share analysis, and minimum-re- ment of user groups. Land-use classification is rela- quirement analysis. Each builds on data that may be tively straightforward in comparison to land-user collected from a survey or census. Jack Kartez classification. User-group identification is much (1981) has summarized these techniques, showing more difficult, especially for those users whose how they may be used, the data requirements, and livelihoods are not directly related to the landscape. the level of detail that may be expected (Table 4.15). User activities are actions performed in the landscape-specific categories of people engaged in cer- User Groups tain types of activities in particular places. These diverse actions may be triggered by seasonal cycles A planning area will probably be used by a variety of and are likely to be affected by population and eco- people. Identifying user groups is often important nomic trends. Land uses occur spatially and are or- in order to clarify who will be impacted by a project ganized around specific resources. Any person who or program. Sometimes a goal of the planning effort passes through a region is a consumer of that place’s is to protect what already exists—the status quo. For resources. instance, a community may be seeking to preserve In early stages of an inventory, land-use and wetlands, an historic building, or prime farmland. land-user classifications may be general. At the be- In such cases, it will be crucial to know who uses ginning, it may be possible only to identify those these places. On the other hand, an economic devel- users who are most directly associated with the land opment plan may involve enticing new users into a (such as farmers). It may be helpful to regard land locality. In such cases, it may be helpful to identify users in a fashion similar to that used by ecologists current users to ensure that efforts are made to pro- in their community studies (see Ricklefs 1973, 589– tect their interests while new users are being invited 775, for instance). It is not difficult to see how the to the area. concept of food chains can be expanded to form Preliminary user-group categories may be based land chains, and the explanation of primary pro- on land use. The Land-Use and Land-Cover Classi- duction can be used as the basis to explain primary fication System devised by the USGS for remote land users. As the inventory and analysis proceeds and user groups are identified, their recognized view of the landscape and adaptive strategies will become apparent as will the linkages between user groups. Ta- bles 4.16 and 4.17 were developed for the Kennett region of southeastern Pennsylvania to show user groups there. It must be pointed out that the class, religious, and ethnic distinctions were those that the people of the area used to describe themselves and each other. They were not imposed by the planning team. The unfortunate thing is that humans do make People can use the same place in various ways. distinctions concerning the groups with which they Central Park, New York City. identify based on skin color, class and occupation, 166 CHAPTER 4

TABLE 4.15 Summary of Techniques for Economic-Base Analysis and Input-Output Analysis Technique Use Data Needs Detail Location Quotient Identifies those local sectors or Employment data can be Very general. Only a activities that have “comparative collected from the descriptive tool. Identi- advantage” when compared to the Decennial Census or fies “basic” industry same activities in a larger economy elsewhere. only vaguely. (state, region). Shift-and-Share Analysis Identifies how local economic change As above. Secondary data. Only descriptive. Useful compares to change by sector or in understanding trends industry in a larger economy. Helps in employment data. summarize employment data in a Can help identify format that reveals how employment “basic” activities. change locally may have been due either (1) to the fact that the locality has a large percentage of employment in nationally growing or declining industries, or (2) because the locality had particularly low or high growth in an industry compared to a larger economy. Minimum-Requirements Identifies that portion of employment Again, secondary data Provides a method of Analysis for each industry type that is can be collected from determining overall believed to be “basic” when the Census. multipliers for basic compared to areas of similar size. activity in a locality. Somewhat better basis than location Cannot determine quotients in that it explains why a industry-specific data. percentage of employment is defined as being basic employment for a particular industry in a particular size range of communities. Input-Output Analysis Provides a very detailed economic Requires that original Provides highly accu- accounting of the linkages between data be collected from rate information on each type of industry or activity. individual firms in the how a change in em- Provides the basis for developing area. ployment affects other industry-specific multipliers. This types of activities. means that it provides an accurate basis for tracing the probable changes in other industries’ employment or sales due to an initial change in another industry type in the local economy.

SOURCE: Kartez 1981. 167 HUMAN COMMUNITY INVENTORY AND ANALYSIS

TABLE 4.16 Kennett, Pennsylvania, User Group Location Farmstead/ Farmstead/ Estate Estate Cross- Mush- Groups Strip Development Subdivision Tenant Tenant roads room Class* Religion Ethnicity Dispersed Contiguous Town High Moderate Low High Moderate Low Complex Borough UC Epis. Anglo X UC Quaker Anglo X UC Cath. Ital. X X X UMC Epis. Anglo X X UMC Quaker Anglo X X X X UMC Cath. Ital. X X X X MC Quaker Anglo X X X X X X MC Pres. Anglo X X X X X X X MC Meth. Anglo X X X X X X X MC Bapt. Anglo X X X X X MC Jewish Jewish X MC Cath. Ital. X X X X MC AME Black X X WC Pres. Anglo X X X X X X X WC Meth. Anglo X X X X X X X WC Bapt. Anglo X X X X X X X WC Cath. Ital. X X X X X X WC Bapt. South X X X WC AME Black X X X X WC Cath. Hispanic X

*UC, upper class; UMC, upper middle class; MC, middle class; WC, working class. SOURCES: Rose, Steiner, and Jackson 1978/1979; Jackson and Steiner 1985. ethnicity or nationality, and religious or political be- vor it, then are they willing to pay the taxes for the liefs. The question that must be asked is, Do planners necessary services to support the new housing? meet the needs of all people by recognizing these dis- What do people feel about new industrial develop- tinctions or by pretending they do not exist? ment? If they are opposed, then are they aware of the possible implications for the tax base of the community? How is the community organized— Generation of New Information formally and informally? Who are the community leaders? Such questions can be posed through mail Often planners will need to conduct original re- and telephone surveys, face-to-face interviews, and search to understand the community where they are participant observation. working. Sometimes existing information may reveal opinions or attitudes about the issues being ad- Mail and Telephone Surveys dressed by the planning effort, but at other times more information will be necessary. For example, In Chapter 2, surveys were introduced as a means to what do people think about new housing develop- help establish community goals. Surveys can also be ment? Newspaper articles may indicate that local used to inventory community characteristics and as residents support new housing. If they do indeed fa- a basis for analysis of the attitudes of citizens. The 168 CHAPTER 4

TABLE 4.17 Distribution of Users in the Controlling Institutions of the Kennett, Pennsylvania, Region

O, owner; W, worker; E, elected; A, appointed. SOURCES: Rose, Steiner, and Jackson 1978/1979; Jackson and Steiner 1985. major ways to conduct surveys are by mail and tele- ble responses are obtained” (Dillman 1978, 12). Sec- phone, although interactive television may also be ond, Dillman suggests an administrative plan an option. No one needs to respond to yet another “guided by a theoretical view about why people re- bad survey. Before intruding on people’s privacy, spond to questionnaires. It provides the rationale planners should ask if the information is truly nec- for deciding how each aspect, even the seemingly essary for the planning effort. If a survey is indeed minute ones, should be shaped” (1978, 12). The called for, then it should be written by someone purpose of the administrative plan is “to ensure practiced in the art and science of preparing ques- implementation of the survey in accordance with tionnaires. A sociologist should be retained through design intentions” (Dillman 1978, 12). According a consulting company or university, or, if the budget to Dillman, the essence of the administrative plan and scope of the project is appropriate, a social sci- is to entist with survey experience should be included on the planning team. If the budget or the scope of the • Identify all the tasks to be accomplished. project is more limited, then the planning team • Determine how each task is dependent on the should obtain a copy of a standard survey text such others. as Dillman (1978); Sudman and Bradburn (1983); • Determine in what order the tasks must be Fowler (1993); De Vellis (1991); and Le Compte and performed. Preissle (1993). • Decide the means by which each task is to be Don Dillman’s total design method (TDM) has accomplished (1978, 20). two parts. First, he suggests that each aspect of the survey process that may affect the quality or quan- Dillman provides clear guidelines and sugges- tity of the response be identified. Each aspect should tions for realizing these principles. He also reports a then be designed in such a way that “the best possi- high response rate to surveys that use the TDM. 169 HUMAN COMMUNITY INVENTORY AND ANALYSIS

Essentially, there are eight steps in conducting a logic by which he or she sees the world” so that the survey: planner can see “into the life world of the individual, to see the content and pattern of daily experience” 1. Define the purpose of the survey. (McCracken 1988, 9). Face-to-face interviews may 2. Choose the study design. be conducted at random, or individuals may be pre- 3. Select the sample. selected, depending on the nature of the planning 4. Construct and pretest the questionnaire. project or program. For random interviews, it will 5. Implement the questionnaire by mail, over be important to select representative neighbor- the telephone, or in person (mail surveys may hoods of the planning area. Interviews should be require a follow-up step). conducted in a variety of settlement types and with 6. Code the interviews. people of various income levels and ethnic back- 7. Tabulate and analyze the results. grounds. At a minimum the planner should record 8. Write a report (steps adapted from Survey the date, time, and place of the interview and ask Research Center 1976). questions about the age of the resident; the size of the family; the occupations of the husband, wife, The Survey Research Center of the University of and children; the place of work; and the length of Michigan’s Institute for Social Research has pre- residence in the planning area (Berger et al. 1977). pared a manual to follow these eight steps for inter- Planners should explain the purpose of the interviews (Survey Research Center 1976). A good ques- view and, if appropriate, ensure confidentiality. tionnaire is dependent on the quality of the If interviewees are selected at random, then there questions asked. The text by Seymour Sudman and is the possibility that the person may not be a resi- Norman Bradburn (1983) provides especially help- dent. In such cases, it is important to ask why the in- ful suggestions about how to ask questions. To- dividual is visiting the planning area. For planning gether, the Dillman, Sudman and Bradburn, and efforts with tourism and recreation issues involved, Survey Research Center books provide much guid- visitors may be targeted for interviews. Planners may ance for the preparation of surveys. interview people at rest stops or gas stations to learn When designing a survey to provide inventory more about why visitors are attracted to the area. information, it is useful to remember other steps of Interviews can also be conducted with what the planning process. Synchronized surveys, intro- ethnographers call key informants. Carl Patton and duced in Chapter 2 and discussed again in Chapter David Sawicki (1993) call this approach the elite or 6, may be used throughout the process to integrate intensive interviewing process. A list of organizations the steps. Integrated, synchronized surveys can as- and clubs can be compiled (see Table 4.1). Officers sist planners to identify issues, establish goals, col- of these associations can then be contacted and in- lect information, and select options for realizing terviewed. In addition to recording the date, time, planning goals. and place of the meeting, the planner should note the name of the organization and of the person be- Face-to-Face Interviews ing interviewed. The planner should try to obtain an official statement of the purpose of the group, an or- Face-to-face interviews are a personal alternative to ganizational chart, and a written biography of the the mail and telephone. Through personal inter- association. The planner should try to learn about views, the planner “can enter the mental world of the committee structure, scheduled meetings, mem- the individual, to glimpse the categories and the bership, and dues and funds. 170 CHAPTER 4

The specific questions asked during the inter- building arrangement, and topography (Morrell view will depend on the planning effort. Face-to- 1989). A map that can be written on should also be face interviews with association officers should yield taken so that the planner can record the route and information about community leadership, how is- mark points of interest. Sketches can also be made sues are perceived in the planning area, and the use during the first visit, but a camera should be left in of natural resources by various groups of people. the office. Sketching encourages looking closely, whereas when taking pictures details may be over- Participant Observation looked. A second site visit can then be made with a cam- Participant observation involves actually living in a era, photographing the area and verifying initial ob- community, becoming involved in its activities, and servations (Jacobs 1985; Morrell 1989). A third visit carefully recording events. Many agency staff plan- can then be made with a local expert, a key informant ners live in the community where they work and are in ethnographic terms. The observations from these participants in its affairs; however this technique for visits can be recorded in the journal and compared generating new information about a community with published information about the study area. goes beyond living in a place. Participant observa- During such observation, Jacobs urges planners “to tion is used by ethnographers in their fieldwork. constantly question what one sees as well as the con- The technique involves active listening, supple- clusions one comes to” (1985, 28). Because planners mented by taking careful field notes. A journal can bring their own cultural values to any observation, it be used to record observations. Such observations is, according to Jacobs, “necessary to constantly should be carefully recorded and include the date question and refine one’s definition of what is really and the places and people involved. being seen” (1985, 28; see also Jacobs 1993). If a team of planners is involved, then they will Reading the landscape is an art. Planners can meet to discuss their observations. One approach is learn to look for visual clues that can reveal much to place individual planning team members in areas about a human community. For instance, the date and homes of representative individuals from vari- that some buildings were constructed may be dis- ous segments of the community. For instance, one played on their facades. By looking at a place a plan- planner may live in a neighborhood with a high-inner can start to understand something about the come family; another with a middle-income family; history of the community and the people who dwell and a third with a low-income family. One person there. Participant observation can yield rich, per- could live in a neighborhood of an ethnic minority, sonal insights about communities that cannot be another in a majority neighborhood. In this way a gained by reading existing information or by col- cross section of observations can be compiled. lecting new data through surveys and interviews. Allan Jacobs (1985) suggests a framework for or- The observation of the built environment is only ganizing observations about the built environment. part of what a planner should study. Planners He recommends that the planner first walk the en- should also attend meetings of community organi- tire planning area. A checklist can be prepared prior zations and clubs to learn more about the people to such a walk to help with note taking and observa- who live in the planning area. These meetings may tion. The checklist should include spaces for visit- be with the same associations whose officers have specific information such as the date, time of day, been interviewed. Agenda and membership lists and weather, as well as detailed information about should be collected. In this way, active members of streets, sidewalks, curbs, street trees, maintenance, the community can be identified and issues con- 171 HUMAN COMMUNITY INVENTORY AND ANALYSIS

firmed and denied as being important to local citi- stand the patterns of human interaction that occur zens. A mailing list can be compiled, which can as- in the landscape. Rachel Kaplan and her colleagues sist planners in forming a network to distribute in- from the University of Michigan suggest the use of formation about the planning process. patterns to understand relationships between “aspects of the environment and how people experience or react to them” (Kaplan et al. 1998). What we Analysis and Synthesis of see largely determines our experience and reactions Social Information (see Tuan 1974). Visual analysis is a complex art. The National After new and existing information has been col- Environmental Policy Act required that “presently lected, it is then necessary to pull it together and de- unquantified environmental amenities and values” termine what it reveals about the area. By combin- be considered in decision making and that “the en- ing this information with the information about vironmental design arts” be used when assessing the biophysical processes, planners can identify patterns impacts of projects and programs (U.S. Congress that occur on the landscape. Planners can also deter- 1969). mine interactions and relationships that occur In response, landscape architects have developed among groups of people and between social and several approaches for incorporating visual consid- biophysical processes. erations into decision making (Kaplan et al. 1998; Schauman 1986, 1988a, 1988b). R. Burton Litton, then a University of California, Berkeley, landscape Establish Visual and Landscape Patterns architecture professor, worked closely with the Ecological processes tend to reveal themselves in USFS and was especially influential (Litton 1968; certain visual and landscape patterns. Landscape U.S. Forest Service 1973, 1974). Litton’s work was ecologists have explored the spatial arrangement of influenced by others who had proposed ways of communities and are studying landscape patterns reading the landscape, including Donald Appleyard and functions (Forman and Godron 1986). The use and Kevin Lynch. Many planning projects and pro- of ecological concepts such as patches, corridors, grams will require a detailed visual analysis. In such matrices, and networks can help planners under- cases, a landscape architect who specializes in visual resource assessment should be included in the planning team. Landscape architects, who have experience assessing visual characteristics, are included on many U.S. Forest Service, National Park Service, and U.S. Bureau of Land Management planning teams. According to Ervin Zube and his colleagues (1982) there are four primary “paradigms” of visual assessment:

• The expert paradigm, which involves evaluation of visual quality by a trained expert incorporating knowledge from design, ecology, or Ecological and cultural processes combine to form visual resource management patterns. Central Park, New York City. • The psychophysical paradigm, which focuses 172 CHAPTER 4

on a population’s preference for specific land- can then be used to conduct preference surveys. scape qualities based primarily on physical Preferences can be determined by showing the pho- characteristics in the landscape tographs at public meetings, through one-on-one • The cognitive paradigm, which emphasizes hu- interviews, or by mail surveys. Visual surveys from man meaning associated with landscape prop- either the expert or user perspective can be inte- erties based on past experience, future expec- grated with the participant-observation efforts. tation, and sociocultural conditioning of the The visual and participant-observation findings observer should enable the planner or the planning team to • The experiential paradigm, which considers identify visual patterns that reflect cultural values. landscape values based on interaction of peo- Such patterns can be identified using rather simple ple with the landscape (as adapted by Whit- land-use terms (e.g., agricultural, commercial, resi- more et al. 1995, 29) dential, industrial, natural). Ideally, however, the patterns should reveal more complex relationships In the context of human community analysis, between biophysical and sociocultural processes some of the techniques developed for visual resource that are visually apparent and that are specific to the assessment can be adapted to help identify landscape area (e.g., rolling wheatland, old town center, lake - patterns. Many of these approaches to assess the vi- shore suburb, old stream-bank industry, valley conifer sual attributes of a place have been developed from woodland). the perspective of an outsider, an expert, according The “language of landscape,” as suggested by to the classification system developed by Zube and Anne Spirn (1998), includes a vocabulary to describe his colleagues (1982). Viewing the landscape from both the visual patterns and the ecology of places. the road, areas are mapped and evaluated. Such an For instance, where Kevin Lynch (1960) used node, approach can be helpful in the determination of vi- path, and district, Forman and Godron (1986) use sual sensitivity to change. (See Tables 10.4 and 10.15 patch, corridor, and matrix (Hirschman, 1988, after for examples of how this type of information can be Steinitz, 1988). Such terms are helpful for describing used in classifying environmentally sensitive areas.) the visual and cultural patterns observed in a place. The view-from-the-road approach is an out- Several methods, paralleling roughly the Zube et growth of windshield surveys. These surveys are al. classification, were employed by a team of plan- undertaken by systematically driving throughout ners in the planning of the Verde Valley greenway in the planning area. The planning researcher takes Arizona (Cook et al. 1991; Whitmore et al. 1995). photographs, draws sketches, and writes notes The team determined that three methods of visual about her or his observations. Another general ap- assessment would be used in the study, with a goal proach to visual analysis is to try to learn the in- to involve the public in the visual assessment. First, sider, or land-user, view of the landscape. Several an expert evaluation method involved trained ob- techniques have been developed to attempt to gain servers, in this case landscape architects and plan- such a perspective. Photographs are a common ners, without public interaction. Second, a public tool. One option is to give cameras to land users in valuation method incorporated images selected by the planning area and ask them to take pictures of the same experts, which were then reviewed at pub- things that they like and do not like about their lic meetings. (This method followed procedures de- landscape. These photographs are then collected, veloped by Ricki McKenzie for the New Jersey Pine - compared, and analyzed. Another option is for the lands, discussed later in this chapter.) Third, the researcher to take photographs. These photographs team used a public nomination method that was 173 HUMAN COMMUNITY INVENTORY AND ANALYSIS

completely dependent on the scenic preferences of architectural style.... Ground plan, termed “town local residents (Cook et al. 1991; Whitmore et al. plan” by Conzen, is the spatial location and interac- 1995). tion of streets, parcels and buildings. Conzen divided The public valuation method was especially the ground plan into three components: streets and helpful in the identification of landscape patterns their street network, parcels and their aggregation for planning purposes. This method involved a field into blocks, and the orientation of buildings within landscape inventory, following procedures de- the streets and parcels. When these forms are overlaid, scribed in the previous chapter. Comprehensive attention shifts from the individual entities to the as- photo documentation of the Verde River corridor sociation between these forms.... The third part of was undertaken to identify, describe, and map visual Conzen’s classification is land use, defined . . . as the landscape types (Whitmore 1993). The team identi- activity or function of a parcel or parcel section fied landscape types, initially in the field, then re- (1995, 13). fined through detailed analysis of hundreds of photographs. After the team identified 29 landscape Schmandt used the Conzen classification to read types, seven workshops were conducted in the Verde the landscapes of three western American down- Valley where these types were rated for preference. towns (Phoenix, San Antonio, and San Diego). He The ratings revealed close relationships between vi- sought to assess the impact of the “postmodern” on sual preferences and natural features such as geo- the urban landscapes. Schmandt found that land logic structures, riparian forests, and emergent uses “depict a tendency towards mixture and gentri- marsh edges (Whitmore et al. 1995). Furthermore, fication” with greater attention “paid to historic de- cultural features played a significant role in the pref- tail, traditional uses, and to the integration . . . erence ratings, from Native American cliff dwellings within the existing urban fabric” (1995, ii). to mill tailings (Whitmore et al. 1995). The planning Schmandt’s study helps illustrate the utility of the team found that, in addition to assisting the state Conzen classification to contemporary urban land- park agency to plan the greenway, the visual prefer- scape morphology. ence process helped the planners engage local residents in discussions about their landscapes. Identification of Interactions and Relationships Urban Morphology Building on the visual, landscape, and urban mor- Urban morphology is another way to help reveal phological patterns, overlay and computer maps, human settlement patterns. Anne Vernez Moudon matrices, and systems diagrams can be used to iden- (1997) has provided a helpful summary of this tify interactions and relationships. The specific “emerging interdisciplinary field.” Moudon notes technique chosen will be determined, in large mea- that as a result, “form, resolution, and time constitute sure, by the issues that have been identified and the the three fundamental components of urban mor- goals established for the planning effort. Matrices phological research” (1997, 7). will be used here to illustrate how sociocultural in- Michael Schmandt explains Conzen’s trifold teractions can be analyzed. classification as follows: Although biophysical and sociocultural factors must be viewed together, it may be useful to con- Building form pertains to the physical characteristics sider them separately before putting them together of the structure—features such as color, height, and in a synthesis chart. Figure 4.5 demonstrates a way 174 CHAPTER 4

FIGURE 4.5 Biophysical factor interaction. (Source: Adapted from Jackson and Steiner 1985)

to establish biophysical factor interaction that In a matrix, land users can be classified in at least builds on the bivariate diagram discussed in Chap- two ways, that is, either by their use of the land or by ter 3. Symbols, letters, or numbers can be used in the the terms the local people use to classify themselves boxes to indicate if a relationship exists and the rela- and each other. As with biophysical factors (see Fig- tive importance of that relationship. Written de- ure 4.6), a numbered matrix can be constructed so scriptions can be used to elaborate and explain the that relationships can be explained in writing. (In relationships. Figure 4.6 simple land-use designations—such as 175 HUMAN COMMUNITY INVENTORY AND ANALYSIS

FIGURE 4.6 User-group interaction. (Source: Adapted FIGURE 4.7 User demands. (Source: Adapted from Jackson from Jackson and Steiner 1985) and Steiner 1985)

industrial—are used for illustration. Certainly, more sity to amend or establish new goals and may raise descriptive visual and cultural landscape patterns— new issues. Take, for instance, once again, three of like old stream bank, corridor industry, or industrial the Oregon statewide planning goals: agriculture, node—can be used as well.) housing, and urbanization. The agricultural goal is After classifying land users, it is possible to ex- to preserve and maintain agricultural lands, while amine user-group demands. Some of these de- the housing goal is to provide for housing needs of mands are quite basic: skiers need snow, foresters the citizens of the state (Land Conservation and De- need timber, farmers need productive soil and am- velopment Commission 1980). According to Wen- ple water, and hunters need game. The relationship die Kellington, “The Oregon land-use planning pro- between user-group demands and biophysical fac- gram contemplates a balance between resource tors can be illustrated and summarized in a matrix preservation and the provision of adequate land (Figure 4.7) (Jackson and Steiner 1985). supply for housing” (1998, 3). Meanwhile, the urbanization goal is to provide for an orderly and effi- Community Needs Assessment cient transition from rural to urban land use (De- partment of Land Conservation and Development The preceding inventory and analysis of population 1996). and economic characteristics as well as the synthesis What are the social, economic, and political of human community information should lead to needs for agriculture in a planning area? And how an assessment of needs. These needs should relate to do those needs relate to the biophysical environ- the issues and goals being addressed by the planning ment? The answers for the first question should lie effort. These studies, however, may reveal the neces- in the studies described in this chapter. Through an 176 CHAPTER 4 ecological analysis, linkages should start to be made Two Examples of Human Community between the human community and the biophysical Inventory and Analysis environment. Population and economic studies should reveal trends in the agricultural sector and Collecting information about people is not new, what the needs are to continue to support farming but connecting such data to natural systems and to in the planning area. These needs can be quantified. planning the future of places is a relatively new art. For instance, one can determine the number of Planners in the New Jersey Pinelands and at Camp cows, farmers, and land needed to support a milk- Pendleton, California, have sought to make such processing plant. These numbers may vary if the connections. cows graze on the farm or if feed is imported. They may also vary if technology, such as milking ma- New Jersey Pinelands Comprehensive chines or the cost of energy, changes the labor re- Management Plan quired to maintain a dairy. As outlined in the Oregon statewide planning The human community inventory and analysis of goal, housing needs may be affected by (1) the the Pinelands were accomplished in the same man- amount of buildable land; (2) the distribution of ex- ner as the biophysical studies (see Chapter 3), that is, isting population by income compared with the dis- through the use of consultants. The management tribution of available housing units by costs; (3) a de- plan first reviewed prehistorical, historical, and cul- termination of vacancy rates, both overall and at tural resources and then land use. The Pinelands has varying rent ranges and cost levels; (4) a determina- been inhabited and used by humans for approxi- tion of expected housing demands at varying rent mately 10,000 years. The management plan pro- ranges and cost levels; (5) an analysis of a variety of vides a synopsis of what is known about the prehis- densities and types of residences; and (6) the amount tory of the region. There is an inventory of sites of of sound housing units capable of being rehabili- archaeological significance and an historical review, tated (Land Conservation and Development Com- beginning with the people who called themselves mission 1980). Some obvious conflicts exist between the “Lenni-Lenape” who inhabited the area at the the needs for agriculture and housing. Oregon’s ur- time of the initial European contact. The historic ac- banization goal attempts to address these conflicts. tivities of Europeans and their American descen- Preference in Oregon is given to agricultural land dants are described in the plan. These include protection. Consequently, jurisdictions need to jus- forestry; shipbuilding and seafaring; hunting, gath- tify how much land should be contained within the ering, trapping, and fishing; agriculture; iron pro- urban growth boundary and how much of the rural duction; glassmaking; and tourism and recreation land is either unsuited for resource use or already too (Pinelands Commission 1980). developed or too fragmented to be returned to farm Jon Berger and John Sinton interviewed 300 use. As a result, in Oregon, the challenge is not in es- Pineland residents and analyzed the cultural re- timating how much agriculture there should be, but sources and attitudes about the Pinelands. They in determining how much of everything else there found settlement of the Pinelands taking place in would be in the plan. Oregon’s emphasis on farm- three general patterns, and they grouped these into land protection is unique. Elsewhere in the United three major cultural regions: forest, agricultural and States, it is common to decide on every possible rural suburban, and coastal. Then they identified a other use first, and then dedicating what is left over number of distinct cultural and ethnic groups, in- to farm use. Chapter 5 addresses how to determine cluding baymen, blacks, Germans, Italians, Jews, the potential allocation of land uses. mixed urbanizing, Puerto Ricans, Quakers, rural 177 HUMAN COMMUNITY INVENTORY AND ANALYSIS

residents, and Russians. Based on this work, a num- “landscapes that are mostly green with few human ber of culturally significant areas were identified structures,” and 26 cultural types, “landscapes dom- (Pinelands Commission 1980; Berger and Sinton inated by buildings and paving” (McKenzie 1979, 5). 1985). These areas contributed to the development Three types (one woodland and two farmland) were of the plan for the Pinelands (see Chapter 7). included in both sets, so there are actually only 50 Based on the sociocultural study, varied percep- types. tions of the future were drawn, and potential land- Each visual type was illustrated with a transpar- use conflicts for the area were foreseen. These con- ent color photograph that was projected at nine flicts are listed in Table 4.18. This analysis was public meetings involving about 155 people to col- followed by a description of land use that was linked lect preference votes. The 50 visual types were to the ethnic and cultural groups of the area. Cur- scored and ranked for preference (Figure 4.9). Cer- rent land uses occur in national reserve, forest and tain patterns (e.g., the forested lake type) were wetland, agricultural land, and built-up land (Table clearly liked by the people who participated in the 4.19). This information was linked with future and meetings. Other images, such as the nuclear power current demands for agriculture (Table 4.20), sew- plant, were “actively disliked” (McKenzie 1979; age systems and wastewater disposal, water supply Pinelands Commission 1980). and water use, solid waste generation and disposal, The management plan then put the Pinelands transportation, government facilities, resource ex- into a regional perspective, using population and traction, and recreation. economic studies. The population of the Pinelands In addition to the work of Berger and Sinton, study area was 394,154 and growing steadily (Table other landscape planners led by Ricki L. McKenzie 4.21). The economic activities in the management of the U.S. Department of Interior analyzed scenic plan included development activity and land trans- resources. They identified 53 visual types (Figure actions that were reviewed for the region as a whole 4.8), which they divided into 27 natural types, and for each county in the Pinelands. Development

TABLE 4.18 Potential Land-Use Conflicts in the Pinelands • Public ownership versus lost municipal tax revenues • Land-use restrictions versus private property rights • State and federal regulatory power versus home rule • Extensive versus intensive land uses • Preservation of lifestyle indigenous to the Pines versus wish for technological improvement • Preservation of traditional lifestyles versus suburbanization • Preservation of open space versus need for housing of longtime residents • Preservation of open space for residents versus preservation of open space for nonresidents • Intensive recreational use versus light recreational use • Development of recreation fisheries versus development of commercial fisheries • Free and unlimited public access versus access for wilderness needs and research • Preservation of historic sites versus development for recreation • Preservation of present landscapes versus needs for resource use and habitat restoration

SOURCE: Pinelands Commission 1980. 178 CHAPTER 4

TABLE 4.19 Estimated Land Uses in the Pinelands, in Thousands of Acres (Pinelands National Reserve = 1,082,816 Total Acres) Land Area in Forest and Agricultural Developed County National Reserve Wetland Land Land Atlantic 243.6 201.6 16.5 25.4 Burlington 346.6 295.6 24.8 26.2 Camden 54.6 39.5 6.5 8.6 Cape May 85.6 78.7 2.3 4.6 Cumberland 55.7 52.4 1.0 2.3 Gloucester 33.2 23.5 5.9 3.8 Ocean 263.5 235.3 1.0 27.2

SOURCE: Pinelands Commission 1980.

regions and trends were determined. Two develop- the region’s biodiversity. The reason for the concern ment phenomena in New Jersey especially impact about biodiversity was the rapid human population the Pinelands: the proliferation of retirement com- growth in Southern California. The Camp Pendle- munities and the advent of casino gambling in ton team began their discussion of the human com- nearby Atlantic City. From these studies, population munity with a summary of the region’s history from and housing demand projections were made for Spanish colonization in the 1740s, through the rich each county to the year 2000 (Table 4.22) and for agricultural and ranching period, and into the rapid different growth scenarios of development. population growth following the Second World War As the year 2000 approached, it became clear (Steinitz et al. 1996). that the plan had not inhibited growth in the Pine- The population of the Camp Pendleton study lands. Rather, growth had been directed to the most area was approximately 1.1 million at the time of the suitable locations. For example, Pinelands munici- study. Regional planning agencies project that the palities continued to authorize more permits on av- area will grow to 1.6 million by 2010 (Steinitz et al. erage than other municipalities in southern New 1996) (Figure 4.10). The Camp Pendleton Marine Jersey and the remainder of the state (New Jersey Corps Base is located in the midst of this region, oc- Pinelands Commission 1998). The economic health cupying 123,172 acres (49,867 hectares) of land that of the region remained strong. Unemployment in “still retains much of the landscape character of the the Pinelands declined through the 1990s. In addi- early California days of missions and ranchos” tion, population inside the Pinelands continued to (Steinitz et al. 1996, 18). grow at a faster rate than the rest of southern New Instead of preparing a separate land-use map, Jersey or the state (New Jersey Pinelands Commis- the Camp Pendleton team combined land use, vege- sion 1998). tation, and terrain into a single land-cover map (Figure 4.11). According to Carl Steinitz and his col- The Biodiversity Plan for the Camp leagues, “The classification of land cover is a gener- Pendleton Region, California alization of more than 200 groupings of vegetation and land use described by the local and regional The focus of the Camp Pendleton landscape plan- plans in the study area” (1996, 19). ning study was natural systems—the protection of The team also conducted a visual preference 179 HUMAN COMMUNITY INVENTORY AND ANALYSIS

TABLE 4.20 Pinelands Agriculture Pinelands Area Seven Counties New Jersey Acres Acres Acres (100) Income (100) Income (100) Income Crop (× .4047 ha) ($1,000) (× .4047 ha) ($1,000) (× .4047 ha) ($1,000) TOTAL 578.2 61,041.82 — — 6,116.2* 359,590 Field crops 268.2 3,859.61 1,369 — 5,290 102,720 Corn and grain 55.3 746.18 236 5,084.8 950 19,884 Hay 58.2 478.35 210 5,190.0 1,119 23,250 Soybeans 123.4 2,484.95 715 14,527.5 2,060 42,333 Others 31.3 132.13 208 — 1,090 17,253 Ornamentals 32.9 9,863.31 — — — — Nursery — — 37 — 111 — Sod 17.9 3,131.09 — — — — Trees and shrubs 9.9 2,413.98 — — — — Others 5.0 4,318.24 — — — — Fruits and berries 152.2 27,350.60 — — 257 48,779 Apples 14.5 2,645.25 33 6,022.9 56 10,170 Blueberry 77.0 13,897.49 78 14,074.0 78 14,074 Cranberries 28.8 4,643.45 30 4,839.0 30 4,839 Peaches 27.7 5,523.79 73 14,561.2 83 16,520 Strawberries and grapes 4.2 640.62 7 1,270.5 10 1,768 Vegetables 121.6 13,477.03 — — 711 78,762 Asparagus 1.8 172.03 11 1,103.6 19 1,789 Corn (sweet) 29.9 1,785.63 66 3,946.8 100 5,978 Peppers 8.4 914.17 39 4,128.1 60 5,709 Potatoes (white) 8.9 886.10 26 2,519.4 82 8,155 Potatoes (sweet) 17.1 2,749.47 24 3,825.2 26 4,176 Tomatoes 12.4 1,479.70 77 8,717.9 138 16,384 Others 43.0 5,489.47 — — 286 36,562 Livestock (head) Cattle (dairy) 13.2 1,796.07 79 10,721.3 470 60,998 Chicken (layers) 2,251.7 2,425.97 — 6,604.2 17,160 18,488 Swine 71.3 701.16 630 5,982.4 760 6,592 Turkeys 308.8 389.15 — — 580 762

*Total agricultural land in New Jersey is 1,058,600 acres (428,415 hectares). SOURCE: Pinelands Commission 1980. 180 CHAPTER 4

FIGURE 4.8 Pinelands visual types. (Source: Pinelands Commission 1980)

analysis for the Camp Pendleton area. They fol- the major transportation routes” (1996, 86). These lowed methods used by the U.S. Forest Service exposures were also mapped (Figure 4.13). (1974) and Bureau of Land Management (1980) The third step—the assigning of values— with three phases: (1) preferences, (2) exposure, and involved combining the preference and exposure (3) value (Steinitz et al. 1996). Visual preferences maps. The resulting map (Figure 4.14) identifies the “were determined by using a set of 26 photographs most valuable lands to protect for visual qualities as of the study area which represent the range of land well as those where maximum modification can oc- cover types in the region” (Steinitz et al. 1996, 84). cur without negative visual impact (Steinitz et al. Participants in the visual preference analysis ranked 1996). The visual preference analysis attempted to the photographs. The photographs were then link people to the landscape. The goal was to pro- grouped by aggregate value and mapped using GIS vide “insight into commonly held perceptions and technology (Figure 4.12). The second step was expo- values regarding . . . the landscape” (Steinitz et al. sure, which Steinitz and his colleagues defined as 1996, 84). whether areas “were visible in the foreground, mid- This recognition of the intricate interrelation- dleground, or background, or not visible, from all ship between people and landscape distinguishes 181 HUMAN COMMUNITY INVENTORY AND ANALYSIS

FIGURE 4.9 Final scores and order of preference of visual types. (Source: Pinelands Commission 1980) 182 CHAPTER 4

TABLE 4.21 Pinelands Population and Population Increase, 1950–1978

A Note: in= –1 i = Average Annual Change P A = The Increased Pinelands Population n = The Number of Years P = The Previous Pinelands Population SOURCE: Pinelands Commission 1998.

TABLE 4.22 Household Increase Projections for Pinelands Section of Each County to 2000 1980–1990 1990–2000 Atlantic 38,700 14,600 Burlington 19,700 18,800 Camden 16,100 6,800 Cape May 4,500 2,800 Cumberland 1,300 800 Gloucester 9,000 8,700 Ocean 52,000 31,000 TOTAL 141,300 83,500 FIGURE 4.10 Population forecast for the Camp Pendleton SOURCE: Pinelands Commission 1980. study area. (Source: Steinitz et al. 1996) 183 HUMAN COMMUNITY INVENTORY AND ANALYSIS

FIGURE 4.11 Land cover—land use, vegetation, and terrain. (Source: Steinitz et al. 1996)

FIGURE 4.12 Visual preference, Camp Pendleton study area. (Source: Steinitz et al. 1996) 184 CHAPTER 4

FIGURE 4.13 Visual exposure, Camp Pendleton study area. (Source: Steinitz et al. 1996)

FIGURE 4.14 Visual values—combining preference and exposure maps. (Source: Steinitz et al. 1996) 185 HUMAN COMMUNITY INVENTORY AND ANALYSIS

the Camp Pendleton and Pinelands planning stud- part of the ecosystem. Both the Pinelands and the ies from more conventional efforts. Furthermore, Camp Pendleton plans include accounts of regional Jon Berger and John Sinton (1985) have provided histories. Both planning studies also conducted de- lively sketches of people from the Pine Barrens who tailed visual quality analyses. Such knowledge about spend their days and nights clamming, crabbing, how people live and relate to their environment is trapping, oystering, fishing, hunting, farming cran- too often absent from the information-collection berries and blueberries, truck farming fruits and phase of planning processes. This information is vegetables, and controlling the fires that are much a crucial for the planning process to be humanized.

5 SUITABILITY ANALYSIS

Once an ecological inventory of a place has been conducted, and some understanding of the relationships between people and environment has been achieved, it is then necessary to make more detailed studies of these interactions to present options for future use. One such type of detailed study is a suitability analysis.“Consult the Genius of the place in all,” Alexander Pope suggested, and this is an apt definition of suitability analysis. There are also several more recent (and rather more wordy and cumbersome) definitions. Often, capability and suitability are two words that are used interchangeably; however, there is enough subtle variation in how these terms have been adapted for the purpose of land classification that it would be useful to define each. To be capable is to have the ability or strength to be qualified or fitted for or to be susceptible or open to the influence or effect of. To be suitable is to be appropriate, fitting, or becoming (Barnhart 1953). Various definitions for land-capability analysis have been proposed. Land- capability classification has been defined by soil scientists as a grouping of kinds of

187 188 CHAPTER 5 soil into special units, subclasses, and classes according Approaches to Suitability to their potential uses and the treatments required for Analysis—Methods their sustained use (Brady 1974; Brady and Weil 1996). An alternate definition is evaluation based on an inher- Three approaches to suitability analysis that merit ent, natural, or intrinsic ability of the resource to pro- closer review include (1) several NRCS systems, (2) vide for use, which includes abilities that result from the McHarg suitability analysis method, and (3) past alterations or current management practices. A suitability analysis methods developed in the third definition, suggested by the U.S. Geological Sur- Netherlands. vey, relies solely on geologic and hydrologic information. According to this definition, land-capability Natural Resources Conservation analysis measures the ability of land to support differ- Service Systems ent types of development with a given level of geologic and hydrologic costs (Laird et al. 1979, 2). A fourth def- The oldest, most established system for defining the inition has been developed by the U.S. Forest Service to ability of soil to support agronomic uses is the U.S. implement the Forest and Rangeland Renewable Re- Soil Conservation Service capability classification. sources Planning Act of 1974. According to the USFS, As a result of the disastrous effects of the dust bowl capability is “the potential of an area of land to produce era, the Soil Erosion Service was established in 1933 resources, supply goods and services and allow resource by the Franklin Roosevelt administration. The uses under an assumed set of management practices agency was reorganized and named the Soil Conser- and at a given level of management intensity” (U.S. vation Service in 1935, which in turn was renamed Congress 1979, 53984). the Natural Resources Conservation Service in 1994. Land suitability may be defined as the fitness of a The NRCS works closely with a system of locally given tract of land for a defined use (Food and Agri- elected conservation district boards responsible for culture Organization of the United Nations 1977). soil and water conservation policy in almost every Differences in the degree of suitability are determined county of the United States. The conservation dis- by the relationship, actual or anticipated, between tricts receive technical assistance locally from pro- benefits and the required changes associated with the fessional NRCS conservationists. use on the tract in question (Brinkman and Smyth The capability classification is one of several in- 1973). Another definition for suitability analysis, pro- terpretive groupings made by the NRCS in standard vided by the USFS, is “the resource management prac- soil surveys. Capability classes are based on soil tices to a particular area of land, as determined by an types as mapped and interpreted by the NRCS. They analysis of the economic and environmental conse- were developed to assist farmers with agricultural quences” (U.S. Congress 1979, 53985). For this chap- management practices. While there are other sys- ter, suitability analysis is considered to be the process tems that have also been developed to classify soils of determining the fitness, or the appropriateness, of a for agriculture (Donahue et al. 1977; Reganold and given tract of land for a specified use. Singer 1978, 1979), the NRCS system is the most In this chapter, three specific suitability approaches, common one in the United States. Groupings are computer applications, and the carrying-capacity con- made according to the limitations of the soils when cept are reviewed. Two applications of suitability analy- they are used for field crops, the risk of damage sis are discussed as examples: Medford Township, New when they are used, and the manner in which they Jersey; and Whitman County, Washington. respond to management. The classification does not take into account major construction activity that 189 SUITABILITY ANALYSIS

would alter slope, soil depth, or other soil character- class. They are identified by adding the lowercase istics. Nor does it take into account reclamation letters e, w, s, or c to the Roman numeral; for exam- projects or apply to rice, cranberries, horticultural ple, IIe. The letter e indicates that the chief limita- crops, or other crops requiring special management tion is risk of erosion unless close-growing plant (Davis et al. 1976). cover is maintained. The letter w indicates that wa- In the capability system, all kinds of soils are ter in or on the soil interferes with plant growth or grouped at three levels: the capability class, the sub- cultivation. The letter s shows that the soil is limited class, and the unit (Soil Conservation Service 1975; primarily because it is shallow, droughty, or stony; Soil Survey Staff 1951, 1975a, 1975b). The following while c shows that the major limitation is that the description of three major categories of capability climate is too cold or too dry. In class I there are no classification was adopted from Klingebiel and subclasses because there are no limitations on this Montgomery (1961), Singer et al. (1979), and Davis class. On the other hand, subsequent classes may et al. (1976). Capability classes are the broadest contain several subclasses (Singer et al. 1979; Davis groups and are designated by Roman numerals I to et al. 1976; Broderson 1994). VIII. The numerals indicate progressively greater Capability units are further distinctions of soil limitations and narrower choices for practical agri- groups within the subclasses. The soils in one capa- cultural use, defined as follows: Class I soils have few bility unit are sufficiently similar to be suited to the limitations that restrict their use. Class II soils have same crops and pasture plants, to require similar moderate limitations that reduce the choice of management, and to have similar productivity and plants that can be grown or require moderate con- other responses to management. Capability units servation practices. Class III soils have severe limita- are identified by the addition of an Arabic numeral tions that reduce the choice of plants that can be to the subclass symbol; for example, IIe- 2 or IIIe- 3 grown, require special conservation practices, or (Singer et al. 1979; Davis et al. 1976). both. Class IV soils have very severe limitations that In addition to capability classification for agro- reduce the choice of plants that can be grown, re- nomic uses, soil surveys also include interpretation quire very careful management, or both. Class V of limitations for such land uses as septic tanks, soils are not likely to erode but have other limita- sewage lagoons, homesites, lawns, streets and park- tions that limit their use mainly to pasture or range, ing lots, athletic fields, parks and play areas, camp- woodland, or wildlife habitat. Class VI soils have se- sites, sanitary landfills, and cemeteries. Soil conser- vere limitations that make them generally unsuited vationists have long stressed that the main purpose to cultivation and limit their use mainly to pasture of soil survey information is for agriculture and that or range, woodland, or wildlife habitat. Class VII capability classes were developed specifically for row soils have very severe limitations that make them crops. Nevertheless, soil survey information has unsuited for commercial crop production and re- been increasingly utilized by planners, landscape ar- strict their use to recreation, wildlife habitat, water chitects, and civil engineers, because it is the most supply, or aesthetic purposes. Class VIII soils and ubiquitous standard source of information about land-forms have limitations that preclude their use the natural environment in the United States avail- for commercial plant production and restrict their able on the local level. use to recreation, wildlife habitat, water supply, or Soil surveys are seen to be useful for community aesthetic uses (Klingebiel and Montgomery 1961; and regional planning by their authors. Take, for Singer et al. 1979; Davis et al. 1976). example, this statement from the Montgomery Capability subclasses are soil groups within one County (Dayton), Ohio, soil survey: 190 CHAPTER 5

The expansion of nonfarm uses of land can remove septic tank limitations but very inconsistent for many acres from farming in a short time. Freeways homesites and roads. They warn that “this implies and super highways can displace up to about 50 acres that planners must use these published ratings with per mile [20.25 hectares per mile; 31.25 acres or 12.66 extreme caution in making environmental and hectares per kilometer]. A shopping center can easily land-use planning decisions and that consultation replace 50 to 100 acres of farmland [20.25 to 40.5 with state and local soil experts should be sought” hectares]. These uses tend to permanently remove (Gordon and Gordon 1981, 301). land from farm use. As a result of the shortcomings of the soil sur- The rapid suburban expansion has emphasized veys, a dilemma is faced by conservationists and soil- related problems that builders must deal with. For planners alike. Soil conservationists have done an example, some of the soils have severe limitations for excellent job mapping and classifying land in the use as septic tank disposal fields, some are shallow to United States and have generated the most uni- hard limestone bedrock, some are underlain by a formly available source of physical science informa- porous substratum and are droughty, some are easily tion. Planners faced with tight budgets must use soil eroded, and a few soils have no serious limitations. survey information because they lack the time Two of the most serious concerns in community de- and/or money and expertise to generate original velopment are the limitations of the soils for septic data. tank disposal fields and the erosion hazard. Improp- The NRCS has met the growing demand for its erly functioning septic tank systems are a threat to products with new systems to assist planners and re- health in areas where the soils have severe limitations source managers. One such effort is the NRCS im- for this use. Erosion losses in developing areas are portant farmland mapping program. This classifica- commonly much higher than on comparable farm- tion system identifies two major categories of land, particularly during periods of construction. Ero- farmland of national importance, prime and unique sion control practices, therefore, become very impor- lands, and two other categories, farmlands of tant in areas undergoing development. Specific statewide and of local importance. There are na- erosion control practices for use in rural-fringe areas tional criteria for the first two categories, while the have been developed by the Soil Conservation Service. latter have criteria established on the state level City officials and developers interested in these prac- (Dideriksen 1984). tices can obtain information about them from the of- The important farmland mapping program fice of the Montgomery Soil and Water Conservation (coupled with the publication of the National Agri- District (Davis et al. 1976, 34–35). cultural Lands Study [1981] that documented a loss in the prime cropland base of the nation) presented Several researchers have illustrated how soil sur- new problems for both planners and soil conserva- vey information can be applied to planning and re- tionists. For instance, in DeKalb County, Illinois, 97 source management (Bartelli et al. 1966; Lynch percent of the land is prime farmland. Obviously 1971; McCormack 1974; Meyers et al. 1979; and not all this land can be preempted for agricultural Lynch and Hack 1984). Fred Miller (1978) has de- use, because there are demands for other uses also. scribed how soil surveys have been criticized be- On the other hand, in Whitman County, Washing- cause of the limitations of information for urban ton, only 2.8 percent of the land is prime. Most of land-use planning. According to the research of the land is excluded from the prime category be- Steven Gordon and Gaybrielle Gordon (1981), soil cause of steep slopes and high erosion potential. Yet survey information was found to be accurate for Whitman is the most productive winter white wheat 191 SUITABILITY ANALYSIS

county in the nation, and most of the land in the factor on [a] 0–100 scale” (Pease and Coughlin county is under cultivation. A new system was 1996, 213). A score, then, is the total of all the factor needed to weigh the agricultural capability of land ratings. The LE factors are based on soil survey infor- against its demands for other uses. In 1981, mation (U.S. Department of Agriculture 1983). a pilot program for such a system was launched Land evaluation rates the quality of soil for agri- (Wright 1981; Wright et al. 1982; Steiner et al. 1987; cultural use by incorporating four rating systems: Steiner 1987; Steiner et al. 1994; Pease and Coughlin land- capability classification, important farmland 1996). classification, soil productivity, and soil potential. Lloyd E. Wright, formerly of the NRCS Office of NRCS recommends that one of the last two ratings Land Use in Washington, D.C., along with planners (soil potential being preferred) be used in conjunc- and soil conservationists from 12 selected counties tion with the first two ratings. The land-use staff of across the United States, was responsible for the ini- NRCS has explained the method for combining tial design of the system, which has been refined by these four systems in the 1983 National Agricultural considerable research (Steiner et al. 1994; Pease and Land Evaluation and Site Assessment Handbook: Coughlin 1996). The system is divided into two phases: (1) establishing an agricultural land evalua- • Land capability classification identifies degrees tion (LE) and (2) establishing an agricultural site as- of agricultural limitations that are inherent in sessment (SA). Together the LE and SA are known as the soils of a given area. It enables state and re- the Agricultural Land Evaluation and Site Assess- gional planners to use the system for planning ment (LESA) System. For LESA, a system is defined and program implementation at regional and as “all the factors, weights, and scales used in the state levels. evaluation of soils and other site conditions” (Pease • Soil productivity relates the LE score to the lo- and Coughlin 1996, 215). Two descriptions of cal agricultural industry based on productiv- LESA—the original 1983 version and the refined ity of the soils for a specified indicator crop. 1996 system—have been developed to help planners. The 1983 version will be explained first, followed by the 1996 modifications.

Land Evaluation Value. Agricultural land evaluation (LE) is a process of rating soils of a given area and placing them into ten groups ranging from the best-suited to the poorest-suited for a specific agricultural use. A relative value is determined for each group, with the best group being assigned a value of 100 and all other groups assigned a lower relative value. For LESA, a factor is a term used “to label a group of attributes, such as soil potential, size, compatibility, or scenic quality” (Pease and Coughlin 1996, 213). Factor rating then is the “number of points assigned to a factor, before weighting, on a 0– The process of land evaluation rates soils in an area from 100 point scale” (Pease and Coughlin 1996, 213). best to worst for a specific agricultural use. Farm near The factor scale is the “way points are assigned to a Triengen, Switzerland. 192 CHAPTER 5

The use of both soil productivity and land ca- A relative value is determined for each agricul- pability classification should provide some in- tural grouping based on adjusted average yields. dication of relative net income expected from That is, a weighted- average yield is calculated for each category of soils. each soil type within the grouping. The weighted- • Soil potentials for specified indicator crops are average yield for each grouping is then expressed preferred in place of soil productivity in the as a percentage of the highest weighted- average LE system. Soil potential ratings classify soils yield. This percentage becomes the relative value based on a standard of performance and for each agricultural grouping, and the relative recognition of the costs of overcoming soil value is the LE value that is combined with the limitations, plus the cost of continuing limita- site assessment value (U.S. Department of Agri- tions if any exist. These classes enable planners culture 1983). Table 5.1 gives an example of the to understand the local agricultural industry. worksheet from which the LE relative values are • Important farmland classification enables determined. planners to identify prime and other important farmlands at the local level. Use of the na- Site Assessment Value. Although the value from tional criteria for definition of prime farm- the LE system provides a good indication of the rel- land provides a consistent basis for ative quality of a soil for a particular agricultural comparison of local farmland with farmland use, it does not take into account the effect of loca- in other areas (Adapted from U.S. Department tion, distance to market, adjacent land uses, zoning, of Agriculture 1983). and other considerations that determine land suitability. In other words, relative agricultural value is The NRCS recommends that soils be arrayed only one of many site attributes, or factors, that into ten groups ranging from the best- to the worst- may be considered by planners and land- use deci- suited for the agricultural use considered (cropland, sion makers. Consequently, NRCS has created the rangeland, forest). Each group should contain ap- site assessment (SA) system to incorporate some proximately 10 percent of the total planning area of these other factors into the decision-making (U.S. Department of Agriculture 1983). The num- process. ber of soils in each group may vary depending on The factors that are included in the SA system the soil composition in the area. Three evaluation form seven groups: agricultural land use; agricul- systems are used in the ranking to prevent the possi- tural viability factors; land-use regulations and tax bility that any one method would have an undue ef- concessions; options to proposed use; impact of fect on the final outcome. For example, soil produc- proposed use; compatibility with, and importance tivity may be used to establish the initial groupings. to, comprehensive development plans; and urban These groupings are then modified based on the infrastructure. The following listed factors were other evaluation systems. Specifically, two soils may identified in the 1983 LESA handbook for use in site have the same productivity rating but different land assessment procedures: capability ratings. In this case, the soil type with the better land capability rating would be placed in a Agricultural land use higher grouping. Similarly, prime soils (according to • Percentage of area in agriculture use within 1 the important farmland classification) would be mile placed in a higher grouping than soils of statewide • Percentage of site farmed in two of the last ten importance even though both soils may have the years same productivity rating. • Land use adjacent to site 193 SUITABILITY ANALYSIS

TABLE 5.1 Agricultural Land-Evaluation Worksheet Showing Criteria for Delineating the Ten Basic Groups of Soil 1234567 Important Agricultural Land Farmland Potential or Percentage Relative Group Capability Determination Productivity of Total Area Acres Value 1 I Prime 95–100 18.8 76,270 100 2 IIw Prime 95–100 31.3 127,470 94 3 I Prime 94 5.4 21,975 88 4 II Prime 90–94 9.6 39,365 84 5 II Prime 80–89 21.0 85,635 81 6 II Prime 70–79 3.5 14,570 75 7 II Prime 69 7.1 28,695 44 8 II/IIIw Statewide All 2.1 8,275 31 9 IIIe/IV/V Statewide All 0.9 3,410 28 10 Others All All 0.3 1,375 0

SOURCE: Steiner et al. 1987, adapted from U.S. Department of Agriculture 1983.

Agricultural viability factors Impact of proposed use • Size of farm • Compatibility of proposed use with existing • Agricultural support system land use • Land ownership • Impact on flooding • On- site investments (barns, storage, and con- • Impact on wetlands servation measures) • Impact on historical areas • Impact of this conversion on retention of • Impact on recreation and open spaces other farmland and the agricultural support • Impact on cultural features system • Impact on unique vegetation • Conservation plan Compatibility with comprehensive development plans Land-use regulations and tax concessions • Local • Zoning for site • Regional • Zoning for area around site • Degree of socioeconomic importance of pro- • Use of agricultural value assessment or other posed use to the community tax benefits • Agricultural districts or right-to- farm legisla- Urban infrastructure tion • Distance to urban area • Central water distribution system (within x Options to proposed use miles) • Unique siting needs for proposed use • Central sanitary sewage system (within x • Suitability of site for proposed use miles) • Availability of less productive lands with simi- • Investment for urban development lar attributes for proposed use • Transportation • Number of undeveloped and suitable alterna- • Distance to other urban infrastructure (job tive sites and need for additional land centers, schools, and shopping) 194 CHAPTER 5

• Emergency services (U.S. Department of Agri- maximum of 20 points. The sum of the points as- culture 1983) signed for each factor results in the SA value, which can be a maximum of 200 points. Finally, the LE Local communities may identify other factors. value is added to the SA value for the total LESA Any of the factors noted in the list may or may not value. The maximum LESA value is 300. The SA sys- be needed, or used, in the design of any local LESA tem tested in this Washington county deviated from system. Once specific factors have been chosen for the one recommended by the NRCS in its 1983 the SA evaluation, each factor must be stratified into LESA handbook. Instead of the more complicated a range of possible points. The NRCS recommends weighting system for obtaining an SA score, a more that a maximum of 10 points be given for each fac- straightforward addition approach was used. tor. In general, the maximum points are assigned In the example in Table 5.2, site 1 has the greatest when on-site conditions are most favorable to the LESA value, indicating that it is more suitable for continuation of agriculture. For example, suppose agricultural use than site 2. Consequently, site 2 that the factor “percentage of area in agriculture” is would be favored for the residential development. included in the SA evaluation. If 90 to 100 percent of In addition to being useful for judging the agri- the area in proximity to a site is in agricultural use, cultural suitability of alternative sites, the LESA sys- then the maximum of 10 points would be given. Al- tem can also be used to help decide whether a single ternatively, if only about one- third of the surround- parcel should be converted to a nonfarmland use. ing area is in agriculture, then a lower number of Local decision makers would have to specify a cutoff points (such as 4) would be given. LESA value out of 300 points (or other maximum After points have been assigned for all factors, value). Parcels with a LESA value below the cutoff weights ranging from 1 to 10 can be considered for could be considered for conversion. each factor. Those factors considered most important would be given the highest weights, while fac- Modified LESA System. In the early 1990s, re- tors of lesser importance would be given lower searchers from Arizona State University, Oregon State weights. The weights are multiplied by the assigned University, and the University of Pennsylvania stud- points for each factor, and the resulting products are ied LESA for NRCS to determine the extent of its use then summed. Finally, the total is converted to a and its effectiveness (Steiner et al. 1994). A goal of the scale having a maximum of 200 points. Thus, the fi- research was to modify and improve LESA as a result nal SA value, as recommended in the LESA hand- of learning from the experience of those jurisdictions book, can range from 0 to 200 (U.S. Department of which had used the systems. Two members of the Agriculture 1983). team, James Pease of Oregon State University and Robert Coughlin of the University of Pennsylvania, Combining the LE and SA Systems. Although the then prepared a new LESA guidebook for NRCS LE and SA systems can be used separately, they are (Pease and Coughlin 1996). most useful when combined. Table 5.2 shows one One contribution of the new guidebook was the method that was tested to combine these systems in clarification of terms (such as factor, factor rating, a county in Washington State. For each site, the factor scale, score, and system) that were defined acreage of each soil unit is multiplied by its relative earlier in this chapter. Other important terms de- value (LE value). These products are summed over fined include ranking and weighting. Ranking all units, and the sum is divided by the total acreage “refers to the relative importance of a site compared of the site to get an average LE value. In this exam- to other sites” (Pease and Coughlin 1996, 11). ple, ten SA factors were selected, with each having a Weighting involves “assigning a weight (for example, 195 SUITABILITY ANALYSIS

TABLE 5.2 Hypothetical Example Demonstrating a Possible Use of the Combined LE and SA Systems in a Washington State County Proposed land use: single- family residential development Site 1: 23 acres of Palouse silt loam, 7–25% slope with LE of 87 37 acres of Anders silt loam, 3–15% slope with LE of 48 Site 2: 32 acres of Cheney silt loam, 0–7% slope with LE of 80 23 acres of Staley silt loam, 7–25% slope with LE of 63 Land evaluation: Site 1 Site 2 23 × 87 = 2,001 32 × 80 = 2,560 37 × 48 = 1,776 23 × 63 = 1,449 3,777 4,009 3,777 4,009 Average LE rating =23 + 37 = 63 Average LE rating =32 + 23 = 73 Site assessment factors Max.pts. Site 1 Site 2 1. Percentage of area in agriculture within 1 mile 20 20 10 2. Land use adjacent to site 20 20 10 3. Wasting agricultural land 20 20 15 4. Availability of nonagricultural land for proposal 20 20 15 5. Compatibility with comprehensive plan and zoning 20 17 15 6. Availability of public services 20 15 10 7. Compatibility of proposed use with surrounding use 20 20 15 8. Environmental factors 20 20 15 9. Open-space taxation 20 15 10 10. Other factors unique to the site 20 15 13 Total site assessment points 200 182 128 Average land evaluation rating 100 63 73 Total points (total of previous two lines) 300 245 201 Choice for development: Site 2

SOURCE: Steiner et al. 1987.

0–1.0) to each factor in order to recognize the rela- Much innovation has occurred when using the tive importance of the factor in the LESA system” SA factors in place of the original system. Pease and (Pease and Coughlin 1996, 11). Coughlin recommend three levels of site assess- Pease and Coughlin developed a flowchart to ex- ment: plain how to develop a local LESA system (Figure 5.1). They suggest the formation of a local LESA • SA-1: Factors other than soil-based qualities committee, which may be divided into separate LE measuring limitations on agricultural produc- and SA committees, to choose and scale factors tivity or farm practices. (Pease and Coughlin 1996). The LE factors in the • SA- 2: Factors measuring development pres- modified LESA remain relatively similar to the orig- sure or land conversion. inal 1983 version, although Pease and Coughlin • SA-3: Factors measuring other public val- stress that they should be “soil- based factors” (1996, ues, such as historic or scenic values (1996, 13). 13). 196 CHAPTER 5

FIGURE 5.1 Flowchart for developing a local LESA system. (Source: Adapted from Pease and Coughlin 1996) 197 SUITABILITY ANALYSIS

The modified LE and SA factors are presented in TABLE 5.3 Table 5.3. A hypothetical site illustrating these fac- Classification of Typical SA Factors tors is displayed in Figure 5.2. Pease and Coughlin SA-1 Factors (agricultural productivity): note that the LESA committee will assign a relative • Size of site weight to each factor (Column 3 in Table 5.4). How- • Compatibility of adjacent uses ever, they recommend the use of • Compatibility of surrounding uses (impact on farm practices) • Shape of site a weight range of 0 to 1.00, so that all weights add up • Percent of site in agricultural use to 1.00 for a particular factor. • Percent of site feasible to farm Once the system is set up, each site is rated for • Level of on-farm investment each factor on a scale from 0–100 (Column 2). Then, • Availability of agricultural support services each factor rating is multiplied by the corresponding • Stewardship of site factor weight (Column 3) to obtain a weighted factor • Environmental limitations on agricultural practices rating (Column 4). • Availability and reliability of irrigation water Weighted ratings are summed to yield the total LESA score, which will range between 0 and 100. In SA-2 Factors (development pressures impacting a site’s continued agricultural use): the example shown in Table [5.3] the total LESA score • Land use policy designation is 71.2 (Pease and Coughlin 1996, 14–15). • Percent of surrounding land in urban or rural development use Pease and Coughlin recommend the use of a • Distance to public sewer computer spreadsheet to calculate LESA scores and • Distance to public water provide a model in their guidebook. They also sug- • Distance to urban feeder highway gest field testing the LESA system and the establish- • Distance to urban center or urban growth boundary ment of thresholds. Field testing involves applying • Length of public road frontage of site draft LESA systems to several actual sites in order to • Proximity to protected farmland adjust the factor scales and/or weights. According to SA- 3 Factors (other public values of a site supporting Pease and Coughlin, “Thresholds are used to group retention in agriculture): sites by scores into two or more classes for decision • Open space strategic value of site (e.g., urban greenbelt) making” (1996, 16). For example, all sites above a • Educational value of site (e.g., for sustainable agriculture) certain threshold may be protected for only agricul- • Historic building or site tural use or all sites below a certain threshold per- • Site of significant artifacts or relics mitted for other uses. • Wetlands and riparian areas Pease and Coughlin (1996) identify five key de- • Scenic values • Wildlife habitat sign criteria for LESA systems. First, the focus of the • Environmentally sensitive areas LESA system should address the question, “What are • Floodplains protection we trying to learn from the LESA score?” (Pease and Coughlin 1996, 16). Second, “Data sources for fac- SOURCE: Pease and Coughlin 1996. tors and their point scaling should be explicit for each factor” (Pease and Coughlin 1996, 17). Third, redundant LE and SA factors should be avoided. Fourth, the system should be reproducible, that is, in “order to obtain consistent factor ratings and LESA 198 CHAPTER 5

FIGURE 5.2 Illustration of a farm rated in Table 5.4. (Source: Pease and Coughlin 1996)

scores, measurable factors and clear definitions must (Bennington County Regional Commission 1994), be used” (Pease and Coughlin 1996, 18). Fifth, the statewide development suitability (Bowen and Fer- system should be replicable, that is, different “sites guson 1994), housing siting in forest areas, sand and with the same or similar factor characteristics should gravel mining location, and wetlands protection yield the same or similar factor ratings” (Pease and (Pease and Coughlin 1996). Coughlin 1996, 19). The Pease and Coughlin LESA guidebook is tar- Use of LESA at the Federal Level. LESA is also geted for local governments. In the years since used at the national level by federal agencies. The LESA’s initiation in the early 1980s, its use has importance of LESA was enhanced by the regula- spread among local and state governments. A 1991 tions implementing the Farmland Protection Pol- nationwide survey identified 212 local and state icy Act (FPPA) of 1981. These federal rules were governments in 31 states using LESA (Coughlin et adopted in 1984 (U.S. Department of Agriculture al. 1994). In addition, its use had been extended to 1984). The FPPA was amended and strengthened riparian zones (Fry et al. 1994), rural development somewhat by Congress in the passage of the Conser- 199 SUITABILITY ANALYSIS

TABLE 5.4 An Example of Computing a LESA Score (1) (2) (3) (4) Factor rating Weighting Weighted Factor name (0–100) × (Total = 1.00) = factor rating Land evaluation (site with one soil): 1. Land capability 68 × 0.30 = 20.4 2. Soil productivity 62 × 0.20 = 12.4 Subtotals 0.50 32.8 Site assessment—1 (agricultural use factors): 3. Acreage of farm 100 × 0.15 = 15.0 4. Farm investment 80 × 0.05 = 4.0 5. Surrounding uses 60 × 0.10 = 6.0 Subtotals 0.30 25.0 Site assessment—2 (development pressure): 6. Protection by plan or zoning 90 × 0.06 = 5.4 7. Distance to sewer 70 × 0.05 = 3.5 Subtotals 0.11 8.9 Site assessment—3 (other factors): 8. Scenic quality 50 × 0.09 = 4.5 Subtotals 0.09 4.5 Total of factor weights //////// (must equal 1.00) //////// //////// 1.00 Total LESA score //////// ////// (sum of weighted factor ratings) //////// ////// //////// ////// 71.2

SOURCE: Pease and Coughlin 1996.

vation Title in the Food Security Act of 1985. The zoning for commercial, industrial, or residential use FPPA requires federal agencies to identify and take is excluded from the provision of the FPPA. Federal into account the adverse effects of federal programs programs under this act include activities or re- on farmland protection; to consider alternative ac- sponsibilities that involve under taking, financing, or tions, as appropriate, that could lessen such adverse assisting construction or improvement projects as effects; and to ensure that such federal programs, to well as acquiring, disposing, or managing of federal the extent practical, are compatible with state, local, lands and facilities. Some activities—such as licens- and private programs and policies to protect farming activities, the granting of permits, and national land (American Farmland Trust 1997; Daniels and defense projects—are not subject to the act. Bowers 1997). The NRCS has been given a prominent role in For the purposes of the FPPA, farmland includes the implementation of the FPPA. In particular, the land identified under the important farmland pro- NRCS is responsible for developing the criteria that gram. However, prime farmland that a state or local federal agencies must use in assessing the effects of government has designated through planning or their programs on farmland; providing information 200 CHAPTER 5

to states, local governments, individuals, organiza- chitects, but McHarg’s contributions were unique tions, and other federal agencies useful in farmland and important. Landscape architects began using protection; and providing technical assistance to hand-drawn, sieve-mapping overlays in the late states, local governments, and nonprofit organi- nineteenth century. Pennsylvania State University zations wanting to develop farmland protection professor emeritus Lynn Miller (1996) credits programs. Charles Eliot and his associates in the office of Olm- Regarding criteria for assessing farmland effects, sted, Olmsted, and Eliot with pioneering overlays the NRCS has mandated that federal agencies use through sun prints produced on their office win- LESA. The LE value is determined by the NRCS on dows. Both Miller and McHarg acknowledge the the form (AD-1006) shown in Figure 5.3. Federal early contributions of Charles Eliot, an Olmsted agencies must then determine the SA value and protégé, who worked systematically with scientists combine it with the LE value as specified in the reg- to collect and map information to be used in plan- ulations implementing the FPPA. As can be seen ning and design. Warren Manning, an apprentice of from Figure 5.3, the NRCS chose not to use the both Olmsted and Eliot, used soil and vegetation in- more complex weighting system that it had recom- formation with topography and their combined re- mended for SA in its 1983 handbook. In addition, lationship to land use to prepare four different maps the maximum SA value that can be obtained by fed- of the town of Billerica, Massachusetts, in 1912. eral agencies is 160 from the twelve SA factors rather Manning’s Billerica Plan displayed recommenda- than the 200 maximum that the NRCS recommends tions and changes in the town’s circulation routes in its LESA handbook. Thus, the maximum LESA and land use (Steinitz et al. 1976; Neckar 1989; value is 260 in Form AD-1006, compared to the 300 Manning 1913). maximum in the 1983 handbook and the 100 maxi- Eliot left the most explicit explanation about mum in the 1996 guidebook. In cases where a state why and how the overlays were employed. After or local government has adopted a LESA system and Eliot’s death, his father, Charles W. Eliot, the presi- this system has been certified by the NRCS state dent of Harvard, published the biography Charles conservationist, it is recommended that the federal Eliot, Landscape Architect (1902), which was an in- agencies use that system to make their evaluation of terpretation of his son’s work. This book provides the farmland conversion effects on their programs. perhaps the first account of the overlay technique. The Boston Metropolitan Park work undertaken by The McHarg, or University of Pennsylvania, Olmsted, Olmsted, and Eliot, with Eliot in charge, Suitability Analysis Method involved six months of “diligent researches” (1902, 496). Eliot used a variety of consultants, including a The seminal explanation of suitability analysis was Massachusetts Institute of Technology professor, as provided by Ian McHarg (1969), based on his work well as Olmsted staff members such as Manning, to with colleagues and students at the University of conduct surveys of the metropolitan region’s geol- Pennsylvania, where he was an influential teacher. ogy, topography, and vegetation. These maps pro- Many of his colleagues and former students have vided the basis for the overlay process, which Eliot contributed to his suitability analysis method, so it describes as follows: may be considered the “University of Pennsylvania method.” By making use of sun- prints of the recorded bound- McHarg developed his method on a solid ary plans, by measuring compass lines along the nu- bedrock of work in overlays by other landscape ar- merous woodpaths, and by sketching the outlines of 201 SUITABILITY ANALYSIS

FIGURE 5.3 Farmland conversion impact rating. 202 CHAPTER 5

swamps, clearings, ponds, hills, and valleys, extremely maps (relief, hydrology, rock types, and soil serviceable maps were soon produced. The draught- drainage) were drawn on transparent papers at the ing of the several sheets was done in our office. Upon same scale, and referenced to common control fea- one sheet of tracing- cloth were drawn the bound- tures. These data maps were then combined into aries, the roads and paths, and the lettering . . . on an- one land characteristics map that provided a syn- other sheet were drawn the streams, ponds and thesis, an interpretation, and a judicious blending of swamps; and on a third the hill shading was roughly the first four maps (Tyrwhitt 1950; Steinitz et al. indicated by pen and pencil. Gray sun- prints ob- 1976). This sieve-mapping, overlay method was tained from the three sheets superimposed in the widely accepted and incorporated in the large- scale printing frame, when mounted on cloth, served very planning of the British new towns and other devel- well for all purposes of study. Photo- lithographed in opment projects after World War II (Lyle and Stutz three colors, namely, black, blue, and brown, the same 1983; McSheffrey 1999). At the end of the war Ian sheets will serve as guide maps for the use of the pub- McHarg took a correspondence course offered by lic and the illustration of reports. Tyrwhitt and others. McHarg was also involved in Equipped with these maps, we have made good new town planning in the early 1950s in Scotland, so progress, as before remarked, in familiarizing our- he was quite aware of the British new town pro- selves with the “lay of the land” (1902, 496). gram. As a result, he was introduced to the concept of overlay mapping early in his career. After Eliot and Manning there were several George Angus Hills’s plan for Ontario Province studies in which the use of the overlay technique is (1961) is a pioneering North American example apparent, but a theoretical explanation about the that employed a well- documented data- overlay rationale for using the technique as an orderly technique (Belknap and Furtado 1967, 1968; Naveh planning method was missing. The city plan for and Lieberman 1994; Ndubisi 1997). Hills was on Dusseldorf, Germany, in 1912; the Doncaster, Eng- the staff of the Ontario Department of Lands and land, regional plan in 1922 (Abercrombie and Forests. His technique divides regions into consecu- Johnson 1922); the 1929 regional plan of New York tively smaller units of physiographic similarity and its environment (Regional Planning Staff based on a gradient scale of climate and land-form 1929); and the 1943 London County plan (Forshaw features. Through a process of comparing each and Abercrombie 1943) incorporate typical charac- physiographic site type or homogeneous land unit teristics of the overlay process (Steinitz et al. 1976). to a predetermined set of general land-use cate- Thomas Adams, who directed the extensive 1929 gories and rankings of potential or limitation for New York regional planning study, addressed suit- each use or activity, the resulting units were re- ability in his 1934 The Design of Residential Areas, grouped into larger geographic patterns called land- but mostly from an economic perspective. An aca- scape units and again ranked to determine their rel- demic discussion of the overlay technique did not ative potentials for dominant and multiple uses. The surface until 1950 and publication of the Town and land-use activity with the highest feasibility ranking Country Planning Textbook containing an article by within a landscape unit was recommended as a ma- Jacqueline Tyrwhitt that dealt explicitly with the jor use (Belknap and Furtado 1967; Collins et al. overlay technique (Steinitz et al. 1976; see also 2000). The Hills method has been influential in the Collins et al. 2000). development of the Canadian Land Inventory Sys- In an example given by Tyrwhitt (1950), four tem (Coombs and Thie 1979). 203 SUITABILITY ANALYSIS

The year after Hills’s Ontario plan, Philip Lewis, a maps (Belknap and Furtado 1967, 1968; McHarg landscape architect at the University of Wisconsin– 1969; Gordon 1985; McHarg and Steiner 1998). The Madison and principal consultant to the Wisconsin transparent prints of light and dark values were su- Department of Resource Development, ap plied an perimposed over each other to construct the neces- overlay analysis technique to evaluate natural re- sary suitability maps for each land use. These X-ray- sources for the entire state of Wisconsin (Lewis 1964, like composite maps illustrated intrinsic suitabilities 1969, 1996). Lewis had been recruited to Wisconsin for land- use classifications, such as conservation, by Gaylord Nelson to start environmental planning urbanization, and recreation for the specific plan- in the state. Lewis’s work was a direct response to the ning area. These maps were then combined with growth and demand for outdoor recreation across each other as overlays to produce an overall com- Wisconsin. According to Forster Ndubisi, “Unlike posite suitability map (McHarg 1969). Hills, whose work was based primarily on examining McHarg’s inventory process provides one of the biological and physical (biophysical) systems such as first examples of methodological documentation landforms and soils, Lewis was concerned more with for the overlay technique (with those by Hills and perceptual features such as vegetation and outstand- Lewis). McHarg was also the first to advocate the use ing scenery” (1997, 21). Lewis stressed the impor- of the overlay technique to gain an ecological under- tance of the patterns, both natural and cultural, standing of a place. He noted that “a region is under- within the landscape. He combined individual land- stood as a biophysical and social process compre- scape elements of water, wetlands, vegetation, and hensible through the operation of [natural] laws significant topography through overlays onto a com- and time. This can be reinterpreted as having ex- posite map depicting Wisconsin’s areas of prime en- plicit opportunities and constraints for any particu- vironmental importance (Belknap and Furtado 1967, lar human use. A survey will reveal the most fit loca- 1968; Steinitz et al. 1976). By combining resource in- tions and processes” (1997a, 321). As a result, he was ventory data and soil survey data, Lewis was able to explicit about the range and sequence of mapped create maps that identified intrinsic (natural) pat- information to be collected. McHarg also observed terns. Once additional resources were grouped by that the phenomena represented by the maps were patterns and mapped, points were assigned to major valued differently by various groups of people and and additional resources and totaled to identify rela- thus could be weighted differently, depending on tive priority areas. Demand for planned uses and lim- the circumstance. itations of each priority area for specific uses were The emergence of documentation in general lit- then combined to assign specific uses to each priority erature as well as in specific projects and studies in area (Collins et al. 2000). the late 1960s and early 1970s provides an indica- McHarg, Lewis, and Hills refined their ap- tion of the formal acceptance of the overlay tech- proaches during the 1960s and built their work on nique as a means to spatially relate environmental all these earlier efforts. McHarg especially advanced factors and provide a composite and comprehensive previous methods significantly by linking suitability view of factor and land-use relationships (see, for analysis with theory. He provided a theoretical basis example, McHarg 1968; Wallace, McHarg, Roberts, for overlaying information. McHarg’s approach fo- and Todd 1969, 1972, 1976; Juneja 1974). Whereas cused on mapping information on both natural and Hills worked in public service for the Canadian gov- human-made attributes of the study area and pho- ernment and Lewis was a professor, McHarg was in- tographing them initially as individual transparent volved in both academia and private practice. He 204 CHAPTER 5

and his colleagues at the University of Pennsylvania use suitability analysis of Asotin County, Washing- developed suitability analysis theory. Meanwhile, in ton (Beach et al. 1978). These matrices were the Wallace- McHarg Associates and Wallace, McHarg, working documents of a student project and so con- Roberts, and Todd, the technique was refined tain a few imperfections. However, they illustrate through practice. (See McHarg 1996 for a discussion the process by which this method was thought of this work.) through. Figure 5.5 illustrates the land- use needs for In Design with Nature, McHarg explained suit- agricultural, recreational, residential, commercial, ability analysis in the following manner: and industrial uses. Step 2 covers the relationship of these land- use In essence, the method consists of identifying the area needs to natural factors (Figure 5.6). Next, in Step 3, of concern as consisting of certain processes, in land, specific mapped phenomena must be related to the water, and air—which represent values. These can be land-use needs (Figure 5.7). Step 4 is to map the ranked—the most valuable land and the least, the congruences of desired phenomena and formulate most valuable water resources and the least, the most rules of combination to express a gradient of suit- and least productive agricultural land, the richest ability. Rules of combination are the rankings used to wildlife habitats and those of no value, the areas of weight the relative importance of mapped phenom- great or little scenic beauty, historic buildings and ena. Rules of combination assign suitabilities to sets their absence, and so on (1969, 34). of criteria rather than to a single criterion and are expressed “in terms of verbal logic rather than in Lewis Hopkins has explained this method as terms of numbers and arithmetic” (Hopkins 1977, follows: 394–395). The result of this step should be a series of maps of opportunities for various land uses. The output of land suitability analysis is a set of maps, Step 5 involves an identification of constraints one for each land use, showing which level of suitabil- between potential land uses and biophysical pro- ity characterizes each parcel of land. This output re- cesses (Figure 5.8). Constraints are environmentally quirement leads directly to two necessary components of any method: (1) a procedure for identifying parcels TABLE 5.5 of land that are homogeneous and (2) a procedure for Steps in Suitability Analysis rating these parcels with respect to suitability for each 1. Identify land uses and define the needs for each use. land use (1977, 386–387). 2. Relate land- use needs to natural factors. 3. Identify the relationship between specific mapped phenomena concerning the biophysical environment and A simplified illustration of how the suitability land- use needs. analysis procedure works is provided in Figure 5.4. 4. Map the congruences of desired phenomena and formu- Jon Berger and his colleagues (1977) have developed late rules of combination to express a gradient of suitability. This step should result in maps of land- use an outline of the method, which is summarized in opportunities. Table 5.5. These seven steps are dependent on a de- 5. Identify the constraints between potential land uses and tailed ecological inventory and analysis. Step 1 is to biophysical processes. identify potential land uses and define the needs for 6. Overlay maps of constraints and opportunities, and through rules of combination develop a map of intrinsic each. Berger and his colleagues have suggested the suitabilities for various land uses. use of matrices for the first and other steps. Figure 7. Develop a composite map of the highest suitabilities of 5.4 and the following matrices used for illustration the various land uses. were taken from an ecological inventory and land- SOURCE: Adapted from Berger et al. 1977. 205 SUITABILITY ANALYSIS

FIGURE 5.4 Suitability analysis procedure. 206 CHAPTER 5

FIGURE 5.5 Land-use needs for agricultural, recreational, residential, commercial, and industrial use in Asotin County, Washington. (Source: Beach et al. 1978) sensitive, or critical, areas that should be preempted One of the most attractive features of the Penn- from development because of physical (for in- sylvania method is that it can be used for both the stance, an earthquake hazard), biological (endan- conservation and development of resources. One of gered species), or cultural (a historic site) reasons. the goals of the World Conservation Strategy (In- Such areas may pose a threat to human health, ternational Union for the Conservation of Nature safety, or welfare and/or contain rare or unique nat- and Natural Resources 1980) is to encourage plan- ural attributes. In Step 6 these constraints are ning that balances conservation and development. mapped and then overlaid with those areas showing The authors of the strategy defined conservation as opportunities for various land uses. Finally, in Step the management of human use of the biosphere to 7 a composite map of the highest suitabilities of the yield the greatest sustainable benefit to present gen- various land uses is developed (Berger et al. 1977; erations while maintaining its potential to meet the University of Pennsylvania 1985). needs and aspirations of future generations. Devel- 207 SUITABILITY ANALYSIS

FIGURE 5.6 Relationship of land-use needs to natural factors in Asotin County, Washington. (Source: Beach et al. 1978)

opment was defined as the modification of the bio- an elaborate system of physical planning. One com- sphere and the application of human, financial, liv- ponent of this system is a sophisticated set of suit- ing, and nonliving resources to satisfy human needs ability analysis methods. A. P. A. Vink, a Dutch pro- and improve the quality of human life. The Penn- fessor of physical geography and soil science at the sylvania suitability analysis method is consistent University of Amsterdam, has made the distinction with both definitions. between actual land suitability, soil suitability, and potential land suitability. (See also Brinkman and Dutch Suitability Analysis Smyth 1973; Food and Agriculture Organization of the United Nations 1977; Beek 1978, for additional The present Dutch landscape has resulted largely discussions from a Dutch perspective.) Vink’s actual from human intervention in natural processes and land suitability is analogous to McHarg’s intrinsic represents an eloquent equilibrium between people suitability. According to Vink, actual land suitability and their environment. This balance has resulted in is “an indication of the possibility of using the land 208 CHAPTER 5

FIGURE 5.7 Relationship of mapped phenomena to land-use needs in Asotin County, Washington. (Source: Beach et al. 1978) 209 SUITABILITY ANALYSIS

FIGURE 5.8 Identification of constraints between land uses and biophysical processes in Asotin County, Washington. (Source: Beach et al. 1978) 210 CHAPTER 5

sult, a strong demand for future land uses. Fre- quently in such cases, a powerful distinction is made in planning practice between the actual and the potential suitability. The latter relies more strongly on costs for public “improvements,” but does not ignore natural constraints (see, for example, Van Lier 1991). One example of the application of potential land suitability is the polders built on the former Zuider Zee (Southern Sea) (Figure 5.9). The Zuider Zee was an extension of the North Sea into the heart of the A constraint against certain uses may provide an opportu- Netherlands. According to the accounts of Roman nity for other uses. Central Park, New York City. historians, it was at one time a combination of a large inland lake and lands. As early as 1667 the Dutch speculated about damming the Zuider Zee within a particular land utilization type without the and reclaiming it, but seventeenth-century technol- application of land improvements which require ma- ogy was not advanced enough to tame the tempes- jor capital investments” (1975, 238). tuous inland sea of nearly 400,000 hectares (approx- Vink defines soil suitability as “physical suitabil- imately 1 million acres). However, by the late ity of soil and climate for production of a crop or nineteenth century serious plans were developed by group or sequence of crops, or for other defined the engineer Cornelis Lely (Ministry of Transport uses or benefits, within a specified socioeconomic and Public Works no date). context but not considering economic factors spe- The Zuider Zee reclamation plan that Cornelis cific to areas of land” (Vink 1975, 249). This would Lely developed was one based essentially on the po- be analogous to the NRCS capability classification tential suitability of an area for agriculture. Soil sur- system. Finally, potential land suitability “relates the veys were conducted on soil samples taken from the suitability of land units for the use in question at sea. Using these surveys, Lely proposed that those some future date after ‘major improvements’ have areas with predominantly clay soils be made pold- been effected where necessary, suitability being as- ers after the Zuider Zee was transformed into a lake sessed in terms of expected future benefits in rela- and renamed IJsselmeer (Figure 5.10). The success tion to future recurrent and minor capital expendi- of the Zuider Zee project is well documented (see, ture” (Vink 1975, 254; Brinkman and Smyth 1973). for example, Steiner 1981; Van Lier and Steiner It is this final category, potential land suitability, 1982; Van der Wal 1997). that distinguishes the Dutch approaches. It has been Dutch planners continue to refine and apply necessary for the Dutch to reclaim wet, low- lying suitability analyses techniques, especially through land in order to prosper. computer technology (see Carsjens and Van der Although this notion of potential suitability has Knaap 1996; Carsjens and Smits 1997). In the newer particularly Dutch origins, it has broad, interna- Dutch approaches, two elements, one more theoret- tional implications. Some countries, like Switzer- ical and the other more technical, are evident in land and Japan, and certain regions, such as those suitability mapping. First, multiple criteria analyses encompassing Hong Kong and New York, have ex- are applied in order to weigh values among the vari- ceptionally high population densities and, as a re- ous different, potential land uses. Second, GIS are 211 SUITABILITY ANALYSIS

FIGURE 5.9 Location of Zuider Zee polders in the Netherlands. (Source: IJsselmeer Polders Development Authority) 212 CHAPTER 5

FIGURE 5.10 Location of clay soils in the former Zuider Zee. (Source: IJsselmeer Polders Development Authority) 213 SUITABILITY ANALYSIS

employed in the analyses, making them more flexi- methods of land-use suitability analysis. Many early ble and quick and easily applicable. These two ele- examples of georeferenced computer mapping and ments enable Dutch planners to present a wider suitability analysis, as well as modern computer range of land-use possibilities, with varying suit- mapping theory, can be traced back to the Harvard abilities, to decision makers. laboratory. Perhaps the very first application of computer overlay mapping to a large geographic region came from this lab in the fall of 1966. Carl Computer Applications Steinitz, at that time an associate professor at Har- vard’s Graduate School of Design, taught a planning Several techniques may be used to accomplish suit- studio that created DELMARVA, a landscape plan- ability analysis. Ian McHarg popularized the “over- ning study of the Delaware, Maryland, and Virginia lay technique” (1969). Transparent maps with infor- Peninsula. While working on his dissertation, mation about landscape elements are placed on top Steinitz convinced Howard Fisher, another associate of each other to reveal areas of opportunity and professor at Harvard’s Graduate School of Design, constraints. This technique is used to develop the to allow him to incorporate an early, general- opportunities maps of Step 4, the constraints map purpose line printer mapping program called in Step 5, the intrinsic suitability maps of Step 6, and SYMAP (for SYnagraphic MAPping), which was de- the composite of Step 7 in Table 5.5. Bruce Mac- veloped by Fisher initially at the University of Dougall (1975) criticized the accuracy of map over- Chicago in 1964, as a descriptive presentation of ob- lays and made suggestions for improved accuracy. jects in geographic space. Steinitz and his students For instance, if there are more than three or four applied SYMAP to analyze the effect of one map fac- overlays, the map may appear opaque; there are ac- tor upon another and to incorporate weighted in- curacy questions raised by MacDougall (1975) and dexes such as the capability of the area to support others that are especially pressing with hand-drawn grain agriculture (Steinitz 1993b). maps; and there are limitations for weighting vari- Another of the more widely documented Harvard ous values represented by map units. Geographic predecessors to contemporary computer- based land- information systems computer technology has use suitability was the Honey Hill study (Murray et al. helped to overcome these limitations. Sheila Peck 1971), named after its location in New Hampshire. In explains this technology as follows: “A GIS is a data- this study,Steinitz and colleagues used SYMAP to eval- base for geographically referenced information. The uatealargeproposedflood- controlreservoirandpark- geographic data are organized in thematic layers way for recreation and other land uses.The Honey Hill and linked to many other nonspatial data” (1998, study offered important insight into the power of com- 124). puters to combine different land-use modeling tech- Many practical difficulties exist in manually su- niques to create a composite, fiscally optimal plan perimposing a large number of maps (Steinitz (Steinitz 1993b). Steinitz’s early work provided an im- 1993b; MacDougall 1975). This limitation became portant and invaluable example of the successful mar- the focus for much planning and land- use- related riage of computers and land-use suitability, which research from the 1960s to the present (Collins other researchers and practitioners continued to build 1996; Collins et al. 2000). The Laboratory for Com- upon(Steinitzetal.1994;Collinsetal.2000;Milleretal. puter Graphics at the Harvard University Graduate 1998). Steinitz and his Harvard colleagues continue to School of Design was a prominent center for the de- refine this technology, as the Camp Pendleton Biodi- velopment of new, computer-based techniques and versity study illustrates (see Chapters 3, 4, and 6). 214 CHAPTER 5

A similarly pioneering contribution of more so- tified a need for more effective data storage and ma- phisticated spatial-analysis methods came through nipulation techniques (Collins et al. 2000). the Metropolitan Landscape Planning Model Modern GISs are defined as a computer-assisted (METLAND). Researchers at the University of Mas- technology that stores, analyzes, and displays spatial sachusetts in the early 1970s, under the direction of and nonspatial data and is capable of creating new Julius Fabos, developed METLAND (Fabos and data through automated overlays and spatial Caswell 1977; Fabos et al. 1978). As land- use plan- searches (Irish 1994; Goodchild et al. 1993; An- ning and data development techniques progressed, tenucci et al. 1991; Niemann 1989; Collins 1996). more spatial information became available from Several problems with older hand- drawn, transpar- government agencies and others for land-use student overlay techniques were overcome with the de- ies. METLAND was developed as a parametric ap- velopment of this new technology (MacDougall proach to incorporate ecological, economic, and so- 1975). A GIS can quickly and accurately provide de- cial goals in the initial indexes for land- use cision makers with information in a concise map suitability. To accommodate this large data require- format (Collins 1996). As a result, it has become a ment, Fabos and his colleagues designed MET- valuable planning tool. LAND to manage data and to handle complex com- Numerous computer program systems can now putations more efficiently. Land units were given replace the technique of overlaying information by weights, evaluated, and then combined to produce a hand.Some of these programs are intended to model small number of land-use plans. Each plan was then only positions of environmental processes or phe- evaluated by referencing a final index of scores in nomena, while others are designed as comprehensive dollars or noneconomic units. In order to relate and information storage, retrieval, and evaluation sys- reference the data geographically, the researchers tems. These systems are intended to improve effi- used an early computer mapping program called ciency and economy in information handling, espe- COMLUP, which stored land factor maps on special cially for large or complex planning projects (Meyers data storage tapes. When it was necessary to overlay 1971; Fabos and Caswell 1977; Beeman 1978; Kill- these maps, the data were loaded from these tapes pack 1981; Antenucci et al. 1991; Goodchild et al. into the computer, and a grid cell overlay was gener- 1993). ated. The results were mapped and presented to de- Biophysical information for planning use can cision makers for final evaluation (Fabos and be represented in three ways: grid cells, polygons, Caswell 1977; Fabos et al. 1978). While the process and image processing. Figure 5.11 illustrates how was slow and extremely lengthy compared to more mapped areas are represented with grid cells. These modern advancements, the METLAND study iden- areas may be soil types or capabilities, slope angles,

FIGURE 5.11 Mapped areas represented by grid cells. (Source: Laird et al. 1979) 215 SUITABILITY ANALYSIS

vegetation associations, and so on. The disadvan- standards, specify procedures for assisting land- tage of grid-cell representation is that details can owners and land users to control erosion, and estab- be missed unless the cell size is made very small. lish priorities for controlling erosion. To achieve Smaller grids necessitate more data collection. these goals in Dane County, an interdisciplinary Also, the world does not fit a square or rectangular team of planners and researchers from the University grid pattern. This forces data to be compromised of Wisconsin–Madison, Dane County, the state and in order to fit into the grid format. Mapped areas federal government, the Madison Area Surveyors in a polygon system are represented by enclosed Council, and the Wisconsin Power and Light formed spaces (Figure 5.12). A polygon system can show the Dane County Land Records Project (Ventura curved lines, thus making it potentially more accu- 1988). rate than grid cells (Laird et al. 1979). The third ap- The Dane County Land Records Project devel- proach to computer mapping is digital image pro- oped a geographic information system that enabled cessing. This is a sophisticated grid approach the planners to collect, store, analyze, and dissemi- where the cell size is very small, similar to the cells nate information about the Dane County landscape. on a television screen. Maps are created directly An inventory of biophysical and land-use informa- from photoimagery such as from satellite or air- tion was undertaken. From that inventory, highly planes. Simply put, “a digital computer processes erodible lands were identified (Ventura 1988). These information in discrete numerical units: digits” areas are unsuited for agriculture or need specific (Cannon and Hunt 1981, 214). Because of the level management practices to maintain productivity. of detail that can be achieved, digital image pro- The Dane County Land Records Project is but one cessing overcomes many of the shortcomings in- example of the use of computer technology to deter- herent in the simpler grid and polygon approaches. mine land-use suitability. Advancements in hardware and software technolo- Figure 5.13 is an example of suitability analyses gies continue to make computers increasingly ef- that were conducted for the Desert View Tri- Villages fective tools for landscape inventory, analysis, syn- Area in Arizona (Burke and Ewan 1998a). These thesis, monitoring, and administration. analyses were conducted to identify the best places For example, Wisconsin law requires counties to to locate desert preserves in the area. Individual prepare erosion control plans. These plans are to analyses were conducted for archaeological sites, specify the maximum acceptable rates of erosion, bike paths, floodplains, ownership, soils, slopes, identify parcels where erosion standards are not be- parks, and washes. Then these analyses were coming met, identify land- use changes and management bined for a final suitability for desert preserves practices that would bring each area into compliance (Burke and Ewan 1998b; Brady et al. 1998).

FIGURE 5.12 Mapped areas represented by polygon system. (Source: Laird et al. 1979) 216 CHAPTER 5

FIGURE 5.13 Suitability analysis, Desert View Tri-Villages Area. (Source: Burke and Ewan 1998a) 217 SUITABILITY ANALYSIS

Young defines carrying capacity “as those numbers that can be sustained at all times, even when resources in an area are in the least supply” (1989, 112). In wildlife ecology, the definition used is a bit more specific: the maximum number of animals an area can support during a given period of the year. In recreation planning and management, carrying capacity has been defined as the amount of use a recreation area can sustain without deterioration of the experience provided or of the resource base. Ac- cording to Schneider et al.,

Environments are finite; users and uses can multiply and Carrying- capacity analysis, as a planning tool, studies compete, or space can be provided for various uses in the the effects of growth—amount, type, location, qual- most suitable locations. Park in Cremona, Italy. ity—on the natural and man-made environments in order to identify critical thresholds beyond which public health, safety, or welfare will be threatened by serious environmental problems unless changes are made in public investment, government regulation, or human behavior (1978, 1). The Carrying- Capacity Concept Several planners, especially those in outdoor In essence, suitability analysis helps determine the recreation management and planning, have dis- carrying capacity of the planning area. William Cat- cussed the utilization of the carrying-capacity con- ton, a sociologist, observed that “environments are cept (Lime and Stankey 1971; Stankey and Lime finite; users and uses multiply and compete. Carry- 1973; Van Lier 1973, 1980; Wagner 1974; Lime 1979; ing capacity means the extent to which an environ- Meester and Van der Voet 1980). Planner William ment can tolerate a given kind of use by a given type Rees of the University of British Columbia explains of user” (Catton 1983, 270). the carrying capacity as follows: In ecology, carrying capacity has been defined as the number of individuals that the resources of a Ecologists define “carrying capacity” as the popula- habitat can support without significant deterioration of a given species that can be supported indefi- tion. The carrying-capacity concept suggests a limit nitely in a given habitat without permanently damag- of growth for populations and ecosystems, that is, ing the ecosystem upon which it depends. For human “the size that can be sustained at a given time and beings, carrying capacity can be interpreted as the place” (Odum 1998, 1). According to D. B. Botkin maximum rate of resource consumption and waste and Edward Keller, carrying capacity can be defined discharge that can be sustained indefinitely in a given as “the maximum number of individuals of a species region without impairing the functional integrity and that can be sustained by an environment without productivity of relevant ecosystems. The correspon- decreasing the capacity of the environment to sus- ding human population is a function of per capita tain that same amount in the future” (1998, 9). rates of resource consumption and waste production 218 CHAPTER 5

(i.e., sustainable production divided by per capita de- or natural value of the region or to maintain public mand) (1992, 125; see also Rees 1990a, 1990b). health and safety within the region” (1982, vii). Thomas Dickert and Andrea Tuttle of the Uni- Rees furthermore stated that carrying capacity versity of California, Berkeley, advocated the use of for the human population “is finite and declining thresholds, such as those developed by the Tahoe and should become a fundamental component of Regional Planning Agency, as a means to control cu- demographic and planning analysis” (1995, 346). mulative environmental impacts. Such thresholds The outdoor recreation specialists’ interest in would be based on “an assumed acceptable amount this concept may be traced to two sources. First, of land- use change over time” (Dickert and Tuttle they have been historically involved with forest and 1985, 38). They observe a problem with conven- range ecologists, and are thus familiar with ecolog- tional planning in that it is often incremental, and, ical terms. Second, they work within discrete thus, does not address cumulative impacts. In the boundaries where there are clear demands on and words of Dickert and Tuttle, “Cumulative impacts conflicts over resources. The public patronage of are those that result from the interactions of many state and federal parks in the United States has in- incremental activities, each of which may have an creased dramatically since the Second World War, insignificant effect when viewed alone, but which partly because of the interstate highway system and become cumulatively significant when seen in the the increase in automobile ownership and also be- aggregate” (1985, 39). They suggest an alternative cause of population shifts from eastern to western approach whereby the “rate or total amount of de- states and from metropolitan to nonmetropolitan velopment is managed to stay below prestated regions. threshold levels, and halted when such thresholds D. W. Lime and G. H. Stankey (1971) distin- are reached” (1985, 39). Such thresholds can be de- guished three aspects of outdoor recreational carry- termined by an analysis of the suitability of re- ing capacity: management objectives, visitor atti- sources for various uses. tudes, and impact on biophysical resources. The three An extension of carrying capacity is the ecologi- aspects are viewed as interdependent, no single fac- cal footprint concept developed by William Rees tor being necessarily more important than the oth- (1992, 1995, 1997; Wackernagel and Rees 1996). ers. Suitability analysis offers a framework to study Rees suggests that “our shelter, energy, food, and in detail these three aspects. other resource demands can be translated into esti- While the concept has enjoyed relatively wide mates of the land and water areas needed to meet application in outdoor recreation, carrying capacity them” (as quoted in Beatley and Manning 1997, 8). had more limited use by community and regional According to Rees, an ecological footprint can be planning agencies until planners became more in- “defined as the aggregate area of land required con- terested in sustainability. With the rise of interest in tinuously to produce the resource inputs and to as- sustainability, more planners have explored the car- similate the waste outputs of that population or rying capacity concept. One early exception is the economy wherever the land may be located” (1995, Tahoe Regional Planning Agency, which adopted an 351). Wackernagel and Rees (1996) proposed quan- environmental threshold approach based on carry- titative indicators to measure the impacts of an eco- ing capacities. The Tahoe Regional Planning Agency nomic system on the ecological load supporting ca- defined these threshold carrying capacities as “an pacity of a given planning area. They consider the environmental standard necessary to maintain a sig- flows of energy and materials entering and leaving nificant scenic, recreational, educational, scientific, the planning area in order to assess the total re- 219 SUITABILITY ANALYSIS

sources impacted by use (see Wackernagel and Rees the direction of Ian McHarg and Narendra Juneja. 1996; Rees 1995; Treu and Magoni 1998). The eco- The performance requirements were based on the logical footprint approach suggests the need for social values and natural environment of the town- ecological inventories for places beyond the imme- ship. (For a comprehensive description of the plan- diate planning area and for detailed studies of envi- ning process in Medford Township, see Palmer ronmental consequences inside and outside the 1981.) planning area. Medford Township is located on the edge of the Several Italian scholars have also explored the New Jersey Pinelands, within commuting distance application of the carrying capacity concept to of the Philadelphia metropolitan area (Figure 5.14). planning. Ornella Piscopo (1999) brought together This is an area that, on the one hand, grew from the much of this work in her dissertation at the Univer- great suburban explosion of the 1950s and 1960s, sity of Rome (under the mentorship of Professor but, on the other, is part of one of the few remaining Enzo Scandurra). She advocates a broader, more natural ecosystems in the eastern United States. metaphorical interpretation and use of the concept, After a detailed ecological inventory of the arguing that carrying capacity as “limit” or “thresh- township, the planning team related the biophysi- old” is limiting. Instead Piscopo (1999) suggests cal phenomena to their values to society and in- that “carrying capacity can be considered as a tool dividuals. Juneja explained this in the following for understanding the environmental conditions of manner: a certain area.” She pursued this approach through a case study of the Sarno River basin in southern The values assigned vary depending upon the indi- Italy. vidual’s interest. For example, a farmer is concerned about sustained productivity from his land; a home- owner seeks a healthy delightful setting; and a devel- Two Applications of Suitability Analysis oper searches for sites where he can build to get the most return for his money. The operative value sys- The suitability analysis for Medford Township, New tems employed by individuals are as likely to be dis- Jersey, involved several of the originators of the crete and mutually exclusive as to be competitive and method, including Ian McHarg and Narendra conflicting. To deal with the latter exigency and to en- Juneja. Their ideas were extended in the late 1970s sure sustained health, welfare, and prosperity for all, it into the Pacific Northwest, in Whitman County, is important to identify those values which are com- Washington. mon to all present and future residents of the township. This can best be accomplished by interpreting The Development of Performance the available understanding of the extant phenomena Requirements in Medford Township, and processes in terms which are clearly definable and New Jersey about which agreement can be reached by all those affected (1974, 11). The officials of Medford Township, New Jersey, sought to develop an alternative system to tradi- Juneja and colleagues accomplished this by a tional zoning. A study exploring the use of perfor- system of matrices linked to mapped phenomena. mance requirements was undertaken for Medford Figure 5.15 is an example of one such matrix for by the Center for Ecological Research in Planning vegetation. Along the horizontal axis, the values and Design at the University of Pennsylvania under of society and individuals, as determined by the 220 CHAPTER 5

residents of the township, are listed. The land- cover The matrixed value-to- society relationships classifications are listed as mapped on the vertical were used to develop constraints to various land axis. Each of the categories—cropland, pasture, or- uses. The value- to- individuals relationships were chard, and so on—is explained in a technical report. used to establish opportunities for land uses. Again, The occurrence of a dot in the matrix indicates a re- matrices and maps were used to illustrate this pro- lationship; some explanations of these relationships cess. Figure 5.16 shows such a matrix listing suit- accompany the matrix. For instance, a dot with the ability criteria for recreation and urbanization. In number 4 indicates an ecological association of the translation of this information to maps, rules of unique national value. Similar matrices were devel- combination were used. Table 5.6 lists those for oped for geology, aquifers, microclimate, physiogra- recreation, while Table 5.7 is an explanation of the phy, hydrology, limnology, soil types, water runoff, rules of combination for one type of urbanization the depth to water table, nutrient retention, poten- (clustered suburban). Similar rules were developed tial soil loss, recreational values of vegetation, for other forms of urbanization. wildlife habitats, historic sites, and scenic units Suitabilities were established for forest produc- (Juneja 1974). tion and agricultural production. Intrinsic suitabilities or composite suitabilities were not developed at this stage for Medford Township. Juneja and colleagues instead developed a framework for establishing performance requirements based on constraints and opportunities for specific land uses. These were proposed to then become a part of the township plan and zoning ordinance (Juneja 1974).

Locating Areas for Rural Housing in Whitman County, Washington

In July 1978, the Whitman County, Washington, Board of Commissioners adopted a revised comprehensive plan that assigned high priorities to agricultural and residential land- use issues (Whitman County Regional Planning Council 1978). The commissioners’ goal was to preserve productive agricultural land and the family farm as the prime economic and social resource of the county. They believed that goal could be met by preventing land from being taken out of production by indiscrimi- nate or excessive land-use changes. In the case of residential land use, the commissioners’ goal was to provide limited, low- density housing on unincorporated land with the lowest potential for agricultural use. This measure would FIGURE 5.14 Location of Medford Township, New Jersey. attempt to satisfy those desiring a rural living envi- 221 SUITABILITY ANALYSIS

FIGURE 5.15 Matrix of vegetation values to society and individuals in Medford Township, New Jersey. (Source: Juneja 1974) 222 CHAPTER 5

FIGURE 5.16 Matrix of suitability criteria for recreation and urbanization in Medford Township, New Jersey. (Source: Juneja 1974) ronment while protecting farmland from residential Geology and of Ground-Water Occurrence in encroachment. Whitman County, or any updated version of The commissioners realized that preserving pro- this document (Walters and Glancy 1969). ductive agricultural land while providing limited, • Land that is not normally cultivated, used for low-density living opportunities is not a simple pro- production of forage, or used for commercial cess, so their revised comprehensive plan includes a grazing of livestock. number of guidelines identifying those areas suit- • Distinct areas of land 15 acres [6.08 hectares] able for rural housing. These guidelines state that or less that are of insufficient size for farming. areas to be considered for rural housing must be ad- “Distinct” means that the area is substantially jacent to a state or county road and also meet at least bounded by natural or man- made features that two of the following criteria: buffer this land from agricultural lands, such as wooded areas, steep canyon walls, railroads, • Land whose near- surface geology consists of surface water, or public roads (Whitman basalt or alluvium or, on slopes of greater than County Regional Planning Council 1978). 20 percent, crystalline rock, all as defined by Water Supply Bulletin No. 26 of the Washing- Parcel size needs to be sufficient to meet ton Department of Ecology, Reconnaissance of health regulations for on-site sewage disposal while 223 SUITABILITY ANALYSIS

TABLE 5.6 Rules of Combination for Recreation in Medford Township, New Jersey Suitability criteria: Recreation cost savings for intensive recreation A. Concurrence of 4 acceptable factors = prime suitability (1) Concurrence of 3 acceptable factors = secondary suitability (2) Concurrence of 2 acceptable factors = tertiary suitability (3) Presence of only 1 acceptable factor = unsuitable Factor Acceptable Limit Maintenance: site drainage Somewhat poorly drained soils Maintenance: site drainage and lawns, playgrounds, etc. Minimum 1–3 in. (2.54–7.62 cm) depth to the seasonal high-water table Maintenance: lawns, playgrounds, etc. Concurrence of at least two of the following: a. Moderate available soil mixture b. Fair nutrient retention c. Moderate shrink-swell potential Maintenance: lawns, playgrounds, etc. Maximum 100 tons/acre/year potential soil loss (100 tons/0.405 ha/year) B. Suitability categories derived from step A are modified by the following site factors: Suitability Factor Location Modified Lack of gradient Inner lowland: plain 1 becomes 2 (site drainage cost) 2 becomes 3 Outer lowland: plain 3 becomes 4 Excessive runoff * 1 becomes 2 (site drainage cost) 2 becomes 3 3 becomes 4 4 becomes 5 Desirable locations for general, natural, and cultural- historic- educational recreation Type Location Water related Stream, artificial lakes, view of water Scenic interest Enclosure, regional and local prominence, terrain interest, agriculture Vegetation and wildlife interest Cedar swamp, bog, shrub woodland, upland successional meadow, floodplain, mixed deciduous, coniferous- deciduous mixed, pine, pine- oak, oak pine, upland successional oak, lowland successional, deciduous lowland forests, urban forested Scenic, educational, and scientific interest Ironstone, old mature specimen trees Historic, cultural, and educational interest Historic sites, land routes, water routes, and lakes

*Assumed acceptable limit is that no more than 5% of site area is required to infiltrate within 3 hours the excess runoff generated over that site during the 10-year recurrent 24-hour storm, most intense hour. SOURCE: Adapted from Juneja 1974. 224 CHAPTER 5

TABLE 5.7 Rules of Combination for Cluster Suburban Development in Medford Township, New Jersey Suitability criteria: Cost savings for clustered suburban A. Concurrence of 5 acceptable factors = prime suitability (1) Concurrence of 4 acceptable factors = secondary suitability (2) Concurrence of 3 acceptable factors = tertiary suitability (3) Concurrence of fewer than 3 acceptable factors = unsuitable Factor Acceptable Limit Foundations: Light structure Fair subsoil shear strength Foundations: Paved structures Concurrence of at least two of the following: a. Fair subsoil shear strength b. Moderate shrink-swell potential c. Moderate frost-heave susceptibility Maintenance: Paved surfaces Concurrence of acceptable foundation conditions for paved surfaces and maximum 100 tons/acre/ potential soil loss (100 tons/0.405 ha/year) Maintenance: Site drainage Somewhat poorly drained soils Maintenance: Site drainage Minimum 1–3 in. (2.54–7.62 cm) depth to seasonal high-water table B. Suitability categories derived from step A are modified by the following site factors: Suitability Factor Location Modified Sloping terrain Inner lowland terrace: slope, scarp, stream 1 becomes 2 (paved surfaces) dissection; inner lowland: stream dissection; 2 becomes 3 inner upland: hill, slope, scarp, stream 3 becomes 4 dissection; inner and outer lowland plains are also included because the saving in construction cost is negated by increased drainage cost resulting from lack of gradient Excessive runoff * 1 becomes 2 (site drainage cost) 2 becomes 3 3 becomes 4 4 becomes 5 Desirable location Presence of 1 desirable factor = tertiary suitability (A) Factor Desirable Element Scenic interest Regional prominence, terrain interest, view of water, field

providing adequate acreage for productive use of Because the farmers’ scablands definition is rural residential land. Productive uses include small more readily understood by decision makers, this is numbers of livestock and large gardens. Further the definition that was used. However, the work of guidelines for rural housing include a minimum of scientists was not ignored. It formed the basis for 200 feet (61 meters) of frontage from perennial sur- the inventory process and was crucial to the selec- face water passing through or along the property tion of feasible areas. lines of the acreage and less than 50 percent of the The planning team used the principles of suit- acreage in a designated flood hazard area, as defined ability analysis, as defined by McHarg (1969), to de- by the federal flood insurance program. termine those areas feasible for rural housing. In- During public hearings on the plan, several local stead of overlaying inventory information to find residents, including realtors and builders, ques- intrinsically suitable areas, the team overlaid infor- tioned whether there was any land in the county mation to identify areas meeting the established that could meet these guidelines and, if so, how policy guidelines for rocky and agriculturally un- much? To mitigate the suspicion that these lands productive lands, or scablands. The team then sub- were inordinately scarce, a planning team was tracted constraint areas, leaving the areas feasible for formed to investigate the potential for rural housing housing (Steiner and Theilacker 1979). using these guidelines in conjunction with actual The study began with an extensive inventory and land use throughout the county. mapping of the demonstration area. The team col- The planning team (Steiner and Theilacker 1979) lected information at two scales: 1:2000 for the over- chose a 150- square- mile (388.35 kilometer2) dem - all demonstration area and 1:100 for two more onstration area adjacent to the city of Pullman for specific sites. The information collected included the feasibility study. The demand for rural housing is bedrock geology, elevation, basalt outcrops and greater in this area than in other parts of the county. steep slopes, soil series, surface water, wildlife habi- This area is close to the cities of Pullman, location of tat, transportation, property ownership, scablands, Washington State University, and Moscow, Idaho, lo- and generalized areas feasible for rural housing. The cation of the University of Idaho. These two cities team related all this material directly to the criteria contain most of the people in the region. Many of established in the comprehensive plan revision for the faculty from the two universities seek a rural- rural housing. living situation. The team identified scabland areas by inventory- The planning team inventoried uncultivated ing the physical features that prevent dryland farm- “scab lands” adjacent to improved county and state ing. Areas of basalt outcroppings and steep slopes roads, estimating and demarcating the total area suit- were considered scablands, along with several soil able for rural housing development. Scablands, as types identified by the NRCS. These generally thin commonly defined by local farmers, are those areas or gravelly soils, which are poor for agricultural pur- not suitable for commercial cultivation. poses, often occur on steep slopes. Such soil types Scientific definitions of these lands are some- are also found in floodplains, adjacent to or de- what similar. The NRCS, for example, identifies posited within basalt outcroppings. scabgrounds as those consisting of Gwin-Linvill and The generalized areas feasible for rural housing Gwin-Tucannon soils. These areas differ from the were next located on maps by a process of elimina- channel scabland identified by geologists that re- tion (Figure 5.17). Once the scablands were identi- sulted from the Spokane, or Missoula, flood of the fied, conditions considered unsuitable for rural Pleistocene Era. housing were addressed and such lands eliminated. 226 CHAPTER 5

potential for rural housing development (196.76 kilometers2, or 702.27 hectares). These findings enabled the county commissioners to respond affir- matively to the many earlier questions about whether there was land that met the guidelines in the county comprehensive plan revision. The findings also established a procedure for identifying such land. This procedure was supplemented with a suggested environmental checklist for rural housing that can be used when developers make specific requests. The checklist helped to ensure the environmental quality sought by the commissioners by incorporating specific siting criteria into zoning and building code requirements (see Chapter 10). Since 1979, these criteria have successfully been used in Whitman County to protect good farmland, promote the siting of rural housing in suitable areas, and to concentrate urban development within the city of Pullman. (See, for example, American Farm- land Trust 1997.) FIGURE 5.17 Generalized feasible areas for rural housing The suitability analyses conducted in Whitman in Whitman County, Washington. County and Medford Township considered a wide range of information about nature and people. This breadth distinguishes these examples from detailed studies undertaken in more conventional planning These conditions included floodplain areas, valu- processes. Human values were considered in both ex- able wildlife habitats, exposed basalt rocks, areas amples. In Whitman County, the study was respond- with slopes greater than 40 percent, lack of frontage ing to values expressed in the comprehensive plan on improved state and county roads, and soil char- goals. Farmers’ values were considered in the identifi- acteristics unsuited for structures or for on- site wa- cation of scablands. The feelings of the community as ter supply and sewage disposal. expressed through public hearings was a major rea- The planning team estimated about 12,443 acres son the study was conducted. In Medford Township, (5,039.42 hectares) of scablands in the 150- square- suitability criteria were developed for each land use mile (388.35 kilometer2) demonstration area. In the based on values to society and to individuals. Values two more specific study sites, which together totaled were important in determining rules of combination 76 square miles, 1,734 acres were identified with a as well.

6 PLANNING OPTIONS AND CHOICES

To a large extent, every step in the planning process, like life itself, requires that choices be made. Planning may be viewed as a “process for determining appropriate future action through a sequence of choices” (Davidoff and Reiner 1962, 103). Throughout this sequence, questions arise. What goals should a community adopt? What information about biophysical and sociocultural processes of a planning area should be collected? What are the boundaries of the planning area and at what scale or in what format should information be collected and presented? In ecological planning, once detailed studies such as suitability analyses have been performed, the community will have a number of choices. The planning area may be faced with a growing population. Sev- eral specific parcels of land may be intrinsically suited for several uses—possibly agriculture, housing, and recreation. Which use should the community encourage? The purpose of this step in the process is to attempt to answer such questions by presenting a series of options to the people of the area. Conceptual visions should be presented that link planning decisions to actions and then actions to impacts in the landscape. Such visions can be presented in a series of models or scenarios that

229 230 CHAPTER 6

depict the future possibilities for the planning area. in an exploration of possible widths for the protec- Rachel Kaplan and her colleagues explain, “The pur- tion of the Cave Creek Wash. As was noted in pose of providing alternatives is not to force a choice or Chapter 3, this wash is a major landscape feature in pick a ‘winner.’ Rather, alternatives should provide the area. In the second example, Jim Burke and Jim some notions of what is feasible; they can help to com- Coffman of the Phoenix Parks, Recreation, and Li- municate the range of issues that need to be considered. brary Department developed three concepts for The final solution is likely to incorporate pieces of sev- the creation of a Sonoran preserve in the area. eral alternatives” (Kaplan et al. 1998, 132). They presented these concepts to village planning Many techniques can assist a community in making committees and many others. The concepts choices among planning options. The techniques are formed the basis of the Sonoran Preserve Master similar to those used to identify issues and to establish Plan, created by a team led by Burke and Ewan. planning goals, discussed in Chapter 2. A few of the The Arizona State University (ASU) School of more popular techniques include the charrette, task Planning and Landscape Architecture faculty began forces, citizens’ advisory committees, technical advi- cooperating with the City of Phoenix in 1994 in the sory committees, public hearings, citizen referendum Desert View Tri-Villages Area. An interdisciplinary and synchronized surveys, and goals-achievement ma- group of environmental scientists, landscape archi- trices. Two good examples of selecting preferences in- tects, environmental planners, and architects meet clude the land- use alternatives for the Portland, Ore- monthly with city planners. This informal group, gon, comprehensive plan; and the alternative futures which calls itself the North Sonoran Collaborative, for the Camp Pendleton, California, region. The Ore- expanded to include state environmental manage- gon case shows how options were derived from existing ment and local consultants. These meetings led to goals. The Camp Pendleton work displays a tie between student studio projects and faculty research and alternative futures and biodiversity. other activities (including the charrette discussed later in this chapter). These meetings were held in a context of both interest in more appropriate development in the Tri-Villages as well as desert protec- Optional Plans tion. Very early in the cooperation, the notion that large areas of desert should be protected was raised. Suitability analyses may present a number of At the same time, the Design Workshop (1995) and choices to a community. For instance, a community others produced a regional open space plan for the may have established goals both to provide for Maricopa Association of Governments that indi- housing and to protect prime farmland. A parcel of cated that environmentally sensitive areas such as the land may be highly suited for both uses. To assist Cave Creek Wash should be included as open spaces. elected and appointed officials in decision making, Soon the mayor of Phoenix was advocating desert it can be helpful to develop a number of optional preservation. He was joined by the governor and leg- landscape plans that would enable officials to see the islature, which passed the Arizona Preserve Initia- spatial impacts of their decisions. tive, permitting certain State Trust Lands to be used Two examples from the Desert View Tri- Villages as open space. But funding was limited, so the ques- Area in Arizona are used for illustration. In the tion of what lands to preserve became important to first example, Professors Rebecca Fish Ewan and address. Joseph Ewan led a team of landscape architects, A team of researchers from the ASU School of planners, environmental scientists, and architects Planning and Landscape Architecture and the ASU- 231 PLANNING OPTIONS AND CHOICES

West Life Sciences Department, directed by Profes- Ewan and Fish Ewan synthesized the extensive field sors Joe Ewan and Rebecca Fish Ewan, analyzed a data on maps and aerial photography and then orga- series of options for the preservation boundaries of nized an intense working meeting for the research the Cave Creek Wash. The study was undertaken team in a charrette- like format. (Charrettes are dis- for the City of Phoenix and involved a multidiscipli- cussed in greater detail later in this chapter.) As sum- nary team of City staff, university faculty and stu- marized in Ewan and Fish Ewan’s report, dents, and the state urban wildlife specialist. The disciplines involved included landscape architecture, the group broke into subteams to consider three sce- environmental planning, ecology, recreation, and narios for preservation boundaries: one that exam- architecture. A detailed site analysis revealed four ined maximizing the preserved area, another that main vegetation types: (1) the main creek bed; (2) looked at moderate preservation, and a third that streambanks, smaller side channels, and sloped ter- considered a minimal area for preservation. Each rain; (3) cactus-dominated areas; and (4) upland subteam was given a mission statement and then areas (Ewan et al. 1996). The team used field data to asked to delineate the preservation boundary on a delineate three options or scenarios for possible study map that reflected their preservation scenario, preservation. Table 6.1 summarizes these three sce- and to document specific recommendations. This in- narios, which are illustrated in Figures 6.1, 6.2, and formation was synthesized into three boundary rec- 6.3. ommendations (Ewan et al. 1996, 4).

TABLE 6.1 Preservation Boundary Scenarios for the Cave Creek Wash Vegetation Ty pes Preservation Boundary Scenarios 1 2 3 4 Damaged Total Maximum Preservation Number of Acres 179 474 213 3,226 80 4,172 Percent of Total 4.3% 11.4% 5.1% 77.3% 1.9% 100% (Includes the maximum amount of land within the Cave Creek Wash ecosystem in order to maintain the wash’s natural integrity in its entirety.) Moderate Preservation Number of Acres 179 355 173 1,710 137 2,564 Percent of Total 7.0% 13.9% 6.7% 67.1% 5.3% 100% (Includes large parcels of diverse landscape mosaics and the least costly and/or least disturbed land.) Minimum Preservation Number of Acres 179 244 89 991 38 1,541 Percent of Total 11.6% 15.8% 5.8% 64.3% 2.5% 100% (Includes the richest and most pristine areas within the study site with minimum land acquisition.)

SOURCE: Ewan et al. 1996. 232 CHAPTER 6

FIGURE 6.1 Cave Creek Wash, maximum preservation FIGURE 6.3 Cave Creek Wash, minimum preservation scenario. (Source: Ewan et al. 1996 for the City of Phoenix scenario. (Source: Ewan et al. 1996 for the City of Phoenix Parks, Recreation, and Library Department) Parks, Recreation, and Library Department)

These recommendations were presented in a report to the Parks, Recreation, and Library Depart- ment and the Parks and Recreation Board, which promptly recommended the maximum preservation option to city council. The Phoenix City Coun- cil concurred and the maximum preservation option is being pursued. The second example of alternative plan development built on the Cave Creek Wash study of Fish Ewan and Ewan. The Phoenix Parks, Recreation, and Library Department “developed three concepts for the Sonoran Preserve in 1996. The concepts illustrated options for approximately 12,000 acres [4856 hectares] in the Tri-Villages Area. These three concepts were reviewed by the public and by representatives of city, state, and federal agencies” (Burke and Ewan 1998a). The first concept concentrated the preserve (Figure 6.4). According to the park planners, “The Concen- FIGURE 6.2 Cave Creek Wash, moderate preservation scenario. (Source: Ewan et al. 1996 for the City of Phoenix Parks, trated Concept contains the preserve in one large con- Recreation, and Library Department) tiguous parcel that maximizes habitat and wildlife 233 PLANNING OPTIONS AND CHOICES

FIGURE 6.4 Concentrated preserve concept. (Source: Burke and Ewan 1998a)

benefits (low perimeter/area ratio)”(Burke and Ewan the park planners, “The Dispersed Concept integrates 1998a, 14). The preserve would function as a regional the preserve into developed areas allowing a great park. “This concept lessens the emphasis on recre- number of users access from their homes and work. ational access and creates the greatest opportunity for This could be called a ‘backyard approach,’ creating a isolated natural areas. The average person may have to greater potential for negative impact on wildlife and travel longer distances to get to the preserve” (Burke habitat (highest perimeter/area ratio)” (Burke and and Ewan 1998a,14). Ewan 1998a, 14). The second option dispersed the preserve through- The third option seeks out a middle ground be- out the Tri- Villages Area (Figure 6.5). According to tween the first two (Figure 6.6). According to the 234 CHAPTER 6

FIGURE 6.5 Dispersed preserve concept. (Source: Burke and Ewan 1998a)

park planners, this Semi-Concentrated Concept In two open houses, the public was asked to rank “has significant areas set aside for conservation these three concepts. Most participants preferred while allowing for reasonable recreation access the Concentrated Concept, noting that “preserving from adjacent developments” (Burke and Ewan the health of the environment should be of the ut- 1998a, 14). The option would include representa- most importance” (Burke and Ewan 1998a, 15). tive areas of all the vegetation/habitat types in the These three concepts, as well as the Cave Creek Wash Tri- Villages Area and would have a moderate study and inventory and analysis information re- perimeter/area ratio (Burke and Ewan 1998a). viewed in previous chapters were used to develop 235 PLANNING OPTIONS AND CHOICES

FIGURE 6.6 Semiconcentrated preserve concept. (Source: Burke and Ewan 1998a)

the Sonoran Preserve Master Plan, which is dis- create visualizations of possible changes. As a result, cussed in the next chapter. the charrette process will be discussed in detail.

The Charrette Techniques for Selecting Preferences The charrette (from the French word for small cart) Several techniques exist to help planners develop technique is derived from its original usage in the options. Charrettes are especially helpful to help École des Beaux-Arts. The École des Beaux-Arts, the 236 CHAPTER 6

French academy of fine arts, was founded in Paris in these experts listen and learn as citizens 1617, incorporating several older art schools. The express their concerns. Later, one of the purpose was to give instruction in drawing, paint- strengths of the charrette process lies in con- ing, sculpture, architecture, and engraving to a fixed sensus building as citizens and experts brain- number of students selected by a highly competitive storm together to find solutions. Resource examination. The training process consisted of lec- material is typically made available to assist in tures on diverse subjects, such as anatomy and his- this process. tory, and practice in studios under the direction of 4. Commitment from the relevant power struc- eminent master artists. Charrettes were the carts on ture to put into effect the plans and recom- which students of the École des Beaux-Arts carried mendations of the charrette. Representatives their paintings. The paintings were criticized by of the power structure are to be present to those who watched the carts pass. This method of hear the concerns expressed by the citizens. criticism was institutionalized first by the French school and later in American art, design, and plan- Originally focusing on the design of physical ning education. structures, the charrette is now used for land- use A charrette may be used to present a series of planning in a number of countries. American archi- conceptual plans based on suitability analyses for tects and new urbanists Andres Duany and Eliza- various land uses. Much preparation is necessary beth Plater- Zyberk and the U.S. Office of Education before a session is held. Each of the plans may in- were early users of charrettes in the United States volve different organizations of the planning areas, (Riddick 1971; Meyer 1994). For example, Plater- with each optimizing a different use, such as agricul- Zyberk and her colleagues used a charrette to de- ture, recreation, housing, nature conservation, and velop visions for the redevelopment of south industry. The participants may also represent Florida after Hurricane Andrew in the early 1990s groups advocating various uses. The emphasis is (Alvarez et al. no date). placed on discussing the merits of each plan. Charrettes can be used during the goal-setting phase of the planning process. The City of Phoenix, The Charrette Process. The charrette process can however, has found that charrettes are most effective be defined as “a brief period of intense activity, if when clear goals have been set before the charrette not round-the- clock work to accomplish a given participants are brought together. Charrettes pro- task” (Riddick 1971, 1). W. L. Riddick (1971) identi- vide an opportunity to bring together expertise to fies four essential ingredients for a charrette: evaluate options and synthesize ideas, which is best done when the focus of the participants is clear. Ad- 1. Identification of a specific community prob- ditionally, support of the charrette participants is lem to study, understand, and hopefully enthusiastic only when political action is considered resolve. possible. If the likelihood of immediate action on 2. Participation of interested citizens, particu- the charrette recommendations is high, it is more larly those experiencing the problem (or its likely that charrette participants will be productive. effects), who are willing to be involved in the Phoenix has conducted several successful char- decision-making process. This is a funda- rettes, frequently in cooperation with the ASU fac- mental component of the charrette. ulty and staff. In 1989 the city conducted the Camel- 3. Involvement of professional experts from back East Primary Core Urban Design Charrette, within and outside the community. Initially which led to a specific plan for the Camelback Road 237 PLANNING OPTIONS AND CHOICES

Corridor (City of Phoenix and ASU 1989) and re- et al. 1995)—is explored in some detail here. ASU sulted in the plan subsequently adopted for that area master of environmental planning graduate student of Phoenix. In 1990, the City conducted the South James McCarthy and Lizi McGeorge, a visiting Central Avenue Streetscape Charrette, and in 1993 it scholar from Australia, were the main organizers of conducted a charrette on scenic corridors in the the charrette. A complete list of the participants is Desert View Tri- Villages Area (City of Phoenix provided in Appendix B of this book. 1994). In 1992 the Phoenix City Zoo conducted a charrette to design animal enclosures. Other exam- Charrette Groundwork. The cooperation that ples of charrettes in the United States include one led to the Sonoran North Land Use Character Char- for school design in New York City (En Charrette rette involved over a year of discussions between city 1993); architecture student projects in Chicago staff and university faculty in a technical working (Paris Prize 1993); urban design and energy effi- group, as well as a series of student projects (e.g., ciency in downtown South Miami (D’Ambrosi and Bagley et al. 1995) and a comprehensive inventory Thomas 1993); landscape architecture in San Fran- of environmental data sources by a student intern cisco (Thompson 1993); identifying crucial city (Coomer 1995). These discussions and projects con- problems in York, Pennsylvania (Shumway 1973); tributed significant background information. Con- and a series of urban designs for Seattle and the currently, the City of Phoenix and local residents Puget Sound region (Kelbaugh 1997). engaged in dialogue and various planning activities. The charrette process is used frequently in Aus- Many charrettes go on for several days, nearly 24 tralia for land-use planning. For instance, the City of hours per day. The Sonoran North charrette was de- Rockdale in New South Wales conducted a one-week signed to keep the spirit of intense work, but with a charrette in 1994 to formulate multiple master plans less rigid three-day schedule, as shown in Table 6.2. for a 43- hectare (106- acre) established industrial The charrette was held at Arizona State University– area of metropolitan Sydney (Meyer 1994). The West. Western Australia Department of Planning and Ur- ban Development conducted a two-day charrette in Introduction to Planning Area, Introduction to March 1993 “to provide a clear picture of what an ur- Participants. The core team members met Friday af- ban village would be in the [city of] Perth context” ternoon to tour the planning area. The tour route and how this could be applied in metropolitan fringe and stops were chosen to maximize exposure to the growth corridors (Adams et al. 1993, 1). In 1992, the various landscape types, both natural and built. An City of Cranbourne in the outer southeastern area of overview at the Central Arizona Project canal, the metropolitan Melbourne (Victoria, Australia) con- southern boundary of the planning area, gave the ducted a charrette to plan for the growth of newly team members an opportunity to see the developed designated residential areas (Taylor 1992). A Cana- area to the south and the abutting largely undevel- dian example is the Surrey Design Charrette in oped area to the north (McCarthy et al. 1995). British Columbia (Condon 1996); a charrette for the The firsthand knowledge gained during the Fri- Leidsche Rijn region near Utrecht is a Dutch exam- day afternoon tour was supplemented by a presenta- ple (Koekebakker 1996); and the EDAW/Pei work- tion from a City of Phoenix planner. He projected shop for Suzhou is a Chinese effort (Prentice 1998). photographic slides and gave the charrette partici- The example of a charrette for the Desert View pants additional information concerning the pres- Tri-Villages Area—the Sonoran North Land Use ent conditions of the planning area. An outside de- Character Charrette of September 1995 (McCarthy sign expert was also used to place the charrette in a 238 CHAPTER 6

TABLE 6.2 tation by the various disciplines, which included Sonoran North Land-Use Character planners, landscape architects, environmental scien- Charrette Schedule tists, and architects. Representatives participated FRIDAY: INTRODUCTIONS from the academic, private practice, and govern- 3:00 to 7:15 pm Tour of Planning Area mental sectors. Academics included faculty at all (5:30 to 6:30 pm) Dinner ranks, environmental planning graduate students, 7:30 to 7:45 pm Introduction and Welcome and college administrators. 7:45 to 8:30 pm Spatial Consequences of Development (7:15 to 9:00 pm) Photo Exhibition The core teams ranged in size from 8 to 10 members. The core teams interviewed community mem- SATURDAY MORNING: PUBLIC INTERVIEWS bers. These ranged from representative residents to 8:30 to 8:40 am Welcome and Charrette Objectives environmentalists to local business people to devel- 8:40 to 9:00 am Planning Area Overview 9:00 to 9:10 am Introduction and Team Instructions opers. Several of the community members chose to 9:15 to 10:30 am Core Team Interviews stay and observe the subsequent brainstorming and 10:45 to 11:30 am Core Team Interviews synthesis sessions. (These citizens subsequently de- SATURDAY AFTERNOON: CORE TEAM ANALYSIS veloped a high level of ownership in the results of 1:30 to 4:00 pm Core Team Design Brainstorming the charrette.) 4:05 to 5:05 pm Teams’ Presentation of Initial Results A leader for each team was preselected. The four SUNDAY: CORE TEAM ANALYSIS team leaders were professional consultants, inde- 10:40 to 3:30 pm Core Team Working Sessions pendent from the university and city planning staffs. 3:40 to 5:30 pm Presentation of Conclusions to Teams Although the leaders had scant experience in lead- and Public ing charrette teams, they were able to do so and to SOURCE: McCarthy et al. 1995. meet the charrette goals on schedule. This approach is consistent with the President’s Council on Sus- larger context and provide fresh ideas. Often outside tainable Development, which recommended a mul- experts are used in charrettes. Especially designers tidisciplinary design team approach to “design new from other regions or countries can bring different communities and improve existing ones to use land perspectives and encourage charrette participants to efficiently, promote mixed- use and mixed- income “think outside the box,” that is, not to be con- development, retain public open space, and provide strained by their normal approach to their work. diverse transportation options” (President’s Council One of the goals of the Sonoran North Land-Use on Sustainable Development 1996, 97). According Character Charrette was to help refine the alternate to the President’s Council, development types for the area, which were prelimi- narily defined before the event (Table 6.3). The fo- These design teams should include leading experts in cus was on the following character concepts: a broad range of fields, including architecture, transportation, land use, energy efficiency, development, • Desert preservation character and engineering. Design teams should work with • Rural desert character state and local governments and community resi- • Suburban desert character dents with related experience to design, develop, and • Growth character make accessible to communities alternatives to sprawl development, models for regional cooperation, and The Teams. Individuals were preselected for each sustainable building practices (President’s Council on of four character teams to assure balanced represen- Sustainable Development 1996, 97). 239 PLANNING OPTIONS AND CHOICES

TABLE 6.3 City of Phoenix Preliminary Land-Use Character Descriptions for the Desert View Tri-Villages Area Desert Preservation Character This conceptual pattern forever preserves large enough parcels of desert to maintain an ecosystem. Patterns of desert preservation also may occur at smaller scales, perhaps relating to the other three patterns through interconnecting fingers of natural desert space, gateways, or boundary definitions. A realm of options exists for implementing this pattern, including transfer of development densities, cluster development, land trusts, fee-simple purchase, purchase of development rights, conservation easement, and dedications.

Rural Desert Character For many people, living in the desert environment means living a rural way of life. This way of life is very much oriented to the outdoors; space and immediate access to the natural environment are important. Large open lots, single-story ranch-style homes with accessory barns or garages, little night-lighting, livestock and horses, unpaved roadways and drives, and other traits symbolize this rurality. Presently, two differing visions exist among advocates of the Rural Desert Character Development pattern: (1) Those who desire continued equestrian privileges, thus allowing for the development of horse properties and related facilities; and (2) those who want to minimize future horse property development, instead requiring maximum building envelope standards to minimize grading and encourage the retention of undisturbed desert.

Suburban Desert Character Based on the city’s Peripheral Areas C & D Plan, the following development philosophies guide this conceptual pattern of development in the North Area: Preserve wash corridors, mountain slopes, and native vegetation Provide views of mountains and surrounding desert Encourage cluster development and building envelopes Identify scenic desert parkways Approve plans and designs prior to site disturbance Protect natural desert areas before development Encourage development that is harmonious with overall environment and appearance of the area Encourage water conservation

Growth Corridor/Core Development Character This conceptual pattern foresees the layout of future development along major transportation corridors. Generally, this pattern recognizes that areas of activity within corridors depend on access to transportation. Two primary growth corridor/core areas exist within the area; the I-17 Corridor and the General Plan-designated Primary Core located in the vicinity of Tatum Boule- vard and Cave Creek Road. Although many linear forms of development often lack a core or center, growth corridor/core development is envisioned to have central activity nodes. The presence of a nucleus or focal point of activity within the growth corridor/core development facilitates the creation of a “sense of place.” Typically a linear type of development is synonymous with strip development, which is an undesirable type of urban form that is based primarily on automobile access and lacks the elements necessary for establishing community identity. Character- istics of the conceptual growth corridor/core pattern differ significantly from those associated with generic linear-type development.

SOURCE: McCarthy et al. 1995. 240 CHAPTER 6

Team Instructions. Broad guidelines for the TABLE 6.4 structure of the working sessions were provided. Suburban Desert Character Issues With their areas of concern defined, the teams were • Existing drainage regulations, which were adopted to pro- given a schedule that set the time periods for citizen tect natural washes and to meet flood insurance require- interviews, brainstorming, and synthesis of find- ments, may actually result in much damage. • Existing suburban development lacks a sense of commu- ings. Their product, to be delivered on Sunday after- nity and has inadequate bicycle and pedestrian linkages to noon, was a list of overriding principles that the remote shopping and public facilities. team thought would define their character theme. • New development threatens the visual quality and ecolog- The principles were then to be expanded into more ical integrity of the area. • Current development and design review procedures are specific guidelines, and finally into a list of recom- costly and unpredictable. mendations for further action. Additionally, the SOURCE: McCarthy et al. 1995. teams were requested to prepare graphic representa- tions of the principles and guidelines for their character theme (McCarthy et al. 1995). review the progress of the day. When each of the four teams presented their preliminary recommen- Citizen Interviews. After the Saturday morning dations to the reassembled charrette group, certain introductions and instructions, the teams split up themes began to emerge. and reassembled in four separate meeting rooms. The themes were focused and organized during They devoted several hours to interviewing citizen the Sunday sessions. The personalities of each team and developer representatives about their concerns, were becoming clear by Sunday. For example, while experiences, and ideas. The City of Phoenix also most teams worked through the lunches, eating as provided reference materials such as maps and ex- they worked, one team thought a brief break would isting planning documents to stimulate discussion. be more beneficial. As the deadline for the Sunday The citizens’ comments and ideas were documented summary meeting approached, subteams emerged. on flip charts. Area residents, developers, realtors, Some participants concentrated on graphics, while neighborhood organizations, and environmental others concentrated on the wording of principles, organizations were represented. Besides the invited guidelines, and recommendations. citizens, wider public involvement was encouraged The original plan was to reassemble in the audi- by issuing a press release to the area newspapers torium for the final team presentations on Sunday about the charrette (McCarthy et al. 1995). The in- afternoon. But as the day progressed, it became ap- terviews helped the teams to identify issues. For ex- parent that the substantial quantity of flip charts, ample, Table 6.4 summarizes the suburban develop- tracing paper overlays, and drawings that had been ment issues in the area. generated made assembling in the auditorium im- practical. It was decided that meeting in the individ- Brainstorming and Synthesis. The interviews ual workrooms was more efficient, and that doing completed the data-gathering segment of the char- so would add a personal touch to the presentations rette. Next followed the brainstorming and synthe- and a sense of product ownership for each team. sis segment, with a ground rule that any idea would Thus each team made a presentation to the assem- be considered. After listing all the ideas and recom- bled charrette in their own room. As can be seen in mendations, the teams organized and synthesized Figure 6.7, the conditions were somewhat cramped, the ideas to make preliminary recommendations. but this seemed to add to the positive atmosphere All charrette participants met Saturday evening to felt over the weekend (McCarthy et al. 1995). 241 PLANNING OPTIONS AND CHOICES

Most important, the charrette influenced city policy. How the work of Ewan and Fish Ewan impacted city policy was discussed earlier in this chapter. City planning policy changed too. On May 22, 1996, the Phoenix Planning Commission unanimously amended the city’s general plan for 35 square miles (91 kilometers2), or roughly a third of the Desert View Tri-Villages Area. The Phoenix City Council followed suit and on June 26, 1996, unanimously amended the general plan. The amendments include many ideas from the charrette (Ingley 1996; FIGURE 6.7 Charrette presentation. City of Phoenix 1997a). A few of the new provisions are the protection of the Cave Creek Wash in the area as an “ecological spine”; the concentration of growth near existing commercial and industrial Outcomes from the Charrette. The overall areas and away from the most environmentally sen- charrette has had considerable influence on the sitive places; and the creation of three distinct com- planning of the Desert View Tri- Villages Area. After munity types: desert preserve, rural desert, and sub- the actual event, representative participants met urban desert. This amendment will reduce the total several times with the village planning committee to number of homes built in the 35-square- mile (91- discuss ideas generated by the charrette. Subse- kilometer 2) area by about 4 percent compared to the quently, a report was published and distributed previous plan and concentrate where the homes will (McCarthy et al. 1995). The city planning staff used be built. Work continues on a similar amendment the findings in its effort to revise the official general for the remaining two- thirds of the Desert View Tri- plan for the area. (In Arizona, general plan is the le- Villages and on the implementation of the new plan. gal term for a city comprehensive plan.) The techni- The plan will be implemented through the creation cal working group also continued to meet, which of zoning overlays establishing development stan- generated additional faculty and student research dards. Further details about implementation will be projects. For example, the City of Phoenix funded discussed in Chapter 10. one team to study preservation options for the Cave Creek Wash, the major wash in the area (Ewan et al. Task Forces, Citizens’ Advisory Committees, 1996); studies of four more important washes were and Technical Advisory Committees undertaken in 1997 and 1998; another faculty, staff, and student team compiled a geographic informa- Task forces, citizens’ advisory committees (CACs), tion system database for the 110- square- mile (285 and technical advisory committees (TACs) were in- kilometer2) area;* and a fourth faculty member troduced in Chapter 2. A sagacious strategy is to in- studied wildlife habitat with his students. volve the same people in determining planning preferences who established the original goals. Such involvement may be accomplished several ways. Af- *The City of Phoenix continues to annex land to the north. ter the goals are established, task forces, CACs, or As of 1998, the planning area encompassed 130 square miles (337 kilometers2). The initial GIS inventories focused on the TACs may not meet until a staff completes technical 110-square- mile area but are currently expanding. studies. Alternatively, these groups may assist a staff 242 CHAPTER 6

achieve that goal. An advantage of an official vote is that the selected preference might have greater popular support, which may make implementation easier. A referendum may occur at any stage in the planning process. For instance, Oregon statewide planning laws have faced referenda four times. In 1970, prior to the legislation establishing the Land Conser- vation and Development Commission, a measure to repeal all state land-use laws failed by a margin of 55 to 45 percent. In 1976, an initiative sought to repeal the Land Conservation and Development Commis- Task forces, citizens’ advisory committees, and technical advisory committees are ways to help people discuss options sion. It was defeated 57 to 43 percent. Another initia- and make choices. tive was launched in 1978 and was defeated 61 to 39 percent (Pease 1984). Finally, in 1983, a final initiative to repeal several aspects of the bill was voted down. There had been a gradual increase of support with the collection of information or may collect for planning in Oregon at the ballot box. data themselves. If there is a period when such An alternative to an official vote is an unofficial groups are not directly involved, then it is important tally. Such a poll may be conducted through local to keep the participants informed about the plan- newspapers. For instance, different plans may be ning activities through newsletters or other written published in local newspapers with relevant back- reports. ground data. Television can also be employed to An option may be to split the CAC or TAC into conduct an unofficial vote. Different plans with task forces after the planning goals are established. background data can be presented on television Data are next collected and each task force given the with a poll taken afterward. Interactive cable sys- same information. It may then be the responsibility tems greatly increase the possibilities for presenting of each task force to complete a suitability analysis options and for receiving indications of preferences. for one land use. The larger CAC or TAC then may Synchronized surveys proposed by Don Dillman reconvene in a charrette to reach a consensus about (1977) also present possibilities to keep people in- a desired composite scheme. This approach is espe- volved through the planning process. Dillman be- cially useful with a technical advisory committee lieves synchronized surveys, handled correctly, may that has different areas of special expertise. help to overcome the weakness of standard surveys described in Chapter 2. (See Figure 2.2 for an illustration of the differences between standard and syn- Citizen Referendum and chronized surveys.) A standard model is a one-step Synchronized Surveys procedure: The survey response leads directly to the To establish a preference among several choices, it policy decision, be it the establishment of goals or may be helpful to return to two other techniques the selection of a preferred option. With the syn- used to set goals: voting and surveying. If, for in- chronized survey, a goal can be established with the stance, a goal was established by an election, then a help of a survey. Data may then be collected and op- referendum may be held on proposed options to tions explored through another survey. A third sur- 243 PLANNING OPTIONS AND CHOICES

vey then may be used to select the preferred option. This technique allows interaction between citizens and planners throughout the process.

Goals- Achievement Matrix

Often a planning team will be asked to identify the option that achieves the established goals. The goals- achievement matrix, proposed by Morris Hill (1968), is one technique that can be used to establish relationships between means and ends. Hill explained that the evaluation of various courses of action requires the determination for each option of whether the benefits outweigh the costs, measured in terms of the total array of ends. He proposed a procedure for cost- benefit accounting. Depending on the goal statements, the cost and benefits are ex- FIGURE 6.8 Summary goals-achievement matrix. (Source: pressed as Adapted from Hill 1968)

1. Tangible costs and benefits expressed in mon- neighborhoods for rehabilitation loan associations etary terms (1980). Miller evaluated different neighborhoods in 2. Tangible costs and benefits that cannot be ex- the city of Everett, Washington, in terms of their rel- pressed in monetary terms but can be ex- ative potential for successful rehabilitation should pressed quantitatively, usually in terms de- the loan program and other public improvements rived from the definition of the goal be implemented. In this case consultants worked 3. Intangible costs and benefits (Hill 1968, 22) with the local planning agency, a citizens advisory committee, and the city council. According to This procedure is summarized in Figure 6.8. Ac- Miller, “these groups appreciated having empirical cording to Hill, for each goal and for each option, evidence in an understandable form, were able to costs and benefits can then be compared, aggregated follow . . . the methodology, and were convinced the when possible, and reported separately. Planners are analysis was valid” (1980, 204). then in a position to weigh the various courses of action against each other. Hill stressed that it is nec- Scenario Writing essary to identify those sections of the public who are affected by each option. He admitted the tasks Another technique of selecting choices is scenario involved for such analysis are complex, but “its com- writing. Larry Hirschhorn has explained that sce- plexity is no excuse for abandoning the attempt” nario writing “encompasses a broad range of ap- (1968, 28). Goals-achievement matrices provide a proaches, assumptions, and techniques, but all share rational procedure for comparing options. in common an attempt to describe or write a history Donald Miller of the University of Washington of the future” (1980, 172). Scenarios can be devel- provides an example of the use of the goals- oped for the various conceptual options designed to achievement method in the evaluation of selecting achieve planning goals. 244 CHAPTER 6

Hirschhorn (1980) distinguishes between state ● A summary of the main points of the planning scenarios and process scenarios. State scenarios de- issue being addressed scribe what the planning area will be like at some • The range of solutions, including the recom- date in the future without explaining how that situ- mended option ation is achieved. Process scenarios discuss the events • The reactions of the various interest groups to that may lead to a future situation. Both can be used the proposed course of action to explain the potential consequences of various planning options. Those who have been involved in public hear- Hirschhorn (1980) furthermore examines four ings will attest that such events are not noted for types of process scenarios. The first is the idealiza- their rationality. As a result, it is essential for plan- tion process, whereby ideal scenarios are envi- ners to make clear, thorough presentations of the sioned. The second are the prophecy scenarios, in various options available to achieve community which Hirschhorn notes “the prophet has a com- goals. Summaries of inventories, suitability analyses, pelling vision of how the world will and must be surveys, and goals-achievement matrices can be pre- in the future” (174). The third type is simulation, sented. It is also good to involve citizens who have which Hirschhorn describes as “state driven, pro- participated in advisory committees and task forces, cess based, and used for predictive purposes” as well as expert testimony. (174). The final type is the developmental scenario, For example, the Yakima County, Washington, which begins “with an initial state and describes a planning commission and staff worked for over process through which a particular social system a year exploring ways to slow down the con version can arrive at one or a series of end states that are of prime farmland to urban uses and to direct not specified prior to the construction of the sce- growth near existing cities and towns. The effort nario itself” (175). had been well publicized and involved hundreds of Hirschhorn makes a compelling argument for people. Yet, at the first public hearing where the op- the benefits of developmental scenario writing and tions were presented, several individuals claimed explains how such a scenario can be constructed that they had heard nothing about the program and in an article in the Journal of the American Plan- that only a few citizens had been involved in devel- ning Association (1980). Scenario writing presents a oping the various choices. useful way to create a framework to discuss the At the second hearing the planning staff posted consequences of various planning options by a the numerous newspaper accounts of the program planning commission or staff, CAC, TAC, or task along the long hallway leading to the meeting room. force. All those who attended the hearing passed by this extensive account. In addition, the many people Public Hearings who had been involved in the process were asked to attend the hearing to testify concerning their in- Public hearings will probably be a legal require- volvement. As a result, no one raised the issue that ment for making planning choices. As a result, they knew nothing about the program, and there planners must keep accurate accounts of the pro- was substantial testimony about citizen involve- ceedings. The Institute for Participatory Manage- ment. This format continued through subsequent ment and Planning (1997) notes that the hearings hearings, and debate was focused on the merits of proceedings consist of three parts, often called the the various options available to the community to “findings”: achieve its goals. 245 PLANNING OPTIONS AND CHOICES

Two Examples of Selecting Preferences ternatives was to indicate the choices necessary to accomplish each goal and to seek advice from citi- State planning requirements lead to local action. For zens (Portland Bureau of Planning 1980a). example, Portland, Oregon’s planning has evolved The list of goals presented a wide range of from state mandates. Local and federal interests can choices to Portland residents. The choices addressed also stimulate the design of optional plans, as is the neighborhood quality, city economy, housing, water case in the biodiversity plan for Camp Pendleton, and sewer systems, transportation, air and water California. quality, and energy conservation. Each of these choices was linked to maps that illustrated the impact of the decision on commercial, residential, Portland, Oregon, Alternative agricultural and forestry, and industrial land uses in Land-Use Plans the city. Portland citizens were asked to respond by With the adoption of Oregon’s statewide land-use mail to the alternatives. planning goals in 1973, the cities and counties set Community organizations, neighborhood asso- about revising and updating their comprehensive ciations, individuals, and government agencies were plans to comply with the new requirements. Among also asked to review and comment on the choices the municipalities involved in this process was the presented in the handbook. Some 150 special interstate’s largest city, Portland. The city has had com- est groups were contacted. Meetings were held with prehensive plans since early in the twentieth cen- each, including construction, business, ethnic, fra- tury, but now faced the task of adopting a new plan ternal, health and education, legal, religious, social, to be in compliance with Oregon’s statewide plan- service, transportation, trade, political, and union ning goals. After detailed population, economic, and groups. In each of the city’s ten districts, neighbor- environmental studies by the city planning staff, a hood associations were organized. These associa- report entitled The City Planner Handbook (Port- tions were asked by the city planning staff to review land Bureau of Planning 1977) was published. This the three alternatives and to determine if an addi- report contained summarized background informa- tional alternative was necessary to expand the range tion, three alternative land-use plans, and a techni- of choice for public discussion. The neighborhood cal appendix. The handbook was used as a starting associations were also asked to write scenarios about point for the process of selecting options for the city’s future. The focal points of The City Planner Handbook were the three staff- prepared land- use planning alternatives. These three options included a description of the number and types of housing units, people, and jobs each future vision might support. Each option was analyzed to assess how it addressed a list of 32 goals. The 32 goals were developed by the planning staff and related to the 15 statewide goals Portland was to meet. (Of Oregon’s 19 goals, 4 are applicable to only coastal counties and municipalities, while 1 is specific for communities in the Willamette Valley.) The purpose of the Portland al- Governor Tom McCall Waterfront Park, Portland, Oregon. 246 CHAPTER 6

the implication of each alternative (Portland Bureau veys. Over 800 suggestions were received, of which of Planning 1980a). 65 percent were used in a second draft called the There was a strong emphasis placed on neigh- proposed comprehensive plan. This proposed plan borhood review of the options. The process of was taken to the city planning commission in Sep- planning in Portland was used to strengthen its tember 1979. The planning commission held 8 pub- neighborhoods. According to a former planning lic hearings during the next two months. At the commission president, Joan Smith, “If the planning same time, the proposed plan was distributed to process did nothing else for this city, it made many neighborhood associations; civic, environmental, of the neighborhoods more articulate and better or- and business groups; and other government agen- ganized” (Sistrom 1979, 1). cies. In addition, a total of 10,000 proposed plan From this process each planning district devel- maps were mailed out to groups and individuals oped a new alternative. Evening town meetings were (Portland Bureau of Planning 1980a). then held in each of the ten districts, where testi- Responses to the mailing and testimony from the mony was heard on the scenarios developed for each hearings were compiled in summary notebooks. option. Two citywide meetings, one during the day These notebooks were used by the planning com- and one at night, were also held downtown to dis- mission and staff to write a third draft, the recom- cuss the alternatives. mended comprehensive plan. The recommended plan Next the city hired a consulting firm to conduct was submitted to the city council in January 1980. At a random survey consisting of 450 in- home inter- this time nearly 14,000 recommended plans were views during April and May 1978. Those inter- mailed to groups and individuals. The city council viewed were asked to evaluate each of the options. then held a series of 33 more public hearings, during At the same time all the alternatives, including those which time about 400 amendments were made. On developed by the ten planning districts, were dis- August 21, 1980, the city council adopted the plan tributed to over 33,000 people. Again citizens were (Portland Bureau of Planning 1980b). asked to review each alternative and rank the list of This was a lengthy process of reviewing planning 32 goals (Portland Bureau of Planning 1980a). In a options. In the end, Portland adopted its new com- sense, this was a form of a goals-achievement matrix prehensive plan. In 1981, the Oregon Land Conser- combined with synchronized survey. vation and Development Commission acknowl- These surveys and the testimony from the town edged that the plan was in compliance with the 15 hall meetings were analyzed and tabulated by the statewide planning goals. Since 1981, Portland lead- Center for Population Research at Portland State ers have continued to respond to Oregon’s evolving University. The results of this analysis were incorpo- land- use requirements (Department of Land Con- rated into the first draft of a comprehensive plan, servation and Development 1996). For example, called a discussion draft. The publication of this dis- Portland must comply with Metro goals in addition cussion draft initiated another round of citizen re- to those of LCDC. Metro (the Metropolitan Service view lasting six months (Portland Bureau of Plan- District) is a “unique type” of legislative regional ning 1980a). planning authority (Carson 1998). Metro’s jurisdic- During this period, over 80 neighborhood asso- tion covers 24 cities and 3 county urban areas in the ciation meetings, many business and service group Portland Metropolitan region. Its authority ad- meetings, 2 citywide conferences, and 9 planning dresses air quality, water quality, transportation, district town hall meetings were held, as concur- solid waste, and the regional urban growth bound- rently the planning staff conducted additional sur- ary (Carson 1998). 247 PLANNING OPTIONS AND CHOICES

The Biodiversity Plan for the Camp Pendleton Region, California

Carl Steinitz and his colleagues sought to understand the consequences of regional change. They simulated six alternative projections of development to the year 2010. To create the alternatives, the research team first analyzed the various plans of the various government entities with planning and development jurisdiction for the Camp Pendleton region. These plans projected the anticipated needs Light rail stations, Portland, Oregon. for housing, recreation, transportation, commerce, and industry. From these plans the team was able to derive the consequences of full implementation or Portland and Metro face a variety of planning is- “build out” (Steinitz et al. 1996). “Plans Build Out” sues. One issue faced by Portland planners is the inad- represented a baseline future scenario. This scenario equate supply of land for future growth within the ur- explored what will happen if nothing different hap- ban growth boundary (Kellington 1998). A second pens. The research team noted that “it is this future issue concerns the cost of housing. Oregon’s 4 metro- scenario against which all other alternatives are politan regions (Portland, Eugene- Springfield, Salem- compared” (Steinitz et al. 1996, 24). For each of the Keizer, and Medford-Ashland) are among the 14 most inventory elements, the current situation was com- expensive housing markets in the nation (Carson pared with the build- out situation. For example, 1998). A third issue involves the quality of new devel- Figure 6.9 illustrates the landscape ecological pat- opment. One Portland planner quipped that between tern under the build-out scenario. It can be com- the city’s wonderful downtown and the exclusive pared with Figure 3.63, which illustrates the pattern farm- use zone beyond the urban growth boundary in 1990. (The oldest data used by the team were “lies Los Angeles.” from 1990; other information was more recent, such Oregon and Portland continue to attract new as 1995 land-use/land-cover data.) Essentially, the residents, in part because of the state’s environmen- build-out scenario illustrates a dramatic decline in tal amenities and its reputation for protecting those several kinds of natural habitat and in biodiversity qualities. Between 1990 and 1997, Oregon’s popula- (Steinitz et al. 1996). tion increased by 14.1 percent, and “the cost of In addition to the build-out scenario, five addi- housing doubled” (Kellington 1998, 4). What Port- tional alternative futures for the region were pre- land and Oregon have in place is the framework for pared by graduate students from the Harvard Uni- exploring options to address the issues of growth versity Graduate School of Design. These five and preservation into the future. Oregon law re- alternatives were described as follows: quires that all land-use plans must include an “evaluation of alternative courses of action and ultimate Alternative #1 assumes the continuation of the pre- policy choices, taking into consideration social, eco- dominant regional trend of Spread low density rural nomic, energy and environmental needs” (Depart- residential and clustered single family residential de- ment of Land Conservation and Development velopment. It also assumes the weakening of some de- 1996). velopment constraints and the absence of any new 248 CHAPTER 6

FIGURE 6.9 Camp Pendleton, landscape ecological pattern under build-out scenario. (Source: Steinitz et al. 1996)

conservation-oriented land acquisitions. Alternative team included detailed descriptions and discussions #2, Spread with Conservation 2010, also follows the of each in their report. They also analyzed the con- spread pattern, but implements a conservation strat- sequences of each and the impact on soils, hydrol- egy beginning in 2010. Alternative #3 follows a low ogy, fire, landscape ecological patterns, single- density pattern but proposes Private Conservation species habitat potential, species richness, and visual via large- lot ownership and management of land ad- quality (Steinitz et al. 1996). These consequences jacent to and within important habitat areas as a were summarized in a matrix. The team noted that means of conserving biodiversity. Alternative #4, a all the alternatives will have serious negative conse- Multi-Centers strategy, focuses on cluster develop- quences for the environment. However, they found ment and new communities, and Alternative #5 con- that the “Private Conservation alternative, which centrates most growth in one New City (Steinitz et al. proposes to maintain the integrity of the region’s 1996, 104). larger natural areas and their connections along the riparian network, is also the most protective of the The first alternative, Spread (Figure 6.10), and long-term regional biodiversity” (Steinitz et al. the final alternative, New City (Figure 6.11), are in- 1996, 129). cluded here for comparison. The Camp Pendleton Unlike the Portland example, the Camp Pendle- 249 PLANNING OPTIONS AND CHOICES

FIGURE 6.10 Camp Pendleton, land cover for Spread build-out alternative. (Source: Steinitz et al. 1996)

ton study did not involve a comprehensive public allotted ample time to discuss and select the available participation effort with the end goal of a plan ap- options. The 1980 Portland plan took four years to proval. Rather, the Camp Pendleton study was a re- complete, was well publicized with an effort to reach search exercise that sought to illustrate the conse- all people in the planning area, and was linked to quences for biodiversity of various alternative state policy. Portland’s program fit within Oregon futures. In this regard, it had great utility for deci- statewide goals. The goal requirements in Portland sion makers and the public. have become more complex since the 1970s. Now, The Portland example employed a combina- the city comprehensive plan must comply with tion of techniques to select planning options. In Metro planning goals. Planning is an ongoing pro- Portland, public meetings, charrettes, an advisory cess. Alternative visions, different growth scenarios, committee, preference surveys, interviews, scenario and various planning options continue to be de- writing, and hearings were used. Portland planners signed and discussed in metropolitan Portland. 250 CHAPTER 6

FIGURE 6.11 Camp Pendleton, New City alternative. (Source: Steinitz et al. 1996)

Compared with more conventional planning ex- ronment would be employed to implement their amples, planners in Portland and in Camp Pendle- plan. Landscape ecology played a central role in the ton relied heavily on information about environ- Camp Pendleton study, which also used state-of- mental resources that had been collected through the- art GIS to illustrate why landscape planning was inventories. The values of the people of Portland crucial for the future of the southern California were reflected in how information about their envi- region.

7 LANDSCAPE PLANS

Plans can take many forms. Early American plans were quite specific about the layout of cities and towns—the location of streets and the division of land—from colonial times through the nineteenth century. These early plans were utilitarian when used as part of a land speculation venture, or utopian when developed for settlement by religious sects. City planning practitioners of the late nineteenth and early twentieth centuries produced master plans that reflected the influence of landscape architecture, architecture, and engineering. In master plans, uses were prescribed for each place in the city or town. Comprehensive plans in cities and multiple- use plans in national forests, both advocated beginning in the early twentieth century, attempt to address competing demands for land and other resources. Be- ginning in the 1960s, policy plans became popular. Rather than specifying uses of space, policies are established for the planning area that address the goals and aspirations of its inhabitants and/or users. During the 1970s, management plans began to appear. Management plans present guidelines for administrators to consider when making decisions. Due to the influence of the business community,

253 254 CHAPTER 7

contingency plans and strategic planning became more • Alternatives to the proposal: different manage- popular in the 1980s and 1990s. Contingency plans ad- ment approaches for dealing with issues, includ- dress the uncertainty of the future and pose “what if” ing no action and minimum requirements possibilities. A strategy is the means of deploying re- • Plan implementation schedule and cost estimates sources to achieve goals and objectives. • Description of the affected environment: back- Landscape plans combine elements of all these ground inventory information other types of plans. Like master and comprehensive • Environmental consequences: discussion of the plans, they consider the physical ordering of space, a proposal and alternatives (adapted from de- feature often not addressed in policy plans. Landscape Franceaux 1987, 15–16) plans also reflect policy and management strategies and According to Cynthia deFranceaux (1987), there are should provide for contingencies. More than a land-use several other elements that may be included in a NPS plan, a landscape plan recognizes the overlap and inte- general management plan. These other components in- gration of land uses. Landscape plans provide a flexible clude land suitability analyses, visitor carrying-capacity framework for ordering the physical elements of a analyses, a land protection component, discussion of place. Such a plan is one product of the planning pro- necessary legislative actions, a transportation- access- cess. The plan provides both a documentation of the circulation component, and wilderness studies. Al- process and an image for the future of the landscape. though historically most national park land has been Federal land management agencies and some state publicly owned, park planners have long had to consider governments have specific standards for plans, which inholdings and adjacent lands. Increasingly, the NPS is vary in what the plans are called and what they are to responsible for places that include large areas of privately contain, but include common elements. The National owned lands. As a result, it is important for park service Park Service calls the major planning document for all planners to understand traditional city and county plan- parks a general management plan. Like other federal ning. There is also much that city and county planners land resource agencies—the U.S. Forest Service and can learn from the long- standing planning efforts of the the Bureau of Land Management—the NPS combines NPS and other federal land management agencies. its plan with the environmental document, either an The contents of local government plans and the pro- environmental impact statement or an environmental cedures for adopting them vary from state to state and in assessment, which is required by the NEPA (see Chap- some cases from community to community. In some ter 11). Every NPS general management plan contains: states, enabling legislation defines the minimal scope of local plans and the adoption process. In others, explicit • Purpose and need for the plan: a discussion of contents for local plans and for implementation are planning issues, park purpose, legislative man- mandated in state law. Often local governments will en- dates, and management objectives act local ordinances that expand on state requirements. • Management zoning: prescribed land classifica- As with many other elements of planning, the state of tions to designate where various strategies for Oregon has been quite clear about what constitutes a management and use will best fulfill manage- comprehensive plan. ment objectives and achieve park purposes • Proposal: interrelated proposals for preservation A comprehensive plan is a set of public decisions of resources, land protection, interpretation, vis- dealing with how the land, air, and water resources of itor use, carrying capacities, park operations, an area are to be used or not used. These decisions are and a general indication of location, size, capac- reached after considering the present and future of an ity, and function of physical development area. 255 LANDSCAPE PLANS

Being comprehensive in scope, the plan provides Whether the planners are addressing private or for all of the resources, uses, public facilities and ser- public lands or both in a federal agency or for a local vices in an area. It also incorporates the plans and government, a landscape plan should include at least programs of various governmental units into a single four key elements: (1) the formal recognition and management tool for the planning area (Land Con- adoption of the previous steps in the planning process; servation and Development Commission 1980, 1) (2) a statement of policies; (3) the identification of strategies to achieve those policies; and (4) some indi- The local comprehensive plan “guides a commu- cation of the physical realization of those policies and nity’s land use, conservation of natural resources, eco- strategies. These components are illustrated here by nomic development, and public services” (Depart- using parts of two general plan amendments for the ment of Land Conservation and Development 1996). Desert View Tri-Villages Area and the Sonoran Pre- In Oregon, land-use plans are to include an “identifi- serve Master Plan. At the end of the chapter, the plans cation of issues and problems, inventories and other of the New Jersey Pinelands and Teller County, Col- factual information for each . . . goal” (Land Conser- orado, are used as examples. vation and Development Commission 1980, 4; De- partment of Land Conservation and Development 1996). The guidelines for the contents of the plan are quite specific. First, they are to include the factual Recognition and Adoption of Plan bases for the plan: the natural resources, their capabilities and limitations; human- made structures and A key component of the plan is the formal recogni- utilities, their location and conditions; population tion of the findings of the previous steps of the pro- and economic characteristics; and the identified roles cess. The legislative body—the county commission and responsibilities. Second, the elements of the plan or the city council—adopts a statement summariz- are to be included: the applicable statewide goals, any ing the issues facing the area. Policies are enacted that critical geographic area designated by the state legisla- include the goals to address the problems and oppor- ture, elements that address any special needs and de- tunities that have been detailed through the process. sires of the people, and the temporal phasing of the The biophysical and sociocultural elements are doc- plan. These elements are to “fit together and relate to umented in the plan, as are the detailed studies. one another to form a consistent whole at all times” Two general plan amendments have been (Land Conservation and Development Commission adopted by the City of Phoenix for the Desert View 1980, 4; Department of Land Conservation and De- Tri- Villages Area. As was noted earlier, city planners velopment 1996). have divided the Tri-Villages into three subareas. In Oregon, plans are to be the basis for specific im- The planning that has occurred in the area has been plementation measures (Department of Land Conser- strongly influenced by the four character types in- vation and Development 1996). Once these findings troduced earlier; that is, desert preservation, rural and elements are compiled in Oregon, the plan and its desert, suburban desert, and growth corridor/core de- implementing ordinances are to be adopted by the velopment (see Table 6.3). At the North Sonoran county or city after a public hearing. Oregon law re- charrette, principles were developed for each. Table quires that the plans be filed with the county recorder 7.1 provides the principles for suburban desert and that they be approved by the state. The state recog- development. nizes the impermanent nature of plans and requires The two general plan amendments recognized that they be revised periodically. and adopted these character types. The first 256 CHAPTER 7

TABLE 7.1 eastern third of the Tri- Villages. The Phoenix City Principles for Desert Suburban Design Developed at Council followed suit and on June 26, 1996, also the Sonoran North Land-Use Charrette unanimously amended the general plan. These Suburban desert development was defined as ranging from amendments include many ideas from the char- a maximum of ten to a minimum of two single-family rette discussed in Chapter 6 and were based on de- dwellings per acre (10 to 1 per 0.4 hectare, or 25 to 2.5 per hectare). The principles developed by the suburban desert tailed environmental and social inventories (sum- charrette team were marized in Chapters 3 and 4). A few of the new • Although altered, elements of the desert should be re- provisions include the protection of the Cave tained (climate, drainage, wildlife, flora). Creek Wash in the subarea as an “ecological spine”; • The natural desert structure (plants and terrain) should the concentration of growth near commercial and be retained, or copied when disturbance is unavoidable. industrial areas and away from the most environ- • Building structures should be compatible with and re- mentally sensitive places; and the creation of three sponsive to the landscape and climate, including building distinct community types: desert preserve, rural height, color, topography, solar energy, materials, and desert, and suburban desert. This amendment dra- massing. matically changed where homes would be built in • Large areas of land should not be bladed and desert the 35- square- mile (91- kilometer2) subarea and washes should be protected. concentrated where they will be built while reduc- • Opportunities should exist for a variety of housing types ing the potential number of homes by only 4 per- at a range of prices. cent compared to the previous plan (City of • A sense of community should be encouraged in the design Phoenix 1996). and planning of subdivision developments. The plan for the eastern subarea emphasized • Recreation, education, and shopping opportunities should preservation and residential development at rural be provided and should also be compatible with the landscape and neighborhoods. and suburban densities. In contrast, the plan for the North Black Canyon Corridor, located on the west- • Infrastructure development should have a minimum impact on the desert environment. ern portion of the Tri-Villages, was targeted as a growth corridor anchored by a new regional em- • View corridors to existing landscape features should be protected and enhanced in new developments. • The golf courses should be designed before surrounding areas to improve integration with the natural landscape.

SOURCES: McCarthy et al. 1995; Steiner et al. 1999.

amendment—called the North Land Use Plan— applied to the eastern subarea, the portion of the Tri-Villages facing the most intense development pressure. Ray Quay, Jolene Ostler, and Al Zelinka led the city planning team for the subarea. On May 22, 1996, the Phoenix Planning Commission unanimously amended the city’s general plan for 35 square miles (91 kilometers2), or roughly all of the Desert wash in the Desert View Tri-Villages Area. 257 LANDSCAPE PLANS

ployment center. By permitting intense develop- The preserve plan includes descriptions of the ment in that corridor, the plan would allow for in- landscape elements of the Desert View Tri-Villages creased preservation of the highly valuable desert Area, making particular use of the GIS maps created mountains and washes in the central area. The city at ASU. Previous and ongoing planning efforts were sought to develop a “new pattern of urban growth” documented and analyzed in the plan, as they re- based on three principles: lated to the preserve. The alternatives described in Chapter 6 (Figures 6.4, 6.5, and 6.6) were included. 1. The promotion of a sense of community As a result, the preserve plan provided a compre- 2. The development of a sustainable transporta- hensive documentation of its purpose, principles, tion system value, and intent. 3. The design of high quality development At this stage in making a plan, several questions which both integrates with and preserves the may be posed, such as: natural desert environment (City of Phoenix 1997b) • Have the findings of previous steps in the process been recognized and, if appropriate, The Sonoran Preserve Master Plan was approved adopted? unanimously by the Parks and Recreation Board and • Are all the issues adequately addressed? then by the Phoenix City Council in January and • Have the responsible bodies reviewed and, if February 1998. Jim Burke and Joe Ewan led the parks appropriate, modified and/or adopted the department planning team. Like the general plan plan? amendments, the preserve plan used several key principles and built on other efforts. The three key principles were (1) to acquire a diversity of lands, (2) Statement of Policies to preserve natural hydrological processes, and (3) to integrate a preservation ethic into the comprehen- After the documentation and adoption of findings, sive urban form (Burke and Ewan 1998a). plans include a statement of policies. These policies The parks planners based their plan on six prin- may be organized in a variety of ways. Commonly, ciples: formal goals and objectives are adopted by the appropriate legislative or administrative body. Accord- 1. Hydrologic processes should be maintained. ing to Edwin Verburg and Richard Coon, “goals pro- 2. Connectivity of patches and corridors should vide statements of the condition that a plan is be maintained. designed to achieve. A goal is usually not quantifi- 3. Landscape patches should be as large as able and may not have a specific date of accomplish- possible. ment. Comparatively, objectives focus on measura- 4. Unique mosaics of landforms and vegetation ble results that need to be achieved” (1987, 22). A types should be included in the preserve. goal is a statement of purpose that gives direction 5. Diverse mosaics should be integrated into the for accomplishing the aspirations of the commu- adjacent developed environment. nity, while an objective is a statement of the measur- 6. The preserve should be considered within able and desired ends that a community will achieve the context of other significant undisturbed to accomplish its aspirations. Often the terms goal regional open space (Burke and Ewan 1998b, and objective are used interchangeably, but they are 99). different. Whatever terms are used in a plan, it is 258 CHAPTER 7

important to link broad policies with specific strate- Policy action steps: gies to achieve the goals. 2.1 Regulate a jobs-to- housing ratio. The Phoenix city planning staff developed six 2.2 Plan for housing quality ranges to match concepts for the eastern subarea of the Desert View employment income ranges. Tri- Villages. Their intent was “to refine the existing Goal 3.0 Concentrate growth within a defined policies” that guide development for the area. The corridor. first concept was to plan for strategic land uses; that Policy action steps: is, to identify economic development opportunities 3.1 Establish a regulatory infrastructure that only come with a major travel corridor and growth line for initial development with desert preservation opportunities that only nature general boundaries of I-17, Cloud Road, can provide. The second concept again emphasized 19th Avenue, and Jomax Road. the need to preserve Cave Creek Wash as an ecologi- 3.2 Plan an efficient auto and transit circula- cal spine in the desert (also addressed in greater de- tion system. tail in the separate parks plan). Third, the plan rec- 3.3 Restructure and expand the city’s infra- ognized washes as a development constraint structure fee program for the corridor because of their flooding and the preference to allow that recognizes the long-term phasing of natural drainage over extensive engineering. The development within a corridor. fourth concept addressed the cost effectiveness as Goal 4.0 Preserve North Sonoran desert ameni- well as the ineffectiveness of providing public infra- ties and use these features to define commu- structure. The fifth concept was to maintain estab- nity form and identity. lished character in the area, which was the existing Policy action steps: community residents’ desire. The final concept rec- 4.1 Create a North Sonoran Desert Preserve. ognized property rights already established in the 4.2 Provide urban desert public places that area (City of Phoenix 1996). are defined by a combination of natural The North Black Canyon Corridor Plan estab- features and human-made features such lished four goals and nine associated policy action as streets and buildings (City of Phoenix steps, which are: 1997b).

Goal 1.0 Promote the North Black Canyon Cor- The preserve plan established the goal of acquir- ridor as a regional employment center but ing 20,000 acres [8094 hectares] within the Tri- not at the expense of growth within the exist- Villages Area. This amount of land would make it ing city. the largest park in the city of Phoenix. Policy action steps: At this point in plan- making, it is important to 1.1 Design employment centers to meet ensure that clear goals and objectives are estab- market niches not provided for in adja- lished. A common problem occurs with goals and cent village employment centers or cen- objectives prepared by a team or a group of citizens. tral city employment areas. In order to ensure equal participation, words and 1.2 Design employment areas that recognize phrases of all involved may be included. This may be the long-term development cycle of em- democratic, but the result can be unintelligible. ployment and retail in the corridor. Since such goals and objectives will have significant Goal 2.0 Achieve a balance between employ- influence, it is often helpful to let a few days pass ment and housing. after they are written before they are formally 259 LANDSCAPE PLANS

adopted. In the interim, the wording can be refined. this strategy in great detail, which is discussed later.) Care should be given not to lose the intent of the Third, overlay districts for the three character areas goals and objectives, but to make them more under- will provide performance development standards standable to the broadest possible public. (City of Phoenix 1996). The plan for North Black Canyon Corridor also contains four strategies: adoption of a concept plan that includes basic Strategies to Achieve Policies growth management policies; the revision of the general plan map; the adoption of specific develop- Strategies outline the approach and/or methods ment regulations; and the production of informa- through which problems are solved or minimized tion providing principles and guidelines for new de- and objectives are achieved (Verburg and Coon velopment (City of Phoenix 1997b). 1987). A strategy is the broadly stated means of de- The key strategies for the preserve are detailed in ploying resources to achieve the community’s goals its acquisition plan. This plan presents “the various and objectives. The plan should specify what actions methods of acquiring or protecting land for the are necessary to achieve its objectives. For each plan- Sonoran Preserve, potential funding sources, esti- ning element, there should be clear definitions of mated amounts of funding available, timing of terms so that there is no confusion, for example, be- funding sources and scenarios that explore the im- tween light or heavy industrial use or low- density or plications of different acquisition strategies” (Burke high- density residential use. Each strategy should and Ewan 1998a, 34). The strategies seek to achieve contain specific actions, for instance, “the county the goal of acquiring 20,000 acres (8094 hectares). or city shall adopt land-use ordinances to imple- The methods and techniques for acquisition and ment its policies.” There should also be target dates protection available to the City of Phoenix include associated with specific ac tions; for instance, “soil erosion shall be reduced to tolerable levels by the • Methods of city acquisition of land year 2010.” Thus, strategies should be linked to out- Fee simple purchase come measures that are specific means of deter- Purchase of development rights mining whether goals and objectives are being Purchase of rights-of- way/easements accomplished. Leases Strategies involve priorities, schedules, targets, Condemnation/eminent domain and budgets. Priorities establish the criteria to deter- Donations and gifts mine the order of tasks necessary to achieve commu- • Governmental regulation protection tech- nity goals. Schedules chart tasks and products. Targets niques involve work plans and responsibilities. The budget Planned community district identifies the needs for staffing, equipment, consult- Planned residential district ants, and potential sources of revenue (Arizona De- Hillside ordinance partment of Commerce 1998). Special overlay district The eastern subarea plan for the Desert View Design guidelines Tri- Villages identifies three strategies for implemen- Performance zoning tation. First, the revised general plan for the area will Dedications/exactions guide the rezoning process. Second, desert preserva- Transfer of development rights tion areas will be acquired through either purchasing or leasing the land. (The parks plan addresses Potential funding sources available include: 260 CHAPTER 7

•Bonds erty. Right- of- way . . . and utility corridors are to be • General purpose taxes excluded from the preserve acquisition and acquired Sales separately through other mechanisms. User 4. As private parcels (approximately 5,000 acres) Property [2024 hectares] come into the city for General Plan • Infrastructure fees Amendment or zoning review for compliance with • Grants the adopted Sonoran Preserve Plan, work with the ap- • Fund-raising program plicant on density or development rights transfer to • Government coordination obtain dedication of lands identified for preservation. Land exchange Acquire property through purchase or eminent do- Preferential tax treatment main as needed. • Voluntary landowner participation/non- 5. Work with land owners and other public agen- profits cies to have secondary washes preserved in place as Conservation easement natural drainage features, maintained by home own- Preservation easement ers associations, that can contribute to the preserve Land trusts (Burke and Ewan 1998a, 36) system. Amend the city flood plain, grading, and drainage ordinances as needed. Several of these methods and techniques were 6. Develop design guidelines for development discussed in detail in the Sonoran Preserve Master adjacent to the preserves. This will be a critical step in Plan. (Chapter 10 addresses them as well.) After an- integrating the preserve into the lives of the future alyzing the possible implementation possibilities, residents and allowing access for those residents who the park planners recommended the following are not fortunate enough to live close to or adjacent to strategy: the preserve. Amend zoning and subdivision ordinances as needed (Burke and Ewan 1998a, 48–49). 1. Obtain city council approval of the plan and amend the Arizona Preserve Initiative . . . application At this point in plan- making, the strategies to include all Arizona State Trust Lands identified in should be checked to ensure consistency with the the Sonoran Preserve Plan (approximately 15,000 goals and objectives. Again, the planners should re- acres) [6071 hectares] and submit to the State Land turn to the original issues and ask, Commissioner. Work through the public review process to defend the plan and application. Generate • Are they being adequately addressed by these public support for the application and requested con- strategies? servation designation. • Are problems being solved and opportunities 2. If successful and the State Land Commissioner being pursued? designates the targeted lands as suitable for conserva- • Is it clear that people will benefit and that en- tion work with the Arizona State Lands Department vironmental quality will not suffer? . . . and the Planning Disposition Division to have the lands appraised and auctioned. Obtain City Council approval to acquire the designated parcels of state Landscape Plan Map lands and coordinate the financing. 3. Review the proposed deeds and follow the ad- The landscape plan map should attempt to physi- vertising for the auction, and bid on the subject prop- cally represent information collected and decisions 261 LANDSCAPE PLANS

reached in the previous steps in the planning pro- Figure 7.1 provides an image for the Desert cess. It should reflect existing land uses and land View Tri-Villages Area from the perspective of the users. The plan should also consider potential land planning department. The map emphasizes both users, who can be identified through population the growth corridors and the preserves. The parks projections. Their impact on the land can be ana- landscape plan (Figure 7.2) focuses in greater de- lyzed by making development projections for vari- tail on the preserves. Together, the planning de- ous uses. Environmentally sensitive or constraint partment and parks department plans provide im- areas that present a concern because of health, ages for maintaining habitat corridors, promoting safety, or welfare considerations should be mapped. a density of diversity, and creating a sense of Composite suitabilities should be included in the community. landscape plan map, as should preferred concepts or options considered for the area. Michael Neuman notes that plans “chart collec- Plan Elements and Organization tive hope” and that the “use of images of place . . . portray collective hope” (1998a, 214–215). The land- The four key components of a landscape plan (the scape plan map provides one such “image of place.” recognition and adoption of the findings of the process,

FIGURE 7.1 City of Phoenix Planning Depart- ment preservation and growth plan for Desert View Tri- Villages Area. (Source: City of Phoenix Planning Department) 262 CHAPTER 7

FIGURE 7.2 City of Phoenix Parks, Recreation, and Library Department plan for Desert View Tri- Villages Area. (Source: Burke and Ewan 1998a) 263 LANDSCAPE PLANS

policy statements, strategies, and a map) can be orga- (2) Goal rationale nized as follows: i. Economic development (1) Goal(s) and objective(s) OUTLINE OF LANDSCAPE PLAN ELEMENTS (2) Goal rationale 1. Summary of major recommendations 4. Implementation strategies 2. Recognition and adoption of findings a. Residential land use a. Purpose and need of the plan (1) Definitions (1) Problems and/or opportunities (2) Implementation actions (2) Planning issue(s) (3) Enforcement provisions (3) Enabling legislation (4) Compliance dates b. Affected environment b. Commercial land use (1) Biophysical environment (1) Definitions (2) Sociocultural environment (2) Implementation actions c. Detailed studies (3) Enforcement provisions (1) Population and development (4) Compliance dates projections c. Industrial land use (2) Suitability analysis: opportunities (1) Definitions and constraints for development (2) Implementation actions and conservation (3) Enforcement provisions 3. Policy statements (4) Compliance dates a. Residential land use d. Agricultural land use (1) Goal(s) and objective(s) (1) Definitions (2) Goal rationale (2) Implementation actions b. Commercial land use (3) Enforcement provisions (1) Goal(s) and objective(s) (4) Compliance dates (2) Goal rationale e. Public facilities land use c. Industrial land use (1) Definitions (1) Goal(s) and objective(s) (2) Implementation actions (2) Goal rationale (3) Enforcement provisions d. Agricultural land use (4) Compliance dates (1) Goal(s) and objective(s) f. Parks and recreation (2) Goal rationale (1) Definitions e. Public facilities land use (2) Implementation actions (1) Goal(s) and objective(s) (3) Enforcement provisions (2) Goal rationale (4) Compliance dates f. Parks and recreation g. Transportation (1) Goal(s) and objective(s) (1) Definitions (2) Goal rationale (2) Implementation actions g. Transportation (3) Enforcement provisions (1) Goal(s) and objective(s) (4) Compliance dates (2) Goal rationale h. Environmental quality h. Environmental quality (1) Definitions (1) Goal(s) and objective(s) (2) Implementation actions 264 CHAPTER 7

(3) Enforcement provisions an example of establishing planning goals (Chapter (4) Compliance dates 2) and inventory and analysis (Chapters 3 and 4). i. Economic development The process undertaken by state, federal, and local (1) Definitions officials resulted in an exemplary plan. (For the (2) Implementation actions most up- to- date infor mation about the plan, see the (3) Enforcement provisions New Jersey Pinelands Commission’s website: (4) Compliance dates www.state.nj.us/pinelands.) The plan is divided into 5. Landscape plan map two parts. The first part documents the natural and List of responsible individuals and parties human history of the Pine Barrens, describes re- Bibliography gional growth factors, identifies ecologically critical Glossary areas, establishes goals and policies, lays out the structure for intergovernmental coordination, and Plans take time to prepare. Usually, they are col- establishes the financial and public participation laborative undertakings involving many individuals programs. The second part contains the legal, sub- and several agencies. The authors and participants stantive land-use programs and development stan- in the process should be acknowledged. For a city- dards that implement the plan. This part sets forth or county- level plan, the normal participants in- the procedures under which the Pinelands Commis- clude the planning staff, the planning commission, sion certifies that county and local master plans and and the city council or the county board of supervi- implementing ordinances are consistent with the sors. Additional city or county departments and plan (Pinelands Commission 1980). As in Oregon, commissions, as well as consultants and citizens’ all county and local plans in the Pinelands region groups, may also be involved. must be consistent with the goals for the larger area. Resource goals and policies comprise the heart Two Examples of Plans of the Pinelands plan. The goals in Table 2.1 were established by the Pinelands Commission, based on its analysis and on provisions of state and federal legis- Michael Neuman (1998a, 1998b) asserts that plans lation. These goals and policies also reflect the land provide valuable instruments for governance. They capability of the area. The land capability map iden- link aspirations to actions through prose and im- tifies those areas that are most suited for preserva- agery. “Plans can be used,” according to Neuman tion, forestry, agriculture, rural development, and (1998a, 215), “to set agendas and resolve conflicts, growth, as well as existing towns and villages and because they are ideal ‘single texts’ that the partici- military and federal installations. From the capabili- pants in plan-making rely on to make decisions.” The ties for these uses, eight allocation areas are defined comprehensive plan for the New Jersey Pinelands in the plan as follows: and the growth management plan for Teller County and Woodland Park, Colorado, offer examples of The Preservation Area District represents that area collective hopes of their citizens embodied in plans. found by the New Jersey Legislature to be “especially Comprehensive Management Plan for the vulnerable to the environmental degradation of sur- New Jersey Pinelands face and ground waters which would be [negatively impacted] by the improper development or use The comprehensive management plan for the New thereof”; and “which constitutes an extensive and Jersey Pinelands has been used in earlier chapters as contiguous area of land in its natural state.” 265 LANDSCAPE PLANS

The Agricultural Production Areas, occurring in trial development (Pinelands Commission 1980, both the Preservation and Protection Areas, represent 195–196; New Jersey Pinelands Commission 1998). those areas that are primarily devoted to field agricultural uses, and adjoining lands with soil conditions These allocation areas formed the basis for a suitable for those farming activities. planning map that designated preservation and pro- The Special Agricultural Production Areas, occur- tection areas in the national reserve (Figure 7.3). ring in the Preservation Area, represent those areas The Pinelands plan is based, first, on state and fed- devoted to berry agricultural and native horticultural eral law, then, second, on the 5 resource and use uses, and the adjoining lands utilized for watershed goals and the 25 related policies (Table 2.1). These protection, to be designated at the option of the goals and policies then led to the spatial description municipality. of the region and the allocation of appropriate land The Military and Federal Installation Area, occur- uses among the different areas. From this allocation, ring in both the Preservation and Protection Areas, programs were developed “to ensure that activities represents major federal landholdings with an estab- allowed within different areas are compatible with lished land- use pattern and providing significant the characteristics of particular sites” (Pinelands benefits to the people of the Pinelands. Commission 1980, 193). The Forest Areas of the Protection Area represent largely undisturbed forest and coastal wetland areas adjoining the Preservation Area and extending into the southern section of the Pinelands. The Commis- sion has determined that these areas possess “the essential character of the existing Pinelands environment,” which the Legislature said was the Commis- sion’s responsibility to “preserve and maintain.” The Rural Development Areas in the Protection Area represent those transitional areas that generally separate growth areas from the less developed, predominantly forested areas of the Pinelands. These areas are somewhat fragmented by existing development and serve a dual purpose as buffers and reserves for future development. The Regional Growth Areas represent those land areas that are (1) in or adjacent to existing developed areas, (2) experiencing growth demands and pressure for development, and (3) capable of accommodating development without jeopardizing the most critical elements of the Pinelands environment. Pinelands Towns and Villages are spatially discrete existing developed areas. Most of these settlements have cultural, historical, and commercial ties to the FIGURE 7.3 New Jersey Pinelands preservation and pro- Pinelands environment, while others represent areas tection areas. (Source: Adapted from Pinelands Commission of concentrated residential, commercial, and indus- 1980) 266 CHAPTER 7

Seventeen programs (plus additional strategies) were developed for areas adjacent to the Pinelands that are important for water management or cultural viability. The 17 programs address development credits; land acquisition; surface and groundwater resources; vegetation and wildlife; wetlands; fire management; forestry; air quality; cultural resources; natural scenic resources; agriculture; waste management; resource extraction; recreation; housing; capital improvements; and data management. The most significant areas of the preserve are to be acquired with federal and state funds. As of 1998, Rural landscape near Steamboat Springs, Colorado. over 65,000 acres (26,306 hectares) of environmentally important land had been purchased (New Jer- sey Pinelands Commission 1998). The Pinelands development credit program is Teller County/City of Woodland Park, one of the more innovative elements of the plan. Colorado, Growth Management Plan The Pinelands Comprehensive Management Plan The City of Woodland Park in Teller County, Col- establishes a land-use regulatory system that limits orado, is located 20 miles (32 kilometers) west of residential development in environmentally sensi- Colorado Springs, which has a metropolitan popu- tive regions. Concurrently, the plan seeks to direct lation of nearly 400,000 (Figure 7.4). This proximity growth toward designated areas in a more compact to Colorado Springs is a source of both opportuni- pattern. The development credit program supple- ties and problems for Woodland Park and Teller ments land- use regulations. Development credits County. The scenic Rocky Mountain location makes are provided to landowners in preservation and the city and county attractive places for growth. But agricultural areas where residential uses are limited the growth, in turn, has the potential to destroy the or prohibited. The credits can be sold by the land- very natural and scenic qualities that attract people owners from these restricted areas to individuals in in the first place. growth areas. The landowners in the growth areas Gold mining created boomtown settlement in use the credits to gain bonus residential densities. the late nineteenth century. With the demise of min- According to Pinelands planners, the credits “thus ing, the population declined until the 1960s. Teller provide a mechanism for landowners in the [re- County’s population had peaked in 1900 at around stricted] areas to participate in any increase in de- 30,000* and bottomed out at 2495 in 1960 (Ansbro velopment values which is realized in growth areas” et al. 1988; Steiner et al. 1989). Between 1970 and (Pinelands Commission 1980, 210). As of 1998, over 1980, the population increased 142.3 percent, to 12,000 acres (4856 hectares) of land had been per- 8024. This growth has continued, and the popula- manently deed restricted under the Pinelands development credit program (New Jersey Pinelands *Although transient populations during the nineteenth- Commission 1998). (For more discussion about century gold rush have been reported to be as high as the transfer-of- development- rights concept, see 160,000, the peak resident population appears to have been Chapter 10.) somewhere around 30,000 people. 267 LANDSCAPE PLANS

FIGURE 7.4 Location of Teller County and Woodland Park, Colorado.

tion is expected to double between 1980 and 2000. ment process in cooperation with the School of Ar- Most of these people have settled in and around chitecture and Planning, University of Colorado at Woodland Park, which has become a “bedroom Denver. Through the School of Architecture and community” for Colorado Springs. The majority of Planning, Teller County and the City of Woodland Woodland Park residents commute over 30 minutes Park involved two planning studios in the develop- to work, which emphasizes the economic linkage to ment of a growth management plan. The first phase Colorado Springs (U.S. Bureau of the Census 1983). of the work involved research and data collection in The continued growth of Teller County and the fall of 1988. Students from the planning studio Woodland Park raises several specific issues that inventoried and analyzed natural and social condi- need to be addressed by local officials and planners. tions of the Woodland Park growth management A primary concern of local residents is that new de- area as well as the whole county (Ansbro et al. 1988; velopment should not be a burden on taxpayers. A Bowie et al. 1988). There were two teams of stu- second important issue involves the quality of new dents, one working on Teller County and the second development. It is felt that there should be policies on Woodland Park. The teams collected and inter- and guidelines that ensure quality development. A preted, in reports and on maps, information about third concern is that new development be timed and natural resources, including the fundamental geo- sequenced with the ability of local governments to logic, hydrologic, and bioclimatic processes that provide services and facilities. These three issues form the landscape. They also collected information have been identified by local residents through an about the socioeconomic and built environments of ongoing public participation process initiated by lo- Teller County. They conducted surveys about the cal citizens. Once the concerns were publicly identi- public attitudes concerning growth. This informa- fied, there was a desire that the issues generated by tion was presented to county and city officials and growth be addressed. planners to provide a basis for understanding envi- As a result, planners and citizens of Woodland ronmentally sensitive areas and opportunities and Park and Teller County initiated a growth manage- constraints for development. Suitability analyses 268 CHAPTER 7

were conducted for several land uses at both the city and the county levels. The second phase was undertaken during the spring of 1989. Again there were two teams of students: one each for Teller County and Woodland Park. These two teams made detailed population and development projections for the county. Essentially, because of its proximity to Colorado Springs and its scenic mountain location, the county’s population has been growing and is expected to continue to grow. The students developed visions and concepts for the county and the city as well as landscape plans and development design guides. Detailed designs were completed for specific areas in the region (Bell et al. 1989). The students analyzed options to implement the growth management plan. In addition, they developed a point system for development review that recognized environmentally sensitive areas and set performance criteria for various land uses. The plan is one that attempts to direct new growth to suitable areas and away from environmentally sensitive places. The Teller County and Wood- land Park landscape plans prepared by the students influenced the growth management plan adopted by county and city officials (Petersen et al. 1989). The Teller County landscape plan (Figure 7.5) was based on the landscape patterns plus the opportunities and constraints for development that were derived from FIGURE 7.5 Teller County landscape plan. (Source: the ecological inventory and analysis. Several con- Adapted from Bell et al. 1989) ceptual visions were used to formulate the plan. The concepts for Teller County were to preserve and enhance its rural and historic character, its scenic views, its economic base (including outdoor recreation and to these concepts. The Teller County plan comprises tourism), and its identity and sense of community. the following components of land use: residential, Additional Teller County concepts included the inte- urban, historic mining district, water recreation, sce- gration of development into the landscape, the inter- nic roadways, entryways, public lands, and range- pretation and protection of the county’s rich history, land (Bell et al. 1989). Three categories of future res- the creation of a tourism circulation system using idential development indicate primary, secondary, existing roads, and the protection of environmen- and tertiary locations for new housing. Urban cen- tally sensitive areas (Bell et al. 1989). ters are represented on the plan as three unincorpo- The resulting landscape plan is an attempt to or- rated communities, two towns, and the City of der the physical elements of the county in response Woodland Park (which was addressed in a separate 269 LANDSCAPE PLANS

landscape plan). Within these centers, the land uses ment...whilerecognizingpopulation growth in the involve a combination of commercial, office, indus- area will occur (Teller County Planning Commission trial, recreational, and residential properties. Two of 1995, 1). In accordance with the growth management the centers—Cripple Creek and Victor—are further plan, resource protection, historical, and cultural over- recognized for their historic value. The two towns are lays are used to protect specific and unique landscape part of a historic district listed on the National Regis- features. The Divide regional plan recognizes “scenic ter of Historic Places (Bell et al. 1989). and highly valued landscapes,” “sensitive areas,” and Eight areas are designated in the plan for future the “carrying capacity of land” (Teller County Plan- water recreation use, currently an underutilized re- ning Commission 1998a, 2–3). Meanwhile, the Floris- source in the county. The plan also suggested the sant regional action plan identifies “critical areas,” in- creation of a scenic tourism circulation system that cluding cultural sites, natural hazard areas, and natural would include improving the quality of entryways resource areas. Cultural sites “include areas of historic into the county. These scenic roadways would take or archaeological significance,” while natural hazard advantage of the stunning visual resources in the areas are defined to “include flood plains, steep slopes, area. Since public lands constitute almost half the wildlife lands, and geological hazards” (Teller County county, the lands managed by the state and federal Planning Commission 1998b, 4). government provide an additional resource for The Pinelands and Teller County plans differ tourism and recreation. Finally, the landscape plan from conventional comprehensive plans in their designated rangeland areas that are important as recognition of landscape ecology. In the Pine Bar- open space and as a reminder of the cowboy her- rens, where the protective document is called a com- itage of the county (Bell et al. 1989). prehensive management plan, critical landscape fea- In 1990, Teller County adopted its official tures are documented, recognized, and protected. In master plan based in large part on the growth man- the Pinelands plan, the goal is established to “pre- agement planning process, including the landscape serve, protect, and enhance the overall ecological plans (Teller County Planning Commission 1990). values of the Pinelands.” This goal is backed up both After the growth management plan was prepared by specific policies and by detailed implementation and the county plan adopted, the voters of Colorado strategies. These policies and programs are con- approved gambling for Cripple Creek in Teller cerned with soil, water, biotic, air, and human ele- County. The growth management plan helped miti- ments. The areas most suited for protection and for gate some of the negative impacts that resulted from growth are identified both on a map and in writing. the gaming industry. In addition, following adop- The plan seeks to achieve a balance between preser- tion of the growth management plans, gold mining vation and development. experienced a renewal. The plans also helped to di- In Teller County, landscape processes were minish the negative consequences of the mining. linked to the planning process. Landscape analyses The growth plan formed the basis for six regional were conducted at two scales to reveal patterns. action plans. The University of Colorado study also These patterns were recognized first in a set of con- influenced city and town plans. These regional and cepts for Teller County and Woodland Park and municipal plans continue to direct growth in the then in landscape plans for each. The landscape county (Teller County Planning Commission 1995, plans differ from conventional land-use plans in 1998a, 1998b; City of Woodland Park 1996). their recognition of integrated, rather than sepa- For example, the intent of the 4- Mile regional ac- rated, uses. tion plan “is to preserve the character and environ-

8 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

Education is a lifelong process that should seek to achieve awareness, balanced perception, learning, and decision making. To accomplish these goals, individuals must develop a functional understanding of their cultural inheritance as well as the ability to contribute in a positive manner to society. Education occurs through the traditional institutions identified for that purpose, through continuing involvement in a discipline, through community programs, and, in the broadest sense, through popular culture. Community education increases both citizens’ and planners’ knowledge about a place. Many planners have urged that public education and involvement efforts be integrated thoroughly into each step of the planning process. For instance, according to William Lassey,

If planning is to be successful, a major reordering of public education, involvement, and communication processes may be necessary. Existing scientific knowledge about effective communication processes, and knowledge about human learning provide

271 272 CHAPTER 8

vastly increased potential for public understanding, Planners, politicians, architects, landscape archi- ap preciation, and involvement in significant societal tects, and other community leaders have much to gain decisions. Formal education methods for diffusing in- from citizen participation. A public involvement pro- formation and internalizing knowledge are archaic gram can guarantee the success of a policy or project. It compared with potential learning capability of the hu- is also democratic. When viewed as part of ongoing man population. It is increasingly clear that lifelong community education, citizens and planners widen educational processes are essential for adequate hu- their planning knowledge as a result of participatory man adjustment to changing job requirements and efforts. life-styles, but effective communication of knowledge Citizen involvement techniques can be classified as crucial to public decision making is equally important information dissemination, information collection, ini- if the planet is to survive (1977, 74). tiative planning, reactive planning, decision making, and participation process support. Community organiza- As a result, community education must be both tions, publications, and television and radio can be future- oriented and ongoing. Continuing education used in a community education program. Two exam- should assist people in making linkages between their ples of planning efforts that have included an educa- individual skills and interests and larger public is- tional element include the University of Wisconsin sues. Without such linkages, the rules and regula- Community Development Program and the Blueprint tions developed to protect people’s health, safety, and for a Sustainable San Francisco Bay Area. welfare will be treated with suspicion by those whom they were meant to protect. Although community education and citizen involvement should be consid- Citizen Involvement ered central and integral to each step in the planning process as indicated by Figure 1.1, they are placed One of the major purposes of planning is to involve here in the process as a reminder that even after a citizens in their government. A program should be landscape plan has been developed, continued expla- developed that seeks to involve all citizens in each nation about the plan is often necessary before it is step of the planning process. There is no formula as implemented. to how to involve citizens in all phases of planning. Rachel Kaplan and her colleagues argue that “gen- However, the characteristics of such an open plan- uine participation needs to start early and reach the di- ning process are easy to identify. According to the verse segments of the population” (Kaplan et al. 1998, U.S. Department of Transportation, 126). They also note that “meaningful participation requires information that is readily understood” (Kaplan Openness means that the purpose and the content of et al. 1998, 128). A strategy that combines these two the process as well as the schedule for doing it, are de- points would be to involve people early, then collect and scribed as clearly and concretely as possible—the de- synthesize the relevant information so that it may be un- cisions that have to be made, the information that will derstood, and then reengage the public. However, citi- be used to make them, the choices which are and are zens can be involved in even the most technical steps of not open for consideration and why, and the time the planning process. For example, in the early 1970s, when different steps are necessary and desirable Ian McHarg worked with the people of Wilmington and (1976b, 8). Dover, Vermont, to compile a detailed ecological inventory and analysis of their region (McHarg and Steiner Many state laws and legislation for federal land 1998). management agencies mandate such involvement. 273 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

In Oregon, for instance, county and city govern- Planners in Oregon are responsible to “assure ments, which are responsible for preparing and that technical information is available in an under- adopting comprehensive plans, must have a pro- standable form.” There is also a requirement that gram that involves the public in an iterative way. “feedback mechanisms” exist to “assure that citizens The Oregon citizen involvement program has six will receive a response” from policymakers. Finally, components: Oregon law requires that there be adequate financial support to ensure “funding for the citizen involve- 1. Citizen involvement ment program” (Land Conservation and Develop- 2. Communication ment Commission 1980, 3; Department of Land 3. Citizen influence Conservation and Development 1996). 4. Technical information Other states have followed Oregon’s lead. For ex- 5. Feedback mechanisms ample, Arizona’s 1998 “Growing Smarter” law pro- 6. Financial support (Department of Land Con- motes citizen participation in general plan adoption servation and Development 1996). and amendment. Local governments in Arizona are required “to adopt written procedures to provide ef- The guidelines for the citizen involvement com- fective, early and continuous public participation ponent stipulate that the program should use a from all geographic, ethnic, and economic areas of range of media, including television, radio, newspa- the municipality” (Arizona Department of Com- pers, mailings, and meetings. Oregon universities, merce 1998, 3). These procedures must include “(a) colleges, community colleges, high schools, and broad dissemination of proposals and alternatives; grade schools are to provide information and (b) opportunity for written comments; (c) public courses about land-use planning. The program is hearings after effective notice; (d) open discussions, also to include an officially recognized committee communications programs and information ser- for citizen involvement. This committee is responsi- vices; and consideration of public comment” (Ari- ble for assisting the county commission or city zona Department of Commerce 1998, 3). council in the involvement effort (Land Conser- All federal land management agencies have vation and Development Commission 1980; De- guidelines for public participation, but the require- partment of Land Conservation and Development ments vary. For instance, the intent of public partic- 1996). ipation in the National Forest System is to Two- way communication between the governing body and the public is to be assured in Oregon • Ensure that the U.S. Forest Service under- cities and counties. Mechanisms such as newslet- stands the needs and concerns of the public ters, mailings, posters, and mail- back question- • Inform the public of U.S. Forest Service land naires are recommended. The purpose of the in- and resource planning activities volvement and the communication is to give • Provide the public with an understanding of Oregon citizens direct influence in the planning U.S. Forest Service programs and proposed process. Citizens are to be involved in data col- actions lection, plan preparation, the adoption process, • Broaden the information base upon which implementation, evaluation, and revision (Land land and resource management planning de- Conservation and Development Commission 1980; cisions are made Department of Land Conservation and Develop- • Demonstrate that public issues and inputs ment 1996). are considered and evaluated in reaching 274 CHAPTER 8

planning decisions (adapted from U.S. Con- those described in Chapters 2 and 6, on the basis of gress 1979) their function, as follows:

One of the reasons why federal land manage- • Information dissemination ment agencies have public participation programs is • Information collection to comply with National Environmental Policy Act • Initiative planning requirements and regulations (see Chapter 11). As a • Reactive planning result of NEPA, federal land planning activities are • Decision making subject to environmental impact reviews. USFS pub- • Participation process support lic participation efforts include keeping the news media informed of planning actions. Other activities Although a technique may have more than one include “requests for written comments, meetings, function, the classification is based on its primary conferences, seminars, workshops, tours, and similar purpose. The information dissemination class “con- events designed to foster public review and partici- tains techniques which inform the public of any pation” (U.S. Congress 1979, 53988). To increase in- steps the agency is taking, any opportunities the formation about its plans, the USFS is supposed to public has to [influence] the process, and the pro- coordinate its planning activities among all levels of posed plans that have been brought forward” (U.S. government, including other federal agencies, state Department of Transportation 1976b, 18). Various and local governments, and Indian nations. community education and information programs and open meetings are examples of this technique Classification of Citizen classification. Information collection techniques are used to Participation Techniques identify the major issues facing a community or to assess the attitudes that community may have re- The U.S. Department of Transportation (1976b) has garding the issues. These techniques can also be classified citizen participation techniques, such as used to determine the public support for planning goals, policies, and strategies as well as to collect inventory information. Surveys, public opinion polls, Delphi, community sponsored meetings, public hearings, and participant observation are some ways information is collected (see Chapter 4). In initiative planning, the responsibility for producing proposals and structuring options is assigned to the community or its representatives. Planning agencies, meanwhile, supply information and technical assistance. Advocacy planning, task forces, workshops, and charrettes are examples of initiative planning. Conversely, in reactive planning, it is the agency that makes the proposals and the community that reacts. Citizens’ advisory committees are an ex- One of the major purposes of an open planning process is to ample of reactive planning (U.S. Department of involve citizens in their government. Transportation 1976b). 275 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

Decision- making techniques are designed to help Means to keep people informed included newslet- a community develop a consensus on an issue, a ters, television, radio, and websites. goal, an option, or a plan. Such techniques do not replace the responsibilities of elected or appointed Information and Education officials but are intended to augment them. Refer- enda, which may in fact be binding, and citizen re- In addition to being a means for establishing goals view boards are two decision-making techniques and for selecting preferences, community organiza- (U.S. Department of Transportation 1976b). tions can provide information and education and The final classification is participation process can keep people involved. As reviewed in Chapters 2 support techniques. According to the Department of and 6, there are various types of or ganizations that Transportation (1976b), these methods serve to can be used in a community, including task forces, make other types of techniques more effective and to advisory committees, and neighborhood councils. cut across all of the other categories. Citizen hono- Such groups might sponsor a lecture by an expert raria may be used, for instance, to compensate peo- and/or the showing of a film or a slide presentation. ple for being involved in the process. Such payment Other meetings may take the form of a workshop may permit people to become active who would not where the group interacts with facilitators or with a otherwise be able to pa r ticipate. But paying people to two-way television connected with an individual or be citizens raises important ethical questions about individuals or another group or groups. the responsibilities of people in a democracy. An- Information can also be presented to communi- other technique is citizen training, where individuals ties through conferences and symposia. Community are taught leadership and planning skills (U.S. De- colleges, universities, or the Cooperative Extension partment of Transportation 1976b). Service may be used to help organize such gatherings. Professional and academic associations may be contacted for involvement as well. Since many mem- Continuing Community Education bers of associations are required to receive a certain number of hours of continuing education credit an- Public participation is concerned both with involv- nually, conference organizers may want to arrange to ing people in the process and then continuing to in- offer credit when appropriate. The content of conform citizens about changes and adjustments to the ferences and symposia may range from that of a gen- plan and its implementation and administration. eral nature to very advanced. In the Pinelands, for ex- Once a community is organized for the process, ample, conferences and workshops have been some form of that organization can continue. For organized ranging from rather simple question- and- example, in the New Jersey Pinelands a commission answer sessions to academic conferences on the ecol- was established that is responsible for involving ogy and culture of the Pine Barrens. people in the planning process and establishing a Planners are often invited to community orga- continuing information effort. The public partici- nizations and clubs, such as those listed in Table 4.1, pation program included activities like workshops to make presentations. These are good opportuni- and conferences, public workshops on specific top- ties to explain the planning process. Youth groups ics, personal communications and meetings, and such as the Scouts and 4-H also often invite speakers the use of knowledgeable private individuals for to their meetings. guidance in research areas of interests to the Pine - Many planning agencies and commissions, in- lands Commission (Pinelands Commission 1980). cluding the Pinelands Commission and the Oregon 276 CHAPTER 8

involvement. The overall program must be visible, continuous, and responsive (1980, 330).

Pinelands planners recognized that information, education, and involvement would inevitably overlap. “All information is educational in nature, and education requires involvement” (Pinelands Com- mission 1980, 330). Publications such as newsletters and interaction with reporters from the print and electronic media are crucial elements of the public information program in the Pinelands. Maps and aerial photographs can help citizens understand In the view of the commission, the Pinelands are the spatial consequences of planning actions. “a living laboratory” for education. Similarly, any place, any landscape can be considered a classroom to study natural, physical, and cultural processes. In the Pinelands, state and regional resources have Department of Land Conservation and Develop- been utilized to develop curriculum material for ment, maintain websites. For example, in 1998 the students and teachers at both the primary and sec- Pinelands Commission featured a website on “The ondary school levels. Bibliographic and library re- Pine Barrens Tree Frog & Other Friends.” The Pine sources have been created as part of the process and Barrens tree frog is viewed as a symbol for the re- have been made available to teachers and region. In addition to information about the ecology searchers. With the National Park Service, interpre- of the tree frog, artwork and photography were dis- tation programs about recreational areas and his- played. The commission indicated that different toric sites have been developed. A speakers bureau wildlife and vegetation species will be featured on its was created to match experts on various topics with website (www.state.nj.us/pinelands). community groups. In addition, the commission The Pinelands Commission developed a contin- developed ongoing educational activities with pri- uing program based on providing information to vate nonprofit and public organizations like the the public, creating awareness through education, 4-H, the Boy and Girl Scouts, garden clubs, and en- and involving people in the implementation of the vironmental groups (Pinelands Commission 1980). plan. According to the Pinelands Commission, The Pinelands Commission attempts to keep the public involved in a number of ways. There are the The public has to be kept informed of the Commis- meetings of the commission and its subcommittees. sion’s activities and the purpose of the Comprehen- Advisory committees established during the plan- sive Management Plan. Public information efforts ning process remain intact. The commission also must reach as wide and diverse an audience as possi- maintains its liaison with county and municipal ble. Educational materials have to be provided, em- governments (Pinelands Commission 1980). Plan- phasizing the sensitive nature of the Pinelands’ re- ning depends on the involvement of people. To keep sources and detailing critical issues related to their people involved, planners must provide timely and protection. Points at which public involvement is accurate information and create educational oppor- most meaningful have to be highlighted, with a range tunities. There are several media that can be utilized of opportunities provided for both active and passive for information and education. 277 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

Publications during less heated times. Ecological inventory information makes interesting copy for Sunday supple- Many types of publications are helpful as edu - ments or series by nature reporters. A rare plant or cational tools: newspapers, popular magazines, ex- animal species can arouse much public interest. tension bulletins, planning agency reports and man- Popular magazines may be used in much the same uals, and professional journals. Newspapers are, of way. Regional and city magazines are a good forum. course, quite interested in planning issues at stages Southern Living, for instance, has published espe- of controversy. Often the passage or failure of a new cially good articles on planning issues such as his- plan or regulation can hinge on how it is reported in toric preservation, energy conservation, and farm- local newspapers and by the ebb and flow of letters lands protection. In addition, Southern Living is an to the editor. Concise press releases are helpful to advocate of regional natural and cultural ecology. brief reporters during periods of controversy. Press Articles about flora and fauna mixed with vernacu- releases should include the name, address, and lar architecture and rich southern literary comment phone number of the chief contact on the planning are common. staff as well as a succinct summary of the debate. It One nationwide educational organization with may also be necessary to include dates and places of an extensive publication program is the Cooperative meetings and hearings. Extension Service. As its name indicates, the exten- The Institute for Participatory Management and sion service is a cooperative organization that in- Planning identifies four ground rules for press volves federal, state, and local governments as well releases: as state land-grant universities. The mission of the • Always put the information in its proper con- Cooperative Extension Service is to foster the trans- text; make the meaning of any announcement fer of technological and scientific knowledge gener- clear by giving sufficient background infor- ated from land- grant university research to the citi- mation. Assume the reader is not familiar with zens of each state and to encourage adoption of that the issue. knowledge. Although the extension service is active • Be concise. Send a few short, well- presented in urban areas, its traditional clientele is rural peo- messages rather than a big, complex, com- ple. Broadly the subject matter to be addressed by bined message. You should assume that the the extension service is to be related to agriculture reader has a short attention span. and home economics. Publications are the major • Clearly distinguish fact from opinion. While device that the extension service has used to dissem- opinions—or ways of interpreting certain inate information. The Cooperative Extension Ser- facts—can and should be communicated, you vice works with both local officials and the public. must be careful that you don’t label them as While the extension service vigorously promotes the facts. transfer of knowledge and information, it does not • Avoid any and all jargon. A good rule of take positions on political issues. In several areas, thumb is: use only expressions and words that the extension service has collaborated with local your mother [or father]—who happens not agencies to provide and to distribute publications to be a systems analyst—would understand about planning. (1997, V-41). The Cooperative Extension Service prints helpful planning-related reports and bulletins in many In addition to working with the press during states. Although it cannot print advocacy publica- times of controversy, journalists should be informed tions, the extension service can provide information 278 CHAPTER 8

helpful for citizens to gain a better understanding ership; others, however, should be written for a about planning issues and techniques. One notewor- broader audience. Manuals in plain English that ex- thy example is the Coping with Growth series pub- plain regulatory procedures are especially helpful lished by the Western Rural Development Center, a for real estate agents, home builders, and developers. consortium of western land- grant universities. This Packets and websites explaining a community com- informative series addresses topics such as commu- prehensive plan, zoning ordinance, subdivision reg- nity needs assessment, population studies, fiscal and ulations, public services, cultural activities, and nat- social impacts, and citizen involvement, and is avail- ural and social histories are interesting to new able through the Western Rural Development Cen- residents of an area. ter, Oregon State University, Corvallis, Oregon. Sim- Professional and academic journals address a ilar rural development consortia of land- grant narrower audience. Such publications are invaluable universities exist in the northeast at Pennsylvania forums for sharing experiences. But planners should State University, in the midwest at Iowa State Univer- not be constricted by disciplinary territorialism. sity, and in the south at Mississippi State University. They should read—and publish in—journals of the Non- land- grant universities also provide com- many related disciplines. This is a way to build munity service through design and outreach needed linkages among people trained or educated centers. For example, the Herberger Center for De- in various fields. sign Excellence coordinates research and outreach activities for the ASU College of Architecture and Television and Radio Environmental Design. The Joint Urban Design Program, part of the Herberger Center headquar- Television is a ubiquitous part of American life, tered in downtown Phoenix, leads the outreach mis- while radio provides an ongoing narration of public sion. Charrettes, often in collaboration with the City events. Commercial television and radio news are of Phoenix, are one outreach activity (see Chapter interested in controversial local issues in the same 6). The Herberger Center also disseminates infor- way as newspapers. Television and radio reporters mation through publications. Two- and four- page can be approached in the same way as print journal- newsletter- like reports summarize charrette and ists, although commercial stations will seldom ex- other community events. The Herberger Center plore issues in much depth during news programs. publishes longer, more technical reports as well. Television “magazine” and talkshow programs offer Most Amer ican colleges of architecture, planning, opportunities to explore issues in greater detail. and landscape architecture have similar centers. Public television and radio may even devote Increasingly, teaching, research, and service ac- more time to certain issues than will their news print tivities are becoming more intermingled at universi- colleagues. Many planners cooperate with public ties. This approach is consistent with Ernest Boyer’s broadcast journalists to develop in- depth analyses of (1990) call to replace the traditional teaching- issues and explanations of legislation. The Coopera- research- service triad for higher education with the tive Extension Service frequently works with public scholarship of discovery, the scholarship of integra- broadcasting stations and provides background in- tion, the scholarship of application, and the scholar- formation through television and radio similar to ship of teaching. that found in its printed bulletins and reports. Planning agency reports and manuals are im- The continued extension of cable television sys- portant educational tools. Some of these reports tems offers expanded opportunities for conveying must be technical and thus will have a limited read- planning information. Because of the increase in the 279 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

number of channels, there is a need for program- readability of documents can either help or hinder ming to fill the time. Planning commission meet- the planning process. The University of Wisconsin– ings and hearings can be broadcast live. Interactive Extension Community Economic Development arrangements between individual homes and gov- Program and the Blueprint for a Sustainable Bay ernment offices can be made so that interested citi- Area provide good examples of effective programs. zens can convey their views to elected and appointed officials. Public opinion polls and preference sur- University of Wisconsin–Extension veys can be conducted via television. Cable systems Community Economic Development Program also offer opportunities for continuing education courses through community colleges and universi- During the 1970s and 1980s the University of ties. These can be flexible short courses, or an ex- Wisconsin–Extension initiated a long-term rela- tended series targeted at the public, elected and ap- tionship with a number of small towns in Dane pointed officials, or professional planners. County as a part of the extension service’s community development program. More recently, the mission of extension service shifted, and the program is Two Examples of Education Programs now called the Center for Community Economic Development. First, the Dane County efforts are de- Involvement in government is fundamental to scribed, followed by the more recent activities. democracy. Information about the consequences of In each Dane County town involved with the decisions enhances the effectiveness of participa- program, a similar community development strat- tion. Average citizens tend not to read government egy was employed (Figure 8.1) and a similar format reports, including plans. As a result, the design and for reports was used (Figure 8.2). The county exten-

FIGURE 8.1 University of Wisconsin–Extension community development strategy. (Source: Domack 1981) 280 CHAPTER 8

FIGURE 8.2 University of Wisconsin–Extension community development report format. (Source: Domack 1981)

sion agent coordinated with and involved various TABLE 8.1 academic departments at the University of Wiscon- Topic Categories Used in the University of Wisconsin– sin. These departments included city planning, eco- Extension Community Consensus Study nomics, rural sociology, landscape architecture, and Topic Categories architecture. The extension service was able to bring 1. Parking to these small towns information that was not oth- 2. Traffic erwise readily available to citizens and leaders. The 3. Streets and roads 4. Public transportation extension service was then able to demonstrate to 5. Community growth and planning the citizens how this information could be useful 6. Economic growth (Domack 1981). 7. Shopping for goods and services A common set of studies was undertaken in each 8. Condition and appearance of downtown 9. Crime and law enforcement Dane County town. These studies included a com- 10. Public utilities munity- consensus study, a visual analysis, a trade 11. Local government officials and city service area survey, a survey of business owners/managers 12. Health care 13. Education and building owners, a threshold-level analysis, and 14. Recreation and leisure-time activities a report concerning the design op tions for the main 15. Local environment business district. The community- consensus study 16. Housing was essentially a preference survey. Three categories 17. Human relations 18. Other of people were surveyed: elected officials, non- elected community leaders, and citizens in general. SOURCE: Domack 1981. These groups were asked to rank potential problems facing the community (Domack 1981). The community- consensus survey consisted of five steps. First, a survey designed specifically for each small town was developed. Second, the people to be surveyed in the three categories were included 17 general topic categories, plus other identified. The third step was to conduct the in- miscellaneous questions (Domack 1981). terviews, which were done by University of Wis- Compiling and analyzing the survey information consin students meeting directly with the identi- was the fourth step in the community-consensus fied individuals. Table 8.1 shows how the survey study. Results were reported back through commu- 281 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

nity meetings, local news media, and publications. • What additional services and facilities do they After about ten weeks, once the survey results were think the community needs? reported, the fifth step was taken. This involved again • How can government officials better serve the surveying the elected officials, community leaders, needs of downtown businesspeople (Domack and the sampling of citizens to ascertain if any 1981, 12)? change may have occurred as a result or a reaction to the original survey (Domack 1981). The survey of business owners/managers and The downtown areas of smaller towns deterio- building owners was used to determine what these rate slowly, in a process that is often unnoticed by people thought about potential economic devel- local residents. The purpose of the visual analysis opment in their downtown area. The survey portion of the University of Wisconsin–Extension helped to gauge the willingness of the business program was to help each community see how their community to participate in change. This survey town looked to outsiders. This was accomplished also provided an overview about how the busi- through an extensive photographic effort, in which nesspeople viewed economic opportunities and between 600 and 800 slides were taken. The effort problems in their towns (Domack 1981). concentrated on important gathering areas such as The final survey used in the extension program the downtown, parks, schools, and churches. The re- was the threshold- level analysis. This was a market sults of the visual analysis were presented at com- survey used to determine whether a particular munity meetings (Domack 1981). type of new business could be a success in the According to the University of Wisconsin– town. According to the University of Wisconsin– Extension, a trade area is the economic region from Extension, a threshold is the minimum number of which community businesses draw their customers. people needed to support one business of a partic- It comprised both rural and built- up areas. In the ular type. The extension service has developed University of Wisconsin–Extension trade area sur- thresholds through the study of 100 small Wiscon- vey, a consumer questionnaire was utilized to pro- sin communities. Table 8.2 illustrates threshold vide local businesses with information about their populations, hierarchical marginal goods, and the current and potential customers. In this survey the rank of selected central functions for central place following information was sought from local con- hierarchy in Wis consin. Figure 8.3 illustrates the sumers: relationship between community size and the number of businesses that can be supported, while • Where do they shop (what towns and shop- Table 8.3 shows the number of people required to ping centers)? support various businesses in Wisconsin. • What influence does media advertising (news- Threshold-level analysis helps local businesspeo- papers, radio, television, and/or direct mail ple and investors create an accurate picture of the fliers) have on their shopping decisions? economic potential of their town (Figure 8.4) (Do- • What are their main considerations (price, mack 1981). quality, and/or brand name) when they pur- The purpose of all these studies—the commu- chase a particular product? nity consensus, visual analysis, trade-area survey, • Where do they purchase specialized goods and survey of business owners/managers and build- services most often? ing owners, and threshold- level analysis—was to • Are existing store hours compatible with their help small-town residents better understand their schedules? community, and particularly its limitations and 282 CHAPTER 8

FIGURE 8.3 Relationship between community size and the number of businesses that can be supported. (Source: Domack 1981) 283 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

TABLE 8.2 Threshold Populations, Hierarchical Marginal Goods, and Rank of Selected Central Functions for the Central Place Hierarchy in Wisconsin Mean Hierarchical Level Central Functions Population Hamlet Taverns Service stations 200 Grocery stores Minimum Post office Drugstore 800 convenience Bank Auto parts and supplies Elementary and secondary school Legal services Beauty shop Hotel or motel Hardware stores Bowling alley Farm supplies Public golf course Motor vehicle dealer Furniture store Lumber and building materials Bakery Insurance agent Women’s clothing store Dentist Laundry and cleaning service Farm machinery and equipment Variety store Physician Petroleum bulk station Barber shop Real estate agent Auto repair Liquor store Full convenience Funeral home Jewelry store 2,000 Radio and television store Florists Accounting, auditing, and Billiard hall bookkeeping services Sheet-metal works Optometrists Men’s clothing store Shoe store Photographer Movie theater Partial shopping centers Nursing home Fire and casualty insurance brokers 3,800 Sporting goods and bike shops Civic, social, and fraternal associations Labor unions Engineering and surveying services Complete shopping Amusement and recreational services Auto and home supply store 11,000 centers Family clothing stores Wholesale beer distributor Gift and novelty shop Wholesale-retail Telephone office Mobile home dealers 62,000 centers Dairy wholesalers Sewing, needlework, and piece goods Department stores Industrial equipment and machinery Chiropractors Paint, glass, and wallpaper Business associations Meat and fish markets Janitorial services Livestock marketing Used car dealers (used only) Welding repair Specialty repair Hospitals Sports and recreation clubs Radio stations Fuel oil wholesalers Lumber, plywood, and millwork Boat dealers Dairy product stores Day care centers Car washes Floor covering stores Stationery stores Used merchandise stores Household appliance stores Title abstract services

SOURCE: Domack 1981. 284 CHAPTER 8 (Source: Domack 1981) (Source: An example of decision options resulting from a University of Wisconsin– Extension community devel- community Extension ofWisconsin– of a University example An from decision options resulting opment program. program. opment FIGURE 8.4 285 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

TABLE 8.3 sity of Wisconsin Department of Urban and Re- Populations Required to Support Additional gional Planning. The academic department offers a Establishments of Selected Functions in Wisconsin graduate degree in com munity development. The Number of Establishments center helps communities throughout Wisconsin Function 1 2 3 4 to strengthen business activities. A website de- Taverns 77 244 478 711 scribes the center’s economic development pro- Food stores 92 1,104 4,697 29,119 grams (www.uwex.edu/ces/cced). Center staff and Fuel oil dealers 164 685 1,577 2,850 University of Wisconsin faculty undertake market Filling stations 186 459 799 1,135 Feed stores 247 4,895 28,106 97,124 analyses for business, identify community indica- Beauticians 268 851 1,673 2,702 tors for economic development, and various urban Insurance agencies 293 666 1,077 1,514 initiatives. Farm implements 309 3,426 14,004 38,025 Restaurants 316 754 1,253 1,797 Hardware stores 372 1,925 5,032 9,949 Auto repair shops 375 1,148 2,209 3,517 The Blueprint for a Sustainable Bay Area Motels 384 2,072 5,557 11,189 Real estate agencies 418 1,226 2,301 3,597 In 1996, a not-for- profit nongovernmental organi- Auto dealers 420 1,307 2,937 4,063 zation called Urban Ecology published its green Plumbers 468 2,717 7,604 15,780 Physicians 493 1,352 2,436 3,702 plan for the San Francisco Bay region. The Blueprint Lawyers 497 1,169 1,927 2,748 for a Sustainable Bay Area defined the region con- Radio- TV sales 521 1,815 3,765 6,316 sisting of 9 counties, 100 cities (including San Fran- Drive-in eating places 537 4,851 17,572 43,799 Dentists 563 1,744 3,379 5,402 cisco, Oakland, and San Jose), 7400 square miles Supermarkets 587 2,968 7,610 14,881 (19,166 square kilometers), and over 6 million peo- Appliance stores 607 3,709 10,691 22,659 ple (Urban Ecology 1996; see also McNally 1999). Liquor stores 613 4,738 15,669 36,509 Urban Ecology’s blueprint is based on principles of Barber shops 632 5,297 18,372 44,404 Furniture stores 637 4,833 15,819 36,686 sustainability and focuses on four levels: the home, Drugstores 638 4,285 13,053 28,771 residential neighborhoods, urban centers, and the Auto parts dealers 642 5,496 19,284 46,991 region as a whole. The blueprint is compiled in an Laundromats 649 5,665 20,114 49,264 attractive, easy- to- read publication with a clear or- Women’s clothing stores 678 5,471 18,544 44,133 Department stores 691 5,408 18,012 42,295 ganizational structure (Figure 8.5). Dry cleaners 692 4,131 11,746 24,655 Urban Ecology defines seven principles for sus- Shoe stores 712 7,650 30,670 82,146 tainable development that guide the blueprint: SOURCE: Domack 1981. 1. Choice. Provide Bay Area residents with new choices for a prosperous life. 2. Accessibility. Promote development and potentials. The program integrated community transportation alternatives that connect the education with citizen participation. region. The Center for Community Economic Devel- 3. Nature. Protect, restore, and integrate nature opment was established in 1990 by coalescing the into the lives of Bay Area residents. extension specialists involved in community devel- 4. Justice. Work toward a Bay Area that is more opment. As of 1999, the center had a staff of seven. socially, economically, and environmentally The center maintains an affiliation with the Univer- just. 286 CHAPTER 8 (Source: Urban Ecology 1996) Urban (Source: Area. The blueprint for a sustainable Bay FIGURE 8.5 287 CONTINUING CITIZEN INVOLVEMENT AND COMMUNITY EDUCATION

5. Conservation. Encourage resource conserva- TABLE 8.4 tion and reuse as integral to the Bay Area way Indicators for Assessing Whether a Neighborhood Is of life. in Decline 6. Context. Design with respect for the unique- Is Your Neighborhood in Decline? ness and history of localities and the region. The more items you can check on this list, the more likely 7. Community. Enable Bay Area residents to your neighborhood is vulnerable to decline and abandon- nurture a strong sense of place, community, ment by residents, businesses, and government. See the case and responsibility (Urban Ecology 1996, 16– studies to find out what neighborhoods in the Bay Area are doing to reverse this trend. 17). ❏ You send your children to schools outside the neighborhood. Examples were drawn from within the Bay Area ❏ Your children hang around the house when not in school and elsewhere to illustrate these seven principles at because there’s no safe local place to play or hang out. the various scales. From these examples and the ❏ People can’t use, enjoy, or feel safe in parks, streets, and principles, the authors of the blueprint offered sug- other neighborhood places. gestions for achieving local and re gional sustainabil- ❏ There is no park in your neighborhood. ity. For neighborhoods, these included a feeling of ❏ You have to leave your neighborhood to get basic goods belonging, safety, and support; an identity; diversity and services such as grocery stores, banks, and drug- close at hand; streets primarily for people; a range of stores. public spaces; access to nature; connections to cen- ❏ The bus stop is too far to walk to, and service is infre- ters; self- reliance; and active self- governance (Urban quent or irregular. Ecology 1996). They also identified indicators for ❏ The sidewalks and front yards are untidy. assessing whether a neighborhood is in decline ❏ Potholes aren’t getting fixed. (Table 8.4). ❏ Police take five minutes or more to respond to emer- “There’s no such thing as a purely local commu- gency calls. nity,” the blueprint authors declare (Urban Ecology ❏ Property values are declining due to crime, drugs, or a bad reputation. 1996, 69). They define the region’s ecology as “a ❏ product of the interdependence of the natural sys- You know few of your neighbors and rarely interact with them. tems and those made by humans” (Urban Ecology ❏ You are embarrassed to tell people where you live. 1996, 69). Considerable attention is given to helping residents recognize the region as “a place of many SOURCE: Urban Ecology 1996. pieces,” then stimulating them to “think regionally.” Thinking regionally involves understanding the bioregion, making use of the region’s natural potential and amenities, and balancing local and regional decision making (Urban Ecology 1996). Five suggestions are made for better planning. carefully. Fifth, spending and decisions should be First, the bay and the existing greenbelt through the made more wisely (Urban Ecology 1996). region need to be protected. Second, transportation The devices that Urban Ecology used to illus- systems and land uses should be connected. Third, trate the regional consequences of such planning or economic connections to “a healthy natural and so- lack thereof included a series of three maps (Figure cial environment” need to be understood. Fourth, 8.6). These maps illustrate the bay as greenspaces materials, water, and energy should be used more existed in 1848 and in 1990, as well as how it could 288 CHAPTER 8

FIGURE 8.6 Bay Area greenspaces. (Source: Urban Ecology 1996)

develop without better planning in the future. An then they will support government actions based on EcoAtlas of the bay, developed by the San Francisco the same understanding. The Bay Area Blueprint Estuary Institute (Figure 4.1), was also used links these relationships to sustainability. The au- (Grossinger et al. 1999). thors of the blueprint declare, “A sustainable Bay The blueprint was compiled as an educational Area supports and improves the quality of life of all resource for Bay Area residents. Its premise is that to its residents and recognizes the interdependence of “make sustainability happen,” people need to work its people, culture, economy, [and] urbanized and together. They also should understand the ecology natural environments. More importantly, it is a re- of their region and the consequences of their ac- gion that knows itself, demands the utmost of itself, tions. The blueprint makes specific recommenda- and understands what it has to lose” (Urban Ecology tions for how individuals, government, business, 1996, 125). As with the Wisconsin effort, the authors and groups of people can work together to plan a of the blueprint envisioned an ongoing public edu- more sustainable region. cation and involvement process. This vigorous pur- A goal in both the Bay Area Blueprint and the suit of public education differentiates these exam- Wisconsin Community Development Program was ples from more conventional planning processes, to illustrate cause- and- effect relationships. The the- where an educational campaign may be mounted at sis is: If people better understand such relationships, only one or two steps in the process.

9 TESTING PLANNING CONCEPTS THROUGH DESIGN

Design involves the conception of culturally beneficial change. Design changes elements of the physical en vironment as well as relationships among elements. By making specific designs based on the plan and the planning process, landscape planners can help decision makers and citizens visualize and comprehend the consequences of their policies. By carrying policies through to the arrangement of the physical environment, another dimension is added to the process. The spatial organization of a place is affected through design. Specific designs represent a synthesis of all the previous steps in the planning process. During the design step, the short- term benefits for the land user or individual citizen have to be combined with the long-term economic and ecological goals for the whole area. According to Anne Spirn (1989, 1998), design should respond to the “deep structure” and “deep context” of the place. She defines deep structure as the fundamental geologic, hydrologic, and bioclimatic processes that form the landscape. Deep context is how these pro cesses have interacted with culture through time to form the unique spatial characteristics of a place. Spirn’s design theory is “based upon an un-

291 292 CHAPTER 9

derstanding of nature and culture as comprising inter- land parcel. A single house or group of houses, an woven processes that exhibit a complex, underlying or- office park, a commercial shopping center, or a der that holds across vast scales of space and time” combination of uses may be involved. Kevin Lynch (1988, 108). The purpose of making designs a part of and Gary Hack define site planning as “the art of ar- planning is to manifest an understanding of these fun- ranging structures on the land and shaping the damental processes and their capacity to accommodate spacing between, an art linked to architecture, engi- change as well as to illuminate the underlying order so neering, landscape architecture and city planning” that it will be helpful in decision making. Design should (1984, 1). Site design may be viewed as the applica- make the interrelationships between natural and cul- tion of the planning process to a specific parcel of tural processes and political choices less abstract. De- land. Kevin Lynch, who wrote the standard text on sign should make visible “natural pro cesses and their the topic, identified the eight stages of site planning temporal cycles,” according to Spirn (1988, 108). proper: Designs may be presented in various formats. The design may involve individual site or land-user plans 1. Defining the problem that form parts of the overall landscape plan. Examples 2. Programming and the analysis of site and of such specific designs are the farm and ranch conser- user vation plans completed for individual land users by the 3. Schematic design and the preliminary cost es- U.S. Natural Resources Conservation Service. A design timate simulation may be done that compares the existing sit- 4. Developed design and detailed costing uation with various scenarios, such as one based on the 5. Contract documents landscape plan and one with no action, or one based 6. Bidding and contracting on preservation versus another on development. 7. Construction There may be specific designs for new facilities to illus- 8. Occupation and management (Lynch and trate the implications of plan implementation. Such Hack 1984, 11) designs can be derived through charrettes or other public participatory techniques, and they may be done Lynch recognized this process as a standard or- by landscape architects and architects. Demonstration ganizing tool but one that seldom occurs in a step- projects can be built as prototypes to exemplify the by- step fashion. “Reciting these stages makes them consequences of the plan. Innovative design projects sound logical and linear, but the recital is only con- can also influence public policy. Ideas about sustain- ventional; the real process is looping and cyclical” able design and the new urbanism are especially rele- (Lynch and Hack 1984, 11). Design, according to vant to ecological planning. Two examples of specific Lynch, is the “search for forms” that “deals with par- landscape design are presented here, one from the ticular solutions” (Lynch and Hack 1984, 127). Connecticut River Valley in Massachusetts, and the Lynch and Hack observe that “site design deals with other from the New York City region. three elements: the pattern of activity, the pattern of circulation, and the pattern of sensible form that supports them” (1984, 127). The conventional Lynch site planning process Site Design has many strengths, but design is not part of broader planning concerns, except in its response to govern- Site design is concerned with the physical arrangement restrictions, nor is the site linked to its larger ment of the built and natural elements of a specific context. Lynch wrote elsewhere about “the sense of 293 TESTING PLANNING CONCEPTS THROUGH DESIGN

the region,” and Lynch and Hack mention “contextu- alism” in the third edition (1984) of Lynch’s (1962) classic text on site planning, but the site is not viewed as part of a hierarchical organization. One approach that does advocate a hierarchical perspective is “diagnosis and design,” developed by planner John Raintree for agroforestry work in Africa and other tropical and subtropical places. It is a method for the diagnosis of land management problems and the design of solutions. Raintree bases his approach on a medical analogy, “Diagnosis should precede treatment” (1987, 4). The key fea- Sketch for Rebstock Park in Frankfort, Germany tures of a diagnosis and design approach, according by Laurie Olin. (The Olin Partnership) to Raintree, are its flexibility, speed, and repetition. In the diagnostic stage, the planner asks, “How does the system work?” (Raintree 1987, 6). Such questions inevitably lead the planner to view the site as part of a larger network of activities. The design stage then focuses on how to improve the system. Raintree’s approach includes a regional reconnais- urbanism to create human places that are “restora- sance, from which sites are selected for diagnosis tive and regenerative” (1997, 22). Ecologically based and design. When conducting a diagnosis of a place, design holds the prospect of being restorative, re- the planner conducts surveys, makes analyses, and generative, and creative (Thompson and Steiner identifies specifications for appropriate interven- 1997). tions. Design at the site level then represents appropriate interventions at the local level. Agroforesters such as Raintree helped to create Individual Land- User Designs: Farm the foundation for sustainable design. The rise in in- and Ranch Conservation Plans terest in sustainability has coincided with the movement in architecture originally called neotraditional Farm and/or ranch conservation plans are an exam- town planning and currently known as the new ur- ple of site-specific, land-user designs with a rela- banism. The Ahwahnee principles (Table 1.4) pro- tively long tradition in the United States. Farm-level vide helpful guidance for site design. The sustain- conservation plans were first conceived during the able design evaluation checklist (Table 9.1) can also 1930s to help farmers address soil erosion problems. be helpful. For 50 years, these plans remained voluntary. In the Timothy Beatley and Kristy Manning credit new early 1980s, states like Iowa and Wisconsin began to urbanism with contributing much “to the critical require such plans as prerequisites for certain types dialogue and assessment of contemporary develop- of financial benefits. Then, in 1985, the U.S. Con- ment patterns” (1997, 20). However, they argue that gress passed conservation provisions requiring con- new urbanism “is not strongly environmental in servation plans on highly erodible land in order for orientation” (Beatley and Manning 1997, 21). Beat- landowners to remain eligible for federal agricul- ley and Manning offer ways to go beyond the new tural programs. 294 CHAPTER 9

TABLE 9.1 Sustainable Design Evaluation Checklist SUSTAINABLE Completely Partly Neither Partly Completely NOT SUSTAINABLE Creates new permanent Reduces employment jobs...... opportunities Buildings and spaces are Buildings and spaces are not adaptable ...... adaptable Provides educational Reduces educational opportunities ...... opportunities Creates affordable human Destroys affordable human habitat ...... habitat Reduces health risks ...... Increases health risks Diminishes inequities ...... Increases inequities Increases opportunities for Reduces opportunities for social interaction...... social interaction Enhances safety ...... Creates unsafe environments Maximizes open space Minimizes open space provision ...... provision Builds on local context ...... Disregards local context Reduces stress (physical and Increases psychological) ...... stress Beautiful...... Destroys beauty Diverse ...... Homogeneous Remediates natural landscape ...... Degrades natural landscape Creates purer air ...... Destroys pure air Creates purer water...... Destroys pure water Uses rain water ...... Wastes rain water Replenishes groundwater ...... Depletes groundwater Produces its own food ...... Produces no food Creates richer soil ...... Destroys rich soil Uses solar energy...... Wastes solar energy Stores solar energy ...... Consumes fossil fuels Creates silence ...... Destroys silence Consumes its own wastes ...... Dumps waste unused Maintains itself ...... Needs repair/cleaning Matches nature’s pace...... Disregards nature’s pace Provides wildlife habitat...... Destroys wildlife habitat Moderates climate and Intensifies weather ...... climate Increases use of renewable Increases use of non- resources ...... renewable resources Uses local resources...... Imports resources Self- sufficient...... Reliant on imports Encourages walking/biking ...... Encourages automobile use Encourages transit Encourages private use ...... automobile use Reduces length of daily Increases length of daily automobile trips ...... automobile trips

SOURCES: Steiner et al. 1998; Pijawka et al. 2000. 295 TESTING PLANNING CONCEPTS THROUGH DESIGN

The plans are prepared by NRCS conservation- dimensional computer walk-throughs are some of ists with land users in cooperation with local con- the techniques that can be used to simulate the conservation districts. A conservation plan involves sequences of a plan. Drawings are used commonly to a process parallel to the broader one being described describe visual changes. A sequence of sketches can in this book and with similarities to the approaches be used to show the existing conditions, the conse- advocated by Lynch and Raintree. A conservation quences of current trends, and the potential out- plan is a collection of information, an identification comes of various interventions (see the discussion of of erosion and other conservation problems, and the Connecticut River Valley and the New York City the proposal of solutions. The planning principles, region later in this chapter). Computers can be used the elements of the planning process, and the data to to produce perspective drawings or to montage a be used in the plans are clearly outlined in the drawing into a photograph. There are various ways NRCS’s National Conservation Planning Manual. to manipulate photographs to illustrate the conse- The planning principles include close personal con- quences of an action, including photomontage and tact with farmers and ranchers, the use of interdisci- photo retouching. Three- dimensional models can be plinary resource information, an open-ended plan- built that graphically display before- and- after situa- ning process, and flexibility to local situations (U.S. tions. Videotape or film may be used to give people a Soil Conservation Service 1978; U.S. Natural Re- ground- level view of those models over time (Or- sources Conservation Service 1998). tolano 1984, 1997). According to the NRCS approach, site- level plan- In its 1988 state development and redevelop- ning involves the pooled knowledge and experience of ment plan, the New Jersey State Planning Commis- both the planner and the land user. It is stressed that sion used drawings to illustrate its regional design there is “a direct and essential link between effective system. The regional design system attempts to link participation in planning and applying resource man- communities into networks by redistributing “re- agement systems on the land” (U.S. Soil Conservation gional growth from sprawling settlement patterns Service 1978, 506–3). To accomplish this linkage, a into a variety of relatively compact, mixed- use com- process is suggested similar to the one presented in munities” (New Jersey State Planning Commission this book. The NRCS process consists of three phases 1988, 45). and nine steps. The first phase, collection and analysis, The New Jersey regional design system has three includes problem and opportunity identification, the components. The first part is a five-level hierarchy determination of objectives, the inventory of re- of central places: cities, corridor centers, towns, vil- sources, and the analysis of resource data. lages, and hamlets. Transportation corridors form Phase 2 is decision support and involves the for- the second component, and the land surrounding mulation of alternatives, the evaluation of alterna- the central places the third part. The New Jersey tives, and the selection of alternatives. Application State Planning Commission has developed a series and evaluation is the focus of the final phase (U.S. of strategies and policies to direct growth to the cen- Natural Resources Conservation Service 1998). tral places and away from the surrounding areas and to manage the development of transportation corridors. Community design plans, which include site Simulation design criteria and design review procedures, are to be used by the state, counties, and municipalities. Perspective drawings, artist’s impressions, pho- The consequences of this regional design system tography, three-dimensional models, and four- were illustrated with drawings simulating existing 296 CHAPTER 9

conditions (Figure 9.1), trends (Figure 9.2), and the Sonoran Desert. How much suburban development implemented plan (Figure 9.3) (New Jersey State can the landscape absorb? At what point does the Planning Commission 1988). Sonoran Desert cease to exist? How well does native desert wildlife mix with suburban development? What species of wildlife should be retained and Conceptual Design from Charrettes how? Can more water be retained on-site during storms? What is the “southwestern lifestyle”? How Charrettes are fertile sources for design ideas. The can a sense of community be created? What are the Sonoran North Land Use Character Charrette (dis- long-term costs to the city for providing services cussed in Chapters 6 and 7) produced design ideas and maintaining the infrastructure required to ac- for four land-use character types. For example, the commodate suburban development? Are these costs charrette raised as many questions as it answered more or less than the overall benefits? In light of the about suburban desert development in the north fact that inner-city neighborhoods are in need of re-

FIGURE 9.1 Simulated existing conditions. (Source: New FIGURE 9.2 Simulated trends. (Source: New Jersey State Jersey State Planning Commission, Communities of Place: The Planning Commission, Communities of Place: The Prelimi- Preliminary State Development and Redevelopment Plan for nary State Development and Redevelopment Plan for the State the State of New Jersey 1988, Vol. 2) of New Jersey 1988, Vol. 2) 297 TESTING PLANNING CONCEPTS THROUGH DESIGN

over the entire site may result in a greater impact on the environment than an equal number of small lots clustered on one portion of the site. Therefore, development plans must be evaluated by weighing the impacts on the environment and not by measuring the size of the lots being proposed by the developer. For example, Figure 9.4 illustrates an open-space system based on desert washes. The idea was to use the wash structure to provide a framework for development. Figure 9.5 is a second sketch from the charrette illustrating this design in greater detail. A third charrette drawing (Figure 9.6) contrasted the current suburban pattern with a more sensitive option. The more sensitive design protected more natural areas by narrowing roads and placing buildings closer to the streets. New houses were also kept below the existing tree canopy, and only native plants were used. The overall charrette process generated development characters for various densities. Diversity of density is advocated for the Desert View Tri- Villages Area. Desert suburban development is viewed as FIGURE 9.3 Simulated consequences of the regional design system. (Source: New Jersey State Planning Commission, one density along with higher densities in the Communities of Place: The Preliminary State Development growth corridor to lower densities in rural areas and and Redevelopment Plan for the State of New Jersey 1988, no development in the preserves. However, the char- Vol. 2) acter envisioned for suburban development is different than the existing patterns. A desert suburban character is suggested, one where new communities fit the Sonoran landscape. pair and improvement, are new suburban develop- In 1997, David Pijawka and the author received ments a wise use of the relatively pristine Sonoran a Sustainable Development Challenge Grant from Desert? How does automobile-oriented suburban EPA.* As part of that grant, they organized two development impact traffic, noise, and air quality? charrettes with an interdisciplinary team of ASU The issue of suburban development and faculty, design and planning practitioners, and whether it fits the landscape is often defined solely graduate students in environmental planning. Bill in terms of density. Lower densities are thought to Kasson and John Blair played vital roles as project cause fewer negative environmental impacts than manager and senior research associate, respectively higher densities. However, this may not always be (Kasson et al. 2000). the case—especially if the overall density of the site (gross density) is being compared with the density of development on only a portion of the site. For ex- *Portions of this section were adapted from Steiner et al. ample, a certain number of large lots spread out 1998 and Kasson et al. 2000. 298 CHAPTER 9

FIGURE 9.4 Open-space system based on desert washes.

La Lomita Charrette stockyards and present- day industrial uses to the south. The site is less than one mile from Phoenix The first charrette was held in November 1997 and Sky Harbor International Airport, is bisected by one addressed a 180-acre (73-hectare) vacant site near of the region’s major freeways, and is less than one- downtown Phoenix called La Lomita (Ingley 1998). half mile (0.805 kilometer) from one of Phoenix’s The La Lomita site lies near the center of the primary village core areas. Development of that core Phoenix metropolitan area. The Arizona State Land is anticipated in the near future (Pijawka et al. Department owns the property and is constitution- 2000). ally charged with obtaining the highest possible price for its sale or lease. The land department is also Common Themes from the obligated to oversee the disposition of archeological La Lomita Charrette resources known to exist on the site. The land was under cultivation into the 1970s and the surround- The participants at the charrette came up with four ing area has long acted as the transition zone be- designs for the La Lomita site. Although each design tween residential uses to the north and the historic was distinct, several similarities emerged among the 299 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.5 Wash corridor as open-space system.

four designs (Figures 9.7 and 9.8). Each scheme tions for building codes, community gardens, hous- dedicated the northern portion of the site as resi- ing, and solar energy. dential/retail space with a fairly high density, while the southern portion—with its limited road access Building Codes. Existing city zoning and build- and proximity to the Phoenix Sky Harbor Interna- ing codes are not conducive to sustainable develop- tional Airport—was designated as light industrial ment. For example, live/work systems, large com- and office space. A significant archeological site was munity garden plots, mixed density, many solar left undeveloped and provided open space and edu- options, narrow unpaved lanes, and graywater cational opportunities. Other important themes use—all characteristic of a sustainable development identified by each of the groups included sugges- environment—are not permitted under the current 300 CHAPTER 9

FIGURE 9.6 Comparison of current suburban pattern to one integrated with the desert.

code. One strategy for creating a sustainable neighborhood would be to permit developers a one- time- demonstration waiver on certain codes. Such a demonstration could help city officials determine the feasibility of changing existing codes.

Community Gardens. Community gardens are active green spaces which serve many neighborhood and environmental purposes. Because they are oc-

cupied by those planting, harvesting, and maintain- FIGURE 9.7 La Lomita design concept for an integrated ing the plants and the land, they are not attractive to living and working environment. (Drawn by Bruce Kimball) criminals. Gardens provide a retreat for residents. They enable residents to grow their own food and use their own compost. Gardens are sustainable. mended to eliminate a feeling of being too crowded, Housing Possibilities. A variety of mid- and high- and to integrate a greater variety of income groups, density housing possibilities emerged from the char- ages, races, and genders. rette teams. Live/work areas were designated in each design. Multistory buildings with solar collectors Solar Energy. Solar energy presents a great natu- and seasonal shading with appropriate plantings ral opportunity in the Phoenix metropolitan area, were explored, as were various loft, flat, and in-law like many other regions. Solar collection influences arrangements. A variety of densities were recom- the siting of buildings. Natural daylighting also 301 TESTING PLANNING CONCEPTS THROUGH DESIGN

presents opportunities for minimizing energy use (Kasson et al. 2000).

Arroyo Vista Charrette

The second EPA sustainability charrette was conducted in February 1998 on a suburban fringe site in north Scottsdale, near the Desert View Tri-Villages Area. The 1000- acre (405- hectare) site was called FIGURE 9.8 La Lomita design concept for plaza and Arroyo Vista. As with the Tri-Villages and La Lomita canal. (Drawn by Bruce Kimball) sites, a thorough ecological inventory and analysis was conducted prior to the charrette. The site was selected for contrast with the La Lomita parcel and because it is typical of the areas experiencing the

Dancing Walls Sculpture Garden in Sante Fe, New Mexico. (Designed by Clair Reiniger; photograph by Benjamin T. Rogers) 302 CHAPTER 9

most intense development pressure in the Phoenix TABLE 9.2 metropolitan region. Charrette Goal and Objectives Most of the research team and the charrette par- Goal ticipants would have preferred that no development To demonstrate how sustainable design contributes to better occur on the Arroyo Vista site. However, that was neighborhood and community living. unrealistic because the site was surrounded on all sides by development and was zoned for light indus- Objectives trial, commercial, and residential use. The team de- 1. In the context of comprehensive neighborhood develop- veloped a list of goals and objectives for the char- ment, produce building and landscape archetypes that serve as models and prototypes for sustainable design. rette (Table 9.2). 2. Demonstrate how thoughtful, sensitive, and innovative For each design objective in Table 9.2, the team design principles address issues of environmental sus- developed ideas in advance to stimulate thought tainability. and discussion among the charrette participants. 3. Demonstrate the value of a highly participatory and interdisciplinary design process. These were: 4. Integrate elements that contribute to sense of place, respond to context, and improve the quality of life that are 1. Ecological integrity consistent with the larger social, economic, and ecological principles of sustainable design. Density: Either clustering or dispersion can 5. Use the charrette results as an educational tool serve to preserve/protect ecological health, to inform the greater public and development depending on ecological priorities. community. Open space: Enhance the natural ecological 6. Disseminate and evaluate the charrette results to contribute to dialogue, debate, and discussion at future pub- features of the site by preserving natural lic forums. drainage, washes, desert biodiversity, topo- 7. Establish a common dialogue regarding sustainability graphic patterns, and linkages to the re- among citizens, municipal officials, academia, and the gional open-space system. development community. Circulation: Use low-impact, permeable Design Objectives materials for road, foot, and bike networks; 1. Ecological integrity: Retain the desert ecosystem, allowing avoid interrupting wildlife corridors; de- for maximum systemic cohesion wherever possible. sign with the topography; use circulation 2. Energy: Reduce energy consumption per capita, by capi- to deemphasize car reliance. talizing on the natural energy resources available in the Land use: Avoid land uses that have nega- desert Southwest by using passive and active design and technology. tive ecological impacts; implement mixed 3. Water use/quality: Recognize the necessity for reduced uses that allow for codependent resource water consumption per capita in the desert setting, as use between businesses and households; well as the maintenance/improvement of total water employ design that aesthetically, struc- quality. 4. Waste: Minimize waste through structural, individual, turally, and functionally harmonizes with household, community, and systemic output reduction. the surrounding desert environment. 5. Sense of community/context: Identify and celebrate the Building materials: Use environmentally historical, physical, social, and natural elements that construct/inform/influence desert sites. responsible materials and construction processes. SOURCE: Steiner et al. 1998. 2. Energy Density: Use density to reduce trip loads within the sites, provide efficient and af- 303 TESTING PLANNING CONCEPTS THROUGH DESIGN

fordable public transit for external trips. corporate businesses that utilize wastes and Density also reduces total albedo, allows by-products from one another. for shared spaces such that residents be- 5. Sense of community/context come more interdependent and can share Density: Can facilitate social interaction, more resources. social variation, “eyes on the street,” and Circulation: Minimize walking/transport community sufficiency. distances between residential/commercial Open space: Public areas, common spaces, and public facilities; provide multiple op- parks, and sports facilities create identity, tions to automobile transportation. sense of place, context, interaction, and Land use: Structural orientation, use of al- aesthetic experiences. ternative energy sources, natural lighting, Circulation: Develop networks that foster and shared spaces can contribute signifi- contact and chance encounters, and that cantly to total energy reduction. allow residents to appreciate their local 3. Water use/quality surroundings. Density: Reduces total acreage requiring Land use: Reduce setbacks for greater sense irrigation; allows potential for efficient of “familiarity”; build a community center; community graywater system. Consider provide local jobs; design in styles that are implementation of on-site wastewater appropriate to the desert landscape and treatment/recycling plant (constructed qualities; consider street scale to generate wetlands) and groundwater replenish- security, enclosure, and safety (adapted ment. from Kasson et al. 2000). Open space: Permits climatic desert habitat, accesses regional viewsheds. Do not permit The Arroyo Vista site is a parcel of relatively invasive vegetative species that may de- undisturbed desert land on the northeastern mand greater water supplies. perimeter of greater Phoenix. Urban development Land use: Implement low-flow fixtures. from Scottsdale and Phoenix is rapidly approaching 4. Waste from the south and southwest. While the desert on Density: Allow for shared resources such the site is relatively pristine, in recent years the site as community composting/gardens/recy- has been surrounded on the north, west, and south cling; higher densities may reduce total sides by residential development of both suburban construction waste. and low-density rural character. The site is bisected Open space: The more native and natural by two major desert washes and is home to typical an area, the less waste produced. Sonoran Desert flora and fauna (Kasson et al. 2000). Circulation: Options to automobiles reduce Several common themes emerged at the charrette total air pollution. Strategic neighborhood for the Arroyo Vista site (Figures 9.9 and 9.10). layout, with accessible central business/job As with the La Lomita charrette, four designs node, allows for multiple tasks to be carried were prepared. Each design sought to maintain the out efficiently, reducing driving time and integrity of the wash system as a part of a unique pollution. and threatened ecosystem. Road systems avoid the Land use: Use local, recyclable building ma- washes, while trails are separated from the most sen- terials; build structures for 100+ year life sitive areas. Most designs tried to minimize automo- cycles that are adaptive to multiple uses; in- bile use by providing alternative paths for walking 304 CHAPTER 9

FIGURE 9.9 Arroyo Vista design concept for a megastructure inspired by Paolo Soleri. (Drawn by Bruce Kimball)

and bicycling. Alternative road surfaces were advocated to match the natural albedo, enhance groundwater replenishment, and slow traffic. Higher densities were concentrated in the western and northern portions of the Arroyo Vista site. Mixed-use and clustered development were used to reduce automobile reliance and achieve energy savings. Lower-density, single-family residences were located in the southern and eastern parts of the site to blend with adjacent neighborhoods. Building ori- FIGURE 9.10 Arroyo Vista design concept for a transit entations were planned to take advantage of the stop. (Drawn by Bruce Kimball) area’s abundant sunlight. Solar collection, natural daylighting, and shading were factors considered in developing building (Kasson et al. 2000). Palouse region of eastern Washington and northern Idaho, the area connecting Pullman and Moscow Conceptual Design of New Facilities had been recognized as a “light industrial opportunity area” in the 1978 county comprehensive plan. To illustrate the impact of the plan on the landscape, Because Washington State University was located in it may be helpful to design new facilities. In the Pullman and the University of Idaho in Moscow, 305 TESTING PLANNING CONCEPTS THROUGH DESIGN

there were also strong demands on the 10- mile connect places with each other. And it must begin (16.09-kilometer) corridor for transportation and some place and end somewhere else; it must have a recreational use. There are also established goals in clear origin and destination and provide a strong the region and state for the conservation of soil and sense of direction. These characteristics—continu- water resources as well as the protection of environ- ity, connection, and an origin and destination—are mentally sensitive areas. The design of a new facil- fundamental to the development of any path. The ity—a recreational path—was used to show how all function, form, and character of the path are the these conflicting goals could be achieved. Planner physical means by which these intrinsic require- Dennis Canty and landscape architect Christine ments are met (Carlson and Canty 1986). Carlson from the National Park Service cooperated The Palouse path was to have a variety of func- with local citizens, elected officials, and county, city, tions. It was to be used for safe transportation and and university planners in 1986 to prepare such a recreation and for fostering understanding of the design.* intricate relationships between the natural and cultural resources of the Palouse landscape. The path The Concept Design was to capture the ambiance of the Palouse and present it in ways that are interesting, educational, There were two major interests in the design of the and satisfying for all who use the Pullman-Moscow path. The first was to provide a safe, attractive recre- corridor. ational link between the communities of Pullman The implementation of the concept plan is di- and Moscow. The second was to conserve the natu- vided into two phases that develop the function, ral and cultural features in the corridor area be- form, and character of the path. Phase 1 provides a tween the two communities. The concept design response to the immediate need for safe travel for that follows was developed directly from these inter- bicyclists and, consequently, motorists between ests by Canty, Carlson, Washington State University Pullman and Moscow. It also establishes a physical faculty, and the local residents. and planning framework for future development of The central element of the concept is a pathway the path. Phase 2 supplements the development ac- designed to meet recreation and conservation needs tions of Phase 1. It outlines options for more exten- that physically links Pullman and Moscow and is the sive, formalized development and for use by a backbone of a broader enhancement program for broader constituency of users. The following sec- the local landscape. The path is a way for the com- tions review how the function, form, and character munity as a whole to assume responsibility for the of the path are developed in each phase. shape and quality of the corridor area between Pull- man and Moscow. Phase 1. Important features of Phase 1 are the The basic ingredients of the concept plan are de- incorporation of the path into existing circulation sign components of the path—the function, form, patterns, the development of roadside recreation and character it manifests as it passes through the sites and conservation areas, and the promotion of landscape. To be successful, any path must flow safe transportation for bicyclists between Pullman from place to place, and sometimes back again, in a and Moscow by upgrading bicycle-use areas. continuous manner, like a stream or river. It must The emphasis in Phase 1 is on upgrading bicycle use on all established routes in the corridor area *This section has been adapted from Carlson and Canty (Figure 9.11). These roads are an integrated trans- 1986, and Carlson et al. 1989. portation network between Pullman and Moscow 306 CHAPTER 9

FIGURE 9.11 Concept plan diagram, Phase 1. (Source: Carlson et al. 1989, drawn by Christine Carlson and Dennis Canty)

that fits the landscape. In general, they wind pavement markings will be used to ensure safe use through lowlands and stream valleys and, with the of roads by recreationists (Figure 9.12). The cities of exception of state highways 270 and 8 (the Pullman- Pullman and Moscow and Washington State Uni- Moscow highway), are narrow and quiet. Because of versity and the University of Idaho have designated the proximity and predominance of agriculture, corridors that could unite the Palouse path with city these roads are also the primary means of experi- parks and other facilities, schools, and the down- encing the landscape. Various wildlife and plant town business districts. communities populate the roadsides, and long views Sites 1 through 7 on Figure 9.11 indicate places of distant forests and ridges are often visible from for potential development as small roadside rest the open- road corridors. Consequently, local roads stops, gathering places, safe pullouts for picnicking, are used heavily by bicyclists, joggers, and pedestri- bike maintenance, or relaxation, and conservation ans for recreation and commuting. However, roads areas. Each site is defined by important and interest- are often unsafe because of narrow shoulders, visual ing natural and cultural features in the corridor obstructions, and consistently heavy traffic along area, such as distinct riparian zones, access to Para- the Pullman- Moscow highway. Improvements to dise Creek (a tributary of the Palouse River), and road shoulders and road surfaces, formal designa- pleasant views of attractive farmsteads and distant tion of bike routes and scenic and/or recreation ridges that can enhance the recreational and visual routes by cities, counties, and state departments of character of the path as it moves between Pullman transportation, and frequent placement of signs and and Moscow. Each site also provides recreationists 307 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.12 Phase 1 bicycle standards for highway width and traffic controls. (Source: Carlson et al. 1989, drawn by Chris- tine Carlson)

with an opportunity to understand complex interre- cial, industrial, and residential uses increases. With- lationships that make up the landscape and the need out a concerted effort to resolve the demands of to protect them. Site designs could combine conser- competing users, land-use conflicts will increase, vation measures, such as supplemental plantings to and air and water quality, wildlife habitat, and the buffer existing habitat and plant communities, with visual character of the corridor will be degraded. other site detailing to protect the resources while si- The Phase 1 path provides an opportunity to estab- multaneously allowing contact with them (Figure lish a program of locally administered design and 9.13). planning standards to separate and buffer adjacent The Pullman- Moscow corridor will come under uses. The standards could emphasize setbacks, veg- increasing land-use pressures in the coming years etative and topographic buffers, provisions for safe as demand for recreational, agricultural, commer- vehicle access, and control of noise and water 308 CHAPTER 9

FIGURE 9.13 Typical roadside rest stop. (Source: Carlson et al. 1989, drawn by Christine Carlson)

contamination. With sensitive siting and the use of priorities established by the local task force orga- such standards, the continued use and development nized for the project. of the corridor need not be at the expense of its The concept design diagram for Phase 2 (Figure quality (Figure 9.14). 9.15) and Figures 9.16 and 9.17 present one of many options for intensive path development. Although Phase 2. The purpose of Phase 2 is to broaden the same sites are reserved for development in Phase the function, form, and character of the path from a 2 as in Phase 1, they take on a greater, more devel- linear transportation corridor to an intensive recre- oped recreation function. A simple rest stop in ation and conservation greenbelt between Pullman Phase 1 might become a small streamside park in and Moscow. An abandoned railbed is adapted for Phase 2 with picnic tables, pathways to and from the the path. More formalized settings for recreation are creek, and interpretive signs describing small mam- developed. Along with bicyclists and joggers, walk- mal and bird habitats in the park. Sites could be ex- ers, hikers, motorists, and others use the path for panded into county or state parks in the corridor recreation. Upon completion of Phase 2, the path area with highly developed facilities. As these sites will be a highly designed facility that meets all the are developed, the path becomes a means of linking 309 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.14 Typical standards for safe vehicle access, setbacks, and vegetation buffers. (Source: Carlson et al. 1989, drawn by Christine Carlson)

them together, and the sites themselves become significance. Through its alignment, the path itself more important components of the concept plan. can be interpretive, directing users to important fea- In Phase 2, the path connects a variety of park- tures or moving them past others. like settings. These sites are a backdrop for recre- The path moves along and off the road, connect- ation activities, such as interpretation of physical ing sites that feature access to Paradise Creek, dense features or elements belonging to the cultural devel- clusters of willow or hawthorn, and wildlife habi- opment of the corridor area. For example, interpre- tats. Flexibility in path alignment and the rich re- tive signs could be located near riparian zones to sources available create many opportunities to in- explain the nature of their habitats and the compo- clude conservation as an important path function. sition of their plant communities. The site can be The path can move people away from fragile habi- arranged to focus views on a historic farm or scenic tats. It can buffer native plant communities and pro- landscape and can include displays describing its tect stream banks with design features that include 310 CHAPTER 9

FIGURE 9.15 Concept plan diagram, Phase 2. (Source: Carlson et al. 1989, drawn by Christine Carlson)

special planting schemes and bank fortification Summary of the Concept Design measures. In conjunction with the development of interpretive features, it can educate users about the Phase 1 of the concept design secures a safe route for protection of the landscape. commuters and recreationists between Pullman and The form of the path in Phase 2 is complex. Un- Moscow. It establishes a recreation route through like the simple linear alignment and basic form of the corridor area at minimal costs, using the existing the Phase 1 path, the Phase 2 path alternatively fol- planning structure. It provides a practical means for lows roadways, railbeds, and features in the land- directing changes in land uses that accommodate scape. In shape and materials, it becomes a separate growth and development and preserve the visual and formal feature in the corridor area. Finally, it is quality and natural resources of the often politically no longer simply a line between the two communi- controversial corridor area. Finally, it sets the stage ties of Pullman and Moscow but a link between sev- for more intensive development of the pathway. eral formal gathering places along the way. The Phase 2 completes the concept plan. It supple- character of Phase 2 begins with the best of the nat- ments the development of Phase 1 with highly de- ural and cultural features of the corridor area and signed, expanded parks and recreation sites for adds an extra ingredient, that of people entering, us- many user groups. It changes the role of the path ing, and enjoying the Palouse landscape. from that of a transportation link between Pullman 311 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.16 Phase 2 typical roadside park. (Source: Carlson et al. 1989, drawn by Christine Carlson)

and Moscow to that of a link between the two com- were to come up with another $450,000. Eventually munities. Along with performance standards, it more than $525,000 was raised through donations. forms the nucleus for future land uses. Significant donations were made by Carol Chip- The conceptual design for the path was warmly man, whose husband had been killed in an automo- embraced by the local community. In particular, lo- bile accident (Caraher 1998). In the spring of cal activist Nancy Mack and other members of the 1998—some twelve years after the conceptual de- Pullman Civic Trust championed the path concept sign and with much continued planning—the Bill and lobbied tirelessly for its implementation. Fed- Chipman Palouse Trail opened. eral law allowed for rail- to- trail conversion. Mack and her colleagues convinced the three railroad companies transiting the area to combine their ser- Demonstration Projects vice on one line, thus freeing parts of the rights-of- way for trail usage. A 1993 federal grant provided Conceptual designs may remain just that—paper $900,000 toward the overall project. The City of images illustrating how the plan can be realized. Pullman, Whitman County, and the private sector Such designs may or may not actually be built. A 312 CHAPTER 9

FIGURE 9.17 Conceptual sketch of Phase 2 pathway. (Source: Carlson et al. 1989, drawn by Christine Carlson)

more concrete way to show the realization of the FIGURE 9.18 Typical urban street design for West Colfax plan is to construct a demonstration project. One of Avenue. (Source: City of Lakewood 1988a, drawn by Roger Wadnal) the ugliest of America’s ugly commercial strips is Colfax Avenue, which passes through Aurora, Den- ver, and Lakewood, Colorado. As a section of U.S. Route 40, Colfax Avenue was formerly part of one of the major east- west routes in the nation. After the completion of Interstate 70, the road began a steady economic and aesthetic decline. furniture, and lighting. Utilities were also relocated In 1988, in response to goals established in its underground to reduce the visual clutter of over- comprehensive plan, the city of Lakewood adopted head wires. Business owners improved building fa- design guidelines for West Colfax Avenue (City of cades, signage, parking lots, and the general charac- Lakewood 1988a). The guidelines included design ter of the site (City of Lakewood 1988b). The project standards for urban and suburban streets (see Fig- was intended to demonstrate the implications of the ures 9.18 and 9.19). Specific guidelines were in- recommendations in the design guidelines. As a re- cluded for street trees and other plantations, side- sult of the project, Lakewood planners were able to walks, curbs, and building setbacks. The planners provide before- and- after images of Colfax Avenue also established standards for building height and (Figure 9.20). The demonstration project illustrated scale, building design, pedestrian access, site design, to business owners, citizens, and local officials the signage, lighting, and parking. ramifications of the city goals for economic revital- Further, the city together with local business ization and for the redevelopment of strip commer- leaders undertook the West Colfax Pedestrian Im- cial areas. Subsequent Colfax Avenue and Lakewood provement Demonstration Project, which involved planning efforts built on these demonstration ef- a four-block area. The project included both public forts (see, for example, City of Lakewood 1997). A and private improvements. The city provided street 1993 revitalization plan for West Colfax Avenue, trees and plantations plus improved sidewalks, prepared jointly by Lakewood and Denver, incorpo- curbs and gutters, pedestrian seating areas, street rated many of the ideas from the demonstration de- 313 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.19 Typical suburban street design for West Colfax Avenue, Lakewood, Colorado. (Source: City of Lakewood 1988a, drawn by Roger Wadnal)

sign (City of Lakewood, and City and County of Home was designed by Eddie Jones of Jones Studio Denver 1993). (Figure 9.21). As David Pijawka and Kim Shetter In another demonstration project, in 1995 the observed, “in addition to saving energy, water, and Arizona Public Service sought to provide an exam- materials, the home is designed to create less pollu- ple of energy efficiency, water conservation, appro- tion than a standard production home does, from priate building materials, and sustainable design. As the manufacture of the construction materials to a result, the Phoenix Environmental Showcase the final walk-through and beyond” (1995, 3). 314 CHAPTER 9

FIGURE 9.20 West Colfax pedestrian improvement demonstration project—before and after. (Source: City of Lakewood 1988b)

Innovative Design Projects

Architects and landscape architects can provide visionary concepts that can influence the detailed designs of others. The Sonoran region of the southwestern United States and northwestern Mexico has long been a spawning ground for innovative urban visions. The Hohokam, “those who have disappeared,” built a thriving, dispersed civilization in FIGURE 9.21 Environmental Showcase Home designed by Eddie Jones. (Source: Pijawka and Shetter 1995; photo- what is now Phoenix, Arizona, from a.d. 300 to graph by Scot Zimmerman, courtesy of Arizona Public 1450. They “disappeared” for unknown reasons, but Service) the remnants of their canal system provided the basis for the one that allowed the current Phoenix to rise from the ashes of the Sonoran Desert heat. Frank Lloyd Wright’s vision for a Broadacre City was conceived in the Midwest prairies but hatched The Environmental Showcase Home was de- at Taliesin West in what is now Scottsdale, Arizona. signed and built as a demonstration of sustainable In contrast to Wright’s dispersed organicism, Paolo design. Many people interested in principles of sus- Soleri advocates a nation of “organic” mile-high tainability visit the house. In the book documenting megastructures. Soleri’s prototype, Arcosanti, con- the design and construction process, Pijawka and tinues to be built in central Arizona, while to the Shetter (1995) extended the process to the next logi- south, near Tucson, Biosphere II presents yet an- cal step: the design of a prototypical subdivision other vision for future settlement. (Figure 9.22). Architect Michael Underhill laid out Broadacre City represents one vision of an or- the subdivision featuring appropriate solar orienta- ganic, living city, and Wright’s model is strikingly tion and a mix of densities. similar in several respects to present-day Phoenix. 315 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.22 Prototype sustainable neighborhood designed by Michael Underhill. (Source: Pijawka and Shetter 1995, courtesy of Arizona Public Service)

According to Peter Rowe, in Wright’s proposal of a more general and significant landscape” (1995, “there was an insistence on regional authentic- 50). ity and meaningful functional integration that Wright’s erstwhile protégé Paolo Soleri has sug- we might do well to practice today, together with a gested an alternative urban vision in Arizona. Like regard for both buildings and land as being parts Wright, Soleri suggests respect for the landscape. He 316 CHAPTER 9

advocates a merger of architecture and ecology. But, where Wright’s organic city was dispersed, Soleri’s is dense and clustered (see Soleri 1987). Rather than focusing on this disparity at the moment, it is worth noting that four of Soleri’s recommendations for urban form are especially appropriate for the Amer- ican Southwest:

• The Greenhouse Effect. Greenhouse designs are used to collect solar energy. FIGURE 9.23 Monte Vista, Mesa, Arizona. (Source: Duany • The Apse Effect. Apses can be used to take ad- Plater-Zyberk and Company, architects and town planners; vantage of the different angles of the sun at Christy Ten Eyck, landscape architect; Craig Bollman, different times of the year to provide shade or developer) to permit sunning. • The Chimney Effect. Chimneys can collect winds and provide cool air for dwellings.

The new urbanists Andres Duany and Elizabeth “Civano” (Figure 9.24). The goal of the Tucson So- Plater- Zyberk (DPZ) have also designed an alterna- lar Village is to develop a sustainable community. tive settlement pattern for the Sonora. With ar- Civano will be a sustainable community for 5000 chitect Max Underwood, the landscape architect people on 820 acres (332 hectares) within the city Christy Ten Eyck, the landscape architects of De- of Tucson. To reach its goal of sustainability, sign Workshop, and several others, DPZ designed a specific performance targets were set for the plan, 30- acre (12- hectare), 383- unit manufactured home including: park east of Mesa, Arizona, for the innovative developer Craig Bollman. Initially called “Rosa Vista” • To save 75 percent of energy needs through and now called “Monte Vista,” the project applies solar design, conservation, and efficient use. Duany and Plater- Zyberk’s urban design concepts • To reduce by 90 percent the amount of land- to a significant form of affordable housing (Figure fill-destined solid waste. 9.23). • To reduce air pollution by 40 percent through The DPZ team designed a pedestrian circulation a circulation system encouraging bicycle and system for Monte Vista. They adapted southwest pedestrian use. building design to mobile homes and made exten- • To provide one job in the community for sive use of low walls. The plan also encourages the every two residential units built. use of native vegetation such as palo verde trees and cacti. The plan is oriented to enhance and celebrate Civano is a rare example of a community being views of surrounding mountains and sunsets. planned to meet specific performance targets for Others have given thought to how to use envi- sustainability. Its plan is also based on a thorough ronmental knowledge to inform community plan- analysis of ecological processes that revealed suit- ning and design. A team of planners and designers abilities for various land uses. The new urbanists used a McHarg overlay process with participatory Stefanos Polyzoides, Elizabeth Moule, Elizabeth planning for the Tucson Solar Village called Plater- Zyberk, and Andres Duany are involved in 317 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.24 Perspective of Civano neighborhood. (Source: Moule and Polyzoides Architects for the community of Civano)

Civano’s design. Their design draws on both the efficient use of resources, a close fit between means historical and the environmental context of the and ends, durability, redundance, and resilience” Tucson region (see Wilson et al. 1998). The Civano (1994, 105). Good design, according to Orr, pro- design fits its region. In other regions, similar mod- motes “human competence, instead of addiction els to those provided for the southwest by Poly- and dependence, efficient and frugal use of re- zoides and Moule, Duany and Plater- Zyberk, and sources, sound regional economics, and social re- Wright and Soleri can inspire design and planning silience” (1994, 105). Two examples of regional de- innovation. signs that were integrated into planning processes follow.

Two Examples of Detailed Design Connecticut River Valley, Massachusetts

David Orr identifies several common characteristics The Connecticut River Valley provides an example of good design, including the “right scale, simplicity, of “greenline” planning, an approach developed and 318 CHAPTER 9

promoted largely by the National Park Service Mid- ordinances analyzed (U.S. National Park Service Atlantic Regional Office in Philadelphia. A greenline 1985, 1986). Based on an analysis of the issues and park contains a mixture of public and private land, the various options to resolve them, a number of ac- more like a European national park than the traditions were recommended to balance conservation tional American national park. Some land and and development. structures may be acquired by the federal or state Among the recommendations was the sugges- governments, but most of an area is protected tion that state and local efforts to protect prime through scenic easements, local zoning, and other farmland be expedited. The Center for Rural Massa- techniques (Corbett 1983; Alesch 1987; Little 1990; chusetts of the University of Massachusetts devel- Ahern 1995; Fabos and Ahern 1996). The greenline oped this suggestion through the production of a planning process involves the cooperation of local, compelling design manual for the valley (Yaro et al. state, and federal officials in analyzing landscape re- 1988). A series of beautiful drawings by Kevin Wil- sources, establishing priorities for conservation and son and Harry Dodson illustrated specific sites in development, creating regulatory measures, and the valley, contrasting conventional development continuing to manage the area according to the plan with creative landscape designs. Specific suggestions (Corbett 1983). were made to integrate new development into the The Connecticut River forms the border be- rural landscape, review site plans for proposed de- tween Vermont and New Hampshire, then flows velopment, control signs, manage development of southward through Massachusetts and Connecticut land adjacent to rivers and lakes, protect farmland, before entering the Atlantic Ocean. In 1984, the encourage the preservation of open space, and make Mid- Atlantic Regional Office of the NPS began rural roadways attractive. work on a management plan with state agencies The interdisciplinary team of planners and land- from Massachusetts on the 68- mile (109- kilometer) scape architects prepared site- specific designs that portion of the river that passes through that state. provided conceptual demonstrations of the options The NPS is authorized to participate with state and for the valley (Robert Yaro, Randall Arendt, Harry local agencies in such greenline efforts through Sec- Dodson, and Elizabeth Brabec). Site G, for example, tion 11 of the Wild and Scenic Rivers Act (Public was the Franklin Emery farm. The existing condi- Law, 90- 542, as amended). The NPS planning team tions of this site—its land-form, land use, land cooperated with the Massachusetts Department of cover, utilities, and zoning—were described. The Environmental Management and three other state University of Massachusetts landscape planners pre- agencies, the Audubon Society, the former U.S. Soil pared an aerial view of this site before development Conservation Service, the regional utilities com- (Figure 9.25), a ground-level view before develop- pany, and two local planning and watershed groups. ment (Figure 9.26), and a plan of the site before de- Based on the problems and opportunities facing velopment (Figure 9.27) (Yaro et al. 1988). the people of the valley, the planning team identified The owner of the 200-acre (81-hectare) dairy a number of rural resource issues that included agri- farm and orchard was a tenth- generation Yankee cultural land protection (Sutro 1984), water quality, whose ancestors had settled the land over 200 years recreation, natural resource conservation and man- ago. Franklin Emery had declined several offers to agement, soil and stream bank erosion, cultural and purchase the farm before he died in 1982. His heirs historic resources, and economic development. Lo- did not want to continue farming, however, and cal landowners were surveyed and township zoning wished to sell the property for the highest possible 319 TESTING PLANNING CONCEPTS THROUGH DESIGN

price. Because of its proximity to a large university, conventional development of the property would result in multifamily apartment buildings. There was considerable local opposition to such apartment development because it clashed with the rural character of the town. However, multifamily housing was consistent with the local zoning regulations. The impact of this conventional development scenario was illustrated by the University of Massachu- setts landscape planning team by drawing an aerial view of site G after conventional development (Fig- ure 9.28), ground-level view after conventional development (Figure 9.29), and a plan of the site after conventional development (Figure 9.30) (Yaro et al. 1988). To contrast the conventional scenario, the Uni- versity of Massachusetts team proposed a creative development scenario. With this design, apartments would be smaller in scale, more varied, and sited in the woodland adjacent to the farmland. The design FIGURE 9.25 Aerial view of site before development. of the apartments would create a sense of privacy, (Source: Yaro et al. 1988, Center for Rural Massachusetts, Uni- easy access, and screened parking. The apartment versity of Massachusetts, Amherst, drawn by Kevin Wilson) units would have views of the farmland and a pond that would increase their value and marketability. A new road would wind through the woodland and respond to the topography. The existing eighteenth- century farmstead would be restored and sold as a single-family residence (Yaro et al. 1988). The creative scenario involved siting the new development at the edge of the woodland. To preserve the farmland and orchard, the apartment developer would donate a conservation easement on that part of the land and rent it to a young farmer. In return for the easement, the developer would receive a substantial tax deduction. The landscape architects designed controlled access to the farmland for the new apartment dwellers by fencing and pathway alignment. The design was illustrated with an aerial view of site G after creative development (Figure 9.31), a FIGURE 9.26 Ground view of site before development. (Source: Yaro et al. 1988, Center for Rural Massachusetts, Uni- ground- level view after creative development (Fig- versity of Massachusetts, Amherst, drawn by Kevin Wilson) ure 9.32), and a plan view after creative develop- 320 CHAPTER 9

FIGURE 9.27 Plan of site before development. (Source: Yaro et al. 1988, Center of Rural Massachusetts, University of Massa- chusetts, Amherst) 321 TESTING PLANNING CONCEPTS THROUGH DESIGN

ment (Figure 9.33) (Yaro et al. 1988). This creative scenario for the land involved preserving the farmland and open space and clustering residential development. Thus, a design was presented that fitted the goals and plans to protect the farmland and visual quality of the Connecticut River Valley. The Connecticut River Valley concepts have had an enduring influence locally and even nationally and internationally. Many planners and landscape architects follow the triptych visualization approach. The study influenced the commonwealth’s conservation efforts. For example, the state enacted an influential purchase of development rights program. Land trusts, notably the Franklin Land Trust in the north Connecticut valley, are active locally and statewide. Most riverfront towns in the valley adopted waterfront development guidelines recommended by the University of Massachusetts team. In addition, 61 towns adopted the model open-space zoning. Although the team responsible for the Connecti- FIGURE 9.28 Aerial view of site after conventional devel- cut River Valley disbanded, its participants contin- opment. (Source: Yaro et al. 1988, Center for Rural Massachu- ued to pursue the approach. Randell Arendt has setts, University of Massachusetts, Amherst, drawn by Kevin continued to advocate a conservation approach to Wilson) design (Arendt 1996). His colleague Bob Yaro has applied similar ideas to the New York City region (see next section).

New York– New Jersey– Connecticut Metropolitan Region

In late 1989, Bob Yaro left the Center for Rural Mas- sachusetts to become the executive director of the Regional Plan Association (RPA), based in New York City. The RPA is a not-for- profit or nongovernmental organization and is the oldest regional planning entity in the United States. Yaro led the creation of RPA’s third plan for the region and used design concepts that he had pioneered with the Connecticut River plan. FIGURE 9.29 Ground view of site after conventional de- The first RPA plan was completed in 1929 un- velopment. (Source: Yaro et al. 1988, Center for Rural Massa- chusetts, University of Massachusetts, Amherst, drawn by der the direction of Thomas Adams (Regional Kevin Wilson) Planning Staff 1929). As was noted in Chapter 5, 322 CHAPTER 9

FIGURE 9.30 Plan of site after conventional development. (Source: Yaro et al. 1988, Center for Rural Massachusetts, University of Massachusetts, Amherst) 323 TESTING PLANNING CONCEPTS THROUGH DESIGN

the 1929 plan was an early example of the overlay technique. The second RPA plan was presented in 1968. That plan attempted to address the issues of suburban sprawl and inner- city decay. The third plan of 1996 attempts “to reconnect the regions to its basic foundations.” RPA calls these interlocking foundations the “Three E’s—economy, environment, and equity” (Yaro and Hiss 1996, 6). Where these three foundations coincide, positive quality of life results. The diagram that RPA developed to illustrate this point (Figure 9.34) has subsequently been used to illustrate the principles of sustainable development. Yaro turned to his former Connecticut River Valley colleague Harry Dodson and illustrator Kevin Wilson to develop regional simulations of the future development patterns for the cities, suburbs, and countryside. As with the Connecticut River Valley, drawings were made of alternative futures. For example, Figure 9.35 illustrates a view of an exurban FIGURE 9.31 Aerial view of site after creative develop- highway cloverleaf at present, which is compared to ment. (Source: Yaro et al. 1988, Center for Rural Massachu- what it will look like with current development pat- setts, University of Massachusetts, Amherst, drawn by Kevin terns (Figure 9.36) and how it could look if reori- Wilson) ented around a village center and rail station (Figure 9.37) (Yaro and Hiss 1996). Meanwhile, Figure 9.38 shows an urban industrial waterfront at present, while Figure 9.39 illustrates what it could look like with creative design (Yaro and Hiss 1996). The technique for making the drawings for the New York region differed slightly from its precedent. In the Connecticut River Valley, Dodson and Wilson had relied on slide traces. For RPA, a computer- aided design (CAD) system created perspectives that were then rendered to illustrate the scenarios. Yaro and Dodson also involved a broader group of design talent—including Jonathan Barnett, Robert Geddes, and Ray Gastil—to create the images. Anne Spirn advocates ecological design that recognizes the deep structure of the place. The detailed FIGURE 9.32 Ground-level view of site after creative de- designs for the Connecticut River Valley in Massa- velopment. (Source: Yaro et al. 1988, Center for Rural Massa- chusetts, University of Massachusetts, Amherst, drawn by chusetts and the New York City region respond to Kevin Wilson) the natural and cultural processes, the landscape 324 CHAPTER 9

FIGURE 9.33 Plan of site after creative development. (Source: Yaro et al. 1988, Center for Rural Massachusetts, University of Massachusetts, Amherst) 325 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.34 Three-E diagram. (Source: Yaro and Hiss 1996)

patterns that give each place its identity and charac- and performance standards were suggested for the ter. The designs differ from more conventional ap- towns in the valley. Recommendations were made to proaches in both their response to landscape ecol- control signage and to manage development on ogy and their linkage to a broader planning process. riverfronts and lakefronts and along roadways. The The Center for Rural Massachusetts design planning team advocated measures to protect farm- manual for the Connecticut River Valley integrated land and open space. The landscape planning sug- local planning efforts with those undertaken by the gestions were illustrated through a series of designs. state and the National Park Service. The design The detailed designs completed in the Con- manual included specific ways to fit development necticut River Valley differ from more conventional into the fabric of the landscape through creative de- approaches in several ways. Many conventional sign. Site plan review with detailed design guidelines designs are not explicitly linked to the planning 326 CHAPTER 9

FIGURE 9.35 Exurban highway at present. (Source: Yaro FIGURE 9.36 Exurban highway with current development and Hiss 1996) patterns. (Source: Yaro and Hiss 1996)

process except to the extent they respond to gov- The Connecticut River Valley and Regional Plan ernment regulations. Conventional designs are of- Association designs seek to respond to the landscape ten not connected to scales higher than the site ecology of their regions and to be appropriate to the level—the community and the region. The Center local culture. Laurie Olin (1988, 1997) has identified for Rural Massachusetts designs were undertaken several elements that are central to thoughtful con- as part of a comprehensive landscape planning temporary landscape design. The subject matter process. identified by Olin (1988) as important includes The Connecticut River Valley is mostly a rural ideas of order, ideas of nature, ideas about the place. The tristate New York City metropolitan re- arrangement of places, ideas that reveal something gion is the most densely populated area of the about process, and considerations about the history United States and, obviously, one of the largest cities of places. in the world. Bob Yaro and his Regional Plan Associ- Ecological design intelligence can help guide fu- ation colleagues have used design to provide visions ture settlement. Such intelligence is defined by for the metropolitan region’s future. David Orr as “the capacity to understand the eco- 327 TESTING PLANNING CONCEPTS THROUGH DESIGN

FIGURE 9.38 Urban industrial waterfront at present. (Source: Yaro and Hiss 1996)

FIGURE 9.37 Exurban highway with village center design concept. (Source: Yaro and Hiss 1996)

logical context in which humans live, to recognize limits, and to get the scale of things right. It is the ability to calibrate human purposes and natural constraints and do so with grace and economy” (1994, 2). These ideas and considerations are evident in the designs completed for the Connecticut River Valley and the New York–New Jersey– Connecticut metropolitan region.

FIGURE 9.39 Creative design of urban industrial waterfront. (Source: Yaro and Hiss 1996)

10 PLAN AND DESIGN IMPLEMENTATION

Politicians, planners, lawyers, and public administrators have been quite resource- ful in developing a wide array of techniques to realize plans. Once a plan has been prepared and adopted, then it is necessary to develop the means for implementation. Often the selection of an implementation strategy coincides with the selection of a preferred option, the development of a landscape plan, and/or the preparation of a detailed design. For this discussion, it is helpful to separate the steps in the planning process to illustrate the intricacies involved in each. Local governments possess four general kinds of authority that can be used to implement plans: the power to regulate, the power to condemn and exact, the power to spend, and the power to tax. Regulation derives from the police powers to protect public health, safety, welfare, and morals. The most common, and perhaps least popular, regulatory technique used in the United States is zoning. Other techniques, which may be used in conjunction with zoning, include planned unit developments (PUDs), performance standards, design guidelines, critical (or environmentally sensitive) areas protection, wetland and riparian area protection, habitat

329 330 CHAPTER 10 conservation plans, historic preservation, subdivision Power to Regulate regulations, and building codes. Covenants are private contracts that can be used to regulate many of the same The government power to regulate human activity features as zoning, design guidelines, and subdivision is carefully balanced against fundamental freedoms ordinances. of the individual. Cities and counties derive limited The power to require private individuals to turn regulatory power from the states, but local govern- over property or money is the second authority. Con- ments must use those powers in reasonable ways to demnation and exactions are examples. Condemnation achieve public goals without infringing on basic in- involves the seizure of property through eminent do- dividual rights. Regulations involve rules and remain power. Eminent domain can be used for a public strictions that are used to control what an individ- purpose, such as the removal of blight. Obviously the ual, a family, or a business can do with its property. use of such power can be controversial. Such rules and restrictions may also involve how Governments may spend money in a variety of ways land use on one property affects neighboring areas. to implement plans. Governments can buy full or par- Regulations can direct activities from ones with tial rights to a parcel of property. Governments may negative consequences to those with positive results. manage major expenditures through capital improve- Restrictions and rules help reinforce the responsi- ment programs and through the administration of bilities that accompany property ownership. public lands. The power to tax is the fourth general kind of au- Zoning thority. Taxing can be selective—rewarding some kinds of development and penalizing others. Refer- The planning profession is a fickle friend to zoning. enda and state caps limit the extent of local taxation. Since the 1960s, there has been a continual stream of All four powers may be used in concert. The activi- criticism about zoning in the planning community. ties and programs of agencies can be coordinated to The noted historian John Reps called for a “requiem manage growth. In addition to government activities, for zoning” as early as 1964. Such diverse individuals there are also nongovernment strategies that can be as Herbert Gans, Richard Babcock, Ada Louise used to implement plans. For example, voluntary Huxtable, and Andres Duany joined the chorus of neighborhood or homeowners’ associations can help criticism. Much of this criticism was justified; zon- realize plans. These nongovernmental strategies can be ing is an imperfect device. employed in coordination with the efforts of govern- Because of this criticism, the curricula of many ments, or at deliberate variance. university planning programs do not address zoning Whatever means is selected to implement commu- in much depth. For three reasons, academic plan- nity goals, it is crucial to assign responsibilities, re- ning programs have been in error for not addressing sources, and authority for the selected measure(s). zoning more fully in their curricula. First, the use of One device to help organize such responsibilities is an zoning is incredibly widespread in the United States. implementation matrix. After presenting an example Although cities or counties are not required to use it of this matrix, three examples of planning implemen- as a tool, nearly all do. Second, other professions— tation are described: the York County, Pennsylvania, law, civil engineering, geography, public administra- sliding-scale zoning; the Black Hawk County, Iowa, tion, and landscape architecture—have continued to agricultural zoning; and the Scottsdale, Arizona, envi- incorporate zoning into their education and practice ronmentally sensitive lands ordinance. (Platt 1996; Cullingworth 1997). Third, zoning has remained an important tool for the practice of plan- 331 PLAN AND DESIGN IMPLEMENTATION

ning. With weak comprehensive planning statutes in cal governments to adopt zoning ordinances is con- most states, planners must rely on case law for imple- tained in state enabling legislation. For example, ac- mentation. Zoning is used because of the strong cording to the Alabama enabling law, the specific body of case law to support it. Zoning has been up- purposes of zoning regulations include to lessen held continually in the courts. The first zoning ordi- congestion in the streets, to secure safety from fire nances in the United States were adopted in Califor- and panic, to provide adequate light and air, to pre- nia in the late nineteenth century for repugnant vent overcrowding of the land, to avoid undue con- reasons (Hagman and Juergensmeyer 1986). The centration of population, to facilitate the provision purpose was to discriminate against Chinese immi- of public services, and to provide for the health and grant businesses, specifically laundries, which were general welfare (Juster 1994). Ideally, and as reconsidered fire risks and public nuisances. These or- quired by law in some states, a comprehensive or dinances were upheld in the California courts. general plan is a prerequisite for the preparation of a At about the same time in the eastern and Great zoning ordinance. Lakes states and cities, similar devices were being Zoning refers to the land- use controls that used to regulate the height and bulk of buildings. For limit the use to which land in an area may be put. example, early in the twentieth century, Boston en- Zoning includes variances, special- use permits, and acted building height controls because of shadowing. other devices that allow regulatory flexibility. Ac- The first comprehensive zoning ordinance, written cording to Robert Leary, “zoning is a means of [en- largely by attorney Edward M. Bassett, was adopted in suring] that the land uses of a community are prop- New York City in 1916. Because of the interest in zon- erly situated in relation to one another, providing ing created by Bassett and other lawyers (such as Al- adequate space for each type of development” fred Bettman, James Metzenbaum, and F. B. Wil - (1968, 403). Zoning ordinances address five general liams), the U.S. Department of Commerce published sets of issues, according to Eric Kelly (1993) and the Standard Zoning Enabling Act in 1922. Zoning Robert Juster (1994): land use, the intensity of that was found to be constitutional in 1926 as a result of use, the bulk and form of buildings, the size of yards the U.S. Supreme Court’s landmark decision Euclid and other open spaces around structures, and the den- vs. Ambler Realty Co. (272 U.S. 365). As a result, even sity of population. more local interest was generated, and states contin- The basic idea of zoning is to separate poten- ued to adopt the standard zoning enabling act. tially conflicting land uses. Through such separa- The power to zone is derived from the police tion, property owners’ investments are protected power of government to ensure the welfare of a com- and land values are stabilized. Zoning ordinances munity. Zoning aims to reduce the negative impacts usually include a statement of purpose, definitions, that one land use will impose on surrounding land- and a description of districts. Zoning districts com- owners or occupants (e.g., the impacts of heavy monly include specific uses like residential (R), agri- commercial traffic or loud industrial noises on culture (A), commercial (C), and industrial (I), as nearby residences). Such negative impacts are called well as areas like floodplains (FP) and open space “externalities” by economists, although “positive” ex- (OS). Uses are further specified by intensity like R1 ternalities are also possible. (low-density residential) and R3 (high-density resi- A well- prepared zoning ordinance, based on a dential). Some rural counties have adopted similar plan, seeks to secure the most appropriate use of hierarchies for agricultural land use (e.g., A1 [or- land and facilitate adequate but economical provi- chards] to A3 [pastureland]). Each zone is regulated sion of public improvements. The authority for lo- by specific provisions, including permitted uses, 332 CHAPTER 10

accessory uses, provisional uses, height restrictions, • While regulations may vary for different zon- yard regulations, land-to- building ratio, parking re- ing districts, they must be uniform within each quirements, fencing and screening requirements, district for each class and kind of building. sign requirements, and ingress and egress require- • State legislatures and the courts have insisted ments. The districts are designated in a map that that there be a reasonable basis for classifying is part of the ordinance. Ideally, these zoning dis- particular areas differently from others. tricts should relate to the suitability of the land for • The courts have insisted that an ordinance such use. Ordinances also include provisions for cover the entire jurisdictional area of a city or nonconforming uses, variances, enforcement, and county [or township], rather than singling out penalties. a small area for regulation and leaving the re- Zoning overlay districts offer a means to protect mainder unrestricted. certain resources within a more traditional ordi- • The courts insist that the zoning regulations nance. A district recognizing a valuable resource, be reasonable in their application to particular usually prime farmland, an historic place, or an en- properties. In other words, there should be a vironmentally sensitive area, overlays the other un- relationship between the physical character of derlying zoning categories. Such areas then receive an area and its zoning classification (1968, special protection. Specific places may also be recog- 404). nized in separate zoning categories, rather than overlays. Agricultural protection zoning (APZ) pro- Four common criticisms of zoning are inconsis- vides an example (American Farmland Trust 1997; tency between the zoning ordinance and planning Daniels and Bowers 1997). APZ ordinances “protect goals and policies; the relative ease of zone changes the agricultural land base by limiting nonfarm or rezoning; the case of obtaining variances; and the uses, prohibiting high- density development, requir- vulnerability of ordinances to ephemeral political ing houses to be built on small lots and restricting changes. From the late 1960s and through the 1970s subdivision of land into parcels that are too small to there have been a number of gradual changes that farm” (American Farmland Trust 1997, 317). The somewhat ameliorate these past weaknesses. Three types of APZ include exclusive agriculture zoning, court decisions especially important in this regard large minimum lot sizes, and area-based allowances. include: Exclusive agricultural zoning “prohibits nonfarm residents and most non-agricultural activities; • Udell vs. Haas (21 N.Y. 2d 46, 1968), in which exceptions are made for parcels of land that are not the New York Supreme Court in 1968 struck suitable for farming” (American Farmland Trust down zoning provisions as contrary to the 1997, 317). Large minimum lot size APZ require a comprehensive plan certain amount of land for every nonfarm dwelling • Fasano vs. Board of County Commissioners of in the zone. Area- based allowance ordinances “es- Washington County (507 P. 2d 23, 1973), in tablish a formula for the number of permitted non- which the Oregon Supreme Court in 1973 de- farm dwellings” (American Farmland Trust 1997, termined that zone changes must be in con- 317). Such ordinances can establish either fixed formance with the local comprehensive plan area–based allowances or sliding-scale area–based • Baker vs. City of Milwaukie (P. 2d 772, 1975), allowances. (See examples later in this chapter.) in which the Oregon Supreme Court in 1975 There are a number of requirements that zoning held that zoning decisions must be in accor- ordinances must follow. They are summarized by dance with the comprehensive plan (Callies Leary: 1980). 333 PLAN AND DESIGN IMPLEMENTATION

Combined with new planning legislation in sev- the state could not deny building permits to an eral states mandating—rather than enabling—local owner of two ocean- front lots (Platt 1996). planning, these three court decisions and many oth- • Dolan vs. City of Tigard (114 S. Ct. 2309, 1994), ers have resulted in a resurgence of zoning and of in which the U.S. Supreme Court reversed the comprehensive planning. The renaissance has been Oregon Supreme Court and found that the strengthened by the growing movement to protect city could not require a property owner to resources such as wetlands, coasts, farmlands, and dedicate a portion of her property lying in a historic places. In their farmland protection work, 100-year floodplain in order to receive a for instance, several planners have found zoning to building permit to enlarge a hardware store be more acceptable by rural people generally, and (Platt 1996; Carson 1998). farmers specifically, than more complex, innovative land-use controls (Kartez 1980; Toner 1981; Platt These “conservative” decisions did not invalidate 1991). the authority of local governments to zone and other- However, a strong force against land-use controls wise regulate land. In addition, advocates for more in general and often zoning in particular emerged control argue two points. First, in addition to “tak- during the 1980s and 1990s in the United States. ings,” government “givings” ought to be considered Called the “wise use” or “property rights” movement, (Riggle 1994). Government decisions, like zoning, advocates of this view oppose almost any govern- may restrict or take value, but they may also add ment action curtailing what a property owner may value. Second, whatever property rights an individual do with her or his land. A more conservative U.S. has with his or her own land cannot be used to harm Supreme Court resulted because of appointments made by Presidents Ronald Reagan and George H. W. Bush. This court made decisions that reinvigo- rated the taking clause as a limit. The four important U.S. Supreme Court decisions in this regard are

• First English Evangelical Lutheran Church vs. County of Los Angeles (107 S. Ct. 2378, 1987), in which the Court found that a county mora- torium on rebuilding a camp for handicapped children in the floodplain of a canyon after a flash flood was a form of temporary inverse condemnation (Platt 1996; Carson 1998). • Nollan vs. California Coastal Commission (107 S. Ct. 3141, 1987), in which the Court found that the California Coastal Commission could not place a restriction on a rebuilding permit, which required that the owners provide an The basic idea of zoning is to separate potentially conflicting easement for the public to use the beach in land uses and to integrate supportive uses to form commu- front of their home (Humbach 1989; Platt nities. Here is an example where uses are separated, but the new use is inappropriate and does not fit the landscape. As a 1996; Carson 1998). result, instead of helping to build a community, the new use • Lucas vs. South Carolina Coastal Council (112 S. disrupts the traditional settlement pattern. (USDA–Natural Ct. 2886, 1992), in which the Court found that Resources Conservation Service) 334 CHAPTER 10

others. This good-neighborliness is at the essence of achieved in the overall project. The PUD documents zoning; that is, uses that negatively impact one an- provide sufficiently detailed information to both il- other should be separated. lustrate and describe the intended character and Three principles emerge for planners from the configuration of the proposed development. These “property rights” cases. First, land-use controls can- proposals are reviewed by the city or county staff, not remove all of the economic value from a parcel the planning commission, and the elected officials. of property. Second, the conditions or measures re- Early PUDs have had three major characteris- quired for landowners must bear a clear relation to tics, according to Joseph De Chiara and Lee Koppel- the public purpose on which the government bases man (1975): its justification for the ordinance. Third, the amount of burden or loss imposed on the landowner must 1. PUDs have usually involved areas and under- be roughly proportional to the size of the problem takings of a relatively large scale, encompass- that the land use might cause. If a planner follows ing at least 100 acres (40.5 hectares) and occa- these three guidelines, zoning controls remain sionally smaller, but usually larger, up to workable, even under the rules set by the most con- 1,000 acres (405 hectares). servative courts. 2. PUDs have usually involved a mixture of land uses, building types, and densities. Planned Unit Developments (PUDs) 3. PUDs have usually involved stage-by- stage development over a relatively long period of A planned unit development (PUD) is comprehen- time (5 to 15 years) during which buildings, sively conceived and contains some mix of residen- arrangements, and uses may have to be re- tial, commercial, industrial, institutional, and recre- designed to meet changes in market condi- ational land uses on a single tract of land. Sometimes tions, technology, financing, or even design a PUD ordinance is included as a part of zoning reg- concepts. ulations, while at other times it is addressed under separate rules. PUD ordinances offer benefits to both Through time, PUDs have evolved. Today, PUDs developers and communities. tend to address smaller areas of land, often 10 to 50 Under PUDs, developers are allowed greater de- acres (4.05 to 20.25 hectares). sign flexibility and greater densities, while commu- PUDs can result in the protection of impor- nities are able to protect environmentally sensitive tant or sensitive lands. Such lands sometimes are areas or enforce design standards. For instance, a transferred to public ownership or to a not- for- tract of land may include areas with steep slopes and profit conservancy organization. Frequently, home- unique vegetation. Part of the land may be located owners’ associations become responsible. Barry inside a floodplain. These steep-sloped, vegetated, Cullingworth (1997) notes that such associations flood-prone places could be left in open space, al- play an important role in managing commonly held lowing the developer to cluster denser housing or property. Homeowners’ associations also become commercial structures in a more suitable location. responsible for restrictions and covenants placed on PUD ordinances usually require a developer to the PUD by the developer. Such restrictions can re- submit a complete development plan for review. quire, for example, that homeowners use only native Such a plan usually includes a combination of maps, plants on their lawns and paint their houses certain drawings, site designs, charts, and supportive narra- colors for compatibility. (See further discussion tive material that portray the development to be about covenants later in this chapter.) 335 PLAN AND DESIGN IMPLEMENTATION

Performance Standards TABLE 10.1 Whitman County Zoning Ordinance for Like many other planning techniques, performance Rural Housing standards is a rather broad, generic term that has Two of the following three conditions must exist: been defined and applied in several different ways. 1. The subject lot is underlain by basaltic or alluvial surface geology, or if it is underlain by crystalline surface geology,the Basically, the term refers to criteria that are estab- average slope must be no less than one vertical foot in five lished and must be met before a certain use will be horizontal feet.These facts must be verified by reference to permitted. These criteria, or standards, may be a set the geological map contained in Water Supply Bulletin No. of economic, environmental, or social factors or any 26,Reconnaisance of Geology and Ground- Water Occur- rence in Whitman County,Washington,published by the combination of these factors. State of Washington,Department of Ecology,and dated Originally, performance standards were used as a 1969.Whenever difficulty exists in the verification of surface means for prescribing specific conditions for observ- geological conditions from this map,reference shall also be able or scientifically measurable industrial plant made to the maps of detailed soil mapping units maintained by the Soil Conservation Service,which maps shall either in- emissions. This system was first proposed by Dennis dicate or not indicate a pattern of specific soil types which is O’Harrow, the executive director of the American So- known to be associated with basaltic,alluvial or crystalline ciety of Planning Officials, in his 1954 study Planning surface geological conditions. 2. The subject lot has been cultivated, used for production Standards in Industrial Zoning. of commercial forage for sale, commercial grazing of More recently, performance standards have been livestock for sale or subjected to any agricultural practice linked to zoning ordinances in various ways. For in- designed to produce a product for sale in the preceding stance, in some areas that permit septic tanks, a three years. 3. The subject lot is within a distinct area of land 15 acres number of environmental factors (such as the soil or less which is of sufficient size, quality and/or accessi- type and depth to the water table) are used to deter- bility to be efficiently used for agricultural production mine whether housing will be allowed. Permitting for income. “Distinct” shall mean that the subject area is too much housing with septic tanks in many areas substantially bounded by natural or man-made features which buffer this land from agricultural lands, such as: will result in environmental degradation that can wooded areas, steep canyon walls, railroads, surface wa- endanger human health. However, some locations ters or public roads. may be suitable for such housing. Performance stan- All the following requirements must be met: 1. The subject lot must have frontage on an improved dards identify those factors that make a site suit- county or state road of at least 200 feet. “Improved” shall able or unsuitable for a specific use. Conventional mean a gravel surface or better. prescriptive zoning ordinances “are based on the 2. If perennial surface water passes through, or along any principle that most [land] uses are incompatible boundary of the subject lot, there must be at least 200 feet of frontage along such surface water. and should be separated from one another” (Juster 3. Less than one-half of the area of the subject lot shall be in 1994, 29). In contrast, performance zoning “is based an area of special flood hazard and/or a floodway as des- on the premise that within broad limits different ignated on the flood hazard boundary map of the Flood [land] uses can coexist with one another” (Juster Insurance Study for Whitman County. 4. Construction plans for structures, parking areas and pri- 1994, 30). vate roads on the subject lot shall leave a maximum In the Whitman County, Washington, zoning or- amount of existing vegetation undisturbed. dinance, performance standards were established that 5. The area of the subject lot shall be less than the minimum area required by the Whitman County Department created minimum standards for agricultural districts, of Environmental Health to safely accommodate ap- including requirements for single- family housing. proved water supply and on-site sewage disposal systems. The intent of this district was that agriculture be the SOURCE: Whitman County Regional Planning Council 1979. primary use and that all other uses be sited so as to 336 CHAPTER 10

TABLE 10.2 Bucks County, Pennsylvania, Performance Zoning STEP 1. Calculating Base Site Area Certain portions of tracts may not be usable for the activities proposed for the site. These are subtracted from the site area to determine base site. Site A Site B 1. Site area as determined by actual on-site survey. 20.6 acres 20.6 acres 2. Subtract land within ultimate right-of- way of existing roads, or utility −0.6 −0.6 rights-of- way or easements. 3. Subtract land that is not contiguous: 0 0 a. A separate parcel that does not abut or adjoin nor share common boundaries with the rest of the development. b. Land that is cut off from the main parcel by a road, railroad, existing land uses, or major stream so as to serve as a major barrier to common use, or so that it is isolated and unavailable for building purposes. 4. Subtract land that in a previously approved subdivision was reserved 0 0 for resource reasons such as flooding or recreation. 5. Subtract land used or zoned for another use (land that is used or to be 0 0 used for commercial or industrial uses in a residential development, or land in a different zoning district than the primary use). 20.0 acres 20.0 acres (8.1 hectares) (8.1 hectares)

STEP 2. Subtracting Resource Protection Land Site A Site B Resource Protection Resource Protection Open Acres of Land (Acres in Acres of Land (Acres in Space Land in Resource × Open Land in Resource × Open Resource Ratio Resource Space Ratio) Resource Space Ratio) Floodplains 1.00 0.5 0.5 4.5 4.5 Floodplain soils 1.00 Lakes or ponds 1.00 Wetlands 1.00 0.2 0.2 1.5 1.5 Natural retention area 0.90 Sleep slope (25% or more) 0.85 Forest 0.80 1.0 0.8 2.3 1.84 Pond shore 0.80 Lake shore 0.70 Steep slope (15–25%) 0.70 Steep slope (8–15%) 0.60 Total land with resource restrictions 1.7 8.3 Total resource protection land 1.5 7.84 All land within the base site area shall be mapped and measured for the purpose of determining the amount of open space needed to protect it. 337 PLAN AND DESIGN IMPLEMENTATION

TABLE 10.2 (Continued) STEP 3. Allowing for Recreation Land While some of the open space required by the zoning district may be resource protection land, the intent is to provide for usable public or common open space as near to each unit as possible. Thus, there is a need for specific guidelines ensuring that a minimum amount of land not restricted by 1 or 2 above is retained for this purpose. Therefore: Site A Site B Take Base site area 20.0 acres 20.0 acres Subtract Total land with resource restriction – 1.7 – 8.3 Equals Total unrestricted land = 18.3 = 11.7 Multiply Total unrestricted land by 0.2 × 0.2 × 0.2 Total Recreation land = 3.66 acres = 2.34 acres

STEP 4. Determining Site Capacity Individual site capacity is found by calculating net buildable site area. For single-family, single-family cluster, or performance subdivisions, the number of allowable dwelling units is determined by multiplying the net density by net buildable site area. The calculations are as follows: Site A Site B Take Resource protection land 1.5 acres 7.84 acres Add Recreation land + 3.66 + 2.34 Equals Total open space = 5.16 acres = 10.18 acres Take Base site area 20.0 acres 20.0 acres Multiply By open space ratio* × 0.4 × 0.4 Equals Minimum required open space = 8.0 acres = 8.0 acres Take Base site area 20.0 acres 20.0 acres Subtract Total open space or minimum required open space, which- ever is greater − 8.0 – 10.18 Equals Net buildable site area = 12.0 acres = 9.82 acres *Each zoning district has minimum open-space requirements as described in its zoning regulations. In this example it is 40% (0.4).

STEP 5. Calculating Permitted Number of Dwelling Units Site A Site B Take Net buildable site area 12.0 acres 9.82 acres Multiply Net density × 2.4 × 2.4 Equals Number of dwelling units (do not round off) = 28.0 du/acre = 23.568 du/acre

SOURCE: Adapted from Kendig 1977. 338 CHAPTER 10

minimize their impact on, or conflict with, adjacent fixed-area allocation system that limits development agricultural uses (Table 10.1). of both productive farmland and naturally hazardous Bucks County, Pennsylvania, developed the first or sensitive sites. The owner of “productive croplands” system for performance zoning. This straightfor- (which are identified using the local LESA system) ward system is based on a five- step process outlined may develop one dwelling unit for each 40 acres [16.2 in Table 10.2 (Kendig 1977). Both the Whitman and hectares] of such land, but may place that dwelling on Bucks County examples rely on accurate technical as little as one acre [0.4047 hectare], while leaving the information concerning an area’s resources. remaining 39 acres [15.8 hectares] in production” Kirk Wickersham (1978) and Lee Nellis (1980, (Nellis 1994, 220) (Table 10.3). 1981) have developed permit systems to implement performance standards. Permit systems do not rely An example of a point system used with zoning on conventionally defined (residential, industrial, districts exists in Breckenridge, Colorado (Wicker- and agricultural) zoning districts to segregate poten- sham 1978; Humphreys 1985). The Breckenridge tially incompatible uses. Instead, these systems eval- comprehensive plan sets forth the guidance of uate all development proposals on the basis of their growth as the town goal to preserve historic build- compliance with a checklist of performance stan- ings in the old mining town and to integrate new dards. The standards are derived from the planning buildings. To implement the plan, a land-use guid- goals and policies. Most permit system checklists in- ance system was adopted that establishes 42 districts clude two kinds of policies: absolute and relative. Ab- with specific standards for uses and architectural solute policies require or prohibit certain kinds or character. The guidance system is enforced through levels of performance, while the performance of the the Breckenridge Development Code, a set of poli- project on the relative policies is assessed by using a cies covering a range of subjects like air and water point-scoring system. The total “score” of a project may be used as the basis for density bonuses that re- TABLE 10.3 ward positive actions on the part of developers. Base Residential Density Assignments While permit systems do not use conventional by Land Type zoning districts, they may make extensive use of This Is One of the Density Assignment Tables Adopted mapped environmental information. They may also in the Fremont County Development Code. Productive be implemented on a neighborhood basis, in which a Croplands Are Defined Using the Fremont County, different set of policies applies to each neighborhood, Idaho, LESA System. with the neighborhoods being defined by watershed Base Density, boundaries, visual or historical character, or the pres- Site Characteristics One Dwelling Unit per ence of a local “sense” of community. The development of a permit system for a particular place usually Productive croplands 40 acres Wetlands, slopes over 30% 25 acres involves extensive public participation and an em- Stream and lakeshore corridors, 10 acres phasis on procedural simplicity. Permit systems have slopes of 15–30% been successfully used in growing rural areas in the Other areas 2.5 acres Minimum lot size 1.0 acres Rocky Mountains, Alaska, and the Missouri Ozarks. Planner Lee Nellis (1994) incorporates LESA Notes: Where site characteristics overlap, the most restrictive density assignment shall apply. Remember that the base densities are aver- with performance standards and point systems in ages, allowing the developer substantial flexibility in the actual Idaho and other western states. For example, Nellis arrangement of lots. State health regulations may prevent a develop- prepared a development code for Fremont County, ment from attaining the average density or minimum lot size permitted by these regulations. Idaho. The Fremont code is the basis for a SOURCE: Adapted from Nellis 1994. 339 PLAN AND DESIGN IMPLEMENTATION

quality, the restoration of historic artifacts, and or the county. A proponent for a new development housing (Humphreys 1985). or a change of a building’s use must present designs The Breckenridge code contains both absolute illustrating how they are in compliance with the and relative policies. Projects are analyzed by plan- standards. Usually a design review board, comprised ners based on a point system to determine how well of local experts, is responsible for checking whether the proposed development meets both absolute and the designs are in compliance. relative criteria. A proposed project must be ap- The standards address requirements for the site, proved by the town of Breckenridge when it meets for proposed structure(s), and often for off- site all of the absolute policies or has no negative effect features (Shirvani 1990). Site standards usually in- on those policies and when it receives a positive clude guidelines for parking, circulation, paving, score for its compliance with relative policies. Ac- lawns, plantings, drainage, irrigation, signs, fencing, cording to Humphreys, the point analysis “is the setbacks, and building envelopes. Building stan- quantitative backbone of the development code sys- dards address elements such as height, color, materi- tem” (1985, 23). He noted that “over the past three als, roofing, floor- area ratios, and building foot- years, I have watched over some 1,200 reviews, and, prints. The off- site elements may include views, in that time, I have come to believe that the develop- buffers, roadways, and adjacent land uses. ment code has major strengths in flexibility, comprehensiveness, and capacity for negotiation and re- Critical or Environmentally vision” (Humphreys 1985, 24). Sensitive Areas Similar point systems, added on top of traditional zoning regulations, have also been used to Performance standards and design guidelines are help manage growth on a competitive basis in Peta- tools to encourage as well as control development. In luma, California; Boulder, Colorado; and Ramapo, contrast, critical or environmentally sensitive areas New York. In competitive systems added to zoning protection are a way to prohibit or minimize devel- ordinances, a fixed number of permitted develop- opment. Critical and environmentally sensitive areas ments within each zone is allowed each year. Devel- are terms and concepts often used interchangeably. opment proposals are measured against fixed stan- Critical areas were proposed by the American Law dards and permitted or denied on their merits. Institute’s Model Land Development Code, which described them as follows: Design Guidelines and Controls • An area significantly affected by, or having an Design guidelines and controls establish standards for effect upon, an existing or proposed major architecture and landscape architecture features of public facility or other areas of major public new development. Samuel Stokes and his colleagues investment note that design guidelines “can illustrate what ac- • An area containing or having a significant im- ceptable development in the community should pact upon historical, natural or environmen- look like, and they can be published by citizens’ tal resources of regional or statewide impor- groups or governmental bodies” (1997, 199). Design tance (American Law Institute 1974) review processes can be either voluntary or required. When voluntary, the applicable standards are usually The Washington State Environmental Policy Act referred to as design guidelines. Mandatory review (SEPA) describes environmentally sensitive areas as standards are called design controls. The guideline or “[those that] could have a significant adverse envi- control standards are published by the municipality ronmental impact, including but not limited to, 340 CHAPTER 10

areas with unstable soils, steep slopes, unusual or American Law Institute (1974) that critical area pol- unique plants or animals, wetlands, or areas which icy be adopted on the state level. lie within flood plains” (State of Washington 1984, On the local level, such an area may be separated section 908, see also Washington Department of by zoning districts or overlay several zones. For ex- Ecology 1995). ample, the city of Scottsdale defines and regulates Adapting the Washington State definition, envi- “land slopes of 15 percent or more in the moun- ronmentally sensitive areas can be thus defined as tains, unstable slopes, special features, water places vulnerable to negative environmental im- courses, geologic conditions, and native vegetation” pacts. These could include areas such as unstable as environmentally sensitive (City of Scottsdale soils, steep slopes, floodplains, wetlands, and certain 1991a, 4). The Regional Municipality of Waterloo in plant and animal habitats. Forster Ndubisi and his Ontario, Canada, identifies an environmentally sen- colleagues define environmentally sensitive areas as sitive policy area as a place demonstrating one or “landscape elements or places which are vital to the more of the following characteristics: long-term maintenance of biological diversity, soil, water, or other natural resources both on the site 1. The occurrence of significant, rare, or endan- and the regional context. They include wildlife habi- gered indigenous species within the desig- tat areas, steep slopes, wetlands, and prime agricul- nated area tural lands” (1995, 159). 2. The identification of plant and/or animal as- Certain states (such as Washington) and local ju- sociations and/or land-forms that are un- risdictions (such as Scottsdale, Arizona, and Water- usual or of high quality, regionally, provin- loo, Ontario) require the protection of environmen- cially, or nationally tally sensitive areas. The State of Washington 3. The classification of the area as one that is protects environmentally sensitive areas through its large and undisturbed, thereby potentially af- state environmental policy act provisions. SEPA pro- fording a habitat to species that are intolerant visions in Washington enable city and county gov- of human disturbance ernments to designate areas within their jurisdic- 4. The classification of the area as one that is tions that are environmentally sensitive. As a result unique with limited representation in the re- of SEPA, a procedural review is required for pro- gion, or a small remnant of once- larger habi- posed actions that may impact the environment. tats that have virtually disappeared Some actions, however, are specifically exempt from 5. The classification of the area as one contain- the environmental review process. Because these ac- ing an unusual diversity of plant and animal tions still may have a significant impact on environ- communities due to a variety of geomorpho- mental quality, the SEPA law includes the provision logical features, soils, water, and microcli- allowing the local designation of environmentally matic effects sensitive areas. Within locally designated areas, pro- 6. The identification of the area as one that proposals, programs, and actions are subject to environ- vides a linking system of undisturbed forest mental review procedures (Jennings and Reganold or other natural refuge for the movement of 1988; see also City of Everett 1994). Furthermore, the wildlife over a considerable distance Washington Growth Management Act requires cities 7. The performance of the area in serving a vital and counties to identify and protect critical areas. ecological function, such as maintaining the (See Kitsap County Department of Community De- hydrological balance over a widespread area velopment 1998, for example.) These Washington acting as a natural water storage or recharge provisions are consistent with the suggestions of the area 341 PLAN AND DESIGN IMPLEMENTATION

8. The recognition of the area as one demon- TABLE 10.4 strating any of the above qualities but suffer- Environmentally Sensitive Area Classification System ing from a minor reduction of its uniqueness Class Subclass or rareness by intrusion of human activities Ecologically 1. Natural wildlife habitat areas (Smith et al. 1997) critical areas 2. Natural ecological areas 3. Scientific areas The courts have generally taken a favorable view Perceptually and 4. Scenic areas culturally critical 5. Wilderness recreation areas toward protecting critical or environmentally sensi- areas 6. Historic, archaeological, and tive areas. For instance, in the classic 1972 case Just cultural areas vs. Marinette County (56 Wisc. 2d 7), the Wisconsin Resource production 7. Agricultural lands critical areas 8. Water quality areas Supreme Court upheld county restrictions on wet- 9. Mineral extraction areas lands. According to the Wisconsin court, “[Mari- Natural hazard 10. Flood-prone areas nette County’s] ordinance that requires a wetland critical areas 11. Fire hazard areas owner to obtain a permit before filling, draining, or 12. Geologic hazard areas 13. Air pollution areas dredging is consti tutional, since restrictions on use of privately owned wetlands serve to protect the SOURCES: Column 1 is adapted from Pinelands Commission 1980; column 2 is adapted from Center for Natural Areas, Smithsonian In- state’s natural resources and constitute reasonable stitution 1974. application of police power” (Wisconsin Supreme Court 1972). ments are those that are identified as being In this case, wetlands were clearly identified necessary to maintain the essential character through state policy and local ordinance. According and integrity of the existing environment. to the Marinette County shorelines ordinance, such They are based on the quality, the scarcity, or wetlands needed protection because “uncontrolled the role the element plays in the ecosystem. use of shorelines and pollution of navigable waters These areas can provide many amenities and adversely affect public health, safety, convenience, services to the public and to private land- general welfare, and impair the tax base” (Wisconsin owners. Maintaining the natural system helps Supreme Court 1972). to provide flood control, water purification, George Newman (1982) suggested a system for water supply, pollution abatement, wildlife classifying environmentally sensitive areas adapted habitat, and a pleasing and visually diversified from those developed by the New Jersey Pinelands landscape. Ecologically critical areas provide Commission and the Smithsonian Institution sites for outdoor education or scientific study, (Table 10.4). The Pinelands Commission divides or habitat for the spawning and rearing of environmentally sensitive areas into four categories: anadromous fish. Such areas also have psy- ecologically critical areas, perceptually and culturally chological or philosophical value for those critical areas, economically critical areas, and natural who gain comfort from knowing that open hazard critical areas. Newman renamed economi- semiwilderness areas and rare and endan- cally critical areas “resource production critical gered species and habitats still exist. areas” and developed the following definitions: 2. Perceptually and culturally critical areas that contain one or more significant scenic, recre- 1. Ecologically critical areas contain one or more ational, archaeological, historical, or cultural significant natural elements that could be de- resources that could be degraded or lost as a graded or lost as a result of uncontrolled or result of uncontrolled or incompatible devel- incompatible development. Significant ele- opment. They have features such as access 342 CHAPTER 10

and proximity to water, special recreational wildlife. Habitats of endangered species may resources, or buildings possessing significant have to be strictly protected, while recre- historical or archaeological values. ational hunting can be permitted in areas 3. Resource production critical areas provide es- supporting game species. sential products supporting either the local 2. Natural ecological areas have ecosystem units economy or economies of a larger scale. The that are either superlative examples of their significant resources can be either the essen- type or locations that perform a vital func- tial products (e.g., agricultural crops, timber tion in maintaining the ecological integrity products, or sand and gravel) or the elements and environmental quality of a larger region. necessary for the production of such essential These are areas containing an unusual diver- products (e.g., soil and water). These re- sity of plant and animal communities due to sources are primarily economically valuable; a variety of geomorphological features, soils, however secondary values may include recre- water, and microclimate conditions. Fur- ational values or cultural or life support val- thermore, natural ecological areas may be an ues associated with local communities. These important component of the human life resources can be renewable, like timber, or support system, such as flood control, water nonrenewable, like mineral resources. purification, water supply, pollution abate- 4. Natural hazard critical areas may result in the ment, and oxygen regeneration. Examples loss of life and/or property due to incom- include wetlands and riparian areas. patible development. These places include 3. Scientific areas are of geological interest or areas prone to landslide, flood, earthquake, present ecological processes warranting avalanche, or fire hazard (Adapted from the study. Most of these areas have been studied, Pinelands Commission 1980; Newman 1982). and they can be identified by experts within the local scientific and academic commu- Newman suggested the use of the definitions de- nity. Scarcity of geological or ecological fea- veloped by the Smithsonian Institution for use in tures on regional, state, and national levels is the subclasses of his system: an important factor. 4. Wilderness recreation areas are tracts of land 1. Natural wildlife habitat areas are essential to large enough to support recreational activi- the preservation of game species and rare, ties such as camping, hiking, birdwatching, threatened, or endangered species. They and canoeing. Isolated wilderness areas close provide food, shelter, and breeding areas to population centers are especially valuable. and must be large enough to fulfill the spe- 5. Scenic areas contain natural features of suffi- cies needs. Such areas include sites where cient aesthetic quality to warrant their animals seasonally concentrate, such as deer preservation. Several methods have been de- yards, migratory stopover spots, aquatic veloped for determining scenic values, but spawning pools, and nesting places for birds. the determination of aesthetic quality re- It is important that the area is inherently sta- mains subjective. Some methods attempt to ble, which is more likely if it contains a high survey the public’s values of various land- diversity of flora or fauna. Additionally, a scapes and geological formations, while greater variety of animal species is associ- other methods review such factors as vegeta- ated with a diversity of vegetation types. The tive type, composition, and texture; topog- uses of these areas will vary according to raphy; and geographic features. The scarcity 343 PLAN AND DESIGN IMPLEMENTATION

and location of these areas is often an important consideration. 6. Historic, archaeological, and cultural areas are important to the heritage of the community, region, state, or nation. These areas may contain structures or artifacts, or they may be associated with an historic event. The sites may be considered by archaeolo- gists as likely to yield important information. These areas are often listed by state historical and heritage agencies or societies, although most of these organizations do not Water quality areas ensure the maintenance of sources of rate the sites according to their importance. clean water. Such areas may also emerge as a result of analysis in response to a threat. quantities of high-quality minerals to war- 7. Agricultural lands are used for crop or ani- rant their protection from development that mal production or for silviculture. A reason would exclude the possibility of extraction. for including these lands in the subclassifi- These areas contain minerals or materials of cation is that the private market is unable to commercial quality and quantity that may adequately incorporate long-term or future include, but are not limited to, sand, gravel, agricultural demands so as to ensure prime clay, peat, rock, and ores. lands will remain in farm use. Soils for agri- 10. Flood-prone areas are identified on the basis culture and forest for timber production are of the frequency of flooding. They may be renewable resources when properly man- either floodplain areas adjacent to rivers or aged. However, development of these areas coastal areas within the hurricane zone. The may cause irreversible damage to the re- U.S. Army Corps of Engineers can help to sources. Soil productivity (generally based identify the frequency of flooding in these on NRCS land capability or productivity areas. ratings) and the availability of water are the 11. Fire hazard areas are identified by the USFS factors important for crop production. The and state wildfire management agencies as LESA system, described in Chapter 5, can be being particularly susceptible to forest fires. used to help identify important agricultural The important factors are the type and areas. State agriculture departments have quantity of fuel accumulation and weather. production yield figures, and the USFS 12. Geological hazard areas are characterized by maintains a forest growth potential rating a high frequency of earthquakes, landslides, system to determine timber production fault displacements, volcanic activity, subsi- areas. dence, or severe erosion. 8. Water quality areas ensure the maintenance 13. Air pollution areas require restraints on air of sources of clean water. These areas are pollution emissions due to periods of poor generally aquifer recharge areas, headwaters, vertical air mixing and the subsequent en- stream corridors, and wetlands that func- trapment of polluting substances. Topo- tion as a natural filter for surface waters. graphic features and meteorological condi- 9. Mineral extraction areas contain sufficient tions are the most important factors in their 344 CHAPTER 10

identification (Center for Natural Areas, damage. Conversely, natural flooding cycles also Smithsonian Institution 1974; Pinelands benefit water quality, soil development, and wildlife Commission 1980; Newman, 1982). habitat. The National Flood Insurance Program (NFIP) was created by Congress through the Na- The identification of critical areas in the Pinelands tional Flood Insurance Act of 1968. The NFIP estab- was based on the work of the Philadelphia-based con- lished a national policy and framework for flood- sulting firm Rogers, Golden, and Halpern. Areas for plain management. The initial act has been consideration as critical were nominated and ranked. modified and refined since 1968 by Congress. The Table 10.5 illustrates how mapped areas were ranked, NFIP is administered by the Federal Insurance Ad- while Table 10.6 shows the criteria used for ranking ministration and the Mitigation Directorate that are ecological critical areas in the Pinelands. Four types of part of the Federal Emergency Management Agency environmentally sensitive areas that have received es- (FEMA) (Morris 1997). pecial attention are floodplains, wetlands, wildlife habi- The NFIP makes flood insurance available to tats, and places of historical significance. These four property owners only if their community partici- types are discussed here in greater detail. pates in the program. Furthermore, loans for purchasing property are linked to the NFIP. As a result, Floodplain Management there are strong incentives for communities to be in- Flooding can create hazards for human safety and volved in the NFIP. Morris notes that the “NFIP health. Floods can also result in significant property strategy is to provide the benefits of federally backed

TABLE 10.5 Sample of Form Used to Rank Ecologically Critical Areas in the New Jersey Pinelands

Legend 1 The criterion applies to the critical area. 2 Two species from the criterion are found in the critical area. 3 Three species from the criterion are found in the critical area. SOURCE: Pinelands Commission 1980. 345 PLAN AND DESIGN IMPLEMENTATION

TABLE 10.6 Ranking Criteria for Ecologically Critical Areas in the New Jersey Pinelands Group and Sample Size (n) = 17) = 31) = 22) = 29) = 99) n n n n Critical criteria areas Scientists and Staff, ( n Consultants County Burlington Public ( Meeting County Public Atlantic ( Meeting County Public Ocean ( Meeting ( Average Pristine aquatic communities 1 1 1 2 1 Headwaters 22 212 Unique or exceptional ecosystems 3 3 3 3 3 Nationally endangered species 5 5 5 7–8 6 Linkage corridors 4 4 7 4 4 State endangered, threatened, declining, or undetermined species 7 9 6 5–6 5 Breeding areas (nesting or spawning) 6 6 4 5–6 5 Species proposed or under review for national list 8 12–13 10 10 11 Diversity of vegetation types within a given area 9 7 11 9 8 Outlier, disjunct, or relict species 11 16 14 15 15 Migratory stopover areas 12 8 8 12 9 Restricted and endemic species 10 11 12 14 13 Overwintering concentrations 14 10 9 11 10 Representative vegetation types 13 12–13 13 7–8 12 Species at limits of their geographic range 15 15 16 16 16 Areas of scientific interest and research 16 14 15 13 14 Oldest, largest, or exceptional tree specimens 17 17 17 17 17

SOURCE: Pinelands Commission 1980.

flood insurance coverage in return for mitigation of estimates that the NFIP regulations prevented more flood risks through community regulation of flood- than $770 million in flood damage to buildings and plain development” (1997, 4). Participation involves their contents between 1978 and 1997 (Morris the incorporation of floodplain management provi- 1997). sions into a city, town, or county’s zoning and sub- FEMA introduced its Community Rating System division ordinance or by developing a separate over- (CRS) in 1990 to provide incentives for jurisdictions lay floodplain management ordinance (Morris that go beyond minimum standards. For jurisdic- 1997). Local ordinances must meet minimum stan- tions participating in the CRS, insurance premiums dards for flood- damage reduction established by the are reduced for all policyholders (Morris 1997). NFIP. Critics of the program argue that these stan- Floodplain regulation is to be based on Flood dards are too liberal and that more rigorous thresh- Insurance Rate Maps (FIRMs) produced by FEMA. olds for hazards should be created. However, FEMA These maps are accompanied by text describing 346 CHAPTER 10

flood areas and related hazards. One- hundred- year 1970, wetlands and riparian corridors were gener- flood boundaries are delineated on FIRMs. “A ‘100- ally viewed as waste areas that had minimal value for year flood,’ or base flood, is the flood that has a one urban uses such as housing and commerce. Because percent or greater chance of being equaled or ex- of flooding dangers, areas adjacent to rivers and ceeded in any given year” (Morris 1997, 6). FIRMs streams can be dangerous places to locate homes also show the location of floodways and often 500- and businesses. As a result, wetlands and riparian year flood boundaries. The NFIP requires that all areas often became sites for unwanted or undesir- lands within the 100-year floodplain be regulated. able uses such as heavy industry and landfills. But As a result, it is important to include FEMA, FIRM, with the growth of metropolitan regions, wetland and related data in the ecological inventories dis- and riparian areas have become more desirable for cussed in Chapter 3. Marya Morris (1997) provides development. As William Reilly, the former EPA dian excellent detailed discussion about how flood in- rector, noted before a U.S. Senate panel, “Wetlands formation can be incorporated into subdivision and are where the country is going. [Population is con- other local ordinances. centrated] on the coasts; on rivers; around lakes; on flat, undeveloped, cheap and developable land. Wet- Wetland and Riparian Area Protection lands are, and will continue to be, under stress” (Lawson 1991, 77–78). The protection of wetlands and riparian areas has Since 1970, there has been a change in the public emerged as an important environmental planning perception of wetlands and riparian areas. Increas- issue. In the United States, several federal, state, and ingly, these areas have become recognized for their local laws have been enacted to protect wetlands and positive values for flood protection, water quality riparian areas. Specifically, the federal Clean Water and supply, recreation, and as wildlife and fish habi- Act (CWA) includes protection requirements in tats. As a result, a few states, then the federal govern- Sections 301 and 303 for state water quality stan- ment, and finally several more states and localities dards, Section 401 for state certification of federal implemented programs encouraging the protection actions (projects, permits, and licenses), and Section of wetlands and riparian areas. Beginning in the late 404 for dredge and fill permits. The Section 401 wa- 1960s and throughout the 1970s, there was a host of ter quality state certification element has been called such laws addressing clean water, floodplains, wild the “sleeping giant” of wetlands protection because and scenic rivers, the coastal zone, endangered spe- it empowers state officials to veto or condition fed- cies, and mining reclamation (U.S. Department of erally permitted or licensed activities that do not the Interior 1988). Beginning in 1985, the preserva- comply with state water quality standards. State offi- tion of wetlands on farms was required as a prereq- cials have used this power infrequently, although uisite for federal agricultural subsidies. These fed- considerable potential exists for stronger state and eral laws and associated state laws are dynamic and local wetlands protection efforts (World Wildlife continue to evolve (Steiner et al. 1994). The federal Fund 1992). and state laws have prompted, and even required, Historically, wetlands and riparian areas were local regulation. viewed differently than they are today. Throughout States have adopted various protection strate- human history people have located their settlements gies, including: near rivers and lakes for water supply and waste disposal. As a result, most cities and towns are near, or • Assumption of the CWA, Section 404 permit- have replaced, wetlands and riparian areas. Prior to ting program 347 PLAN AND DESIGN IMPLEMENTATION

• Involvement in implementation of a federal [CWA]), a new era of water quality protection be- CWA, Section 404 permitting program gan that included valuing wetlands differently. • Implementation of a CWA, Section 401 certi- The CWA is the principal law authorizing wet- fication program lands regulation (33 USC 1251–1376). A major reg- • Promulgation of narrative or numeric stan- ulatory program is the National Pollution Discharge dards and/or use of antidegradation standards Elimination System (NPDES), which is adminis- to protect wetland/riparian areas tered by the EPA. Want notes, “Section 301 of the • Other natural resource protection programs Act prohibits the discharge of any pollutant without that protect riparian areas a permit. Section 402 of the [Act] authorizes EPA • Establishment of voluntary or mandatory wa- [or an approved state] to issue such permits. Section tercourse alteration or streamside forestry best 404 of the Act carves out from the general EPA per- management practices mit authority a special authority for the [U.S. Army • Establishment of protection mandates Corps of Engineers] to issue permits for the dis- through executive orders charge of two types of pollutants: dredged material • Creation of opportunities for protection and fill material” (1990, 2–7). As a result, the EPA through tax incentives, easements, recognition and Corps jointly administer the 404 program. EPA programs, technical assistance, and education has veto authority over the issuance by the Corps of • Protection by acquisition the 404 permits. However, EPA has seldom used this • Inclusion of riparian areas and wetlands in power. According to former EPA administrator definitions of “waters of the state” for regula- William K. Reilly, the “Corps issues over 10,000 per- tory purposes (Steiner et al. 1994) mits every year, and in the 18-year history of the program, EPA has vetoed only 11 projects” (1991, Federal Wetlands Protection. As observed by 193). William Want, “Most wetlands regulation has been The main purpose of the CWA “is to restore and done at the federal level and the federal program of maintain the chemical, physical, and biological in- regulation has become very complex” (1990, 1–1). tegrity of the Nation’s water.” In the 1987 amend- Historically, federal and state governments were ments to the act, Congress established the policy “to concerned about waterways for their navigational recognize, preserve, and protect the primary re- values, principally for defense and commerce. Water sponsibilities and rights of states to prevent, reduce, was relatively plentiful and abundant in the eastern and eliminate pollution, to plan the development United States. With increased knowledge about san- and use (including restoration, preservation, and itation and disease in the nineteenth century, cou- enhancement) of land and water resources....” The pled with the growth of industrial cities, there began 1987 amendments also established the policy of to be concern about water quality. As the people of state implementation of Sections 402 and 404 per- the nation moved west, wetlands were viewed as a mit programs. nuisance to be converted to productive use as water Section 401 of the CWA allows the states “to veto irrigation systems were developed for agriculture federally permitted or licensed activities that do not and urban uses. In the late 1960s, the status quo be- comply with state water quality standards” (Ransel gan to change as federal agencies began to protect and Meyers 1988, 340). The states have the responsi- wetlands for their ecological values (Want 1990). In bility for setting these standards, subject to EPA ap- 1972, with the passage of the Federal Water Pollu- proval. Section 303 of the CWA gives states “great lat- tion Control Act Amendments (the Clean Water Act itude in formulating their water quality standards” 348 CHAPTER 10

(Ransel and Meyers 1988, 344). States may establish ties such as dredging and draining, to programs that designated water uses and water quality standards provide tax incentives to protect wetlands perma- criteria sufficient to “protect the public health or nently” (1990, 43). Salvesen notes that, in general, welfare, enhance the quality of the water and serve states regulate wetlands in two ways: “indirectly, as the purposes of the Act” [33 USC 1313 (c)(2)(A)]. part of broad regulatory programs such as the According to K. Ransel and E. Meyers, quoting coastal zone management program or the water partially from the CWA, “any applicant for a quality certification provisions under Section 401 of Federal license or permit for conducting any activ- the Clean Water Act, and directly, by enacting laws ity...which may result in any discharge to the nav- specifically to regulate activities in wetlands” (1990, igable waters [is required] to secure from the state in 43). which the discharge originates a certification that Although California, Oregon, and Washington the discharge will comply with several provisions of have noteworthy wetlands programs built on coastal the CWA related to effluent discharge limitations protection laws, western states have been slow in de- and water quality standards” (1988, 342). Thus, a veloping overall protection policies. In 1985 J. A. denial of Section 401 certification “operates as an Kusler noted that “no state west of the Mississippi absolute veto” and “the state’s decision is not review- has adopted a comprehensive wetland or riparian able by the federal permitting agency or the federal habitat protection program for public or private courts” (Ransel and Meyers 1988, 342). As a result, lands, unlike the coastal states which have all Ransel and Meyers observe, “the states’ most impor- adopted some protection for their coastal wetlands tant role in the Section 401 certification process is to and 11 eastern states which have adopted freshwater determine whether an applicant for a federal license protection statutes” (1985, 6). Western states face a or permit has demonstrated compliance with state special opportunity and challenge because of the water quality standards and, if not, to deny or ‘con- large blocks of public lands. Kusler notes that six dition’ certification so that the activity will comply western states have adopted floodplain regulatory with those standards” (1988, 343). laws, but “these are narrowly aimed at reducing flood losses and have no provision for vegetation” General State Responses. States have responded (1985, 6). Conversely, Oregon has adopted statewide to federal law in a variety of ways. For instance, as a planning guidelines for riverside lands and a state result of the CWA, states “may assume responsibility tax credit program, while Washington includes infor issuing [404] permits in certain waters under land shorelines as part of its coastal zone program. their jurisdiction in accordance with criteria devel- According to C. R. Griffin, “nearly half of the 50 oped by EPA” (U.S. General Accounting Office states regulate wetlands uses to varying degrees; [GAO] 1988, 10). Thus far, only Michigan and New however, many of these states protect only coastal Jersey have assumed primacy for issuing 404 per- wetlands, with inland wetlands being largely unpro- mits, although several other states have considered tected except by federal regulations” (1989, 25). or are considering the possibility (World Wildlife These inland areas are significant because they rep- Fund 1992). Most states have obtained primacy resent the majority of the wetlands remaining in the from EPA for the Section 402 NPDES permit lower 48 states. Much of this inland wetland is program. closely associated, physically and biologically, with According to D. Salvesen, “The resulting pro- riparian areas. Griffin (1989) has identified only 13 grams [of the states], no two of which are identical, states nationwide with comprehensive inland wet- vary from those that regulate a wide range of activi- lands protection laws, while the World Wildlife 349 PLAN AND DESIGN IMPLEMENTATION

Fund (1992) notes that 20 states have enacted wet- dards for wetland or riparian areas. At least 28 states lands regulatory programs. have other natural resource protection programs, The situation is changing both for inland wet- including coastal zone management programs, that lands and in the western states. For example, the provide protection for wetland and/or riparian Wyoming legislature passed the Wyoming Wetlands areas. Executive orders for protection are less com- Act in February 1991 (WS 35-11- 308 through 35- mon, occurring in only 7 states. Other nonregula- 11- 311). In that act, the legislature declared that tory programs such as tax incentives, easements, recognition programs, subsidies, technical assis- all water, including collections of still water and wa- tance, education, and acquisition are used by nu- ters associated with wetlands within the borders of merous states and in a variety of ways. Most states this state are property of the state. The legislature fur- have some form of nonregulatory program in place. ther declares that water is one of Wyoming’s most im- Voluntary and regulatory best management prac- portant natural resources, and the protection, devel- tices are used in well over half the states, more rely- opment and management of Wyoming’s water ing on mandatory than on voluntary measures, with resources is essential for the long- term public health, 15 using both. Thirty- six states indicated that wet- safety, general welfare and economic security of lands and riparian areas are included in the defini- Wyoming and its citizens. tion of “waters of the state.” Table 10.7 summarizes selected programs from all states (Steiner et al. Action by Wyoming and other states is impor- 1994). tant because federal agencies have not been success- Local governments often are responsible for the ful in preventing the loss of wetlands. The U.S. Gen- implementation of these state and federal initiatives. eral Accounting Office (1988) has been critical of Local governments may also initiate programs for the Army Corps of Engineers for not systematically wetland and riparian area protection. A variety of seeking out 404 permit violators and for not con- regulatory devices can be employed. Overlay zones ducting follow-up investigations of suspected viola- restrict development within wetland and riparian tions. GAO researchers have found that the Corps areas and direct new growth away from such places. “rarely uses available civil or criminal remedies and According to the World Wildlife Fund, “overlay suspends or revokes few permits, preferring instead zones provide a mechanism to prohibit develop- to seek voluntary correction of the violations ob- ment and limit other activities in wetlands, impose served” (U.S. General Accounting Office 1988, 3). wetlands buffers, or require measures to reduce the The GAO has also observed “limited involvement” effects of development in wetlands without affecting by EPA in wetlands program enforcement (Steiner development outside the designated wetlands area et al. 1994). and adjacent buffer zones” (1992, 115). Other de- Overall, there is relative consistency among all vices available for localities include special permits states concerning the role played in Section 404 per- or conditional uses, cluster zoning and PUDs, permitting and Section 401 certification. Only Michi- formance standards, and subdivision regulations gan and New Jersey have assumed primacy in Sec- (World Wildlife Fund 1992). tion 404 permitting. In all other cases, states defer to federal agencies for Section 404 permitting, but im- Habitat Conservation Plans plement a 401 certification program. Fewer states (approximately half) have established narrative or Habitat conservation plans (HCPs) are adopted by numeric standards and/or use antidegradation stan- local governments to protect plant and animal TABLE 10.7 Summary of State Programsa Regulatory Nonregulatory Assumption ofAssumption 404 State Programs by 404 Programs in Federal Involvement ofImplementation 401 Certification or Narrative, Numeric, Antidegradation Standards Other natural Resource Protection Programs Best Voluntary Mandatory or Practices Management Protection Wetland for order Executive Programs;Tax Nonregulatory Easements Recognition Incentives, Technical Subsidies, Programs, Assistance Programs Acquisition Wetland in Wetlands Riparian and of State Definition ofWaters Alabama NYYNYMNO NO Alaska N Y Y N Y M,V N T,E,S NN ArizonaNYYYYM,VYE,R,TAYY Arkansas NYYNNO N T,E,S NY CaliforniaNYYNYM NR ON ColoradoNYY NNO NR NN Connecticut N Y Y N Y M N T,R,S,TA N Y DelawareNYYOYO NO OO FloridaNYYNYM NR YY GeorgiaNYNONM NE,SYY HawaiiNYYYYM NE YY Idaho N Y Y N Y M,V N R,S,TA Y Y IllinoisNYYYYO NE,S,TAYY Indiana N YYYNO NS,TANO Iowa NYYYNO NT,R,S,TAYO Kansas N Y Y N Y M N E,TA NY Kentucky NYYNYO N E,R,TA Y Y Louisiana NYYNYO NO NY Maine N Y Y N Y M N E,S,TA N Y Maryland N Y Y N Y M,V N E,S,TA Y Y Massachusetts NYYNYO N TA NY MichiganYYYYYO NE,TAYY Minnesota N YYYNO YE,R,S,TAYY Mississippi NYYNYO NO NY Missouri N YYYNM NE,S,TAYY Montana N Y Y N N M,V N S,TA YY NebraskaNYYYNM,VNT,E,S,TA Y Y NevadaNYYYNM,VNT,E,S,TA N N New Hampshire N Y Y O Y M,V N T,E,S,TA Y Y New JerseyYOOOOO OO OO New MexicoNYY NNM NO ON New YorkNYYYYO YT,SNY North Carolina N Y Y N Y O N T,S NN North Dakota N Y Y N N M,V N TA NY Ohio NYYYNO YE,TAYY Oklahoma N Y Y N N M N S,TA NN Oregon NYYNYO N T,E,S,TA N Y Pennsylvania N YYYYM,VNT,E,S,TA N Y Rhode Island N Y Y N Y M,V N T,E YY South Carolina N Y Y N Y M,V N O NY South DakotaNYY NNO NO NO Tennessee N YYYNM YE,S,TAYY Texas NYYYNO NO NY Utah NOOOOO OO OO VermontNOOOOO OO OO Virginia N OOOOO OO OO Washington N YYYYM,VYTAYY West Virginia N YYYNM,VNTAYY WisconsinNYYYYM,VNR,S,TAYY Wyoming N YYYNV YTAYO aN = no, Y = yes, M = mandatory, V = voluntary, T = tax incentives, E = easements, R = recognition programs, S = subsidies, TA = technical assistance and education, O = no data. Source: Adapted from Steiner et al. 1994.

350 351 PLAN AND DESIGN IMPLEMENTATION

species and to promote biodiversity. The basic con- and conservation standards. Once species are iden- cept is that a species’ habitat, its home, must be pro- tified, the state and local governments negotiate tected in order for it to survive. HCPs are made in HCPs with all the interested “stakeholders” and then the United States under the framework created by the USFWS must approve the negotiated HCP. Al- the Endangered Species Act (ESA) of 1973 (Beatley though the USFWS must approve the HCP, the 1994a, 1994b). The original 1973 act has been agency also is usually heavily involved throughout amended by Congress several times. Timothy Beat- the usually very lengthy negotiation process. ley calls the ESA “perhaps the strictest environmen- Christopher Duerksen and his colleagues (1997) tal protection statute in the world” (1994a, 10). Es- suggest several implementation tools that can sentially, the federal government through the U.S. be used in a HCP (Table 10.8). They provide use- Fish and Wildlife Service identifies protected species ful, detailed descriptions of how HCPs can be

TABLE 10.8 The Scale/Tool Matrix Landscape-Scale Site-Scale Tools Tools Zoning texts and maps X X Special overlay districts X X Agricultural and open space zoning X Performance zoning X Regulatory tools Phasing of development X Subdivision review standards X X Sanctuary regulations X Urban growth boundaries X Targeted growth strategies X Density bonuses X X Clustering X Incentive tools Transferrable development rights X Preferential treatment X Fee-simple purchase X X Sellbacks and leasebacks X X Acquisition programs Options and rights of first refusal X X Easements and purchases of development rights X X Land dedications and impact fees X X Development agreements X Control of public investments X X Taxing and assessment districts X X Land trusts X Private-sector initiatives Limited conservation development X Industrial restoration showcase projects X Intergovernmental agreements X Education, citizen involvement, and technical assistance X X

SOURCE: Duerksen et al. 1997. 352 CHAPTER 10

incorporated with many of the implementation and assessments that allow planners to conduct tools reviewed in this chapter including zoning, per- these activities intelligently” (1993, 5). formance standards, and subdivision regulations (Duerksen et al. 1997). Whatever the tool or combi- Historic Preservation nation of measures used in a HCP, it should be based on a thorough ecological inventory and analy- Places can be especially sensitive to change because sis of the planning area. of their archaeological or historical significance. As a Sheila Peck (1998) discusses the use of habitat result, many communities have adopted special dis- conservation areas (HCAs), transitional areas, and tricts to protect these cultural resources. Often this is removal areas in HCPs. In the Northern Spotted Owl accomplished by an “overlay zone,” that is, a special Conservation Plan in the Pacific Northwest, for ex- designation in addition to the regular zoning. His- ample, the HCAs were developed “from maps de- toric properties within such a zone receive special picting the range of the owls, the distribution of their protection but are subject to specific regulations. old- growth habitat, locations where they now occur, The National Environmental Policy Act indi- and lands suitable for the establishment of HCAs” cated that it is the responsibility of the federal gov- (Peck 1998, 104–105). The idea is to protect large ernment to “preserve important historic, cultural enough habitats for rare or endangered species to en- and natural aspects of our national heritage....” able them to thrive. Transitional areas are areas that NEPA is one of several federal laws, regulations, and possess good habitat but for some reason are not fea- executive orders designed to protect historical and sible to include in a preserve area. Removal areas have archaeological sites, including the Antiquities Act of low-quality habitat or are located in places where 1906; the Historic Sites, Buildings, and Antiquities habitat conflicts with adjacent uses. Species in re- Act of 1935; the National Trust Act of 1949, which moval areas are moved to HCAs (Peck 1998). established the National Trust for Historic Preserva- A federal-state program that can assist in habitat tion; and the National Historic Preservation Act of conservation planning is the Gap Analysis Program 1966, as amended in 1980 and 1992 (Canter 1996). (GAP), part of the U.S. Geological Survey. GAP The National Historic Preservation Act provisions seeks to identify the degree to which species and are especially important for planning implementa- natural communities are represented in protected tion. This act states that any “federal undertaking” areas. Species and habitats not adequately repre- has to evaluate potential impacts on historic and ar- sented in such areas are identified as “gaps.” The Co- chaeological resources. Projects involving federal operative Fish and Wildlife Research Units imple- funds or any federal permits are subject to this law. ment the GAP in partnership with universities, As a result, local road- building projects using fed- private business corporations, nonprofit conserva- eral highway funds, local community development tion groups, state game and fisheries departments, block grant projects, undertakings on federal lands, and other governmental agencies (Zube et al. 1994). and many other efforts result in a review of their im- A strength of GAP is its emphasis on partner- pact on historic and archaeological resources. ships. High technology satellite imagery and com- The 1935 law established the National Register puter mapping information are available to state of Historic Places, which was expanded by the Na- and local governments to implement habitat con- tional Historic Preservation Act for districts, sites, servation plans. GAP is not, Noss and Cooperrider buildings, structures, and objects significant in observe, “directly involved in the process of land- American history, architecture, archaeology, and scape design and zoning. Rather, it provides data culture (Canter 1996). The act provides funding to 353 PLAN AND DESIGN IMPLEMENTATION

states for historical surveys and planning as well as much older forms of land-use controls. In the Old for preservation, acquisition, restoration, and devel- Testament there is a description of the proposals opment projects. These programs are administered made by Ezekiel for the building of Jerusalem. The through state historic preservation officers, or first recorded regulations on the division of land in SHPOs. Certified local government historic preser- the Western Hemisphere were the Laws of the Indies vation programs can work with SHPOs to nominate of 1573 used in Spanish colonization. According to properties to the National Register, which is admin- John Reps, “in 1573, Phillip II proclaimed the Laws istered by the U.S. Department of Interior. Once a of the Indies to establish uniform standards and pro- property is listed on the National Register, it is eligi- cedures for planning of towns and their surrounding ble for special protection and benefits. The act only lands as well as for all other details of colonial settle- protects sites against federal actions. ment” (1970, 41). The Laws of the Indies were based Additional opportunities exist through the Na- on older European laws dating back to the time of tional Trust for Historic Preservation’s Main Street the Romans. Modern American subdivision regula- Program and Your Town Workshops. Beginning in tions are, according to Philip Green, 1977, the Main Street Program has been active in 37 states and 900 communities (Stokes et al. 1997). Fo- locally adopted laws governing the process of con- cused on smaller cities and towns, the program uses verting raw land into building sites. They normally a four- point approach: promotion, economic re- accomplish this through plat approval procedures, structuring, design, and organization. These are under which a developer is not permitted to make coupled with eight principles: comprehensiveness, improvements or to divide and sell [the] land until incremental change, self- help, public- private part- the planning commission has approved a plat (map) nerships, identifying and capitalizing on existing as- of the proposed design of [the] subdivision. The ap- sets, quality, change, and action- orientation (Stokes proval or disapproval of the commission is based et al. 1997). The Main Street Program can con- upon compliance or noncompliance of the proposal tribute much to the preservation of historic down- set forth in the subdivision regulations. In the event towns as well as their revitalization. that the developer attempts to record an unapproved The National Trust initiated the Your Town plat in the local registry of deeds (or county record’s Workshops in 1991 with the Faculty of Landscape office) or sell lots by reference to such a plat, [the de- Architecture at the State University of New York at veloper] may be subject to various civil and criminal Syracuse, with funding from the National Endow- penalties (1968, 445). ment for the Arts. The program brings together rural decision makers in intense three-day charrette- There is a strong enforcement capability in such like workshops to explain the potential for design to regulations, but also significant loopholes in many improve their communities. The workshops teach places. The purpose of subdivision regulations is to decision makers how to value the assets of their protect the public interest during the laying out of communities, including their history (Hawks and land and the construction of public and private im- Mastran 1997). provements. Like comprehensive or general plans and zoning ordinances, local governments have the Subdivision Regulations authority to enact subdivision regulations through state enabling legislation. Subdivision regulations In contrast to performance standards and critical usually have strong enforcement provisions: Deeds areas, subdivision regulations and building codes are to subdivided land may not be recorded or 354 CHAPTER 10

registered, and consequently land may not be sold, 4. Most subdivision regulations next require until the planning commission forwards an ap- that the developer construct the improvements proved copy of a final plat to the county clerk or au- specified in the preliminary plat. ditor (Kleymeyer, no date). The required “improve- 5. A final plat (which is sometimes two documents” may be in the public way, as well as on ments, i.e., an engineering plat and a plat of private land. record) is submitted for approval. Subdivision regulations often require a six- step 6. The approved plat is recorded. process: Like performance standards and critical areas 1. A preapplication stage, where the developer protection, subdivision regulations are often con- and planning staff discuss the proposed de- nected to zoning ordinances. Much innovation oc- velopment to determine whether all the re- curred in the drafting of subdivision regulations quirements are met. during the 1970s as a result of the energy crisis. 2. A preliminary plat, prepared by a landscape These innovations rely heavily on natural science architect, registered surveyor, or engineer, is information: regional climate, slope (aspect and then submitted to the planning agency. steepness), microclimate, and vegetation. For in- 3. The planning commission and/or agency re- stance, Figure 10.1 compares poor solar orientation views the preliminary plat and approves or of streets and houses in a subdivision with good so- denies it. lar practice.

FIGURE 10.1 Poor solar orientation of streets and houses in a subdivision, compared with good solar orientation. (Source: Jaffee and Erley, no date) 355 PLAN AND DESIGN IMPLEMENTATION

Building Codes tions, the authority for codes is derived from state enabling legislation with local governmental adop- Building codes have a long history. The code of the tion (Kleymeyer, no date). Babylonian King Hammurabi is the first written ref- The major codes include the Uniform Building erence to building codes. The code of Hammurabi Code (UBC) (Table 10.9) used in the western United sets forth the principle of compensatory justice for States; the Council of American Building Officials damages and punishment for faulty construction. (CABO) code, used in the northern United States; There are biblical references to building specifica- and the Standard Building Code (SBC), utilized in tions that were used to construct the ark and the southern states. The International Conference of temple. Poor natural conditions and overcrowding Building Officials (ICBO) is currently developing a in ancient Rome necessitated the development of new consolidated national code for the United States tenement codes that were adopted in Roman new called the International Building Code, which will towns. There are numerous examples of codes in include recognition in sustainable building practices European cities after the Renaissance, such as those and plumbing, electrical, mechanical, fire, and (rein Munich, Kiev, and London. cently) solar codes. These codes are usually enforced Building codes in North America began in through a permit process. Plans are approved by in- Boston in 1629 and continued with English colonial spection of new construction and remodeling. Con- activity in the middle Atlantic and southern states. tinuing inspections are made during construction by After the American Revolution, height limitations the building, fire, plumbing, electrical, or elevator were imposed on the new federal capital in Wash- inspectors as well as other specialists employed by ington, D.C. The overcrowding and new building the building or health department of the jurisdic- technology that resulted during the Industrial Revo- tion. Violations are noted by these inspectors and are lution led to new codes, including the development written as “building orders” against the owners of the of a national electrical code and uniform building properties in violation. Owners are given a specified code early in the twentieth century. time to correct the deficiencies or face a court action. Building codes help to standardize construction A building official checks the structure to ensure that practices and expedite the spread of new materials it complies to the codes before an occupancy permit and practices. Codes specify the size and use of ma- is granted. Those not making the necessary correc- terials as well as help protect the safety of the public tions are cited to court, where they may be fined or through ensuring structural soundness and fire pre- imprisoned under the terms of the codes (Kley- vention and control. Health is protected through meyer, no date). specifications for water and sewage systems. Build- There is much room for creative innovation in ing codes are often used with zoning ordinances and the linkage between the natural environment, new subdivision regulations to control population den- building materials, and codes. Davis, California, is sity. The purpose of building and other codes is to an example of a city that completely revised and up- secure the general public safety, health, and welfare dated its codes to encourage energy conservation. through structure strength, stability, sanitation, ade- The revised codes take into account the climate, hy- quate light, and ventilation. Codes also ensure safety drology, and vegetation of Davis. For instance, it was to life and property from fire hazards incident to the hypothesized that light-colored roofing materials construction, alteration, repair, removal, demoli- might serve to reflect heat in the intense summer tion, use, and occupancy of buildings or premises. climate of central California and therefore keep As with zoning ordinances and subdivision regula- buildings cooler. Davis officials experimented with 356 CHAPTER 10

TABLE 10.9 Uniform Building Code (Summary of Components) 1. Location on the lot 13. Wall construction—masonry 2. Light, ventilation, and sanitation a. General a. Windows and ventilation (1) Height b. Ceiling heights (2) Chases c. Room size (3) Supported members d. Sanitation (4) Support e. Fire warning system (5) Anchorage 3. Private garages and carports (6) Piers 4. Foundations, retaining walls, and drainage (7) Openings 5. Chimneys, fireplace, and barbecues b. Solid masonry a. Reinforcing and seismic anchorage (1) Construction b. Flue area (2) Corbeling c. Height c. Grouted masonry d. Inlets d. Reinforced grouted masonry e. Loads on chimney e. Hollow- unit masonry 6. Masonry chimneys f. Cavity- wall masonry a. Lining g. Stone masonry b. Wall thickness h. Veneered walls c. Support 14. Exits d. Clearance a. Doors e. Factory- built chimneys b. Door landings 7. Fireplaces c. Emergency exits a. Fireplace walls 15. Stairs b. Lintel a. Rise and run c. Hearth b. Winders d. Hearth extensions c. Spiral stairs e. Combustible materials d. Handrails f. Imitation fireplaces e. Headroom 8. Framing f. Guardrails a. Workmanship 16. Plastering and installation of wallboard lathing b. Spacing and penetration of nails a. Application c. Columns or posts b. Gypsum lath d. Wood and earth separation c. Stripping e. Headers d. Cornerite 9. Floor construction e. Metal plaster bases a. Foundation ventilation f. Exterior surfaces 10. Roof framing g. Building paper a. Design 17. Plastering 11. Wall construction—wood a. Interior a. Wall and partition framing b. Exterior b. Bracing 18. Wallboard c. Foundation cripple studs a. Gypsum wallboard d. Fire- stops 19. Softwood plywood paneling 12. Weather protection 20. Roof covering a. Flashing a. General b. Exterior wall covering b. Wood shingles (1) Siding c. Hand-split shakes (2) Plywood d. Asphalt shingles (3) Shingles or shakes 21. Valley flashing (4) Nailing a. Wood shingles and wood shakes c. Exterior plastering b. Asphalt shingles 22. Glass and glazing 357 PLAN AND DESIGN IMPLEMENTATION

numerous roofing materials, found their theory Covenants substantiated, and then incorporated their findings into the building code. Covenants are agreements, usually voluntary, that Building codes can address the use of natural restrict what can be done with private property. ventilation and natural sunlight. For example, Generally, for a covenant to be imposed, property building orientation and configuration can be re- has to change hands, at which time these agree- lated to wind flows and solar orientation. Specific ments appear in the new deed. Typically, covenants design elements such as window design and surface are placed on a property by an owner prior to sale. colors can be specified in codes. Interest in sustain- Usually private parties, rather than governments, able development is prompting cities to enact spe- impose covenants. Covenants are usually backed up cific environmental standards for buildings. by government authority and may be called volun- For example, Barcelona, Spain, has required spe- tary covenants, restrictive covenants, or deed restric- cific environmental construction standards, such as tions. The purpose of covenants is to place addi- giving priority to the use of recyclable materials. Ad- tional rules, regulations and/or restrictions on the ditional building elements that Barcelona officials use of land over and above, or not capable of being have mandated for developers include: implemented, in the zoning ordinances, subdivision regulations, or building codes; or in the ab- • Good orientation and natural lighting sence of such ordinances, regulations, or codes. The • The incorporation of traditional systems for authority for covenants is derived from real estate sun and temperature control laws that have been codified by the various states, • Limited use of exotic timber or timber from based on English common law and additionally in- mature forests terpreted by the state and federal courts (Kley - • Alternatives to the use of plastics meyer, no date). • Elimination of CFCs, HCFs, and HFCs in re- Often all lots within a subdivision will have frigeration systems covenants attached to the land title that describe • Shutters on all external glass apertures in main and design limitations on houses or other structures rooms such as outbuildings and fences. The same principle • Predominant use of low polluting forms of has been used to a limited extent to control the use energy from existing suppliers of land in the larger community. For instance, a lo- • Treatment of flow at all water consumption cal government may choose to implement its land- points use plan through covenants rather than zoning. An- • Collective antenna other example may be the use of covenants by a • Double-glazing in exterior windows of main citizen group to implement a plan. Farmers in a wa- rooms tershed could agree to keep their land in agricultural production rather than convert it to urban or indus- Furthermore, Barcelona officials have required trial use. that air-conditioning systems be designed to reduce If a covenant is broken, then other landowners environmental contamination in a way that the affected by the action can bring suit to restore the noise level is 5 percent below established norms. original covenant- specified condition or receive Barcelona has required developers to supply infor- compensation for damages. Covenants specify who mation about buildings to their occupants regard- can bring suit, sometimes including local munici- ing the installations and the sustainability, recycling palities. Since neighbors find it very difficult to possibility, and origin of the materials. bring suit against each other, often covenants are 358 CHAPTER 10

not enforced. Therefore, the use of voluntary cov - tant lands can be purchased by park departments or enants would only be a reasonable means to control private conservancies and incorporated into exist- the use of land as long as the parties affected by the ing parks, open space, or preserve areas. covenants are willing to see that they are enforced. From a government point of view, there are ob- One way covenants could be made more efficient in vious benefits to owning the property outright. The land- use control is for a homeowners’ or watershed government has a freer reign on the possibilities for association to be formed, so that complaints are a its use. A highway, hydroelectric plant, or flood- result of collective, rather than individual, action. control project can be more easily constructed. Conversely, the fiscal, social, and political costs can be high. People value their property highly and re- Power to Condemn and to Exact sist its taking, even for a clearly defined public use. The costs of condemnation, in particular, can be As previously mentioned, the government can di- high. This resistance can result in financial costs be- rectly purchase private property. If property is cause of project delays and lawsuits. Social costs can needed for a public purpose and the owner is un- be caused by the destruction of established neigh- willing to sell it, then it may be obtained through borhoods, even if the larger community benefits. condemnation. The Fifth Amendment to the U.S. Political costs may result from the emotional and Constitution states “nor shall private property be bitter struggles that accompany many projects in- taken for public use without just compensation.” volving condemnation. These costs may be avoided Condemnation is the process of legally appropriat- through other, voluntary forms of acquisition, such ing property for public use. To condemn property in as fee-simple purchase and integration into other the United States, the public purpose must be clearly open-space purchase programs. defined, and “just compensation” must be awarded the property owner. Through condemnation, the Impact Fees and Land Dedications public entity acquires any property interest, including full ownership, an easement, or a lesser estate. Local governments may require developers to pay The use of condemnation in the United States is re- for the costs of facilities and services resulting from ferred to as eminent domain. The federal govern- their projects. Such a requirement is called an exac- ment, each state, and municipalities have the power tion. Service costs can be related to the time required of eminent domain within their jurisdiction (Hag- by planners and other public officials to process man and Juergensmeyer 1986). plan and zone changes, subdivision reviews, and Christopher Duerksen and his colleagues permits. Affected facilities can include parks, roads, (1997), note that “one of the most effective ways of sidewalks, and schools. Such payments are called preserving wildlife habitat is to buy it” (1997, 42) impact fees. The courts have required that the costs (which can occur voluntarily or through condem- imposed must be related to those resulting from the nation). They identify several types of acquisition development. In other words, local governments programs (Table 10.8). Fee-simple purchase gives cannot impose additional costs for services or facili- “the purchaser full title to and possession of all ties on a developer beyond those of the project. As a rights associated with the purchased property, sub- result, costs need to be carefully calculated by local ject only to the constraints imposed by nuisance planners to ensure a nexus between the fees im- laws and valid public regulations, including zoning posed and the scale of the development. (For a good and subdivision” (Duerksen et al. 1997, 42). Impor- discussion of the legal issues involved, see Duerksen 359 PLAN AND DESIGN IMPLEMENTATION

TABLE 10.10 The use of impact fees and land dedications The Basis for Calculating Impact Fees varies widely in the United States. The variation is 1. The cost of existing facilities related to the diversity of state laws relating to im- 2. The means by which existing facilities have been financed pact fee and land dedication programs. For exam- 3. The extent to which new development has already con- ple, Washington State’s Growth Management Act tributed, through tax assessments, to the cost of providing existing excess capacity requires the fastest- growing cities and counties to 4. The extent to which new development will, in the future, have comprehensive plans. Cities and counties are contribute to the cost of constructing currently existing required to follow these plans and to identify how all facilities used by everyone in the community or by peo- the implementing programs will be financed. The ple who do not occupy the new development (by paying taxes in the future to pay off bonds used to build those growth management law also requires that zoning facilities in the past) be brought into conformance with comprehensive 5. The extent to which new development should receive plans and that the plans establish “urban growth credit for providing common facilities that communities have provided in the past without charge to other devel- areas” as well as the designation of important agri- opments in the service area cultural and forest lands (Kelly 1993). The City of 6. Extraordinary costs incurred in serving the new Olympia collects impact fees for several categories development of facilities, including parks and transportation. 7. The time–price differential in fair comparisons of amounts paid at different times Each new residential unit in Olympia pays about $6700 in impact fees, of which about $1800 is dedi- SOURCE: Adapted from Nicholas et al. 1991, 91. cated for parks, trails, open space, and recreation (McQuary 1998, personal communication). et al. 1997). J. C. Nicholas and his colleagues (1991) provide a useful guide for calculating impact fees (Table 10.10). Power to Spend Local governments can also require developers to dedicate land necessary to provide public services The most direct way that a government may exert its related to their projects. Such land is necessary for power to spend is by purchasing land fee simple. parks, open space, roads, and schools. According to This can be an expensive option in terms of both the Christopher Duerksen and his colleagues, “Land initial price and the long- term management. Other dedications are conveyances of land from a private options available include easements and develop- owner, either voluntarily or to offset the anticipated ment rights purchases and transfers. As previously impact of a proposed development. An increasing noted, governments also have the power to gain number of local governments are imposing land ownership, for compensation and for a public pur- dedication requirements or fees in lieu of dedication pose, through condemnation. Governments can im- as conditions for permit approvals” (1997, 46). plement plans through capital expenditures and Impact fee and land dedication programs can be through public property management. used to support the preservation of environmentally sensitive areas through parks and open spaces. Im- Easements pact fees can be used to help implement plans by financing projects consistent with local goals in suit- The ancient Romans created the first easements able locations. A danger of impact fees is that local for rural areas. The Roman easements provided a planning agencies can become too dependent on means for an owner to voluntarily share benefits de- developers to finance necessary public programs. rived from his private property. In contemporary 360 CHAPTER 10

terms, an easement is the purchase of partial rights unique resources and cultural associates throughout to a piece of land. It is enacted through an agree- the Commonwealth of Massachusetts” (1991, 6). ment between two parties for the purpose of a spe- According to the Land Trust Exchange (now the cific use. The most common form of easement oc- Land Trust Alliance), in 1985 more than 500 gov- curs when a property owner agrees to let a utility ernment agencies and nonprofit organizations were company cross the land with a service line. Ease- using conservation easements. These easements, ments can also be made to provide access across one both purchased and donated, protect more than 1.7 property to another. The right to the limited use million acres (688,500 hectares) of land in the specified in the easement is usually purchased for a United States (Emory 1985). By 1998, land trusts specified period of time, which can be indefinite. were protecting 3 million acres (1,214,100 hectares) Governments have purchased easements for sce- more of land, or approximately 4.7 million acres nic or aesthetic purposes. In this case, the seller of the (1,902,090 hectares). According to the Land Trust easement agrees not to alter the land in a way that Alliance, there were 1,213 nonprofit land trusts in would change its scenic value. For example, a grove the United States, Puerto Rico, and the Virgin Is- of trees may be of sufficient historic, aesthetic, or lands (Planning 1998). The amount of land pro- ecologic value to warrant a local, state, or federal tected by these groups (the 4.7 million acres) is an government purchase of an easement that would area larger than the states of Connecticut and prohibit the removal of the grove. Rhode Island combined. This total does not include Similarly, it is possible for the government or a the lands protected by national conservation orga- nonprofit organization to purchase an easement nizations (Planning 1998). that would limit the owner’s use of land in order to The major public goals implemented by these preserve its usefulness for conservation purposes. easements are This limitation could apply for a specified period of time or be perpetual, and it could be paid for at a • Permanent protection of beautiful scenery mutually agreeable price. The purchase controls and visible from a public road or waterway limits use of the land for a specified period, a num- • Protection of pure drinking water in urban ber of years, or in perpetuity. However, the land and areas all its associated rights ultimately rest with the prop- • Preservation of the rural character of a town erty owner. Therefore, such a conservation ease- • Maintenance of critical wildlife habitat ment, especially if it is donated, might make the • Conservation of farm, forest, or grazing land property owner eligible for certain tax benefits. (Emory 1985; see also Wright 1993) Land trusts have been active in pioneering and promoting conservation easements. Charles Eliot Development Rights Purchase and Transfers originated the land trust concept in the establishment of the Massachusetts’ Trustees of Public Reservations Some local and state governments separate property in 1891. The Massachusetts effort became the model ownership and the rights to the development of for subsequent conservation and historic preservation property. One person can own the land while an- organization in the United States and abroad (Mor- other can own the right to develop the same parcel gan 1991). As Keith Morgan writes, “Now known sim- of land. In essence, development rights are among ply as the Trustees of Reservations, this private-sector, those rights that can be controlled by easements. not- for- profit organization continues to acquire and Through the purchase of development rights maintain lands significant for their natural beauty, (PDR), the property owner’s development interests 361 PLAN AND DESIGN IMPLEMENTATION

are relinquished to the purchaser of the develop- This land- use management concept is viewed as ment rights. The idea is to guarantee the rights a means of divesting the developmental potential of associated with private property (Figure 10.2). A the property so that it will remain in its present use public government entity may purchase the devel- (e.g., natural area, agriculture, historic building or opment rights and hold them in trust, thereby site). PDR would be especially useful when zoning withdrawing them from use. Or, the rights may also mechanisms or voluntary controls like covenants be donated to nonprofit organizations, who then are limited either through inappropriateness or by control the use. lack of authoritative control.

FIGURE 10.2 How the bundle of ownership rights is affected by purchase of development rights and transfer of development rights. (Source: Adapted from Coughlin and Keene 1981) 362 CHAPTER 10

PDR programs exist in 18 states, and 46 states To protect this threatened resource, the county have enacted legislation to permit governments to has developed a program to purchase development acquire development rights to private property rights on its best agricultural land. The initial legis- (Daniels and Bowers 1997). Suffolk County, New lation was approved by the Suffolk County Legisla- York, and King County, Washington, are two exam- ture in 1974. In September 1976, the county apples of local governments that have adopted PDR proved a $21 million bond issue to begin the first programs. The oldest of these programs is that of phase of the program—the purchase of develop- Suffolk County. Suffolk County is the easternmost ment rights on approximately 3,800 acres (1,539 county on Long Island, bounded to the north, east, hectares) of farmland. In 1977, the first contracts and south by water and to the west by Nassau were signed with two farmers to purchase their de- County, which is adjacent to New York City (Figure velopment rights. The ultimate goal of this program 10.3). Because of this proximity to the nation’s is to purchase development rights to about 12,000 to largest city, Suffolk County has been under intense 15,000 acres (4,860 to 6,075 hectares) of the best development pressure for decades. Still, during the farmland, or between 30 and 38 percent of the exist- 1970s county farmers managed to produce an an- ing agricultural base at an estimated cost of $55 mil- nual cash crop of $100 million (mostly from pota- lion (Fletcher 1978). Thus far, however, Suffolk toes and cauliflower), which is the greatest cash crop County has fallen short of this goal. By 1996, only of any county in New York State (Fletcher 1978).* 7,000 acres (2,833 hectares) of farmland had been protected by easement (Jones and Fedelem 1996). *In 1992, this figure had risen to over $133 million (Jones Economically, the farm industry remains impor- and Fedelem 1996). tant in Suffolk County, generating 8,000 jobs and

FIGURE 10.3 Location of Suffolk County, New York. 363 PLAN AND DESIGN IMPLEMENTATION

contributing a quarter of a billion dollars to the lo- ship—a wipeout situation. The transfer of develop- cal community (Jones and Fedelem 1996). However, ment rights attempts to distribute economic gains farmland declines continue—from 123,000 acres created by development from all property owners in (49,778 hectares) in 1950 to about 31,000 acres an area, not just those who receive a windfall from a (12,546 hectares) in 1996 (Jones and Fedelem 1996). favorable zoning decision (Barron 1975). As a result, in 1996 the county established a new One of the first examples of this concept was goal to achieve 20,000 acres (8,694 hectares) of pro- provided in the Wallace-McHarg Plan for the Val- tected farmland (Jones and Fedelem 1996). PDR re- leys, described by Ian McHarg in Design with Nature mains the principal mechanism to achieve this goal. (1969). Developed in 1963 for an area northwest of The cost of protecting the additional 13,000 acres Baltimore, Maryland, the plan addressed the issue of (5,261 hectares) had risen since the 1970s, with the how to fairly compensate owners whose land was 1990s price tag at $100 million (Jones and Fedelem being proposed for a less intensive use. McHarg and 1996). The county now had allies in this effort. Sev- David Wallace proposed a syndicate to both develop eral NGOs are actively involved, and New York State and preserve the land involved. Through this supports PDR programs. scheme, the profits from land transactions and de- One variation on easement and development velopments would be used to compensate land- rights programs is to simply purchase the land out- owners whose property was not planned for devel- right, then lease it for a specified use. This is a strat- opment (McHarg 1969). egy used by several public-interest trusts. A criticism TDR can be described through the following used against easements or development rights and example. A county commission designates two 100- fee-simple purchases is that they are expensive. acre (40.5- hectare) parcels of land, A and B. Each A related implementation technique is the trans- parcel is zoned for residential development at one fer of development rights (TDR). This technique unit per acre. The commissioners later decide that involves the same development rights as PDR. How- parcel A should remain in its current agricultural ever, in this case the development rights are pur- use. As a result, to ensure the continued agricul- chased to be used in another location, rather than to tural use, the county permits the transferring of the be retired. Development rights are sold in a sending one unit per acre development rights to parcel B. or preservation zone to be used in a receiving or de- The property owner can then use those rights to 1 velopment zone. Generally, the private market is the develop parcel B at one unit per ⁄2 acre (0.203 transfer mechanism, although often transfer banks, hectare), which amounts to the original one unit such as in the Pinelands, are established to facilitate per acre plus the transferred unit per acre (Figure the process. 10.4). The TDR concept was developed to help miti- Tom Daniels and Deborah Bowers indicate gate the problem of zoning windfalls and wipeouts. that successful TDR programs require four basic For example, the rezoning of an owner’s property elements: from agricultural to urban use could cause an increase in value that could financially benefit the 1. A designated preservation zone, usually landowner, thus creating a windfall. However, a called the sending zone, from which develop- property owner whose land remains in an agricul- ment is sent away or transferred tural zone may be deprived of the increased value 2. A designated growth area, usually called the that may be derived from an urban-use zone. This receiving area, to which development rights could cause the property owner economic hard- are transferred 364 CHAPTER 10

courthouses, fire and police stations, parks, bridges, streets and roads, sidewalks, sewer and water lines, sewage treatment plants, traffic and street signs and lights, and fire hydrants. According to Frank So, capital improvement programming

is a multiyear scheduling of public physical improvements. The scheduling is based on studies of fiscal resources available and the choice of specific improvements to be constructed for a period of five to six years into the future. The capital improvement budget refers FIGURE 10.4 Illustration of the transfer of development to those facilities that are programmed for the next fis- rights concept. cal year. A capital improvements program refers to the improvements that are scheduled in the succeeding 3. A pool of development rights (from the send- four- or- five- year period. An important distinction being area) that are legally severable from the tween the capital budget and the capital improve- land ments program is that the one-year budget may be- 4. A procedure by which development rights are come a part of the legally adopted annual operating transferred from one property to another budget, whereas the longer-term program does not (Daniels and Bowers 1997, 174) necessarily have legal significance, nor does it necessarily commit a government to a particular expendi- As noted in Chapter 7, a TDR approach has been ture in a particular year (1988, 449). used to implement part of the Pinelands plan. A land- use regulatory system was established “which limits A capital improvement program, then, is a residential development in the undisturbed, environ- means to implement plans by directing public ex- mentally sensitive parts of the Pinelands and seeks to penditures into areas suitable for needed proj ects. direct growth into a more compact pattern within Roads, sewers, water lines, and other structural ele- designated growth areas” (Pinelands Commission ments of community development can be directed 1980, 210). To augment the regulatory elements of to those areas identified though suitability analysis. the plan, a development rights program was estab- The major steps in developing a capital im- lished. Property owners in preservation and agricul- provement program include ture zones receive rights, known as development credits, that they can sell for use in growth areas. The sales 1. Submission of project proposals to a review of such credits are recorded on the property deeds, team or coordinator which acts as a controlling and monitoring device. 2. Evaluation of each project, and selection and ranking of projects for inclusion in the Capital Improvement Programming program 3. Financial analysis of the jurisdiction’s ability Capital improvements are major projects that re- to pay for the projects, and selection of the quire the expenditure of public funds over and means to be used in financing them above annual operating expenses (Meyer 1980). 4. Preparation of a proposed capital improve- Some examples of such projects are airports, jails, ment program 365 PLAN AND DESIGN IMPLEMENTATION

5. Consideration and final approval of the pro- subject to environmental planning laws, notably gram by the responsible governing body NEPA. Agencies that are especially large and impor- 6. Public approval of financing arrangements tant landholders include the U.S. Forest Service, Na- for individual projects tional Park Service, Bureau of Land Management, 7. Annual review and revision of the program and the Department of Defense. Each federal agency (adapted from Meyer 1980) has its own planning procedures. Many federal agencies use planning processes with similarities to Advocates of “smart growth” contend that pub- the one described in this book. Communities can lic services, especially infrastructure, should be in influence federal and state property management to place before development can occur. This “concur- achieve local goals. rency” concept is used in Florida and Oregon “to One way that communities can influence the use promote orderly development that will not overbur- of public property is by encouraging federal and den a community” budget (Daniels and Bowers state agencies to adopt plans consistent with local 1997, 51). Many communities require that specific goals. Conversely, federal and state agencies can en- public services be provided before new development courage local governments to do the same. This may occurs. Tom Daniels and Deborah Bowers suggest require that plans be amended or modified. Cooper- that “a community must join its land-use goals and ation can be accomplished between governments objectives with the capital improvement program so through memorandums of understanding or agree- that public facilities that are known to induce ment. Military base operations and closures signifi- growth are available in areas where the community cantly impact local communities. Base closures dur- wants growth and kept out of those areas, such as ing the early 1990s promoted much cooperation to farm and forest lands, that the community wants to manage the transition. Many former military bases protect” (1997, 51). have been transformed into community assets such as schools and open space. Housing has been Public Land Management adapted for lower income groups. Military bases are important economic assets to many communities. About a third of the land in the United States is As a result, local planners often implement pro- owned by federal, state, and local governments grams to ensure that other land uses do not conflict (Lewis 1980; U.S. Bureau of Land Management with military operations. 1998). In the 1980s, the federal government alone administered 32 percent of the 2.3 billion acres (932 million hectares) of land in the nation (U.S. Bureau of Land Management 1988). Because of large transfers of federal land to the public sector during the 1980s and early 1990s, this amount had dropped to about 24 percent of the total area of the country by 1997 (U.S. Bureau of Land Management 1998). Most the federal land is in the western states and includes national parks, forests, resource lands, wildlife refuges, designated wildernesses, wild and scenic rivers, national trails, and military installations. All federal land management agencies are Central Park, New York City. 366 CHAPTER 10

Government can also set an example through TABLE 10.11 the management of its property. If a state govern- State Differential Assessment and Circuit-Breaker Tax ment seeks to encourage energy conservation, then Relief Laws it can start with the design of its own buildings. The Date design of government buildings can be used to State Type of Program Enacted demonstrate the realization of planning policies. Alabama Deferred Taxation 1978 Alaska Deferred Taxation 1967 Governments can locate their buildings out of Arizona Preferential Assessment 1967 Arkansas Preferential Assessment 1980 floodplains and other environmentally sensitive California Restrictive Agreement 1965 areas. Through effective property management, Colorado Preferential Assessment 1967 Connecticut Deferred Taxation 1963 governments can provide models for the rest of the Delaware Deferred Taxation 1968 community. Florida Preferential Assessment 1959 Georgia Deferred Taxation 1987 Hawaii 1 Deferred Taxation 1961 Hawaii 2 Deferred Taxation 1973 Idaho Preferential Assessment 1971 Power to Tax Illinois Preferential Assessment 1977 Indiana Preferential Assessment 1961 Iowa 1 Circuit Breaker 1939 Taxes may be used as incentives for implementing Iowa 2 Preferential Assessment 1967 Kansas Preferential Assessment 1989 plans. Two examples are the various tax benefits of- Kentucky Deferred Taxation 1976 fered for farmland and often for open- space owners Louisiana Preferential Assessment 1976 Maine Deferred Taxation 1971 in all states, and the incentives given to businesses Maryland Deferred Taxation 1956 and industries to locate in certain areas. Enterprise Massachusetts Deferred Taxation 1973 Michigan Circuit Breaker 1974 zones are another means that may be considered to Minnesota Deferred Taxation 1967 encourage business development. Mississippi Preferential Assessment 1980 Missouri Preferential Assessment 1975 All states have adopted some form of legislation Montana Preferential Assessment 1973 providing tax relief for owners to keep their land in Nebraska Deferred Taxation 1974 Nevada Deferred Taxation 1975 agricultural and/or open-space use (Table 10.11). New Hampshire 1 Restrictive Agreement 1976 New Hampshire 2 Deferred Taxation 1972 Richard Dunford (1984), an economist, has ex- New Jersey Deferred Taxation 1964 plained the three types of tax relief used: preferen- New Mexico Preferential Assessment 1967 New York 1 Deferred Taxation 1971 tial assessment, deferred taxation, and voluntary New York 2 Circuit Breaker 1996 restrictive agreements. With the preferential assess- North Carolina Deferred Taxation 1973 North Dakota Preferential Assessment 1973 ment system, land is taxed on its use rather than its Ohio Deferred Taxation 1974 market value. Deferred taxation programs provide Oklahoma Preferential Assessment 1974 Oregon Deferred Taxation 1963 for preferential assessment, but some or all of the Pennsylvania 1 Deferred Taxation 1966 property tax relief becomes due when the land is Pennsylvania 2 Deferred Taxation 1975 Rhode Island Deferred Taxation 1968 converted to a nonpermitted use. Under voluntary South Carolina Deferred Taxation 1975 restrictive agreement programs, eligible landowners South Dakota Preferential Assessment 1967 Tennessee Deferred Taxation 1976 agree to restrict the use of their land for a number of Texas Deferred Taxation 1966 Utah Deferred Taxation 1969 years. In exchange, their property taxes are based on Vermont Deferred Taxation 1977 current- use assessments (Dunford 1984). A fourth Virginia Deferred Taxation 1971 Washington Deferred Taxation 1970 type, circuit-breaker tax relief credits, allows farmers West Virginia Preferential Assessment 1977 to reduce part of their local tax bill (American Wisconsin 1 Circuit Breaker 1977 Wisconsin 2 Deferred Taxation 1995 Farmland Trust 1997). The costs of these credits are Wyoming Preferential Assessment 1973 distributed to taxpayers statewide. The American SOURCE: American Farmland Trust 1997. 367 PLAN AND DESIGN IMPLEMENTATION

Farmland Trust (1997) identifies Michigan, Wis- Small businesses would be encouraged to start up by consin, and New York as states with income tax drastic cuts in regulation and taxes (e.g., abating prop- circuit-breaker programs, and Iowa as a state that erty taxes, reducing Social Security taxes, and changing offers a credit against local school tax credits for depreciation schedules). Mixing land uses would be fa- agricultural land. cilitated by relaxing zoning. In short, a climate for en- Numerous criticisms have been levied against terprise would be established by cutting the cost and such programs. The programs are often abused by complexity of going into business and by allowing en- speculators and developers in order to avoid taxes. trepreneurs to make do with whatever is available. No Penalties under deferred taxation programs may be grants, no special loans, no expensive plans. It would be minor when compared to inflated land values. Also, an exercise in unplanning (1981, 6). unequal tax shifts, or perceived inequalities, can occur as a result of such programs. Yet another weak- The enterprise zone concept is based on the ness is that with the exception of a few states there is opinion that the costs of government inhibit small no connection between state tax-relief programs business. An alternative view is that private- sector and local planning and zoning. costs such as interest on loans and fees for services Another type of tax program involves offering (legal, insurance, health care, and so on) inhibit incentives to businesses and industries to locate in small businesses. An opposing concept to enterprise certain areas. One such type of program is tax- zones is that new businesses and industries should increment financing. Wisconsin has a typical pro- pay their share of the services they need—sewer, wa- gram (Huddleston 1981), which permits incorpo- ter, transportation, and so on—and that businesses rated cities and villages to create tax- increment and industries are responsible for the health, safety, districts to eliminate blight, rehabilitate declining and welfare of their neighbors. Indeed, in some areas, and promote industrial growth. communities, growth-impact fees are assessed on In these districts, for a period of time, all the new developments for certain public services. increase in tax revenue from the property will go Empowerment zones build on the enterprise only to the municipality involved. The property zone concept, targeting especially low-income or owners will be free of tax increases from various so-called “brownfields” areas. Brownfield sites are other local taxing entities, such as school districts underused urban areas, generally resulting from and the county. All of the increased revenue must abandoned industrial, commercial, or even agricul- be spent for public facilities in the district: roads, tural uses. Many advocate that it is wiser to reuse sidewalks, parking areas, sewers, water lines, street brownfields than create new uses in so- called trees, and so on. Bonds may be sold first in order to “greenfields.” Enterprise and empowerment zones rebuild an area to make it more attractive to in- are two approaches to help implement brownfields vestors. The dedicated revenue from the tax- redevelopment. increment district in turn is used to repay the bonds. Another approach, originated by the British Interagency Coordination for Conservative Party, is the enterprise zone concept. Growth Management The underlying thesis is that the incentive for entre- preneurship must be restored in the inner city. Stu- Government agencies can coordinate their activities art M. Butler, a proponent of the concept, explained to implement plans and manage growth. To manage it in the following manner: growth, it may be necessary to use some or all of the 368 CHAPTER 10

implementation strategies discussed thus far. A central feature in the concept of growth management in plan implementation is the coordination of various responsible groups. Often this involves different government agencies at the local, state, regional, and federal levels. Tom Daniels and Deborah Bowers describe growth management as the “use of regulations and incentives to influence the rate, timing, location, density, type, and style of development in the community” (1997, 315). Ronald Canham (1979) defines interagency coordination as a process in which two or more organizations come together to solve a specific problem or meet a specific need. Interagency coordination im- FIGURE 10.5 Comparison of distances for the extension plies that by working together, agencies will increase of services to two subdivisions. (Source: Weber and Beck their effectiveness, resource availability, and deci- 1979) sion- making capabilities. As a result, the agencies will more effectively assist in the resolution of a growth management techniques other than zoning, community need or problem that could not be met budgeting, and taxing programs—for example, ser- by any single agency acting alone. Interagency coor- vice districts, annexation, moratoriums, and impact dination is often essential to implement a plan. fees. States like Oregon and Vermont permit local Bruce Weber and Richard Beck (1979) provide governments to divide their jurisdictions into urban an example of interagency coordination for coordi- and rural service districts with different tax rates. Ac- nated growth management. The location, density, cording to Harris, services “are not extended to a ru- and site design of residential developments have a di- ral service district until the area is reclassified as an rect effect on the costs of installing public facilities urban service district, at [a] higher tax rate, which and providing services, as well as varying potential takes place at the time the district is developed for impacts on the natural environment. As illustrated commercial, industrial, or urban residential use” in Figure 10.5, proposed subdivision A would re- (1988, 469). Such a change from rural to urban use quire a considerable length of sewer and water pipes can be coupled with annexation. The determination across vacant land and consequently would result in of urban and rural service districts as well as the co- higher costs to the taxpayer than subdivision B (We- ordination of annexations require cooperation ber and Beck 1979). among several jurisdictions. To encourage subdivision B over subdivision A, Moratoriums involve the prevention of the is- it will be necessary for the city and the county (or suance of building permits until urban service ca- possibly the township) to cooperate. The coop- pacity levels are attained or until plans and ordi- eration of agencies within each jurisdiction may in- nances are completed (Harris 1988). Impact fees are clude combinations of zoning ordinances, perfor- imposed to require developers to pay for new public mance standards, capital improvement program- services necessary for new growth. Florida state law, ming, and taxing programs. Interjuris dictional for instance, requires “that growth be accommo- agreements and the establishment of spheres of in- dated and that localities find ways to provide the fluence may also be necessary. necessary facilities and services while minimizing the Interjurisdictional agreements can involve negative effects of growth” (Harris 1988, 470). Im- 369 PLAN AND DESIGN IMPLEMENTATION

pact fees can be linked to local policy related to low- Several national organizations—such as the Na- and moderate-income housing, recreation facilities, tional Trust for Historic Preservation, the American or open-space protection. Farmland Trust, the National Audubon Society, The Nature Conservancy, and the Trust for Public Program Linkage and Land—are active in land planning. Numerous local land trusts and conservancies make fee-simple pur- Cross-Compliance chases of land. Such groups buy and receive donated easements. They may be involved in developing or Certain government benefits (the “carrots”) can be overseeing restrictive covenants. NGOs consult with linked to requirements (the “sticks”) for specific ac- citizens about the tax aspects of land use. NGOs can tions. For instance, preferential property taxation play an important role in community education can be tied to zoning. For a landowner to receive (see Chapter 8). They can also be watchdogs, moni- property taxes at current use rates, like for open toring government agencies to ensure that plans are space or agriculture for example, a county may re- followed. quire that the land be zoned for open space or agri- One example of a local NGO is the Brandywine cultural use. Sometimes a government, a nongovern- Valley Association, a local group organized in 1945 mental organization, or private developer can link in Chester County in eastern Pennsylvania. Its dues- several implementation measures in a new planned paying members are interested in improving, con- community. Such a package is often referred to as serving, and restoring the natural resources of the codes, covenants, and restrictions (CC&Rs). Brandywine River Valley. This group is a model of a The U.S. government has adopted such a linkage locally based group with a long-term commitment strategy to implement soil conservation goals. As a to preserving its rural heritage. With a small profes- result of the 1985 Food Security Act, landowners sional staff, it urges and helps the people of Chester wishing to remain eligible for federal agricultural County unite their efforts to make the Brandywine benefits are required to have a conservation plan, Valley a more pleasant and profitable place in which prepared by the NRCS, for highly erodible lands. to work and live. The Brandywine Valley Association The federal programs affected include price support accomplishes this goal through a variety of educa- payments, storage facility loans, crop insurance, dis- tional programs and through lobbying with local aster payments, and other loans and subsidies. governments. Many such local groups are active in Many farmers participate in these programs, so neighborhoods and at the community or watershed there is a strong incentive to comply with the re- level. quirement. The concept of cross- compliance The 1000 Friends of Oregon is an example of a among various programs is that private citizens statewide, nongovernmental organization that has should not receive windfalls or support from the been highly instrumental in planning implementa- government without taking actions that promote tion. The group was organized to ensure that local public objectives. governments comply with the Oregon land-use law (see Chapters 2 and 6 as well as the case study sec- Nongovernmental Strategies tion of the next chapter). The 1000 Friends of Ore- gon has been active in ensuring implementation by Implementation need not rest on the actions of gov- providing continuing citizen support for planning. ernment alone. Nongovernmental organizations The 1000 Friends of Oregon, with its dedicated, pro- (NGOs) can use some of the same implementation fessional staff, has taken numerous cities and coun- strategies that have been described in this chapter. ties to court over noncompliance with the statewide 370 CHAPTER 10

laws. The organization has had an excellent success A 25- foot (7.6- meter) setback from any property rate with these suits. The result is that Oregon has line is required in undisturbed natural desert, except not only a good planning enabling act and well- for the area necessary for a driveway. Building “en- defined statewide goals but a record of case law that velopes” are used to keep permanent undisturbed supports plan implementation. The organization’s open space on private land. That is, certain activities influence transcends the state borders, as it spawned are permitted on either side of a line around the similar groups like 1000 Friends of Florida, 1000 building called its envelope. Building heights are Friends of Washington, and 1000 Friends of New limited to one story or 22 feet (6.7 meters), measured Mexico. to the top of the parapet or to the top of the ridge on sloping roofs. Specific guidelines regulate density, parking, access points, driveways, street widths, Desert View Tri- Villages lighting standards, and perimeter walls and fences. Implementation The staff planners and village planning commission designated four wash types: scenic vista wash From the principles reviewed in Chapters 7 and 9 corridors, primary washes, secondary washes, and (see Table 7.1), a series of actions were recom- minor washes. The scenic vista wash is a regional mended for new developments. The focus here will drainage, such as Cave Creek Wash, and must meet be on desert character overlay districts developed by minimum flow requirements. Each wash type re- Phoenix planners with the Desert View Village Plan- lated to flood flows. Specific conservation measures ning Committee in 1998. The planners and planning for vegetation and views are required depending on committee designed three overlay districts: desert the wash type. preserve, rural desert, and suburban desert. Each over- The city requires a detailed site analysis for any lay district applied to specific areas. Provisions were proposed development in this district. The analysis made in each for previously developed property. is to include a current aerial photograph at the scale Certain uses were specified for each district. of 1 inch (2.54 centimeter) equals 100 feet (30.5 meters), with the following information included on Desert Overlay overlays:

The desert overlay district lies adjacent to the Sono- • Land contours at 2-foot [.6-meter] intervals ran Desert Preserve and other previously designated • Wash corridors and preliminary hydrological park areas. Single-family detached dwellings are information ([cubic feet per second] flows, permitted in the desert overlay but not in the Sono- on-site and off-site, velocity) ran Desert Preserve (planned by the Phoenix Parks, • Identify specimen plants and significant Recreation, and Library Department). In selected, stands of vegetation suitable areas, attached dwelling units are allowed. • Identify potential view corridors Topography and other natural features determine • Identify potential development areas the lot size and building envelope in the district. • Identify potential street alignments “The building envelope is to be surveyed and made • Identify the 100-year floodplain boundary part of the public record by recording of a Natural • Provide evidence of a record check for archeo- Area Easement with the City of Phoenix over the logical sites if any (Desert View Village Plan- portion of the lot outside the building envelope with ning Committee 1998, 6) the final plat approval process” (Desert View Village Planning Committee 1998, 3). Clustering is encouraged for certain locations in 371 PLAN AND DESIGN IMPLEMENTATION

the district to preserve undisturbed natural areas. City regulations need to be modified to include Design guidelines and standards apply to the desert and/or permit preserve overlay district. These guidelines emphasize “developments which blend with rather than • Creative approaches to retaining water on-site dominate the undisturbed desert environment” that emphasize natural hydrologic functions (Desert View Village Planning Committee 1998, 10). of the Sonoran Desert ecosystems The guidelines link development proposals to de- • Design standards for southwest desert subdi- tailed site analyses. Sites are to be designed to provision elements in the area (i.e., walls, lighting, tect the washes and other natural features, to use plants, trails, signs, and retention basins) materials and colors that blend with the environ- • Alternative paving surfaces (as long as they do ment, to minimize erosion, to minimize distur- not produce too much noise) bance, and to consider views. • Alternative street standards (local, collector, arterials) in an effort to reduce impervious surfaces, lighting, noise, and speeds of auto- Suburban Desert Overlay mobiles Arizona State University researchers recommended • New standards regarding parking (on-street similar guidelines for suburban and rural desert de- and off-street) and sidewalks. Alternative velopment. Phoenix planners are designing new zoning ordinances to allow greater flexibility overlay districts for these characters with the village regarding setbacks and site plan review planning committee. The ideas for the suburban standards character follow. The City of Phoenix should re- • Use of solar energy and building design require developers to submit a site analysis and a sponsive to the southwestern solar environ- landscape plan with the rezoning application. Both ment written descriptions and maps should be required. • Use of reclaimed water to create wetland/ri- The maps for site analysis should include the re- parian areas (McCarthy et al. 1995; Steiner et gional context, existing topography, slope analysis, al. 1999) hydrological features of the site and its context The Phoenix overall districts depart from con- (pre- and postdevelopment), existing vegetation, ventional planning implementation. Planners em- views, environmentally sensitive areas, and solar phasize character over land use. Detailed design orientation (McCarthy et al. 1995; Steiner et al. guidelines link community concerns about preser- 1999). vation to new forms for development based on nat- The recommended landscape plan maps for the ural process. The measures implement community suburban desert overlay district should include goals and reflect much public involvement, espe- postdevelopment vegetation, drainage, topography, cially on the part of the village planning committee. views, and lot layout. The landscape plan should include conservation and revegetation. The site analysis and landscape plan should be prepared by a li- Implementation Matrix censed landscape architect. The city should have an adequate staff of landscape architects and environ- Often a community will select more than one mental specialists to review site analyses and land- means to implement its goals. Because of the poten- scape plans. Furthermore, the city should develop tial complexity and confusion in overlapping or an integrated trail system that is connected to conflicting responsibilities, it is helpful to clarify schools and community recreation facilities. roles of involved groups. One way to assist in such 372 CHAPTER 10

TABLE 10.12 Implementation Matrix Implementation Primary Secondary Backup Administrative Planning Goal Measures Responsibility Responsibilities Power Responsibilities Strategic General plan City planning Village planning City Planning growth amendment commission committee council department/ corridors Zoning revision Economic development department Suburban General plan City planning Design review City Planning desert amendment commission committee/ council department/ development Zoning revision Village planning Community Design standards committee development department/ Development services department Rural General plan City planning Design review City Planning desert amendment commission committee/ council department/ development Zoning revision Village planning Community Design standards committee development department/ Development services department Desert Preservation plan Parks and City planning City Parks preservation Property acquisition recreation commission council/ department board State lands department

organization is an implementation matrix. Such a commission and city council, which has the backup matrix can be illustrated by the Desert View Tri- power for enforcing the plan and zoning ordinance. Villages example. The planning department administers the ordi- The City of Phoenix council adopted several nance. In addition, the city economic development goals that will shape the development of the Tri- department will be involved in encouraging strate- Villages area. A sampling of these goals appears in gic growth. (The roles of planning commissions and Table 10.12. Each goal has a different implementa- planning agencies are discussed in more detail in tion measure and different, although sometimes Chapter 11.) overlapping, groups responsible for its implementa- The goals for suburban desert and rural desert tion. To encourage strategic growth in the area, the development are handled in a manner similar to general plan was amended and the zoning ordi- that for strategic growth. The major differences are nance revised. The primary responsibility for plan- the use of design standards as an implementation ning and zoning in Phoenix rests with the planning measure, participation by the design review com- commission. The city is divided into several “vil- mittee in an advisory capacity, and the community lages,” each with its own planning committee. These development and development services depart- village planning committees advise the planning ments in administration. In Phoenix, all site plan- 373 PLAN AND DESIGN IMPLEMENTATION

ning and permitting is done by the development tion was best addressed by state and local govern- services department in cooperation with the plan- ments (National Agricultural Lands Study 1981). ning and community development departments. Two local governments that have developed innova- Desert preservation involves different measures tive programs include York County, Pennsylvania, and responsibilities. A specific plan for the preserve and Black Hawk County, Iowa.* was adopted and an acquisition strategy authorized. York County is located in south- central Pennsyl- The primary responsibility for the plan rests with vania, 25 miles (40 kilometers) south of Harrisburg the parks and recreation board. The planning com- (Figure 10.6). The county had a population of just mission has secondary responsibility, while the city under 313,000 people living on 911 square miles council still provides the backup power. In this case, (2,360 square kilometers) in 1980. The county is in since state lands are involved and the state legisla- one of the richest agricultural regions in the United ture created the Arizona Preserve Initiative to facili- States, yet is within a half- hour’s drive to Harris- tate the transfer of significant open- space lands burg, an hour to Baltimore, and an hour and a half from the state to the city, the state land department to Philadelphia. also has considerable backup power. The parks de- According to planner William Conn (1984), the partment will administer the preserve. York County Planning Commission became concerned about the problem of declining farmland in Three Examples of 1975. The commission reviewed various options to reverse this trend. Among the techniques reviewed Planning Implementation were the transfer and purchase of development rights, easements, and tax benefits. The planning In the examples that follow, different issues and commission selected zoning as the best way to pro- concerns prompted local planning. In York County, tect the farmland in the county. Pennsylvania, and Black Hawk County, Iowa, the The majority of the county municipalities using loss of important agricultural land protection initi- zoning adopted a novel sliding-scale approach. As ated the planning process. Farmland preservation is described by William Toner, under sliding- scale central to the implementation measures. In Scotts- zoning “each landowner is entitled to a certain num- dale, Arizona, the major issue involved the preserva- ber of buildable lots according to the size of the par- tion of environmentally sensitive lands. The Scotts- cel—permitted density varies inversely with the size dale program resulted from local initiatives as well of the parcel. Thus, small landowners are permitted as a state court decision. to develop a higher percentage of their property than are large landowners” (1978, 15). Innovative Zoning for Agricultural Land According to Toner (1978), the rationale sup- Protection in York County, Pennsylvania, porting this inverse relationship between size of a and Black Hawk County, Iowa parcel and permitted density is that large landhold- The concern about the conversion of agricultural ings must be retained in agricultural use if the com- land to other uses was an emergent issue during the munity is to retain its agricultural base. Officials in 1970s. The National Agricultural Lands Study, an Peach Bottom Township of York County decided to interagency project, was initiated by President Jimmy Carter in 1979 to address the issue. A conclu- *More complete descriptions of both the York and Black sion of the study was that the problem was a “crisis Hawk County examples are provided by officials from those in the making.” One of the suggestions made by the counties in Steiner and Theilacker (1984). See also American participants in the study was that farmland protec- Farmland Trust (1997). 374 CHAPTER 10

FIGURE 10.6 Location of York County, Pennsylvania.

use the sliding-scale approach in their zoning ordi- land Trust 1997). Several York townships “allow nance. Table 10.13 is an excerpt from that ordi- farmland owners to transfer development rights to nance. Single- family housing is regulated in the an adjoining parcel in the same township, but the township in the agricultural zone on a sliding scale receiving sites must be located on low-quality sites” through a conditional use procedure. In Peach Bot- (American Farmland Trust 1997, 127). tom Township, a minimum lot size of 1 acre (0.405 Black Hawk County, Iowa, has taken a different hectare) is permitted, and a maximum of 1 acre is approach to protect farmland than that employed also established unless it is determined that the ad- by York County, but has also used zoning. The ditional land desired is either on poor soil or cannot county is located in northeastern Iowa (Figure feasibly be farmed because of size, shape, or topo- 10.7). The two largest cities in the county, Waterloo graphical considerations (Conn 1984). and Cedar Falls, adjoin each other and are the In 1988, the Pennsylvania legislature approved largest places of employment. It is a metropolitan legislation authorizing transfer of development county with over 100,000 residents (Daniels and rights. Even before this legislation, at least one York Reed 1988). John Deere and Company has major County township (Chanceford) experimented with manufacturing facilities in the metropolitan area of TDR. As of 1997, five other townships in the county the two cities. Both growing cities were expanding (Codorus, Hopewell, Lower Chanceford, Shrews- into the fertile cornfields of Black Hawk County. bury, and Springfield) had TDR programs. The In 1971, county officials working with the Iowa Lower Chanceford Township program protected the Northland Regional Council of Governments began most land (200 acres, 81 hectares) (American Farm- to address the issue of the conversion of farmlands. TABLE 10.13 Peach Bottom Township Sliding Scale 1. There shall be permitted on each tract of land the following number of single-family dwelling units: Size of Tract Number of Single-Family of Land, Acres Dwelling Units Permitted 0–7 1 7–30 2 30–80 3 80–130 4 130–180 5 180–230 6 230–280 7 280–330 8 330–380 9 380–430 10 430–480 11 480–530 12 530–580 13 580–630 14 630–680 15 680–730 16 730–780 17 780–830 18 830 and over 19

2. New single-family dwelling units shall be located on lots in soil capability units IIIe-3 through VIIs-2, as classified by the Soil Survey of York County, Pennsylvania, Series 1959, No. 23 issued May 1963, or on lots of lands, which cannot feasibly be farmed; (a) due to existing features of the site such as rock outcropping, swamps, the fact that the area is heavily wooded, or the fact that the slope of the area exceeds fifteen (15) percent or (b) due to the fact that the size or shape of the area suitable for farming is insufficient to permit efficient use of farm machinery. Where such location is not feasible, permits shall be issued to enable dwelling units to be located on lots containing higher quality soils. However, in all cases such residential lots shall be located on the least agriculturally productive land feasible, and so as to minimize interference with agricultural production. 3. A lot on which a new dwelling is to be located shall not contain more than one (1) acre, unless it is determined from the subdivision plan submitted by the property owner that the property owner has sufficient land of the type described in paragraph 5 of this section to justify using more than one (1) acre for the location of the proposed dwelling unit, or that the physical characteristics of the land itself requires a lot size in excess of one (1) acre. 4. A property owner submitting a subdivision plan will be required to specify on his plan which lot or lots shall carry with them the right to erect or place any unused quota of dwelling units his tract may have. 5. Lots for the location of single-family dwelling units in addition to those authorized by subparagraph (1) and all the additional new dwelling units are located on lots which are located: a. On land in soil capability units IVe-5 through VIIs-2 as classified by the Soil Survey of York County, Pennsylvania, Series 1959, No. 23 issued May 1963; or b. On lands which cannot feasibly be farmed: (1) Due to the existing features of the site such as rock outcropping, rock too close to the surface to permit plowing, swamps, the fact that the area is heavily wooded, or the fact that the slope of the area exceeds fifteen (15) percent; or (2) Due to the fact that the size or shape of the area suitable for farming is insufficient to permit efficient use of farm machinery. Such additional lots must meet all the requirements of the ordinance, the Township Subdivision Ordinance and all requirements of the Pennsylvania Department of Environmental Resources. 6. The applicant shall have the burden of providing that the land he seeks to subdivide meets the criteria set forth in this section. 7. Any landowner who disagrees with the classification of his farm or any part of it by the Soil Survey of York County, Penn- sylvania, Series 1959, No. 23 issued May 1963, may submit an engineering analysis of the soils on the portion of the farm which he seeks to have reclassified, and if the Board of Township Supervisors finds his study correct, it shall alter the township soil map to reflect the results of such analysis.

SOURCE: Conn 1984.

375 376 CHAPTER 10

FIGURE 10.7 Location of Black Hawk County, Iowa.

After two years of planning, the county officials de- ners discovered 15 soil types with a CSR of 70 and cided to implement their farmland protection pol- below that also had very few limitations for develop- icy through zoning. The policy includes a clear ment. A zoning ordinance was then developed to al- statement of purpose: farmland protection is stated low rural housing on these soils, with a minimum 3- as a goal of the zoning ordinance (American Farm- acre (1.2- hectare) lot size (Iowa Northland Regional land Trust 1997). Council of Governments 1975). The unique feature of this 1973 ordinance was a This system is working well, and the regional system for rating soil types for their relative long- council has expanded its use to the other five coun- term ability to produce corn and other crops. This ties in its jurisdiction. In the years since the im ple- system was named the Crop Suitability Rating mentation of the zoning ordinance, a major redirec- (CSR), although it is more popularly known as the tion in land use has occurred within Black Hawk “Corn” Suitability Rating. The CSR scale ranges County. As the late planner Janice Clark (one of the from 5 to 100. County officials decided those soil principal individuals responsible for the ordinance) types receiving a ranking of 70 or better would be observed, “The rate of residential development considered “prime”; such soils will yield an average within the unincorporated areas has remained fairly of about 115 bushels or higher of corn per acre. steady, but this development is now occurring on Using this criteria, 68 percent of the county has soils deemed suitable for such land use, while the prime soils. For those soils with a CSR above 70, vast majority of land in the county remains in agri- there is a 35- acre (14.2- hectare) minimum for non- cultural production” (Clark 1977, 154). farm uses. Sonia Johannsen and Larry Larsen (1984) report Black Hawk County also addressed the issue of that from 1979 through 1981, 680 acres (275.4 hec - allowing some people the opportunity to live in the tares) were requested to be rezoned from the “A-1” country and completed a rural living study. Plan- Agricultural District to another district. Only 72 377 PLAN AND DESIGN IMPLEMENTATION

acres (29.2 hectares) were approved, of which only counties, information about the physical suitability 42 acres (17 hectares) were on land that had a ma- for a specific use (agriculture) and natural limita- jority of its soils rated prime by the CSR process. tions of the land were used to implement a commu- The lands that were approved for rezoning had al- nity goal. ready been committed to other uses by subdivision approval or were difficult sites to farm. Johannsen Scottsdale, Arizona, Environmentally and Larsen concluded that the CSR is working and Sensitive Lands Ordinance that “many potential requests for rezoning of farmland have been discouraged by the county’s reputa- In 1977, the City of Scottsdale adopted its Hillside tion for preserving these lands” (1984, 124). Ordinance. This overlay zone applied to approxi- An analysis of zoning decisions between 1975 mately 24 square miles (62 kilometers2) in the and 1985 by Tom Daniels and David Reed (1988) in- city’s northeastern area. Conservation zones were dicates that the administration of the Black Hawk designed for lands above 25 percent slopes, where County program has continued to improve. Rela- development was prohibited. Only limited devel- tively little farmland has been rezoned in the county opment was permitted in other places, and open “for nonfarm uses, and several proposals for non- space was protected through easements. In areas farm uses have been denied” (Daniels and Reed 1988, with less than 25 percent slopes, development re- 303). According to Daniels and Reed, the “local farm quired a special review process. Landowners were economy appears stable, given the slight decline both required to transfer the residential units allowed in in the number of farms and the amount of farmland. the underlying district from the conservation zone The large majority of nonfarmland transfers have to development zones (Burns and Onderdonk occurred near urban boundaries. About one-quarter 1993). This system was similar to the TDR pro- of the farmland transfers have also occurred near gram in the New Jersey Pinelands. cities. These figures suggest urban sprawl is being In 1985, the Arizona Court of Appeals found that fairly well contained” (1988, 303). They also observe the Scottsdale required transfer of development that the best farmland in the county is in quite stable rights was “a taking of private property without just ownership and is not likely to be developed. compensation instead of a regulation permitted un- According to the American Farmland Trust, the der the city’s police power” (Burns and Onderdonk Black Hawk ordinance “is strongly supported by the 1993, 136). As a result, the Hillside Ordinance was county’s farmers, despite the fact that it restricts considered unconstitutional in Arizona, and Scotts- their ability to sell land for development” (1997, 70). dale planners began to search for an alternative The agriculture zoning ordinance in Black Hawk means to implement their goal of protecting environ- County “was enacted when agriculture was the mentally sensitive lands. A comprehensive “McHar- dominant land use, development pressure was min- gian” ecological inventory and analysis was con- imal to moderate, and the price of land in rural ducted for the northern portions of Scottsdale. A areas was close to its value for farming” (American citizens’ advisory committee considered various op- Farmland Trust 1997, 71). tions and developed an Environmentally Sensitive One unique aspect about both York and Black Lands Ordinance (ESLO), which was adopted by the Hawk counties is the use of information about na- city council in 1991. ture in implementation ordinances. Most zoning or- The ESLO covers 134 square miles (347 kilo- dinances before the 1970s were based primarily on meters2) with an overlay zone. Scottsdale plan- economic determinants. In York and Black Hawk ners designed the new ordinance to meet Arizona 378 CHAPTER 10

constitutional requirements while addressing two three land-form classes: hillside, upper desert, and main goals: preserving the mountains and maintain- lower desert. Hillsides include peaks and ridges, un- ing the desert character. The ESLO defines six types stable and steep slopes, boulder features, and deep- of sensitive lands: land slopes, unstable slopes, spe- cut washes. Upper desert land-forms are characterized cial features, watercourses, geologic conditions, and by rock outcrops, boulder fields, lush desert habitat, native vegetation. Land slopes are defined by the and deep- cut washes. The lower deserts have shallow steepness of the gradient. Unstable slopes are places washes with unpredictable, braided flows and lush where rocks or soils may move under certain condi- vegetation (City of Scottsdale 1991b). tions, causing risk to people or property. Special fea- The city requires varying degrees of natural area tures are large boulder piles, highly visible peaks and open spaces for new development, based on land- ridges, natural landmarks, and historical and archae- form. The most open space is required in the hillside ological sites. Watercourses flood and possess impor- land-form; the least in the lower desert. The city re- tant riparian habitat. Geologic conditions refer to views all construction plans to ensure that the re- places where rock is exposed or soil is thin and where quired open space is met on each site. The city also building is expensive. Native vegetation refers to encourages clustering. unique Sonoran species that contribute to the scenic Applications for development projects in areas beauty of the region (City of Scottsdale 1991a). covered by the ESLO are to be submitted to a develop- The method for achieving the first goal is based ment review board. This board is responsible for re- on the steepness of the land. Slope is calculated by viewing site plans for compliance with ESLO before how high the ground rises compared to the hori- the application is presented to the planning commis- zontal distance. The ESLO establishes four slope sion and city council public hearings. All applications categories (less than 15 percent, 15 to 25 percent, 25 need to include the following: to 35 percent, and above 35 percent). Restrictions increase with greater slopes. Landowners have two Base submittal requirements options. The first is a voluntary density transfer. • Topographic map The second possibility involves very large homesites • Slope analysis for natural area open-space and with specific design restrictions. The size of the intensity calculation homesites increase with the slope gradient. The de- • Number of proposed dwelling units and pro- sign restrictions involve average 300- foot (91- posed density meter) and 200- foot (61- meter) setbacks from • Map and figures showing the slopes and eleva- peaks and ridges; the limitation of nonindigenous tions or other data used for natural area open- plants to a 20- foot (6.1- meter) maximum height; space calculation and the total open space building colors that blend with the landscape; and • Proposed building materials, paint colors, and limitations on cuts and fills (City of Scottsdale landscape plants 1991b). The second ESLO goal is to maintain the charac- Environmental analysis ter of the desert spaces surrounding the mountains. • Soil and geology report To achieve this goal, development restrictions are im- • Special features and viewshed report posed to protect washes, natural landmarks, and na- • Survey of significant archaeological and his- tive vegetation. Scottsdale calls these restrictions nat- toric sites ural area open spaces, which are based on slopes and • Floodplain identification and analysis land-forms. The city divided its northern areas into • Map of areas of human “scarring” 379 PLAN AND DESIGN IMPLEMENTATION

• Identification of plant communities (City of detailed performance standards for land use. These Scottsdale 1991c) standards were derived from an understanding of the landscape. As Donna Gelfand has observed, In addition, the ESLO requires specific informa- “The ESLO was a result of changing community val- tion in applications for single-family development; ues [toward] protection of the fragile desert envi- rezoning, use permits, and preliminary plat applica- ronment and the unstable, erodible hillsides” (1992, tions; and master development plans. For example, 50). master-planned developments require The York and Black Hawk Counties and City of Scottsdale examples illustrate how planning goals • General location map are carried through to implementation. All three • Size of the entire development rely more on biophysical information than on con- • Development site information ventional planning processes. The York County slid- The size of each development site ing- scale system utilizes information about soils, ge- The land use of each development site ology, surface water, and vegetation. Suitability The density of all sites analysis played a central role in the implementation The zoning of each site of the Black Hawk County zoning ordinance. Both Vista and scenic corridors within the de- the York and Black Hawk programs were under- velopment project taken to implement goals to protect farmland. • Circulation master plan In the City of Scottsdale, growth is managed to • Phasing master plan help protect environmentally sensitive areas. The • Open space master plan identification of the environmentally sensitive areas • Parking master plan evolved from a comprehensive ecological inventory • Drainage master plan and considerable public participation. The philoso- • Water and wastewater master plans phy is not antigrowth or no-growth, but rather • Environmental design concept master plan managed growth, managed in such a way as to pro- (City of Scottsdale 1991c) tect the environment and valuable natural resources. Development and conservation need not be The Scottsdale ordinance represents a shift away viewed as competing interests, but rather as ulti- from traditional zoning. The typical ordinance fo- mately mutually dependent. Such a perspective re- cuses on land use. The ESLO instead stresses the quires the careful balancing of interests to adminis- suitability of the land and how its constraints place ter implementation measures through time. limitations on possible uses. The ordinance contains

11 ADMINISTRATION OF PLANNING PROGRAMS

Once a plan and implementing measures have been adopted by the appropriate legislative body, it is usually necessary to establish some form of ongoing administration. This may be accomplished in several ways. One way to administer a plan and its implementing measures is through the use of commissions and review boards comprising elected or appointed citizens. Such groups often require technical assistance from a professional staff. Administration presents many challenges for planners. As planning goals are institutionalized, a greater distance grows between the excitement of creation and the routine of everyday management. The typical office is isolated from the living landscape. Yet, for the landscape to be managed effectively there must be some set of rules for management and for those who are responsible to ensure that the rules are indeed obeyed. Rules should not inhibit the creation of sustainable places. Rather, they should provide the framework for regenerative community design and place making. Flexibility is often necessary, so that plans can adjust to changing conditions, while continuing to achieve its goals.

381 382 CHAPTER 11

Local governments can effectively manage many and commissions address a broad range of topics inland- use programs. However, local communities must cluding budgets, annexations, brownfields redevel- be viewed in terms of larger and more complex interact- opment, in-fill, freeway mitigation, and historic ing regions. The technological potentials for the ex- preservation. Planning commissions, review boards, ploitation of nature and the increase in knowledge and planning staffs are thus central to the functions about biophysical and sociocultural processes have re- and forms of contemporary settlement patterns. sulted in the necessity for continued innovation in the administration of planning programs. Many efforts The Role of Planning Commissions and need to be addressed by multiple levels of government Review Boards and by partnerships between government and nongovernment organizations. To be most effective and eq- Planning commissions originated in the early twen- uitable, administration must be a two- way street— tieth century. The idea was promulgated by munici- managers and planners must understand the people pal reformers dismayed by the corruption of big-city they serve, and citizens must appreciate and monitor the politics. Planning commissions were proposed as in- bureaucrats. Such communication and interaction form dependent advisory boards of honest, civic-spirited the basis of “results-based government.” citizens. The commissions were to make recommen- This chapter explores the current systems used dations to elected officials. The concept was embod- to administer plans. The role of planning commis- ied in the model Planning Enabling Act of 1928 pub- sions, review boards, and planning staffs are de- lished by the U.S. Department of Commerce and scribed. The impact of procedural requirements are adopted by many state legislatures. Such commis- discussed briefly. One administrative tool is the sions are created by ordinance by the appropriate budget. Three budgeting techniques are described: the city, special- use, county, regional, state, or federal ju- planning, programming, and budget system (PPBS); risdiction. Usually planning commissions consist of program strategies; and capital improvement pro- five to nine members. The members are typically ap- gramming (CIP). Impact statements are an appointed by an elected official for a specific period of proach to evaluate government programs and projects. time. Two examples of planning administration are pre- Planning commissions usually have two func- sented: regional growth management planning in tions. The first is advisory. They assist elected offi- Portland, Oregon; and the Tucson, Arizona, WASH cials in establishing goals, objectives, and policy for ordinance. the jurisdiction. In this capacity, they may conduct research and review options facing the planning area. Sometimes a jurisdiction may be subdivided into smaller areas, each with its own planning com- Current Planning mittee. In such cases, these committees may also conduct research and advise the planning commis- Local planning commissions and agencies adminis- sion. The second function of the planning commis- ter a myriad of activities. They address long- term, sion is administrative. In cities and counties, plan- midrange, and current plans. The scales of such ning commissions review subdivision proposals to plans range from the neighborhood to the metro- assure that they conform to regulations. politan region. Many basic urban functions are in- Planning commissions may also hold hearings cluded in these plans, including utilities, drainage, to review proposed changes in zoning ordinances circulation, and public facilities. Planning agencies and comprehensive plans. Such hearings are quasi- 383 ADMINISTRATION OF PLANNING PROGRAMS

judicial proceedings in some states and take on a search, projections, comprehensive planning, and courtlike format. Planning commission findings special functions that may arise as a result of a spe- from hearings are passed on as recom mendations to cific issue. The current planning division is respon- elected officials. If those people proposing changes sible for the administration of regulations. This are not pleased with the decision of the elected body, function may be shifted to another department of then they may appeal it to the court. government such as that responsible for public The relative ease of rezoning and amending works. comprehensive plans has been criticized as a weak The current planning staff is generally responsi- link in the American planning process. Political ble for processing applications of those who want pressure can be used to force appointed and elected to change the use of their property or develop it for bodies to approve such changes even if they are con- some purpose. The current planning staff often trary to established goals and the conclusion of sci- works with the property owner to ensure the appli- entific and technical research. Anyone who has been cation meets all the necessary requirements of the involved in such hearings will testify that they are a commission or review board. The staff may be re- very human procedure—with the outcome often sponsible for presenting its findings to the commis- based more on the persuasive power of key individ- sion or review board. They may also be responsible uals and emotion than on logic. for the public notice of hearings to review such Another type of citizen body involved in plan- proposals. In many jurisdictions the current planning administration is the review board. These are ning staff has the authority to process applications usually special- purpose groups. Examples include that meet specified requirements. In these munici- zoning review boards, boundary review boards, palities and counties, commissions or boards re- design review boards, and environmental quality view only those applications where a variance is councils. Zoning review boards, also called boards of needed. adjustments, administer variances from zoning ordi- The Phoenix planning department moved away nances and conditional uses that may be permitted from the current and long-range structure to a more in the ordinances with special permission. Boundary issue and geographically based team approach. The review boards may be involved in such matters as an- city planning department adopted a vision to “pro- nexations and capital improvements. Design boards vide excellent customer service and consistent pol- may arbitrate aesthetic matters in a community and icy advice that guides the physical, economic and are often composed of architects, landscape archi- social growth of Phoenix to achieve a better quality tects, artists, and designers. Environmental boards re- of life.” The staff organization reflects this vision view matters of environmental quality and are made (Figure 11.1). The city is divided into three parts: up of individuals with an interest or training in the north, south, and south, each with an associated relevant sciences. Some review boards include some team. The north area team is responsible for the or all members who are elected officials or profes- Desert View Tri-Villages Area planning described sionals rather than appointed citizens. throughout this book. Other teams address specific topics like growth, freeways, and research as well as The Role of Planning Staffs current planning (hearings and zoning). The weaknesses involved in rezoning through Many planning agencies are split into two divisions commissions and the sheer number of applications to separately handle long-range and current func- for zone changes have prompted some jurisdictions tions. The long- range division is responsible for re- to make this function a staff responsibility. These 384 CHAPTER 11

FIGURE 11.1 City of Phoenix Planning Department organization chart. 385 ADMINISTRATION OF PLANNING PROGRAMS

hearings examiners or zoning adjusters have the ad- be wise to remember that the word administration ministrative responsibility to approve zone changes in its original Latin form meant to give help or ser- on the merits of the case. Presumably, these deci- vice. Mission and vision statements for planning sions may be made in a more unbiased, professional commissions and planning department staffs can manner than by a citizen board or commission. The reinforce the importance of public service. There are rulings of hearings examiners, or zoning adjusters, numerous ways that these administrators can help are subject to appeal if the applicant or other party people through the regulatory process. One way is is not satisfied with the results. to minimize the number of required permits. An- In areas where performance standards have been other is to publish the procedural requirements in a adopted, it may be necessary for a team to visit sites straightforward format. (Figure 11.2 is an example to ensure the criteria have been met. For instance, of the application procedure for a certificate of zon- for a proposed residential development in an agri- ing compliance in Whitman County, Washington.) cultural area, such a team may comprise a staff plan- Also, the application forms should be easy for all to ner, a soil scientist from the NRCS, an engineer, and understand. (Figure 11.3 is an example of an appli- a health officer. These individuals are responsible cation for a certificate of zoning compliance in for making a report of their findings concerning the Whitman County, Washington.) Finally, it is impor- conformance of the site to the standards. tant for administrators to be courteous and friendly. We need to listen to those we serve (see, for example, The Impact of Procedural Requirements McClendon 1992).

The process that individuals must go through to meet the legal requirements of a jurisdiction obvi- The Budget ously has an impact on their personal plans for the use of property. Procedural requirements should Planners and public administrators seek more effec- ensure that the laws of the jurisdiction are met, yet tive ways to link policy objectives and government be fair and swift to minimize unnecessary costs to expenditures. Too often goals to protect environ- individuals proposing changes. mental quality become disconnected from day-to- Generally, regulatory systems have three basic el- day decision making. Actions can be taken, often ements in common. First, there is a preapplication with public funds, which result in the very environ- stage, during which proponents of a land-use mental amenities valued by the public. The budget change discuss ideas with the planning staff. Second, can be administered to ensure a connection between there is a technical staff review. At this stage, propo- goals and actions. nents submit a formal application, often accompanied by plans and drawings. The planning staff re- Planning, Programming, and Budget views the application and makes recommendations System (PPBS) to elected officials. Finally, there is the official review made by the appointed and/or elected officials or The budget is perhaps the most effective way to ad- possibly by an administrator. Often proponents of a minister planning programs. There are numerous change are responsible for the costs involved in the techniques to manage budgets. In the early 1960s, technical and official reviews. the planning, programming, and budget system For those responsible for such reviews, it would (PPBS) was initiated in the U.S. Department of 386 CHAPTER 11

FIGURE 11.2 Procedure for application for a certificate of zoning compliance in Whitman County, Washington 387 ADMINISTRATION OF PLANNING PROGRAMS

FIGURE 11.2 (Continued)

Defense by Robert McNamara, who brought the Program Strategies concept with him from his experience in the automobile industry (Graham 1976; Hudson 1979; and However, a number of more effective systems have So 1988). Otis Graham describes the system in the evolved from PPBS. Frank So cites the example of following way: “PPBS starts with the whole, not the the Dayton, Ohio, method, called program strategies. parts; it forces explicit statements of assumptions; it He contends that the purpose of this system “is to begins with strategic goals, sets up alternative plans describe municipal services in a language elected of- for their realization, qualifies costs and benefits” ficials and the community understand while at the (1976, 172). same time allocating [financial] resources (local, Frank So (1979, 1988) of the American Planning state, and federal) in such a way as to classify expen- Association describes PPBS as having four distinct ditures on the basis of policies and programs” (1979, characteristics. These include (1) focusing on the 126). identification of the fundamental objectives of the The Dayton budget model follows three program, (2) the explicit identification of future- basic processes that help provide continuity to year implications, (3) the consideration of all costs, decision making: and (4) the systematic analysis of the options involved (So 1979). So is critical of PPBS. According to 1. Assess current conditions, problems, needs, him, the system has proven too complicated to be strengths, and weaknesses to best prepare administered by local officials. plans to meet those demands. 388 CHAPTER 11

FIGURE 11.3 Application for certificate of zoning compliance in Whitman County, Washington. 389 ADMINISTRATION OF PLANNING PROGRAMS

FIGURE 11.3 (Continued)

2. Develop goals, objectives, policies, and plans lives, health, and property of all citizens by reducing to determine the work program. drugs, violence, crime, and environmentally unsafe 3. Implement those plans and policies and pre- conditions. The leadership and social advocacy pro- pare to evaluate their effectiveness and short- gram focuses on public forums that benefit citizens. comings (City of Dayton 1995). The neighborhood program fosters investment and diversity. The urban management program seeks to Dayton has six program budget areas: regional enhance Dayton’s commitment to public adminis- center, community health and safety, leadership and tration. The economy program aims to diversity and social advocacy, neighborhoods, urban manage- expand the city’s economic base while providing ment, and economy (City of Dayton 1995). The re- economic opportunities for all citizens (City of gional center program seeks to strengthen Dayton’s Dayton 1995). All six programs are linked to short- position as its region’s center for culture, commerce, term and long-term city plans as well as capital im- heritage, and leisure activities. The community provement programming. health and safety program attempts to protect the Table 11.1 lists the program strategies and 1995 390 CHAPTER 11

resource allocations for Dayton neighborhoods. TABLE 11.2 Table 11.2 summarizes the budget for urban man- 1995 City of Dayton, Ohio, Urban Management agement programs in Dayton. According to So, it Program Strategy “can be seen that specific objectives are presented in Goal: To enhance the city’s tradition of professional and significant detail. This detail allows Dayton [offi- committed city management, ensuring the effective use of the city’s financial, human and capital resources. cials] to determine, during the year, whether or not it is meeting its objectives by keeping track of the 1994 1995 Budget % Program Budget Budget Change performance criteria” (1979, 127). The administration of the program strategies Financial management $15,448,900 $15,157,900 −1.9 method is the responsibility in Dayton of a strategy Human resource planning group comprising the city manager, the management $8,279,900 $8,518,800 2.9 deputy city manager, the planning director, and Communications and information three assistant city managers. Neighborhood citi- systems $15,601,100 $16,161,200 3.6 zens’ advisory boards review program strategies af- Infrastructure fecting their communities. In this way, budgets re- maintenance ceive both agency and community-level review. and development $17,933,300 $19,035,500 6.1 Facility management $8,392,300 $7,351,900 −12.4 Capital Improvement Programming Total $65,655,500 $66,225,300 0.9 The Urban Management budget is up 0.9%. This reflects minimal Capital improvement programming (CIP) was in- growth in operating budgets combined with a reduced capital pro- troduced in Chapter 10 as a technique to implement gram for Facility Management. An increase in funding for Infra- structure Maintenance & Development capital projects reflects additional dollars for the 1995 asphalt resurfacing program. Also included is an expanded sanitary sewer replacement program to ensure the Valley Street sewer is repaired prior to the road reconstruc- tion work scheduled for that area. SOURCE: City of Dayton 1995. TABLE 11.1 1995 City of Dayton, Ohio, Neighborhoods Program Strategy

Goal: To encourage desirable neighborhoods by fostering planning programs. Attention should be paid to the investment and diversity through a high level of responsive public services and active partnerships with neighborhood administration of CIP. Frank So (1979, 1988) out- institutions, leaders and citizen groups. lines the following typical steps involved in CIP ad- 1994 1995 Budget % ministration. The first step is an analysis of the fiscal Program Budget Budget Change resources of the community—the revenue and ex- Partnerships $6,541,600 $6,815,000 4.2 penditure projections. The second step is a listing of Housing and phys- all capital- improvement- projections- related proj- ical appearance $24,930,700 $24,166,100 −3.1 ects in the jurisdiction. This listing is usually col- Total $31,472,300 $30,981,100 −1.6 lected by the planning department or finance office. The category of Neighborhoods is down slightly due to a lower level The next step involves each department of the of capital projects in the area of Housing and Physical Appearance. In 1994, the funding for the FROC Pool was completed along with jurisdiction completing detailed project forms de- the Innereast Defensible Space Plan. Investments in 1995 include all scribing the capital improvements. Each depart- HOME- funded housing proj ects as well as the Emergency Shelter grant. ment will rank its projects. Then a review group dis- SOURCE: City of Dayton 1995. cusses all the department proposals. This group 391 ADMINISTRATION OF PLANNING PROGRAMS

includes the planning director, finance officer, the B. Identify and develop methods and proce- local government manager, top elected officials, and dures in consultation with the Council on department heads. Often public hearings are held Environmental Quality . . . which will insure concerning the proposed expenditures. From this that presently unquantified environmental stage a priority ranking of the projects is achieved. amenities and values may be given appropri- The CIP is then presented to the appropriate leg- ate consideration in decision making along islative body. After this body determines its own ex- with economic and technical considerations; penditure priorities and choices, the CIP is adopted C. Include in every recommendation or report (So 1979). Budgeting is a cyclical process, usually on proposals for legislation and other major occurring annually. One of the strengths of CIP is federal actions significantly affecting the that projects and programs can be linked to com- quality of the human environment, a de- munity goals and the ability of an area to sustain tailed statement by the responsible official proposed capital improvements. on— i. The environmental impact of the proposed action, Environmental Impact Assessments ii. Any adverse environmental effects which cannot be avoided should the proposal As a result of NEPA, a national policy for the envi- be implemented, ronment and the Council on Environmental Qual- iii. Alternatives to the proposed action, ity (CEQ) were established. The central purposes of iv. The relationship between local short- the act were term uses of man’s environment and the maintenance and enhancement of long- to declare a national policy which will encourage pro- term productivity, and ductive and enjoyable harmony between man and his v. Any irreversible and irretrievable com- environment; to promote efforts which will prevent mitments of resources which would be or eliminate damage to the environment and bio- involved in the proposed action should it sphere and stimulate the health and welfare of man; be implemented (U.S. Congress 1969). to enrich the understanding of the ecological systems and natural resources important to the Nation and to The purpose of an EIS is to serve as “an action- establish a Council on Environmental Quality (U.S. forcing device to insure that the policies and goals” Congress 1969). defined in the National Environmental Policy Act The requirements for environmental impact “are infused into the ongoing programs and ac- statements (EISs) were established by Section 102(2) tions” of the federal government. The EIS is to pro- of the National Environmental Policy Act as follows: vide “full and fair discussion of significant environmental impacts” and is to “inform decision-makers All agencies of the federal government shall— and the public of reasonable alternatives which A. Utilize a systematic, interdisciplinary ap- would avoid or minimize adverse impacts or en- proach which will insure the integrated use hance the quality of the human environment.” of the natural and social sciences and envi- According to the Council on Environmental Qual- ronmental design arts in planning and in ity, “An environmental impact statement is more decision making which may have an impact than a disclosure document. It shall be used by Fed- on man’s environment; eral officials in conjunction with other relevant 392 CHAPTER 11

material to plan actions and make decisions” (1986, The cover sheet includes relevant information 791). about the proposal, such as the responsible agencies, Often the EIS (or a less comprehensive review the title of the proposed action, contact people, the known as an environmental assessment)isprepared designation of the EIS as draft or final, an abstract, jointly between a federal agency and state or local gov- and the date by which comments must be received. ernments. Since NEPA states that “major Federal ac- The summary provides a synopsis of major conclu- tions significantly affecting the quality of the human sions, areas of controversy, and the issues to be re- environment” require an EIS, both federally funded solved. The EIS is then to briefly specify the underly- projects and federal permits and licenses are subject to ing purpose and need to which the agency is the law. The approval process for projects, permits, or responding (Council on Environmental Quality licenses may affect how a local plan is implemented or 1986). administered. If, for instance, a county has a policy to The heart of the EIS is the description of the al- protect farmland and environmentally sensitive lands, ternatives including the proposed action. Planners and a federal project is proposed, such as a dam or are to rigorously “explore and objectively evaluate highway, then county officials may object during the all reasonable alternatives.” Each alternative is to be EIS process.On the other hand, it may be county pol- considered in detail. An “alternative of no action” is icy to provide new sources of water or transporta- to be included in the analysis. The agency is to iden- tion. In this case, the county may work with a federal tify its preferred alternative or alternatives and to in- agency to advocate water-supply and transportation clude appropriate mitigation measures to address options which would be studied through the EIS pro- environmental impacts (Council on Environmental cess. A developer may propose a project that requires Quality 1986). a permit (e.g., Section 404 dredge and fill permits re- The EIS is to describe “the environment of the quired through clean water legislation for wetlands). area(s) to be affected or created by the alternatives In such a case, county officials can comment during under consideration.” The affected environment the EIS process concerning the consistency of such a section of an EIS is an inventory and analysis of the proposal with local plans. planning area, such as what was described in Chap- The CEQ has developed a recommended format ters 3 and 4. The affected environment section is to for EISs that is similar to the ecological planning be followed by detailed studies of the environmental process being described in this text. The following consequences. The environmental consequences standard format is to be used by federal agencies to section “forms the scientific and analytic basis” for prepare EISs: comparisons of alternatives. The consequences are to include discussions of direct effects of the alterna- •Cover sheet tives and their significance; indirect effects and their • Summary significance; energy requirements and conservation • Table of contents potential of various alternatives; natural or de- • Purpose of and need for action pletable resource requirements and conservation • Alternatives including the proposed action potentials; urban quality, historic and cultural re- • Affected environment sources, and the design of the built environment, in- • Environmental consequences cluding reuse and conservation potentials; and • List of preparers means to mitigate adverse environmental impacts. • List of agencies This section is also to address possible conflicts be- •Index tween the proposed actions and the objectives of • Appendixes federal, regional, state, local, and Indian land-use 393 ADMINISTRATION OF PLANNING PROGRAMS

plans, policies, and controls for the area concerned subsequently adopted measures. For example, the (Council on Environmental Quality 1986). 1986 Italian law that created the Ministero dell’Am- In addition to the federal environmental protec- biente (Department of Environment) also accepted tion law, 27 states, the Commonwealth of Puerto the EU directive. Then, in 1988, two Italian laws Rico, and many local governments have adopted were enacted that defined environmental review re- impact statement or assessment requirements. Ac- quirements. Like environmental review procedures cording to Leonard Ortolano (1984), 14 states use in the United States, Italian studies are required to comprehensive statutory requirements, 4 have com- assess the consequences of government actions. The prehensive executive or administrative orders, and 9 Italian law includes a procedural framework, a have special- purpose EIS requirements. For exam- project framework, and an environmental frame- ple, the Washington State Environmental Policy Act work. The Netherlands, another EU member, has a (SEPA) has four primary purposes: similar law. The Dutch law requires that one of the possible alternatives focus on the best environmen- 1. To declare a state policy which will encourage tal consequences. The Dutch law also establishes productive and enjoyable harmony between an independent scientific review board to verify people and their environment the accuracy of environmental impact assessment 2. To promote efforts which will present or documents. eliminate damage to the environment and A major criticism of environmental impact re- biosphere view at the federal level in the United States is that 3. To stimulate the health and welfare of people essentially the process is procedural rather than sub- 4. To enrich the understanding of ecological stantive (Ortolano 1997). For instance, the Natural systems and natural resources important to Resources Defense Council has observed, the state and the nation (Washington Depart- ment of Ecology 1995, as listed in Chapter Environmentalists today are turning more attention 43.21C Revised Code of Washington) toward the substantive quality of the NEPA statements which are prepared. Unfortunately, far too fre- As many as 80 other nations also have environ- quently the quality of these impact statements leaves mental impact assessment requirements (Westman much to be desired. For example, NEPA statements 1985; Canter 1996; Ortolano 1997). The United Na- are sometimes silent on the most severe environmen- tions, the World Bank, the U.S. Agency for Interna- tal effects caused by a proposed project (1977, 28). tional Development, and the aid agencies of many European nations have played important roles in Critics argue that NEPA has been little more encouraging developing nations to adopt environ- than a bureaucratic exercise that requires federal mental review procedures. As of 1992, “37 out of the agencies to complete paperwork that they subse- 51 countries in Africa had established ‘Ministries of quently file and ignore. Valerie Fogleman declared, Environment, Natural Resources, or Nature Con- “as NEPA is presently written, agencies that comply servations/Protection’ ” (Ortolano 1997, 62, citing with its procedures by spending millions of dollars Tolba et al. 1992, 724–725). analyzing proposed actions, do not violate NEPA if In 1985, the European Union (EU) approved a they proceed with environmentally destructive ac- directive (85/337) that requires member states to tions contrary to NEPA’s policies and purposes” undertake environmental impact assessments. Eu- (1990, 245). ropean nations that previous to the EU directive In some states with comprehensive statutory re- did not have environmental review requirements quirements, the EIS process has become somewhat 394 CHAPTER 11

more substantive. Washington State’s comprehen- their constituents. Conversely, during the process as sive SEPA contains substantive policies and goals state and local officials review EIS, they can com- that apply to all levels of government. A proposal ment about impact of a proposal on the programs may be denied under SEPA if an agency finds that: and policies of their jurisdictions. Administrators may better gauge the impact of projects through a • The proposal would likely result in significant systematic use of environmental, economic, fiscal, adverse environmental impacts identified in and social analyses. an EIS • Reasonable mitigation measures are insuffi- Environmental Impact Analysis cient to ameliorate the identified impact (see Washington Administrative Code 197-11- The CEQ has put in place a uniform EIS review with 660) a standard terminology. These terms include the categorical exclusion, the environmental assessment Thus, SEPA in Washington can be used by the and/or environmental impact statement, a finding of state and local governments to permit or deny proj- no significant impact, a scoping of issues, and process ects. Washington State courts have held that SEPA monitoring (Buskirk 1986; Fogleman 1990; Canter applies to comprehensive plans, preliminary plats, 1996). In addition to the federal agencies that and all kinds of permits. Generally, however, the EIS adopted the procedure and terminology recom- process in many states, like at the federal level, tends mended by the CEQ, a number of states adapted the to be more procedural than substantive. In spite of process. Washington is one such state. these problems, environmental impact statements The Washington Department of Ecology (DOE) and environmental assessments can be an impor- paraphrases its SEPA process in part as follows (Fig- tant administrative tool. Astute planning adminis- ure 11.4): The environmental review process gener- trators can make use of EISs to justify and explain ally begins when someone submits a permit applica- their projects to decision makers and the public. tion to an agency or when an agency proposes some Such projects may be to implement the goals of activity, policy, plan, ordinance, or regulation. Once

Environmental impact analysis can result in the protection of stream corridors and provide buffers between stream channels and new development. Marin County, California. 395 ADMINISTRATION OF PLANNING PROGRAMS

FIGURE 11.4 Process for Washington State environmental impact statement review.

this occurs, a lead agency is selected, which has the tal impact (Washington Department of Ecology principal responsibility for implementing SEPA 1984, 1995). procedures for the specific proposal. The lead Some categories of actions that may have signifi- agency, which is normally the city or county where cant environmental impacts have been excluded by the proposal has been made, then makes a threshold the Washington legislature for political reasons and determination to decide whether a proposal is likely thus are exempted from the process. If a proposal to have a probable significant adverse environmen- is not categorically exempt, then the proponent 396 CHAPTER 11

completes an environmental checklist. This checklist tions to systematically inventory environmental re- helps the lead agency identify environmental impacts sources and to rely on forecasts of future population that may result from the proposal and decide whether and employment levels. Early and continuous pub- the impacts are significant. If both the proponent and lic participation is mandated throughout the plan- lead agency agree the impacts are indeed significant, ning process. Many steps for planning dictated by then a checklist need not be completed and an EIS is the Growth Management Act are “actions” under instead completed (Washington Department of Ecol- SEPA and, as a result, require SEPA compliance ogy 1984, 1995). (Washington Department of Ecology 1995). If, based on the checklist, the lead agency con- As noted in Chapter 10, Washington’s SEPA per- cludes that the proposal would not have a probable mits cities and counties to designate environmen- significant adverse environmental impact, then it is- tally sensitive areas. In addition, the Growth Man- sues a determination of nonsignificance and no EIS is agement Act requires local jurisdictions to identify prepared. If the opposite is found, then the lead critical areas and develop regulations to protect agency issues a determination of significance that these places (Washington Department of Ecology would require an EIS to be prepared. There is some 1995). As a result, planners in Washington can use middle ground allowed. When some environmental both state environmental review and growth man- impacts are foreseen that can be addressed with spe- agement laws to protect wetlands, aquifer recharge cific mitigation measures, then a mitigated determi- areas, fish and wildlife habitat, frequently flooded nation of nonsignificance can be issued. Such a docu- areas, and geologically hazardous places. ment would describe mitigation measures that will In Washington State the elements of the physical be implemented (Washington Department of Ecol- and human environment that must be considered in ogy 1984, 1995). an environmental checklist and an EIS are con- If an EIS is to be prepared, then the lead agency tained in the State Environmental Policy Act and must decide its scope, which means the range of ac- DOE guidelines. These elements are listed in Table tions, options, and impacts to be analyzed. This pro- 11.3. As can be seen, the elements are similar to cess is called scoping. The scoping process leads to a those previously discussed in Chapters 3 and 4. As a draft EIS, which is circulated to various government result, the legal framework exists in Washington agencies and interested parties for a 30- day com- State to connect landscape inventory and analysis ment period. After considering the comments and information to the administrative review of pro- revising the draft EIS accordingly, the lead agency is- posed projects and actions. sues a final EIS. All agencies must then wait for 7 days before acting on the permit or approval. After Economic Impact Analysis considering the appropriate environmental concerns and documents, along with other relevant fac- Critics of impact analyses argue that nonenviron- tors, agencies may then act on the permit or other mental elements are not adequately considered. As approval required for a proposal to proceed (Wash- a result, techniques for economic, fiscal, and so- ington Department of Ecology 1984). cial impact analyses have been developed and pro- Washington State’s Growth Management Act in- posed. (Information about these techniques can be fluences SEPA administration. The Growth Man- obtained from the website of the Western Rural agement Act identifies 13 goals to be achieved Development Center at Oregon State University, through local comprehensive plans and develop- www.orst.edu/dept/WRDC.) Economic impacts are ment regulations. The law requires local jurisdic- those that affect the private sector, while fiscal im- 397 ADMINISTRATION OF PLANNING PROGRAMS

TABLE 11.3 Elements of the Physical and Human Environment Required in Checklists and Impact Statements by the Washington State Environmental Policy Act

WAC 197-11- 444: Elements of the environment affecting public health, such as toxic or hazardous 1. Natural environment materials a. Earth b. Land and shoreline use (1) Geology (1) Relationship to existing land-use plans and to (2) Soils estimated population (3) Topography (2) Housing (4) Unique physical features (3) Light and glare (5) Erosion/enlargement of land area (accretion) (4) Aesthetics b. Air (5) Recreation (1) Air quality (6) Historic and cultural preservation (2) Odor (7) Agricultural crops (3) Climate c. Transportation c. Water (1) Transportation systems (1) Surface water movement/quantity/quality (2) Vehicular traffic (2) Runoff/absorption (3) Waterborne, rail, and air traffic (3) Floods (4) Parking (4) Groundwater movement/quantity/quality (5) Movement/circulation of people or goods (5) Public water supplies (6) Traffic hazards d. Plants and animals d. Public services and utilities (1) Habitat for and numbers or diversity of species of (1) Fire plants, fish, or other wildlife (2) Police (2) Unique species (3) Schools (3) Fish or wildlife migration routes (4) Parks or other recreational facilities e. Energy and natural resources (5) Maintenance (1) Amount required/rate of use/efficiency (6) Communications (2) Source/availability (7) Water/storm water (3) Nonrenewable resources (8) Sewer/solid waste (4) Conservation and renewable resources (9) Other governmental services or utilities (5) Scenic resources 3. To simplify the EIS format, reduce paperwork 2. Built environment and duplication, improve readability, and focus a. Environmental health on the significant issues, some or all of the (1) Noise elements of the environment in 197-11- 444 may (2) Risk of explosion be combined. (3) Releases or potential releases to the environment

pacts refer to those that affect the public sector. serve the new population (1980, 1, updated version Economist Ronald Faas has noted, Faas and Holland 1994).

Mining, industrial expansion, and energy facility con- Faas stresses that economic impacts should be struction affect the private sector of a community’s considered by both private-sector managers and economy. Such projects require new investment in public administrators. He points out that promoters plant facilities and lead to increased local employ- of a particular project often emphasize the new jobs, ment, income, and sales. In addition, the new eco- increased payrolls, expanded sales, and new invest- nomic activity often stimulates local business. Com- ments. These factors can form a persuasive argu- mercial activities and residential housing expand to ment when public officials are asked to make a 398 CHAPTER 11

Canada geese on the Clearwater River, Idaho. (Barry Kough, The Lewiston Morning Tribune)

zoning change, grant a variance, or allow a tax con- As a result, the original dollar generates another cession. But these claims should not be accepted at $.25 of income the first time it is respent. face value; rather, an objective evaluation of the eco- Several types of multipliers have been identified, nomic impacts should be made. including employment multipliers, income multi- Economists have developed techniques that can pliers, and output multipliers. An employment mul- be helpful in measuring such impacts. One tool is tiplier is the total change in full-time equivalent em- the economic multiplier. Multipliers are based on the ployment (FTE) generated in the local economy for interdependency between two types of businesses in each change of one FTE in an export sector of the the local economy—the export (or basic) and ser- local economy. A household income (or earnings) vice (or nonbasic) sectors. Export activities produce multiplier is the total change in household income goods and services for outside the local economy, throughout the local economy from a $1 change in while service activities sell goods and services within household income payments by an export sector. An the local economy. An expansion of sales in the basic output (or business) multiplier is the total change in sector generally has a multiplier effect on the local sales generated throughout the local economy by a service sector. Economic multipliers may be defined $1 change in export sales (Faas 1980; Faas and Hol- then, as the numerical relationship between an orig- land 1994). inal change in economic activity and the ultimate There are many techniques for estimating eco- change in activity that results as the money is spent nomic multipliers. Two such techniques include the and respent through various sectors of the economy export- base approach and the input- output model (Faas 1980; Faas and Holland 1994). This concept is (see Chapter 4). The amount of income generated in illustrated in Figure 11.5. Of $1 in wages, half may the local economy for the actual dollars spent will be spent locally, of which half again goes to wages. vary. The sophistication and type of technique used 399 ADMINISTRATION OF PLANNING PROGRAMS

panded public services and facilities to accommodate the growing population, and when will these costs be incurred? • What revenues will be generated by the growth, and when will the revenues be available? (Siegler and Meyer 1980, 2)

The answers to some of these questions may already exist if the community has developed an inventory and analysis of human factors. That information can then be used for the administrative review of proposed project actions. Siegler and Meyer have developed a worksheet (Table 11.4) for estimating additional operating and maintenance costs and capital costs associated with incoming population for services commonly provided by communities. Operating and maintenance costs may be estimated for the incoming population by examining the community budget. The total operating and maintenance costs for each service divided by the existing population represents the present per FIGURE 11.5 Economic multipliers. (Source: Faas 1980) capita cost of providing each service. This per capita cost can be multiplied by the estimated size of the incoming primary (persons directly associated with the source of growth) and secondary or tertiary (workers and their families required in other sectors will differ with the local structure and the nature of of the local economy to provide expanded or new the proposed project or program. services) population to provide what Siegler and Meyer term a “minimum estimate” of the total additional operating and maintenance costs associated Fiscal Impact Analysis with the new population. Fiscal impact analysis refers to the study of the effect Capital costs may be estimated for the incoming of proposed projects or actions on government ex- population in various ways. Local officials must esti- penditures and revenues and on taxes. Theodore R. mate the capacity of existing facilities and then Siegler and Neil L. Meyer (1980) presented a frame- judge which facilities will require additional capital work for fiscal impact analysis. They suggest starting investment. By dividing the total expansion invest- with three key questions: ment cost by the expected number of new residents, an investment cost for each new resident can be esti- • How many people are expected to move into mated (Siegler and Meyer 1980; see also Cooke et al. the community; how long will they stay; and 1996). Siegler and Meyer have developed a checklist where will they live? of revenue sources potentially affected by commu- • What costs will be incurred in providing ex- nity population growth (Table 11.5). An analysis of 400 CHAPTER 11

TABLE 11.4 Estimating Additional Operating and Maintenance Costs and Capital Costs Associated with Incoming Population for Services Commonly Provided by Communities Capital Costs Operating and Maintenance Costs Anticipated Costs per Size of Incoming Change in Expenditure Current Costs Capita Population Costs Capacity Public Service (a) (b) (c) (b × c) Needed Year Amount General government Education Judicial Law enforcement Fire Libraries Public works Roads Sewer Water Solid waste Health Welfare Other

SOURCE: Siegler and Meyer 1980.

potential revenues can help a community determine The public costs and revenues were determined whether the fiscal costs of growth will be borne by for major categories on a current annual basis, using the proposed project or action. the county budget and other published fiscal records. The American Farmland Trust and Loudoun The researchers found that public education con- County, Virginia, designed a procedure for fiscal im- sumes most of the county budget (68 percent), fol- pact analysis, using county data, to estimate (1) the lowed by health and welfare (9 percent) and public net public costs of new residential development and safety (8 percent). General property taxes account for (2) whether these costs could be expected to vary 48 percent of the county revenue, followed by state significantly with the density of development. funds (31 percent) and other local taxes (9 percent) American Farmland Trust researchers pursued these (American Farmland Trust 1986). objectives by (1) identifying the major categories of For the American Farmland Trust study of public costs and revenues for Loudoun County in Loudoun County, age-specific census data for tracts metropolitan Washington, D.C., (2) developing a in different parts of the county were examined. representative demographic profile of a new 1000- These data enabled the researchers to construct a household residential community, (3) projecting prototype community, which they divided into four four different density distributions for the proto- possible density groups: type community, and (4) analyzing costs and revenues for each of the four densities (American Rural low density: 1 dwelling unit per 5 acres Farmland Trust 1986). Rural cluster: 1 dwelling unit per acre 401 ADMINISTRATION OF PLANNING PROGRAMS

TABLE 11.5 Revenue Sources Potentially Affected by Community Population Growth Current Current Per Size of Incoming Change in Date Revenue Revenue Capita Revenue Population Revenue Will Be Available (a) (b) (c) (b × c) to Spend Local Real property Personal property tax Permits Fines Service fees User charges Development fees Hookup charges Prepayment of taxes Negotiated impact payments from development Other State Motor vehicle tax Liquor tax Cigarette tax Sales tax Grants-in- aid Severance tax Other Federal Revenue sharing Grants Federal en lieu payments Special programs Other

SOURCE: Siegler and Meyer 1980.

Medium density: 2.66 dwelling units per acre dwelling unit density varied. The researchers High density: 4.5 dwelling units per acre (Ameri- showed that the cost for public services such as edu- can Farmland Trust 1986) cation, road maintenance and construction, and water and sewer facilities was significantly greater While researchers held the total population, age for rural low-density, nonfarm settlement than structure, and number of dwellings constant, the higher-density development. In addition, “slightly 402 CHAPTER 11

higher revenues were projected from the higher- Cost of community services studies, such as density communities” (American Farmland Trust those undertaken by the American Farmland Trust 1986, 4). In addition, the American Farmland Trust and by others who have adapted their method, can research indicated that farms were less costly to ser- help local planners assess fiscal impacts of new device. velopment. Such fiscal impact analyses can provide Following the Loudoun County study, the justification to protect important natural resource American Farmland Trust (1997) repeated the ap- lands, such as those used for farming, as well as envi- proach elsewhere and other researchers adapted the ronmentally sensitive lands. method (see, for example, Crane et al. 1996). Ac- Overall, the American Farmland Trust studies cording to the American Farmland Trust: find “that higher net public costs are associated with lower- density residential development” (1986, 4). It costs local government much less to serve one or The Loudoun County study illustrates that fiscal two families living on a 200- acre [81- hectare] farm impact analyses can be constructed “at the county than it does to provide education, roads, water, sew- level for a given residential development at different ers, and police and fire protection to 400 families liv- densities, using existing data for major categories of ing on half-acre [0.2-hectare] lots in a 200-acre [81- public costs and revenues.” Furthermore, the re- hectare] subdivision (1997, 149). search shows that for many densities “the ongoing public costs of new residential development will ex- In more than 40 “cost of community service studies” ceed the revenues from such development” (Ameri- undertaken or compiled by the American Farmland can Farmland Trust 1986, 5). Research independent Trust, various researchers have shown “that farm- of the American Farmland Trust supports the find- land owners pay more in taxes than local govern- ings about the public costs of single-family housing. ments pay to provide them with services, while For example, an Oregon study determined that the homeowners receive more services than their taxes cost of growth for a single-family residence was pay for” (1997, 149) (Table 11.6). Ratios on Table $23,013 (Carson 1998). As a result, once a plan has 11.6 display the “relationship between revenues gen- been adopted and its implementing measures put in erated by each land use category and the cost of pro- place, planning administrators should carefully ana- viding municipal services to that category” (Ameri- lyze the fiscal impacts of proposed new develop- can Farmland Trust 1997, 149). ment, especially those that require amending the In a study for the Potawatomi Land Trust, Uni- adopted plan and implementing ordinances. versity of Michigan researchers reported similar findings (Crane et al. 1996). Adapting the American Social Impact Analysis Farmland Trust’s “cost of community services” method, the Michigan researchers asked: Does de- A straightforward way of assessing social impacts of velopment pay for itself, and has developed land a project is to ask who suffers and who benefits as a contributed enough to local government to cover result of the proposal? One tool to analyze who suf- costs that accompany such development? The study fers and who benefits is a matrix. The matrices in- focused on Scio Township in Wash tenaw County, troduced in Chapter 4 may provide a starting point. Michigan. The researchers concluded “that resi- For example, a western city proposes the construc- dential land did not contribute enough revenue to tion of a dam and reservoir in a mountain environ- pay for the services that it received” (Crane et al. ment to supply water. Several groups will suffer and 1996, iv). benefit from the proposal (Table 11.7). TABLE 11.6 Summary of Cost of Community Services Studies (ratios in dollars) Residential Combined Including Commercial Farm/Forest State/Town Farmhouses and Industrial Open Land Connecticut Durham 1:1.07 1:0.27 1:0.23 Farmington 1:1.33 1:0.32 1:0.31 Hebron 1:1.06 1:0.47 1:0.43 Litchfield 1:1.11 1:0.34 1:0.34 Pomfret 1:1.06 1:0.27 1:0.86 Maine Bethel 1:1.29 1:0.425 1:0.06 Maryland Carroll County 1:1.15 1:0.48 1:0.45 Frederick County 1:1.05 1:0.39 1:0.48 Massachusetts Agawam 1:1.05 1:0.44 1:0.31 Becket 1:1.02 1:0.83 1:0.72 Deerfield 1:1.16 1:0.38 1:0.29 Franklin 1:1.02 1:0.58 1:0.40 Gill 1:1.15 1:0.43 1:0.38 Leverett 1:1.15 1:0.29 1:0.25 Westford 1:1.15 1:0.53 1:0.39 Williamstown 1:1.11 1:0.40 1:0.34 Minnesota Farmington 1:1.02 1:0.18 1:0.48 Lake Elmo 1:1.07 1:0.20 1:0.27 Independence 1:1.04 1:0.19 1:0.47 New York Amenia 1:1.23 1:0.17 1:0.25 Beekman 1:1.12 1:0.18 1:0.48 Farmington 1:1.22 1:0.27 1:0.72 Dix 1:1.51 1:0.27 1:0.31 Fishkill 1:1.23 1:0.31 1:0.74 Hector 1:1.30 1:0.15 1:0.28 Kinderhook 1:1.05 1:0.21 1:0.17 Montour 1:1.50 1:0.28 1:0.29 Northeast 1:1.36 1:0.29 1:0.21 Reading 1:1.08 1:0.26 1:0.32 Red Hook 1:1.11 1:0.20 1:0.22 Ohio Madison Village 1:1.67 1:0.20 1:0.38 Madison Township 1:1.40 1:0.25 1:0.30 Pennsylvania Bethel Township 1:1.08 1:0.17 1:0.06 Carroll Township 1:1.03 1:0.03 1:0.02 Straban Township 1:1.10 1:0.11 1:0.06 Rhode Island Hopkinton 1:1.08 1:0.31 1:0.31 Little Compton 1:1.05 1:0.56 1:0.37 West Greenwich 1:1.46 1:0.40 1:0.46 Virginia Clarke County 1:1.26 1:0.21 1:0.15 Wisconsin Dunn 1:1.06 1:0.29 1:0.18

SOURCE: American Farmland Trust 1997, 150

403 404 CHAPTER 11

TABLE 11.7 ministrators can use such a matrix, with a written Who Suffers and Who Benefits analysis, to assess social impacts. As a result, deci- Affected Groups Suffers Benefits sions can be made more fairly so that costs and ben- City users x x efits can be evenly distributed. Suburban users x x Developers x On-site landowners x Two Examples of Off- site landowners x Farmers x Planning Administration Water conservation advocates x Sportspeople x x Governments use administrative strategies to en- Environmentalists x Consultants x sure that community goals are achieved. Increas- Scientists x ingly, many goals relate to environmental protection and growth management. Planning administration can be viewed ecologically. The process connects City and suburban water users will both benefit various administrative activities, making the inter- and suffer from the proposal. They may benefit relationships between aspiration and action explicit. from more water but will suffer from the added costs to pay for the facility. Developers stand to Portland, Oregon, Regional Growth benefit because new areas will be open for develop- Management Planning ment once new water is available. The on-site landowners whose land will be flooded by the dam will The process of selecting among planning options in suffer. Some off-site landowners downstream may Portland, Oregon, was discussed in Chapter 6. This be protected from floods and as a result benefit. But process resulted because of the Oregon statewide off-site farmers downstream will suffer from the goals reviewed in Chapter 2. A key aspect of admin- decline of available water for irrigation. Water con- istering plans is the ability to adapt to change. Firm servation advocates stand to suffer because with plans need to be guided by flexible planners. Port- new water supplies there will be less of an incentive land helps to illustrate how firm plans have been to conserve. modified within Oregon’s statewide framework. The stream that will be dammed is a natural Planning in Oregon is governed by a set of manda- trout habitat. The stream bank contains vegetation tory statewise goals and procedures for holding local that provides wildlife habitat. As a result of the de- plans, ordinances, and court decisions accountable struction of the stream and the riparian vegetation, to achieving the goals (Johnson 1974; Oregon sportspeople will suffer. New fish habitat may be Supreme Court 1979; Portland Bureau of Planning created by the reservoir too, so some fishing enthu- 1980b; Carson 1998; Daniels 1999). Since 1988, the siasts may benefit. Environmentalists who appreci- most intensive test of these goals has centered on the ate the scenic beauty and natural qualities of the Portland metropolitan region, the largest urban area stream corridor will suffer. Consultants involved in in the state. Like other American cities, this region is the planning and design of the new dam will benefit. coping with the problems and opportunities associ- Scientists who conduct biological and geological re- ated with rapid population growth. Unlike those search in the watershed will suffer. other American cities, greater Portland has a re- Such a matrix helps clarify who stands to gain gional government, called Metro, with the authority from the proposal and who will lose. Planning ad- to guide planning and the mandate to achieve the 405 ADMINISTRATION OF PLANNING PROGRAMS

The Oregon statewide planning program supports the use of urban growth boundaries to control development. (Oregon De- partment of Land Conservation and Development) statewide goals among three counties and 24 mu- The Portland region has a long tradition of plan- nicipalities, including the city of Portland. Metro is ning to maintain a high quality of life. These efforts similar to regional governments in other nations. have successfully maintained many natural areas Oregon’s land-use planning goals include man- within cities; small- town characteristics in many dates for intensive public participation in planning, identifiable neighborhoods within cities; good mass the control of urban development to protect farm- transit; many mixed-use truly urban areas; beautiful land and reduce public infrastructure costs, provide buildings; and a safe, day-around- lively downtown affordable housing, and provide land for industry center. But, with the advent of rapid economic and and economic development. The urban growth population growth in the region during the late (commonly called “sprawl”) and farmland protec- 1980s and early 1990s, these qualities came under tion goals center on a requirement that Metro and intense pressure. It fell upon Metro to continue this other Oregon cities have an urban growth boundary planning tradition and maintain these qualities with (UGB). Land-use changes outside the UGB are lim- growth well into the twenty- first century (Ribe and ited to farm, forest, and low-density residential Seltzer 1992). zones with very limited commercial and infrastruc- The response to this challenge was the Region ture development. Lands inside the UGB have few 2040 Planning Process, which began in 1989, pro- such limits but are required to maintain a 20- year duced a regional framework plan in 1994, and con- rolling supply of developable land available for tinues today. Metro began by seeking a consensus many uses. about the planning process and purposes. This was 406 CHAPTER 11

found through a complex, intensive set of public region. The process included mailing a newspaper- meetings and negotiations among the numerous ju- style description of the various alternatives’ virtues risdictions and private interests with roles and po- and trade-offs to more than half a million house- tential veto powers in finding and successfully holds, which elicited over 17,000 citizen responses. promulgating a regional plan. The final results were The planners also sent out more formal question- documented in the Regional Growth Goals and Ob- naires and organized public meetings, workshops, jectives (RGGOs) (Metro 1991). The RGGOs docu- newsletters, presentations to civic groups, and tele- ment constituted an agreement about general goals vision and radio call- in programs. At the same time, and processes to maintain a comprehensive regional modeling efforts sought to predict traffic, air qual- planning partnership, and it provided a sketchbook ity, and land-use consequences of the alternatives, about the attributes that the region would seek to and this information was incorporated into the achieve by the year 2040. It also sought to clarify the public participation efforts as they progressed (Ribe relationship between within- jurisdiction planning and Seltzer 1992). efforts and the regional plan’s formulation and en- Public opinion was especially sought about cer- forcement. tain issues (Metro 1994a). One was average regional Region 2040 planning began by taking stock of residential lot sizes, which seemed amenable to a the region’s social values, historical development slight reduction from about five dwelling units per patterns, resources, trends, and essential qualities acre to seven. Another was reducing average re- that make for a uniquely livable and attractive land- gional parking spaces per dwelling unit and per scape. Portland State University and the University square foot of commercial or office space, which of Oregon helped this effort (Ribe and Seltzer 1992; had some modest support, in principle, provided Abbott 1994). This basic information was then used quality alternative transit options and improved to begin to develop alternative regional patterns for pedestrian systems were available. The densification growth. The consulting firms Eco-Northwest, of existing town centers around mass transit gained Walker-Macy, and others aided this task. Through general support as an alternative to UGB expansion many public meetings around the region, four alter- and as a way to reduce traffic congestion. Urban native patterns were proposed. The first was a base- growth boundary expansion garnered considerable case describing roughly what would happen if exist- opposition (and some support provided it was lim- ing growth patterns continued. One alternative ited as much as possible and well- planned). Parks emphasized densification of commercial and hous- and greenspaces were desired in and near urban ing development along mass-transit- intensified cor- areas for both recreation and habitat. ridors with modest expansion of the UGB. Another The draft Region 2040 plan underwent another alternative called for more generalized densification extensive public review process during 1994. This of land uses focusing on town centers inside existing included a video describing the plan, which Block- cities, a more intensive expansion of transportation buster Video made available free of charge, and a se- systems, and no expansion of the UGB. A third op- ries of before-and- after illustrations at many scales tion advocated small expansions of the existing by architect Peter Calthorpe. At this stage consider- UGB, lots of new mass transit, and the creation of able opposition to UGB expansion still remained, new satellite cities outside current urbanized areas. along with concern that growth management plan- These alternatives formed the basis for a public ning would only encourage more growth. participation and education process that developed The final plan was adopted in December 1994 the criteria for evaluating the future options for the (Metro 1994b). It mixed elements of all the alterna- 407 ADMINISTRATION OF PLANNING PROGRAMS

tives and some new ideas from the public. It called a mitigation plan. This plan is submitted to the city for UGB expansion amounting to 7 percent by 2040. engineer. The ordinance details specific require- (This amount has since increased slightly due to ments for the mitigation plan as well as the review new state laws and higher-than- expected growth and approval process. The review process involves rates.) The expansions of the UGB were carefully lo- both the city planning and the city engineering de- cated to avoid prime and viable farmlands and to fo- partments (City of Tucson 1991). cus on areas already disturbed by rural residences The planning director is responsible for the re- and otherwise more suitable for development. The view of a required plant and habitat plan as well as a plan called for densified regional town centers required preservation and revegetation plan. The served by improved mass transit and pedestrian sys- planning director has five working days either to ac- tems, as well as general increases in housing densi- cept the inventory and plan or to request further in- ties wherever possible throughout the region and formation. After acceptance, the director has 15 including fair shares of affordable housing in all ju- working days to approve or to reject the inventory risdictions. It called for expansion of the region’s and the plan. The decision notice is sent to both the light rail system and more greenspaces inside and applicant and the city engineer. The engineer is then just outside urban areas. required to incorporate these findings into the deci- This was a lengthy and complex process of de- sion on a hydrology study and a mitigation plan veloping regional plan options. In the end, the Port- (City of Tucson 1991). land region adopted its first unified and legally en- In making the review, the planning director con- forceable growth management plan in response to siders several specific standards, including the exist- many difficult challenges. It attempts to preserve el- ing condition of the site; the existing character of ements from the past valued by the region’s resi- vegetation upstream and downstream in the chan- dents and to create a future in ways that all the indi- nel, on the banks, and 50 feet (15 meters) from the vidual jurisdictions could accept and write their banks; the amount, type, and characteristics of the own plans to implement. The plan got off to a good vegetation upstream and downstream of the site; start as voters approved bond measures for light rail linkages to open-space systems; and critical and sen- and greenspaces acquisition in the two years after its sitive wildlife habitat (City of Tucson 1991). adoption. The city engineer must review a required hydrology/hydraulic study and the mitigation plan. The Tucson WASH Ordinance and The engineer has five working days after receiving Environmental Resource Zone the study and the plan to accept them or request more information. After acceptance, the city engi- Tucson, Arizona, has enacted two measures to pro- neer has 20 working days to approve or reject the tect environmentally sensitive areas within its city study and the plan. Notice of the engineer’s decision boundaries. Its watercourse amenities, safety and is provided to the applicant, the planning director, habitat (WASH) ordinance was adopted by city and all property owners within 200 feet (61 meters) council in 1991 and is administered by the city engi- of the site (City of Tucson 1991). neer’s office. The environmental resource zone (ERZ) The city council set specific standards for the is administered by the Tucson planning department. city engineer’s review. These standards address The WASH ordinance includes specific develop- drainage, erosion, flooding, utility lines and road- ment requirements for channels and banks of way improvements, consistency with the regulatory washes. The ordinance prohibits alteration without intent, and whether restoration is possible. The city 408 CHAPTER 11

defined an appeals process as well as possible vari- opment on existing critical habitat. The mitigation ances (City of Tucson 1994). The WASH ordinance plan presents the techniques that will lessen these establishes clear, interrelated responsibilities be- impacts as well as the measures to preserve and to tween two city departments. restore other areas (City of Tucson 1998). The regu- The ERZ is an overlay zone. It also requires coor- lation includes diagrams to illustrate mitigation op- dination between the planning department and the tions (Figures 11.6 and 11.7) city engineer. Encompassing broader geographic Several lessons about program administration areas than the WASH ordinance, the zone intends to can be derived from Portland and Tucson. The met- preserve all of the critical habitat within designated ropolitan Portland example illustrates that adminis- resource corridors. Applicants for projects affected tration must be based on a solid legal foundation. by the ERZ are required to submit their plans to the Furthermore, planning administration relies on a planning department. The staff has five days to ac- competent staff, and administrative activities should cept or reject the application, based on complete- be linked to other steps in the planning process. ness (City of Tucson 1998). Planning administration in Oregon is guided by spe- The owner may be required to submit a mitiga- cific statewide goals. Court cases have further articu- tion plan if all critical riparian habitat on the site is lated plan review and administrative procedures in not preserved. In such cases, the applicant must ex- Oregon. The development of such statewide goals plain why the preservation of all the habitat cannot for land- use planning has occurred relatively re- be preserved. The plan must also document the spe- cently in the United States. When compared to more cific environmental impacts of the proposed devel- conventional planning processes, planning in met-

FIGURE 11.6 City of Tucson environmental resource zone mitigation options. 409 ADMINISTRATION OF PLANNING PROGRAMS

FIGURE 11.7 City of Tucson environmental resource zone riparian crossing.

ropolitan Portland exhibits a greater ability to adjust vegetation, and wildlife habitat of sites. The review to change. A sophisticated planning culture exists in process mandates timely decisions and a substantive Portland. Planning has broad public support. As a consideration of the environmental consequences result plans are administered strictly, but planning of proposed developments. adjusts to changing conditions while always seeking Part of the success of planning in metropolitan to improve environmental quality and enhance eco- Portland and the rest of Oregon is due to the broad nomic opportunities. public understanding of its statewide goal. This is The Tucson example helps to illustrate the im- partially the result of the attention generated by the portance of the staff in planning administration. various referenda and court cases. Another reason Close cooperation between the city engineer and the for the visibility of planning in Oregon is the dedi- planning department is required in Tucson. The cation of key political leaders, such as the charis- Tucson example illustrates a more comprehensive matic former governor, the late Tom McCall. A third use of biophysical information in planning admin- reason is that responsible officials have continually istration as compared with more conventional pro- attempted to explain the law to the citizens of Ore- grams. The WASH ordinance and ERZ require con- gon and to adjust their plans through time. siderable information about the terrain, hydrology,

12 CONCLUSION

From within the planning community, there have been many critics of a normative, rationalist approach to planning. The normative perspective suggests a standard, model, or pattern of conduct for planners. Normative planning is where “planners subject both the ends and means of public policy to rational consideration” (Klosterman 1978, 38). Critics of this rational approach contend that it focuses on problem solving: “Take the problem, break it down into its component parts, and let’s see what we can do about it” (Forester 1982, 61). They argue that “this may serve well for relatively routine, conventional, stable problems—but perhaps not for most planning and policy problems” (Forester 1982, 61). Rationalists believe that “reason, independent of the senses, constitutes a su- perior source of knowledge” (Lai 1988, 19). This belief leads to a model that should be applied a priori to any situation or setting. A rationalist tradition un- derlies the planning profession because of its foundation in the fields of architecture, landscape architecture, engineering, and law. In addition, the very definition of the word planning suggests rationality.

411 412 CHAPTER 12

A sustainable approach to planning also im- The contingency view seeks to understand the inter- plies rationality or, at least, pragmatism. John relationships within and among subsystems as well as Dewey, William James, and other pragmatists between the organization and its environment and recommend that philosophy works best when eter- define patterns of relationships or configurations of nal questions are connected to everyday practice. variables. It emphasizes the multivariate nature of or- How best to live on Earth in a sustainable or, bet- ganizations and attempts to understand how organi- ter yet, regenerative way provides such an eternal zations operate under varying conditions and specific question. circumstances (1979, ix). Herbert Gans was especially critical of the physical bias of planning prior to the 1960s. Yet, Gans es- Human organizations and their interactions poused a rationalist perspective: “Planning must be with each other and their settings are complex. The and can be rational—rationality being achieved postmodern condition would lead some to con- when planners develop plans or programs which clude that humans are doomed to exist in chaos. can be proved to implement the goals that are being Students of chaos, however, have detected that or- sought” (1968, ix). Gans was largely successful in his der exists in apparently chaotic situations (Pri- effort to wean planners from their architectural and gogine and Stengers 1984). Planners face the task of site-planning roots and lay the foundation for a so- making order out of chaos; they must be able to cial rationalist approach. Although Gans believes adapt to changing conditions and to act in a contin- that “planning and social policy must and can be ra- gent manner. Chaos theory emphasizes the com- tional,” he also recognized that goals cannot “be ra- plexity of our planet and its natural and social sys- tional, or rationally selected.... They must reflect tems. Planning and planners should accept the fact values about which people differ—and about which that the world presents a complex array of possibil- they therefore have to argue so as to persuade one ities. Such acceptance is fundamental in the search another or achieve a viable compromise” (Gans for a “new rationality” in planning (Verma 1998). 1993, x). New rationalism is not “independent of the senses”; Lewis Mumford, who was certainly critical of rather, it is based on the need for pragmatism in a the architectural rationalists, was nevertheless an complex world. A. Budoni and S. Macchi observe, advocate of the spatial, physical concepts of plan- “The thought of complexity defines a ‘new ration- ning. He proposed an organic approach to plan- ality’ which negates any correspondence between ning: “Organic planning does not begin with a science and certainty, between probability and ig- preconceived goal: it moves from need to need, norance, and opens the ‘necessary’ world of nature from opportunity to opportunity, in a series of to possibility, to unpredictability, to multiple adaptations that themselves become increasingly choices” (1998, 1). The “necessary world of nature” coherent and purposeful, so that they generate a is physical and biological and social; it is ecological. complex, final design” (1961, 302). In spite of the criticisms made by Herbert Gans Mumford’s organic approach foreshadows a over three decades ago, many planners, or at least in- contingency view. Contingency is the condition of dividuals who hold that title in local and even being subject to chance. The concept of contin- higher levels of government, are faced with situa- gency has been explored by theorists in manage- tions concerning the physical ordering of the built ment, organization behavior, and planning. Ac- and natural environments. Planners must address cording to Fremont Kast and James Rosenzweig, issues concerning the use of land and other natural 413 CONCLUSION

resources. To be effective, they require a repertoire Doug Aberley, “There are perceptions and pro - of approaches that can be applied to a variety of cesses—tools of change—that we don’t have to rein- situations. vent. We simply need to learn how to use, and fur- A revised view of planning is emerging—prag- ther adopt, what others have struggled so hard to matic, yet still optimistic and even visionary, so- create” (1994, 11). cially conscious while engaged in the physical re- While learning from the past, planners should ordering of settlements and the protection of avoid previous pitfalls. Paul Niebanck (1993) identi- natural systems. Timothy Beatley (1994b) advo- fiedaschismbetweenthe“rulemaking”andthe“place cates a new set of principles for ethical land use. making” traditions in environmental planning. One He identifies several key elements of ethical land- tradition is derived from the planningdiscipline’s as- use policy, including “environmental duties.” Beat- sociation with the law as well as the social and natural ley describes these duties as an acknowledgment of sciences.Theothertraditionderivesfromtheenviron- “obligations to protect and conserve the natural mentaldesignartsofarchitectureandlandscapearchi- environment, both for humans and other forms of tecture, although several notable cultural geographers life. Ethical obligations to the environment lie at and historians contribute much to our knowledge of . . . ecosystems, species and organism levels. In places. Ecological planning provides a synthesis that particular, ethical land-use policy acknowledges values both the necessities of rule making and place that Homo sapiens is not the only species on the making. planet and that nonhuman life has inherent worth The model for planning presented here is a cycli- as well” (1994b, 266). cal yet iterative process—identification of issues; es- William Lucy calls for a broader view of plan- tablishment of goals; inventory and analysis of the ning, based on the principle “that the field and the biophysical and sociocultural environments at the profession should nurture healthy people in healthy regional and local levels; detailed studies such as places” (1994, 305). He observes that “the relation- suitability analysis; determination of options; devel- ships between people and place lie at the heart of opment of a plan for the landscape, continued pub- physical design and that is why design should have a lic participation and community education; de- meaningful role in planning” (Lucy 1994, 313). tailed design; implementation; and administration. Michael Neuman (1998a, 1998b) argues for the cen- The process is an elaboration of Patrick Geddes’ trality of two elements associated with design—the plan and plan-making—in the enterprise. The essence of ecological planning and design is what many call sustainability, but clearly we must go beyond merely supporting and holding up what we have now. John Lyle advocated a regenerative approach. He noted, “Regeneration has to do with re- birth of life itself, thus hope for the future” (Lyle 1994, 11). Even the most forward- looking proponents of a new, ecologically based planning acknowledge the necessity to learn from the experience of others (Aberley 1994; Hersperger 1994). According to Central Park, New York City. 414 CHAPTER 12

survey → plan → action, to a more cyclical survey the current residents want to maintain their rural → action → plan → action → survey. Action may way of life. precede a plan and even a survey, but understand- An overriding issue was the rising concern about ing the place and creating a vision remain integral the very nature of suburban sprawl in the Phoenix to the process. A linear approach is inadequate for metropolitan region. The Phoenix, Arizona, metro- most situations—after starting to implement a politan area is a late- twentieth- century place, largely plan, the original goals may change or there may be suburban in character. Its development occurred as new information discovered about the environ- a result of improved automobile and air transporta- ment. A feedback process is necessary to reformu- tion as well as the invention of air-conditioning late and restudy issues. In many cases, this process technology. Large national government subsidies of review may occur repeatedly. As a result, instead for water, highway, and housing development, plus of having a linear planning process, in many cases significant national military investments in the re- one experiences a cyclic form of planning, review- gion, stimulated much growth, especially after the ing previous stages again and again. Second World War. Phoenix had only slightly over Such a cyclical process occurred in the Desert 65,000 residents in 1940; today it is the seventh- View Tri- Villages Area of Arizona, which has been largest city in the United States, with a population of used as an example in several sections of this book. over 1 million. Meanwhile the metropolitan area The Tri-Villages example helps to illustrate how an grew from just over 186,000 people in 1940 to over ecological approach can be integrated into conven- 2.4 million people by 1995. According to City of tional planning processes. The Tri- Villages Area is Phoenix Planning Department data, the region is located in the Sonoran Desert region, which covers adding about 63,000 residents per year, who require much of Arizona, the Mexican states of Sonora, Baja about 23,000 new housing units (Tempe Daily News Nord, and Baja Sur, plus a small part of California. Tribune 1995, A9). The region’s population is ex- The first general plan for the Tri-Villages Area was pected to double by 2020. adopted in 1987, when it was called Peripheral Areas The region is a challenging place to inhabit. C and D by City of Phoenix planners. The Phoenix Frank Lloyd Wright defined the Sonoran Desert as a metropolitan region is one of the most rapidly place “where plants exist between hell and high wa- growing parts of the United States. New develop- ter.” Although challenging to inhabit, the Sonoran ment is progressing at a pace of over an acre (.4047 Desert is the location of one of the fastest-growing hectare) an hour. regions in the United States. People move to this After 1987, several events caused city officials to challenging place because they like it. They enjoy revise and update the general plan for the area. The their backyard swimming pools and barbecues. concern focused on the growth and the impact of They like the perceived safety and access to open that growth on beautiful desert lands. As a result, by space. They enjoy the climate. The price of homes is the early 1990s the Desert View Tri- Villages Area reasonable for lower- and middle-income residents. faced several development-related problems and Phoenix has one of the highest percentages of home opportunities. The problems included how to pro- ownership of any major city in the nation. If wide- tect environmentally sensitive areas and where to lo- spread property ownership is a route to both per- cate new development. Every five years, there is a sonal freedom and democratic government, as John demand for 5000 new homes in the Tri-Villages— Locke and Thomas Jefferson believed, then the which, with current development patterns, will con- Phoenix region is the embodiment of the American sume 2000 acres (810 hectares) of land. Meanwhile, dream (or perhaps the American nightmare). As 415 CONCLUSION

Herbert Gans illustrated in his classic 1967 study of ducted, but these raised more questions and dem- Levittown, Americans like suburban life. But subur- onstrated gaps in the knowledge about the ecology ban development poses many challenges for land- of the Desert View Tri-Villages Area and the Sono- scape planning, such as the loss of environmentally ran Desert in general. sensitive areas, prime farmlands, and wonderful Very early in the process, strong political sup- views as well as rising fiscal and energy costs and port developed for protecting large areas of desert in worsening air quality. the Tri-Villages. But what areas should be protected? As a result of these problems and opportunities, The Phoenix Parks, Recreation, and Library Depart- Phoenix city planners decided to revise the general ment (PRLD) funded a detailed study of the Cave plan for the area and with the village planning com- Creek Wash, headed by ASU landscape architecture mittee set some preliminary goals. Current desert professors Rebecca Fish Ewan and Joe Ewan (Ewan rural ways of living should be maintained. Property et al. 1996), to answer this question. Their research rights should be protected. Fragile deserts should be contributed to the proposed protection of a signifi- preserved. New growth should be accommodated in cant portion of the Cave Creek Wash drainage way. the most suitable places. The work was so compelling that the PRLD decided The city planners turned to the Arizona State to fund additional studies of other major washes in University School of Planning and Landscape Ar- the area, also headed by Fish Ewan and Ewan (Ewan chitecture for help with understanding the ecology et al. 1998). These studies indicated a paucity of of the area. In addition to environmental planners knowledge about wildlife along the washes. As a re- and landscape architects, an environmental result, the PRLD funded research directed by ASU en- source program had been recently added to the vironmental scientist professor Bill Miller to study school. This program included faculty and students wildlife habitats. with expertise in plant and wildlife ecology, soils sci- The student inventories, suitability analyses, and ence, GIS, and remote sensing. An informal techni- other research had provided a good beginning, but a cal working group was formed in 1994. The North richer database was needed. As a result, the PRLD Sonoran Collaborative consists of environmental supported the development of a GIS database for scientists, planners, landscape architects, and archi- the Desert View Tri- Villages Area (Brady et al. 1998). tects from ASU, the City of Phoenix, consulting Also used as an example in Chapters 3 and 5, this ef- companies, and the State of Arizona. Initially, the fort was headed by ASU environmental scientist collaborative met monthly for two years and more professor Ward Brady and involved GIS specialists sporadically since to discuss the environment of the Jana Fry and Mike Collins, among others. Desert View Tri-Villages Area and to speculate Meanwhile, the North Sonoran Collaborative about the future. As a result of the collaboration, developed four character concepts—desert preser- several ASU student projects were undertaken that vation, rural desert, suburban desert, and growth— studied the landscape ecology of the area and possi- that would later serve as the organizational elements ble environmental impacts of its development. for the formation of four teams in a 1995 charrette These studies provided much of the ground- organized by ASU and the City of Phoenix. This work for the examples described in Chapters 3, 4, charrette, discussed in Chapter 6, helped to refine and 5. However, planning is seldom as neat and lin- concepts and visions for the area. The process led to ear as chapters in a book. The process is, and was in general plan revisions for the eastern portion of the this case, more iterative. Initial, large-scale ecologi- Tri-Villages (adopted in 1996), the Interstate 17 cal inventories and suitability analyses were con- corridor in the west (proposed in 1998), and the 416 CHAPTER 12

Sonoran Preserve concentrated in the center but in- tricts, which, if adopted by the city, will influence cluding sites throughout the area (adopted in 1998). new development. (See Chapter 7 for discussion of these plans.) The Desert View Tri-Villages Area process is Throughout the process, public involvement and continuing, like many other plans introduced in this education were extensive and ongoing. The village book. The Tri- Villages undertaking is relatively re- planning committee, the Sonoran Preserve Advisory cent, and the author is intimately involved. As a re- Committee, and the planning and parks commis- sult, an objective assessment of the process is impos- sions were especially active. Techniques such as those sible at present, although much hope exists. Some of introduced in Chapter 8 were employed. In addition the more established efforts introduced here have to utilizing the charrette process, the planners orga- yielded impressive results. The successes of Oregon’s nized workshops and hearings, conducted surveys, statewide planning law and the associated renais- and disseminated information. The local press gave sance of Portland are well documented (see, among prominent coverage to many of these activities. many sources, Kellington 1998). The Pinelands plan In spite of considerable discussion and promis- has also contributed much to its region (Platt 1996). ing ideas introduced at the 1995 charrette, design vi- As Robert Yaro and Tony Hiss report, sions still need greater resolution. The Phoenix De- sign Review Committee revised its housing design . . . in comparison to surrounding southern New Jer- review standards somewhat, but these changes will sey, residential land values in The Pinelands have in- have little significant impact on how new neighbor- creased by 10 percent. The success of this integrated hoods look. Arizona State University, in conjunction conservation and development program has resulted with its EPA Sustainable Development grant, con- in broad public support for The Pinelands Commis- ducted neighborhood design charrettes in 1997 and sion. In a 1994 poll, 79 percent of the New Jersey resi- 1998, but here, too, much of the subsequent devel- dents favored continued protection for The Pinelands opment in the area looks the same (although it has landscape (1996, 90–91). been directed away from the most sensitive areas). The Desert View Tri- Village Planning Committee Landowners, many of whom are middle- and has recommended Desert Character Overlay Dis- lower-income individuals, have seen their property

Landscape in the San Pedro River Watershed, southern Arizona (USA) and northern Sonora (Mexico). 417 CONCLUSION

values increase in the Pinelands. This fact illustrates authors [or planners and designers]. It will be an that environmental protection need not negatively unavoidable feature of postmodern society” (1993, impact property rights and, indeed, can enhance 5). The method presented here is not suggested as a them. Meanwhile, the New Jersey Pinelands Com- rigid, lockstep approach that is appropriate for mission has made allocation for affordable housing every situation, but rather a flexible, iterative opportunities, ensuring access to a broad range of method that can be used when a group of people people. identify an issue or set of issues. The method is a As the previous quote illustrates, the Regional framework for problem solving. As the feedback ar- Plan Association planners sought to learn from the rows in Figure 1.1 indicate, there are many steps in work of others, those in the Pinelands as well as the process where it may be adjusted or modified. from Portland and other places. Bob Yaro and his Certainly, the steps may be reordered or skipped en- Regional Plan Association colleagues also brought tirely depending on the situation. For instance, in experience gained from other places, such as the some cases it may be appropriate to conduct inven- Connecticut River Valley. Planning remains funda- tories and analyses (Steps 3 and 4) before establish- mentally an art, built from experience, applied to ing goals (Step 2). In Mumford’s words, the method the specifics of the place. represents “a series of adaptations.” The method described in this book reflects a The issue or set of issues may be viewed as symp- middle-ground approach to landscape planning toms of the problems and opportunities facing the that is somewhere between a purely organic and a planning area. In order to prescribe an appropriate truly rational one. Ecology is central to the method, intervention, the landscape planner then may make as it should be for our future. As Lynton Caldwell a diagnosis about the situation based on an under- and Kristin Shrader- Frechette note, “Ecological lit- standing of the nature of the place. eracy has not always been characteristic of modern

APPENDIX A

Comprehensive Vegetation Example List Ephedra trifuca Mormon tea (For Phoenix North Area) Gutierrezia sarothrae Snakeweed (Source: From Ewan et al. 1998) Hymenoclea salsola Burro brush Krameri agrayi White ratany (Alphabetized by scientific name) Larrea tridentata Creosote bush Lycium andersonii Anderson thornbush Trees Lycium fremontii Fremont thornbush Acacia greggii Catclaw acacia Ziziphus obtusifolia Graythorn Celtis pallida Desert hackberry Cercidium floridum Blue palo verde Cacti Cercidium microphyllum Foothill palo verde Carnegiea gigantea Saguaro Little leaf palo verde Echinocereus engelmannii Hedgehog cactus Olneya tesota Ironwood Ferocactus acanthodes Barrel cactus Prosopis velutina Mesquite Mammilaria microcarpa Fishhook cactus Pincushion cactus Shrubs Opuntia acanthocarpa Buckthorn cholla Ambrosia ambrosioides Bursage Opuntia arbuscula Pencil cholla Ambrosia artemisifolia Common ragweed Opuntia bigelovii Teddy bear cholla Ambrosia deltoidea Triangle-leaf bursage Opuntia fulgida Chain fruit cholla Ambrosia eriocentra Wooly bursage Jumping cholla Baccharis salicifolia Seep willow Opuntia imbricata Tree cholla Baccharis sarothroides Desert broom Opuntia leptocaulis Desert Christmas Bebbia juncea Sweet bush cactus Calliandra eriophylla Fairy duster Opuntia phaeacantha Prickly pear cactus Cassia artemisioides Feathery or Silvery cassia Forbs Chrysothamnus sp. Rabbit brush Acourtia wrightii Brownfoot Encelia farinosa Brittlebush Amaranthus blitoides Prostrate pigweed

419 420 APPENDIX A

Amsinckia intermedia Fiddleneck Malva neglecta Common mallow Astragalus nutallianus Nutall locoweed Malva parviflora Mallow Boerhaavia diffusa Spiderling Medicago polycarpa Burclover Bowlesia incana Hairy bowlesia Melilotus officinalis Yellow sweetclover Brickellia coulteri Brickell bush Melilotus sp. Clover Camissonia californica Mustard evening Microseris linearifolia Silver puffs primrose Monolepis nutalliawa Poverty weed Capsella bursa-pastoris Shepherd’s purse Oenothera primiveris Evening primrose Cassia covesii Desert senna Orthocarpus purpurascens Owl clover Centaurea solstitialis Yellow starthistle Pectocarya recurvata Arch-nutted comb Chaenactis stevioides Esteve’s pincushion Phacelia distans Wild heliotrope Chenopodium sp. Lamb’s-quarter Porophyllum gracile Odora Chorizanthe brevicornu Brittle spine flower Polygonum aviculare Prostrate knotweed Chorizanthe rigida Rigid spiny herb Pterostegia drymarioides ncn Clematis drummondii Virgin’s bower Rafinesquia neomexicana Desert chicory Daucus pusillus Wild carrot Salsola iberica Russian thistle Descurainia pinnata Yellow tansy mustard Tumbleweed Dichelostemma pullchellum Blue dick Salvia columbariae Chia Erigeron divergens Spreading fleabane Silene antirrhina Sleepy catchfly Eriogonum deflexum Buckwheat, Skeleton Sisymbrium altissimun Tumble mustard weed Sisymbrium irio Yellow rocket Eriogonum inflatum Desert trumpet Sphaeralcea ambigua Desert globe mallow Eriophyllum lanosum Wooly daisy Sonchrus oleraceus Annual sowthistle Erodium cicutarium Filaree Trixis californica Trixis Erodium texanum Texas filaree Eschscholtzia californica Mexican poppy Grasses Eucrypta micrantha Small-flowered Aristida purpurea Purple threeawn eucrypta Avena barbata Oats Euphorbia albomarginata Rattlesnake weed Bromus catharticus Rescue grass Euphorbia sp. Spurge Bromus rubens Redbrome Funastriium hirtellum Rambling milkweed Cynodon dactylon Bermuda grass Galium stellatum Bedstraw Erioneuron pulchellum Fluff grass Herniaria cinerea Burstwort Hilaria mutica Tobosa Janusia gracilis Slender janusia Hordeum arizonicum Arizona barley Lactuca serriola Prickly lettuce Lepidium densiflorum Pepperweed Lashtenia chrysostoma Goldfields Phalaris caroliniana Carolina canary grass Lesquerella gordonii Gordon’s bladderpod Poa bigelovii Bigelow bluegrass Linanthus demissus White starflower Vulpia octoflora Six weeks fescue lianthus Schismus barbatus Mediterranean grass Lotus humistratus Hill lotus Lotus tomentellus Hairy lotus Lupinus concinnus Lupine APPENDIX B

List of Participants, Sonoran North Charrette Team: Desert Land-Use Character Charrette, Preservation Character September 22–24, 1995 CORE TEAM MEMBERS: Participants were divided into four charrette teams. Ward Brady, ASU School of Planning and Land- Each group included core team members and com- scape Architecture munity resource people. Charrette facilitators Edward Cook, ASU School of Planning and Land- worked with all four teams. The participants are scape Architecture listed below. Joe Ewan, ASU School of Planning and Landscape CHARRETTE ORGANIZERS: Architecture Jim McCarthy, Arizona State University School of Planning and Landscape Architecture Jack Gilcrest, THK Associates, Inc. (a private planning and design company) Lizi McGeorge, ASU School of Planning and Land- scape Architecture Jim Haklik, ASU School of Planning and Landscape Architecture Frederick Steiner, ASU School of Planning and Landscape Architecture Mary Kihl, ASU Herberger Center for Design Excel- lence, College of Architecture and Environmental CHARRETTE FACILITATORS: Design Laurel Kimball, ASU College of Architecture and Environmental Design Tom McMahon, Arizona Game and Fish Depart- ment Ray Quay, City of Phoenix Planning Department Jolene Ostler, City of Phoenix Planning Department ILLUSTRATORS AND ARTISTS: Jesse Drake, Arizona Land Use Planners and Case Tom Strich, Artist and Sculptor Maker Exhibits Randy Weaver, City of Phoenix Planning Depart- Tom Strich, Artist and Sculptor ment

421 422 APPENDIX B

COMMUNITY RESOURCES: Charrette Team: Suburban Desert Character

Bob Bacon, RJ Bacon and Associates (development CORE TEAM MEMBERS: company) Kirsten Barré, Design Workshop, Inc. (a private Christopher Estes, Sonoran North, Desert View Tri- planning and design company) Villages Planning Committee Dean Brennan, City of Phoenix Planning Depart- Stephen Jones, Desert Foothills Land Trust ment Tom Lazzelle, Sierra Club Doug Green, ASU School of Planning and Land- scape Architecture Ralph Rooke, private citizen Susanne Rothwell, private citizen John Jennings, Design Workshop, Inc. (a private planning and design company) Don Steuter, Sierra Club Jim McCarthy, ASU School of Planning and Land- scape Architecture Charrette Team: Rural Desert Character Laurel McSherry, ASU School of Planning and CORE TEAM MEMBERS: Landscape Architecture Duane Blossom, The Planning Center (a private planning and design company) Mark Soden, Design Workshop, Inc. (a private planning and design company) Rebecca Fish Ewan, ASU School of Planning and Landscape Architecture Catherine Spellman, ASU School of Architecture Lizi McGeorge, ASU School of Planning and Land- Frederick Steiner, ASU School of Planning and scape Architecture Landscape Architecture John Meunier, ASU College of Architecture and En- Joe Yarchin, Arizona Game and Fish Department vironmental Design David Pijawka, ASU Center for Environmental COMMUNITY RESOURCES: Studies and School of Planning and Landscape Ar- Matthew Brady, Desert View Tri-Villages Planning chitecture Committee Christy Ten Eyck, Floor and Ten Eyck (a private Richard Corton, private citizen landscape architecture firm) John Miller, Los Arroyos (a development company) Gary Whysong, ASU School of Planning and Land- Len Pritchard, PK Development (a development scape Architecture company) Al Zelinka, City of Phoenix Planning Department

COMMUNITY RESOURCES: Charrette Team: Growth Character Dan Abrams, Abrams Realty and Management CORE TEAM MEMBERS: Jean Anderson, private citizen Ann Bonnette, Goucher College, Towson, Maryland Faith Sussman, Desert View Tri-Villages Planning John Brock, ASU School of Planning and Landscape Committee Architecture 423 APPENDIX B

Tim Campbell, BRW (a private planning and design Lionel March, University of California at Los Ange- company) les, School of Arts and Architecture Michael Dollin, Urban Earth Design (a private plan- Jim Mathien, City of Phoenix Planning Department ning and design company) and ASU Joint Urban John McNamara, BRW (a private planning and de- Design Program sign company) Subhrajit Guhathakurta, ASU School of Planning and Landscape Architecture COMMUNITY RESOURCES: Curt Nelson, Continental Homes Dave Longey, private consultant in landscape architecture and planning Price Nosky, Sunbelt Holdings

GLOSSARY

The glossary was compiled from many sources. For the newable terms. Enrollment is voluntary; landowners re- second edition the following publications were especially ceive a variety of benefits that may include eligibility for helpful: differential assessment, limits on annexation and eminent domain, protection against unreasonable government reg- American Farmland Trust. 1997. Saving American farmland: ulation and private nuisance lawsuits, and eligibility for what works. Northampton, Massachusetts: American purchase of agricultural conservation easement programs. Farmland Trust. Agricultural districts are also known as agricultural pre- Daniels, Tom, and Deborah Bowers. 1997. Holding our serves, agricultural security areas, agricultural preserva- ground: protecting America’s farms and farmland. Washing- tion districts, agricultural areas, agricultural incentive ton, D.C.: Island Press. areas, agricultural development areas, and agricultural Pease, James R., and Robert E. Coughlin. 1996. Land evalua- protection areas. tion and site assessment: a guidebook for rating agricultural agricultural lands Places used for crop or animal produc- lands (2nd ed.). Ankeny, Iowa: Soil and Water Conserva- tion or for silviculture. tion Society. agricultural zoning A zoning ordinance or zoning district Duerksen, Christopher J., Donald L. Elliott, N. Thompson designed to protect farmland from incompatible nonfarm Hobbs, Erin Johnson, and James R. Miller. 1997. Habitat uses. There are several types of agricultural zoning, which protection planning: where the wild things are. Chicago, Illi- vary according to (1) the uses allowed in the zone (i.e., ex- nois: American Planning Association. clusive or nonexclusive farm use); (2) the minimum farm abiotic Those aspects dealing with nonliving matter. size allowed, such as a 50-acre (20.2-hectare) minimum adaptation A genetically determined characteristic that lot size; (3) the number of nonfarm dwellings allowed, enhances the ability of an organism to better adjust to its such as one building lot per 25 acres (10.1 hectares); and surroundings. (4) the size of setbacks or buffer areas between farms and adiabatic lapse rate A variation in temperature of a parcel nonfarm properties. of air up or down a change in elevation. This does not take air mass A widespread body of air that gains certain char- into account exchanges of heat between the air parcel and acteristics while set in one location. The characteristics the environment. change as it moves away. administration Execution of an organizational policy to air parcel A space of air over a certain area of land. reach predetermined objectives. air pollution areas Places that require restraints on air pol- advection The transfer of an atmospheric property due to lution emissions due to periods of poor vertical air mixing mass air motion along a gradient of the property in ques- and the subsequent entrapment of polluting substances. tion; the horizontal spreading of local effects by wind. albedo Reflected solar radiation factor. agricultural district A legally recognized geographic area alluvium The soil material deposited by running water. formed by one or more landowners and approved by one analysis The examination of individual parts to find out or more government agencies, designed to keep land in their nature, function, and interrelationship with other agriculture. Agricultural districts are created for fixed, re- parts.

425 426 GLOSSARY

annexation The incorporation of land into an existing wildlife, the maximum number of animals an area can community that results in a change in the community’s support during a given period of the year. (3) In recre- boundary. Annexation generally refers to the inclusion of ation, the amount of use a recreation area can sustain newly incorporated land but can also involve the transfer without deterioration of its quality. of land from one municipality to another. circuit breaker tax relief A tax abatement program that aquifer A water- bearing layer of permeable rock, sand, or permits eligible landowners to take some or all of the gravel. property tax they pay on farmland and farm buildings as a aspect Orientation toward some direction. credit to offset their state income tax. Generally, farmers basalt A hard, fine- grained igneous rock caused by volcan- are eligible for a credit when property taxes exceed a set ism. percentage of their income. base map A reproducible map used to display various citizen participation The involvement of the public in the types of information. planning process. biodiversity (biological diversity) The variety and abun- citizens’ advisory committee (CAC) A group of citizens dance of all life-forms considered at all levels of organiza- called together by an agency to represent the ideas and at- tion, from the genetic level through the species and higher titudes of their community in advising and giving consul- levels of taxonomic organization, and including the vari- tation to the agency. ety of habitats, communities, landscapes, and ecosystems. clay Soil particles smaller than 0.002 millimeters in biogeochemical cycles Mineral and nutrient cycles that are diameter. important to the biological community. climate The set of meteorological conditions characteristic biological Those aspects dealing with living matter. of an area over a given length of time. biomass The amount of living matter in a given unit of the cluster development Grouping houses on part of a prop- environment. erty while maintaining a large amount of open space on biophysical Biological and physical factors. the remaining land. Cluster development should be seen biosphere The portion of earth and its atmosphere that as an open-space protection tool rather than a farmland can support life. protection tool. biota All living organisms that exist in an area. cognitive mapping A process by which people acquire, biotic community An assemblage of plants and animals code, store, recall, and decode information about the rela- living in the same community, forming a system that is tive locations and attributes of phenomena in the every- mutually sustaining and interdependent and influenced day spatial environment. by the abiotic factors of the ecosystem. A biotic commu- cohort-survival method A popular method for making nity is generally characterized by the dominant vegetation. population projections based on fertility, mortality, and board of adjustment An independent board created to net migration. handle conditional uses, variances, and special applica- community (1) In sociology, a variety of physical and so- tions of regulations established by a zoning ordinance and cial areas and institutions within which and with which to hear and act on appeals. people live. (2) In ecology, an association of interacting building code The legal requirements pertaining to the populations, usually determined by their interactions or building of structures. by spatial occurrence. canopy layer The uppermost layer of forest vegetation. compensating wind Wind originating above plains and capability An evaluation based on a resource’s inherent, flowing toward nearby mountains along a pressure gradi- natural, or intrinsic ability to provide for use and includes ent. that existing ability that is the result of past alterations or competition The use or defense of a resource by one indi- current management practices. Often capability is used in- vidual that reduces the availability of that resource to terchangeably with suitability. other individuals. capability class An evaluation made by the U.S. Natural comprehensive plan A document setting forth official gov- Resources Conservation Service concerning the agricul- ernmental policy for the long-term future development of tural management of a soil type. an area that considers all major determinants of growth capital improvement programming (CIP) The multiyear and change—economic, political, social, and biophysical. scheduling of public physical improvements. The schedul- comprehensive planning A process for coordinating and ing is based on studies of fiscal resources available and the establishing the policies set forth in a comprehensive plan. choice of specific improvements to be constructed for a conditional use A permitted use allowed in zoning ordi- period of five or six years in the future. nances that requires review by a board of adjustment or carnivores Organisms that feed on animal tissue. similar review agency. carrying capacity (1) In ecology, the number of individu- conifer A cone-bearing plant whose needles remain on the als that the resources of a habitat can support. (2) In tree all year. 427 GLOSSARY

conservation The management of human use of the detrivores Animals that obtain energy from decaying plant biosphere to yield the greatest sustainable benefit to and animal matter. present generations while maintaining its potential to development The modification of the biosphere and the meet the needs and aspirations of future generations. application of human, financial, living, and nonliving re- conservation easement A nonpossessory interest of a sources to satisfy human needs and improve the quality of holder in real property imposing limitations or affirmative human life. obligations the purposes of which include retaining or development rights Development rights entitle property protecting natural, scenic, or open- space values of real owners to develop land in accordance with local land-use property, assuring its availability for agricultural, forest, regulations. These rights may be sold to public agencies recreational, or open- space use, protecting natural re- or qualified nonprofit organizations. Sale of develop- sources, maintaining or enhancing air or water quality, or ment rights to a government agency or land trust generally preserving the historical, architectural, archaeological, or does not pass any affirmative interest in the prop- cultural aspects of real property. Most are permanent; erty. Rather than the right to develop the land, the buyer term easements impose restrictions for a limited number acquires the responsibility to enforce the negative cov- of years. enants or restrictions stipulated in the development rights corn suitability rating (CSR) A numerical system for rat- agreement. ing the productivity of farmland, used primarily in Iowa. differential assessment An agricultural property tax relief critical areas Places significantly affected by, or having an program that allows eligible farmland to be assessed at its effect on, an existing or proposed major facility or other value for agriculture rather than its fair market value, which areas of major public investment; or containing or having reflects “highest and best” use. The tax takes three different a significant impact on historical, natural, or environmen- forms: preferential assessment, deferred taxation, and re- tal resources of regional or statewide importance. strictive agreements. This approach is also known as cropland Land regularly used for production of crops, current-use assessment, current-use valuation, farm-use except forestland and rangeland, including permanent valuation, and use assessment. pasture. dike Hardened lava extending in a direction other than cross section A graphic tool that illustrates a vertical sec- that of the flow. Also, earthen elevated barrier erected to tion of land. prevent land from uncontrolled flooding. cumulative impact assessment A comprehensive planning dominant species A species that has a controlling influence process whereby the rate or total amount of development on the local environment. is managed to stay below prestated threshold levels and is downzoning A change in the zoning for a particular area halted when such thresholds are reached. that results in lower residential densities. For example, a deadwater Unflowing stream or river water. change from a zoning ordinance that requires 10 acres decomposers Organisms responsible for breaking down (4.05 hectares) per dwelling to an ordinance that requires matter. 40 acres (16.2 hectares) per dwelling is a downzoning. deferred taxation A form of differential assessment that drainage basin A part of the earth’s surface that is occupied permits eligible land to be assessed at its value for agricul- by a drainage system, which consists of a surface stream or ture. Taxes are based on how much money the land could a body of impounded surface water together with all trib- produce in crops or livestock, instead of its speculative utary surface streams and bodies of impounded surface value for development. Deferred taxation is similar to water. preferential assessment, but landowners must pay some or drainage class The relative terms used to describe natural all of the taxes that were excused if they later convert land drainage as follows: to ineligible uses. Rollback taxes assess the difference be- Excessive: Commonly very porous and rapidly permeable tween taxes paid under differential assessment and taxes soils that have low water-holding capacity. that would have been due if the land was assessed at fair Somewhat excessive: Very permeable soils that are free market value. from mottling throughout their profile. Delphi A method for systematically developing and ex- Good: Well-drained soils that are nearly free of mottling pressing the views of a panel of experts. and are commonly of intermediate texture. design guidelines Local ordinances that establish stan- Moderately good: Moderately well-drained soils that dards for architecture and landscape architecture features commonly have a slow permeable layer in or immedi- of new development. ately beneath the solum. They have uniform color in detritus Freshly dead or partially decomposed organic the surface layers and upper subsoil and mottling in matter. the lower subsoils and substrata. detritus-feeding animals Animals that ingest and break Somewhat poor: Soils wet for significant periods but not down fragments of organic matter. all the time. They commonly have a slowly permeable 428 GLOSSARY

layer in the profile, a high water table, additions in the system’s performance or an adaptive change in the through seepage, or a combination of these conditions. system’s structure or both. Poor: Soils wet for long periods of time. They are light eolian soils Soils deposited by the wind. gray and generally are mottled from the surface down- erosion The process of diminishing the land by degrees by ward, although mottling may be absent or nearly so in running water, wind, ice, or other geological agents. some soils. erosion, bank The destruction of land areas by active cut- drainage wind A wind flowing from a higher elevation to a ting of stream banks. lower elevation. erosion, beach The retrogression of the shoreline of large duplex A detached structure containing two dwelling lakes and coastal waters caused by wave action, shore cur- units. rents, or natural causes other than subsidence. dwelling unit An independent living space within a struc- erosion, gully The widening, deepening, and headcutting ture designed and intended for occupancy by not more of small channels and waterways due to erosion. than one family and having its own housekeeping and erosion, rill The removal of soil by running water with for- kitchen facilities. mation of shallow channels that can be smoothed out easement The purchase of partial rights in a piece of land. completely by normal cultivation. ecologically critical areas Places containing one or more erosion, sheet The removal of a fairly uniform layer of soil significant natural resources that could be degraded or materials from the land surface by the action of rainfall or lost as a result of uncontrolled or incompatible and runoff water. development. estuary A semienclosed coastal body of water that has a ecological planning The application of ecological knowl- free connection with the open sea; it is thus strongly af- edge to community, regional, and resource planning. fected by tidal action, and within it seawater is mixed (and ecology The reciprocal relationship of living things to one usually measurably diluted) with fresh water from land another and to their physical and biological environment. drainage. economic Of or having to do with the management of the evaporation The loss of water to the atmosphere from the income and expenditures of a household, business, com- surface of a soil or a body of water. munity, or government. evapotranspiration The sum of evaporation and transpi- economic multiplier The numerical relationship between an ration during a specific time period. originalchangeineconomicactivityandtheultimatechange exotics Plants or animals introduced into a community in activity that results as the money is spent and respent that are not normally constituents of that community. through various sectors of the economy. factor The term used to label a group of attributes, such as ecosystem The interacting system of a biological commu- soil potential, size, compatibility, or scenic quality. nity and its nonliving surroundings. factor rating The number of points assigned to a factor, ecotone Transitional areas between two ecological com- before weighting. munities, generally of greater richness than either of the factor scale The way points are assigned to a factor. communities it separates. fault A fracture line along which movements have oc- elevation The height of land (in feet or meters) above sea curred, causing the geologic units on either side to be mis- level. matched. energy That which does or is capable of doing work. fauna Animal life. environment The sum of all external influences that affect fee simple A form of land ownership that includes all the life, development, and survival of an organism. property rights, including the right to develop the land. environmental impact statement (EIS) A document re- fire hazard areas Places identified by the U.S. Forest Ser- quired of federal agencies by the National Environmental vice and state wildfire management agencies as being par- Policy Act for major projects or legislative proposals. It ticularly susceptible to forest fires. is used in making decisions about the positive and neg- first- order stream See stream orders. ative effects of the undertaking and lists alternatives. flooding The general and temporary condition of par- Some states and several other nations also require impact tial or complete inundation of normal dryland areas statements. from the overflow of streams, rivers, and other inland environmentally sensitive areas Places vulnerable to nega- water or from abnormally high tidal water resulting from tive environmental impacts, such as unstable soils, steep severe storms, hurricanes, or tsunamis. Also, any rela- slopes, floodplains, wetlands, and certain plant and animal tively high stream flow overtopping the natural or arti- habitats. ficial banks in any reach of a stream, or a relatively high environmental thresholds The level beyond which addi- flow as measured by either gauge height or discharge tional stress to an ecosystem results in a marked decrease quantity. 429 GLOSSARY

floodplain The area of land adjoining a body of water that nity expressed in terms of a desired state or process that has been or may be covered by floodwater. operating programs are designed to achieve. flood- prone areas Places identified on the basis of the fre- grass Plant species with narrow leaves and jointed stems. quency of flooding. greenbelt An area of protected open space around a city or floodway The channel of a river or other watercourse and town, or an area that separates two built-up places. the adjacent land areas required to carry and discharge a ground cover Plants grown to keep soil from eroding. flood of a given magnitude. groundwater Water that fills all the unblocked pores of flora Plant life. material lying beneath the water table. fog Suspended liquid particles formed by condensation of groundwater recharge areas Areas where additions are vapor. made to an aquifer by infiltration of water through the food chain The interconnected feeding relationships of land surface. various species that transfer energy from an initial source group dynamics A generic term classifying a variety of in- through a series of organisms. terpersonal techniques used to foster group interaction forb Herbs other than true grasses, sedges, and rushes and and achievement of group goals and problem-solving tech- nongrasslike plants having little or no woody material. niques designed to clarify substantive issues. forestland Land that is at least 10 percent stocked by trees growth management The use of regulations and incentives of any size, and land from which the trees have been re- to influence the rate, timing, location, density, type, and moved to less than 10 percent stocking but that has not style of development in the community. been developed for other use. habitat The sum of environmental conditions in a specific fragmentation The breaking up of continuous areas of place that is occupied by an organism, population, or habitat into smaller parcels. For example, a forest be- community. comes fragmented when sections are cleared for agricul- hedgerow A group or row of trees and shrubs separating ture or when trees are cleared to build roads. two grassy areas. frost pocket A hollow in the topography into which cold herb Any flowering plant that does not develop a persistent air will flow, thereby lowering temperatures in the bottom woody stem above ground, including forbs, grasses, and of the hollow. grasslike plants. geographic information system (GIS) A method of stor- herbicide A chemical that controls or destroys undesirable ing geographic information on computers to create a plants. map or a series of maps. Geographic information can be herbivores Primary consumers or animals that obtain en- obtained from a variety of sources, including topo- ergy from plants. graphical maps, soil maps, aerial and satellite photo- historic, archaeological, and cultural areas Sites important graphs, and remote sensing technology. This informa- to the heritage of the community, region, state, or nation. tion can then be used to create special maps for human ecology The interdisciplinary study of human- recordkeeping and decision-making purposes. GIS may ecosystem relationships. be used to maintain maps of protected land or make de- humus The semistable fraction of the soil organic matter cisions about which farmland to protect. remaining after the major portion of added plant and ani- geologic map A graphic representation of the rock units mal residues has decomposed, usually dark-colored. and geologic features that are exposed on the surface of hydrograph A graph showing the volume of water that the earth. passes a point of a stream over a certain period of time. geological hazard areas Places characterized by a high fre- hydrologic cycle A recurring series of events involving the quency of earthquake shaking, landslides, fault displace- circulation of water through the environment. The cycle ments, volcanic activity, subsidence, or severe erosion. includes precipitation, storage, and evaporation. geology The science dealing with the study of rocks, often hydrology The science dealing with the study of ground- in an attempt to learn more about the history of the earth. water and surface water and the changes that occur during geomorphology The science dealing with the interpreta- the hydrologic cycle. tion of the relief features of the surface of the earth. impact fees A growth management technique that requires givings The adding to the value of private property a developer to pay for public services necessary for new ur- through a government action or actions. Givings include ban development. public investments, outright subsidies, tax breaks, and indicator species A species (either plant or animal) gener- even regulations that give some land uses a competitive ally limited to a particular environment so that its pres- edge over others. ence will usually indicate that environment or life zone. goal A concise statement of a community or organization’s infiltration rate The rate of speed at which water flows into central aspirations in addressing a problem or an opportu- soil through small pores. 430 GLOSSARY

insolation Incoming solar radiation that is absorbed by the life zone A biotic region with a distinctive flora and fauna. land, largely dependent on land-forms and wind direction. The region is based on climatic conditions, elevation, and intrinsic suitability The inherent capability of an area to other natural factors. support a particular land use with the least detriment to limestone A metamorphic rock formed from organic re- the economy and the environment. mains. introduced species A species brought into an area by peo- limnology The study of the physical, chemical, meteoro- ple; one that is not a native. logical, and biological aspects of fresh water. inventory The gathering of data for future use. loam A soil mixture of sand, clay, and silt. inversion An atmospheric condition caused by a layer of loess Predominately silt- sized particles that have been warm air preventing the rise of cool air trapped beneath it. transported and deposited by the wind. land evaluation and site assessment (LESA) A numerical lot A parcel of land under one ownership, used or capable system that measures the quality of farmland. It is gener- of being used under the subdivision regulations of a zon- ally used to select tracts of land to be protected or devel- ing ordinance, including both the building site and all re- oped. quired yards and open spaces. land trust A private, nonprofit conservation organization matrix A graphic tool that plots two groups of interdepen- formed to protect natural resources such as productive dent factors against each other (one in rows and one in farm and forest land, natural areas, historic structures, and columns) to help illustrate their relationships. recreational areas. Land trusts purchase and accept dona- meandering stream A stream that follows many S-shaped tions of conservation easements. They educate the public curves. about the need to conserve land, and some provide land metamorphic rock A previously igneous or sedimentary use and estate planning services to local governments and rock that was exposed to conditions that entirely altered individual citizens. its original condition. landscape All the natural and cultural features such as set- metropolitan statistical area (MSA) Following the 1980 tlements, fields, hills, buildings, deserts, forests, and water U.S. Census, the term standard metropolitan statistical bodies that distinguish one part of the surface of the earth area (SMSA) was shortened to metropolitan statistical from another part. Usually a landscape is that portion of area (MSA). If any area has more than 1 million popula- land or territory which the eye can comprehend in a single tion and meets certain other specified requirements, then view, including all its natural and cultural characteristics. it is termed a consolidated metropolitan statistical area landscape architecture The art and science of arranging (CMSA), consisting of major components recognized as land so as to adapt it most conveniently, economically, primary metropolitan statistical areas (PMSAs). In addi- functionally, and gracefully to any of the varied wants of tion there are special New England county metropolitan people. areas (NECMAs) in that region of the United States. landscape ecology A study of the structure, function, and MSAs, PMSAs, and NECMAs are categorized by their change in a heterogeneous land area composed of inter- population size, as follows: acting ecosystems. Level A: Areas of 1 million or more landscape plan A written and graphic documentation of a Level B: Areas of 250,000 to 1 million community’s goals, the strategies to achieve those goals, Level C: Areas of 100,000 to 250,000 and the spatial consequences of the implementation Level D: Areas of less than 100,000 strategies. Metropolitan statistical areas are defined in two ways: a land use The occupation of an area for a particular pur- city of at least 50,000 population or an urbanized area of pose, such as rangeland or industrial areas. at least 50,000 population with a total metropolitan area land- use need A factor that is essential or beneficial for a population of at least 100,000. MSAs are defined in terms particular land use. of whole counties, except in the six New England states land user A person using a land resource who may or may where they are defined in terms of cities and towns. In ad- not own title to that land. dition to the county containing the main city, an MSA also langley A measurement of solar radiation equivalent to includes additional counties having strong economic and one calorie per square centimeter over some increment of social ties to the central county. time. microclimate The climate from the surface of the earth to a leaching The process by which nutrient chemicals or con- height at which the local effects of the earth can no longer taminants are dissolved and carried away by water or are be distinguished from the general climate. moved into a lower layer of soil. migratory animals Animals that periodically pass from life cycle The stages an organism passes through during its one region or climate to another for feeding or breeding existence. purposes. 431 GLOSSARY

mineral extraction areas Places that contain minerals or nutrients Elements or compounds essential to the growth materials of commercial quality and quantity that include, and development of living things: carbon, oxygen, nitro- but are not limited to, sand, gravel, clay, peat, rock, and gen, potassium, and phosphorus. ores. objective A clear and specific statement of planned results mission statement A brief declaration of the purpose for to be achieved within a stated time period. which a unit exists and functions. A mission statement can oceanography The study of the sea in all its physical, help define the purpose of a plan. chemical, geological, and biological aspects. moratoriums The prevention of the issuance of building omnivores Animals that obtain energy from plants and permits until urban service capacity levels are attained or other animals. until plans and ordinances are completed. open space A relatively undeveloped green or wooded area morphology The study of surfaces and forms. provided usually within an urban development to mini- multifamily dwelling A building containing three or more mize the feeling of congested living. dwelling units. organic Referring to or derived from living organisms. In multiple use Harmonious use of land for more than one chemistry, it is any compound containing carbon. purpose, such as grazing of livestock, wildlife production, organic matter Matter derived from living matter. recreation, and timber production. It is not necessarily the organism Any living things. combination that will yield the highest economic return organization development A discipline involved in inter- or greatest unit output. vening in social networks to foster higher levels of cohe- natural ecological areas Places with ecosystem units that sion and effectiveness. are either superlative examples of their type or areas that osmosis The tendency of a fluid to pass through a perme- perform a vital function in maintaining the ecological in- able membrane (such as the wall of a living cell) into a less tegrity and environmental quality of a larger region. concentrated solution so as to equalize concentrations on natural hazard critical areas Places in which incompatible both sides of the membrane. development may result in the loss of life or property or parent material The unconsolidated and chemically both. weathered mineral or organic matter from which soils are natural selection The process of survival of the fittest by developed. which organisms that adapt to their environment survive patch A spatially separate instance of a given type of and those that do not disappear. habitat. natural system The biophysical factors, such as geology, pedology The study of soils. soils, and wildlife. pedon A three-dimensional soil sampling unit from 1 to natural wildlife habitat areas Places essential to the preser- 10 square meters, large enough so the nature of its soil vation of game species or unique, rare, or endangered horizons can be studied and the range of its properties species. identified. neighborhood planning council A locally based organiza- perceptually and culturally critical areas Places containing tion that permits citizen participation in policy decisions one or more significant scenic, recreational, archaeologi- and in planning issues affecting their immediate geo- cal, historical, or cultural resources that could be degraded graphic area. or lost as a result of uncontrolled or incompatible devel- niche An area that provides the necessary elements for the opment. existence of a particular organism. perched water table condition A layer of soil separated nominal-group workshop A citizen- participation tech- above the saturated zone by an impermeable layer. nique based on the concept that people think most cre- percolation The downward movement of water in a soil. atively while working in a group. perennial plant A species of plant that lives longer than 2 nonconforming use Any lawful use of activity involving a years. building or land occupied or in existence at the effective performance standards Criteria that are established and date of a zoning ordinance that does not conform to the must be met before a certain use will be permitted. These principal, accessory, or conditional uses permitted in, or criteria, or standards, may be a set of economic, environ- the density provisions of, the zoning district in which it is mental, or social factors or any combination of these fac- located. tors. non-point- source pollution Caused by residuals carried permeability The rate at which water can move through into streams, lakes, and estuaries by surface water as well as soil. to groundwater zones by infiltration and percolation. pesticide Any substance used to control pests ranging from These pollutants do not result from a direct release from a rats, weeds, and insects to algae and fungi. pipe or channel. pH A measure of the acidity or alkalinity of a material, 432 GLOSSARY

solid, or liquid. pH is represented on a scale of 0 to 14, with primary consumers Herbivores or animals that obtain en- 7 being a neutral state, 0 most acid, and 14 most alkaline. ergy from plants. photogrammetry The art or science of obtaining reliable pristine Pure and untouched. measurements through photography. producers Organisms that can use solar energy to convert phyllite A rock similar in composition to silt and schist. inorganic substances into organic substances. physical In ecological planning, the abiotic elements of the profile A graphic tool that shows a portion of the surface environment, including geology, physiography, soils, hy- of the earth and the features on this portion. drology, and climate. project planning Designing a solution to a specific prob- physiography The science dealing with the study of physi- lem such as a dam, highway, harbor, or a single building or cal features of the land, in particular slope and elevation. group of buildings. planned unit development (PUD) A tract of land that is public hearing An open forum where statements become controlled by one entity and is planned and developed as a part of official records. Public hearings are often required whole, either all at once or in programmed stages. PUDs by law. are developed according to detailed site plans and may in- public opinion poll (preference survey) A means of gath- corporate both residential and commercial land uses. ering information, attitudes, and opinions from a large They generally include improvements such as roads and number of people. utilities. purchase of agricultural conservation easements (PACE) planning The use of scientific, technical, and other orga- PACE programs pay farmers to keep their land available nized knowledge to provide choices for decision making as for agriculture. Landowners sell an agricultural conserva- well as a process for considering and reaching consensus tion easement to a qualified government agency or private on a range of options. conservation organization. Landowners retain full owner- planning commission An appointed citizen body that ad- ship and use of their land for agricultural purposes. PACE vises elected officials on such matters as the comprehen- programs do not give government agencies the right to de- sive plan, zoning ordinances, and subdivision regulations. velop land. Development rights are extinguished in ex- planning, programming, and budget system (PPBS) A change for compensation. PACE is also known as purchase complex annual budget system that involves the linkage of of development rights (PDR) and as agricultural preserva- programs to the budgeting process. tion restriction (APR) in Massachusetts. planning staff The professional staff for the planning com- purchase of development rights (PDR) The property mission. owner’s development interests are relinquished to the pur- plant community An association of plants characterized chaser of the rights, who can be a government or non- by certain species occupying similar habitats. governmental entity, such as a land trust. The purchaser plat A map or plan, especially of a piece of land divided then can limit the development of the property to encour- into building lots. age agricultural, open space, or environmental uses. plateau A large, flat area of land that is higher in elevation putative species The species expected to occur in an area than some adjacent land. based on habitat requirements. police power The right of government to restrict an rain shadow An area that has decreased precipitation be- owner’s use of property to protect the public health, safety, cause it is to the leeward side of mountains. and welfare. Restrictions must be reasonable and be con- rangeland Land in grass or other long- term forage growth ducted according to due process. of native species used primarily for grazing. It may contain policy A definite course or method of action selected by a shade trees or scattered timber trees with less than 10 per- governmental agency, institution, group, or individual cent canopy. It includes grassland, land in perennial forbs, from among options and in light of given conditions to sagebrush land, and brushland other than sage. The term guide and usually determine present and future decisions. nonforest range is used to differentiate the nonforest range preferential tax policies Favorable taxation of land in ex- from the forest range when both are being discussed. change for an agreement to use that land for a certain use, receiving area Areas designated to accommodate develop- such as agriculture, or for open spaces. ment transferred from agricultural or natural areas prime agricultural land Farmland that has a gentle slope through a transfer of development rights program. and well- drained soils and requires a minimum of con- recharge Process by which water is added to the zone of servation practices. It is the easiest land to farm. Class I saturation, as recharge of an aquifer. and II soils, as defined by the Natural Resources Conser- recharge areas See groundwater recharge areas. vation Service of the U.S. Department of Agriculture, recreation Any experience voluntarily engaged in largely are considered prime agricultural soils. during leisure (discretionary time) from which the indi- process The action of moving forward progressively from vidual derives satisfaction. one point to another on the way to completion. region (1) An uninterrupted area possessing some kind of 433 GLOSSARY

homogeneity in its core but lacking clearly defined limits. scientific areas Places of geological interest or places that (2) A governmental jurisdiction or designation. (3) A present ecological processes warranting study. frame for multidisciplinary research: a demand for the in- score This term is used for the total of all factor ratings. tegration of data from many realms of ecological reality secondary consumer Carnivore or animals that obtain en- and, therefore, an opportunity for specialists to work to- ergy from other animals. gether on theoretical conceptions of human ecology as a second- order stream See stream orders. synthesis. septic tank An enclosure in which the organic solid mat- regolith The predominantly loose surficial material over- ter of continuously flowing wastewater is deposited and laying bedrock. It is roughly equivalent to what engineers retained until it has been disintegrated by anaerobic term soil and may contain or be capped by a true soil bacteria. pedon, as used by soil scientists. service districts The division of a jurisdiction into areas remote sensing The detection, identification, and analysis based on the level of urban and rural services, with differ- of objects or features through the use of imaging devices ent rates of taxation. located at positions remote from the objects of investiga- setback A zoning provision requiring new homes to be tion. separated from existing farms by a specified distance and resident Animals that remain in one region or climate vice versa. through the year. shale A sedimentary rock formed from tightly packed clays residium Unconsolidated and partly weathered mineral and silts. materials accumulated by disintegration of consolidated silt Fine soil particles between 0.05 and 0.002 millimeter in rock in place. diameter that can be picked up by air or water and de- resource A substance or object required by an organism for posited as sediment. normal maintenance, growth, and reproduction. If a re- single-family dwelling A detached building containing one source is scarce relative to demand, then it is referred to as dwelling unit. a limited resource. Nonrenewable resources (such as space) slope The incline of the land surface, usually expressed in occur in fixed amounts and can be fully utilized; renewable percentage of slope. Often slopes are expressed as follows: resources (such as food) are produced at a fixed rate with 0–3 percent nearly level which the rate of exploitation attains an equilibrium. 3–7 percent gently sloping resource production critical areas Places that provide es- 7–12 percent moderately sloping sential products supporting either the local economy or 12–25 percent strongly sloping economies of a larger scale. 25–40 percent steeply sloping restrictive agreement A type of differential assessment that 40–70 percent very steeply sloping requires a landowner to sign a contract to keep land in 70–100 percent and above extremely steeply sloping agricultural use for 10 years or more as a condition of eli- slope wind Winds flowing up or down slopes along a tem- gibility for tax relief. If the landowner gives notice of in- perature gradient. tent to terminate the contract, assessed value of the prop- social Relating to human society and the interactions of erty increases during the balance of the term to the full fair the community. market value. sociocultural A combination of the social and the cultural riparian Relating to a habitat on the banks of streams, characteristics of an area. rivers, and lakes. soil A natural, three-dimensional body on the surface of river basin The land area drained by a river and its tribu- the earth that supports plants and has properties resulting taries. from the integrated effect of climate and living matter act- rubble A mass of broken stones and rocks, often at the base ing upon parent material as conditioned by relief over pe- of a cliff. riods of time. runoff Water from rain, snowmelt, or irrigation that flows soil association Soils of different series found in the same over the ground surface and returns to streams. area. sand Soil particles between 0.05 and 2.0 millimeters in di- soil catena A group of related soils that have developed ameter. from the same parent material but differ in drainage class scale The relative size of an area of interest. If the focus on due to different locations on a slope. relatively small areas (for example, the area around a soil depth The depth of soil material that plant roots can house or a single subdivision), the focus is fine scale. If the penetrate readily to obtain water and nutrients. It is the focus is on a much larger area (i.e., a county or watershed), depth to a layer that, in physical or chemical properties, than it is a coarse scale. differs from the overlying material to such an extent as to scenic areas Places that contain natural features of suffi- prevent or seriously retard the growth of roots or penetra- cient aesthetic quality to warrant their preservation. tion of water. The depth classes are (1) very deep, more 434 GLOSSARY

than 60 inches (1,500 millimeters); (2) deep, 40 to 60 stream, ephemeral A stream that flows only in response to inches (1,000 to 1,500 millimeters); (3) moderately deep, precipitation. 20 to 40 inches (500 to 1,000 millimeters); (4) shallow, 10 stream, intermittent A stream that flows only part of the to 20 inches (250 to 500 millimeters); and (5) very shallow, time or through only part of its reach. 1 to 10 inches (25 to 250 millimeters). stream orders First- order streams are primary drainage- soil profile A vertical section of the soil through all its hori- ways. Second-order streams are the confluence of two zons and extending into the parent material. first- order streams. Third- order streams are the conflu- soil series Soils from the same parent material having sim- ence of two second-order streams, and so on. ilar horizon characteristics. stream, perennial A stream that flows continuously. soil texture The relative proportions of sand, silt, and clay street The entire width between property boundary lines particles in a mass of soil. The basic textural classes, in or- of every way that provides for public use for the purpose der of increasing proportion of fine particles, are shown in of vehicular and pedestrian traffic and the placement of the following chart. utilities. stripcropping Growing crops in a systematic arrangement SOIL TEXTURE of strips or bands that serve as barriers to wind and water General Terms Basic Soil Textural Class Names erosion. structures, heavy A building of generally great weight and Sandy soils Coarse-textured soils Sand size, such as a mill or factory. Moderately coarse- Sandy loam structures, light A building of generally slight weight and textured soils Fine sandy loam size, such as a residence. Loamy soils subdivision The division of a lot, tract, or parcel of land Medium- textured soils Very fine sandy loam into two or more lots, plats, sites, or other divisions of land Loam for the purpose, whether immediate or future, of sale or Silt loam building development. Silt subdivision regulation The legal requirements pertaining Moderately fine- Clay loam to the subdivision of land. textured soils Sandy clay loam subsoil The B soil horizon; the layer of soil below the layer Silty clay loam Clayey soil in which grass roots normally grow. Fine- textured soils Sandy clay succession The orderly progressive replacement of one Silty clay community by another until a relatively stable community Clay occupies an area. suitability analysis The process of determining the fitness soil types Soils within a series having the same texture. of a given tract of land for a defined use. Suitability is often solar radiation The energy from the sun that reaches the used interchangeably with capability. earth. surface water Water that remains on the top of land, such solum The upper and most weathered part of the soil pro- as lakes, rivers, streams, and seas. file; and A and B horizons. sustainability The maintenance of the health and produc- species A group of closely related organisms potentially tivity of ecosystems, which provide a variety of benefits able to reproduce viable offspring. over time. species diversity The number of different species occur- sustainable development Development that meets the ring in a location or under the same conditions. needs of the present without compromising the ability of sprawl Unplanned development of open land. future generations to meet their own needs. standard A statement that describes a condition when job swale An elongated depression in the land. is done properly. Standards show how well something synthesis The combining of all the parts to form an inter- should be done rather than what should be done. relating whole. strategy The approach and/or methods through which taking An illegal government appropriation of private problems are solved or minimized and objectives are property or property rights. Traditionally, takings law has achieved. addressed physical seizures of land, but regulations that stream A general term for a body of flowing water. In hy- deprive landowners of certain property rights may also re- drology, the term is generally applied to the water flowing sult in a taking in special circumstances. Courts decide in a natural channel as distinct from a canal. More gener- whether a particular government action constitutes a ally, as in the term stream gauging, it is applied to the water taking. flowing in any natural or artificial channel. task force An agency-sponsored citizens’ committee with a 435 GLOSSARY

specific task and charge usually related to a single problem valley wind Winds flowing up or down valleys along tem- or subject. perature gradients. technical advisory committee (TAC) A group of individu- variance A special situation that creates a need to deviate als with specific expertise, usually from various disci- from the established zoning ordinances and requires re- plines, brought together by an agency for giving advice view by a board of adjustment or similar review agency. and consultation. vegetation Plant life: trees, shrubs, herbs, and grasses. temperature gradient The difference in temperature along vegetation type A classification given to plants that are some horizontal distance or up a vertical parcel of air. found in the same place on a landscape. terracing Dikes built along the contour of agricultural land ventilation The circulation of fresh air across the land, to hold runoff and sediment, thus reducing erosion. largely dependent on land-forms and wind direction. third-order streams See stream orders. voluntary covenants Agreements that limit what can be topoclimate The term used when the topographic varia- done with property. tions of the land on microclimate are considered. wash An ephemeral stream; that is, one that flows only dur- topography The physical features of a surface area, including or after rainstorms. Called an arroyo in Spanish. ing relative elevations and the position of natural and arti- water A transparent, odorless, tasteless liquid; a compound

ficial features. of hydrogen and oxygen (H2O) that freezes at 32°F (0°C) town meeting The traditional New England meeting of the and boils at 212°F (100°C). Most water is more or less in people of a town. an impure state, and constitutes rain, oceans, lakes, rivers, transfer of development rights (TDR) program A pro- and other such bodies. It contains 11.188 percent hydro- gram that allows landowners to transfer the right to de- gen and 88.812 percent oxygen by weight. velop one parcel of land to a different parcel of land to pre- water balance The ratio of water lost from a system and vent farmland conversion. TDR programs establish brought into a system. “sending areas” where land is to be protected by agricul- water quality areas Aquifer recharge areas, headwaters, tural conservation easements and “receiving areas” where stream corridors, and wetlands that function as a natural land may be developed at a higher density than would oth- filter for surface waters. erwise be allowed by local zoning. Landowners in the watershed A drainage area separated from other drainage sending area sell development rights to landowners in the areas by a dividing ridge. receiving area, generally through the private market. water table The upper surface of groundwater or that level When the development rights are sold on a parcel, a con- below which the soil is saturated with water. servation easement is recorded and enforced by the local weighted factor rating This term is used to denote the fac- government. In some cases, the local government may es- tor rating after weighting. tablish a “TDR bank” to buy and sell development rights. weighting This term refers to assigning a weight (for exam- The development rights created by TDR programs are re- ple, 0–1.0) to each factor in order to recognize the relative ferred to as transferable development rights (TDRs) or importance of each factor. transferable development credits (TDCs). wilderness recreation areas Isolated tracts of land that are transpiration The loss of water to the atmosphere from large enough to support recreational activities like camp- plants. ing, hiking, and canoeing. tree A woody, perennial plant with a single main stem. wildlife Animals that are neither human nor domesticated. trophic levels The different levels through which energy windchill The relationship between body heat loss and the flows from producers to consumers. cooling power of different wind and temperature combi- understory Herbs and shrubs that grow beneath a forest nations. canopy. zone An area or areas of the community or county in upzoning A change in the zoning for a particular area which certain land uses are permitted and other uses are that results in higher residential densities. For example, a prohibited by the zoning ordinance. Common zones are change from a zoning ordinance that requires 100 acres residential, commercial, industrial, and agricultural. (40.47 hectares) per dwelling to an ordinance that requires zone change An action taken by the local governing body 25 acres (10.1 hectares) per dwelling is an upzoning. to change the type of zoning on one or more pieces of urban growth boundary Line to which urban areas may land. For example, a zone change or rezoning could be grow based on population projections and physical condi- from A-1, agricultural, to C-2, medium-density commer- tions of the area. cial. A zone change for specific properties can happen in urban morphology The study of the city as human habitat. two ways. A property owner may ask for a zone change, USGS map U.S. Department of Interior Geological Survey which is a quasi-judicial action. Otherwise, either the map. planning commission or the governing body may seek a 436 GLOSSARY

zone change through a legislative action. If a zone change land in each area may be put, minimum lot size, and is approved, the zoning map must also be amended. Some building types. zone changes may require amending the comprehensive zoning ordinance The legal document establishing the di- plan map. vision of a municipality or other governmental unit into zoning Land- use controls such as limiting the use to which districts and the regulation within those districts. ACRONYMS

ADEQ Arizona Department of Environmental Quality FTE Full-time equivalent employment AMA Active management areas GAO U.S. General Accounting Office APR Agricultural preservation restriction GAP Gap Analysis Program APZ Agricultural protection zoning GIS Geographic information systems ASCS Agricultural Stabilization and Conservation GMA Groundwater Management Act Service HCA Habitat conservation areas ASLD Arizona State Lands Department HCP Habitat conservation plan BLM Bureau of Land Management HSI Habitat suitability index CABO Council of American Building Officials ICBO International Conference of Building Officials CAC Citizens’ Advisory Committee LCDC Land Conservation and Development Commis- CAD Computer-aided design sion (Oregon) CAP Central Arizona Project LE Land evaluation CC & Rs Codes, covenants, and restrictions LESA Agricultural Land Evaluation and Site Assess- CEQ Council on Environmental Quality ment System CIP Capital improvement programming MAG Maricopa Association of Governments CMSA Consolidated metropolitan statistical area (Arizona) CRS Community Rating System MLRA Major land resource area CSR Crop suitability rating (corn suitability rating) MSA Metropolitan statistical area CWA Clean Water Act NECMA New England County Metropolitan Area CZMA Coastal Zone Management Act NEPA National Environmental Policy Act DEM Digital elevation model NFIP National Flood Insurance Program DLCD Department of Land Conservation and Devel- NGO Nongovernmental organization opment (Oregon) NOAA National Oceanic and Atmospheric DLG Digital line graph Administration DOE Department of Ecology (Washington) NPDES National Pollution Discharge Elimination DPZ Duany and Plater-Zyberk System EIS Environmental impact statement NPS National Park Service EPA Environmental Protection Agency NRCS Natural Resources Conservation Service ERZ Environmental resource zone PACE Purchase of agricultural conservation easements ESA Endangered Species Act PCD Planned community district ESLO Environmentally sensitive lands ordinance PDR Purchase of development rights EU European Union PMSA Primary metropolitan statistical area FAA Federal Aviation Administration PPBS Planning, programming, and budget system FEMA Federal Emergency Management Agency PRD Planned residential district FIRM Flood Insurance Rate Map PRLD Phoenix Parks, Recreation, and Library FPPA Farmland Protection Policy Act Department

437 438 ACRONYMS

PUD Planned unit development TDM Donald Dillman’s total design method RGGO Regional Growth Goal and Objective TDR Transfer of development rights RPA Regional Plan Association UBC Uniform Building Code RUSLE Revised universal soil loss equation UGB Urban growth boundary SA Site assessment UNESCO United Nations Educational, Scientific, and Cul- SBC Standard Building Code tural Organization SCS Soil Conservation Service USDA U.S. Department of Agriculture SEPA State Environmental Policy Act USFS U.S. Forest Service SHPO State historic preservation officer USFWS U.S. Fish and Wildlife Service SIC Standard Industrial Classification USGS U.S. Geological Survey SMSA Standard metropolitan statistical area USLE Universal soil loss equation TAC Technical Advisory Committee WCED World Commission on Environment and TAZ Traffic analysis zones Development TDC Transferable development credit BIBLIOGRAPHY

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Whitmore, William A. 1993. “Verde River visual assessment: Wright, Lloyd, Steve Aradas, Ron Darden, Sue Pfluger, and a study of methods” (unpublished master of environmen- Warren Zitzmann. 1982. “Farmland: want to protect?” tal planning thesis). Tempe, Arizona: Arizona State Uni- Planning 48(7):20–21. versity Department of Planning. Xiang, Wei- Ning. 1996. “GIS- based riparian buffer analysis: Whitmore, William A., Edward Cook, and Frederick Steiner. injecting geographic information into landscape planning.” 1995. “Public involvement in visual assessment: the Verde Landscape and Urban Planning 34:1–10. River corridor study.” Landscape Journal 14(1):26–45. Yaro, Robert D., Randall G. Arendt, Harry L. Dodson, and Wickersham, Kirk, Jr. 1978. “Reform of discretionary land- use Elizabeth A. Brabec. 1988. Dealing with change in the Con- decision-making: point systems and beyond.” Zoning and necticut River Valley: a design manual for conservation and Planning Law Report 1(9):65–71. development. Amherst, Massachusetts: Center for Rural Wilkinson, Charles F., and H. Michael Anderson. 1985. Massachusetts, University of Massachusetts. “Land and resource planning in national forests.” Oregon Yaro, Robert D., and Tony Hiss. 1996. A region at risk: the Law Review 64(1 & 2):1–373. third regional plan for the New York–New Jersey–Connecti- Williams, M. 1990. “Understanding wetlands.” In Wetlands, a cut metropolitan area. Washington, D.C.: Island Press. threatened landscape, M. Williams ed., pp. 1–41. Oxford, Young, Gerald L. 1974. “Human ecology as an interdiscipli- U.K.: Basil Blackwell. nary concept: a critical inquiry.” Advances in Ecological Re- Wilson, Alex, Jennifer L. Uncapher, Lisa McManigal, L. search 8:1–105. Hunter Lovins, Maureen Cureton, and William D. Young, Gerald L. 1976. “Environmental law: perspectives Browning. 1998. Green development: integrating ecology from human ecology.” Environmental Law 6(2):289–307. and real estate. New York: John Wiley & Sons. Young, Gerald L. 1978. Human ecology as an interdisciplinary Wischmeier, W. H., and D. D. Smith. 1965. Predicting rain- domain: an epistemological bibliography. Monticello, Illi- fall—erosion losses from cropland east of the Rocky Moun- nois: Vance Bibliographies. tains: guide for selection of practices for soil and water con- Young, Gerald L. 1989. “A conceptual framework for an in- servation (Agricultural Handbook No. 282). Washington, terdisciplinary human ecology.” Acta Oecologiae Hominis D.C.: U.S. Department of Agriculture. 1:1–136. Wischmeier, W. H., and D. D. Smith. 1978. Predicting rain- Young, Gerald L. (ed.). 1983. Origins of human ecology. fall—erosion losses: a guide to conservation planning (Agri- Stroudsburg, Pennsylvania: Hutchinson Ross Publishing. cultural Handbook No. 537). Washington, D.C.: U.S. De- Young, Gerald L., Frederick Steiner, Kenneth Brooks, and partment of Agriculture. Kenneth Struckmeyer. 1983. “Determining the regional Wisconsin Supreme Court. 1972. Just vs. Marinette County (4 context for landscape planning.” Landscape Planning ERC 1842). 10(4):269–296. World Commission on Environment and Development Zube, Ervin H. 1980. Environmental evaluation. Monterey, (WCED). 1987. Our common future. Oxford, UK: Oxford California: Brooks/Cole. University Press. Zube, Ervin H., Gary Hartshorn, Peter Kareiva, Lloyd Loope, World Wildlife Fund. 1992. Statewide wetlands strategies: a Thomas Loveland, James W. Merchant, Maurice Nyquist, guide to protecting and managing the resource. Washington, James Quinn, Terry L. Root, Frederick Steiner, and John D.C.: Island Press. Terborg. 1994. Peer review panel report of the national GAP Wright, John B. 1993. Rocky Mountain Divide: selling and sav- analysis program from the national biological survey. ing the West. Austin, Texas: University of Texas Press. Moscow, Idaho: National Biological Survey. Wright, Lloyd. 1981. “Agricultural land evaluation and as- Zube, Ervin H., James L. Sell, and Jonathan G. Taylor. 1982. sessment systems: pilot program” (unpublished briefing “Landscape perception: research, application and theory.” paper). Washington, D.C.: Soil Conservation Service, U.S. Landscape Planning 9:1–33. Department of Agriculture.

INDEX

Italics indicate figures and tables. Agricultural viability factors, 193 Arizona. See also Phoenix metropolitan Agriculture area 1000 Friends of Oregon, 23, 369–70 census information for, 148 administration and, 407–9 100-year floodplains, 81, 81, 346 economic considerations of, 142 Broadacre City and, 314–16 Food Security Act and, 369 citizen involvement in, 273 Aberley, Doug, 413 innovative zoning for protection of, 373– climate of, 57 Absolute policies, 338–39 77 geological provinces of, 63 Accessibility, 285 New Jersey Pinelands and, 179, 265 implementation and, 377–79 Active Management Areas, 75–76 settlement patterns and, 114 Phoenix Environmental Showcase Home Actual land suitability, 207, 210 soil classification and, 188–200 and, 313, 314, 313–14 Adams, Ansel, 8 taxes and, 366–67 Tucson Solar Village and, 316–17, 317 Adams, Paul, 52 wetland loss and, 84 Arizona State Lands Department, 106 Adams, Thomas, 202, 321–23 zoning and, 332 Arizona State University, 32–33 Administration Agroforestry, 293 Arroyo Vista Charrette, 301, 301–4, 304 budget and, 385–91 Agronomic level, 14. See also Field system Arroyos. See Washes current planning and, 382–85 level Asotin County, WA, 204, 206, 207, 208, 209 ecological planning and, 23 Ahwahnee Principles, 21, 22, 293 Aspect, 71, 97 impact analyses and, 391–404 Air pollution, 127, 343–44 Associations, 87 overview of, 381–82 Alabama, 331 Atlantic Coastal Plain formation, 124 Portland, OR and, 404–7 Albedo, 97–98 Australia, 237 Tucson, AZ and, 407–9 Alfisols, 94 Avissar, R., 56 Administrative planners, defined, 7 Alinsky approach, defined, 30 Adversary planners, defined, 7 Alinsky, Saul, 7, 8, 30 Babcock, Richard, 330 Advisory committees, 276 Alluvial fans, 64, 68, 91, 96 Bajadas, 64, 91, 116 Advocacy planners, defined, 7 American Farmland Trust, 369, 377, 400– Baker v. City of Milwaukie, 332 Agency for International Development, 402 Balling, Robert, 61 393 Andrew (hurricane), 236 Barcelona, Spain, 357 Agricultural land, classification of, 18 Annexation, 368 Barnett, Jonathan, 323 Agricultural Land Evaluation and Site As- Antiquities Act, 352 Barren land, 18 sessment (LESA) System Apaches, 108 Base maps, 53–55, 54 hypothetical example of, 195, 198, 199 Appleyard, Donald, 171 Base submittal requirements for ESLO, 378 modified version of, 194–98, 196 Application and evaluation, 295 Baseline natural resources, 16 overview of, 191–94 Applied human ecology, 9. See also Ecologi- Basin and Range Province, 63–64, 67 performance standards and, 338 cal planning Bassett, Edward M., 331 use of at federal level, 198–200, 201 Apse Effect, 316 Beatley, Timothy, 9, 12, 293, 351, 413 Agricultural land use, 192–93 APZ. See Agricultural protection zoning Beck, Richard, 368 Agricultural lands, defined, 343 Aquifers, 75, 116–7, 119, 126 Bedrock geology maps, 65 Agricultural Production Areas, 265 Arendt, Randall, 9, 318, 321 Bentham, Jeremy, 6 Agricultural protection zoning (APZ), 332 Aridisols, 94 Berger, Jon, 9, 139, 176, 185, 204, 204

459 460 INDEX

Berry, Wendell, 9 Camp Pendleton region (CA) Camelback East Primary Core Urban De- Bettman, Alfred, 331 biophysical inventory and analysis and, sign, 236–37 Bicycle paths, 304–11, 306, 307, 310 130–36 community education and, 278 Bill of Rights, 6 decision making in, 247–50 conceptual design from, 296–304 Bioclimatic zones, 120 human community inventory and analy- Desert View Tri-Villages Area (Phoenix, Biodiversity, 130, 178 sis and, 178–85 AZ) and, 237–41 Bivariate relationships, 116, 116–20, 174–75 map of, 131 goals and objectives of, 302 Black Hawk County, IA, 373–77, 376 population forecast for, 182 La Lomita, 298–301, 300, 301 Blair, John, 297 visual types in, 183, 184 overview of, 235–36 Blueprint for a Sustainable Bay Area, 285–88, Canada, 237 process of, 236–37 286 Canty, Dennis, 305 Sonoran North Land Use Character, 237– Boards of adjustments, 383 CAP. See Central Arizona Project 41, 238, 239, 240, 241, 255–57, 256, Bolan, Richard, 30 Capability, suitability vs., 187 296–97 Botkin, D. B., 217 Capability analysis. See also Suitability South Avenue Streetscape, 237 Boundaries analysis Surrey Design, 237 carrying capacity and, 218 carrying capacity concept and, 217–19 Cherioni soils, 91 Cave Creek Wash preservation and, 231, computer applications for, 213–17 Chimney Effect, 316 232 Dutch models for, 207–13 China, 237 in Desert View Tri-Villages Area, 53 McHarg suitability analysis method for, Chinese immigrants, 331 urban growth, 405, 405, 407 200–207 Chipman, Carol, 311 watersheds, planning and, 52–53 Medford Township, NJ and, 219–20 Choices. See Options and choices Boundary review boards, 383 Natural Resources Conservation Service Chorographies, defined, 52 Bowers, Deborah, 363–64, 365, 368 systems for, 188–200 Churches, 149 Boyer, Ernest, 278 overview of, 187–88 Ciekot, Stephanie, 77, 91, 116, 120 Brabec, Elizabeth, 318 rural housing areas in Whitman County, CIP. See Capital improvement program- Bradburn, Norman, 169 WA and, 220–22, 225–26 ming Brady, Ward, 100, 415 Capability classes, 189 Circuit breaker tax relief laws, 366, 366–67 Brandywine Valley Association, 369 Capability subclasses, 189 Circulation, 302–3 Brazel, Anthony, 56, 57, 97–98 Capability units, 189 Citizen honoria, 275 Brazel, Sandra, 61 Capital costs, 399, 400 Citizen involvement. See Public participa- Breckenridge Development Code, 338–39 Capital improvement programming (CIP), tion Broadacre City, 314–16 364–65, 382, 390–91 Citizen referendums. See Referendums Broderson, William, 86–87 Carlson, Christine, 305 Citizen training, 275 Brownfield sites, 367 Carrying capacity concept, 217–19 Citizens’ advisory committees, 29, 241–42, Brundtland Commission, 11 Carter, Jimmy, 39, 45, 373 274 Bucks County, PA, 336–37, 338 Catchments, 14. See alsoWatersheds City Beautiful Movement, 8 Budgets, 259 Categorical expulsions, 394 City Planner Handbook, 245 Budoni, Alberto, 12 Catena, 87 Civano, 316–17, 317 Building codes, 299–300, 355–57 Catton, William, 217 Clark, Janice, 376 Building materials, 302–303 Cave Creek Wash, 77, 230–32, 231, 232, 256, Classification systems, 15–16, 18 Buildings as physiographic features, 71 258, 370, 415 Clays, 91 Bureau of Land Management (BLM), CC&Rs. See Codes, covenants, and restric- Clean Water Act (CWA), 346 365 tions (CC&Rs) Climate Burke, Jim, 230, 257 Census Catalog and Guide, 148 as baseline natural resource, 16 Bursage flats, 100 Census data, 110, 144, 148, 153, 162 defined, 56 Bush, George H. W., 333 Center for Community Economic Develop- Holridge life zones and, 121, 124–25 Butler, Stuart M., 367 ment, 279–81, 285 landscape planning and, 57 Butterfield Stage Route, 108, 110 Center for Rural Massachusetts, 318, 321, micro, 95–99, 116 Byrne, Brendan T., 45–46 325 physiography and, 117 Central Arizona Project (CAP), 76 regional, 56–62, 127 CABO code. See Council of American Central Park (NYC), 8 soils and, 118 Building Officials code Change agents, 7 topo, 95–96, 99 Caldwell, Lynton, 417 Chaos theory, 412 vegetation and, 118 Caliche. See Hardpan soils Characteristics. See Population characteris- Coastal Plain formation, 124 California, 331 tics Coastal Zone Management Act (CZMA), 8 California cougars, 134, 138 Charles Eliot, Landscape Architect (Eliot), Code of Hammurabi, 355 Calthorpe, Peter, 9 200 Codes, covenants, and restrictions Camelback East Primary Core Urban De- Charrettes (CC&Rs), 369 sign Charrette, 236–37 Arroyo Vista, 301, 301–4, 304 Coffmann, Jim, 230 461 INDEX

Cognitive paradigm, 172 Cooperative Extension Service, 277–78 bivariate relationships in elements of, Cohanesy-Kirkwood aquifer system, 126, Coordination, 367–69 116, 116–18 126 Coping with Growth series, 278 charrettes and, 237–41, 238, 239, 240, 241 Cohort-survival model, 154–57, 158 Cougars, 134, 138 climate as inventory element in, 57, 58–60 Colfax Avenue demonstration project, 312, Coughlin, Robert, 194–98 cyclical planning in, 413–17 312–13, 313, 314 Council of American Building Officials decision making and, 230–35 Collection and analysis, 295 (CABO) code, 355 development projections for, 160, 161 Colleges and Universities, 149 Council on Environmental Quality, 7, 391– drainage of, 67 Collins, Mike, 415 92 erosion potential of, 95 Colorado Plateau, 63 Covenants, 357–58 implementation strategies of, 259–60 COMLUP, 214 Cowan, Stuart, 21 implement matrix of, 372–73 Communities, 287. See also Human com- Cranberries, 46 labor force data for, 164 munities Cranham, Ronald, 368 landsat image of, 72 Community context, 303 Credit program. See Development credits landscape map of, 261, 262 Community education, 271–72, 275–88 Creighton, James, 27–28 landscape plan adoption in, 255–57, 256 Community gardens, 300 Creosote bush-bursage flats, 100 land use history of, 108–9, 110 Community health and safety program, 389 Cripple Creek, CO, 269 land use in, 111, 112, 113, 114 Community involvement. See Public partic- Critical areas, 339–44, 345 layer cake diagrams for, 120, 121, 122, 123 ipation Crop Suitability Rating (CSR), 376 macroclimate influences on, 60 Community needs assessments, 175–76 Cross-compliance, 369 major types of rock in, 64–65, 66 Community organizations, 144, 149 Cross-cutting relationships, 63 overview of, 53 Community organizers, 7 CSR. See Crop Suitability Rating regional context of, 56 Community planning, 22 Cullingworth, Barry, 334 regions of, 157, 159 Community planning councils, 30 Cumulative impacts, 218 slope analysis for, 68–71 Community Rating System, 345 CWA. See Clean Water Act soils of, 87, 88, 90–91 Community services, 402, 403 statement of policies for, 257–59 Compatibility with comprehensive develop- Dane County, WI, 215, 279–81 suitability analyses for, 215, 216 ment plans, 193 Dane County Land Records Project, 215 vegetation of, 100–103, 101, 102, 103 Components of change, 153, 154 Daniels, Tom, 363–64, 365, 368, 377 water resources and, 75–76, 77, 79, 81 Comprehensive management plans, 269 Data-overlay technique, 202 wildlife of, 104–6, 105 Comprehensive planning, defined, 4 Davis, CA, 355–57 Desert washes, 297, 298 Comprehensive plans, 20, 253 Dayton, OH, 387–91 Design Computer aided design (CAD), 323 De Chiara, Joseph, 334 checklist for evaluation of, 294 Computer applications, 213–17, 295 Decision making, 272, 274, 275, 283. See also conceptual of new facilities, 304–11 Concentrated preserve concept, 232–33, 233 Options and choices Connecticut River Valley (MA) and, 317– Condemnation, 329–30, 358. See also Emi- Decision support, 295 21, 319, 320, 321, 322, 323, 324, 325–27 nent domain Deed restrictive covenants, 357. See also demonstration projects and, 311–14 Conferences, 275 Covenants guidelines and controls for implementa- Conflict resolution, 4 Deep context, 291–92 tion of, 339 Conflicts, 177, 177 Deep structure, 291 individual land-users and, 293–95 Conn, William, 373 Deferred taxation, 366 innovative projects in, 314–17 Connecticut. See New York–New Jersey– DeFranceaux, Cynthia, 254 New York–New Jersey–Connecticut met- Connecticut metropolitan region DeGrove, John, 45 ropolitan region and, 321–27, 326, 327 Connecticut River Valley (MA), 317–21, DeKalb County, IL, 190 simulation and, 295–96, 296, 297 319, 320, 321, 322, 323, 324, 325–27 DELMARVA, 213 site design, 292–93 Connectivity, 173–75, 174. See also Bivariate Delphi, overview of, 33–34 testing planning concepts through, 291– relationships Delphi Expert Opinion Panels, 34 92 Consent, planning and, 7 Demographics, 17. See also Census data Design boards, 383 Conservation, 206, 287, 293–95 Density, 153, 154, 302–3 Design of Residential Areas (Adams), 202 Conservation goals, 42, 44 Department of Defense, 365 Design with Nature (McHarg), 204, 363 Conservation plans, 295 Department of Ecology (DOE), 394–96 Design Workshop, 316 Constraints, suitability analysis and, 204–6, Department of Land Conservation and De- Determinations of significance or non- 209, 210 velopment, 41–45 significance, 394, 396 Construction sites, 63 Dependency ratios, 153, 156 Development, suitability analysis and, Context, 287 Desert overlay district, 370–71 206–7 Contiguous exurban subdivisions, 114 Deserts, 75, 92 Development areas, 363–64 Contingency plans, 254, 412 Desert Scrub zone, 122 Development credits, 266 Conzen, M. R. G., 71, 173 Desert View Tri-Villages Area (Phoenix, AZ) Development goals, 42–43 Coon, Richard, 257 base map of, 54 Development projections, 159–61 462 INDEX

Development rights, 360–64 Ecology, 4–5, 9, 51–52 Expert paradigm, 171 Developmental credits, 364 Economic analyses, 161–65, 162 Export activities, 398 Developmental scenarios, 244 Economic base analysis, 163–65, 166 Export-base approach, 398 Dewey, John, 412 Economic base surveys, 161–62 Externalities, 331 Dickert, Thomas, 218 Economic impact analyses, 396–99 Exurban development patterns, 113–15 Digital elevation model data, 54, 73 Economic multipliers, 398, 399 Eyck, Christy Ten, 316 Digital line graph data, 54 Economically critical areas, 341, 341, 342 Dillman, Don, 35, 38, 168–69, 242 Economy program, 389 Faas, Ronald, 397–98 Direction, 71, 97 Eco-Northwest, 406 Fabos, Julius, 214 Discussion drafts, 246 Ecosystem management, 4 Face-to-face interviews, 169–70 Dispersed preserve concept, 233, 234 Ecotones, 103 Factor ratings, 191 Distribution, 153 Edges, 132 Factor scale, 191 Disturbance adaptive plants, 103 Education, 20–21. See also Community edu- Factors, 191 Disturbed Landscape, 132 cation Falini, Paola, 148 Dodge Foundation. See Geraldine R. Dodge Elevation, 68, 80, 103, 117 Farm conservation plans, 293–95 Foundation Elevation maps, 68, 69, 73 Farm system level, 14 Dodson, Harry, 318, 323 Eliot, Charles, 200–202, 360 Farmland Protection Policy Act (FPPA), Dolan v. City of Tigard, 333 Elite interviewing process, 169 198–99 Drainage basins, 14. See also Watersheds Emery, Franklin, 318 Fasano v. Board of County Commissioners of Drainage divides, 14 Emery Farm, 318–21 Washington County, 332 Drainageways, 52, 132, 137 Eminent domain, 330, 358. See also Con- Federal Emergency Management Agency Duane, Timothy, 113–14 demnation (FEMA), 344–46 Duany, Andrés, 236, 316–17, 330 Employment multipliers, 398 Federal Insurance Administration, 344 Duerksen, Christopher, 104, 351–52, 358, Empowerment zones, 367 Federal Water Pollution Control Act, 347 359 Endangered species, 105 Fee-simple purchases, 358 Dunford, Richard, 366 Endangered Species Act (ESA), 351 FEMA. See Federal Emergency Management Dutch Forest Service, 20 Energy, 302–3 Agency Dutch models. See Holland Energy resources, 63 Fertility, 155, 158 England, 5–6 Field system level, 14 Earth. See Geologic information Enterprise zones, 366, 367 Fifth Amendment, 358 Easements, 359–60 Entisols, 94 Findings, 394 Eber, Ron, 23 Environmental analysis for ESLO, 378–79 Fire hazard areas, 343 Ebon soils, 91 Environmental assessments, 392 Fire insurance maps, 148 École des Beaux-Arts, 235–36 Environmental boards, 383 FIRMs. See Flood Insurance Rate Maps Ecological design, 21, 326–27 Environmental checklists, 396 First English Evangelical Lutheran Church v. Ecological footprint approach, 218–19 Environmental duties, 413 County of Los Angeles, 333 Ecological integrity, 302 Environmental impact analyses, 394–96 First-order streams, 78 Ecological planning Environmental impact statements (EIS), Fiscal impact analysis, 399–402 administration and, 21–23 391–96 Fish Ewan, Rebecca, 100, 117, 230–32, 415 citizen involvement, community educa- Environmental planning, 4 Fisher, Howard, 213 tion and, 13, 20–21 Environmental Protection Agency, 347 Flash flooding, 81 design exploration and, 21 Environmental resource zone (ERZ), Flood Insurance Rate Maps (FIRMs), 345– detailed studies and, 16–18 407–9 46 development of concepts for planning Environmental Showcase Home. See Flood prone areas, 343 area and, 18–20 Phoenix Environmental Showcase Flooding, 52, 78–81, 84, 146–47 goal establishment and, 12–13 Home Floodplains, 78–81, 79, 344–46 implementation and, 21–23 Erosion, 87, 90, 95 Florida, 368–69 landscape analysis on local level and, 14– ERZ. See Environmental resource zone Fluvents, 119 16 Estuaries, 82 Focus groups, 31–33 landscape analysis on regional level and, Euclid, Ohio (Village of) v. Ambler Realty Fog, 97, 97 13–14 Co., 331 Fogleman, Valerie, 393 landscape plan development and, 20 Environmentally sensitive areas, 339–44 Food Security Act, 369 model for, 11 Environmentally Sensitive Lands Ordi- Food webs, 106, 109 overview of, 9–12 nance, 377–79 Ford, John, 8 problem and opportunity identification European Union, 5–6, 393 Forecasting, 33 and, 12 Ewan, Joseph, 100, 117, 230–32, 257, 415 Forest and Rangeland Renewable Resources Ecological processes, Camp Pendleton re- Exactions, 329–30, 358–59 Planning Act, 188 gion (CA) and, 134–35, 138 Existing land use, 107–8 Forest Areas, 265 Ecologically critical areas, 341, 341, 344 Experiential paradigm, 172 Forestlands, 18 463 INDEX

Forman, Richard, 52 Grid cells, 214–15, 241 Household income (earnings) multipliers, FPPA. See Farmland Protection Policy Act Groundwater 398 Frameworks, 5–9, 10 defined, 75 Housing, 300 Franklin Land Trust, 321 deserts and, 75–76 Howard, Ebenezer, 9 Freemont County, ID, 338, 338 Desert View Tri-Villages Area (Phoenix, HSI. See Habitat Suitability Index Friedmann, John, 4, 20 AZ) and, 77 Human communities Frost, 97, 97 physiography and, 117 analysis and synthesis of social informa- Fry, Jana, 415 streams and, 119 tion and, 171–76 Groundwater hydrology, 16 Camp Pendleton region (CA) and, 178– Gaia hypothesis, 99 Groundwater Management Act, 75–76 85 Gans, Herbert, 13, 330, 412, 415 Group dynamics, 30–31 existing data sources and, 143–49 Gap Aalysis Program (GAP), 352 Growing Smarter Act, 273 new information generation for, 167–71 Gardens, community, 300 Growth management, 367–69 New Jersey Pinelands Comprehensive Gastil, Ray, 323 Growth Management Act (WA), 396 Management Plan and, 176–78, 185 Gated communities, 114 Guthrie, Woody, 8 overview of inventory and analysis of, Geddes, Patrick, 9, 413 141–43 Geddes, Robert, 323 Habitat conservation areas (HCAs), 352 summary of information sources for, Geiger ventilation formula, 97 Habitat conservation plans (HCP), 351 144–45 Gelfand, Donna, 379 Habitat Suitability Index (HSI), 132 use of existing data for generation of new General management plans, 254 Habitats information on, 149–67 General plans, 20, 241. See also Comprehen- New Jersey Pinelands and, 127, 128–29, Human ecology, defined, 16 sive plans 130 Human population, 17 Geographic information systems (GIS) overview of, 349–52 Humans, 16 base maps and, 53–55 wildlife and, 106, 108 Humbach, John, 6 Camp Pendleton region (CA) and, 130, Hack, Gary, 292–93 Hunt, Charles B., 67 132, 134 Hallek, Ted, 41 Hurricanes, 236 overlay method and, 213, 214–15 Hammurabi (King of Babylonia), 355 Huxtable, Ada Louise, 330 overview of, 18 Hardpan soils, 94 Hydrologic cycle, 73, 75, 75 Geologic conditions, 378 HCAs. See Habitat conservation areas Hydrology, 16, 118, 132, 136, 137 Geologic information, 62–67 Hearings examiners, 385 Geologic symbols, 64 Heat, 121, 124 Iacofano, Dan, 30 Geological hazard areas, 343 Heat island effects. See Urban heat island ef- IBC. See International Building Code Geological maps, 62–63, 65 fects Idealists, 7 Geology, 16, 62, 116–17 Helmund, Paul, 9 Idealization process, 244 Geomorphic Systems of North America Hendricks, David, 93 Igneous rocks, 64 (Graf), 68 Herberger Center for Design Excellence, 278 IJselmeer. See Zuider Zee Geraldine R. Dodge Foundation, 123 High Country News, 148 Image processing, 214–15 Gibson, Lou, 161–62 Hill, Morris, 243 Impact analyses, 391–404 Gil, Efraim, 39–40 Hills, G. Angus, 9, 202 Impact fees, 358–59, 359, 368 Gila River, 76–77 Hillside Ordinance, 377 Impact of proposed use, 193, 201 GIS. See Geographic information systems Hillsides, 378 Impact on biophysical resources, 218 Glikson, Artur, 9 Hirschhorn, Larry, 243–44 Implementation. See also Regulatory Goal oriented planning, 13, 41–48, 44, 45, Hiss, Tony, 416 power 46, 47 Historic, archaeological, and cultural areas, Ahwahnee Principles and, 22 Goals, 12–13, 257–58, 302 343 Desert View Tri-Villages Area (Phoenix, Goals-achievement matrices, 243, 243 Historic preservation, 352–53 AZ) and, 370–71 Goal setting, 40–41 Historic Sites, Buildings, and Antiquities ecological planning and, 21–22 Gordon, Gaybrielle, 190 Act, 352 matrices and, 371–73, 372 Gordon, Steven, 190 Histories, 144, 145, 148 nongovernmental organizations and, Gore, Al, 8 Histosols, 94 369–70 Government agencies, 144–45 Hohokam Indians, 108, 110, 314 Scottsdale, AZ and, 377–79 Graduated scales, 68 Holland, 20, 207–13, 237, 393 taxation and, 366–67 Graf, William, 68 Holridge, L. R., 120 York County, PA, Black Hawk County, IA Graham, Otis, 387 Holridge life-zone system, 120–22, 124, 125 and, 373–77 Grand Canyon, 63 Homes, 108 Important farmland classification, 191, 192, Green, Philip, 353 Honey Hill study, 213 193. See also NRCS important farm- Greenhouse Effect, 316 Hopkins, Lewis, 204 land mapping program Greenline planning, 317–18 Horizons, 87, 89 Inceptisols, 94 Greenspaces, 288 Hough, Michael, 9 Inclusions, 63 464 INDEX

Independent surveys, 35, 38 Kellington, Wendie, 175 Landscapes Indicator crops, 192 Kelly, Eric, 331 bivariate relationships and, 116, 116–17 Indicators, 287, 287 Kennett region (PA), 165, 167, 168 Camp Pendleton region (CA) and, 132, Individuals, 293–95 Key informants, 169 133 Industry groups, 163 King County, WA, 362 conventional planning processes and, 142 Infiltration, 75, 81 Koppelman, Lee, 334 defined, 4, 5 Information, 275–76 Kreske, Diori, 39 Language of landscape, 172 Information collection, 272, 274 Krueger, Richard, 32 Larsen, Larry, 376–77 Information dissemination, 272, 274 Lassey, William, 271–72 Infrastructure, 193–94 Labor force participation, 153, 156, 157, 161, Laws of the Indies, 353 Initiative planning, 272, 274 164 Lawsuits, 332–33 Input-output analysis, 163–65, 166, 398 La Lomita Charrette, 298–301, 300, 301 Layer cake model (McHarg), 15, 15 Institute for Participatory Management and Land-capability classification, 191, 193 Layer cake relationships, 120, 120, 121, 122, Planning, 31, 244, 277 Land Conservation and Development Com- 123, 125 Intelligence, 326–27 mission (LCDC), 41–44, 46 LCDC. See Land Conservation and Devel- Intensive interviewing process. See Elite in- Land Conservation and Development Com- opment Commission terviewing process mission (OR), 242 Leach fields, 335 Interactions, 173–75, 174 Land cover, 100, 102. See also Vegetation Lead agencies, 395 Interagency coordination, 367–69 Land dedications, 358–59 Leadership, 30 International Building Code (IBC), 355 Land Evaluation and Site Assessment Sys- Leadership and social advocacy program, International Conference of Building Offi- tem. See Agricultural Land Evaluation 389 cials, 355 and Site Assessment (LESA) System League of Women Voters, 149 Interviews, 169–70, 240 Land evaluations (LE) Leary, Robert, 331, 332 Inventories, 51 federal use of, 201 Lely, Cornelis, 210 Inventory elements hypothetical example of, 195, 199 Lenni-Lenape, 176 analysis and synthesis of, 115–22 overview of, 191, 191–92, 193 Leopold, Aldo, 9 existing land use, land users and, Land slopes, 378 LESA System. See Agricultural Land Evalua- 107–15 Land Trust Alliance, 360 tion and Site Assessment (LESA) Sys- geologic information as, 62–67 Land use tem microclimate as, 95–99 as inventory element, 107–15 Lewin, Kurt, 30 overview of, 55–56 Arroyo Vista Charrette and, 302–3 Lewis, Philip, 9, 203 regional climate as, 56–62 classification system for, 18 Licón, Carlos, 110–11 soils as, 86–95 climate and, 119 Life zones, 121. See also Holdridge life-zone terrain as, 67–71 defined, 4 system vegetation as, 99–104 overview of, 108 Lime, D. W., 218 water as, 71–86 Whitman County, WA and, 220, 222, Limnology, 82 wildlife as, 104–7 225–26 Linkage, 53. See also Program linkage Involvement. See Public participation zoning and, 331–32 Lithology, 71 Iterative process, 413 Land-Use Land Cover Classification system, Litton, R. Burton, 171 15–16, 18, 100, 106, 165 Loams, 91 Jacobs, Allan, 110, 170 Land use maps, 143–45, 144 Local landscape analysis, 14–16 James, William, 412 Land use patterns, 135, 139 Local LESA systems, 194–98, 196 Jefferson, Thomas, 6, 414 Land use planning, 42–43 Location quotients, 166 Johannsen, Sonia, 376–77 Land use regulations, 193 Locke, John, 6, 414 John Deere, 374 Landsat images, 61, 72, 73 Loudoun County, VA, 400–402 Johnson, Arthur, 10 Landscape analysis, 13–16, 14 Lovelock, J. E., 99 Johnson, Craig, 132 Landscape patterns, 171–73 Lower deserts, 378 Joint Urban Design Program, 278 Landscape plans Lowrance et al. hierarchy, 14 Jones, Eddie, 313 ecological planning and, 20 Lucas v. South Carolina Coastal Commission, Juneja, Narendra, 219–220 elements and organization of, 261–64 333 Juster, Robert, 331 for New Jersey Pinelands, 264–66 Lucchesi, Enid, 39–40 Just v. Marinette County, 341 for Teller County/Woodland Park, 266– Lucy, William, 413 Justice, 285 69 Lyle, John, 9, 413 maps of, 260–61, 261, 262 Lynch, Kevin, 171, 172, 292–93 Kaplan, Rachel, 171, 272 overview of, 253–55 Karetz, Jack, 165 recognition and adoption of, 255–57 Macchi, Silvia, 9 Kasson, Bill, 297 statements of policies and, 257–59 MacDougall, Bruce, 17–18, 213 Kast, Fremont, 412 strategies for policy achievement and, Machines, 17 Keller, Edward, 217 259–60 Mack, Nancy, 311 465 INDEX

MacKaye, Benton, 9 Metropolitan Landscape Planning Model National Flood Insurance Program (NFIP), MacNair, Ray, 40 (METLAND), 214 344–46 Macpherson, Hector, 41 Metzenbaum, James, 331 National Forest System, 273–74 Macroclimate, 56–62, 127 Meyer, Neil L., 399 National Historic Preservation Act, 352–53 Magazines. See Newspapers and periodicals Miami Conservancy District, 8 National Park Service (NPS), 254, 276, 317– Mail surveys, 167–69 Michigan, 348, 349 18, 365 Main Street Program, 353 Microclimate, 95–99, 116 National Parks and Recreation Act, 45 Man and the Biosphere Program, 15, 17 Microeconomic level, 14. See also Farm sys- National Pollution Discharge Elimination Management, 4 tem level System (NPDES), 347 Management objectives, 218 Migration, 155, 157, 158 National Register of Historic Places, 352–53 Management plans, 253 Military and Federal Installation Areas, National Trust Act, 352 Manning, Kristy, 12, 293 265 National Trust for Historic Preservation, Manning, Warren, 200 Miller, Bill, 415 352, 353, 369 Map overlays. See Overlay method Miller, Donald, 243 Native vegetation, 378 Maps, 260–61, 261, 262, 287–88, 288 Miller, Fred, 190 Natural ecological areas, 342 Maricopa Association of Governments, Miller, Lynn, 200 Natural environment, 17 157 Mineral extraction areas, 343 Natural hazard assessment, 63 Maricopa County. See Phoenix metropoli- Mineral resources, 63 Natural hazard critical areas, 341, 341, 342 tan area Minimum-requirements analysis, 166 Natural resource inventories, 122–23 Marsh, William, 68 Minimum size mapping units, 68 Natural resources, 16 Massachusetts Trustees of Public Reserva- Ministero dell’Ambiente, 393 Natural Resources Conservation Service tions, 360 Mission statements, 28 (NRCS), 16, 86, 188–200, 295 Master plans, 253 Mitigated determination of significance, Natural Resources Defense Council, 393 Matrices 396 Natural wildlife habitat areas, 342 decision making and, 243 Model Land Development Code (American Nature, 285 habitat conservation plans and, 351 Law Institute), 339 Ndubisi, Forster, 203, 340 human community analysis and, 174–75 Moisture, 121, 124 Neighborhood planning councils, 29–30 implementation and, 371–73, 372 Mollisols, 94 Neighborhood program, 389, 390 Medford Township, NJ and, 220, 221, 222 Monte Vista project, 316, 316 Neighborhoods, 287, 287 social impact analysis and, 402–4 Montgomery County, OH, 189–90 Nellis, Lee, 338 suitability analysis and, 204 Moratoriums, 368 Neotraditional town planning, 293. See also wildlife species and, 104, 105, 106, 107 Morgan, Arthur, 8 New Urbanism McCall, Tom, 41, 48, 408 Morgan, Keith, 360 NEPA. See National Environmental Policy McCarthy, James, 237 Morris, Marya, 346 Act McGeorge, Lizi, 237 Mortality, 155, 158 Net migration, 155, 157, 158 McHarg, Ian Moscow region (WA), 304–11, 306, 307, 310 Netherlands. See Holland community involvement and, 272 Moudon, Anne, 114–15, 173 Neuman, Michael, 261, 264 definition of ecological planning of, 8, 9– Moule, Elizabeth, 316–17 New city alternative, 248, 249 10 Multiple regression model, 154 New England, 38–39 ecological planning model of, 11, 16 Multiple-use plans, 253 New Jersey, 295–96, 348, 349. See also New layer-cake model of, 15, 15 Multipliers, 398 York–New Jersey–Connecticut metro- Medford Township, NJ and, 219–20 Mumford, Lewis, 9, 412, 417 politan region; Pinelands (New Jersey) Plan for the Valley and, 363 Muratori, Saverio, 71, 148 New Jersey Pinelands Comprehensive Man- theoretical basis for overlaying informa- agement Plan, 266 tion and, 203–4 National Agricultural Land Evaluation and Newman, George, 341–44 McHarg suitability analysis method, 11, 17, Site Assessment Handbook, 191–92 New rationality, 412 200–207, 316 National Agricultural Lands Study, 16, 373 New Urbanism, 21, 293, 316 McKenzie, Ricki, 172, 177 National Audubon Society, 369 New York, 362 McLean, Mary, 163 National Commission on the Environment, New York–New Jersey–Connecticut metro- McNamara, Robert, 387 11–12 politan region, 321–27, 326, 327 Measure of magnitude, 161 National Conservation Planning Manual, Newspapers and periodicals, 144, 148, 276 Medford Township, NJ, 219–20, 220, 221, 295 NFIP. See National Flood Insurance Pro- 222, 223, 224 National Environmental Policy Act (NEPA) gram Meinig, Donald W., 24 environmental impact assessments and, NGOs. See Nongovernmental organizations Mesquite, 100 391–92 Niebanck, Paul, 413 Metamorphic rocks, 64–65 historic preservation and, 352 Nixon, Richard, 5 METLAND. See Metropolitan Landscape public participation and, 274 Nollan v. California Coastal Commission, Planning Model requirements of, 4–5 333 Metro government (OR), 404–7 visual analysis and, 171 Nominal-group workshops, 31 466 INDEX

Nongovernmental information sources, 162 Oregon Comprehensive Planning Law, 41– morphological cross section of, 74 Nongovernmental organizations (NGOs), 7, 45, 44 planning staff of, 383–85, 384 369–70 Oregonians in Action, 23 population characteristics of, 151, 153, Normative planning, 411 Organization development, 30 155, 156, 157 North Black Canyon Corridor, 256–57, 258, Original horizontality, 63 population projections for, 160 259 Orr, David, 21, 317, 326–27 population trends of, 150, 151 North Land Use Plan, 255–57 Ostler, Jolene, 256 urban heat island effects and, 57, 61 North Sonoran Charrette. See Sonoran Outcome measures, 259 Phone books, 148–49 North Land Use Character Charrette Output (business) multipliers, 398 Physiognomic profiles, 103, 103 North Sonoran Collaborative, 230, 415–16 Overlay method Physiography, 16, 67–68, 73, 117–18 Northern Spotted Owl Conservation Plan, critical areas and, 340 Physiography of the United States (Hunt), 67 352 Desert View Tri-Villages Area (Phoenix, Pijawka, David, 297, 313–14 NPDES. See National Pollution Discharge AZ) and, 370 Pinchot, Gifford, 23–24 Elimination System environmental resource zone as, 408 Pine Barrens. See Pinelands (New Jersey) NPS. See National Park Service Hillside Ordinance and, 377 Pine Barrens Treefrogs, 127, 276 NRCS. See Natural Resources Conservation historic preservation and, 352 Pinelands (New Jersey) Service overview of, 17 agriculture in, 179 NRCS important farmland mapping pro- suitability analysis and, 200–6 biophysical inventory and analysis and, gram, 190–91 wetlands and, 349 122, 123–30, 135–36 zoning and, 332 environmentally sensitive areas in, 341– Objectives, 257, 302 Oxisols, 94 44, 344 Oceanography, 82 human community inventory and analy- Odum, Eugene, 52, 82 Palazzo, Danilo, 9 sis and, 176–78, 185 Official review, 385 Palissy, Bernard, 73 landscape plan for, 264–66 O’Harrow, Dennis, 335 Palouse path, 304–11, 306, 307, 310 overview of, 45, 45–48, 46, 47 O’Keeffe, Georgia, 8 Paradise Creek, 309 population trends and, 182 Old Testament, 353 Parent materials, 91 potential land-use conflicts in, 177, 177 Olin, Laurie, 326 Participant observation, 170–71 projected land use in, 178 Olmsted, Frederick Law, 8 Participation. See also Public participation transfer of development rights and, 364 Open space, 297, 297, 299, 302–3 Participation process support, 272, 274, 275 visual types in, 180, 181 Operating and maintenance costs, 399, Patterns, 171–73 Pinelands Comprehensive Management 400 Patton, Carl, 169 Plan. See New Jersey Pinelands Com- Optional plans, 230–35 PDR. See Purchase of development rights prehensive Management Plan Options and choices Peach Bottom Township, 374, 375 Piscopo, Ornella, 219 Blueprint for a Sustainable Bay Area and, Pearthree, Philip, 64 Place making, 413 285 Pease, James, 194–98 Planned unit developments (PUDs), 334 charrettes and, 235–41 Peck, Sheila, 54, 213, 352 Planning. See also Ecological planning citizen referendums, synchronized sur- Pedalogy, 87 administration and, 381–82 veys and, 242–43 Pennsylvania, 6, 369 budget and, 385–91 Dane County, WI, and, 283 Pennsylvania model. See McHarg suitability defined, 4, 9 goals-achievement matrices and, 243 analysis method misuse of slope and, 68 in Camp Pendleton region, 247–50 Perceptually and culturally critical areas, new approach for, 9 in Portland, OR, 245–47, 249–50 341, 341–42 normative, 411 optional plans and, 230–35 Perennial snow ice, 18 planning commissions, review boards public hearings and, 244 Performance standards, 22–23, 335–39, and, 382–83 scenario writing and, 243–44 336–37 planning staffs and, 383–85 task forces, citizens’ advisory committees, Performance zoning, 335, 336–37, 338 procedural requirements for, 385 technical advisory committees and, Periodicals. See Newspapers and periodicals traditional framework of in U.S., 5–9 241–42 Permit systems, 338 working plans and, 23–24 Oregon. See also 1000 Friends of Phases, 87 Planning, programming, and budget system Oregon Phillip II (King of Spain), 353 (PPBS), 382, 385–87 citizen involvement in, 273 Phoenix Environmental Showcase Home, Planning Areas C & D. See Desert View Tri- community needs assessments and, 175– 314, 313–314 Villages Area (Phoenix, AZ) 76 Phoenix metropolitan area. See also La Planning choices. See Options and choices comprehensive planning and, 254–55 Lomita Charrette Planning commissions, 382–83 ecological plan administration in, 23 Arroyo Vista Charrette and, 301 Planning Enabling Act, 382 population trends, planning and, 142 charrettes and, 236–37 Planning options. See Options and choices Portland, 404–7 development projections for, 160, 161 Planning process, 3–4 referenda in, 242 landsat image of, 61 Planning staff, 383–85 467 INDEX

Planning Standards in Industrial Zoning Proposed comprehensive plans, 246 Recreational carrying capacity, 218 (O’Harrow), 335 Psychophysical paradigm, 172 Reed, David, 377 Plans Build Out scenario, 247, 248 Public agencies, 144–45 Rees, William, 217–18 Plants. See Vegetation Public hearings, 38–40, 40, 244 Referendums, 242–43 Plater-Zyberk, Elizabeth, 236, 316–17 Public land management, 365–66 Region 2040 Planning Process, 405–7 Play, 108 Public opinion polls, 35–38, 38 Regional center program, 389 Polders, 210, 211 Public participation Regional climate, 56–62, 127 Police power, 6 benefits of, 27–28 Regional Growth Areas, 265 Policies, achievement of, 257–60 citizens’ advisory committees, technical Regional Growth Goals and Objectives Policy Delphi, 34–35 advisory committees and, 29 (RGGOs), 406 Policy plans, 253 components of, 28 Regional landscape analysis, 13–14 Polygons, 214–15, 215 Delphi and, 33–34 Regional Municipality of Waterloo, 340–41 Polyzoides, Stefanos, 316–17 ecological planning and, 13, 20–21 Regional Plan Association of New York, Pope, Alexander, 187 effectiveness of techniques for, 36–37 321–23, 326 Population characteristics, 150, 153, focus groups and, 31–33 Regional planning, 22 157–59 group dynamics and, 30–31 Regulations, 6, 329 Population projections, 150, 153–57, 157– neighborhood planning councils and, Regulatory power. See also Spending power; 59, 160 29–30 Taxation Population trends nominal-group workshops and, 31 building codes and, 355–57 in Pinelands, 182 overview of, 271–74 condemnation, exaction and, 358 overview of, 150, 151, 151, 152, 154, 157– Policy Delphi and, 34–35 covenants and, 357–58 59 public opinion polls and, 35–38, 38 critical or environmentally sensitive areas planning and, 142 task forces and, 28–29 and, 339–44 revenue sources affected by, 401 techniques for, 274–75 design guidelines, controls and, 339 Portland, OR, 245–47, 249–50, 404–7 techniques for and effectiveness of, 36–37 floodplain management and, 344–46 Potawatomi Land Trust, 402 town meetings, public hearings and, 38– habitat conservation plans and, 349–52 Potential land suitability, 207, 210 40, 40 historic preservation and, 352–53 Powell, John Wesley, 53 Publications. See Newspapers and periodi- impact fees, land dedications and, PPBS. See Planning, programming, and cals 358–59 budget system Puerto Rico, 360, 393 overview of, 329–30 Pragmatism, 412, 413 Pullman, WA performance standards and, 335–39 Preapplication stage, 385 new facility conceptual design and, 304– planned unit developments (PUDs) and, Precipitation, 121, 124 11, 306, 307, 310 334 Preference surveys. See Public opinion polls species matrixes for, 104, 106 subdivision regulations and, 353–54 Preferential assessment system, 366, 366, water budget for, 75, 76 wetland and riparian area protection and, 369 Purchase of development rights (PDR), 346–49 Prescriptive zoning ordinances, 335 360–63, 361 zoning and, 330–34 Preservation Area Districts, 264, 265 Puritans, 38–39 Reilly, William, 346, 347 Preservation zones, 363–64 Pygmy forests, 126–27 Relationships, 173–75, 174 President’s Council on Sustainable Develop- Relative policies, 338, 339 ment, 8, 238 Qualitative data, 141 Removal areas, 352 Press releases, 276 Quantitative data, 141 Reps, John, 38, 330, 353 Prigogine, Ilya, 24 Quay, Ray, 256 Rest stops, 308 Primary sectors, 163 Questionnaires, 163, 280–81 Restrictive covenants, 357. See also Priorities, 259 Quinby, Peter, 52–53 Covenants Privacy, 168 Results-based governments, 382 Private conservation alternative, 248–49 Radio, 278–79 Reveille for Radicals (Alinsky), 7 Procedural requirements, 385 Radon gas, 63 Review boards, 382–83 Process goals, 42–43 Raintree, John, 293 Revised universal soil loss equation Process monitoring, 394 Ranch conservation plans, 293–95 (RUSLE), 90 Process scenarios, 244 RAND Corporation, 33. See also Delphi Reynolds, Stephen, 63 Processes, 52 Rangelands, 18 RGGOS. See Regional Growth Goals and Program linkage, 369 Ranking, 194 Objectives Program strategies, 387–91 Rationalism, 411–12 Rhodehamel, E. C., 124 Project planning, defined, 4 Reactive planning, 272, 274, 275 Ricklefs, Robert E., 99 Projections. See Population projections Reagan, Ronald, 8, 333 Riddick, W. L., 236 Property rights, 6, 23, 333 Realists, 7 Rielke, R. A., 56 Property rights movement, 333 Receiving zones, 363–64 Riparian areas, 82, 84, 346–49 Prophecy scenarios, 244 Recommended comprehensive plans, 246 Roosevelt, Franklin, 188 468 INDEX

Roosevelt, Theodore, 8 SIC code. See Standard Industrial Classifica- Solar energy, 300–301 Rosenzweig, James, 412 tion code Solar orientation, 354, 354 Rowe, Peter, 315 Siegler, Theodore R., 399 Soleri, Paolo, 304, 315–16 RPA. See Regional Plan Association of New Sieve-mapping overlay method, 202 Sonoran Desert, 57, 65, 81, 94, 314 York Silts, 91 Sonoran North Land Use Character Char- Ruderal plants, 103. See also Weeds Simulation, 295–96, 296, 297 rette, 237–41, 238, 239, 240, 241, 255– Rule making, 413 Simulation model, 154 57, 256, 296–97 Rules of combination, 204 Simulations, 244 Sonoran Preserve Advisory Committee, Running-water habitats, 82 Single-family residential settlement, 111 416 Runoff, 90 Sinton, John, 139, 176, 185 Sonoran Preserve Master Plan Rural desert overlay, 370–71 Site assessments (SA), 191, 192–94, 195, decision making and, 230, 232–35, 233, Rural Development Areas, 265 197, 199. See also Agricultural Land 237–41, 238, 239, 240, 241 Rural population growth Evaluation and Site Assessment implementation strategies of, 256–57, in Whitman County, WA, 220–22, 225–26, (LESA) System 259 226, 335, 335 Site design, 292–93 South Avenue Streetscape Charrette, 237 trends in, 150, 152 Site planning, 292 Southern Living, 277 Rural residential settlement, 111 Skilled leadership, 30 Space Imaging Eosat, 54, 55 RUSLE. See Revised universal soil loss Skunk Creek Wash, 77 Special Agricultural Production Areas, 265 equation Slide traces, 323 Special features, 378 Sliding-scale zoning, 373, 375 Spending power, 359–66 Safina, Carl, 82 Slope Spirn, Anne, 9, 172, 291–92, 323 Salt River drainage basin, 76 calculation of erosion and, 90 Spodosols, 94 San Francisco Estuary Institute, 145, 148 Camp Pendleton region (CA) and, 132, SPOT Image Corporation, 54–55 Sanborn Map Company, 148 134 Spread build-out alternative, 248, 249 Sand, defined, 91 Desert View Tri-Villages Area (Phoenix, Staatsbosbeheer, 20 Sarkissian, Wendy, 28 AZ) and, 69 Standard Building Code (SBC), 355 Satellite imagery, 54 infiltration rate and, 75 Standard Industrial Classification (SIC) Satterlund, Donald, 52 overview of, 71 code, 163 Sawicki, David, 169 physiography and, 68 Standard Zoning Enabling Act, 331 SBC. See Standard Building Code solar radiation and, 97 Standing-water habitats, 82 Scablands, 225 Small-group involvement, 30 Stankey, George, 218 Scale, 13–14, 52, 54, 142 Smart growth movement, 365 State Land Trusts, 106 Scale/Tool matrix, 351 Smith, Daniel, 9 States, 244, 348–49, 350, 366. See also Spe- Scandurra, Enzo, 9, 12, 219 Smith Jr., Paul, 116 cific states Scenario writing, 243–44 Smithsonian Institution, 342 Steepness, 71, 97 Scenic areas, 342–43 So, Frank, 364, 387, 390 Steinitz, Carl, 178, 180, 213, 247 Schedules, 259 Social impact analysis, 402–4, 404 Steinitz landscape planning process, 132, Schmandt, Michael, 173 Soil capability classification, 87 133 Scientific areas, 342 Soil drainage, 90 Stengers, Isabelle, 24 Scio Township, MI, 402 Soil erosion. See Erosion Stokes, Samuel, 339 Scoping of issues, 394, 396 Soil Erosion Service, 188 Strahler, A. N., 78 Scores, 191 Soil potential, 191, 192, 193 Strategic planning, 28, 254 Scottsdale, AZ, 377–79 Soil productivity, 191–92, 193 Strategies, defined, 259 Second-order streams, 78 Soil profiles, 87, 89, 92, 93 Streams, 78, 80, 119, 132, 394 Secondary sectors, 163 Soils Structured processes, 31 Sedimentary rocks, 64 as baseline natural resource, 16 Subdivision regulations, 353–54 Self-surveys, 35, 38, 38 as inventory element, 86–95 Suburban desert overlay, 370–71 Semi-concentrated concept, 234, 235 Camp Pendleton region (CA) and, 132, Sudman, Seymour, 169 Sending zones, 363–64 135 Suffolk County, NY, 362, 362–63 Sensitive lands, 377–79 capability classification and, 188–200 Suitability, 187, 188 Septic systems, 335 classification of, 93, 93, 94 Suitability analysis, 17, 187–88, 204, 205, Service activities, 398 climate and, 118 215, 216 Service districts, 368 defined, 86 Superposition, 63. See also Overlay method Settlement patterns, 111, 113–15, 113, 114, geology and, 116 Surface water, 75, 119, 126 143–45, 143, 144 New Jersey Pinelands and, 126 Surficial geology, 16, 65 Shadowing, 331 representative profiles of, 93 Surficial hydrology, 16 Shetter, Kim, 313–14 Soil series, 87 Surrey Design Charrette, 237 Shift-and-share analysis, 166 Soil suitability, 207, 210 Survey Research Center (U. Michigan), 169 Shrader-Frechette, Kristin, 417 Soil surveys, 86–87 Surveys, 167–69, 280, 280–81 469 INDEX

Sustainability analysis, 19 Trust for Public Land (TPL), 369 soils and, 119 Sustainable design. See Design Trustees of Public Reservations, 360 wildlife and, 119–20 Sustainable development, 11 Tucson, AZ, 407–9, 408 Ventilation, microclimate and, 96–97, 97 SYMAP, 213 Tucson Solar Village, 316–17, 317 Verburg, Edwin, 257 Symposia, 275 Tugwell, Rexford, 8 Verde Valley greenway, 172–73 Synchronized surveys, 169, 242–43 Tundra, 18 Vertisols, 94 Tuttle, Andrea, 218 Victor, CO, 269 Tahoe Regional Planning Agency, 218 Twain, Mark, 8 View-from-the-road approach, 172 Takings clause, 6, 333 Two Treatises of Government (Locke), 6 Village planning committees, 30. See also Taliesin West, 314–16 Tyrwhitt, Jacqueline, 202 Neighborhood planning councils Tanks, 100 Vink, A. P. A., 207–8 Targets, 259 UBC. See Uniform Building Code Visitor attitudes, 218 Tarlet, Jean, 9 Udell v. Haas, 332 Visual resource assessment, 171–73 Task forces, 28–29, 241–42, 242 Ultisols, 94 Visual types, 180, 181, 183, 184 Tax increment financing (TIF) districts, Underhill, Michael, 314, 315 Volcanism, 63 367 Underwood, Max, 316 Voluntary covenants, 357. See also Taxation, 193, 267, 366–67, 399–402, 403 UNESCO Total Environment Checklist, 17 Covenants TDM. See Total design method Uniform Building Code (UBC), 355, 356 Voluntary restrictive agreements, 366 TDR. See Transfer of development rights United Nations, 393 Voytek, Kenneth, 163 Technical advisory committees, 29, 241–42, Universal soil loss equation (USLE), 90 242 Universities. See Colleges and Universities Walker-Macy, 406 Technical staff review, 385 University of Pennsylvania suitability analy- Wallace, David, 363 Telephone surveys, 167–69 sis method. See McHarg suitability Wallace-McHarg Plan for the Valley, 363 Television, 278–79 analysis method WASH. See Watercourse amenities, safety Teller County/ Woodland Park (CO), 266– University of Wisconsin extension program, and habitat ordinance 69, 267, 268 279, 279–85, 280 Wash vegetation, 100 Tennessee Valley Authority, 8 Unstable slopes, 378 Washes, 77 Tenth Amendment, 6 Upper desert landforms, 378 Washington, 6, 220–22, 225–26, 335, 335 Terrain, 67–71 Urban Ecology, 285–88 Washington Growth Management Act, 340, Tertiary sectors, 163 Urban growth boundaries, 405, 405, 407 359 Textures, 90–91 Urban heat island effects, 57, 61, 62 Washington State Environmental Policy Act Thermal admittance, 98 Urban infrastructure, 193–94 (SEPA), 339–40, 393, 394–96, 395, 397 Third-order streams, 78 Urban lands, 18 Waste, 303 Thoreau, Henry David, 8 Urban management program, 389, 390 Water, 18, 71–86 Three-E’s, 323, 325 Urban morphology, 71, 74, 173 Water cycle. See Hydrologic cycle Threshold determinations, 395 Urbanization, 130, 150, 152 Water quality areas, 343, 343 Threshold-level analysis, 281, 282, 285, 285 User activities, 165 Water use and quality, 303 Thresholds, 218, 281, 282, 285, 285 User groups, 165–67, 167, 168, 175 Watercourse amenities, safety and habitat TIGER line files, 148 U.S. Agency for International (WASH) ordinance, 407–9 Timing, 31 Development, 393 Watercourses, 378 Tiner, R. W., 84 U.S. Geological Survey, 55 Waterloo, Ontario, Canada, 340–41 Tolerable soil loss, defined, 90 USLE. See Universal soil loss equation Watersheds, 14, 52–53 Toner, William, 373 Utilitarian landscape plans, 253 Weber, Bruce, 368 Tonto Apaches, 108, 110 Utilities, 360 Websites, 276 Topoclimate, 95–96, 99 Utopian landscape plans, 253 Weeds, 103 Torrifluvent soils, 93 Weighting, 194–95 Total design method (TDM), 168–69 Valladolid, Spain, 104, 107 West Colfax Pedestrian Improvement Town and Village Areas, 265 Van der Ryn, Sim, 9, 21 Demonstration Project, 312–13, 312, Townhouse residential settlement, 111 Vegetation 313, 314 Town meetings, 38–40, 40 as baseline natural resource, 16 Western Australia Department of Planning Trade areas, 281 as inventory element, 99–104 and Urban Development, 237 Transfer of development rights (TDR), 361, Camp Pendleton region (CA) and, 132, Western Rural Development Center, 278, 363–64, 364 137 396 Transition Zone, 63, 63 climate and, 118 Wetlands Transitional areas, 352 geology and, 117 as critical areas, 341 Transportation, 44, 304, 305 land use and, 119 classification of, 18, 83, 84 Trends. See Population trends microclimate and, 97, 98 overview of, 82–84 Tri-Villages Area. See Desert View Tri- New Jersey Pinelands and, 126–27 protection of, 346–49 Villages Area (Phoenix, AZ) physiography and, 117 Whitman, Walt, 8 470 INDEX

Whitman County, WA geology and, 117 Wright, Frank Lloyd, 314–16 important farmland mapping in, 190 New Jersey Pinelands and, 127, 128–29, Wright, Lloyd E., 191 rural housing areas in, 220–22, 225–26, 130 Wyoming Wetlands Act, 349 226 physiography and, 118 zoning compliance in, 385, 386–87, 388– vegetation and, 119–20 Yakima County, WA, 244 89 Williams, F. B., 331 Yaro, Robert, 318, 321, 326, 416, 417 zoning ordinance for rural housing in, Wilson, Kevin, 318, 323 York County, PA, 373–77, 374 335, 335 Windfalls, 363 Young, Gerald, 16 Wickersham, Kirk, 338 Windshield surveys, 172 Your Town Workshops, 353 Wild and Scenic Rivers Act, 318 Wipeouts, 363 Wilderness recreation areas, 342 Wisconsin, 215, 367 Zelinka, Al, 256 Wildlife Wise use movement, 333 Zoning, 330–34, 333, 369. See also Planned as baseline natural resource, 16 Woodland Park, CO. See Teller County/ unit developments (PUD) as inventory element, 104–7 Woodland Park (CO) Zoning adjustors, 385 Camp Pendleton region (CA) and, 134, Work, 108 Zoning review boards, 383 138 Working plans, 23–24 Zube, Ervin, 171–72 carrying capacity and, 217 World Bank, 393 Zuider Zee, 210, 211, 212 climate and, 118–19 World Commission on Environment and defined, 104 Development, 11 ABOUT THE AUTHOR

Frederick Steiner directs the School of Planning and Landscape Architecture at Ari- zona State University. As a professional planner, he has participated in a number of community and regional plans, in Arizona, Colorado, Washington, Rhode Island, and elsewhere. In 1997, he received a grant from the U.S. Environmental Protection Agency’s Sustainable Development Program with David Pijawka. He was the 1998 Rome Prize Fellow in Historic Preservation and Conservation at the American Academy in Rome and was a 1980 Fulbright research scholar in the Netherlands. The author of many professional papers and books in addition to the first edition of this book, he holds B.S., M.C.P., M.R.P., M.A., and Ph.D. degrees in planning and design from the University of Cincinnati and the University of Pennsylvania.

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