Defining Planning

"Planning is a process through which society’s goods and

services are distributed as equally and efficiently as possible
according to the will of the people and with regard to the future."

The word "process" means that planning is undertaken in an

orderly manner through established rules and regulations. For
example, at its most basic, the process of creating a plan has
three phases:

If we are focusing on a specific issue or problem in a community,

then the typical process looks like this:
And other times, we shorten the process to simply "Knowledge
Leads to Action". In all cases, the process is open, inclusive of
multiple publics and undertaken under a doctrine of fairness. In
most cases, the planning board or commission will have overall
responsibility for plan creation.

In other words, its members will be responsible for undertaking

the inventory, analyzing critical factors, setting goals and writing
the plan. Rarely will it have the responsibility of implementation.
You may want to keep this phrase in mind:

"Planners plan, others implement"

 "Goods and Services"
"Planning is a process through which society’s goods and
services are distributed as equally and efficiently as possible
according to the will of the people and with regard to the future."

The term "goods and services" relates to those activities that

are a common focus of the local government. These range from
protecting the environment to affordable housing, economic
development and providing for the community’s infrastructure.
Please note that not all communities provide the same goods and
services. For example, some communities have their own
hospitals but are not responsible for the funding of the schools.
Local conditions always prevail!

Ten Examples of Planners Goods Ten Examples of Planning

Services
1. Financial Assistance to First
Time Home Buyers 1. Writing Applications for
Community Development Block
2. Facade Grants for Downtowns Grants
3. Tax Increment Agreements for 2. Preparing Applications for
Industry Community Development
4. The Acquisition of Open Space Corporations

5. The Protection of Farmland 3. Revising Zoning By-Laws

6. The Expansion of Water Systems 4. Updating Subdivision

Regulations
7. Land Acquisition for New
Schools 5. Organizing a Master Plan
Committee
8. The Development of a Sign
Buyback Program 6. Analyzing Demographic Trends

9. The Creation of a Revolving 7. Overseeing the Capital

Loan Program Improvements Process

10. Development of a Bike Path 8. Coordinating Activities with the

Conservation Commission

9. Insuring that a Proposal Meets

Environment Protection
Regulations

10. Advising the Mayor

 "Equally"
"Planning is a process through which society’s goods and services
are distributed as equally and efficiently as possible according to
the will of the people and with regard to the future."

The word "equally" is probably the most value laden term in our
definition and implies two points. First, it implies that all citizens
share in the community’s assets and liabilities. Too often equality
is confined to those who vote and those who own their own
homes and have lived a long time in the community. We need to
insure that under equality all of our citizens share in the planning
process. Secondly, the term implies that those who are in need
of assistance form the focal point of local planning. At times, this
means providing safe drinking water to the oldest section of a
city, cleaning up brownfield sites next to derelict areas or
insuring that the "old-old" (those people over eighty-five years of
age) have the resources they need to stay in the community. We
cannot define the term any more than we have, for it can only fit
in the context of your community. However, we can say that
planning’s umbrella must cover the needs of all people in the
community. No easy task!

Ten Typical Test Questions Concerning Equality

1. Are we directly helping to meet the housing

requirements of those with the greatest need?
2. Are we insuring that all neighborhoods are obtaining
their fair share of capital improvements?
3. Are we insuring that all parts of our community are
participating meaningfully in the process?
4. Are we practicing bottom-up planning?

5. Are we doing our best to empower our

neighborhoods?
6. Are we keeping track of discrimination issues?

7. Are our banks living up to their obligations under the

Community Reinvestment Act?
8. Are we committed to the Americans with Disabilities
Act?
 9. Have we incorporated human services needs into our
plan?
10. Is our master planning committee fully
representative of our community?

"Efficiently"

"Planning is a process through which society’s goods and services

are distributed as equally and efficiently as possible according
to the will of the people and with regard to the future."

The word "efficiently" implies that planning will operate with

respect to the ability of a community to pay for its goods and
services and to provide only those regulations that are required
to meet local needs. However, local government is not a business;
it is an institution that is designed to protect and nurture its
citizens. As such, it is often required to ask for resources from
one segment of society to be given to another. How this occurs,
once again, depends on local values.

Concerning regulations, we have to balance two great American

phrases: "There ought to be a law" vs. "Government governs
best when it governs least." We know of small communities with
zoning regulations of greater than 150 pages addressing, among
other details, the shades of allowable paint colors on a home. We
have also heard the phrase that "a planner would slap a
regulation on a passing horse!" And we know of other
communities where the term "zoning" is almost an epithet. At the
end of the day, we argue that the middle ground between the
two positions noted above will probably best fit your community.

"According to the Will of the People"

"Planning is a process through which society’s goods and services

are distributed as equally and efficiently as possible according
to the will of the people and with regard to the future."

Next, our definition focuses on the phrase "according to the

will of the people." At first glance, this phrase seems
innocuous. Those people that vote have the right to determine a
community’s direction. We have no argument with this statement;
the will of the majority should and will prevail. But we ask you to
consider a New Yorker cartoon where one congressperson is
asking the other "Are you talking about your people or my
people?" Within the humor there is a strong statement; we are
obliged to respect and meet the needs of all people, including the
impoverished, uneducated, the elderly, or the dispossessed. It
also implies that we will be concerned with those people yet to
reside in the community. In short, it is essential that we insure
that the "will of the people" is expressed only after our citizens
are as informed as possible.

"With Regard to the Future"

"Planning is a process through which society’s goods and services

are distributed as equally and efficiently as possible according to
the will of the people and with regard to the future."

Finally, we conclude our definition with the phrase "with regard

to the future." None of us have a crystal ball and few of us feel
comfortable with being described as visionaries or utopianists.
And yet, we all have the ability to examine trends and to project
these actions to future years. As we move from the near future
to the far future, our confidence in these projections typically
erodes. For this reason, planners tend to focus on short term
actions rather than those that may take place ten or twenty
years from now. We believe that it is essential that local planners
focus on both. Your community should have concrete short term
objectives as well as a sense of where it wants to be twenty
years from now.

All of us have a "feel" for the future. In writing this course, we

have decided to list ten trends that we think are likely to happen
over the next ten years. Some you will agree with, others, we
expect, you will not.

With Regard to the Future

1. We will add another decade to our lives; the average

person will live into their 90’s.
 2. We will have electric cars in the marketplace.

3. There will be more national chain stores in our

communities.

4. Banks will all be part of a national network.

5. We will have fewer children.

6. The needs of the "old-old" (over 85 years of age) will

become a priority.

7. We will change jobs with greater frequency.

8. Crime will continue to fall.

9. We will rely less on the federal government.

10. We will be less involved with "city life."

Common Terms

We are often asked to define the basic terms of planning. We do

so with some trepidation; they may have different meanings as
one moves across the nation. For example, in many states, the
term subdivision is simply the reparcelization of a tract of land
into two or more lots. In other states, the definition also requires
construction of a new road. In still others, lots greater than five
acres are exempt. The point is that it is essential for you to know
how your own state, courts and localities explicitly define key
planning terms.

The first of the planning terms we will discuss is comprehensive

planning When a community undertakes comprehensive planning
it will inventory and analyze all the of the elements involved in
community life over which local government has control. The
notion of comprehensiveness is holistic and integrated for it
involves all aspects of community life: residential, recreational,
economic and commercial development, transportation, facilities
and utilities management, infrastructure, and environmental
considerations. It should also be noted that the term is often
used interchangeably with such phrases as the master plan or
the general plan. Thus, if you see plans described as
comprehensive, master or general, you can feel reasonably
assured that they have the same meaning.
We describe the term strategic planning as different from
comprehensive planning. Strategic planning can be defined as
the process by which a community selectively focuses upon areas
of critical concern. For example, rather than attempting to
control all growth on the north side of the city, it develops a
sewer and water system avoidance strategy. The community
attempts, in short, to intervene only as much as is required to
determine the desired result.

The Operational plan is the Learn More...

action component that flows
from the comprehensive or Learn more about comprehensive and
strategic planning in Comprehensive
strategic plan. It typically will City Planning: Introduction and
focus on short, moderate and Explanation by Melville C. Branch and
long term actions that a Strategic Planning in Local
community should take to Government by Roger L. Kemp.
improve an area of the Branch's book provides an
introduction to city planning for
community (i.e. The Northside,
planning officials, students and
Downtown) or an area of professionals. Strategic Planning
particular concern (i.e. open reports on the progress planners have
space, transportation). made in integrating strategic planning
into their communities. Available
A critical component of all through the American Planning
Association's Planners Book Service.
these plans is to set goals and
objectives. These terms are also, too frequently, used
interchangeably. They are quite different, however. Goals are
general and describe the desire to get to some broad end state
(i.e., to improve the quality of life of all citizens in Pleasantville).
Objectives flow from goals, are more specific, more action
oriented and, above all, are measurable. They reflect the limits of
time, financial capital and human resources available. For
example, an objective that flows from the above stated general
goal could be to create 100 acres of additional park land over the
next ten years in each of the four wards of the community
through state grants. Please note the measurable indicators: the
number of acres (size of project), ten years (the time), and the
funding (state grants).
Zoning is another basic term that needs defining. At its most
basic, zoning is the determination of the highest and best use of
land according to the will of the people. Lindbloom and Moskowitz,
planning consultants and authors of the Illustrated Book of
Development Definitions, define it as the delineation of districts
and the establishment of regulations governing the use,
placement, spacing, size of land and buildings. Zoning is still the
most fundamental power that local communities have to
determine their character and land use. As such, it is critically
important that zoning decisions flow from the master planning
process.

Our final definition focuses upon Capital Improvements

Program (CIP). The CIP also should emerge from the master plan.
It is the schedule of large public expenditures that are required
to maintain and improve the community's character and quality
of life. They will typically focus on such projects as new schools
or libraries, road upgrades or the expansion of water and sewer
systems.

We have provided these terms simply because it is important for

us to understand the basic components of planning. Above all,
we would like you to remember six points:

Definitions are different as one moves across the country. Your

state and local governments and courts may have defined them
differently than we have.

Comprehensive planning examines all areas of public concern. It

is holistic and integrative.

Strategic planning is selective intervention into areas of public
concern.

The operational plan is the action component that flows from the
comprehensive or strategic plan.

Goals and objectives are different. Goals are broad and

general. Objectives are specific and measurable.

Zoning and the CIP should, ideally, emerge from the

comprehensive plan.

Who is Responsible?

In a direct sense, it is the citizens of your community. The future

planning of our communities is a function of the electorate, either
directly through the ballot or town meeting or indirectly through
various boards. With the exception of New England and its town
meeting system, most local planning across the country is the
responsibility of elected and appointed boards. Yet, regardless of
where we live or the type of local government system under
which we live, local planning is marked by decentralized decision
making. We have often heard, with some exasperation, the
statement that

"no one is in charge!"

At its most basic, there are typically six organizations involved in

local planning:

Planning Board or This organization typically is

Commission responsible for overseeing the
development of master plans and the
implementation of zoning and
subdivision regulations.
Zoning Board of Appeals or This organization has the responsibility
Adjustment of insuring that the zoning ordinance
(or by law) is fair according to a
prescribed set of criteria.
Office of the Executive (i.e. This executive will typically develop the
Mayor, Board of Select Capital Improvements Program.
Persons)
Finance Committee This organization has the responsibility
of determining the fiscal impacts of
growth and the degree to which the
community can afford to pay for
recommended captial improvements.
Board of Health This organization has the responsibility
of determining if the land is suitable for
septic system development and/or if
the land has the characterstics
necessary to handle water run off.
Conservation Commission This organization will have the
responsibility of determining land that
cannot be built due to the fact that
they are wet or swampy.

You can see that we are not exaggerating when we state that "no
one is in charge." In any case, the important point is that local
planning involves direct and indirect citizen involvement and is
decentralized. It may not be efficient but it works! We expect
that your community, while having different boards, will be
equally as decentralized. Have patience!

Planning Expectations

Finally, we close this lesson with a brief discussion on planning

expectations. Local planning officials have to make choices. For
this reason alone, it is essential that you have as much
information before you as possible. We know however, that it is
rare that you have all the facts required to make decisions easily.
Therefore, you must listen and make your decisions based upon
the best information you have. You also have the obligation to
operate within a philosophy of maximum citizen input, reflect on
the needs of the under-represented (or non-represented)
residents of the community, understand the law, and develop
plans and procedures to guide the community in its future
direction. It is a tremendous responsibility!
Bibliography & Additional Resources

The American Planning Association's Public Information Page.

The American Planning Association's Public Information Page
maintains a Fundamentals section with definitions and other
useful information about planning including acronyms and
abbreviations and zoning terms.

Branch, Melville C. Comprehensive City Planning: Introduction

and Explanation. APA Planners Press (1985). Available through
the American Planning Association's Planners Book Service.

Moskowitz, Harvey S., and Carl G Lindbloom. The New

Illustrated Book of Development Definitions. Center for Urban
Policy Research (1997). Contains over 1,800 key terms used in
zoning, subdivision, site plans and environmental ordinances.
Available through the American Planning Association's Planners
Book Service.

Kemp, Roger L. Strategic Planning in Local Government. APA

Planners Press (1992). Available through the American Planning
Association's Planners Book Service.
 Introduction to Planning Principles

We thought that it would be beneficial to you if we established a

set of ten principles for you to think about as you go about your
important work. We have made them as pragmatic as possible
with the hope that you can clearly see how they relate to your
activities and community. They are explained below. Click on a
principle to see an example of the principle in action.

The Ten Principles

1. Planning requires knowledge of the greater world beyond
your community and about issues and trends over which the
community has little control.
2. Planning must integrate human and environmental factors
and examine the totality of the community.
3. Planning must be based on factual information, realizing
that there will always be incomplete knowledge and that
"fact," to some, may be "opinion" to others.
4. Planning requires the allocation of goods and services.
5. Planning must look forward, fully recognizing that risk and
uncertainty abound.
6. Planning is continuous. Planning problems are never solved
- they are only resolved for a moment in time.
7. Plans function as guides. They are not commandments,
doctrines, or absolute documents.
8. Local planning practice is always political.
9. Planning is based on law. The American system of planning
is based upon a patchwork quilt of United States and state
court decisions.
10. Planning requires patience. Planning is more like Ravel's
Bolero than Tchaikovsky's 1812 overture. It is not a case of
dramatic movements, bursts of energy and cannons fired
into the air.
Notes

Planning Requires Knowledge

Planning requires knowledge of the greater world well beyond

community borders and about issues and trends over which the
community has little control. We can offer three examples to
illustrate this point:

1. There is a telecommunications revolution in the works. Can your

community provide fiber-optic services so your companies can
compete?

2. The fastest expanding age cohort in the United States involves

people older than 85 years. What are their needs?

3. Your population is expanding due to immigration from all corners

of the globe. Is your school system prepared to meet their needs?

Examine Human and Environmental Factors

Planning must examine the totality of the community and

integrate human and environmental factors. There is a need for
balance between these factors. No one wants a loss of freedom,
but everyone has to live on a planet with limited resources.

Three examples will illustrate our point:

1. Animal waste is polluting our streams and our drinking water.

Yet our farmers provide the greatest number of jobs in the
community. And so...

2. A developer is about to ask permission to develop on the

intermediate uplands of our mountain. He/she has the right to
build. We are worried about run off, public access and
overdevelopment. And so...

3. With an unemployment rate of 15% we desperately need new

jobs. A company is interested in coming to town but requires
waterfront access. This will require the town to give up its last
piece of waterfront territory, which is a local haven for bird
watchers. And so...
Planning is Based on Facts
Planning must be based upon factual information, realizing that
there will always be incomplete knowledge and that "fact" to
some may be "opinion" to others. Inherent in this principle are
three points that we hope you will keep in mind:

1. You must be ready to make a "leap of faith." We have heard

experienced planners state that, as a rule of thumb, they are
prepared to make decisions based upon "70% fact and 30%
intuition."

2. It is your obligation to see that any and all questions posed by

the electorate are answered to the best of your ability. We know
that this takes time and can be frustrating. (We once were asked
about the color of uniforms to be worn at a fast food restaurant
to be located in a proposed shopping center. We found the
answer). Finding these answers is important.

3. Local citizens (as well as developers, environmentalists, etc.)

often throw "facts" around at will. It is essential that you know
the basis for these facts and that they are credible.

Goods and Services

Planning requires the allocation of goods and services. As such,

the question of who gets and who pays is never far below the
service. It has often been said that planners perform excellently
for the upper 80% income classes across the country and
miserably for the lowest 20%. While we don’t know the accuracy
of the statement, we believe there is some validity to it. We do
know that those on the lower rungs of the socio-economic ladder
are often hidden, rarely vote and infrequently participate in local
government. As one of our friends has stated: "The rich get
richer, and the poor write proposals." The less affluent deserve
special attention.
Three examples come to mind:
 1. The community has enough funds for a new park in three of its
four neighborhoods. These parks will add value to the homes in
each area. Will the poorest neighborhood be considered?

2. Continuing with the four neighborhoods, which is most apt to be

the prime candidate for a dump or power plant? The poorest or
richest neighborhood? Too often, these locally unwanted land
uses (LULU’s) end up in the poorest areas.

3. Which of the neighborhoods are most apt to have poorly timed

bus routes that require multiple transfers in order to get to
major work areas?

Planning Must Look Forward

Planning must look forward fully recognizing that risk and

uncertainty abound. It is critical to remember that we are obliged
to project forward to determine where the community is headed.
It is not uncommon to set goals and objectives for one, two to
three, and five years ahead. The Capital Improvements Program
is typically a six year projection and highway planners even move
beyond that in their projections. Two other good examples come
to mind: First, the revitalization of the Faneuil Hall Market was
first prepared in 1954, seriously planned in the early 1960’s and
completed in 1975. Despite the 21 years it took to complete the
project, it became Boston's premiere urban marketplace. The
unique array of shops, restaurants and outdoor entertainment
have made it a premiere urban destination and spawned
imitations in this country and abroad. The revitalization of Faneuil
Hall Marketplace signaled the rebirth of downtown Boston,
sparking major growth and renovation in the city. Secondly, the
city’s "Big Dig," a project to redesign its major transportation
artery was first proposed in 1969 and won’t be complete until
2005 (optimistically!). The point we are making is that it is
essential that planners look well beyond the immediate needs of
today.
We have three other points:

1. Planners should project forward in different increments: short

(one year or less), intermediate (two to five years) and long
term (five or more years).
 2. We have too frequently forgotten long term planning and given
into the phrase "If a project can't be completed in one term (of
the executive), it can't be done."

3. Planning operates differently than a corporation. Local planners

are not concerned with a quick return on investment. We can
stay the course.

Planning is Continuous
Planning problems are never solved - they are only resolved for
a moment in time. Planning problems are often labeled as
"wicked" since they are never easy to solve and rarely make all
the constituents happy. Each time we think we have planning
issues under control, something slips away. Given the complexity
of planning issues we can understand the difficulty in correcting
them. In fact, Edward Logue, the chief planner of Boston's
renaissance during the 1960's, reminisces that he picked up the
paper one day and read that the city was going to revitalize its
Prudential Center, another project that stimulated Boston's
recovery under Logue's tutelage some twenty years earlier. In
only twenty years, this architectural icon was already in need of
revitalization! This principle suggests three points to keep in
mind:

1. Planning issues require constant attention. For this reason, we

need to create a mind set where vigilance is the rule.

2. Planning issues involve the public sector, the private sector and
the public-private sector working together. These three entities,
however, will frequently work separately. Thus, not all of the
critical players will be at the table at the same time.

3. Quantitatively based decisions rarely work on their own.

Planning is also qualitative, cultural, and political.

Plans function as guides

Plans function as guides. They are not commandments, doctrines
or absolute documents. Flexibility is far more important than
rigidity. We have observed that the more fixed a plan, the more
apt it is to be shelved. Once a plan has been approved, it should
immediately become a working document. Because of the
extensive number of players in the process and the fact that no
one controls planning at the local level, this will require extensive
mediation, facilitation, consensus building, and debating skills.
The effort to convince people to "buy in" to a plan is just as
important as writing the plan itself.

We can illustrate how this can occur through three examples:

1. One community executive took all of her department heads and

committee chairs and asked them to sign the plan under the
statue of the town's most famed citizen in a ceremonial gesture
of commitment. When people place their signature on a
document, it has greater meaning. Each year, she now asks how
the plan relates to their agendas and how it should be
strengthened.

2. One mayor takes her staff on an annual retreat on the day after
Thanksgiving (she says that they rarely have anything scheduled
on the day of her compulsory meeting) to discuss how the
master plan will be translated into budget actions for the
following year.

3. One small town mayor calls an "all boards" meeting each quarter
to discuss the master plan. Each meeting is chaired by a host
board that sets the agenda and discusses the plan from its
perspective. This keeps the plan current and active.

Planning is Political

Local planning practice is always political. We remember the

great debates of the 1960’s when leading scholars debated
whether planning was a technical or political act. While it requires
technical input, it is clearly political; what gets planned rests with
the electorate. It may be amusing to suggest that there is a
Republican or Democratic way to plan or distribute resources at
the local level. Yet, we believe that political orientations
dramatically influence our actions. Inevitably, the question comes
down to how much government intervention or regulation is
necessary. We urge you to keep three points in mind:

1. Planning must ultimately rest with the will of the electorate. The
citizens will decide a plan's outcome by way of an almost
constant stream of small decisions.
 2. Planning must be sold. Citizens need to be convinced of its
merits and that the gains and sacrifices are worthwhile.

3. Planning, to paraphrase the words of Former House Speaker Tip

O’Neil, is always a local activity and must focus on those who are
most impacted by the proposed actions.

Planning is Based on Law

Planning is based on law. The American system of planning is
based upon a patchwork quilt of United States and state court
decisions. The end result of this is that communities have the
right to plan for the well being of their citizens. However, there
are limits on the controls and regulations that can be imposed. It
is important for all of us to be fully aware of these limits. It is
also important that each of us is aware of the unique legal
attributes of our states. Three further points come to mind:

1. There must be strict adherence to due process. Due process

relates to your state's legally binding regulations in regards to
public hearings, posting notices, open meeting rules, etc. This
often means that a failure to meet an exact detail can lead to
rejection of a regulation. We once wrote a zoning regulation that
was rejected by the state’s attorney general because the formal,
required newspaper announcement was too vague. A lesson
learned!

2. There must be free, open discussion of all planning activities that

follows the letter of the law. Secret or unannounced meetings
will lead to distrust.

3. There must be a sense of connectedness between what we are

proposing and a greater public good. Our actions must be firmly
grounded in our plans and in the need to insure that the public
will clearly benefit.

Planning Requires Patience

Planning requires patience. We will end this discussion with a

humorous illustration: Planning is more like Ravel’s Bolero than
Tchaikovsky’s 1812 overture. It is not a case of dramatic
movements, bursts of energy and cannons fired into the air.
Rather, it is the constant steady building to a crescendo where
the entire ensemble participates in unison. Like Ravel, we have
to move steadily, assuredly, broadly and involving all parties to a
desired end. Can we accomplish this?

Bibliography & Additional Resources

McClendon, Bruce. Mastering Change for Effective City Planning.

APA Planners Press (1988). Provides tested ideas and techniques
that show those in planning that they can win in the political
process and develop effective proposals and strategies. Available
through the American Planning Association's Planners Book
Service.

Driscoll, Jim. You Be the Judge: A Handbook for the Land Use
Decisionmaker. Driscoll and Hunter Publishe (1997). Helps planning
officials understand legal issues in order to reduce community liability.
Available through the American Planning Association's Planners Book
Service.
Introduction to Exterior Influences on Planning

Ten years ago it would have been unlikely that we would have
covered this topic. Yet, today, it is indispensable! While all
planning is local in terms of decisions, it must focus on influences
well beyond the community’s boundaries. In this lesson you will
learn about the four influences on planning: The Role of World
Markets, National Influences, The State Influence, and Regional
Influences.

The Role of World Markets

Whether we like it or not, we are increasingly a part of one world.

We have often heard the statement that "money knows no
boundaries." We think the statement is accurate. The speed and
ease with which funds, goods and services are moving across the
globe is only increasing. While there are many factors, both
political and technical, that have influenced this trend, we can
identify three that are particularly important. The first is the
Uruguayan Round of the General Agreement on Tariffs and Trade
(GATT), signed in Marrakech, Morocco on April 15, 1994, that
significantly lowered (and/or eliminated) tariffs throughout the
world. This resulted in an enormous shift in world markets. For
example, the City of Barre, Vermont, renowned for the quality of
its granite work, now had to face competition from Italian and
Indian quarries. The second was the North American Free Trade
Agreement (NAFTA) signed on November 17,1993, which unified
Mexico, Canada and the United States into one trade unit. While
the results of NAFTA are still unclear, it has helped to stimulate
firms that are reliant on cheap labor to seek sites in Mexico. The
third has been the rise of the European Union. With a unified
market of 380 million people, goods and services move across
most of the European continent with ease. It has also stimulated
American firms to obtain a European location or partner in order
to take maximum opportunity of this market. For example, the
Digital Equipment Corporation, with 50% sales in Europe has a
greater competitive advantage building a plant in Skye, Scotland,
as opposed to manufacturing a product in Maynard,
Massachusetts.
On the World Marketplace

1. Digital Equipment Corporation, before being sold to Compaq,

was Massachusetts’ 3rd largest employer and was headquartered
in Maynard, Massachusetts. Yet, it employed more workers in
Europe than the United States.

2. The Smith and Wesson Corporation, the famed maker of the

military’s 45 mm revolver is owned by a British company. Also,
Smith and Wesson lost its revolver contract with the United
States military to the Baretta Corporation, an Italian firm.

3. New England’s largest grocery store chain, Stop and Shop, is

owned by a Dutch firm.

4. The corporate symbol of Reebok sneakers, made in

Massachusetts, is the British Union Jack.

5. A Canadian company in Barre, Vermont makes New York’s

subway cars.

6. The largest high technology company in Worcester,

Massachusetts is the German conglomerate BASF.

7. Nomorro Bank of Japan has provided more than $1,000,000,000

in funds to invest in New England.

8. Cities and towns across the United States are regularly involved
in trade missions across Europe.

9. The most rapidly growing export sector in Massachusetts is

environmental services.

10. Iona Inc. from Dublin, Ireland, one of Europe’s most

rapidly growing computer firms, recently located to Cambridge,
Massachusetts to take advantage of the American market.

As you can see from point #10, Learn More...

it also works the other way. We
were in Columbia, South Read more about globalization and
the role of world markets.
Carolina’s airport not long ago
when we heard flight announcements in German. Upon asking
why this was occurring, we were told that South Carolina has
become a center of German firms taking advantage of the US
market. The amount of foreign investment into our
manufacturing, service and financial institutions is staggering. In
short, our teaching point is simply this: no matter where you are,
your economy is inextricably linked to the world. Your firms no
longer compete with the firm next door or across the country.
Their competitors are everywhere.

National Influences
While the international influences may seem indirect, the
national influences are more direct. We have often heard the
statement that there is no national planning but lots of national
plans in the United States. We agree with the statement. The
federal government has a direct influence upon local planning
through its income distribution programs (i.e. Head Start, tax
cuts, displaced worker programs, etc.), assistance in terms of
research and development, infrastructure programs, financial
assistance programs and grants in aid. A good grants person, by
reading the federal register, can find a "grant of the day." These
federal influences are rarely explained as being part of any
national strategy. Yet, by the end of the day, you can see that
they typically have an immense impact on the type of planning
that you undertake. We can illustrate this phenomenon through
the aforementioned "Big Dig." This project, once separately
funded by the congress at 2.4 billion dollars, has encountered
enormous cost overruns. As the amounts have increased,
congress has balked at adding new funds and has insisted that it
should be funded out of the State’s Intermodal Surface
Transportation Efficiency Act (ISTEA) allocation. Massachusetts
has done this, which has resulted in minimal funds for needed
improvements in other areas of the state.

There are other instances where the federal government plays a

direct role in terms of planning. The US Court system has largely
defined the legal elements of local planning (i.e. zoning). It also,
on occasion, will pass legislation that directly impacts local
planning activity, of which three examples come to mind. First, in
1969, Congress passed the National Environmental Protection Act
(NEPA), which required community after community to address
environmental factors in its decision making. Second, the
Telecommunications Act of 1997 states that local government
has no right to deny telecommunication towers within a
community’s jurisdiction. Finally, the federal government has
established standards that govern how building approval for the
location of biotechnology companies will be granted. There are
many other examples. The key point, however, is that there is a
strong federal influence in local planning activities. The federal
government provides an extensive array of opportunities for local
planning and plan implementation. The local community must be
prepared to take advantage of them. At the same time, it must
be prepared to meet federal requirements, standards and goals.

Ten Examples of the Influence of the Federal Government on Local Planning

Clean Air Act Requires communities to either reduce or not further

contribute to air pollution.

Corps of Engineers (CE) Requires CE approval of buildings along navigable

Permits rivers and streams.

Environmental Protection Act Requires disclosure of environmental impacts of

federally funded projects.

Telecommuniations Act Requires communities to find means to accomodate

telecommunications towers.

Department of DOT requires funds to be spent through the planning

Transportation (DOT) Funds of a Metropolitan Planning Organization (MPO): These
organizations are typically "small town" dominated.

Department of Defense DOD is required to purchase a % of its military goods

(DOD) Purchasing Policies from NATO nations rather than US firms.

Economic Development EDA requires the funds to go towards "public" rather

Administration (EDA) Public than "private" investment.
Works Grants

The Davis-Bacon Act Requires highest "Prevaling Wage" on projects

involving federal funds.

Americans with Disabilities ADA is a 1990 federal law designe to bring disabled
Act Americans into the economic mainstream by providing
them equal access to jobs, transportation, public
facilities and services.

Occupation Safety and Requires new investment in buildings to meet strict

Health Administration safety standards (i.e. elevators)
Standards
State Influences

The influence of the states on local planning is profound. The

states provide the direct legal basis for planning in terms of
defining key terms. Different states call plans by different names.
For example, the Comprehensive Plan or Master Plan in
Massachusetts is the same as the Plan of Conservation and
Development in Connecticut. In addition, the state, in effect,
serves as the chief legislature, judicial, and enforcing
organization for local planning. We cannot go in detail on how
each state interprets local planning. We can state, however, that
local planning is increasingly an area of focus for state
government. It is clear at the state level, that local planning
means different things in different states. For example:

Examples of Preambles

North Carolina
We, the people of the State of North Carolina, grateful to
Almighty God, the Sovereign Ruler of Nations, for the
preservation of the American Union and the existence of our civil,
political and religious liberties, and acknowledging our
dependence upon Him for the continuance of those blessings to
us and our posterity, do, for the more certain security thereof
and for the better government of this State, ordain and establish
this Constitution.

Rhode Island
We, the people of the State of Rhode Island and Providence
Plantations, grateful to Almighty God for the civil and religious
liberty which He hath so long permitted us to enjoy, and looking
to Him for a blessing upon our endeavors to secure and to
transmit the same, unimpaired, to succeeding generations, do
ordain and establish this Constitution of government.

Pennsylvania
We, the people of the Commonwealth of Pennsylvania, grateful to
Almighty God for the blessings of civil and religious liberty, and
humbly invoking His guidance, do ordain and establish this
Constitution.
Beyond providing the framework for planning, the states also
perform the function of helping to stimulate state initiatives
through planning. It will have a plethora of grant programs to
choose from, provide financial assistance for key activities and,
from time to time, play a direct role in insuring that cities and
towns do not "stray" from the state’s intention. A look at Rhode
Island’s grant programs, for example, shows that there are
several grant programs that are designed to stimulate growth,
provide affordable housing, improve transportation and protect
the environment. It is clear that the Rhode Island State
legislature has an agenda in terms of how it wants its
communities to develop. As with the federal initiatives, there is
no one forcing our cities and towns to pursue these grants.
However, from a planning perspective, they are important in
terms of improving the environment in which we live.

Examples of Rhode Island’s Grant Programs

The Rhode Island Housing and Mortgage Finance Corporation
provides financial and program support to create affordable
housing for low- and moderate- income Rhode Islanders. The
agency offers more than 20 programs in the areas of home
ownership and rental housing. Generally, there are purchase
prices and income eligibility restrictions. Since 1973, they have
financed 50,000 houses and 13,000 apartments.

Rhode Island Industrial-Recreational Building Authority was

established in 1954 by an Act of the Rhode Island legislature to
provide a 90% guarantee of the bonds (under the RI Industrial
Facilities Corporation’s industrial revenue bond financing
programs) for real estate and buildings and an 80% guarantee
on machinery and equipment.

The Office Of Housing, Energy and Intergovernmental Relations

was established in 1985 to manage programs in these areas, in
particular, federal grant programs related to housing (e.g., the
Small Cities Community Development Block Grant Program and
energy issues).

The Business Development Company of Rhode Island, a quasi-

public company, is an affiliate of the Greater Providence Chamber
of Commerce and was founded under state charter in 1953 and
restructured in 1985. The company is funded by its members,
Rhode Island’s commercial banks. Its mission is to provide
funding to RI businesses which cannot obtain financing through
traditional sources such as banks and finance companies.

The Rhode Island Industrial Facilities Corporation is a state

agency under the auspices of the State of Rhode Island
Department of Economic Development. It was established in
1964 by an Act of the RI legislation to provide tax exempt and
taxable industrial revenue bond financing.

Learn More...

Learn more about state funding

sources through The State and Local
Gateway, developed by the National
Partnership for Reinventing
Government.

Regional Influences

Defining a Region A region is defined as a geographic area

defined by some common feature such as a river basin, housing
market, commutershed, economic activity, or political jurisdiction.
Despite this definition, however, what constitutes a region across
the United States is a matter of debate. It becomes extremely
difficult because of the varying levels of regionalism. We can
illustrate this through three examples. First, corporate Houston
(not the metropolis) consists of approximately 1000 square miles.
We could place 20 Boston’s (47 square miles) within its limits.
Corporate Duluth is so large that it has paper forests within its
limits. And Tulsa and Oklahoma City are so large that, together,
they make up 80% of the State of Rhode Island. This problem is
further exacerbated by home rule powers. Some states see the
village as a focal point while others focus on the town and/or the
county. But, other states, such as Connecticut and Massachusetts,
either have or are eliminating counties! Still, at the end of the
day, we think we can provide some insights on the role of regions.

Tulsa + Oklahoma City = 800 sq. miles

Rhode Island = 1,045 sq.

mile
Learn More...
Regions are multi-jurisdictional.
They can include villages, The Metropolitan Council is a
towns, townships, districts, nationally unique governmental body
in the seven county area around
counties, cities and Minnesota's Twin Cities of Minneapolis
metropolises. There are no and St. Paul that was created in the
national standards that govern face of the growing recognition that
what they are or even what the Twin Cities is actually one region.
they do. At times, they are Learn more about how the
Metropolitan Council has provided
federally mandated
everyday services and planned for the
metropolitan planning region.
organizations with a focus on
transportation issues. They are The National Association of Regional
also Councils of Governments Councils contains information about
with little more than advisory agencies engaged in comprehensive
regional planning. View the site,
powers or they can be powerful which contains links to regional
county planning offices. Such councils and other metropolitan
regional organizations typically planning organizations.
play a role of integrating the
planning activities of localities, offering advice and assistance in
grant writing. In some instances, they have the power of forcing
a local community to revise its plans to become compliant with
regional objectives. Regardless of what form they take, they
perform the important mission of forcing a community to look
beyond their borders.

The Importance of Regionalism The importance of

considering a regional perspective is five fold. First, no
community can succeed or prosper on its own; it is inextricably
tied to its surroundings. For example, we once heard MIT’s David
Birch urge local planners to draw a circle approximately 30 miles
distant from the center of their cities and to investigate economic
activity within this circle. He went on to say that what is
emerging in this circle will dictate the economic profile of the
community in question for years to come.
 Secondly, there are
immense efficiencies
of scale that can be
gained from
thinking regionally
(or at least greater
than the local scale).
Examples include:

Glenview, Illinois
Emergency
dispatching of the
Wheeling Fire
Department is
provided by the Regional Emergency Dispatch (R.E.D.) Center in
Glenview, Illinois. R.E.D. Center provides specialized fire &
emergency medical dispatch services to the following additional
fire departments: Village of Glenview, Village of Morton Grove,
Village of Niles, Village of Northbrook, North Maine Fire Protection
District, and the Prospect Heights Fire Protection District. The
dispatch center handles approximately 22,000 emergency calls
per year and is responsible for a geographical area of
approximately 75 square miles and 250,000 residents.

Erie County, New York

Local police and law enforcement are divided into local city,
county, town and village police. The services are jurisdictional,
organized, and staffed by a range of full and/or part-time forces.
While there is overlap and jurisdictional fragmentation there are,
also, a variety of cross-jurisdictional service agreements over
training programs, the criminal holding centers and special
functions such as forensics.

Fire protection services are provided at the city, town and village
level, with certain key training functions centralized at the county
and state levels. Only the largest jurisdictions are able to
maintain fully paid companies, while the remainder function in a
system of certified and trained volunteer companies. Mutual aid
agreements help to more closely unify overall fire protection
throughout Western New York.

Appalachia Region, Florida

The Appalachia Regional Planning Council (ARPC) serves the
counties of Calhoun, Franklin, Gadsden, Gulf, Jackson, Jefferson,
Leon, Liberty, and Wakulla, as well as their twenty-eight
respective municipalities. The Region contains 5,855 square
miles, which is 10.8 percent of the State's land area. The ARPC
was created in 1977, and its duties and responsibilities are
established by Chapters 163 and 186, Florida Statutes. The
Florida Legislature has recognized the regional planning council
as Florida's only multipurpose regional entity that is in a position
to plan for and coordinate intergovernmental solutions to growth-
related problems on greater-than-local issues, provide technical
assistance to local governments, and meet other needs of the
communities in each region.

Minneapolis, Minnesota
The Twin Cities Fiscal Disparities Plan, the nation's largest
regional tax-base sharing program, was enacted in 1971 by the
Minnesota legislature. The plan pools 40 percent of the increase
in all communities' commercial/industrial property valuation. All
cities and townships keep their pre-1971 tax bases plus 60
percent of the annual growth. The pool is then taxed at a uniform
rate and redistributed among all local government entities. The
redistribution formula estimates each community's annual
population and how its commercial/industrial tax base per capita
compares with the regional per capita average. An example of
this is the largest mall in the United States, The Mall of America,
which is located in suburban Bloomington, Minnesota. Every one
of 188 municipalities and over 100 school districts and special
authorities in the seven-county Minneapolis-St. Paul region
shares in the millions of dollars in tax revenues generated by the
giant mall.

Portland, Oregon
Oregon's Statewide Land Use Planning Act gives local citizens the
tools to shape a different and better future. Enacted in 1973, the
state law requires every Oregon county and municipality to adopt
a comprehensive land use plan. To address regional needs, the
state legislature authorized and local voters approved Portland
Metro, a regional government. Portland Metro runs the
Washington Park Zoo, Oregon Convention Center, and regional
land fills. Its primary task, emphasized by its voter-approved
home rule charter, is regional land use planning. The citizens
elect the planners and Metro is governed by a seven-member
Metro council, elected from seven districts, and an elected
Executive Officer.

Thirdly, a regional perspective can help us to identify who we are

culturally and how we live. For example, we are reminded of how
one defines the term "Yankee"; a Yankee to an Englishman is an
American, to a southerner it is a northerner, to a northerner its a
New Englander, to a New Englander it is a Bostonian, to a
Bostonian it is someone of English heritage living on Beacon Hill,
to those on Beacon Hill, it is someone named Cabot or Lodge and
so on...

Fourth, there are wide regional influences that range from the
Tokyo Stock Exchange to federal policies on shipping to state
requirements on environmental clean up to the regional
distribution of highway funds. Finally, higher governments
frequently stimulate us to look beyond ourselves by providing
incentives. When there are large-scale savings to be gained by
creating regional schools, regional landfills, and regional
ambulance services, among others, we are foolish if we ignore
them.

What we are saying is that we can, and rightly should, look

beyond our community to identify political, economic, social and
cultural ties. None of us are insulated and all of us must have the
knowledge to react and/or take advantage of these exterior
influences, whether global, national, state or regional.

Bibliography & Additional Resources

Isberg, Gunnar. Creating Successful Communities: The Benefits

of Effective Planning. Metropolitan Council Publishing (1997).
Helps planning officials identify the characteristics of a good
community plan and offers reasons why comprehensive planning
 benefits the community. Available through the American
Planning Association's Planners Book Service.

One Thousand Friends of Oregon.

Owl's Head, Maine Comprehensive Plan.

Planners Web Articles. Provides a series of three articles for

planning officials by Michael Chandler entitled "Developing the
Comprehensive Plan." Read Part I of the series, which provides
an introduction to this important process.

Kent Jr., TJ. The Urban General Plan. APA Planners Press (1990).
Classic book discusses key issues as they relate to
comprehensive planning including plan organization, time frame,
amending plans and more. Available through the American
Planning Association's Planners Book Service.
 Introduction to Master Planning

Related Lesson We will

begin this
Vermont Planning lesson
Fundamentals: with a
Vermont's Master definition
Planning Process of master
planning,
then
examine its legal status, move to
how the master plan should be
developed and end with a series of
summary points that we hope will
be beneficial to you.

Defining Master Planning

We are always struck by the Learn More...

term "Master Plan" and are
frequently asked what it means. Oregon Statewide Planning Goals and
Guidelines presents 19 planning goals
We understand why; the term expressing state policies on land use
is used by many people and and related topics along with
organizations to describe suggestions on how to apply goals
different planning activities. that sets a series of benchmarks
There can be corporate master designed to improve the state's
quality of life. One Thousand Friends
plans that are typically called
of Oregon provides a thorough
strategic plans. There are overview and explanation of these
national master plans, such as planning goal. View an example of a
those found in the European local comprehensive plan in the
Union nations that are intended community of Owl's Head, Maine.
to guide the growth and
development of a nation. There are state master plans, such as
Oregon’s, that set a series of benchmarks designed to improve
the state’s quality of life. And there are regional and local master
plans that are intended to guide the future growth (or non-
growth) of the community. We are concerned with the regional
and/or local master plans. Henceforth, when we refer to the
master plan it will mean the community master plan.

Definition of Master Planning and Key Elements

A community master plan is a

comprehensive long-range guide to the
growth and development of a community. In
general, it has three major sub-groupings:
The inventory, the analysis and the
recommendations for action. By its nature, it
must be all inclusive and will typically include
sections on land use, housing, open space,
agriculture, recreation, the environment, retail
activities, the industrial base, historical/cultural
elements, capital improvements and economic
development. The exact sections needed for your community can
be found in your state enabling legislation. While each section is
usually free standing, it is imperative that they become
integrated. For example, if your inventory shows you have room
for 5,000 more houses and you are building at a rate of 100 units
per year then it is critical that this factor become known to those
responsible for capital improvements.

We mentioned that master plans typically are divided into three

major sections: Inventory, Analysis and Implementation. The
inventory is the "current assessment." It is a snapshot of the
shape of your community at the present moment. It is a
wonderful treasure trove of information on all aspects of
community life, from the average age of your residents to the
amount of traffic traveling along your streets. The analysis seeks
to answer "why" is your community as it is. Applying a set of
analytical tools ranging from population cohort survival methods,
to build out and marketing analysis techniques, it will help to
explain what is happening. It will also enable you to see how
much you have changed since the last plan. The implementation
is the "ought." It is the action part of the plan where you lay out
your goals, objectives and recommendations. It is here that one
can obtain a clear sense of community values and the direction in
which it wishes to go.
The Legal Question

Is the Master Plan legal? In some states it is a legal document

while in others it is simply a guide to growth and development.
In any case, you should check your enabling legislation to
determine its status. Regardless of whether or not the plan is
legal, most states do specify the legal requirements concerning
its preparation, modifications, adoption and implementation. A
word of friendly advice: Regardless of whether the plan itself is
legal, it has been our "expert witness" experience over the past
five years that the courts are closely examining the master plan
to insure that follow up decisions (i.e. zoning, capital
improvements) are based upon the document. In no case should
this plan be treated lightly.

Master Planning Process

The Master Planning process, if undertaken properly, requires a

significant amount of thought even before it starts. We urge you
to think about the following factors before you begin.

First, why is your organization undertaking the activity? Many of

you will answer that you are only doing it because of a state or
charter requirement. If this is the case, and you really are not
committed to it, then simply fulfill the obligation, fill in the blanks,
turn it over to a consultant, submit it to the appropriated
authorities and then watch it grow dust for the next decade. We
all know of this type of planning exercise and, to be blunt, it does
neither the planning board or commission or even the community
any good. We have often heard a rule of thumb that less than
10% of the actions proposed in a master plan are ever
implemented. We are inclined to agree with it, especially when
one includes those plans that are simply written because they are
mandated.

If, on the other hand, you are undertaking the master plan to
obtain a sense of where you are as a community, to insure that
social and economic needs are met, and to create a guide that
provides your community with a clear sense of direction, then we
believe the master plan can be most beneficial. In any case, it is
essential that the effort be undertaken for meaningful reasons. It
is too time consuming and expensive a process to do otherwise.

Secondly, who should be responsible for creating the plan? Here,

there is no one answer. Some states will give the responsibility to
the Planning Board/Commission while other states remain silent
in delegating this responsibility. In either case, it is essential that
the Board/Commission not develop the plan itself. We state this
based upon experience. These organizations are too tied up in
the day-to-day administration of planning to add the master plan
to its duties. We recommend a broad-based "advisory"
committee be formed that represents a cross-section of the
community. This is a time for inclusiveness; the old-young,
radical-conservative, economic development advocate,
environmentalist, newcomer, old-timer, public sector, private
sector, etc. should be involved. It is essential that all ethnic
groups are involved and that gender balance is achieved.

Citizen Participation and the Planning Process: Who to Include

Ethnic/Racial Groups
Commuters

Welfare Recipients
Local Workers

Working, Middle Class
Upper Class

North End of Town
South End of Town

East Village
Village Center

Different Neighborhoods
Realtors

School Board Members
Teachers

Town Employees
Planning Board

Select Board
Volunteer Fire Department

Conservation Commission
Recreation Committee

Religious Groups
Active Citizens

Inactive Citizens
Married People

Single People
New Parents


Older Parents
Farmers

Foresters

This advisory group is critical if "buy in" is to occur.

Please note that we have used the term "advisory." This means
exactly that. It will not be a decision making group. However, we
need to reinforce the point that their perspectives must be
treated meaningfully.

After determining that the master plan is necessary, having

knowledge of the legal requirements and elements and having
created an advisory committee, it is essential that you decide
whether or not to hire consultants. If you do, please have a clear
sense of what they should do. Also, please insure that they (and
you) know who is in charge. In any case, the control of the plan
should never rest with outsiders. We argue strongly that local
master plans must be designed, controlled and implemented by
local people. Use consultants where you lack expertise and need
assistance. Otherwise, it is your plan.

We recommend that the plan Learn More...

begin with a press campaign
and a community charrette. Learn more about quick tips in
organizing a community charrette.
(The term charrette comes
from the French and means "cart." In the 19th century, French
architects, draftsmen and painters, would all climb in carts to
make last minute corrections to their proposals before they went
to design juries. It has passed down through time to refer to
"crashing" a project where a large group of citizens take part in
workshops to share all their insights in one setting). They are
tremendously effective and the community charrette will quickly
provide a sense of the areas where there is common agreement
and where there are "hotspots." It will also set a tone for the
responsible board, advisory committee, citizens and/or
consultants.

As the information is gathered and analyzed, the advisory

committee meets and decisions are made what next? What
happens once the plan is finished? We recommend five actions.

1. Circulate Draft

2. Hold Public Hearings

3. Make Revisions

4. Implement

5. Create Benchmarks of Progress

First, it is essential that it be widely circulated in draft form

through the local press so that all citizens know what is involved.
Secondly, public hearings should be held to obtain final input.
After reviewing the input, the third step is to make revisions and
then send it to the appropriate governing bodies for approval.
The fourth step is to turn it over to the local administrative
authorities for implementation. Finally, the Planning Board should
immediately establish a set of benchmarks or checkpoints that
will enable it to monitor the degree to which progress is being
made.

Master Planning Summary

Master Planning can be an exciting and worthwhile process in
guiding the future direction of your community...if done carefully
and thoughtfully. We would like to leave 10 points with you to
consider:

1. In all cases make sure that you have knowledge of your state
enabling legislation.

2. In all cases, before you begin, make sure that you know if your
plan is a legal document or simply a guide to growth and
development.

3. To undertake a master plan just to meet a requirement is a

waste of time and resources. We hope that your organization will
be committed in terms of dedication, time and spirit.

4. The process must begin with a clear sense of why your are
undertaking the effort. This should be conveyed to the public.
 5. The Planning Board/Commission is rarely able to effectively
handle the process by itself. We urge the creation of an advisory
committee that reflects the multiple constituencies of your
community.

6. The role of the advisory committee must be "meaningful."

Otherwise, there is a likelihood that "buy in" will not occur.

7. The use of consultants can be beneficial. However, it is critical

that their role is limited and clearly defined. At no time should
the totality of effort rest with outsiders.

8. The plan, by its nature, must include "the good, the bad and the
possible." It must also be integrative and long term. Most states
will require an update every five years.

9. The action steps must be clear and stipulated with fixed

responsibilities. Which organization has oversight must be
defined.

10. The Master Plan should not be hurried. It is too valuable

not to reflect careful, considerable thought.

Bibliography & Additional Resources

Isberg, Gunnar. Creating Successful Communities: The Benefits

of Effective Planning. Metropolitan Council Publishing (1997).
Helps planning officials identify the characteristics of a good
community plan and offers reasons why comprehensive planning
benefits the community. Available through the American
Planning Association's Planners Book Service.

One Thousand Friends of Oregon.

Owl's Head, Maine Comprehensive Plan.

Planners Web Articles. Provides a series of three articles for

planning officials by Michael Chandler entitled "Developing the
Comprehensive Plan." Read Part I of the series, which provides
an introduction to this important process.

Kent Jr., TJ. The Urban General Plan. APA Planners Press (1990).
Classic book discusses key issues as they relate to
comprehensive planning including plan organization, time frame,
amending plans and more. Available through the American
Planning Association's Planners Book Service.
Introduction to Demographics

In this lesson you will learn about demographics in general, about the US Census,
other key demographics sources, and cohort survival.

We want to discuss with you the demographic aspects of the master plan. These
figures are enormously important, for they influence everything from goods to be
sold in your local markets, to whether or not to build a new school, to how much
federal aid you will receive. We remember a former mayor of Boston suing the US
Census Bureau because he believed that the census takers had under counted the
City’s population by 50,000 people. Due to the fact that federal aid depends, in part,
on demographic data that would stand for 10 years until the next census, millions of
dollars were at stake. He based his case on the fact that his city was heavily catholic
and, therefore, has larger families. He was quite surprised to find that there was
minimal difference between catholic, protestant or jewish family size and the census
figures remained in place. The key teaching point in the above is quite simple:

The demographic inventory is critically important to your community.

The starting point in your analysis is the basic count. How many people live in your
community? In small communities the count is relatively easy to obtain. Volunteers
or the police, among others, will go door to door and ask the head of household to fill
out a short form. This form will typically ask about the number, names, occupations
and length of residency of the dwellers. We have seen some small communities that
also will ask about pets.

The Pelham Form

IMPORTANT LEGAL DOCUMENT

ANNUAL STREET LISTING

IMPORTANT: General Laws of Massachusetts mandate an annual street listing of residents as of

January 1 each year. Update the information provided by adding, deleting, or making changes
below the printed information. Please sign and respond within ten (1) days, even if no changes
are necessary. For assistance call 123-456-7890 at XXXX.

If this address is incorrect, make corrections below

__________________________________________

__________________________________________

__________________________________________

If there is no party information next to your name,

you are not registered to vote. If you wish to
register to vote, you may register in-person or by
mail.
WARNING: Failure to respond to this mailing shall result in removal from the
active voting list and may result in removal from the register
rolls.

Instructions: Please print. Update the information provided by adding, deleting,

or making changes below the printed information. Designate the
head of your household by marking an "X" in the second column
next to the name. The ninth column labeled M/D asks if the
person(s) listed have moved or are deceased. Enter an "M" or a
"D" if appropriate. The following fields are optional and are
denoted by an asterisk: mail to, sex, party, number of cats, and
telephone number.

_______________________ __________ _______________________

Signature of Respondent Date Telephone Number

Signed under the Penalties Unlisted

of Perjury as prescribed by
M.G.L. Ch 36 s4
United States Census

These small communities are quite fortunate in that they can keep an accurate
count of their population growth or decline. By contrast, as the size of the
community increases, the more likely the town or city will have to rely on the United
States Census. The Census of Population and Housing is taken every ten years at the
start of the decade. It is called the Decennial Census. Each resident across the nation
is required to fill out a detailed form asking several questions. After the form is filled
out and mailed, the Bureau analyzes the findings and determines the "state of the
nation." The Bureau's job is enormous and, by most accounts, deserves great praise.
It is important to remember, however, that it relies on the willingness of residents to
fill out the forms. In addition, many people are missed (i.e. the homeless), many
people are under counted (i.e. minority groups) and the system rarely accurately
calibrates for cultural uniqueness (i.e. religious groups with large families). Because
the census is legally binding in terms of the base numbers that are determined, it is
critical that we obtain as accurate an account as possible.

Key Aspects of the Decennial Census of Population and Housing

Population Information Housing Information

Gender Number of Dwelling Units

Race Number of Rooms per Dwelling Unit

Age Condition of Plumbing

Marital Status Ownership/Rental Patterns

Hispanic Origin Value of a Unit

Household Relationships Sources of Sewage Disposal

Education Number of Stories

Ancestry Sources of Water

Place of Birth Methods of Heating/Cooking

Migration Number of Bedrooms

Marital History Number of Bathrooms

Number of Children Presence of Telephones

Employment Status Presence of Air Conditioners

Means of Transportation to Work Number of Automotive Vehicles

Income Total Shelter Costs

Beyond the census, there are other techniques that can be used to gain a sense of
your population. For example, your community can take the baseline census
information and add new comers (as determined from the new housing), add new
births (from the clerk's office) and subtract deaths. This will provide a "snapshot" of
where the community is. It can also purchase data from marketing firms such as
Equifax, Donnelley Marketing or Woods and Poole that have had a history of accurate
population projections.

Beyond the base population, there are five factors that we believe are critically
important for planning board/commission members. The first is the age of the
population. A review of this data will typically lead to several conclusions. For
example, communities with older populations have fewer children, are more stable
and more fiscally conservative. As well, school needs in such communities are often
secondary to other needs including as senior centers, senior services or libraries. The
second relates to educational attainment. This information will help to show how
your community values education, the role of the school system in the community
and whether or not the community is prepared for the jobs of the future. A
community where the average education is below grade twelve and has made little
advancement over the past decade, at least theoretically, is not prepared for the
jobs of the future. The third relates to family size. The stereotypical image of
America is that we live in households where there is a husband, wife and two kids in
every house. The reality is quite different. In fact, the average number of children
per household is less than one and is falling. The significance of this is that our
schools will have a different demographic profile in the future. The fourth relates to
employment skills. The census will tell you the types of jobs that your citizens hold.
The significance of this lies in the fact that you will be able to see if the skills of the
residents match the local employment base as well as future growth areas. We know
of a town whose psychiatric hospital was the main employer (1200 workers).
Apparently, 60% of these workers held the job title of "hospital attendant." The
hospital closed and was replaced by a high technology facility. We knew, because of
the SIC codes, that this community would have to find new jobs elsewhere or
prepare a comprehensive retraining program. Finally, the census provides
information on housing. This data can tell you the age, condition and types of
dwellings that you have in your community. The importance of this data is that you
can see if the types of dwellings match the family structure of the community. For
example, we constantly hear that parents desire to have their children, upon
finishing college or training, return to their hometown. And yet, the availability of
"starter" housing is often at a premium. This data will help us to know the scope of
the problem.
Important Data for the Planning Official

Age

Educational Attainment

Family Size

Employment Skills

Housing Information

Learn More...

The Census Bureau has recently opened access to their CENSTATS database to the
general public without a subscription and provides access to a wide range of
demographic data including Annual Survey of Manufactures; Building Permits;
Census Tract Street Locator; Consolidated Federal Funds Report; County Business
Patterns; International Trade Data; Occupation by Race and Sex; USA Counties; and
Zip Business Pattern.

Additional Census Resources:

Ten Economic Censuses Census Catalogs

The Census of
The Bureau of Census Catalog

Manufacturers

The County and City Data Book

The Census of Wholesale

The Statistical Abstract of the United

Trade The Census of Retail States
Trade

Directory of Federal Statistics for

The Census of Service Local Areas
Industries

The Urban Update

The Census of Agriculture

The Census of Construction

The Census of Mineral

Industries

The Census of
Transportation

The Census of Foreign

Trade The Census of

Government
Other Key Sources

Beyond the federal census, there are other key sources of demographic information.
If you are concerned with population projections, the US census may also be helpful.
Another excellent source is your state's institute for population research. They are
most commonly located at your state university and will often undertake local
population projections for free or at minimum cost. Your state Department of
Employment and Training (DET) also has current data on employment,
unemployment, job growth, job trends and types of jobs in your community.
Interestingly, some states have "state economists" on the staff of DET who can offer
low cost assistance to communities. There are also private organizations such as
Equifax, Woods and Poole and/or Dunn and Bradstreet that can provide all kinds of
demographic information. However, their services can be expensive. Finally, there
are "fugitive sources" that may also be useful. These sources can include special
reports prepared for environmental impact statements, bond perspectives and
development submission requirements.

We are often asked whether the master planning organization should undertake the
actual demographic studies (i.e. Cohort Survival Analysis). In the majority of cases
we think that most of the data can be collected from existing sources. However, in
instances where there is some question about existing data or if the community is
dealing with a particularly acrimonious issue, then it will be in the organization's best
interest to do an "on the ground" analysis of conditions. For example, we were
recently asked to undertake a fiscal impact analysis for an upstate New York town.
Based on our analysis, we determined, using existing data sources, that there were
0.89 children per household. No one believed our analysis. The community leaders
thought that the true figure was 2 children per household and that the "canned data"
was flawed. In order to regain the confidence of the leadership, we walked "door to
door" through a section of town to test our approach and found we were exactly on
target. The point is simply this: field tests can improve confidence in your end
product. Moreover we are also aware that people want to be able to understand the
tools and techniques that are used to come up with the findings. For example, there
are a range of techniques that can be used for school projections. The results can
potentially have far reaching implications for planning. Does one take a long term
average, a weighted average or current year pattern as a base line? Does one weigh
the wealth, age and religion of new residents? And where do zoning and the build-
out fit? Our teaching point is simply this: You can use any common technique or
method as long as you use it properly and as long as you explain it to your
constituents.
Cohort Survival

At the end of the day, your demographic inventory and analysis is likely to tell quite
a story about how your community, like communities all over the country, is
changing and evolving. We can illustrate this through two examples. First birth rates
are continuing to fall across the nation to the level where there is now less than one
child per household. This figure is among one of the lowest in the world. The
significance of this in terms of local planning over time will be profound. For example,
will we need new schools? Will we have enough entry level workers? And what about
our local retail market? Secondly, one of the most significant shifts in population is
what demographers call the "old-old." These are our citizens who are over 85 years
of age and who now represent the greatest percentage change in our age cohorts.
This group is likely to be dramatically different over the next twenty years. Are we
prepared? Will there be adequate adult day care, physical therapy or markets for this
group. It is not surprising that there is a national retail chain called "Take Care of Us"
that has stores the size of Wal-Marts but only markets to people over sixty five years
of age.

With current national birth reates indicating that there is less than 1 child
per household and an increase in citizens over the age of 85, communities
must prepare for these demographic changes.

The lesson, then, comes full circle. We will end where we began. The numbers count!
They will influence virtually every action that your community takes from
infrastructure planning, to the focus of your downtown market. They will influence
your political strength, have an impact on your grants and determine the future of
your community. For these reasons, we ask you to count accurately, count
everybody, gain support for your counting techniques and methods and be prepared
to be amazed.
Bibliography & Additional Resources

CENSTATS database. The Census Bureau provides access to a wide range of

demographic data.

Cornell University's Links for Planners. Offers a section dedicated to socioeconomic

data with links to a wide variety of data sources including County Business Patterns,
the Standard Industrial Classification Manual, Fedstats and dozens more.

Population Reference Bureau. An organization whose mission is to provide timely and

objective information on population, has links to international, national and state
population data.

United States Census.

Introduction to Land Use

In this lesson you will learn about functional space, activity systems, development
potential and the character of communities.

We will discuss the importance of land use in our communities. It is probably the
most central element of local planning and the key reason why we, as Planning
Boards or Commissions, actually exist. It is also serious business, requiring careful
thought and wisdom. Time after time, when we walk into a public hearing and are
about to make land use recommendations, we see fear and concern on the faces of
the audience:

Are we going to negatively impact the character of their neighborhood?

Are we going to erode the value of their homes - the most important investment they
have ever made?

Are we going to introduce change in the locations of their shopping, schools and places
of work?

We all need to remember that land uses determine the shape, form and character of
our communities. Once we create the plan, and that plan is implemented , we will be
changing the "sense of place" forever. Land use planning is, indeed, quite serious.

Land Use Impacts

To define what we mean by land use, land use is simply how we occupy the land. A
community’s Land Use Plan consists of a set of proposals highlighting where we will
place the activities that shape our community.
Functional Space

The characteristics of land use can be looked at from various perspectives. The first
relates to "Functional Space." According to Kaiser et al, functional space refers to
the various activities that are placed on the land. For example, at the basic
level, land uses consist of open space, agriculture, residential, commercial and
industrial uses. These uses, or activities, taken together cause us to work as a
community. Because these activities are integrated, the strengths of one inevitably
will influence the others. For example, shifts in land use from agricultural production
to residential uses will typically lead to greater commercial demand, as new residents
must have the essentials and amenities that they need. This could lead to a loss of
open space and/or an expanded industrial base.

How land is used depends upon many factors. Topography is most fundamental; the
greater the slope, the more difficult it is to build. Traditionally, slopes of greater than
12% have been considered "no build" areas. And yet today in parts of California,
Colorado and Vermont, we see that communities are allowing residential properties
to be built on 15% slopes! The next time you read of a mudslide pushing a home
"downslope" in California, you might ask about the degree of slope upon which the
structure was placed. Another factor that determines land use is the role of water.
When the land is stripped of trees and shrubs, water will tend to flow more rapidly
through a community, thus impacting the supply of water, how things grow and the
safe location of structures. Even soil characteristics are important to land use. All of
us who live in the Midwest know the importance of well drained soils. After quick
rains, poorly sited developments with large deposits of clay often look like ponds
with islands sprinkled among them.

In addition to slope, water supply and soil characteristics, flood plains and wetlands
also influence functional space. For years, planners have been arguing for increased
setbacks from rivers and for restricted development in flood plains. Still, we have a
natural proclivity to live close to the river's edge. It can provide sustenance, power
and recreation. However rivers need to be clean and protected. Thus, adjacent land
uses must be carefully chosen. As for wetlands, which consist of ponds, lakes,
streams, swamps and marshes, we have too often allowed our wetlands to be
plowed under, channeled or insensitively reconfigured in the name of development.
We argue that the protection of these areas is paramount in land use planning. It is
here that land use planners, by increasing setbacks, lowering densities and placing
sound water and sewer systems can help to create a positive, sustainable
environment for years to come.
Activity Systems

In addition to functional
space, the second aspect of
land use relates to activity
systems; that is, those
movements that we use in
our daily lives. For example,
we live in a dwelling, travel
to our workplace, interact
with local government, shop,
find play time for our kids
and interact with our
neighbors. We move from
one to the other with little
thought. The use of the land
can make this difficult or
easy. How many of us are © Michael Moran
frustrated during our rush
This Seaside, Florida community, based upon the
hour trips across town as principles of new urbanism, is a positive example of how
we move from home to land use planning can impact activity systems. With an
work? How many of us emphasis on public transportation, rather than cars,
curse uplands development walkable neighborhoods and integration of land uses
when our wells run dry? (shops, houses, workplaces and schools), many
communities are considering new urbanism
And how many of us are
developments to accommodate new growth.
envious of our neighbors
who somehow are able to
bike to work, shop locally and play baseball down the street? It is no wonder why the
Duany-Zyberk neo traditional designs, reminiscent of the neighborhoods of
yesteryear, are so appealing.

Yes, the architecture relates to our values. But more appealing is the simplicity of
movement. What is important to our citizens varies according to where we live.
Some places, for example, welcome development while others will do whatever they
can to prevent it. As land use planners, we have to strive to insure that these
activities are planned and integrated according to our values and that all of the
desired activities are carefully placed.
Development Potential

The third aspect of land use

relates to the potential for
development. After we have
examined the functional
characteristics and the
activity systems, it is critical
that we examine the market
for land. This examination
must begin , once again, with
local values. You can, based
upon your vision, determine
how your community grows.
Your community has a
tremendous set of tools that
it can use to influence what is
© 2000 Santokh Kochar/PhotoDisc built, where something is
built, the pace of growth and
Land use planning and policies can have unintended
consequences for communities. Zoning for single-family the cost. These tools range
detached homes has clearly affected the development from zoning laws and
potential in this agricultural area. If development trends subdivision regulations, to
continue, agricultural land (background) will almost the placement of
certainly succumb to residential use. infrastructure systems, to
growth management controls.
How these tools are used will determine the future form of your community. Two
case studies can illustrate this point. We know of a Midwestern community, proud of
its agricultural traditions and committed to supporting agricultural production, that
five years ago placed water and sewer lines for two linear miles through farm land in
order to connect to a new village at the edge of town. No sooner were the lines in
place then the town assessors increased the value of the land (due to infrastructure
improvements). As a consequence of increased property taxes, the farmers had
problems making a profit, the land went on the market and this land switched from
agricultural to residential uses. Here is a case where the failure to understand the
impact of applying a planning tool led to unintended consequences.

As a more positive example, we were involved three years ago in a community that
wanted to keep the retail character of its downtown, which was full of small, unique
shops. It feared that the "Big Box" retailers would encroach upon their community.
To prevent this, the town passed a by-law that placed a maximum square footage on
any one retail store that was well below the scale that was suitable for the national
chains. It has, to date, kept its uniqueness and its community vision. The point we
are making must be reinforced; we must respect our values, integrate different
elements and think long term.

After we have determined the values of the community, placed them into the land
use plan and are implementing the plan, it is time for market forces to work their
magic. Land is a rare commodity; we are not making anymore! Thus, its basic
development potential is determined by a series of factors that range from location,
to supply, to character. Our land use decisions impact all of the above.
 Character
Finally, the fourth land use factor relates to character. How do our citizens view the
land and give value to it? To some, the Las Vegas strip is viewed as tremendously
positive while to others, the Nantucket Village represents the perfect form of
community. Aesthetics, history, tradition and other forms of social symbolism are
important influences on how we plan for land uses. In short, it is that non-definable
phrase "quality of life" that becomes so important as we deliberate over future
actions.

What constitutes community character and quality of life is as individual as the community itself. From farms and forestlands
to historic homes and architecture, land use planning can help to preserve what citizens value.

Bibliography & Additional Resources

Young, Dwight. Alternatives to Sprawl. Lincoln Institute of Land Policy (1995). As

metropolitan areas expand haphazardly across America, the result is often the kind of
sprawl associated with auto-dependent growth. This 32 page report describes
alternative forms of growth, as well as the challenges they face in the political and
economic marketplace. Available through the Lincoln Institute.

The Center for Livable Communities (Land Use Library). The Center for Livable
Communities is a national initiative of the Local Government Commission. A nonprofit,
nonpartisan, membership organization of elected officials, city and county staff, and
other interested individuals throughout California and other states. The Center
maintains a Land Use Library, a collection of bibliographies, studies, model land use
regulations and plans, as well as a growing collection of articles in 120 planning-
related subject areas on their Web site.

Diamond, Henry and Patrick Noonan. Land Use in America. Island Press (1996). Since
World War II, rapid population and economic growth has transformed the American
Landscape. Efforts to improve how land is used have not kept pace with improvements
on other environmental fronts. The authors analyze these issues and present a ten-
point agenda to help communities accommodate future growth in an environmentally
sound and fiscally responsible ways. Available through the Lincoln Institute.

Fulton, William. The New Urbanism: Hope or Hype for American Communities. Lincoln
Institute of Land Policy (1996). Since the early 1980s, a group of planners, architects
and developers have been rebelling against "conventional" surburban development as
 practiced in the United States since the end of World War II. Once most theoretical,
the New Urbanism movement is beginning to yield results, as communities based on
New Urbanist principles are being built all over the country. This 32 page policy focus
report considers whether these communities can successfully compete in the complex
financial and socio-economic marketplace, as well as whether they can solve the
problems of auto oriented sprawl as the proponents claim. Available through the
Lincoln Institute.

Faber, Scott. On Borrowed Land Public Policies for Floodplains. Lincoln Institute of
Land Policy (1996). This 32 page policy focus report considers the ecological,
economic and legal issues of land use in floodplains through case studies of local
responses floods and flood hazard management. It suggests alternatives to making
floodplains safe for development through locally based planning and management in
cooperation with regional, state and federal levels of government. Available through
the Lincoln Institute.
Introduction to Environmental Planning

In this lesson we will discuss the role of the environment in the local planning
process. Some of you will remember the days when we had little concern over the
environment. We drove huge cars with fins that averaged about nine miles to the
gallon, our factories blew endless smoke into the air, we took all our trash to the
dump (except for the bottles that always landed on the side of the road) without
concern over what happened next. We believed that our ponds, lakes, streams and
oceans would inevitably cleanse themselves – but we were wrong and are still trying
to correct our past actions.

In the mid 1960’s the problems of the environment began to enter into the public
consciousness. Nothing was as influential as a famous book written by Rachel Carson
called Silent Spring. It sold thousands of copies across the nation and its message of
the interconnectedness of nature was quickly received. It was followed by another
classic written by Ian McHarg entitled Design with Nature. This book became a bible
for practicing planners by showing them how to undertake land use planning that
was respectful of the environment. By the late 1960's the federal government
established the US Environmental Protection Agency (EPA) as part of the National
Environmental Policy Act (NEPA) of 1969, thereby establishing the procedure for
environmental impact assessments. This was followed by the creation of many “Baby
NEPAs” as various states took the federal legislation further, making the
requirements more stringent. Since the passage of the 1969 act, planning has not
been the same!

Today, environmental planning at the local level is very much influenced by federal
and state laws and procedures. You will have to meet the requirements of these acts.
For example, the Federal Water Pollution Control Act of 1972 requires the states and
its localities to undertake planning for waste treatment and management. This act
also requires communities to address both point source (i.e. a factory or incinerator)
and non-point source (i.e. agricultural run-off) pollution problems. The key word
here is “address,” it is a call for action. Your community, if it is polluting or is
allowing pollution to occur, is liable and can be fined. We know of one community
that experienced a failure in its sewage system due to the heavy rains of El Nino.
Consequently untreated waste flowed into the local river, but the community chose
to do nothing. The Environmental Protection Agency, upon noting this problem, fined
the community $150,000 for its negligence. Another federal law is the Clean Air Act
of 1970. It requires municipalities and its larger companies to prepare plans that will
reduce air pollution. For example, in areas where there is smog or poor air quality,
the communities may need to create mass transit, ride sharing or even bicycle trails
as means and methods to reduce pollutants. In both instances, the Water Pollution
Control Act and Clean Air Act, your regional or county planning agency will have the
expertise to help you meet the mandates.
 Influences of Local Environmental Planning

Environmental Planning Fundamentals

The fundamental goals of environmental planning are fourfold. First, it is intended
to minimize threats to human health and life. This is interpreted quite widely
and includes, among others, threats from air pollution, water pollution, vibrations,
nuclear particles and airwaves. Secondly, it is intended to preserve resources
for the future. This, too, is widely interpreted and means "stewardship"
(interpreted here as meaning the "wise use of our resources"), sustainability
(interpreted here as the balancing of resource allocation and resource replenishment)
and the outright protection of fragile places. Thirdly, it is designed to set aside
special places for recreation, or can be implemented for aesthetic, historic,
or cultural reasons. The possibilities range from protecting first generation pine
trees in Upper Michigan to huge proposals that call for the depopulation of the Great
Plains. (No controversy here!) Finally, it is intended to minimize damage from
development. Planners will endeavor, for example, to restrict development in the
intermediate uplands of mountain areas, protect wetlands or prohibit development
within 20 feet of a stream.

Goals of Environmental Planning

1. Minimize threats to human health and life ( e.g. prevent

air pollution, water pollution, nuclear contamination)

2. Preserve resources for the future (e.g. forest

management, protection of fragile areas)

3. Set aside special places for recreation, aesthetics,

historic or cultural significance (e.g. national parks)

4. Minimize damage from development (e.g. wetland

protection, coastal zone management)
Environmental planning encompasses physical, economic and social factors. For
example, an urban planning proposal should NOT do the following:

1. Damage the physical environment by causing erosion, air pollution, the extinction of
species, or render other detrimental effects

2. Waste energy or other natural resources

3. Adversely effect job opportunities or the civil rights of persons

4. Contravene the President's urban, rural or small community policies

5. Increase inflation

6. Distort intergovernmental functions and revenue patterns

7. Destroy significant historic sites

8. Break up families or their community support groups

9. Lead to increased crime or juvenile delinquency

Land Use and The Environment

Environmental planning is fraught with risk and conflict at the local level. It is rarely
understood, relies on complicated scientific measures and inevitably requires trade-
offs between protection and development. It also involves looking forward for
generations to come, is frequently politicized and is full of requirements imposed
from higher levels of government. We have identified four potential areas of conflict
in environmental planning that local officials should be wary of.

First, the average citizen has little idea of the relationships between land
use activities and the environment. For example, the fact that a well can be
polluted from an oil spill miles away and down stream is often difficult to explain.

Secondly, environmental problems do not respect political boundaries. New

Englanders, for example, constantly fret over acid rain that comes from the Midwest.
On a smaller scale, aquifers flow regularly across state lines. We once had a client
from New York who wanted to build an industrial park on top of an aquifer in a
community not far from the Pennsylvania line. When we pointed out that the aquifer
could be harmed, he responded "Who cares, it flows into Pennsylvania." He was later
educated on the problem and changed his project.

Third, environmental problems and Learn More...

planning can have secondary and
tertiary impacts. When an Learn more about how communities have
environmental problem occurs, it is not worked together to address environmental
simply enough to clean it up. The concerns across jurisdictional boundaries.
community must prevent if from
happening again. For example, if the combined storm water system is polluting the
nearby river every time it rains, it is not enough to clean the river. A community
must develop systems that will insure the actions will not be repeated. This is often
quite costly and the community may not want to bear the financial burden. If a
clean-up of a local harbor costs one billion dollars to make it fishable and swimmable
or $800,000 million to make it fishable, which should the community choose? There
is no easy answer and communities must wrestle with these issues all of the time.

Finally, land use and the environment is often fraught with emotion. In our
practice, we address fears from the impacts of a nuclear power plant on the
community and the environment, fear of the potential toxins from a plastics facility
and whether certain industries have been unfairly sited in poor, inner city
neighborhoods. In all of these cases, the mere possibility that the activities at these
facilities could contribute to medical problems was enough to cause local alarm. And
when competing scientists enter the fray, the tension often becomes explosive. And
yet, who can blame the citizens? It is their health, their children, their property and
their investments that are being impacted.

Learn More...

Environmental planning is often viewed by

citizens, officials and developers as anti-growth
and anti-development. To learn more about local
concerns relating to environmental planning, as
well as tools that you can use to resolve potential
conflicts as they relate to land use planning, read
two working papers from the Lincoln Institute:

Race: Land Use and Social Justice in the

Metropolis by William Goldsmith

Resolving Land Use Conflicts Through Mediation:

Challenges and Opportunities by David Lampe
and Marshall Kaplan
Environmental Planning Process
How then do we actually begin to integrate concerns about the environment into the
planning process? The first step must be to inventory the physical
environment. This means that you must collect information on soils, geological
formations, hydrological conditions, slopes, wetlands and other water bodies. Most of
this will be readily available. If it is not, your County Extension Agent can help. Most
of us will have some difficulty understanding the information because it will be
presented in technical language. We urge you to get help from your regional
planning agency or, once again, your extension agent.

The second step is to undertake a land capability analysis, which determines

which lands can be developed and which should be left alone. For example,
your drainage commissioner will explain that there should be no building on lands
that contain clay soils. Or, the building commission will inform you that an area is so
full of rock as to make it impossible to build. In terms of wetlands, your conservation
commission, having identified wet areas, will inform you that no building can take
place within 100 feet of these sections of your land. And the Forest Service will
explain that building on the mountain (the intermediate uplands) within 800 and
1,000 feet of the ocean will cause severe erosion. It is important to note that
environmental constraints are not always easily identifiable. It is only after one digs
test holes on the property that such limitations can be found.

A note of caution is in order here. While virtually all citizens agree that there is need
for environmental planning and protection, there is still considerable debate over the
standards that should be applied. For example, should there be building restrictions
on lots with slopes that are greater than 12%, 13% or even 15%? Twenty years ago,
we used to write slope restrictions for lots greater than 12%. Now we use 15%.
Similarly, what is the difference between a 90’ and 100’ setback? We urge you to
determine the standards that have been accepted by your state courts, used by the
American Planning Association and applied in other nearby towns. You must have a
rationale, be fair and be consistent. Once you have completed your land capability
analysis, you will then have a clear idea of what is buildable and what requires
protection.

The third step is to undertake the Environmental Impact Statement (EIS)

process. The EIS process emerged from NEPA in 1969, requiring that an impact
analysis be undertaken for any large-scale federally funded project. Many states
have expanded the federal requirements to meet state-funded projects or any
project that is likely to have a wide scale impact on the region or community. Some
municipalities have gone even further. Our hometown requires a "Development
Impact Assessment" for all projects! Your RPA or County Planning Agency will be
able to explain the details of the assessment process. However, there are several
key factors that are important.

The assessment process begins by studying the need for an EIS. This environmental
assessment will provide data on the significance of environmental impacts. If there
are no significant impacts, a "Finding of No Significant Impact (FONSI)" is filled.
However, if significant impacts are anticipated, then an EIS is prepared and released.
The impact statement is a comprehensive report that identifies and analyses in detail
the environmental impacts of proposed actions and feasible alternatives. The
contents of an EIS are as follows:
 1. Discussion of impacts

2. Adverse effects which can be avoided

3. Alternatives to proposed actions

4. Relationship between short-term uses and long-term production

5. Irreversible or irretrievable commitments of resources

With these steps taken your community can now consider the environment in your
planning. The key methods focus upon regulatory tools, capital improvements and
policies. Concerning regulations, the most common restrictions are found in your
zoning act. This is the place where performance standards related to air, water,
vibration, noise, smell and radio transmissions, among others, are placed. Also in
your zoning will be the requirements for governing the intensity, type and location of
development. Revisions to zoning that are more condusive to environmental planning
typically follow the creation of the Land Capacity Analysis and the input of the local
agencies responsible for conservation and health. The capital improvements plan is a
tremendous tool for meeting environmental planning goals and objectives. The
placement, for example, of roads and water and sewer systems can guide
development away from areas of critical environmental concern. Your town policies
on where to place these capital facilities will be equally powerful. The important point
is that you have the tools required to implement your environmental goals.

Environmental Planning Summary

And so... what are the key teaching points that we hope you have gained?
1. The purpose of environmental planning is to minimize threats to human health and life.

2. Environmental planning, broadly interpreted, is concerned with the air, water, noise,
odor, vibrations, wildlife, flora and fauna, culture, history and nuclear particles, among
others.

3. Environmental planning is concerned with resource protection, "wise use," stewardship

and sustainability.

4. Environmental planning is concerned with recreation, open spaces and the protection
of fragile places.

5. Environmental planning relies extensively on scientific input. This information is

difficult to understand and is sometimes conflicting.

6. Environmental planning is subject to strong emotional responses from our citizens

(and who can blame them for their concerns?).

7. Environmental planning will trigger secondary and tertiary impacts in the community.

8. The Environmental Inventory requires input from several local agencies.

9. The Environmental Analysis should be based on the Land Capacity Assessments.

10. Federal and State laws and regulations are a critical part of local environmental
planning.

11. The critical tools for implementation include zoning, capital improvements planning
and growth control policies.
Bibliography & Additional Resources

Foster, Charles. The Environmental Sense of Place: Precepts for the Environmental
Practitioner. Lincoln Institute of Land Policy (1995). Available through the Lincoln
Institute.

The Global Development Research Center. The Global Development Research Center
developed The Virtual Library of Urban Environmental Management. International in
scope, the library provides access to a range of documents, statistics, networks,
glossaries and indicators and how-to's. Resources concerning specific issues in
environmental planning such as impact assessment, waste management, water
resources, energy systems and more are also available.

McCluskey, Dorothy S and Claire Bennitt. "Partnerships to Protect Watersheds: The

Case of the New Haven Water Company." Landlines. (January) 9, 1. (1997).

Berke, Philip R. and Maria Manta. Planning for Sustainable Development Measuring
Progress in Plans. Lincoln Institute of Land Policy (1999). Available through the Lincoln
Institute.

Lilieholm, Robert. "Protecting Natural Areas across Jurisdictional Boundaries."

Landlines. (July) 7, 4. (1995).

Goldsmith, William. Race: Land Use and Social Justice in the Metropolis. Lincoln
Institute of Land Policy (1999).

Lampe, David and Marshall Kaplan. Resolving Land Use Conflicts through Mediation:
Challenges and Opportunities. Lincoln Institute (1999).

Berke, Philip R. and Jack Kartez. Sustainable Development as a Guide to Community

Land Policy. Lincoln Institute of Land Policy (1995). Available through the Lincoln
Institute.

The University of California Berkeley Environmental Design Library. Provides more

than 50 Internet sites pertaining to environmental planning in the areas of
environmental law, sustainable development, statistics, as well as access to
environmental journals, indexes, organizations and networks.

US Environmental Protection Agency. Provides a complete website of EPA programs,

services, information and contacts.
Introduction to
Housing Over the past 50 years, where and how Americans live has
changed dramatically. Until World War II, housing was
In this lesson we are going to placed largely in cities. Post-war government programs
discuss the sticky issues related helped to change the character and location of housing and
to housing and how to plan for a shift toward suburbanization began.
the dwellings of the future.
Nothing is as important as
housing to the American people.
It is their single greatest
investment, the place that
protects and nurtures them and
the symbol of their
achievements. Any planner that
tampers with housing must do
so with great care.

The importance of the

opportunity to own a home has
long been recognized as a
national priority. In the 1940's
there was Roosevelt's New Deal
and the creation of the
Veterans Administration
Housing Programs and the
Federal Housing Authority. The
1960's saw urban renewal and
the 1970's brought housing © 2000 S. Alden/PhotoDisc
programs for the elderly.
Affordable housing assistance
programs have continued to the
present. National programs and
policies work to insure the
opportunity of quality housing
for all. To a degree, these
government programs, coupled
with the magic of the market
place, have been successful.
Americans, as a whole, are
better housed than ever before.

Over the past fifty years, where

and how we live has changed
dramatically. By the end of © 2000 Santokh Kochar/PhotoDisc
World War II, the nation had a backlog of more than twenty years of pent-up
housing demands. This backlog was due largely to the Depression (1929-1938) and
the need to apply scarce resources to the war effort. Until this time, housing had
been placed largely in cities or small free-standing communities with few
suburburban developments. However, after the war Americans wanted their own
home, on their own lot, in a community with face to face contact. No sooner were
the government programs in place than the character and location of housing began
to shift. The movement was toward suburbanization and what we now know as
sprawl; as the countryside became more urban we brought jobs, shops,
infrastructure and new values with us. It is this complex set of factors that we, as
planners, must face in regard to housing.

We once asked a mayor to define the ideal community. Her response was that it
begins with a white Cape Cod house with black shutters, a white picket fence, a
quarter acre lot and Dad sitting on his lawnmower drinking a soda while Mom tends
the garden and the two kids play on the swings. Unfortunately this image bears little
resemblance to reality. The family structure and demographics of America have
changed. These changes need to be reflected in the housing market as well. Assisted
care living, affordable housing and co-housing are just a few of the new forms of
housing that are being developed to meet such needs.

Housing Process

With so many factors to consider, how can a community begin to plan for housing
that can meet the needs of all of its residents? We recommend that you undertake
the following process.

Our plan for housing begins with an inventory of our existing housing stock.
Working with information from the Federal Census, the local assessors and the
building inspector we can determine an extensive amount of information on how we
live and provide an excellent baseline from which we begin. Indeed, by comparing
this information over the past three censuses, a clear picture of the evolutionary
changes in your town will emerge. We have to be careful, however, for the Census is
fixed in time. At present we are still looking at housing data collected in 1990! Most
of our communities have changed a great deal in that time period. The assessors'
records will tell us detailed information on the character and value of each home.
These records will provide information on housing costs, the type of housing that is
being built and the type of people (by income) who are coming to your community.
This is valuable for it will enable us to see how the community fits in the market
place and, ultimately, whether housing is available and affordable for citizens.

The Building Inspector will help you to determine three important factors as they
pertain to planning for housing. He/she will be able to point out where in your
community investment (new buildings, additions, etc.) is happening, where decay
(disinvestment) is occurring and whether or not future growth is likely. It would also
be wise to interview key real estate professionals. They have a strong sense of the
marketplace and housing trends and know why people are moving in or out of your
community. Once you have this information, you have the basis for your housing
plan. You will know what exists, its value and the key trends.

The next step, undertaking a Build-Out Analysis, is not done regularly,

although we believe it is an essential step. A Buildout Analysis is designed to tell
you how much growth could occur under existing zoning and other regulations (i.e.
conservation restrictions), given the characteristics of your land. Basically it requires
you to complete the following equation:

Gross Land - Developed Land - Wetlands - Slopes - Restricted Areas - Proposed Roads -
Set Backs = Net Usable Land Area (NULA)

Once you have obtained your NULA, you then place all the available spaces into your
residential zoning categories and divide by the square footage required. With this
information you will be able to determine how many more housing units your town
can absorb. Once these figures are obtained, you should return to your Building
Inspector to determine how many units by type and category are being built annually
in your community. With that figure, you will be able to see how rapidly you are
moving toward "filling up" your likely population growth, your future school
population and capital improvements needs.

We also urge you to undertake a fiscal impact analysis of this growth. More
and more communities are asking about the cost of housing. Is housing development
paying its own way and contributing to the improvement of the community's quality
of life? The fiscal impact analysis will help to clarify the answer to this question from
several perspectives. First, it measures the revenues, service costs and school costs
of housing given current zoning and the existing tax structure. Secondly, it will
determine how much your service and school costs are likely to rise or fall, given the
need for capital improvements. Finally, it will provide an indication of whether or not
you are relying too much on one sector (residential, industrial, commercial) to meet
town needs.

We are very cognizant of the fear that Learn More...

new housing is adding a tax burden to a
community. We know that a $150,000 Read more about the effects of the property
single family house taxed at 2% of value tax in off-setting the costs of new
will bring in $3000 in property tax development.
revenue. We also know that the cost of
services per unit is typically $1000-1500 and the cost per child for schooling is
approximately $5000. Thus, a housing unit of $150,000 with one child living therein
could cost the town $3000-3500 more than the revenue that it provides. If we stop
here, then one can easily understand why so many communities resist housing
development, but it would be unfair to do so because there are other factors that
must be considered. For example, do the residents of these homes contribute funds
to the economy and create an economic multiplier effect? The economic multiplier
effect is the direct, indirect and induced effect of any activity on the economy of the
region. For example, the economic impact of housing is significant and involves a
multitude of factors, from the monetary effects of the construction process to the
impact of personal incomes on the local economy. In most instances, these gains will
more than offset the additional tax burden. In short, we are asking you to undertake
a fiscal impact analysis but to use the findings judiciously. The fiscal impact, along
with the buildout and the other sources of housing information described above, will
contribute to helping define your future direction. It is not, in itself, the final
determination of what you should do.
Key Housing Issues

There are six key issues that have to be faced when you examine the housing stock
and map out the future direction of housing development in your community. The
first centers upon "ancillary uses." Should, for example, your zoning allow a
"mother in law" apartment in a single-family residential district? After all, our houses
are bigger, our families are smaller and there is a desire to bring extended families
together. And yet, many citizens fear that it actually creates a duplex pattern of
development, increased densities and a change in character (more cars, greater use
of infrastructure). We have seen citizens in community after community fight pro and
con on this issue. There is no easy answer, but local values will prevail.

The second is the "home business" conundrum. More and more Americans are
creating their own businesses on the side and, due to available technologies, are
operating out of their homes. Business signs in residential area, employees and
patrons of the home business - all of these can affect the "sense of place" in
residential communities. Most communities are now controlling this issue through
regulations governing the number of employees and controls on any exterior
changes to the structure. Still, the placing of such businesses has to be carefully
monitored.

The third key issue relates to cluster housing. Cluster housing is the placement
of units on smaller or shared lots in exchange for adjacent or nearby lands being
declared as open space. We have heard arguments, with much exaggeration, that
clusters are un-American! Virtually every planner that we know is strongly supportive
of such concepts while the American people regard them with suspicion. The
problems are threefold. When the units are placed on smaller lots, they appear to be
at a higher density and therefore do not belong in a low-density district. Moreover,
the concept of permanent open space is also viewed with skepticism. Indeed, we can
understand why. Some courts have ruled that the term "permanent" does not mean
forever but rather means thirty years. Finally, there are questions concerning the
open space. Who will own it and maintain it? The home owners, the town or a non-
profit organization? If someone other than the town owns it, will there be public
access? Such questions are common and deserve careful answers. If you are
proposing cluster housing or planned unit development (a concept similar to cluster
but with different uses - residential/commercial/office/industry or variations of each -
and differing densities) we urge you to sell the idea slowly, thoroughly and use
extensive graphics to illustrate your plans.

The fourth deals with density requirements. We regularly show pictures of

Nantucket, contrast them with a typical American subdivision and ask the audience
which would they prefer. Inevitably, the majority selects Nantucket. We then explain
that the Nantucket housing is on small lots, close to the road and with minimal
sideyards. The audience then responds that the idea will not work in their community!
The teaching point is that there is no appropriate lot size. Further, it should be noted
that low density housing changes the community character and costs the community
just as much as higher densities. We have seen expensive single family homes on
1/8 of an acre lots and not-so-attractive housing on five-acre parcels. Local values,
once determined, should prevail.
The fifth key issue relates to community perception and treatment of
condominiums. We have seen town after town try to outlaw condominiums. They
frequently perceive them as apartments that are occupied by people who do not care
about the community. In our opinion, they are wrong. Condominiums have nothing
to do with housing type. They are simply a form of shared ownership. Furthermore,
there are no differences between condominium owners and single family property
owners that we have noted in our thirty years of planning experience in terms of
participation in community or caring about their properties.

The sixth and final factor centers upon housing affordability.

The cost of housing has been escalating Learn More...

faster than wages. As a result, the goal
of buying the American Dream House For resources and programs that are frequently
requires more and more time and used by local agencies to expand affordable
financial help. At the same time, the housing see the National Association of Housing
and Redevelopment Officials web site.
federal government is becoming less and
less involved in housing assistance. The local community has an obligation to insure
that affordable housing is available. It can be designated for senior citizens, first time
homebuyers, public employees, or those needing shelter, or it can simply be low cost
housing. Whatever the need is, we, as planners, have an obligation to help. Federal
Programs such as FHA and HUD play an important role in helping communties do
just that. State sponsored programs including Housing Tax Credits are also available.
You should know that states can sanction communties that don't provide affordable
housing. Regulations such as "Comprehensive Permits" in Massachusetts can
override local zoning requirements that discourage affordable housing development if
that community does not designate 10% of its housing stock as affordable.

After you have examined these factors, Learn More...

you are ready to write your goals and
action steps, which can then be This article regarding housing development in a
implemented through several laws and Washington state suburb illustrates many of the
policies. Questions related to density are key housing issues described above, including
concerns about a change in community character,
determined through zoning by-laws while increasing densities and clustering growth to
those concerning lot layout are covered accommodate demand for housing, an aversion
by subdivision regulations - both of to condominium development and, of particular
which are town or city responsibilities. note, how local values influence planning
The issues related to home-based outcomes.
businesses and cluster are also locally
determined through zoning, and sometimes, town by-laws (i.e. signs). Affordable
housing and the governance of condominiums are a mixture of local powers. In short,
the determination of housing type, density, ownership responsibilities and location
are all locally driven. You can clearly decide your own destiny!

Housing Summary

As you can see, there are many issues to consider in planning for housing in your
community. There are, however, many tools to help you in providing adequate and
appealing housing for all segments of the population. What are the key points in
today's lesson? They are the following:
 1. Look to the United States Census for trends as they relate to planning for housing.

2. Look to the Assessor for the value of property.

3. Look to the Building Inspector for what types of structures are being built and where
they are located.

4. Undertake a Buildout Analysis to determine the rate of growth and the amount of land
available.

5. Apply fiscal impact analysis to determine if the community can handle more growth.

6. Examine whether your community is prepared to handle issues on ancillary uses,

home based businesses, cluster, density and housing affordability.

7. You have the control over the type, density, ownership policies, mixed use character
and affordability of housing in your community; all you have to do is to "act and
implement."

Bibliography & Additional Resources

Susskind, Lawrence and Susan Podziba. Affordable Housing Mediation: Building

Consensus for Regional Agreements in the Hartford and Greater Bridgeport Areas.
Lincoln Institute of Land Policy (1996). Two case studies and a how-to manual
illustrates the process of overcoming political obstacles to build consensus for
affordable housing. Available through the Lincoln Institute.

HomeSight. HomeSight,The Comprehensive Guide to Housing Resources on the Web is

an annotated resource guide of housing agencies, projects, policies, designs and
publications available on the Internet. Links are divided into categories such as Type of
Housing, Issues, Development and Types of Resources.

Urban Land Institute. Housing in Suburban Employment Centers: Development

Opportunities and Constraints. Urban Land Institute (1995). Presents alternatives to
current suburban development patterns through examining the feasibility of increasing
housing densities, using land more efficiently and increasing affordable housing.
Available through the American Planning Association's Planners Book Service.

Burchell, Robert and David Listokin. Land, Infrastructure, Housing Costs and Fiscal
Impacts Associated with Growth. Lincoln Institute of Land Policy (1995). A 33 page
working paper. Available through the Lincoln Institute.

National Association of Housing and Redevelopment Officials.

Norwood, Ken. Rebuilding Community in America: Housing for Ecological Living,

personal Empowerment and the New Extended Family. Shared Living Resource Center
(1995). Investigates types of housing that promote the idea of community, including
village clusters and co-housing. Available through the American Planning Association's
Planners Book Service.

United States Department of Housing and Urban Development Federal Housing

Administration (FHA).

United States Department of Housing and Urban Development, Office of Community

Planning and Development.
Introduction to Open Space Planning

This lesson will be a discussion on open space and recreation planning. Open space
is defined as publicly and privately owned undeveloped lands that are important to
the community for recreation, agricultural and forestry uses, scenic qualities or
community character.

Americans simply love their open spaces. There is a seemingly close connection
between the small American community and the song “Don’t Fence Me In.” Do you
remember the refrain “land lots of land under starry skies above?” We recently
worked in a town of forty square miles, of which 90% of the land was permanently
designated for forest use. And yet, once a 100-acre parcel became available for sale,
the town snapped it up because it wanted more open space! We have heard of
similar cases across the country. Indeed, many planners have told us that it is easier
to obtain funds to purchase open space than it is to fund new libraries or schools.

Defining Open Space

The definition of open space requires some analysis. First, open space includes land
owned by governments, non-profits and private entities. Governmental land may be
as small as the town common or square and as large as a national park. Lands
owned by the non-profit sector range from properties controlled by a land trust, the
Audubon Society and/or even the local rod and gun club. Privately owned open space
typically includes forestland, farmland and other parcels either waiting to be
developed or that, for a variety of reasons, are undevelopable.

The word "undeveloped" is also important. Whether these lands remain as

undeveloped open space depends on a series of conditions. In regard to government
land, it is rare today for governments to sell or lease land outright for development
purposes. However, it is common when some of the development rights are released
for the "commonwealth" of the people. Schools, libraries and courthouses are
commonly sited on such property. Governments also allow roads, sewer lines, water
lines and transmission lines through these lands, which can set the stage for future
development. From a non-profit perspective, there is, at times, pressure for these
organizations to sell off land to raise funds. Although such a strategy may be fiscally
prudent at the time, the result may be the loss of valuable open space. Finally, from
a private perspective, there is little direct public control beyond zoning that will
maintain these lands as free and clear open space. The point here is simple:
Undeveloped lands are those parcels that are free of structural impediments be they
subterranean, horizontal or vertical.

The third key word or phrase in our definition centers upon "lands which are
important." Defining the value of land is a difficult task, as each community is
different. We have noted instances, for example, where the viewshed from the road
is considered quite important even though local citizens gain no direct fiscal benefit
from it. Town commons across New England, iconic symbols of the American
community, have been carved up for roads and parking. (This even happened to the
Town Common in Amherst, Massachusetts, that was designed by Frederic Law
Olmsted, arguably America’s most famed landscape architect.) It is crucial that local
planners gain a thorough understanding of which lands are important and why.
The final part of our definition focuses on the uses of open space. The most actively
pursued by local governments is recreational open space. Examples include "active"
recreational lands such as ball fields, golf courses, bicycle trails and beachfront
properties and "passive" lands that allow walkers and hikers to enjoy the scenery
and nature. At other times these lands may be protected for historic or cultural
reasons. It is important to note that as society changes so does our commitment to
open space. For example, in terms of active recreation, twenty years ago as our
baby boomers came of age, communities across the nation were building an
enormous number of tennis courts. It was a period of hard, rigorous exercise.
Twenty years later, we are noting that municipalities are paying increased attention
to golf courses. This trend may reflect the aging of the Boomers and Americans in
general, as golf is far less strenuous (or so they say!). Even our ideas about history
and culture change. Historic preservationists have joked that everywhere George
Washington visited or could have visited has been saved. Today, they are focusing
on sites where George Washington would have visited if he were alive today!
Although our most important nationally significant sites have been saved, efforts are
now focusing upon those places that are locally important. For example, the City of
Springfield, Massachusetts, is now considering the development of a walking trail in
commemoration of Dr. Seuss. (The author of the Seussian tales is Theodor Geisel, a
Springfield native. Mr. Geisel made many references to Springfield, directly and
indirectly in his writing.)

Planning for Open Space

How we plan for open space is no different than the typical master planning process.
However, we believe that it is essential that you take an extremely careful look at
your community values. There are three techniques that are helpful in revealing
these values. The first is a community survey in which you ask your citizens
how they would rate the acquisition/management/use of open space as a
critical activity of local government. The survey should include questions on
using the local tax levy, as your citizens may be willing to sell a portion of their
property taxes to acquire land for conservation or preservation. As well, it would be
beneficial to examine the motivation of the respondents. Do they view the
acquisition/management/use of open space primarily to protect the community
character or is it to stop growth? We state this because more and more frequently, it
is the latter response and there are other tools that could be used for that purpose.

The second is a more interpretative Learn More...

approach in which you can take an
extensive series of photographs of View a sample community survey as well as
important geographic/topographic complete open space plan (PDF format, 186KB).
elements in your community and Reprinted with Permission. Note: You must have
Adobe Acrobat to view this document.
have a cross section of the citizens
view them and rank them according to their importance to the community.
Once consensus is reached, you should then ask them to explain their rationale in
written statements. These two steps will help you to obtain the clearest possible
sense of what direction your community should go.

Finally, we suggest that you consult an architect or landscape architect who

can interpret the local zoning act and simulate what could happen to these
valued lands if a developer wished to build under existing regulations. The
findings can be quite startling. Robert Yaro et al in Dealing with Change in the
Connecticut River Valley can provide more information about the startling (and
sometimes alarming) results when utilizing this technique.

Once you have determined, which land you want to acquire or preserve as open
space, how can you gain control over open space? The first and most obvious is to
purchase it outright with local tax revenues. This approach is frequently resisted.
Another is to require developers, under your subdivision regulations, to set aside a
certain percentage of land for open space purposes and in an area that would enable
linkage with adjacent properties. In instances where there is a clear need for open
space, where the concept is carefully explained in the master plan and where the
donation does not egregiously impact the project, this can work. However, the
Courts will require you to have established a clear "causal nexus"; that is, a
connection between the needs of the community and the donation in question. In our
experience, many communities, because of the fear of litigation or the distaste of
"taking" another person´s land, have resisted this approach. They are willing to offer
a density bonus, a tax break of some sort, or the relaxation of a requirement as an
incentive for the developer to set aside land for the public good. This works when the
“carrot” is enticing enough to the developer. A third approach is to create a
community foundation or land trust that can purchase open space and manage or
sell it for the public good. Although the value of this approach is that neither public
funds nor staff time are involved, the drawback is that the public has no direct input
into the decision. There is also a question concerning who has access to these lands.
Is it public space or a place for the membership? A fourth approach is to develop
strong setbacks from swamps, rivers, streams, lakes and the oceanfront. We know of
instances where states and communities require a 100-foot setback from wetlands
and 200 feet setbacks from rivers. This enables the creation of extensive bands of
open space that flow through the community. Finally, your zoning regulations can
help. Through setbacks, the protection of soils and tree cover, and opportunities for
clustering and planned unit development, extensive open space can be obtained.

When all of the tools are placed together Learn More...

they provide a powerful means for a
community to protect and nurture its View a matrix of more land protection techniques
open space. It can also provide a (PDF format, 39KB). Reprinted by Permission.
mechanism, through greenway planning, Note: You must have Adobe Acrobat to view this
document.
to connect these spaces for the
enjoyment of the citizenry. Through bicycle trails, nature walks, running trails and
boat docks, among others, there is a tremendous opportunity to add value to the
community. The greenways can also protect wildlife through the establishment of
corridors that enable the animals to move from one feeding, nesting and watering
area to the next. It is an exciting concept.

We would be remiss if we did not discuss four issues that may hinder the
provision of open space in a community. The first relates to the maintenance of
the land. Although municipal control over open land is perceived to be a good thing,
many communities fail to consider the costs associated with maintaining the land.
The community must clean up trash, keep trails open and insure proper stewardship.
This can be expensive. Secondly, whether land is purchased outright or the
development rights are purchased, the property is exempt from the tax rolls,
resulting in less revenue for the community. The third issue relates to privatization.
Many citizens view open space as an intrusion on their rights of property and have
little desire to have "hordes" of people next door or passing their doorstep. Indeed,
we have noted an increase in the resistance by private property owners to provide
easements for bicycle and jogging trails for this very reasion. Finally, and most
importantly, the creation of open space frequently adds value to adjacent properties
and can, as a secondary consequence, stimulate pressure to build or add
infrastructure. This must be prevented, for the single greatest threat to the
protection of open space is adding water and sewer services.

Open Space Planning Summary

In a final analysis, open space planning is crucial to your community. It helps to
provide clean air and water. It provides opportunities for flora and fauna and wildlife
to survive and regenerate. It means that our citizens have chances for active and
passive recreation and that farmers and foresters can produce without burdensome
taxes. It means, as well, that our precious scenery and nature and artifacts can be
protected, along with our community character. Finally, it adds economic value to
the community. It is clearly important to all of us. In sum, what are the important
teaching points for this lesson? They are as follows:

1. Open space can be defined as publicly Learn More...

and privately owned undeveloped
lands that are important to the Read more about various issues pertaining to
community for recreation, agriculture, open space planning, from the economic value of
forestry, scenic qualities or open space to a variety of tools and techniques
community character. available to help in acquiring or preserving land.
2. Open space is commonly owned by "Habitat Conservation Plans: A New Tool to
governments, non-profits and private Resolve Land Use Conflicts" by Timothy Beatly
entities.
"The Economic Value of Open Space" by Charlie
3. Open space can be acquired through
Fausold and Robert Lilieholm
outright purchase, the purchase of
development rights, subdivision "Transfer of Development Rights for Balanced
regulations and grants. Development" by Robert Lane
4. There are great pressures to develop
"Conservation Easements: The Interaction of
prime open space land.
Land Policy and Taxation" by Joan Youngman
5. Recreational concepts are changing
as the population ages.

6. The orientation of community character and our heritage is shifting to a stronger focus
on the uniqueness of the local city or town.

7. Community surveys, interpretative analysis and visual simulation are critical tools in
open space planning.

8. The greenway system of linking open space has great merit.

9. The key threats to the protection of open space centers upon local maintenance costs,
the loss of tax revenue and the building of infrastructure systems.

10. Open space planning adds value to the community.

Bibliography & Additional Resources

American Farmland Trust.

The Center for Rural Massachusetts. Provides series of publications, many in electronic
form, that can help communities better plan for open space.

Colorado State University's Department of Natural Recreation and Tourism. Provides a

series of links for easy access to information regarding programs in Open Space and
Natural Area programs throughout the United States.

Youngman, Joan. "Conservation Easements: The Interaction of Land Policy and

Taxation." Landlines. (May) 10, 3. (1998).

Yaro, Robert D. Randall G. Arendt, Harry L. Dodson and Elizabeth A. Brabec. Dealing
with Change in the Connecticut River Valley: A Design Manual for Conservation and
Development. Lincoln Institute of Land Policy and the Environmental Law Foundation
(1988). This critically acclaimed manual uses perspective drawings, plans and photos
to explain how a community can use creative planning guidelines to accommodate
growth, while preserving rural landscapes. Available through the Lincoln Institute of
Land Policy.

Center for Economic Development. A Draft Open Space and Recreation Plan for South
Hadley. Center for Economic Development (1992).

Trust for Public Land. The Economic Benefits of Parks and Open Space: How Land
Conservation Helps Communities Grow Smart and Protect the Bottom Line. The Trust
for Public Land (1999). The 48-page report provides an overview of research findings
and examples of communities that are protecting the landscapes that contribute to
their quality of life and economic well-being. Available at the Trust for Public Land
website.

Fausold, Charlie and Robert Lilieholm. "The Economic Value of Open Space." Landlines.
(September) 8, 1. (1996).

Beatly, Timothy. "Habitat Conservation Plans: A New Tool to Resolve Land Use
Conflicts." Landlines. (September) 7, 5. (1995).

Land Conservation through Public/ Private Partnerships. Eve Endicott, ed. Lincoln
Institute of Land Policy and Island Press (1993). Learn how many states and national
agencies have collaborated with non-governmental organizations to forge innovative
partnerships for land conservation through case studies. Available through the Lincoln
Institute of Land Policy.

Land Trust Alliance.

Tibbetts, John. Open Space Conservation: Investing in Your Community's Economic

Health. Lincoln Institute of Land Policy (1998). This report describes techniques in
delineating the economic value of open space, explaining their strengths and
limitations. The reports also analyzes the effectiveness, practicality and fairness of
tools used to finance open space conservation, including, impact fees, conservation
easements, floodplain zoning and more. Available through the Lincoln Institute of Land
Policy.

Schnidman, Frank, Michael Smiley, and Eric G. Woodbury. Retention of Land for
Agriculture: Policy, Practice and Potential in New England. Lincoln Institute of Land
Policy (1990). Complete state-by-state analysis of programs to conserve farmland in
New England, this book shows how local support and active cooperation of farm
owners are keys to success. In evaluating a broad range of farmland protection
programs, the authors examine the role of federal, state and municipal government.
Available through the Lincoln Institute of Land Policy.

Regional Plan Association. Tools and Strategies: Protecting the Landscape and Shaping
Growth. Regional Plan Association (1990).

Lane, Robert. "Transfer of Development Rights for Balanced Development." Landlines.

(March) 10, 2. (1998).
Introduction to Economic Development

Across the United States cities and towns have realized that there is a great need to
plan for economic development. There are many reasons for this. First, industry is no
longer simply a local company manufacturing hard goods for the local market. Today
it is likely to be looking at its competitors across the globe in order to protect its
market share. The owners are just as apt to be impacted by a competitor in
Singapore as one across the street. Trade agreements such as the North American
Free Trade Agreement (NAFTA) and the General Agreement on Tariffs and Trade
(GATT) were once abstract agreements that affected American industry tangentially.
Today, they impact, and will continue to impact, virtually every manufacturer in the
country. As well, policies of the European Union and the Pacific Tigers (the emerging
nations of Southeast Asia) can cause uncertainty at a moments notice. While the
results of these international policies are largely hidden from the public, there are
immediate international influences that directly affect industry. For example many
manufacturers must meet new international standards. Most of us can move through
our local industrial parks and see proud signs noting that "Edgecomb Steel (or the
like) is now ISO-9000 Certified." This means that its practices and systems meet the
standards expected of a company competing in the international arena.

Planning for Economic Development

Why do communities need to pro-actively plan for economic development? We

would like to highlight 3 major factors.

1. Globalization of the economy

2. Ever-changing needs of business in all economic sectors

3. Technology and innovation

Clearly industry (manufacturing and service) has now become transnational or

international. It respects few geographic boundaries, operates with a keen eye on
currency fluctuations and will go to wherever profit can be made. For example, a
large textile manufacturer recently announced the closing of its North Carolina plants
and the elimination of a thousand jobs. These jobs were going to Mexico and
represent, for better or worse, another example of the impact of NAFTA. (The irony
of this is that the same phenomenon was true in the 1950s in New England when its
textile industry made its almost wholesale move to the Carolinas!). In short,
throughout America, world trade and world markets are causing great changes in our
manufacturing base.

The second factor that has spurred cities and towns to plan for economic
development is the speed and velocity of economic events. Companies can and must
move from one location to another if they are to survive. An outmoded mill, the lack
of modern infrastructure and even distance from the market can all quickly spell
disaster. Given that bankers and stockholders want quick returns on investment,
manufacturers have little choice but to move to more efficient structures that can
quickly serve the marketplace.
 © The Dallas Morning News/ Richard Michael Pruitt

The third key element is that technology is rapidly changing. The computer, robotics
and fiber optic revolutions, to name only a few, have dramatically changed how and
where we build. The image of hordes of blue-shirted workers with lunch pails rushing
to the red brick, four-story factory in answer to the mill whistle is an anachronism.
Today, the modern plant, a single story tilt-up building, will hum quietly in a
smokeless, greenfield where technicians rather than laborers insure that quality
production, on schedule and within budget, ensues. We have even noted the rise of
what we call "The Jobless Industrial Park," a 60,000 square feet warehouse totally
controlled by automation with parking for a few technicians. There are other
instances where companies have dramatically expanded its output while, through
technology, it has cut its production space in half!

But what about those who work within Learn More...

industry? What are the challenges for
communities in terms of providing well- Small industrial cities such as Johnstown,
trained labor in such a rapidly changing Pennsylvania are struggling through
environment? We are writing this during economic changes to find new vitality. Learn
more about how globalization, the changing
a period of full employment. Conditions needs of business and technological changes
in many high tech areas are such that have influenced one outpost of the American
companies are now hiring high school industrial revolution.
students as programmers and the
plastics industry is offering mold "In Search of New Life for Older Cities" by Chris
Kelley
designers financial incentives to not
retire. At the same time, the common
laborer without skill is in danger of extinction and, above all, the wage difference
between skilled and unskilled workers is growing. Indeed, it is not uncommon today
to see college-educated workers on production lines, highlighting the fact a college
education is the minimum for many employers. An industrial plant now requires a
highly skilled, trainable, educated workforce.
Key Industrial Trends

Some of the other key industrial trends that you as a planning official will almost
certainly have to address are as follows

1. Citizens often perceive industry of any kind as a locally unwanted land use (LULU).

2. The concept of local jobs for local people is a myth.

3. The jobs of the future are here today.

4. Do not be afraid to hurry history along.

5. There is great concern over allowing industry "by right."

6. Land zoned for industrial uses are not always suitable for industry.

7. Why zone vacant land for industrial purposes when there is a surplus of vacant or
under utilized mill/factory space? Brownfield development can be a viable option for
many communities.

8. Economic development cannot be separated from environmental concerns.

9. Industry is technology driven; the value heavy, weight light product is the key to
America's economic success.

10. There is a need to strengthen ties among university, college, vocational schools and
industry.

11. The credit crunch is real. Especially for small business.

12. Economic competition may be international but all planning is local.

13. Governmental jurisdiction, approval process and financial programs make a difference
in promoting economic development.

14. The expansion of a community's industrial base is often inadequately addressed in

local master plans.

15. The need for a spokesperson for economic development is critical.

Learn More...

Learn more about what brownfield

development is and how it can benefit
your community.

"Model Solutions to Revitalize Urban Industrial

Areas" by J. Thomas Black

"Redeveloping Urban Brownfields" by Donald T.

Iannone
Economic Development Process

It is no wonder that so many communities are now perplexed. What are they to do
and how do they begin? Many communities across the nation have taken stock of
these trends and begun successfully to plan to meet them. Indeed, for those
communities that are succeeding, the common thread is that they have carefully
planned for the new realities. Those that are struggling are those that have, in the
words of the economist James Howell, "failed to hurry history along." We recommend
three basic steps:

1. Identify regional trends that will impact your community

2. Identify local resources and capacity

3. Set goals and objectives that enhance

your local capacity
Learn More...
1. Identify regional trends that will
impact your community View a sample economic development plan for
The economic planning and development the southeastern region of Massachusetts, which
process begins with an analysis of trends has developed goals, objectives and actions
across your region. It is essential that related to all aspects of economic development
including Industrial Development, Education and
you are able to identify those companies Training, Development and Environment,
that are being formed, expanding, Infrastructure, Tourism and Retail Commerce.
leaving and/or downsizing. We believe Reprinted by permission. Note: You must have
that it is critical to focus on the region Adobe Acrobat to view this document
because we have become a nation of
commuters; we can no longer promise local jobs for local folks. It is also critical that
you interview a cross-section of those companies (e.g. large, medium, small,
manufacturing, service, locally owned, etc.) to determine their long term prospects
in your region.

2. Identify local resources and capacity

Once the trend assessment has been completed, we urge you to take stock of your
current economic assets. These will include your workforce, land use and zoning,
infrastructure, business climate and entrepreneurial atmosphere. In terms of your
workforce, it is important to identify the age, skills, stability and availability within
your community. We know, for example, that an older, skilled workforce can be a
decided asset because of its stability, as they have a tendency to stay with a
company for an extended time. We also know that employers want to have an
extensive pool of applicants when they move to an area. In fact, we have heard of
major companies requiring a ratio of ten applicants for every job opening.

Zoning is a particularly vexing issue for communities because industrial firms look for
land that exactly fits its needs. They view special exceptions, site planning,
subdivision regulations and the like as time consuming, costly and burdensome. On
the other hand, the citizens, particularly after the Love Canal incident and movies
such as Civil Action, are increasingly unwillingly to create zoning districts that grant
"By Right" status. Still it is essential that your zoning can accommodate industry.
This means insuring that there is ample room to build and expand in areas that are
environmentally clean, do not interfere with residential life and provide easy access
to major highways. The rule of thumb to accommodate a first class industrial/office
park development is as follows: it must consist of 100 acres appropriately zoned, be
environmentally clean and free of wetlands, have adequate infrastructure, be within
fifteen minutes of a major highway and thirty minutes of an airport, allow movement
that will not interfere with residential neighborhoods, be in single ownership and for
sale. No easy task to find such a site! In fact we know of several New England
counties where such sites are virtually non-existent.

Taking stock of your existing infrastructure should also include an examination of the
distribution systems and their capacity. It must include an examination of sewer and
waste disposal, water supply, highways, gas, electricity and telecommunications
capabilities. Several issues need to be addressed here. The first relates to the
condition of your utility systems. Is the sewage system capable of handling industrial
wastes (e.g. acids)? Will there be a sufficient supply of water as your community
grows? Do your highways have the capacity such that there is no change in the level
of service? Please remember that, in many states, if there is a decline in the level of
service along a highway, the community or the developer must correct it. Is there
enough gas and electricity capacity to insure a steady supply? We know of some
industries where brownouts or power surges have been devastating to their
operations. Finally, in terms of telecommunications, if you do not have the latest
technologies then, simply stated, you will not be able to compete. We have already
noted instances where locational decisions have been based primarily on the quality
of the telecommunications service.

Furthermore, you will need to examine the relationship between your larger and
smaller firms. We worry about local economies that are dominated by one industry.
At the same time, we also know that "small is beautiful as long as big is around too!"
We urge you to insure that your industries are integrated as extensively as possible.

Finally, your inventory must examine your entrepreneurial climate. The importance
of this cannot be overstated -- companies formed by local residents tend to stay
local. They tend to buy local, finance local and support local causes. Look at the
types of companies being formed, the patents and licenses being granted for your
community and the buying practices of your larger companies. By so doing, you will
have a snapshot of your economic climate.

3. Set goals and objectives that enhance your local capacity

Once you have completed your inventory, the process of analysis, goal setting,
action steps and implementation planning follows in the same manner as the other
elements of the comprehensive plan as we discussed in another lesson. We have one
special plea for you, however; we urge you to reach out to your industrialists and
request that they become critical players in the process. Too frequently, they are not
approached. Their insights and thoughts will dramatically improve your final
document.

There is one other aspect of your Learn More...

industrial plan that requires careful
thought. Who will oversee the Learn about how your community can develop
implementation of the plan? We raise benchmarks to measure your progress in
this issue because, too frequently, the economic development planning. Reprinted by
Permission. Note: You must have Adobe Acrobat
answer is "no one!" Forming an industrial to view this document.
development committee or commission
with the charge of overseeing the economic development of the community is one
way to implement your plan. If your community is in excellent shape then you may
only need a committee. However, if your community is in trouble, then we urge you
to create a commission. These organizations may be given the power to make
investments, purchase property, apply for grants and negotiate with industrialists.
They can be immensely valuable in stimulating recovery.

It is our opinion that economic development is the most difficult to accomplish of all
of the planning elements facing a community. It is fraught with concern over health
and safety, often requires financial outlays for the community, is increasingly risky
given world trends and frequently takes years of effort before a positive return on
investment is realized. Still, despite these problems, we need to have a balanced
economy and expand our tax base.

Bibliography & Additional Resources

American Economic Development Council. Offers ideas and resources to promote

sustainable local development capabilities, which are globally competetive.

Committee for Economic Development. Independent, nonpartisan organization of

business leaders and educators dedicated to research of national economic and social
policy issues.

Council for Urban Economic Development. Offers a variety of services and information
to economic development practicioners and to other allied organizations.

Economic Development Administration. Federal government organization established

to generate jobs, help retain existing jobs, and stimulate industrial and commercial
growth in economically distressed areas of the United States.

Environmental Protection Agency Brownfields Homepage.

Kelley, Chris. "In Search of New Life for Older Cities." Landlines. (March) 8, 2.. (1995).

The Interactive Economic Development Network. IEDN has been created to provide a
place in cyberspace from which economic development practitioners can congregate in
a user friendly environment. Their site contains articles and publications, links to state
and local organizations, "Best Practices," discussion rooms, current economic
development news, reports and more.

Kotval, Zenia, John Mullin and Edward Murray. Measurable Indicators of Economic
Success. (1998).

Black, J. Thomas. "Model Solutions to Revitalize Urban Industrial Areas." Landlines.

(January) 12, 1. (1997).

National Association for County and Community Economic Development. A national

nonprofit organization composed of county government agencies that administer
community development, economic development and affordable housing programs.

Iannone, Donald T.. "Redeveloping Urban Brownfields." Landlines. (November) 7, 6.

(1995).

United States Department of Commerce.

Urban Land Institute. Provides resources publications and links on issues related to
economic development.

USDA's Development Ideas That Work. The United States Department of Agriculture
provides access to an extensive series of real-life case studies that highlights
successful project designs and project management techniques that worked with low-
income, limited resource communities. Nearly 75 case studies from areas throughout
the United States illustrate innovation in business, community and economic
development, communications and technology, job training and more.
Introduction to Retail

At the same time, retail planning has the potential of defining a community’s public
face. How many of us judge a community by its downtown shopping area? We bet
that most of you do just that. You come into a community’s downtown and quickly
determine the quality of shops, buildings and spaces. In any case, retail planning
must be a critical area of focus in your community master plan.

What is the nature of this revolution? Up until World War II, retail shopping, along
with the town hall, post office, library and courthouse, were typically located in the
downtown area marked by a town common, green or square. We walked or drove a
few minutes at most to undertake our business or make our purchases. This image is
fixed in our minds. How many of us recall the hustle and bustle of Thursday nights in
the city after payday? Here was tradition, history, the civic and the social center of
the community. Many communities are trying to capture this ambiance today. How
we do this will be explained in this lesson.

Retail History

With the passage of the GI Bill and FHA

programs in the 1940s, America began its
exodus to the suburbs. No sooner did this
occur than retail firms began to follow. By
the 1950s, the Shopper’s Worlds, Eastgates
and Sears Plazas began to emerge in
locations away from traditional town retail
centers. Through the 1950s 1960s they
continued to expand and planners began to
coin new terms; the term "shopping center"
was insufficient to define what was
happening. Located near critical highway
junctions, requiring consumers to use their
cars to get there and featuring large chain
stores (e.g. Sears, J.C. Penney’s and K-Mart),
they were evolving into strip malls,
neighborhood malls and regional malls. In
the 1970s and 1980s, we began to see super
regional malls that often attracted customers
from distances greater than 100 miles. These
malls tended to combine entertainment with
shopping, of which a prime example is the
Mall of America with its shops, restaurants, © 2000 Corel Corporation
in-house amusement park and movie
theaters. As this was happening, two other Since the 1940's, America's retail
history has been characterized by
forms of retail were emerging. The first was
the construction of malls, box
"Box Retailing," so named because their retailers and category busters in
simple cement block or tilt-up construction. the suburbs away from traditional
Such companies as Wal-Mart, Sam’s Club, centers. Changes in the form and
Costco and BJs are typical of this type of locationof retail will no doubt
retail. The second was the "Category Buster," continue as catalog, TV and
Internet sales become more
so called because the goods sold are popular.
discounted to the point that other shops cannot compete in terms of selling the
specific goods sold. Such shops as Staples (paper goods), Toys-R-Us (toys) or Pep-
Boys (tires) are examples of category busters.

Throughout the 1990s, attention to discounting stimulated the creation of "outlet

centers." Originally created to sell the "end runs" of products or seconds (flawed
goods) in old mill space or in places such as the original Filenes Basement, they now
feature all kinds of slow moving goods, last years fashions and overstocks in their
own mall type surroundings. On top of all of this, we have the expansion of catalog
sales, TV sales and Internet sales to contend with. More and more of us are buying
from catalogs, watching TV channels that do nothing but sell products or purchasing
products off our computers.

Retail Trends

Where will it all end? We don’t know. However, we do know that certain trends are
likely. The following are our top six:

1. Retail activities in our downtowns will become less and less prevalent. Where it exists,
it will either service a local market (village or neighborhood scale) or be specialized
(goods that are unique).

2. Retail activities in neighborhood strip malls will be increasingly vulnerable to the winds
of change as small stores fend off their larger competitors.

3. Our regional malls will become larger and larger and will take on a mixed-use
character to include hotels, movie theaters, amusements, restaurants and even office
space.

4. Outlet centers will have to compete more and more with the category busters and the
box retailers. They will survive only by discounting quality products (e.g. Brooks
Brothers, Coach, Wedgewood).

5. The Box Retailers and Category Busters will continue to expand and force mainstream
department stores (e.g. Ames, Riches and Bradlees) into difficult financial conditions
or to redefine their product lines.

6. Catalog sales, television sales and Internet sales will only increase.

Learn More...

Read more about how retail developers are trying

to anticipate ever-changing consumer trends in
the Urban Land Institute article, "Retail
Developers Grapple with Perpetual Question:
What Do Consumers Really Want."

Retail Process

What can we do, given all of these changes? We recommend a five-step process:
1. Inventory retail base.

2. Analyze differences between what people want and what your community has.

3. Determine how land is being used for retail.

 4. Determine what current zoning and land use controls allow for retail development.

5. Implement zoning and land use controls that reflect the kind of retail development
that your community wants.

First, it is essential to undertake an inventory and analysis of your retail base. What
is being sold in your community and what do your citizens buy? To determine the
answers to these questions you will have to survey your retailers.

You may also purchase "hard dollar" information from such organizations as Equifax,
Donnelly Marketing or Woods and Poole, although this is a relatively expensive
option. Beyond the survey of retailers and purchase of information, you should also
ask for help from your newest retailers. They will have had to analyze the local
market before making their investment and can provide insight into why your
community was an attractive area in which to locate.

Once you have collected the information, Learn More...

the second step is to analyze it. What
does it tell you in terms of the match View one community’s sample retail survey (PDF
between your population and the types format, 21KB). Reprinted by permission. Note:
of businesses that you have? For You must have Adobe Acrobat to view this
document.
example, if it shows that your citizens
like to purchase gourmet foods, is there a first-class meat and vegetable market? Or
if they enjoy books, where is the nearest bookstore? In short, the analysis will tell
you what your competitive edge is and what types of retail may be lacking.

Step three should include an examination of your retail land uses. Most communities
will have a retail center (downtown), village shops (Mom and Pop variety stores) and
various types of strip malls along highways leading to downtown. The critical
question centers upon determining how much land is being used for retail activities.
In most communities, there is too much land, in too many areas dedicated to
commercial use. This phenomena is called "retail dribbling." Decentralized
commercial activity can lead to a weakened retail core and little cohesion to the
marketplace experience. Moreover, the sense of community vibrancy, which
characterized the shopping experience of the past, is lost.

Step four should consider the results of step three and compare where you are with
where you would like to be. This can be compared in terms of what your zoning both
controls and allows for in retail development. For example, most communities,
reflecting the land use pattern, will have a downtown district, village commercial
district and a highway business district. The requirements for building in these
districts inevitably sets the tone for the types of businesses that locate therein. In all
cases, we urge you to adopt strong design and performance standards for each
district. The uses allowed, the location of parking, placing of curb cuts, signage,
landscaping, lighting, facade treatments and even the size of the buildings are all
important and will have an impact on your retail activities. The most common
weakness that we find in terms of commercial zoning (of which retail activities play
only a part), is that it is too broad. On more than a dozen occasions we have been
asked to assist communities to fight a proposed retail project even when it meets the
zoning requirements. So often we hear the lament "We didn’t expect that Wal-Mart
would consider coming here!" Well, if the zoning allows such uses then, in essence,
you are telling them that they are welcome.
In step five, you should begin to Learn More...
determine and plan for the desired form
of retail activity for your community. We Learn how one city in California has considered
have a set of basic thoughts and the importance of retail and downtown
recommendations that, hopefully, can development planning in its overall economic
development strategy.
help you in this regard. Please note that
not all of them will apply to your circumstances. However, if nothing else, we hope
that it stimulates you to think of how best to improve your community.

Retail Summary

In this lesson we have seen that retail development is both exciting and ever-
changing. However, communities can plan for the kind of retail activities they desire.
We would like to leave you with a few more hints and suggestions to consider.

Downtowns

1. Parking is always a problem. It is an issue for both the town and the merchants.

2. Downtowns survive well when they specialize. They cannot compete with the malls
and should not try to.

3. Amenities count. Unique architecture, street treatments, landscaping and historic

preservation are important.

4. Downtown retail should have hard edges. Weak retail zoning in the fringes inevitably
hurts downtowns.

5. Social service agencies should be discouraged from locating in your main shopping
areas, as they do not help to create a strong retail experience.

6. Given that most downtowns were built before modern standards, flexibility in terms of
meeting ADA, OSHA and building code standards are in order.

7. Try to keep your public uses downtown. Libraries, town halls, courthouses and
community centers add value to downtown and help to contribute to the creation of
true "town centers."

8. Architectural guides are quite helpful to developers considering downtown

revitalization.

9. Priority should be given to pedestrian rather than automobile traffic.

10. Please remember that your downtown is the historical, cultural and governmental hub
of your community. Its stability and vibrancy is crucial.

Neighborhood, Community and Strip Shopping Centers

1. It is important that strong design controls govern such uses.

2. Parking needs to be landscaped and buffered and, whenever possible, placed in the
rear of buildings.

3. Discourage multiple curb cuts.

4. Discourage "Las Vegas style" signage.

5. Once a highway commercial strip starts, it tends to expand. Be careful!

 6. It is better to build up (e.g. two stories) than to expand outward.

7. Hard edges are in order. Required landscape buffers will help to protect adjoining land
uses.

8. A key controlling element for these malls is a regulation that limits the size of buildings.
For example, a box retailer typically requires a minimum of 75,000 square feet. If you
limit the size of building to 50,000 square feet, for example, such a retailer is unlikely
to locate in this district.

Regional Malls

1. If you are located near major highway intersections, you should consider yourself a
candidate for a regional mall, regardless of your zoning.

2. If you want a mall in your community, you should plan for it by creating appropriate
zoning and insuring that there is sufficient infrastructure.

3. If you believe that you are a candidate to attract a mall, we also urge you to create
the strongest possible site plan and performance standards.

4. If you believe that you are a candidate to house a mall, we would urge you to create
"linkage" regulations that would require the mall owner to contribute to off-site
remediation of problems that could occur.

We hope this helps. As we stated in the beginning, there is a revolution brewing and
we are all part of it! Have fun!

Bibliography & Additional Resources

Bishop, Kirk R. Designing Urban Corridors. APA Planning Advisory Service (1990).
Shows how to use corridor-specific plans to improve the function, safety and
appearance of corridors. Available through the American Planning Association's
Planners Book Service.

Universiti Putra Malaysia Library. Browse a variety of web sites related to all aspects of
retail planning and development.
Introduction to Infrastructure

In this lesson we will be discussing how to undertake infrastructure planning. The

term infrastructure refers to the utility systems that allow your community to
operate efficiently and safely. These systems include your roads, sewers, water,
electricity, gas and telecommunications networks. They are important because they
literally form the skeleton upon which your community will develop and expand. If
you limit these systems then you could restrict the ability of the community to grow
and function. If you expand them without careful analysis, your community may
grow in ways that are unwanted.

The point we are stressing is that infrastructure must be planned quite carefully
based on both the present and expected needs of the community. We can illustrate
this point through three examples. We know of one community that must contend
with a bridge that is choked with traffic for six hours per day. There is clearly a need
to either expand the capacity of the bridge or build a new one. The State has
promised full funding. Yet, the community will not support any expansion because it
believes that by controlling traffic it is also controlling growth. A second community
practices "sewer and water system avoidance." It is a beautiful town with rolling hills
and dramatic vistas. It believes that by not building water and sewer systems, and
by maintaining narrow, winding roads, development will be minimal and therefore
maintain the open rural character of the community. Our third example is a town we
have worked in where the planners, before we arrived, placed water and sewer lines
across some of the finest farm land in the state. The planners were stunned when
this land was quickly developed for residential use. The town lost part of its
agricultural base, business taxes and community character. We can cite example
after example of where infrastructure dictates the form, size and pace of growth in a
community. Great care is clearly warranted.

The various types of infrastructure systems we will discuss in this lesson include
water, sewage and wastewater treatment, roads, and utilities. Communities must
consider federal and state regulations governing and maintaining these systems,
public health and safety concerns, as well as keeping up with technological
innovations unique to each infrastructure system. This is no easy task.

Water
In regard to water, there are increasing Learn More...
pressures to control the quantity that can be
taken out of a river, an aquifer and/or Learn how one Michigan community has actively
watershed. We expect these controls to and successfully undertaken groundwater
intensify. Moreover, there is growing concern protection planning.
over the quality of water (Do you remember
The US Geological Survey provides access to
the movies "A Civil Action" and "Erin
water data, publications and information on
Brockovitch"?). Communities are looking at
ground and surface water programs. View their
the safety, quality and taste of the water as it home page.
arrives in the homes of its citizens. Finally,
there is the issue of ground water pollution. The fear of contaminants entering the local
aquifer has raised great concerns across America. This fear alone has forced many
communities to build town systems at great cost.
Sewage and Waste Water Treatment

Concerning sewers, the issues

are equally problematic. We
expect that public health
standards will increase over
time and thus force individual
homeowners to either upgrade
their systems (at a high cost) or
to request the building of a
community system. We are
seeing more of the latter than
the former. We are also noting
that the systems themselves are
being carefully evaluated by
environmental officials at the © 2000 Corbis Corporation
federal and state levels. The
creation of storm sewage
systems or the dumping of untreated or poorly treated effluent into our streams and
oceans will no longer be tolerated. We know of instances where the EPA has fined
communities thousands of dollars for failure to protect a river from the overflowing
effluent that was caused by a 100-yearstorm. Communities will most certainly have
to be mindful of this.

Road Systems

While perhaps not as pressing in terms of public health, road systems present
important safety issues. Road planning is intended to help a community to provide
safe and efficient movement of its people, goods and services. Safety and efficiency
are not inclusive terms! How your community balances them is dependent upon local
values. The key issue centers upon congestion. When a roadway begins to fail (it is
graded below "Level of Service C"), it is time to focus on correcting the problem.
Keep in mind, however, that any change that you make at one point (e.g. a new
light at an intersection) will ripple through the road system of a community. We
know of one community that controlled the pace of traffic through its town center
through sequential lights. Yes, traffic moved smoothly. Unfortunately, the drivers
perceived it as being too slow and began to use adjacent residential streets as a by-
pass and thus affecting the character and safety of the neighborhood. In another
community, planners, in order to increase the speed of the flow of traffic through
downtown, created a one way loop system. Yes, auto traffic moved smoothly and
swiftly. Unfortunately, pedestrians now felt unsafe crossing the street and local
businesses suffered. Our key point here is simple: planning for road construction or
expansion requires a comprehensive examination of movement in the region and
community before any work is undertaken.
Electrical Power

The issues over electrical power center upon

costs, supply and aesthetics. In terms of cost,
we predict that monopolistic control of
utilities in towns or regions will diminish.
More and more states are endeavoring to
make their utilities competitive and to allow
"retail wheeling," that is the purchase of
power anywhere provided it is inexpensive.
This has potentially enormous impacts upon
smaller communities that operate their own
electrical systems. The second issue relates
to supply. Communities that lose power,
have frequent brown outs, or lack quick
backup systems will not be as attractive to
business and industry as those who have
adequate capacity. Finally, in terms of
aesthetics, electric wires may be placed
above or below ground. Power lines are,
bluntly stated, ugly. And yet, too frequently,
the utility companies have resisted placing
these wires below ground because of cost.

© 2000 Corbis Corporation

Cost, supply, and aesthetics are

the central issues to consider in
planning your community's
electrical power.

Telecommunications

One of the most critical and rapidly changing infrastructure systems relates to
telecommunications. No longer is telecommunications simply limited to our phone
systems. Fiber optics, "tone" systems and other innovations have become critical to
a community's economic competitiveness. We know of one small community that lost
the opportunity to attract a back office operation for an insurance company (500 jobs)
simply because its telephone system was
outmoded. Learn More...
We know of another instance where a
community is paying (rather than the View the state of Minnesota's Office of
utility) to bring fiber optics to the town Technology master plan.
so that its growing high technology firms
will be able to stay and prosper. Conversely, we know companies that are locating in
Springfield, Massachusetts, because it serves as a nexus for five of the nation's
major telephone companies. In addition, the provision of modern
telecommunications is related to the growing information technology industry and
some states have created master plans in this very area.

Thus, we can see how important and complex infrastructure planning can be.
However, there is a process that you can follow to insure that all of your community
needs relating to infrastructure can be addressed.

Infrastructure Process

We recommend that you follow a 5 step process:

1. Inventory systems capacity.

2. Determine short and long-term issues related to infrastructure.

3. Undertake a "Build-Out" analysis.

4. Determine ability to meet present and future infrastructure needs.

5. Consider local values and develop infrastructure plans.

The first step is to inventory the capacity of your local systems. Is there
sufficient supply and distribution capability to efficiently and safely meet the needs of
current residents and businesses? The utility companies typically will have already
collected the information on water, sewer, telephone and electricity system
capabilities. Your regional and local highway department administrations will have
data on "levels of service," conditions of roads and accident-prone sites. Step two
encompasses a series of interviews with the administrators of the
department of public works. These interviews should determine the critical short
and long term issues that they face. Too frequently, we see that citizens tend to
ignore infrastructure issues as long as the tap water is clean, the toilet flushes, there
are no brownouts, no interruptions in phone service, they can commute without
traffic congestion and the price of services is kept low. On the other hand, the
administrators will tell you the truth i.e., what are the "hot spots" and problems that
are coming. It is also important for you to interview your public health and
conservation officials. They can tell you whether or not you can expect future
problems meeting septic systems regulations and/or whether there are threats to
your groundwater. Obtaining this information is critically important. We know of one
community where approximately 50% of the septic systems are rated as "failures."
Further, the sole source aquifer in another community has been polluted by a nearby
military installation, necessitating the building of community treatment plants.

Once you have inventoried the capabilities of your systems and completed your
interviews, you are ready for step three: the Buildout Analysis. The purpose of
the buildout is to show you where current growth is occurring, where future growth
is likely to occur, and the pace of growth. With this data in hand, you will be able to
move to step four, an analysis of the state of your community infrastructure.
The analysis should focus on your ability to meet present conditions and projected
growth given the rate of change in your community. It must also consider national,
state, and regional regulations and standards as well as the ability of the residents to
pay. Indeed, it is only now that communities are moving to requiring "full costing"
for its water and sewer systems. This includes the cost of the supply, costs of
operations, costs of meeting regulations and costs of future needs. It is no wonder
that so many residents are noting "sticker shock" when they open up their bills.

In step five you are now ready to plan. Before you begin, it is essential that you
reexamine your community goals and ascertain whether or not the community wants
to grow, the type and pace of desired growth and the direction that growth should
move. Indeed, based on the analysis and the review of community goals, many
communities have created "growth boundaries" beyond which there will be no public
investment in infrastructure. Your plan should reflect whatever your goals are.

There is one key area, however, that can be problematic and that is the ability to pay.
Improving infrastructure is costly and often requires federal or state assistance and
the issuance of bonds. Moreover, your utilities, while local, may operate
independently from local governance. Thus, you cannot directly require them to
make investments in your community. All of the above leads us to conclude that,
after you have determined your plan in draft, you ask your financial administrators
to advise you on the methods to fund the improvements or to stimulate actions from
the private companies. After determining the best methods, you are ready to
prepare your implementation strategy.

Infrastructure Summary

In summary, we have ten thoughts and tips for you to consider as you begin
planning for infrastructure:

1. Infrastructure systems form the skeleton of your community.

2. The creation of new systems will inevitably influence density and land use patterns.

3. Infrastructure, if so desired, is a fundamental growth control tool. It can either prevent

or stimulate population expansion and the attractiveness of your community for
business development.

4. There are changing policies, regulations, rules and standards governing infrastructure
development. It is incumbent upon you to stay abreast of these changes.

5. Highway planning must be comprehensive. Small changes can result in significant

intended and unintended impacts.

6. A lack of "state-of-the-art" utility systems will detract from your ability to attract
growth industries.

7. The community does not control most utilities. For this reason, gaining the support of
these utility companies is crucial.

8. Most communities are moving toward the "full costing" of utilities, including future
development.

9. It is important that you understand the ability of the community to pay for
improvements.

10. Be patient and think long term.

Bibliography & Additional Resources

Thomas, John P. and Kent Colton. Building Together: Investing in Community

Infrastructure. Lincoln Institute of Land Policy and Brookings Institute (1989). Local
officials and developers can use this workbook to identify methods to finance
infrastructure equitably while also accommodating growth. Available through the
Lincoln Institute.

Center for Rural Massachusetts. Center for Rural Massachusetts addresses the
challenges for rural communities in planning for infrastructure, specifically in the areas
 of waste management and telecommunications. These reports are available in
electronic form on their Web site.

Environmental Protection Agency Office of Solid Waste.

Environmental Protection Agency Office of Water.

Bamberger, Rita J, George Peterson and William Blazar. Infrastructure Support for
Economic Development. APA Planning Advisory Service (1985). Uses case studies to
illustrate common responses to infrastructure problems and helps communities to
establish economic impact criteria to set capital investment priorities. Available
through the American Planning Associations Planners Book Service.

Burchell, Robert and David Listokin. Land, Infrastructure, Housing Costs and Fiscal
Impacts Associated with Growth. Lincoln Institute of Land Policy (1995). A 33 page
working paper. Available through the Lincoln Institute.

Minnesota Office of Technology Master Plan.

Northwestern University Infrastructure Technology Instititute. This web site provides

links to organizations, research papers, bibliographies, libraries and other online
resources related to infrastructure with special emphasis on bridges, highways, water
resources, transportation centers and infrastructure legislation.

Altschuler, Alan and Jose A, Gomez Ibanez with Arnold Howitt. Regulation for Revenue:
The Political Economy of Land Use Exactions. Lincoln Institute of Land Policy and
Brookings Institute (1993). Analyzes the use of exactions and other tools by local
governments, to fund infrastructure and essential services as well as to regulate
development. Available through the Lincoln Institute.

United States Department of Agriculture Rural Utilities Service.

United States Geological Survey.

Introduction to Transportation

Our job in this lesson is to help you to understand the fundamental role of
transportation planning at the local level. Trying to please all of your citizens will be
no easy job. In fact, we are criticized over this element of the plan more often than
any other is. Remember the old adage that every automobile driver thinks that
he/she is a highway engineer.

Transportation Considerations
The overall goal of your transportation plan should be the safe and efficient
movement of people and goods through the community, as well as to consider the
land use consequences (intended and unintended) of your current and future
transportation systems.

The words "safety" and "efficiency" are particularly important to the citizens of your
community. In regard to safety, as a planning official, you will have to separate the
rhetoric from the reality. Citizens will recall road accidents for years and will bring
them to your attention at meeting after meeting. We can understand their concerns.
On the other hand, as long as we have had automobiles, we have had accidents. It is
important that you obtain pinpointed traffic data from your police department and
share it with the citizens. In fact, we believe your police department should be a
critical participant in your planning process. The police know where traffic tie-ups
occur, intersections fail and traffic violations (i.e. speeding) actually occur.

Citizen concerns may also center upon the intermingling of residential and
commercial/industrial traffic. When a sixteen-wheeled double trailer travels through
a small residential subdivision road, you can expect to hear complaints. In fact, in
our industrial park projects, we will go to the greatest of expense to insure that this
type of movement does not occur. Moreover, we strongly recommend that truck
parking is distant from residential areas because of the propensity of the drivers to
keep their vehicles running, thus causing noise, producing diesel smoke and even
vibrations.

The efficiency goal has to be carefully defined. First of all, you must be ready to
focus on the point of what efficiency for whom. Is it local residents, truck traffic,
merchants or commuters? On average, a home in a typical community generates ten
trips per day. Stated alternatively, each time you authorize a ten-house subdivision,
there will be 100 additional auto trips per day that move onto your road network (or
36,500 per year!). When these residents approach a main thoroughfare and have
difficulty taking right and left turns, frustration begins to mount. What about truck
traffic? Clearly, trucks play an important part in the local economy and they must
bring supplies and pick up goods from your companies. Yet, when they roll through
your shopping district, block intersections or simply idle in front of shops residents
may also become angry. Don't forget commuters. Most Americans now commute
approximately 60 minutes to and from work each day. This means at peak hours
(typically 7:30-9:00 a.m. and 4:00-6:00 p.m. on weekdays) your roads are apt to be
most used. The problems are twofold. First, how do your citizens get to work and
back home? Secondly, how do you handle traffic that begins somewhere else, flows
through your community and stops at a location outside your community limits: who
benefits, who pays, and how much?
 Tied to both safety and efficiency
is the issue of speed. We have
yet to work in a community where
residents were not concerned
about the speed of autos and
trucks moving through town. We
use this simple test to determine
if traffic is acceptable in
residential and commercial areas:
Would you allow your nine-year-
old child to cross your local
residential or shopping street
unattended? If the answer is yes
then you are okay. If not, then
traffic, rather than people, is
dictating patterns of interaction.
We strongly suggest that you
identify the actual speed of traffic
through town as part of your
analysis. After this, we
© Corbis Corporation recommend that you develop
measures that will keep the speed
of cars in residential and
downtown/village shopping areas below 25 miles per hour (mph).

This brings us to our fourth consideration: transportation and land use impacts.
There is significant anecdotal evidence that suggests that speeds above 25 mph
disrupt patterns of neighborhood interaction and the shopping experience. Many
communities have addressed these issues by developing "traffic calming" techniques.
These tools are designed to slow traffic through changes in the road surface, bump
outs, increased pedestrian crosswalks, wider sidewalks, increased traffic control
lights and narrower road beds, among others. Consider this principle: a road should
be the spine that ties together functions rather than divides them. The
overall point is that the road system needs to help knit the community fabric
together.

Beyond your road network there are Learn More...

other critical land use and transportation
elements to consider. Foremost among Read more about transportation and land
these relates to how people move use impacts in "Transportation and Land
through your community by means other Use" by Alex Anas.
than the car. Americans love to walk, jog,
run and bicycle. They love "face-to-face" contact. A quick look at new communities
being developed as part of what is called the "new urbanism" shows the importance
of these features. Does your community enable these activities to happen? Too often,
American planners have allowed the auto to dictate movement. Indeed, we recently
noted a college campus, of all places, where the campus planners placed chain link
fencing between the sidewalks and the roads in order to prevent students from
interfering with the flow of through traffic. We offer this principle for you to consider:
Primacy must go to the pedestrian. In addition, pedestrian systems should link,
rather than divide, communities. This means that crosswalks, traffic signals, lighting
and sidewalks must be placed to insure the safe, easy flow of the walking or cycling
public. Moreover, it means they must be connected. Carefully planned sidewalks and
bike paths should connect homes, schools, village shopping centers and mass transit
stops. The notion of "connectedness" has been a cornerstone of federal highway
policy for some time and has been well received in community after community. This
means that road planning must be integrated with your pedestrian, bicycling, bus,
rail and even boating systems. It recognizes that a carefully networked system is
efficient, reduces air pollution and contributes to one's health.

Mass Transit

In light of the time and

distance spent commuting,
coupled with a desire to
reduce auto traffic, the
creation and maintenance
of mass transit systems is
crucial. While we fully
recognize America’s love
affair with the automobile,
we also know of its impact
on the environment. A good
regional transit system can
reduce auto traffic, reduce
pollution and, of equal
importance, provide a
means of traveling for the © 2000 John A. Rizzo/PhotoDisc
elderly and the poor. These
concerns are not limited only to urban areas. Rural communities also deserve
consideration where the elderly and poor are often isolated. All of us who have older
family members know the value of enabling our seniors to stay in their homes while
providing them opportunities for interaction with friends and to take care of their
daily lives. Public transportation is also a necessity for those that can only find work
at distant locations, but do not have their own car. Some communities, working with
the private sector, have found innovative solutions to these issues. We know of
many companies who have been able to fund transit service between county centers
and job locations.

The question of rail transit, for both people and freight, is more complex. Some
communities may not want subway or commuter rail transit extending to their town
for fear of attracting more residents and development. At the same time, commuters
from these communities may be frustrated at the amount of traffic and congestion
that they must endure during the workweek. This same paradox holds true for
freight rail service. On the one hand, we are moving more and more goods by truck,
but freight rail service is far less expensive than trucking and is less harmful in terms
of pollution. Regardless of how local values influence the direction of your
transportation plan, we urge you to keep track lines or track rights of way intact. Do
not sell them to private parties or allow them to be built upon. If your tracks are
inactive, you may want to consider developing a “rails to trails” program but only
with the caveat that, at some distant time, they may be reconverted into active
service. We base this on our own experiences in New England where several dormant
or inactive lines have been successfully reactivated. We also urge you to take a
careful look at the land uses adjacent to rail lines. How are they zoned? Too often,
local planners have ignored the potential of adjacent lands for industrial or
distribution uses and thus taken away the ability of rail companies to serve these
firms. Our point is that rail service is an asset to a community and that it needs to be
reinvigorated when appropriate.

Finally, some communities proximate to Learn More...

water utilize ferry systems to provide
transportation. While few of our Read more about the potential for rail transit
communities have ferry systems, those in “Effects of Urban Density on Rail Lines” by
that do should insure that they are Judy S. Davis and Sam Seskin.
protected and enhanced… and that the
environment is protected while doing so. They are typically efficient, enable us not to
have to expand or build new bridges and add a flavor to our communities. Any of you
who have traveled by ferry through upstate New York, New England or even Europe
will be able to see the value of such a function.

Transportation Process

The starting point is to

examine the existing capacity
of your roads. Your local
highway supervisor will be a
great help. Working with the
local regional planning
agency, he/she can collect
data on where traffic is going
(origin and destination
studies), the number of
vehicles traveling the roads
(average daily traffic counts) © 2000 Corbis Corporation
and whether or not the road
is functioning as it should
(the level of service). This will provide you with the basic starting point for the plan.
Once you have this information you should then contact your regional planning and
your state highway department to obtain information on current trends. They can tell
you what type of traffic growth (or decline) you can expect in the near future. Finally,
we ask you to think regionally. Transportation planning rarely works at a village,
town or township levels. It must incorporate the actions taken by your neighbors.

We have developed the following twenty-point checklist to help you get started. We
hope it is useful in developing your thoughts, ideas and plans.

The Transportation Checklist

1. Do you have data on the physical condition of your roads?

2. Do you have data on the origin-destination of your traffic?

 3. Do you have information on the average daily traffic flow of your roads?

4. Have you collected traffic data from your neighboring communities, your County or
Regional Planning Agency and your state officials?

5. Do you have accurate, current data on accidents?

6. Do you know where traffic back-ups are frequent?

7. Can your industrial areas be serviced without flowing through residential areas?

8. Does your site planning stipulate that truck parking must be distant from residential
areas?

9. Does your Subdivision Regulation require an assessment of traffic impacts?

10. Are you monitoring the speed of traffic and does it match the expectations of highway
engineers, the police department and the citizens?

11. Do your roads function as spines or walls?

12. Does primacy go to the pedestrian?

13. Is your community pedestrian friendly?

14. Have you focused upon developing connected, intermodal approaches?

15. Have you identified potential places to apply "traffic calming" techniques?

16. Do you have a mass transit system that meets the primary needs of those without
automobiles?

17. Have you kept your rail track beds intact?

18. Have you appropriately zoned lands next to rail tracks?

19. Have you thought "long term" about your needs?

20. Have you thought "regionally" about your plan?

Introduction to Historic Preservation

Our topic for today

concerns the historic and
cultural heritage of your
community. We hope that
at the conclusion of this
lesson that you will have a
basic understanding of the
importance of protecting,
nurturing and enhancing
these assets. Unfortunately,
America is still
predominantly a throw-
away society. Our culture
has firmly embraced the
idea that the newest,
biggest, most modern
structure or setting is best.
Fortunately, we have begun
to recognize that this is not
necessarily true. Our
culture needs to embrace
its past and insure that
© Corbis Corporation
there is a physical
connection between Rehabilitation and preservation of historic buildings,
previous generations and not only maintains an important part of a community’s
our own. The National past, but can also provide an economic boost to cities
Register of Historic Places, and towns. Pioneer Square in Seattle, Washington is
as well as the state home to hotels, art galleries, antique stores and office
buildings and is one of the city’s oldest and most
registers, record thousands thriving districts.
of entries and, happily, we
are far more conscious of
the past today then we were decades ago.

What does historic preservation mean? While there are many definitions, we define
the term as those structures and settings that are important to a "local community"
for historic, cultural or architectural reasons. The most important phrase in the
definition is "local community." Historic preservation must first focus on what is
important to you and your neighbors. We know of communities that consider
America’s oldest dog pound, America’s largest milk bottle and America’s longest ski
slope as being important. We know of other communities that have saved meadows,
forests and fens. And we know of communities that have worked to save mansions,
"painted ladies" and the slave quarters. The key point that we want to make is
simply that your community should decide what is important.
Historic Preservation Process

We recommend that your community undertake a 6 point process in order to plan

for Historic Preservation:

1. Form Local Committee

2. Research your Community’s History

3. Survey Properties of Historic and Cultural Significance

4. Identify Properties Worth Protecting

5. Develop Preservation Plan

6. Gain Community Support

1. Form Local Committee

The process for undertaking your historic preservation planning begins with
the formation of a local committee. The members of the committee should be
concerned citizens. Our experience has shown that a mixture of long term
residents, architects, business people and officials works quite well. Too often,
towns stack the committee with long term residents. The good news with this
approach is that there is an extensive collective memory and these citizens
are firmly committed to insuring that the community’s past is protected. The
not-so-good news is that there can be a cultural bias when the committee is
not truly reflective of local values. We were involved in two cases where this
occurred. In the first, the town’s committee ignored the fact that it was the
home of the largest “bootlegging still” in the state. When asked why they did
not consider it significant, they responded by stating that they did not want
this reputation to be perpetuated! The second involved the restoration of an
old school house. After we developed plans that reflected the qualities of the
school when it was first built in the 1870’s, the committee was furious. They
wanted the school to match their memories from the 1920’s! Therefore, a
balanced committee is essential.

2. Research your Community’s History

Once your committee is formed, it is essential you gain some technical
assistance. The second step is to begin to research your community’s history.
Many of you will have a historic preservationist at your regional planning
agency (RPA) or your council of governments (COG). We urge you to take
advantage of this person’s skills. If your RPA or COG does not have such a
person, contact your State Historic Preservation Office (SHPO). This office will
be extremely helpful to you, for they are responsible for overseeing all
preservation efforts in the state and have a tradition of outreach. Most likely
they will advise you to begin reading about your community’s past. This
includes examining local and regional histories, local paper archives and using
oral histories. Your local librarian can be a tremendous asset in this endeavor.
If this task seems daunting, you may want to tap into the resources of your
local high school. We have heard instances where the senior “Issues in
American Democracy” class has taken on a major data collection/analysis role.
Your task here is to clearly identify the remaining physical linkages to the
past.
 3. Survey Properties of Historic and Cultural Significance

Once this is completed, you are ready Learn More...

move on to the third step, which is to
survey all properties with historic and The Advisory Council on Historic Preservation
cultural significance. This is arguably the provides a link listing of State Historic
most important task in the plan. Here Preservation Officers.
you will be expected to examine what is
important on a property by property basis. This step will be important in three ways.
First, you will be creating a compendium of all historic information in one place. No
longer will it be in the basement of town hall, an attic or one’s fading memory.
Secondly, it helps the community to recognize that its past is important. Stated
alternatively, it helps citizens to become interested in the topic. Finally, it will provide
the foundation for design standards that take into account the historic character of
your community.

How can design standards be written to respect the design character in an

established neighborhood? Begin with a description of its key features.

If you are looking for help, there is Learn More...

plenty out there. Thousands of
communities have already undertaken To learn more about techniques to survey
this activity. Your RPA, COG and/or properties of historic or cultural significance in
SHPO will have model survey your community, view an excerpt from Guiding
History: A Process for Creating Historic District
instruments for you to examine. You can Guidelines by Nore Winter. Reprinted by
select the one that best fits. We have Permission. (PDF format, 1MB) Note: You must
three recommendations for you, however. have Adobe Acrobat to view this document.
First, it is essential that your survey
teams are adequately trained. This doesn’t take much time and your SHPO can help.
Secondly, you need to stress comprehensiveness, completeness, and accuracy, as
personal tastes, too often, color the results! Thirdly, do not be afraid to leave room
for comments. We have found the “notes on the margin” to be immensely valuable in
preparing the plan.

4. Identify Properties Worth Protecting

Upon completion of the survey and analyzing your findings, the fourth step is to
identify the properties that are worth protecting. Once this list has been prepared,
you are now ready to move on to step five, developing a preservation plan.

5. Develop Preservation Plan

Your community’s plan may involve a variety of strategies. First, the town should
consider placing historic markers on the properties. Second, the town may also want
to create a local historic district. This should be proposed when there are a group of
structures and settings that, as a collective, are important. Defining the borders of
the district and signage are fundamental. Please note that simply placing the
markers or defining the district does not imply any degree of regulation. However it
does signal that the structure or area is special. If you have a district and you want
to carefully protect it, you may want to consider a historic preservation-zoning
district. Such districts are characterized by very strict use, site plan and architectural
standards. Other techniques include purchasing façade easements (where you are
able to change building facings), implementing sign buyback approaches (where you
buy an ugly sign from the owner provided he/she replaces it with one that matches
the character of the property), using community development block grants (period
lighting, street furniture, demolition) and even purchasing structures or areas that
can be saved. As you can see there is a wide variety of tools and techniques
available to you for protecting these properties.

It is important to remember that you are undertaking this effort for local purposes.
However, at times, you will find (or think) that some of your structures or districts
are of state or national significance. In this case, you should again contact your
SHPO who will show you how to apply for consideration.

6. Gain Community Support

The final step, step six, involves gaining Learn More...

community support for the preservation
plan. It is essential that you lay the To see how one state has utilized some of these
groundwork for the preservation plan by strategies, view the state of Georgia’s historic
full and early disclosure of the intent of preservation plan.
the plan. In these discussions, it is
critical that you are able to carefully explain the importance of preservation and not
to forget a key point: Preservation adds value to properties and the tax
coffers of the community. Moreover, property rehabilitation can be eligible for an
investment credit. They can be profit makers for a community.

Potential Obstacles
On the surface, it may appear that historic preservation should be an “easy sell.”
However, you may encounter resistance to your plan for a number of reasons. Not all
citizens, or business interests, are enamored with historic preservation controls, for
they may require the owner to spend time and money that they may not want to in
order to abide by the controls. We know of one instance when the regulations in an
historic district were so harsh that it specified the shape of a doorknob! Citizens in
the area mobilized and campaigned to have the historic designation removed from
their area. Remember that restrictions need to reflect the value of the property and
the degree of threat perceived by your community.

Another obstacle that local planning boards can encounter is that they often feel
alone when they are preparing a master plan. Given all of the elements, it can be a
frustrating and daunting task. However, the historic preservation element is one area
where there is plenty of help available. These include interested citizens, your RPA or
COG, your state historic preservation office and the National Trust for Historic
Preservation. We wish all elements of the plan had similar outreach agencies
available!

Historic Preservation Summary

In summary, we would like to leave you with the following thoughts:
1. Historic preservation is an important element in the maintenance and enhancement of
a community’s quality of life.

2. Historic preservation is concerned with properties that are historically, culturally or

architecturally significant.
 3. Your historic preservation plan should be based upon local values.

4. Your preservation planning effort should begin with the formation of a broadly based
and balanced committee.

5. The committee should use local sources to examine what is important.

6. A survey of your historic properties is essential. There are many excellent samples
available, but you should tailor it to your community.

7. You should be prepared to "sell" your plan to the citizens - particularly if you are going
to apply regulations to protect historic structures and landscapes.

8. It is important to explain that preservation adds value to the community.

9. There is plenty of assistance available to you.

10. We are all part of history!

Bibliography & Additional Resources

Advisory Council on Historic Preservation. Provides extensive resources and links to

state and national programs relating to historic preservation, including a listing of
state historic preservation officer.

The American Planning Association. Provides access to publications, articles and links
related to historic preservation.

Moe, Richard and Carter Wilkie. Changing Places: Rebuilding Community in the Age of
Sprawl. Henry Holt Publisher (1997). America's preservation movement came of age a
generation ago, working to protect historic places from urban renewal. Now it is
fighting an even more insidious foe: sprawl. Available through the American Planning
Association's Planners Book Service.

Bucher, Ward, ed. Dictionary of Building Preservation. John Wiley & Sons Publisher
(1996). An ideal reference resource for anyone involved in building renovation,
community preservation, or landmark designation, including urban planners, land-use
attorneys, and architects. Available through the American Planning Association's
Planners Book Service.

Winter, Nore. Guiding History: A Process for Creating Historic District Guidelines.
Winter & Company (1997).

Foulks, William G. Historic Building Facades. John Wiley & Sons Publisher (1997). This
book clarifies procedures, helps identify sources of deterioration, and offers solutions
to even the most difficult maintenance and rehabilitation problems. Available through
the American Planning Association's Planners Book Service.

National Trust for Historic Preservation.

The National Trust Library. Part of the University of Maryland Libraries and serves as a
national resource center for the study of historic preservation. In addition to
information about their catalogs, databases and special collections, their Links section
provides connections to informative and helpful international, state and local sites, and
Preservation A to Z, for both novice and professional preservationists.

White, Bradford, J. Preparing a Historic Preservation Plan. APA Planning Advisory

service (1994). Historic preservation continues to gain interest. This report shows
planners how to prepare a plan to protect historic resources. Available through the
American Planning Association's Planners Book Service.

Preserve and Protect. Preserve and Protect is a not-for-profit organization, funded by

the New York State Council on the Arts, that provides space on the World Wide Web
for Historic Preservation (as well as Environmental Protection) organizations. Their
Preservation Resources link includes access to organizations and other resources.
Introduction to Aesthetics

In this lesson we would like to explain to you the importance of planning for
aesthetics in your community and to present information on some of the basic tools
that you can use to insure that your community’s character is protected and
enhanced. The term aesthetics needs to be defined. (Even the word sounds funny.)
It is no easy job. We recall the story of the late Senator Lawrence of Oklahoma, who,
while speaking on the 1949 Urban Renewal Act pondered "Aesthetics, aesthetics,
what the hell is aesthetics?" We also know that few communities actually take the
time to determine what their aesthetic qualities are. In fact, the importance of
making this determination is increasing. We have served on several expert witness
trials over the past three years where the judge's findings were based, at least in
part, on aesthetics. At its most basic, community aesthetics are those physical
attributes that are valued by the citizens. They can be spatial arrangements,
structures, and landscapes of historic or cultural significance. Inherent in community
aesthetics is a sense of harmony and a connectedness to the natural environment.
Above all, community aesthetics are locally determined. To state it more bluntly:
Local Values Will Prevail!

From seascapes to cityscapes to quaint

neighborhoods, a community's
aesthetic qualities are as individual as
the communities themselves. What are
the aesthetic qualities of your
community?

© 2000 John Wang/PhotoDisc

© 2000 Scenics of
America/PhotoDisc © 2000 PhotoDisc
Determining Aesthetic Values

As has been emphasized throughout this course, local preferences prevail in

determining what the community values in terms of its aesthetic qualities. How do
you begin to insure that the aesthetic values of your citizens are reflected in your
planning? It is essential that you first begin with an understanding of your
community’s past. Why was it settled, how did it evolve? What was its settlement
pattern? Moreover, what continuous remnants of the past still exist? Virtually every
community has some historical link to the past. Identifying this link is essential as
you move to the future.

Upon completion of this effort, you should take a hard look at your present planning
to determine if it is consistent with the past, how it is adapting and what new values
are evident. America is just as much Las Vegas as it is Colonial Williamsburg. It is
just as much a Massachusetts colonial settlement pattern, as it is California sprawl.
Finally, it is as rural as Montana and as urban as Manhattan. Our huge aesthetic
umbrella covers the traditional, the historic, the quaint, the loud, the brassy, the
radical and a local mixture of all of the above.

It is also important that you obtain maximum citizen input from your residents. They
should be long term residents, newcomers, traditionalists, etc. Indeed, it is
important to remember that we are not dealing with pure historic preservation.
Aesthetics is far broader than simply reflecting on the past. If you have not
determined the aesthetic qualities of your community, then it is essential that you
and the citizens consider a set of key principles we feel are important.

Aesthetics and the Human Scale

This means how you, as a person, relate to the spaces around you. It relates to how
you fit and feel in the community. One aspect of this may be creating a sense of
neighborhood where there is easy, positive interaction between and among residents.
When Hillary Clinton wrote her book, It Takes A Village to Raise A Child, it is this
scale that was her reference point. There is no cookbook that tells us what human
scale is. A person living in a high density, inner city neighborhood can find "human
scale" just as easily as someone living in a rural community can. However, in all
cases, human scale means giving priority to the pedestrian perspective, to facilitating
interaction, creating a protective environment, and helping people to connect in the
common space they occupy.

Aesthetics and the Environment

Aesthetics planning must respect the environment.

All of us know that we can no longer squander our natural assets. Rather, we must
work for a degree of balance that allows us to build without harming the fragile
natural features in our community. This means, in terms of aesthetic planning, that
we must respect our rivers, streams, wetlands and natural vegetation. It means
insuring that the citizens can see, hear and feel these elements. There must be
direct access to them. Beyond this, the ecology of our communities influences the
pattern of community. It is essential, in order to respect aesthetic conditions, that
we understand these influences and protect them. It makes sense to protect
sensitive landscapes, preserve open spaces and even complement the natural
environment with indigenous trees and shrubs.

Aesthetics and Open Space

Aesthetic planning must include open space requirements.

As you may recall from the lesson on Open Space Planning, our communities are
defined as much by our surrounding environment, development patterns and the
natural topography of the land as they are by the quality of buildings themselves.
Beyond aesthetics, such spaces are important to the community for recreation,
agricultural, ecological and economic reasons. Indeed, open space adds value to
properties and the community. This space also helps to insure clean air, to replenish
our water supplies and provide areas for our citizens to relax.

Community open spaces range from parks and parkways to town commons and
greens. The human scale, the colors, the setting of the structures and the unity of
the village green come together to create feelings of warmth and togetherness.
While such greens are largely symbolic today, our recreational fields are in more
demand than ever. In fact, in most communities, the extraordinary growth in family
and women’s sports, coupled with the increased desire for recreation at all levels of
society, has lead community after community to reassess its open space needs.

These open spaces require special aesthetic considerations ranging from their
location (respect for the sun, winds), plantings (importance of using local species),
setbacks from streams and wetlands (to allow flora and fauna to grow) to the role of
history and culture. How you do this is up to you, your citizens and your own local
values.

Aesthetics and the Downtown

Aesthetic considerations must be applied to the downtown.

In survey after survey, Americans express their desire to have a healthy, protected
downtown. They do not want it to be like a mall or "anyplace USA." They are strong
supporters of a common, unifying town or city center where functions and local
shops are co-located in scale to the community. To them, its importance rests on its
sense of place. It is here where history, culture, service, and the retail functions co-
mingle. None of this can happen without regard to aesthetic insights and controls.

In a planning sense, these areas must provide housing (primarily market rate), a
retail function and a civic function. There must also be space to celebrate community
and to honor the contributions of esteemed citizens. It must also be clearly defined;
one must know that he/she is in the heart of the community and that it is a special
place. To accomplish this, we urge you to create a unique set of planning regulatory
controls that are special to this area. These powers include zoning, architectural
controls and site plan standards. The zoning should allow mixed retail and residential
uses. It should also allow flexible parking alternatives such as off-premise parking
and shared parking arrangements. The architectural regulations are more difficult to
develop and, once again, rest on local values. Some communities want to solidly
reflect their 18th or 19th century heritage and will offer zero deviation from the
designs of this period. Others will offer flexibility provided that the color and massing
of the structures are integrated. Still others see the value of "funky" design and
value the liveliness and uniqueness of the downtown more than the traditional
qualities of the structures. There is no standard option.

After all is said and done, however, it is the streetscape and signage that tends to
define this space, such as period lighting, benches, planters, and trash barrels. Too
often, towns accept signage that does not reflect the local character. Try a simple
test - stand at the major crossroads in the town or city center and look in all four
directions. If you note signs that are reflective of "Anyplace USA," then you know
that community needs help. If the signs illustrate local values, then you know it is
starting its planning efforts from strengths. We strongly urge your community to
create sign standards that enable the assets of the town center to be the focal point.
Merchants will typically protest that they need large flashy signs to be competitive.
Our experiences have convinced us that this is not the case. Character signs, in fact,
can contribute to an even better business climate. Furthermore, remember that
streets must reflect local values. For example, we would argue that a straight road
over a mountain would not match the local values of a Vermont mountain community.
Nor would we see much aesthetic merit in placing an interstate through downtown (it
has taken Boston 11 billion dollars, thus far, to correct such a decision). We urge you
to create a hierarchy of streets, determine their relationship with surrounding
buildings, respect the natural features of your landscape and provide lights, greenery
and street furniture in character with your own aesthetic qualities. It is from your
streets that visitors gain their first impressions of your community.

Given the above, determining the aesthetic standards takes a lot of time, effort,
study and patience. Yet, in the end, you will undoubtedly contribute to your
community’s sense of uniqueness and cache. The following ten-point checklist can
help you to begin focusing on the aesthetic aspects of your master plan.

A checklist for planning:

1. Have we defined the aesthetic qualities of our town?

2. Do we have a comprehensive citizen participation effort in place to

define/update our community aesthetic qualities?

3. Are we planning with human scale in mind?

4. Do we have clearly defined neighborhoods?

5. Does the pattern of our development go back to our history, design and
cultural roots?

6. Are we respecting the aesthetic qualities of our streams, wetlands and

special landscapes?

7. Are we planning for open space acquisition that is in character with our
community?

8. Are we insuring that our downtowns are special places?

9. Are we providing signage that is reflective of our community?

10. Are we creating a regulatory climate that promotes the uniqueness of our
special community?
Bibliography & Additional Resources

Duerksen, Christopher. Aesthetics and Land Use Controls. APA Planning Advisory
Service (1986). This report examines design review for buildings within and outside of
historic areas. Explores legal issues involved in view protection including landscaping
and tree protection, sign regulation, satellite dishes and more. Illustrations depict
solutions to design problems. Available through the American Planning Association's
Planners Book Service.

Duerksen, Christopher and R. Matthew Goebel. Aesthetics, Community Character and

the Law. APA Planning Advisory Service (2000). Presents tools and techniques to
identify and protect what is special about their communities including historic
preservation ordinances, sign controls, viewshed protection and more. Available
through the American Planning Association's Planners Book Service.

Kunstler, James Howard. Geography of Nowhere. Simon and Schuster (1993).

Kunstler traces America's evolution from a nation of distinctive, coherent communities
to a land where every place is like no place in particular, where cities are dead zones,
and the countryside is a wasteland of cartoon architecture and parking lots. Available
through the American Planning Association's Planners Book Service.

Jacobs, Allen B. Great Streets. MIT Press (1995). Great Streets compares hundreds of
streets around the world and shows which design and other elements make some of
them great. Available through the American Planning Association's Planners Book
Service.

Craighead, Paula M. Hidden Design in Land Use Ordinances. (1991). This guide looks
at 15 design tools you can use to plan for pleasing use of space and avoid the pitfalls
that contribute to the loss of community character. Available through the American
Planning Association's Planners Book Service.

National Main Street Center of the National Trust for Historic Preservation.

Planners Web. Planners Web, sponsored by the Planning Commissioners Journal,

provides access to links and reports related to aesthetics and design issues.

Rails-to-Trails Conservancy. Rails-to-Trails Conservancy is a 13-year-old nonprofit

organization dedicated to enriching America's communities and countryside by
creating a nationwide network of public trails from former rail lines and connecting
corridors.

Scenic America. A national non-profit dedicated to preserving and enhancing the

scenic character of America's communities and countryside. Scenic America provides
related links to land policy organizations, government associations and urban/ rural
conservation groups.
Introduction to Key Trends

In the previous lessons we have tried to steer you through the various chapters of
your Master Plan. With your background information and assessments, you are now
ready to set future goals and objectives for your community. This lesson will help
you set goals and objectives within the context of key trends in the areas of
demographics, land use, the environment, housing, industry, employment, education,
retail and transportation. These trends influence how we plan, what we plan and
where we place the focus of our efforts. Considering these trends as you set your
community goals may be a daunting task, but in the remaining lessons, we will guide
you in developing strategies to implement your plan, as well as using planning tools
and techniques to realize the goals and objectives as discussed in this lesson. These
include, community visioning, zoning and subdivision regulations, growth
management techniques and capital improvements planning.

Planning, as you know, is both reactive and proactive. The reactive side relates to
those conditions that already exist and where planning may be required to intervene
to address critical problems. For example, growth may be occurring too rapidly and
roads have become overcrowded or the water system has become polluted. These
are issues that must be faced or the community will experience a decline in its
quality of life. The proactive side relates to the planner as futurist. Here we force
ourselves to look at current conditions, reflect upon coming changes and respond to
them.

For example, we can see that the computer revolution is having an enormous impact
on our lives and our communities. To be proactive in planning for this revolution, it
would be useful to project and quantify some of these impacts. For example, we
have just finished a master plan for a very beautiful and small community of 10,000
people. Here is what its citizens predicted would happen in terms of the computer
revolution over the next decade:

1. The old textile mill will close down. It cannot be modernized for computer based
operation.

2. Inexpensive building costs and the existing workforce make it a prime location for a
bank-processing center.

3. Downtown retail activity will be downsized enormously due to the competition from
the internet and giant retailers that rely on computer based "just in time" ordering
practices.

4. The community will be increasingly attractive to ex-urbanists who work from their
home.

5. Residents will have more resources (education, medical training, financial advice),
meaning that both the community and its residents will be less isolated than in the
past.

The teaching point is that it is important for all of us to keep one eye on the
future and to be able to translate what we see into our planning activities.
We recognize that there is some risk involved. And yet, we must be cognizant of
change and be able to adapt. With this point in mind, we have developed a list of
trends that we think will be important to you. We hope it helps in your community
planning efforts.
Demographic Trends
We are getting older
Perhaps you remember the battle cry of the 1960’s "Don’t Trust Anyone Over Thirty."
At that time, the majority of people in the United States were under the age of 30.
Today, the average age in the United States is 34 and climbing. There are great
variations across the United States but, on the whole, we are increasingly moving
toward a "middle-aged middle."

We are living longer

A person born in this new millennium can expect to live, on average, for 80 years.
This too represents a dramatic change. Indeed, demographic specialists predict that
we will have a new category of people identified as the "old-old." These are people
who have needs that are quite different from today’s senior citizens and our current
medical, transportation, human service and financial insurance systems are ill-
equipped to meet their needs.

We are having fewer children

We all remember, the "Leave it to Beaver" families of the 1950’s: Everyone seemed
to have at least two children. Today, we are rapidly approaching a time when the
average family has less than one child. The school aged children multiplier for a
single family home is 0.84 (i.e. 0.84 children per home). In the communities we
work in, when we relate this statistic we are typically met with disbelief. Yet, after
taking a direct census, the figure inevitably holds up.

The face and form of the family is changing

Again, the notion of the family with a husband, wife and two children no longer
represents the majority of American families. With divorce more commonplace and
the increasing acceptability of having children outside of marriage, the family is
something quite different today.

Land Use Trends

Ten years ago, would any of us have expected that sprawl would be a topic for a
Presidential State of the Union address? Former President Bill Clinton remarked on
the impacts and implications of sprawl and outlined a program to help communities
to purchase open space. From Oregon to Maryland and Florida to Maine, the
indiscriminate conversion of our lands is a hot topic and will become more so. We
can note the following key trends.
 We will focus on the
negative attributes of
sprawl.
The Smart Growth Program
of the American Planning
Association is in the
forefront of this effort. This,
we believe, will also
influence states to increase
efforts designed to control
sprawl. We expect this will
include carrots (i.e.
planning assistance funds)
and sticks (i.e. a reduction
of school aid and other
© PhotoDisc funds) for communities that
fail to plan. All levels of
government realize that all
land use decisions are predominantly local. If officials at the local level do not believe
that sprawl is a problem, then it will be difficult to stop.

We will see planning boards enact laws that will empower and provide them
with greater flexibility.
For example, we will see more use of special permit and site plan review powers. We
will also see more incentives for developers to meet town/city goals. (E.g. receiving
faster approval for subdivisions that provide for open space or parks). By the same
token, they may also face exactions to meet these same goals (e.g. development
fees that may be used for affordable housing in another part of the community).
While incentives may be well received, exactions or other development fees will not.
Planning Boards will have to be well informed about the benefits and pitfalls of
having greater flexibility.

There will be greater pressure to integrate regional and local plans.

Regionalism has come to the forefront of American planning. Economic development,
transportation, environmental and housing issues do not respect community
boundaries. They have regional impacts and implications. Therefore, cities and towns
have to consider the broader context within which they function. More communities
are joining forces and building coalitions to address these issues. We can see this
happening in Minnesota, Vermont and many other states and we expect this trend to
continue.

Communities will adopt growth control measures.

We predict that there will be increased use of urban growth boundaries, betterment
districting and capital improvement planning to channel and/or control growth,
particularly in larger states.

In summary, we expect that land use problems will bubble to the top of community
issues. We expect that planning boards will have a much stronger mandate to use all
the legal powers that are required to insure balanced growth.
Environmental Trends

We are most excited about the environmental trends in planning. From recycling to
sustainability to clean air and clean water, environmental considerations are on the
American planning agenda.

Americans have come to see the need to improve environmental conditions.

The arguments are not even whether we should protect the environment, but “to
what degree it should be protected.” Wherever we go our air and water is cleaner,
our harbors increasingly fishable and swimable, our brownfields are receiving
attention and automobile/industrial pollution is in decline. Ten years ago did any of
us expected to see a smogless Los Angeles or a clean Boston Harbor? Today both are
within reach. Despite these trends, we have miles to go before the planet, the nation,
our streets and our communities are safe. Yet, if we continue as we are and keep
raising the challenge to achieve a clean environment, we all will benefit.

Housing Trends
Home ownership continues to be an important part of the American dream. However,
changes in our society, coupled with the fact that more than 66% of adults will buy
their own homes, will put pressure on communities to create alternative types of
housing.

There will be increased demand for congregate, assisted living and "over–
55" housing.
With the aging of America, these options have proven to be quite popular and we
expect this popularity to increase. From a planning standpoint, this is a positive
trend for many communities. These residents pay taxes, are good citizens and place
little pressure on schools. The only possible negative feature is that they are often
built at a higher density than exists in most communities.

There will be increased

pressure to build
apartments,
condominiums and even
single room occupancy
units.
Given the mobility of
Americans, the high divorce
rate and the fact that
people are marrying later,
we have found that many
communities resist these
alternatives. And yet, they
are in greater demand than
ever.
© PhotoDisc
The affordability issue
will not go away.
While the nation is in the midst of one of its longest periods of prosperity since World
War II, there are still large numbers of people who are homeless or cannot afford to
live in our communities. What is most significant is that these people in need are not
simply the destitute. They are, more and more, hard working members of society
who are simply being left behind. There is still great resistance to providing for these
folks. Hopefully, communities will soon be able to see that they must take care of
their own.

Industrial Trends

We see great shifts here

as well. In the wake of
environmental-industrial
disasters, citizens and
communities are resisting
industrial plants across
many parts of the nation.
We expect this to continue
and to increase in intensity:
It will be indeed rare when
an industry is welcomed to
a community without
careful scrutiny. Beyond
this overarching trend, we
see the following critical
trends: © PhotoDisc

There will be increased attention to brownfield cleanup.

Brownfield clean-up is good planning and good common sense. It can provide much
needed urban vacant land for industry, promote infill development and prevent the
conversion of greenfields to industrial sites.

Industry will be seeking out sites in park-like facilities.

Despite efforts to reuse brownfield sites, greenfield development will continue to be
attractive to business and industry. Characterized by low densities and separation
from other uses, industry is also using these sites to provide workers with walking
trails, parks, and other amenities.

Employment Trends
We will have between 7 and 11 jobs in our lifetime.
So predicts David Birch, a scholar of economic trends. This is a huge difference from
past generations. All we have to do is examine the work patterns of our parents, who
typically had 2-3 jobs over their lifetime. The ramifications of this trend in terms of
moving, commitment to community, pensions, and job training are enormous.

Women will continue to be an integral part of the workforce.

The Census Bureau indicates that 61% of all women are in the formal workforce and
predicts this figure to grow to 80%. The remaining 20% will choose to stay at home
with most being primarily involved with childcare. Communities will have to address
the implications of this trend in terms of childcare, after schools programs and job
training to name just a few.

Industry will be less unionized.

America has experienced a major shift in the
unionization of its workforce. The influence
and prevalence of unions have declined in
overall importance from previous decades.
However, there has been resurgence in
efforts to organize workers, particularly
among those in low-wage jobs.

The lowest paid jobs will be taken by

immigrants.
While this has always been a part of the
American way of life, we expect that it will
become even more pronounced. Indeed, it is
the availability of these workers that has
enabled us to continue to have the longest
lasting economic boom since the end of
World War II.

There will be more part-time work.

This is positive in the sense that it would
provide opportunities for mothers, seniors
and those who need to be at home more to
© PhotoDisc
supplement family incomes. It is less positive
when these are the only jobs available, for
they tend to be low paying and provide few benefits. They have a place in the local
economy but only when well paying, permanent, jobs with benefits are also available.
Indeed, we expect to see increased movements on the part of local governments to
push toward endorsing the "living wage" idea.

While blue-collar workers will maintain a 30-40 hour work week, white-
collar workers will increase their hours.
White-collar American workers already work longer hours and have less vacation
time than Europeans. This will only continue. The computer, while helping us to work
smarter, does not appear to be able to have us work less. All of these trends have an
impact on our planning as well. Communities must aim to offer a range of jobs from
the part-time, to the semi-skilled, to the professional if it is to meet the needs of its
citizens. And finally, it means we must be prepared to welcome, house, train,
educate, and integrate our newest immigrants. We have no other choice.

Education Trends
A high-school education is no longer a starting point to a good standard of
living.
The Associates degree is now what the high school diploma was 20 years ago. In a
planning sense, it means that the presence of a community college adds immense
value to a community. It is our opinion that a community college is as important, if
not more, to the local economy than a four-year college or university. Employers
assert that community colleges serve as a critical pool of well-skilled potential
employees.

The educational needs of employees will increase.

We have heard anecdotal evidence suggesting that approximately 10% of assembly
line workers now have some college education. The skills required for modern
manufacturing (i.e. robotics, lasers, and computers) will require workers with strong
reasoning skills.

Life-long learning will be commonplace.

Continuing education has become both a necessity of the workplace, as well as a
recreational pursuit for people of all ages. Rapid changes in technology mean more
on-the-job training. More frequent career changes will also require employees to
receive additional education. At the same time, men and women of all ages are
pursuing interests and hobbies in the classroom. Once again it points out the need
for a variety of educational and job training facilities as well as access to Internet
courses.

English as a Second Language training will be essential.

We are, and will continue to be, a nation of immigrants. Most of these will be from
countries where English is not the native tongue. To insure that these workers are
effective, it is essential that local educational institutions play a strong role.

Are these trends important for planning? The answer is clearly yes. They impact our
thinking concerning our educational institutions, our commitment to training, our
housing policies and the relationship between schools and employers. We are in a
sea of change that will require us to be both reactive and proactive.

Retail Trends
Retail trends are a puzzle because we do not have a clear sense of the future except
to state that there is a revolution that is on-going. Fully realizing making predictions
in this aspect of planning is risky, we see the following key trends.

Mail order and Internet shopping will only increase.

Internet shopping will likely increase, as companies provide greater choice and ease
of use. We know that these sales will impact both Main Street and the Mall. The
degree to which they are able to survive this challenge depends largely on their
ability to adapt and hold on to the local and regional market. We were recently asked
to survey a healthy downtown in a middle class community and make a prediction
concerning how many stores the Internet might impact. We thought that 40% would
be hurt, particularly book, clothing and other hard goods stores. Moreover, we
estimated that the bank space would be cut by 50%. Despite these predictions,
shopping remains a popular pastime and that retail stores will adapt.
There will be more regional
malls.
They will be larger, more
elaborate and more multi-use
than previous malls. It has
become clear to mall developers
that "bigger is better" and the
convenience of buying and selling
goods at one location is
insufficient in terms of
profitability. Therefore, they will
be adding more and more
functions ranging from the typical
"16 theaters" to IMAX
presentations and even to
amusements. They realize that
they must get the customer to
the mall, keep the customer there
a long time and insure that the
customer spends as much money
as possible.

Downtowns will survive if

© PhotoDisc
they are realistic in
determining their place in the
market place.
We expect the markets for downtown activity will be smaller and marked more by
the buying and selling of convenience items than typical shopper goods. On the other
hand, those shops that market unique products will survive quite nicely. Many
consumers, in this age of the ubiquitous fast food chains and box retailers, are
looking for the special experience. Whether it is a unique restaurant, a "one of a
kind" shop or even a historic setting, there is an increased market for the
extraordinary product or service. If a community emphasizes its cache, uniqueness
and special qualities, it can survive quite nicely. If it aims to the mass market, it will
fail miserably.

Americans will always love a bargain.

For this reason, the success of the "Box Retailer," "Category Buster," and "Outlet
Center" will continue. However, even here, there will be uncertainty and as many
successes as failures. While it may be exciting for shoppers, it is traumatizing for the
owners and the host communities. It is safe to say that chaos will reign.
Transportation Trends

We see only incremental

changes in how we travel
through our daily activities.

The automobile will

reign supreme.
Moreover, unless OPEC is
able to repair its political
muscle, we see little
commitment to alternative
fuels or mass transit
(except in our largest cities).
America is too much in love
with its cars and trucks.

"Traffic Calming" © PhotoDisc

techniques will increase,
but most transportation improvements will be only incremental.
What we do see, however, is America looking at ways of curbing growth by limiting
traffic or making it difficult to move through a community. Beyond this, we will see
only incremental shifts. We will expand highways, selectively expand mass transit,
and gently urge the states to move more non-fossil fuels and continue to build more
cars. We wish we could be optimistic about transportation changes but we see
nothing that would cause us to take such a position.

In Summary
We know that change is constant and it pays to be vigilant. We hope that our
perspective and perceptions are valuable to you in your thinking about your own
community. We all can gain from looking forward—and from sharing our past
experiences.

Bibliography & Additional Resources

Planners Web Tracking Trends. Planners Web has covered many of the emerging
trends in planning for almost a decade. Their Tracking Trends pages provide excerpts
from past articles, along with selected links to other useful material on the Web. View
their nine planning trends as they relate to transportation and land use, regional
cooperation, demographics and more on Planners Web.
Introduction to Community Vision

Across America more and more communities are developing visions of what they
want to be as they grow, prosper and change. It has become popular, we believe, for
four reasons. First, given the speed and pace of change, Americans want to have a
sense of security within their own communities. Secondly, Americans are investing
more and more of their private capital into their own homes and want to protect and
enhance their properties. Thirdly, the sense of direction provided in visions common
to business have trickled into the public sector. Indeed, business has long practiced
visioning as a means of creating clarity of purpose. Finally, a publicly approved vision
of the future provides all of our elected officials, board members and citizens a
roadmap of what they are and what they desire to become. Below is a sample vision
statement developed by the Island of Chappaquiddick in Massachusetts.

Sample Vision Statement

The Island of Chappaquiddick will be a diverse community

that shares values of preserving the natural environment and
enjoys a love of place and sense of community, which is
private, yet safe, caring and welcoming. The residents of
Chappaquiddick Island will work toward preserving and
protecting the natural pristine surroundings with tranquil
appreciation. The Island’s rural ambiance, wildlife, water
quality and conservation lands will be enhanced through
controlled growth, acquisition of open space, a fostered sense
of independence and interdependence, and limited access,
which enhances the shared conveniences, which result in a
sense of community and neighboring.

Community Vision
Creating a vision is not easy. One cannot go to the office and turn to the junior
planner and say "write me a vision statement for Pleasantville by the end of the
week." It will be a nice statement to place over the manager’s wall but will have little
impact upon the will of the electorate. Visions work best when they become part of
the civic culture of a community. They must be developed from the bottom up, with
extensive participation and commentary by elected and appointed officials and staff.
We can illustrate this point through an example of a town whose vision begins as
follows: "We are and will continue to be a diverse community that welcomes people
from all walks of life..." The vision was created as part of the community’s master
planning process and was widely endorsed. No sooner was it approved, than a racial
incident occurred in the local school. The Town Council and the School Committee
immediately went back to the vision as the baseline of its response to underscore the
fact that such actions would not be tolerated. This use of a vision statement is
exactly its intent: To be a living statement that will guide policies, plans,
strategies and actions for the future and reflects the values and aspirations
of the community. Finally, it should be consistently referenced to ensure that its
message is reinforced.

Preparing a Vision Statement

How does one begin to prepare a vision of the community and then have it turned
into a statement of the community's values and directions? There is no one approach.
However, in our experience, we have had success when a community is about to
start a new master plan, a plan update or when there has been a sweeping change in
the community’s leadership. At this point there are specific steps to take.

Step One: Form a Committee

The starting point is the establishment of a master planning (or visioning) committee.
We recommend that this committee is no larger than fifteen people and that it
represents a cross-section of the community. It should be comprised of elected
officials, staff, the business community and citizens (including seniors, women, and
minority populations). It should be carefully selected such that it truly represents the
character of your community. This group will be charged with oversight of the project
and report directly to the chief executive or executive body.

Step Two: Determine your community’s key trends, local values and visual
character
Following the formation of the committee and presenting it with its charge, it should
undertake 3 studies. The first is a “key trends” study. This research should place
your community in a global, national, state and regional context. The study should
state concise facts that are influencing the community. Here are three examples:

We are becoming an older community. The state average is 32 years while we average
38 years of age. We foresee that the greatest change in the next census will be in the
“over 85 age cohort.”

We are becoming a community of commuters. Our average one-way commute time is

31 minutes. Ten years ago, 45% of our workers were employed in the town. It is now
down to 20%.

Our economic base is changing. Due to the North American Free Trade Agreement
(NAFTA) and the General Agreement on Tariffs and Trade (GATT), three of our
manufacturing plants have closed. Companies making software have replaced them.

Those concise points are critical, for they will help to foretell the community’s future.
In the above example, there are issues of helping the most senior of our seniors (can
they stay at home?), the character of the community (a shift to a suburb?), and the
industrial base (can our workers find local jobs that fit their skills?). The point is to
insure that there is a baseline of knowledge about the community.

The second study is a survey of local values. This survey should be professionally
prepared, computer analyzed (with room for comments), broadly disseminated, and
sent to every household. The process should include follow-up actions so that true
statistical findings can be ascertained. A survey should not be rushed. We have had
great success in obtaining the assistance of local colleges and/or regional planning
agencies in writing these survey instruments. You should expect that it will be
challenged. Over the past five years, we have noted at least five instances where the
findings ran counter to popular perceptions. This generated extensive and heated
debate!

We participated in developing a survey to determine local values. Below is a sample

of the results of that survey, in which residents described those qualities about their
community they most value.

Conservation is important

Community is educated

Citizens are down-to-earth

Community is diverse

Agriculture is a valued industry

Changing values reflect changing culture

Concern for the future

The third is a visual character survey. Learn More...

This survey, using photographs and
models, is designed to determine how Anton Nelesen’s Visions for a New American
citizens feel about how the physical form Dream shows how to combine the best design
of the community is emerging. While principles of the past with technological advances
of the present to achieve a more satisfying
there are many models to choose from, community environment and also includes his
the work of Anton Nelessen, (discussed trademarked Visual Preference Survey. Available
in the Historic Preservation lesson), through the American Planning Association’s
through his Visual Preference Survey Planners Bookstore.
(trademarked) has been particularly
successful. The findings of this survey can be remarkable. We observed one
community that went though a modified Nelessen approach and the findings
consistently noted a preference for a New England colonial village patterns with its
houses close together and quite near the road. Its zoning, on the other hand, called
for two-acre lots with houses 100 feet back from the road. The debate over this issue,
as you can imagine, was ferocious!

Step 3: Sponsor a Community-Wide Charrette

© Ryan McVay/PhotoDisc

Charrettes can identify your

community's strengths, weaknesses,
Once these studies have been opportunities, and threats, as well as
completed and digested by the identify the core values that will
contribute to the community vision
committee, we urge the community to
statement.
call a town-wide charrette or workshop
to prepare the town’s vision. These
have been most effective when up to one hundred people come to the session. You
will need an excellent facilitator to make the session work. As you may recall from
Lesson 4 “Master Planning,” the purpose of the charrette is to identify the
community’s strengths, weaknesses, opportunities and threats, to identify the
community’s core values and to draft the statement. The participants should have
summaries of the findings from the values survey and the visual character study but
not the whole study – too much information tends to cause people to focus on details
when the intent is to create something that is more ephemeral. At this charrette, it is
essential that a clear set of rules be created such that people understand the
purpose. Too often, the participants, long experienced in the haranguing style of
public hearings, come into the meeting expecting a vigorous courtroom “winner take
all” style of debate. It couldn’t be more opposite. It is a tone of respect, civilized
discussion, maximum participation, brainstorming and consensus building. It occurs
through break out and common sessions interspersed throughout the day. Based on
our experience (we have undertaken more than 100 such charrettes) the following
rules are essential:

Guide to Community Charrettes

1. The participants must include community leaders of all types as well as across-section of
the community.

2. Everyone participates. It is essential that everyone in the hall is truly involved. This
removes the sense that someone is "above the fray."

3. All nametags include only a person’s first name. We do this as a means of insuring that
the participants at the charrette are there as citizens of the community.

4. We also explain that no one has a title or is representing the perspectives of a party,
committee or organization. They are only representing themselves.

5. While elected officials are strongly desired, their participation should only occur at group
discussions. It is a day when they are no different than anyone else. Spokespersons for
the day should consist of the common citizens.

6. There is “no negativism.” When problems are discussed one does not say, “Pleasantville
stinks.” Rather one says that Pleasantville needs improvement. While this approach is
“hokey,” it helps the participants to move from wallowing in problems to proposing
actions.

7. All ideas are good ideas. The guidelines common to brainstorming sessions are to be
respected.

8. Everyone must participate frequently. It is essential that quiet, thoughtful or shy

participants be politely urged to contribute.

9. Everyone speaks in "sound bites." It is not a day of "oratory." We like to limit the amount
of time that anyone speaks to about 45 seconds (we regularly fail).

10. All ideas are recorded. Indeed, we have frequently found great innovative concepts that
are "at the margin."
11. Each breakout group develops its own consensus. It is brought to the meeting as a whole
for discussion.

12. Each person publicly expresses his/her preference at the end of the meeting in a concise
statement.

13. With all of the options on display and using “sticky dots” all participants then express
their preferences.

14. The results are then consolidated and reported back to the participants, to the press and
then the oversight committee.

Step Five: Finalize vision statement and present to elected officials

The above approach is but one of many. As we stated earlier, however, it works.
Once it is delivered to the oversight committee, it should be further discussed and
refined – fully respecting the point that it truly reflects the perspectives of the
community. The committee will then vote on the vision and present it to the elected
leaders of the community where it will begin to become incorporated into the civic
culture.

Summary
In summary, we believe that a vision is necessary to guide the long-term actions of
the community. It should reflect the values of the community through widespread
comprehensive, professional surveys that are designed to determine what is
important to its quality of life. It should also reflect spirited, positive debate and be
developed through consensus-building techniques. Finally, it should be endorsed by
the elected leadership and become a living, working guide for further actions.

Bibliography & Additional Resources

Miller, Thomas I. Citizen Surveys. ICMA Publishers (1991). The how and why on
designing, conducting, and understanding citizen surveys and what they can do for
you. Available through the American Planning Association's Planners Book Service.

Cleveland Heights. See how the Cleveland Heights community of Ohio has undertaken
an extensive community visioning process in the areas of youth and learning and
development, design and the natural environment, commercial, residential and
infrastructure and arts and recreation.

American Institute of Certified Planners. Community Visioning. American Institute of

Certified Planners (1994). Videotape in which planners explain common visioning
techniques to draw all planning participants into the visioning process. Available
through the American Planning Association's Planners Book Service.

Salant, Patricia and Don A. Dillman. How to Conduct Your Own Survey. John Wiley &
Sons (1994). Need to conduct a survey but don't have the resources to hire a
professional? The authors stress low cost techniques to address every facet of the
surveying process. Model questionnaires and letters are included to help you prepare
the best survey possible. Available through the American Planning Association's
Planners Book Service.

The Sustainable Communities Network. Provides extensive resources related to

community visioning including case studies, a bibliography and other web links.

Nelesen, Anton. Visions for a New American Dream. APA Planners Press (1994). Shows
how to combine the best design principles of the past with technological advances of
the present to achieve a more satisfying community environment. Also includes his
trademarked Visual Preference Survey. Available through the American Planning
Association's Planners Book Service.
Introduction to Putting It Together

In this lesson we will look at how to effectively put the Master Plan together to make
it a workable, action oriented document. The key to success is the implementation
strategy. Simply stated, this is "who does what, where, how and with what
resources." It is here that many plans fail if the strategy does not recognize the
carrying capacity, political will or financial resources of the community. There are,
however, tips and techniques that can help you. These are explained throughout the
lesson.

Preparing for Action

1. Gain Citizen Support
First, after the plan is completed, it is important that you gain local approval – even
if your community charter doesn’t require you to do so. We have found that citizens
are more apt to buy into the plan when they have voted on it and approved the
content in principle. The term "in principle" is important. Remember that the plan is
essentially a guide to action. It is not a fixed, dogmatic rulebook.

As part of the process of gaining this approval we recommend that you initially make
certain that all citizens have access to a copy of it well ahead of any vote. The longer
they have to review it, the better the understanding. We know of instances where it
was published as an insert in the local paper, where excerpts were mailed to every
home and where copies were placed in town hall and the public library. In another
community, political leaders discussed it on local cable television programs. In yet
another it was the topic of the high school ‘Problems in American Democracy’ course
– all well ahead of the vote date. The method, however, is not as important as the
fact that the citizens have a knowledgeable basis to support the plan. An equally
important element is to gain approval of critical local boards. It is essential that the
plan makers, as a whole or delegation, meet with all of the town boards and
committees to obtain "buy in." This should not be a problem if their members have
participated in the process. If they have not, then this may take some time.

2. Have an Action Plan

Secondly, it is important to identify actions that will help to "jump start" the plan. We
know that the likelihood of a plan being implemented declines tremendously if no
actions are taken within three months of its approval. We call this the "90 day" rule.
Something must happen in that period and we recommend that the plan include a
matrix where the actions are divided into short (less than one year), moderate (1-3
years) and long term (3 plus years) and sorted by low cost, moderate cost and high
cost actions. The actions that are short term and low cost are the ones that are
typically easiest to accomplish.

3. Match Elements of Action Plan Learn More...

with Appropriate Board/Agency
Thirdly, it is important to fix View one community’s 1 year Action Plan, with
responsibilities. Those actions stated in specific goals relating to planning and economic
the implementation plan must identify development on a month-by-month basis. (PDF
format, 8KB) Note: You must have Adobe
the party that, by law or abilities, "owns Acrobat to view this document.
the action." We have seen such parties
stand at town meeting and agree to take responsibility. We have observed them
signing a compact that states they will do their utmost to carry out the plan, and we
have even seen a mayor hand the recommended actions to her department heads.
The point is simply that the plan must become an active document. Indeed, we know
of one community that requires the town manager to report to the public on what
has been accomplished on an annual basis. Some towns regularly call "all boards"
meetings that focus on the progress of the plan. In a final analysis, it is essential
that action, regardless of how important, be taken at the very start of the plan. If it
is, then the plan will have an excellent chance of fulfilling its expectations.

Considerations in Action Plans

The actions in your master plan will typically include items that are policy-related,
regulatory in nature and/or require a revenue stream. Regardless of their form, they
will undoubtedly percolate through a multitude of boards and have a direct impact on
a large number of people. For this reason, it is essential that all parties fully
understand the ramifications of the proposed policies, regulations and revenue
sources.

Policies
The policies that your community implements may impact citizens, constituencies
and land use, often with unintended social, economic, and environmental
consequences, to name but a few. We recently came across a community that, as a
policy initiative, passed a resolution that it would not provide any financial assistance
or regulatory relief to any company that did not pay a "living wage" to its workers.
This was passed in a period when unemployment was high and there were many
unskilled workers looking for a job. Not long after the resolution was passed, a box
retailer came to the planning board and requested a zoning amendment to build. It
planned to provide 300 low wage jobs. The Board voted it down due to the resolution
and the box retailer went to a nearby town. The mayor was defeated shortly
thereafter. Another time, we worked in a community that adopted a policy of not
expanding its water system. It did so to limit growth and protect its farmland. Within
a few months, a village within the town had its water source polluted. The
community leaders requested that pipes be placed across a 1/2 mile of farmland to
meet its needs, but the town resisted. Were these policies in the community’s best
interest? The point in these examples is that policies frequently have unintended
consequences and they must be carefully reviewed for their impacts before they are
enacted.

Regulations
In regard to the regulatory environment, Learn More...
we recommend that you form a study
The property right debate has
committee to develop the legal language
impacted planning in communities
and to insure that the regulation locally and internationally. Read more
matches a community interest. about this debate in the following articles.
Remember that you are dealing with
someone’s property rights. "Redefining Property Rights in the Age of
Liberalization" by Edesio Fernandes
When planners attempt to change or "The Landscape of Ideas on Property Rights" by
restrict uses, alter density or frontage Antonio Azuela
requirements, or propose restrictive design controls, you will most certainly get the
property owners attention. Moreover, when you do this, there are also secondary
impacts. Growth will move to another part of town or even to an adjacent community.
It is best to go slow and steady in bringing regulatory change. Over the past twenty-
five years, our record in passing zoning, subdivision and growth management
controls is nine out of ten when we have taken more than a year to study, write and
gain approval. Our record is three out of ten when we have condensed the process.
Clearly, it is positive to start the process immediately. Equally as clear, it is best to
allow the citizens to think through the proposed actions.

Revenue Sources
Finally, there is the question of how to Learn More...
pay for the goals in your master plan.
Read more about the issues,
Traditionally, the property tax is the
ideas and controversies related
revenue source for many community to the property tax in American
services and facilities. And yet despite communities.
the fact that increases in the property
tax are met with tremendous resistance, "Property Tax Classification in Cook County, IL"
someone has to pay. The starting point by Scott Koeneman
is, once again, to form a long-term "Property Taxation: An Assessment" by Wallace
financial committee that will look at the Oates
proposed actions and evaluate them in
terms of the community’s “ability to "Local Property Tax Reform: Prospects and
pay.” This committee will have Politics" by Joan Youngman
knowledge of the trends in the
community and information from the build-out analysis and can explore grants and
alternate forms of paying (i.e. BIDS, Enterprise Funds, Bonds, and Tax Increment
Financing Agreements). From this base, it can begin to make informed decisions.

Our rule of thumb is to first take care of education and environmental matters. In
terms of education, it strikes to the core of virtually every family and is the keystone
to a community’s quality of life. It must be well maintained. Indeed, even in
instances where the education proponents look for more than their share, we tend
not to protest. A similar stance is recommended on environmental questions. A poor
environment, including failed septic systems and contaminated brownfield sites,
results in a stigma being placed on a community. The clean up of environmental
problems and the modernization of systems is essential.

A final major area that your community will need to finance is the Capital
Improvements Program (CIP) that emerges from the master plan. As we will discuss
in more detail in lesson 22, this will show what projects are being funded, how they
will be funded and when they will be built. Perhaps more than any other action, this
will show that the Plan is working. The committee may need professional advice here,
as funding will depend on Bond Ratings and capacity to borrow, assessors reports,
diligent grant writing, the ability to raise taxes and the right of a community to
develop alternate revenue streams.

We also espouse sharing the wealth and making sure that all districts in the
community get something. We know of one mayor who takes the proposed project
list and maps the recommended projects by ward. She then takes 1/2 of the funds
for citywide projects and divides the rest by the number of councilors. The councilors,
with the project list and financial information in hand, then select their pet projects.
While this is not pure planning, it is effective.

In sum, by creating a climate of action, moving quickly on short term, low cost
actions, creating committees to study and develop policies and regulations that are
carefully and slowly put together and developing a funding plan that is based on the
community’s ability to pay, we are convinced your plan can have an effective, long
term life as a guide to improving your quality of life.

Bibliography & Additional Resources

Mullin Associates, Incorporated. A First Year Agenda for the Ledyard EDC. Amherst,
MA, Center for Economic Development (1998).

Azuela, Antonio. "The Landscape of Ideas on Property Rights." Landlines. (November)

10, 6. (1998).

Ladd, Helen F. with Ben Chinitz and Dick Netzer. Local Government Tax and Land Use
Policies in the United States. Lincoln Institute of Land Policy and Edward Elgar
Publishing, Ltd (1998). This accessible, non-technical book evaluates the most recent
economic thinking on the connection between local land use and tax policies.
Contributors present new research on topics such as the impact of growth on tax
burdens, the incidence of impact fees, land value taxation and metropolitan tax base
sharing. Available through the Lincoln Institute.

Youngman, Joan. "Local Property Tax Reform: Prospects and Politics." Landlines. (July)
8, 4. (1996).

Oates, Wallace. "Local Property Taxation: An Assessment." Landlines. (May) 11, 3.

(1999).

Models of Sustainability. Provides a collection of examples of how communities are

implementing their community visions.

Koeneman, Scott. "Property Tax Classification in Cook County, IL." Landlines. (January)
12, 1. (2000).

Fernandes, Edesio. "Redefining Property Rights in the Age of Liberalization and

Privatization." Landlines. (November) 11, 6. (1999).

United States Environmental Protection Agency. Provides examples of visioning

techniques, real world vision statements from communities and benchmarks or
indicators that mark progress toward achieving your vision.
Introduction to Zoning

Now that we have completed our Master Plan, created a vision statement to guide
the community and developed an action plan to implement the goals of the plan, we
would like to take the next four lessons to talk in more detail about the land use
tools available to you to implement your plan. This lesson will focus on zoning. It is
probably the most widespread tool used by planning boards across the country to
control land use. It is also among the most contentious issues that planners face and
the most difficult to change. Remember that the American people are ambivalent
about planning. We can illustrate this through several old adages. On one side, we
still hear such phrases as "a person’s land is a person’s land," "government governs
best when it governs least," and "my home is my castle and stay out." On the other
side one hears "there ought to be a law” or "I thought government was supposed to
protect us." Clearly, there is need to find a balance.

Defining Zoning
There are two perspectives to consider when defining zoning. The first is from a
policy perspective and refers to zoning as the highest and best use of the land,
according to the will of the people. The second, from a technical perspective, relates
to zoning as a process through which regulations are established concerning the use,
setting, spacing and size of land and buildings.

To look at the terms of the definition more closely, "highest and best use," means
that after careful thought and deliberation, planners have determined what type of
development should occur, at what density, with what character and in what section
of the community. It also implies that zoning should follow the creation of a master
plan. Unfortunately this rarely happens. In fact, from the time that zoning was
declared legal from the United States Supreme Court (Village of Euclid, Ohio v.
Ambler Realty Co., 1926), there has been a rush to zone first and plan afterward. In
long settled areas, this has often resulted in contentious planning as planners have
tried to change what could be considered short term, hasty decisions. If anything,
zoning must be carefully thought out and presented to the public slowly. Our record
in creating or revising zoning is one of great success when the process has extended
over one year. It is of marginal success when it has been less than six months. Your
citizens need to ponder what the impact of this regulation is on their property. And
who can blame them? After all, we are typically dealing with their homes and the
greatest investment decision of their lives. The establishment/revision of zoning
clearly must be carefully analyzed, long term in focus, based upon local values and
the result of an open process.

Zoning Ordinance Elements

Before describing the elements of a zoning bylaw, we thought it would be useful to
provide an example of one. The one below is a bylaw for an Agricultural Preservation
District in Granby, Massachusetts.

Massachusetts Citizen Planner Training Collaborative

Within this bylaw are the standard elements of a zoning act, which we will discuss in
detail below, and include:

Elements of a Zoning Act

1. Preamble

2. Glossary

3. Permitted Uses

4. Conditions for Development

5. Site Plan Approval, Special Permits, Overlay Districts

6. Administrative Policy

Zoning Ordinance Preamble

The zoning bylaw or ordinance begins with a preamble or statement of purpose that
details why the regulation was enacted and what it was based upon. While in some
communities this is considered "boiler plate," others spend a great deal of time to
write this section. We recommend the second course of action. It is here that the
values of the community can be clearly expressed. Moreover, in many of our expert
witness zoning cases, we have seen the judge return to this preamble to determine
the underlying basis for what follows. In other words, we believe that this is
important as an expression of your intent (the philosophical basis) with an economic
purpose (it may help to keep you out of court!).

Zoning Glossary
The zoning act should then address definitions in a glossary format. These are
important, for certain terms may mean different things to different people. For
example, can you make a distinction between light and heavy industry, a hotel and
motel, a retail store, box retailer or "category buster"? To illustrate the problem, we
recently were asked to help a citizens' group in a small, historic community in its
effort to stop a daycare center being established in one of the most pleasant
residential neighborhoods. The zoning act clearly stated that such a use was allowed.
However, the citizens and the planners expected a small facility of 20-30 kids fitting
comfortably into the community character. Unfortunately for the neighborhood, the
developer proposed a center for 300 kids! The bylaw was silent in terms of size and
site planning considerations and we believe the project will be ultimately approved.
The lesson here is simple: the community must clearly define what it wants (or
doesn’t want) in its zoning ordinances.

Permitted Uses
Following this, the act should define the uses that are permitted, laying out the
conditions for residential, commercial, industrial and open space uses. Once again,
great care must be given in defining what the community desires. In regard to
agriculture and forestry uses, they are generally permitted in all districts. In our
experience, these designations are rarely contested. However, we have recently
been involved in an instance where suburbanites moved next to a farm and objected
to the use of malodorous fertilizers. Fortunately, the community had espoused a
"right to farm" policy and the complaint was dismissed (Please note: This once again
reinforces the need for a strong preamble).

The act will also depict permitted residential uses. Housing is typically allowed in
residential as well as agricultural and forest districts. There are rarely problems with
the creation of single family districts. They are stable and add value to the
community. However, once one moves beyond permitting single family units,
conflicts will likely arise. We have been involved with objections ranging from the
allowance of "mother-in-law" apartment (accessory use apartment) to duplexes,
cluster housing, apartments and mobile homes. The lesson here is that it is far easier
to create mixed residential uses in open areas than to place such uses in well
established residential areas. This also reinforces the message of first creating the
plan and then adopting zoning.

The third basic use relates to

commercial activities, including retail
shops and service activities such as
financial, insurance, real estate and
doctors’ offices. Given the nature of the
American pattern of shopping, we most
often find three types of activities
permitted here: those allowed in
downtowns, neighborhoods, and along
highways. There are few problems in
downtown commercial planning (except
for adult entertainment uses!), as well
as within the neighborhood or village
shops (provided they were well placed
before housing was built). Highway
commercial activities, on the other hand,
are seemingly almost always a problem.
While a Wal-Mart or Home Depot may
be a welcome addition for shoppers,
they are a planner's nightmare because
they can have an enormous impact on
downtowns, traffic, community
character and building patterns.

The final use pertains to industry. On We recommend that communities provide

the whole American planners have not both industrial parks and an area that
been successful in creating industrial allows older mills, plants and factories to
districts. In our classroom, we have grow and prosper. Ordinances can protect
used the formula "GL=IL" to describe the health and safety of citizens - and the
the results. The formula simply states community's quality of life.
that garbage land (those parcels most
difficult to develop) = industrial land (those lands where industrial uses are
permitted). The problem is made worse by the public’s perception of industry (i.e.
Love Canal, Three Mile Island) and there is great resistance to such uses. In many
towns, they have successfully endeavored to protect themselves by permitting
industry only under strict performance standards and special permits/exceptions
(these will be explained below). Indeed, industry can be placed quite safely in a
community and serve as a welcome use. We recommend that your community
provide both an industrial park area and an area that allows its older mills, plants
and factories to grow and prosper.

That being said, often a landowner, builder or developer may apply for a use
variance, which occurs when a landowner, builder or developer wishes use their land
in a manner not allowed under the existing zoning. A common example is the
conversion of a home in a single family residential zone to a business. Although,
variances are intended to address to hardship cases, the use variance deserves a
word of caution:

Conditions for Development

After describing the permitted uses, the zoning act describes the conditions under
which development can occur. Here, it typically describes the acreage, frontage,
setbacks and size of structures. For example, the conditions may stipulate that the
district in question only allows single family residential units on half acre lots with
100 feet of frontage on an existing road and with 50 feet of setback from the side
and rear boundaries of the property. In commercial areas, the act may state that no
one retailer can occupy more than 50,000 square feet, thus assuring that major box
retailers or category busters are not welcome. Or, in terms of industry, it may
stipulate that no structure can be closer than 100 feet of a non-industrial use. All of
the above should be placed in a table of permitted uses that details each one. By so
doing, clarity can be achieved.

Many communities will also address performance standards in this section. Here,
controls governing air and water pollutants, lighting, noise and vibrations, among
others, are stipulated. As well, standards concerning parking and sign controls are
explained. We urge you to carefully examine how you develop these standards. They
should be based, in most uses, on nationally accepted standards (there are typically
ranges) so that, if legally challenged, they are defendable.

Site Planning Approval

The next section of the zoning act addresses site planning approval, special permits
and overlay districts. Site plan approval includes the conditions that planners place
on a use or district. It may be as basic as being able to justify the location of a curb
cut or as complex as meeting additional design or historic preservation standards.
Special Permits are generally allowed in districts for certain uses if the proposed
project meets standards concerning community character, the protection of the
environment, traffic, infrastructure and the community’s fiscal condition. Concerning
overlays, there are two types. The first is a restrictive overlay. It requires meeting
stricter standards before development can occur. For example, a water protection
overlay over an existing residential district would require all proposed units to tie into
the town’s sewer system as a condition to build. The second is the incentive overlay.
Here the town, for example, can provide a density bonus over a residential district if
the developer creates cluster housing. These land use tools can be quite complex.
They are here, however, simply for you to know that the tools exist for you to
achieve the best possible built environment for your community.
Administrative Policy
Finally, the zoning act needs to address its administrative policy. Who will enforce it?
It should be the responsibility of the planning board to oversee its administration. It
is also very appropriate to have a citizen effort, in conjunction with the Board, to
write or revise the ordinance. We also believe that special permit and site plan
approval powers belong to the planning board, while appeals belong elsewhere (i.e. a
Zoning Board of Appeals). However, it is entirely appropriate for the zoning
enforcement official to have approval authority over technical matters. Finally, it is
important that enforcement be fair and constant. Only then can your zoning
regulations be effective in achieving your community goals.

Bibliography & Additional Resources

American Planning Association's Planners Advisory Service (Zoning). The American

Planning Association's Planners Advisory Service provides reports showing how other
planners have dealt with some of today's most common planning issues. Below is a
partial listing of those available regarding zoning. For more information contact the
APA.

Zoning Administration
The Administration of Flexible Zoning Techniques (No. 318)
The Authority of the Zoning Administrator (No. 226)
Characteristics of Zoning Appeal Boards (No. 197)
Enforcing Zoning and Land-Use Controls (No. 409)
Exceptions and Variances in Zoning (No. 40)
Forms for Zoning Administration (No. 33)
The Hearing Examiner in Zoning Administration (No. 312)
Neighborhood Zoning: Practices and Prospects (No. 311)
Preparing a Zoning Workshop (No. 238)
Writing Better Zoning Reports (No. 321)

Zoning Ordinances
Amending the Zoning Ordinance (No. 115)
Exceptions and Variances in Zoning (No. 40)
A Glossary of Zoning Definitions (No. 233)
Illustrating the Zoning Ordinance (No. 165)
Interim Zoning Ordinances (No. 242)
The Language of Zoning: A Glossary of Words and Phrases (No. 322)
Measures of Variance Activity (No. 60)
New Zoning Techniques for Inner-City Areas (No. 297)
Planning and Zoning for Concentrated Animal Feeding Operations (No. 482)
Preparing a Conventional Zoning Ordinance (No. 460)
Special Public Interest Districts: A Multipurpose Zoning Device (No. 287)
The Special District: A New Zoning Development (No. 34)
Statements of Purpose and Intent in Zoning Ordinances (No. 92)
A Survey of Zoning Definitions (No. 421)
Toward More Readable Ordinances (No. 99)
Zoning Districts (No. 136)
Zoning Ordinance Checklist (No. 248)
Zoning Ordinance Definitions (No. 72)
Zoning Ordinance Indexing (No. 127)

Cyburbia Resource Directory (Zoning). Provides an extensive collection of links to
zoning ordinances for cities and towns (listed alphabetically) throughout the United
States and internationally.

Massachusetts Citizen Planner Training Collaborative. The Massachusetts Citizen

Planner Training Collaborative provides sample by-laws on a wide range of land use
issues.

Babcock, Richard F. and Charles L. Siemon. The Zoning Game Revisted. Lincoln
Institute of Land Policy (1985). This book includes a rich and fascinating collection of
case studies on local land use politics offers behind the scenes analysis of decision
making on zoning controls and land development in eight states. Available through the
Lincoln Institute of Land Policy.
Introduction to Subdivision

This lesson will focus on one of the most important, if not the most tedious, tasks of
planning the subdivision of land. Nothing is more scary to a residential neighborhood
than seeing orange colored tape being placed on the 100 acre forested plot next door.
Residents have become accustomed to the forest as being their park, nature reserve
and recreational space. No sooner is the tape placed than the abutters receive
notification that their forest is about to be subdivided into one hundred units of
single family housing. Faced with the loss of open space, natural beauty and play
space, they will typically confront the planning board or commission hoping to stop
the project. They rarely succeed. They can, however, working with the board or
commission, modify the project so that it is integrated into the character of the
surrounding units. How this occurs will be discussed in this lesson.

Defining Subdivision
Simply stated, the term subdivision of land means the reparcelization of land into
two or more lots for development purposes. If Ms. Smith owns two acres of land with
200 feet of frontage and meets zoning requirements (one-acre residential lots are
allowed provided there is 100 foot of frontage), she then will gain approval to
develop two housing lots. While Ms. Smith’s example holds true in principle for all
subdivision regulations, it is rarely so simple. Indeed, some states will allow
communities to make subdivision more difficult while others will make it easier. For
example, subdivision regulations may only apply to the division of a lot of land into
two or more parcels and the creation of a new street. This is unfortunate because it
has dramatically altered the building pattern of communities. It allows developers to
build at will, provided they meet zoning requirements, along legal rights of way
without being subject to planning board/commission review. In Massachusetts, for
example, these are called “Approval Not Required” subdivisions. The planning board
checks to see if the proposals meet the zoning ordinance and then its members sign
under the “approval not required” line. In New Jersey, farm parcels greater than five
acres in size are exempt. This means that a glorified weekend gardener or farmer is
free to build scattered development across the landscape. In the Massachusetts case,
this has resulted in the infill of lots along roadways while large areas of backland are
open – a landscape patterns quite different from the state’s previous three hundred
years. And in New Jersey, it has, at times, resulted in the intrusion of large housing
tracts spread across open spaces when clustering may have been more beneficial. In
both cases, as well as in other states, it is crucial to understand that the subdivision
regulation is powerful and full of unintended consequences.

Two Approaches to Subdivision Regulations

We commonly find two types of subdivision regulations. The first, typically found in
smaller communities, is quite rigid and requires the developer to meet certain lot
configurations, road, driveway, sidewalk and infrastructure standards. If the
developer meets these requirements then he/she will gain approval. While this
approach is relatively fair and easy to administer and provides some protection for a
community, it assumes that all locations are similar and that all parcels of land have
the same characteristics. Nothing could be further from the truth. For example, when
we were new in the business about twenty-five years ago, we wrote a subdivision
regulation that required sidewalks on both sides of the street and that "dry holes" be
placed in the street in anticipation of the expansion of community infrastructure
systems. No sooner was it approved than a developer of a 100 acre parcel about a
mile from the nearest school and two miles from the nearest sewer and water
hookups came to town and applied for approval of a 90 unit "starter" housing
complex. The town sorely needed such housing to maintain its much-valued diversity.
Unfortunately, the regulation was "fixed," with no flexibility. The developer had to
build sidewalks to nowhere and place the "dry holes" when the likelihood of hookups
were in the distant future. These items senselessly raised the cost of the units and
made it more difficult to meet a community need. We don’t mean to be critical of the
"fixed" approach. In some communities, a fair, honest, simple straightforward
approach represents the values of the citizenry. They would rather follow this
direction than give interpretative powers to the planning board. Indeed, this
approach is clearly more beneficial than no controls!

The second approach gives the reviewing authority greater flexibility in lot
configuration, infrastructure placement and road design. The standards are clearly
stated in the community’s regulation. However, if for reasons of topography, land
cover, wetlands, infrastructure needs, soil characteristics and even the setting of the
proposed development in the community, there are mitigating factors, the reviewing
authority can make "judgement calls" for the betterment of the community. Consider
the previous example; should we have required the sidewalks on both sides of the
street and the dry holes? If we had flexible powers, we would have waived both of
the requirements or at least modified them. What happens when a parcel of land is
about to be subdivided but stands in the way of a long-term plan to create a town
greenway? Or what happens when it will block the completion of a road connector or
to provide a park in that section of the community? The developer clearly has the
right to build. He/she owns or controls the land. However, boards with flexible
powers could indeed work to relax densities, road requirements or infrastructure
requirements such that the goals of the master plan are met. We find the flexible
approach adds considerable value to a
community’s quality of life. Learn More...

View a sample subdivision regulation from

As we observed in the previous lesson on Lexington, MA that promotes the kind flexibility
zoning, the phrase "the devil is in the described above.
details" once again comes to mind when
we write about subdivision regulations. For this reason, we urge you to take several
fundamental actions before you begin writing a new regulation or revising your
present controls. First, it would be most beneficial for you to re-read your state
statute to determine exactly what your powers are in the subdivision process. If you
need help, ask your city or town attorney. Second, he or she can give you
information if the current subdivision regulations have any weaknesses that might
make the community vulnerable to lawsuits from developers. State courts have been
increasingly drawn into subdivision cases. Thirdly, it would be in your best interest to
identify the "best practices" of communities in your area. Well planned subdivisions
are not created by accident or by some distant site planner, they are in partnership
with the developer and the planning board. Fourth, we urge you to contact the
research office of the American Planning Association to obtain its Planning Advisory
Service "Bulletins on Subdivisions." There are also two current books entitled Rural
by Design by Randall Arendt and Dealing with Change in the Connecticut River Valley:
A Design Manual for Conservation and Development by Yaro et.al. These invaluable
resources provide creative tools, techniques and guidelines to accommodate growth
while preserving rural landscapes and community character. Finally, meeting with
developers, landowners, conservation groups and local realtors can help to establish
cooperative relationships and enable you to see the issues from all parties involved
in the process. Remember all planning is local. The support of the informants will be
crucial. Once you have taken these actions then you are ready to proceed with
creating or revising your subdivision regulations.

Guidelines for Planning Officials

Despite all of your hard work, you will still have to watch for pitfalls and make
decisions that are not always popular. For this reason, we urge you to get as much
professional help as possible. Indeed, some communities will charge the developers
a fee so that the community can obtain its own consulting services. Based on our
experience, we have five recommendations for you as you write, revise or implement
your regulation.

1. Discuss the proposal at the earliest possible date and in an informal manner. If a
developer is thinking about a subdivision, you should invite him/her to visit with you to
discuss concepts. This will enable you to inform the developer of community
expectations. It will also provide both parties with the needed time to iron out
differences before the "time clock" of decision making begins (most states will require
the Board to make a decision within an allocated period of time).

2. Be helpful throughout the process. This does not mean designing the project for the
developer! In fact, there is an ongoing court case, which focuses on the issue of how
far the planning board must assist. The community is being sued by a developer who
alleges that the board has an obligation to assist the developer at all steps of the
process. The planners insist that they are there to represent the best interests of the
community. We are convinced that you have a "good faith" obligation to insure that
the developer receives appropriate guidance. Beyond this, it is clear that your role is
judgmental. Unfortunately, at times, the distinction can be muddled. Use common
sense!

3. Work with members of the board to have a developer’s packet pre-prepared. This
packet will include a master plan (or pertinent excerpts), the zoning bylaw, the capital
improvements program, pertinent growth policy documents and, of course, the
subdivision regulation. It would also be helpful to include a process diagram that
outlines all of the parties from which approval must be gained. This typically would
include, among others, the School Department (bus service), Fire Department (ability
to access roads), Health Board (septic systems, leech fields), Conservation
Commission (wetlands), and the Drainage Commission (soils).

4. If your Board has flexible powers, don’t be afraid to negotiate at the early stages of
the process. We believe that fairness calls for the Planning Board to be flexible at the
start of the process, to layout alternatives and to come to an understanding of what is
acceptable and what is not. As the process moves forward, it should "fix" its position.
Nothing is worse for a well-meaning developer than to have a Planning Board that
regularly changes its position.

5. Keep the process open. Citizens and developers both deserve to hear discussions and
reasons for decisions. Open dialogue and informational discussions should take place
before a formal public hearing. Formal hearings are often confrontational, cause a
hardening of positions and a "winner take all" atmosphere.

And so, in sum, we hope you know what a subdivision is, how the two common types
work, who to involve in the process of writing and revising the bylaw, where to find
the basic information to assist you and five recommendations for future actions.

Bibliography & Additional Resources

American Planning Association's Planners Advisory Service (Subdivisions). American

Planning Association's Planners Advisory Service provides reports showing how other
planners have dealt with some of today's most common planning issues. Below is a
partial listing of those available regarding the subdivision process. For more
information contact the APA website.

Subdivision Fees
Setting Zoning and Subdivision Fees: Making Ends Meet (No. 357)
Subdivision Fees (No. 73)
Subdivision Fees Revisited (No. 202)
Zoning and Subdivision Fees: Current Practice (No. 325)

Subdivision Improvements The Calculation of Proportionate-Share Impact Fees (No.

408)
Installation of Physical Improvements as Required in Subdivision Regulations (No. 38)
Land Development Ordinances: Grading; Curb Cuts and Driveways; Street Trees (No.
86)
Mandatory Dedication of Land or Fees in Lieu of Land for Parks and Schools (No. 266)
Public Open Space in Subdivisions (No. 46)
Sidewalks in the Suburbs (No. 95)
Varying Improvement Requirements in Subdivision Ordinances (No. 174)

Subdivisions
The Cluster Subdivision: A Cost Effective Approach (No. 356)
Cluster Subdivisions (No. 135)
Considerations in Subdivision Control (No. 10)
Minimum Requirements for Lot and Building Size (No. 37)
Organization of the Subdivision Ordinance (No. 116)
Planned Unit Development Ordinances (No. 291)
Recording and Reporting Statistics on Subdivision Activity (No. 87)
Regulation of Mobile Home Subdivisions (No. 145)
Subdivision Design: Some New Improvements (No. 102)
Subdivision Manuals (No. 124)
Subdivision Regulations for Industry (No. 162)
Underground Wiring in New Residential Areas (No. 163)
Subdivision Design in Flood Hazard Areas (No. 473)

Cyburbia Resource Directory (Subdivision Regulations). Provides an extensive

collection of links to subdivision regulations for cities and towns (listed alphabetically)
throughout the United States.

Yaro, Robert D. Randall G. Arendt, Harry L. Dodson and Elizabeth A. Brabec. Dealing
with Change in the Connecticut River Valley: A Design Manual for Conservation and
Development. Lincoln Institute of Land Policy and the Environmental Law Foundation
(1988). This critically acclaimed manual uses perspective drawings, plans and photos
to explain how a community can use creative planning guidelines to accommodate
growth, while preserving rural landscapes. Available through the Lincoln Institute of
Land Policy.

Massachusetts Citizen Planner Training Collaborative. Seeks to empower planning

officials to make effective and judicious decisions regarding development,
transportation, natural resources and the environment by providing access to
information and resources. Of particular note is their Bylaws Collection, which includes
 model bylaws and provides resources for more information about the bylaws and how
other communities may be using them.

Arendt, Randall. Rural by Design. APA Planners Press (1994). This popular book
advocates creative and practical land use planning techniques to counteract strip mall
and checkerboard subdivision development. Also includes numerous examples of
residential, commercial and mixed use projects that have utilized these innovative
techniques. Available through the American Planning Association?s Planners Book
Service.
Introduction to Growth Management

We have chosen this point in the course to discuss growth management because it
is important to have a master plan in place that describes the ideas, values, goals
and objectives of the community. It is also important to have a build out analysis, an
understanding of the long-term influence of growth on capital facilities and
infrastructure and a clear picture of the fiscal consequences of growth trends. Once
you know your community values and the impact of growth on the town then you are
ready to proceed.

In this lesson we will discuss the concept of growth management. Growth

management is a land use planning strategy that directly or indirectly limits the
amount of growth that can take place. It may also involve controlling the timing or
location of development without attempting to limit the total amount of development
or overall population growth. It is a hot topic! Leaders in the top levels of the federal
government, our national newscasters, and many of our governors are discussing the
issue. Indeed, it has placed many a planner, traditionally hidden in the basement of
Town Hall, into the limelight.

Defining Growth Management

Growth management means the comprehensive and integrated control over the
extent, pace, place and form of development. As in all of the lessons in this course,
we have to look carefully at the words. We will begin with the phrase
"comprehensive and integrated." Growth management, in order to be effective, must
link decisions made by many administrative bodies if it is to work. Decisions cannot
be "stove piped," meaning that, for example, the Historic Commission cannot set
architectural standards without public input. Or the Finance Committee cannot set
taxation goals without considering community needs. These decisions, among others,
must be the result of careful, reflective thought involving key constituencies across
the community. "Control" relates to the regulatory tools and the incentives in the
planner's tool kit that a developer is required to meet before being able to build. The
types of controls will vary from community to community. In some communities it
may simply mean passing a zoning ordinance to restrict development. In others, it
may be the creation of a sophisticated bonus system by which developers are
allowed to gain, for example, additional units of housing or lower densities if they
meet the goals of a master plan.

The third part of the definition relates to the "extent" to which the community wishes
to grow. Some communities see all growth as positive and others want no growth at
all. Clearly, it is essential that the extent of growth desired is determined through a
bottom up, citizen-based master plan. Moreover, it requires a build out and fiscal
analysis before any firm decisions are made. Please remember, not all growth is
good. It must be balanced with the environmental, infrastructure, traffic, fiscal and
culture characteristics of your community.

The "pace" of development asks the question, how fast should development occur?
This, of course depends upon the state of your community. The rule of thumb is
that private growth should keep pace with public investment in concert with
community values. In essence there is a commitment on the part of the
community, if it is to limit growth, to continue to meet the public needs of its citizens
through financial investment. Please note this does not mean closing off all growth or
refusing to build needed public facilities or declaring a moratorium on all growth. In
fact, a moratorium is an admittance that you have failed to adequately plan.

The fifth part of the definition relates to the word "form." Here we mean your
community character. What is your character? Is it a compact, 19th century New
England village with surrounding hills and fields? Is it a port town, a rural county, a
sparkling new suburb or a vibrant city? We are continually amazed at how many
planners never formally define the character of their town. Although they may define
it in bits and pieces, they will not comprehensively and integratively define what it is.
As in the process of developing a vision for your community, defining character is
essential because it is the baseline from which all growth management begins. To
restate the definition, growth management must be comprehensive, integrated, have
appropriate controls, determine the amount of desired development, realistically
state the timing of development and take into consideration the community's
character.

Benefits of Growth Management

Benefits of Growth Management

Concentrates development in suitable areas

Sensitive lands are protected

Establishes rural centers

Conserves natural and economic resources

Considers the availability of sewers and water and other utilities/services

Fiscal impacts associated with growth are lessened

Is growth management something new? Learn More...

Why do some communities want to
Read more about the emergence of New
manage growth? In general it is not
Urbanism as an alternative to conventional
something new; planners have been planning, community growth and a proactive
practicing growth management for years. way to manage in the following articles.
What is new, however, is the way in
which it is being packaged. Instead of a "New Urbanism Challenges Conventional
disparate set of odd tools (i.e. zoning, Planning" by William Fulton
growth boundaries, and density bonuses),
growth management looks at the community's growth comprehensively and then
links the tools together so that a desired development patterns can occur. The
motivation for growth management has come from many sources. However, full
credit must be given to the environmental movement that caused us all to seriously
look at what we have been doing to the ecology and our environment. From Ian
McHarg's Design with Nature to Ernest Schumaker's Small is Beautiful to the New
Urbanism movement, we realize how special and fragile our community really is. In
addition, many communities are now faced with sprawling development.

This has lead to the destruction of rural lands and open space, has strained local
government's service and utility provision and compromised the fiscal health of the
community. The need to find solutions to these pressing problems associated with
 growth has spurred many cities and towns to develop a growth management
strategy.

Learn More...

Read more about growth management in

Boulder.

"Controlling Sprawl in Boulder: Benefits and

Pitfalls" by Peter Pollock

© Corbis Corporation

Boulder, Colorado is one of many communities

throughout the United States that has dealt creatively
with managing the tremendous growth it has been
experiencing over the past few decades.

Guiding Principles of Growth Management

We have several principles of growth management for you to consider:

1. Development should be compact. By so doing, we avoid sprawl, are able to minimize
municipal costs and protect our open space. Moreover, it helps to facilitate a stronger
sense of community.

2. Emphasize "infill" development before expanding outward. Leapfrog development

should be avoided.

3. Development should foster civic interaction. Our citizens want to have "face-to-face"
contact, desire a pedestrian scale and regularly voice a need to feel connected. We see
these elements as part of both the New Urbanism and the Greenway movements.

4. Growth management must recognize the wide range of housing types that are needed
by our citizens. The ubiquitous "white painted, black shuttered Cape Cod houses" on a
quarter acre lot spread for miles is not the answer to all of our housing needs. There is
need to meet differing requirements for people as their income, age and family
circumstances change.

5. Create integrated transportation systems that enable citizens to move swiftly and
efficiently throughout the community. This is not limited to the automobile. It means
creating bicycle trails, bus routes, boat ferries, walking trails, train systems and the
like. Then insure that they are designed to meet community needs. It is not always
easy! We know of communities, for example, that refuse to allow bike or walking trails
through their domain because of privacy issues. We also know of mass transit
 planners who develop timing systems that enable suburbanites to get to their
workplaces in the city for the start of their day; however, they do not take into
consideration the city dwellers who work in the suburbs. The planners failed to
recognize the rise of reverse commuting.

6. Growth management means improving the development process so projects are

comprehensively and integratively reviewed. This means that all community agencies
are able to assess the impacts of a proposed project and to recommend desired
changes. Moreover, inherent in this review is a process that is reasonable, fair and
predictable.

Growth Management Tools

What are the tools that you need to develop a growth management strategy? There
are both regulatory and non-regulatory tools to assist you.

Zoning is the most basic of the regulatory measures because it allows your
community to determine the type, place, and density of development. Zoning might
include a cap on growth. A growth cap enables a community to keep private sector
development in synch with capital improvements. To illustrate how this is used, a
community might determine that the maximum number of units that it can absorb,
according to its capital improvement plan, is 100. It therefore would only issue 100
permits for 100 units per year. Or, your zoning might include a point scheme
through which a developer's right to build is determined by the quality of
development and its contribution to community needs. Here, for example, if the
developer provides affordable housing, pays for expanded sewer capacity and
contributes land to the community for a park, he/she would be allowed to build more
units and earlier than another developer who makes no contributions to the
community. Your zoning may also include cluster and planned unit development
options. You will recall that cluster relaxes densities for a specific use such that open
land is protected. Planned unit development functions in the same manner while it
also enables the developer to build two or more types of density and/or types of use
((i.e. residential and commercial). The implementation of such tools is that there is
more open land, more infill and less need for infrastructure development. In sum,
zoning can be a powerful growth management tool.

Beyond zoning, there are other regulatory and non-regulatory tools as well. At a
base level, these include traffic calming, subdivision controls, sewer and water
system avoidance, purchase of lands, growth boundaries and capital planning. Traffic
calming in a growth management context means that a community will only build
roads that are designed to meet the planned growth of the community and no more.
It is the reverse of the old phrase "If we build it, they will come." Instead, if we don't
build it, they won't come! Your subdivision regulation would be an excellent place for
you to employ this concept. Sewer and water avoidance simply means that the
community will not expand its infrastructure to meet endless growth in all directions.
It helps to enable the community to guide growth where it should happen rather
then where the developer desires to build. It also helps to lower the costs associated
with operating these systems. The sewer and water avoidance policy is often part of
a larger growth bordering strategy. Here the municipality states that it will not
provide infrastructure in a certain area until designated areas are fully developed. In
this way, it insures a more compact form of development.
Non-regulatory tools include the purchase of lands by the community or through land
trusts as another option. These can be fee simple (outright ownership), easements
or the purchase of development rights. Finally, there is the Capital Improvements
Program (CIP). This tool can be used in a growth management context to determine
where and when community facilities and infrastructure would be built. By so doing,
it also strengthens the infill concept as well as the need to have compact
development.

While there are other tools, these are the most basic and it is critical for you to
determine which of them are authorized (or legal) in your state. The bibliography at
the end of the lesson has publications and resources to help you learn more about
these tools, as well as how other states have undertaken growth management.
Before ending our lesson on growth management it might be useful to take a look at
how cities and counties in Washington state have utilized some of the tools and
techniques described above to manage growth. 1000 Friends of Washington provides
information about this effort, revealing that despite the challenges of managing
growth, local values are prevailing!

Bibliography & Additional Resources

The American Planning Association's Planners Advisory Service (Growth Management

Planning). The American Planning Association's Planners Advisory Service provides
reports showing how other planners have dealt with some of today's most common
planning issues. Below is a partial listing of those available regarding growth
management planning. For more information about the sample of reports listed below
contact the PAS website.

Increasing State and Regional Power in the Development Process (No. 255)
Modernizing State Planning Statutes: The Growing Smartsm Working Papers. (No.
462/463)
Modernizing State Planning Statutes: The Growing SmartSM Working Papers. (No.
480/481)
Nongrowth: A Review of the Literature (No. 289)
Performance Standards for Growth Management (No. 461)
Planning, Growth, and Public Facilities (No. 447)
The Principles of Smart Development (No. 479)
Seven Methods for Calculating Land Capability/ Suitability (No. 402)
Staying Inside the Lines: Urban Growth Boundaries (No. 440)
Traffic Sheds, Rural Highway Capacity, and Growth Management (No. 485)
Transferable Development Rights (No. 304)
Transferable Development Rights Programs (No. 401)
Urban Growth Management Systems: An Evaluation of Policy-Related Research (No.
309/310).

Pollock, Peter. "Controlling Sprawl in Boulder: Benefits and Pitfalls." Landlines.

(January) 10, 1. (1998).

Cyburbia. Cyburbia (formerly called PAIRC - The Planning and Architecture Internet
Resource Center) contains a comprehensive directory of Internet resources relevant to
planning, architecture, built environment. Cyburbia also contains information about
architecture and planning related mailing lists and Usenet newsgroups, and hosts
several interactive message areas.

DeGrove, John with Deborah A. Miness. The New Frontier for Land Policy: Planning and
Growth Management in the States. Lincoln Institute of Land Policy (1992). This work
 summarizes how Florida, Georgia, New Jersey, Maine, Rhode Island and Vermont
planned for growth at the state level. Available through the Lincoln Institute.

Fulton, William. "The New Urbanism Challenges Conventional Planning." Landlines.

(September) 8, 5. (1996).

Downs, Anthony. New Visions for Metropolitan America. Lincoln Institute of Land Policy
and the Brookings Institution (1994). Downs proposes three alternative visions that
reverse the trend to sprawl by emphasizing a regional sense of community, rather
than one oriented toward a single jurisdiction. Available through the Lincoln Institute.

One Thousand Friends of Washington. Seeks to maintain viable urban, suburban and
rural communities in Washington State through the promotion and support for
responsible growth management. Their web site contains information about the
organization's mission and strategy, an overview of Washington's Growth Management
Act, publications and other resources related to growth management.

Planners Web Sprawl Guide. Online resource designed to familiarize visitors with key
issues associated with sprawl and offers articles, reports and other links in the area of
growth management.

Glickfield, Madelyn and Ned Levine. Regional Growth...Local Reaction: The Enactment
and Effects of Local Growth Control and Management Measures in California. Lincoln
Institute of Land Policy (1992). This book summarizes how 443 of the state?s cities
and counties dealt with the problem of rapid growth during the 1970?s and 80?s. Maps,
charts and graphs illustrate the different types of growth control throughout the state.
Available through the Lincoln Institute.

Knaap, Gerrit and Arthur C. Nelson. The Regulated Landscape. Lessons on State Land
Use Planning from Oregon. Lincoln Institute of Land Policy (1992). This book examines
the effects of Oregon?s comprehensive land use act on economic activity, housing,
agriculture and land values. Urban growth boundaries, public services planning and
farmland protection are other issues analyzed.Available through the Lincoln Institute.

Sprawl Watch Clearinghouse. The Sprawl Watch Clearinghouse mission is to make the
tools, techniques, and strategies developed to manage growth, accessible to citizens,
grassroots organizations, environmentalists, public officials, planners, architects, the
media and business leaders. The Clearinghouse identifies, collects, compiles and
disseminates information on the best land use practices.
Introduction to Capital Improvements Planning

Our compliments to you for staying with the course. It is fitting that we end with
Capital Improvements Planning (CIP). By this stage you have gone through all the
surveys, collected all the data, attended all the citizen participation meetings and
public hearings and nudged the plan to its final stages.

Defining the CIP

The key implementation
guide for your major projects
is the Capital Improvements
Plan (CIP). The CIP is
designed to determine how
you will pay for "big ticket"
capital improvement items
that are critical to the
community. A capital
improvement is defined by
Lindbloom and Moskowitz as
"... an acquisition of real
property, major construction
projects, or acquisition of
expensive equipment to last
a long time." Acquisition of © 2000 PhotoDisc
real property means the The Capital Improvements Plan helps communities pay
buying, or gaining control for "big ticket" capital improvement items, including
over, for example, open acquiring property or equipment, as well as major
space land or the purchase of construction projects.
an old building to be
renovated for a town hall. A major construction project may, for example, be the
building of a new school or the laying of 1000 linear feet of water pipe. The
acquisition of expensive equipment may be, for example, the purchase of a fleet of
trucks for the Department of Public Works or the purchase of a machine to remove
graffiti. What does "a long time" mean as it pertains to this equipment? This typically
relates to items that have a life span of five years or more. In sum, capital
improvements are the buildings, grounds, pipes and vehicles that enable the
community to carry out its missions and obligations.

What Constitutes a CIP?

The capital improvements stage of the planning process can be fraught with
difficulty, both in determining what constitutes a capital improvement, and in
implementing the CIP. In regard to the first, there are two "sticky" items that need
further discussion. The first relates to what should be included. For example, should
one replacement police car costing $40,000 be placed in the CIP? To the City of
Baltimore, this would be a minor expense and would not typically be part of a CIP.
On the other hand, for the small town of Grayling, Michigan, it may very well be part
of its program. Our advice is simply this: If the cost to the community is too much to
bear in one year then it should be an item that is part of the plan. The second
challenge of determining what to include in the CIP relates to the notion of long term.
Going back to the example above, we know that police cruisers have a typical life of
three years. Therefore, under most capital improvement plans, it would not be
considered as a CIP item. However, we believe the test of affordability takes
precedence. If the item is too much to pay for in one year, then you should consider
it for the CIP.

Preparing the CIP

Who prepares the CIP? It varies according to location, size of community and form
of government. In most cases, a committee that includes the planner, the
community’s fiscal agent (i.e. town treasurer), representatives of community
departments, local political figures and citizens prepares it. The charge to the
committee is to first review the proposed projects in the plan and then discuss them
with the department heads. (They, typically, will have their own priority projects that
are outside the plan). The report created by the committee is called the Capital
Improvement Program. The program will describe each project, the cost, the length
of time required to pay for it, the proposed location of the project and how it is to be
funded. After the plan has been reviewed and the discussions have been held, the
committee will then discuss the ability of the community to pay for all of the requests.
Inevitably, there will be more projects than the community can afford. For this
reason, it is important to prioritize the projects. Once this is completed, the findings
should be tested for fairness. Are the projects meeting the needs of the poor? Are
they spread across the community’s landscape or are they in one neighborhood? And
so on... After this discussion, those projects considered critical, and for which funding
can be justified, are sent to the executive bodies (i.e. mayors, town councils) or to
the voters through town meetings.

Evaluation Criteria for Projects

1. Fiscal Impacts

2. Health and Safety

3. Community Economic Effects

4. Environmental, Aesthetic and Social

5. Disruptive Inconvenience

6. Feasibility

7. Implication of Deferring Project

8. Inter-jurisdictional Services

9. Uncertainty and Risk

10. Relationship with other CIP Projects

The next challenge is to actually implement the CIP. Indeed, we have found that
most plans fail here. They may not be placed in a context so that they are connected
to the funding stream. What are some of the other pitfalls?
 Potential Obstacles in Implementing the CIP

1. Short term political thinking (i.e. a project won’t see the light of
day if it can’t be done in one political term)

2. A lack of seamlessness in planning decision making (i.e. planners

plan and many others implement)

3. The economic state of the community (i.e. can it afford higher

taxes?

4. The attitude of the voters (i.e. are they fiscally conservative? Are
we willing to pay more in taxes?)

5. Ability to obtain grants (i.e. let’s go after a project for which we

can get state or federal funds).

Usually, it is all of the factors as a "stew" that creates the difficulties associated with
funding. Nonetheless, through hard work, diligence and gaining political support, you
will be able to implement your plan.

To illustrate some of these issues, let’s look at number 4, the attitude of voters.
Inherent in this point is the concept of "a willingness to pay." The perceptions of a
heavy tax burden differ across the United States. Residents of Massachusetts, with
its strong tradition of funding local government, regularly pay more in taxes than
most parts of the nation, earning it the epithet "Taxachusetts." Parts of the
Southwest and Midwest, on the other hand, are far more frugal and circumspect in
their willingness to fund public investments. Local values will prevail!

In number 1, you will note that we have placed political considerations as part of the
discussion. We do this based upon our experiences. The CIP will not work unless it
passes a political reality test. In fact, we know of one community where the mayor
requests the CIP committee to rank projects of both citywide importance and of
council district importance. She also instructs the committee to not prioritize the
district projects until each councilor has approved them. Finally, she reserves 50% of
the funds for the citywide projects and 50% for each district. Her system does not
follow the textbook model. Nonetheless it reflects the political realities of that
community and it works!

Funding the CIP

The Rainy Day Fund
The funding of capital improvements may come from several sources. The first is the
community’s reserve account or “rainy day fund.” This account typically consists of
funds raised during good economic times to be used when the economy is not so
robust. The good news is that there is such a fund. The bad news is that most
communities are reluctant to use it. Indeed, the memory of past recessions, stock
market fluctuations, and the Orange County (California) treasurer’s scandal has
resulted in many communities becoming less willing to use its reserve unless it is a
serious emergency. We can also see this playing out in Massachusetts. The cost
overruns of Boston’s “Big Dig” highway project have been so staggering (now
estimated at 1.4 billion dollars) that the federal government is refusing to pay for
them (on the grounds of poor fiscal management). To make up the shortfall, the
Governor has proposed using the state's reserve account. Given the cyclical nature
of the state’s economy, the idea has been less than warmly received. The point in
this discussion is this: The rainy day fund is most often used for emergencies. If the
project is not considered to be absolutely critical, you can expect difficulty in tapping
into this fund.

The CIP Fund

The second is a formal Capital Improvements Fund. It works in a similar fashion as
that of the “Rainy Day Fund.” However, these funds are reserved for capital
improvements and cannot be tapped for operational use except during times of
severe stress (this has happened and, indeed, was quite common during the last
recession). Typically, the local government sets aside an amount of money that is
broadly designated for capital improvements. This fund then becomes the dollar
amount that the Capital Improvements Committee has to work with each year as it
struggles to meet the demand. This system is working well in many communities
across the nation at present due to the strong economy. It worked less well in the
1980’s as inflation, "tax cut fever" and recessions forced local governments to cut
this account. Indeed, it was so bad for several years that we stopped teaching capital
improvements planning in our curricula. Times have changed.

Local Taxes
The third funding source is the annual tax revenues that are collected each year.
Here, city or town leaders will raise funds this year for projects that are unfunded.
Sometimes it will simply add funds to the capital improvements account or agree to
fund a specific project or to supplement the account for a project for which there are
insufficient funds. This works well in times of great prosperity. However, too many
communities rely on this approach with the result that long term planning can be
quite difficult.

Bonds
The fourth is the use of bonds. Bonds typically constitute the long-term debt of
communities. There are two common types: revenue bonds, which are paid back
directly from the receipts collected (i.e. parking garage revenues, stadium ticket
sales), or general obligation bonds, which are backed by the full faith and credit of
the community. Bonds are used for the most expensive and long term projects. For
example, most communities will borrow on the bond market for schools and spread
the payments over twenty years. While this tool is very effective, it also requires a
great amount of community preparation, including obtaining a bond rating, bond
counsel and selling the bonds on the open market. The use of bonds is positive in the
sense that it enables a community to secure a needed improvement quite quickly.
On the other hand, it reflects a community’s inability to meet its obligations from its
own current sources and requires extensive professional assistance.

State and Federal Grants

Finally, there are federal and state grants that can help pay for the improvements.
For example, the United Stated Economic Development Administration often provides
grants for water and sewer improvements and most states have been willing to pay
large shares of school construction costs. The good news is that these grants are
available. The bad news is that they are competitive and require professional grant
writing assistance.
 Financing for CIP

1. Current Revenue

2. Reserve Funds

3. General Obligation Bonds

4. Revenue Bonds

5. Lease and Purchase

6. Authorities and Special Districts

7. Special Assessments

8. State and Federal Grants

9. Tax Increment Financing

We are intentionally vague about the process because it differs dramatically across
the nation. The key ideas to remember are that most communities have a process
whereby projects are publicly reviewed, selections are based on available funding
and executive must approve them. There are means and methods to implement the
plan. It is important to recognize that willingness of your community to invest, to
carefully prepare your budgets and to reflect upon political realities. Good luck!

Bibliography & Additional Resources

The American Planning Association's Planners Advisory Service (CIP). The American
Planning Association's Planners Advisory Service provides reports showing how other
planners have dealt with some of today's most common planning issues. Below is a
partial listing of those available regarding capital improvements planning. For more
information about the sample of reports listed below contact the PAS website.

Adequate Public Facilities Ordinances and Transportation Management. (No. 465)

The Calculation of Proportionate-Share Impact Fees (No. 408)

Capital Improvement Programming (No. 151)
Capital Improvement Programming: Some Considerations (No. 23)
Capital Improvements Programs: Linking Budgeting and Planning (No. 442)
Infrastructure Support for Economic Development (No. 390)
Innovative Capital Financing (No. 392)

Planning and Financing Storm Sewers (No. 109)

Underground Wiring in New Residential Areas (No. 163).
 Planning Fundamentals Glossary

A
Aquifer: A geological formation or structure that stores and/or
transmits water to springs and wells.
B
Birth Rate: It is well known that population change and growth is
one of the key factors affecting land use; the U.S. Census Bureau
determines birth rate by dividing the number of births in one year
by the number of people alive in the middle of the year, and
multiplying that number by 1,000.
Bonds: Certificates of indebtedness issued by a state or local
government authority as a promise to repay the money over time.
Bonds are used to finance capital facilities such as roads, schools
and any other projects that can't be financed from current
revenues.
Brownfields: Industrial and commercial properties with either
known or suspected soil contamination problems.
C
Capital Improvements Program (CIP): The schedule of large
public expenditures, usually to be carried out over a period of five
or more years, that are required to maintain and improve the
infrastructure and projects that contribute to the community's
quality of life. A typical CIP lists improvements by priority, their
estimated cost and source of financing.
Charrette: A design exercise where community members,
planners, architects, designers or artists work together to develop
visual solutions for a planning problem or concept.
Citizen Participation: Public involvement in the process of
developing and implementing government policies.
Cluster Development: A development design technique which
concentrates buildings in designated areas on a site for the
purpose of allowing the remaining land to be used for protection or
preservation of environmentally sensitive areas, for recreation or
for common open space.
Cohort/Cohort Analysis: A group of persons experiencing the
same event (such as their own birth) during the same period of
time (such as a calendar year). Cohort analysis traces those
persons born during the same time period as they age and live
through common time-specific experiences and life stages.
Community Character: The characteristics of a community or
area that may be defined by the built environment, natural
features, housing or architectural style, or the quality of public
services.
Conservation Easement: A legally recorded, voluntary
agreement that limits land to specific uses. Easements may apply
to entire parcels of land or to specific parts of the property. Most
are permanent, but term easements impose restrictions for a
limited number of years. Land protected by conservation
easements remains on the tax rolls and is privately owned and
managed. However landowners who donate permanent
conservation easements are generally entitled to tax benefits.
Council of Governments (COGs): A regional planning and review
authority whose membership includes representation from all
communities in the designated region.
D
Density: The number of families, individuals, dwelling units,
households, or housing structures per unit of land.
Development Rights: Development rights entitle property owners
to develop land in accordance with local land use regulations. In
some jurisdictions, these rights may be sold to public agencies or
qualified nonprofit organizations through a purchase of agricultural
conservation easement or purchase of development rights
program.
Development Timing: Regulation of the rate and geographic
sequencing of development.
E
Ecology: The study of organisms and their environment.
Ecosystem: Distinct groups of organisms interacting in a
particular place.
Exactions: One-time charges assessed by the government as a
precondition for receiving a permit for development to be used to
provide or improve infrastructure related to the development itself.
Such fees may be used for water and sewer investments, roads,
construction or investments in public parks. For example, an
exaction fee for a mall or shopping plaza might be used for access
roads or other traffic improvements.
F
Fiscal Impact Analysis: An evaluation of the net public costs or
revenues associated with a specific development.
 G
Greenway: A corridor of protected open space that is managed for
conservation and/or recreation. Greenways follow natural land or
water features, like ridges or rivers, or human landscape features
such as abandoned railroad corridors or canals. They link natural
reserves, parks, cultural and historic sites with each other and, in
some cases, with populated areas.
H
Human Scale: The proportional relationship of a particular
building, structure or streetscape to human form and function.
I
Impact Fee: A fee imposed on development to finance the cost of
improvements or services impacted by the development. Impact
fees may be used for improvements or services on the
development site for roads or infrastructure, or off-site for public
facilities such as parks or schools.
Industrial Park: A tract of land that is planned, developed, and
operated as an integrated facility for industrial uses. In the
development of industrial parks special consideration is given to
transportation access and facilities, parking, infrastructure and
utility needs and, ideally, aesthetics.
Infill Development: The process of developing vacant or under-
used parcels within existing urban areas that are already largely
developed. Policies to encourage more infill—that is, to locate
more development within the urbanized area rather than on its
fringes—are advocated as a route to more efficient use of land
and existing infrastructure, preservation of open-space, decreased
cost of public services, and improved economic and social
conditions.
Intermodal: A transportation term, which refers to the moving of
products or people between places using more than one type of
transportation.
Intermodal Surface Transportation Efficiency Act of 1991
(ISTEA): Congressional initiative that restructured funding for
transportation programs. ISTEA authorized increased levels of
highway and transportation funding and an enlarged role for
regional planning commissions in funding decisions. The Act also
requires comprehensive regional long-range transportation plans
extending to the year 2015 and places an increased emphasis on
public participation and alternatives to the automobile. An
important hallmark of ISTEA was that it allowed highway funds to
be used for non-highway transportation projects.
ISO Certification: A family of standards approved by the
International Standards Organization (ISO) that define a quality
assurance program. Companies that conform to these standards
can receive ISO 9000 certification. This doesn't necessarily mean
that the company's products have a high quality; only that the
company follows well-defined procedures for ensuring quality
products.
J
Just-in-Time: An organizational system of production designed to
minimize the time and thereby associated cost between different
stages of production as well as between initial expressions of
demand and the delivery of goods or services. Just-in-time
principles and methods were first applied by Japanese car
manufacturers but have found wide application in other activities.
L
Land Trusts: Land Trusts are local, regional, or statewide
nonprofit conservation organizations directly involved in helping
protect natural, scenic, recreational, agricultural, historic, or
cultural property.
Level of Service: A description of traffic conditions along a
particular roadway or intersection. Level of service ranges from
“A,� which is the best, meaning a free traffic flow with
minimum intersection delays, to “F,� the worst, which is
characterized by traffic delays and crowded intersections.
M
Moratorium: The legally authorized delay of new construction or
development.
N
National Register of Historic Places: The official list,
established by the National Historic Preservation Act, of sites,
districts, buildings structures and objects of national significance or
of artistic or architectural value.
O
Operational Plan: The action component that flows from a
comprehensive or strategic plan.
Overlay: A zoning district that imposes additional requirements
above those required by the underlying zone.
P
Performance Standards: Criteria or limits that a particular use or
process, imposed upon a zone or use established by federal state
or local law, may not exceed. In general performance standards
apply to noise, vibration, water or air pollution or traffic.
Planned Unit Development (PUD): A land development project
comprehensively planned as an entity via a unitary site plan which
permits flexibility in building siting, mixtures of housing types and
land uses, usable open spaces, and the preservation of significant
natural features.
Point Source: A stationary source of a large emission, usually of
an industrial nature.
Population Projection: A value which is based upon a
computation of future changes in population numbers, given
certain assumptions about future trends in the rates of fertility,
mortality, and migration.
R
Rails-to-Trails: Rail-trails are multi-purpose public paths created
from former railroad corridors. Flat or following a gentle grade,
they can traverse urban, suburban and rural areas and may be
used for recreation and transportation. Rail-trails also serve as
wildlife conservation corridors, linking isolated parks and creating
greenways.
Retail Wheeling: The movement of electricity, owned by a power
supplier and sold to a retail consumer, over transmission and
distribution lines owned by neither one. A fee is charged by the
owners of the lines for letting others use them. This transaction is
called retail wheeling and a wheeling charge is levied for both
transmission and distribution line "rental."
Right-to-Farm Law: A state law or local ordinance that protects
farmers and farm operations from public and private nuisance
lawsuits. A private nuisance interferes with an individual's use and
enjoyment of his or her property. Public nuisances involve actions
that injure the public at large.
S
Sense of Place: The characteristics of a location that make it
readily recognizable as being unique and different from its
surroundings.
Sprawl: Although, there is no one single definition of sprawl is
may be briefly defined as dispersed development outside of
compact urban and village centers along highways and in rural
countryside. Some of the characteristics of sprawl include unlimited
outward extension of development, low-density residential and
commercial settlements, leapfrog development, fragmentation of
powers over land use among many small localities, dominance of
transportation by private automotive vehicles and widespread strip
commercial development.
Strategic Planning: A systematic process by which communities
can envision their future and create the appropriate steps given
local resources to achieve that future.
T
Taking: An illegal government appropriation of private property or
property rights. Traditionally, takings law has addressed physical
seizures of land, but regulations that deprive landowners of certain
property rights may also result in a taking in special circumstances.
Courts decide whether a particular government action constitutes a
taking.
Tax Increment Financing: A tax tool used to facilitate the
financing of larger development projects by capturing the property
tax revenue stream projected for the development and investing it
into improvements associated with the project.
Traffic Calming: A term describing any action or program that
reduces street traffic and slows down motor vehicles within
residential and local service areas for the purpose of making them
safer and more people-oriented. Examples of traffic calming
devices include speed bumps, small rotaries, the construction of
cul-de-sacs rather than grid iron roads in residential
neighborhoods.
Transfer of Development Rights: A program that allows
landowners to transfer the right to develop one parcel of land to a
different parcel of land to prevent farmland conversion. TDR
programs establish "sending areas" where land is to be protected
by agricultural conservation easements and "receiving areas"
where land may be developed at a higher density than would
otherwise be allowed by local zoning. Landowners in the sending
area sell development rights to landowners in the receiving area,
generally through the private market. When the development
rights are sold on a parcel, a conservation easement is recorded
and enforced by the local government. In some cases, the local
government may establish a "TDR bank" to buy and sell
development rights. The development rights created by TDR
programs are referred to as transferable development rights
(TDRs) or transferable development credits (TDCs).
 U
Urban Growth Boundary: A theoretical line drawn around a
community that defines an area to accommodate anticipated
growth for a given period of time, generally 20 years. Urban
growth boundaries are a growth management technique designed
to prevent sprawl. They are often used to guide decisions on
infrastructure development, such as the construction of roads and
the extension of municipal water and sewer services.
V
Variance: A permission granted from the appropriate town or
municipal authority to depart from the literal requirement of a
zoning ordinance.
W
Wetlands: An area saturated by either surface or groundwater
sufficient to support vegetation adapted for life in saturated soil
conditions. In most cases filling or dredging wetlands, usually for
development purposes, is prohibited under existing state and
federal laws.
Z
Zoning: The delineation of districts and the establishment of
regulations governing the use, placement, spacing and size of land
and buildings.