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THE GREAT LAKES

OF THE

UNITED STATES AND CANADA

A Reader On
Management Improvement Strategi

US Department of Commerce
NOAA Coastal Services center Library
2234 South Hobson Avenue
Charleston, SC 29405-2413

I , 19 7 4
HD1694
7-
A2
1974

THE GREAT LAKES OF THE UNITED STATES AND CANADA

A Reader On
Management Improvement Strategies

Editors
Leonard B. Dworsky - Professor, Civil Engineering and Director, Water
Resources and Marine Sciences Center, Cornell University

Charles F. Swezey - Executive Officer--Canada-United States Inter-University
Seminar, Cornell University*

The Reader is based on the report of the Canada-United States Inter-University
Seminar, "A Proposal for Improving the Management of the Great Lakes of
the United States and Canada."
And Papers Prepared By

James A. Burkholder Natural Resources Management in the
Great Lakes Basin
Dale Reynolds An Information System for the Management
of Lake Ontario
Arvid L. Thomsen Participation in Water and Land Management
Lawrence W. Saunders Toward a National Population Redistribution
Policy: Some Policy Issues
Donald R. Kisicki Environmental Management of the Great
Lakes International Boundary Areas: A
Case Study of the Niagara Urban Region
James M. Wolf Land Management in the Lake Ontario Basin
Douglas M. Carlson Management of the Biological Resources of
the Lake Ontario Basin

In Collaboration With

David J. Allee - Professor, Agricultural Economics and Associate Director
Water Resources and Marine Sciences Center, Cornell University
Charles D. Gates - Professor, Environmental Engineering, Cornell University
As Part of A
Great Lakes Experimental Operations Office
Established By The
Cornell University Water Resources and Marine Sciences Center

*Charles F. Swezey, currently Coastal Zone Ecologist, Office of Coastal
Environment, National Oceanic & Atmospheric Administration, Rockville,
Maryland

TABLE OF CONTENTS

Page

FORE!1ORD I

PART ONE - Improving the Management of the Great Lakes

INTRODUCT10N 6

CHAPTER I The Institutional Problem 11

CHAPTER II The International Joint Commission 33

CHAPTER III The Search for Institutional Improvements 56

CHAPTER IV initiatives for Action 76

PART TWO - An Experimental Operations Office

INTRODUCTION 119

CHAPTER V A Reorganization Plan 121

CHAPTER VI A Great Lakes Basin Information System 165

CHAPTER VIa - Case Study: Economic Data and Information 195

CHAPTER VIb - Case Study: Water Quality Data and Information 228

CHAPTER VII - Public Participation 262

CHAPTER VIII - The Lake Ontario Fishery 295

CHAPTER IX - Outdoor Recreation 320

PART THREE - Special Problem Areas

CHAPTER X Land Use 334

CHAPTER XI The Niagara Frontier: Problems and Opportunities 361

CHAPTER XII - Population Distribution 396

BIBLIOGRAPHY 478

LIST OF TABLES

Page

I Resource Manaqement Problems Classification 62

2 Relationships of Uses and Formats of Information 189

3 Example of Economic Base Study Information 197-198

4 New York State LUNR Inventory Categories 208

5 Water Quality Parameters measured by the Environmental
Protection Agency 2'Ll

6 First Observation of Three Exotic Fishes in the Great Lakes 299

7 Commercial Catch in Lake Ontario 303

8 Demand for Selected Water-Uriented Outdoor Recreational
Activities 324

9 Metropolitan Toronto ana Region Transportation Study 348

10 Membership of Regional Council 370

11 Regional and Local Functions of RMN 371-372

12 Persons by Poverty Status, by Type of Kesidence - 1969 410

13 Unemployment Rates of Persons Over 16 years, by Major
Industry Group 426

14 Median Income for Males 25-54 years of age, by years of school
completed, 1968 and 1959 427

LIST OF FIGURES

Page

I Generalized Information System Model 169

2 Ontario Development Regions 216

3 Major Industrial and Municipal Waste Loadings to
Lake Ontario 251

4 Trends in Canadian Commercial White Perch Catch 305

5 Trends in Canadian Commercial Yellow Perch Catch 306

6 Regional Location of Study Area 363

7 The Niagara Frontier 365

8 Demographic Perspective of 20th Century U.S. 398

9 Birth, Death, Marriage and Divorce Rates - 1920-1970 399

10 Total Fertility Rate 400

11 U.S. Population Growth - Past and Projected 401

12 Population Changes in Metropolitan Areas, By Race:
1950-1960 and 1960-1970 4n7

13 Average Annual Net Outmigration from the Farm Population 412

14 Occupied Substandard Housing Units By Metropolitan Residence 418

15 Percent of Occupied Housing Units Outside Metro Areas
Without Complete Plumbing, 1970 419

Preface

In March and May, 1 973 the subcommittee on Inter-American Affairs

of the House of Representatives Foreign Affairs Committee held hearings

on the Great Lakes Floods of 1973. It was clear from the testimony

of the public and many members of Congress that flooding caused by high

lake levels was not the only matter of concern. Much interest was

expressed about the way decisions are made to manage the Great Lakes

over a wide array of problems. The role of the International Joint

Commission, established by the Boundary Water Treaty of 19U9 between

the United States and Canada, was also examined.

An important contribution to these hearings was the report of the

Canada-United States Inter-University Seminar on the Management of the

Great Lakes and other reports published by the Cornell University Water

Resources and Marine Sciences Center in collaboration with the Office

of Water Resources Research, U.S. Department of the Interior and the

New York Sea Grant Program.

This Reader, based upon the Sub-committee hearings and the Seminar

and other reports, is an important reference for members of Congress,

and should be useful to Federal, State and local officials in the Great

Lakes Region and to others concerned about the future of the Great Lakes.

We are in need of a stronger public dialogue about how the Great Lakes

are to be managed to meet current and emerging problems, and this Reader

will contribute importantly toward effective discussion.
A@4@ q6144@
Dante B. Fascell
Member of Congress and Chairman
Sub-committee on Inter-American Affairs
Committee on Foreign Affairs
U.S. House of ReDresentatives

Foreword

Canada and the United States meet at a boundary line that stretches

across the continent from the Atlantic Ocean to the Pacific Ocean for a

distance of 3500 miles. In terms of population and industrial activity,

the most important segment of that long international boundary is the

Great Lakes section which extends from the northwestern shore of Lake

Superior to Cornwall, New York, a span of some 1400 miles. The Great

Lakes and their connecting waterways form the largest group of lakes in

the world. It is in the Great Lakes Basin that the huge urban and

industrial complex of the north central United btates adjoins the most

populous and most productive region of Canada. Although the Basin is

bisected by a political boundary line, the geographical relationship of

these Canadian and U.S. urban/industrial centers, results in a substantial

regional interaction, irrespective of national boundaries. The Canadian

and U.S. citizens living and working in the Great Lakes region share in

the benefits derived from a highly productive economy sustained by the

most important system of inland water transportation in the world.

While significant economic progress has been achieved in the Great

Lakes region, such progress has not been without social and environmental

costs. It has been amply demonstrated in recent years that the other

side of the development coin is environmental degradation, natural resource

depletion and land use mismanagement. One well-publicized manifestation

of this phenomenon is the serious deterioration of water quality in the

Great Lakes. Municipal and industrial pollution of the waters of the

Great Lakes has been a long-standing problem with government concern

dating back to 1912. Government awareness and interest notwithstanding,

the plain fact of the matter is that the water quality problem persists

and grows. It would be unfair to assert that nothing has been done, but

it would be negligence of a high order to suggest that what has been done

has been adequate.

Water quality is not the only resource management problem facing the

people of the Great Lakes region. Other facets of the resource management

picture include: lake levels, industrial and municipal water supply,

navigation, water-based recreation, shoreline protection and development,

hydropower and fish and wildlife protection. There are other concerns,

but these, along with degradation of water quality, are the main ones.

It is important to take note ot the fact that these various facets of the

total problem are all interrelated. Lake levels affect navigation,

hydropower capacity and shoreline use; industrial and municipal dumping

of wastes interferes with the supply of water for industrial and muni-

cipal purposes, not to mention recreational use and shoreline development;

navigational facilities compete with other uses including water-based

recreation and alternative shoreline development; and fish and wildlife

are threatened by pollution and by uncontrolled use of wetlands and

shorelines. This is the barest suggestion of the problem; the actual

interrelationships are far more complex.

In national terms the need for governmental action and involvement

in resource planning and management has been recognized by some for many

years. The heart of the problem for both countries seems to have been

until recent years a definite reluctance on the part of both governments

to organize more effectively for water and land resources management.

The situation appears a little brighter in Canada as the result of recent

cabinet reorganization at the federal level and similar actions by the

Ontario Government.

For the United States, too, the situation seems to be improving. A suc-

cession of administrations since the days of Theodore Roosevelt has sought

to bring a semblance of order to the exploitation of the country's resources

by, among other things, establishing a separate Federal department for

natural resources or a similar national-level coordinative mechanism. While

major institutional changes have not met with agreement in the U.S.,

significant improvements are reflected in the establishment since 1965 of

such instrumentalities as the Federal Water Resources Council, the Great

Lakes Basin Commission, and the Environmental Protection Agency. On the

international level, the creation in 1972 of the joint Great Lakes Water

Quality Board was a definite step forward.

Progress, however, has not kept pace with resources management needs.

The story is a complicated one, and it has often been defined in terms of

the advantage enjoyed by influential special interests, public and Drivate,

over the diffused public interest. More fundamental, perhaps, has been

the lack of effective action to impress on legislative bodies and executive

agencies the urgency of creating improved instruments to strengthen the

management of our natural resources. Unusable water and air and insufficient

or costly fuel for home and car have a way of sensitizing even the most

unconcerned citizen and, in recent years, a refreshing surge of awareness

on the part of government and the public has occurred.

The objective of this book is to stimulate public interest and

debate on ways in which the management of the Great Lakes of the United

States and Canada can be improved to attack current problems and be better

prepared to meet those of the future. The central concern here is on the

institutional factors that affect the management of the land, air, and

water resources of the Great Lakes region. The existing resources

management problems are described and a number of recommendations on

alternative management strategies is presented.

This volume is a synthesis of work done at Cornell University and

in collaboration with other Great Lakes Basin universities in the United

States and Canada during the years 1971-1973. This study was carried out

in a coordinated manner. The first was a faculty group representing some

twenty universities in Canada and the United States which examined the

problems and alternatives of managing the resources of the Great Lakes.

The work of this group was supported by the Office of Water Resources

Research of the U.S. Department of the Interior. The considerations and

recommendations of this joint faculty group are the subject of Part I of

this volume that we have chosen to call A Reader on Management Improvement

Strategies. The second concerted effort to focus on Great Lakes problems

was carried out through directed graduate research at Cornell University

under the guidance of faculty members who were at the same time actively

involved in the joint Canada-United States faculty group (Dworsky, Gates

and Allee). The graduate student effort concentrated on some selected

major management issues of the Great Lakes Basin. This work, which

was supported by the Office of Water Resources Research and the Corps of

Engineers, has been edited and revised by the authors to form the ten

chapters of Parts II and III of this Reader.

The reason this compendium was assembled was to provide specific

information in order to focus the attention of concerned persons on some

of the more important issues relating to the management of the Great Lakes.

The Reader should serve as a useful guide to discussion by graduate ane

undergraduate student groups and their instructors; by national and local

citizens groups; conservation organizations; environmental organizations;

civic groups; and other public and private organizations; and by legi'slative

and executive agencies in local, state/provincial and national govern-

ments.

The information in this book deals with the problems and opportunities

associated with resource management in the Great Lakes region. Whereas

the governmental machinery of both countries is now being reorganized in

an effort to meet, in more adequate way, today's challenges in the field

of resource management, the Great Lakes region, because of its binational

character, represents a somewhat more intractable problem. Without

waiting for federal reorganization, advances are now being made by various

existing organizations toward the improvement of resource management in

the Great Lakes Basin. However, there is the need now to consider the

opportunities associated with the establishment of some form of integrated

management of these efforts. In particular, there is need to examine the

nature of the arrangements for a joint Canada-United States body that

could carry out a range of responsibilities with regard to certain lake

management problems of concern to both countries.

PART ONE

IMPROVING THE MANAGEMENT OF THE GREAT LAKES

INTRODUCTIUN PART I

The thesis developed in Part I is that the heart of the problem

of managing the land, air, and water resources of the Great Lakes

region lies in institutional (organizational) inadequacies on both sides

of the international!.bor(ter and that a strengthening of present insti-

tutional arrangements is a matter of considerable urgency. It provides

a.detailed summary of a study carried out in 1971-1972 by a group of

university faculty members from some twenty U.S. and Canadian educational

institutions located within the Great Lakes Basin. The report of this
study was publishe .d in 1973.1 This effort by the Canada - United States

University Seminar focused on the institutional problems of resource

management in the Great Lakes Basin and recommended, among other things,
a substantially strengthened International Joint Commission 2 or, as

the alternative, a new treaty organization vested with broad authority.

Thus, Part I provides an overview of the problem as well as some possible

solutions. It also provides the necessary backdrop for the succeeding

Parts II and III which examine in detail some of the major considerations

that the designers.of a revised or new joint body would be obliged to

address, namely: general structure and scope of authority; the develop-

ment of an effective in-house information collection and interpretation

capability; provision for public participation in the decisions affecting@

resource-use; and, finally, the special problems associated with water

quality, fish and wildlife,.unplanned urban development and international

frontiers.

During the period ot December 1971 to June 1972, faculty members

from about twenty universities and colleges in Canada and in the

United States met to explore ways in which the institutional structure

for the management of the water and land resources in the Great Lakes

Basin might be strengthened to the mutual advantage of both countries.

Approximately thirty faculty members were invited to participate,

with nearly equal representation from each country. In addition, some

thirty government representatives were also invited to attend the

Seminar meetings. The Seminar participants carried out their tasks

in three general meetings and in working sessions of a planning

group between the regular sessions. The first full meeting was held

in December 1971, at York University, Toronto, Ontario; the second

in March 1972, at Cornell University, Ithaca, New York; and the

third again at York University in June 1972. The work of the planning

group continued throughout 1972 to bring the Seminar report to

completion.

The undertaking of this Canada-United States University Seminar

in a sense reaffirmed the growing cooperation between Canada and the

United States on Great Lakes problems. Participants recognized the

progress and positive contributions being made in biophysical research

on the lakes, as exemplified by the International Field Year on the

Great Lakes (IFYGL) which became operational in the spring of 1972,

and by the studies carried out under the aegis of the International

Joint Commission on Great Lakes water pollution.

The rationale behind the selection of the inter-university approach
was based on the present direction of research on the Great Lakes. Current
research on the Great Lakes Basin is heavily oriented toward investigations
of physical and biological phenomena with a conspicuous gap in research
in the fields of natural resource management, institutional (organizational)
arrangements and public policy with respect to the Great Lakes. One reason
for this imbalance is that the lakes are shared by two countries, a fact
that inhibits joint, comprehensive investigations of the social, economic,
and political environments of the Great Lakes Basin. Governmental and
regional agencies of each country are understandably reluctant to undertake
investigations of matters directly involving the interests of the other
country. The International Joint Commission (IJC) is the only currently
available mechanism providing a framework for such joint research ventures;
however, the IJC has been infrequently utilized for those purposes. In
view of these realities, there seemed to be a role for the universities
in filling this research hiatus. There was a firm belief on the part of
the organizers and the participants of the seminar that an open, binational
forum concerned with the problems of Great Lakes management was needed
as a contribution to better public understanding of the current situation
and to provide some guidance to future developments.
The Canada-United States University Seminar took up the question of
improving the two countries' capabilities for managing the water and related
land resources of the Great Lakes. A principal objective of the faculty
group was to produce a report which would promote discussion in both
countries on the problems of the Great Lakes. Another purpose was to
set forth in general terms the available alternatives for improving the
management of the water and related land resources of the Great Lakes
Basin.
The Seminar participants were also cognizant of the negotiations
then taking place between the two countries to strengthen the hand of
the International Joint Commission in controlling transboundary water
pollution. Those negotiations resulted in the 1972 Agreement on Great

Lakes Water Quality which established for the first time common and
specific water quality objectives for the Great Lakes and provided for
joint programs to achieve the objectives.
While acknowledging these real accomplishments, the Seminar at the
same time felt it was necessary to ask what else had to be done. The
rates of population growth, urbanization and industrialization in the
Great Lakes Basin, especially in the lower lakes, are leading to even
more intensive use of the water and associated land resources, and the
generation of even more problems and conflicts of interest among resource
uses and users. Above all, they reveal the desirability of exploring
how some of these problems might be anticipated and acted upon before
they reach crisis proportions. The scope of attention would then have
to go beyond cooperation on controlling transboundary water pollution and
joint efforts on water research. But how far, and in what way? These
were the central questions posed to the Seminar.
The methodology used by the Seminar included the following tasks
(1) identification of the resource management problems of the Great Lakes
Basin; @2) examination of existing organizational forms; (3) review of
previous research efforts on institutional arrangements; (4) analysis of
the International Joint Commission; (5) review of the current limits of
joint authority with respect to the management of the international Great
Lakes; (6) development of the general features of a new joint institutional
arrangement and finally; @7) development in general terms of the available
alternatives for improving the management of the water and related land
resources of the Great Lakes Basin.
The three plenary meetings of the Seminar each followed approximately
the same pattern. Working groups were formed and met simultaneously to
consider the original working papers and two subsequent reformulations of
those papers. The varying views of the working groups were considered in
these full sessions and in post-c.onference meetings of the Planning
Secretariat. The objective was to produce a report which would offer a
carefully considered set of policy options on the joint management of the
water and related land resources of the Great Lakes Basin.

Resource Management: Definitions
The term "resource management" or some variation thereof are frequently
used.* Some definitions seem to be in order at this point.

First, "resource management" means "natural resource management."
Second, a distinction is made between the terms 11resource management" and
Itenvironmental management." Resource management is the larger concept.
It encompasses public and private sector decisions and actions directed
toward the fairest and most efficient allocation of all our natural resources
(water, land, air, mineral and energy resources). Environmental management
is an important and integral part of resource management; however, it is
viewed more as an organized activity designed to protect and preserve. This
function is concerned with such things as preserving ecological systems,
preventing abuse and depletion of natural resources and protecting and
enhancing the air, water and land environments for health and esthetic
reasons. Another way of stating the difference in resource management is
analogous to the proposed U.S. Department of Energy and Natural Resources,
whereas the analog of environmental management is the U.S. federal Environ-
mental Protection Agency.
Another term used is "water resource management." The term encompasses
public and private sector decisions and actions directed toward the
fairest and most efficient allocation of the water resources of the Great
Lakes region, irrespective of national boundaries. In this region water
resource considerations obviously predominate. The Canada-United States
University Seminar identified 15 different concerns or problems in the
overall resource management picture of the Great Lakes region. Out of that
number, 11 are directly related to water resource management. They are:
water quality, municipal and industrial water supply, agricultural water
supply, lake level control, hydropower, flood control, navigation, shoreline
protection and development, fish and wildlife protection, water-based
recreation and solid waste disposal (shoreline dumping). Adding the remaining
four resource management problems (air quality, urban and industrial land
use, agricultural land use and land transportation) completes the set of
resource management problems of the Great Lakes region initially considered
by the seminar.
The first four chapters, which comprise Part I, consider the insti-
tutional problems in the Great Lakes region, assess the International Joint
Commission and its work, identify some viable resource management alternatives,
and describe public actions that have taken place partly or wholly
attributable to the activities of the Seminar and its report.

CHAPTER I

THE INSTITUTIONAL PROBLEM

D.espite the great difference in population, Canada and the United

States are strinkingly similar and are beset by many of the same problems.

With only one-tenth the U.S. population, Canada encompasses a total land

and freshwater area larger than the United States. The important fact,

however, is that this smaller population is quite concentrated. Over 60

percent of Canada's population and 80 percent of the industrial production
are found on the southern Ontario peninsula and along the St. La@rence

River. Thus, the Canadian portion of the Great Lakes region includes the

wealthiest and most populous part of the country. The urban conurbations

and industrial centers in this part of Canada are all but indistinguishable

from their U.S. counterparts ringing the southern shores of the Great Lakes.

This-means that the kinds of problems confronting state, municipal and

local governments on the U.S. side are in most cases identical to those

facing provincial, municipal and local governments in Canada. For both

countries, the Great Lakes region is a dynamic one undergoing rapid popula-

tion growth and industrial expansion. As population increases, industry

and agriculture expand and resource consumption increases; and the residuals

of production and consumption place ever greater stresses on the environ-

ment. The effects of these stresses are beginning to appear in the

Great Lakes region with increasing frequency.

Institutional Inadequacies

-h America the related problems of resource allocation and
In Nort

environmental quality are now taking their rightful place in the arena

of public issues. Citizens are now applying pressures on their govern-

ments as a means of defending certain values that had lesser priority in

earlier years. While recognizing that a beginning has been made, the

facts of the matter are that we are not managing well our natural

resources and, in the face Of increasing pressures, progress will

continue slowly and haltingly, unless the requisite political will

for some fundamental changes erierqes.

There are a number of common factors that account for our inability

to respond more effectively to the challenges of managing not only, our

water and land resources, but other social problems as well. A listing of

a few of the more significant factors hindering resource management would

include: the diffused public interest; differing views about national

priorities; inadequate legislation and enforcement; special interest

politics; fragmentation of responsibilities within and among governments;

organizational jealousies; and lack of understanding of man-environment

relationships. These elements operate individually and jointly in

ways that seriously impede public programs that are designed to yield

effective management of our resources.

There is, however, a specific and fundamental contributive factor

and that is our failure to establish an institutional structure adequate

to meet current and future challenges. In the Great Lakes study by the

Canada-United States University Seminar this was identified as the under-

lying basic deficiency.

The institutional problem is defined as that of determining what

kinds of government organizations are needed and how these organizations

should be related to each other in order to achieve the most effective

management of the natural resources of the Great Lakes region at the

lowest posible economic, political and social costs.

There is, of course, an existing institutional apparatus for managing

the Great Lakes involving all levels of government in both Canada and-the

United States. This present structure, however, is not the product of any

carefully devised United States - Canadian long-term plan for the Great

Lakes region. On.the contrary, the present mix,of governmental departments,

agencies, boards and commissions evolved over the years at a rate, and to

an extent, that was determined by the ever-changing limits of political

feasibility in each country. In its present state, we consider the present

mix of institutions inadequate and in need of fundamental revision.

Doubtless many of the other obstacles to improved management of the

region could be reduced with a widespread consensus in both countries

to spend the money and to make the other sacrifices that the improved

management of our natural resources wi.11 require. The'advent of such

a consensus however, will not lead automatically to a solution of the

institutional problem which, in our view at least, is the sine qua non

to achievinq improved resource management in the Great Lakes Basin. Such

general agreement must also provide for the establishment of an effective

government organization that can assist society in reaching its objectives

with respect to water and land resources. Unless the institutional problem

is successfully confronted, a consensus to act decisively could result

in the wasteful expenditure of large sums of public monies and resources

and a net social gain far below that which could have been expected

from a better designed governmental structure.

In summary, the rigidities of present institutional arrangements

are blocking progress toward the efficient use of our resources. Canada

and the United States.must act now, individually and jointly, to remove

these obstacles if the resources of the Great Lakes region are to be

preserved and enhanced for this and future generations.

The difficulties of organizing governments to cope with resource

management problems on a national or regional scale are, of course, encount-

ered elsewhere than in North America. The matter is especially acute

in the industrialized countries. It is an international problem in at

least two important ways. First, while every country is faced with its

own unique set of resource management or environmental problems, no

country has developed as yet an effective institutional apparatus for

dealing with them. Second, certain resource/environmental problems

are transnational and even intercontinental in scope, in that certain

acts or the failure to act on the part of one country may affect adversely

the citizens of one or more other countries.

The United Nations attempted to deal with these concerns when it

convened the United Nations Conference on the Human Environment in June

1972 in Stockholm, Sweden. It is of interest to note how far the Conference

was prepared to go regarding transnational or international water quality

issues. Recommendation 51 of the Conference is quoted as follows:

"It is recommended that Governments concerned consider the
creation of river-basin commissions or other appropriate machinery
for co-operation between interested States for water resources
common to more than one jurisdiction.

(a) In accordance with the Charter of the United Nations
and the principles of international law full consideration
must be given to the right of permanent sovereignty of each
country concerned to develop its own resources;

(b) The following principles should be considered by the
States concerned when appropriate:

(i) Nations agree that when major water resources
activities are contemplated that may have a

significant environmental effect on another
country, the other country should be notified
well in advance of the activity envisaged;

(ii) The basic objective of all water resource use
and development activities from the environ-
mental point of view is to ensure the best use
of water and to avoid its pollution in each
country;

(iii) The net benefits of hydrologic regions common
to more than one national jurisdiction are
to be shared equitably by the nations affected;

M Collection, analysis, and exchanges of
hydrologic data through some international
mechanism agreed upon by the States
concerned;

(ii) Joint data-collection programmes to serve
planning needs;

(iii) Assessment of environmental effects of
existing water uses;

Ov) Joint study of the causes and symptoms
of problems related to water resources,
taking into account the technical, economic,
and social considerations of water quality
control;

(v) Rational use, including a programme of
quality control, of water resource as an
environmental asset;

NO Provision for the judicial and administrative
protection of water rights and claims;

(vii) Prevention and settlement of disputes with
reference to the management and conservation
of water resources;

(viii) Financial and technical co-operation of a
shared resource;
(d) Regional confe5ences should be organized to promote the
above considerations."

These are modest objectives and guidelines vaguely drawn up,.. Th.,ey,

do endorse the concept of river basin commissions or the Ijke applied to

international situations. From the point of view of the Great Lakes Basin,

it can be said that all of the objectives and guidelines of Recommpn,44@jon-

51 and more are already provided for in the terms of reference of the

International Joint Commission as amended by the 1972 Great Lakes Water
Quality Agreement.4 It is, of course, too early to assess the validity

of this approach in the Great Lakes case. It was, however, the contention

of the Canada-United States University Seminar that machinery designed.

to cope with single aspects of the total set of water resource management

nroblems will prove to be deficient in important respects.

The United States Government, in preparation for the Stockholm

Conference, sponsored a study by the National Academy of Sciences (NAS)

on the subject of international institutional arrangements. The committee

formed to carry out the NAS study submitted its report, "Institutional.

Arrangements for International Environmental Cooperation" to the Academy
and thence the Department of State in the spring of 1972. 5

The NAS Committee endorsed the establishment of an environmental

unit within the United Nations supported by (1) the creation of "an

independent global environmental science advisory and research board to

provide scientific counsel to decision makers" and (2) the establishment

of a world fund - "to support the nonhousekeeping activities of the UN

environmental unit and to be administered by that unit to meet the costs

of catalyzing global environmental action."

In addition, however, the NAS Committee recognized the role of

national And regional organizations dealing with environmental problems.

The NAS group recommended "that the United States support current initiatives

by regional organizations wherever such arrangements are instituted to

address common problems of critical importance and where national capabilities

are inadequate to deal with them effectively." The NAS Committee viewed

regional organizations as filling a catalytic role as instruments to prod

global organizations into action. The committee suggested that the range

of management functions of such transnational or regional organizations

include: surveillance, planning, and mediation of disputes and regulation.

This set of functions happened to coincide precisely with those (surveillance,

mediation and control) developed by the Canada-United States University

Seminar. These functions are described later in Chapter III.

Finally, the NAS study conceived the institutional framework for

environmental management as consisting of three separate yet interdependent

levels: domestic agencies, regional or transnational entities,.and a

global unit within the UN system. The NAS study and, indeed, the Stockholm

conference itself demonstrated the concern of those who must think and

plan in global terms for the need to devise adequate institutional forms

for the management of the world's resources. The Great Lakes study

carried out by the Seminar, which is the starting point for this book,

is a case study of one such transnational resource management problem - the

Great Lakes.

Resource-Use Problems of the Great Lakes Basin

The Laurentian Great Lakes, which cover a total of about 95,000

square miles and drain an additional land area approximately twice as

large, rank among the largest bodies of fresh water in the world. The

Great Lakes, lying on or adjacent to the border between the United States

and Canada, are situated in the interior of the continent of North America.

A connected chain, they are drained by the St. Lawrence River which flows

northeast through the Province of Quebec to the Atlantic Ocean. The Great
Lakes Basin lies between the latitudes of 400 30' and 50030' north, and
between the longitudes of 700 30' and 930 10' west, thus covering a

maximum span of 690 miles north-south and 860 miles east-west. The

eastern limit of the Basin, near the end of Lake Ontario, is 600 miles

inland from the Atlantic Ocean as measured along the St. Lawrence River.

The western end of the Basin, near the west end of Lake Superior, is

nearly halfway across the continent from the Atlantic. Approximately

60 percent of the Great Lakes Basin is in the United States covering

parts of eight states with the remaining 40 percent in Canada spanning

part of only one province, Ontario.

The water and land resources of the Great Lakes Basin have encouraged

people and industry to locate in the region. It is here where the huge

industrial and population complex of the North-Central United States

joins the most industrialized and urbanized region of Canada. The Basin

as a whole has a present population of 36 million which is expected to

exceed 60 million by the end of this century. Demographers see the region

as an emerging binational megalopolis which by the year 2000 is projected

to contain over a third of the Canadian population and a quarter, of the
U.S. population.6

The effects of past population and industrial growth in the Great

Lakes Basin on that region's water and related land resources are well

documente'. There are serious water pollution problems in Lakes Michigan,

Erie and Ontario, and an emerging problem of asbestos fibers in Lake.

Superior; air pollution concerns in the Detroit-Windsor area and on

the Niagara Frontier; fishery resource depletion in all the lakes;

land use mismanagement associated with rapid industrialization and

urban growth, and energy development and other resource management

problems not necessary to detail here. These population and industriali-

zation pressures on the finite resources of the Basin are increasing

at an accelerating rate. Municipalities use the region's water for

dilution of waste, nuclear power plants use lake water as a coolant for

their reactors, and millions of people use the water environment for

diverse recreation pursuits. Shipping is dependent upon water, and

fish and wildlife require a natural ecosystem of which water is an

essential part.

The present proliferation and expansion of these uses are putting

considerable stresses on the physical limits of the water system of the

basin. Furthermore, many of these uses conflict not only with the

limitations of the resource, but also with other uses.

These systemic interrelationships notwithstanding, governments at

all levels in both countries continue to treat these water problems as

separate situations. Each of these major resources use areas has its

own special cluster of public agencies and private organizations defending

and promoting one use over the others. A competitive, special interest

milieu exists in which different users of the same resource often find
themselves working at cross purposes.7 In such a setting, public policy

decisions on competing water and land uses are seldom made using some

measure of net social benefit as the main criterion. In the Great Lakes

the situation is further complicated bythe fact that the waters are,

to a large extent, binational.

As a way of illustrating the current resource use situation in the

Great Lakes Basin,.five problem areas are briefly surveyed.

Water Quality

Lake Erie, the western end of Lake Ontario and thesouthern end of

Lake Mich.igan suffer from pollution in almost all its forms. Shoreline

dumping and municipal waste discharges are a problem in Lake Superior

and Lake Huron. The problems are by now well-researched and,publicized.

Furthermore, the problem of water degradation is not a new one. In the

_period 1912-1918, there was concer n by the Federal authorities in the

United States over Great Lakes pollution and infected water sources as they

affected the spread of typhoid fever. Government interest quickly faded,.

however, when that disease was brought under control by drinking water

purification processes and other advances in sanitary engineering. It

was not until 1 964 that the Canadian and United.States Governments moved

to investigate in an adequate way,pollution in the lower Great Lakes and
8
the international section of the St. Lawrence River. The corrective

measures recommended in that intensive study are only now being implemented

and correction of'the situation will require considerable additional time.

The basic causes of the serious water quality problems of the Great

Lakes are the same as those of other regions. They include: reluctance

of the federal governments to interfere in an area reserved by tradition

to the states and the provinces; inadequate enforcement authority (and lack

of will to enforce) on the part of the federal and state/provincial

pollution control agencies; a fragmented bureaucracy for regional planning

and natural resources management; lack of funds; excessive number of

political jurisdictions with overlapping authorities and responsibilities

and a lack of precedent and experience in area-wide waste treatment

management planning. This list is not complete, but it includes the more

important obstacles to an integrated approach.

In the Great Lakes region an additional obstacle is encountered. The

Great Lakes are shared (except for Lake Michigan) between two countries

and this fact tends to inhibit joint, comprehensive efforts whether they

be research undertakings, resource planning or clean-up of polluted air

and water. This inhibitive effect is not a permanent obstacle, but rather

a variable factor, inversely related to the determination of both countries

to cooperate on the Great Lakes. An example of this is the 1972 Agreement

between Canada and the United States, which has substantially increased

the prospects for meaningful cooperation on transboundary water pollution.

The crux of the problem appears to lie in institutional inadequacies

on both sides of the international border. While in recent years

policy-makers in Canada and in the United States have made visible progress

in improving the management of water, land, and environmental quality in

the Great Lakes Basin, unfortunately, the effect of this effort is some-

thing less than it could have been simply because of the dampening effects

of the existing fragmented institutional structure.

Fish and Wildlife

Concern over declining fish populations predates even the early,

albeit transitory, interest in controlling water pollution. No less

than 27 commissions and conferences since 1875 arrived at the same

general conclusion that little progress would be made in halting the

decline of fish populations in the Great Lakes until the fisheries were
9
subjected to uniform federal and international control. In 1955 the

10
two nations established under treaty the Great Lakes Fishery Commission.

The Commission was created primarily-'as a.response to the sea lamprey

problem. Its broader stated objective is to improve the quality,

abundance, and productivity of the fishery resources of the Great Lakes

for sport and commercial use.

While the Commission has had considerable success in controlling

the sea lamprey, neither the treaty nor the Commission has proved adequate

in dealing with the problems of habitat destruction on a large scale or

of the malevolent effects of pollution. Perhaps the major question

facing fish and wildlife management in the Great Lakes Basin is how they

may be protected against encroachment by competing and conflicting uses

of the lakes environment One example is the siting of thermal power

plants and the effects th at heat discharges have on aquatic life. Another

example is the current high demand for wetlands, particularly near urban

areas, as sites for construction projects or solid waste dispo sal. Ac-

celerated eutrophicationof wetlands caused by man can eventually destroy

them as nesting areas for waterfowl.

The basic deficiency in fishery management of the Great Lakes is that

the responsible public agencies are restricted to limited and narrowly

defined roles. Stronger public agencies working under internationally agreed

standards and objectives are required if the two countries are to achieve

effective fish and wildlife management in the Great Lakes Basin.

Lake Level Control

With their vast drainage area of 295,000 square miles, a third of

which is water surface area, the Great Lakes provide one of the best

naturally regulated systems of fresh water in the world. This is demon-

strated by the narrow range of variations in levels and outflows experienced

prior to the advent of any artificial regulation on the lakes. The

present ranges for monthly mean levels vary from 4.0 feet in Lake Superior

to 6.6 feet in Lake Ontario. These are long-term averages, however, and

they do not reflect periodic aberrations of high water (1951-1952) and

low water (1964) which can and did have serious adverse effects on certain

water users. High water during the winter of 1972-1973 again created

concern along the lake shores.

During these episodes, unusual pressures are directed at public

authorities to investigate the feasibility of further reducing lake level

fluctuations by constructing adjustable control works to regulate outflows

or by diverting water to or from areas outside of the Great Lakes Basin.

As a result of concerted efforts by many interests in both countries, the

Governments of Canada and the United States in 1964 requested the Inter-

national Joint Commission to undertake.a complete study of lake levels
and their possible control. 11 The IJC study on lake levels was

scheduled to be issued in late 1973.

The interests affected by variations in the levels and outflows of

the Great Lakes are considered in three general categories: the shore

property interests; the navigation interests; and the power interests.

Shore property interests are all public and private lands and developments

along the shorelines. It includes, among other things, cottages, water

recreation activities, domestic water supply and sanitation, port facilities

and industrial cooling water supplies. Shoreline interests are benefited

by a reduction in the range of stage since they are adversely affected by

extremes of both high and low levels. Navigation interests comprehend

the water problems of commercial shipping on and through the lakes and

connecting channels and include the related problems of recreational boating.

Generally, navigation is served best by high lake levels. Hydropower

interests are benefited by high water levels which help to ensure maintenance

of minimum flows as large as possible.

Under the most favorable conditions, lake level regulation rules

cannot ensure that each water user, throughout the system obtains the

levels and flows best suited to his particular needs. However, rules

are conceivable that would provide levels and flows that would result in

generally beneficial conditions without unacceptable adverse effects to
any interest. 12

The whole matter of regulation of the levels and outflows of the

Great Lakes cannot be other than international. Artificial control within

the lakes of the water supply which comes from both countries cannot be

undertaken without affecting the water use interests on either side of

the international boundary. Changes in outflows and levels will, of

course, have similar international effects. The binational nature of

lake levels and their effects was formally recognized in the 1909 Boundary

Water Treaty with its specific injunctions against unilateral diversions

and obstructions of boundary waters (Articles II through V).

Navigation

Waterborne commercial traffic on the Great Lakes has been a signigicant

factor in the economic development of the region. Low-cost water trans-

portation, coupled with the availability of adequate supplies of ore, coal,

water and electric power have been decisive considerations in the

location of such primary industries as the steel mills on Lakes Michigan,

Erie and Ontario. The major present concern of navigation interests in

the Basin relates to the modernization and improvement of this important

industry.

A construction program is underway in Canada to make improvements

on the Welland Canal and navigation channels of the St. Lawrence River. A new

$180 million eight-mile section in the Welland Canal which bypasses the

City of Welland was scheduled to be opened in 1973. The United States,

independently, has had under study for a number of years a U.S. canal

linking Lake Erie with Lake Ontario as a means of handling the anticipated

increase in waterborne traffic in future years.

Shipping interests of the Great Lakes of both countries consider an
extension of the present 250-260 day navigation season 13 on the Great

Lakes-St. Lawrence Seaway absolutely vital to the system's long term

viability and prospects for growth. The U.S. Congress in 1970 authorized

a $6.5 million, three-year, interagency study and demonstration project to

determine the feasibility of extending the Seaway season to a full 12
months.14 The results of this program thus far have indicated that an

increase of one month in the shipping season is not an unrealistic goal.

Safety and pollution control are additional concerns of shipping

interests and the regulatory public agencies. Dredging operations to

facilitate shipping have produced problems of dredging material deposition,

hydrologic change and modification of aquatic habitats. Control and

enforcement authority available to deal with these problems under the

water pollution control laws of both countries was, until quite recently,

complicated, time-consuming and, on the whole, ineffective. The enforce-

ment measures under the provisions of the U.S. Federal Water Pollution

Control Act as amended in 1972, and the recently strengthened measures

in Canada, provide improved opportunities for these aspects of water
pollution control, but are as yet to be fully tested.15

Changes in lake biology have resulted from waterway development.

The most notable of these changes was the introduction of the sea lamprey

into Lake Erie and the upper lakes after completion of the Welland Canal.

The Canal also permitted the alewife to circumvent Niagara Falls and
enter the upper lakes. 16

User charges have been an issue of major importance in the manage-
ment of the Great Lakes-St. Lawrence Seaway facilities.17 The Seaway

is the only navigation works in the continental United States for which

users are charged fees. The fee schedule in effect since the opening of

the Seaway in June 1959 sets a base toll of 4d per ton plus 40t per-

ton for )ulk cargo and 90t per ton for general cargo (no charge is currently

made for tonnage-in-transit). This original toll accord between Canada

and the United States expired in 1966 touching off a vigorous debate.

Atlantic and Gulf coast interests pushed for toll increases for the Seaway

while Great Lakes interests proposed a decrease or even elimination,

claiming that the tolls represented a discriminatory burden on the economies

of the Midwest. The proponents of a toll increase based their arguments

on the fact that during the first several years of operation, tonnage

volume moving through the Seaway system was considerably below original

(and overly optimistic) expectations and, consequently, debt repayment

schedules were affected. Great Lakes shippers, on the other hand, claim

that it is not at all certain that toll increases would in fact raise reve-

nues. The Canadian Government, which financed 71 percent of the original

Seaway construction, bears a correspondingly larger share of the long-term

debt and thus favors a modification of the toll accords to allow increases

in user fees at both the St. Lawrence and Welland locks. Great Lakes

shippers of both countries maintain opposition to increases, arguing that

current tolls already constitute a substantial portion (around 20 percent)

of their costs. The issue over tolls was ameliorated, at least temporarily,

when the U.S. Congress passed the Merchant Marine Act of 1970, which,

among other things relieved the St. Lawrence Seaway Development Corpora-

tion (U.S.) from payment of accrued as well as future interest charges
on the principal debt of the U.S. section of the Seaway.18 A favorable

trend for the Seaway system is the steadily increasing use of the waterway,

gross tonnage in 1971 rising to 53 million short tons, compared with the

estimated breakeven point of 42 millionl9 short tons per season. Nonetheless,

the toll issue remains and the mechanism that would be used in resolving

this difficult problem has not yet been devised.

Urban and Industrial Land Use

In the context of this brief discussion, "urban and industrial land

use" refers primarily to the effects of urban development and industrial

development on the use of the land resources of the Great Lakes Basin. It

goes almost without saying that the basic economic issue that must be

confronted by the people of the Great Lakes region is how best to allocate

the available water and land resources among competing uses and to resolve

the inevitable conflicts that arise as growth pressures continue to

increase in the region.

Water uses are interrelated; that is, each use affects in some way

each of the other uses. The allocation of water, and indeed related land

resources as well, involves a continuous series of trade-offs which seek

to meet agreed-on social objectives while reducing conflict. Economic

factors play a central role in this process; they provide a major

mechanism for working toward some mix of resource allocation which,

theoretically at least, will provide the maximum level of possible benefits

for the most people. Needless to say, there are great problems

associated with achieving these objectives through economic processes

alone. Political, social and institutional factors impinge on and influence

public decision-making processes, which, more often than not, produce

something far less than the optimal economic solution to public problems.

Another source of suboptimization in a purely economic sense is the inherent

problem of measuring all costs and benefits associated with the selection

of alternatives. Finally, there is the problem of measurement and

allocation of external costs, which, historically, have not been comprehended

in economic and political calculations. Much of the current concern

over the "environment" is a belated recognition of the inequitable

allocation of these externalities.

In spite of the difficulties involved, the problems created by

competing demands on finite public resources must be confronted economically.

They must be dealt with both in terms of external diseconomies as well

as traditional notions of costs. uonsideration should be given to ways

of introducing into the calculus of economic trade-off and compromise a

much higher level of non-market influence in order to protect the interests

of all sectors of the society. Natural resources and their allocation

should not be the exclusive concern of those particular groups possessing

the economic and political clout to exclude other sectors of society.

The increasing use of the courts, particularly in the United States in
response to the National Environmental Policy Act of 1969, 20 has yielded

some visible progress in restraining uncontrolled exploitation of our

key resources or unique places of natural beauty. It is a constant

struggle and one destined to become even harder fought in the future.

For all intents and purposes, economic development occurs in both

countries in response to market forces, limited in the most nominal

sense and in only some cases by government regulatory agencies (and even

then ofttimes not very well). Planned economic development as such does

not exist; neither Canada nor the United States subscribes to any concept

of a planned economy. Both countries, however, have evolved some
legislative tools (e.g., Employment Act of 1946) 21 and institutional

devices (e.g., Council of Economic Advisory in the U.S. or the Economic

Council of Canada) to guide their respective economies along certain

general lines, such as increased and sustained economic growth. In-

creasing Gross National Product, minimizing unemployment and controlling

inflation make up the essential elements of our respective national

economic policies. The states and provinces simply endorse this growth

policy as the generally accepted economic goal.

While most urban development still takes place without benefit of

effective planning, a widespread planning institutional base has been

established in both Canada and the United States. Recent legislative

activity in the U.S. proposes stronger government land control policies

and this issue is becoming more urgent in Ontario largely as a result

of the urbanization in the lower Great Lakes. There are some good

instances of land use planning at the provincial level, for example, the
Toronto Centred Region 22 and in other regional studies by the Province

of Ontario. Land use planning experience in the United States has been
strengthened by programs in Hawaii 23 (Land Use Commission), Vermont 24
(Environmental Control Law and Environmental Board), Wisconsin 25

(shoreland protection program under the State Water Resources Act of
1966) and in New York'State 26 (Agricultural Districts). (See Bosselman

and Callies, The Quiet Revolution in Land Use Control, a comprehensive
study of the subject prepared for the Council on Environmental Quality.) 27

Summary

In the Great Lakes Basin, a number of contradictory trends can be

seen. One is the past, and perhaps even present, trend toward the

increasing misuse of air and water for waste disposal. At the same time

there is a rapidly increasing demand for water of improved quality for a

host of urban needs and also for the health and aesthetics of recreati.on.

There is an increasing desire to use the shoreline for recreational

purposes yet simultaneously in the same areas there are pressures for

industrial and urban development. There are increasing demands to use

the Great Lakes for a major shipping route; to use more of the water

for industry, for irrigation and for power station cooling; to use

more of the water for waste disposal; and to use more of the shore for

more complex uses. In short, we are imposing on the Great Lakes a

great number of intensely conflicting demands. This situation calls for

a very complex and carefully devised planning system in both countries

which together must deal with the total Basin.

Development planning on a joint basis is now a prerequisite to

intelligent and efficient management of the resources of the Great Lakes

Basin. This does not mean that Canada and the United States need to

march in lock-step. It would suffice if they could be persuaded that the

mutual interest is best served by proceeding in cooperation to correct

the present wasteful and uncontrolled manner in which the resources of

the Basin are used.

In summary then, the present state of affairs in the Great Lakes

Basin is as follows: The water and related land resources of the Basin

although extensive are nonetheless finite. The region is an emergent

megalopolis and the growth processes have already begun to tax severely

the resources of the Basin. Resource-use gravitates to the politically

strong, and public policy decisions on competing uses are seldom made

using net social benefit as the main criterion. A Great Lakes regional

approach is required but as yet does not exist. Responsibility in the

government sector for resource management is seriously fragmented and a

functional, reactive approach currently predominates. Multiple political

jurisdictions, especially on the United States side of the border, com-

plicate efforts to improve resource management in the Basin. The negative

effects of overlapping jurisdictions are sharpened because of the fact

that two nations share the same resource system.

CHAPTER II

THE INTERNATIONAL JOINT COMMISSION

The International Joint Commission (IJC) was of particular interest

to the Canada-United States University Seminar study because it is at

present the main institutional vehicle through which Canada and the United

States cooperate in attacking Great Lakes problems. This chapter reviews

the responsibilities and activities of the IJC with a special focus on

the Great Lakes region.

Structure and Principal Functions

The only existing formal arrangement between the United States and

Canada broad enough in scope to permit comprehensive joint action on

resource-use problems of the Great Lakes Basin is the International Joint
Commission (IJC). 28 The Commission was formed in 1912 29 to carry out

the purposes of the Boundary Waters Treaty of January 11, igng, which

are: "...to prevent disputes regarding the use of boundary waters and

to settle all questions which are now pending between the United States

and the Dominion of Canada involving the rights, obligations or interests

of either ... along their common frontier, and to make provision for the
adjustment and settlement of all such questions as may hereafter arise." 30

The Commission consists of six members, three from each country.

The United States Commissioners are appointed by and serve at the pleasure
of the President.31 The appointment of U.S. Commissioners is not subject
to Senate confirmation. 32 The Canadian Commissioners are appointed by

Order in Council of the Canadian Government and serve at the pleasure
of the Government. 33

The 1909 Treaty gives the Commission responsibility in two general

categories.

The first of these responsibilities is to approve or disapprove of

all proposals for use, obstruction, or diversion of boundary waters on

either side of the boundary which would affect the natural level or flow

of the boundary wat-ers on the other side. Examples in the Great Lakes

system include the regulating works at Saulte Ste. Marie, those on the

St. Lawrence River as well as numerous private dams constructed by

industrial firms that might affect the natural state of the boundary

waters. These projects are brought before the IJC by what are termed
11applications," 34 filed by interested public agencies or private cor-

porations or individuals.

The second general responsibility of the IJC - which is becoming

the major work of the Commission - is to investigate and make recommendations
on specific problems referred to it by either or both Governments. 35

It is under this provision of the treaty that requests - or "references" -

by the two governments have been made on such varied subjects as water

pollution, air pollution, regulation of the levels of the Great Lakes,

preservation of the American Falls at Niagara, and others.

In the case of an application, the burden is on the applicant to

furnish all necessary information and data required. Interested persons

may intervene in support of or in opposition to the application. This

is followed by public hearings usually on both sides of the boundary,

after which the Commission issues an "order" concerning the proposed
project, which is final. 36

In the case of references, the procedure is different. The

Commission appoints an international technical board which is directed

to make a thorough investigation of the facts involved and file a

written report with the Commission. The IJC then publishes the board

report and schedules public hearings. The Commission then prepares

its report to the two Governments. Neither Government is bound by
the reports or recommendations of the Commission. 37

As of December 1972, the Commission had recorded a total of 95
actions, including 58 applications and 37 references. 38 Of that total,

26 actions pertained in some way to the water, land or air resources of

the Great Lakes Basin (see chronological summary).

The Commission carries out its varied responsibilities through

a series of permanent and ad hoc boards. As of December 1972, the

Commission had under it 13 boards of control, seven boards of

investigation, and eight surveillance boards. This does not include the

new Great Lakes-Water Quality Board established by the Commission

pursuant to the Great Lakes Water Quality Agreement signed by the two
countries in April 1972. 39 The new Water Quality Board will be the

instrument through which the Commission will carry out its role in
controlling transboundary water pollution in the Great Lakes. 40

CHRONOLOGICAL SUMMARY OF ACTIONS OF THE INTERNATIONAL JOINT COMMISSION
IN THE GREAT LAKES BASIN

Docket No.
1912-1920 4-1912 POLLUTION GREAT LAKES
5-1912 NAVIGATION DETROIT RIVER
6-1913 LAKE LEVEL ST. MARY'S RIVER DAM
8-1913 LAKE LEVEL ST. MARY'S RIVER DAM
13-1916 FLOW REGULATION ST. CLAIR RIVER
14-1918 HYDROPOWER, OGDEN ISLAND
15-1918 HYDROPOWER-FLOW REGULATION MASSENA WEIR
17-1920 HYDROPOWER-NAVIGATION ST. LAWRENCE RIVER (aborted treaty)
1920 END OF REFERENCE #4 - NO ACTION

1921-1930 21-1925 BRIDGE FORT ERIE-BUFFALO
24-1928 HYDROPOWER-FLOW REGULATION MASSENA WE] R

1931-1940 No references or applications received.

1941-1950 54-1946 POLLUTION CONNECTING CHANNELS, LAKES
SUPERIOR, HURON & ERIE
55-1948 POLLUTION CONNECTING CHANNELS, LAKES
ERIE & ONTARIO
61-1949 AIR POLLUTION WINDSOR-DETROIT

1951-1960) 64-1950 UNIQUE RESOURCE PRESERVATION NIAGARA FALLS
67-1952 LAKE LEVELS LAKE 0NTARIO
68-1952 HYDROPOWER-NAVIGATION ST. LAWRENCE RIVER

1961-1970 74-1961 FLOW REGULATION NIAGARA FALLS
75-1961 FLOW REGULATION NIAGARA FALLS
78-1963 FLOW REGULATION NIAGARA FALLS
82-1964 LAKE LEVELS GREAT LAKES
83-1964 POLLUTION GREAT LAKES
85-1966 AIR POLLUTION PORT HURON-SARNIA DETROIT-WINDSOR
86-1967 UNIQUE RESOURCE PRESERVATION NIAGARA FALLS
88-1968 DI VE RSI0N LAKE ST. LAWRENCE

1971- 94-1972 POLLUTION LAKES SUPERIOR & HURON
95-1972 LAND USE POLLUTION GREAT LAKES REGION

Some Observations on the IJC and Its Work

The International Joint Commission was established in January 1Y12

pursuant to the provisions of the Boundary Waters Treaty of 1909. It

has been in continuous existence for 62 years. The Commission was

originally conceived and promoted as a bilateral, quasi-judicial body

to provide speedy and equitable resolution of those occasional and mainly

minor border disputes that arose among citizens of Canada and the United

States and which were, therefore, beyond the jurisdiction of ordinary

courts of both countries. Prior to the formation of the Commission,

referral of such disputes to the Department of State or to the British

Government more often than not led to lengthy diplomatic correspondence

between Washington and London. Excessive delays and presumed bureaucratic

inaction tended to feed suspicions and arouse national feelings to the

point that minor border controversies were at times given attention that

was out of proportion to their actual importance. In short, the drafters

of the 1909 Boundary Waters Treaty sought to create an instrumentality

that could help prevent boundary controversies as well as resolve with

minimum delay any that did arise.

It can be said that the Commission has faithfully carried out the

tasks assigned to it. While its assignments, for the most part, have

not been those of major political significance, the Commission has

fulfilled the treaty mandate in a satisfactory manner. The Commission

has had a long life. It would be unjust, however, to attribute

longevity in this case to the endurability of temporary commissions or

boards. The Commission is still around primarily because (1) the need

for which it was designed has itself persisted, and (2) nothing better

has yet surfaced to take its place.

It is of interest to note that there has been only one instance

in its long life in which the Commission and its purpose were challenged

in the U.S. Congress. The first and only serious discussion in the

United States Senate to consider terminating the treaty took place on

February 27, 1913 when a doubting Senator William Borah asked why the

Commission had "made no report and consummated nothing in the way of
final settlement." fhe reply was made by Senator Elihu Root, who in

1909 signed the Boundary Waters Treaty as Secretary State. Root strongly

defended the Commission. Regarding the need for it over the long term,

he said:

"I do not anticipate that the time will ever come when
this commission will not be needed. I think that as the two
countries along this tremendous boundary line become more
and more thickly settled, the need for it will increase. I
do not think we shall ever see the time when this commission
will not be needed to dispose of controversies along the
boundary line in their inception, furnishing a machinery
ready at hand for people to get relief and redress without
going into the long process of diplomatic correspondence. I
think it will have to continue as long as the ordinary courts
of the country continue.114l

This exchange on the Senate floor in 1913 was the last occasion of

any discussion in the U.S. Congress that might have led to the abrogation
of the 1909 Treaty on the part of the United States. 42

Aside from its stamina and its record of serving its intended

purpose, the IJC is unique in other ways. One of these is its excellent

record of impartiality. The philosophy of the original negotiators of

the treaty was that problems between the two countries were to be

resolved "not by the usual bilateral negotiation, but in the joint

deliberations of a permanent tribunal composed equally of Canadians and
Americans "43 There was to be a majority rule, irrespective of nationality.

The Commission has an impressive record of honoring this concept.

According to A.D.P. Heeney, Chairman of the Canadian Section (1962-1970)

and Matthew Welsh, Chairman of the United States Section (1966-1970),

the Commission had divided along national lines or failed to reach

unanimous agreement in only three decisions out of a total of some 80
docket cases submitted to the Commission up to that time (1967-1969). 44, 45

This impressive absence of national advocacy in a bilateral forum places

the IJC in a category by itself. The question arises as to what will

happen to this impartiality as the Commission's responsibilities increase

and its assignments become less technical and more political in nature.

As time goes on the two governments may "prove less inclined to respect
its @raditional independence." 46 In our view, this concept of decision-

making by majority rule regardless of nationality is the proper way for

such a commission to carry out its business and we hope that this

tradition can be preserved or passed on as a legacy to any successor

organization which may be established in the future by the two countries.

A reputation for being nonpolitical attaches to the Commission.

While it is true that commissioners are appointed and serve at the

pleasure of their respective governments, and that some appointments

have been terminated to make room for individuals considered more qualified

by the particular administration in power, this is about as far as the

political process intervenes in the functioning of the IJC. It has not

been the practice by either country to appoint, as a matter of course,

new commissioners whenever a new government is formed. The relative

absence of partisan politics within the IJC has not only facilitated its

work, but it has also enhanced its overall credibility and reputation.

Another feature of the Commission is the modest size of the permanent

staff and operating budget of both the U.S. and Canadian Sections. The

size of the full-time staff of the U.S. Section has remained virtually
constant at five persons since 1913 47 and the administrative budget has
increased from $42,000 in fiscal year 1914 48 to about $300,000 in fiscal
year 1973, 49 an amount which is essentially constant when the effects of

inflation over the intervening years are taken into account. The Canadian

Section has also remained small, and currently consists of eight persons,

including one Commissioner on a full-time basis.

As a result of the 1972 Great Lakes Water Quality Agreement, the

IJC has undergone an expansion of its permanent staff. The U.S. Section

plans to increase its Washington complement to approximately five pro-

fessionals. The newly authorized regional office is located in Windsor,

Ontario and is planned to have a staff of 16, including ten professionals,
half from each country. 50

The IJC was originally conceived and created by treaty as a court

of arbitration. Like any court, the IJC assumes a passive role. It

lacks authority to act until either (1) an application for approval of

works or (2) a reference from one or both governments is received. Its

holdings ("orders") with regard to applications are final, having the

force of law in both countries. On the other hand, in the case of a

reference, its role is much more limited. Upon receipt of a reference,

the Commission will temporarily assume investigative, administrative and

recommendatory functions which are specified by the terms of the reference.

When an investigation has been completed, the IJC makes recommendations

to the Governments. There is nothing in the treaty requiring either

country to act upon such recommendations.

In recent years, the number of applications received by the Commis-

sion has diminished while the references submitted to the Commission have

tended to increase. The IJC finds itself more and more in the role of

coordinating large-scale joint studies (water pollution of the Great

Lakes 1964-1969 and lake levels, 1964-1973) and of making recommendations

thereon to the two governments.

The IJC is reactive as opposed to initiatory. Its principal tasks,

once the organization is set in motion, are coordinative and recommendatory.

Its present form and methods of operation are faithful reflections of the

carefully and conservatively written provisions of the 1909 treaty.

The IJC was.not granted a planning role with respect to the boundary

waters by the treaty. Thus, the Commission has neither the authority

nor the resources with which to undertake a planning function, much less

to develop a program designed to attack the mismanagement of the boundary

waters. Its contribution has been the resolution of problems on a case-

by-case basis as they arose and as they captured sufficient federal

government attention to result in the required reference.

It is sometimes asserted that the IJC need not maintain a large

technical staff to carry out the investigations authorized by reference

since it can draw upon the federal agencies of both countries for these
purposes. 51 This is a situation not without its drawbacks. When the

technical work of the Commission is carried out by the agencies of the

two governments, and this by necessity has always been the case, the

work produced is a product of the priorities, constraints, funding and

program biases of the participating agencies. While the Commission, at'

the onset of an investigation, has and exercises authority to mark out

the scope and terms of the project, this power tends to dissipate in an

irreversible manner once the project is firmly in the hands of the

technical agencies. Since the Commission has no fiscal control or con-

tinuous supervisory control over the work done in its name by the agencies,

it can do little more than place its imprimatur on whatever the agencies

come up with, whenever they come up with it.

Visibility of the IJC

Notwithstanding its sixty-year existence, the Commission and its

work are virtually unknown to the general public in the United States and

Canada. For many years the Commission's primary function was the pro-

cessing of applications for projects involving private concerns or at

best very local interests. The Commission quietly and effectively

carried out its treaty mandate in this regard. The fact that the Commission

has seldom if ever gained national attention on either side of the inter-

national border, while duly noted here, cannot be regarded as a reflection

on the Commission. Success in international problem-solving is measured

just as much by what does not take place as what does. Indeed, an

argument could be made that the low profile of the Commission has been

one of its strengths.

While a lack of awareness on the part of the general public is

understandable and represents no cause for concern, a more serious matter

is the low level of interest evinced thus far by such institutions as

the federal legislatures and academe. In the case of the U.S. Congress,

a review of the Congressional Record undertaken by the Canadian-United

States University Seminar disclosed that in the 31 Congresses, elected

between 1910 and 1970, on only about 14 occasions (in about as many

days) in ten Congresses had there been any substantive discussion of

the IJC or its activities (excluding some infrequent questions raised

concerning annual appropriations). The last time the utility of the

Boundary Water Treaty was questioned in the Senate was during the afore-

mentioned Borah-Root exchange of 1913; and in the House between Rep.

Tawney klater the first Chairman of the U.S. Section) and opponents of
the Commission in 1911. 52 This original interest was followed. by a hiatus

of nearly 40 years until the high water levels of the Great Lakes in

the early 1950's, the Columbia River Basin Project, and the St. Lawrence

Seaway Project stirred renewed interest in the activities of the Commis-

sion. While recognizing that the IJC is of continuing interest to

certain members of Congress and particularly those from the states on

the northern border, it is nevertheless true that there has not been
much interest shown in the Commission by Congress as a body. 53,54

While no similar review was carried out with respect to recorded

interest by the Canadian Parliament in the activities of the IJC,

Canadian members of the Seminar were of the opinion that the IJC seems

never to have been a major concern in Parliament as well.

Academic research on the 1909 Treaty and the IN has been scant

in the past but has steadily improved in the last 15 years. The

main impetus of this research interest seems to be the problems of

water quality in the Great Lakes and an appropriate role for the IJC

in that regard.

Among the reasons for the general lack of interest in the Commission

and its activities are, perhaps, the nature of the institution itself. The

operating procedures of the Commission and its close ties with the U.S.

Department of State and the Canada Department of External Affairs

effectively isolate it from public involvement in the usual sense. Its

rule of procedure in some instances preclude public access, e.g., IJC

established technical boards may not hold public hearings, this power being

reserved to the Commission itself.

Its lack of public visibility to date, notwithstanding, it may be

presumed that that era in the life of the Commission is now ending. The

Great Lakes Water Quality Agreement will, if it is vigorously implemented,

thrust the IJC, into public view and the political arena to a degree that

it has never been before. As the Commission assumes greater responsibil-

ities, its politicization has to increase, a phenomenon that will

significantly alter both the character of that body and its operational

relationships with those agencies and organizations with which the

Commission has customarily done business. It has been suggested that a

more politicized IJC might actually enhance its usefulness, since a

politically responsive Commission might be trusted with regulatory or
enforcement powers.55

The Issue of Senate Confirmation

The U.S. Commissioners of the IJC are appointed by the President

without Senate approval. This policy was challenged by Senator Neuberger

(D-Ore.) and four other senators on the occasion of the appointment in

1957 of former Secretary of the Interior, Douglas McKay, to succeed Len

Jordan, former governor of Idaho, as chairman of the United States

Section of the IJC. Senator Neuberger criticized the 1955-56 "deadlock"

within the IJC over the Columbia River Basin reference and expressed the

opinion that Mr. McKay was an inappropriate choice to replace Mr. Jordan.

Senator Neuberger took the position that the U.S. Commissioners "play

roles at least comparable to those of senior officers in the (U.S.)

Foreign Service," thus their appointments should also "be made subject

to confirmation by the United States Senate." He asked: "Where else,

in our Government, can the President make a $20,000-a-year appointment

of indefinite term without Senate confirmation?" (See 103 Cong. Rec.

12271, 1957.) The essence of his stand was that the very fact that an

appointee must face the scrutiny of a confirmation hearing and Senate

vote means that the Chief Executive will accommodate his important appoint-

ments to the limits of acceptability of the Senate. Senator Neuberger

and co-sponsors introduced two bills, one in the 85th Congress (S. 2602)

and one in the 86th Congress (S. 2594) requiring Senate confirmation of

U.S. Section commissioners of the IJC. Neither of the two bills was

reported out by the Foreign Relations Committee.

The Seminar took no position on the question of Senate confirmation

of U.S. Commissioners, believing it a matter better left for the con-

sideration of the appropriate leaders in the Congress and the executive

branch.

Water Pollution in the Great Lakes and the IJC

Interest in the pollution of the Great Lakes antedated the Treaty of

1909. Typhoid fever at the turn of the century ranked as one of the

major health problems in the United States and Canada. The link between

polluted water supplies and the spread of typhoid fever had been

established in the U.S. by 1907. This and subsequent breakthroughs in

bacteriology stimulated government epidemiological investigations of

typhoid fever.

Stream and lake surveys were indicated but the federal agencies had

no legislative authority to undertake them until the passage of the Public

Health Service Act of 1912. The states and provinces had exclusive juris-

diction over the pollution of waterways and the initiative had to emanate

from that level. In 1908, at the recommendation of the Mayor of Chicago, an

interstate commission to study and report on pollution in Lake Michigan

was formed. The cooperation of the Public Health Service was requested

and the Service responded. Later that year a similar group composed of

representatives of cities on Lake Erie was organized to collect data,

%nd excite interest regarding the necessity of protecting water supplies."

The findings of both groups pointed to the need for legislation to prevent

pollution of interstate waters. Such legislation was introduced in the

Congress, but was not enacted.

Public and governmental concern over the relationship between typhoid

fever and polluted water supplies found expression in the 1909 Treaty in

the form of a single sentence appended to Article IV:

"It is hereby agreed that the waters herein defined as
boundary waters and waters flowing across the boundary shall
not be polluted on either side to the injury of health or
property on the other."

Any ideas of a prompt contribution by the newly authorized Commission

to the need for a joint survey of the boundary water pollution problem were

dashed by the three-year period required to ready the Commission for

business. Even if the IJC had been prepared to function earlier, a reference

on Great Lakes pollution would have been an empty gesture considering

the fact that, on the United States side, no federal agency had, at least

until August 1912, either legislative authority or the funds to engage
in investigations of pollution in the nation's waterways. 56

In actuality, however, stream pollution investigations date from

1910, when Dr. Allan J. McLaughlin of the Public Health Service was

detailed to make a survey of cities in the Great Lakes region, with

instructions to investigate the extent of pollution of their water supplies,

and its relation to the prevalence of typhoid fever and other water-

borne diseases. These studies (1910-1911) disclosed the high typhoid

fever rates existing among the populations of cities along the Great

Lakes and showed that their conditions were largely attributed to the

sewage - polluted public water supplies which had their sources in the

lake waters.

On August 14, 1912 Congress enacted the first law directly aimed

at the problem of water pollution by authorizing the Public Health Service

to investigate "the diseases of man and conditions influencing the pro-

oagation and spread thereof, including sanitation and sewage and the

pollution@ either directly or indirectly, of the navigable streams and

lakes of the United States." In 1913, the first special appropriation

for field investigations by the Public Health Services was made by

Congress.

In another action in August 1912, the governments of the United

States and Canada sent the IJC a reference (Docket #4) requesting the

Commission to examine:

"l. To what extent and by what causes and in what localities
have the boundary waters between the United States and
Canada been polluted so as to be injurious to the public
health and unfit for domestic or other uses?"

2. In what way or manner is it possible and advisable to
remedy or prevent the pollution of these waters - to
fulfill the obligations undertaken in Article 4 of the
waterways treaty of January 11, 1909 ...

At a meeting in Ottawa in October 1912, the new reference was con-

sidered by the IJC and it was decided to request clarification as to the

intended scope of the investigation. The response from the Department

of State on behalf of both Contracting Parties in November 1912 confined

the investigation "to cases of pollution of boundary waters on one side

of the boundary which extend to and affect the boundary waters upon the
other side." 57

The Commission secured the services of Dr. McLaughlin of the PHS

and T. A. Starkey of McGill University to lead the investigation. Profes-

sor Earle B. Phelps, an eminent sanitary engineer from Columbia University,

was hired as a consulting engineer. This highly competent team began

its investigation in March 1913. The survey centered around the connecting

channels but some deepwater investigations were made with the assistance

of the U.S. Coast Guard. The comprehensive reports of Dr. McLaughlin

(January 16, 1914) and Prof. Phelps (March 16, 1916) on their findings,

which still stand as classics in the field of water pollution examination

and control, described a generally unsatisfactory situation. Vivid

language was used such as:

--- situation along the frontier which is generally ghaotic,
everywhere perilous and in some cases disgraceful."5

"---imperil the health and welfare of the citizens... in sub-
stantial contravention of the spirit of the Treaty..."59

Sewage from vessels, from cities and industries was identified as

the major cause of pollution. Remedies could be provided by treatment

plants.

The Commission issued its final report on August 12, 1918 with the

recommendation that it be granted "ample jurisdiction to regulate and
prohibit this pollution of boundary waters and waters crossing the boundary."60

The two governments requested the Commission on March 11, 1919 to draft

either reciprocal legislation or a treaty to carry out its recommendations.

On October 6, 1920, the Commission submitted a draft convention which

would have given it authority to investigate any alleged violation of

Article IV of the Treaty. In addition, its findings of fact were to be

"final and conclusive" and the two governments would have been obligated

to prevent a continuation of the breach. The proposed convention was

never negotiated to conclusion. Aside from the obvious concern over

vesting the Commission with such broad powers, there was a reluctance on

the part of both federal governments to legislate in an area in which the
provinces and the states had exercised full jurisdiction. 61 By 1920

the stance of inaction with regard to the proposed convention was a

defensible one because by then the widespread acceptance of water supply

filtration and chlorination had effectively eliminated typhoid fever as

a menace to public health.

The next activity of the Commission concerning boundary water

pollution came much later. On April 1, 1946 a reference, similar in

wording to its 1912 predecessor, was sent to the Commission to cover the
St. Clair River, Lake St. Clair and the Detroit River. 62 In October

1946, the reference was extended to include the St. Mary's River and

in April 1948 was further amended to include the Niagara River. 63 The

IJC carried out an investigation and issued its report in October 1950.

The report recommended adoption by the two governments of water quality
64
objectives as criteria to control water quality. The two governments

approved the recommendations, authorizing the Commission to establish

and maintain continuing supervision over pollution in the connecting

channels of the Great Lakes. Advisory boards on control of pollution of

boundary waters were set up which included the states and provinces as

well as federal representatives. These boards report to the Commission

semiannually on the extent to which the water quality objectives are

being met. These boards, insofar as the Seminar was able to determine,

have had no discernible effect on the problem of pollution of the Great

Lakes.

This discussion can best be tied together by leaning on the work

of the Canadian scholar Frederick J. E. Jordan, who, in a 1968 paper,

examined the limits on institutional arrangements with respect to
pollution problems of joint concern to Canada and the United States. 65

He pointed out that both countries, since World War II, have turned

increasingly to the IJC as the indicated joint agency for handling
transboundary pollution problems. 66 Jordan identified three major limita-

tions that are placed on the IJC in carrying out an effective role in
this area. 67 First, the treaty does not grant the Commission specific

(or general) jurisdiction over boundary pollution matters, it must await

a reference from the two governments, a procedure entailing delays;

second, once it has a reference, it has no power to direct or coordinate

the research or information-gathering being done by domestic agencies at

the various levels of government, resulting in duplication of activities

and lack of communication on means and ends. Third, there is the lack of

power to give effect to the standards and measures of control recommended

by the IJC following completion of its investigation. Jordan stated that

this third limitation may be viewed from two levels. First, the Commission

has no powers of compulsion on the federal governments and second, it has

no way of imposing its standards on the local governments or individuals

causing the pollution. In addition, while the two federal governments

may "adopt" the Commission's recommendations, in the absence of legislative

enactments to give legal effect to them, "their implementation and enforce-
ment remain academic." 68 The Commission's powers are reduced to those of

good will and persuasion.

Jordan rules out the establishment of a supranational pollution

control agency. Instead, he recommends that the two governments

"vest the Commission with jursidiction over all matters of
boundary water and air pollution which were having transboundary
effects in relation both to initiating the investigation without
waiting a reference and to coordinating the various bodies
involved in the study.1169

Also recommended was that the IJC "be empowered to exercise supervision

over the implementation of its recommendations by the users of the resource

which has been the subject of the Commission's study and be authorized

to report offenders to the federal Attorney 'General of the appropriate

national government with recommendations for the action to be taken."

This procedure, he noted, would first require legislation enabling the
attorneys general to launch compliance proceedings. 70

The three institutional limitations singled out by Jordan are not

significantly altered by the 1972 Great Lakes Water Quality Agreement.

The intent of the agreement is to,enable both countries to mount a more

effective pollution control program for the Great Lakes. It assigns to

the Commission the principal coordinative role in that effort. While the

agreement relieves the situation on research coordination, independent

monitoring and public reporting, the agreement fails to address the-other

two fundamental limitations, i.e., the reference requirement and lack of

enforcement authority.

A Future Role for the IJC?

The most complete and authoritative study of the entire range of

Canadian'-United States relations that has appeared in recent years was

the 1965 report entitled "Canada and the United States-Principles for

Partnership" authored by former Ambassadors Livingston T. Merchant of the
United States and A.D.P. Heeney of Canada. 71, 72

While the emphasis of the report is on the economic issues between

the two countries, Ambassadors Merchant and Heeney address themselves to

nearly every significant aspect of the bilateral relationship. In the

section entitled, "Machinery for Consultation," the authors consider the
International Joint Commission. 73 Ambassadors Merchant and Heeney des-

cribed the Commission as "one which has been of continuing importance to

both countries since its establishment" and as a "unique institution" with

"a solid foundation of law and precedent" and a "long and successful

record in the disposition of problems along the boundary" which "justify
consideration of some extension of the Commission's functions." 74

They accordingly recommend that the two Governments "examine jointly the
wisdom and feasibility of such a development. ,75

In the White House press release issued on the Merchant-Heeney study,

it was stated that President Lyndon B. Johnson "believes this report

is a serious and constructive contribution to still better relations between

Canada and the United States." The statement added that the Secretary of

State is to "take the lead for the United States in a prompt review of the
report and its recommendations." 76

Shortly after the Merchant-Heeney report was made public, ten

Republican House members inserted into the Congressional Record their
own statement on United States-Canadian relations. 77 The Congressmen

lauded the Merchant-Heeney report as "a skillfully written document prepared

by two masters of the diplomatic art" but then admitted to "a perspective

on United States-Canadian relations which differs in degree from that
embraced in the Merchant-Heeney report." 78 The Republican statement was

also extensive in scope and well-written. The commentary it contained on

the IJC is of special interest. The House members were willing to be more

explicit in sketching out a wider role for the IJC than were Ambassadors

Merchant and Heeney. Paragraph 14 of the Republican statement, for example,

began by stating that the 1909 Treaty "should be negotiated so as to

broaden the functions of the Commission." The Merchant-Heeney recommendation

regarding the IJC was endorsed and the statement was made that "it (IJC)

may be the institution which can bring new excellence in the relations

between the two countries in fields with which it is not presently
authorized to deal." 79 The House members said, "We believe that expansion

of the authority of the International Joint Commission, in accordance

with the following recommendations, would enhance the capacity of the

two North American nations to establish a model of relations between

80
independent states." Among the recommendations alluded to in the

foregoing were: (1) Inclusion of Lake Michigan in the definition of

boundary waters (paragraph 15); (2) the IJC to be empowered to make recom-

mendations relating to continental development of water and energy

resources (paragraph 16); (3) the IJC to constitute a permanent institutional

location for international discussion of technical foreign policy

questions which arise between the two nations (Daragraph 17); (4) the

IJC studies on water levels and pollution of the Great Lakes should be

given immediate priority emphasis by both countries (paragraph 18); and

(5) the IJC should have a leading role in fulfilling "the obvious need

for comprehensive advance planning in the development of water resources"

(paragraph 19).

Elihu Root's statements in 1913 on the continual need for the IJC

were indeed prophetic. The border complications have continued and the

Commission still offers the only readily available machinery for resolution.

The Commission over the years has faithfully carried out this unspectacular

but necessary duty. It is a narrow role, circumscribed by an instrument

that reflects the limits of political acceptability of a world that

existed over 60 years ago.

Does the IJC have a potential role in an integrated management scheme

for the Great Lakes? The answer is a qualified yes. The sine qua non

is strong revision or replacement of the 1909 Boundary Waters Treaty.

In the consideration of such a role, several relevant questions will have

to be addressed. They include: (1) Would the organizational attitudes

and traditions acquired over 60 years impede the successful transmutation

of the IJC, (2) Should the IJC continue to carry out its original

treaty mandate, simultaneously complementing the activities of a new

agency created especially by treaty to coordinate integrated management

of the Great Lakes, (3) If a new agency is charged with these

responsibilities, should it have exclusive jurisdiction or should it

share responsibility in some way with the IJC?

These and other related issues are taken up in the next chapter.

CHAPTER III

THE SEARCH FOR INSTITUTIONAL IMPROVEMENTS

In the process of developing the general features of an improved

institutional structure for water and related land resources management

in the Great Lakes region, the Seminar experimented with a number of

different approaches. One of the first avenues explored was a review

and analysis of the various types of organizations which are either in

use or which have been proposed to carry out some public purpose relating

to the management and development of natural resources.

Organizational Review and AnalylLis

There are many such organizations and the following list, while not

exhaustive, illustrates the wide range of options in this regard.

Federal-State Planning Commission (e.g., Great Lakes Basin

Commission)

State-Federal Compact (e.g., the Delaware River Basin Commission)

Interstate Compact (e.g., the Great Lakes Commission in the U.S.)

Binational Commission (e.g., International Joint Commission; Great

Lakes Fishery Commission)

Water and Land Management Authority (e.g., Ontario Conservation

Authorities)

Advisory Council or Group (e.g., U.S. National Research Council)
Regional Development Agency @e.g., Tennessee Valley Authority)

Permanent Research Agency (e.g., Canada Centre for Inland Waters)

Special Purpose University (e.g., University of Tromsoe in Norway

specializing in the problems of the Arctic North)

Regional Government (e.g., Regional Municipalities in Ontario)

Unified Environmental Protection Agency (State/Provincial/

Federal)

Planning and Construction Agency (e.g., U.S. Army Corps of

Engineers)

Single-Purpose Authority or Corporation (e.g., St. Lawrence

Seaway Development Corporation)

Parliamentary or Congressional Group (e.q., Great Lakes Conference

of Senators/Congressmen)

Global Environmental Data Collection Systems (U.N. proposed)

These various organizational forms and some combinations thereof

were considered as to their suitability as models for an institutional

arrangement for the management of the Great Lakes. The general con-

sensus was that while these organizational forms seemed, on the whole,

to be adequate for the specific purpose for which they were established

and while some possessed advantageous features in the context of the

resource management problems of the Basin, no one form or no single

readily-apparent combination of them has the required scope and capability

to provide integrated resource management of the Great Lakes Basin. This

conclusion is in line with Lyle E. Craine's analysis of four different

institutional forms considered as possible models for an improved
institutional structure for the U.S. portion of the Great Lakes. 81

The Seminar was also in agreement with the observation made by Craine

that the deficiencies identified were not necessarily "deficiencies in

the agency form itself but rather in the institutional system, or lack
thereof, in which the agency has been expected to operate." 82

Consequently, the idea of laying out the complete set of existing

organizational forms and then either attempting to select the optimal

one or constructing a composite institutional solution was abandoned.

A more abstract approach that was also considered early on was

that of organizational criteria. Some writers have tackled the institu-

tional problem with a methodology that includes devising sets of criteria

with which existing organizations can be evaluated and as an aid to

marking out the general characteristics of new organizational forms.

In the Seminar's review of previous research in this field, it was

evident that certain organizational criteria tended to appear repeatedly

(although at times in different terminology) in the works of different

investigators.

The,Seminar identified those common criteria and then developed

its own set of criteria - one that seemed appropriate in the Great Lakes

context. While not claiming it had come up with the definitive set,

the Seminar had confidence that the most essential criteria had been

identified. These criteria are:

Jurisdiction

Enforcement Powers

Fiscal Adequacy

Staffing Adequacy

Administrative Discretion

Flexibility

Visibi 1 ity

Accountability

Structural Compatability

Definitions of these criteria were developed and discussed. As

an effective tool for suggesting the framework of an improved institutional

apparatus, these criteria fell short. A discussion of them indicated

that their utility depended greatly on too many factors. For example, it

was difficult to apply the criterion of "enforcement powers" in a satisfying

way to all three types of management functions (surveillance, mediation

or control), because the degree of enforcement power required in these

cases varies from very little to considerable. In addition, each resource

management problem of the Basin requires its own level (and here again

the range is wide) of enforcement power. Confronted with such practical

difficulties, the Seminar dropped the idea of using organizational criteria.

The approach to the problem that was in most favor and was the one

actually pursued consisted of the following steps: (1) identify the

full set of resource management problems of the Basin; (2) ascertain

the governmental function (surveillance, mediation or control) most

appropriate for each management problem; (3) examine the public agencies

in Canada and the United States established to carry out these functions

and to cope with these management problems; and (4) determine what should

be done that is not now being done.

Seminar participants felt that in going through these steps, the

general features of a new organizational structure would be revealed.

In carrying through with this methodology, it was considered imperative

that the existing constitutional, political, economic and cultural con-

straints operating within each country and between both countries be

recognized and "factored in" whenever appropriate and to the extent the

collective talents of the group allowed.

Resource Management Problems

In the identification of the resource management problems of the

Basin, some preliminary work had been done on this by a graduate student

group at Cornell University. These tentative results were made available

to the Canada-United States University Seminar in the form of initial

working papers.

The resource management problems of the Great Lakes Basin that were
identified in the initial working papers and considered (and modified)

by the Seminar included:

Water Quality
Municipal. and Industrial Water Supply
Agricultural (irrigation) Water Supply
Lake Level Control
Hydropower
Flood Control
Navigation
Shoreline Protection and Development
Fish and Wildlife Protection
Water-Based Recreation
Solid Waste Disposal
Air Quality
Urban and Industrial Land Use
Agricultural Land Use
Land Transportation

The Seminar discussions served to help classify these resource manage-

ment problems into those which: (1) are (or should be) matters of

primary concern to a binational body and (2) require minimally:

-surveillance (e.g., information collection and reporting)

-mediation (e.g., development of joint programs; conflict resolution)

-control (e.g., regulatory responsibility and implementing authority).

The table on the next page helps to illustrate the two classifications

of the management problems just mentioned.

The Current IJC Mandate

In the review and analysis of public agencies with responsibilities

in the Great Lakes region, attention was focused on the International

Joint Commission and, to a lesser extent, the U.S. Great Lakes Basin

Commission. A summary of the analysis of the IJC has already been pre-

sented. However, in order to place the presentation that follows in better

perspective, it will be helpful to review the present limits of Canada-

United States arrangements as they are represented in the 1972 Agreement

on Great Lakes Water Quality. Under the terms of that agreement, the

following new responsibilities were assigned to the International Joint

Commission:

1. Collection, Analysis and Dissemination of Data and Information
on Great Lakes Water Quality

2. Advice and Recommendations to Governments on Boundary Water
Pollution Matters

3. Coordination Assistance for Joint Activities Undertaken Pursuant
to the Agreement

4. Coordination Assistance for Great Lakes Water Quality Research

5. Annual Reporting to Governments on Program Progress and Effectiveness

6. Discretionary Special Reports to Governments and Public on any
Great Lakes Water Quality Problem

Table 1
Resource Management Problems Classification

Resource
Management Level of bi- Management Level*
Problem national Surveillance Mediation Control

Water Quality Primary x x x

Municipal & Industrial
Water Supply Secondary

Agricultural Water Supply Secondary x

Lake Level Control Primary x x x

Hydropower Primary x x x
Flood Control Primary x x x

Navigation Primary x x

Shoreline Protection & Devel-
opment Secondary x

Fish & Wildlife Protection Primary x x x

Water-Based Recreation Secondary x

Solid Waste Disposal"* Secondary x x

Air Quality Primary x x x

Urban & Industrial Land Use Primary x

Agricultural Land Use Secondary x

Land Transportation Secondary x

*It is important to note that this classification arringement was a part of the
preliminary study in which problems clearly requiring a control proqram at some time
in the future would be identified. The Seminar did not reco-li2nd 6e use of supri-
natioi@al control authority by any joint Great Lakes management entity, excent for water
and air pollution control.
These classifications were developed as a means of organizing the information
and d@ta avii1able to the Seriinar. They provoked livel -v discussions aiid on some points
there ws wide diverr,ience of opinion. They are presented here mainly to illustrate
the process of revico arid discussion and are not to be taken as representing a full
consensus of the Seminar.
"Lake level control is closely related to four other problem areas, namely:
hydropower, flood control, navigation and shoreline protection and development.
***Shoreline arid other dUn;pincis by industry and municipalities.

7. Discretionary Authority to Publish Its Own Documentation Prepared
in the Discharge of Its Functions Under the Agreement

8. Authority to Independently Verify Data and Information Submitted
by Governments

9. Authority to Establish the Great Lakes Water Quality Board

10. Authority to Establish the Great Lakes Research Advisory Board

11. Authority to Establish a Regional Office and Other Subordinate
Bodies

The new responsibilities placed on the IJC and the domestic agencies

of both countries are significant and if the terms of the Agreement are

actually implemented by both nations a big step will have been taken in

controlling water pollution in the Great Lakes. While these modifications

to the IJC mandate are indeed meaningful, important gaps still exist in

these joint arrangements which limit binational effort. For example, the

Commission still lacks initiatory authority and enforcement authority.

It should be stressed also that the new responsibilities of the Commission

pertain to only one aspect of resource management - water pollution.

General Specifications of a Revised Great Lakes Institutional Structure

Given that the 1972 Agreement does represent the extent to which the

two countries are prepared to go towards institutional modifications at

the present time, the Seminar nevertheless proposed further changes for

consideration, in view of the rate at which real and potential problems

are building up on and around the lakes.

As a result of Seminar discussions which were structured in the manner

described up to this point, certain basic principles concerning an im-

proved institutional arrangement emerged.

First, there was broad agreement that policy affecting the resources

of the Basin can no longer afford to be made on a purely domestic basis

with occasional provision for informal coordination between Canada and

the United States. The Great Lakes are large and diverse but, perhaps

most importantly, they are also binational and this fact requires that

any proposed institutional system devised for improving the management

of the Great Lakes Basin must be bilateral in character.

Second, and again there was no disagreement, given the complex

interrelationships existing among resource management problems, this bi-

lateral institutional arrangement must include the authority to deal

effectively with the entire set of resource management problems in the

Basin.

Third, an institutional arrangement implies the establishment of a

bilateral organizational structure which would carry out certain policy,

planning and management functions in the Basin as agreed upon by

negotiation between the two federal governments. The way in which these

three functions are defined and assigned is crucial and also contro-

versial. It was at this point that opinions diverged.

Fourth, there was a general consensus that an improved institutional

arrangement must in some way overcome the problem of incongruity between

political jurisdiction boundaries and natural drainage boundaries. The

Seminar's preferred approach to that problem was an institutional arrange-

ment based on two separate but complementary organizational components.

They are: (I)a joint Basin-wide policy and planning agency which is

politically responsive primarily through federal, provincial/state and

citizen representation; and (2) a network of regional or lake basin

management agencies responsible for implementing the appropriate sur-

veillance and mediation tasks within the overall policy guidelines

established by the Basin-wide policy agency. There was no sharp disagree-

ment among Seminar participants on the general concept of a two-component

institutional arrangement. There was, however, difference of opinion as

to whether the emphasis should be placed on strengthened local or regional

arrangements or, alternatively, on a centralized Basin-wide policy

agency.

The institutional form proposed would be a joint (Canada-United

States) body intended to serve as a common source of policy guidance and

coordination for those public programs and private sector activities which

affect, to an extent which would be agreed upon through bilateral

negotiation, the water and related land and air environments of the

Great Lakes Basin. In brief, it would have a supplemental, coordinative

and catalytic role among the existing governments and their agencies.

It is important to emphasize that the joint body considered here

is not a management entity in the sense of a regulatory and Rrogram

agency like state, provincial or federal departments and agencies with

legislative mandates. Neither is there any intention of altering the

equality status between the two countries, or of creating a supra-

national bureaucracy with authority over the existina three

levels of government. Likewise, the organization need not displace any

existing agency of any level of government having responsibilities for

some aspect of resource management in the Great Lakes Basin.

The joint organization would carry out certain policy, planning and

management functions delegated to it by the two national governments.

Policy and overall Basin-wide planning coordination with the governments

of general jurisdiction and their respective agencies would be the province

of the joint Great Lakes policy agency. Basin and regional planning as
well as "management" duties would fall primarily (but not exclusively)

within the sphere of activity of the regional resource management agencies.

The term "management" in the immediate context is defined as en-

compassing two general administrative functions, those of surveillance and

mediation.

"Surveillance" is defined in this instance as information gathering,

data interpretation and dissemination. It is a function concerned with

problem identification and definition. It would require a continuing

responsibility to be aware of current and developing problems in the whole

Great Lakes Basin. It implies an active as opposed to passive search for

relevant data and information. To properly carry out this function, an

organization must possess an adequately equipped and staffed information

system. This important and basic capability is the subject of a separate

chapter.

"Mediation" is viewed as the administrative function going beyond

that of surveillance in terms of authority and responsibility. It is an

active role in which joint activities are agreed upon and conflicts are

resolved through discussion and consultation. It is envisaged that the

joint body being proposed would be actively involved in a coordinative

and mediative capacity with the operating agencies in developing joint

programs to attack common problems within the Basin. This role could

include, among other things, promulgation (after appropriate coordination

with the agencies concerned) of regulations, standards and compliance

schedules. While the joint body, under the definition and recommendations

of this report, would have no enforcement authority of its own, such

promulgations would provide clear evidence of acceptance of common goals

and agreement on joint programs. The public notice of these actions

would be a large step forward in securing public credibility, improving

government accountability, and providing public reports for public

assessment of progress.

While its initial basic administrative functions would be those of

surveillance and mediation the two national governments may wish at some

stage to consider vesting the joint agency with a specific enforcement

role in the case of certain resource management problems, e.g., water

pollution and air pollution.

As already stated, the joint agency could not carry out a truly

effective mediation role under the present form of the 1909 Boundary

Waters Treaty. Changes are required to allow the joint agency to operate

(within carefully negotiated limits to be established by the two countries)

without the restrictions that the reference procedure now imposes. The

national reference requirements vitiate the anticipatory and initiatory

actions that are essential to both planning and mediation.

The agency must have the flexibility needed to anticipate future

problems of the Basin, to help plan for them and to assist in the co-

ordination of programs designed to ameliorate them. The agency should

have a planning staff adequate enough in size to provide it with expert

advice on planning matters. Also, the agency must have sufficient

fiscal and supervisory control over any planning activities itself under-

takes or it sponsors.

This completes the discussion of the general specification of a

Great Lakes management organization. The next section develops the viable

institutional alternatives identified by the Seminar.

Institutional Alternatives

In developing the major characteristics of a binational body with

the surveillance and mediation functions envisaged by the Seminar, two

alternative approaches were identified and accepted by the group as a whole

as representing the most viable options presently available. Both would

require a considerable strengthening of cooperative relationships at local

and regional levels to achieve the desirable degree of decentralized

decision-making and public support.

The first alternative would seek to improve management of the

resources of the Great Lakes by introducing organizational improvements

within the framework of a significantly strengthened International Joint

Commission. The second alternative would seek the same objective by

establishing by treaty new organizational arrangements which would be

distinct from the International Joint Commission. The Columbia River Treaty

would provide a precedent in general terms but not in the specific details.

Alternative I

The functions of the IJC would be significantly broadened with

respect to the Great Lakes Basin. The scope of its jurisdiction over

the water and the related land resources of the Basin would be extended

commensurate with the new management functions assigned to it by negotiation

between the United States and Canada. The IJC would be granted the neces-

sary policy-making and administrative authority to enable it to carry

out its assigned coordinative role. The IJC would be freed from the

present treaty constraint of acting only when a matter is referred to it

by both countries, and it would assume an active role in the public

decision-making processes through its mediation function. The number of

commissioners as well as the present appointment criteria and procedures

might require modification but this is left to the bilateral negotiations.

The IJC would be authorized a binational, full-time secretariat that

would carry out its functions at some mutually agreed upon permanent

location in the Great Lakes Basin. The IJC would be authorized to establish

subordinate offices at the basin or sub-basin level to the extent it

deems appropriate. The relationship of the IJC to the court systems

of both countries would be a major question to be included in the bi-

lateral negotiations. The IJC should be empowered to hold hearings on

all matters within its purview.

Concerning a planning role, the IJC would facilitate planning on a

joint basis, using as guides the Great Lakes Basin Commission (GLBC)
established pursuant to the U. S. Water Resources Planning Act of 1965 83

and the programs of coordinated planning carried out by arrangements

between the Provinces and the Federal Government of Canada such as those
possible under the Canada Water Act of 1970. 84 This means that the IJC

would be authorized by treaty to serve as the principal agency for

assuring the coordination of federal, state/provincial, interstate, local

and nongovernmental plans for the development of water and related land

resources within the Great Lakes Basin. Through its enhanced surveillance

and mediation functions, it would also recommend long-range schedules

of priorities for the collection and analysis of basic data and for

investigation, planning and construction of projects. It would carry out

any other planning functions to which both national governments may agree.

One of the major functions of a strengthened IJC would be coordination

of ongoing research and research planning pertaining to the Great Lakes

Basin. This does not imply an in-house research capability for the IJC,

however. The objective here is primarily to minimize duplication of

research work and to identify gaps in the overall research effort.

Finally, the coordinative and catalytic role envisioned for the IJC

implies a continuous and close relationship with the existing governments

and their agencies having responsibilities in the Great Lakes Basin. It

draws its political responsiveness from the fact that it would continue

to be ultimately accountable to the Department of State and the Department

of External Affairs. The provision for state/provincial and citizen

representation would further ensure political responsiveness and account-

ability. Its authority would derive from treaty and this legal basis

should be extended so that it is rooted ultimately in the laws of all the

governments of general jurisdiction within the Great Lakes Basin.

Alternative 2

The second alternative differs from the first in that a specially

created, international body supplants the IJC in the Great Lakes Basin.

The IJC is relieved of its treaty responsibilities within the Basin and

the functions of the existing permanent and temporary Great Lakes boards

are absorbed by the new treaty-established body. The responsibility of

the IJC for that portion of the international border lying outside the

Great Lakes Basin would remain unaffected. The second alternative would

require the negotiation of a new treaty by Canada and the United States

as well as modifications to the 1909 Treaty. The principal advantage of

this second approach is that it gives policy-makers of both countries the

opportunity to build "from the grou nd up" a joint agency specifically

designed to improve the management of the water and related land resources

of the Basin.

The functions of this newly created body would be, for this level of

generalization, identical to those postulated in Alternative 1.

Strengthening the Base of Both Alternatives

To be fully effective, both alternatives above have to be based on

strengthened cooperation among the array of Canadian and U.S. agencies

having responsibilities in the Great Lakes Basin. Besides developing a

binational policy body with surveillance and mediation functions, attention

has also to be given to achieving more intensive regional (or sub-basin)

collaboration in ways which put the binational body into an effective

working relationship with the politically-responsive agencies at the

municipal and state/provincial level.

One approach to this is to see that "opposite number" agencies at

sub-basin and special problem-area levels within the Great Lakes Basin

have and use wide authority to collaborate with one another in a trans-

border manner in an array of management questions (while at the same time

preserving clear-cut lines of political responsibility for policy-making

in both countries). This is only to recognize that there is an in-

separable relationship between planning for water management and pollution

control, planning for community growth and renewal, and planning for the

future development of industry, agriculture and other resource uses within

the Basin. This complexity has to be recognized and cannot be dealt'with

exclusively by strengthening centrally-created organizations such as the

joint policy coordination body called for in the two alternatives above.

The concept of strengthened regional, local and counterpart agencies

is based upon the following assumptions:

(a) That the critical points where intensive joint work is needed
are within, as well as among, individual lake basins (e.g.,
Lake Ontario), in certain special problem regions (e.g., the
St. Clair-Detroit River area) and at the level where existing
or evolving research or monitoring agencies (such as the
CCIW)"on both sides of the border can cooperate;
M That the stress (in "institutional organization") is on the
existence of "opposite numbers" at basin and special problem-
area levels - the opposite numbers being charged as far as
possible with similar responsibilities, including a wide
authority to collaborate with one another in a transborder
manner;

(c) That, by thus stressing the intensive regional collaboration
(in monitoring, research and program-making), the insti-
tutional arrangements will be consistent with the need for

(1) active and informed citizen involvement through
existing municipal, provincial/state and federal
political institutions;

(II) preserving clear-cut lines of political respon-
sibility for policy-making in both countries;

(III) assuring a greatly enriched flow of knowledge
from the regional to the central (provincial/state
and federal) agencies.

Common Elements Shared by the Alternatives

In summary, the alternatives recommended imply or provide for:

Establishing a joint Canadian-United States management body
for the Great Lakes having surveillance and mediation functions;

Canadian Centre For Inland Waters: A unit of Canada's Federal Department
of Environment

- Joint agency budget and administrative procedures;

- Initiatory authority for such matters as planni 'ng, surveys,
investigations and research under carefully specified guidelines
established by the two countries;

- Program responsiveness by requiring that the activities of the
joint management body be subject to program and budget author-
ization and review on, for example, a biannual basis;

- Facilitating joint planning on a multiple purpose basis;

- Stressing intensive regional and transborder collaboration
among state/provincial and local governments;

- Developing a more comprehensive and systematic approach to
the management of the Great Lakes;

- Joint information collection and analysis; and

- Public reporting..

The alternatives recommended do not provide for:

- Changing the equality status of the two countries in matters
concerning Great Lakes management;

- Establishing a supranational decision-making authority;

- Changing the basic authority of existing national, provincial,
or state responsibilities; nor

- Necessarily displacing existing agencies.

Final Comments and Recommendations

These alternative approaches to institutional change were developed

by the Canada-United States University Seminar in general terms only. The
omission of detail was necessitated by time and other limitations but it

was also partly deliberate. Too much detail would have tended to clutter

the basic issues. It would have detracted from the important messages

that the group wanted to impart. There exists a real problem of gaining

sufficient,acceptance on- the part of governments and private sector

groupsin.the.conclusions of the Seminar to-the point that significant

actions begin to take place. The Seminar participants were most concerned

about the fundamental question that has to do with the general attitude

of the Governments of Canada and of the United States on the multiple

purpose management of the Great Lakes Basin. It is not clear whether or

not the two Governments believe that the problems emerging in and around

the Great Lakes are inexorably leading to critical situations and that it

is imperative to initiate now concerted action in order to conserve and

enhance these unique resources. There should be little doubt that the

pollution problem is already critical. Can the two countries afford again

to wait for other crises to occur as a prerequisite to action?

The major question is the willingness of both countries to exercise

their political will at least to the extent of strengthening their ability

to resolve existing difficulties and to be better prepared for future

problems. Some members of the academic community of the region in both

Canada and the United States have demonstrated their readiness to play a

supportive role in this endeavor.

The specific recommendations of the Canada-United States University

Seminar were as follows:

1. The Governments of the United States and Canada should initiate,
on a joint basis, a comprehensive examination of the problems
associated with multiple purpose management of the Great Lakes
in order to conserve, develop and use that unique resource for
the mutual benefit of the people of both countries.

2. The alternative proposals formulated by the Canada-United States
University Seminar should be used by the two Governments as a
basis for initiating discussion and debate on the modernization
of the management of the Great Lakes.

3. In the United States, a study bill should be introduced early
in the 93rd Congress for the 'purpose of opening the doors to
serious public debate on the question of the joint management
of the Great Lakes Basin by local, state, regional and federal
officials and private persons and nongovernmental organizations
concerned with the public interest.

4. In Canada, the findings of the Seminar should be discussed with
officials in the federal government, the Ontario provincial
government, and selected regional and local governments in
Ontario. The purpose would be to encourage informal federal-
provincial-regional-local.consultations on the new steps and
responsibilities needed for the Great Lakes Basin, with a view
to developing more detailed proposals for consideration at
the Cabinet level of the two senior governments and providing
material for bilateral consultations.

In the succeeding Chapter IV, a report is made on actions that
have been taken in various ways to maintain and extend a public discussion

on improving Great Lakes management.

CHAPTER IV

INITIATIVES FOR ACTION

The objective of this. Reader and the reports on which it is based,

as stated earlier, is to encourage and stimulate public debate on ways

to improve the management of the Great Lakes. Changes in public policy

are occasionally brought about by the publication of reports proposing

new ideas. More frequently, however, change is brought,about by a

purposeful effort to transmit ideas to%the public so as to develop a

broad base of general awareness as well as to special groups capable

of actions leading to adjustments in public policies.. This chapter

describes some of the pub,li:c actions that have been taken and which are

partly or wholly attributablte to such a purposeful effort, a part of

the Great Lakes project design.

A series of activities, were carried'o,ut during@the research program

and the period in which the Seminar Report was prepared'in support of

action leading to policy change. In the summer of 1971 a draft report

on A Proposal to Improve the Management of the Great Lakes was distributed

to the Governors and Provincial Ministers Conference, sponsored by the

Great Lakes Basin Commission, and held at Mackinac Island, Michigan.

The Commission had, as one of its responsi.bi1iti-es, the task of recom-

mending institutiona1 changes for managing the Great Lakes as part of

its Great Lakes Basin planning program. It had contracted with a

consultant to study this matter, and the Commission believed that the

draft report made an additional contributton,to the presentation of

alternative,man,agement ideas.

At the outset of the development of the Canada-United States

University Seminar, it was unanimously agreed that the Seminar would

be a completely open affair. As a result, representatives of federal,

.provincial and state governments were invited, and attended, to the

first Seminar planning.meeting and subsequent Seminar activities.

Strongest participants in this collaborative effort were staff repre-

sentatives of the International Joint Commission. The sole exception

to this policy concerne d the endorsement of the final Seminar Report

and, for obvious reasons, government representatives were not requested

to participate.in this formal action.

In August 1972 the draft Seminar.Report was presented to the

Commissioners of the Great Lakes Basin Commission at a meeting at the

Thousand Islands, New York. Subsequently, in March 1973 the Seminar

Report was published and was given.wide distribution in the United

States Great Lakes region and in Canada.

The winter and early spring of 19,73 saw a resurgence of high

water levels in the Great Lakes. Damages were augmented by storms

which caused destruct ion to s,hore properties. In response to

demands by concerned citizens and their representatives in Congress, a

number of committees in the Congress held hearings about the causes,

effects and possible remedies of Great Lakes high water levels.

Initially,.si.nce one of the recommendations of the Canada-United States

University Seminar proposed the early introduction of a study bill in

the Congress to allow.for exploration of new Great Lakes management

opportunities, it seemed desirable to attempt to present the Seminar

.78

findings to one of th.e.appr9priate committees. As,the testimony in the

several committees unfolded, it became clear that.t.he members of Congress

were concerned equally with the immediate problem of lake levels and

with arrangements for.manag.ing,the.Great Lakes.

To.explone the degree of interest-that appeared to be present one

of the authors (Dworsky) arranged for appointments to be made with

members of Congress who either had testified before one of the congres-

sional committees or who had bee6 interviewed:by the press. In one

day during early April 1973, discussions,were held with the following

members of.Congress or their staffs:. Representative Conable (N.Y.).

Representative O'Hara (Michigan), I<epresentative Mosher (Ohio),'and

Representative Vanik (Ohio). The day's conferences concluded with a

meeting with Representative Dante.B. Fascell, Chairman, Subcommittee

on Inter-American Affairs,.House,Committee on Foreign Affairs, and his

staff director Michael,Finley. Following a description of the Seminar

report, the Seminar,participants, and the positive reaction received from

all the offices -visi:ted during the day, Chairman Fascell indicated his

..desire.to have the,seminar co-chairmen (Dworsky Francis) present the

report, its findings and recommendations- to the Subcommittee at a special

hearing to be called for that purpose.

Testimony Before-The Ho.useIof Representatives Foreign Affairs Committee

The hearing,washeld Tuesday, May 1, 1973 under the subject

THE GREAT LAKES -.The 1973 Floods and Activities of the International

Joint Commission, United States and Canada. Highlights of the hearing

are presented to provide some insight'into -the committee process, the
views of members of Congress@ and the character of the responses by

the Seminar Co-chairmen.

The subcommittee met at 10 a.m. in room 2255 Rayburn House
Office Building, Hon. Dante B. Fascell (chairman of the sub-
committee) presiding.

Mr. Fascell. "The subcommittee will. come to order.

Today the Inter-American Affairs Subcommittee meets for the
third time to hear testimony on U.S. participation in the Inter-
national Joint Commission, United States and Canada, and the
problems of the Great Lakes, an area which by the end of this
century is expected to include a third of.Canada's population
and a quarter of our own.

This morning we are expanding our inquiry beyond the scope
of existing institutions and immediate problems to.examine
alternative methods for more effectively dealing with Great
Lakes' issues in the future. To help guide us in this important
undertaking we are fortunate, indeed, to be able to draw on a
recently completed report of the Canada-United States University
Seminar enti'tled 'A Proposal for Improving the Management of
the Great Lakes of the United States and Canada.'

The report was prepared by a distinguished group of United
States and Canadian scholars under a grant from the U.S.
Department of the Interior. It offers a specific set of
guidelines for the.improvement of public policy and is, in my'
opinion, exactly the kind of analytical, practical and useful
report, the Congress had in mind when it passed the 1964 Water
Resources Research Act which established the program that*made
this report possible.

To review the entire report withus, and particularly its
specific recommendations,.we are pleased to have with us the
two very able co-chairmen of the Canada-United States University
Seminar which produced this excellent report: Dr. Leonard
B. Dworsky, professor of civil engineering and director,
Cornell University Water Resources and Marine Sciences Center;
and Dr. George R. Francis, professor and chairman of the
Department of Man-Environment Studies, University of Waterloo.

I understand that our colleague, Congressman Noward W. Robison,
would like to briefly introduce our witnesses. He has the
,floor to make some comments, and we are delighted to see him
here and to have him participatein these hearings with us."

80-

Mr. Robison. "Mr.. Chairman, I am privileged to present to
you one.of my congressional district's major contributors to
.,Federal watermanageme'nt policy. Leonard Dworsky, Director of
the Cornell University Water Resources and Marine Sciences
Center,@ has provided me with invaluable counsel and assistance
as he has several other Members of Congress - on many
occasions. His academic proficiency and his experience in
government have combined to make him a rarity among his
colleagues, for he is a highly esteemed expert in.his field
who can translate his academic products into workable public
pol icy.

Among his many contributions, Professor Dworsky helped me
draft the 'Safe Drinking Water Act,' which now appears headed
for passage by this Congress. He also contributed to the
draft of,the 'Water Quality Act,' which we.passed last year;
and, as you gentlemen know, he has participated, along with
Prof. George Francis, who is also here today, in focusing the
talents and resources of the-Great Lakes universities in the
United States and Canada on-the prospects for better joint
management of the Great Lakes.

Because of the geographic and hydrological proximity of
my congressional district to the Great Lakes, my constituents
and I must pay close attention to those huge bodies of
water above us. The -problems of Great lakes water levels
and pollution can carry their impact to my part of 'up-State'
New York, so I have tried to be attentive to any initiative
which proposes to lend the best available scientific and
management skills to the Great Lakes. For this reason I
participated in a 1965 position paper with several other House
Members who jointly called for expanded emphasis on the
management and mediation potentials of the International
Joint Commission.

That statement was destined only for dusty Congressional
Record-archives. But, perhaps with the fresh infusion of
the talents of these gentlemen before you, and the many
universities they represent - the members of this.committee
can meet the now pressing necessity for joint management of
the Great Lakes and move the Congress and the Federal
Government toisome new thinking on Canadian-United States
cooperation in solving Great Lakes. problems.

Mr. Chairman, I have to attend my own subcommittee duties
this morning, but it is a pleasure to have been here and to.
leave these two gentlemen in yourcapable and interested
hands. Thank you very much.

Mr. Fascell. Congressman Robison, thank you for the intro-
ductory rema and also for your reference to the 1965
statement, one of the principal. signers of which just entered
the@room.

Mr. Robison. Yes, I remember very well Mr. Frelinghuysen's
interest and contributions.

Mr. Fascell. He has along with you continued his interest
in this very important problem. It does affect all of us, and
so we consider it quite vital too.

Mr. Robison. Thank you very much for this opportunity.

Mr. Fascell. Thank you very much."

"Mr. Fascell. You may proceed."

Dr. Dworsky. "Both George and I have been deeply involved
in resource management problems and we have had a good deal
of experience in working with both Government and the
universities. I suspect that the reason Congressman Robison
mentioned that we have been modestly effective has been
because we think we understand some of the needs of the
Congress on our side, the Parliament in Canada on George's
side, and try to translate science and technology into practical
and useful terms.."

Dr. Dworsky-, "I would also like to introduce two people
who are in.the audience. One is Mr. Charles Swezey, our
senior research associate and executive secretary of our
seminar. And then we have our seminar consultant with us;,
a long term career man in Government and a former Associate
Director of the Office of Water Resources Research, Mr.
Eugene Eaton.

It strikes me, Mr. Chairman, that this may well be the
first committee hearing addressed specifically to the question
of the management of the Great Lakes and the organization for
that management since, I believe, the Boundary Water Treaty
of 1909. 1 don't recall at the moment any reference to a
hearing that was speci-fically addressed to this question.
There had been questions about specific problems like high
water levels in the Great Lakes, or the low water levels in

1964, and so on, but never specifically to the question of
how we are to manage the Great Lakes. I want to compliment
you and members of the committee for bri.nging this matter
forward.

This statement deals with management of one such international
problem, the Great Lakes of North America and the boundary
waters between the United States and Canada. The objective
of the statement and of the report it represents is to change
the current management of the Great Lakes in order to make it
more effective to meet not only some of the current problems,
but rather to be prepared to meet the emerging future problems.

A second objective is to make Visible one inquiry into
an international water and land resources,problem with the
hope that such an exposition will provide a useful guide to
assist in either resolving or strengthening other inter-
nationallwater and land management questions...

Essentially, what we are saying, Mr. Chairman, is that
we have been dealing with a series of situations on the
Great Lakes in a separable fashion. :At one time., for example,
we are concerned with low water levels. The journal report
I have contains an article by Mr. Ben de Cook of the Corps
of Engineers, and it illustrates our problem. The first
paragraph of hi.s article says this:

During the past few years Great Lakes waters
have dropped to record low levels. This has
drawn much public attention and created many
problems. Fifteen years ago there was concern
.,over extremely high levels of these waters'.

This report was written in June 1967. Today we are dealing
with high,water problems; at other times, we are dealing with
the low water question.

This question, and other questions, are maintained all of
the time. Sometimes we deal with.water pollution. At other
times we deal with the question of navigation, separately
again. And fisheries have been dealt with in an international
convention separate from the I-J.'C.

So we have dealt with these questions separately over
time, and we believe that the,institutional - the governmental
organization problem we are facing today is a reflection

of the fact that what we have has simply grown, like Topsy,
over time, and this is what the countries have had to work
with. There has rarely, perhaps never, been art opportunity
to ask ourselves how to deal with the matter of managing
the Great Lakes in an integrated way? Certainly, by now
we should be well aware of the-fact that the problems are
linked together. We believe that the problem of the lakes
and the land around it must be dealt with in a much greater
coordinated fashion.

So this is our major thrust today. What we are aiming at
is an attempt to see if we can define the question of how the
lakes have to be and how they ought to be managed in order to
provide some answers to these constantly reoccurring questions.

We believe that in our view, Canada and the United States
must act now individually and jointly to remove the.obstacles
to institutional enhancement, to improvement of management
arrangements for the Great Lakes if these unique resources
are to be preserved and enhanced for future generations.

.Let me skip now, Mr. Chairman, to where I think our entire
statement will lead us. If you don't mind, using the statement
we have, will you please turn to page 48. This is our proposed
action item, and I think we might take a look at it.

This proposal, at the end of our statement, is our recom-
mendation for action by this committee, and a recommendation
of course, to the full Foreign Affairs Committee and,
ultimately, to the House.

We believe that a resolution ought to be prepared and
enacted by Congress that would say: The Congress of the
United States is deeply concerned about the need to strengthen
.the management of the International Great Lakes in order to
conserve, develop, and use that unique resource for the
benefit of its citizens. The Congress believes that this
concern is shared equally by the Government of Canada. The
Congress, accordingly, requests the President to initiate
new discussions with the Government of Canada with the
objective of: (1) Developing a joint comprehensive examination
of the problems associated with the multipurpose management
of the Great Lakes and associated lands; and (2) using this
examination to determine ways to strengthen significantly
the joint multipurpose management of the Great Lakes. Among
other opportunities, the alternative proposals formulated
by the Canada-United States University Seminar should be
used as a basis for initiating such discussions.

Now kepping that..proposal in mind Mr. Chairman, I
would 1ike to turn to-the section that begins with page 34
and which has to do with study conclusions and recommendations.,'

.I might say,.since`Mr Frelinghuysen came in moments
after we-started and didn't-'hear Mr. Robison's-opening
remarks I wanted to say specifically. to him, that the
.statement he and other members of the committee prepared back
in 1965, and reported in. the-Congressional Record of
September 28, was a great. stimulus- to. our interest in
developing these, studies, and for the last 6 or 7 years We
have been,pursuing this one Way or another. A good
many,of the recommedations.that were brought out at that
time are. still important, recommendations today. I th in kyou
will find our report recommendations consistent in many-
ways with what you and your colleagues had said then. Your
report by the way, included Mr. Gross, I believe, and other
members of this subcommittee.

We also.believe that-these recommendations are consistent
with the Principles for Partnership, as.developed by
Ambassador Merchant and Ambassador Heeney in their statement
concerning-Canada and U.S.relations published in 1965.

So these are not essentially new items. In effect, we
are trying again in 1973 to focus our attention to these
questions, of Great Lakes management.

We.propose two alternative organizational poss-ibilities.
Our study group-, made up of very good people, law public
administration,- science,planning, geography, environment,
and others,:were keen on the idea that the International
J0int C0MMiSSion had a fine record as' far as it has gone
based upon-the authority-that has' been granted by the two
countries. Rather than strive anew for a development that
would take'us perhaps into unknown areas, the suggestion
that we'have made to you in this report is that perhaps
..we might look first at an alternative to strengthening
measurably the International Joint Commission.

At certainly has been a body:that stands outfar above
any other international body in the world in terms of
managing boundary water problems over a period of 60 years
or more, and that has kept the relationship between Canada,
and the United States.on,an-even keel. So we think it
important to look at this body significantly at the body
that could manage.a new.set of affairs.

On the other hand, as a second alternative, we suggest
that if that is not deemed to be the proper way to go,
then we suggest that we may want to follow the pattern
that has been established, for example, in the Columbia
River Basin. That pattern refers to a new treaty under which
the countries will establish a-new organization,
.probably negotiated by IJC as they have done it in Canada
or otherwise as the President may determine. Such a body
to provide the kind of effort we are suggesting to you in
respect to the Great Lakes., Such a new organization, of
course, will relieve the IJC of day-to-day operations
vis-a-vis the Great Lakes, as it did in.the Columbia. The
IJC would still have over 2,000 miles of boundary to be
concerned about.

Therefore, wecan strengthen the IJC or we may have a
separate organization by treaty. Either one will require
negotiations by the two Governments. This is why our
resolution suggest that the President open discussions with
Canada for a fresh look at the situation.

These alternatives carry.us to the end of our presentation,
Mr. Chairman. They make recommendations with respect to
alternative arrangements to strengthen the management of
the Great Lakes. Pages 44 and 45 summarize the alternatives
we would like to have in,stituted for a management agency.

We believe we have carried our work as.far as we can as
independent examiners and analysts of the question. Today
weare laying this matter before the Congress of the United
States. Professor Francis hopes that heand his colleagues
will have the opoor.tunity,to lay this question before ap-
propriate bodies in Canada. We both hope it to be a stimulant,
in the best possible way, to open the discussions of how
these vital, unique, world-renowned resources of the Great
Lakes can.be saved for the.future.

Thank you for this opportunity

Mr. Fascell. "Thank you, Or. Dworsky., for that hasty
overview of years of work." "Dr. Francis"

Dr. Francis. "Thank you very much, Mr. Chairman.

first of all let me say it is a pleasure for me to be
wjJ:t_h,you this morning. I think it was 2 years ago that I
had occasion to visit Cornell and found out some of the
things they were doing. At that time they were looking at
the various problems of Lake Ontario, what some of the.

programs are to.resolve difficulties and, moreparticularly,
what the future seemed,to hold when looking at trends and
projections.

They at that time suggested it would be helpful if we
took some of their concerns and interpretations of what was
happening before a rather larger audience.in both Canada and
the United States. I agreed this was a good, idea, and '
helped organize the.Canadian participation of this particular
..seminar.

I might add that when I was lining up people both at the
universities and from bur Federal and provincial go-vernment
agencies to participate in these meetings, I got nothing
but a warm response at the suggestion-we get together and
talk over these issues. I think this is rather important
because T must admit.I was expecting there would be a bit
of reticence like: 'Why do you people want to get involved?
We have certain programs under way and we already have
cooperation, and what else needs to be done?'

There was none of that. There was a general.feeling that
this was a very timely thing to do. I think as a result
we got very.active participation from people at-the universities
in Ontario who attended the seminars'and.people who came
-from our Federal Government agencies and some of our
provincial governmentagencies who attended as participant
observers in these sessions.

We hosted two of the main meetings. These general con-
clusions which have been reviewed for you do represent
the result of many hours of very intense, interested and
informed discussion.among people from both Canada and the
United States.

We were.mindful certainly of the work which has already
been carried out, particularly in the area of biophysical
research on the Great Lakes exemplified by the International
Field Year on the Great Lakes. We are also very much
aware of the work and accomplishment of the Internationa.1
Joint Commission. We thought so far so good, but where
do we go from here?
This is what caught everybody's inter .est. We are looking
on our side at some of the projections that have been made
with regard to.increases in population, increases in urbanization,
and increases in industrial development, particularly in the
lower Great Lakes in Ontario.. We can see the possibility of
continuing problems and difficulties which have to be resolved.

I think this is what raised the level of interest among
participants from the Canadian side. 'We should be finding
some way to provide a more continuing watching brief on
these situations to be aware of them before they generate
crises and also try to look at them in a broader perspective
of how they relate one to the other. I think this represents
the main feeling of the Canadian participants in this seminar
with the result that they have taken a major hand in arriving
at some of the conclusions which Len has summarized for you.
I know they are looking forward to getting copies of the
report which was produced last week. We are looking forward
now to seeing where we go from here."

Mr. Fascell. "Thank you, Dr. Francis.

It is obvious to me that this report is.not only timely, but
represents a very important basis for some action. The makeup
of it is unusual and I am impressed by the enthusiasm of both
of you in the presentation of the matter which might be termed
rather sticky, esoteric or whatever. But its importance is so
.obvious. This is an important work. The subcommittee is
delighted to be a forum at this particular time to help this
along, and to review the matter, and to take whatever action
the subcommittee thinks is appropriate.

I must say you gentlemen were very thorough. It has been a
long time since we have been presented with language for a
possible resolution. It makes our work easierto know exactly
what it is you are shooting for.

I have a few,questions that are troubling me. I am trying
to get fixed in my mind, and I know it is in a pamphlet some-
where, because 'there is a pamphlet on everything, an overview
of the broad organizational structures, both national
and State. Does the same kind of thing exist on the Canadian
side?"

Dr. Francis. "I think it safe to say the main responsibilities
affecting many of the questions of the Great Lakes area under
the Canadian constitution lie with the provinces, and perhaps
we have a somewhat simplified situation in that fortunately
only one province is involved with the Great Lakes, Ontario, so
that much of the responsibility on a day-to-day basis lies
with provincial agencies. But there is a Federal involvement
because it is an international body of water, and there are
other responsibilities that the Federal Government has. So in
terms of cooperative work at the Government level, it gets
carried out through Federal-Provincial agreements. These can
be very informal,.based on particular programs or particular
projects.

Or if need be, if you are looking at the Great Lakes Basin
as a region, it could perhaps be done.under the Canada Water
Act of 1970. 1 don't think we are talking about that at the
moment, but this i's an act that does provide for comprehensive
joint Federal-Provincial planning for water resources in
Canada, and it has been used in other parts of the country.
So the legislative apparatus is there for that kind of co-
opera ti on..",/

Dr. Dwors ky. "I would like to add, Mr. Chairman, in addition
to the States, Provinces, and two Federal GoVernments, the -
International Joint Commission has established 1 '3 joint boards,
in addition to the recent water pollution boards, between Canada
and the United States, for example, for regulation of Lake
Superior, for the regulation of Lake Ontario through the St.
Lawrence control structures, and for.other operations.

Mr. Fascell. IJC sits on top of these as the administrative
agency having the responsibility for implementation after agreement
has been reached. It then delegates an agreed-on plan to
,the ope rating subunits.

Dr. Dworsky. This is essentially so. First of all, it must
start from references by the two countries giving IJC authority
to deal with these areas. Then IJC make examinations, andin
doing that they bring together parties from both countries as
study groups. Then they make recommendations to the countries
and, if these are accepted, set up surveillance and/or operating
or control boards.

Mr. Fascell. What has been the'history of initiatory actions
outside the IJC? Have they been in the nature of separate
problems or separate institutions which have initiated agree-
ments, which would then refer them to the governments, and
which were then referred to the IJC?

Dr. Dworsky. Yes. I think the main specification of the
past has been the lack of cohesive initiatory authority on the
part of the agencies concerned with day-to-day operation of
these problems. They have had to wait until the countries
decided mutually that there was an issue, and then the technology
of the engineers and social scientists who deal with day-to-day
government on both sides could begin to deal with the problem.

Mr. Fascell. In other words, not on.ly has the.problem been
fragmented but the initiatory action has been fragmented?

Dr. Dworsky. That is right. Of course, not only in IJC
through two country references, but in additiom through the

eight States in the Basin, the regional governments thatare
concerned like the Great Lakes Compact Commission, which is separate
from the Great Lakes Basin Commission, and from the government
of the Province of Ontario with its several ministries as well
as Canadian Federal Government interests.

Mr. Fascell. What do we do with all of these boards, agencies
and commissions in terms of what is being proposed here? Does
anything happen to them?

Dr. Dworsky. Yes, we would suggest, this goes perhaps beyond
the specifics of what we had intended to get into today, but
speaking for myself

Mr. Fascell. I don't want to create any adversary opposition
before it appears on the horizon.

Dr. Dworsky. I guess I was making this comment so you would
understand my comment here would just be my comment.

I think that in the joint agency that we are talking about
as we view it, these boards.could be built into that operation
so that they could continue to exist. The specifications of
any new charter would be dependent upon negotiations between
,the two countries as to.how.they want to establish and give
tasks to a new management agency. Over a period of time, say
3 to 5 years, these boards, could be built into the structure
of a joint management agency! The major point I wish to make
is that in a joint management agency we would havea chance to
begin to relate the separatp functions and agencies into some
kind of a useful and reasonable management organization of the
kind we have proposed.

Mr. Fascell. It seems logical to me as a layman that that
would be the case. I suppose anything that would not be a manage-
ment authority as a subunit for the IJC, or whatever new agency
is created, would eventually wither away or, being extraneous,
probably not be funded.

Dr. Dworsk-. Things seem to hang on.

Dr. Francis. That is why the seminar came to the conclusion
that, whatever else, we really ought to start with the whole
question of surveillance and try to get an overview of what is
going on and what is happening, and what is building up in and
around the lakes..

Mr. Fascell. That sounds like a sensible middle course;.
not.advocating a supranational.organization for the abo-lition
of everything tha 't now exists, which would not bevery practical
in terms of getting anything done.

-Dr. Dworsk . We thought we would be wasting'your-time, and
we would have wasted our t'ime certainly.

Mr. Fascell. Yes certainly.

Regarding the question of still another treaty, can't we
hang on to what we have and move forward and do what has to
be done,in terms ofinitiatory action without having to
negotiate another treaty which may take us another 6 years.

Dr. Dworsky. This would rely on our first alternative, to
strengthen the existing Internationa.1 Joint Commission. If the
two countries by negotiation could extend the broad language
that now.exists in the Boundary Water Treaty and provide the
flexible framework which would allow them to have initiatory
powers, and other desired functions spelled out in our report,
this would appear to be a proper way to proceed.

Mr. Fascell. Am I correct in assuming that if time is of
the essence and if we want to get away from a crisis-to-crisis
operation, that we better take the quickest route?

Dr. Dworsky. I would think so. I would be happy to see
reasonable forward motion that would allow us to test a new
arrangement.

Mr. Fascell. Dr., Francis, what is your reaction?

Dr. Francis. That was a point we discussed among ourselves,
and, there was a feeling that in the short run building on what
has been accomplished is the most sensible thing to do.
However, there was the question that if we start to expand the
range of cooperation in the Great Lakes, this goes far beyond
the existing International Joint Commission.. And keeping in mind
the Commission has responsibility for other transborder
problems across the.country, maybe the question here becomes
one of the tail wagging the dog, so possibly at some stage it
would be better to look at this other alternative organization
yet build into it all of the available experience. Maybe this
would be a viable alternative to talk about since there is a
precedent of sorts in the Columbia'River Treaty.

Dr. Dworsky. One could visualize a blend of things you
are suggesting, Mr. Chairman. In the immediate future,
right now, to get on with the work by bringing toqether the
presently separate functions. I think Mr.'Herter indicated
that when he appeared before you, according to my notes from
newspaper clippings. I thought he indicated that he has rather
wide authorities now, but they were separable and he might
be able to bundle them up to start a new management arrange-
ment. Maybe in the next year we can do that while we pursue
other objectives in the longer term; of observing and seeing
what we need to do to strengthen the process under a new
treaty.

It is here that the President's initiative is so great,
much depends on how he and the State Department and IJC
themselves feel about this.

The point Mr. Francis makes I would like to emphasize.
That is, we, too, recognize we have an agency that has 60
years of experience, but you know that insti-tutions develop
their own characteristics, their own psychology, and their
own rules of action. The question here is whether or not
the break with the past can take place sharply enough so that
in fact IJC can be given these new responsibilities and can
act. I am not prepared to say they will or will not.

I am asking questions about how they may behave in order
to consider what future actions may look like. They may do
beautifully, and the IJC is composed of highly skilled people..

Mr. Fascell. Mr. Steele.

Mr. Steele. Thank you, Mr. Chairman.

Gentlemen, I want to add my complim ents on the very important
work that has come out of the seminar. I am extremely interested
in your suggestions for building on what we now have, but I
would like to ask for a brief summary of precisely what we do
now have in terms not of organization, but in terms of effective
action.

For example, I was very interested in your relation of what
has happened in'terms of joint pollution control efforts for the
Great Lakes. We started in 1906., you said, to recognize the
problem, but it was 1964 before we started to take any doncrete
action on it. What kind of concrete action are we taking now?
How would you evaluate and assess and describe how effective
joint action has been on the problem of pollution of the Great
Lakes.at the present time?

Dr. Dworsky. The Great Lakes Water Quality Agreement is
probably as good a technical document as you can find. I
think it has sound objectives and it has been well developed.
The people who did it are some of the world's best. The
question about whether the agreement will be effective is
going to be answered in terms of Government, not in terms
of science and technology. The scientists and
technologists pretty much know what they need to do.

Whether or not this organization is going to be effective
has to be tested. Our report states that we will have to observe
during the next couple of years to see whether it is going
to be effective. Effectiveness is going to depend on the
appropriations committee that handles State Department ap-
propriations, in terms of how much money will be provided
the U.S. side for operations.

Effectiveness will depend on how much money the Congress
and the President will agree upon for construction of water
pollution control facilities. Effectiveness will be determined
on the basis of whether or not the States agree to Mr. Ruckelshaus'
statement that he made within the last 2 weeks with respect
to asking the States, not demanding but asking the States to
allocate relatively more moneys to the Great Lakes in order
to meet the commitment that the U.S. Government has made with
Canada for the construction of waste treatment works.*

Dr. Francis. We do not have quite the.same problem deciding
the relative importance of the Great Lakes. They are very
important to us, and become increasingly so in terms of projected
urban concentrations, so there will be emphasis on the Great
Lakes. As I understand it, there have been arrangements worked
out with our Federal agencies to accelerate the construction
of treatment plants in order to meet some of the technical
objectives.

There has been some concern.expressed in the Canadian press
in recent months as to whether or not the anticipated schedule
of the executive agreement can be reached because of these
funding difficulties which have occurred in the United States.

I do not know the details, but this is one of the things
they will want to watch to see if that particular agreement can
be carried out more or less on schedule. If it can, and we all
hope that it will and expect ultimately that it Will, this
would.be a good precedent for building up and expanding co-
operation in these other areas.

*See page 111 for reference to a report concerninq this matter in Globe
and Hail, Torontlo, December 22, 1973.

Mr. Steele. Let's take a concrete example. We have been
reading for over a decade that Lake Erie is a dead lake. We
were talking about this problem back,in 1906, according to your
testimony. Have we made any,progress in dealing with the Lake
Erie problem, or is it where it was several years ago?

Dr. Dworsky. I think we are making progress, Mr. Steele.
Whether we are going to make progress rap.idly enough to overcome
the growth that i,s continually taking place on the lake is also
a question..

Mr. Steele., What kind of progress have we made?

Dr. Dworsky. I think, for example, at Erie_Pa., the.State
is getting to the point of cleaning up some of the probl ems of
papermill wastes and the problems of waste discharges from the
city.

In Cleveland, they have developed a stronger program over
the last few years. They have been hung up on the basis of
money. The Federal Government's contributions have been
available, but Cleveland is moving ahead. Detroit is moving
ahead, but at the same time, many of us believe that the rate
of progress is simply not enough.

I do not believe that the rate of progress is enough to
keep us ahead of the game based upon not only what we have to
overcome, but also in order to take care of the new developments
that take place.,

Mr. Fascell. Yes. What do we do with Lake Michigan? It
looks like an appendix hanging down there. Can it really be
excluded from consideration?

Dr. Dworsky. Geographically and topographically, it cannot
be separated. The question is political. The question is
whether or not the two countries will be able to manage a
negotiation whereby the effect of Lake Michigan on the balance
of the lakes, and vice verSd, will be properly brought into
focus.

This is a political question for the countries, and my view
would be that I hope in every possible way, through negotiations,
that these efforts on Lake Michigan and the other lakes wculd be
brought together as a system. They cannot be separated.

Mr. Fascell It is a primary responsibility on the U.S.
side to reacF an agreement with the States involved?

Dr. Dworsky. I cannot answer that precisely. I think it is
really a matter of the U.S. Government. They have sole respon-
sibility for the lake, certainly from the standpoint of navigable
waters law.

Mr. Fascell. Is there a different context internationally
with respect to the legal definition of Lake Michigan?

Dr. Dworsky. No, I guess this is historic. It is not a
boundary water. The boundary does not encompass Lake Michigan.

Mr. Fascell. As a nonboundary wa-cer and accepted as such
by Canada it is all navigable water.

Dr. Dworsky. But, on the other hand, the commerce from
Chicago has been concerned with all of the lakes.

Mr. Fascell. So, it seems to me that the question of Lake
Michigan is a matter of fundamental concern..

Dr. Dworsky. Yes, sir. I think this is right.

Mr. Fascell. I am still struggling a little bit with the
overall structure. I suppose the reason I am struggling is
because I cannot visualize all of it right now in terms of,
operations with the IJC. It has total boundary responsibility.
I suppose the only way to get a handle on that would be to do
what you are suggesting, which is an overview of the entire
matter to determine both the structures and the responsibility.
I am talking about a basic understanding of the organizational
structure and responsibilities which is basic to making fundamental
decisions.

Dr. Dworsky. I would like to comment on that, if you do
not mind, with reference to this additional set of reports.

Mr. Fascell. This is a compilation of all of the organizations
having to do with the Great Lakes, these six volumes?

Dr. Dworsky. No, sir. Let me tell you what we have done
here as a futher venture beyond the report we have been describing.

In a graduate program I direct at Cornell, we had a choice,
having completed our report and having made suggestions for
alternatives, either to wait for government to do something
or to test the proposed organization ourselves. So, we said,
"Let's test it out ourselves."

Mr. Fascell. Why wait.?

Dr. Dworsky We wanted to show, for example, that the
proposals we were talking about were practical, amenable to
existing information, and could be accomplished. What we designed
this last year in my particular program was an investigation
with some 10 graduate students, of specific details about-
how a Great Lakes arrangement would be implemented.

The series of reports I have just submitted to you are the
results of their effort. This one by Mr. James Burkholder
on Natural Resources Management of the Great Lakes, is a report
which deals with the question of a transitional organizational
arrangement, which is the very question you wereinquiring about.

We recognized the organizations that now exist. We developed
an outline with respect to what a transitional period might be.
We tried, with reasonable success to address that question in
this document. This was done primarily in one semester. If we
can do this in a university in 15 weeks, I suspect that govern-
ment, with their staff and competency, can equally undertake
this kind of a task.

The next subject we looked at was an information program on
the Great Lakes. Rather than developing an information program,
we looked at the information itself. This report by Mr. Dale
Reynolds deals specifically with the sources of information in
Canada and the United States, -the materials that are available
from official agencies and suggests some specifications for an
information program.

The next report concerns public participation in the manage-
ment of water and land resources by Mr. Arvid Thomson. Another
report by Mr. Lawrence Saunders is about the problem of develop-
ment of the Great Lakes,.and while this is more of a general
report, it addresses itself to what kind of population strategies
should the nations be concerned with; new towns, restrictions
in growth; population, transfer of,population; and the like.

We also examined the boundary situations between Canada and
the United States at Niagara Falls. There are comparable situations
between Detroit and Windsor and at St. Mary's in the Lake
Superior area.

This case study by Mr. Donald Kisicki considers how those
two boundary Governments might cooperate in the absence of a
specific treaty, for example, and how we could get improvements
in a regional situation. Finally, we have one dealing with
cost sharing on water pollution.

This set Of Studies, which I provide to the coriiiiiittee for
its files, shows that the development of additional information
to determine the specific nature of a new management arrange-
ment to be a practical task.

It is not something that we need to put off into the far
future. We are saying to those interested, "Look, we did it."
These reports, of course, are not complete, perhaps they
represent an effort that provides merely a start i' A lot more
refinement is needed, but I think we are saying to you that
it is a practical task and let's go to it.

Mr. Fascell. Yes. Both of you continue to amaze me, because
now we have an administrative blueprint as well as a legislative
blueprint. That is very unusual.

Mr. Fascel.l. Your original study, as I recall, it was based
on problems for two lakes. Is there any problem in expanding
this in any sense as far as making it applicable to all of the
lakes?

Dr. Francis. We thought not, Mr. Chairman We thought the
basic operating principles could be developed on the two lower
lakes. While their problems are more intense they could provide
a basis for extrapolating approaches to other lakes as may be
necessary. In principle, I think it should be the same.

Mr. Fascell. What about the concept in the interim report
that the only solutfon to the water level problem to the Great
Lakes is to move the people away?

Dr. Dworsky. George, do you want to talk about that?

Mr. Fascell. Are the Canadians prepared to resettle Montreal,
for example?

Dr. Francis. No sir; but it raises the question of shoreline
planning, a kind of coastal zone that has to be looked at.
There is some planning going on in the western end of Lake
Ontario where it is proposed to move the shoreline out into the
lake a little to provide waterfront parks and open space.

Mr. Fascell. You mean bulkhead out into the lake and fill
it in?

Dr. Francis. For open space.

Mr. Fascell. We have been doing that in Florida for years
and all of a sudden it has caught up with us, and we cannot
do that any more. It is not environmentally sound.

Mr. Fascell. Does the IJC or another organization now carry
on any comprehensive planning?

Dr. Dworsky. The comprehensive planning task on the Great
Lakes from the U.S. side is a responsibility of the Great Lakes
Basin Commission.

Mr. Fascell. Is that comprehensive or is that financial?

Dr. Dworsky. To the extent of our present-day planning.
techniques, one would call it comprehensive.

Mr. Fascell. Is there a comparable organization on the
Canadian side?

Dr. Francis. As far as I know, they have not engaged in that
kind of comprehensive planning on the lakes. There is t he
legislative framework within the Canada Water Act, but that
has been used with particular river basins elsewhere in the
country.

Mr. Fascell. If IJC were to be given the comprehensive
planning function as such, would that require some action on
the Canadian side since they do not have a comparable comprehensive
plan?

Dr. Dworsky. They do not have any in the Great Lakes, but
they have appropriate planning arrangements like that in the
Okanagan River Basin in British Columbia where they have developed
a similar format for a comprehensive plan.

Mr. Fascell. I wonder whether we would be slowed down since
the Canadians might feel they do not have that and are not
ready to go into it yet.

Dr. Francis. They have the arrangements to develop it but
there would be time needed to develop comparable comprehensive
data.

Dr. Dworsky. Canada has organized itself in many ways
better than we have. For example, the Center for Inland Water
Studies in Burlington under the direction of James Bruce is one
of the really effective new organizations on the Great Lakes.

We have nothing like that on the U.S. side. Canada has a
$22 million establishment staffed with a wide range of technologists
and social, political, and physical scientists and they have
done a magnificent job. I have been ashamed in many ways of our
lack of comparability.

Mr. Fascell. I was not suggesting by any means that we
had all of t information or institutions. I did not mean
that at all. I was again looking at the time factor.

Mr. Fascell. Mr. Kazen, we are glad you have returned.

Mr. Kazen. Mr. Chairman, I had another subcommittee meeting
dealing with our energy problems.

Mr. Fascell. The Japanese mission on international energy
problems.

Mr. Kazen. I am sorry that I have to leave it, it is
awkward to try to ask any questions at this 'point after not
having been in the room during much of your testimony.

Back in your presentation before I left you said that the
joint agency would not tackle all the problems at the same
time.

On page 36 you have your primary level of international
concern and I know there are many, many primary categories.

Dr. Dworsky. Yes, sir.

Mr. Kazen. How would these be dealt with if you did not
tackle several at the same.time? How would you set your
priorities as to what to go about working out first?
Dr. bw':o:rs'ky:.' @ I '@hi nk 'We are@ say@i@n@'g*, Mr. Kazen, that we
did not want to indicate that everything could or should be
handled all at one time. On the other hand, the nature-of.
the problems will, in fact, determine the priorities.

If, for example, we find that the new treaty is managing.
well the water pollution area, that means for the next few

years we can begin to give our attention to the high water or
low levels of the Great Lakes and concentrate our work there.

I was trying to be cautious in the sense of not saying to you
that we are looking for an organization that will,take-on all
of these tasks at one time, but rather.that the organization
will grow and will develop in a careful way.

On the other hand, they will have whole sets of documents,
files, knowledge, vast organizations like thetorps of Engineers,
and fisheries people in Canada and the United States, that they
can lean upon to make the institution work ' The.task is to
set up an institution that can schedule its work and let it begin
to bring some management skills to bear on the multiple problems
of the Great Lakes.

If it were decided to do all tasks concurrently, that is
great. But, I was trying to say it could grow, based upon
whatever schedule seemed appropriate. The other suggestion we
made, while you were gone, was that we wanted a program to be
responsible to the Congress and Parliament, which meant that
you and your colleagues would be able to help determine how fast
we wanted them to go.

Mr. Kazen. I can realize what the problem would be,
because with such.a vast area, when we talk about the Great
Lakes, it is not something minute, and various parts of Canada
and the United States would have various interests.

One section might be interested in pollution at the very
same time that fisheries was having problems. suppose that
this is why these subjects have been dealt with separately in
the past, isn't it?

Dr. Dworsky. Partly so, sir. Let me suggest to you, for
example, that if I w6re to tell you that Canada and the United
States jointly have not given any direction to any organization
to jointly examine the question of water pollution control in
Lake Superiorand Lake Huron until April 15, 1972, you would say
that this is impossible.

The fact of the matter is that Canada and the United States
have not given to any agency the responsibility to look at the
waters of the lake. I am not talking about boundary waters at
St. Mary's. rhey gave that resolution to them in 1946 and earlier
in 1912.

The boundary Waters at the Sault and Detroit and at Niagara
were the principal early concerns. The 1964 reference gave them

100

the direction to look at Lake Ontario and Lake Erie, but it
was not until this agreement of this date that I have quoted
that the two countries have said to the IJC for the first time,
look at the problem of the lakes of Superior and Huron.

This is 1973. It is self-evident on its face that somebody
should have been looking after this matter.

Mr. Kazen. Thank you, Doctor.

Mr. Fascell. You have done a fantastic job and the detail
is amazing. The illustrations that you have given us have
been helpful. But, at this point, I am still slightly confused.
I wonder why the group did not select one alternative over
the other, for example.

Am I to give any meaning to the manner in which they are
presented as No. 1 or No. 2? Do each of you personally agree
on either one of the alternatives, or do you have a difference
of opinion?

Dr. Dworsky. In fact, part of this report represents the
lowest common denominator you could get a group to agree upon.
We were willing to go with that because we had as our objective,
the seeking of an opportunity to stimulate a public debate on
this matter. This is exactly what has happened and, thanks to
you, we have been allowed to explore the question and to have
greater illumination on the question. We also recognized we
did not go into the kind of detail you are asking for.

So, as far as the report is concerned, that is the reason
for not being more precise and selective.

Mr. Fascell. Dr. Francis?

Dr. Francis. A seminar, being what it is, got as far as
opening the discussion. I am not prepared to say whether one
or two is preferable at this stage. I think, as did others
in the seminars, that this represents a reasonable proposal
and a basis on which to proceed, but we recognize we should have
other views and experiences brought into this question. We
do not want to suggest now that we somehow or other know exactly
what ought to be in specified detail.-

Mr. Fascell. I can see that you gentlemen have acquired
expertise in another discipline, politics. I think, frankly,
my own view is that you are probably very intelligent in setting
up alternatives, rather than specifics, and that gives everybody
an ample opportunity to-create their own ideas within the
framework of your guidelines.

101

Dr. Dworsky. My own respect goes to the Congress, because
it seems to me here is where national policy is made. Here in
the Congress is where the debate ought to be undertaken. Here
is where discussions and in-department alternatives have to be
considered.

Here is where the responsibility rests.

Mr. Fascell. We will do the best we can.

Mr. Fascell. Gentlemen, let me thank you and all of your
colleagues who have participated in the seminar. You have
shown an extraordinary amount of dedicatfon, interest, and
enthusiasm. What you have done for us today, as well as the
public generally, is a very significant contribution.

I can tell by looking at both of you and with the backup
of your colleagues, that this is going to continue. I trust
that the product now will be such that IJC will become a product
itself and an initiator, and that we will, in some fashion,
begin to deal with this problem before it envelops us all.

Dr. Dworsky. We wish to say that, during the course of the
entire program, representatives of both Canadian section and
U.S. section of IJC were participating with us. They were
tremendously helpful in giving us information and sharing
information and background. Mr. John Hendrickson, from the
U.S. section, is here today.

We laid all of our work on top of the table, openly, and
everybody knew what was going on.

Mr. Fascell. That is the way it had to be. The IJC people
have been very cooperative with us. We are all traveling the
same railroad track. With that kind of attitude, I hope we
can make some real improvement.

Gentlemen, thank you very much.

[Whereupon, at'..12 noon, the subcommittee adjourned, to
reconvene, subject to call of the Chair.]

102

Acti.vities.Withi.n The Great Lakes Fisheries-Commission

One of,the ",situation" conditions covered in.the Great*Lakes Report

concerned the effectiveness and separate nature of.the Great Lakes.

Fishery Commi,ssi.on. During the summer of,1973 two. sets.of notes were

placed before.the Commission by two of its distinguished members. On..

the United States side, Senior scientist S. H_ Smith wrote., inpart,

"The characteristics of the Great Lakes fish populations
and fisheries have, changed greatly@since the-Convention on
Great Lakes Fisheries was signed on September 10, 1954. New
management approaches and philosophies have-evolved reflecting
ad'vance.s in. fishery science and, rev.isions in economic.and
sociol.ogic factors related to the resource and its use.
Also, the fisheries have become a less discrete.resource and
are inseparably entwined with the full range of uses of the
Great Lakes for recreation, navigation, domestic and industrial
water supply and waste disposal@ and the relationship of
,these to urba,n, agriculture, and industrial land development
within the drainage area.

In consideration of these changes, it seems that the
terms of reference of the Convention on Fisheries of the
Great Lakes of 1954, and the modus operandi and the duties
of the Great Lakes Fishery Commission should be reviewed and
appropriate revisions made where.necessary to provide for
the most meaningful contributions for the rehabilitation
and optimum development of the Great Lakes fishery resource.
Any revision should enhance the strengths.and accomplishments
that the Great Lakes Fishery Commission has enjoyed to date,
and take advantage of the experience and accomplishments
of other fishery commissions. Specific-considerations should
include.

1. Alignment of.objectives, responsibilities,
and duties reflecting the broad relation
of fishery requirements to total resource
use and planning. Develop a mechanism for
formal interactions With the International
Joint Commission and major reg ional agencies
and institutions of Canada and the Uni,ted
States, which have responsibilities in
research, planning or management that can
have an impact on fisheries.

2. Revise the operating protocol of the Great
Lakes Fishery Commission (GLFC) to provide

103

for more functional interaction between the
Contracting Parties and their constituent
states and province for the,establishment and
allocation of international quotas, and
development of management schemes.under
Commission auspices. The Convention for the
North Atlantic Fisheries (Articles.VII and.
VIII) and experience of the International
Commission for North Atlantic Fisheries for
establishing and allocating,quotas in multijuri's-
dictional management may be instructive for
modifications of the Great Lakes Convention
and the Great Lakes Fishery Commission
structure.

The Scientific Advisory Committee recommends that the
Commission establish an ad hoc committee composed of two
commissioners, two fishery resource administrators, two
scientists, and two federal representatives.who are broadly
experienced in international conventions, with a representative
for each category from each country. The committee should
review the Great Lakes Convention and the organization
and activities of the Commission in relation to the present
and anticipated situation on the Great Lakes and report to
the Commission, at its Annual Meeting i,n 1974 concerning need
and possibilities for revision of the.Convention, the
Commission's organization, or both."
Dr. Henry A. Regier of Canada addressed the followi.ng about the

Great Lakes Fishery Commission Structures and Functions to the

Commission.

"The political, social, environmental and industrial@
realities of 1973 as they relate to the fisheries of the
Great Lakes - are perceived to be very different from those
current in 1955 when the GLFC was created. By 1985 Qur
perceptions Of the new.realities will likely be as different
from those of 1973 as are the present concerns from those of
1955.

The GLFC was.structured to address one major problem of
1955 - the lamprey. Secondarily it was granted a research
co-ordinating role; it has also-gra.dually developed an
initiatoryfunction with research. Are the,present structure

104

and functionsadequate for 1973's problems? If so, will
they be adequate in 1985? If not - to either or both queries
then how might the GLFC be restructured? Or should it
perhaps be phased out of existence to permit the development
of a new institution!

Questions simi.lar to those above have been asked or
are being raised with respect to agencies responsible for
renewable resources and the natural environment at all levels
of-government from .municipal. through to the United Nations.
With respect to the major jurisdictions on the Great Lakes
many if not all the relevant institutions have recently been
reorganized in a ma IJor wIay ..The IJC and various inter-agency
bodies and committees in Canada and the USA, arecoming
under criti-cal scrutiny and may soon be rejuvenated or
restructured.

it would seem to be an odd and highly unlikely coincidence
that the GLFC. among all agencies, would alone continue to
be well suite@ to its a ttual or potential role under its
traditional modus operandi. More to the point, various
judgments.,expressed in i.nformal discussions with a spectrum
of experts long active in the 6L,FC clearly imply that it
badly needs a thorough overhaul and pe .rhaps a major
r.est,ructuring. The consensus among the malcontents appears
to be that present shortcomings cannot be blamed on GLFC
commissioners, officer s, secretariat, committee members, etc.
Rather they stem from a changed set of circumstances them-
selves partly the desired result of past Commission
initiatives - for which the present structure is relatively
.ineffective.

In the past nothing much could be done in such situations
until some major crisis developed that forced new initiatives
to be undertaken. Very recently both.poli,cy and program
planning have come to.be widely accepted as a legitimate and
necessary role for North American government agencies.
Laissez faire is now passe. Presumably the commissioners
are now entitled to view broaderplanning as a de facto
responsibility of the GLFC. If so, then the following outline
might s.erve as a basis for discussion on how policy and
program planning might proceed with a vJew to restructuring
and/or strengthening the GLFC.
Suggested steps

1. Review of the basic structure of the institution, by
po-litical, scientists in collaboration with Commission officers.

105

For a possible framework for the rev iew see: 'A Proposal for
Improving the management of the Great Lakes of the United
States and Canada,' Canada-United States University Seminar,
January 1973.

2. Review of Great Lakes agencies' management goals and
policies concerning fisheries by managers, perhaps under the
following headings: lamprey control, recreational fisheries,
commercial fisheries, environmental quality, multi-purpose
tradeoffs. Also to be reviewed is each agency's policy on
how to solve the common property problem with fisheries,
either recreational or commercial or'both.

3. Review of Great Lakes agencies' research goals and
policies concerning fisheries, by researchers, perhaps under
the same headings as in item 2 above.

4. Review of the operations of the Commission, in its
various parts and functions, by operational analysts, to
improve its efficiency.

5. Following completion of.review papers onitems 1
and 4:

a) compar e them for congruence and consistency
one with the others, and suggest how in-
congruities and inconsistencies might be
reconciled; and

b) compare what has emerged from the exercise
through 5(a), with overall goals and ,
policies for the entire mix of society's
demands on the Great Lakes.

Tasks 5(a) and (b) may be assigned to an interdisciplinary
team of political scientists, managers, researchers, and
operational analysts.

6. Develop a strategic plan for those goals and policies
relating to fish that are shared by all the major jurisdictions
on the lakes.

This task may be accomplished by the same professionals
that are assigned to item 5, pl.us assistants from each of,the
major jurisdictions that are thoroughly familiar with the
capabilities of the planning and executive functions of the
relevant agencies.

7. Develop regional tactical plans for resources shared
by two or more jurisdictions, by an interdisciplinary team of
regional experts."

106

Action taken during June, 1973 by the Great Lakes Fishery.Commission

included the following:

... 11B. Proposals for review of Commission structures and
functions

In considering its future course of action and objectives,
the Commission reviewed documents submitted by Dr. H. A. Regier
(The Great Lakes Fishery Commission - Structures and Functions)
and Dr. S. H. Smith (Review of Great Lakes Fishery Convention
and Commission). There was consensus that in view of the
changing times, it was incumbent upon the Commission to review
its activities to assure that its functions were an integral
part of the total scientific plan for the conservation and
enhancement of the natural resources of the Great Lakes. Con-
sequently, the Commission authorized the appointment of a
subcommittee to investigate proposals taking cognizance of the
changing concepts and objectives of related governmental
institutions involved in the planning and management of the
international natural resources of the Great Lakes. It was
suggested that the subcommittee be composed of a judicious
seld'ction'of Commission members and governmental agency staff
members from both countries. The Commission's Secretariat
would assist the subcommittee in compiling and circulating
documentary material and recommendations to the Commission
several weeks prior to the Interim Meeting in December 1973."

Further Congressional Action Related To The Great Lakes Inter-University
Seminar Report

On September 27, 1973 Congressman Charles A. Vanik (Ohio) commented

in the Congressional Record of that date his concern about the Senate

Confirmation of the International Joint Commission Members. Mr. Vanik,

in recording his statement made reference to "A Proposal For Improving

The Management of the Great Lakes of the United States and Canada, an

excellent,binational study prepared by Cornell University's Water

Resources and Marine Sciences Center." Mr. Vanik's statement and

a copy of H.R. 9858 dated August 2, 1.�731 follows.

107

In total, the Commission now has re-
sponsibilitles that have impact on water the Commis@ibo deteriorate into a Pat-,
SENATE MA77ON OF THE quality, hydroelectric power producti6n- ronage ag6ncyor alloFw unqualified mem-
CONFIRI
INTERNATIONAL JOINT COMMIS- deep draft navigation, and management.. bers to be Appointed.
SION MEMBERS of the water levels of the Great Lakes. Senate confirmation of the IJC com-
Water level control has come to be one missioners- would serve several ends, Mr.
HON. CHARLES A- VANIK of the most important areas of IJC jur- Speaker. Most importantly, it will show
OF o1no isdiction. Many of my colleagues are the President and the Commission itself
familiar with the - unprecedented high that the Congress expects more from the
IN THE HOUSE OF REPRESENTATIVES water levels in the Great Lakes during IJC. It will increase the quality of the
Thursday, September 27, 1973 the last 2 to 3 years and the attempts to Commission and insure that its commis-
Mr. VANM Mr. Speaker, shortly be- get someone, including the 1JC, to im- sioners are genuinely qualified *to serve
fore the summer recess, I Introduced a plement management and control pro- on an agency with these large and im-
bill which would require that the mem- grams to stabilize- the fluctuating water portant responsibilities. It will help to
bers of the three-man American section levels. Enormous property losses have re- increase the public visibilitY of the-IJC;
of the international Joint Commission sulted from the recent historic highs and despite a 60-year existence, the IJC has
be confirmed by -the Senate after their still no comprehensive man ement sys- remained low-key in word and deed,I and
nomination by the President. tem has been proposed. the Canadian. and American: citizenry- it
When the international Joint Com- A comprehensive Great Lakes - water serves often remain unaware of its purr
levels studY to look at water level. prob- pose and activity;
mission-IjC-was formed in 1909, it was lems and solutions was commissioned by I hope that - the - public, visibility will
responsible for the -resolution of matters the IJC in 1964, but it Is still not-com- lead to increased publie access- to the
of disagreement over the sbared bound-
pleted, and despite an Announced. com- Commission. The IJC does hold frequent
ary waters of the United States and Cari- Abletion date of. October,of thig year, it public hearings to hel-tr -them 'assess
ada.. Much of that boundary eappeaxs that the, public - will not see the problems, but the publio L%`not allowed,
through the Great LakO,@ and thus the'' complete study, until 1974, almost.:10 fua access ta- the executive, meetings,. Even-
agreement stated: .years after it was started. This fact alone after a request from my office, the Com-
The IJC Shall have jurisdiction. over and
Shall pass. upon au. cases involving the use, is extraordinary evidence of the IJC1s in- mission refused to allow us to examine
or obstruction or diversion of the waters sensitivity, sluggishness, and lack of re- the minutes of the executive meetings.
sponse to the two countries it is meant-to I find that, unjustifiable, Mr- Speaker.
That initial authority has expanded serve. We cannot be sure what they are doing
over the last six decades to include many In those 10 years the lakes have gone in their . meetings-whether they are
additional and larger responsibilities. For from famin to- flood; from. low-water playing cards .-or earnestly *considering
example, the Great Lakes Water Quality conditions where L Pleasure L boats have- problems that effect millions of - people
Agreement of 1972, signed by President been grounded at dockside, to high- and billions of dollars of property,;:-_@_'--'
Kaon and Prime Minister TrUdeau, gave water levels thatr have seen hundreds of The public is also barred fr-orn attend-
additional authority to the IJC in the feet of shoreline eaten away,, homes Ing the IJCs investigation and surveil-
area of water pollution control. smashed and broken to Pieces-by waves, lance board meetings. In December of
and practically every human. effort to 1972 there were a total of 28 of these
save Personal property and belongings boards, according to "A Proposal for Im-
thwarted by the storm-driven waters. - proving the Management of the Great
But Mr. Speaker, the correct applica, Lakes of the United States and Canada,"
tion of controls and regulations by the an excellent binationaf study prepared
IJC -can help to at least minimize- the at Cornell University's Water Resources
enormous fluctuations and make the and Marine Science- Center. These
lives of the 40. million Canadian and boards make many important and far-
American Great Lakes' residents easier reaching decisions that will be- recom-
and safer. mended to the IJC itself for final con-
The problems of stable water levels sideration.
have grown more and more complicated: Compounding the lack of freedo .in of
ship owners would like to deepen the. public access to the IJC's proceedings is
channel and rivers connecting the the fact that the public is also dented
Great Lakes so bigger and heavier ships inspection of the technical boards'
can bring in more cargo; hydroelectric periodic progress reports to the IJC. As
producers want to divert more water and of this date, my-office and all other Mem-
keep water level flows high to allow them bers of Congress are apparently denied
to make more electricity; industrial and that right also.'
domestic water consumption is rising
while their pollution discharges present Mr. Speaker, the future shows every
other problems; millions of Canadians Prospect of the IJC's responsibilities
and Americans want more recreational increasing, with an accompanying in-
space; homeowners demand action to crease in complexity of the problems And
save their land from eroding into the matters to be considered. We -must be
lakes. sure that they can and do carry out their
All these problems must be reconciled. tasks. I hope that my colleagues will give
But such reconciliation is difficult. Op- full consideration to legislation pro-
timurn water' levels for one interest, viding Senate confirmation of the Arneri-
group are often anathema for the oth4erg. can members of the International Joint
Whose interests are more important? Commission.
Can we leave shoreline residents at the
mercy of the elements? These are the
questions that a modern and responsive
IJC must deal with.
We can see that the job of the Inter-
national Joint Commission is not to be
taken lightly. Its members must be fully
qualifed in an area of hydrology, en-
gineering ecology, or international

108

93D CONGRESS H R
IST SESSION
98058

IN THE HOUSE OF REPRESENTATIVES

AuGUST 2 1973

Mr. VANIK following bill; which was referred to the Com-
Introduced
mittee on Post Office and Civil Service

A BILL
To require that the three United States Commissioners on the
International Joint Commission of the United States and
Canada be appointed by the President by and with the
advice and consent of, the Senate..
Be it enacted by the Senate and House of representa-
2 tives of the United States of. America in Congress assembled,
3 That the three United States. Commissioners authorized to

be appointed to the International Joint Commission of the
5 United States and Canada by article VII of the treaty en-
6 titled "Treaty with Great Britain relating to boundary
7 waters between the United States and Canada, signed
January 11, 1909 (36: 72qStat. 2448), shall be appointed by

109

1 the President by and with the advice and consent of the

2 Senate.

3 SEC. 2. The provisionss of the first section shall only

4 apply with respect to, commissioners appointed after the date

5 of enactment of this Act.

110

On December 11, 1973, Senator Nelson (Wisconsin), for himself and

Senators.Hart (Michigan) and Hathaway (Ma ine),introduced Senate Bill

S2797 requiring that I.J.C., Commissioners from the United States be

appointed by the President with the.advice and consent of the Senate.

Byxir.. NELSON '(for himself, Mr. Presently, the Commissioners coordt@
HART, and Mr. HATHAWAY):. nate almost 30 technical advisory boards
S. 279".. A bill to require that the three that are Inveszigating problems and
U.S. Commissioners on the International helping to plan for the future of the
joint commission of the United States Lakes. This is a most important.tas]L
and Canada be appointed by the Presi- Over 15 percent of the population and
dent by and with the advice and consent. economy of this country depends on the
of the Senate, to establish fixed terms of Lakes. Over 40 million people now live
office for such Commissioners, and to around the Great Lakes and by the year
make the commission bipartisan. Re- 2000 that figure is estimated to jump to
ferred to the Committee on Foreign almost 60 million. over one-third of the
Relations. border between Canada and this country
Mr. NELsr_).NL. Mr- President. the transverses the Great Lakes.
border between tlie.13nited States and. The bill that I am introducing with
the distinguished Senators from Michi-
Canada is the longest unguarded bound- gan (Mr. HART) and Maine (Mr. HATia-
ary in the world. Of that boundary, ap-, AWAY) is straightforward. It accom-
proximately 1,400 miles is formed by plishes three th:n-s: First, it mandates
waterways, either lakes, rivers. or canals.
Since 1909, all authority of these water- that the President's, appointments have
,ways, which includes not only the Great the advice and consent of the Senate;
Lakes but the entire American-Canadian second, it legislates that these appoint-
ments have fixed terms. of office; and
Northern boundary area has rested in the third, it states that the Commission is to
hands of the International Joint Com- be bipartisan.
mission on the Great Lakes composed of in times like these we cannot afford
three Canadian Commissioners chosen to be caught short in the kinds of men
by the Queen with the recommendation- who will fill these positions of increas-
of the Governmenf Council of Canada ing responsibility. We must have men of
and three American Commi sioners, who vision who ate professionally qualified
in the past. have been. chosen by the to carry out the duties and responsibill-
President with no oversight by any con- ties of this office v. ith industry and vigor.
gressional body.
FDr these reasons. my distinguished col-
The Commissioners occupy what has
become a strategic policy and planning leagues and myself have written a bill
position in the last two or three decades. that requires the American nomiriees
The settlement of people directly on the for the International Joint Cornmission
shore of the Great Lakes has increased to be subject to the same approval of the
dramatically, as has the commerce and Senate as is now required of officials ap-
trade which. is carried on, particularly pointed to other positions of similar re-
since the opening of the St. Lawrence sponsibility.
Seaway. only in this way, with proper congres-
This increased settlement and this sional oversight of these appointments,
heavy increase of traffic have added can we insure that the men chosen will
greatly to the responsibilities of the Com- be of the caliber that we need to. deal
mission in overseeing and planning for with the problems of the future in this.
problems such as.water and air pollution area of our international waterways.
and the control of lake levels which in The Canadian Government has long
the last few Years has destroyed,mi'llons subjected its nominees to a strict scru-
of dollars in both public. and private tiny with regard to their qualifications
Property. In addition, the Commissioners for. office. We must begin to do the same,
supervise research inwildlife habitat and If these positions are to be used with the
the fishing industry. kind of imagination that is necessarv
IMore recently, the importance of find- for the future.
in.- new source& of energy has suggested
the Possibility Lof hydroelectric, or tidal
power as alternativies to the fossil fuels
on which we heavily rely. Certainly these
sources of power involve the Great Lakes
and thereby come under the control of
the Joint Commission. These factors
further increase the' importance of the
Planning which the American and Ca.
nadian Commissioners must direct.

In this chapter a series of new initiatives supporting changes in

the public policy of Great Lakes management have bee n discussed. These

are ongoing efforts and the ultimate. conclusions are yet to be developed.

However, the objective in presenting this chapter was to illustrate that

effecting changes in public policy is best achieved by developing a broad

base of general awareness and concern. Publishing a report proposing new

ideas is only a beginning. This must be followed up with initiatives to

insure that the report is read and understood by those individuals or

groups capable of adjusting public policy.

CLEANUP UF LAKES IS DEALT SETBACK BY U.S. CONGRESS

Mr. Blatnik described the
Congressmen have been an-
By ROSS H. MUNRO gry because. the tight-fisted ith who see financial authorizations being thwart effect of the EPA priority rule
Globe- and Mat) Reporter Nixon Administration refuses the Nixon Adminstration- on Ohio where "there are
WASHINGTON - Canada to spend as much money as Understand that this As not some $500-million worth of
has been caught in the middle Congress has authorized for jingoistic," stressed an aide to projects required on Lake
of a fight between Congress combatting water pollution. Senator Muskie-, -it's 'not be Erie to meet our international
and President Richard Nixon They became eve In angrier - -abrogate agreements.
cause we. want to'
over the cleanup of water pol- when 'they discovered that the treaty It's because we "They need to be con-
luticn in the Great Lakes. EPA is telling.states border- want Nixon. to--spend the structed. immediately, if we
The cleanup program suf- ing the Great Lakes that money he s supposed to." are to meet the agreements.

f ered a potentially major set- the reduced federal grants President Nixon is su This means that the allocation
back yesterday when, Cong 'must be spent first on the posed" - to .,spend $18-billion for the state of Ohio for the
gress passed legislation that lakes rather than on down- during a three-year period but next two fiscal years or more
would stop the Nixon Admin- state rivers. I EPA officials-have announced would be used only on the
istratior Earlier, this year, the EPA shores of Lake Erie. There
-from giving spending that they are being allowed to
priority to water treatment set those spending priorities .-Spend only- $12-billion. If the are other areas in the state
largely because of pressure impounded . $6-billion is re- that have equal priority.
f acilities,.The-facilities are re-_
quired by the Great Lakes which camed directly from Ott- ]eased, another. Senate staff The only voice of opposition
Water Quality Agreement. -lid indirectlv from official said. yesterday, the to the agreement was that of
offi ix, A i Charles Vanik, a Democratic
signed by..Canadar and Queens Park. Canadian., ndministration can still
officials feared that the Nixon
United States in 1972. congressman representing
As an -amendment to-the- Administration's budget cut- comply with the Great Lakes part of Cleveland, a city con-
U.S. Federal- Water Pollution, back could spell an end to agreement. sidered a major culprit in the
Control Act, the : legislation, U.S- commitment to have -If it is the desire of the, pollution of Lake Erie.
was hurriedly and overwhelm- Administration to have the in- "I believe that when the
ingly passed by the House of all Great Lakes water pollu- ternational agreements imple- President goes to Ottawa and
ority item," makes a pledge to the Cana-
.Representatives on Tuesday_ tion projects completed or un- mented as a pri
and then by the Senate vester-- derway.by the end of 1975.. Mr. Blatnik told the Ho , han people that our Govern-
day. Congressional sentiment The amendment was spear- "we would suggest that they ment will spend $2-billion to
favoring The amendment was headed by a formidable, submit appropriate legislation clean up the lakes, the states
so strong that it appeared that wide-ranging coalition of con- authorizing the construction should certainly co-operate in
even if President Nixon ve- gressmen-Democratic Party and providing. a source of ap- fulfilling that pledge."
toes it, Congress will force leaders of the anti-pollUtiOn propiriations for the necessary The amendment, Mr. Vanik
throuch a similar amendment fight such as, Senator Edmund works." said, "will be a'setback of our
early' An EPA official said yester-
next year. Muskie;a Republican- repre- day that the EPA will cleanup efforts on the lakes."
The congressional action sentative from. southern Ohio
nearly everyone, by who feared his area is-being proa "if we
caught such Congress for such a
authorization
surprise including the U.S. short-changed;. a conservative have to, but this could only be
Environmental Protection D emoc r at-. from northern done if President Nixon's
Agency . which administers --Texas who sees a, similar situ- budget officials were willing
water pollution programs. The ation with Mexico and south to open up the entire issue of
Canadian Embassy did not Texas and-John BIatnik, the water pollution again and, in
hear about the amendment Powerful. chairman of the.
effect, invite defeat.
until after it had been sent to house. Public. Works commit-
President Nixon yesterday for
signing.

REFERENCES AND FOOTNOTES PAKT I

A Proposal for Improving the Management of the Great Lakes of the United
States and Canada, a report by the Canada-United States University
Seminar (1971-1972).
2Joint Canadian-U.S. commission established in.1912 pursuant to Article,
VII, Boundary Waters Treaty of 1909.

3
Report of the United.Nations Conference on:the Human Environment.held at
Stockholm, Sweden, June 5-16, 1972. Document A/CONF. 48/14, pp.. 33-34,
July 3, 19,72.

4
Agreement:Between Canada and the.United'States on Great Lakes Water
Quality, signed in Ottawa, April 15, 1972.

5
NAS/NAE, Institutional Arrangements for International Environmental
Cooperation, A Report to the Department of State by the Committee for
International Environmental Programs, National.Academy of Sciences,
Washington, D. C., 1972.

6
See Jerome P. Pickard, Metropolitanization of the United States, Urban
Land Institute, Washington, D. C., 1959, also Jerome P. Pickard, Is
Megalopolis Inevitable? in The Futurist, Vol. IV., No. 5, October-1970
published by World Future Society, Washingto n, D..C.. 20036.

7
See James W. Fesler, "National Water Resources Administration." in Economics
and Public Policy in Water Resources Development, Stephen C. Smith &
Emery N. Castle, eds., Iowa State University Press,.1965.

8
IJC Docket No. 83, a reference dated October 7, 1964 requesting the
Commission to underta'ke2a study of water pollution in.Lake Erie, Lake
Ontario and the international section of the St. Lawrence River and. to
recommend practicable remedial me *asures.. Appropriate technical boards
were formed and a report was submitted to the IJC,in 19,69.

9
Report of the International Board of Inquiry of the United States and
Canada, Science, Vol. 44, January 7. 19443, 10,-
10 Convention on Great Lakes Fisheries, September 105 1954; 6 UST 2836;
TIAS 3326,(entered into force October 11,1955); Art. I-I.,

IJC Docket No. 82, a reference dated October 7, 1964 requesting the
Commission."to determine whether measures,within the Great Lakes Basin
can be taken, in the public interest to regulate further the'levels

113

of the Great Lakes or any of them and their connecting waters so as
to reduce the extremes of stages ... experienced...". The International
Great Lakes.Levels Board was established; a final report isexpected
to be issued in late 1973.
12 Thomas M. Patterson and Harley F. LAwhead, History and Present Status
of Regulation and Regulation Studies of Water Levels-and Flows on the
Great Lakes, in proceedings of the Great Lakes Water Resources Con-
ference, June 24-26,.1968, Toronto, sponsored by the Engineering
Institute of Canada and the American Society of Civil Engineers, p. 217.
13 The present operating dates for the Great Lakes-St. Lawrence Seaway
system are April 1 - December 15, with some annual variation,
depending on climatic conditions. The 1971 season was the longest on
record, running from April 1, 1971 into February 1972.

14
Rivers and Harbors Act of 1970; P.L. 91-611, Section 107. The Winter
Navigation Demonstration Program is being conducted by the U.S. Army
Corps of Engineers as lead agency in an organization of ten federal
agencies comprising the Winter Navigation Board.

15
Federal Water Pollution Control Act Amendments of 1972, October 18,.
1972; P.L. 92-500, 86 Stat. 816. In Canada, the Federal Canada Water
Act of 1970 which provides an.important mechanism for joint efforts
in interprovincial and binational water management programs; The
Federal Fisheries Act Amendments of 1970 which authorize the setting
of national effluent standards for all industries discharging wastes
into waters inhabited by fish.
16 Standord H. Smith, Species Succession and Fishery Exploitatio .n in the
Great Lakes, in Journal of the Fis@ery Research Board of Canada,
1968, pp. 667-693. ,
.17 The discussion on user charges of the St. Lawrence Seaway System is
taken from Eric Shenker,.and John W. Wilson (University of Wisconsin)
The First 7 Years of the St. Lawrence Seaway, reprinted in 112 Cong.
Rec. 24661 (19-6-6l-.
18 Merchant Marine Act of 1970 October 21, 1970-9 P.L. 91-469; 84 Stat.
1018, Sect. 43.
19 Shenker and Wilson, supra note 17, at 24661.
20 National Environmental Policy Act of .1969, January 1, 1970; P.L. �1-190;
83 Stat. 852.
21 Employment Act of 1946, as amended, February 20, 1946; 60 St at. 23.

114

21
.Employment Act of 1946, as amended, February 20, 1946; 60 Stat. 23.
22 Des.ign for Development: The Toronto-Ce ntred Region, areport issued by
the Government of Ontario on May 5, 1970, as part of a larger land use
analysis and planning program for Ontario known as Design for Development
initiated in April 1966 by the Government of Ontario..
23 Hawaii Rev@ Stat. Ch. 205 (Land Use Commission) 1968, as amended
(Supp. 1969).
24 Environmental Control Law of 197b, Act No. 250 of the Vermont Laws;
10 Vt. Stat. Ann. Ch. 151.

25
Wisconsin Shoreland Zoning Law; Wis. Stat. Ann. Ch. 59.971, 144.26
(Supp. 1970).

26
Laws of New York, 1971, Vol. I, Ch. 479. This Act provides for the
creation of agricultural districts to carry out the declared policy
of the state to conserve and protect agricultural lands from the
pressures of,urbanization.

27
Fred Bosselman and David Callies, The Quiet Revolution in Land Use Control,
prepared for the U.S. Council on Environmental Quality (U.S. Government
Printing Office: Washington, D. C.) 1.971.

28
The other existing Canada-United States treaty body, the Great Lakes
Fishery Commission, established pursuant to the 1954 Convention on Great
Lakes Fisheries (supra note 9.), has a more specialized mandate, to
wit: implementation of a program to control the sea lamprey and the
formulation and coordination of research programs designed to improve
the fisheries.
29 Both governments had appointed their respective members by November 10,
.1911; the Commission hel.d its organizational session in January 1912
and its first regular meeting on.April 13, 1913. See 49 Cong. Rec.
3123 (1913).'

30
Treaty with Great'Britain Relating to Boundary Waters, and Questions
Arising Between the United States and Canada, January 11, 1909;
36 Stat. 2448 (1910); TS 548 (entered into force May 13, 1910);
(hereinafter 1909 Treaty or Boundary Waters Treaty of 1909); preamble.

31
Id. Art. VII
32 Id. Article VII omits mention of.advice and consent of the Senate

33
Id.

115

34 Supra note 30, Arts. III & IV.
35 Supra Note 30, Art. IX.
36 Supra note, 30, Art VIII.
37 Supra note 35.
38 Info-rmation provided by U.S. Section, IJC (December 1972).
39 Supra note 4.
40 Id., Art. VII.
41 49 Cong. Rec. 4172 (1913).
42 Art. XIV of the Treaty declared that it "shall remain in force for five
years, dating from the day of exchange of ratifications (May 10, 1910)
and thereafter until terminated by twelve months' written notice given
by either High Contracting Party to the other".
43 J. L. MacCallum, The International Joint Commission, Canadian Geographical
Journal, Volume LXXII, No. 3, March 1966, p. 2.
44 A. D. P. Heeney, Along the Common Frontier: The International Joint
Commission, pamphlet prepared for the Canadian Institute of International
Affairs, Vol. XXVI, No. 5, July 1967, P. 7.
45 Matthew E. Welsh, The Work of the International Joint Commission, an
article from the Department of State Bulletin reprinted in the Congressional
Record, 115 Cong. Rec. 25032 (1969).-.
46 See Richard B. Bilder, Controlling Great Lakes Pollution: A Study in
United States-Canadian Environmental Cooperation, 70 Michigan L. Rev.
469 (1972)-,p. 521.
47 The permanent staff of the U.S. Section in mid-1972 consisted of one
full-time Chairman and two part-time commissioners; an Executive
Director; a Secretary and two secretaries.
48 49 Cong. Rec. 4175 (1913).
49 Information provided by U.S. Section, IJC (July 1972).
50 Id. (December 1972).

116

51 Matthew E. Welsh an d A. D. P. Heeney, International Joint Commission:.
United States and Canada, a paper presented at the International Con-
ference on Water for Peace, May 23-31, 1967, Department of State,
Washin gton, D. C.

52
46 Cong. Rec. 335 (1911).

53
As of mid-1972, one entry had been made in the Congressional Record
since the lst session of the 86th Congress (1959) to wit: iR-s-ertion
into the. Record by Senator Hartke of an article on the IJC written
by the then.Chairman of the U.S. Section, Matthew E. Welsh (1969);
see 115 Cong. Rec. 25032 (1969).
54 An encouraging exception to this state of affairs is the interest in
the IJC taken by the Great Lakes Conference of Senators, a group under
the chairmanship of Senator William Proxmire of Wisconsin.
55 Bil.der, supra note 46 at 550.

56
In actuality, however, stream pollution investigations date from 1910
when Dr. Allan J. McLaughlin of the U.S. Public Health Service was
detailed to carry.out a survey of cities in the Great Lakes Basin,
with instructions to investigate the extent of pollution of their
water supplies and its relationship to the prevalence of typhoid
fever and other waterborne diseases. Those studies (1910-1911)
revealed the correspondence between typhoid fever rates and sewage-
polluted drinking water supplies. taken from lake waters.
57 49 Cong. Rec. M4,(1913).
58 IJC, Final Report on the Pollution of Boundary Waters Reference
(191@1@p. 31.
59 Id. at 51.

60
Id.

61
Don.C. Piper, The International Law of the Great Lakes, Publication
No. 30, Duke University Commonwealth Studies Cente@_,Duke University
Pre�s,,Durham, N.C., @1967, p. 86. See also Bilder, supra note 46
at 491.
62 IJC Doc. No. 54 (1946).,

63
IJC Doc. No. 55 (1948).,

117

64
Concerning water quality objectives or standards, Bilder, supra note 5
at 493 is quoted as follows: "The idea of recommending technical
water quality objectives was a major innovation...." "The objectives,
which were the first of their kind to be formulated on an international
basis, anticipated national action in both countries; the concept was
ultimately embodied in the (U.S.)-federal Water Quality Act of 1965
fifteen years later."
65 Jordan, Frederick J.E., Recent Developments in International Environmental
Control, 15 McGill L. Rev. 279 (1969).
66 Id, pp. 298-299.
67 Id., pp. 299-300.
68 Id., p. 300.
69 Id.5 p. 301.
70 Id.1, p. 301.

71
Livingston T.. Merchant and A.D.P. Heeney,, Canada and the United States-
Principles for Partnership ., June 28, 1965, Department of State Bulletin,
August 2, 1965, U.S. Government Printing Office: Washington, D. C.
(1965).

72
Ambassador Heeney was at the time serving as Chairman, Canadian Section
of the IJC; he was in that capacity 1962-1970.
73 Paragraph No. 45.
74 Id.

75 Id.
76 White House Press Release (Austin, Texas) dated July 12, 1965.
77 111 Cong. Rec. 25394 (1965).
78 Reps. Tup er (Me.), Ellsworth (Kans.), Frelinghusen (N.J.), Horton (N.Y.),
Mathias N.), Morse (Mass.), Mosher (Ohio), Reid (N.Y.), Robinson (N.Y.),
and Smith (N.Y.).
79 Supra note 77 at 25397.

80 Id.

81
Lyl e E. Crai,ne, FInal Report on Institutional Arrangements for the Great
Lakes', report prepared for the Great Lakes Basin Commission, March 15,
1972, p. 11-4.
82 Id. at S-2.
.83 Water Resources Planning Act of 1965, July 22, 1965.
84 Canada Water Act of 1970, Can. Stat. c.52 (1969-1970).

PART TWO

AN EXPERIMENTAL OPERATIONS OFFICE

119

INTRODUCTION PARTS-TWO AND THREE

As referred to in the Hearings before the Inter-American Subcommittee

under the Chairmanship of Congressman Fascell, a third phase of the

research effort on the Great Lakes Basin consisted of an attempt to

develop'further the idea of a binational management office with wide

coordinative responsibilities for the Lake Erie and Ontario Basins. Con-

currently with the Canada United States University Seminar (December

1971 - June 1972), a second graduate student group at Cornell University

investigated, under the guidance of Professors Leonard B. Dworsky, C.

Donald Gates and David J. Allee, selected elements of a hypothetical

joint mana gement office. As part of this effort, seven graduate students

completed five thesis for advanced degrees, and two research papers on

some facet of a joint regional management office.

The type of joint office conceptualized was one designed to carry

out a coordinative role in the management of a wide ranae of resource-

use problems. The list of such problems used in the investigation

included; water quality; municipal/industrial water supply; agricultural

water supply; lake level control; hydropower; flood control; navigation-,

shoreline erosion; fish and wildlife protection; water-bas ed recreation;

solid waste disposal; air quality; economic development; agriculture; and

transportation.

In our attempt to simulate a Great Lakes operations office jointly

established-and operated by Canada and the United States, we endeavored

to examine a selected number of those problems whichboth thedesigners

of such an office as well as those who-are ultimately charged with its

direction would be obliged to address.

120

An obvious initial cons.ideration, for example, would be the

structure and functions of a modified joint agency. This topic was

dealt with in Natural Resources Management in the Great Lakes Basin

by James A. Burkholder. A primary t ask of an operations office would

be the collection, interpretation and dissemination of data and infor-

mation pertaining to the Basin. This important area was.treated in

An Information System for the Management of Lake Ontario by Dale

Reynolds. The role of public participation in the activities of the

proposed Basin operations office was examined in detail in Public

Participation in Water and Land Management by Arvid L. Thomsen.

Demographic trends and problems were traced on a national scale and then

examined with respect to the Lake Ontario Basin as a case study in

Toward a National Population Redistribution Policy: Some Policy Issues

by Lawrence W. Saunders. Special problems of environmental quality

management along an international boundary was the subject of Environ-

mental Management of the Great Lakes International Boundary Areas: A

Case Study of the Niagara Urban RtLion by Donald R. Kisicki. Land use

management as an integral part of the overall planning process was the

subject of a paper Land Management in the Lake Ontario Basin by James

M. Wolf. Finally, in his paper entitled Management of the Biological

Resources of the Lake Ontario Basin, Douglas M. Carlson provided a

comprehensive survey of the fish, wildlife and recreational aspects of

the lake basin as well as an assessment of present conservation manage-

ment practices.

These papers, in summary and in some cases revised form, comprise

the balance of this Reader.

121

CHAPTER V

A REORGANIZATION PLAN*

Introduction

Thewhole thrust of this book is the urgent need to remodel present,

institutions in order to make possible the wiser use of the resources of

an important region. The preceding chapter describes a recent joint

Canadian-United States effort to examine the problem and to mark out the

directions in which our respective governments might proceed. According

to that study, there are basically two alternatives. One is to pursue

the objective within the framework of a significantly strengthened

International Joint Commission. The other departs dramatically from the

status quo with the establishment by treaty of a completely new institutional

apparatus specifically tailored to the needs of the region. It is

important to point out that the Canada-United States University Seminar

took no official position as to which of the two might be the better

course. Likewise, the.present authors defer an expression of preference.

The consensus of the Seminar was that the decision properly belongs to

the U.S. and Canadian Governments. The ultimate choice, as the Seminar

saw it, depends greatly on such larger matters as the state of bilateral

relations, national priorities, the perceived urgency of the Great Lakes

problems and just how far both governments are prepared to go in cooperative

ventures of this sort.

*Based in part on original research1done by Mr. James A. Burkholder for
his master's degree thesis entitled, Natural Resources Management in the
Great Lakes Basin, 1973, a-t Cornell University.

122

'All the same, there is no need to wait around for the perfection

of the universe. There are some practical ways in which to refine the

ideas set forth in the report of the Seminar. In this chapter, for

example, we arbitrarily assume that Al:ternative 1,,a strengthened IJC,

is operative and we carry it from there, describing the organizational

modifications required to meet our perception of the needs of the Great

Lakes region. We do not claim that our scenario is faultless or that

a better variation could not be devised. It is simply one solution

one that we trust demonstrates.that the ideas expressed in general terms

heretofore are not so abstract but, on the contrary, are reducible to

practical and manageable terms.

Basic Functions of the Revised IJC Structure

What is being postulated is a joint Canadian-U.S. governmental

entity established by treaty and vested with adequate general and specific

authority to permit it to serve as the locus of coordination and concern
for all significan't matters related to the use of the water and related

land and air resources of the Great Lakes Basin. In the case of the

InternationalJoint Commission, there is treaty precedent as well as an

existing bilateral body. The task remaining is to build on that

foundation and this is one attempt to do that.

For clarity, it is appropriate to distinguish between the IJC - whic h

would continue to have treaty responsibilities for those boundary waters

outside the Great Lakes Basin and the joint body postulated here to be

123

established within thelJC framework with responsibilities limited to the

Basin. The latter shall be referred to in these pages in such terms as

the IJC Great Lakes arrangement or the new IJC structure. It will initially

consist of the IJC, 5 functional boards and a Great Lakes Operations Office.

In addition, the term "Great Lakes policy unit" refers to those officials

of this new three-part organization who are designated by the two govern-

ments to engage in policy-making or policy coordination functions.

There are five broad functional tasks regarded as the proper

responsibility of the Great Lakes Operations Office. They are:

(1) Basin-Wide Policy.Guidance,

(2) Coordinated Information System

(3) Coordination of Research

(4) Coordinated Planning

(5) Operational Coordination

These tasks are not being adequately accomplished under existing arr.ange-

ments for resources management in the Great Lakes simply because there is

no existing institution possessing both the basin-wide (international)

perspective and authority necessary.

Basin-Wide Policy Guidance

The 1972 Great Lakes Water Quality Agreement declares that the

governments of Canada and the United States are "convinced that the best

means to achieve improved water quality in the Great Lakes system is

124

through the.zdoption of common-objectives, the devel'opmeht andJmplementation

of.cooperative programs and other measures..,...." The logic 6f,this

statement, in our.view, should be extended beyond.water,quality concerns

to encompass a broader range of common natural resource problems and

issues relative to the Great Lakes region.

Basic to any joint effort to,confront common resource management

problems within the Basin are agreements on common objectives which must

i,n turn be translated into coordinated programs. As discussed in Chapter

1, there.are several significant concerns in addition to water quality
matters which-merit1:1equal consideration in the.face of continued develop-

ment around the Basin. What would be desirable is integrated bilateral

consideration of all significant concerns at the policy level in a manner

paralleling comprehensive basin planning approaches being pursued in other

areas within each.co.untry. To accomplish this, a joint forum must.be

provided with the authority to coordinate in some appropriate manner the

policy planning proc .esses i@n both countries insofar as they relate to

the water and related land and air resources of the Great Lakes. Ac-

cordingly, the bilateral focal point for Great Lakes resources.management

should be allowed to participate in national, state/provincial policy
P,16n'hing processes that affect to-a significant degree theresources

of the Great Lakes. In certain critical management areas, e.g., air

quality, fisheries9 l.ake levels, navigation, and water quality, the Great

Lakes policy-unit could take, as agreed between the two governments, an

125

active part in coordinating and guiding governmental policy-formulation

.activities in.the Great Lakes.region. This process has already been

Initiated through the IJC under the 1972 Water Quality Agreement. The Great

Lakes policy unit wouldadvisably be allowed as much latitude as possible

.-in developing and supervising those programs it is authorized to under-

,take.as defined in.the enabling treaty frame of reference.

Coordinated Information System

Development of coordinated information system would be a basic

function of the new IJC a rrangement and the direct responsibility of the

Great Lakes.operations office. Wi thout such a system, effective joint

planning, re search and related coordinating and guidance activities would

be grievously impaired.. The Great Lakes information unit would.be an

integral, part of the IJC/Operati.ons Office structure.

'The proposed system should not be a center containing the sum of

all knowledge generated relating to the Basin, as the,amount of data

involved would be so large as to overwhelm the ability to devise a method

for using it. The quality-of information, i.e., its reliability and

.usability, is more important than access to great masses.of raw data.

The collection activity should be designed for the specific data

and information needs and capabilities of the ultimate users. Of course,

the principal user would be the Great Lakes Operations Office. However,

the system could also serve to provide available material to the.three

.1-evels of the two governments, their operating agencies and departments,

126

and non-government interests of the Basin, as appropriate. Overall,

the information system is visualized as involving a two-way exchange

between the existing data and information services in each country and

the Great Lakes information unit. Government information systems are

seen as the principal raw data and information sources, but universities

and other private institutions are important ancillary sources that

should be tapped.

While the primary joint management concerns to be addressed may

be limited to five areas (air quality, fisheries, lake levels, navigation

and water quality), the working information base should encompass

pertinent data and information for the full range of concerns relating

to resource-use and development in the Great Lakes region. This is

particularly essential for meaningful planning and policy formulation,

as these activities rely.on having the "complete picture" on develop-

ments and trends affecting the 'Basin. For example, economic data,

including such items as population densities and distributions, natural

resource and related production inventories, and social and cultural

attitudes on aesthetic consideration, and economic development, are

factors which must be taken into account in basin-wide planning and policy

formulation activities. This type of information is not readily

available on a basin-wide scale at this time.

A large central computer system would not be essential to the

system's function. Remote terminals with access for input (storage)

127

and output (retrieval) to existing central computer units in each

c.ountry may be preferred, particularly from budgetar y standpoints.

For practical purposes however, at least a small computer operation

for compilation and identification of sources and preparation or

interpretation of data and information from outside units, may be

necessary. The goal is to place the new IJC arrangement in a position

to readily locate and utilize the full range of information needed to

facilitate its basin-wide operations.

The information system shouldalso support a basin-wide public

information function. The public information section could collect

pertinent information,on Great Lakes developments and disseminate

material of public interest throughout the region in a monthly publication

or special notices as appropriate.

Coordination of Research

The dynamic economic growth and related changes in the Great Lakes

region will continue to generate increasing conflicts of interest among

uses and users of available resources and place ever greater stresses

on efforts to maintain a high quality natural environment. At the same

time such complex questions as how social, economic and political factors

within the region significantly influence the nature and the extent

of demands placed upon the biophysical system and the approaches toward

effective resource management which may be most fruitful, are largely

128

unanswered. The precise nature of thesb,influences, on air, land and

water resources are, for the most part, not well understood.

What is not well understood is difficult to deal with. What should

be sought then it the knowledge which would prov.ide the best possible

understanding,of the complete Great Lakes system, i.e., the natural

system, including air, land and water, the interrelationships between

these natural features and how they affect and are affected by economic

and social developments,in both Canada and the United States. Logically,

it will take a concerted, bilateral effort to achieve even a reasonable

level of knowledge and overall understanding of these interrelationships.

At present there is considerable ongoing research oriented principally

to the study of the physical characteristics of the Great Lakes system.

Practically every major Canadian and American university within the

Basin has some type of Great Lakes research program underway. The many

government agencies and departments of both countries with jurisdiction

and, resource interests in the Great Lakes area not only support the bulk

of present research, but conduct Great Lakes oriented research programs

in their own laboratories and regional offices. There are coordinated

international efforts, the International Field Year on the Great Lakes

in such a special effort organized for concentrated physical and biological

research on Lake Ontario; it is also intended to provide information of basin-

wide value. There are joint studies.underway which coordinate Canadian-U.S.

participation through the two international commissions with responsibilities

in the Groat Lakes, the IJC and GLFC.. In addition, there.are specific

attempts being made to coordinate research activities on a basin-wide scale

129

through such bilateral organizations as the Great Lakes Study Group

and the International Association for Great Lakes Research.

With all the apparent research activity, one would still be hard

pressed-to find anyone familiar with the Great Lakes research question

who would consider present arrangements adequate. Furthermore, it is

unlikely that the collective effort of the identified groups, even in

combination with any other less formal exchanges that may exist, could

satisfactorily carry out the desired coordinating task. That more then

a single coordinating group is presently involved suggests the lack of

comprehensiveness and integration of effort of any one group. For example,

there is no single source which can identify all significant ongoing

research concerning the Great Lakes area, let alone that which has been

completed or is being.proposed. In addition, it is not difficult to

get a consensus opinion among those familiar with the present status of

Great Lakes research that there are large gaps in our knowledge of the

Basin which are not being filled under present arrangements.

The 1972 Great Lakes Water Quality Agreement provides for better

coordination of Great Lakes research. However, the ResearchAdvisory

Board established under that agreement is to coordinate.,and advise on.

research activities in both countries as they relate to Great Lakes water

pollution only. :Creation of the international. Research Advisory Board

is a commendable step. It represents a maturing bilateral relationship

which recognizes the.va.lue and need for coordinated research, on Great

Lakes water quality concerns. However, as importantas water quality

research may be at this time,.there are many otherareas for potential

research which merit similar bilateral attention. Research in such areas

130

areas as the behavioral/e:nvironmental field are in the shortest supply;

and when speaking in terms of environmental studies more than just water

quality must be considered. The broadest possible spectrum of research

concerns should be open for bilateral review and action.

A basin-wide research function organized to provide the expertise

to review the present state of knowledge on the Great Lakes and related

systems and to pinpoint the major gaps in our understanding of the total

system would be of'great benefit to both Canada and the United States. The

postulated Great Lakes Operations Office of the IJC could best provide this

service. With coordinating and guidance responsibilities should go some

means (authority and funds) to stimulate continuation of needed research

and to initiate new research to fill in the gaps of desired knowledge.

Research is especially important for long-term planning and manage-

ment. As such, the research function should be expected to play a

central role in supporting both the planning and policy formulation

activiti.es. The information system would, of course, be closely involved

with the research function.

Coordinated Planning

Coordinated planning on a comprehensive level is seen as a key to

any meaningful basin-wide endeavor - one that only a binational arrange-

ment can provide forthe@Great Lakes Basin. Jointly agreed upon objectives

are the premises for joint planning, i.e., planning is required to

translate common purpose into appropriate joint programs for action. The

proposed IJC Great Lakes arrangement should have a planning capability;

131

the following will describe the desired features of that planning

.role.

Ideally, the characteristics of the planning process include (a)

the coordinated collection of all possible facts on the problems or

issues; (b) the analysis of these facts in an objective setting; (c)

the development of alternative solutions as.guides to decision-making

bodies in determining courses of action; and (d) the appraisal of results

in implementing the plan and the initi-ation of review, modification,

and updating of the plan to meet future developments.

Of course, in the real world there are a number of constraints that

operate to make less than optimal this ideal planning process just

described. Among the many possible limiting factors are: lack of

enabling legislation to plan comprehensively; appropriations limitations

which in reality set the scope of planning efforts rega rdless of need-z,

limited technology and/or rapid new technological innovations which may

make rigid long-term plans unrealistic; the difficulty in making economic

projections in the detail useful for planning purposes; the changing

character of waterways and related natural systems due to continuous
,public and private development; and the continuous development of

new industrial products many of which may have significant impacts on

natural systems.both in production and in use. One more limiting

factor, possibly the principal constraint in terms of, planni ng for the

entire Great Lakes system, is the sharing of responsibilities for natural

resourcelmanagement between several levels of government, in not just

one but two countries, i.e., the constraints of intergovernmental plus

international relationsh ips. It is largely to deal with these,constraints

that a bilateral management arrangement is being advocated.

132

Undoubtedly, the "ideal" planning unit cannot be devised; however,

the four elements that define it provide a valid and useful framework

from which to develop a planning function.

Element (a) calls for the coordinated collection of all possible

facts on Great Lakes problems and issues. The comprehensive data and

information collection function of the Great Lakes "Coordinated Infor-

mation System" (Task 2), is conceived as providing for this basic require-

ment of the planning process. Conversely, part of the planning function

should be identification of information required for its function and

those other functions it is to support, principally the policy formulation

and assumed program implementation activities.

The second "ideal" element (b) would call for analysis of all

pertinent data and information to identify present, developing and potential

problems facing the Great Lakes system in an objective setting. Objectivity

is a key word. It is difficult to visualize how a reasonable measure

of objectivity could be obtained on mutual Great Lakes problems and

issues by other than a joint United States-Canadian planning group. The

Great Lakes planning unit should provide equivalent United States and

Canadian positions to be filled by individuals competent to assimilate

and coordinate, as appropriate, the relevant planning inputs of both

countries.

To satisfy the analytical function, the planning unit should be in

a position to identify specific impacts of existing problems and to
identify, as precisely as possible, probable effects of perceived problems

and proposed new developments impinging on the Great Lakes system. In

addition, the Great Lakes "planners" should be able and should be allowed

133

to develop possible alternative solutions to existing and perceived problems

and to recommend alternative courses to proposed developments in both

countries, if and as appropriate (subject to mutual agreement). Identification

of possible trade offs, both short-term and long-term, for the alternative

courses of action is inherent in all cases. The fundamental objective

'here should be to prevent or mitigate adverse impacts on the Great Lakes

system.

Since the basic issues will often involve the weighing of various

economic factors against corresponding environmental impacts, basin-wide

analysis similar to the environmental impact statements required under

Section 102(c) of the National Environmental Policy Act of 1969 (NEPA)
might be employed to good advantage.2 The sum total of the analytic

effort is to provide guidance to decision-making in determining the actual

courses of action (element c).

In order to facilitate an anticipatory planning approach which

emphasizes anticipating needs for policy determination and the development

of policy guidelines, a comprehensive plan should be prepared for the

entire (international) Great Lakes Basin. The concept of comprehensive

basin plans is an important and fundamental planning tool. In both

countries there exists legislative authority to undertake such plans.

In Canada the Okanagan Basin Study is a joint federal/provincial

planning effort initiated under the "Canada-British Columbia Okanagan -

Basin Agreement" of October 29, 1969. This agreement between the Govern-

ment of Canada and the Government of the Province of British Columbia

covers all aspects of water resources.in the Okanagan Basin, and specifically

states,the purpose of the study is "to develop a comprehensive framework

134

plan for the development and management of water resources for the social
betterment and economic growth in the Okanagan Basin." 3

Since the Okanagan agreement, the Canada Water Act of September 30,
1970 was enacted.4 This Act provid es a ready legislative platform for

cooperative federal-provincial planning ventures like the Okanagan Study,

where it is agreed "that the restoration of quality or the preservation

of it in a particular basin or coastal strip is of concern to both
governments" (federal-provincial). 5 In describing the planning process,

the Act calls for the formulation of "comprehensive water resource

management plans including detailed estimates of1the cost of the imple-

mentation of those plans and of revenues and other benefits likely to be

realized from.the implementation thereof based upon examination of the

full range of reasonable alternatives and taking into account views

expressed at public hearing and otherwise by persons likely to be affected
6
by implementation of the plans." Joint federal-provincial basin boards

can beset up under a, formal agreement to supervise broadly based planning

committees.

There is an immediate example of the desired type of interjurisdictional

framework planning effort in the United States with the United States

Great Lakes Basin Framework Study. This study is conducted under direction

of the Great Lakes Basin Commission (GLBC), a federal-states agency
created under Title II of the Water Resources Pla nning Act of 1965. 7 The

GLBC has work groups and task forces much as the Canadian planning effort

briefly described above provides for planning committees. The comprehensive

framework planning approaches developed in both countries are quite

similar. It would not appear that difficult to extend the principles and

135

processes familiar in each country to provide for a basin-wide (inter_

national) framework plan.

The basin-wide planning function should further provide that the

joint planning unit be authorized to serve as the principal coordinating

unit for federal, state/provincial, interstate, local and nongovernmental

plans for the development of water and land resources in the Great Lakes

Basin. Only in this way could a true basin-wide viewpoint be adequately

developed by the international group.

Characteristic (d) refers to the continuous review and up-dating of

plans. Obviously, this is essential to keep an organization's policy-making

function current and effective. A built-in flexibility is needed here.

Without the authorities and capability to initiate new efforts and/or
adjust original plans, a useful planning function could*not be continued.

In general the planning function must be given the latitude and means

to provide the necessary support for sound policy and management decisions

within the IJC's Great Lakes units defined scope of coordinating, im-

plementing and guidance responsibilities and authorities. This has

significant implications for translating bilateral plans into action, a

facet which will be discussed under the final task, "Operational Co-

ordination."

Operational Coordination

The mutual agreement of Canada and the United States to some measure

of meshing objectives, joint policy formulation and coordinated research

and planning would mean very little unless the concepts for these activities

can be translated into workable implementing programs. Operational

136

coordination, then, has to do with'facilitating both domestic programs
as well as the joint undertakings that are implemented to improve resource

management in the Great Lakes Basin.it-Thi@s,'p6@ticu,l'ar@''task is linked in

important ways,to many aspects discussed.in the previous four broad

functional tasks.

It must be assumed that each.country will be reasonably prepared to

carry out programs to fulfill their respective agreement or treaty

obligations. However, some joint mechanism, with responsibilities for

assisting in implementation of agreed u pon programs and other measures is

still needed. There can be no assurance@that joint efforts will, or are

serving achievement ofestablished bilateral objectives without a co-

ordinated monitoring or surveillance function. The results of original

programs must be analyzed and reported upon with recommendations for

new and/or revised Programs as appropriate. The total arrangement must

have a designed flexibility to-permit continuous.rev iew and change in
approaches when needed to meet new problems, to incorporate new objectives

and to utilize new scientific findings and developments in technology as

these emerge. The new IJC arrangement is the intended instrument for

facilitating this necessary common effort.

These are not completely new ideas. The 1972 Great Lakes Water

Quality Agreement has assigned the IJC a number of responsibilities and

functions to coordinate the implementation of that agreement and to

assist the two countries in their efforts to restore and protect the

water quality of.the Great Lakes. ..Generally, the Commission is to monitor

the success.of agreed upon pollution abatement programs, make recommendations

for new programs and make regular reports to the governments and the public.

137

The specific responsibili-ties and functions assiged to the IJC by the

two governments are:

1. Collection, Analysis and Dissemination of Data and Information
on Great Lakes Water Quality

2. Advice and Recommendations to Governments on Boundary Water
Pollution Matters

3. Coordination Assistance for Joint Activities Undertaken Pursuant
to the Agreement

4. Coordination Assistance for Great Lakes Water Quality Research

5. Annual Reporting to Governments on Program Progress and
Effectiveness

6. Discretionary Special Reports to G-overnments and Public on any
Great Lakes Water Quality Problem

7. Discretionary Authority to.Publish Its Own Documentation Prepared
in the Di..Scharge of Its Functions Under the Agreement

8. Authority to Independently Verify Data and Information Submitted
by Governments

9. Authority to Establish the Great Lakes Water Quality Board

10. Authority to Establish the Great Lakes Research Advisory Board

11. Authority to Establi.sh a Regional Office and Other Subordinate
Bodies

These kinds of functions and authorities now applied to the problems

of water quality in the Great Lakes would be extended, in our model, to

four other problem areas: air quality, fishery management, lake level
control and navigation. ITo be sure, this grouping constitutes one-third

of the complete set of Great Lakes resource management problems identified

by the Canada-United States University Seminar. Nevertheless, an initial

focus on these five by the new IJC Great Lakes arrangement, seems

desirable for at least threereasons that come to mind. First, with the

initial focus on five, the stage for a comprehensive and integrated Great

138

Lakes resource management scheme is thereby set and the entire process

may commence. Second, it would be unfair and imprudent to overload the

new organization as it struggles through the difficult early stages of

its existence. Finally, it is.not necessary to try to tackle all of the

problem areas at once; the others can be addressed and integrated into

the system as the need arises, in a natural, evolutionary manner.

The initial five problem areas would be the subject of both the

surveillance and mediation functions of the organization, whereas most

of th6 remaining ten problem areas would come-under the surveillance

role only. This is the case because many of the latter group are by

their nature primarily of domestic concern and responsibility and are,

therefore, in appropriate areas for the mediation function (joint standards,

compliance schedules, programs, etc.).

The surveillance role must not be derogated. It is the basic

"bread and butter" activity of the new organization. While the more

notable or more visible achievements of the organization may come about

through the mediation role, the more prosaic surveillance role provides

the indispensable wherewithal. Surveillance is necessary for the detection

and continued monitoring of the important trends in resource-use and

socio-economic development within the Great Lakes region. Only with

such information inputs can the proposed policy formulation mechanism

adequately serve its purpose which is to: (1) advise both governments

on desirable common goals, programs, standards, compliance schedules

and funding levels for a'truly integrated joint management effort; and

(2) to coordinate bilateral programs and implement jointly delegated

responsibilities and operations, e.g., joint research, mutual enforcement

and others as agreed.

139

There is another important aspect of the bilateral operations that

must be understood - the relationship of the new IJ.C. arrangement with

the existing resource management authorities in both countries. While

the comprehensive basin-wide approach.can be the key to effective natural

resource management within a basin, it is inconceivable that a single

basin-wide institution could effectively.operate on its own (or that it

should), particularly in a region the size and diversity of the Great Lakes

Basin. Craine, in his study for the GLBC, ag rees with this view. "The

idea of exercising a manager's typeof flexible direction over any
combination of the component func@ions throughout the Great Lakes Basin
seems obviously inapproprIate in a basin this size having highly diversified
and localized problem areas. It is one thing to conceive a management

agency with some (or even most) of the basin managemen t authorities for

the Maumee or even the Cuyahoga River, but it is another to centralize that

kind of intervention authority in an agency with respo.nsibilities for the
entire Great Lakes Basin. 118

Certainly, creation of any new institution or institutional re-

arrangement must take cognizance of existing institutions and authorities.

The importance of recognition of and integration with existing governments

and agencies cannot be overemphasized. Tasks which are or could be

adequately performed by the exi'sting authorities in both countries should

not be duplicated or superseded; only those functions for which there is

a present or anticipated need for attention should be assigned to a new

institution. This was an additional important consideration in the

selection of the five problem areas discussed above - to single out for

special attention those resource problem areas of the Great Lakes region

for which existing planning and programs are deficient in some important

140

respects. Another basic objective of the new organization would be to

minimize duplication of work and effort Among the various concerned

organizations and still see@to. it that all desired tasks are performed.

From a normative point of view, the.IJC's new Great Lakes unit must

be,geared to focusing, not diffusing administrative and political energies.,

It must, to the maximum extent possible, improve the horizontal.and-

vertical coordination and cooperation patterns of existing governmental

units at all levels.

Specific Functions and Organization of the Revised IJC Structure

General

Having identified the basic characteristics and function.s of the

postulated institutional structure, the task is now that of fitting the

pieces together into a specific institutional-proposal..

To start, this.matter of designing an international management

arrangement for the Great Lakes region should be put in correct.per-

spective. It has already been recognized that a c-ompl.ete international

institutional arrangement encompas sing the ful 1 range of desired manage-

ment functions could not likely be created at the outset only five of

a potential fifteen pos.sible areas of concern (ident.ified in'Chapter I)

are initially proposed as direct functional responsibilities for the new

office. It would be ingenuousto suppose that all of the concepts,

characteristics, criteria, and functions discussed in previous sections

could be directly incorporated into a.full-blown management arrangement.

While the tenor of this'investigation is in terms of an ideal arrangement,

it is recognized that the incremental approach is the preferred way of

141

doing things in this world. This acknowledgement is further tempered by

a graceful (albeit.reluctant) acceptance of the inevitability of sub_@

optimization in nearly every human endeavor. With these caveats now on

the record, we feel somewhat Iess vulnerable as we describe our approach

to organizational design as that of an incremental development which moves

toward, and approaches as a limit, the maximum of political acceptability.

While recognizing the reality of "incrementalism," tokenism must be

guarded against. Early substantial revision of present institutional

arrangements, centered on the IJC, is advocated. The institutional model

is developed in two stages or phases.

The Phase I arrangement is envisioned as the next step which might

be taken by the two governments. Phase II identifies a more complete

institutional rearrangement and is offered as,an eventual goal for Canada

and the United States in providing for effective resource management in

the Great Lakes Basin. The first stage reorganization plan entails

significant but less dramatic changes than those embodied in the more

structured Phase II proposal, its principal purpose being that of getting

the overall reorganization process underway.

The joint policy formulation, information collection, research,

planning and general management operations outlined in the first part

of this chapter would be fully developed in Phase II. Phase I will in-

.corporate each of these desired features, but they would be less completely

developed. The five special areas of concern: air quality,-fishery

management, lake level control, navigation and water quality are included

in the Phase I plan to set the framework for possible full development in

the Phase II organization. In both phases, the IJC's boundary water respon-

sibilities outside of the Great Lakes Basin would remain unaffected.

142

Organization charts are used to introduce each phase as a means of

lending clarity to the text. They serve an illustrative purpose; the

actual structural and administrative details could take any number of

different forms. For this reason the reader should focus on the concepts

introduced and not be unduly concerned with how the lines may be drawn

on the organiz ation charts.

Phase I

In Phase 1, the scope of IJC responsibilities would be significantly

broadened to ensure the comprehensive character and viewpoint required

for a more rational management of the resources of the Great Lakes. This

can be accomplished while at the same time preserving useful features of the
existing IJC structure. For example, the present IJC Joint board concept

might be adaptable to our present purpose. In our model, existing boards

directly concerned with air and water pollution are to be combined into

a single board; boards presently involved in control of, or studies on,

lake levels and flows are to be merged into one board; the fishery and

the navigation boards are the only really new additions. These five

boards would bear the primary responsibility for technical advice to

the IJC/Great Lakes Operations Office structure. The Research Advisory

Board is to be a more broadly based version of the board of the same

name set up under the Water Quality Agreement, but presently limited to

dealing with water quality research only.

In Phase I, the Great Lakes Operations Office would constitute

the most important new feature of the revised IJC structure. The-Operations

Office is that element to be charged with overall responsibility for

143

implementing the IJC's new treaty mandate in the Great Lakes Basin. it

is presently represented in embryonic form*by the recently established

Water-Quality Office. A substantial restructuring of the present boards

and formation of the Operations Office would obviously necessitate major

adjustments in the Commission, including a buildup of its central staff.

Thebasic functions that.were discussed in the first part of this

chapter would be carried out through a combined effort of the

Commission, the Operations Office and the five functional boards shown

on the chart. The basin-wide policy guidance activities would be a

primary function of the Commission. Development of a information system

would be assigned the Operations Office. The coordination and guidance

of Great Lakes research efforts would be the basic task of the Research

Advisory Board. Coordinated planning, including initial development of

a comprehensive framework plan, would be centered in the Operations

Office with Commission direction and board support. Operational coordination,

focusing on the administration of joint programs in the five key manage-

ment areas, as well as support of the policy-making, information,

planning and research functions of the other units,,would rely heavily

upon theindividual boards for their specialized guidance with administration

and reporting requirements accomplished by permanent staff of the

Operations Office.

The Commission, together with certain-senior level officials of

the five functional boards and of the Operations Office, would make up

what could be referred to as the "Great Lakes policy unit." The purpose

of this group is to accomplish policy coordination of the nature described

in the first part of the chapter under "Basin-Wide Policy Guidance."

Canada United States

IJC Boards Outside International
Great Lakes Basin Joint Commission

F Air and.Water Fishery Lake Leve Navigation Research
Quality Board Board
Board Board Advi sory Board

Great Lakes
Operations
Office

Proposed IJC Great Lakes Arrangement
Phase I

145

The Commission would assume an active, guiding role in this area. In

order for the Commission to properly assume such a role, a number of

modifications must be made.to match its capabilities with the broadened

responsibilities.

Foremost, the IJC mu.st be released,at least in the case of its

Great Lakes jurisdiction, from the present treaty constraint of acting

only when a matter is referred to it by both countries. The IJC should

be allowed the initiatory authority needed to identify and address in

a prompt manner emerging problems and to bring them to the attention

of the two governments and the public in advance of crisis, rather than

subsequent to it. The authority to create new technical boards or

working groups in addition to the five initial boards, should also be a

feature of the IJC's initiatory capabilities. As the-focal point of

Great Lakes 'policy coordination, the IJC should participate in those

national and state/provincial policy planning-processes that affect to

a significant degree the resources of the Great Lakes, contributing its

"Great Lakes view" to these processes. In the five special areas of

concern considered particularly important to the future of the Great Lakes,

the IJC should be given an active part in coordinating bilateral policies

and joint programs, as mutually agreed, extending somewhat the principles

initiated under the Water Quality Agreement. The IJC should also be

allowed as much latitude as possible in formulating policies to establish

new programs and administer its basic programs. In regard to areal

jurisdiction, Lake Michigan and its drainage area should formally (by

amendment to.the 1909 Boundary Waters Treaty) be included within the

international Great Lakes Basin,

146

The responsibility of providing policy guidance to the activities

related to the development of a comprehensive framework plan and the

creation of a Great Lakes information system and research program, through

its new subordinate units, would require the Commission's continued

attention. It is apparent that.the total workload of the Commission and

the demands on its immediate staff would be considerably greater than

at present. Therefore, it would be imperative that a number of structural

and administrative changes in the Commission accompany the increase in

responsibilities.

International Joint Commission

The IJC would undergo the following modifications:

1. The present membership of the Commission would be increased
from six to eight, four from each country, with all com-
missioners (not just the co-chairmen) accorded full-time
status.

2. The commissioners would be appointed to fixed terms, staggered
to ensure that there are at least two experienced commis-
sioners from each country serving at all times. The
commissioners would still be appointed by their respective
chiefs-of-state, however, their appointments should be
subject to confirmation in the appropriate manner by their
respective national legislatures. The positive role which
is to be assumed by the IJC should be an important criterion
in selection of the commissioners.

3. The Commission sections would need to be provided additional
staff to carry out their new functions. Creation of a
central binational staff to support the Commission's Great
Lakes functions might be considered. This would be in
addition to the staff of the Operations Office.

4. The IJC should be empowered to hold hearings on all matters
within its purview, not just on those matters which happen
to be referred to it by the two governments. At the same
time, the IJC, primarily through the Operations Office, should
assume the responsibility for keeping non-government as well as
government interests impartially informed on Great Lakes natural

147

resource-related matters as appropriate. This could
involve less formal, regular public information meetings
at selected locations around the Basin, similar to those
now being conducted by the U.S. Great Lakes Basin Com-
mission in connection with completion of its Great Lakes
Basin Framework Study. The Great Lakes boards should
also be-allowed to hold public hearing for their studies.

5. The IJC should be provided ready access to the court
systems of both countries in enforcement cases, as ap-
propriate, and other matters that may arise from operations
of the Operations Office and the Great Lakes boards.

The Great Lakes Operations Office

The policies and programs developed by the IJC, which would presumably

be within that body's treaty terms of reference with regard to improved

resource management in the Great Lakes Basin, would be carried out by the

Great Lakes Operations Office. The Office would be a. full-time operation

with permanent facilities situated,near the geographical center of the

Basin, likely in Windsor, Ontario, where the IJC's Water Quality Office

is now located. This would be a jointly staffed office with half of the

supervisory and supporting staff drawn from each country and directed under

arrangements agreed upon by both countries.

As previously indicated, the primary function of the Operations Office

would be to administer IJC-directed resource management activities within

the Great.Lakes region. This would call for close ties between the Office

and the Great Lakes boards. Accordingly, each board could be assigned

Office personnel, knowledgeable in that board's specific operations, to

act as a secretariat handling the professional and supportive tasks

connected with implementing, coordinating and reporting on board activities.

Each board woul.d have the delegated IJC responsibility for continuing

joint programs in its field, e.g., the fisheries board would direct the

148

lamprey control programs as had been done by the GLFC; the lake levels

board would be directing all of the regulating activities for Lakes Ontario

and Superior. The Operations Office staff would also assume the related

administrative tasks of assembling the technical data and information

generated within the board, for continuing appraisal of the ongoing joint

programs. Such arrangements should: (1) allow the board members more

time to devote to their substantive tasks; (2) form a more positive link

between the boards and the Commission than presently exists; and (3)

streamline each board's operations by administratively reducing the time

formerly required to prepare board reports and. to implement recommendations.

In addition to its functional relationships with the boards, the

Operations Office would assume responsibility for developing a complete

information collection and dissemination system in consonance with the

format described in the first part of this chapter under the heading:

"Coordinated Information System." Recall that a related task would be

maintaining a Great,Lakes public information program open to two-way

exchanges of information on the Great Lakes Basin matters.

The remaining major function of the Operations Office is that of

coordinating comprehensive basin-wide resource planning. A basic purpose

of this planning function would be to integrate the inputs of all interests

and their activities affecting the Great Lakes into an acceptable bilateral

framework plan which once developed, should guide the programmatic

planning of the existing governmental agencies with resource-related

missions in the Great Lakes region.

With respect to the general functional task referred to earlier as:

"Coordinated Planning," the United States through its Great Lakes Basin

149

Commission (GLBC) has a framework plan underway for the United States

portion of the Great Lakes Basin. Under the Canada Water Act, Canada

could set up a similar mechanism to plan for that portion of the Basin.

However, what is really called for is a comb ined (international) planning

function, i.e., the GLBC and a Canadian counterpart merged into a

unified planning effort. This is not meant to imply that the bilateral

planning effort should or need wait until a Canadian counterpart to the

GLBC has been created, for it would be preferable to go directly into

the international scheme.

The Great Lakes Basin Commission's Framework Study does provide

the base from which to expand into a truly basin-wide plan. Accordingly,

it is proposed that the GLBC, its staff and library of materials, be

incorporated into the Operations Office as the nucleus of the United

States complement of the binational planning staff. The GLBC contacts

and experience in preparation of its framework study for the United States

segment of the Great Lakes Basin would be definite assets in the formation

of a bilateral planning group. Unilateral continuation of the GLBC or

any Canadian counterpart would be pointless and might in fact deter the

joint planning effort.

The planning unit within the Operations Office wou ld be called upon

to recommend long-range schedules of priorities for the collection and

analysis of data. This unit would lay out for the high level decision-

makers in the IJC (the Commission) and the two governments, alternatives
@or proposed develo.pment and solution of system problems based on com-

prehensive, basin-wide considerations. Overall, the planning unit of

the Operations Office would play the key role in keeping the IJC's total

and impartial "Great Lakes viewpoint" in step with the.basin-wide developments.

150

The Great Lakes Boards

International boards would remain the essential technical units of

the IJC's Great Lakes arrangement. Th.e.desirability of designating five

resource problem areas (air quality, water quality, fishery management,,

lake level control and navigation) as the initial set of problems to

receive special attention has already been discussed and therefore will be

generally assumed at this juncture. Some additional details on what the

'creation of each of the five Great Lakes boards involves, follow.

Air and Water Quality Board. The 1972 Water Qualfty Agreement

authorizes to be.established a single Great Lakes Water Quality Board

having representation from state, provincial and federal agencies, depart-

ments and ministries. For air pollution matters there are two existing

boards: the International St. Clair-Detroit Pollution Board and the

International Air Pollution Advisory Board., H,owever, consideration of

Great Lakes air quality and water quality matters would seem best accom-

modated as a common board effort in the IJC's new Great Lakes arrangement.

There are a number of similarities in air and water pollution

control problems wherein analogous procedures could be employed to co-

ordinate common programs being administered, for the most part, by the

same agencies in both countries. Also, the pervasive nature of air

pollution suggests that it be considered in the broadest available forum.

The Water Quality Board, the largest of all IJC boards with representatives

from both federal governments, the Province of Ontario and all eight

Great Lakes States, provides this broad forum.

While water quality concerns-can be expected to demand the greater

attention for some time to come, the merger of air and water concerns

151

should not hamper specific consideration of either.a.ir or water quality

problems. Air.quality problems should also receive the broad attention

accorded water quality problems by the Water Quality Agreement. Subjecting

air quality matters to the scrutiny of the same broad forum should

achieve this purpose. If there is difficulty in.the idea of selecting

a single state representative for air and water quality matters, alternate

representatives could be used.

Fishery Board. The Great Lakes fishery is an important and essential

element of the proposed resource management arrangement. It must have

the, authority to address fishery concerns and to include fishery interests

in its planning and policy guidance.activities if it is to have a valid

claim to comprehensive and integrated management of Great Lakes resources.

The Great Lakes Fishery Commission (GLFC) is an autonomous body, created

by treaty between Canada and,the United States to carry out long-term

planning and undertake.certain programs for the improvement of the Great
Lakes fishery. 9 Technically, it i s coequal. to the 1JC although its

treaty mandate is strictly limited to fishery concerns. There appear to

be two ways'to resolve the problem. First, a liaison procedure could

be established between the GLFC and the Great Lakes Operations Office.

The success of this alternative would depend on the ability to maintain

close and direct contact between the-two agencies. Second, the GLFC

would be abolished and its responsibilities, authorities and programs

merged into a separate Fishery Board within the IJC arrangement. In our

judgment, a liaison procedure, no matter how earnestly applied, is a

Poor substitute.for the inherent advantages of outright union and a high

price to pay to preserve the integrity of the GLFC. Any attempt to have

152

it both ways can only undermine in the long.run the capacity of both

organizations to meet their assigned re sponsibilities. There appears to

be little advantage in keeping the central focus of fishery concerns

outside of the proposed comprehensive policy, planning and research

efforts of the IJC's Great Lakes structure.

It is therefore proposed that the implied amendments to the 1909

Boundary Waters Treaty provide also for the transfer of the Great Lakes

Fishery Commission to the new Great Lakes arrangement. The GLFC would

thus form the proposed Fishery Board. The present commission members

could be named to head up the Board. Former GLFC staff personnel would

serve with the Fishery Board or with the Operations Office. The transfer

en masse of the GLFC has the added advantage of preserving the trust,

good will and other working relationships that the Commission has

established with oth er agencies over the years. In addition, the merger

of the GLFC with the IJC arrangement would provide fishery managers of

both countries direct and convenient access to the full range of

available Great Lakes data and information, which, from indications, is

not the present case.

The GLFC-IJC merger is one of the most striki ng proposals made for

the Phase I reorganization. Amendments to two existing treaties would

be involved. The negotiation of these amendments need not necessarily

encounter insuperable difficu lties as long as they are conducted by both

parties in a spirit of doing what is best for the long-term interests of

the Great Lakes region.

Great Lakes Levels Board. This board would naturally evolve from

the present International.Great Lakes Levels Board in combination with

-the other IJC control and advi-sory boards concerned with levels and flows.

The. resulting single board would then encompass the-functions.and

responsibilities of the Great Lakes Levels Board and the remaining boards,

namely, the International Niagara River Board.of Control, the Inter-

national St. Lawrence River Board of Control, the International Lake

Superior Board of Control and the American Falls International. Board.

As for the other Great Lakes boards, the Operations Office would

provide administrative support thereby eliminating the need for board

committees such as the report committee of the present Great Lakes Levels

Bbard. The exchanges of data and parallel calculations now handled in

the agencies of the control board members could also be assumed by

Operations Office staff assigned to the new,central lake levels board.

Overall efficiency and effectiveness should be improved while relieving

the supporting agencies of their relatively.rudimentary-type, board

related tasks.

There are three international grou-ps presently outside of the IJC

board system that are also closely involved with Great Lakes lake levels

matters. These groups are the International Niagara Committee, the

Coordinating Committee on Great Lakes Basic Hydraulic and Hydrologic

Data and the Great Lakes Study Group. It would be proposed that the

materials, studies and general activities of these three groups be in-

corporated into thecentral Great Lakes Levels Board, the Research

Advisory Board andAhe Operations Office, as appropriate. A number of

,.loosely-knit groups collecting and generating data would tend to detract

from any.central effort. If the more meaningful comprehensive central

information andresearch efforts of the Operations Office and the Great

1511

Lakes boards are to be successful, the primary users and generators of

Great Lakes data and information, now enlisted in the above mentioned

informal coordinating gr1oups, should support use of, and thereby rely

upon the IJC's central system. Bilateral agreements covering the IJC's

new Great Lakes management role could direct federal agencies and depart-

ments to use and contribute to the IJC central information system and

research efforts in lieu of continuing support of diffuse, special interest

efforts. This would facilitate the IJC's Great Lakes function and provide

better service to the agencies and departments than now exists due to

the lack of an adequate central information arrangement.

Navigation Board. As discussed in Chapter I, there is no existing

Canadian-United States body specifically focusing on the many aspects

(economic, environmental, social) of Great Lakes navigation concerns.

The proposed Great Lakes Navigation Board would assume such a role,

formally integrating navigation interests and issues with the other

natural resource related concerns of the Basin. The Navigation Board

could evolve, at least in part, from the Navigation Committee of the

present International Great Lakes Levels Board.. A conclusion of the GLBC

Framework Study on navigation was that "continued study of traffic growth

and traffic patterns, technology and competition is necessary in planning
for Great Lakes navigation." 10 Such input shoul d properly be included

in the contemplated comprehensive planning effort-of the IJC arrangement.

The Navigation Board is needed to give specific attention to keeping

abreast of such matters through direct contacts with both government and

nongovernment navigation interests in both countries. Again, according

to the GLBC, "the future improvements of the Great Lakes-St. Lawrence

155

Seaway are to a large degree dependent on the probable legislative attitude

of both countries, toward the need for a vital waterway system, the

regulation of transportation by both governments, and the toll system and

legal and tax structures. For the IJC to assume a meaningful- role in

identifying potential common objectives and recommending joint policy,

such navigation related issues must be accounted for. The Navigation Board

woul.d provide the needed special assistance,to properly advise the

Commission and thereby give to navigation issues the specific bilateral

attention which these large-scale concerns merit.

Research Advisory Board. As noted previously, the proposed Great

Lakes research advisory board (GLRAB) is conceived as an extension of the

present Research Advisory Board created pursuant to the 1972 Water Quality

Agreement. Specific functions and responsibilities applied on a com-

prehensive scale would be consistent with those specified in the agreement

for establishment of the water quality Research Advisory Board. These

are:

(a) To review at regular intervals these (Great Lakes Basin)
research activities in order to:

(1) examine the adequacy and reliability of research
results, their dissemination, and the effective-
ness of their application;

(2) identify deficiencies in their scope, and in-
adequacies in their funding and in completion
schedules;

(3) identify additional research programs for which
international cooperation will be productive;

(4) identify specific research programs for which
international cooperation will be prod uctive;

156

(b) To provide advice and consolidations of scientific
opinion to the Commission and its boards on particular problems
referred to the Advisory Board by the Commission or its boards;

(d) To make recommendations to the Commission.

The GLRAB would be made up of Commission appointed government members,

academics, professional researchers and scientists with individual

qualifications suited to the tasks of the board. A principal task of the

board would be a comprehensive review of the state of knowledge on Great

Lakes resource matters pertinent to adequately understanding, and thereby

better managing, the overall system. This would require an intensive

study by the best qualified individuals available for this task. For

this initial review effort, it would be advisable that personnel from the

Operations Office be detailed to the GLRAB on a full-time basis.

The GLRAB would be administratively supported by the Operations

Office, as in the case of the other boards. There would necessarily be

a close interface with the information center of the Operations Office

and it could be expected that the GLRAB's contribution to the Commission's

Great Lakes planning and policy formulation roles would be substantial.

Regular exchanges with governmental and intergovernmental groups,

universities and private research organization could be expected as

necessary for the board to carry out its responsibilities.

Phase II

Phase I is a critical phase that is concerned primarily with matters

of reorganization an d the development of a Basin Plan. In order to allow

157

these essential preparatory activities to proceed as smoothly as possible,

it will be necessary to grant the new IJC arrangement the maximum freedom

of action consistent with treaty and other mutually agreed upon constraints

during that phase. It is for this reason that no formal provision was

made in Phase I for direct participation by the states, provinces, metro-

politan centers, nongovernmental organizations and citizens of the region.

This deficiency is corrected by Phase II with the creation of the Great

Lakes Policy Group (PG) and the lake basin offices. Refer to chart - Phase II.

It was considered more important to get the ship safely launched

before loading it down with all its cargo. Stated another way, only when

the new arrangement has completed its reorganization and has carried

forward the Basin Plan to advanced states of completion will it be adequately

prepared to mediate the interests of the large number of groups concerned

with one or more aspects of resource-use in the Great Lakes region. A

mechanism must be provided, at the appropriate time, to accommodate the

views of these concerned interests.

As a matter.of fact, Phase I is not devoid of this capability;,it

merely relegates the matter to one of s.econdary priority for the reasons

already stated. The Policy Group is already in gestation in Phase I in

the form of the Great Lakes policy unit, a label applied to the IJC and

policy level officials of the five boards and the Operations Office.

Accommodation of interests would be a major concern of the Phase I policy

unit. In Phase II, however, the policy unit undergoes a metamorphosis,

becoming the Great Lakes Policy Group.

Canada United States

IJC Boards Outside IjC Federal State/ Non-
Great Lakes Basin Mlember Provincial Government
Member & Public
11.1 c P,,, b e r
Great Lakes Policy Group

Air and Water Fishery Navigation Lake Levels Research
Quality Board Board Board Board Advisory Board

.Great Lakes
Operations
Office

Lake Ont
Lake S Lake Michigan- Lake Erie ar 'o
Office Huron Off' Int. St. Lawr7en
ce
Office River Offi c e

Proposed IJC Great Lakes Arrangement
Phase II

I 5Q

Great Lakes Policy Group

The Great Lakes Policy Group (PG) is conceived as a joint Canadian-

United States body which in Phase II would assume the IJC's mediation,

policy-making and general supervisory functions of Phase I. The Commission

would play a central role in the Policy Group and it would retain its

treaty responsibility as the official conduit for recommendations to the

two governments. The IJC would continue to serve in its role as advocate

for what is best for the Great Lakes as a whole. While under the Phase

11 model the IJC shares in a formal manner its policy-making authority

which it previously exercised without significant external influence,

this.new state of affairs need not constitute a threat to its hegemony

or the integrity of the organizational arrangements developed in Phase I.

It all depends on how well or how badly the enabling treaty amendment

is drafted. This task is perhaps the most important and most crucial

aspect of this entire project. The challenge is that of.striking the

correct balance between two very essential needs: (1) that of providing

an open forum at the policy-making level for all concerned,governments

and private sector groups and (2) that of preserving unified IJC leader-

ship to the five boards and Operations Office in order to achieve the-

desired Canadian-United States coordination of policies and programs in

the Great Lakes.

An amendment to the 1909 Boundary Waters Treaty would be required

to establish the Great Lakes Policy Group and to define its membership,

functions and decision rules. The PG should provide for representation

from federal, state and provincial governments as well as concerned

160

public interest groups. Special interest groups-representing directly

or indirectly profit-making organizations should not be represented on

the Policy Group.

Decisions bearing on who is to be represented and in what numbers

can be very difficult. The total number must be kept within reasonable

limits. For the present purpose, let us suppose that nine representatives

from each country is the limit that is established.

The nine representatives from the United States might include one

IJC representa-11-ive, two federal representatives, three state representatives,

one metropolitan area representative, one nongovernmen tal organization

representative and one public member. The Canadian representation could

be very similar with the exception that Ontario Province would have

three representatives as counterparts to the three state members from

the U.S. side. Since there are eight states in the Great Lakes Basin, a

rotation arrangement could be worked out in order to insure representation

from all Great Lakes states. Moreover, having eight states share three

representatives could promote greater interstate communication and co-

operation during the crucial early stages of the Great Lakes policy

formulation process. The Great Lakes Commission, which is an interstate

group established in 1955 under a Great Lakes Basin Compact, could serve

as the forum for selecting the three state representatives.

The terms of all Policy Group representatives (with the possible

exception of state members) should be set at a four year minimum. All

decisions would require a simple majority vote by the policy unit

members, without reference to nationality.

161-

Lake Basin Offices

In Phase I an Operations Office and a series of functional boards

were established to achieve the integration of programs in the Great

Lakes Basin as a whole. In Phase II, the complement of this structure

focusing on matters of basin-wide concern is created in the form of

lake basin offices with more specific or localized concerns. They are

set up to address the special problems of the individual lake basin.

The lake basin offices are linked to andare extensions of the Operations

Office. Each of the four basin offices would be located at points in

the particular lake basins considered most suitable by the Operations
Office with the approval of the Great Lakes policy unit. 12 Another

principal function of the lake basin offices would be to provide for

closer coordination of programs within the IJC's terms of reference.

The existence of such offices would also enhance the surveillance

capabilities of the new organization and would provide local points of

contact with the public. The lake basin offices are the international

version of Craine's "Regional Resource Management Agencies" which also

would operate under and as extensions of policy parameters established

by U.S. Great Lakes policy agency. The major difference between the
two similar basin agencies is that in Craine's model the agencies would

have (and indeed could.have in a national scheme) specific water resource

management authorities, such as information collection, regulation,

program incentives and project design, financing, construction and

operations. Still another difference.is that the lake basin offices

would have responsibility for the full range of Basin resource problems,
whereas Craine's concept was limited primarily to water resource problems. 13

162

Fiscal Implications

Both the Phase I and Phase II plans outline a significant expansion

and extension of the IJC's role in natural resources management for the

Great Lakes Basin. A full-time Commission, a larger central and a regional

staff, and new functionsand tasks are envisioned. In short, there are

@immediate implications for financing and administering this new arrange-

ment. Serious consideration should be given to a joint funding system

centrally administered by the IJC.

A coordinated budget request for the United States share of the

total IJC commitment would be a primary requirement. Recall that the

preceding proposals involve not only the IJC but organizational incor-

poration of the GLFC and the GLBC. In the United States, the FY 1973

federal budget for the United States share of the GLFC was approximately
$1,850,000 (as compared to the IJC's $525,000). 14 The FY 1973 federal

budget for the United States GLBC was $400,000; however, there is also a

considerable total state contribution which would properly become a federal
cost under the IJC/Operations Office plan. 15 The overall funding system

in the United States would become even more haphazard with the proposed

mergers; the practicali-ty of continuing such a system, without adjustments,

is questionable at best.

It is suggested that,as a minimum, the United States total budget

share for the new arrangement could be coordinated through.the Water

Resources Council similar to the present procedure on Federal funding for

the United States GLBC.. A further improvement would be.to have the

United States Section of the IJC: solicit the funding needs of the cooperating

agencies and departments and submit a single budget for review by a

163

single appropriations committee. This would be a subject for one of the

appropriations committees dealing regularly with natural resources and/or

environmental protection matters ,e.g., public works committees and not

the State Department appropriations committees, once the enabling bilateral

agreements had been co-ratified.

Canada appears to have a more positive IJC funding process than

the United States; however, that government should favor any change that

improves the overall (international) funding picture. The preferred approach

might then be to have fully integrated joint budget with both countries

contributing equal shares for binational use.

A joint budget would best serve the need of the proposed arrangements

for an assured minimum level of funding for direct administrative and

study costs. The minimum funding support levels could be spelled out in

the organizational agreements., Funds for the technical studies could

be readily distributed to the cooperating agencies and departments in

each country with simple, inter-agency agreements.

164

REFERENCES AND FOOTNOTES CHAPTER II

IRoy F. Weston, Frank J. Trelease, Leonard B. Dworsky and Loring F.
Oeming, "Water Quality Management - Legal, Technical, and Administrative
Aspects", in Water Pollution Control Federation Journal, Volume 36,
No. 9, September 1964, p. 1092.
2National Environmental Policy Act of 1969, January 1, 1970; PL 91-190;
83 Stat. 852.
3Okanagan Basin Study Information Brochure, prepared by the Okanagan
Study Committee, Canada - British Columbia Okanagan Basin Agreement,
January 1971 , p. I .
4Canada Water Act of 1970, Can. Stat. c. 52 (1969-1970).
5E. Roy Tinney, "The Canada Water Act - A Vehicle for Action", in Optimum,
Bureau of Management Consulting, Ministry of Supply and Services,
Ottawa, Vol. 2, No. 1 , 1971 , p. 42.
6Id. p. 39.
7Water Resources Planning Act of 1965, July 22, 1965; Public Law 89-90;
42 U.S.C.A. 1962 through 1962d-3. The GLBC was established by
Executive Order No. 11345 on April 20, 1967 (32 F.R. 6329).
8Lyle E. Craine, Final Report on Institutional Arrangements for the
Great Lakes, a report to the Great Lakes Basin Commission (GLBC),
March 15, 1972, p. 11-2.
9Convention on Great Lakes Fisheries, September 10, 1954; 6 UST 2836;
Act. II.
10 Great Lakes Basin Commission, Great Lakes Basin Framework Study,
Appendix No. 9, Navigation, Volume I,-- Draft No. 1, January 1971.
11 Id.
12 One lake basin office is suggested for Lakes Michigan and Huron since
they are hydrologically the same basin.
13 Craine, op. cit., pp. IV-(6-8).
14 The Budget of the United States Government, Appendix, FY 1973, p. 675.
15 Id., p. 976.

165

CHAPTER VI

A GREAT LAKES BASIN INFORMATION SYSTEM*

Introduction

The previous chapter described a possible joint Canadian-United States

body to enhance binational coordination on the Great Lakes and to promote

a comprehensive approacK to Great Lakes resource management. These ob-

jectives clearly imply the.need for a carefully designed information col-

lection and processing system to provide the scientific and technical

information required by the new joint organization as well as.concerned

domestic agencies. Two points must be emphasized. One, the overall

effectiveness of the new organization will depend directly on its infor-

mation system. Two, the system must be devised in such a way that it

does not overlap the work of existing domestic systems but rather, that

it ties such domestic information collection efforts together and that it

identifies gaps in the total collection effort. This chapter is concerned

with such an information system. The treatment is in four parts. First,

there is a brief review of the general functions of information systems.

Second, there is discussion of the perceived information needs of the

proposed new organization. Finally, in two separate case studies, two

areas of information needed by the proposed joint organization, specifically,

economic development and water quality, are considered in detail. Inasmuch as

the original research for these case studies was confined to tne Lake

chapter and the two case studies appended are based in part on a
master's thesis by H. Dale Reynolds entitled, An Information System
for the Management of Lake Ontario, Cornell University, 1973.

166

Ontario Basin, that geographical focus is retained without attempting

to expand the scope to the entire Great Lakes Basin.

Information and Information Systems: Definition

There are many ways to define information. For the purpose of this

discussion, information is considered synonymous with knowledge or in-

telligence. One student of information theory, Perry Rosove, describes

information as "an aggregate of facts so organized or a datum so utilized

as to be knowledge or intelligence. Information is meaningful data,
I
whereas data, as such, have no intrinsic meaning or significance." Another

way of stating it is that information is data or observations so arranged
2
as to be of value in decision-making. The distinction between data and

information illustrates an important aspect of information which is stressed

in this discussion and that is information is oriented toward the use of

the data rather than the mechanics of data collection and storage as such.

An information system, as defined by Rosove,'is "the formal or
rationally planned means whereby (users) receive and transmit information. ,3

It is more than a data processing system, although this may be an impor-

tant aspect of an information system.

The main concept of an information system is that it must be user

oriented. In the area.of urban planning, there has been considerable
experience with data banks, most of which has been disappointing. 4 Data

were included in the system because they were available, because they

were presently used, because people said they needed them, or all of

these. The key criteria - organizational decision and operations require-

ments and their information needs - simply were not-included. The result

was the creation of a data bank which was not used.

167

This fault seems to exist in many information systems. Too little

attention has been given to the need to provide information in those forms

and formats in which it is needed by its users.

The Organization for Economic Cooperation and Development (OECD)

published a report entitled: Information for a Changing Society, which
addresses the problem of information use.5 Certain themes run throughout.

this report: (i) various types of information are needed for decision-

makers at all levels. throughout society; (ii) information must be ap-

propriately packaged and interpreted for each specific community of users;

and (iii) quality of information--that is, its reliability and credibility--
is more importa nt than access to great masses of raw data.6

There is, of course, nothing profound or novel about these ideas.

But this approach does differ greatly from the usual approach to infor-

mation systems, where the emphasis is primarily on accessibility to great

masses of information and on the technology of manipulating such masses,

with less thought given to the quali ty of the data or its usability by
potential users.7

This emphasis on users of the information brings out an important

organizational point. An organization is composed of different users of

information. All aspects of management, from high level policy decisions

down to routine day-to-day operation, depend on information flows. The

information system is analogous to the central nervous system of an

organism that coordinates and controls the various components and forms

a whole. The information system is an integral and essential part of

all the management activities and must not be looked upon as a separate

organizational unit which only provides input. The design of the system

163

cannot be relegated to a certain group such as a data processing section

or to information specialist consultants but must be an integral part

of organizatjonal desig n, involving the highest levels of management and

planning. The information system, may very well be one of the most impor-

tant determinants of both the organizational structure and its manner of

operation.

One aspect of organizations which can be greatly affected by the

information system is the degree to which control is centralized. In the

past, as organizations have grown large, the trend has been toward decentral-

ization. However, this has been a mixed blessing and has led to duplication

of jobs and functions and the establishment of local goals that may not

be consistent with those of the organization as a whole. Problems of

information have been created by its dispersion in many separate files and

the delay in its proce ssing and transmittal to the higher levels of

decision-makers. A centralized computer-based information system can

correct many of these problems. The centralization of information may or

may not lead to centralization of control. This is a moot question; the

important thing is that it can streamline operations and give the organ-
ization a new coherence and sense of unity.8

Information systems are customarily broken down into two broad

categories "hardware" and "software." "Software" is a term about which

there is no consensus Ion meaning. It is often used to refer exclusively

to standard computer programs provided by computer manufactures. A more

general definition.would be everything about the system which is not

"hardware." This discussion will be concerned with the "software" of

information systems, in the more general context. The focus will be

169

on information needed, sources of this information, identifying the users

of the information, and developing an analytical framework for its use.

Generalized Information System Model

Yovits and Ernst have proposed a model of information systems which
has general applicability. 9 They suggest that this model applies to any

situation involving the flow of information, from the management of a

complex organization to the simple switching on or off of a thermostat-

furnace system. The four essential functions include information

acquisition and dissemination (IAD), decision-making (DM), execution (E),

and transformation (T). The system is shown in figure 1. The model

applies even when decisions are irrational,-or without logical or analytical

bases.

Figure 1 Generalized Information System Model

External External
Input Input

Information
Acquisition Decision- Execution
and making
niqqemination

Observable
Data Actions

Transformation,

170

The DM function is the key consideration in the entire information

flow process. It may be an individual or an organization, a man-machine,

or machine system. The DM is responsible for generation of observable

actions. Without the generation of observable action, the system has

little or no physical meaning, and would have little point for existence.

The observable actions are measurable, physical quantities other than

information.

The feedback loop is a significant point. It always exist but often

is not explicit and is not adequately considered in most presently designed

"information systems." The closed loop is accomplished by the transformation

of observable actions into data by measuring devices. It is important to

note that the observable actions are physical in nature but are not infor-

mation and cannot be utilized for decision-making without first being

transformed into information. This distinction may be obvious but it is

not trivial and is,important to the structure.

Information supplied to the DM from the IAD is of three basic types.

There is information from the feedback loop obtained by the transformation

of observables into information. There is also information from the

external environment over which the decison-maker has no control. Thirdly,

there is fundamental information that the decision-maker may use such as

tables, mathematical and physical constants, and lawful relations.

The DM function operates by the use of a predictive model which it

believes will transform the information received into the appropriate

observable action. The predictive model may be accurate or incorrect,

logical or illogical. Part of the purpose of the feedback is to determine

the accuracy of its model. The DM may alter its ac tions based on the

171

predictive model as further information becomes available from external

sources or from the transformation of resulting observable action. Also,

the DM may develop n ew predictive models as further information becomes

available.

The DM disseminates courses of action (results of decisions) com-

municated to the E function which transforms decisions into observable

action. Perturbations from the external environment enter into the execution

function and are mainly responsible for the inherent uncertainty of trans-

forming information into action.

The IAD function, or more accurately, information acquisition, storage,

and dissemination, is frequently referred to as an information system.

However, this is only a component of the total closed system as shown in the

figure The IAD collects the three basic types of information supplied

to the DM as discussed previously. It stores a data base and, moreover,

.operates on the data and stores it in different ways. Some of the typical

and most important operations performed on the data include:

a. restructuring

b. filtering or weighting

c. selection and rejection

d. analyzing

e. sequencing or ordering

f. prediction

g. display

Finally, the IAD disseminates data for use by the decision-maker.
This dissemination may be passive or there may be active interaction

between the DM and the IAD.

172

Developing an Information System.

In the development of a large scale information system, there are
10
five sequential stages or phases which, must be considered. These

stages are:

Phase I - Requirements

Phase II - Design

Phase III - Production

Phase IV - Installation

Phase V - Operations

We will be concerned primarily with Phases I and II, requirements and
design, since these are concerned primarily with "software-"

Requirements Phase. The requirements phase is concerned with determining

what the system is to do, as opposed to the design phase which is concerned

with how it is to do it.

In determining what a system is to do, the following types of

questions arise: "Why is the system needed? What is its purpose or

purposes? What is it expected to do? What problems is it supposed to

solve? Who are the system users? What are their objectives? What preliminary

qualitative and quantitative requirements for the system can be inferred
from the users' objectives?" 11

The primary objective of the requirements,phase is to identify the

users and their objectives and determine how the information system can

help them meet these objectives. This sets the goals to be accomplished

by the design phase.

Design Phase. The major objectives of an information system are to
,12
bring "relevant data and usable form to the njatLt user at the right time.

173

In carrying out the d esign phase, the elements of the system must be

identified and characterized. The relationships between these elements

are as important as the elements themselves and must be considered in

the system design.

Some of the important elements of an information system are as
follows: 13

Data

Personnel

.Display

Equipment (i.e., input, output, transmission, processing,

and storage)

Retrieval

Programming

a. Data. Data are obviously the most basic consideration of an

information system. There are several important attributes of data to

be considered, including their relevance to a particular task or tasks,
degree of specificity (i.e., amount of aggregation), sources, destinations,

and the amount of processing. The processing of data may involve simple

logical examination, such as sorting and validating, some type of

mathemat ical analysis, or simply passing it through with little change.

b. Personnel. People are an integral part of an information

system. They not only use outputs from the system but are components

themselves and often supply information input to the system. Human

actions which are a part of an information system include--monitoring,

comparing, assessing,.predicting, deciding, commanding, informing,

requesting, and complying. These actions form the operating procedures

174

and range from the specification of the format of any communication to

the operation of equipment.

c. Display. All parts of an information system involve output,

but display is usually interpreted as the communication of data to

people by machines. The display element is the major interface between

the user and the rest of the system.

Some of the important aspects of display are:

(1) Degree of aggregation of data. This related to the degree of

specificity of the data. Aggregation is the accumulation of data items
of the same level of specificity. Generally, the higher-echelon users

will require more aggregation. Decision-making and planning at higher

levels generally cover broad areas of interest and involve larger amounts

of information which must be summarized to avoid data "overload."

(2) Coding. This attribute of display is concerned with the

particular form in which data is to be presented to people. The

spectrum of modality used varies from vis ual at one end, which includes

such things as graphs or pictoral forms (maps), to straight English

narrative at the other end. Tabular formats would fall in between these

two.

Much data can be coded in several different forms. Depending on the

use of the data, more information can be derived from the data in one

form than in another. Coding is an important consideration not only

to the user of the data but also to the "hardware" designers since the

characteristics will be partly-determined by the display requirements.

(3).Initiation or'Access. Some mechanism or criteria must be

devised to cause the display of data to the right user at the right time.

175

Much information will be called for at irregular or infrequent intervals

and may be displayed only when specifically requested. On the other hand,

certain types of information may be required at regular interv.@-Its in an

unvarying format. An automatic controlmechanism can be devised which

will produce the required display of data addressed to the specific'users

automatically. In between these two extremes may lie situations that

require a certain display of in.formation that can be-triggered whenever

a cueing event occurs. For example, in a water quality monitoring program,

if a parameter being stored drops below the minimum desired level, an

alarm might-be produced, possibly along with information on other factors

known to affect this parameter.

d. Equipment. Since this chapter is concerned Primarily with the

"software" aspects of information systems, little will be said about

system equipment. In almost any large scale system, the digital computer

is the central part of the system. An information system, as defined

above, does not require elaborate equipment such as a computer to be

classified as an information system. But from a practical point of view,

the huge amounts of data generated and required in any field as broad

as water resources management.requires the storage capacity and the speed

of operation which are the two outstanding features of the digital

computer. Of equal importance is the capability of the computer to be

programmed to perform routine evaluation and analyses of the data.

The equipment element can be regarded as two major units--the

computer unit and the communication unit. The communication unit in-

cludes all hardware for sensing, inputing, outPuting, and actual data

transmission. The advent of remote terminals has revolutionized

176

communication, making access for input and output to a central computer

available over distances of hundred or thousands of miles, instantly., as

easily as dialing a long-distance telephone call. In water quality

monitoring, data can be collected in the field by automatic monitors,

transmitted to a central station, coded, verified, stored, processed,
14
and displayed, all automatically, without human intervention.

e. Retrieval. Retrieval of information is a critical element

of the information system. The technical aspects of computer retrieval

are well studied and will not be covered here. Retrieval is basically

just another part of programming which is discussed below and retrieval

has been discussed somewhat in connection with other elements discussed

above. One aspect that should be mentioned is that an indexing scheme

is needed so that a human operator can readily perceive the structure and

contents of the system data.

f. Proqramming. Programming is simply the means by which man

communicates directly with the computer. While this is a part of the

"software" aspects of information systems, it is of a technical nature

and has received a great deal of attention. The state of the art has

been raised to a high level by specialists in the field. In keeping

with the overall theme of this chapter it will simply be stated that

this programming must be performed with the user in mind and close

-cooperation between p.rogrammers and users must be maintained. The goals

and objectives must be determined by the information user, with the

programmer being responsible for determining and pointing out the

capabilities and limitations of his art.

177

Other Aspects of Information Systems

The preceeding discussion in this chapter might seem to give the im-

pression that all of, the problems of decision-making would disappear if

only an information system centered around a computerized data processing

center existed to supply decision-makers with adequate information. With-

out detracting in any way from the importance of information in decision-

making, it must be recognized that information and knowledge are not

synonomous. Rather than overemphasize the role of information,. a

good information system must recognize its own limitations and contribute

what it can in other aspects of the decision-making process.

Oettinger has attempted to explain the role of computers in decision-
making by categorizing the tasks performed by decision makers. 15 Descriptions

of these categories are somewhat involved and are not necessary for this

discussion. For these different tasks, the usefulness of the computer

varies from unquestionable predominance to marginal. For at least one

category, he states that "the necessary things get done simply because

the official system is usually bypassed, machines and all." Vannevar

Bush has stated that "The investigator is staggered by .... findings and

conclusions .... many of which he cannot find time to grasp, much less to

remember", and he did not say staggered by the papers and the reports ....
16
most of which he cannot find. Perhaps the problem is best summarized
by Tukey who states that "The unhandleable part (of information)--in

people's minds, rough notes and conversation--which is often of greater

importance, still escapes all tools of information pursuit except human
memory."17

178

To address this problem, Oettinger suggests that a fresh approach

is needed in using computers for such unhandleable information as the

understanding and judgment of individu.als. One such use of the computer

might be to maintain detailed, accurate, and up-to-date organization

charts to enable the sources of such information (that is individuals)

to be easily found.

Handling non-quantifiable information such as narrative statements

and social ideas is another challenge for an information system. Systems

are in operation for written documents using abstracts and search routines.
based on key word descriptors. 18 An example of a proposed . information

system for other types of non-quantifiable information is An Information
System for Improving the Evaluation of Non-Marketed Outputs. 19 While

concentrating on evaluating environmental impacts, it provides a general

framework for evaluating phenomena that are difficult to quantify.

Basically, the system consists of two major information displays in the

form of matrices with accompanying narratives. The first matrix is the

Environmental Impact matrix which relates classes of project effects to

a series of alternative designs. The cells of the matrix will consist of

a positive or negative sign or a zero, to indicate positive, negative, or
neutral effect. The Public-Participation Display relates project impacts
to user groups. The cells of this matrix will also consist of a positive
or negative sign or a zero, to indicate the evaluation of each user group.
This example is mentioned merely to illustrate that these difficult

problems are being confronted and that an information system is much more
than a computerized data bank. This example is a rather simple but in-
novative way of handling, summarizing, and displaying certain types of

179

non-quantifiable information. As such, it fits the earlier definition

of an information system as a formal or rationally planned means whereby
(users) receive and transmit information. The design and operation of

information systems would appear to demand more innovative ideas and less

technical complexity.

Information Needs of the Proposed New Organization

The characteristics of the Great Lakes Basin, its resource-use

problems and the basic functions of a computer-based information system

have now been presented. The next step is to develop some kind of a

logical, systematic approach to the design of an information system

specifically tailored to meet the information needs of the Operations

Office and other users within the proPosed new orqanization and outside.

The following six steps might form the basic elements of a design

framework:

(1) Define each problem area (e.g. water quality, navigation);

(2) Determine the function of the Experimental Operations Office

in the particular problem area;

(3) Determine the uses of the information;

(4) Identify types and formats of information needed by users;

(5) Identify sources of information; and

(6) Determine implications of the above steps for the information

system.

Definition of the Resource Problem Areas. First, the Operations

Office must have defined for it the precise set of Basin resource manage-

ment problem areas which are to be under the jurisdiction of the new

180

organization as a whole. The list of five resource problem areas that

was put together by the Canada-United States University Seminar (see

page 124) is adopted in this volume. While the jurisdictional limits will

be spelled out-to one extent or another in the enabling treaty and related

federal statutes, it is clear that if the proposed new organization is to

have an honest claim to a comprehensive role in coordinating the efforts

of all the governments in the Great Lakes Basin, then it must eventually

concern itself with all of those problem areas identified by the Seminar.

Let us assume, however, that the initial functional scope of the

new organization is described by those five resource problem areas dis-
cussed in the previous chapter. the second part of this step is for those

officers at the policy-making level in the new organization to define

each individual resource problem area in terms including: (1) societal

goals (clean water, adequate power); (2) level of governmental participation

and influence; (3) status of current research; (4) limitations p.laced

on regulatory agencies by competing use of the same resource; (5) relative

priority among other societal goals; and (6) geographical boundaries of

the problem areas. The intent here is not an exhaustive analysis of each

resource problem area. What is required, however, is that the policy

makers of the new organization and the information specialists charged

with the design of an information system be on the same wavelength with

regard to how each resource problem area is conceptualized. This will

provide extremely valuable guidance to the system designers which in turn

will help to ensure satisfactory results.

Functions of the Operations Office. The coordination role of the

new organization encompasses (as described in the previous chapters)

three general administrative functions, namely: surveillance, mediation

and control. These are three distinctly different organizational activities

181

requiring different kinds of information. In addition, each resource

problem area is assigned to one of these three general functions (refer

to Table 1).

For example, the problem area Municipal and Industrial Water Supply

(which would not be among the initial five) was assigned a surveillance

function. This was the case because, first, this is intrinsically a local

concern with minimal interest outside the municipal or county level of

government. Second, this problem area normally has no international

impact except perhaps at international frontier areas. Third, there

appears to be no need for a mediation role beyond, say the state or pro-

vincial level. It is properly a matter for an international body at a

surveillance level only because of its interrelationships to other water

resource problem areas such as Water Quality, Shoreline Protection and

Development and possibly Lake Level Control. The surveillance function

would be concerned primarily with monitoring of existing conditions and

developing trends, such as ascertaining where communities and industries

obtain their water and in what quantities. The role of the Operations

Office would be to predict qualitative and quantitative changes in supply.

The information required includes:

- Use inventory and projection of requirements based on population
and economic data;

- Hydrologic data on supplies, e g., runoff, lake volumes, ground
water, precipitation and evaporation rates;

- Existing water quality and existing and projected water quality
requirements.

Those resource problem areas assigned a management function other

than surveillance, i.e., mediation and control, would be the primary con-

cerns of the new organization. There are eight in total of which five

are assigned to one of four functional boards as described in the previous

182

,chapter (Air Quality and Water Quality being combined into one board).

In general, these eight resource problem areas meet one or more of the

following tests: (1) they are urgent problems (Water Quality, Lake

Level Control); (2) they are international in scope or effect (Water

Quality, Lake Level Control, Air Quality, Hydropower, Flood Contrcl,

Navigation); (3) there is precedent for joint programs (Hydropower, Water
Quality, Navigation): and (4) there is a need for joint programs (Lake

Level Control, Air Quality).

It is difficult to deal in specific terms with all of the various

information requirements for these eight different concerns. It should

suffice to say that they all require data and other research results

far in excess of anything needed at the surveillance level. The mediation

function encompasses joint programs and the promulgation (after appro-

priate coordination with the agencies concerned) of regulations, standards

and compliance schedules. These activities require a broad range of

information limited for the most part only by the boundaries of each

oroblem area as they were established by the new organization in the first

step of this sequence. Finally, the information requirements of the control

function would be virtually the same-as those for the mediation function.

Uses of the Information

One of the main purposes of the information system of the Operations

Office is to coordinate information exchange among all interested parties,

so the users will not be confined to those within the office. Identifying

all of the specific users of water resource information would be a complex

but necessary function of the information system. An attempt has been made

183

here to categorize the users by the primary use for which they need

information. This categorization includes:

Research. The purpose of research is to gain an understanding of

complex phenomena. Only with such understanding can problems be fully

identified and defined. By studying correlations among different

parameters, relationships and models of the phenomena can be developed.

Simulation models are important tools of decision-makers providing the

means to evaluate and predict the effects of natural events and man-made

activities.

Regulation and Operations. This task is interpreted to mean the

day-to-day activities of water and other resource agencies such as

enforcement of water quality standards and operation of treatment

plants or other facilities. This would also include any monitoring

activities to obtain basic physical and biological data.

Planning. Planning is a long range activity and is concerned with

identifying problems and developing programs to cope with these problems.

This function might be considered a coordination of the other functions,

as well as a separate function itself. Using the objectives and guidelines

established, planning develops specific programs for managing problems.

In developing these programs, the'planning function makes use of results

from the research function and recommends inew areas of research.

Policy-Making. The task of policy-making is to determine the goals

and objectives of water resource management in broad terms. The ultimate

184

responsibility for setting policies rests with the electorate and is

expressed directly by the people as well as through their elected

representatives. The legislation establishing any public agency will

-set the policy goals, often in broad terms, and the policy-makers in

the agency then interpret these goals in terms of more specific object-

ives. However, this interpretation must be accomplished with input

from the public and from other public agencies.

Other Factors

Program Responsiveness. Once a program has been established, it

must be responsive to changing conditions and unexpected circumstances.

Information on all aspects of the effectiveness of the program must be

collected and interpreted. This illustrates the importance of the

feedback mechanism in the information system model described earlier.

In order for the program to respond to changing or unexpected conditions,

there must be a continuous measurement of its effectiveness, by whatever

criteria are applicable. The ultimate criterion is the ability of the

program to solve or alleviate problems of concern to people in the

region. Information must be obtained from the public to determine

any changes in social objectives and to measure the effectiveness of

the program in meeting these objectives.

If the objectives of the program do not change, the effectiveness

will depend on how closely the physical, social, and economic models

represent reality. Using the terminology of the information system

model, the observable actions produced by the decision-makers must be

transformed into data, fed back into the system along with perturbations

185

from the external environment, and used to adjust or revise the models

used by the decision-makers.

Joint Planning. As noted in the previous chapter, the role-of

planning is to translate purpose to action. Ideally, the characteristics

of the planning process include (a) the coordinated collection of all

possible facts on the problem or issues; (b) the analysis of these facts

in an objective setting; (c) the development of alternative solutions as

guides to decision-making bodies in determining courses of action; and

(d) the appraisal of results in implementing the plan and the initiation

of review, modification, and updating of the plan to meet future develop-

ments.

The first two steps have obvious importance to the information

system; in fact, they are two of the more important functions of the

system--collection of facts and the analysis and interpretation of these

facts. The third step involves the actual use of the information to

develop courses of action to solve problems. Basically the planning

function uses information gained from measurement of past and present

conditions with predictive models to project future conditions under

different courses of action. The last step is related to program ef-

fectiveness, to provide a basis for response. Use of information for

.this purpose has been previously discussed.

Types and Formats of Information

The types of information needed for each of the problem areas

will have to be determined, based on a knowledge of the physical,

social, and economic phenomena involved. Some of the basic formats in

which the information may be obtained and used are listed below. This

186

listing represents a heirarchy of synthesis and aggregation. At each

successively higher level, detail is sacrificed over the preceding level

in order to. gain an ability to see a larger picture. A possible

categorization of formats might include:

Basic Data. Tables of basic data output generally are of limited

usefulness. The major problems of water resource management involve

complex physical, social, and economic phenomena and thus large quantities

of data. Some degree of aggregation and interpretation is usually

necessary before this data is meaningful for decision-making and planning.

For certain situations such as the daily operation of a treatment plant,

the scope of concern and the time period may be small enough that the,

basic data can be used to control operations. Also, examination of basic

data may be useful to spot possible errors and unusual trends, and

patterns that might not be revealed in the usual evaluation procedures.

Numerical and Graphical Analyses. This would include standard

numerical characterizations such as mathematical and statistical

evaluation of means, maxima, minima, etc. This might also include simple

graphing and mapping of the basic data to show time or geographical

distributions.. As the number of basic data items becomes larger, such

interpretation-becomes necessary to allow the data to be comprehended.

This is a first step toward converting the data into information.

.Relationships of Variables. As the phenomena being studied become

more complex, more variables are introduced. The empirical relationships

between variables must be determined to develop models to simulate

responses,of the physical, social, or economic system being studied.

As discussed in the first part of this chapter, the models used by the

187

decision-making function are an important part of any information system.

Reducing a large number of observations into one or a few mathematical

relationships represents a high degree of aggregation and possibly con-

siderable judgment since the relationship will not usually describe all

of the events accurately. However, the form of the information is very

useful for many purposes such as estimating the effects of natural

or roan-induced phenomena.

Non-Quantifiable Information. To the technically oriented, mathematical

descriptions are the most effective means of transferring information,

when such means are applicable. However, all information is not

quantifiable and there are many non-technical people directly involved

in resources planning and policy-making. Those at the higher levels of

decision-making normally do not have the time to pour over de,tailed

statistics, graphs, etc., and often must rely on summaries prepared by

subordinates. This format can represent the highest aggregation of infor-

mation but may be less precise and objective than the other formats.

This format of information is the most difficult to handle in a computer-

based information system since the computer is geared to numerical data

processing.

Sources of Information. This is closely related to the task of

identifying the users. In many cases the users will also be sources

and vice versa. This two-way relationship between the Operations Office

and the user/source should be fostered to provide incentives for the

free exchange of information. Agencies should not be expected@to devote

their limited resources to providing information to the Operations

Office unless they can expect to gain by their cooperation by receiving

needed information in return.

As stated earlier, searching out all of the potential users/sources
will*be a difficult but essential task. The dynamic nature of our respec-

tive societies and of natural resource problems in particular, underscores

the need for establishing lines of communication with users/sources to

allow a continuous exchange of up-to-date information. One of the real

problems of information exchange today is the different formats in which

information is used by the different users. In areas directly related
to water resources, the Operations Offi'ce could have as one of its major

tasks, the standardization of information formats to facilitate infor-

mation exchange. In other areas, such as social and economic information,

the office should add its voice to the others calling for standardizing

information, and use what influence it has to accomplish this.

Implications, for the Information System

Based on the above considerations, certain implications for the

information system can be deduced. These implications can be illustrated

by a matrix which relates the four basic uses of information to the

formats of information just discussed.

The first two formats of information discussed above, that is

basic data and basic analysis involvedata and procedures of a "programmed"

nature. That is, the procedures for collection and handling are of a

routine, repetitive nature. This feature plus the fact that the infor-

mation is generally of a quantitative, numerical nature implies that

this type of information lends itself readily to the "data bank" approach

which emphasizes computerized techniques for collection, storage, and
7-
retrieval of large quantities of data.

189

Table 2

Relationships of Uses and Formats of Information

Uses Primary Formats

Output from System to Input from Use to
Use System

Research Basic and analyzed data Relationships and
models

Regulations and All formats (primarily basic Activity (transformed
Operations and interpreted data) to basic data)

Planning Relationships and models; Reports of proposed
interpreted data; narrative action
reports
Policy Making Nar@ative statements and Narrative reports
reports; highly interpreted and statements
data . (guides for plan)

On the other hand, the last two information formats, relationships

of variables and non-quantifiable information, are generally of a "non-

programmed" nature. Such information is not produced on a routine-basis

but is largely the result of research efforts, planning studies, etc.,

and is produced on an ad hoc basts as needs are recognized and resources

are obtained. The real function of an information system for these kinds

of information is establishing lines of communication with groups producing

such information and maintaining an awareness of what information is being

constantly produced. The computer can still be a valuable tool for

dealing with such information, but its role is not as clearly defined

or all-important as with routine numerical data.

An example of a computerized system for dealing with such infor-

mation is.the.Water Resources Scientific Information Exchange program of

190,

the United States Department of the Interior. This system stores abstracts

of scientific literature, res earch reports, and engineering reports related

to water resources. Key words or descriptors related to a particular

user's interest are entered in the computer and a search routine produces

a printout of references with abstracts which contain these descriptors.

The difficulty of producing a relevant list of abstracts while at the same

time not overwhelming the user with irrelevant material can be easily

perceived. Possibly of more importance is the problem of obtaining all

up-to-date information from the innumerable possible sources of such infor-

mation. The interdisciplinary nature of resources planning requires

information from a wide range of disciplines in the social and physical

sciences and complicates the problem of maintaining up-to-date information

from all possible sources.

The mission of the new organization as described in the previous

chapter will require, it appears, information of both general types

programmed and non-programmed - in about the same proportions. The

implication of this is that the system must not be approached with the

emphasis on establishing primarily a large data bank of raw data. It must

be a balanced system with due regard to the software aspects of information

use. These aspect s include the problems of establishing proc edures for

handling non-quantifiable information; establishing lines.of communication

to obtain and disseminate non-routinely produced information from diverse

sources; an awareness of new techniques and methodologies requiring and

resul-ting from new kinds of information; the flexibility to deal with

new kinds of information; and close coordination with the users and pro-

ducers of new information.

19'1

Obtaining information from and disseminating information to the

public to induce and sustain public participation will be a vital task

of the new organization. It could also be one of the more challenging

tasks of the information staff because of the diversity of interested

participants and the different kinds of information transmitted. Some

of the mechanisms for disseminating information might include public

notices, newsletters, news media, a speakers bureau, or published agency

reports. Techniques for.information collection include surveys by

polling and interviewing, public hearings, public inquiries, and special

task forces. Dialogue or two-way communication can include informal

contacts, workshops, group advocates, advisory committees, formal

meetings, and informal meetings.

A successful public participation program will require as a starting

base, identification of potential participants; careful selection of the

types and formats of information required by the different types of

participants from the Operations Office, and by the office from the

participants; and selection of the proper mechanism for information trans-

mittal. The availability of additional information such as agency reports

should be stressed in the standard means of communication such as news-

letters.

An examination of the sources of information reveals that in many

areas (such as the following.case studies on Urban and Industrial Land

Use and Water Quality), fairly comprehensive and sophisticated information

systems are presently in existence or are being developed. When this

situation exists, there would be little point in duplicating such efforts.

Besides the obvious waste of resources, it is conceivable that the

192

operators of these other systems would be less than enthusiastic about

cooperating in a duplicative effort that could undermine their own

systems. When such information systems exist, they should be used as

much as possible and duplicated as little as necessary. None of these

existing systems is international in-scope. The function of the infor-

mation system of the new organization should be to coordinate and enhance

these systems and fill in any gaps in geographical or functional

coverage.

193

REFERENCES AND FOOTNOTES CHAPTER III

1Perry Rosove, Devel_opinq Computer-Based Information Systems, John Wiley
and Sons, Inc., 1967, p. 3.
2Marshall C. Yovits and Ronald L. Ernst, "Generalized Information Systems,"
in People and Information, Harold B. Pepinsky, ed., Pergamon Press Inc.,
1970, p. 9.
3Rosove, op. cit., p. 4
4Kenneth L. Kraemer, "A Model for Urban Information Systems," in Information
Technology in a Democracy, Alan F. Westin, ed., Harvard University Press,
1971, p. 328.
5Organization for Economic Cooperation and Development, Information for
a Changing Society, Paris, 1971 (available from OECD P lications
Center, Washington, D. C.).

6
Edward L. Brady and Lewis M Branscomb, "Information for a Changing
Society," in Science, Vol. 175 (March, 1972), pp. 961-966.
7Ibid, p. 962.
8Martin Greenberger, "Computers in 0rganizations," in Information Technology
in a Democracy, Alan F. Westin, ed., Harvard University Press, 1971,
pp. 151, 154.

9
Yovits and Ernst, op. @;i
pp. 3-9.
10 Rosove, op. cit., p. 17.
11 Ibid., p. 67.
12 Ibid, p. 94.
13 Ibid, pp. 105-118.
14 See, for example, the OhiIo River Valley Water Sanitation Commission system
described in William Klein, et. al., "An Integrated Monitoring System
I
for Water Quality Management in f-h-e Ohio Valley,'.Environmental Science
and Technology, Vol. 2, No. 10 (October, 1968), pp. 764-771.

194

15 Anthony G. Oettinger, "A Bull's Eye View of Information Systems," in
Information Technology in a Democracy, Alan F. Westin, ed., Harvard
University Press, 1971.
16 Vannevar Bush, "As We May Think," quoted in Oettinger, op. cit.,
p. 260.
17 J. W. Tukey, "The,Citation Index and the Information Problem," quoted
in Oettinger, op. cit., p. 260.
18 For example see the Water Resources Scientific Information Center described
in Office of Water Resources Research, Water Resources Research Catalog,
National Tec-hnical Information Service, U.S. Department of the Interior
Annual Publication.
19 James D. Evans, An Information System for Improving the Evaluation of
Nonmarketed Outputs, U.S. Army Engineers Institute for Water Resources
Report 71-5, National Technical Information Service, 1971.

195

CHAPTER VIa

CASE STUDY: ECONOMIC DATA AND INFORMATION

Introduction

An area of importance to the new organization is that of economic

phenomena and their implications for the resources of the Great Lakes

region. The new organization would require and utilize economic data and

information in.two separate but related ways.

The first would be to serve the surveillance function. The joint

organization would have a resource planning coordination function and not

an economic policy coordination function. In carrying out the former

function it may (and probably should) influence the latter, but such

influence would be indirect and diluted. Hence the role of the new orga-

nization with regard to economic development within the region would be

limited to one of surveillance. This would consist of monitoring the

trends and indices of economic development in the Great Lakes region and

assessing the effects of such development on the water and other resources

of the region.

The other need for economic data and information would be the develop-

ment of an economic data base to assist the resource agencies of both

countries in carrying out their particular responsibilities. Here the

focus would be on basic economic data of a specialized nature for specific

tasks such as estimating future water requirements or calculating benefits

and costs of policy alternatives.

This case study is not a review of resource economics. That is to

say that it is not concerned with such issues as externalities,

(internalizing external diseconomies,) the validity of benefit/cost analyses

196

in the justification of construction projects or the relationship between

social overhead capital and privately owned factors of production.

While these are very important matters,.they are more-properly the concern,

at least in our organizational model, of the proposed Research Advisory

Board and not of the Operations Office and its information staff.

The purpose of this case study is threefold. First, there is a

description of the various categories of economic data and information

required. Second, potential sources of these data and information both

in Canada and the United States are suggested. Third, some specific

applications of economic data and information are described. The dis-

cussion is in the context of the Lake Ontario Basin and the water resources

of that region.

Economic Information Requirements

Demographic and economic base studies of a region are vital to many

areas of planning and policy-making other than resource planninq. A

large number of federal, state, provincial and local agencies are engaged

in such studies. These agencies can provide the Operations Office with

much of the data and information needed. The tasks of the office would

then be primarily to search out such sources, acquire the necessary

information and store it in appropriate format for use by the new

organization and other users.

An example of the kinds of economic.data needed in an economic base

study for a water resources planning agency is provided in Table 3.

This outline was prepared in 1964 by the Erie-Niagara Regional Water

Resources Planning and Development Board, in cooperation with the New
York State Water Resources Commission.1

197

Table 3

Example of Economic Base Study Information

Inventory of Resources for the Economic Area.and Subareas

1. People
a. -Numbers.and growth (decline) trends since 1900
b. Age-Sex distribution
c. Mobility trends - net migration movements
2. Natural Resources of the Area and Subareas
a. Air
b. Water
c. Minerals
d. Forests
e. Soils types
f. Weather, terrain, geography, etc.
g. Fish and wildlife
3. Man-made Assets
a. Business and industrial plants
b. Residential complex
c. Public works, e.g. parks, dams, roads, airports
d. Transportation facilities - public and private
e. Cultural centers
f. Medical institutions
g. Educational system
h. Governments and private institutions for dependents

The Basin Economic Base

1. Structure
a. Manufacturing, trade service, construction, transportation,
finance, utilities, government
b. Agriculture
c. Identification of "export" industries
d. Inter-industry ties
2. Geographic Distribution of Economic Activity
a. County-by-county study of employment centers
b. Development and mapping of future land use pattern
3. Performance of Area and Subarea Economies
a. Employment and Unemployment
1. Comparisons Nation, State, Region
b. Personal Income Totals and Per Capita
1. Level, distribution and origin
2. Comparisons - Nation State, Region
c. Growth Trend Analyses of Lployment and Income
1. Comparisons - Nation, State, Region
d. Study of Value Added by Manufacture Statistics
1. Trend in totals
2. Productivity per worker (two or three digit) Standard
Industrial Classification grouping)

198

Tabl,e 3 (continued)

Example of-Economic Base Study Information

The Basin Economic Base (continued)

3. Performance of Area and Subarea Economies (continued)
e. Performance of Non-manufacturing Sectors
.1. Agriculture
2. Trade
3. Services
4. Utilities
5. Transportation
6. Government
7. -Contract Construction
8. Finance, Real Estate, Insurance
f. Sensitivity of Area and Subarea Economies to
Business Cycles
g. Net@ Social Benefits Accruing to Area and Subareas
h. Amenities available in the Area

Projections

1. Employment to 2020 by County, Subarea and Area
a. By Sector and Industry (two or three digit Standard
Industrial Classification groupings)
b. Based on:
1. Trend Analyses
2. Shift patterns
3. Industry studies
4. Inter-@industry relationships
5. "Export" - "Service" Ratios
6. Location Quotients
7. Field studies in Area
8. Comparisons with Labor Force Rrojections and
Assumptions re: Unemployment Levels
2. Population
a. By County, Subarea and Area to 2020
b. Based on projections of birth, death, and migration rates
c. Tempered by projections of employment opportunities
3. Industries of the Future

Source: Plan of Cooperative Study for Comprehensive Water Resources
Development (Ref. 1)

199

In addition to the economic base studies, which are general studies

describing the present and future economic environment of the region, water
2
service demand studies are required. These demand studies are necessary

as a basis for estimating benefits from water resources development. Much

of this information is not readily available and will have to be developed

by the Operations Office itself or through research projects sponsored

by that office.

For industrial use, descriptive inventories of regional industrial

water use are needed for the region. These inventories should include

water usage classified by quantity and quality of industrial withdrawal,

consumption, recirculation, and discharge flow. Further classifications

should include type of industry,-size, technology, plant age, climate,

source of water supply, cost of water and type of wa ter usage. In

addition to these descriptive inventories, analytical studies are neces-

sary to estimate future demands. These studies should include the

sensitivity of locational decisions to water availability and cost,

technical substitution possibilities, price elasticities of water, and

probable impact of future technology.

Descriptive inventories of residential use should include quantity

and quality of residential water withdrawal, consumption, recirculation,

and discharge, classified by community population size and density,

average disposable personal income, the price of water services, climate,

and other significant variables. Research on residential water use has
been conducted by the Johns Hopkins Univers ity.3 Analytical studies

should consider the sensitivity of migration patterns to water availability

200

and cost, and price and income elasticities of residential dem and for

water services, as well as future technological impacts.

Agricultural use studies should include inventories of use classified

by purpose of use, source of supply, cost of water, type and value of

agricultural output produced, amounts and costs of other inputs used

(labor, capital, materials), crop yields, etc. Agricultural production

functions should be developed which will reveal the marginal physical

product of water in agricultural production. These functions would

facilitate studies of the elasticity of substitution of other inputs for

water. The impact of future technology on these elasticities should be

examined. Estimates of future demands for agricultural products are

also needed.

Water-based recreational demand is growing rapidly as the population

increases and as people have more disposable income and leisure time.

Inventories of the present use of recreational resources should be con-

ducted, classified by type and extent of use, user cost including

distance traveled, length of stay, and by the quantity and quality of

water required. A great deal of research remains to be done in the

analysis of recreational data. Surprisingly little is known about the

relationships between public recreation and demand, disposable personal

income, income distribution, amount of leisure time, costs of recreational

services, the types of recreation chosen, etc. Water-based recreation

demand functions rieed to be developed to relate regional demand to the

relevant variables.

Similar descriptive and analytical.studies are needed for all other

water uses, including flood control, shoreline protection and development,

navigation, hydropower, and fish and wildlife.

201

Sources of Economic and Demographic Data

The importance of adequate demographic information was recognized

even at-the time the United States Constitution was written. The first

article of the Constitution adopted in 1787 provided for a population

census or "enumeration" to be conducted every ten years. Over the decades,

the scope of census activities has grown to include many facets of the

nation's life. Today, the statistical system of the Federal Government

involves a vast machinery for collection and dissemination of ail kinds
of demographic and economic data.4

United States-Federal. In the United States Federal Government, the

statistical information responsibilities are not centralized but are

divided among agencies according to their subject matter fields. A large

proportion of the statistical activities of the Federal Government are

accounted for by general purpose statistical agencies, the most important

of which is the Bureau of the Census. The purpose of these agencies is

to collect, and publish general purpose statistics. The other general

purpose statistical agencies are more specific in scope and include the

Bureau of Labor Statistics, Statistical Reporting Service of the Depart-

ment of Agriculture, National Center for Health Statistics, and the

National Center for Educational Statistics. Because of its resources of

equipment and skills, the Bureau of the Census performs services for these
other agencies, including data collection.5

Other important types of agencies involved in statistical infor-

mation include advisory bodies and admi.nistrative, research and regulatory

agencies. The advisory and research agencies' primary.role is the

analysis or interpretation of data from their own or other sources.

202@

There are many such agencies but examples include the Council of Economic

Advisors and the Office of Business Economics. Most administrative and

regulatory agencies collect some statistic-al information in the course

of their operations. Much of this information is of limited general

interest and is used primarily to support agency programs, but much impor-

tant information of general interest is also generated in the process.

The Bureau of the Census collects the following kinds of information:

population, housing, agriculture, business (retail, wholesale, and

services trades), manufactures, mineral industries, transportation, and

governments (state and local units). This information is collected at

five year intervals (10 years for population and housing), with sample
surveys at more frequent intervals--monthly, quarterly, or annually. 6

Before 1960, the Census Bureau was primarily a production agency--

the product being a set of printed volumes summarizing the results of

each census. Its mission wasaccomplished when the publications were

printed and there was little consideration given to access and use of

the vast amount of data not published. Since 1960, the trend has been

toward the Bureau as a service agency. There has been a growing com-

munity of users whose.needs were not met by the published reports.

Information is often needed in more detail, in special tabulations and

categories, or in machine-readable form, suitable for efficient analysis
to the user's own specifications.7

The 1960 census was the first wholly computerized census operation.

Basic recordtapes were created containing information about each

household, and summary tapes were prepared from the basic tapes. Users

quickly took advantage of the possibilities and purchased many data

203

products and services such as special tabulations and matching studies

of the basic record tapes. The Bureau is now giving emphasis to further

developing its role as a data deliverer as well as a fact finder. Two

important Census Bureau publications of interest to potential.users of

census information are cited as references 8 and 9.

The non-published data are available in the form of computer

punchcards and tapes. These data may be obtained and.analyzed by the

user or the Bureau will process the information in the form desired, at

the expense of the user. Safeguards are provided to protect confidential

data and make identification of individual persons, enterprises, farms,

etc., impossible without written authorization of the person or legal

representative of the person or organization involved. For special services,

the user pays only the actual cost of the service and not for collection

of the data. However, the Bureau does undertake special surveys to collect

data on a reimbursable basis under certain conditions, one of which is

that the Bureau must determine that there is a public interest in the

survey results.

The Bureau of the Census and the other Federal general purpose

statistical agencies basically only collect and compile data. At the

state level, there are data collection activities, but the Federal

statistical services provide the bulk of economic and social data.

This fact is plainly evident from the sources cited in various state

economic studies and planning reports. The basic data provided is

compiled and analyzed on a regional basis by a number of state agencies.

New York State. In New York State, the Office of-Statistical

Coordination of the New York State Division of the Budget publishes an

10
annual New York State Statistical Yearbook. This yearbook is.designed

to serve as a single comprehensive source of statistical data about New

York State and also identifies the major sources of such data, with infor-

mation about their regularly published statistical series. The follo wing

agencies are sources of information needed to establish an economic data

base for water resources planning:

(1) Department of Agriculture and Markets. Published and

unpublished statistics on agricultural activities.

(2) Department of Commerce. Collects and publishes economic,

population, and related data from a variety of sources.

(3) Department 'of Labor. A major source of statistics on employment

and unemployment.

(4) Office of Planning Services. This is the state's central long-

range planning agency. It produces no regular statistical series but

has the responsibility for making population projections. It also makes.

important economic studies of the state's economic.regions.

(5) Department of Transportation. This agency is concerned with

,the development and operation of such transportation facilities as

highways, mass transit systems, marine and aviation facilities, and the

state's waterways. It annually updates an inventory of traffic volume

and physical condition data for the 13,000 mil-es of the state highway

system.

@ As stated above, the Office of Planning Services (formerly the

Office of Planning Coordination) is the state's central long-term

planning agency. As. such, it is a valuable source of information for

any planning agency, providing special compilations, analyses, and

205

proj ections of the basic economic and related data provided by such

sources as the Census Bureau. It is responsible for formulating a com

prehensive plan to guide the economic, social, and physical development

of New York State, and has produced the New York State Development
Plan - 1 11 which.proposes for the year 1990 the distribution of land

uses, population or settlement densities, and transportation corridors.

The agency also coordinates and assists planning by.the various state

agencies; coordinates state planning with that of local, Federal, or

private groups; conducts research to provide uniform,information and

projections; and administers technical and financial assistance for

local planning.

The Office of Planning Services has prepared a series of regional

economic studies for the economic planning and development regions of

New York State. These studies are published in two phases. Phase I

includes basic inventories and analyses of past and present situations.

Its purpose is to place in perspective the demographic, economic, and

public financial factors affecting the development of the region and

is designed to.help orient state and regional planners toward the

requirements of the area. Information is provided on a regional, county,

and smaller area basis. The information includes a broad overlook

of the region, its topographic features, problems and developments

in agriculture; changes in population, its distribution and social

influence (education, marital status, etc.); the economic structure,

as reflected in the labor force, industry and occupational distribution

and the level and change in income; economic activity in manufacturing,

trade and service; the financial structure and problems; and recent

206

changes in population and employment and some problems and strengths of
the individual counties. 12 Phase II consists of analyses and projections.

It describes present trends in demographic, economic, and public finance

factors which affect the region's development and analyzes how government

planning might affect the economic trends. One such report, the

Central New York Regional Economic Study, is based,largely on a survey

of manufacturing firms asking opinions about such factors as water, and
the firm's plans for expanding or relocating. 13

Another series of reports produced by the office is the Community

Profile Series, also for each planning region of the state. These

publications are computer-printed rankings in 15 categories concerning

size, wealth, and urbanization of each city and town in New York State,

showing how each community ranks in relation to its county, its region,

and the state. These publications are the first to result from the

Planning and Environmental Data System being developed by the New York

State Office of Planning Services to provide uniform data for all planners

in the state. The categories in these reports include: total population,

land area, property value, property tax, median famil i er capita
y income, p

property value, per capita property tax, percent of family income over

$2000, percent of family income over $4000, population density, property

value per acre, property tax.per acre, percent of sound housing,
educational level in median,years, and population mobility. 14

Another important information service in New York State is the Land
Use and Natural Resources (LUNR) Inventory. This program was developed

by the Cornell University Center for..Aerial Photographic Studies under

contract to the New York State Office of Planning Coordination (now Services).

207

The initial data were obtained from aerial photographs of New York State,

specially flown for the purpose, with other information obtained from

secondary sources, mostly in published form, maps, etc. Information con-

tained in the inventory consists of 14 main categories (see Table 4).

The data consists of three types of measurements--area (in hectares), point

data (counting of facilities), and linear data (miles of shoreline or

streams).

The information was mapped on USGS 7 112 -foot maps and overla,vs produced

on transparent film. These overlays can be obtained by the user and

used with the easily obtained quandrangle maps. In addition, the infor-

mation has been stored in computer form to facilitate handling and

processing. The smallest geographical area for whic h information can

be obtained is the Universal Transverse Mercator (UTM) Grid Cells, which

are identified by the southwest coordinates of each cell. One cell

represents a square kilometer in area (or 247.1 acres). The state of

New York (50,000 square miles) is divided into approximately 140,000

such UTM grid cells.

Land use information, consisting of 129 data items for each of the

140,000 cells is stored on one IBM 2316 disk and additional information

on soils, economic viability of farms, geology and depth-to-bedrock are

contained on a second disk. Space is available for another 200 items

and the storage can be expanded to accomodate additional items per cell.

Updating of information can be accomplished without destroying the old

data, by using the additional storage space. In this way, comparisons

can be made to analyze land use changes. Original plans anticipated a

5 or 10-year updating cycle.

208

Table 4

New York State LUNR Inventory Categories

ACTIVE AGRICULTURAL AREAS COMMERCIAL AREAS
Orchards Central Business Sections
Vineyards Shopping Centers
Horticulture or Floriculture Resorts
High Intensity Cropland Strip Development
Cropland and Cropland Pasture
Pasture INDUSTRIAL AREAS
Specialty farms Light Mfg. and I dustrial Parks
Heavy Manufacturing
INACTIVE AREAS
Inactive Agricultural Areas OUTDOOR RECREATION
Urban inactive Areas Outdoor Recreation Land Use
Under construction (non-agr.)
EXTRACTIVE INDUSTRY (Mining)
FOREST LAND
Forest Brushland Open Mining
Forest Lands Stone quarries
Plantations Sand and Gravel Pits
Other open mining
WATER RESOURCES
Natural Ponds and Lakes Underground Mining
Artificial Ponds Underground mining
Streams and Rivers
'Marshes, shrubwetlands PUBLIC AND SEMI-PUBLIC
and bogs Public and Semi-Public Land Use
Wooded Wetlands
Marine (Salt) Wetlands TRANSPORTATION, COMMUNICATIONS
Marine Lakes, Rivers & Seas AND UTILITIES
(embayments and sounds) Highways
Hudson River (N.Y. City to Railway
Mohawk River) Airport
Barge Canals
RESIDENTIAL LAND USE Port or Dock Facilities
High Density Shipyards and Dry Docks
Medium Density Locks and Water Control
Low Density Structures
Strip Development Pumping Stations, gas & oil,
Rural Hamlet electric, etc.
Farm Labor Camp
Rural Estate NON PRODUCTIVE LAND
Sand
COTTAGES AND VACATION HOMES Exposed rock cliff, slopes and
Shoreline Development slide areas

Source: The New York State Land Use and Natural Resources Inventory
(Ref. 15)

209

Computer output can be obtained for any study area, in tabul'ar or

graphical display, after the study area is defined by coordinates. The

DUALIST program (ta-bular output) li'sts the requested data for each cell
and aggregates for the study area. The PLANMAP output (graphical display)

provides summary information and displays information in a graphic manner

to highlight patterns and geographic interrelationships of data visually.
However, this output contains less detail than is available from DUALIST. 15

It was stated earlier that long-range planning for water resources

development must take place within a framework of the anticipated future

economic and social environment of the region. These anticipated con-

ditions must be based not only on past trends and projections of growth

and development, but must also take into account government plans and

activities which attempt to influence the economic and social development.

Besides being influenced by development, the possible role of water in

directing development must be explored and defined when possible.

. Planning for future development in New York State has come a long

way since it was introduced as an essential policy of state government

in 1961. The Office of Planning Services has recently published the

New York State Development Plan - 1, the first phase of a comprehensive

statewide plan, which deals with patterns of land use and settlement for

a population of 23 million, forecast for around 1990. This plan provides

for the first time a common framework of developmental objectives for

all planning efforts in the state. This phase of the plan deals with

physical development aspects because these could be accomplished first.

Two forthcoming phases will have in-turn an economic and a social emphasis.

210

However,-the interdependencies of these three aspects require thatwthey
be integrated-to a certain extent in every stage-of the work. 16

Planning activities at the state level are directed at functional

planning, which views government activities as an interrelated system

of "functional" programs. The state-'s concerns have been classified into

ten broad functional areas such as economic development, natural resources,

human resources, etc. All government activities influence patterns of

land use and settlement.. The d-irect influence of.such projects as roads,

parks, water systems, and public roads is small in volume compared with

private activities but important in tJheir indirect influence on private

decisions about location and 1-and use. At present, the state's,pow,ers

to affect actions of other governments, private groups and individuals,

and state government itself, fall into five broad categories.. These

categories are: coordination, land use.controls, location of public

facilities, education, and fiscal incentives. These first three

categories have obvious implications for a comprehensive water and

related land management office. Close coordination with the state, in-

.volving both input and output of information about goals and activities,
is a practical necessity. 17

The first-phase of the State-Development Plan contains information

on goals to be followed for important aspects of the.physical environment;

practical objectives to be achieved in pursuit of these goals;_nd the

resulting statewide settlement, land use and transportation patterns

proposed for 1990, which if achieved, would fulfill-th.ose objectives.

A number of action steps are suggested for consideration by the Governor

and the Legislature. The plan deals only in the broadest terms, because.

211

the detailed working out of the plan's objectives must be done on a

regional and local basis. Much detailed work has been done by

localities but much more remains to bedone. Until now, localities

could not relate to more than their own territorial horizons. The plan

provides for the first time a common structure, a framework of objectives
for the entire state. 18

Canada-Federal. In Canada, a situation similar to that in the

United States exists with respect to economic and demographic information.

The Dominion Bureau of Statistics conducts a decennial census of population

and housing and also collects basic data on agriculture, manufacturing,

wholesale and retail trade, etc. The users of socio-economic data in

Canada have been confronted with the same types of problems which have

been previously discussed with respect to the federal statistical services

of the United States Government. The inadequacies of former methods of

compilation and dissemination of information have been increasingly

apparent and have forced the Bureau of Statistics to shift more to a

user service orientation.

One of the major problems is that the rapid advance in data pro-

cessing technology and statistical methodology together with the expansion

of statistical needs of data users has rendered former methods of

collecting, organizing, and disseminating data inefficient and obsolete.
means of more convenient manipulation and integration of data currently

being gathered at great cost are needed to allow adequate utilization.

A second, and related, major problem is that governmental collection and

development of information is conducted on an ad hoc basis. Considerable

data are collected by agencies in the course of their normal activities. Too

212

often, these data are used only for the particular agency's operational

responsibilities, with little attempt at interagency use. Little attempt

is made to determine if the data neededalready exist; if another agency

needs data which could be easily collected, with little additional effort

during a proposed survey; or if methods, procedures, and coding can be

standardized with those used elsewhere.

In response to these problems, the Dominion Bureau of Statistics has
under deve@lopment a computerized system for providing census data for

large urban areas on a user-specified basis. This system is the Geo-

graphically Referenced Data Storage and Retrieval S .ystem (GRDSR), commonly

called Geocoding. The system basically provides data on large urban

centers to be quickly and inexpensively selected and aggregated for

areas specified by the user, as opposed to present standards, such as

enumer ation areas, census tracts, and municipalities. Eventually, diverse

socio-economic statistics from other surveys could become available on

a similar basis, with cross-tabulations in a variety of combinations.

Recognizing the importance of Geocoding for urban analysis and policy

planning, the Ontario government formed a team comprised of members of

the Department of Treasury and Economics and the Department of Highways

to investigate the possibility of applying Geocoding techniques to
projects in Ontario. 19

The Canada Land Inventory is a comprehensive survey of land capability

and use for various purposes, being undertaken as a cooperative Federal-

provincial program under the Agricultural Rehabilitation and Development
Act (ARDA). 20 This inventory defines the land capability for agriculture,

forestry, recreation, and wildlife management. Present land use

213

information is broadly classified with the,most important aspect considered

to be the breakdown betw een lands that are intensively cultivated and

those that'.are in less intensive use, such as pasture. In addition, the

program will attempt to assess social and economic factors relative to

land use. Statistical data are available from the Dominion Bureau of

Statistics on most of the important socio-economic factors. Much of this

information is available on computer tapes and can be readily utilized

by a computer system. Such data include: type of farming, economic

classification of farms, age of operators, size of farms, capital invest-

ment in farms, and population characteristics.

Information from the inventory is presently available mostly in

map form. The computer has been utilized in storing, analyzing, and

presenting data as tables or maps. However, it appears that the computerized

part of'the program output has not yet been as fully developed as the

New York LUNR system in certain aspects such as the handling and

aggregation of data on a small-scale grid system.

Ontarfo Province. At the provincial level,.the Ontario Department

of Treasury and Economics is a major source of economic information.

Provincial agencies compile data in various fields, using the Domini-on

Bureau of Statistics as a major data base. Information in specific

areas such as agriculture and transportation is handled through the

respective provincial agencies, such as the Department of Agriculture

and Food and the Department of Transportation.

The Department of Treasury and Economics includes an Economic and

Statistical Services Division. The Ontario Statistical Centre is a

part of this division. The.Centre prepares a bimonthly Ontario Economic

214

Review which presents current information on economic activity in Ontario,

as well as articles of interest. In addition,. the Ontario Statistical

Review is published as an annual reference supplementing the Ontario

Economic Review. Its two basic objectives are to provide an historical

perspective for the economic indicators in the Economic Review and to

bring together a wide range of information relating to Ontario's economy.

The Regional Development Branch in the Ontario Department of

Treasury and Economics plays a major-role in@guiding and coordinating

planning and decision-making at all levels as-they affect the overall

development of the Ontario region. It is similar in many respects to

the New York State Office of Planning Services, in that it attempts to

provide a framework of future goals and objectives of the region, to guide

activities at all levels of government and private enterprise. The

Regional Development Branch has published a number of Design for Development

reports which deal with regional development in Untario. The regional

development program.is described in Designfor Development in Ontario:
The Initiation of a Regional Planning Program. 21

The Regional Planning Program is based on fundamental democratic

principles and involves the people in all phases of specific policy

development. It is also based on a-second fundamental principle of

coordination among the three levels of government and private
22
enterprise. As such, the program is a major source of information on

social goals and policies regarding future regional development. The

necessity of cooperation and information exchange between the Regional

Development Branch and the Experimental Operations Office should-not need

el aborati on.

215

The Regional Development Program recognizes three major trends which

create problems and with which the program must cope. These three trends

are: the increasing tendency of populations to concentrate in certain

urban areas; the tendency towards unstructured sprawl in these areas; and

the sometimes unwise use of the physical setting--the land, water, air,.
23
and other natural resources. To project future trends, two basic

approaches were recognized. The first approach is to.use mathematical

models of input and output. Such models are being prepared by the Economic

Analysis Branch, but the lack of refinement of data needs necessitated

reliance on the second approach, that of studying past trends. To carry

out these studies, 63 indicators of change were examined for the census

years of 1951-1966, or any more recent years for which data could be

obtained. Not all required data were available and due to the lack of

resources for collecting new data, the indicators were selected partially
on the basis of available data. 24

The Department of Treasury and Economics has divided Ontario into

ten Development Regions. The regions bordering Lake Ontario include

the Niagara, Central Ontario (Toronto-Centred Region), Lake Ontario, and

Eastern Ontario Regions. -(see Figure 2). A series of descriptive and

analytical studies of each region has been prepared. These surveys are

intended to provide detailed background for understanding the past

location of economic activity in Ontario, and to indicate the contribution

of each region to the economic life of the province. A wide range of

information, ranging from physical environment to economic characteristics,

has been included, and change over time has been indicated where data
are available. 25

Figure 2

9 S 0 a I
PROVINCE

ONTARIO

A
AGGREGATE PERFORMANC

BY COUNTY OR DISTF

Data Sources; 1951 - 1@

HIGH
. . . .... ... I% ::.F.

MODERATELY HIGH

(Provincal average I
INTERMEDIATE

MODERATELY LOW

I A I LOW

l.. 104 j
C>

F,
LEGEND

_NCRTI-IlAllERN ONT.I. REO101
.111.NAL 131INCA"I'S

---- COUNTY OR DISTRICT BOUNDARIES

ONTARIO . . . 0.
DEVELOPMENT REGIONS

i@@j;7EAN ON AR,C)
2L,KLRONARIC
3CENT, AL ONTARIO
4FOUTH ONTARIO (NIAGARM
5ERIE
ST CLAIR
7MOWCSTERN ONTARIO
aCEORu)AtJ LAY
9NOR @EASTLRN ONTARIO
10 NORTHWESTFRN ONTARIO

Sc I. I.
9 90 10 0 1
Tl-uly -d

217

Specific Applications of Economic Data

In previous sections, needs for economic data and their usage in a

general way have been discussed. The approach was conceptual in tone and

focused largely on research needs to develop theoretical models for

deriving demand functions and evaluating benefits in an economically

desirable way. The need for developing and using conceptually correct

methods and information is very real. There has been considerable

criticism, by economists and others of the practical applications of

economic information and methods used by water resource planners. However,

the development and protection of our water resources are matters of

urgency that can not await the perfection of the desired models or the

availability of complete information.

This section describes three specific applications of economic

information. These cases (Municipal Water Demand, Industrial Water and

Water Quality Control) are set forth only as.illustrative examples and

there is no claim that the treatment is complete. It is also assumed

that the methods of use will change as more sophisticated predictive

models and techniques are developed.

The basic problem in these three instances is that of determining

present and projected demands. Actually, the term "requirements" would

be more appropriate since "demand" has an economic connotation of demand

functions which, even if they exist, are not of much help in the practical

world.

A program of national economic analysis and projection for use by

water resource agencies in the United States has been instituted under

the aegis of the United States Water Resources Council (WRC) and performed

21,9

by the Office of Business Economics of the United States Department of

Commerce and the Economic Research Service of the United States Depart-

ment-of Agriculture. This program is referred to as the OBERS program.

These projections are made on the basis of past trends, with reasoned

modifications. An important point is that government actions, possibly

stemming from these projections, can affect future conditions and
possibly cause the projections to be in error. 26

The methodology used in such projections is beyond the scope of

this discussion. Someof the important variables are:

--Population

--Personal Income

--Agricultural Output

--Labor Force

--Gross Product by Industry

--Employment by Selected Industries

These studies have been conducted on economic areas delineated by

OBERS. Basically, projections are made on a national basis and then

successively disaggregated into regions and then, economic areas. The

economic areas are composed of blocks of several whole counties. The

problem encountered in using OBERS projections is that the data may have

to be further disaggregated for more detailed information and then

possibly reaggregated for different planning areas of the water resource

agency.

The degree of aggregation or disaggregation is one of the primary

considerations in the use of economic data. The degree of detail required

will have to be evaluated on a problem by problem basis. Generally,

219

economic projections on a county basis would appear to be adequate for

long-range planning. The county is the smallest unit for which current

economic information is readily available except in metropolitan areas.

In these areas, as discussed previously, computer procedures, such as

Geocoding in Canada, are being developed to provide data by user-specified

small areas. The uncertainty and imprecision of future projections would

probably not warrant any more detail than the county level. The regional

economic studies conducted by the New York State Office of Planning

Services make certain projections.on a county basis. Such projections

include population, labor force, employment by industry group, employment
by occupational group, and family and per capita income. 27

The following examples are included to show specifically how the

economic and demographic data base is used for particular problem areas.

Such analyses would have to be performed for all of the problem areas to
determine what information is needed, and in what form. 28

Municipal Water Demand. The general method ordinarily used in

projecting demands for municipal water is straightforward. It consists

of multiplying the projected population by the projected use rate in

gallons per capita per day (gpcd). The problems encountered are, first,

in disaggregating population predictions to smaller units such as counties

or townships, and second, in estimating trends in per capita rates of use.

Some of the variables which affect future per capita use rates

are: (1).the general state of the region's economy, (2) degree of

industrialization, (3) average per capita income, (4) climate, (5). water

pricing policies, (6) relative size of the service area and (7) extent

of metering. The economic base study should provide information on the

220

state of the economy and certain other factors, such as personal income.

Evaluation of these factors along with projections of these factors for

the future serve as guides for demand fo recasts. Population data also

have a bearing on the per capita use rate. It has been observed that,

for example, large city water demands are greater, per capita, than that

of a small city or town. An emerging issue which cannot be considered

here, is the question of demand modification by social and economic

devices, and improved efficiency of applied technology.

Industrial Water Demand. There are two basic methods used to

pro46Ct
J industrial water demand. One method requires industrial pro-

jections of employment in an industry and uses a water-use factor of

gallons per employee day (gped), based on'historical @use records. The

other method uses industrial projections in terms of units of production,

with a use factor based on gallons per unit of production (gpup), also

based on past records.

As with municipal demand projections, industrial projections.must

be disaggregated, if not available, for smaller areas. Generally, a

county level would be adequate and some such projections may be available

from local and state planning groups.

In addition, a problem arises from the fact that data on past

industrial water usage are rather scant. The Census Bureau conducts

a Census of Industrial Water Use. The published data are on too broad

a scale for use, but the Bureau is undertaking to compile the data in

more detail. Data on water use can be furnished by Standard Industrial

Classification @SIC) number, for counties where disclosure regulations
permit, and at least for multi-county planning areas .29

Projections of irdl-t.rial water use are probably the most difficult

part of the study e to the rapid technological changes in industrial

221

processes that can and do occur. Some of the important variahles which

influence water use rates are: (1) product manufactured, (2) manufacturing

processes, (3) amount of production, (4) rate of production, (5) cost of

water supply, and (6) cost of waste water disposal.

Water Quality Control. The purpose of the economic base study,

regarding water quality, is to project the waste water volume and charac-

teristics. These are functions of the water supply demand which, as just

discussed, is a function of population and industrial growth projections.

The percentage of municipal demand which is returned to streams as waste

water flow is not expected to vary appreciably in the near future. There-

fore, return flows will be obtained by applying present return flow

percentages to projected municipal demands.

Projecting industrial return flows is more difficult and encounters

the same type of problems as projecting industrial demand. Rapid

technological changes cannot be foreseen. Reclaiming of wastes and

recycling of water will probably increase as water quality control efforts

are increased. Also, information on return flows is often not readily

available or it varies widely. For example, plants producing identical

products have been observed to have widely differing water use patterns

and return flow quality, due partly to such factors as different operating

practices, availability of water, and geographical location. Some

present return flow data can be obtained from the Bureau of Census, and

a number of studies have been made for specific industries. The programs

of water quality control agencies in the United States and Canada should

be able to provide waste characteristics of certain industries.

222

Interpretation-of Economic Data

Some of the problems of interpreting the available economic data and

information have been discussed in this chapter. This recapitulation

suggests more precise guidelines for an information system to use in its

interpretation function.

It has been pointed out that much information is available from a

number of sources, notably the federal census bureaus of both countries.

However, this information has been collected for general use by many

diverse users. Before it can be useful to any one agency, careful con-

sideration must be given to interpretation and evaluation.

One of the first problems in interpretation is the deficiency of

available data. In spite of the tremendous amounts of information gathered,

the wide range of interests preclude the general purpose data collection

agencies meeting the needs of every specific user, such as a water resource

agency. The information system must identify the information needed

specifically for water resources planning and management and assume the

responsibility for its collection. Some of these types of information

have been identified. Even when the desired types of information are

available, deficiencies in the detail of the data often exist. Census

bureaus in both countries have recently made efforts to provide information
in more detail than has been previously available but disclosure

regulations may present a problem if and when greater detail is required.

Projections of economic information, such as those by the Office of

Business Economics and Economic Research Service (OBERS) program use

methods which are not capable of providing sufficient detail. It is

readily conceded that the more specific projections are, the less accuracy

223

can be expected; but attempts should be made to develop methods for more

detailed projections. Possibly a range of expected conditions would be

more valuable than one dubious projection.

Much of the info.rmation available and needed by the Operations Office

has been analyzed to some extent. The methods of analysis used are some-

times controversial. The value of this information must be determined by

economists, planners, and others who are capable of.examining the methods

and assumptions used in the analysis. Again, the projection of economic

and demographic data presents real problems. Even without considering the

problems of detail discussed above, projections of a more general nature

are often doubtful because of a lack of consideration of the dynamic

factors involved. Often simple extrapolation of past trends is used.

While such unknowns as governmental policies and technological and social

developments are difficult to include, some consideration should be given

to them. Here again, possibly a range of projections should be produced

based on varying assumptions associated with individual factors. This

gets very complex indeed. Interpretation of data will rely heavily on

the computer.

Proper interpretation of available information considering questions

such as those just discussed must be done by the users of the information

who should have the expertise required for such interpretation and

evaluation. This again emphasizes the need for direct involvement of the

users in the design and operation of the information system.

Summation

From this chapter on economic information, a number of considerations

stand out that have implicaticns; for the information system of the Operations

Office. Some of these implications are as follows.

224

The following tasks are being performed by existing agencies with

the required resources and will not be major tasks for the office-

(1) Raw data collection and storage';

(2) General analysis of data, including aggregation and dis-

aggregation, relationships among variables, projections of economic

activities, and plans for desired economic development; and

(3) Development of user-oriented computerized services for

specific analyses.

The office will be concerned with the following:

(1) Filling important gaps in basic data related to water and land

resources;

(2) Obtaining information from existing sources and further

analyzing as necessary for use;

(3) Coordination with other information and planning agencies, such

as specifying needed information not being gathered, providing specific

information on water and land resources, and insuring that resource

management fits into policy frameworks to guide and control economic

development and growth-,

(4) Providing.a "referral" service for other resource agencies by

informing them of sources of economic information, the types of infor-

mation available, formats, and means of obtaining it; and

(5) Performing, sponsoring, and collecting research to apply

economic concepts to water and land resources, such as deriving demand

functions, measuring benefits, and developing models of economic growth

which show the role of resources.

225

REFERENCES AND FOOTNOTES

Case Study I

Economic Data and Information

1Erie-Niagara Basin Regional Water Resources Planning and Development
Board, Plan of Cooperative Study for Comprehensive Water Resources
Deve
lopment -1964).
2The discussion on descriptive inventories is drawn from Sewell, et. al.,
Water Manaqement Research: Social Sciences Priorities. Policy and
Planninq Branch, DePartment of Energy, Hines and Resources, Ottawa,
1969, p. 18.
3F. P. Linaweaver, Jr., et. al., "Summary Report on the Residential Water
Use Research Project", Journal of the American Water Works Association,
Vol. 59, No. 3, (March, 1967), pp. 267-281.
4United States Bureau of the Census, Fact Finder for the Nation (Washington:
Government Printing Office, 1957). See Otto Eckstein, Water Resource
Development: The Economics of Project Evaluation, Harvard University
Press, 1958. See also the works of E.J. Mishan, Arthur Maas and Paul
Davidson.
5U.S. Office of Statistical Standards, Bureau of the Budget, Statistical
Services of the United States Government (Washington: Government Printing
Office, Revised Edition, 1968), pp. 3-14.
6Id., pp. 7-8.
7.
U.S. Bureau of the Census, 1970 Census Users' Guide (Washington:
Government Printing Office, 1970), p. 5.
8U.S. Bureau of the Census, Census Bureau Programs and Publications: Area
and Subject Guide (Washington: Government Printing Office, 1968).

9
U.S. Bureau of the Census, Guide to Census Bureau Data Files and Special
Tabulations (Washington: Government Printing Office).
10 New York State Office of Statistical Coordination, Division of the Budget,
New York State Statistical Yearbook, 1971, Albany, 1971.
11 New York State Office of Planning Coordination, New York State Develop-
ment Plan--I, Albany, 1971.

226

12 New York State Office of Planning Coordination, Central New York
Regional Economic Study, 2 Vols., Vol. 1, Albany, 1969.
13 Id., Vol. 2.

14
New York State Office of Planning Coordination, Community Profile
No. 5 - Central New York Planning Region, Albany, 1969..
15 S. Ananda Rao, The New York State Land Use and Natural Resources
Inventory, Water Resources and Marine Sciences Center, Cornell
University, Ithaca,-New York 1972.
16 New York State Office of Planning Coordination, Planning for Development
in New York State, revised, Albany, 1971, p. 8.
17 N.Y. Office of Planning Coordination, N.Y. Development Plan-1, op. @it.,
pp. 6, 83-95.
18 Id.
19 E. Weatherhead, 9Geocoding - A Technique in the Development of Urban
Information Systems", Ontario Economic Review, Vol. 8., No. 5
(September/October, 1970), pp. 4-12.
20 Canadian Department of Forestry and Rural Development, The Canada Land
Inventory (Ottawa: 1966).
21 Richard S. Thoman, Designfor Development in Ontario: The Initiation
of a Regional Planning Program (Toronto: Allister Typesetting and
Graphics, 1971)
22 Id., pp. 1-2.
23 Id., pp. 29-32.
24 Id., pp. 48-50.
25 Ontario Regional Development Branch of the Treasury Department, Lake
Ontario Region: 1968 (Toronto: 1968), p. iii.
26 Great Lakes Basin Commission, Great Lakes Basin Framework Study -'Appendix
No. 19, Economic and Demographic Studies (1970), pp. 19-11-2.

227

27
See for example, N.Y. Office of Planning Coordination, Central N.Y.
Regional Economic Study, oR. cit., Vol. II.
28 Unless otherwise noted, the methods on municipal and industrial water
demands and water quality control needs are from the Federal Water
Pollution Control Administration.

29
For an explanation of SIC, see United States Bureau of the Budget, Office
of Statistical Standards, Standard Industrial Classification Manual
(Washington: Government Printing Office, 1967).

228

CHAPTER VIb

CASE STUDY: WATER QUALITY DATA AND INFORMATION

Introduction

For the purposes of illustration, the Great Lakes Water Ouality

Office, a joint arrangement of the United States and Canada established

by the 1972 Great Lakes Water Quality Agreement, can be-considered as

an embryonic operations office. The Water Quality Office, which is

located in Windsor, Ontario, has, as part of its mission, the respon-

sibility to monitor, assess, and report on progress made in achieving

the goals of the Water Quality Agreement. The Office is now involved in

the collection of water quality data and information, identification of

needed research, public information and, to some degree, the development

of public participation in its processes and similar activities. Although

its primary concern is presently water quality of the lower lakes, the

arrangement is useful in the present context as a.prototype in developing

a joint office for multi-purpose management of the Great Lakes.

This case study itself is limited to one function,data and information;

however, the possibility of-joining other functions with the water quality

task in the future should be kept in mind.

Water Quality Goals and Standards

The information'requirements for a water quality control function

are determined by the particular social goals which the two countries,

acting in a coordinated way, establish for the Great Lakes. These goals,

of course, change over time, causing corresponding modifications in the

information requirements.

229

An excellent and fairly recent illustration of the relationship

between social goals and the determination of information requirements

is the 1970 report on the IJC sponsored study of pollution of Lake Erie,
1
Lake. Ontario and the international section of the St. Lawrence River

and the resultant 1972 Great Lakes Water Quality Agreement. In the 1970

report the social goals with regard to Great Lakes water quality are

embodied in five General Objectives. They are:

"The receiving waters of Lake Erie, Lake Ontario, the Inter-
national Section of the Saint Lawrence River and the connecting
channels of the Great Lakes at all places and at all times should
be:

(a) Free from substances attributable to municipal,
industrial, or other discharges that will settle to form
putrescent or otherwise objectionable sludge deposits, or
that will adversely affect aquatic life or waterfowl.

(b) Free from floating debris, oil, scum and other floating
materials attributable to municipal, industrial or other
discharges in amounts sufficient to be unsightly or deleterious.

(c) Free from materials attributable to munici,pal,
industrial or other discharges producing color, odor or other
conditions in such a degree as to create a nuisance.

(d) Free from substances attributable to municipal,
industrial, or other discharges in concentrations that are
toxic or harmful to human, animal or aquatic life.

(e) Free from nutrients derived from municipal, industrial
and agricultural sources in concentrations that create nuisance
growths of aquatic weeds and algae.

Furthermore, no substances should be introduced into these
waters unless reasonable efforts have been made to ensure that
it will not lead to the violation of any ofthe foregoing
objectives."

230

The IJC report goes on to list nine Specific Objectives and defines

them as "the desirable levels of water quality considered necessary at

this time (1970),to achieve the General Objectives." The Specific Objectives

are, in effect, water quality standards. They are as follows:

(a) Microbiology (Coliform Group). The geometric mean of not less

than five samples taken over not more than a 30-day period shall not

exceed 1,000/100 ml. total coliforms, nor 2001100 ml. fecal coliforms in

local waters.

(b) Dissolved Oxygen. In the connecting channels and in the upper

waters of the lakes not less than 6.0 mg/l at any time; in the hypolimnetic

waters not less than the concentrations necessary for the support of

fishlife, particularly cold water species.

Ontario and the International Section of the St. Lawrence River; in the

St. Marys River, pending results of a study of the Upper Great Lakes, a

le vel of total dissolved solids not exceeding that of 1970; and in the

other connecting channels a level consistent with maintaining the levels

of total dissolved solids in Lake Erie and Lake Ontario less than 200

mg/l.

(d) Temperature. No change which would adversely affect any local

or general use of these waters.

231

(e) Taste and Odor. No objectionable taste or odor. Phenols

desirably absent but not to exceed a monthly average of 0.001 mg/l.

Other taste and odor producing substances absent.

(f) pH. No change from the present range of levels, 6.7 to 8.5.

(g) Iron. Less than 0.3 mg/l.

(h) Phosphorus. Concentrations limited to the extent necessary to

prevent nuisance growths of algae, weeds, and slimes which are or may

become injurious to any beneficial water use.

(i) Radioactivity. Elimination of radioactive materials to the

extent necessary to prevent harmful effects on health. Pending the

adoption of more stringent limits, in no event is gross beta activity

to exceed 1,000 pCi/l, Radium -226 not to exceed 3 pCi/l and Strontium

-90 not to exceed 10 pCi/l.

As stated in the report, these foregoing Objectives are "intended

to be the minimum basis for formulating provincial and state water quality

standards and meaningful programmes to achieve the desirable levels of
water quality."2 In addition, the report states that "the Commission

does not condone degradation of waters which now have a quality superior
to that envisaged by the Objectives."3

This set of water quality objectives as well as the recommended

institutional modifications required to help realize them were submitted

to the two governments for approval. These Objectives, with very slight

changes, were incorporated into the Great Lakes Water Quality Agreement

232

executed in April 19 72. A clear statement of goals and water quality

standards such as this provides essential guidance to the

joint organization charged with coordinating the implementation of the

Great Lakes Water Quality Agreement. If the IJC and the Water Quality

Board were transformed along the lines postulated in this volume, these

same Objectives, perhaps with some modifications, would serve equally

well. In thit setting they would determine in large measure the infor-

mation needs of the new organization insofar as water quality is concerned.

The translation of social goals into standards is a controversial

and technically difficult exercise. Standards are expressed in quantitative

terms reflecting not only what is technically possible or correct but

also what is economically, socially and politically feasible. To es-

tablish these standards, there must be some weighing and balancing of the

costs against the benefits from various levels of improvement of water

,quality. The costs of water quality control can not be measured with

great precision but can be estimated with sufficient accuracy formost

policy'setting purposes.. Estimates have been made of the costs involved

to various industrial activ ities in meeting certain standards, for

example, The Cost of Clean Water a series of reports published in 1968

by the Federal Water Pollution Control Administration, predecessor agency
of the EPA.4 Most studies in the past have been concerned with the costs

of wastewater treatment but in recent years more attention has been

focused on the comprehensive economic impact of proposed water pollution

abatement programs.

These cost and,benefit assessments are extremely difficult to do

with a satisfying degree of precision. The state of the art is still

233

pretty rudimentary. Some of the basic problems include: (1) gaps In

our knowledge of the links between cause and effect, e.g., dramatic

episodes such as massive fish kills are easily recognized but often the

true cause of such events cannot be determined even in extensive retro-

spective studies; (2) the challenge of detecting, understanding, and

then preventing the more subtle, long-term effects of pollution, e.g.,

the accumulation of substances such as mercury in fish tissue and the

effects of this on the food chain; and (3) the fact that many effects,

even if understood, seem to defy quantification, such as aesthetic

enjoyment and preserving the functioning of natural ecosystems.

However, there is general agreement that some action must be taken

to improve the quality of the water,thus human judgment and intuition

must be relied upon where knowledge fails us. Wate r quality standards

involve a balancing of benefits and costs by a mixture of knowledge

and judgment. Indeed, most of the controversy in the field of water

resources management arises from the use of value judgments of costs

and benefits.

Most water quality control programs now include water quality

standards as the basic legal tool. These standards set desirable and

permissible threshold limits on specific chemical and physical

characteristics of the receiving stream or body of water. They may also

include requirements such as non-degradation of existing water quality

and minimum levels of wastewater treatment.

The most pressing need for information is in the field of basic

research to establish criteria and then standards for water quality.

After standards have been set, an extensive stream monitoring system is

234

needed to spot violations. Stream monitoring is also required to es-

tablish water quality baselines and trends. Assessment of changes in

water quality are the most effective means of evaluating the effective-

ness of water quality management programs.

In addition to stream monitoring, individual waste discharges

must be inventoried and monitored. This is necessary to enable treatment

plant operators to maintain optimum treatment efficiencies, to maintain

a current knowledge of wastes entering each water body, and to assess

the individual effects of each waste source on the waters into which

wastes are discharged. Often in conjunction with stream standards are

other requirements such as a uniform degree of treatment. Also, when

stream standards are not being met, corrective actions by control agencies

must be based on considerations of the quantity and quality of individual

dischargers and their costs of waste treatment and other means of waste

discharge reduction.

Water Quality.Information Requirements

The types of information needed for control of water quality include:

(1) standards by which the quality relative to use can be judged, (2)

monitoring of existing water quality based on the parameters included

in the criteria and standards, (3) inventory of waste discharges, including

quantity and nature of individual waste discharges, and (4) economic

information on costs of waste discharge reduction or elimination for

individual sources.

The setting of standards is primarily a problem of basic research,

including both scientific and socio-economic considerations. The IJC

report as mentioned above, recommended water quality standards (Specific

235

Objectives) for the lower Great Lakes and the international section of

the St. Lawrence River. These do not apply in areas of proximity to

outfalls where mixing zones must be studied. It is stated in the report

that these parameters are intentionally limited to those believed to be

most meaningful in relation to IJC responsibilities. These objectives

are designed to protect the international waters for "all legitimate
uses including the most restrictive." 5

Monitoring of water quality represents the greatest problem in

basic data collection and handling for water quality control. The Lake

Ontario Basin contains more than 28,000 miles of rivers and streams and

700 square miles of rivers, lakes, and embayments, on the United States
side alone.6 In addition, Lake Ontario itself has a surface area of
7,520 square miles. 7 Obviously, there is no limit to*the amount of

data which could be accumulated on all of these streams and lakes. To

make the most effective use of limited resources, careful consideration

must be given to the number and location of stations, sampling

frequencies, and parameters measured, to maintain the best coverage

possible for control purposes and water quality baseline studies.

A sample of polluted water can contain many chemical and biological

constituents. Some of these are valuable indicators of water quality

while others serve only as troublesome interferences in other analyses.

The first consideration for monitoring is to select those parameters

required to characterize the sample, considering the past history of the

water body and the planned or desired uses. The Environmental Protection

Agency's computerized storage and retrieval system for water quality

(STORET) data can list 425 water quality parameters but only a limited

236

number (usually less than 20) are required or possible at any single
sampling station. 8 Decisions regarding which parameters to omit are

just as important as Which ones to include. Unnecessary determinations

not only add nothing of value but waste valuable time and resources

which could be used for more frequent analyses or important characteristics.

The parameters used to describe water quality are of two

ma.in types--basic water quality characteristics and specific waste

constituents. The specific constituents are those chemical substances

which in themselves are undesirable or at least potentially so. Water

quality characteristics are not undesirable constituents but indicate

effects on the quality in various ways and include such things as

biological oxygen demand, temperature, and alkalinity. For example,

biological oxygen demand is important as an indicator of the amount

of dissolved oxygen that will be u.sed while the waste is being degraded.

Certain coliform organ isms are measured as indicators for pathogenic

organisms.

For the rurposes of enforcing standards, the extreme values are

of greater concern than averages. To guarantee full compliance would

require continuous sampling and analysis of all of the indices of quality.

Since the cost of this.at all stations would be prohibitive, practical
sampling frequencies should be based on the following: 9

the particular index of quality requiring the most

frequent evaluation;

the importance of the water uses being protected at

the location and the impact of a violation on these uses;

the potential for brief violations to occur.

237

Many of the parameters of water quality can vary greatly over a

relatively short time period such as the diurnal variation of dissolved

oxygen or sudden industrial spills and accidental discharges. The need

for in situ, automatic, continuous monitoring is apparent. Since the

basic goal is the control of water quality rather than mere measurement,

the use of monitoring equipment to sound an alarm or even to automatically

initiate action by control mechanisms should be an.essential part of the

monitoring concept. Another great need for continuous data is research

to determine relationships between various parameters to evaluate the
efficacy of control activities.

There are a number of limitations on automatic monitors which limit

their use at the present time. One major concern is the cost. Not only

do the instruments themselves cost money but they require routine

maintenance by generally higher salaried personnel than are required for

manual sample collection. The number of parameters presently measurable

by such means is rather limited. Also, a vast amount of data is generated,

some of which may not be necessary, and which may require more elaborate

and expensive data handling procedures. Nevertheless, the prospect of

keeping a continuous check on the vital signs of a stream is an -attractive

prospect and has created a growing interest.

An example of an automated system of monitoring is the Ohio River

Valley Water Sanitation Commission (ORSANCO) system installed in 1960.

In this arrangement automated monitoring complements manual monitoring.

In 1968 the electronic component of the system consisted of 14 field

stations, a central receiving station, and a data display and storage

system. The robot-monitor units are equipped with transmitters for

238

telemetering data to headquarters by means of a leased telephone-wire

circuit. Each electronic field station has multiple analyzer units which

use sensors for measuring: pH, oxidation-reduction potential (ORP),

chlorides, dissolved oxygen (DO), specific conductance, temperature, and

solar radiation. Not all measurements are made at each station. ORP

is included at some stations on an experimental basis to determine any

correlation between the state of chemical oxidation or reduction and water

quality conditions. ORSANCO headquarters automatically interrogates the

robot-monitor units once each hour and receives data on conditions as

they are being-measured at that moment. Data is automatically punched
on paper tape for use by the computer. 10

Current Data Collection Activities

The current water quality'data collection efforts in the Lake
Ontario Basin are focused on: (1) stream monitoring; (2) lake surveys;

and (3) inventories of wastewater treatment facilities and other point

sources.
A. Stream Monitoring

United States-Federal. In 1964, United States Bureau of the Budget

Circular A-67 directed the Department of the Interior to coordinate water

data acquisition activities of Federal agencies. To carry out this

mission, the Office of Water Data Coordination was established within

the Interior Department's Geological Survey (USGS). Certain state

agencies, municipal agencies, and private organizations also participate

in the program. No effort was made by the office to contact all non-

Federal agencies. An attempt was made to contact those agencies most

active in water data acquisition in their state, thus obtaining extensive,

239

although not necessarily.c6m.pl-ete coverage. Some of the agencies contacted

indicated they would be willing to participate but were unable to do so

because of manpower. limitations.

The Office of Water Data Coordination does not collect or store the

actual data - these must be obtained from the reporting agencies. One of

the responsibilities of the office is to maintain a Catalog of Information

on Water Data. One section of this catalog is.the Index to Water Quality

Section. The catalog is a file of information about water data acquisition

activities. This information is available on media suitable for data

processing, supplemented by microforms and station-location maps. The

Index to Water Quality Section contains: (1) identification and location

of stations; (2) major types of data collected; (3) period of record of
collection; (4) frequency of data collection; (5) in what form the data
are stored; and (6) agencies reporting the data.

The Budget Circular also contains guidelines for developing a national

network to acquire water data. In the field of water quality, plans for

integrated state-federal water quality monitoring systems for a number of

Environmental Protection Agency regions have been developed and are being
implemented. 12 The nationwide water quality surveillance system will

use existing programs of the EPA,.state pollution control agencies, and

other Federal water data collection agencies, principally the United States

Geological Survey. To coordinate and evaluate water quality data, the

EPA has developed its STORET (acronym for STOrage and RETrieval) system.

This system, with a computer in Washington, D. C., provides a central

repository for all water quality and related data collected by EPA. The

system is still being developed and several Federal and state agencies

240

are currently supplying and receiving data. The data collected are

entered in the central computer on a daily and weekly basis by remote

terminals in all EPA regions. The remote terminals can also be used to

obtain timely information from the central computer.

The data stored in the STORET system include water quality data,

municipal and industrial waste facility inventory, water quality standards

compliance, fish kill, oil spill, construction.cost, and other related

information. This large data base can be drawn on for raw data in printed

form. Data can also be retrieved in statistically analyzed form. Calcu-

lations can be provided of monthly and annual averages and trends,.

comparisons between results at different sampling stations, and correlations

between such different water quality parameters as dissolved oxygen,

waste load, and temperature. Also available are other types of analyses

such as comparison of water quality to Federal-state standards and

digital plotting of data and maps. The parameters measured at long-term

water quality stations by the Environmental Protection Agency in the Lake

Ontario Basin are shown in Table 5.

New York State. The New York State Department of Environmental

Conservation operates a@water quality surveillance program which could

ultimately develop into the major source of water quality data on the

United States side of Lake Ontario. The primary objective is to eval@uate

existing water pollu tion abatement activities and determine their effects

upon water quality. To meet this objective the program is designed

to:

--Acquire, evaluate, and disseminate information on the

quality of water,for and from the varied local, state,

241

Table 5

Water Quality Parameters Measured by the
Environmental Protection Agency
(Lake Ontario Basin Office)

Chemistry Biology

1. Water Temperature Benthic fauna
2. pH Phytoplankton
3. Specific Conductance Chlorophyll
4. Alkalinity
5. Turbidi.ty Microbiology
6. Dissolved Oxygen
7. BOD* Coliform
8. COD Fecal Strep
9. N-NH3 Fecal Coliform
10. N-1403 Special - Federal Water Quality Monitoring
11. N-Organic Network Station
12. Phosphates
13. Solids
14. Chlorides Pesticides
15. Sulfates Toxic Metals
16. SiO Trace elements
2 Radioactivity
17. Magnesium Potassium
18. Iron* . Sodium
19. Calcium

*Not measured at all stations

Source: Letter of January 24, 1972 from Robert L. Flint, Jr., Environmental
Protection Agency, Rochester, New York.

242

inter-state, and Federal agencies together with educational,

commercial, industrial, and individual entities.

--Determine the long-term trend and variation of water

quality.

--Provide a rapid intelligence system for the preservation of

the waters and the.protection of the water users, including
compliance with water quality standards. 13

The program has four components: manual surveillance, automatic

surveillance, aerial surveillance, and public surveillance. The stations

for manual surveillance were selected to represent the general quality

of the water in a given river drainage basin and to indicate the effects

upon this quality from upstream waste discharges. Manual surveillance

is currently conducted at approximately 200 water sampling stations of

which about 80 are operated by other agencies, municipalities, and

industries. Only two of the stations are in Lake Ontario, but there is

a large number in the Lake Ontario drainage basin. Sampling frequency

was initially set at an arbitrary frequency of one sample per month.

This frequency was then varied depending upon the location. A sampling

frequency of two times per month is generally used immediately downstream

of point sources of pollution where major pollution problems were found

to exist. Several stations located on lakes are sampled only two or

four times per year. Selected stations are sampled at other frequencies
for BOD 59 microorganisms, phenols, radioactivity, oil, fluorides,
heavy metals, pesticides, and other toxic materials. The parameters routinely

measured include: alkalinity, ammonia nitrogen, chlorides, COD,

coliforms conductivity, hardness, iron, manganese, ni trates, nitrites,

organic nitrogen, phosphates, sodium, sulfates and suspended solids.

243

The automatic surveillance component of the program is intended to

detect promptly undesirable conditions; verify and provide a basis

for improvement of stream survey evaluations and predictive models; and

show water quality trends for program management and public information

purposes. The criteria established for locating the automatic monitors

are:

The water quality and/or quantity at the site fluctuates

rapidly;

-Site is in an area where there is a high potential for

accidental spills of vari ous wastes; and

The site allows continuous evaluation of response of the
stream system. 14

The major automatic monitors measure the following water and air

parameters: hydrogen ion concentration (pH), dissolved chloride con-

centration, dissolved oxygen concentration, dissolved fluoride concentration,

conductivity, water temperature, turbidity, water stage height, solar

radiation intensity, and air temperature. The minor monitors are es-

sentially the same as the major monitors except that they measure less

than the ten parameters listed above and do not have their own shelter.

Satellite monitors are smal-1, compact, and battery powered and transmit

the data via radio to the major monitor. They measure only a small

number of parameters and are used when it is impractical to install a

major monitor or to measure certain parameters at the site of a major

monitor. The Department of Environmental Conservation has proposed.a

total of 36 major monitors, 4 minor monitors, and 83 satellite monitors
by 1976.. None of these are i.n Lake Ontario. 15

244

Aerial surveillance is used on a limited scale. The two forms.of

aerial surveillance are aerial photography and remote sensing. Aerial

photography uses both true color and false color infrared film and often

can produce more information than can be contained in numerical measure-

ments. The true color film can show the presence of deleterious materials

such as suspended and floating solids and oils. False color infrared

film can indicate the presence of aquatic vegetation and algae. Remote

sensing includes quantitative airborne thermal imaging and radiometry

to detect temperature characteristics of the water, and ultraviolet

scanning to detect oil. Numerical and pictorial data are obtained.

Of necessity, the formal water quality surveillance program,cannot

adequately cover all the waters in the state subject to pollution. To

enlist the aid of thepublic, a "Water Watchers" program was established.

Individuals interested in pollution control are requested to take note of

and report any unusual events occurring in the waters. A "water watcher"

may report an event by calling collect the Water Quality Surveillance

Section.

Canada. In Canada, the agency primarily responsible for water

pollution control is the recently created Office of Water Management, in

the Ontario Ministry of the Environment. This office was formerly the

Ontario Water Resources Commission. A routine monitoring program was

begun in 1964 and by 1970 had expanded to include sampling at 650

locations on 137 rivers and at 2,000 locations on the Great Lakes and

connecting channels. Automated collection (remote monitoring) was con-

ducted at two locations but neither of these was in the. Lake,Ontario

Basin. Annual publications of collected data are released to interested
parties. 16

245

The bulk of computer processing is done on a computer located at

the Ontario Department of Highways. The design of a Water Quality

Information System was completed in 1970. Storage and retrieval

segments of the Water Quality Monitoring system have been developed

and programs are being written and tested to process water quality data
gathered from survey work on the Great Lakes. 17

246

B. Lake Surveys

The information sources cited so far have been concerned primarily

with monitoring of water.quality in streams. There are several additional

information sources which are concerned with water quality in Lake Ontario

itself. Data collection in the lake has been mainly done for research

purposes, whereas stream monitoring is usually concerned more with
locating and controlling pollution sources. 18

One source of such information is the United States National Oceanic

and Atmospheric Administration (NOAA) of the Department of Commerce.

That agency absorbed the United States Lake Survey from the U.S. Army

Corps of Engineers in 1970. Data have been obtained in the past from

periodic surveys conducted by research vessels, but studies are underway

to establish continuous monitoring stations. Projects have been started

to compile available data pertaining to chemical and physical properties

of the water, evaluate the data, and collect supplementary data where

serious data deficiencies exist. The assembled data are placed on cards

in a standardized format for computer processing, handling, and correlation.

Research projects are coordinated with the Environmental Protection Agency
and Canadian agencies. 19 NOAA has also acted as the lead agency in carrying

out the missions assigned to the International Field Year on the Great Lakes

and the management of the gathered data.

The Canada Centre for Inland Waters (CCIW) is the major Federal

interdisciplinary water resources research institute in Canada. The

Centre's initial programs have been directed toward research in the Great

Lakes and it has available a research vessel. A full year of chemical

monitoring data was accumulated for Lake Ontario in monthly cruises

starting in April 1969 and ending in March 1970. After cruises,

preliminary charts of surface distribution of temperature, dissolved

oxygen content, conductivity, and turbidity are made up and distributed

247

to interested individuals and agencies. The regular full chemistry

monitoring cruises include analyses for orthophosphate, solilble reactive
silica, nitrates, nitrites, ammonia, total alkalinity, specific con-

ductance, turbidity, dissolved oxygen, pH, total phosphate, total organic

nitrogen, and 20 other specific metals and elements including mercury.

Most of these analyses were conducted on only a limited number of
samples. 20 Computer programs are being developed,to facilitate

retrieval and analysis of cruise data and the data is in a form available

for retrieval, sorting, and statistical testing by.a variety of computer
21
programs.

C. Inventory of Waste Discharges and Treatment Facilities

In addition to water quality data, detailed knowledge of waste

discharges including those of wastewater treatment facilities is also

necessary to develop and implement programs for water quality control.

Reasonably good information is available on municipal wastewater

contributions. On a national scale, the EPA completed the processing

and analysis of data on municipal waste treatment facilities during

1969 and has published the inventory. Because of the need for timely

and accurate data, procedures have been developed for bringing this
inventory up-to-date and keeping it current. 22 Information contained in

the inventory includes the location of the facility, place (stream,

lake, land, etc.) of wastewater discharge, population served, daily flow,

type of treatment, population equivalent of BOD (for untreated and dis-
charged water), treatment needs, and remarks. 23

Unfortunately, there does not exist any such nationwide inventory

of industrial waste sources. Plans have been made by the Environmental

248

Protection Agency to initiate an inventory of wastewater discharges in

ind ustrial manufacturing and processing plants. Initially, this will be

an agency effort and will, eventually be expanded to a joint EPA-state

cooperative project. The EPA STORET system will be used to store and

evaluate the data. Some information on industrial waste discharges is

available from STORET now. In addition, the new permit system required

of all discharges undE!r the 1972 Amendments to the Federal Water Pollution

Control Act will provide expanded information on industrial inventories.

In Canada, the Ministry of the Environment, in carrying out its

industrial pollution control program, regularly surveys all sources of
industrial pollution and prepares reports describing the quantity and

quality of the discharges. The status of pollution control at each

industry is assessed and appropriate remedial measures are recommended

where required to bring effluent quality in line with the government

objectives. Problems associated with discharges of industrial wastes

to municipal sewers are also investigated.

The office also has the task of reviewing and certifying engineering

plans from industry where the effluent from the proposed waste treatment

works is to be discharged into a water course. Because of this

regulatory function, the emphasis of survey activities has shifted.

Since a growing percentage of waste discharge proqrams have been reviewed

and approved, there are less in-depth surveys required to identify

problems. Potential pollution problems are now being identified and

corrected before they are created and there is an increasing emphasis

249

on routine surveillance visits and unannounced spot checks to insure that
treatment plants are operated as approved. 24

Fortunately, there is available a considerable amount of information

about pollution of Lake Ontario and Lake Erie from point sources. In

1960, the Congress ofthe United States appropriated funds to launch a

comprehensive pollution study of the Great Lakes. Actual studies of

Lake Erie began in 1963, and of Lake Ontario and the international section

of the Saint Lawrence River in 1964. The research and technical data

work was begun by the Department of Health,-Education, and Welfare and

after reorganization, continued by the Department of the Interior. These

departments were responsible for water pollution control activities before

the creation of the Environmental Protection Agency in 1970.

These studies were used in preparing the report Pollution of Lake

Erie, Lake Ontario, and the International Section of the Saint Lawrence
River of the International Joint Commission in 1969. 25 In Canada, studies

of the lower Great Lakes for this report began in 1964, after water

pollution became a matter of reference to the IJC by the two governments..

The Department of National Health and Welfare, the Department of Energy,

Mines and Resources, the Fisheries Research Board of Canada, and the

Ontario Water Resources Commission all initiated programs to develop data

on which to base recommendations for the necessary remedial action on

the two lakes.

One of the important results of these studies in the present

context is the identification and characterization of sources of wastes

250

being discharged into Lake Ontario and the Saint Lawrence River. Of

primary importance here are industrial and municipal wastes. Other

sources studied include shipping, dredging, sediment accumulation, and

atmospheric sources.

Figure 3 shows the location of major municipal, industrial and

tributary waste loadings on Lake Ontario and the Saint Lawrence River.

The list of municipal and industrial dischargers and the characteristics

of their wastes is too long to be reproduced here. The major pollutants
of municipal wastes are biochemical oxygen demand (BOD 5), chlorides,
phosphorus, and nitrogen. The municipal loadings include waste waters

from both domestic populations and industries connected to municipal

sewerage systems. About one third of the industries in the Lake Ontario

basin are connected to municipal sewerage systems.

The characteristics'of industrial wastes are quite varied. Those
parameters most commonly measured are: biochemical oxygen demand (BOD 5),
suspended solids, total nitrogen, total phosphorus, and chlorides. Other

important parameters peculiar to specific industries may include acids,

alkalis, oil, phenols, cyanide, and iron. Pesticides and herbicides and

other synthetic organic chemicals such as polychlorinated biphenyls (PCB)

are also of increasing concern. There is also the problem of massive and

'continuous discharges of heated coolant water from power generating

facilities in the Toronto area and also at Rochester and Oswego.

The oxygen-demanding wastes are degraded by natural biological

activity in the lake and streams but many of the substances and

nutrients are not degraded and may produce a lasting effect on the lake.

Several indicators of water qual.ity were studied in the lake, to indicate

the zones of influence of the pollution loads.

Figure 3

7
q@
-71 @'i
6@

1ej

4
A

9 D IvER
I IORIN REG'"
12 2 NORTH WEtTERN LAKE ONTAR, 0 REGION
12 ET, To
3 M OPOLI AN RDNT REGION
4 CENTRAL LAKE ON-0 REGION
110 5 TRENT R1VE11 REGIoN
6 SAY OF JINTE A A DAY OF *UIIT
E F
R " 1-11 AREA > - ST, L- ENIE N@El
1. B'L'ACtKw'S'T.LA1F'EVNCE RIVER BASIN

IZ @A-A RWER GAS'N

FIG. 3-1-1

REGION S AND BASINS DRAINING TO LAKE ONTAR

8 ST. LAWRENCE RIVER SHOWING MAJOR MUNIC

AND INDUSTRIAL WASTE LOADINGS.

Fi,(,-. 3. 1. 1 Sour ces and location of major municipal, industrial and tributary waste
lowlings to T,.,ike Ontnrio -z:-,d the St. T.mvrence River.

252

Interpretation of Water Quality Data

As the amount of data collected on water quality increases, especially

as continuous monitoring becomes more prevalent, methods for interpreting

and analyzing the data will become more complex. The use of an electronic

computer to sort out these data will become an unavoidable necessity.

The ORSANCO monitoring system provides an example of the problems

of data interpretation. With 14 automatic field monitors, the amount

of data collected is so great that manual processing becomes physically

and economically impossible. To summarize manually the data collected

during one year, showing daily averages, maxima and minima for all quality

characteristics at all stations, it has been-estimated, would require 150

man-years. The system can produce more than 650,000 items of data per

year, but something less than this is actually received due to technical

difficulties and erroneous items. If these were corrected, the amount of
data to be processed would increase 15-25% over that now received. 26

The first task in the processing of the data is editing and

validating. This is necessary because of the possibility of instrument

error or equipment malfunction. A number of tests have been established

for validating the data and can be performed by the computer. About

99% of the decisions on acceptance,or rejection of data are made
automatically. The remaining 1% must rest on personal judgment. 27

To facilitate retrieval of monitoring information, the stations

must be indexed on a geographical location basis. The STORET system

uses a hydrologic index and geographical coordinates (latitude-
longitude). 28 The hydrologic index locates a station on a defined river

system and thus allows sorting and retrieval of data records in

relation to direction and level of stream flow. Hydrologically indexed

253

data are retrieved by specifying the beginning and ending indexes of the
stream to'be studied. Retrieval of information in hydrologic order can

be useful, for example, in tracing a contaminant downstream. Geo-

graphical coordinates can be used for large open bodies of water and

locations which cannot be readily associated with points on a stream.

Other advantages are that it avoids the complex river-mile-index coding

and provides a rapid and familiar method of defining station locations.

Data are retrieved for this method by giving the coordinates of the

vertices of the polygon and polygons.

The computer can handle and deal with the tremendous number of

individual data items but the human mind cannot comprehend these data

without methods of interpretation and aggregation. There are a number

of ways in which water quality data are currently interpreted and

evaluated. Standard mathematical characterization of the data include

such calculations as summaries of average, maximum, and minimum values

of a certain parameter over time, and statistical evaluations include

such things as frequencies of occurence of values and percent of time

certain values are exceeded. These types of interpretation basically

relate quality conditions to time.

Graphical displays of data are valuable in relating quality

conditions to time and especially in exploring geographical relation-

ships. Geographical relationships are especially valuable in water

quality control due to the movement of pollutants by river flow. The

ORSANCO staff uses an interesting graph called a qualigra which

shows quality data plotted in terms of frequency of occurrence and

geographical location. This device provides a means of weighing actual

stream conditions against an established objective for it shows at a

254

glance the percent of time the objective is met. Also by overlaying

graphs for different years, conditions over time can be determined,
29
allowing an evaluation of progress being made by control programs.
30
The STORET system'is capable of digital plotting of data and mos.-

Both the ORSANCO staff and the New York,Department of Environmental

Conservation have shown interest in index numbers as a means of a quick

reference system of water quality status. An index number represents

the composite influence of various parameters weighted according to

their importance. Such indices should be devised so that parameters

well above requirements cannot override deficiencies of other
parameters. 31, 32

Interpretation, including data presentation, is a vital part of

assessing water quality conditions. It is in this aspect of effort

that the Federal agencies concerned with water quality surveillance have

been lagging.

Water quality surveillance programs and waste discharge inventories

are objective, desirable methods for assessing the quality of water.

However, it must be recognized that data deficiencies and the difficulty

of.quantitatively defining all pollution problems may require SUPOlemental

methods of assessment. Narrative summaries, backed up where feasible

by tables and charts can fill gaps left by other methods by allowing

subjective expressions for local areas by expert field personnel of

various agencies. This method could include information on such

indicators as agency appropriations, expenditures, administrative and

regulatory action, enforcement hearings and suits. It can also include

information on problems not adequately covered by other methods, such

as fish kills, heat, aquatic plant growth, and groundwater pollution.

255

In spite of the large quantities of water quality data existing

in various locations, it is still difficult to gain an understanding

of the nature and extent of the water quality problem. This is due

largely to the physical complexity of the problem as well as lack of

interpretation and reporting. The variability of many characteristics

require continuous monitoring; yet the cost of continuous monitoring

precludes its extensive use. Also, the geographical variability should

require many more station locations than are presently used. The lack

of adequate data is a serious problem in assessing existing or past

conditions.

The lack of knowledge of industrial wastes is another serious

information deficiency. Only by understanding all the causes of the

water quality problem can effective solutions be hoped for.

In assessing water quality, especially for the benefit of the

public, the available data must be compared with some standard to give

meaning to the data. State and Federal stream standards are obvious

and logical standards of comparison. But this comparison can present

problems. For example, which of the many characteristics are most

important, how often are the standards violated, by how much are the

standards violated, and at how many points On the stream are the

standards violated?

One approach might. be to use the index number concept discussed

previously to weight the various characteristics of water quality

according to their importance for the water use. Measurements of all

the characteristics at one location at a particular.time could be

combined into one index number. A frequency curve of index numbers

2 55

similar to a flow duration curve could be drawn at each station and

criteria developed to classify the water quality at the station. The

criteria should take into account both magnitude and frequency of

occurrence of the index numbers and would depend on the use of the

water. It might be allowable, for example, for some uses to have low

quality water at infrequent intervals, but for other uses even in-

frequent low quality conditions might be unacceptable. The criteria

could be used to classify the water as simply low, medium, or high

or a numerical rating scale might be used. A map showing the classified

quality of streams and water bodies could be drawn and when over-

layed with a map showing water requirements, could identify problem

areas.

As discussed in the framework for developing an information system,

certain uses of information such as public information, policy-making,

and to a certain extent, planning, may require information in a highly

interpreted, narrative format. This narrative may be supplemented by

easily understood figures, numbers, and pi ctorial prPsentations. Fase

of understanding is an important consideration and, especially in the

case of public information, attracting the interest of the user of the

information. The information presented should include an assessment

of water quality conditions, trends, results of programs, and options

for the future.

A good example of the type of public reporting needed is the
article of the National Geographic On' the restoration of the Williamette
River in Oregon. 33 With attrIact.ive, impressive pictures and a well-

written text, this type of article can attract the reader's interest

257

and inform him in an interesting, enjoyable, and thorough (for his

purposes) manner. As opposed to the more technical reports of many

water agencies, this type of reporting may present less data but more

information--in the sense that information is data that are meaningful

to the user.

Implications for the Information System

There are a number of agencies and groups collecting basic water

quality data in the Lake Ontario region. Several of these are relatively

comprehensive and well organized systems, including such things as

automatic monitoring and computerized storage and retrieval. One of the

first tasks of the information system is to assess the existing infor-

mat.ion for such factors as its quality, availability, comprehensiveness,

and suitability for the purposes of the Operations Office. Lines of

communication for transferral of such routine., technical information

should be relatively easy to establish, possibly by remote computer

terminals.

However, due to the scope of the surveillance problem, there is

practically no limit to the amount of data which could be collected on

the many miles of streams and lakes. There will probably be gaps in

coverage which the Operations Office will fill in by collecting the

data or sponsoring such collection by others. This is especially true

in the lake area itself. Other types of information such as industrial

waste inventories are not as readily available and may have to be

collected by the information system of the Office. Even when information

is collected by the Office it may be desirable to use an existing
system (or systems) such as the Environmental Protection Agency's

258

STORET system for storage and processing of the data. This could

help to avoid the need for a large and costly computer operation for

the information system.

The causes of water quality control problems are generally local

in nature. Control functions are decentralized, both by geography and

authority. Also, problems requiring immediate action, such as standards

violations, fish kills, and accidental spills of toxic materials, can

occur very quickly. All of these factors emphasize the need for a

communication network to rapidly receive information from many sources,

interpret it, and disseminate it to many users. Procedures will have

to be established well in advance of any crisis situations and means of

rapid communication such as the telephone, teletypes, and remote computer

terminals will have to be used.

The large quantities of basic data collected, the complexity of

using all this data to assess and control water quality, and the many

different users involved, require that interpretation and reporting of

information be a vital task of the information system. Uses of the

information will vary from scientific research which requires'detailed,

technical data, to public information which will require highly aggregated,

summari,zed, and interpreted information. A wide range of methods of

interpretation and reporting will be required to satisfy the variety of

users.

259

REFERENCES AND FOOTNOTES

CHAPTER Vb

Case Study: Water Quality Data and Information

International Joint Commission, Pollu,tion of Lake Erie, Lake Ontario
and the International Section of the St. Lawrence-River, a Report
to the IJC by the-International Lake Erie Water Pollution Board and
the International Lake Ontario-St. Lawrence River Water Pollution
Board, 3 volumes, 1969.
2Ibid.

3
Ibid.
4Federal Water Pollution Control Administration, (FWPCA), The Cost of
Clean Water (Washington: Government Printing Office, 19-6-8j-.
5International Joint Commission, op. cit.

6
Great Lakes Basin Commission (GLBC), Great Lakes Basin Framework Study
Appendix No. 1, Basin Description, (197T , pp. 169-175.
7Encyclopedia Britannica, 1968 Edition, Vol. 16, p. 973.
8Dwight G. Ballinger, "Automated Water Quality Monitoring" in Environmental
Science and Technology, Vol. 2, No. 8 (August 1968), pp. 606-610.

9
William T._ Sayers, "Water Quality Surveillance: The Federal-State
Network" in Environmental Science and Technology, Vol. 5, No. 2
(February 19-71-Y, pp. 114-119.
10 William Klein,.et. al., "An Integrated Monitoring System for Water Ouality
Management in @_he Uh-io Valley," in Environmental Science and Technology,
Vol. 2, No-10 (October 1968), pp. 764-771.
11 Office of Water Data Coordination, Catalog of Information on Water
Data - Index to Water Quality Section (Washington: U.S. Geological
Survey, 1970 edition), p. 1.
12 U.S. Federal Water Quality Administration, Clean Water for the 1970's,
op. cit., p. 52.

260

13New York State Department of Environmental Conservation, Water Quality
Surveillance in New York State (1970), p. I.
14 Ibid, p. 6.
15 Ibid.
160ntario Water Resources Commission, 1970 Annual Report (Toronto: 1971),
pp. 66-68.
171bid., p. 14.
18 One exception to this is the joint IJC investigation (1964-1969) of
pollution of the lower lakes and the international section of the St.
Lawrence River (refer to note 1).

19
United States Lake Survey, Army Corps of Engineers, Great Lakes Research
Center: 1970 Program (Detroit: 1965), pp. 29-32.
20 Canada Center for Inland Water, Canada Center for Inland Water - 1970
Department of Fisheries and Forestry (Ottawa: Information Canada,
1971 ), pp. 29-30.
21 Ibid., pp. 4, 16.
22 F.W.Q.A., Clean Water for the 1970's, op. cit., p. 53.

23
United States Environmental Protection Agency, 1968 Inventory of
Municipal Waste Facilities, 10 Volumes (Washington: Government
Printing Office, 1971).
24 Ontario Water Resources Commission, op. cit., p. 28.
25IJC, OP. cit., Note 1. -

Klein, op. cit., p. 767.
27 Ibid.
28Environmental Protection Agency, Storage and Retrieval of Water Quality
Data (Training Manual), pp. 3-1 through 4-1.
29 Klein, op. cit., p. 768.

261

30 E.P.A., Storage and Retrieval of Water guality Data, 9_. cit., p.'
P
31 Klein, op. cit., p. 768.
32 N.Y.S. Department of Environmental Conservation, op. cit., p. 13.

33
Ethel A. Starbird, "A River Restored: Oregon's Williamette" in
National GeUraphic, Vol. 141, No. 6 (June, 1972), pp. 816-835.

262

CHAPTER VII

PUBLIC PARTICIPATION*

Introduction

Public participation refers to activities of private citizens or

groups of citizens in trying to influence decision-making. Direct

participation of the public in governmental decision-making processes

is neither a new concept nor an unprecedented practic e. Canada and

the United States have nurtured the principles of participatory democracy

from the time of their birth as nations. These two nations have open

systems that allow dissension and criticism and promote citizen involve-

ment in many areas of decision-making. These two democracies constitute

a social experiment in which the governments and the people endeavor

to solve the complex problems of modern society in tne face of financial

resources that always seem inadequate and with public.institutions

that always seem better suited to address the problems of the past

rather than those of the presentor future.

What is new about the concept of public participation is a

heightened interest in it on the part of the public and a marked

shift from its previous focus of application at the local level

to the state, provincial and, particularly, the federal level. A

reaction is now taking place in response to the continually growing

power of the federal governments and their increasing capacity to

*Based in part,on a master's thesis by Arivd L. Thomsen entitled, Public
Participation in Water and Land Management, Cornell University, 197-,T-.

263

affect the everyday lives of citizens. Much of the new interest in

direct intervention was brought about by abuses committed by policy-

makers who heretofore operated without effective restraint simply

because the public ignored or abdicated its responsibil-ities. The

situation in recent years has been radically altered. People are

demanding a say in how their natural resources are to be used. The

public, when convinced that activities are proceeding in an improper

direction, has been successful in stopping those activities or at least

changing their direction. The Florida Barge Canal controversy in the

United States and the Spadina Expressway controversy in Canada are

excellent-examples of effective citizen intervention.

The trend is clearly toward more citizen participation. Govern-

mental agencies are now moving to deal with this phenomenon. Agency,

guidelines are being revised, public hearings are being treated by

agencies with more seriousness and new legislation is being drafted

to permit cit,izen,s to seek relief directly against the government in

the courts. Public intervention in the planning process reduces mis-

apprehension, softens what might otherwise be hardened viewpoints and

facilitates the resolution of differences. It can also tie things up

in knots. The challenge of the public administrator is to find a way

to ensure that consideration of public viewpoints do not impede the

decision-making process. "Public participation does not transfer the

authority and duty for making decisions from those entrusted by law
with that responsibility to those who are eager to participate."2

Public participation is here with us to stay. The mechanisms to

promote, sustain and guide it must be built into the new joint

264

organization. Pubiic participation must have standing equal to the

research task and the information system of the new organization. These

three major functions should be mutually reinforcing, each drawing

strength from the other two. If these three functions kresearch,

information system, public participation) are planned and managed with

skill, their interaction would be synergistic. It is from this triad

of functions that the new organization derives its viability, independence

and identity.

This chapter is in two sections. The first provides a framework

of considerations useful in the development of a public participation

program. The discussion is in general terms. The second section

illustrates how these considerations might be applied in the context

of the postulated new organization for the Great Lakes region.

General Considerations in Developing a Public Transportation Program

The primary assumption underlying efforts to involve the public in

water and land management is that it is an effective means of including

social considerations in management decisions. The effectiveness of

this means of embodying social issues in decision-making is yet to be

proven and is still debated. The concept of public participation has

long been given lip service but its application in any meaningful way

is yet to be tested. Furthermore, because each region is unique in terms

of its resource-mix and its.people there is no single best approach to

the organization of public participation programs. As a result, attempts

to involve the public in decision-making have to be viewed for the

time..being as experimental with constant re-evaluation of an integral

265

part of these attempts. The success of these experimental attempts

will be determined to a great extent by the flexibility of approach and

the degree to which these programs are integrated with the entire

decision-making process.

Organization of public participation programs should be developed

around three main program functions: (1) educating the public, (2)

educating the agency and (3) public and agency interaction and dialogue.

These functions are interrelated and the success of any one depends

upon the success of the others.

A. Public Participation Functions

Educating the Public. Informing or educating the public is a

continuous process inherent in any public participation activity. One

objective of this kind of activity is a better-informed-public. The

dissemination of the right information to the right people at the right

time is a most important prerequisite to an effective public participation

effort. It is also important to remember that this is but one function

of a public participation program. Too often agency attempts to improve

citizen involvement have been simply attempts to provide better infor-

mation to the public. This is only one part but an important one of

public participation programs.

266

Although the scope of public information may initially be con-

sidered infinite, potential subjects can be separated into three
categories:3 substantive, organizational and procedural. The need

for substantive information is obvious. If the public is to play some

role in decision-making, it must acquire varying degrees of knowledge

about the problem, possible solutions, trade-offs, and implications of

various management strategies.

Less apparent is the need for information concerning the organizations

involved in management, their organizational and decision-making structures

and their legal and potential scope of management. This is especially

important because of the present fragmented nature of resource planning

and management. Local,people often become confused because of the

overlapping of or the apparent (and real) gaps in responsibilities.

Good intergovernmental and interagency relations, together with public

information that identifies these relationships and responsibilities to

the degree possible, is necessary to reduce confusion, legitimize the

management process and promote public interest and participation.

Closely related is the need for procedural information. Participants

must know not only about the public involvement processes but about the

processes of management as well. Information concerning the processes

of identifying goals, planning, deciding (including initiation, choice

and ratification), developing and allocating resources, executing and

evaluating should be presented so that the hopes and expectations of

participants are kept in a perspective that will minimize disappoint-

ment and discouragement.

267

In an impact study of power projects in Schoharie County, New

York, 61 percent of the public responding to a survey indicated that

they needed more information. Warner's survey of public participants

indicated that 57 percent of the participants needed more information
than has been available in the past. 4 The need for more information

ranked thir d as a change needed to increase the effectiveness of

public participation. Specifically, the respondents indicated the

information should be more widely circulated, increased in amount, more

understandable, more basic in nature, used to identify conflicting

viewpoints, and more explicit in identifying and explaining assumptions.

Some respondents indicated that the information usually received was

too complex, others claimed it was too simplistic. This result

illustrates the need for flexibility in disseminating information.

Information must be prepared and packaged differently for different

groups depending upon their own characteristics and needs.

Communications experts must become acquainted with the relevant

publics and then supply the wide range of needed information in varying

degrees of completeness and technical detail depending upon the receiving

public and the time relative to the decision-making process.

Educating the Agency. Before useful information can be obtained

from the public the first function of public participation must be

effective, i.e.,the public must be well-informed. Failure to adequately

inform the public can be a source of failure in attempts to determine

public values, needs and desires. Public hearings are widely criticized

on this basis. Questionnaires and other survey methods lose much of

their potential value if the responses are from uninformed people.

268

Assuming an informed public, there are still many problems in

eliciting and using public response. Finley and Hickey found that

three major factors tended to alienate the public in the Susquehanna
Basin:5

"l. Filling the agenda so that reactive grou ps must wait
several meetings to present their views.

2. Failure to seriously consider the views of the
reactive groups.

3. Taking a generally negative attitude toward any
position of the reactive groups because of the source
and not because of the substance of the position."

Yet, the Susquehanna Coordinating Committee considered generation of

public response the most important objective of the public participation
program that they initiated.6

Warner's survey of government administrators and planners indicated

.that more public feedback and reaction to proposals was a major goal of

public participation programs. In the same survey, these respondents

rated the value of information produced by public participation very
7
low. These two examples indicate that techniques for collecting useful

information from the public are not well-developed. Therefore an

experimental approach with qualified communications professionals may

be a prerequisite to obtaining useful information from the public. This

information can be obtained by asking, infering from behavior or by

psychological tests. All of these methods require special professional

competence for design, implementation and interpretation.. This competence

must be acquired if any management agency is serious about implementing

a public participation program.

269

It is important,to point out that in most cases today the public

is likely to respond or react at some time or another. If this response

is effectively elicited at the proper time, mutual accommodation or
innovative conflict may result.8 However, if this response is not

obtained by some kind of design it is likely to be spontaneous with a
lack of proper information leading to disintegrative conflict. 9

Dialogue. The third function of a public participation program

is to establish a dialogue or two-way communication between the agency

and the public. This function appears to be the major thrust of many

recent public participation programs. The first two functions of

public and agency education become supportive and a part of the two-way

communication efforts. Perhaps this thrust is a result of the recognition

of the difficulties and ineffectiveness of simply informing the public

or obtaining public response to proposals. Another possible reason is

the realization that informing the public and obtaining information

from the public is an iterative process. The public finds it difficult

to respond without proposals to respond to and has little motivation

to respond when a study is completed and one plan or proposal is presented.

Thus, the concept of working with the public rather than for

it has emerged. Another factor that favors the third function is that

the public is demanding a more direct relationship with the management

agency. Warner's survey of potential participants indicated that

whereas the past roles of these respondents were mainly as observers or

independent reviewers, their desired roles included participation in

the formulation of objectives, recommendations and alternatives. In

other words, the public desires and in some cases demands that it be

provided the opportunity to react to a process rather than a final plan.

270

The rationale for concentrated efforts to establish a two-way flow

of communication in public participation programs is evident in a state-
10 "In the final analysis, success in accomplishing the
ment by Tabita:

mission will rest more than ever on making the public a member of the

team. We can no longer afford the mechanisms for achieving public

rapport used in the past. Old methods must be improved and new methods

developed and total reliance should not be placed on any one system or

set of tools for reaching and retaining the public's sympathetic

interest. In view of the developing possibility of vocal, special

interest groups obscuring the best public interests, it is vital that

the public be informed at every level of possible concern, that it be

supplied with all of the facts necessary for intelligent decision and

that its cooperation in every step of the planning process be secured."

B. Tasks and Activities

Programmed public participation is not operational until the

objectives are translated into specific tasks and activities. This is

the difficult practical problem confronted by agency personnel. Since

issues and people vary in-nature from place to place and time to time,

program design is the heart of the experimental approach to public

participation. Specific issues and people together with available,

resources will determine the scope and nature of the public participation

program and the relationship of the agency and the people.

Regardless of whether the public participation effort is minimal

or an elaborate program is attempted, there are four major.activities

in the design and implementation of a public participation program.

271

These activities are: (1) identification of the publics, (2) timing

the involvement relative to the decision-making process, (3) selection

of communication mechanisms, and (4) continuous evaluation and adjustment.

Identification of the Public. Just as there is no single "public

interest" no matter how small the problem, neither is there a single

identifiable public. The public as referred to in public participation

and in the context of the Great Lakes Basin actually includes a con-

glomeration of interests that change with the issues and over time.

While statistical descriptions of the public in terms of such

dimensions as age, economic status, education, professional interest,

etc. is useful in two of the major functions of a public participation

program (educating the public and educating the agency), the identification

of the public to become involved in the third function, dialogue, is a

far more complex process. Obviously, public information can be dis-

seminated widely and public opinion can be elicited on a rather broad

basis but the dialogue function is severely restricted as to the number

of people that can become involved. Also a great deal of interest,

motivation and commitment is required of the public participating in

the dialogue function.

As a result, it is sufficient to identify only the influentials.

Influentials are those individuals or groups having a potential for,

reputation of, or record of influencing decision-making on the issue of

concern or related issues. Wengert contends that the identification

of influentials is static and fails to deal with those whoare not
influential but have a definite stake in the results of the decisions. 11

This criticism can be softened if the word "potential" is interpreted

272

liberally in the identification process. Working outside of organizations

or cutting across organizational lines has not beentoo successful,

probably because those who desire to participate prefer to become involved

through an organization, if there is one, that represents their point

of view on 6 particular issue. Also, it is a vain hope with the usual

resources and time constraints to organize the unorganized on any kind

of community or regional basis.

Three techniques have been proposed for identifying community

leaders. These techniques are easily adapted to identifying individuals

and groups that ought to participate in water and land management

decisions. They are the positional approach, the reputational approach

and the decisional approach.

The "positional approach" is used to identify individuals and

groups who are in a position to be affected by or to affect decision-

making. Organized special interest groups, universities, local planning

groups, active citizen committees, local planners, industrial and

business officials, flood plain residents, etc. can be identified on a

positional basis.

The "reputational approach" consists of asking informants to name

and rank community influentials. The informants can be selected

panel or a random sample of community members. Public agencies involved

in the area are often valuable informants on influentials. The snowball

technique can also be used. In this technique all those identified

are asked to act as "informers" as well in identifying other influentials.

The process is continued until no new influentials are identified in

the interviews.

273

The "decisional approach" is also known as the "event analysis"

or "issue" approach. It involves tracing the actions of groups and

individuals in regard to decision-making and policy formulation within

the context of specific issues. Tracing may be done by gathering data

from extensive interviews, from attendance at committee and organizational

meetings, from reports, records of public hearings, speeches, news

articles, etc. This approach tends to identify overt power rather than

power potential or perceived power and recognizes influence as a process

rather than as a static fixture.
Each approach in itself appears inadequate. 12 Regardless of the

extensiveness of the identification process, a combination of the three

approaches should be used in the process of identifying participants.

When the list is completed it serves as a complete list for the dis-

semination of information and a list of potential respondents to agency

questions. The list also serves as a source for identifying those who

might best represent the public in the dialogue function and may help

indicate the likelihood that any group or individual will make the

required commitment. It may help identify potential conflict situations

and problems of representation that must be solved by the agency.

The original list must not be considered final. Identification of

participants has to be a continuing process. Attitudes and opinions

are likely to change as awareness and knowledge of the management

problems and alternative solutions are increased through the,public

participation program.

Combining the three approaches creates the possibility of many

degrees of sophistication and systemization of the identification process.

274

Groups and individuals identified in each approach can be ranked or

graded regarding their representativeness, degree of organization,

legitimacy, visibility, scope of influence, etc. Decisions can be made

regarding who should be informed, who should be interviewed and who

should be invited to participate directly in dialogue with the manage-

ment agency.

Timing of Involvement. Once the participants have been identified

the next task is to determine the points in the decision process when

the public can and should be involved. Two primary timing concerns

are the initiation of involvement and the frequency of involvement.

In Warner's survey of private groups involved in agency planning studies,

the 143 respondents ranked timing of involvement opportunities second

in importance in needed improvements to allow more effective
participation. 13 These respondents stressed the need for early and

frequent public participation throughout the decision making process.

The public needs to be involved early so that they can participate in

the formulation of objectives, recommendations and alternatives rather

than simply react to agency determined plans, often with insufficient

time to adequately consider the proposals.

The Susquehanna Communication - Participation.Study has been

cited as an innovative attempt to involve the public in decision-
making. 14 The lack of success experienced here was to a great degree

a result of beginning the program with only 1 112 years of the six-

year study period remaining.

@Frequency of involvement is usually related to natural review

points in the particular decision process. Although each issue

275

situation will be somewhat unique in this respect, there are five points

in general where there is something to present to the public and some-

thing for them to react to:

1. Formulation of Goals and Objectives.

2. Results of Technical Studies.

3. Formulation of Alternatives.

4. Evaluation of Alternatives.

5. Presentation of Final Plan.

Involving the public in the formulation of goals and objectives is

important because it provides the opportunity to establish good working

relationships at the conceptual stage. Agreement is more likely here

because of the absence of the necessity of commitment. It allows the

public and the agency to get to know and understand one another which

is important throughout the public participation and decision-making

process.

Maintaining public involvement through the technical studies is
15
likely to provide three potentially valuable results:

1. Acquisition of a broader spectrum of data.

2. Verification of assembled data; and

3. Reinforcement of relationship with public.

Local technical people can be especially valuable in this phase.

Public participation in formulating and evaluating alternatives

relates primarily to the dialogue function of public participation

programs. Public input in this phase will expand the range of alter-

natives, develop a better understanding of feasibilities, develop a

better understanding of the complexity of the problems including the

276

required trade-offs and promote and reinforce relationships established

in earlier phases.

Presentation of the final plan is primarilyan information function.

However, access must be provided for dissenting arguments. If the

participation program has been successful in earlier phases there should

be minimum dissent at this point. However, those who preferred not to

participate until this point or who feel left out.may respond.

There may be times during the decision process when considerable

time elapses between major involvement points, e.g. during technical

studies or while awaiting agency review or political ratification.

During these times it is important to maintain relationships through

the informing function by reporting on progress and agency processes

even though there is very little progress.

Selection of Communication Mechanisms. Effective participation of

all interests is only possible if the management agency is successful
in providing adequate communication links with and between the participants.

Because of the diversity in participants and the relatively different

kinds of information transmitted at various times in the decision process

a variety of mechanisms may be necessary for effective participation.

This is one reason why identification of participants and determination

of timing are important first steps in implementing a public participation

program.

Although many of the mechanisms for public involvement are multiple

purpose in nature, each can be classified according to its primary

functional use. Some mechanisms are particularly useful for educating

the public while others provide useful information for the agency. Still

277

others provide the opportunity for agency-participant dialogue. Many

mechanisms are complementary to the successful utilization of others.

For instance, those mechamisms used to inform the public quite obviously

complement attempts to obtain qualified information from the public and

efforts to engage in informed dialogue.

Information is usually disseminated through public notices,

newsletters, news media, a speakers bureau or published agency reports.

Public notices usually contain terse, inconspicuous information con-

cerning public meetings, hearings, etc. Newsletters can be published

on a regular basis to provide specific controlled information and are

distributed to individuals identified as potential participants. The

news media include television., radio and the newspapers. Of these, the

newspapers are often considered the most accessible, least expensive

and most effective. A speakers bureau can be organized to provide

speakers to clubs,,schools or other organizations that regularly

schedule guest speakers. Regular or especially prepared agency reports

are also used to educate the public. In addition, public displays and

films can be utilized.

Common techniques for information collection include surveys,

public hearings, public inquiries and special study task forces. Surveys

utilize various polling and interviewing techniques. Public hearings

are the most widely used formal device for entertaining the views of all

interests on a particular issue. Public inquiries are similar to

public hearings except they are informal. Special study task forces

may be established to investigate a particular issue and report to the

management agency and the public.

279

Dialogue or two-way communication can be achieved by informal

contacts, workshops, group advocates, advisory committees, formal

meetings and informal meetings. Informal contacts are probably the

most important since they are complementary to all other devices.

Workshops are, as implied, work sessions where participants are encouraged

to openly discuss issues and alternative actions. They are informal

in nature, restricted to relatively.small groups and may be conducted

in a series. -The group advocate technique requires interested groups

to elect a representative to express their viewpoint and return pertinent

information to the group. Advisory committees can be appointed to

represent various interests, however they are usually selected and

charged to represent the views and interests of the more general public.

Its relationship to its constituents is different from that of the

group advocate in that the advisory committee is usually (but not

necessarily) appointed, not elected, and its constituents are not as

well defined. Formal and informal meetings are useful for exchange of

information. They differ from the workshops in that the development of

ideas and alternative solutions to problems are not included as

objectives.

Continuous Evaluation and Adjustment. Continuous evaluation and

adjustment of all activities is an essential component of the responsive,

experimental approach to public participation. Objective self-evaluation

may be one of the most difficult of all the tasks. For this reason it

is often desirable to secure outside observers, probably from a

university, for this activity.

279

Since evaluation criteria have not been well-developed and in any

case will not be easily defi,ned, the evaluation itself is essentially

experimental. As a starting point the program should be evaluated

relative to its stated objectives with a view toward changing the

objectives or adjusting the activities to make the two more compatible.

Techniques should be developed for evaluating the success or benefits

of the program in view of the resources committed on a marginal bases.

,Questions concerning organizational and structural deficiencies-,

representativeness of participants, responsiveness, flexibility, scope

and specificity of participants, and interest motivation and maintenance

must be considered.

When deficiencies are identified, alternative means of

eliminating them should be developed. Those alternatives that cannot

be adopted in the current program may be feasible in future public

participation experiments. Thorough, continuous evaluation and

corresponding adjustments in the processes will form the basis for long

range success in public participation in water and land management.

A Public Participation Program in the Great Lakes Basin

The foregoing section developeda framework of considerations

that those charged with designing a public participation program must

take into account. This section examines some of those considerations

and their associated assumptions in more specific detail and with

special reference to the Great Lakes region.

As discussed in this and previous chapters, a fundamental as-

sumption with respect to the new organization is that it would carry

289

out its treaty mandate in two basic modes of operation. They are:
(1) independent or autonomous operations in which the new organization

deals directly with citizens or groups of the public or private

sectors; (2) an indirect role consisting mainly of facilitating the
coordination of.the planning and programmatic activities of existing

public agencies of the region. This modus operandi suggests that a

Great Lakes organization public participation program would consist of

two distinct yet interrelated components. The first includes public

participation activities undertaken directly with the public. The

second concerns the organization's role in the public participation

activities of existing government agencies with resource respon sibilities

in the Great Lakes region.

A. Activities.of the Regional Agency

The new organization should develop its own relationship with the

public for a number of reasons. Such an endeavor would enhance the

agency's visibility and accountability and help to legitimize its

mission. It would also promote an international, regional perspective
and provide valuable information concerning the public's perception of

the proper scope and function of a new joint organization.

This discussion of direct relationship public participation

activities is pegged to three of the four major activities which were

outlined in general form earlier in this chapter. They include:
identification of public participants; determination of the proper

timing of activities; and selection of communication mechanisms. The

fourth activity, that of continuous evaluation and adjustment, is not

included in the discussion.

281

Identification of Participants. Identification of potential public

participants is never a simple task, especially in an area as large as

the Great Lakes region. When a problem is confined.to a small area

the identification of public participants and the motivation of their

involvement may involve only the usual problems. On a regional scale,

however, it becomes more difficult to involve a significant portion of

the public.

Although information should be disseminated as widely as possible

and public feedback should be elicited from as large a cross section

of the public as possible, most public participation activities of a

regional nature will necessarily involve, more often then not, regional

influentials. This as a,frank recognition of things as they are. It

does not imply that the organization should not exert every effort to

encourage citizen fnvolvement on the broadest scale, because it should.

The idea is to raise the level of consciousness of people living in the

Basin, imbuing them with a regional outlook and an understanding of the

goals of the new organization. A very successful public participation

program would be one in which this "regional outlook" is acquired by

at a substantial sector, say one-half, of the region's citizens. With

regard to active citizen participation, a much smaller percentage is

envisioned for example, through organized groups possible 2 percent of

the Basin population might fall within this category. Reliance must be

placed on the leadership of such groups, i.e., the influentials. These

leaders and influentials who have experienced and recognized the

benefits of public participation and who are aware that change takes

time are the only group likely to commit thenecessary resources to

282

become involved. These people can be identified by using the positional,

reputational, and decisional approaches as described earlier.

Potential participants identified by these approaches would include:

the news media (including all radio and television stations and all

newspapers in the region), universities, environmental organizations, public

interest groups such as the League of Women Voters and various other

citizen advisory committees concerned with regional. problems. It may in

fact be useful to organize a citizens' task force to assist in the

identification of potential public participants.

This selection task can never be completed. As time passes and new

problems and issues emerge new participants will appear while others will

fade from the scene. Also, public participation activities can be

expected to produce new leaders as members of the public become better

informed of the problems of the region and of the potential for participation.

Timing. The two primary timing concerns are the initiation of

involvement and the frequency of involvement. Frequency depends on the

decision-making process and on the communication mechanism. Other than

the recommendation that the public should be involved continuously as much

as possible, further discussion regarding frequency is included in the

section on communication mechanisms.

Public involvement must be initiated early. The reasons for this

are (1) the public normally requires a great deal of information to

promote awareness and interest; (2) the public must be adequately in-

formed if it is to play a useful role; and (3) it is easier to establish,

a good relationship among the various interests early when discussions

concern concepts and there is time and opportunity for accommodation.

283

Communication Mechanisms. Although most Communication mechanisms

are multiple purpose, each can be classified according to its principal

function. 1hese three functions are: (1) to educate the public, (2)

to educate the agency and (3) to promote dialogue between the agency and

the public and within the public.

Educating the Public - A well-informed public can be the key to the

success of a public participation program as well as a valuable assistance

to successful resource management coordination. Information should

include the structural and procedural as well as the substantive aspects

of management.

Effective use of the news media has the potential of informing people

at a lower per capita cost than any other mechanism. The new joint

organization must establish a good rapport with the Canadian and U.S.

television networks as well as the independent stations. Arrangements

should be made to obtain maximum use of no cost or minimum cost public

service programming opportunities available through the television medium.

Newspapers are probably the easiest to use and require the least

commitment of financial resources. A series of articles prepared for

newspaper dissemination might be undertaken. These articles might appear

weekly in all of the region's major newspapers. In addition, articles

on current management events Should appear frequently, or at least

weekly.

Newsletters can also be an effective mechanism for informing the

public. Newsletters are currently published by regional agencies such

as the Great Lakes Basin Commission and smaller regional agencies such

as the Erie and Niagara Regional Planning-Board. The first newsletters

284

should be distributed widely. A subscription form should be included in

each issue for those wishing to remain on the mailing list and for

suggestions concerning others who are likely to be interested. The sub-

scription form should request information that will be useful in keeping

the lists of subscribers current.

Agency reports should be described and summarized in newsletters and

the availability of these reports should be clearly indicated. These

reports should be made available to all interested parties upon request.

Unavailability of agency reports is often a source of public alienation

and distrust. In addition, all agency reports should include an intro-

ductory summary succinctly stating the objectives, major findings and

conclusions of the report. This summary may satisfy the needs of many

who otherwise would find it necessary to read the entire report. An

annual report should also be prepared and distributed for public con-

sumption.

Speakers' bureau activities are likely to reach few people and

require too much of the agency's resources to be effective. However,

other innovative activities could take its place. Movies and self-

operating slide presentations should be prepared and advertised through

the news media and the agency newsletters. Displays and posters can

be located strategically. The Ontario Water Resources Commission
(OWRC) 16 has had success in this public information technique and its
experience might be drawn upon. 17

-Educating the Agency - An agency that is well-informed concerning

the characteristics, values, opinions and needs of the public it serves

will likely be more successful in implementing an effective public

285

participation program. Also, its management decisions will tend to be

more responsive and command more public support. Although agency

personnel will, in the course of things, come to know the public, it

will, nonetheless, be useful for the agency to design certain aspects

of its public participation program primarily to receive public input

or feedback.

Public hearings and inquiries are appropriate for specific problems

fairly local in nature. For the broader problems of regional management,

surveys and citizen task forces may be more appropriate. Although the

value of surveys is often questioned because results can depend on the

way questions are asked and the interpretation of the raw data, surveys

can play an important although limited role in informing the agency about

its public. Surveys can also be included as part of other public

participation activities such as identification of potential participants,

newsletter subscriptions, workshops, etc. The potential for acquiring

a great deal of information rather inexpensively and quickly in this

manner should not be overlooked.

Citizen task forces can be formed to investigate the nontechnical

side of almost any management problem.. These task forces can be es-

pecially useful when dealing with social issues or social conflict.

Task forces can be employed to assist in identifying potential participants,

evaluation of the effectiveness of public participation programs and

collecting survey data as well as mobilization of reaction to agency

proposals.

Dialogue - At first glance it may seem apparent that there is little

chance for dialogue between the agency and the publics in the management

286

of an area as large as the Great Lakes region except in specific localized

problems. This challenge can be made less formidable with proper

attention paid to some less obvious techniques which complement and even

reinforce the methods already discussed.

An example is the importance of establishing good informal relations

with as much of the public as possible. Many major newspapers in the

region have writers that specialize in Great Lakes news. Frequent com-

munication with these individuals, informal in nature, is a prerequisite

in many cases to effective use of the newspapers for informing the public.

Although these individuals should be asked to participate in as many

programmed activities as possible, the informal relationship is likely

to affect not only their interest in participating but the quality of

information the public gets as well. Opportunities to make informal

contacts or establish good informal relations with media representatives

should never be neglected.

Workshops may be considered too limited,in scope and too specific

requiring too great a commitment of time and resources on the part of

the public and the agency to be appropriate for an area the size of the

Great Lakes region. Yet, Canada has initiated a nationwide series of

workshops in which Canadians can participate in sha ping guidelines for

future resource development and conservation. This series is called

"Man and Resources Conference." Each province has the freedom of

implementing the program as it sees fit. Ontario has planned for initial

discussions within existing citizen organizations. Next, a representative

from each organization will attend a community workshop. Delegates

selected from these workshops will attend regional workshops. Delegates

287

from the regional workshops will attend a provincial meeting. Following

this provincial meeting, experts will analyze the alternatives identified

by the series of workshops.

The highlight of the program, a national workshop, was held in

November 1973* -.the main purpose of setting guidelines for future policy
aInd action. 18 There is potential for a similar program under the aegis

of the new binational organization.

The Ontario approach to the Man and Resources Conference is a com-

bination of the workshop mechanism and the use of group advocates. In an

area the size of the Great Lakes region, the group advocate technique

can be very useful. This technique is also compatible with the recommended

combined method of identifying potential public participants. Those

(groups or individuals) identified as most influential are likely to make

up the core of the advocate system. The use of group advocates is

effective in decentralizing the public participation program in a large

region.

Citizen advisory committees can also bevery effective when dealing

with broad regional problems.. Recognized leaders with a public-regarding

ethos should be selected to serve on these advisory committees. These

advisory committees can effectively participate in all phases of decision-

making and in all phases of the public participation program. Individuals

on these committees can provide important links with the public that can

improve informal relationships. Individuals willing to serve on advisory

committees must commit considerable personal resources to the effort.

Therefore a policy of.reimbursement for certain expenses should be considered.

*Reports of the worskhop were not available at the time of publication of
this Reader.

288

Formal and informal meetings should be encouraged at all times

throughout the region. Some of these meetings should be initiated by

the agency, others will be organized by interested citizens. Educational

materials and agency personnel should be available for use at these

meetings. Communication is likely to be less restrained in this kind

of forum than in some of the more formal activities. The unrestrained

communication can lead to early recognition of conflict situations thus

providing time for the agency and the public to obviate some of these

conflicts.

B. Coordination of Domestic Agency Programs

It is a fundamental assumption of our organizational model that most

of the present management activities will continue to be carried out by

agencies of the governments in Canada and the United Statesand that the

proposed new organization will attempt to coordinate those domestic agency

activities that affect the Great Lakes region. Part of the new agency's

public participation program should include surveillance, coordination and

support of the public participation activities of the domestic agencies.

This should help ensure a more representative regional approach to

management in two important ways. First, the regional agency's efforts

in evaluation and research and its experiences in communicating with the

publics of both countries ought to complement and enhance the more

specialized and limited public participation programs of the individual

domestic agencies. Secondly, the increased awareness of the strengths

and weaknesses of the domestic agencies' efforts resulting from the regional

agency's (Operations Office) surveillance and coordination efforts

289

will aid in the refinement of the new organization's program and its

useful integration into the organization's planning and decision-making

process.

Four tasks are involved in the coordination of the domestic public

participation programs: (1) surveillance; (2) evaluation; (3) research;

and (4) reporting.

Surveillance. Identification of participating agencies and their

functions is an obvious prerequisite for the new regional agency's

coordination mission. This identification process should include a

description of each agency's efforts in public involvement. Once this

determination has been made, the communications and human behavior pro-

fessionals of the new organization can begin examining the activities and

experiences of the domestic agencies. This should not be a difficult

task because in recent years most agencies require a detailed report on

their own public participation activities for their own use.

Evaluation. Public participation experiences of the domestic

agencies should be evaluated individually and in relation to the inter-

national, regional perspective promoted by the new organization. Special

attention should be paid to duplicated efforts and possibilities for

combining or integrating public participation programs of two or more

agencies. Comparing the scope and specificity of involvement with the

potential participants identified by the new regional agency may identify

omissions in representation.

Warner suggests four types of evaluation criteria that might be
.,included in a list of general performance criteria: 19

29U

1. To what extent does the program provide opportunities for

members of the public who wish to participate to do so?

2. What efforts are being made to make the public aware of

participation opportunities?

3. Is the public provided with adequate information for

effective participation?

4. To what degree does the agency respond to the results of

public participation efforts?

Techniques for evaluating the effectiveness of public participation programs

are for the most part undeveloped. Evaluation efforts by the new

regional agency working in cooperation with the domestic agencies and

university consultants can begin to make some progress toward the develop-

ment of effective evaluation techniques.

Research. Experience in evaluating public participation efforts of

the domestic agencies as well as those of the new organization will serve

to identify research needs. Research in communications and human behavior

is often highly generalized. The operations of the new regional agency

provide the opportunity for numerous, in depth case studies on related

issues. Therefore, the activities of the new regional agency should be

of great interest to students of communication and human behavior.

Once research needs have been identified, research activities should

be initiated either by the new regional agency and the domestic agencies

or through contractual arrangements with universities orother appropriate

research oriented institutions.

291

Reporting. Extensive reporting-on public participation coordinating

activities should be directed in two ways: (1) to the domestic agencies;

and (2) to the publ ic.

If there is to be any hope for coordinating public participation

activities of the domestic agencies, these agencies must be aware of the

regional agency's mission and the international, regional perspective;

experiences of other agencies; research activities and results and

possibilities for coordination and integration of public participation

activities. This can be accomplished by frequent reporting of the regional

agency's activities and results.

Of equal importance is the reporting of public participation

opportunities and the results of public participation efforts in the

region. This reporting should foster the desired regional perspective

among all the people who live and work in the Great Lakes Basin. Also,

it will help recruit activist citizens by increasing awareness of

opportunities to participate and by promoting a sense of achievement

for those who do actively participate. This reporting of opportunities

and accomplishments may also serve to eliminate some of the confusion

that obtains when a number of specialized agencies of different levels

of government take part in a large scale, coordinated effort.

Recapitulation

It is essential in any new institutional arrangement established

by the two governments for improving the management of the water and

related land resources of the Great Lakes region that the role of public

participation be recognized and be made an integral part of such an

arrangement.

292

In the new organization, the public participation program should be

accorded the same priority as the research function and the information

system. These three functions should mutually reinforce each other with

synergistic effects.

The public participation program, as in the case of the organization s

information system, should be centralized for program guidance, evaluation

and reporting, yet decentralized in its implementation as much as possible.
The organization's Public participation program should he conceived
and developed as consisting of two separate but related areas of activity:
(1) a direct relationship with the public; and (2) an indirect relationship

through the monitoring, coordination and support of the public participation

efforts of the domestic agencies.

Regional activities should be reported as widely as possible as one

means of sustaining an effective public participation program.

293

REFERENCES AND FOOTNOTES CHAPTER VII

Katherine P. Warner, Public Participation in Water Resources Planning,
a report prepared for the National Water Commission, National Technical
Information Service, Springfield, Va., P.B. 204 245, pp. 127-129.
2National Water Commission, Water Policies for the Future, Final Report
U.S. Government Printing Office: Washington, D. C. (June 1973),
p. 373.
3Erie and Niagara Counties Regional Planning Board (ENCRPB), Citizens
Information and Participation Program, June 1971, ENCRPB, Grand Island,
New York.
4Warner, op. cit.
5James R. Finley and Anthony A. Hickey', A Study of Water Resource Public
Decision-Making, Technical Report No. 37, Water Resources and Marine
Sciences Center, Cornell Univeristy, Ithaca, New York, 1971.
6Thomas E. Barton, Katharine P. Warner and J. William Wenrich, The
Susquehanna Communication - Participation Study, for the Institute for
Water Resources, Clearinghouse for Federal Scientific and Technical
information, Springfield, Va., December 1970, p.
7Warner, op. cit.
8Morley Segal and A. Lee Fritschler, Policymaking in the Intergovernmental
System: Emerging Patterns and-a Typology of Relationships, paper
delivered at the sixty-sixth annual meeting of the American Political
Science Association, September 1970.

9
Id.
10 Angelo F. Tabita, Implication of Public Involvement in Water Resources
Planning, Meeting Preprint 1627, ASCE National Water Resources
Engineering Meeting, January 24-28, 1972, Atlanta Georgia.

Norman Wengert, Public Participation in Water Planning: A Critique of
Theory, Doctrine, and Practice, in Water Resource Bulletin, Vol. 7,
No. 1, February 1971, pp. 26-32.
12 For a more complete discussion of these approaches refer to: Charles M.
Bonjean and-David M. Olson, Community Leadership, in Perspectives on
the American Community, Roland L. Warren (Ed); Chicago: Rand McNally
and Company, 1969.

294

13 Warner, op. cit.
14Barton, et al., op. cit.
15 Id.
16 As a result of the governmental reorganization in the Province of Ontario
in 1972, the OWRC is now in the Ministry of Environment.
17 See 1968 Annual Report of the Ontario Water Resources Commission (OWRC).
18 Ontario Committee, Man and Resources Conference, An Invitation to the
Future, a public information newsletter, February 25, 1972.
19 Warner, op. cit.

295

CHAPTER VIII

THE LAKE ONTARIO FISHERY*

Introduction

The problem of fishery manage ment has been identified as one of the

major tasks of the new organization. The purpose of this chapter which

examines the fisheries of the Lake Ontario Basin is to bring into sharper

focus the range of problems and opportunities associated with the Great

Lakes fisheries. The emphasis is on species succession and the factors

which have influenced it as well as efforts undertaken to manage the Lake

Ontario fisheries. In the context of the new organization, the problems

of the fisheries would be the special concern of the Fishery Board.

The problems of the Lake Ontario fisheries are fairly representative

of those of the other Great Lakes with the exception that the problems

are more acute in the Lake Ontario Basin. The commercial fishery harvest

of Lake Ontario has always been low in comparison with the other Great

Lakes of North America, and the present day fishery must be considered
the most impoverished of the five lakes.1 Tendencies characteristic of

eutrophication in the last 50 years have accompanied the markedly changing

composition and abundance of plants and animals in the lake. Total aquatic

production may have increased over the last several decades, but the

quality of the harvestable production has decreased drastically.

The remnants of the once flourishing fishery business range from

dying to modest to successful. Only a small portion (about 10%) of the

*This chapter is based on a paper by Douglas M. Carlson, Management of the
Biological Resources of the Lake Ontario Basin, 1972.

296

lake contributes to the harvest and the productive shoal areas are showing
stress.2 The future of this resource lies in the hands of the binational

Great Lakes Fishery Commission and scores of private and public interests.

Until the managers and harvesters come to agreement on policies and

practices in using Lake Ontario, the fishery will continue in its relatively

unproductive state or perhaps worsen.

Ecology of a Lake

Fishes in Lake Ontario are very important in the transport and con-

version of energy in all regions of the lake. The initial input of energy

is sunlight which is converted to plant tissue by photosynthesis (by

producer organisms), to animal tissue by consumers, and perhaps then to

another type of animal tissue by a carnivore. At any stage in this energy

flow the organism can die and its tissues converted back to some of the

original materials (nutrients) by bacteria and other decomposers. Con-

version of light to plant tissue is restricted to the upper region of the

lake called the euphotic zone. These plants, primarily algal diatoms in

the open water region of the lake, eventually sink below the euphotic

zone and die or are carried out of the euphotic zone by consumers (fish

and zooplankton). Some animals living in the depths are dependent on this

transported energy source. If these highly adapted species (fish) are

removed from the system the energy cycle is slowed because much of the

production is lost to the depths rather than being reconverted and trans-

ported to another region. This means over a fixed period of time the

lake is less productive because the system which took eons of time to

reach the highly adapted and efficient form of converting and transporting

energy has been disturbed and perhaps permanently altered.

297

Many of the deepwater fish of L ake Ontario have been eliminated

through disturbances caused by man. Species such as the burbot, lake

trout, Atlantic salmon, deepwater sculpin, and some of the deepwater

.coregonid chubs are extinct or greatly reduced, and their niche in the

deepwater portion of the aquatic environment, to a large extent, remains

vacant. Other invader fish species have gained prominence in the Lake

Ontario ecosystem. Some species such as lamprey, alewife and smelt have

had competitive and predatory relationships with many of the native fish

that were important to man, such as the lake trout, lake herring, and

whitefish. Christie reports that in slightly more than 100 years the

open water population of the lake trout, whitefish, and ciscoes have all

disappeared, leaving the-lake mainly populated with American smelt and
3
alewifes. The means by which the system can be restored to a portion

of its original productivity of useful fish is dependent on an under-

standing of the biology and interactions of the fishes present and well

coordinated programs of pest control, stocking and selective harvest.

History of the Fishery

The commercial fishery of Lake Ontario has followed the sequence of

events somewhat similar to those which occurred during the collapse of

the Lake Erie fishery, and the upper lakes have experienced similar problems

in the last 40 years. Christie (1971) describes the changes in com-

position of the catch - a gradual loss of the highly valued species of

Atlantic salmon, lake trout, ciscoes, and whitefish, and replacement with
4
alewife, smelt, and white perch. Man's earliest impact on the fishery

were stream alterations in the 1800's. Construction of mills and dams

298

eliminated spawning areas of the Atlantic salmon. Intensive fishing with

trap nets and gill nets took a heavy toll on whitefish, cisco, sturgeon,

and lake trout. A maximum annual catch of 7.5 million pounds in 1890 was

followed by a precipitous decline in the last 1890's. The lake trout and

whitefish stocks came back to partial strength in the 1920's, but lake

herring (cisco) stocks did not recover. Ciscoes remained in the harvest,

but a different species, the bloater, had replaced some of the earlier

deepwater forms. During the 1940's and early 1950's, the lake trout

population dropped and fishing pressure concentrated on the whitefish,

which soon became decimated and thus ended the open water fishery of Lake

Ontario.

These population crashes were caused by a number of different factors,

the complex of factors being different for each species. Christie

speculates on th-e.effects of competition and predation by marine invader

fishes, overfishing, loss of spawning grounds and preferred food, and
interrelated combinations of these factors on the important fish species. 5

The sea lamprey, an ancient jawless eel-like fish, and the alewife, a

6-8 inch hearring, entered Lake Ontario before 1900 (Table 6). The

literature over the years has reflected active debate over the lamprey's

colonization. If the lamprey was not a native of the fish fauna of Lake

Ontario, which seems unlikely, then the colonization occurred before
6
1835. The first catastrophic fishery collapse caused by lamprey pre-

dation (in combination with overfishing) occurred in the 1940's. The

alewife became established in Lake Ontario in the 1870's after the com-

pletion of the New York Barge Canal (1829). This forage species was kept

from entering the lake through the St. Lawrence River because of the
piscivorous lake trout and Atlantic salmon. 7 This time lag between

299

Table 6

First Observation of Three Exotic Fishes in the Great Lakes

Year of First Record
Lake -Sea Lampr@y Alewife Smelt
Ontario ?*
1873 1931

Erie 1921 1931 1935

Huron 1932 1933 1925

Michigan 1936 1949 1923

Superior 1946 1953 1930

*First problems caused by sea lampreys noted in the 1880's.

Source: Smith (ref. 7).

300

possible introduction and noted establishment is characteristic.of invader

fishes in man-made canals. A third invader species having great impa ct

on the fishery was the American smelt which was probably placed in Lake
Erie and became well-establi.shed in Lake Ontario by 1931. 8 There is an

opposing theory that smelt were glacial relics being sustained in low

numbers and not reported for many centuries. Other introduced species are

rainbow trout, carp, and white perch.

Early 1900's

The species most important to the fishery prior to 1940 were lake

trout, cisco and whitefish. Other species important for shorter time

periods and in certain areas were lake sturgeon and Atlantic salmon, but

both of these fisheries were extinct by the 1900's. The adult lake trout

was tolerant of lamprey parasitism and intense fishing, but, according to

Christie, the combined stresses of these factors often resulted in des-

truction. of lake trout fishing in the 1940's because intense fishing

reduced the average size of the slow-maturing trout to a size intolerant
of lamprey attach at a time when lampreys were abundant. 9 Christie also

attributes the extreme effect of lampreys on the fishery to the long life

cycle of lamprey which results in delayed responses to environmental

change, such as extreme reduction of the prey population (lake trout).

Ciscoes were not as tolerant of intense exploitation. Continued harvest

of these coregonids after the 1920's was possible because of a shift in.

species abundance. The.bloater (a coregonid chub) made up a large

portion of the catch of the 1930's. The whitefish, a planktivorous open-

water coregonid, was turned to last by the fishery. As the intensity of

301

effort increased (partially due to improvement in gear, the nylon gill

net), and an increase of the alewife, the whitefish stocks declined.

The last stocks of whitefish subsisting in shoal areas were being care-

fully studied in the Bay of Quinte, but 1971 was the last year enough
10
fish were available to provide data for statistical analysis. I The

whitefish is the only species for which vital statistics have been studied

in detail, and recent findings describe some regulators of population
dynamics. 11

1940 - 1960

Since the loss of the most valuable fish stocks in the 1,940's occur-

red, the open water fishes have been dominated by the planktiverous

alewife. The lamprey and overfishing had suppressed or destroyed the

populations of larger fishes. Other fishes making short-term major

contributions to the U. S. catch were carp in 1935-1939 and blue pike

from the western region in 1952. Bullhead, perch, sunfish and eel comprised

a minor fishery in shallow bay areas. Catches in Canadian waters were

similar but with additional stocks of walleyes, channel catfish and northern

pike. The burbot had been considered a nuisance fish through the decades

of fishing because of its low commercial value and his susceptibility to

gill netting. The burbot, like the lake trout, was important in terms of

transporting energy from the deep regions of Lake Ontario, but the inter-

actions of the burbot with most other fish was and still is not clearly

understood. The burbot also served as prey for the lamprey and may have
12
been exceptionally vulnerable because of its soft skin.

302

1960 Present

The present commercial fishery of Lake Ontario is generally depressed

due to limited harvests and lack of demand for its products. Some. success-

ful commercial fisheries are operating in Chaumont Bay and Bay of Quinte

and these make up a very large portion of the annual.catch for Lake Ontario

(Table 7).

The 1971 combined catch value for New York and Ontario was $516,000,

with Ontario accounting for nearly all of the income. The Ontario commercial

fishery of 1969 employed 277 men. Assuming the same number of men were

@employed in harvesting the $437,000 catch in 1971, productivity per man

was $1578. For comparison with the value of other fisheries in Canada, the

1960 Great Lakes fishery catch in Ontario was valued at $2089/man, all

Ontario inland fisheries were valued at $1462/man, and both Canadian coastal
fisheries were valued at $1328/man. 13 For further comparison, the average

production value on Ontario workers in agriculture in 1960 was $3017/man,

and $8000/man in forestry and mining.

The only significant commercial fisheries remaining in Lake Ontario

are in the shoal areas in the eastern corner, but some small operators will

continue to fish in other areas until economic realities compel them to

quit. The present catch statistics show the cold-water coregonids and

lake trout are continuing to be irresponsible reduced, but relatively

stable warmwater fish catches in the eastern bays provide an important

local industry.

The most potentially important component of the warmwater commercial

@fishery of Lake Ontario is a recent oceanic invader, the white perch. The

annual catch of white perch (actually a temperate bass) has nearly caught

303
Table 7

Commercial Catch in Lake Ontario 1971

ONTARIO NEW YORK STATE.

All Waters Chaumont Bay Open Waters
lb. x 10 3 Value lb. x 10 3 Value lb. x 103 Value

in thous. in thous. in thous.

Yellow Perch
758 $ 153 13 $ 3 5 $ 1
.White Perch 634 64 36 9

Bull Head 593 39 95 29
Carp 429 51 22 1
Smelt 187 30
!Eels 106 41 50 13
S
unfisb 141 16 9 2
iRock Bass 53 9 8 0.7 0.2
ICatfish 25 10 1 0.4
:Lake Herring 20 4
Northern Pike 15 2

@ke Whitefish 15 8

Walleye 7 3
Sucker 7 0;4 6 0.4
;Mnite Bass 3 0.9 75 19 2 0.4
Bowfin 1 0.1

Burbot

Cisco

Crappie 4 0.6

Drum

'Others 40 6.0

TOTALS 3,033 $437,300 284 $ 68,600 46 1$ 10,600

Total Catch 1971 - 3,363,000 lb.
Value - $516,500
From GLFC (19 7 2)

Note: Catches under 1000 lb. and their values
are not included. Original figures are
rounded, therefore totals may vary.

304

up with the annual catch of yellow perch, which accounted for 23% of the

total 1971 catch (Table 7). The greatest increases in white perch are

found in shallow waters rather than in the open lake (Figure 4). The

white perch probably entered Lake Ontario through the New York Barge Canal
and the Oswego River about 1950. 14 . By springtime 1960, they were more

abundant in samples in the Bay of Quinte than any other fish but the

alewife. Many areas in the Bay of Quinte previously occupied by smelt,

pike, largemouth bass and bowfin are now dominated by white perch. The

relationship between these fish and the invader is unclear.

Other species important in the 1971 catch are yellow perch (the

most abundant and comprising about 30% of the total catch value - Table

7), bullhead, carp, and smelt. Yellow perch stocks have expanded greatly

in the open waters of Lake Ontario (Figure 5). The value of the catch

is greatest for yellow perch, white perch, bullheads and eels, respectively.

There are some interesting differences in price values of white perch

between the United States and Canada. White perch in the U.S. catch are

worth three times as much as those in the Ontario catch (Table 5); even

thouah 85-90% of the Ontario catch is exported to the United States.

Marketing

New York catches from Chaumont Bay (primarily bullheads) are sold

locally and shipped to Fulton Market in New York City. Other markets are

Buffalo and Rochester. Some species such as white perch are filleted,

deep-fat fried and sold locally in Oswego. Most Ontario commercial

305

Figure 4

Trends in Canadian Commercial White Perch Catch
(Lake Ontario Data are Exclusive of Bay of Quinte Values)

0 400
2

300

=3
z
z Bay of Ouinte 0-0
200
Lake Ontario 0

100

X .41
...w

1980 62 64 66 68. 70
YEAR

Source: Christie (ref. 1)

30C

Figure 5

Trends in Canadian Commercial Yellow Perch Catch
(Lake Ontario Data.are Exclusive of Bay of Quinte Values)

200 -

Say a, Qu@-Ie 0-0
Lake 0-0-0

100

% 0

1900 .10 20 3 40 50 so 70

Source: Christie (ref l..)..

307

fishermen sell their warmwater fish catch to four fish canneries in

the Bay of Quinte area. Eels are caught in eel pots and traps in the

bays in the northeast shallow portion of Lake Ontario and near tributaries

in other parts of the lake. Most eels are marketed in Montreal, but

mercury-levels in the eels has become a matter of concern and has

depressed the eel market. Smelt and alewifes are processed and sold for

pet food. Smelt processing has been mechanized and becomes worth the

expense of sorting the seine hauls when the market gets above $0.10 per
pound (assuming no transporting or,freezing loss). 15

Licensing and Catch Regulations

Licensing of commercial fisherman is handled by the individual

governments, but the Great Lakes Fishery Commission receives reports and

mediates catch regulations. Ontario commercial licenses are sold openly

at times, and are also passed on as family rite. In the last 20 years,

the number of Ontario fishermen on Lake Ontario has dropped from 635

(1950) to 277 (1970). New York commercial licenses are sold openly on

a yearly basis. In the last 20 years, the number of licenses has dropped

from 45 (1950) to 18 (1970).

This potentially enormous fishery resource has been "regulated"

by governments and biologists who have not had adequate information

and funds for properly managing the fishery. Markets, technology, and

the persistence of the fishinq industry have been the major forces behind

the selective fishina pressure and over-exploitation. Rinational co-

operation is essential for meaningful information gathering and decision-

making for the fishery.

308

There are few work ing models of international management of similar

large fisheries. The coregonid-salmonid fishery of Lake Constance between

Austria, West Germany, and Switzerland has experienced many of the problems

facing Lake Ontario; and a sound, but not completely effective, inter-
national organization has been operating since 1894. 16

Great Lakes Fishery Commission

The first effective move toward controlling fishing in Lake Ontario

through internationalagreements was initiated by New York and Ontario in

the late 1940's-. The Lake Ontario Management Commission was an informal

group cooperating until 1955 when the Great Lakes Fishery Commission

(GLFC) was officially established. A treaty in 1946 set the specifications

for the organization, but legislators resisted granting regulatory powers
to the Commission until 1955. 17 The Commission consists of three

representatives from each country and has been delegated powers to set

regulations on season, qear, catch quotas, and to conduct research, carry

out any needed stocking programs, compile data, and to develop a com-

prehensive plan for effective management of the fishery resource of the

Great Lakes.

The task of "managing" the fisheries of Lake Ontario at such a late

stage of deterioration was indeed formidable. The fishery catch had never

been managed nor had basic fish population research ever approached an
adequate understanding of thesize of harvest compatible with a maximum

sustained yield.

309

With the lake trout at near-extinction, the first task was to rid

the waters of the destructive sea lamprey. The lamprey control program

has been the principal accomplishment of the GLFC. Until recently, most

research was uncoordinated and often concentrated on isolated segments

of the lamprey problem. Although some significant progress has been made

in controlling the lamprey, the GLFC has been criticized because it

has not developed a comprehensive management plan for.the Great Lakes

fisheries. Lamprey control efforts were first directed toward the upper

Great Lakes because of the immediacy of the problem - the collapse of

the 1950's. The fishery of Lake Ontario had been upset for nearly a

generation and control efforts and funds for lamprey control efforts on

that lake were postponed more than 10 years. Control crews treated 22

lamprey spawning streams in October 1971 in Ontario and in May 1972
crews treated 19 streams and 38 tributaries in New York. 18 Low-head

dams which allow valuable fish to pass over, but prevent free swimming

lampreys from entering the spawning grounds are planned as permanent

control measures for many of the important lamprey tributaries. Control

measures will only depress the lamprey numbers and probably will never

eliminate them. The intensity of this control effort will, therefore,

be dependent on the economic decision concerning the cost of additional

units of treatment and the resultant increase in man's share of the fishery.

Stocking programs are discussed at GLFC meetings, but there have

been no big breakthroughs toward cooperation in a planned program aiming

for a restructured ecosystem. There are still too many unknowns about

the Iake, unknowns about the success of the fishes introduced, and there

310

are too many vested i'nterests preventing biologists from making one

strong thrust with a few selected species. A more promising program

under the joint direction of the GLFC is the 'International Field Year

Great Lakes (IFYGL). The 1971 - 1973 programs were directed toward

developing baseline information on the physical and biological limnology

of Lake Ontario. The data generated are now being interpreted and

reports are expected to be made available in 1974 and thereafter.

Stocking

Stocking programs were attempted in Lake Ontario as early as 1878

with the rainbow trout. Efforts with other salmonids are now being

attempted on a larger scale. Recent introductions have shown little
coordination among managing agencies. 19 There are many complicating

factors in these stocking programs because the philosophy or basic

design of the future fishery is not well-defined. Problems arise from

(1) public pressure for exotic fish which have done well elsewhere,

(2) shortage of funds, (3) inadequate information on species requirements,

and (4) inadequate information on the lake's dynamics. Without this

information, much of which may be available in a few years, the stocking

program is still forging ahead in the traditional "trial and error"

fashion.

it seems that most.decision-makers agree that the Lake Ontario fishery

should be restructured (through stocking and control) for the most

efficient and profitable fishery production. With respect to stocking,

the lake trout has proven to be the major vector in transporting materials
and energy through th Iellake. 20 nce lamprey populations are reduced,

311

a stocking of fish with characteristics similar to the lake trout would

seem to be a logical choice. The fishermen are accustomed to harvesting

lake trout, and lake trout live compatibly with most other fishes already

present. Problems with lake trout are (1) slow maturity (increasing the

vulnerability to lamprey predation) and (2) susceptibility of the eggs to

predation by the slimy sculpin.

The splake, a cross between brook trout (1/5) and lake trout (4/5)

has been developed by Ontario. The fish is faster maturing than the lake

trout and more active while occupying the depths. Even though some aquarium

studies indicate lamprey preference for splake, this greater activity

may decrease their susceptibility to lampreys in open waters. Another

possibility is the "Finger Lakes strain" lake trout which is reported

less vulnerable to lamprey attack. Pearch reports gil I net returns of

"Finger Lake strain" lake trout stocked in Lake Ontario in the early

1960's indicate they can tolerate the conditions and should be the focus

of a stocking program. Christie and many other biologists are in favor

of focusinq on splake. If splake are to maintain the characteristics

of the hybrid in a natural population, then lake trout must not be

available for crossbreeding.

The 1972 stocking programs are heavily weighted toward coho (silver)

salmon, chinook (king) salmon, and kokanee (landlocked sockeye) salmon.

New York is severely limited by funds, but the stocking program has

expanded from the single species effort (coho) of 1968-1971 to coho and

chinook in 1972. Future plans include steel-head (rainbow) trout,

landlocked Atlantic salmon, and splake.

312

The projected stocking program described by the director of the.'

laboratory responsible for formulating the management plan for Lake

Ontario, Pearce at Cape Vincent, New York, does not rely on natural

reproduction of the stocked fish, but rather relies on annual plantings.
Ontario's stocking programs are concentration on coho, chinook, kokanee,

rainbow and splake. More optimism was expressed for reproduction of
the i .ntroduced fishes by Ontario biologis S. 21

The development of a salmonid fishery may primarily serve anglers

rather than commercial fishermen, as the demand for sport fishinq is

rapidly outgrowing the supply of accessible, good fishing areas. Even

though improved public information and education, more access to public

waters, and more intensive management could solve a good portion of this

inland resource shortage, the enormous potential of Lake Ontario and

adjoining streams could evolve into a multi-million dollar fishery. The

com bination of commercial and sport fishing can be managed to maximize

the harvest, but severe conflicts cduld result if public education and

sensible regulations are not promoted. Presently, the only interaction

between commercial fishermen and anglers is in the Bay of Quinte-

Chaumont Bay-Thousand Islands region of Lake Ontario. Conflicts have

developed between smallmouth bass anglers and yellow perch and white

perch gill net operations. Christie (1965) ranks walleye as the most

disputed-over fish in all the Great Lakes, and, expectedly, the walleye

stocks in Lake Ontario are becoming exceedingly low. It is advantageous

to couple sport and commercial fishing because commercial operati-ons are

attracted to maximum biomass rather than size and they can work areas not

accessible to anglers.

313

Sport Fishing in Lake Ontario

The sport fishery of Lake Ontario is presently of minor importance
except for the northeast corner of the lake. Stream-.run salmonids (mostly

rainbow trout) areimportant in many tributaries, but few fish are caught

in the waters of the lake. The smelt fishermen number more than one

thousand in Ontario and probably more in New York. The warmwater fishery

in the shoal area from Brighton to Stony Point is dominated by yellow

perch, rock bass, northern pike, and smallmouth bass. Smallmouth bass and

pike are most important in Canadian waters; and smallmouth bass is most

important in U.S. waters. The fishery extending up the St. Lawrence

River has smallmouth bass as by far the most important species. A 1971

census for northeastern regions of Ontario waters shows about equal

importance (number of rod hours spent) for pike and smallmouth bass with

increasing catches of yellow perch. Jolliff and LeTendre (1966) report

the sport fishery of the U. S. eastern Lake Ontario-St. Lawrence River
area was mo st dependent on smallmouth bass. 22 Fishermen preferred small-

mouth bass, northern pike, and yellow perch, respectively; but the catch

was greatest in yellow perch and rock bass, respectively. Three out of

four fishermen in the Thousand Island region were New York State residents.

A comprehensive plan for increasing the warmwater fishery and developing

a salmonid fishery for this region is described by,Pearce in the Great

Lakes Basin Framework Study (GLBFS), Appendix 8, (1972).

The plans for developing a salmonid fishery in Lake Ontario are

directed toward the sport harvest. To date, the experimental stocking

has not developed a viable fishery. With lamprey control programs underway,

314

and extensive stocking programs being initiated, the future sport fishery

of Lake Ontario could prosper and develop into an important recreation

resource.

Sport Fishery of the Lake Ontario Basin

Angling in the Lake Ontario drainage basin provides some of the

finest freshwater fishing in the northeast. The lakes region of northern

Ontario offers an additional fishery to the rugged sportsman and is within

a day's travel time for most people in the Basin. Warmwater as well as

cold-water fishing are found throughout the basin; with the better areas

being located in the Finger Lakes, Adirondacks, Trent-Severn, and Thousand

Islands regions. Statistics on fishing licenses issued within the Basin

are not available, but the 1969 total for the province (51% of the 1969

Ontario population lived in the,Basin) was 610,668 resident licenses, and

813,718 1970 resident licenses in New York (11% of the 1960 New York

population lived in the Basin).

The sport fishery in the U.S. portion of the Basin has been thoroughly
assessed by the GLBC. 23 The counties in the eastern section of the Basin

contain the greatest number of cold and warmwater streams as well as the

greatest acreage of ponds. Brook, brown and rainbow trout are valuable

fish in that region. Many streams have strong potential for salmonid

spawning runs if the Lake Ontario anadromous fish program is successful.

In the central portion of the drainage basin (Oswego, Fulton, Wayne Counties

plus the Finger Lakes region), rainbow and lake trout provide an extensive

fishery in the Finger Lakes and warmwater fisheries yield smal lmouth bass,

walleye, yellow perch and northern pike. The western portion of the
drainage basin (Genesee River basin) conta'ins the least number of ponds,

315

but offers a wide variety of warm and cold-water fish habitats. The

warmwater fishery is most important, with yellow perch, northern pike,

walleye, and smallmouth bass supplying the mainstay of the catch.

Sport fishing in Ontario is administered by the Department of Lands

and Forests, which carries out extensive stocking programs for warm and

cold-water fishing. Ten pond-fishing areas near urban centers are operated

by the provincial government on an intensive basis to,provide the public

with trout fishing. Many conservation authority parks provide pond and

brook fishing, and the Federal Park is in the heart of the Thousand

Islands fishing area. A 1971 creel census at lakes in the Prince Edwards

County area showed walleye, northern pike, and smallmouth bass to be most

important.

Future of the Fishery

The Great Lakes Fishery Commission met for the first time in 1956

having been assigned the task of developing and coordinating a comprehensive

fisheries management program for the lakes. Among the many problems

confronting the Commission were (1) a collapsed fishery; (2) conflicts of

interest among the many governments; (3) a number of separate agencies

funding and regulating parts of the fishery;@and (4) lack of knowledge

about the biology of the lake ecosystems. Much progress has been

made since then but the lakes, particularly Lake Ontario, have not been

managed on@thelbasis of a mutually agreed upon comprehensive plan for

maximizing a harvest. In some respects, the GLFC has failed to address

itself to the basic purposes of resource management - serving the needs

of the users and refining the tools available to manipulate the fishery

resource.

316

In recent years, research has been focused more on these management

tools, but the many years of uncoordinated research on segments of the

marine ecosystem have made little if any direct contribution to fishery

management needs. This situation is changing, however. There is a constantly

increasing recognition among scientists and administrators that the

complex forces regulating the strengths of fish populations will be un-

raveled only through coordinated, interdisciplinary research efforts.

Problems which are not receiving enough attention from the GLFC

include a lack of agreement between decision-makers on specific management

goals such as the philosophy of stocking, public information, and co-

ordination with other joint bodies, e.g., the International Joint Commission.

The public must be better informed on the enormous potential of the Great

Lakes as a recreation and life-support resource. There must be stronger

support for the GLFC if it is to gain more authority. Much of the funding

is still handled at a regional rather than at the international level.

Financial incentives.properly applied through the GLFC are needed to

counterbalance the parochial attitudes found in the regional agencies and

publics. T he commercial fishermen now operating in Lake Ontario should

be studied as a group and they should be encouraged to adopt more co-

operative working relationships. A strong working relationship should

be developed between the GLFC and the commercial fisherman now when

resource users are few. The fisherman community will probably resist

organization, but some sort of communication channels must be established

if the common goals of a free operating market, effective technical

assistance, and ease in informa tion exchange are to be attained.

317

The inland sport fishery is closely tied to the lake fishery and

if the salmonid program is successful, it will become increasingly important

that close cooperation is maintained among the governments concerned.

Presently, there is limited information exchange among agencies dealing

with sport fishing outside the immediate waters of Lake Ontario. When

the salmonid program begins to gain momentum, more coordination will be

necessary. Presently, closer communication between these agencies would

be instrumental in reducing the stifling provincial approach to management

and would help these decision-makers better understand the differences in

interest and operations which do exist between regions.

Recapitulation

Lake Ontario's future as a useful fishery is in the hands of the GLFC.

This organization has had many problems in attempting to manage the fishery

resource. Despite the lack of coordination among other agencies influencing

water quality and other international functions, the GLFC has made progress

in certain areas of the fishery problem, such as lamprey control,,- central

data collecting and filling in some of the gaps in general biological

information. The most obvious inadequacy is the lack of-support and

authority. This is partially due to a weak publicity program and a lack

of responsiveness by planners to the desires of the general public. These

communication problems have resulted in (1) a stocking program being

uncontrollably split in many directions; (2) conflicts between decision-

makers; and (3) prolonged depression of a potentially enormous fishery

resource. Closer binational cooperation could lead to more useful research

and mutual respect among biologists, policymakers, and all resource users.

318

REFERENCES AND FOOTNOTES - CHAPTER VIII

1W. J. Christie, Fish Species Successi on in Lake Ontario, in J. Fish Res.
Bd. Canada, July 1972.
2W. A. Pearce, pers. comms., New York.Department of Environmental Con-
servation, Cape Vincent, New York, 1972.
3Chri stie, op. cit., note 1.
4W. J. Christie, F'ish Species Succession in Lake Ontario, SCOL reports,
Great Lakes Fisheries Laboratory, Ann Arbor, Michigan, 1971 ms.
5Ibid.
6J. G. Lark, 1972 ms, An Early Record of Sea Lamprey from Lake Ontar io,
cited in Christie, op. cit., note 1.
7S. H. Smith, Ecological Succession in Oligotrophic Fish Communities of
the Laurentian Great Lakes and Prospects for the Next Century, SCOL
report, Great Lakes Fishery Laboratory, Ann Arbor, Michigan, 1971.
8Christie, op. cit., note 4.

9
Christie, op. cit., note I.
10 Christie, pers. comm., 1972.

11-
W. J. Christie and H. A. Regier, Temperature as a Major Factor Influencing
Reproductive Success of Fish-Two Examples, 1970, cited in Christie,
op. cit., note 1.
12 Christie, op. cit., note 4.

13
H. C. Frick, Economic Aspects of the Great Lakes Fisheries of Ontario,
J. Fish, Res. Board Canada Bulletin 149, 1965.
14 Christie, op. cit., note 1.
15 Frick, op. cit., note 13.

319

16 W. Numann, Der Bodensee-Lake Constance, SCOL p.apers in J. Fish, Res.
Board Canada, summer 1972.
17 D. C. Piper, The International Law of the Great Lakes, A Study of
Canadian U.S. Cooperation, Duke University Commonwealth Studies
Center, 1967.
18 P. Neth, Report to the Great Lakes Fishery Commission, Annual Meeting,
1972.
19 W. J. Christie, The Potential Exotic Fishes in the Great Lakes in A
Symposium on Introductions of Exotic Species, Ontario Department of
Lands and Forests Research Report 82, 1968.

20
Christie, op. cit., note 1.
21 Christie, pers. comm., 1972.
22 T. M. Jolliff, and G. C. LeTendre, The Eastern Lake Ontario-St. Lawrence
River, New York Creel Census of 1966, unpublished report, New York
D.E.C., Cape Vincent, New York, 1966.
23 Great Lakes Basin Framework Study, Appendix 8, Fish, 1972.

320

CHAPTER IX

OUTDOOR RECREATION*

Introduction

Outdoor recreation in itself is not a major resource management

concern of the proposed bilateral organization; however, it does affect

and is in turn affected by decisions made relating to the primary problem

areas such as water quality, lake levels, shoreline development and

others. While no special office would be set up within the new organization

to focus on matters relating to outdoor recreation, the policy-making

elements of the organization would need to consider it and thus there

would be an implied research requirement for it. Moreover, outdoor

recreation will become in time a more and more important facet of resource

management. This chapter is concerned with the present and anticipated

future problems of outdoor recreation. Again the frame of reference is

the Lake Ontario Basin.

General Situation

As our societies continue to grow and urbanize, outdoor recreation

assumes increasing importance. With more leisure time, travel opportunities,

and interest in outdoor activities, the demands on our recreation resources

have multiplied. Recreational travel became important during the 1930's

when road building programs opened many recreational areas for public

access. With increasing family mobility over the past decades, pressures

of overuse have made long range planning essential for preserving, managing

and developing natural areas.

*This-chapter is based on a paper by Douglas M. Carlson, Management of the
-Biological Resources of the Lake Ontario Basin, Cornell University, 1972.

321

Dworsky, et al., in an unpublished study in 1971 found that the 28,500

acres of recreation lands in New York represent only 65% of the public land

needed to meet the existing recreational demand. Ontario is experiencing

similar shortages of available recreation. Public lands are in abundance

in the Ontario portion of the basin, but the areas are not easily accessible

to the urban dwellers concentrated along the western shoreline and not

adequately developed for intense use.
The 1971 Great Lakes Basin Framework Study I lists the'recreation problems

as 11competing land use, high land costs, complex ownership problems, public

opposition toward legal restraints attached to reservoirs and associated

recreation facilities, inadequate funds and competition for the tax dollar,

highway congestion and overuse of certain parks, environmental disturbances

by off-the-highway vehicles, physical and legal barriers to deny access to

existing and potential recreation,lands, multiple activity incompatibility,

inadequate area supervision, inadequate stress on environmental education,

and inadequate government-citizen involvement in the planning and decision-

making process." Access to recreation areas is the cause of most recreational

problems. Judicial precedents to solving problems where private interests
were preventing access to public waters are discussed by Dewsnup (1971 ).2

In-depth studies are available on.recreational plans and land capability

for many individual watersheds and for regional governments.. The U.S. Army

Corps of Engineers, U.S.- Water Quality Office of the Environmental Protection

Agency, U.S. Bureau of Outdoor Recreation (B.O.R.) and conservation authorities

of Ontario are responsible for much of the background data and local planning

for future water and land recreation needs. Ontario recreation activities

were mentioned one-sixth of the time in a 1959-60 U.S. national survey on the
use of leisure time (B.O.R., 19 67). A 1962 survey3 indicated one-fifth of all

free time in the Great Lakes.Basin was devoted to outdoor recreation activities.

322

In a 1963 study, Clausen estimated that 7 percent of leisure time
of U.S. citizens is spent in outdoor recreation.4 The historical tendency

for the work week to shorten in both Canada and the United States will

also affect the demand for outdoor recreation.

In a 1960 study of the U.S. portion of the Lake Ontario Basin, the

U.S. Bureau of Outdoor Recreation reported that summer activities accounted

for 72 percent of the annual recreation demand and that water-based
recreation activities accounted for 43 percent of the annual demand. 5 The

BOR study also estimated that of the annual 2.25 million vacationists,

the average person stayed 6.4 days and the average party size was 3.7

people. The other segment of the recreation market was the summer resident

living in cabins or cottages adjacent to a lake or river. The greatest

concentration of these summer homes was in Jefferson County, New York,

while another significant concentration was in the Finger Lakes region.

The administrative agencies of outdoor recreation around Lake Ontario

are so fragmented that little coordination in recreation planning has been

attempted except for initial efforts in the last few years. Each governing

commission provides a somewhat different type of service, but these types,

or functions, are not specifically defined. Presently, there are eight

public agencies, along with the private sector, among which there is not

adequate coordination. A sound planning base must start with a total

and coordinated assessment of the needs of the recreation public. The

recreation resource agencies in the two countries should cooperate more,

at least on an information exchange basis, so that there.is an amicable

working relationship among those agencies. Perhaps there could be developed

a binational assistance program to develop regional recreation facilities

323

and provide joint incentives to encourage private developers to assist

in meeting the recreation demand.

Supply and Demand

Developed outdoor recreation areas along Lake Ontario are concentrated

on the eastern shoreline, and other sites throughout the Basin are con-

centrated in the Finger Lakes region, eastern Adirondacks region, and the

northwestern metropolitan area. Ontario has five different commissions

overseeing 88 recreation areas: National Parks (1); Niagara Parks Com-

mission (7); St. Lawrence Park Commission (17); Provincial Parks (9);

and Conservation Authorities (53). New York's 92 publicrecreation areas

are operated by Federal (2), state (54), and local (36) agencies.

Ontario has nearly an equal number of public parks as New York, but

Ontario's public lands occupy only 30% of the acreage of New York parks

and 1964-65 visitation was only 33% that of New York (Ontario has 51% of

the provincial population in the Lake Ontario Basin). This indicates

fewer recreationists are depending on public areas in the northern portion

of the lake basin, and there is probably more out-migration to the north

and south, whereas in New York there is probably more in-migration from

more southern, eastern and northern regions.

A 1960 user survey for New York shows sightseeing, swimming,

picnicking, and fishing, respectively, to be the, most preferred of 12

water-enhanced outdoor activities (Table 8). Camping was participated

in by only 10% of the interviewed vacationists. Demand for these outdoor

activities in the New York portion of the basin are reported as activity

occasion units. These activity occasions are converted to recreation

324

Table 8

Demand for Selected Water-Oriented Outdoor Recreational Activities
Lake Ontario Basin, 1960
(Vacation Sector)

Percent who engaged
in outdoor activities Column 2 x 14,404,269*
Activity on vacation trips activity occasions (1,000's)
(a) Sightseeing 53 7,634

M Swimming 38 5,474

(h),Hunting 4 576

M Nature Walks 6 864

(j) Horseback riding 3 432

(k) Skiing & Winter Sports 1 144

(1) Took trip but did not
engage in outdoor
activities -22 3,169
Totals 226** 28,952***

See.result in Step 7
Totals to more than 100 because vacationists participate in more than
one activity per day
Total does not include activities (j) and (1).

Note: Thi's analysis assumes that those enjoying-their vacations while in
the basin participated in approximately two activities on the
average per day.

Source: U.S. Department of-the Interior
Bureau of Outdoor Recreation (BOR)
(ref. 5)

325

days by allowing 2.5 activities/average visit (recreation day) to a

recreation area. Even though the basic assumptions for these generalizations

are questionable, figures are arrived at and can be used comparatively

with other estimates to plan and predict. The 1960 annual demand was
6
35,087,200 recreation days for the New York portion of the basin. The

GLBFS (21) uses a,different list of activities and different assumptions

to arrive at a weighted unit value for each type of recreation day. Land

requirements are then determined for meeting the future demand using these

weighted values. The preference of activities in this 1970 study, based

on past-use records, shows outdoor games, swimming, sightseeing and

picnicking, respectively, as being in greatest demand for 25 outdoor
activities.7

The water resource is very important in meeting these recreation

demands. The natural diversity and abundance of wild animals and plants

near bodies of water make any outdoor experience more pleasurable and

memorable. For these reasons, along with a host of others concerning

land acquisition, many recreation areas -are located along waterways. Of

the 358 publicly-owned recreation areas in the.U.S. portion of the Basin,
82 percent of the areas are water-dependent or are located by water.8

Eighty-seven percent of the private campgrounds in the same region are

located along water bodies. Of the 54 state parks, 41 are located within
'9
10 miles of Lake Ontario.

Outdoor activities such as outdoor sports and picnicking are provided

for in most general recreation areas, so the following discussion will

pertain to the activities requiring more intense planning efforts such as

swimming, boating, camping,, hiking, winter sports, and sightseeing.

326

Swimming

Swimming is very dependent on the weather in the northern climates,

but this sport is by far the most important water-associated activity-

Results of a 1965 survey showed 75 percent of the campers in the Thousand

Islands State Parks (New York) would not stay at these parks if swimming

facilities were not provided. Many types of areas throughout the Basin

are presently available to swimmers, but many public areas are becoming

overcrowded. Public access to lakefronts is often restrictive because

water pollution has fouled many beaches. Potential beaches along Lake

Ontario are limited because of the local topography. There are about

35 miles of beaches on the New York side and more in Ontario. Unfortunately,

the Ontario population is concentrated in the western end of the basin

and most beach areas are located in the eastern part, where 72% of the

total usable lake shoreline occurs. Recreational waterfront developments

near metropolitan areas are getting greater attention. The water quality

in these areas is often prohibitive to swimming, but many types of surface

activities are once again made possible by ensuring public access and

providing attractive parks. Such developments are completed, or under

development in Toronto, Hamilton, Port Credit, and Mississauga by the

respective regional conservation authorities.

Boating

Recreational boating opportunities in the Lake Ontario Basin are
considered superior to those in any of the other Great Lakes.10 Boating

is available to the vacationer at 56 percent of the N.Y. publicly-owned

recreation areas located near water. Launching sites are found at numerous

327

locations throughout the Basin in New York and Ontario. The New York

Barge Canal provides 524 miles of navigable water connecting the Niagara

River and Lake Ontario with the Finger Lakes, Oneida Lake, the Mohawk

River and Atlantic Ocean. This route has opened up oceanic yachting

opportunities to much of central New York. The St. Lawrence River also

offers excellent boating and yachting areas. Additional Ontario waters

developed for,boating include the Trent-Severn Recreational area east of

Lake Simcoe and the Bay of Quinte in Lake Ontario. The extensive planning

going into the Trent-Severn recreation corridor will offer a wide variety

of recreational opportunities to the Toronto region (Rideau-Trent-Severn

Study Commission, 1971).

Camping

Camping interest has spread rapidly in the last few decades, and

private developers are starting to meet the demand with which public

parks have failed to keep pace. Public camping areas are found in less

than 5 percent of the Ontario 54 Conservation Authority areas (a total

of 655 campsites), and in only five of the nine Ontario provincial parks

(a total of more than 1,512 campsites). The Niagara Parks Commission is

generally restricted to historic and scenic areas with limited picnic

facilities for tourists. The Thousand Islands area of the St. Lawrence

River is very popular with campers. The fourteen St. Lawrence Commission

parks contain 2,350 camping and trailer sites; and the National Park,

only 0.4 sq. mile in area, has more than 100 campsites. The origin of

1963 campers in Ontario provincial parks in the Basin varied from about

1/8 to 1/3 U.S. citizens and 1/3 to 1/2 Toronto metropolitan residents.

328

In parks administered by the St. Lawrence Parks Commission, 50% of the

1971 campers were Ontario residents, 36% from Quebec and about 13% from

the United States. Camping facilities in the New York portion of the

Basin are found in 62 percent of the state parks and 22 percent of the

local parks have camping facilities. These data show that Ontario

provincial and, in particular, Conservation Authority Park agencies in

the Basin are lagging somewhat in meeting camping demands as compared

with the St. Lawrence and New York public park agencies.

Hiking

Nature paths and hiking trails are getting increasingly greater use

and many local-concern groups are contributing greatly to trail maintenance.

Only one provincial park has a nature path, but 55 percent of the Con-

servation Authority Parks have paths. In New York, there are nine state

parks with nature walks and many more in county recreation areas. Hiking

enthusiasts have access to many exciting trails in the Finger Lakes Region,

Adirondack-Appalachian region, and the 450 miles of Bruce Trail along the

Niagara escarpment which was completed in 1967.

Winter Sports
Of the winter sports, skating and sledding are in greatest demand@

and require the least planning. Skiing areas are within a few hours

driving of all spots in the Lake Ontario Basin. New York lists a total

of 47'slopes, 59 trails, 28 lifts and 22 tows at 17 different locations

and Ontario has skiing at 26 different locations.

In a 1965 survey of skiers' preference by the New York State Depart-

ment of Commerce, the "typical" skier prefers chair lifts and moderate

329

slopes, has his own equipment, stays overnight half the time and considers
social activities important in selecting a ski center. 12

Sightseeing

Travel on scenic highways is the preferred recreation of many

vacationists. With the development of a rapid expressway system, much

of the commercial and business traffic has been transferred away from the

older roadways. These older routes often blend excellently with the land-

scape and pass through areas with real local flavor and s cenic overlooks.,

Many of these routes could be easily reconditioned and updated to handle

tourist traffic. The designated scenic parkways include the Lake Ontario

State Parkway and Robert Moses State Parkway in New York State, and the

Niagara Parkway and Long Sault Parkway in Ontario.

Planning

Before planners begin estimating future demands, extensive surveys

must be conducted to determine the characteristics of the recreationists

and which activities are preferred.

New York. Comprehensive plans for New York State and the U.S. Great

Lakes Basin have not had available adequate preliminary information on

recreationists before projecting recreation demand. Efforts in assessing

recreationi.sts' characteristics and preferences are usually done in a

piecemeal fashion and little regional coordination has been attempted.

The 1967 BOR report presents many studies on individual parks and includes

a complete listing of recreation facilities in the U.S. portion of the

Basin. However, this study is becoming out-dated and progression to the

next stage specification of areas to be developed and final planning - was

330

neglected. The GLBFS (21) uses different demand estimates and proposes

specific developments to meet the predicted requirements. These pre-

dictions, like the BOR estimates, are based on the rather doubtful

assumption of continued growth at present rates and makes projections

for resource requirements up to 2020 for 5 study areas in the U.S. portion

of the Basin. A more attractive prediction base is described by Kalter
and Gosse (1970) in a mathematical model for 15-year demand projections. 13

The data based on 1960 and 1965 surveys on five selected activities in

eight regions in New York State areused to estimate demand in 1985.

Ontario. Commissions providing Ontario's public with outdoor

recreation are widely dispersed and, except for the last few years,

there has been very little planning coordination among them. In most

recent years, some agencies have extended their effort s to other areas

such as waterfront plans, fishery management and forest management; and

more agency cooperation may be desirable if inefficient duplication or

ill-advised development is to be avoided.

Progressive planning in the last five years has resulted in: more

comprehensive. assessment of public and recreationist preferences; assess-

ment of present recreation facilities; research on methodology and

techniques such as origin models, destination models, and patterns of

participation; and distribution of information. The Canada Outdoor

Recreation Demand (CORD) study is nationwide and is computerized in central

data banks. The results of this study are not available and.the CORD

concept has been further developed. Those planners involved in the study

are satisfied with the results, as indicated in the following statement:

331

"The value of the CORD data in planning for outdoor recreation
projects is justification for continuing recreation research
studies by all levels of government. According to Un-ited States
experts, the CORD data offer the solution to 'demand' problems
that are extremely important and yet have not been solved by
incomparably higher research dollar expenditures for research in
outdoor recreation in the United States."14

Directions of Cooperation

The areas in which binational coordination and cooperation might prove

useful include:

1. collection of user data on a common set of outdoor recreation

activities;

2. agreement on definition of terms,e.g., activity occasions, to

enhance comparability of data;

3. promotion of a sense of commonality of interests among agencies

and professionals concerned with recreation problems and

issues;

4. consideration of joint development of one or more recreation

areas; and

5. minimization of overdevelopment of certain recreational-sources

at the expense of other sources.

There is no suggestion that there be established any kind of joint

body to control outdoor recreation. Outdoor recreation is essentially

a local and state/provincial responsibility. It should remain there.

Nevertheless, some provision must be made by which government agencies

as well as nongovernmental agencies and private interests can improve

planning and can make their voices heard in the new joint organization.

332

Outdoor recreation can be an important issue at the local level. If

handled improperly by the new organization, it could detract from the

positive effect of some of the organization's successes. On the other

hand, if outdoor recreation is accorded the consideration it merits,

it can only enhance both the competence as well as the image of the new

organization.

333

REFERENCES AND FOOTNOTES CHAPTER IX

lGreat Lakes Basin Framework Study (GLBFS), Outdoor Recreation, Appendix
21, August 1971.

2
Richard L. Dewsnup, Public Access Rights in Waters and Shorelands,
National Water Commission, National Technical Information Service,
Springfield, Virginia, 1971.
3GLBFS, op. cit., note 1.
4Marion Clawson,.Land and Water for Recreation, Rand McNally and Company,,
Chicago, Illinois, 1963.
5U.S. Department of the Interior, Bureau of Outdoor Recreation (BOR),
Water Oriented Outdoor Recreation in the Lake Ontario Basin, 1967.

6Ibid.
7GLBFS, op. ci t. , note I
8BOR, op. cit., note 5.
9New York State Department of Conservation, Computer Print Out of Current
Private and Public-Recreation Areas in New York State, Albany, New York,
1972.
10 BOR, op. cit., note 5.
11 G. W. Arthurs, pers. comm., Public Relations Officer, St. Lawrence Park
Commission, Morrisburg, Ontario, 1972.
12 BOR, op. cit. , note 5.

13
R. J. Kalter and L. E. Gosse, Outdoor Recreation in New York State:
Projections of Demand, Economic Value and Pricing Effects for Period
1970-1985, Special Cornell Series #5, 1970.
14Canada Outdoor Recreation Demand (CORD) Study, Branch Policy Statement,
1970.

PART THREE

SPECIAL PROBLEM AREAS

334

CHAPTER X

LAND USE*

Introduction

Whereas the primary focus to this point has been the water environ-

ment of the Great Lakes Basin, this chapter concerns the land environment.

Land and water resources of the Basin are inextricably linked and a plan

to improve the management of the water resource must also take into account

the land resource. Present land use practices and issues of the Lake

Ontario Basin, which are typical of the Great Lakes Basin as a whole, are

examined.

Demography

In 1968 the population of the Lake Ontario Basin was 6.1 million, of

which 2.3 million resided in the United States and 3.8 million in Canada.

In the United States, the population of the Buffalo urban area in 1970

was 1,334,000 while the Rochester area had 875,000. In Canada, the bulk

of the population is concentrated in an urban arc called the Mississauga

Conurbation which runs from Oshawa southwest to Toronto and Hamilton,

thence east to Niagara Falls. Population estimates (1969) for urban

Hamilton were 480,000; for urban Toronto - 2,316,000. Forecasts for 1976

project a population of metropolitan Toronto of 4.6 million.

The population is moving from the rural areas to urban areas, and in

particular from the north and east to the southwest and into the Ontario

Lake Basin. There are 12 counties in Ontario which have land in the

Basin. In the period 1951-1961, all but three of these showed population

*This chapter is based on a paper by James M. Wolf entitled, Land
Management in the Lake Ontario Basin, 1972.

'335

growth rates above the provincial average. The pattern was similar in

the period 1961-1966. More significantly, the counties of Halton, Peel

and Ontario have shown population growth rates greater than 90% above the

provincial average, while York and Lincoln have shown population gains

in the range of 30-50% above the average. These counties, Lincoln excepted,

make up the heart of the Toronto Centred Region. Thus urban areas in

the Canadian part of the Lake Ontario Basin are very rapidly expanding,

and doing so at the expense of the adjacent rural areas.

Most reports predict future population growth rates for the area at

or above current trends. It appears likely that the rate of population

growth on the Canadian side of the Basin will continue to exceed thaton

the U. S. side.

In Ontario, 7 percent of the population is engaged in agriculture.

In the portion of the Basin in New York State only 2 percent of the

population is engaged in farming. Yet about one-third of the population

in the Basin, on both sides of the'border, live in.rural areas. Although

there is a tendency for population migration from rural to urban areas,

this may in part be due to an expansion of the urban centers to absorb

rural lands by subdivision or other ways.

The high population concentration around the western portion of

the lake, (from Oshawa.to Rochester), places environmental stresses on

the lake and upon the land in the area. These pressures will require

action in land and water management in the years ahead.

Economic Environment

Employment trends are useful in describing the economy of a region.

Buffalo and Rochester have been areas of slow growth as measured by

national trends. Nevertheless, they command important positions in

336

manufacture of primary metals, transportation equipment and photographic

equipment, among others. The Buffalo-Niagara Falls industrial complex,

strategically located between centers of primary production in the mid-west,

and centers producing manufactured goods in the nort heast, serves as a

major transportation hub.

The Toronto region is the financial, manufacturing and educational

center of Canada. Manufacturing is characterized by its diversity. The

city is an important shipping center and transportation link. Hamilton

is also a port and the Canadian center for the primary metals industry.

Overall employment growth in the area exceeds the Canadian national average.

The Province of Ontario contains 36% of the population of Canada; it

accounts for over 40% of the Canadian GNP. Industrial employment has

increased by one-third in the last decade. Unemployment in 1970 averaged

4.3%, or 2% below the Canadian average. The province is a leader in the

Canadian economy.

Current Land Use Management Tools

The basic objective of land use planning is to facilitate the most

efficient use of the land for society, and the economy as a whole. It is

government action which sets the pace in land use planning. The tools which

are available to the land use planner generally take two forms - incentive

and restraint. Some of the current.techniques available to the land use

planner are briefly reviewed.

Zoning. Effective zoning dates from 1926 in the historic Village of

Euclid v. Ambler Realty Co. (272 U.S. 365, 1926) decision in which the

Supreme Court "strongly affirmed the power of a municipality to regulate

use of private land, under defined conditions and with proper procedural

safeguards." The effect of Euclid v. Ambler was an extension of the public

337

police power based on the common law of nuisance. Thus zoning was initially

established as a legal restriction.rather than as an incentive. A recent

decision by the New York State Court of Appeals has widened the scope of

zoning beyond that initially implied in the decision the court held that

"Zoning is not just an expansion of the common law of nuisance. It seeks

to achieve much more... zoning can be a vital tool for maintaining a civilized

form of existence only if we employ... all the other professions concerned

with urban (or land) problems. (Parenthesis supplied) Zoning, which at

first took the form of restrictive convenants can now be used as incentives

to foster planning. For example, positive zoning techniques became requisite

to providing directed growth in problems of urban renewal, traffic congestion,

commercial development, rural-urban demands on the land. The effect of

this approach is one of "creating community benefits rather than preventing
individual harms..." 2

Statewide Land Use Regulations. The effect of broader zoning techniques

can be seen in recent legislation enacted in a few states.

Three states have enacted legislation which establish statewide land
use regulations. 3 In 1961 Hawaii passed legislation which led to a classifi-

cation of all land into four districts, agricultural, rural, urban and

conservation. This was done to provide ordered growth in a situation where

land speculation was (and still is) rampant. Under the law, land in a

certain category can only be used for certain prescribed uses within that

category. Vermont (1970) established an environmental board which passes

on all major proposals for development in the state as well as for any

development above an elevation of 2,500 feet. Maine.(1970) has developed

similar controls for the preservation of that state's natural environment.

338

Special Purpose Legislation. Some states have established land use

controls over selected areas in their states. At least ten states have.set

controls over development in coastal areas, wetlands or shorelines.

California has passed legislation affecting development in San Francisco Bay

and has joined with Nevada to regulate development in the Lake Tahoe Basin.

New York has created Special State Commissions under the Office of Planning

Services (OPS) which are charged with reviewing all development plans for

the Hudson River Valley, and the St. Lawrence-Eastern Ontario region.

These commissions serve as watchdogs for development inconsistent with

public uses of the land. In addition, New York has begun the process of

planning for development in the Adirondack Park area by creating land use

plans for this unique area. In Canada, Ontario has enacted legislation de---

signed to protect the Niagara Escarpment against development by speculators,

mining, etc. The types of development encouraged include agriculture,

parks and recreation. Certain parcels along the escarpment have been
earmarked for provincial purchase.

Recent legislation has been enacted in a number of states which

provide for agricultural land preservation in the face of rising taxes and

increased land speculation. In California, the Wilkenson Act provides a

different tax basis for land set aside from development. Under the pro-

visions.of the New York State Agricultural Districts Law (1971) farmers may

receive shelter from land taxes based on potential for development.

Other Land Management Techniques. While this discussion has centered

upon zoning as a tool in land use planning, other public actions to control

land use deserve mention. Beuscher considers slum clearance as the "most
dramatic modern illustration of land use control through public acquisition"@

Acquisitions of land for public purposes will become increasingly important

339

,under the concept of eminent domain as the demand for public use of the land,

e.g., highways, parks, power projects, etc., becomes magnified.

Under the spending power, various grants-in-aid affect land development.

For example, VA or FHA housing loans may be available only for homes meeting
lot size and neighborhood standards.5 In order to obtain matching grants

for urban renewal or open space acquisitions, certain Federal criteria

must be met. The Model Cities Program relied heavily on this concept

of regulation through the spending power. Public policy toward provision

of services such as water systems, sewage treatment, highways, will also

greatly affect land use planning.

Some individuals consider taxation to be the most effective exercise

of the police power. In recent years it has shifted from a revenue raising

device to a regulatory power. We have already touched upon lowered land

tax assessments in return for agricultural zoning. Oil and mineral tax

depletion allowances have obvious implications on land use. In Mississippi,

Alabama, Louisiana and Vermont, statutes permit tax exemptions as a means

of attracting industrial development-. Other states favor park-lands and
timber uses through tax exemptions.7

It is clear that the land planner has today a number of regulatory

devices available to him. The basis for these devices has evolved from

simply "harm preventing" to promoting the "greatest social good." Through

the planning process, government can show that the regulations are necessary

to accomplish desired social objectives. Regional planning which will

rely on the regulatory devices of the land planner will also contribute

to an expansion of the rules under which the planner operates.

340

Regional Planning

Regional planning has been defined as "the process of preparing, in

advance.and in a reasonably systematic fashion, recommendations as to

policies and courses of action to achieve accepted objectives in the
common life of urban or regional communities."8

The key phrase in this definition is "in advance." Planning means

foresight, not simply taking action to correct mistakes. Planning should

be initiated preferably when the slate is clean--when problems don't

presently exist - so as to obviate potential problem areas before they

develop.

Another key word in the definition is "systematic". Planning is an

integrating process which draws on inputs from a variety of disciplines.

Since planning can have far-reaching effects on people and resources,

planning input should.include,insofar as possible, a consideration of the

indirect consequences of choosing particular courses of action. For

example, what would be the full range of effects of transporting northern

California water to the Los Angeles area? In addition to encouraging

industrial and residential development, would the result be to worsen the

smog problem and make commuting even more of an intractable problem? In

other parts of the country, for example, in the Great Lakes Basin, we must

turn the question around, how will land use planning affect the water

resource?

Effective regional planning requires broad planning objectives,

including livability, efficiency, amenity, flexibility, resource optimiza-

tion and public participation. A plan to include the governmental functions

of surveillance, mediation and control is required to meet these objectives.

341

Planning for a region occurs in phases. In the first phase of the planning

process, goals are often defensive, i.e., they are designed to prevent

further deterioration of the inner city or permanent damage to the environ-

ment. The plight of the cities is a well-known and studied phenomenon. It

includes, among many other things, traffic congestion, air and water pollution,

unplanned development, deterioration of housing, decline in the quality of

services, and erosion of a sense of civic responsibility. Goals arise
pragmatically from the real problems besetting the area. 10 Planning

tools at this stage include, but are not limited to, development schedules,

urban renewal, subdivision control, designation of land uses, establishment

of greenbelts.

A second phase involves regulation of land use. Also considered here

is actual planning and design for lands in order to limit subdivision

growth and to avoid urban decay.

A third phase provides for long-range planning for the optimal use

and development of the resources of an entire region. The objectives here

are optimize human benefits over a specific region as well as to provide

for environmental protection.

The key to the final phase is broader levels of optimal planning.

Although local land use planning is a step in the right direction, it

is inadequate to meet problems confronting the province, state or nation.

An interregional development framework is needed to meet national goals.

.The challenge here is a willingness on the part of the individual regions

to forego certain prerogatives for the benefit of an interregional effort

to meet planning objectives. I

Systematic planning in time and space thus goes beyond geographic

and political boundaries for solutions. Just as southern California has

looked beyond the Tehachapis for solutions to its water problems, full

342

management of the Great Lakes Basin require commitment and action from

Canadian and U.S. interests. Let us now examine the structure of land

planning in the Lake Ontario Basin with specific reference to plidnning in

Ontario and the Toronto Centred Region.

Regional Development in Ontario

Background. In Ontario during the sixties and early seventies, three

trends have called for organized planning efforts: First, there has been

an increasing tendency for migration to urban centers. Accompanying this

familiar migratory pattern is the equally familiar unplanned urban sprawl.

The Toronto Centred Region now extends westward towards Hamilton and

Waterloo, and eastward toward Oshawa. The trend is dismally familiar,

choice farm land is transformed into suburbs, forests' are destroyed, open

pit mines and quarries scar the countryside and the air and water resources

of the region are left polluted.

Structure. A regional approach to these problems in Ontario was

indicated. The basis for a broad planning approach was originally estab-

lished by the Federal Planning Act of 1946 which outlined procedures and

regulations to be followed. In 1966, in a program known as "Design for

Development, Phase I," John Robarts, Prime Minister of Ontario, stressed the.

belief that "regional plans and priorities should always contribute to the

total environmental development and economic performance of the (whole)

province" and that "regional development policies are ... aspects of a broader'
provincial growth policy". 11

Under the program, Design for Development, the Province,of Ontario

took on responsibility for developing official plans into which local

governments would have maximum input. This i.ntent was strengthened in

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"Design for Development, Phase II" initiated in 1968. In this phase,

guidelines were established on the provincial level. Local governments

were required to develop plans in accordance with the Provincial Design

for Development.

Under Design for Development, provincial regional plan determination

is in three phases: (1) data gathering; (2) development of regional plans;
and (3) implementation of the above through local and provincial coordina-

tion of on-site development. Phase (3) may be termed the "action" or

"mediation" phase.

The Regional Development Branch of the provincial government was

given responsibility for planning development and guideline determination

for the province. The Branch is within the Department of the Treasury

which is expectedly indicative of how close provincial planning is tied to

the purse strings. The Branch acts as an administrative focal point

providing-coordination between the various governments and governmental

agencies concerned with regional and local development.

Unlike intergovernmental endeavors in the United States, federal

hegemony is absent.- While establishment of priorities and major funding

decisions may lie at the cabinet level (federal), operational guideline

determination and approval will be found at the provincial level.

Objectives. The general objectives for the development of south-
western Ontario are stated as follows: 12

1) Economic growth should be based on private industrial development

which combines.regional diversification with subregional

specialization;

2) urban growth should be decentralized in growth nodes so as to

maintain economies of scale and at the same time limit sprawl;

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3) a transportation system should be established which links the

urban centers - such a system should in part shape future

development not simply respond to past requirements;
4) environmental protection is necessary for the region's shorelines,

escarpment and prime agricultural lands;
5) flexibility; and
6) encouragement of local participation at each stage of the

planning process.

Surveillance. Initially, ten economic regions were delineated in

Ontario for purposes of data-collection or surveillance. These regions

conformed to existing administrative boundaries. Here the intent was

to take advantage of data gathered previously. Later, ten regional-plans

were deemed too many for purposes of planning coordination, (i.e., some

fluidity was to be gained if regional size within Ontario was increased),

and the number of regions consequently was reduced to five.

In 1967, the Regional Developmt!nt Branch commenced systematic data

accumulation so that trends could be ascertained. Sixty-three indicators

of social and economic change were analyzed for the period 1951-1966.

It may also be noted here that a land inventory (similar to New York

State's LUNR) has been established by the Agricultural Department in Ottawa

under federal-provincial agreement. The intent is to use this information

for gross land use planning in each province. Initially the Canada Land

Inventory is looking at four criteria: (1) agriculture; (2) recreation;

(3) wildlife; and (4) forestry. Eventually the inventory will be computer-

ized for easy access and retrieval.

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Mediation. The mediation function is to be carried out under the

following principles:

1) There should be linearity, or alignment, between growth nodes

to facilitate major transportation links and allied services.

2) There should be a functional utility between urban and rural

areas. Each has a contribution to make to the other. For

example, one serves as a cultural source, the other as a source

of outdoor recreation. Economically, complementary products are

produced.

3) There should be linked sub-centers within the Region. This will

foster decentralization.

4) There is need for open space land areas of recreation.

5) Resource conservation, of land,-air and water is a necessity.

Control. Enforcement of guidelines rests with the province.

Enforcement is based upon the concept that development within approved

areas will be guaranteed government supported services, (e.g., main access

roads, utilities,,schools, transportation facilities...), while development

outside of approved areas will have no such guarantees. Primary control is

thus established through the public spending power, though direct enforce-

ment (police power) is also a possibility through existing law. Under such

a situation, a developer might be denied the right to dispose of sewage, to

bring in water, or to.build high-rise. Injunctions, though rarely used, are

also a possibility. Local appeal of provincial determinations is possible

through a federally-appointed panel of arbitrators.

In reality the control function appears to be less firmly established

in Canada than in the United States. The application of positive zoning has

346

not been widely carried out, nor are there land use enactments other than

the one cited regarding the Niagara Escarpment. Taxation has not been

used as a regulatory device nor are there provisions for agricultural

assessments.

In spite of these limitations, the action phase of the planning

process has been initiated for the Toronto Centred Region, an area

encompassing a 90-mile arc around Toronto. This region contains over half

of Ontario's population and occupies a pivotal position geographically

within the province.

Areal Concept. Three concentric zones have been delineated:

Zone 1. A lakeshore urbanized area. This is centered about the

present metropolitan area.

Zone 2. A commutershed. The policy here is to retain a premium

on open space, recreation and agricultural lands.

Zone 3. A peripheral area.
Provisions (as yet undefined for various reasons), have been made for

a-Parkway Belt system and for recreation areas. The unique feature of the

Parkway Belt system is the concept of maintenance of wide corridors of

open land, to provide transport and/or utility services and also to prevent

communities from growing together into urban sprawl. The corridors will

also serve as environmental buffers, to diminish noise and diminish

adverse visual impact.

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Planning Status. Reaffirmations of the principles of the Toronto

Centred Region have been made as recently as April 1971. "The government

has decided to endorse the principles of this basic plan as the guideline
13
for provincial decision-making in the Toronto-Centred Region

Summary. In summary, regional development in Ontario as evidenced by

planning for the Toronto Centred region has begun. Much surveillance has

been completed; mediation has been initiated. The fact that there is a

plan - with general governmental and public support - speaks well for the

process.

Three areas of potential weakness are noted:

1) While planning is integrated from a regional standpoint, it is

not integrated from a resource standpoint. This is essentially

a land plan. Regional planning should encompass land, water,

and air planning.

2) As yet there has been little need for control. Ontario hopes

that regulation can be effected through the public spending

form of regulation, i.e., incentives. It is doubtful if this

will be adequate.

3) The tempo of deleterious change in populations, urban sprawl,

loss of agricultural lands, environmental damage calls for plan

implementation at an early date. There is an urgent need to get

on with the task.

Land Use Issues

Land Use Requirements.

a) Ontario In 1964 there were approximately 200,000 acres of

built-up land in the Basin and adjacent to the lake, excluding areas such

348

as Guelph and Barrie. The population density was 8,20 persons per square

mile. (By way of comparison, the west side of Manhattan Island has a density

of 160,000, while the density in a typical area zoned for acre lots would

be about 1000.) The gross residential area was estimated At about 120,000

acres. By the year 2000,, land taken up for residential areas alone is

expected to total 260,000 acres. This does not include non-residential

intensive uses such as transportation links, parks, industrial sites, shopping

centers, and institutions.

Projected urban land use re*quirements to the year 2000 have also been
made by MTARTS (Metropolitan Toronto and.Region Transportation Study) for
a region encompassed within a 60-mile radius from downtown Toronto. This

area includes Guelph and Barrie but excludes St. Catherines and Niagara
Falls. The results of these studies are briefly summ arized in Table 9.

Table 9

Built-up Area Density Residential Area
(Acres) (Persons/Sq. Mile) (Acres)
Low Density
Assumption-2000 592,000 7,000 4039000

High Density
Assumption-2000 412,000 10,000 223,000
1964 220,000 8,200 123,000

b) New York Allee's report projects urban land requirements for
the following counties: Niagara, Erie, Wyoming, Orleans, Genesee, Wayne,
Livingston, Monroe, Ontario, Yates, and Seneca. 14 For projection purposes,
these counties are taken to be representative of the Lake Ontario Basin

area. For the 20-year period 1965-1985, requiremen ts in acres are as

349

follows: housing - 63,000; commercial and manufacturing - 19,000; other

18,000. The derivation or original uses of this land is predicted to be

as follows: openland - 59,000; cropland - 36,000; woodland - 5,000.

0 Observations It can be noted that over half the built-up area

will go for residential uses. Typically, streets and highways rights-of-way

take up about 1/5 of the developed land, and commerce, industry, utilities

and institutions occupy another 1/10 to 1/5 of the land.

Zoning ordinances may in the future push minimum lot sizes to larger
acreages. This will lead to lower densities and higher land use require-

ments. Even under extreme conditions, (low density assumptions), avail-

ability of land will not present a barrier to urban growth in the Basin in

the foreseeable future. To the year 2020, more than 3/4 of the land will

still be vacant or in parks. Core areas will of course have a very high

percentage of developed land.

Conversion of Rural Land to Urban Uses. Urbanization occurs at the

expense of rural areas. Some of this rural land will possess a high

economic potential and its conversion will be in response to a higher

marginal utility of the land for urban purposes. Loss of prime agricul-

tural land, though perhaps unfortunate in many ways, will not result in a

loss in total farm production. The slack will be taken up elsewhere.

Loss of forested land will be offset by replanting in or exploitation of

other areas. However, the value of rural land in the vicinity of cities

is not to be measured solely in economic terms, but more in their location in

time and space when used in conjunction with planned development.

Several studies in the United States and in Canada have quantified

the tradeoffs between growth of urban areas and loss of rural land. The

methodology for this type of study was pioneered by Donald J. Bogue, who

350

posed the question, "...how many acres of land are removed from agricultural
production per 1000 population increase?" 15 The answer to this question

might be sought in one of two ways: (1) determine population growth and

growth of urban areas; or (2) determine population growth and loss of land

in non-urban uses. Although it may seem indirect, the latter approach is

preferred in that it underlines the impact of urbanization upon potential

loss in food production and also the social impact due to loss of open

spaces. Simply, Bogue and others have noted population growth from one

census to the next and have related it to loss in acreage of agricultural,

open, and forested land in the vicinity of metropolitan areas.

One may rightly ask if a direct cause and effect relationship exists.

Certainly not all the exodus from the farming scene is directly related

to-urban growth even in areas adjacent to cities. Some farms are no longer

operated because they are simply uneconomical. But it has been shown that

the greatest loss of farmland is closest to the central city and the loss

decreases as the distance from the core increases. Clawson et al., have

shown that for every two acres withdrawn from rural use, only one goes

into development. A primary cause of this is the speculative pressures on

the land applied in an economic sector where returns are only marginal.

Also, one might add to this the effect of rapidly rising property taxes

in rural areas adjacent to the cities. Thus, although there are other

factors contributing to conversion of rural land to non-rural uses, the

most likely cause, in and around growth centers, is urbanization and

industrial growth and the pressures created by them.

351

A. Land Speculation

With increasing urban sprawl, land values on the periphery will

continually increase, driven upward in value by the activities of

speculators and land developers. The number of acres converted to

urban uses is less than the conversion out of active agriculture. This

implies land available for recreation, preservation and open space,

but it also reveals the speculative pressures on the land. Urban growth

in New York State has required some 10,000 acres of cropland annually.

At the same time, land speculation has idled several times this figure

of productive agricultural land in anticipation of urban development.

In New York State, some 200,000 acres are removed from active agriculture

each year, the majority going to recreational activities.

When projections are made for future land requirements for urban

purposes, high and low figures are often given. Assuming a single

projected population figure,, the difference in the land requirements

can be considered to be the land idled by speculation.

B. Taxation Policies

One of the undesirable effects of urban growth on the rural country-

side has been the increase in the assessed value of the rural land as

a result of reassessment of the land potential for suburban development.

In a study involving some growth centers in the Lake Ontario Basin, Hind-

Smith noted that agricultural land in urban fringe areas had assessed

evaluations 40-60% greater than the farmland outside the shadows. Rural

352

.lands adjacent to new subdivisions will generally be taxed more heavily

than they were before they became included within tht urban gringe. For

example, farmland may be taxed by a public service district for improve-

ments such as sewer, water, lights and non-farm drainage. Under the

provisions of the New York Agricultural Districts Law, farmers may band

together to seek tax shelter from these types of taxes. They are also

entitled to apply for agricultural value assessments.on their land

and thus exclusion from assessments based upon potential for development.

(Farmers not in Agricultural Districts may also obtain agricultural

value assessments by entering into contract yearly to keep their land

in farming for a period of 8 years.) This legislation recognizes

speculative pressures and inequities in land assessments and offers alterna-

tive actions to individuals affected. Similar legislation may be needed

in Canada.

Higher taxes and speculation combine to idle thousands of acres

annually in the Lake Ontario Basin. These financ.ial pressures are engendered

by urban sprawl. In this respect, urban growth accelerates the conversion

of rural land to non-rural uses. Land is placed on the market in response

to financial pressures which are in turn caused by urban growth. The

process feeds on itself.

Case Study - Niagara Fruit Belt. Ralph Krueger has made a well-known
study of the effect of urban encroachment upon the Niagara Fruit Belt. 16

This is that sector of the Province of Ontario on the western shore of

Lake Ontario. He notes a recent acceleration in the retirement of this

land from agricultural purposes. This could be especially damaging in that

353

the area accounts for 25% of the gross value of Canada's fruit production.

(The area accounts for 80% of Canada's grape acreage, 60% of the peach

acreage, and 50% of the plum, pear and cherry acreage.) Other fruit pro-

duction areas are sca*rce or non-existent. The alternative measure is

to import fruit'from the United States.

The reasons given for conversion of land in the Niagara Fruit Belt

are similar to those given for other areas. Increasing property taxes and

soaring land prices combine to induce the farmer into selling his land.

Land price increases can in many cases be attributed to speculation. With

this in mind, even the progressive farmer will be reluctant to make improve-

ments (say new trees) on his land with repayment perhaps five years hence.

He may opt to sell.his land, or simply to sit tight. Consequently, a

side effect of speculation is a decrease in overall productivity.

As yet there is no legislation designed to relieve farmers in Ontario

of the price-cost squeeze. Nor do farmers seek this. Growers are in

general opposed to prov.incial planning which might in some way limit their

right to sell their land for high price. Some have proposed land use

legislation to relieve growers in the area of the financial pressures

presently exerted. If planned growth is to take place, this may be a

necessity.

The phenomenon of urban development encroaching on agricultural

land cannot be viewed in purely economic terms. To do so is to give

undue weight to the economic gain resulting from the advent of urban and

industrial development in a given area. Other important values are those

of preventing unplanned growth, of insuring open space, and of making

cities livable. Moreover, if urban growth could be planned, there would

be provision for complementary agricultural and metropolitan sectors,

leading to economic and social advantages for people in both.

354

Impact of Land Use Trends on the Natural Environment

Water. Both urbanization and intensive agricultural production

contribute to potential water pollution hazards. Intensive agricultural

activities, for example feedlots, can lead to excessive concentrations

of pollutants in ground waters or to odor and manure disposal problems.

Excessive use of fertilizers or pesticides can be a problem since the

ultimate sink for both waterborne and airborne pollutants from the Basin

is Lake Ontario itself.

Industrial pollution is another serious matter. Liquid wastes are

discharged into Basin streams or directly into the lake. Thermal

electric power plants use large volumes of coolant water which are returned

to the lake at temperatures that can affect the local marine biota.

Industrial concerns make a major contribution to air pollution. The

location of new industry in the Basin, as well as elsewhere, has in the

recent past met public resistance in some cases over these issues.

In rapidly developing regions, it is unlikely that effective lake

pollution standards can be realized without parallel land use controls.

The necessity for such control is becoming more widely understood in the

United States and in Canada. Unfortunately, other public priorities,

particularly in the United States, have retarded needed action in this

area. Nevertheless, the 1972 Canada-U.S. Great Lakes Water Quality

Agreement may promote eventual joint, coordinated efforts in land use

management. This is an essential goal because land use cannot be

separated from the management of the water resource.

Viewed from the perspective of the total lake environment, as a

resource for recreation, fisheries, navigation, municipal use, and so

forth, we must be alert to the stresses imposed by dense population

355

centers adjacent to the lake. Prudent management of the land is the only

effective solution to protection of the water resource.

Land. Where intensive agricultural operations exist adjacent to urban

areas the environmental stresses may become particularly acute. This may

be partially offset by the desirability of having open spaces adjacent to

urban areas. There is much that technology and education can do to obviate

potential problems.

This is not to say we should become complacent on this issue. Some of

the best scenic areas have been and continue to be developed and spoiled

with little regard for public access and use by future generations.

Due to migration into the area, population will increase. There will

be increased need for land and water-based recreation facilities and for

other amenities which must.be provided within the context of regional

planning for the area. This will make necessary a much higher degree

of land management than that existing today.

Open Space Concepts

Why should areas in the Basin and elsewhere be spared from complete

urbanization? Phrased another way, what is the value of open space land?

More People - More Leisure. The United States will have more than

300 million people by,the year 2000. Rochester and Buffalo will grow by

more than 200,000 and 300,000 people, respectively, in the next 15 years.

The Mississauga complex is expected by some to increase by 1.5 million

people in the next 15 years. These larger populations will surely

spell more use of recreational facilities. Simply maintaing the present

356

ratio of recreational acreage to population will not suffice to accomodate

recreational demand because people will (presumably) have available more

leisure time. The pressures wi 11 be great for placing large areas into

recreational use. The National Recreational Association which formerly

recommended at least 10 acres of metropolitan park space per 1000

population, now suggests a minimum of 15 acres.

Concern for the Environment. This concern has been growing among

citizens of both countries. There is a strong movement to reserve lands

within urban areas for conservation purposes. Cited are areas such as

creeks and flood plains (both for scenic values and to reduce the need

for expensive flood control projects). Urbanization threatens not only

scenic areas but it also endangers the existence of wetlands. The

wetlands are major sources of food and are breeding grounds and the

favored habitat of an enormous variety of birds, fish and wildlife.

These land areas are generally low-lying and historically cheap in land

market value. They offer the builder certain cost and location benefits

for development which are frequently in direct conflict with'ecological

concerns. If used intelligently, they can serve as recreational areas

or as physical barriers to unrestricted development.

Pollution Control. Open space land may ameliorate pollution of two

types. Visual pollution, a resultant of unplanned urban and suburban

development, can be prevented or reduced by leaving certain acreage

undeveloped to serve as barriers to Unrestricted growth and also perhaps

as transportation and utility corridors. Physical pollution of the land

and the lake can be lessened by reduced density of urban populations.

There is a growing awareness on the part of concerned citizens that in the

357

future there will be a difficult trade-off between absorbing the exter-

nalities in the form of pollution and paying the high costs of keeping

open space land out of private hands. In addition to ensuring a future

adequate supply of recreational opportunities, the public may demand

appropriate control over urban sprawl and other forms of pollution.

Mechanisms to Counter Urbanization

Actions have been initiated on both sides of the border to thwart

complete urbanization. In New York, Agricultural Districts legislation

provides an opportunity for agricultural land to rem ain competitive in

the face of speculation and soaring assessments. It is precisely this

question of "rent" - that is, economic return from the land versus specula-

tion and taxation which exercises the major control over changes in land

use patterns. Agricultural Districts are a mechanism to suppress speculation

and taxation based upon potential for development. No doubt the New York

approach will undergo many adjustments over time in order for it to become

and remain an effective counterbalance to speculation and taxation. What

is important, however, is that it is a start.

Ontario has developed a somewhat different approach. Design for

Development is a regional planning program reflecting current thinking

concerning economic and social growth in the province. As pointed out

above, DFD has established provincial guidelines to be enforced at local

levels in order to achieve balanced growth commensurate with plan ned

urbanization incorporating open space and corridor concepts.

DFD is a dynamic process involving continuous re-examination of

objectives and means to help secure and maintain a desirable standard of

living for all Canadians. As in the case of New York's Agricultural District

legislation, it represents only a beginning. And like the New York

358

mechanism, it reflects a consensus on the part of pol@:ticians that planning

for growth is an absolute necessity for the years to come. One can be sure

that political interest in the planned growth process will expanJ, not

diminish, in the future. (One can also cite recent land use control legis-

lation in Hawaii, Wisconsin and Vermont.)

Unfortunately, broad scale regional planning in New York State has not

proceeded as rapidly as in Ontario. In 1974, Ontario has the goals but

lacks effective means of achieving planned growth. New York has codified

one means, but her planning processes lack the scope of those evidenced in

Canada. It would seem that both New York and Ontario would stand to gain

from a joint review of each other's experiences to date in the matter of

land use control.

What can be done to make land planning more effective?
1) Improve the skill of planners through research and education.
2) Institutionalize the planning process at all government levels

organize for broad scale regional planning.

3) Sharpen surveillance systems to give better information re:

economic analysis, ecological impact, human desires.

4) Provide enforcement mechanisms such as voluntary conservation

agreements, land use zoning, control over public improvements,

pricing of public services, changes in tax laws, purchase of

open space land.

5) Make the financial commitment to achieve these ends.

Concerted Action on Land Use

One might raise the possibility that planning goals and mechanisms

might be made uniform or at least compatible over the land area in Canada

and the United States within the Lake Ontario Basin. No doubt there would

359

be considerable hurdles to overcome. But the areas of commonality

between the two countries and provinc6s/states stand out. If such

an arrangement could be made to work anywhere in the world, it would

seem that.it could be made to work here. The effort required to

bring it about would be prodigious,,but the rewards would be great.

Open land in New York could be held in trust for urban centers in

Hamilton, and Toronto. The Niagara Fruit Belt area in Canada could

continue to be a preferred site for tourism from both sides of the

border. Wilderness areas north of Toronto would continue to be protected

for citizens of both-nations. Growth centers such as Buffalo and

Toronto might somehow be made more available to citizens of the.other

country as centers for commerce, culture, education and housing.

360

Chapter X

Footnotes and References

1. Udell V. Haas, 288 NYS 2d 888, 893, 21 NY 2d 463 (1968).

2. See Mandelker in N. Marcus and M.W. Groves, ed.., The New Zoning: Legal,
Administrative, and,Economic Concepts and Techniques, Praeger
Publishers, 1970, p. 16.

3. Fred Bosselman and David Callies, The Quiet Revolution in Land Use
Control, prepared for the U.S. Council on Environmental Quality,
GPO: Washington, D.C., 1971.

4. J.H. Beuscher, Land Use Controls - Cases and Materials, University of
Wisconsin, 1964, p. 515.

5. Id., p. 563.

6. Id., P. 565 (Seligman).

7. See Beuscher for a more complete account.

8. See article by Woodbury in Ackerman, J., M. Clawson, and M. Harris,
eds., Land Economics Research, Symposium at Lincoln, Nebraska, spon-.;
sored Fy-Resources for the Future, 1961, p. 66.

9. Id., pp. 68-79 (Woodbury).

10. L.O. Gertler, Resources for Tomorrow, Report of Conference in Montreal,
Agriculture, Water and Regional Development, October 23-25, 1961, p. 396.

11. See A Strategy for Southwestern Ontario Development, Joint statement by
the Department of Treasury and Economics and the Dept. of Municipal
Affairs, March 1970, p. 1.

12. Id., pp. 14-15.

13. W.D. McKeough, Design for Development: A Status Report on the Toronto
Centred Region, August 1971, p. 2.

14. D.J. Allee, et al., Toward the Year 1985, Special Cornell Series Number
8, The Conversion of Land to Urban Use in New York State, Cornell
University, Ithaca, N.Y., 1-970.

15. D.J. Bogue, Metropolitan Growth and the Conversion of Land to Non-
Agricultural Uses, No. 11, Scripps Foundation Studies in Population
Distribution, Oxford, Ohio, 1956.

16. R.R. Krueger, The Disappearing Niagara Fruit Belt in Regional and
Resource Planningin Canada, R.R. Krueger, ed., 1970.

361

CHAPTER XI

THE NIAGARA FRONTIER: PROBLEMS AND OPPORTUNITIES*

Introduction

The four international Great Lakes are linked by three connecting

channels at which locations the national territory of Canada and the

United States are separated, with the exception o f Lake St. Clair only

by the width of a river. These are known as the frontier areas and as

such they pose special problems and offer unique opportunities to the

cause of improved resource management in the Great Lakes region. In

this chapter we shall examine one of these frontier areas, the Niagara

Frontier. The focus of the analysis is on the institutional problems

at two levels: at the inter-county level on both sid.es of the Niagara
River and at the regional or frontier level. Also inc luded is a dis-

cussion on how the new organization, through the Lake Basin Office
concept (see Chapter VI), might @elate to a particular frontier area.

The Frontier Areas in Perspective

The frontier areas represent urban concentrations that exist on each

side of the connecting channels. (See Figure 6) In terms of population

*This chapter is based in part on original research done by Donald R.
Kisicki for his master's degree thesis entitled, Environmental
Management of the Great Lakes International Boundary Areas - A
Case Study of the Niagara Urban Region, 1973, Cornell University.

362

and industrial activity, the connecting channels between Lakes Huron and,

Erie on which are located the cities of Detroit, Michigan and Windsor,

Ontario are the most important. The population on the U.S. side was

approximately 4,500,000 in 1970 and is expected to double in the next

fifty years. On the Canadian side, the 1966 population of the three

counties bordering the frontier was approximately 500,000 with projections
of 760,000 for the year 2001.1 The second most populated frontier area

is located on the shores of the Niagara River and includes the cities

of St. Catherines and Niagara Falls, Ontario as well as Niagara Falls

and Buffalo, New York. The U.S. population of the region in 1970 was
1,350,000 and the Canadian population in 1966 was approximately 350,000. 2

The third and least densely populated frontier area is located on the

St. Mary's River between Lakes Superior and Huron. The principal cities

are Saulte Ste. Marie, Ontario with a 1966 population of 74,600 and

Saulte Ste. Marie, Michigan, population of 18,500. Although these

populations are expected to double during the next fifty years, the

St. Mary's frontier would still not represent a major urban concentration.

The Niagara River

The Niagara River is 37 miles long delivering flows of 200,000

cubic feet per second. The river is probably best known because of the

world famous Niagara Falls and for this reason the area has received

much attention with regard to preservation and enhancement.

363

Figure 6

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364

The Falls divide the river into an upper and lower portion. In the

upper portion the,river is also divided into two channels by Grand Island.

These divisions produce significant effects as to transboundary movements

of pollutants.

Between indlustrial.and municipal uses,the river and its tributaries

provide almost a billion gallons per day of water, mostly for use on the
U.S. side.3 Municipal and industrial wastes from both sides of the border

are discharged to the river and again the United States is the largest

contributor.

Major industrial discharges into the river include chemical, steel,

abrasives, paper and oil refining wastes. Dye manufacturing and alkali-

chlorine production constitute a major portion of the chemical industry in

the area. A large portion of the waste load on the Niagara River is

contributed by the slow moving, heavily polluted Buffalo River.

The Niagara River.also provides important benefits in the form of

recreation and touri-sm. In addition to Niagara Falls, which is the major

tourism attraction in the area, fishing, sailing, and waterfowl hunting are

also important recreation uses of these waters. Pollution has caused the

closing of beaches on Grand Island in recent years.

The Niagara Frontier (Figure 7)

Canada

The Niagara Peninsula is one of the fastest growing regions in the

Province of Ontario. Its sustained growth can be attributed in large part to

three factors: favorable location in the 1arge central Ontario market

area; its proximity to the United States; and the presence of a combination

of unique natural resources including tender fruit soils, tourist

TORONTO

OlyT A RIO
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BURLINGTON
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366

attractions, and extractable mineral resources. The major urban centers are

Niagara Falls, St. Catherines, and Welland. The counties of Lincoln and

Welland which border the Niagara River formed in 1970 the Regional Munici-
pality of Niagara (RMN). Land use at the present time is approximately 80

percent urban in the RMN. The trend of increasing urbanization is expected

to continue with the present population of the RMN of 350,000 projected to

reach 500,000 by the year 2001. This estimate is considered a conservative

one. The growth pattern has been in an arc stretching from the northwestern

end of the Municipality around the southwestern shore of Lake Ontario to

Niagara Falls.

The highest densities of population in the RMN are in the north and

east sectioris,mostly in the former Lincoln county. The rapid rate of growth

has been a result of its location (between Wentworth and Welland counties),

the effect of the Niagara Escarpment, and the location of transportation
routes such as the Queen Elizabeth Way (Q.E.W.). This area has exp6rienced

a population growth.of 64 percent between 1951 and 1966 and is exhibiting

the trend common to a large part of Southern Ontario of concentrations in

urban centers plus growth of rural non-farm population in areas accessible
to established urban centers.4

The rural sections Of the northern portion contain the peninsula's

specialized fruit growing zone and many of the region's workable non-

metallic,mineral dep osits. While the concentration of population in this

area has produced benefits due to economies of scale, it also has yielded

certain disamenities. The process of urban growth has eroded much of the

acreage of the fruit growing zone; the extraction of mineral deposits has

defaced the Niagara Escarpment; and the general pollution of the area's

water resources are directly attributable to the high concentration of

activity in this area.

367

The southern portion of the RMN is presently not as developed as the

northern portion. There is no reason to believe, however, that its develop-

ment is any less inevitable than that in the northern portion.

The loss of fruit lands not only affect s the agricultural base, but

also detracts from the recreational aesthetics of the fruit belt. Uncon-

trolled development in this area can only further endanger the recreational

potential. With regard to recreational areas, water pollution is causing

problems as are industries that are defacing scenic areas (such as the

Niagara Escarpment),raising conflicts between the exploitation of non-

renewable resources and recreational and visual amenities. The excessive

development of tourist-related construction such as billboards and high

rise facilities is diminishing the appeal of prime tourist attractions

such as Niagara Falls.

Increased population and lack of coordinated development of private

and public facilities will further add to the conflicts menti.oned above.

The projected population for the RMN to the year 1991 will be between
421,670 and 553,329 depending on the fertility and migration rates used. 5

This will represent an increase of between 30 to 70 percent over 1966 pop-

ulation levels. Whatever population statistics are used, the result is

clear: a fairly rapid growth rate will occur during the next twenty

years and the Niagara Frontier will form part of the,emerging Great Lakes

megalopolis, thereby placing severe stresses on the region's natural

environment.

United States

The U.S. portion of the Niagara Frontier, consisting of Erie and

Niagara Counties, New York, centers around the major hub of the City of

Buffalo which owes its present significance and growth potential to its

368

proximity to the Great Lakes and its position as a focal point for air,

rail and highway transportation to markets.in the eastern United States

and in Canada.

The area accounts for 7 percent of total New York State employment,

concentrating on primary metals, heavy chemical, and machinery industries.

Although new or expanded industry has entered the area the majority of

plants are old. New industry, particularly in transportation equipment,

and the rapid growth of research industries are expected to stimulate new

,industrial development in the region.

The populations of Erie and Niagara Counties are projected to increase

from a 1970 level of 1,350,000 to a 1990 level of 1,660,000 or a 22 percent
increase in that twenty-year period.6

Although the Erie-Niagara County region has been described.as urban,

the bulk of its land area is not utilized for urban purposes as 84

percent is vacant or used for agricultural purposes. Past and present

trends indicate that.urban land use is extending to the north and east

from Niagara Falls in Niagara County and to the nortbeast and east from
Buffalo in Erie County.7

This anticipated population increase can be expected to place added

development pressures on the eastern Lake Erie and western Lake Ontario

plains and on the entire U.S. section of the Niagara Frontier.'

Combining the U. S. and the Canadian portions of the Niagara Frontier

shows that the area will be supporting a total population of 2.1 million

by 1990, representing-a 25 percent increase over present levels. By the

year 2020 it can be anticipated that the total population will reach close

to three million. Demographic studies indicate that the NF will form an

integral part of an international megalopolis running from Chicago

369

to Montreal and encompassing nearly all of the land around the lower
Great Lakes.8

While-the types of urbanization and industrialization may differ

somewhat in both countries, the overall impact on the environment will

be the same. The conflict between the primary resources (land, water

and air) and development will sharpen and will challenge our institutions

and political leadership as they have never been challenged before.

The Regional Municipal ty of Niagara

The Regional Municipality of Niagara (RMN) is a two-tiered governmental

system consisting of a regional tier, governing on a broad scope the former

Lincoln and Welland Counties, plus a local tier consisting of 12 area

municipalities which govern on a local basis. Formerly there were 26

municipalities within the two counties; under the reorganization these

were reduced to 12.

In setting up the RMN the Ontario Department of Municipal Affairs

realized the great need for coordination between both tiers of government.

"The need for continuous coordination between both tiers
of oovernment in the region cannot be overemphasized.
Issues facing the entire region will affect local area
municipalities. Similarly, decisions made by the area
municipalities may often affect the region. Local
water, sewers, road development and other decisions
cannot be separated from related decisions at the
regional level.119

To provide this type of coordination the Regional Government is

headed by a Regional Council composed of 29 members including the chairman.

Membership on the Council comes from within the area municipalities;

members are directly elected to serve on the Council and their number is

determined by.the population of the area municipality. Population, and

members from each area municipality were, as of 1971:

370

TABLE 10

Membership of Regional Council

Area 1971
Municipality Population* Membership

St. Catharines 110,000 Mayor + 5 members

Niagara Falls 65,000 Mayor + 3 members

Welland 44,000 Mayor + 2 members

Fort Erie 23,000 Mayor + I member

Port Colborne 21,000 Mayor + 1 member

Grimsby 16,000 Mayor + 1 member

Thorold 15,000 Mayor + 1 member

Lincoln 14,000 Mayor + 1 member

Niagara-On-The-Lake 12,500 Mayor + 1 member

Pelham 10,000 Mayor

West Lincoln 8,000 Mayor

Wainfleet 5,500 Mayor

figures rounded

The concept of-having.local officials serve on the Regional Council

has perhaps the disadvantage of increasing their workload, but this

disadvantage is greatly outweighed by the officials becoming better

informed on issues facing both regional and local governments.

The following table indicates the responsibilities of the Regional

Council and those of area municipalities:

371

TABLE I I

Regional and Local Functions of RMN

Regional Local

Water

Supply & Purification X
Distribution X
Const. & Maint. of Transmission Mains X X
Water Regulations & Standards X
Inspection of All Water Mains in Region X

Sewage System

Wastewater Treatment X
Construction & Maint. of Sani-tary and Storm
.Trunk Sewers X
Separation of Storm & Sanitary Sewers Costs shared (25% max.
regional contribution)
Const. & Maint. of Local San. & Storm Sewers X
Regulations & Standards for All Sewer
Connections to Regional System X
Inspection All Sewers X

Roads & Traffic

Arterial Roads X
Planning, Const. & Maint. Powers X X
Local Roads X
Traffic Control X
Sidewalks X
Parking X X
(regional roads) (local roads)

Health & Welfare

Board of Health -X
General Welfare Assistance. X
Homes for Aged X
Child Welfare X
Juvenile Delinquency X
Nurses & Day Nursery X X
Ambulance Service X
Mental Hospital X

Police

Board of Commissioners X X

372

TABLE 11 (continued)

Regional Local

Finances

Tax Collection X
Regional Tax Levy X
Local Tax Levy X
Regional & Local Borrowing X

Other Functions
X
Solid waste (may make
arrangements
to have
region handle
waste dis-
posal)
Fire X
Appointments to Conservation Authority X
Park lands X
Recreation & Comm. Centers X
Expenditures for Promoting X
Regional Area
Public Transportation X

The main functions necessary to protect and enhance the environmental

resources have been delegated'to the regionalgovernment. The regional

government not only has the power to plan but it also can implement its

programs.

The most important functions with regard to the physical environment

are those functions that either directly affect the quality of environment

such as pollution control, parks, recreation, conservation, land use,

planning, or those that indirectly affect the environment through either

fiscal or administration capabilities to carry out programs or that affect

growth patterns such as water and sewer distribution and roads.

373

Direct Environmental Control Functions - RMN

Sewage Treatment. The Regional Council has the responsibility for
design, construction , maintenance and operation of sewage treatment
plants. The Council has authority to collect fees to pay all or part of

the costs of construction and operation of such faci lities on approval of

the Ontario Municipal Board.

Parks, Recreation, and Conservation. The Regional government has

responsibility for the regional park system and some related recreation

and conservation. The parks, recreation, and conservation system is

rather complex in Ontario; therefore it was necessary for the Regional

Council to distinguish which parks are regional in character. Also the

Province is divided into conservation authorities, RMN being part of the

Niagara Peninsula Conservation Authority. The Regional Government repre-

sents all area municipalities on the Authority.

Fiscal CaRabilities. The Regional Council has sole authority for

obtaining financing of capital expenditures for regional or local

purposes. It can therefore obtain financing at the least possible cost

and provides for a unified, long range capital works program in a rational

setting of priorities. In other words, the Regional Council has sole

authority over all capital expenditures done for either regional or local

purposes.

Control of Growth Pattern Functions

Planning. With regard to framework planning,the regional area is a

joint planning area with local area municipalities being subsidiary planning

areas. In regional planning the Regional Council exercises the duties and

374

responsibilities of a planning board. Thelocal area municipalities are

considered to be the planning board for their respective jurisdictions.

The Ministers' powers of approval under the Planning Text may be delegated

to the Regional Council. The Regional Council of Niagara is to submit

an Official Regional Plan to the Provincial Government before December

,31, 1973. Local plans must conform to the regional plan.

The Regional Council is responsible for developing and updating a

comprehensive land use and development plan for the region recognizing

that local planning boards cannot be.expected to create an integrated plan

that will provide the broad scope necessary for sound and continuous

planning at the regional level to resolve land use conflicts between

specialized agricultural, industrial, and residential land uses.

The American counterpart to this regional planning body is the Erie

and Niagara Counties Regional Planning Board (ENCRPB).

Water Treatment and Distribution. The supply and distribution of

water, including major mains, on a wholesale basis is the exclusive

responsibility of the Regional Council. The distribution of local mains

is left to the area municipalities.

Major Sanitary and Storm Trunk Sewers. The design, construction,

and maintenance of major sanitary and storm trunk sewers and drainage

outlets is the exclusive responsibility of the Regional Council.

Regional Roads. The Regional Council is responsible for the

construction, repair, and maintenance of arterial roads and highways,

including all former county and suburban roads, local area municipalities

are responsible for local roads.

375

Advantages of the RMN Regional System

The Regional Council of the RMN., therefore, not only has the power

to act on problems on a broader scale and with more financial and

administrative power than do local governments but also has the power to

control growth patterns. This power to control the pattern of growth

is very important. If a regional government has the power to direct

growth away from high priority problem areas, then it., in effect, has the

power to protect a large part of the physical environment.

The local area municipalities are left with control over some

functions; they are still responsible for providing such items as fire

protection, police protection, local streets, lighting, garbage collection,

local water distribution, local sewer distribution, and local parks. These

are services of a local nature which are most efficiently handled at

the local level.

The lower governments also have an outlet for grievances against

the Regional Council. They can appeal decis ions made by the Regional

Council to the Ontario Municipal Board which is at the Provincial level.

This appeal system prevents the Regional Council from becoming too

powerful.

The Regional Council is further checked in that its comprehensive

plans must conform to the provincial plans for the entire Southern

Ontario region. Much of what the regional government does must be

approved by such agencies as the Ontario Municipal Board, the Department

of Municipal Affairs, and the Ontario Water Resources Commission (now

within the Department of Environment), among others. Any plans that the

regional government develops can be voided by unfavorable comments by one

of these higher agencies as not meeting the overall goals of the province.

376

In essence, the regional government system, as applied in RMN,

provides for not more government, but less. True, an additional tier of
government has been added, but the number of jurisdictions has been

reduced significantly. Moreover, by entrusting those functions that affect

the environment most significantly to the regional government the chain

of responsibility has been greatly simplified. In governmental systems

where a multitude of agencies and governmental units interact, it is

often very difficult to distinguish who is responsible for what. By

regionalizing the most importa.nt functions this problem has been greatly

reduced in RMN.

Because the regional government actually has the combined powers of

all the twelve area municipalities, it has the capability to plan and

implement on a much broader, comprehensive scope, and with greater fiscal

authority.

Benefits are also derived from the provincial level in that now the

provincial agencies do not have to deal with 26 individual jurisdictions,

but with only one regional government. Likewise the tasks of the area

municipalities are simplified. No longer need they plan, finance, construct

and operate major facilities. They are thereby released to provide for

and be attentive to more specific community needs.

The formation of the RMN also enabled the region to reap benefits
in grants payable under the Regional Government Act. This increase in
benefits during the first year (1970) was estimated to be $1,300,758. 10

Formation of the RMN

The formation of the RMN was the fruit of seven years of study, public

debate and arduous effort. Subsequent to a preliminary study of the area,

locally initiated in 1963, the Ontario Minister of Municipal Affairs

announced a full scale local government review to be headed by Dr. Henry

377

B. Mayo. The initiation of this study was brought about by the work of a

local committee known as The Niagara Peninsula Municipal Committee on

Urban and Regional Research. The study covered Lincoln and Welland

Counties. It was conducted with full public involvement through
hearings and widespread coverage by the press, television, and radio. 11

The study was completed in 1966 at which time the Department of Municipal

Affairs requested all concerned to study the report and submit reactions

to the Department. After careful review of numerous briefs, a proposal

for a regional government was made by the Minister in January, 1969.

An intermunicipal committee was formed which worked out the details of

the new system with provincial officials. On October 6, 1969, municipal

elections were held and the new regional government went into operation
on January 1, 1970. 12

It appears that the formation of the regional government was both

well planned and well executed. The province actively encouraged citizens

and groups to become involved in the decision.as to what kind of local

government they should have. This dimension of democracy is a basic

tenet of Ontario's municipal reform program. Regional governments are

only proposed in areas where there appears to be a need and then only

following a good deal of study, analysis, and discussion. This type of

approach applied during the seven-year study period (1963-1970) and

probably was largely responsible for avoiding many of the conflicts and

obstacles that would have otherwise arisen. It is also important to note

that although the establishment of regional governments in Ontario is done

by the province, the need for some type of governmental reform was first

recognized by the local citizenry in RMN. In other words, local government

reform was clearly desired by the people.

378

The RMN is not without its problems, however. Included among them

are the problems related to the 14 jurisdictions that lost their identity

under the reorganization. There is also a major problem surfacing on the

distribution of tax revenues. The City of St. Catherines may decide to opt

out of the regional government based on a brief presented by the Mayor and
13
members of the city council to the Ontario Municipal Board. The main

feature of this dissent appears to be alleged inequities in the present

distribution of tax revenues.

Erie and Niagara Counties

The U.S. portion of the Niagara Frontier is composed of Erie and

Niagara Counties, New York. Erie County is composed of 3 cities (Buffalo,

Tonawanda and Lackawanna), 26 towns, and 15 villages. The town boundaries

are contiguous so that every portion of the county outside of the corporate

limits of a city is included in a town. This is not unique to the study

area but is representative of the entire State of New York.

In 1966, in addition to its cities, towns, and villages, Erie County

contained 30 school districts, 33 fire districts, 51 fire protection

districts, 315 street-lighting-districts, 110 sewer districts, 78 drainaqe

districts, 148 water districts, 9 refuse and garbage districts, 2 park

districts, 2 consolidated health districts, 4 county districts, 6 housing

authorities, and 4 urban renewal agencies.

Niagara County contains 3 cities (Niagara Falls, North Tonawanda

and Lockport), 12 towns, and 5 villages.

In 1966, in addition to the cities, towns, and villages mentioned

Niagara County contained 10 school districts, 2 fire districts, 12 fire

protection districts, 14 street lighting districts, 14 sewer districts,

6 drainage districts, 40 water districts, 9 refuse and garbage districts,

1 consolidated health district, 2 county districts, 4 housing authorities,
and 2 urban -renewal agencies. 14

379

In addition to the above, the two counties of Erie and Niagara contain

64 governmental units plus the two county legislative bodies.

It is readily apparent that the U.S. segment of,the Niagara Frontier

is governmentally more complex than the Canadian portion. Part of this is

due to the population difference which is roughly 4 to 1. With the RMN it

is relatively simple to find out who does what and who is responsible for

what. The situation on the American side is not so clear., The Erie and

Niagara Counties Regional Planning Board (ENCRPB) concluded its 1970

Initial Environmental Survey with the following three points:

1. One agency must assume overall responsibility (control

or review) for regional environmental action;

2. Emphasis must be placed on action rather than studies which

may or may not refute previous studies;

3. Needed immediately, and apparently not anywhere available,

is a documented structure of environmental management - who is

responsible for what and how do they exercise their authority
15
in the Erie-Niagara region.

The Planning Board based its conclusion on a survey of 19 agencies

with varying degrees of environmental responsibility in the region. That

multiplicity of government in both Erie and Niagara Counties has led to

certain inadequacies was brought out by the same survey. The following

obstacles to solving environmental problems were listed by the agencies

involved in the survey:

-Lack of implementation of studies;

-Lack of public concern;

-Lack of sufficient funds;

-Home rule impedes consolidation;

380

-Exorbitant sewerage and sewage treatment plant costs;

-Multiplicity of planning agencies;

-Lack of uniform penalties for water pollution;

-Apathy of taxpayers to bear the cost of pollution;

-Lack of regional cooperation;

-No citizen interest or representation;

-Lack of leadership

-Narrow-minded local leadership irresponsive to anything except

home rule;

-Lack of aggressive programs on environmental issues;

-Lack of innovative regional concepts, e.g., greenbelt and

multipurpose utilities;

-No intergovernmental agency coordination;

-Lack of municipal leadership;

-Inadequate municipal resources;

-No true regi.onal approach to problems;

-Home rule attitudes;

-Property tax differential;

-No decisions, only studies;

-Lack of political leadership.

The above indicates that there is a multiplicity of organizations

providing various services and that this multiplicity has also limited

the number of effective programs, resulted in duplication of services,

and resulted in a very evident state of confusion to the local citizen.

Whether or not the time is now ripe for some type of governmental

reform in Erie.and Niagara Counties may be a debatable matter, but a certain

amount of evidence exists that it is. The survey done by the ENCRPB and

381

the conclusions reported above certainly indicate that a better system

of environmental management is needed.

Speaking specifically on the Niagara River the ENCRPB states:

"There is little doubt over the need for a unified and compre-
hensive.management system for the restoration of the Niagara
River. Progress in this direction has been limited, however,
because many.governmental agencies share managerial and/
environmental control over the river and its shoreline."

The 1971 International Joint Commission report on the Niagara River

listed four main reasons why all of the municipalities and many of the

industries were considerably behind schedule in treating their waste

discharges. Development of comprehensive regional plans took approxi-

mately two years to complete and municipalities tended to proceed slowly

until the plan was formalized. The regional plan required in many

instances two or more governmental entities to develop a joint project.

Develop of necessary agreements was particularly time-consuming.

More pilot plant studies than anticipated had to be carried out.

Industries were unable to proceed with their plans until municipalities

had defined their needs in cases where joint wastewater treatment was
being considered. 17

The Erie and Niagara Counties Regional Planning Board

The ENCRPB was established in 1966 by a joint resolution of the

legislatures of the counties of Erie and Niagara. It is the only regional

entity on the U.S. side of the Niagara Frontier. In its early years, the

Board's main functions were certification of local applications for Federal

aid and satisfaction of federal regional planning requirements. Under the

Intergovernmental Cooperation Act, the Board was designated as the review

agency for applicants for Federal funding in Erie and Niagara Counties.

The Board was required to submit its plans, programs, and qualifications

382

for review by the Department of Housing and Urban Development in October

1970 for certification that the Board had fulfilled the requirements that

Congress had mandated to obtain HUD grant and loan monies. The Board

consequently was certified and this meant that there would be no interrup-

tion in the flow of HUD monies to local municipalities..

The initial work program of the Board included economic and

population projections, land use inventories, studies on public utilities,

parks, recreation areas, open space housing, regional growth patterns,

and recommendations on regional development goals and objectives. In

addition to the above tasks, the Board produces studies and plans in

the following areas: transportation, housing, the environment, project

review procedures for Federal grant programs and various feasibility

studies for the region.

One misconception about the Board is that it acts on applications

for Federal aid to local municipalities. This is not the case. The Board

does have the power to review, make comment and recommendations on

the application as to whether or not the project is consistent with the

regional criteria as mandated by Congress. Thus, the Planning Board does

have some indirect power over what the municipalities do within the region

since many of the local projects such as water and sewer, roads, and

recreation are undertaken with Federal assistance.

The Board is basically a planning organization. It does not have

the power to provide services and functions other than planning; it is not

authorized to levy or collect taxes; and it is not directly accountable to

the voters. The benefits of the ENCRPB are that it develops and promotes

programs on a comprehensive (regional) basis. It does not have the

authority, except through indirect means, to implement the programs

and plans it develops. -

383

In solving problems related to existing environmental pollution, the

Planning Board has little authority with which to act. It can survey and

report on the current problems, trace sources of pollution, and can recommend

courses of action. The Board can recommend that communities develop joint

facilities, and indirectly can compel them to do so. As far as solving

current problems is concerned, action is left, for better or worse, to the

state and local governments. The ENCRPB is relatively effective in develop-

ing comprehensive regional plans such as for water and sewer. However, any

type of regional system involves agreements between local municipalities

as to sharing of costs and other responsibilities. Local governments,

even though they may have a comprehensive plan to follow are still left

to obtain their own financing, consultants, etc. Faced with inadequate

resources, both in terms of personnel and finances, the local municipalities

are often incapable of carrying out these tasks.

The Case for Regional Government

A regional government encompassing Erie and Niagara Counties could

overcome many of the governmental inadequacies that have been mentioned.

In the fiscal area, because the regional government would have the power

to raise its own revenue, it could do its own planning, design, construction,

and operation. Agreements between municipalities would no longer have to be

negotiated since the entire region would now be sharing in the costs. This is

not unrealistic since the whole region shares in the benefits also. Likewise,

the negotiations of financial arrangements could be handled more efficiently

by a regional government, not to mention the lower interest rates that would

be obtainable therewith. In the matter of hiring consultants in the design

of municipal facilities, a regional government, having more professional

staff, would be in a position to choose more intelligently from a wider

range of consultants. Likewise, higher qualified consultants would be

attracted by the larger volume of work available.

384

Another area in which.a regional government could operate more

efficiently is in the area of obtaining Federal grants-in-aid. A statement

from the National League of Cities and U.S. Conference of Mayors indicates

that it has become as expensive to put together an application for a
18
$10,000 grant as a $1 million grant.. If a reg.ional government were allowed

to apply for block grants on a regional basis, the possible savings are

obvious.

In solving problems related to controlling development and enhancing

the quality of the environment the Planning Board is only partially

effective. Again, it has only a limited amount of control and then only

over projects that involve Federal funds. While this control is an

incentive for the majority of municipal projects to conform to regional

plans, it does not cover all the projects that affect the environment.

The Board has little or no direct control over private development. A

regional government, if granted land use control authority, would have the

capability of controlling development in areas that are either high priority

protection areas or where high priority problems exist. The ENCRPB through

its Initial Environment Study has already defined these areas and has
recommended that development be. discouraged in them. 19 Actual implementation

of the regional land use plan is largely left up to local enforcement of

zoning ordinances.

Another important defect with the ENCRPB is in dealing with matters

of an interregional nature-. It is limited in that it cannot serve as

spokesman for the jurisdictions within the region. A regional government,

on the other hand, would be empowered to do so and therefore could work on

joint programs with counterpart organizations in other regions. The obvious

385

case in point here is the possibility of intraregional collaboration with

the Regional Municipality of Niagara (RMN).

Lastly, the formation-of a Regional Planning Board does little to

solve the maze of jurisdictions confronting the citizen. It does little to

clear up the jungle of governments that a citizen is taxed to support and

over which he is presumed to exercise control. A regional government

could possibly eliminate eighty percent of the local jurisdictions that

confront the voter, making the government more visible and more responsive

to the electorate.

The provincial government appears to be the prime mover behind govern-

mental reform in Ontario, although in certain instances, as in RMN, the

impetus for reform was first generated locally. However, the fact remains

that the provincial government has reasserted its right over control of

local government. The cities and municipalities in Erie and Niagara

Coun.ties are similar legally to those in RMN in that they exist at the will

of the state just as those in RMN exist at the will of the province. The

State of New York has not, however, exercised its powers over municipalities

to the extent that Ontario has. Political forces which surface so clearly

in the New York State legislature, are such that the state may never be able

to reassert its constitutional authority at the local level.

There are ways, nevertheless, that the State of New York could provide

incentives and impetus for governmental reform. The first step to be taken

would.be to authorize and possibly fund a local government review much the

same as was done in RMN prior to its creation. Before local residents

can be convinced of the need for reorganization it is necessary that a

careful and thorough study be made as to what the local government

capabilities are, what problems face the region, and what the benefits of

386

reform would be. Also included in this study would be alternatives that

reform could take, preferably along the lines of the two-tier approach

adopted by the RMN. This local government review, funded by the state,

could be aided,to a large extent, by the staff of the ENCRPB.

Federal and state incentives in general have a very significant role

to p-lay in prompting governmental reform. In part, the reason why the

formation of the ENCRPB encountered.little opposition was because some type

of regional body like ENCRPB had to be formed so that local municipalities

could continue to receive their.share of Federal funds. Local governments,

therefore, could hardly oppose such a move. It is to the credit of the two

county legislatures that a two-county regional planning board was formed,

instead of implementing regional planning on a strictly county-by-county

basis.

It appears then that there are two opposing forces operating in Erie

and Niagara Counties. One force that is dissatisfied with the problems of

the area and the lack of governmental action on them. This group would be

the easiest to convince that reorganization would have significant advantages

over the current system.

The second force, the home-rule group, would tend to oppose reorganiza-

tion based on the threat to the security of local officials and the visibility

of their respective communities. This group will be the most vocal in

opposition to reorganization. This group would particularly have to be

shown that,under the two-tier reorganization approach, the community would

not lose all its identity; that area-wide functions taken over by the upper

tier would reduce many of the burdens on the lower tier and allow them to

be more responsive to local needs; that consolidation of the-special

districts would make government more responsive and visible to local

citizens; that there would be savings in their personnel and financial

387

resources if a regional government could apply for Federal grants on a

regional basis; and that a performance of certain functions on a regional

scale would lead to economies of scale.

The Federal grant procedure requires comment. In the Congressional

hearings on Grant Consolidation and Intergovernmental Cooperation a main

argument for grant consolidation was that local municipalities, after
devoting most of their resources to competition for funds, neglected
some of the local needs of the local citizens. 20 Centralizing the grant

application procedure into a regional government has obvious advantages in

this situation.

Some of the conflicts may be avoided or at least lessened if, in a

reorganization attempt, the following points are considered:

1. Initiation of a state-funded local government review in

Er,ie and Niagara Counties listing among other things:

the municipal. services and functions in the region; present

trends and the pressures on local government; review of

what local people consider to be the problems of the

region; local government units in the region; alternative

forms of government including the status quo; and

recommendations for reform.

2. Initiation of Federal and state support for reorganization,

without which any reorganization attempt is likely to

fail, including financial incentives for regional

governments.

3. A straightforward, easy-to-read document, including an

economic analysis, of the advantages of forming a

regional type government in Erie and Niagara Counties.

388

4. Full public representation and participation through

the media and through public hearings at all stages of the

reorganization attempt starting with the local govern-

ment review and continuing through the implementation

of the governmental reform.

International Cooperation on the Niagara Frontier

It is our view that the establishment of a multipurpose regional

government for Erie and Niagara Counties is a prerequisite for any kind

of effective cooperation on the international Niagara Frontier. There is

no way the present regional government on the Ontario side (RMN) could

relate in any adequate way to the existing 64 local jurisdictions on the

New York side. The RMN could cooperate to some degree with the ENCRPB

but the latter does not speak for the governments within its area. There

is a real and present need for a counterpart organization on the U.S. side.

In addition to improved provision of services and the more rational

use of land, air and water resources at the domestic level, the introduc-

tion of a regional government on the U.S. side would add an entirely new

dimension at the international level. The existence of regional govern-

ments on both sides would ameliorate Many of the problems of the common

pool resource, problems that would normally arise when, as now, a large

number of users retain independent rights to the use of the resources and

when, as now, voluntary agreement or willing consent of every user is

required in joint action involving the community of users. In addition

to cutting down drastically on the present total randomness of the local

government apparatus on the U.S. side, the formation of two coequal

regional government entities, one on each.bank of the Niagara River, would

make possible for the.first time meaningful cooperation across the

international boundary.

389

The forms of cooperation envisioned include the following:

Information Exchange

Joint Planning

Joint Public Hearings

Joint Recommendations

Information Exchange. Actual joint studies could be carried out on

shared resources such as the Niagara River, Lake Ontario at the land/water

interface and offshore, and air pollution. While each side would continue

to carry out studies primarily of interest to it alone, the other side

should have the opportunity to participate in observer status or at least

be informed of significant findings. The idea is to make possible

opportunities for comparison of techniques and results as well as to

standardize reporting in order to facilitate comparison. Information

exchange could take place on an informal basis without imposing additional

burdens on existing agencies of either party.

Joint Planning. Planning agencies of both countries must recognize

that their plans are not only of concern to the citizens within their own

boundaries but of concern also to those citizens across the river. There

should be established a close working relationship between the agencies

assigned planning responsibilities on both sides. It is assumed that there

would be one primary planning body oneach side. These planning bodies

could play a key role in the coordination of federal, state/provincial

planning efforts affecting the Niagara Frontier. These planning bodies

could also, under the policy guidance of their respective regional

governments, serve as official sources of regional planning input to the

proposed Great Lakes Operations Office through the Lake Basin Office

390

established under Phase II (see Chapter IV). The two planning bodies

could also recommend and,if approved,set up both short range (5 years)

and long range schedules of priority for the NF and set the basis for the

joint collection and analysis of basic data relating to these priorities.

Joint Public Hearings. It would seem essential to provide the

maximum opportunities for the exchange of ideas and opinions, not only of

politicians, experts, and administrators, but also from the general

public. Both regional governments should give serious consideration to an

agreement providing for the advertisement of public hearings on both sides

of the border and the opportunity for citizens of both sides to participate

and submit material for the record.

Joint Recommendations. Because regional (local) governments are
more knowledgeabl"e about the problems and needs of their areas, they are

in the best position to make recommendations to their respective state,

provincial, or federal agencies. Again, however, there are benefits of

preparing joint recommendations on common problems and needs. This may

result in making governments on both sides aware of the common problems

and needs of the Niagara Frontier. Joint recommendations, endorsed by

both regional governments, would tend to promote the international impor-

tance of the regional priorities.

Interface with the New Organization

Any further move toward unification of U.S. and Canadian political

units on the NF beyond those already outlined should be developed within

the framework of the International Joint Commission and the Great Lakes

Operations Office apparatus. The new bilateral organization would be

represented beginning with Phase II by the Lake Basin Office for Lake

391

Ontario. It is plausible that the new treaty establishing the new organi-

zation would contain provisions authorizing or at least encouraging the

creation of a combined body that could speak for an entire frontier region.

In other words, in the case of the NF, there would be a single binational.

entity representing both the RMN and its New York counterpart government

which would-be, in effect, the primary advocate for the NF before the

proposed new binational organization for the Great Lakes. Perhaps this

is an unnecessary re finement. It may create more problems, than it would

solve. If the Lake Basin Office idea is implemented with care and

intelligence, it would seem that.a competently run office could easily

accomplish its mission by dealing with two regional government, one on each

side of the river. The essential point to keep in mind is that no such

office, no matter how excellent its leadership, could deal with one regional

government on one side and 64 jurisdictions on the other. In our judgment,

the three-sided arrangement (Lake Basin Office, two regional governments)

is the superior choice. One major advantage is that it completely eliminates

the unnecessary and delicate problem of deciding on the composition of

and the membership of the group that would represent the two regional

governments of the NF. A Lake Basin Office representing the overall Great

Lakes view and two regional governments, each representing a national

interest on a single frontier, appear to offer excellent possibilities for

the realization of our objectives. The Lake Basin Office and the two,

regional governments would complement and reinforce each other. The greater

financial resources and research capabilities of the former can be brought

to bear only with public understanding and support engendered by the efforts

of the regional governments. In turn, the two regional governments ensure

392

that the resources and programs of the Great Lakes organization are

applied with the interests of all of the people of the Niagara Frontier

in mind.

Appli ation to Other Frontier.Areas

This chapter began with a brief description of the three frontier

areas of the Great Lakes and perhaps it is only.fitting to conclude with

them. It was pointed out that the frontiers have much in common, share

common pool resources, have similar problems and all share the distinction

of being the only connecting links between the United States and Canada

along the entire length of the international Great Lakes. On two of these

frontiers, Niagara and Detroit-Windsor, the environmental problems have

become real and visible to citizens on both sides.

The Detroit-Windsor and Niagara Frontiers are similar as to urban

concentrations and international problems and interests; the Saulte Ste.

Marie Frontier is far less populated and less prominent. The Detroit-

Windsor and Niagara Frontiers are indeed very much alike@ although the

environmental problems in the former are more severe. In fact, the

Detroit River is the most severely polluted water body in the Great Lakes

system and the condition of that river is a major factor in the accelerated

eutrophication of Lake Erie. Air pollution in the frontier, like the

Niagara, is among the most severe in each nation. Land development

conflicts and land pollution are common in an international metropolitan

area that currently contains in excess of 7 million persons.

We suggest that the approach to regional government outlined in this

chapter for the NF has a high degree of transferability to the Detroit-

Windsor Frontier. The ultimate success of the proposed Great Lakes

organization concept will turn on the effectiveness of the interaction

393

that takes place at the lake basin level and particularly at the two

principal international frontiers. The required in teraction at the fron-

tier level cannot take place under the circumstances as they now exist.

The sine qua non is the substantial elimination of the highly fragmented

local government structure found in both countries but more extensively

so in the United States.

394

REFERENCES AND FOOTNOTES CHAPTER XI

Ontario Department of Treasury and Economics, Economic Analysis Branch,
Ontario Population Projections for Counties and Districts, 1966-2001,
Toronto, Ontario, 1970.
2Canadian Urban Economics Limited, Economic Base Research and Analysis,
Report No. 5 (St. Catherines, Ontario, Regional Municipality of Niagara
Official Plan Studies, December, 1971) pp. 3-15.
3
International Joint Commission, Lake Erie-Ontario Advisory Board, The
Niagara River - Pollution Abatement Progress, August 1971, p. 3.
4Ontario Department of Treasury and Economics, op. cit., note 1.
51d.
6New York State Office of Planning Services, Demographic Projections for
New York State Counties to 2020 A.D., Albany, New YorK, August MY, P.
7
Erie and Niagara Counties Regional Planning Board, "Regional Land Use"
ENCRPB Newsletter. Vol. 1, No. 2, (December 1969).
8New York State Office For Regional Development, Change/Challenge/Response,
Albany, New York, 1964.
9Honourable W. Darcy McKeough, "The Regional Municipality of Lincoln and
IWelland," Address given at the Town of Niagara, January 23, 1969, p. 18.
10
The Regional Municipality of Niagara, Illustration of the Increase In
Grants Payable Under the Regional Government Act Over the Municipal
Unconditional Grant In The Area Municipalities In The Region Of Niagara,
St. Catherines, Ontario, April 1970, p. 4.
11 Ontario Economic Council, Government Reform in Ontario, Toronto, Ontario,
February, 1969, p. 4.
12W.H. Palmer, The Progress of the Regional Government Program in Ontario,
Toronto, Ontario, October, 1970, p. 5.
13
Brief of The City of St. Catherines On Regional Niagara Implementation
presented by the Mayor and Members of the Council of the City of St.
Catherines to the Ontario Municipal Board, March 22, 1971.
14 New York State Division of the Budget, Office of.Statistical Coordination,
New York State Statistical Yearbook, 1971, Albany, New York, 1971, p. 178.
15Erie and Niagara Counties Regional Planning Board, Initial Environmental
Study, Grand Island, N.Y., June 1970, p. 70.
16Erie and Niagara Counties Regional Planning Board, "International Design
Study, "ENCRPB Newsletter," Vol. III, No. 5 & 6, (November-December, 1971).

395

17 International Joint Commission, Lake Erie-Lake Ontario Advisory Board,
The Niagara River-Pollution Abatement Progress-1971, (August, 1971), p.
25.
18 U.S. Congress, Committee on Government Operations, House of Representa-
tives, Hearings On Grant Consolidation and Intergovernmental Cooperation,
Ninety-First Congress, (Washington, D.C., U.S. Government Printing Office,
1969), p. 178.
19 New York State Division of the Budget, op. cit., note 14.

20
Hearings on Grant Consolidation and Intergovernmental Cooperation,
cit., note 18.

JJ0

CHAPTER XII

POPULATION DISTRIBUTION*

Introduction

In the preceding chapters we have dealt mainly with the use and abuse

of the natural resources of an international region. We have tried to show

how the inadequacies of present institutional arrangements prevent effective

management of these resources. In the context of the Great Lakes region,

an "institutional lag" seems to be the heart of the problem. While it is

indeed a most serious problem inasmuch as it stymies cooperative efforts

in the Great Lakes region, in the broader view, the institutional problem

is a dependent variable of a more basic problem of society and that is

population growth and distribution. In the way of.a definition, population

distributions refers to the apparent random fashion in which people either

concentrate-or fail to concentrate across the national map. The shift of

population from rural areas to urban centers is a demographic phenomenon that

has been going on since the industrial revolution. In the United States,

that migratory pattern was given added impetus after the Civil War when

black people in large numbers began to move to northern.states. While

the shift from rural to urban centers has continued to the present, in

more recent years there has been superimposed over it a tendency of

people living in the northeast and interi or states to migrate to the

west coast and to the southern Gulf states. The effect is as if there

were a kind of centrifugal force operating in such a way as to concentrate

people in significant numbers on the edges of the national boundaries.

The consequences of this trend in the long term for the nation's

*This chapter is based on a paper by Lawrence W. Saunders entitled,
Toward a National Population Redistribution Policy: Some Policy
Issues, 1973.

397

coastal zone, which includes the Great Lakes, are obvious. By the year

2000, three of the Great Lakes will be nearly enveloped by a vast

megalopolis stretching from Chicago to Montreal. Fifty years after that

it can be anticipated that the U.S. shores of Lake Superior and Lake

Huron will be included within that conurbation. The implications of

this for the natural resources of the region are important. The challenges

to,any bilateral organization assigned the task of preventing complete

chaos would be incessant and of ever-growing complexity.

The question is asked, must we stand by helplessly while these great

agglomerations of people actually materialize? What is our record on

devising and implementing public policies to achieve a more balanced and

thus less environmentally threatening distribution of people? This

chapter is devoted to a discussion of these issues. It is, to be su re,

a very complex topic which is closely linked to the political, economic
and social values of the nation. The treatment here is not complete a@d

is intended merely.to describe the problem, the efforts undertaken so far

to manage the problem and, finally, some options that may be open to us

in the years ahead in modulating population distribution.

Population Growth and Distribution
GROWTH1

In its relatively brief history, the United States had undergone an

authentic demographic revolution. From independence up until 1900 the
nation's population grew from about I million to about 76 million. 2 In
the ensuing 70 years, it has grown to about 205 million, 3 an increase of

129 million persons.

398

FIGM

Demographic Perspective of 20th Century United States

Around 1900 Around 1970

Population 76 million 205 million

Life expectancy 47 years 70 years

Median age 23 years 28 years

Births per 1000
population 32 18

Deaths per 1000
population 17 9

Immigrants per 1000
population 8 2

Annual growth 13/4million 21/4million

Growth rate 2.3 percent 1.1 percent

Source: The Comission on Population Growth
and the American Future., Population Growth
and the American Future

399

FIGM 9

BIRTK, DEATH., MARRIAGE@ AM DIVORCE RATES
1920-1970

'"hATE PER 1000 POPULATION,@
Ttftk M"POPU TION
30

Birtl )rrected for
25 underregistration, 192 .0-1959 25

20- Birth rates 2D

15- Marriage rates 15

10. 10
Death rates

5
Divorce rates 5

-J0
1920 1925 1930 1935 1940 1945 1950 1955 1960 1965 1970

Source: U.S. Bureau of the Cenmw,, Statistical Abstract
of the United States 1971. (92d edition.3 Washington, U.C.,
1971, Pig. IV, p. 47.
d
@j
19700

409

FIGURE 10

TOTAL FERTILITY RATE

CHILDREN PER WOMAN

0
1800 '10 '20 '30 '40 '50 '60 '70 '80 '90 1900 '10 '20 '30 '40 '50 6o 1970

Prior to 1917 data available only for white population; after 1917. for total population.

Annual births expressed In terms of implied completed family size, declined until the 1930's, rose, and fell again.

Source: The Commission on Population Growth and the American Future,
cit., p.Galley 1-5.

401

FIGM

U.S. POPU LATION GROWTH-PASf AND PROJECTED

Populotion in millions
450 Series
B
400-- ISeries
C

350- Series
D

Series
300 F E

250--

PROJECTION ASSUMPTIONS:
i200 Mean age at [email protected]
Mean completed fertility:
Series 8: 3.1 children per woman
Series C: 2.8 children per wornon
Series D: 2.4 children per woman
150 Series E: 2.1 children per woman
/000
50- 00,

0
17901800 1820 1840 1860 1880 1900 1920 1940 1960 1980 2000 2020

Source: U.S. Department of Commerce, Bureau of the Census. "Projections of the Population of the United
States. by Age and Sex: 1970 to 2020," Currenr Population Reports, SLries P-25, No. 470 (Washington, D. C.:
U.S. Government Printing Office. 197t).

Bulle
S
ource: The Population tin, op-cit., p. 3.

4uz

This growth is the result of significant changes in all three components

of population growth, namely; fertility, mortality and migration (see

Figure 8).

The first factor, fertility, or birthrate is a simple measure that

indicates the average level of yearly births in the nation. There are,

of course, more sophisticated measures by age groups, marital status, race,

etc., but the measures used here are simply intended to give a broad

perspective to population growth.

In 1910 the birth rate in the United States was 30 births per thousand
population4 and steadily declined through the depression years t o about

18 births per 1000. This trend was reversed after World War II when birth-

rates in the late forties and fifties increased sharply to a maximum of

27 births per 1000 population. In recent years the birth rate has again

declined to about 18 births per 1000 population (see Figure 9).

The significance of the postwar increase is not over. It is like a

compression wave of humanity that will push through all stages of the life

cycle creating tremendous problems in its path such as primary, secondary

and college education, jobs, housing, and retirement and then a void

when they are gone.

The second determinative factor of the rate of growth in a nation is

the death rage. The U.S. death rate has declined from about 17 per 1000

population in 1900 to 9 per 1000 in 1970; and the average life expectancy

has increased by 23 years (47 to 70 years).

The change in mortality rates is attributed mainly to the reduction

of infant mortality and these rates are presently so low for a large

segment of the population that any future increases in the life expectancy

of man will have to come by reducing the incidence of death from major

diseases.

403

The third component of national growth is migration or in this case

immigration. According to the Report of the Commission on Population

Growth and the American Future (hereafter referred to as the 'Commission'),

"Approximately 40 percent of the population growth in the first decade of
this century was attributable to immigration."5 There is little need to

dwell on the obvious impact of this 40 percent over the last 60 or so years

in terms of population growth. During the depression of the 1930's, however,

more people left the United States than immigrated to it, but since World

War II and during the,1960's immigration has accounted for about 16 percent
of national growth.6

The net effect of the birth rate minus mortality rate plus immigration

has been that the population growth rate for the nation has generally

declined from 2.1 percent in the early 1900's to 0.7 percent in the 1930's
to 1.9 percent in the 1950's to the present level of 1.1 percent.7 Even

though the rate of growth is now relatively low, the 205 million population

base will add about 2.25 million people per year. During the next 30

years this means an increase in population of at least 70 million persons,
8
but more likely 100 million persons. What is more significant is the fact

that even if the fertility rate was at the replacement level, that is 2.1
children per family, 9 the population would still increase by about 70

million as a result of the reaching of maturity of children born during the
baby boom (see Figures 10MI).

However, given the child-producing potential of the postwar babies,

one would expect the rate of births to rise and, in fact, they did from

1968 to 1970 from 17.5 to 18.2 per thousand. But in 1971 something happened,

the birth rate dropped to 17.3 per thousand, contrary to the expectations
of most experts.10 What caused the.decline? Basically there are two

404

factors, the first relates to young couples delaying having a family in

order to complete their education or to achieve financial security prior to

beginning a family. This is evidenced somewhat by the rise in the average

age of child bearing. The second factor, which is significant, is that

younger couples expect to have smaller families. A study by the Bureau of

Census used by the Commission of women 18 to 24, indicates that women in

this age group expect to have an average of 2.4 children before they
'complete their families. 11

POPULATION DISTRIBUTION - URBAN

During the last 70 years we have witnessed the evolution of the U.S.
economy from agrarian to manufacturing to a service orientation.. In this

process the nation has been transformed into an urban society. According

to the Bureau of the Census almost 70 percent of the 1970 population was

classified as metropolitan and by the year 2000 this proportion is expected
to rise to 85 percent. 12 This metropolitanization is the result of sub-

stantial increases in productivity in the agricultural sector and the

dominance of commercial, professional and industrial activities that thrive

where people, equipment, money and skills are concentrated.

According to the Report of the Commission on Population Growth and

the American Future, metropolitanization consists of concentration at the

national level and dispersion at the local level.

On the national level, population is concentrating in three large

metropolitan belts; Boston to Richmond, Chicago to Pittsburg and San

Francisco to San Diego. These three belts contain over 50 percent of the

nation's population with an overwhelming proportion of the most technolog-
ically advanced, prosperous, and creative elements of society. 13

405

On the local level, there is the diffusion of people from the central

cities to the surrounding suburban areas. This suburbanization has resulted

in a continuous decline in the total population densities of major urban

centers since 1920. A study by demographer Pickard (1967) showed that

metropolitan areas of 1.00,000 population or more had densities in 1920, 1940

and 1960 of 6580, 5870 and 4230 persons per square mile, respectively. These

densities are expected to decline further to 3840 and 3732 persons per
square mile in 1980 and 2000, respectively. 14

With almost 70 percent of the population concentrated in metropolitan

areas, it is only natural to expect that a substantial portion of the nation's

future growth will be in these areas. Adding further to the national

concentration of people is the natural increase in population which is

now the dominant source of metropolitan growth since the large migrations

to metropolitan areas have already taken place.

Migration is basically both a response to and a physical manifestation

of changing personal preferences, circumstances and opportunities. It has

generally meant bettering oneself socially and economically. But population

movements produce social, economic and political realignment for the nation

as well as personal adjustments. According to the Commission, "migration

helps achieve a balance between social and economic activities on one hand,
and population numbers on the other." 15 This balance, so to speak, is

brought about by three types of movement.. The first, is a movement from

economically depressed regions, often rural, to areas of expanding employment

opportunities and higher wages, usually metropolitan; second, the movement

of people within metropolitan areas, for example, the movement of the

population from the central cities to the suburbs; and third, the migratory

flow between metropolitan areas by which individuals participate in a

national job market moving to areas offering economic and sometimes

environmental advantages.

406

About one in five persons change homes each year and one in 13 moves
over county lines; 16 this means that about.40 million people move each year

among which 13 million move across county lines.

.The urbanization of America has brought with it tremendous social

and environmental costs. This country owes its overall prosperity to

the metropolitan areas. The job opportunities, the capital structure,

the social structure, the money, the markets and the skills of the population

have all contributed to our general well-being. However, the distribution

of this prosperity among members of the metropolitan society has been

far from equitable.

The plight of our central cities is obvious. Like many of our rural

areas, our central cities are losing population. The growth cited earlier

is occurring in suburban portions of metropolitan areas and future national

growth is virtually synonymous with suburban growth. The white middle

income class of the population continues to leave the central city areas.

With this migration they are drawing industrial and commercial development

from the central cities, thus aggravating the problem even further. Fifteen

of the 21 central cities with a 1960 population of over 500,000 or more
had lost population by 1970. 17

Suburbanization has further segregated the white population from the

black and other minority groups (see Figure 12). This residential

segretation is due partly to these minorities being unable to afford

the cost of housing in suburban America, and partly to outright discriminatory

practices by realtor organizations and home mortgage lenders. With the

movement of industry to these suburbs, job opportunities for the population

left behind in the central cities decline.

407

FIGURE 12

POPUIATION CHA.NGES IN METROPOLIT&N AREAS, BY RACE: 1950-
196o and 196o-1970

MILLIONS OF PERSONS MILLIONS OF PERSONS
.25

20 - - 20

15 - WHITE - 15
NEGRO

10 -

-5

0 0
-1960 1960-1970 1950-1960 1960-1970 1950-1960 1960-1970

-5

Metropolitan Areas, Total Central Cities Outside Central Cities

Source: U.S. Bureau of the Census., 2k.cit., Figure III, p.4.

408

The result is a concentration of the black population and other

minorities in central city areas, entrenching the already established

pattern of racial separation. In 1970, only 41 percent of the white pop-

ulation classified as metropolitan lived in central cities while 78 percent
18
of the black population lived in central cities. In 1970, six of the

21 central cities had a population that was over 50 percent black and
this number is expected to increase in the next decade. 19

Central city governments are faced with a declining tax base and

the ever increasing burden of welfare, health and other assistance to

a community of tax users as opposed to taxpayers.

Presently about 12 percent of our population live in poverty

conditions. This represents 24 million people. (see Table 12) Over

6 million are employed but cannot earn enough to me et the minimum

income standard. Over 3 million of the poor (age 14-64) cannot work

because of school, sickness, disability. Another 5 million are over

the age 65 and over 8 million are children and about 2 million are female

heads of families who cannot or do not take a job because of family
responsibility.20 Average incomes of the poor have improved as have

those of higher income groups, but inflation has reduced the real

incomes of both. The result is simply that the distribution of personal
income has remained relatively constant over the past 25 years. 21

The prospects for the future do not appear to be better. The

postwar babies previously menti oned are now entering the job market.

Job competition will become stiffer and more and more marginal employees

will be released to make way for more productive persons. Unless

appropriate measures are taken-, unemployment could rise substantially.

409

About 35 million new j Iobs will be needed in the 708s, 22 about 7 million

more than the 60's. With the current trend in declining fertility, the

pressure for jobs wi.11 be eased somewhat in the 80's, however, what

happens in the 70's in terms of fertility will greatly influence what

happens to the labor market in the 90's and beyond.

Despite the so called social infrastructure of metropolitan areas,

many individuals are dissatisfied with the urban life style. This dis-

content manifests itself in the urban population seeking the space and

security found in non-urban areas. Suburbia offers a convenient compro-

mise between city life and rural life, permitting some to have the best

of two worlds.

POPULATION DISTRIBUTION - RURAL

In 1900 rural population in the United States was 46 million or 60

percent of the United States population. In 1970, rural population was

54 million while the national population had increased nearly 300

percent and in 1970 rural population was only 26 percent of the total

population. The farm sector of the rural population has declined from
about 40 million in 1900 to about 10 million in 1970.23

During this period, out migration of the farm population averaged

about 2 percent per year. Although the rate has remained high, the

actual number of out migrants has declined from about 1 million per year

in the fifties to about 600,000 per year during the sixties (see

Figure 13) This is due primarily to a constantly decreasing farm

TABLE 12

Persons by Poverty Status, by Type of Residence, 1969

Persons by poverty status, by type of residence, 1969
lNumber of persons in thousands]

All races White Negro

Below poverty level Below poverty lewl Below poverty level

Percent Percent Percent C:)
Regidence type Total Number of total Total Number of total Total Number of Low

United States ------------------- 199,849 24,289 12.2 175,231 16,668 9.5 22,349 7,214 32. 3
Metropolitan --------------- 130,017 12,320 9.5 112,440 8,200 7. 3 15,824 3,855 24.4
Central city ------------ 57,781 7,760 13.4 44,392 4,527 10.2 12,439 3,069 24. 7
Metro ring ------------- 72,236 4,560 6.3 68,049 3,674 5.4 3,384 786 23. 2
Nonmetropolitan ------------ 69,831 11,969 17.1 62,791 8,468 13.5 6,525 3,359 .51.5

Source: Bureau of the Canstis, Current Population Reports, "Consumer income," P-W, No. 76, table 3.

Source: U.S. Department of Agriculture, Part 1, 2k-cit-, P- 19-

411

population base. Because fewer people are involved, the impact on

both rural and metropolitan areas has lessened. With fewer than

-he prospect for further
10 million people left in the farm sector, t

large scale migration from farms is greatly diminished.

The characteristics and composition of these migrants from the

farm sector and total rural area can be generally categorized into two

groups.

Early in this century the migration was almost totally composed

of the white population. These migrants were sons and daughters of

early immigrants who had settled on farms or in rural areas, such as

people from Appalachia, the Ozarks and other economically depressed

rural areas. In recent years, the migrants have been predominantly

the rural black population. This movement was from the rural south

to the metropolitan north, east and west. From the foregoing discussion

one might get the impression that our migration problem is behind us,

however, a look at 1970 census data indicates that almost half of

the nation's counties lost population during the preceding decade.

A majority of these counties are the rural areas of the nation and

cities of less than 50,000 population. While the migration from

farm areas represents a far less significant problem than in previous

years, the rural population, which is about 30 percent of the total

population, still poses a threat of large-scale migration to the urban

centers. If, for example, we could somehow re-populate rural

communities to their historical maximum, these areas would absorb

only 10 percent of the population growth projected for the nation in

the next 30 years.

412

FIGURE 13

.............
AVERAGE ANNUAL NET OUTMIGRATION*
FROM THE FARM POPULATION

1,602
THOUSANDS

1,115

-910
794
666 708 677
593 582

1920-25 '30-35 '40-45 '50-55 '60- 65
'25-30 '35-40 '45-50 '55-60 '65-69

*NET CHANGE THROUGH MIGRATION AND RECLASSIFICATION OF RESIDENCE FROM FARM TO NONFARM-

U. S. DEPARTMENT OF AGRICULTURE NEG. ERS 2089- 70(2) ECONOMIC RESEARCH SERVICE

Source: U.S. Department of Agriculture, Part 1, op.cit., p. 7.

413

It was just stated that over 50 percent of the nation's rural counties

declined in population in the last decennial census. This decline is the

net effect of both out-migration and the natural increase in population

(from a declining base). The continuing technological revolution in

agriculture has displaced millions of workers without providing them with

alternative employment opportunities to remain in the rural areas. The

movement of this population (primarily blacks since 1940), coupled with

the natural increases, has created serious problems for both rural and

urban America.

Generally, rural areas suffer from inadequate health, education and

manpower training programs, insufficient job opportunities and low quality

housing. The young and ambitious have moved out of these areas reducing

the human resource base of rural areas. With reduced manpower and tax

bases, rural communities and smaller cities find it increasingly

difficult to provide the remaining population with an adequate community

infrastructure.

Existing Federal Policies and Programs

Throughout the history of the United States, the Federal Government

has had a substantial influence on population growth and distribution.

This influence included policies on virtually unlimited immigration into

the country and the settlement of the west in order to confirm the

nation's title to an empty continent. The Federal Government provided

land grants and other subsidies for the development of roads, railroads

and navigation that opened public lands to settlement. At the turn of

the century, the government pursued policies of reclamation, navigation,

414

electric power projects and rural development programs. In recent years,

we have had TVA and the ARA and the Economic Development Act of 1965.

All of these policies are explicitly involved with the growth, distribution,

and the economic and social well-being of the population. Perhaps

even more important have been the implicit policies of the Federal

Government that were not expressly directed toward affecting population

growth and distribution.

HOUSING AND URBAN DEVELOPMENT

Aside from the deliberate policies mentioned above, no express policy

that directly affected population growth and distribution was promulgated

until-the early 1960's. However, during the 1930's, there began to grow

an awareness of some problems in urban America. The New Deal legislation

of the 30's was concerned directly or indirectly with ways to provide

jobs and solve the economic problems of the nation. There were, however,

two pieces of legislation that were destined to have a significant impact

on the future of urban America. In 1932, the Federal Government

established the Home Loan Bank System, (HLBS) which was modeled after

the Federal Reserve System and would act to control savings and loan

associations. In 1934, the Federal Government set up the Federal Housing

Administration (FHA) an agency that would insure loans on homes to savings

and loan associations, commercial banks, and insurance companies. The

two agencies in some ways were competitive, primarily in both of their

relationships with savings and loan associations and as the representatives

415

of different financial institutions competing for home loan business.

The program@, as established, favored the.middle class family and provided
it with the means to purchase a single family dwelling. 24 Thus, sub-

urbanization began but the full impact of this course would not be

recognized for many years. Minor efforts were made to develop low

cost housing for the poor but the programs were ineffective both in

scope and in results. It was in this period that the nation failed to

learn how to build low cost housing for the poor. The situation has not

seen much improvement, notwithstanding the passage of forty years.

In 1935, the National Resources Planning Board (NRPB) began issuing

a series of reports on the condition of urban America. These reports,

Regional Factors in National Planning (1935), Our Cities (1937), and

Urban Planningand Land Policies (1939), were concerned with identifying

national trends and did not reveal any significant changes in urban

development that warranted any policy or program changes.

World War II.precluded any Federal legislation designed to meet the

nation's needs in the way of construction of new housing, the rehabilitation

of existing housing or the improvement of mortgage credit for either.

No significant action was taken by the Congress until the 1949 Housing
Act was passed.25 The Act, although a step in the right direction, was not as

comprehensive as some would have liked. There was considerable public

interest in housing because of the postwar shortage, but there was also

considerable political opposition to public low-income type housing and

urban and rural redevelopment proposals. Compromises were worked out

and the Act contained some modest measures for public housing and urban

renewal. The Act was really quite limited in scope dnd purpose. For

example, it ignored employment, education, transportation, and welfare

considerations with the result being that the middle income class reaped

the benefits. In the two decades that followed, the nation experienced

the mass exodus from central cities to suburbia. Low down payments, and

low interest rates made it relatively simple for the employed whilte

middle class to move into single-family units in the suburbs. The blacks

and other minority groups did improve somewhat their own living conditions,

moving into homes vacated by the whites and the eradication of many slum

areas under urban renewal programs.

The situation as it stands now was well-expressed by Dr. Lowdon Wingo

when he referred to the overall effects of both the housing and highway

programs:

"(these programs) ... opened up enormous land development reserve
in the hinterlands of every major city and ... made an American
ideal of the free standing, single family dwelling on its own
parcel of ground, and the stage is set for the low density suburban
explosion, which has been a major outcome of American policy. The
other side of the coin is, of course, the residual community
which the suburbanizing middle class left behind, the excluded
minorities, the poor, the old. They were left behind because it
cost money to join the suburban 'club' - to move, to pay rents
for new housing produced by an industry which never learned to
produce low cost housing, to pay taxes, to pay transportation
costs to jobs and public services. Thus, the built-in exclusionary
principle embedded in these policies acted like a filter sorting
out the affluent from the poor, and where these implicit
processes were not sufficiently fine-grained, the federal system
made possible finer screens, home-rule communities surroundinq
the central city had only to enact ordinances whose affect if
not explicit purpose was to exclude."26

But what about housing in rural America? While HUD administered

numerous housing programs in urban areas, a few of these programs spilled

417

over into rural areas and were somewhat duplicated by Agriculture Depart-

ment programs. Despite the departmental overlap, the programs have been,

by and large, unsuccessful in relieving the unsatisfactory housing .

conditions of rural America. Keeping in mind that the rural and non-

metropolitan populations consitute only 30'percent of the total population

in the nation, census data show that about 27 percent of occupied rural

housing was classified as substandard (deteriorating or dilapidated)
compared with 14 percent for. urban areas. 27 Of the 4.4 million su .bstandard
occupied housing units in the nation, 2.6 million were in rural areas. 28

(see Figure 14) More than 1 million rural homes are considered structurally

unsafe for human occupation with many beyond repair. Less than half

of all rural homes have central heating, most are heated by gas, wood, or

coal burning stoves with the ever present danger of fire. A disproportion-

ate number of the elderly occupy substandard housing in rural areas

and renters were twice as likely to occupy substandard housing. Finally,

most of the substandard housing is found in the south which might

be expected when one considers that this region has the lowest per capita

income, family income and largest families in the nation. There is no

doubt that the rural poverty problem is sectional, but it cannot be

considered.as concentrated pockets of poverty. Rural and urban poverty

know no boundaries and are found in all sections of the country.

A recent study by Dr. Fred Hines for the Department of Agriculture

shows that per capita federal outlays for housing in the rural areas were

only half as large as in metropolitan counties. While non-metropolitan

counties accounted for,about two-thirds of all substandard housing in
29
1968, they received only 16 percent of all housing assistance.

418

FIGURE 14

United States
OCCUPIED SUBSTANDARD HOUSING UNITS BY
METROPOLITAN RESIDENCV
MILLION UNITS

15.2 Metro
15
*4onmetro

10 8.5

4.4
6 5 %
5

X.
01. ......
1950 1960 1970

INCLUDES DILAPIDA TED LiNITS AND UNITS LACKING C0MPLtlF P1 tIMBING FACILITIES
&ESTIMATED FROM CENSUS OA TA,

U,$. DEPARTMENT OF AGRICULTURE N EG E RS 8213 - 71 i3l ECONOMIC RESEAKC SE

Source: U.S. Department of Agriculture, Reference 16 at 109
X
R V I ]CE

419

FIGUBE 15

United Stat*s
PERCENT OF OCCUPIED HOUSING UNITS OUTSIDE METRO
AREAS WITHOUT COMPLETE PLUMBING, 1970

3
14
7 10 A I ".
10 6
3 4 8 6 5 4 3
4 7 3
7 -0 2
6
-0-13
4
6
6 14

21
9

2
UNITED STATES
AVERAGE - 12%
12 18

ALASKA NAWA#1
.i@@ ; @a PERCENT WITHOUT
PLUMBING

0-10

13 -20

*SOURCE: UNITED STATESCENSUSUF HOUSING,Y970 21 &OVER
US QFPARTMENT Or AGRICULTURE fl) FMNO ESEARCHSERVICE

Source: U.S. Department of Agriculture, Reference 16 at 111.

420

The Urban Growth and New Community Development Act of 1970 affirms

for the first time on the part of the Congress its commitment to a
national urban growth policy.30 The Act directs the President to submit

to Congress reports on urban growth, urban problems, urban needs,

governmental policies at all levels and plans and programs to resolve

these problems. The Act further provides assistance to state and local

developers and planning agencies in order to develop comprehensive plans

of the orderly development or redevelopment of urban areas.

Title IX of the Agricultural Act of 1970 again shows a Congressional

commitment toward a national policy on the growth and distribution of
the population. Section 901 (a) of this Act states:

"The Congress commits itself to a sound balance between rural
and urban America. The Congress considers this balance
so essential to the peace, prosperity and welfare of all
our citizens that the highest priority must be give to
the revitalization and development of rural areas."

AGRICULTURAL POLICIES AND PROGRAMS

With the development of a capital intensive and highly productive

farm sector supported by subsidy programs and heavy government investments

in agricultural technology and research, we have witnessed the departure

of about 50 million persons from rural areas to the urban centers and

32
the suburbs.

Some of our rural programs, especially farm and vocational agricultural

.programs, are relics of an earlier era. They were developed in a period
during which the welfare of farm families was equated with the well-being

of rural communities and of all rural people. This is no longer so. Many

421

of these programs still remain even though farm output has increased in

the last 20 years over 50 percent while farm employment has dropped at

lease 45 percent.

Today's Federal farm policy is dominated by acreage control and

price support programs. Well over two-thirds of the Federal cost of

assistance to farmers, including export subsidies, is associated with

efforts to balance supplies and demands for individual farm commodities.

The price support program clearly benefits the higher income farmers

rather than the small farmers. A USDA study showed that in 1966

farmers with annual gross sales of $30,000 or more received net incomes

averaging 129 percent of what a comparable amount of labor and capital

would earn in non-farm activities. On the other hand, farmers with

less than $5,000 in value of sales received net incomes averaging only

.31 percent of what comparable resources would have earned in non-farm

activities. It would have been necessary to triple the prices of farm

products to increase the returns on these small farms to levels that

compared favorably with returns for comparable resources in non-farm
uses. 33

HEALTH, EDUCATION AND WELFARE POLICIES AND PROGRAMS

HEW has over 60 programs that are designed to provide for the health,

education and welfare of the poor and.are directed toward aiding states,

.local governments and school districts in these fields. Thirty-three

of the programs are directed toward all levels of education and it

appears that this aid is equitably distributed between rural and urban

422

areas with a few exceptions to be noted. It is difficult to determine,

however, how equitable educational outlays are on a per capita basis

because of differences in state aid to school districts and the basic

taxing authority of individual school districts.

Federal outlays for educational aid Under the 1965 Education Act

are disproportionate between rural and urban counties. Title I of this

Act was to provide educational aid for the elementary and secondary

education of disadvantaged children in low-income areas. In a study

by Hines (1971) it was shown that an equitable distribution of this

aid would be in proportion to school age children living in poverty
in both rural and urban areas. 34 However, this is not the way aid

was distributed, with about half of school age children and poverty

families located in the rural areas they received just over 40 percent

of total Federal outlays for this program. They received only 36

percent of the aid for the Headstart and Headstart Follow Through

Programs.

A similar situation exists with respect to welfare and health

assistance. Keeping in mind that half of the nation's children living

in poverty are located in rural areas, their-families received 24

percent of the aid to families with dependent children and only 20

percent of Child Welfare Services funds. On a per capita basis, Federal

welfare payments were about 4 times greater in metropolitan areas than

in rural areas. Similarly, per capita outlays for health services

were over four times greater for metropolitan areas than for rural
35
areas.

423

It appears that the country.has somehow lost sight of original

good intentions to the@point where metropolitan areas receive preferential

treatment at the expense of rural areas. The significance of this with

respect to population growth and distribution is difficult to determine,

but we can be sure that these inequalities have contributed to rural

migration and thus not so indirectly to.the plight of our central

cities.

Presently there are a number of bills pending that are intended to

revamp existing welfare and health programs.

TRANSPORTATION POLICIES AND PROGRAMS

The Federal Government-also has a long history of promoting

transportation systems. Numerous programs have.been undertaken to provide

assistance for the development of railroads, navigation facilities, air

transport, and highway systems. In the 1800's and early 1900's these

programs made significant contributions to the settlement of the west.

During the late forties and early fi fties, suburbanization was

well under way around the nation's central cities and an adequate

interstate highway system connecting these large commercial and industrial

market centers was considered a high priority national need. Invoking

11national security" as a complementary rationale for committing the

Federal Government-to an ultimate expenditure of $40 billion, the Congress,

aided-and abetted by the executive branch, not to mention the highway

lobby, passed the Defense Highway Act of 1941. This program became a

catalyst for the major suburban housing boom of the 1960's that still

424

continues unabated. Under this program, the Federal Government

financed 90 percent of interstate highway construction. Although it

was apparent from the very beginning of the program; building a highway

system of the scope envisioned by the planners would inevitably bring

with it a tremendous expansion of both housing and commerce. This

aspect was not given muc h publicity by the promoters of the interstate

system. The program was originally sold as a means of meeting the

transportation needs o f the major urban centers in times of peace and

war. The result was that this system was constructed and continues to

be constructed with almost a total lack of planning. Once the lines

were drawn on a map between major centers, the details of how these

lines would join the centers were left almost entirely to the highway

builders. They, in turn and quite naturally, built'highways where they

could and where it was cheapest. There were no environmental concerns

that had to be taken into account. As a result, small communities

were isolated and even the centers, for which the system was designed,

were left in relative isolation. In general, these highways came last

to central cities and in some cases not at all.

The same situation is true of major international airport develop-

ment. One need only to look at the residential, commercial, and

industrial development that has taken place around new major airport

complexes. As an example, we can take the case of the Dallas-Fort Worth

Regional Airport. Five years ago, land in Coppel, Texas, a tiny town

between Dallas and Fort Worth, was selling for about $1000 an acre.

Today it is worth $10,000 per acre. In nearb Irving, a prime site
y

sold for about $5000 an acre three years ago and was recently appraised

at more than $50,000 an acre. Some of the new developments attracted.

by the airport include a 6,500 acre new town, a $1.25 million office

complex, a 716 acre commercial and residential development, and a covered

shopping mall. Under the most conservative assumptions this area will

become a home for over 52,000 people. The transportation system in this

area will be overtaxed because.about 200,000 cars are expected to visit
the airport daily. 36

.AREA AND REGIONAL DEVELOPMENT PROGRAMS 37

It was nearly 20 years after the close of World War II before any

.meaningfu,l legislative action was taken to help economically depressed

areas. Prior to this legislation there was only minor interest in the

problems of depressed areas. As a result of the first postwar recession,

the Congress passed the Employment Act of 1946 which granted the

Federal Government certain powers to promote continued economic growth

and full employment. Following this legislation, unemployment persisted

and another bill, the Economic Expansion Act of 1949, was passed. This

Act was designed to retrain and relocate unemployed workers and to

promote preferential policies and other assistance to economically

depressed areas. With the economic recovery of 1950 (Korean War) and

continuing through to 1955, little interest could be stimulated in the

Congress or in the administration for aid to economically depressed

areas. The general feeling of the President's Council of Economic Advisors

was that specific areas of chronic unemployment were local problems and

should be handled by local and state governments.

426

TABIE 13

Unemployment Rates of Persons

Over 10' 1'ears, by W-ijor Industry Group

1950-19711

Unempilo? -nt rates of person6 16 years and over, -by mai r indvetry group: annual
averages, 1950-70 ("experienced waye and sWary workers)

Year Total Agrictiltural Nomg6raltursl

1950 ------------------------- 6.0 0.0 3.9
1952 ---------- ----------------- 3. 3 4.8 3. 6
1954 9
-------------------------- 7.0 8 6.7
4. 4 7.3 4. 7
B58 -------------------- ------- 7. 3 10.3 7. 9
1960 -------------------------- 5.7 8.3 6.2
1962 ------------------------- 5.6 7.5 6. 1
1964 --------------------------- 5. 0 9.7 5. 4
1966 --------------------- --.. 3.6 6. F, 3.8
1968 ---------- -------------- 3. 'l 6.3 3. 0
1970 ------------------------ 4.8, 7.s 5.2

Sourm Report of -@4e ,resident, A;)rJ; W1, table A-18, p. 223.

Source: U.1'3. Department of Agriculture, Reference 40 at 59.
U

427

iTABII@,, 14

Vedi4n -males 25 to 5X I completed.
inc-ome fcr k!eqrs (if age, bu years of sc -0
1968-and 1959
[igm- dollarsT

Median nonmetro
Metropolitan Nonmetropolitan Inrome as percent of
areas areas metro median

EducatJonzOkbt@ah-51ent 1968 1959 1969 19.59 1968 1959

Dolla" D ollarA Dollars D,)1lars PeIrMt Percent

Elementary:
8 years or less ----- 6. 09' 5, 177 4,807, 3,512 79 68-
High school:
I to 3; vears -------- 7 303 6, 115 6,248 5,201 86 85
6,793 7,297 5 716 87 84
4 years -------------- .8@ 350
College:
I year or more- . ---- 10; 30V 8,339 8,804 7,301 85 88
4 years or morc ------ L1, 395 0,251, 9, 740 7,915 85 86

Sourv@,: CurruLf Popalarf(;n Rvorts, Specia' Studieg, "Trends iii Social and Economic Conditions In
i4,,1rojx@;i1.,,.n ano A,"as," Suies P-23, No. U. Sept. 3, 1970, Bureau of the CemW, tablO
39, P. 43,

Souz-ce: U.S. Department of Agriculture, Reference 16 at 99.
D
a
8
P
C7
Pere
n

6
8
9

6 5
E Ll ']4
em'
8
14h s c h
')01 8 8
16 87 8
4
C
'011,ge.
I Y", 7' 301 8.5 88
ye. I_
4 79 85 86

S.U r C to
aand; conm Condi tion' 1.
aU of the CeMU3, bl.
9, P. 43,

428

In the late fifties, the Congress made several attempts (which were

opposed by the Administration) to pass legislation providing aid to

depressed areas with chronic unemployment rates and low levels of income.

Known as the Douglas Bill, the proposed legislation was to provide the

basic infrastructure and public services of depressed areas, the expansion

of unemployment insurance, and job training programs. The bill was

passed by the Congress in 1957 but was vetoed by the President. The

bill was reintroduced in the next Congress, passed and again vetoed.

The primary objections to the bill were: 100 percent grants for public

facilities, "loose" eligibility criteria, assistance to rural areas,

lack of local participation for industrial and commercial loans, and the

assignment-of the program to the Housing and Home Finance Agency instead

of to the more conservative Department of Commerce.

The new agency was virtually doomed to begin with. There were

limited funds for inexpensive business loans ($175 million) and limited
38
funds for the construction of public facilities ($175 million). There

were also problems of getting an experienced staff, coordination with

other agencies, defining a workable program, developing techniques for

economic background studies, and finally, an effective research and

information system. As initially envisioned, the agency was supposed
to benefit about 69 surplus labor and small industrial areas. However,

this number was expanded eventually to about 1000 communities with,

stagnating economies. The effect was that the agency's funds were

spread too thin across the nation to be effective.

429

The Appalachia area received some funds for economic development

and funds for the development of an Overall Economic Development Program

that described.theareas majoractivities, trends, opportunities and

problems'. The basic idea was to identify communities and resources

that would attract industry. It became apparent after about two years

of operation that ARA could not help the Appalachia area' with its

pro'blems to the degree necessary to stimulate redevelopment. This

fact, coupled with the Appalachian floods of 1963, stimulated action

by the White House. In April 1963, the President established the

President's Appalachian Regional Commission (PARC) to-study the problems
and prepare a plan of action for the region. 39

Even though the ARA had many problems, its main goals were of

interest to the Johnson Administration. So rather than eliminating the

program, it was modified with the passage of the Public Works and

Economic, Development Act of 1965. This Act doubled the appropriations

for the agency, more than doubled its staff and the agency (ARA) was

renamed the Economic Development Administration (EDA). In addition, the

Appalachia Regional Development Act of 1965 put the PARC under the
administration of EDA. 40

-The Act established larger districts and regions and reduced the

total number of areas designated as economically depressed. Under this

Act there were three levels of planning units, the most significant

of which was the Economic-Development District (EDD). These were multi-

county units-containing,at least two depressed areas and an urban center

4JU

of less than 250,000 people. The idea was to stimulate growth of these

urban centers in such a way as to benefit the whole district.

EDA's functions were primarily aimed at economically depressed

areas with little or no emphasis on the problems of central cities

although their problems were quite similar. What was the impact of ARA

and EDA in handling the problems in depressed regions? The study by

Lloyd Rodwin indicates that EDA learned that little could be accomplished

on the county level and that larger planning regions such as the Economic

Development Districts (EDD) were most effective. However, within these

regions a coordinated reqional program of development and development

expenditures was needed. Separate and unrelated projects simply did

not work and jobs could not be bro .ught to every village and hamlet in

the United States. Further, the study shows that 182 jobs were created

for every million dollars invested. It was also shown that those who

received the jobs were not the "target" group of the disadvantaged

population as had been intended by the program. The average impact of

job training and job creation because of the scale of these programs

was trivial.

According to Rodwin, the most serious problem was the inability

of EDA to extend aid to metropolitan areas, because according to the

definition of redevelopment area, unemployment had to exist throughout

a city or county. In many of our metropolitan regions, the high un-

employment of the ghettos in central cities is, offset by high employ-

ment rates in the surrounding suburbanized areas. It appears then that

431

the basic ideas.and strategies of EDA are fairly sound, but stronger

control, coordination and concentration of programs are needed.

GENERAL COMMENTS

All of these different Federal programs are concerned with the

problems of urban congestion, the locational mismatch of jobs and
people, and the linkages between urban and rural problems and urban

sprawl. The solutions center around industrial location, population

mobility, community development, human resource development and the

planning roles of Federal, state and local governments.

The Congress and the executive branch have acknowledged the need

for an overall national poli cy and strategy, but to date the recom-

mended solutions have not yet been translated into such a policy.

Moreover, there is a feeling in some quarters that the Federal

Government should not make a formal statement of policy regarding

population growth and distribution until significant questions regarding

such a policy are answered.

Among the proponents of this view is Dr. Lowdon Wingo, who raises

some interesting questions regarding such a policy. His contention is

that if the existing system is so stable that no available social

interventions can substantially alter it, an urban (or rural) growth

distribution policy is academic. What is needed are studies that

would show that governmental intervention would have a positive effect.

Wingo cites six major, but not exclusive, areas of research that are
needed. 41

432

These are:

.1. The general analytics of optimum city size.

2. The private costs and benefits as a function of.city size

and economic composition.

3. The negative and positive externalities as a-function of city

size and economic composition ( and vice versa).

4. The distribution of city sizes in a national system as a

function of the composition of the national economy,

technology, incomes, consumer preferences and transport

costs.

5. The current and capital costs of producing and distributing

overhead services as a function of city size.

No one can say that Dr. Wingo is wrong,in identifying the areas of

research needed and it is important that we continue our research. In

the interim, however, the nation should move cautiously but with

flexibility into an area that needs immediate attention. Congress has

stated that the population growth and distribution problem in both

urban and rural America must be given the highest priority.

The Tools of a National Program

We have briefly described past and present population growth and

migratory trends and have also examined various broad categories of

Federal Government programs and how they have contributed to the distri-

bution pattern. Although not explicitly stated but certainly implied

is a general lack of.planning and action at state and local levels of

433

government in dealingwith population distribution problems within

their respective jurisdictions.

This section and the final section outline a framework for a national

program that would modulate the distribution of people to help achieve

the social and economic goals stressed in this chapteras well as the

environmental goals identified (in the specific case of the Great Lakes

region) in other chapters of-this book. Four basic concepts that we

have selected as the building blocks of a national population dis-

tribution strategy are discussed. This particular selection is, of

course an arbitrary one, but we believe it is supported by the current

thinking-and writings of the practitioners of population dynamics and

social theorists in general. These four elements or tools are: regional

growth poles; new towns and model cities; municipal land corporations;

and local government reform.

REGIONAL GROWTH CENTERS.

This is perhaps the most important of the four elements, because it

can be the focal point for the application of the other three. The

idea is to develop an urban center that would deflect or redirect

population growth away from the suburbs in large metropolitan areas and

that also would serve the needs of rural areas of the immediate region.

These urban centers would provide residents of rural areas with job

opportunities as well as a social and cultural infrastructure in which

they can participate. The development growth center is basically the

stimulated and controlled development of intermediate size cities with

434

the idea of diverting those who would otherwise migrate to or remain in

the large metropolitan areas to these smaller urban centers. The

centers chosen would already have a residential and industrial base and

thus could provide basic community services. The idea is to begin

with a series of smaller cities, say 50,000 to.250,000 population, and

utilize their popul ation growth potential to a maximum of roughly 500,000

persons. It is in these centers where the greatest.potential for growth

lies and it is in these communities where Federal, state, and local

planning and financial assistance can be used most effectively in

satisfying the goals of a national population redistribution program.

A basic problem with this concept is the identification of these

growth centers. Numerous attempts have been made in the U.S. and other

countries to identify potential growth poles.or centers. One characteristic

of a growth center is its ability to attract industry in order to provide

the jobs necessary to support the planned population of the center.

Industrial location theory holds that industrial location is primarily

dependent upon: (1) transport costs of raw materials and finished

products from and to resource location, production sites and market

locations; (2) labor costs; and (3) agglomoration economies (Weber,

.1929 and Izard, 1956). These three factors taken together determine

whether or not an industry will have a competitive advantage in the market

place and will determine whether or not,a city or region can compete
in interregional trade.42,43

Transportation Systems. A major requirement of potential growth

centers is that they have access-to and from the surrounding rural areas

and to the large metropolitan areas that provide ready markets for the

goods and services produced in these communities. Highway, rail, and

water linkages to regional and world markets often determine the way

in whi.ch communities grow. A study done for the National Water Com-

mission by Rivkin/Carson Inc. in 1971 concludes that "places with highway

access do have a greater chance of growing and less chance of losing

population than others" and that highways enable communities to
become more metropolitan.44 With regard to Iwater transportation, the

same study indicates that access to water transportation was an important

factor of growth (population and economic) in the past and that the

twenty largest SMSA's are located on water. However, it was shown

that the relationship of water transportation and potential growth

is not now as close as in the past.

The availabil.ity of a rail transportation system is often taken as

a given factor because the existing railroad network is so extensive.

All of the communities that may be considered as potential growth

centers presumably would.be served by a rail transport system. An

exis@j@ transportation system is a prerequisite to industrial and

population growth because of the enormous.capital outlays needed to

provide these tran sport services and the delays that may be incurred in

inducing industry to locate in potentiall growth centers.

.Labor Force. According to industrial location theory, the availability

of low-cost labor is an important factor in locational decision maki.ng.

The parameters that become important in measuring the potential for

savings to industry in labor costs include: the size of the labor force,

the distribution by occupation, the productivity-per occupational

classification, educational levels of the work force, special skills,

the age distribution of the work force, the prevailing local wage rates

of each occupational classification and the cost of living index for

each potential center.

Agglomoration Economies. The economies of agglomeration are

extremely difficult to measure, yet they play a significant role in

the locational decision-making process.

The most quantifiable savings in this category are those realized

from industry increasing the size of its operations to take advantage

of economies of scale. The measurement of the various economies derived

from large scale operations is within the capabilities of modern

accounting procedures and the results can be used in locational analysis.

The second type of agglomoration economies is referred to as

"localization economies" and is much less quantifiable than economies
of scale. 45 The basis for these savings derives from the concentration

of a particular industry at a particular location. The reasons for

this concentration can be the result of a common skilled labor pool,

common energy sources and needs, common needs for specific raw materials,

common needs for special service industries such as machine repair

and service, plus i.ndustries that complement each others output. These

437

savings are real, but., as mentioned, very@difficult to measure. In
any event, it i.s manifestly important that potential growth centers

have an existing industrial base from which to work.

The third and final type of agglomoration economy is called
46
urbanization.economies." These are perhaps the least quantifiable

of all because they include such factors as climate, water supply, the

basic physical infrastructure of a community, taxes, availability of

land, as well as social cultural.and environmental factors. The NWC

.study, for example, shows that the development of water supply and

water treatment facilities is not correlated to industrial and population

growth, yet growth will not occur without the provision of these
47
facilities.

Application of the Growth Center Concept. In the U.S. the only

experience thus far with this concept has been the programs of the

Economic Development Administration (EDA) by which the Federal Government

sought to stimulate growth in various economically depressed areas of

the country. These programs leaned heavily on investment in transportation

systems and direct financial assistance to designated growth centers

within a given region. The overall program was not too successful. Apparently,

the majority of growth centers selected were below the minimum size

requi.red to attract and foster economic growth. For example, of 204 growth

centers in the EDA program, 89 percent had a popul.ation of less than 50,000
and 70 percent TessIthan 25,000. 48 In addition, the selection of these

centers was made by the states each of which applied its own selection

criteria. Also, it appears that the three basic locational factors

discussed earlier were not generally accorded the importance that they

merit. The crux of the matter seems to be that it is not enough for a

4150

growth center to be able to grow by itself but it must be so related to the

surrounding rural area that growth in the center strengthens the economy

and improves the living standards in its periphery.(Fuller, 1969). This

means that there is some minimum size required of the growth center before

49
the economies of agglomeration can be fully exploited. The upshot of this

is that much more research will be required before this particular concept

is ready for use. Inasmuch as this population distribution tool is the

one on which the others turn, the urgency regarding additional study and

experimentation of the qrowth center concept is readily apparent.

There are various methods which have been proposed and tried in order

to evaluate growth determining parameters. One is an input-output model

for a specific growth center which tests how investment (federal, state,

local) in any one sector of the center's economy affects other sectors.

Another involves the use of an economic base study for a particular region

and its growth center. This approach focuses primarily on employment and

labor participation rates for various industries. Both of these methods

have at least two shortcomings. Neither method results in a ranking of

growth potential and many socio-economic, cultural and environmental

factors are left out.

A third approach attempted in Canada does not have those shortcomings

just mentioned. We would be remiss in our task if we did not include in

this chapter a description of this interesting analytic model. Known as

the Hodge Model, it is based on regression and factor analysis. The details

are complicated, so a brief description is presented at this point while

a more detailed treatment is provided in a short appendix to this chapter.

439

The characteristics of potential urban growth centers are described

by 32 variables; e.g., population size, highway access, median value of dwell-

ings, and labor force in services. These variables are tested against each

other with numerical. val-ues being assigned to their relationships.. A positive

value indicates a direct correspondence, a negative value signifying an
inverse correspondence. The numerical value indicates the degree of

correspondence. After this testinq, the set of 32 variables was narrowed

down to 7 and these were then referred to as "dimensions". Each community

under study is scored on this set of dimensions and is assigned a ranking.

See the appendix to this chapter for a more complete description of

this model.

Considerable attention is being given to the application of the

growth pole or growth center concept. In the United States, the first

attempts at applying this approach were not entirely successful. Although

the literature is rich with the theory and tests of the various facets of

this theory, considerably more research is neededto produce a workable

concept. The importance of this element i n terms of balanced population

distribution cannot be overemphasized. The other three major elements

which are to be discussed next are intended to work in conju nction with the

growth center concept.

NEW TOWNS AND MODEL CITIES

New Towns Program. The new towns concept has often been considered

as one means to promote balanced growth and a better environment. As

envisioned, the development of new,towns would: (1) save money through

efficient design; (2) provide for the development of a sense of community;

and (3) offer a life style enhanced by open spaces and recreational

440

opportunities. The basic idea is to provide Americans a viable an,d

attractive location where they could live, work and play.

The problem with new towns isthat they could be expected to absorb

only a small percentage of the' ,metropolitan or rural population. For

example, to accommodate the expected population increase in new towns over

the next 30 years, we would have to build three cities the size of Houston,

Texas every year until the year 2000. The.70 new towns that have been

proposed or built since 1947 in the United States have absorbed less than

one-third the present population of Houston.

Another problem with this approach is that the new towns tend to

attract in disproportionate numbers the white middle and upper income

r
@dents of central cities and suburbia. The new towns developed to date
esi

have all been located about 50 miles from large metropolitan centers with

the result being that they have'turned out to be additions to suburbia in

a megalopolis rather than autonomous new towns. The poorer elements of

society are excluded because they lack the resources to buy into this

new version of the "suburban club.." Thus, new towns do little or nothing

to alleviate the plight of central cities.

Other problems that come into play are largely economic and institu-

tional in nature. These include the balancing of supply and demand for labor,

housing, hospitals, schools, shopping facilities.and other service

industries in order to place the provision of these goods and services on

an economically justifiable basis. The logistics of these problems are

tremendous.

441

Model Cities Program. The Model Cities proaram in its Dresent form is
basically a syste@ of block grants to cities, dependent upon the submission

and approval of,pla.ns by the city to the Federal Government showi.ng how

these plans would help disadvantaged areas. The plans are to provide for

improving education, job training, employment, welfare, health and the

physical development of disadvantaged areas.. Cities eligible for this

program receive two types of grants, one for planning and the other for

implementing theplans. The implementation grants cover up to 80 percent

of non-Federal costs of carrying out the plans. The basic idea.of these

grants is to improve and enhance the urban environment making the cities
50
a viable option to individuals seeking to improve their conditions of life.

As originally envisaged, the,Model Cities program was to concentrate

large grants in relatively few cities., However, political opposition to

this approach resulted in a larger number of cities receiving smaller

grants. In this way a po Itentiallygood program was undermined.

Another serious problem with the program was the manner in which

community and neighborhood organizations were treated when they attempted

to express their opinions of various plans for community improvement. HUD,

the responsible agency for the program, had set down a requirement that

local organizations be given a voicein the planning process. In reality,

however, these organizations had little or no voice in the planning process

and the program, which was designed to help these neighborhoods, became one

51
of a block grant to cities to do with as they pleased. Strong administra-

tion of the program by HUD was clearly lacking.

442

Urban Renewal Program. This program has b een in effect since 1949 and

it is the largest and oldest Federal program for improving the physical

condition of cities and towns. Since 1949, the Federal Government had

appropriated about $10 billion for the program. To date, only $5.2 billion

has been spent. Of the 2531 urban renewal plans approved or expected to,be
approved, only 733 were completed bythe end of 1971. 52

The program is designed to aid local governments acquire all real

property within renewal areas, raze structures, and assist displaced

families with moving allowances. After the land is cleared, local govern-

mental units then either sell-the land to private developers or use it for

public facilities. The Federal Government covers two-thirds of the difference

between total local government expenditures for the project and the revenue

received from the sale of the land.

The main problems with the urban renewal programs are that many

existing neighborhood patterns are disrupted and that local governments

are generally slow in the preparation of renewal plans.

In the sixties many urban renewal programs were designed to

revitalize central city areas by providing the means and the lands to

develop housing stocks, transportation systems, public facilities, and

commercial and industrial buildings. Large tracts of slum housing were

torn down in a, direct attack on urban blight. Yet these slum areas were

replaced by middle income and upper income apartment complexes, office

buildings and public facilities and not by housing or facilities for the

former residents. The result was that the program was drastically reducing

the supply of low cost housing,-causing slum areas to develop in other

parts of the cities.

443

In 1969, Congress stipulated that cities must build as many new

low-cost and moderate-cost housing units as are demolished during the

renewal project. In addition, the Neighborhood Development Program was

established by Congress to mitigate the problem of total disruption of

existing neighborhood patterns. The program allows for spot demolition,

spot construction and,building code enforcement within neighborhoods rather
53
than designating a large area for urban renewal.

MUNICIPAL LAND CORPORATIONS

Many of the.pro blems associated with population distribution in

metropolitan areas are directly related to the suburbanization trend that

began immediately following World War.H. 'The availability of land, a little

money, and low interest rates made the American dream of owning a single

dwelling on a parcel of land a reali.ty for many. In the process, huge

areas of agricultural land were taken Over for development. Sacrificed were

the very open spaces and the.quality of environment that the suburbanization

movement sought to achieve in the first place. In its most simple form,

the problem is a conflict between the desire for open spaces and land needed

to feed residential and commercial growth. In the last twenty-five years

this growth has proceeded full blast with only the most minimal of checks

imposed by local governments.

The major,questions are: how should land u.se be controlled and who

should do the controlling. In the United States, although the individual

states have the constitutional power to do so, control over land use has

been an exclusive function of local gov6rnmental units, primarily municipal-

ities. This control is exercised by limited public ownership of lands,

easements, and zoning. The success of these controls is, for the most

part, dependent upon the economic and protective desires of the local

444

citizenry. Zoning is the method most widely used, but its general ineffective-

ness is evidenced by the most casual look at a typical suburban community.

It is apparent that zoning occur s more often than not after development has
already taken place and that this methods of [email protected] implemented at the

wrong level of government. In other words, it is used at the municipal level

rather than on a metropolitan, county or regional scale.

The municipal land corporation concept involves,the creation of a

public or.quasi-public corporation that is authorized to purchase and own

land in the periphery of metropolitan areas and in the hinterlands in order
to have public control over land of potential use for urban growth. 54,55

This corporation would be set up to control the location, the design, the

sequences, and the tempo of urban growth and development while at the

same time controlling population densities in these areas.

its powers would include the ability to purchase, condemn, rent,

leaseback or sell real property. This corporation could work closely with

Federal Urban Renewal, Model Cities and New Towns programs. In addition,

its power could be extended to include site development, such as the

provision of transportation linkages, major sewers, main water lines and

open spaces for recreational development.

The benefits from a non-profit corporation of this type would be mani-

fold. First, it could put an end to land speculation which distorts the

growth patterns of cities and adds additional costs to tne provision of

a housing stock and other elements that are a part of urban development. Since

the corporation would be non-profit in nature, a result would be lower or at

least stabilized land costs with the savings passed on to consumers.
In addition, the corporation, being eligibl.e for Federal and state grants and

loans for the purchase and development of l,and, would be able to finance these

purchases at lower rates of interest.

445

Second, land would be available for public use thus mitigating, some-

what the problem of public provision of certain goods and services which

may have been otherwise dela ed because of the lack of adequate sites or
y

land for public development programs.

Third, the corporation could assure developers a uniform flow of

sites available for residential, commercial, industrial and recreational

development.

@Fourth, the corporation would be in a position to direct or redirect

urban growth and promote continuous development in a way to be consistent

with planned population densities.

Fifth, the corporation would be in a position to offer alternative

residential locations to individuals, usually the poor, aged and black,

displaced by urban renewal or other similar Federal or state programs.

Sixth, the corporation could control the actual number and location

of urban renewal programs within a particular metropolitan area and in some

way preserve and enhance the livability of existing housing stocks.

Finally, there are the benefits to private builders and contractors.

By maintaining control of the amount of land and the number of sites

available, for example, residential- construction, the smaller builder could

again become competitive in the housing market. Land purchases and site

development would be a single fixed cost and since the corporation is non-

profit in nature this cost would be considerably lower than costs in the

existing speculative market for land. This cost could also include the

surveying and legal expenses associated with land purchase and development.

446

Builders and contractors could then concentrate on doing what they do best,

that is, construction and sales rather than site development. In addition,

conflicts between private vs. public use of land-would be resolved by

the corporation.

The corporation would have to be created at the state level with

enabling legislation that would specify the powers and organization of

such a corporation or agency. Initially, Federal or state grants or

other state-provided appropriations would be needed for initial land purchases.

Initial land purchases, would more than likely be in the hinterlands, outside

of the existing metropolitan periphery. In this way, the corporation would

avoid the higher cost land already virtually committed to metropolitan

growth. As urban renewal programs are instituted, the corporation would

be able to utilize Federal funds in order to purchase land within the

metropolitan area. As part of the planning function of this organization,

a comprehensive master plan for metropolitan growth would be developed

that would identify future needs for all type of land uses including

residential, commercial, industrial, public, and recreational uses. Within

the context of this master plan and according to some predetermined sequence

for controlled metropolitan growth, detailed site planning would be instituted

on land scheduled for early development and sale to builders, contractors,

or other commercial or industrial interests. The basic stipulation would

be that only a specific type of development will be allowed to occur and

that the land may not be held idle. Once the cycle of land purchase,

development, and sale is completed over some period of time, the corporation

should become self-sustaining with little or no. supplemental appropriations

from the state government. However, this would not prevent the corporation

from sponsoring or participating in existing or future Federal or state

grant programs.

447

There are, however, a number of major questions that need answering

with,respect to the formation and the powers of a public corporation- of

this type. These questions include possible legal barriers, the scope of

power, and the,methods of land acquisition and disposal.

The legal barrie rs include tome aspects of common, statutory and

constitutional law. However, in recent years there has been an increasingly

liberal interpretation of th ese laws by the courts with respect to public

acquisition and ownership of land as a result of litigation arising out of
urban renewal programs. 56 The courts have ruled that such acquisition

is legal if it is purchased to eliminate slums, reduce urban blight, or if

vacant land is misused or needed for Public services. The landmark
Supreme Court case in this respect is Berman vs. Parker.57

The second potential obstacle. concerns the power and scope of the

proposed corporation. Questions arise as to whether or not the corporation

should have broadly defined land use control powers or powers restricted to

serving only a small segment of land use control,, such as land use planning,

urban renewal, and public projects.@ However, given the broad goal of

controlling metropolitan growth and development, the latter restrictions

would make such a corporation ineffective in the sense that land speculation,

haphazard growth.".,And urban sprawl would continue.

The final.barrier is one that is concerned with the-method of disposing

of lands owned by the corporation. The question arises as to whether or not

land made available for development should be leased or sold and should public

ownership be temporary or permanent. With respect to selling or leasing

this land, the study by John Reps indicates that either method can work

given the goal of effective control over metropolitan growth. He cites the

448

experience of two cities in the Netherlands:

The two largest cities follow different practices. Amsterdam
leases all land except for industrial sites, which are soldi
Rotterdam sells all land except for industrial sites, which
are leased. Both cities are highly successful in shaping
patterns of urban growth almost exactly as p.lanned. Appro-
priate covenants or lease restrictions specify the,getails
of development to be followed by prfvate builders.

However, the biggest advantage to the corporation with respect to

control of growth and development comes with a system of leasing land for

development. In this way more lasting controls can be exercised over the

conditions of growth. However, this does not rule out the possibility of

outright sale of land, providing, of course, that any increase in land value

be taxed away by some form of property or capital gains tax by the corpora-

tion or state.

The final question is what are the prospects.for success of such a

corporation? Public ownershi.p of land 'has been extremely successful in

European and Scandinavian countries and a more modest program has had some

success in Canada in the Province of Ontario. The principles of public

ownership of land for control of urban development trace back throughout the

nation's history. The lands on which the.cities of Washington, D.C., Austin,

Savannah, New York,-Detroit, and San Francisco stand were all publicly

owned lands initially purchased to control the urban development of these

cities. In later years, however, the individual right to own land to use

it virtually without restriction has led to the situation where land use
59
control has slipped away from state and municipal governmental units. The

restoration of this control to the states will not be easy. Private

interest groups of every description can be expected to.resist such efforts,

if they are mounted.

449

LOCAL GOVERNMENT REFORM

Throughout the country's history up to about 1930, state and local

governments had the primary responsibilities of serving the needs of their

citizens- State and local expenditures for goods and services were about
three times that of the Federal Government. 60 With the advent of the

depression, this si-tuation'-changed radically. Public necessity required

that the-Federal Governme,nt fill in many of the large gaps in the public

sector for which local and state governments could not or would not assume

responsibility.- The taxing and spending powers of the central government

were used to pull the nation from the depression and.afterwards to prevent

another depression. This greatly enhanced role of the Federal Government

has been sustained to the present day. Local. and state governments continue

to look to the national government for aid in the solutions to their growing

problems. Specfal' interests are also finding the Federal Government more

responsive to their needs. The result has been a concentration of power

at the Federal level, and depen dency-of the,states and local governments on
61
Federal aid.

With theTederal Government holding the purse strings, it is in a posi-

tion, through its grant programs,.to promote national goals. It is in this

context that we believe the Federal Government can most effectively pursue

the goal of population redistribution.

The Federal Government should-encourage the states to develop multi-

county economic regions in order to establish priorities in maintaining or

revitalizing areas essential to the economic health of the state.

Within this broad context, states could identify regions which have

potential value in recreation, natural resources, agriculture, and industrial

and commercial growth. With.in such regions, the states would cause to be

450

formulated comprehensive plans for development. This planning should be a

condition to related Federal aid. With respect to population distribution,

state planning would include control over the location of transportation

systems, resource development and land use. Targe.t.populations could be

established for each region or cities within each region. By controlling

access to and from cities or regions, controlling the development of

resources and control over the location of new housing and industrial parks,

the state can effectively control population distribution.

The literature abounds with information about the fragmentation of local

governmental units and their overlapping and underlapping jurisdictions.

Presently, there are over 81,000 local governmental units of all types in
the United States, of which,18,000 are municipalities. 62 By the year 2000

the number of municipalities isexpected to doubl.e. We have a situation now

where local units of government jealously guard their own jurisdictions with

little regard for the consequent diseconomies. The result is a needlessly

higher tax burden for the taxpaver at a time when he feels he is already

being overtaxed and is resistant to further tax increases. The Federal

Government, as a condition of grants, should encourage the states to use

their powers to effect a substantial reduction in the number of political

and special purpose jurisdictions.

The scenario of a possible application of the local government reform

approach might be composed.of three phases. The first phase would be the

gradual assimilation of municipal services by county governments. This

phase would be applicable to both rural and urban counties.

The second phase would consist of forming an Urban County government

and is a natural progression from the first phase. It would be a simple

formalizing by the state of the county's role as a coordinator of municipal

451

programs. Additional powers could be granted, by the state to the counties

to provide similar services to unincorporated'areas and.to control also the

development of unincorporated areas through land use controls and the spon-

soring of programs that stimulated growth within the county. Again, this

phase would apply to rural and urban counties.

The. third and final phase would be applicable, primarily, in urban

areas. Since growth is not restricted to political boundaries, whether

they be municipal, county, or state, some means must be found that would

satisfy the needs of.large metropolitan,areas. In this case, local govern-

ment reform at the city"and county levels could be used with the formation
of metropolitan goverhmen.ts,wh.ich could and w ould cut across county line

jurisdictions. Two or more phase II county governments could be consolidated

into one large metro-government using the outer boundaries of the combined

counties as the new jur.isdictional limits. In this way, counties not

affected would retaintheir historical jurisd.ictions. In rural areas or

counties it would be possibl'e. but not necessary, for counties to combine

into some form of regional government similar perhaps to the Economic

Development Districts7.of the ED.A.

The basic premise here is that the Federal Government can and should

influence the states,to initiate a program of county development by specify-

ing this condition as necessary@prior to receiving large grants for
community development. With a long history of government programs having an

indirect effect on population distribution,.it is possible that subtle or even

less than subtle pressures can be applied to.states as a means to satisfying

a national goal of controlling population distribution while at the same time

preserving or stimulating the economic viability of the states indirectly

through local government reform of some type.

452

Population Redistribution Strategies

The basic tools of a national population distribution have been

identified and described. In this concluding section, we show how these

elements can be combined and recombined to address the problems of each

of three living environments: rural; intermediate size (50,000 to 250,000

population) cities; and the large metropolitan centers.

RURAL AND NON-METROPOLITAN AREAS63

The population in these areas constitutes about 30 percent of the

nation's total population. Migrations.from these areas-have occurred in

the past and are continuing to this day. The result is that large areas

of the nation are becoming depopulated at a time when the population as a

whole seems to prefer living in open space areas. This paradox is

attributed to individuals seeking economicopportunity regardless of

personal preferences as to where they would like to live.

The problems of rural areas are familiar to us all. There is a lack

of educational and economic opportunities. With employment opportunities

limited, an individual seeks economic improvement in urban areas, but is

frequently unprepared to compete with his or her urban counterpart in the

job market and is often less capable of adjusting to urban living. Each

new arrival does his or her part in bidding up the already inflated rent

levels of low-income housing and bidding down the already inadequate wage

levels for uns-killed workers. Slums and swollen welfare rolls are the

dismal consequence. This phenomenon has been occurring in every country

since the advent of the industrial revolution. The U.S. has been no more

successful than other countries in solving this wrenching social problem.

453

In rural and non-metropolitan areas the need is apparent. Federal and

state aid is needed to: 1) improve the quality of education and job training

in these areas to increase employability of the residents; 2) upgrade the

quality of existing housing stocks and develop programs to assist in

providing new and low-cost housing; 3) upgrade existing health and welfare

services; and 4) assist communities in these areas in providinq basic

community services such as water supply, waste water treatment, police and

fire protection along with other basic governmental and administrative

services. The methods available for use in meeting these goals include a

restructuring of existing grant-in-aid programs at the Federal level and

some type of state-sponsored municipal reform.

The studies by Hines, (1971) and the President's National Advisory

Commission on Rural.Poverty (1967) clearly show the inequality that exists

in Federal grant-in-aid programs in rural and non-metropolitan areas. While

rural and non-metropolitan areas contain over 50 percent of the nation's

poor, they receive.on the average less than 25 percent of the benefits from

these programs.

In 1971 Congress passed a bill on a Revenue Sharing Program for Rural
Development;64 This program -provides funds for job training, health

programs, transportation systems and programs to develop the basic infra-

structure of smaller communities. The legislative proposals combine a

number of existing programs, add some additional funds to these programs,

and redirect these programs toward the basic needs of rural communities

through state and local administrators. In addition, rural-and non-metropol-

itan communities would qualify for other revenue sharing programs for building

their human resource base and public service infrastructure. A potential

454

drawback to these revenue sharing proposals is the amount and type of cost

sharing that may be required at state and local level, in order to partici-

pate in this program. As in the past, richer communities have been able to

take advantage of Federal programs becau.se they coulc obtain the cost

sharing funds necessary to qualify for these programs. There is no intention

here to go into a detailed discussion of cost-sharing, it is simply cited as

a potential obstacle to rural and non-metropolitan development.

In order to mitigate the problem mentioned above and also to aid rural

communities in effectively and efficiently coping with their problems, it

is suggested that the local government reform approach might be used to

good advantage. As discussed earlier, the first two phases of local

government reform would be applicable in rural and non-metropolitan areas.

Since these smaller communities have similar problems, that is limited funds

and a declining tax base on one hand and the need for basic communitv

services on the other, it seems obvious that a larger local unit of govern-

ment would be able to provide better services at lower prices. The initial

phase would be the gradual assimilation of municipal services by county

governments or by some established municipal district similar to the Economic

Development Districts of the EDA program. The assimilation would occur

through contractual arrangements-between existing municipalities and the

county or district government and the*provision of these services to unin-

corporated areas under some type of tax or payment scheme.

The second phase of this proposal would be that of forming an Urban-

County government which is a direct progression from the initial phase of

local government reform. It would be simply a formalizing of the

countyls role as a coordinator of municipal programs.

455

With this new status and a wider tax base, the Urban County govern-

ment would be in a position to meet its share of the costs in Federal grant-

in-aid programs. The Urban County government would then be in a position

to direct funds to communities and areas within its jurisdiction where the

need is most urgent.

The basic idea is to create an environment that will encourage the

residents of rural and non-metropolitan areas to remain in these areas,

while at the same time upgrading their educational levels and job-skills

for participation in a regional labor market. It is envisioned that

residents in these areas would seek and find employment in a designated

regional growth center. In other words, these smaller outlying communities

would serve as "bedroom communities" for the larger growth centers within

a region. As stated earlier, it is quite possible that a non-metropolitan

community of from 25,000 population to 50,000 population could be designated

as a regional growth center that would serve the social and economic needs

of residents of the nearby rural areas.

INTERMEDIATE SIZE CITIES

As stated earlier, this part of the national program is concerned

with cities ranging in population size from 50,000 to 250,000. In addition,

these cities must be independent communities not generally considered to be

a part of a large metropolitan area or megalopolis. In the past 10 years,

the populations of these cities have grown 21.2 percent, considerably in
excess of the national increase in population of 13.3 percent. 65 It is in

these communities where there is the potential to absorb about 25 percent

of the projected population increase over the next 30 years.

456

These cities for the most part are at a stage in their growth where

they do not have the serious environmental, social, economic and political

problems that major metropolitan areas now have. This is not to say that

these cities do not have problems, because growth in itself creates problems

in planning for and servin.g the needs of an expanding population and economy.

The salient feature here is, that ,the problems that could develop in the

future are at a point where they can.be manaqed if.proper action is

initiated now.

With respect to a population redistribution-program, these cities

offer the hope of providing a substantial segment of the nation's population

a life style and a quality of life not to be found in the large metropolitan

centers. Thesecities, with their existing commercial, social and physical

infrastructures, offer the potential for achieving these ends. One of the

methods that can be used to develop.this potential is the implementation

of the regional growth pole concept.

This element can be considered the key to the success of a national

population redistribution program. Within the framework of this approach,

efforts would be made.to develop an urban center that would serve the needs

of its residents as well as those who.live in the city's hinterlands by

providing job and business opportunities, and social, governmental, cultural

and recreational services.

The primary problem with implementing this element of an overall

national program is in identifying which cities will be designated as growth

centers. The parameters and methods that could be used in identifying these

centers were discussed earlier. Once the centers'have been identified, the

Federal Government should, in collaboration with the state involved, seek

457

the means to encourage: 1) the expansion of the existing industrial base,

2) development of an efficient transportation system, and 3) the means to

develop the center into a city that will attract people from large metropol-

itan areas.

The question is asked, what is to prevent these medium size urban

centers from going through the same cycle as the larger metropolitan centers,

i.e., the flight to the suburbs, de facto racial segregation and the decay

of the inner city? The answer lies in the simultaneous application of

other population distribution tools. For example, the concepts of the New

Towns and Model Cities element could be used to expand and develop these

growth centers. New Towns, Model Cities and Urban Renewal programs can be

used to develop housing stocks for all income classes, as well as community,

health, education and recreational facilities. These centers would have a

capital structure with which to work: cultural facilities, schools, hospitals,

library systems and various other public services. These Physical manifesta-

tions of progress will produce psychological benefits in that residents will

take pride in their community. Talented younger persons would be induced

to stay and former residents to return from the large metropolitan areas

to which they moved in search of economic opportunity.

A simple face lift and improved community morale would not be

enough, however. There has to be an element of control - control over

population densities; land use and development; preservation or enhancement

of environmental quality; and other community functions. There are two

elements that might be used in this context. They may be used independently

-or in combination because there is a certain amount of overlap in their

functions. These two elements are the municipal land corporation and

local government reform concepts.

458

The municipal land corporation element offers Federal, state and

local planners the means to control the size and the pattern of population

distribution of a selected growth-center. A public or quasi-public non-

profit corporation would be authorized to purchase, plan, develop and sell

or lease land for residential, industrial, commercial, and public uses. A

comprehensive land use plan would be developed that would specify poDulation

densities, size and phased development patterns for the center. This would

include planning and constructing transportation systems, water supply,

wastewater treatment facilities and drainage systems. By developing these

systems and facilities plus the functions of owning and selling or leasing

land for development, substantial control can be maintained over physical

growth and population distribution in the center and the surrounding rural

areas.

Federal, state and local planners can influence and control the growth

development of these centers through the administration of Federal and state

grants. The municipal land corporation would act as the sponsor for the New

Towns, Model Cities and Urban Renewal programs of the Federal Government.

In addition, Federal funds for the development of transportation systems,

water supply, waste treatment and drainage systems are also available.

Furthermore, revenue sharing provides funds to states and local governmental.
units for the development or improvement of the commu@ity infrastructure

and of essential public services.

At the state level,state governments would have to enact the enabling

legislation for the formation of these municipal land corporations. In

addition, they would have to appropriate funds for the corporation until

it becomes self-sustaining. Perhaps new Federal programs can be instituted

to aid these states in the formation and support of these corporations.

459

Local governmental units, county and city, would also participate

in the planning process. In effect, the municipal land corporation would

be the city's and/or county's planning agency. Enabling legislation could

include provisions in the organizational structure of the corporation for

combined city, county, and state control over growth and land use develop-

ment. The local governmental units' stake in this process would be that

of having an economically viable and esthetically appealing community.

Federal and state aid to these centers would not necessarily be

continuous. For once the target population of a center is reached, Federal

and state aid could be transferred to other potential growth centers.

Growth would not cease, but it would be reduced in rate, and the mechanisms

for controlling haphazard growth will have been established.

The second element that could be used to control growth in growth

centers is implementation of the local government reform concept. As

stated previously, this element could complement both the municipal land

corporation and the New Towns and Model Cities elements of a population

redistribution program.

The application of this concept would broaden the scope and control

of municipal governments over the environmental, social, political and

economic problems associated with growth and population distribution within

a growth center. From past experience in larger metropolitan areas, it

can be seen that many of the problems associated with growth or the lack

of growth and economic vitality are not restricted to local political

jurisdictions.

Problems of poverty, environmental degradation, police protection.,

fire protection, health, and education are problems that could detract

from a city's competitive.position for growth. In addition, the cost of

460

these services has created tremendous strains on local and state governmental

fiscal resources. Within the context ofthe growth center element, these

problems could be mitigated or even eliminated before they get out of hand.

The solution lies in limiting the number of political jurisdictions in these

centers in order that workable coalitions can be formed to anticipate, plan

for, and solve the problems associated with growth.

The first phase, already discussed, involves entering into'contractual

arrangements with either the municipal government of the growth center or

with a county unit of government that would service the needs of the center

and the region. Initially, these might include municipal water supply and

waste treatment facilities, drainage systems, educational systems, health

services, police and fire protection. As growth continues, the second phase

could be initiated that would form an Urban-County municipality type local

government. Functions would be expanded to include land use planning and

control and perhaps the formation of a municipal land corporation that would

act as the planning arm of this governmental unit. This Urban-County

governmental unit would have in its governing body representatives of the

urban center itself, representatives of any suburban community in the

periphery of the center, plus representatives of county governmental units.

This unit of government would assimilate the taxing authority of municipalities

and oversee the growth and development of the metropolitan center. Powers

could i.nclude control over air and water quality and participation in

Federal and state programs on housing, urban renewal, welfare, health,

education and so on.

The final phase would then consist of expanding the jurisdiction of

the metropolitan government to include surrounding counties as they develop

into urban oriented entities. The metropolitan government would then consist

of.representatives from all counties and municipalities within the,

461

jurisdictional boundaries of the government. These boundaries would be the

combination of perimeter boundaries of existing counties, thus mitigating

the problem of changing hi.storically established boundaries throughout a

state.

The key to successful implementation of this element is the state

government. It would mean"perhaps constitutional changes in "home rule"

states and the return in some cases of the power over the municipalities to

the states. The original power alignment would thus be restored.

MAJOR METROPOLITAN AREAS AND CENTRAL CITIES

The third aspect of a national population redistribution Droqram

presents@planner& perhaps their biggest challenge. It is within these

large metropolitan centers that are found the most intractable social,

economic and political obstacles to improving the quality of life for all

who live and work *in them. The barriers are many and need not be detailed

here. They can be summed up by the term social injustice. Even after two

hundred years of nationhood, large segments of the citizenry are denied

effective access to the processes of public decision-making.

The basic goals are much the same as those of the intermediate size

cities. They include: upgrading the quality of life for the poverty

stricken groups in central cities; revitalizing central city areas to make

them an attractive Tocational option for firms and i-ndividuals; and

stemming the suburban growth that'continues to,gobble up open spaces, drain

the resources of central cities and perpetuate the geographical separation

of blacks and whites.

462

Perhaps the most important element in dealing with the problems in

these areas is implementation of the local government reform concept. The
application of this concept in the present case might include: 1) control

over suburban growth either through control of land use by a metropolitan

government or perhaps the formation of municipal land corporations;
2) broadening the tax base of the metropolitan area where income distribution

programs can be instituted to revitalize communities with declining

resources; 3) effective control of environmental degradation; 4) the ability

to carry out Federal and state programs that would contribute toward

upgrading the quality of housing, increase the income, and increase the

quality of job training, education, health, and welfare services primarily

in central city areas for low-income people; and 5) the development of an

integrated system of communities with transportation and communication

linkages that offer all residents equal opportunities for employment

throughout the metropolitan area. As stated previously, the impetus for

such urban reform should come from the state level and will require, in

many cases, major changes in the traditional relationships among states,

counties and municipalities. The catalyst for this change could be the

Federal Government through a grant-in-aid program designed to support local

government reform programs.

At the Federal level, there should be a consolidation and recasting

of existing programs. One such reform could be a part of the New Towns

and Model Cities element previously discussed and implemented through,

possibly, a municipal land corporation, an Urban County, or a metropolitan

type government. The consolidation of Federal programs would provide for

the development of public facilities, housing stocks, recreational facilities,

open spaces and the refurbishment of existing housing stocks. It could also

463

include the development of mass transit systems, parking facilities and a

general revitalization of central business districts.

A second element that can be used in these large metropolitan areas

is the municipal land corporation element. Assuming for the time being that

meaningful municipal reform does not take place, it would still be possible

for the-states to establish these corporations in large metropolitan areas.

The corporation would perform the vital function of planning and control-ling

land use in the metropolitan area and its periphery. Given the powers,

it could contribute substantially in revitalizing central city areas and it

could stem the migration of the white community to the suburbs by restricting

land use in the periphery of metropolitan areas. New housing, or rehabilita-

tion of existing housing stocks utilizing the New Towns and Model Cities

element could be encouraged in central city areas. Population densities

could be controlled by specifying the type of residential development that

could occur. Furthermore, the corporation would be able to develop a

comprehensive plan for the orderly expansion and growth of the whole metro-

politan area, while preserving open spaces and enhancing the livability of

the metropolitan community.

FINAL COMMENTS

A national population redistribution program must meet certain criteria.

First, it must be flexible. Population growth rates and patterns of distribu-

tion have shown a facility for fairly rapid change in this country. Therefore,

the program must be sufficiently flexible to accommodate further changes in

the future. Second, a Population redistribution policy must be acceptable,

not just to the President.and Congress, but to the courts, and to many, if

not most, of the corporate and individual interests that will be affected by

464

the policy. The poor may feel ill-served by Presen t patterns of distribution,

but it should be kept in mind that these patterns reflect deliberate choices

of the affluent who may well resist major changes. Third, the policy must
be workable. Governments must have themeans to implement a policy that is

sufficient to the task and that enj.oys broad public support.

It was mentioned early in, the chapter that gov ernmental programss

like the highway program, have had substantial unintended effects on pop-

ulation distribution. However, it is doubtful whether attempts to turn,

these public policies and programs directly to the task of achieving a

salutary population distribution will be politically acceptable. The

existing programs serve other powerful-interests and otherimportant objectives

that will not be abandoned. However, an awareness of their distributional

consequences must be recognized and publicized..

The human resource programs, designed to provide health, welfare,

education, job training, and job placement services to those poor lost in

the distributional shuffle have been.with us for many years. They have not

as yet proven to be workable solutions to distributional problems. Many

analysts would argue that these programs are no t generally acceptable to

the American public and, as a result, have not been given the support

necessary to make them work.

Substantial government subsidies will be needed to make the Growth

Center and the New Town and Model City elements of an overall population

distribution strategy work. The task of deflecting growth from large

metropolitan areas to these smaller areas is a monumental one, and may well

be beyond our capacity.

465

The reorganization of local governments into regional units has been

attempted in a few places in this country with very mixed results. There

is substantial resistance, especially among suburbanites, to any plan that

would encroach on local autonomy.. In most states, the annexation or

consolidation of suburbs is a cumbersome process. The residents of suburbs

have great-political power at all levels of government and it seems unlikely

that their wishes will be denied.

The present patterns of population distribution serve the interests

of many, but create a multitude of.problems as well. Many government

programs have attempted to deal with these-problems. For the most part they

have been unsuccessful in changing the pattern of population distribution.

As for the present, it seems that@-the nation is yet,a long way from implement-

ing a national population distribution policy.that would be flexible,

acceptable, and workable.

466

Appendix

The Province of Ontario has been confronted with the problems

associated with rapid population growth for several years. The provincial

government, recognizing the importance of planning for balanced growth,

sponsored the research of Geral'd Hodge of theUniversity of Toronto, who

developed an analytical model to identify growth poles in Eastern
Ontario (1966). 66

The model is based on the use of both multiple regression analysis
and factor analysis. Multiple regression analysis was used to determine

the degree of association between variables of urban development and

community performance. Factor analysis was then employed to identify any

underlying community traits common to all communities. These traits

emerged as clusters of the original variables. Thirty-two variables

were used in the study and these were reduced to seven clusters or

traits common to all the communities. The performance (or score) of

these traits then measured the growth potential of a particular community.

The thirty-two variables were grouped into four general categories:

(1) Demographic and Social Characteristics; (2) Physical Development;

(3) Geographic Situation and (4) Economic Base. Table A shows the

list of variables used in this analysis.

The purpose in using these many variables stems from the fact

that no single variable is sufficient to describe the real nature of

growth and development. By measuring the interrelationships of a large

number of variables, it is hoped that the complicated nature of urban

growth and its problems can be defined.

467

The first step in this procedure is to derive the statistical

relationships between all.variables. This is defined as the degree to

which one variable of urban development is found to exist in the presence

of another variable. The relationships are expressed in terms of

numerical values and correlation coefficients (r), and are interpreted

literally as the probability in which one could expect variables to

coexist.- The numerical relationships developed in the Hodge model

are shown in Table B. When the value is negative, an inverse relationship

exists between two variables. As an example, with a fast growing

population (variable 2) the age of the housing stock (variable 20) is

less likely to average over 20 years. From Table B, it will be noted

that the correlation between these two variables is -71, an.indication

of a high degree of inverse correlation.

From this the.problem is one of identifying groups or clusters

of interrelationships, since individual correlations do not permit a

'positive statement of the causes and effects of urban development. The

basis for using factor analysis to identify the groups or clusters of

interrelations is that urban development and the interaction between

communities is not a random process. It actually occurs in a variety
.of more.or less regular patterns.67 For example, one would expect the

interactions of people, housing and jobs to result in a condition that

takes on order and uniformity. Jobs, income, and housing would indicate

the quality of housing or socio-economic status of a particular

community. Thus, the primary objective of factor analysis is to identify

the traits and their statistical bases that apply to the set of cities

or towns being analyzed.

468

The traits emerge from the factor analysis and distinct clusters

of the original variables. The clusters, because of their statistical

properties, are the dimensions (or traits) or urban development. Each

dimension is made up of a linear combination of all the variables and

is somewhat similar to a linear regression equation. Some variables are

more dominant than others and their factor loading, like a regression

coefficient, characterize the relationship that exists. Factor loading,

then, is a measure of the degree of closeness between each variable and

the (dimension) cluster. The actual scores of each community in each

.dimension can then identify the performance of a community relative to

the performance of other communities. Each community will achieve some

score in each of the dimensions, however, the differences between the

scores of various communities will provide a method or ranking the

performance of one community against others. The dimensions (or traits)

then can be thought of as explaining the interrelationships of people,

events and physical environment in urban centers or as an indicator

of the interrelationships that have occurred in the past.

In the Canadian experience, ten dimensions were extracted from the

analysis of the 32 variables. However, only seven were considered as

being meaningful and statistically reliable. The dominant factor loading

of each variable either positive or negative, then suggested the

definition of each dimension. Again, negative loadings indicate that

as the variable increases in importance the value of the dimension

decreases. The seven dimensions plus the type of score that would

indicate potential growth are shown in Table C.

469

The--intent of the.foregoingAescription of the Canadian effort

was to illustrate-the princi@pal features of the-Hodge model. Insofar

as we are aware, no,similar,model has been developed,in the United

States.. The approach appears to have,much merit. It would be a

relati,vely simple matter, to devel-op variables comparable to those -used.

in the Canadian study for the United States and to*use the,model to

determine potential growth poles or centers in the U.S.

470

TABLE A

Variables Used in the Analysis of Urban

Development in Eastern Ontario
CIJARACTZRI'STICS OF U7BANI CE! .. !T:-,RS CODE

Demographic and Social Characteristics:
I. Popuiation bize, 1961 POPULA
2. Population Change, 1951-1961 POPCHA
3. Population Under 15 Years, 1961 POPU15
4. Population Over 65 Years, 1961 POP065
5-1 Protestant Religious Affiliation, 1961 POPROT
6. Roman Catholic 'Religious Affiliationp 1961 POPRCA
7. French Speaking Population, 1961 POPFRE
8., English Speaking Population, 1961 POPENG
9. Immigrant Population Since 1945, 1961 PD,2%5
10. Education Attainment of University Level, 1961 UNIVER
11. Education Attainment of Grade 11 or Better, 1961 GRAD11
12. Population Density, 1961 POPDEN
g.ve;o
Physical D rr:2e:
13. Va-L,-*.e Invest me nt/Ca pita ' 1964 CAPINV*
14. Intensity of Private Investnent (Value),Acre,
1963 INTASS.
15. Investment In Public Utilities, 1963 UTILIT
16. Level of Locally Provided Services, 1963 LOCSER
17. Investment in Commercial Property, 1961 INCOP-24
18. Investment in Industrial Property, 1961 ININDU"
19. Median Value of Dwellings, 1961 14VALDU
20. Dwellings Built Before 1945, 1961 DUSOLD'
21. Dwellings with Furnace Heat, 1961 DUFU01
22. Dwellings with Hot-Cold Water, 1961 DU1 1CWA
23. High School Quality 1963 HSQ1JAL
24, Hospital Quality, 064 HSFQUA

Geographic Sit uation:.
25. Location of Nearest Competing Center, 1961 NEARES
26. Time-Distance to Nearest Metropolis, 1961 Nll@ TTO
27. Highway Access, 1964 HIGHWA

Economic Base:
26. Labor ce in Planufacturing, 1961 EMPMAN
29. Labor Force in Services, 1961 E-1-TSER
30 Average Family Earnings, 1961 FAIj5@RN
31: Male/Female Employment, 1961 E!ITSEX
32. Level of Retail Services, 1961 LEVRET

Source: Gerald Hodge, The Identification of'Growth
Poles' in Eastern Ontario (Toronto; Ontario Department
of Economics and Development, 1966), P. 17.

TABLE B

Correlations Among,Variables of Urban

Development, Eastern Ontario, 1961

Variablen 1 2 3 4 5 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27

I POPULA ...
2. POPCHA 06.
3. POP 115 -05 64 ... (Decimals Omitted)
4. POF065 -21 -62 -76 ...
5. rOF'a0T -1) -12 -39 38 ...
D. PMCA 12 10 38 -35 -99 ...
7. F 0 P F '11 L' 08 04 27 -20 -83 84
S. POP,,7:@ -09 -04 -27 2o 83 -84 -99 ...
9. PL 7:45 25 48 11 -38 30 -33 -32 32
10. U NIV r, R 2b 21 13 -28 -13 09 08 -08 28
11. 33 ` -03 -29 28 -31 -33 33 57 68 ...
12. F 0 *P.:' @@! i 32 16 03 -34 -42 41 41 -42 10 17 17
13. CAPIi-V 38 -21 -20 -07 12 12 -o6 06 21 30 41 13
1-4. 1 i.,,r., S S 58 05 -09 -32 -27 26 27 -27 21 26 37 90 42 ...
15. UTILIT 08 -02 -06 -01 18 -23 -15 15 07 15 12 00 08 01
16. LO(',FI;R 43 02 -12 -24 13 -15 -11 11 36 30 50 23 52 49 18
.17. I7;C0!2-'. 10 02 -15 20 -06 06 -03 02 -12 18 05 -06 -07 -07 10 12 ...
18. 1 i! I N-"U -01 -06 19 -28 -07 07 01 -01 -07 01 00 -08 50 06 08 15 -39 ...
19. ::'1TAT,DU 49 27 -05 -37 04 -05 -01 01 60 36 70 1,6 44 65 -04 2 01 -02 ...
20. W 'I SOLD - I @' -71 -49 65 20 -18 -11 11 -56 -24 -33 -34 07 -29 10 -11 -03 18 -51,
21. 3@ 30 -01 -29 19 -20 -13 13 45 29 63 25 39 44 07 46 -08 00 67 -1.1,
28 -29 -22 21 45 30 63 27 33 42 21 63 -04 11 65 -34
N,": (-':@A 20 , 27 -05 -:7'
!!.3;, 1 1, 25 03 -07 - 6 -07 05 03 -03 21 31 49 28 22 38 10 1,5 18 00 49 -17 47 53
I,!; i 17 -01 -13 -07 12 -01, -11 11 03 02 1,9 10 1. It 18 21 31, 13 04 34 -01 26 2.8 21
25. S 82 05 -04 -17 -18 14 08 - OS) 1/* 26 @8 13 24 40 14 26 -09 37 -15 26 17 27 9
2. 5. t 7, n-"i"PO -26 05 12 -C6 12 -15 -32 32 -04 04 --()7 -1-8 20 -35 06 -08 30 -09 -37 06 -31 -@2 16 -15
2'1. HI(',1' "IA 50 -04 -V -17 -07 05 -()1 01 24 @O 35 57 32 68 03 61 22 -09 55 -19 31 111 t; 4 33 39
21. PN' -10 -20 -04 .-12 19 -10' -11 18 14 -22 -07 -13 33 -02 -03 26 -42 64 03 19 -07 (-112 -07 -04 -19 -03 @08
19. @'.NPSVR 04 33 10 -13 -20 19- 05 -05 20 30 20 20 -17 11 -06 -03 49 -54 27 -31 07 03 15 16 18 21 22
30. A! '@-R N 42 35 17 -53 03 -06 -03 03 55 59 80 31 42 48 10 58 -10 13 77 -53 65 70 46 24 35 -18 41
-JIPS@_x .-23 27 41 -16 -10 09 0j -03 -09 07 -19 -25 -02 -33 09 -37 -08 19 -43 00 -17 -25 -27 -30 -20 31 -43
32. LEVI-L@Z 98 06 -08 -22 -14 12 0 -08 24 26 35 34 37 61 10 52 14 01 54 -18 37 12 33 25 83 -24 57

0ource Gerald Jjodge, 2R.@@iLt. , p. 18.

Lfj f-

TABLE C

Measurement of Potential Growth Centers

Dimension General Score Level for
Potential Growth

Physical Development High positive scores

French/English High negative scores

Population Age High negative scores

Industrial/Comm rcial Development High negative scores

Population Size High positive scores

Educational Level High positive scores

Compact Development High negative scores

Source: Gerald Hodge, 2R.cit., pp., 19-21; Table was developed from data
presented in text of study.

473

REFERENCES AND FOOTNOTES CHAPTER XII

1This chapter draws on data presented in the final report of the
Commission on Population Growth and the American Future. See
relevant references cited.

2U.S. Bureau of the Census, Stati stical Abstract of the United States
1971, (92nd edition; Washington;.Government Printing Office, 1971),
TaS-le No.1, p. 5
3Ibid., Table No. 3, p- 6.
4Ibid., Table No. 57 p. 48.
5The Commission on Pop ulation Growth and the American Future, Population
and the American Future, (Washington; Galley Proof, 1972), pp.
Iley 1-4 - 106.
6Ibid., p. Galley 1-6.

7
.U.S. Bureau of the Census, op. cit., Table No. 7, p. 10.
.8 Ibid., Table No. 5, p. 7, Series C projections.
9Number of children per family needed to achieve zero population growth
(ZPG). Current statistics (Business Week, March 4, 1972) indicate
that in certain reproductive cohorts (age groups) we are below this
rate.
10 The Commission on Population Growth and the American Future, op.
cit., p. Galley 1-6.
11 Ibid., p. Galley 1-7.
12 U.S. Bureau of the Census, op. cit., reference 2, Table No. 17, p. 18;
Based on existing metropolitan population base and rate of increase
for series C projections to the year 2000.
.13 National Goals Research Staff, Toward a National Growth_Policy:
Population Distribution Aspects, Washington, D. C., March 1970,
p. 17.
14 Ibid., Chart 8, Note: The results of Pickard's study were included
in the cited reference. For more detailed information see "Dimensions
of Metropolitanism" by Jerome P. Pickard, Urban Land Institute,
Washington, D..C., 1967.

474

15 The Commission on Population Growth and the American Future, op: cit.,
p. Galley 2-6.
16 U.S. Department of Agriculture, Economic Research Service, The Economic
and Social Condition of Rural American in the 1970's - Part 1
@Washington: Government Printing Office, 1971@, pp. 12 and 13.

17
U.S. Bureau of the Census, op. cit., Table No. 18, p. 19.
18 The Commission on Population Growth and the American Future, op. cit.,
p. Galley 2-11.
19 Ibid., p. Galley 2-11.
20 Ibid., p,. Galley 3-4. Note: There is some discrepancy between the total
poverty figures shown in the, Commissions' report and relevant statistics
from other sources. The total shown in the report does not equal the
sum of its components. The sum does, however, agree with statistics
from other sources.

21
Ibid. , p. Galley 3-4.
22 Ibid.

23
U.S. Department of Agriculture, Part 1', op. cit., p. 2.
24 Lloyd Rodwin, Nations and Cities, Houghton Mifflin Company, Boston,
1970, p. 236.
25 Ibid.,, pp. 241-242.
26 Lowdon Wingo, "Issues in a National Urban Development Strategy for
the United States," Urban Studies, Resources for the Future, 1972j
P. 5.
27 The President's National Advisory Commission on Rural Poverty, The
People Left Behind (Washington: Government Printing Office, 1
p. 93.
28 Taken from Figure 14.

47.5

29
[email protected]. Department of Agriculture,, Economic Research Service-, The Economic
and Social Condition of Rural America in the 1970's, Part 3
-FWa-shington: Government Printing-Office, 1971), p. XII. This part
presents an in-depth study by Dr. Fred Hines, of ERS into the
Distribution of Federal Outlays Among U.S. Counties.

30
.United States Congress, Urban Growth and New Communi@X Development Act
of 1970, Title VII, Section 701.
31 United States'Congress, Agricultural Act of .1970, Title IX, Section
901(a).
32 The 30 million people on farms in 1940 would have grown to 60 million
under.conservative natural increase assumptions and zero out-
migration rates. The present rural farm population is less than 10
million. (See Wingo, op. cit., p. 43).
33 The President's National Advisory Commission on-Rural Poverty,
op. cit., p. 143; Charles L. Schultze, 'et al., Settin_g National
Priorities: The 1971 Budget, Brookings Institution, Washington,
D. C. 1970, pp. 172-174.
34 U.S. Department of Agriculture, Part 3. op. cit., pp. XII-XIII,
32-33.

35 Ibid.., p. XII, 21-24.

36
Article, "The Land Boom at a Texas Airport," Business Week, March 11,
1972, pp. 116-117.
37Donald N. Rothblatt, Regional Planning: The Appalachian Experience,
D. C. Heath and Co., Lexington, Mass., 1971, pp. 1-64.

38
Lloyd Rodwin, op. cit., reference 25 at pp. 225-235.
391bid., pp. 227-228.
401bid., p. 228.
4lLowden Wingo, op. cit., pp. 24-41.

4.76

42 Alfred Weber, Theory of the Location of Industries, trans. Carl J.
Friedrich (Ch-i"cago and London: University of Chicago Press, 1929).
43 Walter Izard, Location and Space__Economy (Cambridge: The M.I.T.
Press, 1956);-General Theory: Social, Political, Economic, and
Regional (Camb'ridge; the M.I.T. Press, 1969).
44 National Water Commission, Population Growth in Communities in Relation
to Water Resources Policy, Rivkin/Carson Inc., Washington, D. C.,
1971, pp. 12-14.
45 Walter Izard, Location and Space Economy, op. cit. p. 176.
46 I-bid.$- p. 182.
47National Water Commission, op. cit., p. viii.
481bid$ p. 20.
49Steven S. Fuller, Doctoral Thesis, 1969,, p. 320.
50 Charles L. Schultze et al., Settinq National Priorities: The 1971
Budget, The Brookin@s -Institution-.Washington, D. C. 1970, pp. 94-96.
51 Ibid.!, p. 95.
52 Ibid, p. 98.
53 Ibid, p. 98.
54 Marion Clawson, American Land and It's Use, Resources for the Future,
Inc., Washington, D. C., 1971
55 John W. Reps, The Future of American Planning - Requiem or Renaissance,
Cornell University: Center for Housing and Environmental Studies,
1967, pp. 47-48.
56 Ibid., p. 53.
57 Ibids p. 53.

477

58 Ibid, p. 54.

59
Ibid, pp. 58-59.

60
Charles L. Schultze et al., op. cit., pp. 55-160; Charles L. Schultze
et al., Setting National Priorities: The 1972 Budget Brookings
Institution, Washington, D. C., 1971, pp. 134-237.
61 Ibid.
62 U.S. Bureau of the Census, op. cit., reference 2.7, Table No. 612,
p. 397.
63 The terms rural area and non-metropolitan cities refer to areas having
a density of less than 100 persons per square mile and cities having
a total population of less than 50,000, respectively.
64 United States Congress, Senate.Committee on Agriculture and Forestry.
Revenue Sharing Program for Rural Development. Hearings before
Subcommittee, 92d Congress lst Session, on S. 1612, April 23;
April 29; May 3 and 4; June 16 and 17; July 8 and 9, 1971. (Washington:
Government Printing Office, 1971).
65 U.S. Bureau of the Census, op. cit., reference 2, Table No. 1, p. 5.
66 Gerald Hodge, The Identification of Growth Poles in Eastern Ontario,
a study for the Ontario Department of Economics and Development,
Toronto, 1966.

67
Ibid, p. 17.

478

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Nft;m
wft
Ift

1.
llulflllmlllll@@
3 6668 00000 2701

THE GREAT LAKES OF THE

UNITED STATES AND CANADA

A Reader on
Management Improvement Strategies

The work upon which this report is based and its publication and distribution
were supported by funds provided by:
The United States Department of the Interior, Office of Water Re-
sources Research, as authorized under the Water Resources Rekarch
Act of 1964, as amended (OVvRR # C-5305);
The New York State Sea Grant Program, United States Department
of Commerce, National Oceanic and Atmospheric Administration
(SUNY.# 15-8110-B); and
The Institute of Water Resources, U. S. Army Corps of Engineers.