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A model for regional governance

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Title:
A model for regional governance the case for Envision Utah
Alternate title:
Case of Envision Utah
Creator:
Carrier, Amy L. ( author )
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English
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1 electronic file (293 pages) : ;

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Regional planning -- Utah - -- Greater Wasatch Front ( lcsh )
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bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

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As regions grow, they face increasing demands on their limited resources to solve problems ranging from environmental preservation to health care access, from transit challenges to education quality. While some regions chose to address these demands on a fragmented basis, or rely on government or sector-specific organizations to come up with solutions, many regions are now employing comprehensive, collaborative approaches. This thesis focused on the effectiveness of one such regional governance model—Envision Utah—and that model’s success in achieving growth management goals. This dissertation seeks to answer the following questions: 1) What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth? 2) What resources do those coalitions draw upon to initiate action? 3) How do regional coalitions successfully transition from initial formation to planning to execution? 4)How do regional coalitions focused on growth management measure success?5) What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? This dissertation uses a single case study design, examining the efforts of Envision Utah, a regional coalition based in the Greater Wasatch region of Utah. Three methods of data gathering were employed—an archival review of selected documents, a set of in-depth semi-structure interviews, and an online survey—resulting in an analysis employing a triangulation of data. Additionally, a regional typology was developed using examples of three additional regional coalitions to provide a comparison for the primary case study. The analysis found that recognizing a region’s history is critical when considering growth management policy. Each region’s history is unique, and that history plays a significant role in directing how a region evolves and responds to new opportunities. The informal institutions within a region—including culture and shared values—directly impact the effectiveness of growth management in the region, and inform whether growth management policies can change, and how. The analysis also found that civic capital—particularly strong leadership, effective citizen engagement, and high levels of trust—is essential to the development and implementation of successful growth management policies. More importantly, however, is how regional coalitions harness that civic capital and use it to build consensus and collaboration.
Thesis:
Thesis (Ph.D) - University of Colorado Denver.
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Includes bibliographic references
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System requirements: Adobe Reader
General Note:
School of Public Affairs
Statement of Responsibility:
by Amy L. Carrier.

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|University of Colorado Denver
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|Auraria Library
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All applicable rights reserved by the source institution and holding location.
Resource Identifier:
944456471 ( OCLC )
ocn944456471
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LD1193.P86 2015d C47 ( lcc )

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Full Text
A MODEL FOR REGIONAL GOVERNANCE:
THE CASE OF ENVISION UTAH
by
AMY L. CARRIER
B.A., Trinity University, 1997
M.T.S., Weston Jesuit School of Theology, 2001
M.P.P, Georgetown University, 2003
A thesis submitted to the
Faculty of the Graduate School of the
University of Colorado in partial fulfillment
of the requirements for the degree of
Doctor of Philosophy
Public Affairs Program
2015


2015
AMY L. CARRIER
ALL RIGHTS RESERVED
11


This thesis for the Doctor of Philosophy degree by
Amy L. Carrier
has been approved for the
Public Affairs Program
by
Allan Wallis, Dissertation Chair
Tanya Heikkila, Examination Chair
Jessica Sowa
Bruce Goldstein
Scott Fosler
August 20, 2015
m


Carrier, Amy L. (Ph.D. in Public Affairs)
A Model for Regional Governance: The Case of Envision Utah
Thesis directed by Associate Professor Allan Wallis
ABSTRACT
As regions grow, they face increasing demands on their limited resources to solve
problems ranging from environmental preservation to health care access, from transit
challenges to education quality. While some regions chose to address these demands on a
fragmented basis, or rely on government or sector-specific organizations to come up with
solutions, many regions are now employing comprehensive, collaborative approaches. This
thesis focused on the effectiveness of one such regional governance modelEnvision
Utahand that models success in achieving growth management goals.
This dissertation seeks to answer the following questions:
1. What factors lead to the formation of new regional coalitions, particularly for the
purpose of managing growth?
2. What resources do those coalitions draw upon to initiate action?
3. How do regional coalitions successfully transition from initial formation to
planning to execution?
4. How do regional coalitions focused on growth management measure success?
5. What determines whether a regional coalition becomes a formal institution, shifts
its focus and/or adapts its purpose, or dissolves entirely?
This dissertation uses a single case study design, examining the efforts of Envision
Utah, a regional coalition based in the Greater Wasatch region of Utah. Three methods of
data gathering were employedan archival review of selected documents, a set of in-depth
IV


semi-structure interviews, and an online surveyresulting in an analysis employing a
triangulation of data. Additionally, a regional typology was developed using examples of
three additional regional coalitions to provide a comparison for the primary case study.
The analysis found that recognizing a regions history is critical when considering
growth management policy. Each regions history is unique, and that history plays a
significant role in directing how a region evolves and responds to new opportunities. The
informal institutions within a regionincluding culture and shared valuesdirectly impact
the effectiveness of growth management in the region, and inform whether growth
management policies can change, and how. The analysis also found that civic capital
particularly strong leadership, effective citizen engagement, and high levels of trustis
essential to the development and implementation of successful growth management policies.
More importantly, however, is how regional coalitions harness that civic capital and use it to
build consensus and collaboration.
The form and content of this abstract are approved. I recommend its publication.
Approved: Allan Wallis
v


for John
vi


ACKNOWLEDGEMENTS
This dissertation would not exist if it werent for the many, many years of guidance
and encouragement by my advisor, Dr. Allan Wallis. His continued efforts and belief in
what I could achieve helped me past all the roadblocks, both personal and academic. I am
profoundly grateful for his support and patience.
I am also deeply indebted to Robert Grow, Kristine Widner, and Ari Bruening of
Envision Utah for answering my seemingly endless questions and spending time with me as
my ideas began taking shape. They, along with the numerous Envision Utah partners who
shared their stories with me, have accomplished something incredibleit has been an honor
to work with them. I first met Robert in 2003I a new staff member with the Alliance for
Regional Stewardship, for which he served as a board memberbefore I started my studies.
Even then, I recognized that what was happening in the Greater Wasatch region was truly
extraordinary. It was while sitting with Robert in a hotel ballroom in Salt Lake City, long
after other conference attendees had gone home, that the seeds of this dissertation first took
root.
During my time at ARS I met countless individuals who cared so deeply about the
regions they lived in, and who were always willing to help me understand why the work they
did was so critical. Many of themDeborah Nankivell, Shelley Lauten, Doug Henton
encouraged my research; their contributions, found throughout this dissertation, are much
appreciated.
To my parents and friends, who knew when to nudgeand perhaps more
significantly, when not toI thank you.
Vll


Above all, however, stands everything that I owe John Parr. He took a chance and
hired methe child of an old friendto manage ARS, and by doing so opened my eyes to a
new world. John believedmore than anyone I knewand lived for the work that we were
doing with regions across the country. John, his wife Sandy, and daughter Chase were killed
in a heartbreaking roadtrip accident at Christmas 2007; their younger daughter Katy survived
and is now pursuing dreams of her own. I think of them often.
vm


TABLE OF CONTENTS
CHAPTER
I. INTRODUCTION........................................................ 1
The Challenges of Governing Regions................................. 1
Purpose of Study.................................................... 2
Methodology......................................................... 4
Organization of Study............................................... 6
II. EFFECTIVE COLLABORATION: COALITIONS AND SUCCESSFUL
REGIONAL GOVERNANCE.............................................. 8
Introduction........................................................ 8
Growth Management and Smart Growth.................................. 8
Regional Governance................................................ 21
Regional Coalitions................................................ 31
III. TOWARDS A THEORETICAL FRAMEWORK.................................... 36
Introduction....................................................... 36
Urban Regime Theory................................................ 36
Historic Institutionalism.......................................... 40
Social Capital..................................................... 52
Civic Capital...................................................... 56
Selecting a Theoretical Framework.................................. 62
IV. METHODOLOGY........................................................ 64
Introduction....................................................... 64
Basis for Research................................................. 65
IX


Research Design
70
Outcomes................................................................ 73
Contextual Factors...................................................... 74
Mediating Factors....................................................... 81
Field Research Methods.................................................. 82
Analysis and Documentation.............................................. 88
V. CASE STUDY: THE GREATER WASATCH REGION, UTAH............................ 90
Introduction............................................................ 90
Crossroads of the West.................................................. 91
The Coalition for Utahs Future: Addressing Growth in Utah............. 104
Envi si on Utah........................................................ 109
Designing a Region..................................................... 115
Promoting Quality Growth............................................... 121
Implementation......................................................... 126
Outcomes and Impact.................................................... 128
Moving Forward: The Future of Envision Utah............................ 137
VI. FINDINGS............................................................... 140
Introduction........................................................... 140
Outcomes............................................................... 141
Contextual Factors..................................................... 145
\ II. REGIONAL TYPOLOGY...................................................... 166
Introduction........................................................... 166
Regional Profile: Central Florida/Orlando.............................. 167
x


Regional Profile: Greater San Diego........................... 177
Regional Profile: Fresno/San Joaquin Valley................... 185
Regional Typology............................................. 195
Summary....................................................... 196
VIII CONCLUSION.................................................... 204
Introduction.................................................. 204
Research Questions............................................ 204
Theory Fitting................................................ 217
Policy Implications........................................... 222
Limitations of the Study...................................... 226
Suggestions for Future Study.................................. 228
REFERENCES...................................................... 229
APPENDIX
A INTERVIEW PROTOCOL............................................ 248
B CONFIDENTIAL INTERVIEWEE SECTOR IDENTIFIERS................... 249
C INTERVIEW TOPIC CLUSTERS...................................... 250
D SURVEY INSTRUMENT............................................. 251
E SURVEY RESPONSES.............................................. 253
F ENVISION UTAH PARTNERS AND SPECIAL ADVISORS AT TIME OF
FOUNDING................................................... 258
G ENVISION UTAH BOARD OF DIRECTORS: JANUARY 1,2015............ 265
H ENVISION UTAH SCENARIO ANALYSIS............................... 269
I TIMELINE OF ENVISION UTAH PROCESS AND SELECTED
PROJECTS................................................... 274
xi


J
ADDITIONAL INTERVIEW RESPONSES
277
xii


LIST OF TABLES
TABLE
4.1 Contextual factors and expected relationship to regional outcomes............... 80
4.2 Distribution of interviews conducted............................................ 85
4.3 Distribution by sector of surveys conducted..................................... 88
5.1 Projects completed or under construction by UTA as of November 2013............ 133
6.1 Survey results: Regional issues................................................ 142
7.1 Central Florida regional profile............................................... 176
7.2 San Diego regional profile..................................................... 184
7.3 Fresno/San Joaquin Valley regional profile..................................... 195
7.4 Regional typology.............................................................. 197
7.5 Sectors and actors represented in regional coalitions.......................... 200
xiii


LIST OF FIGURES
FIGURE
4.1 Role of mediating factors in regional growth management.................... 81
5.1 Greater Wasatch region, Utah............................................... 91
5.2 Utah land ownership........................................................ 93
5.3 Evolution of and relationship between regional organizations in the Wasatch
region.............................................................. 110
5.4 Wirthlin Worldwide diagram demonstrating Utah residents values and
priorities.......................................................... 114
5.5 Growth scenario insert.................................................... 121
5.6 UTA rail system map as of May 2015........................................ 132
5.7 UTA annual transit ridership by year...................................... 133
7.1 Map of Central Florida.................................................... 168
7.2 Map of San Diego.......................................................... 178
7.3 Map of Fresno County...................................................... 185
8.1 Process sequence in regional growth management............................ 214
xiv


CHAPTER I
INTRODUCTION
The Challenges of Governing Regions
As the world becomes more global and the problems we face become more
complex, organizations are findingregardless of whether they are private, public, or
nonprofitthat they are not capable of addressing these problems by themselves. The
challenges we face are no longer confined to one sector, or even to one countrythey have
become inter-jurisdictional and cross-sectoral in nature. As a result, we are turning more
frequently to alternate governance structures to reach across these boundaries (Witte et al.
2002; Agranoff and McGuire 2001; Booher 2004; Keast et al. 2004; Scott 1998; Wohlstetter,
Smith and Malloy 2005).
Metropolitan regions have increasingly been exploring the potential of new forms of
governance (Leccese and McCormick 2000; Weir 2001; Niedt and Weir 2007). They
recognize that many of the issues that face one community are common to the other
communities in the same region, and that collaboration among not only the numerous
governments, but also organizations in the private and nonprofit sectors may be the most
efficient and effective manner of addressing those issues.
Most frequently, regional governance has been utilized as a method of increasing
regional economic competitiveness. More recently, however, regionalism has moved beyond
a focus on economics to address issues regarding the environment, quality of life, and
community equity. Instead of creating new forms of government, the New Regionalism
focuses on governance. Coalitionsone particular mode of governanceform across
sectors and jurisdictions, and typically are developed to address the delivery of services, but
are at times formed to address larger issues (Marks 2004).
1


Recently, there has been an increased focus on coalitions as the most appropriate
governance arrangement by which to address regional issues. While coalitions have been
defined in a number of ways, what nearly all of the definitions highlight is the inclusion of
multiple interests working together to address a shared concern or issue (Weir 2001;
Berkowitz and Wolff 2000; Weir, Wolman and Swanstrom 2005).
Today, metropolitan regions are facing numerous challenges, including decreasing
quality of life, loss of economic viability, diminished sense of community, and lack of
environmental amenities. According to the USC Lusk Center for Real Estate (2001),
suburbanization has resulted in urban-suburban diseconomies in service provision, massive
outlays for infrastructure, increasing traffic congestion, deteriorating air quality and loss of
open space. Unmanaged growth is also seen as carrying a high social cost involving a loss of
community and local identity, as well as an increase in health issues (Scott 2007).
As regions have looked for ways to address growth, they have turned to new
structures of regional governance, including voluntary coalitions. While these coalitions
often have distinctive characteristics specific to their particular region, there are striking
similarities among many, both in the issues they are attempting to address, the goals they are
setting for the region (and for the coalitions themselves) and the processes used to both
define those goals and how to reach them. Above all, these coalitions emphasize that growth
does not have to be mismanaged, haphazard, or without regard for the ideals of the citizens
who live in the region.
Purpose of Study
This dissertation builds on existing research on regional governance and coalition
building to demonstrate how growth management has been addressed at the regional scale.
Rather than testing hypotheses, theory fitting, was employed, whereby two theorieshistoric
2


institutionalism and civic capitalwere used to direct this study. This allowed the researcher
to determine whether the theories provide a robust explanation for the observed development
in the case study, and whether the study in turn contributes to the development of the
theories. The research questions that this study is based on are:
1. What factors lead to the formation of new regional coalitions, particularly for the
purpose of managing growth?
2. What resources do those coalitions draw upon to initiate action?
3. How do regional coalitions successfully transition from initial formation to
planning to execution?
4. How do regional coalitions focused on growth management measure success?
5. What determines whether a regional coalition becomes a formal institution, shifts
its focus and/or adapts its purpose, or dissolves entirely?
It is presumed that regions that are able to construct robust regional growth initiatives
do so by building upon existing institutions including influence networks that are specific
and unique to the region. Without pre-existing structures that serve as a foundation, it is
significantly more difficult to gain public trust and to foster participation and collaboration
among community leaders and organizations. This dissertation also assumes that pre-
existing institutions as well as the emergence of regional growth coalitions are supported by
the civic capital of a region. Civic capital emphasizes the importance of civic entrepreneurs
in building networks that lead to collaborative efforts. The presence of strong civic capital
implies that culture, trust, and leadership are critical to the success of regional growth
initiatives. Lastly, the questions above imply that decisions made regarding a coalitions
process are key to the success of that coalition in realizing its goals. By demonstrating the
3


strength and impact of such an initiative in the greater Wasatch region of Utah and by
studying the evolution of institutional arrangements, it may be possible to better evaluate the
capacity of other regions and their potential pathways towards achieving effective
governance.
Methodology
This dissertation uses a single case study design, within which mixed-methods were
used to collect and analyze data (Yin 2008). Data collection for this research was conducted
in three phases: review of relevant documents; one-on-one interviews with key players in the
region; and a survey of coalition members. Additionally, a regional typology was developed
using examples of three additional regional coalitionsSan Diego, Fresno, and Central
Florida / Orlandoto provide a comparison for the primary case study.
Case Study: Envision Utah
The population of the Greater Wasatch region of Utaha six-county, 23,000 square
mile area in the northern part of the stateis expected to nearly triple in the next 50 years
(Envision Utah 2006). The region itself is significantly limited in the amount of developable
private land available: land that is bounded by both geographic limitationsmountains,
lakes, and desertas well as public land which restricts urbanization. The growth expected
by the region offers a number of challenges. Quality of life, cost of living, environmental
qualityall will be impacted by the increase in population (Envision Utah 2003).
In 1997, the Utah Quality Growth Public/Private Partnership, also known as Envision
Utah, grew out of the Coalition for Utahs Future in an effort to find ways to address these
issues. Over 130 stakeholders were initially asked to join the Partnership, including
representatives from state and local government, business leaders, developers,
conservationists, landowners and church and citizen groups (Envision Utah 2003). The
4


leadership of Envision Utah understands that no one organization or sector, not even the
government, will be able to realize these goals alone; nor does it attempt to do so itself.
Instead, it has entered into partnerships with local and state government, developers, civic
groups, environmentalists, businesses and corporations, and other stakeholders to pursue a
number of initiatives aimed at achieving their goals of enhanced air quality; increased
transportation choices; preservation of critical lands; conservation of water resources;
increased housing opportunities, and maximize efficiency in public and infrastructure
investments. (Envision Utah 2003).
As a result of the success of its efforts, Envision Utah has received numerous awards
from such organizations as: the American Planning Association, the U.S. Department of
Housing and Urban Development, the Environmental Protection Agency, the Urban Land
Institute, and the American Society of Landscape Architects. In addition, it has presented its
process and initiatives to over 50 communities throughout the United States and even
internationally. Numerous regions have aspired to duplicate its efforts, with varying degrees
of success.
This region was selected because of both the similarity of the case to other rapidly
growing regions, but also because of its differences. The Greater Wasatch region has taken
significant steps to address growth. It has engaged in a visioning process, worked with
citizens to assess and quantify their values, and developed growth scenarios with those values
as a basis. The region is committed to growing in ways that spur economic development
while protecting environmental resources, promoting housing and transit options, and
maintaining a strong sense of community (Envision Utah 2003).
5


However, the region is unique in that: 1) expected population growth will be largely
the result of natural growthi.e., the majority of the new population will be bom in the
region to current residents (62% of whom were born in the state of Utah), who will
themselves remain in the region and 2) the population of the region has a common set of
values influenced by the presence of the Church of Jesus Christ of Latter-Day Saints (LDS
Church) (63% of the states population belongs to the Church)a circumstance not seen in
any other major metropolitan region in the United States (Envision Utah 2003). The Church
itself has been a major driver in regional and economic development. These two factors set
the region apart from others in both their efforts to collaborate as well as their success in
addressing regional issues.
Organization of this Study
This dissertation is organized in eight chapters. Chapter 2 introduces regional
approaches to growth management, including a history of growth management in the United
States and a discussion of regional governance and regional coalitions. Chapter 3 explores
four theoretical frameworks that have been utilized by regional governance scholars,
including the twohistoric institutionalism and civic capitalthat were used to inform this
study. Chapter 4 describes the methodologies utilized in this study and outlines both the
contextual and mediating factors within which the coalition operated, as well as the basis for
research.
Chapter 5 is a narrative description of the primary case studythe Greater Wasatch
region of Utah and the efforts of Envision Utah to address growth in that region. That
chapter begins with an overview of the regionboth its geography and historyand then
outlines the historical context for the formation of Envision Utah and the process they have
undertaken to make their vision a reality. The chapter concludes with a discussion regarding
6


the future of the organization and the region. Chapter 6 provides an analysis of the data
gathered through the various methodologies, including a review of each factor and its
presence in the case study.
Chapter 7 is a regional typology in which three additional regional governance
efforts are profiled. Each profile introduces the region both in terms of geography and
demographics, describes the challenge(s) facing the region, outlines the process taken by the
region including the development of any regional coalitions or organizations, and concludes
with achieved results. These profiles are not meant to serve as additional full case studies,
but rather to allow for some comparison between these cases and the Greater Wasatch region,
and provide a greater understanding of how and why regional coalitions are formed. Finally,
Chapter 8 returns to the research questions and revisits the two proposed theories, discusses
the limitations of the research, and identifies policy implications arising from the results of
the analysis as well as possible directions for future study.
7


CHAPTER II
EFFECTIVE COLLABORATION: COALITIONS AND SUCCESSFUL REGIONAL
GOVERNANCE
Introduction
As regions look for ways to address growth, they are turning to new structures of
regional governance, including voluntary coalitions. This chapter presents a history of
growth managementprimarily in the United Statesfollowed by a discussion of regional
governance, including some of the factors that lead to successful governance. Next there is
an overview of regional coalitions, including approaches to building regional coalitions and
common elements of efficacious coalitions.
Growth Management and Smart Growth
The United States has experienced unprecedented growth in the 20th century, and
witnessed the dawn of the suburbs. Where once the majority of the population lived within
core cities, families have migrated to the suburbs, where they live, shop, and work. They are
buying bigger homes that consume more acreage than houses in more urban areas (Below
2000).
The automobile was largely responsible for this transformation. After World War I,
personal ownership of a car made it easier for families to travel and to live outside city limits.
As ownership of automobiles increased, the government eagerly built networks for
boulevards, parkways, and expressways that served as armatures for dispersing development
more widely (ULI 1998, 5); resulting in even greater migrations to the suburbs (Below
2000; Fishman 1987).
8


Since World War II, the population of our cities has decentralized and
suburbanized, in a manner that is often referred to as urban sprawl (OConnell 2005, 1).
Suburban areas increasingly focused on their own employment, retail, educational, health
care, entertainment, and recreational needs, and contributed little to downtown expansion
(Filion 2003). If anything, the impact on downtowns was negative, as retail, employment,
and recreational activities moved from cities inner core to the suburbs. The Brookings
Institution (2001) estimates that the amount of urbanized land in the United States increased
from 51 million acres in 1982 to 76 million acres in 1997an increase of 47 percent, during
a time when the population only increased by 17 percent. During that time, residential
densitythe number of people living in an urban area, divided by the amount of residential
landincreased in only six percent of the nations 281 metropolitan areas; the majority of
cities became less dense, as the population moved out of the inner core into the suburbs
(Lucy and Phillips 2001).
Beginning in the 1960s, communities began exploring growth management policies
as a way to both limit new growth and dictate the shape and manner of that growth. Initially,
growth management was concerned primarily with environmental preservation and the
limitations of existing infrastructure (Porter 1996; Pallagst 2007). In the 1960s, growth
management manifested itself as boundaries, staging and growth caps [which were]
implemented in addition to existing planning and zoning regulations (Pallagst 2007, 20).
Growth management policies were implemented by either single communitiessuch as
Boulder, Colorado, Boca Raton, Florida, and Petaluma, Californiaor by states (Pallagst
2007).
9


State growth management became more common in the late 1960s and early 1970s,
as states employed land use policies in order to address environmental protection goals.
Hawaii was the first state to put environmental-focused growth management policies into
practice, developing a statewide planning program in 1961 that established four planning
zonesurban, rural, agricultural, and conservation. Perhaps the best known example of
state-implemented growth policy, however, took place in 1973 in Oregon. The state passed
legislation that partially shifted growth-control power from local governments to the state,
combining various land-use methods. Like Hawaii, Oregons initiative grew out of
increasing environmental concerns. The extraordinary growth in population prior to 1970
had put pressure on the carrying capacity of the environment, on the fiscal capacity of city
governments, and on the states tolerance of new residents (Pallagst 2007, 22).
Several Oregon organizations, including the Land Conservation and Development
Commission, the Department of Land Conservation and Development, and the Land Use
Board of Appeals (a policymaking group, an administrative body, and an independent
tribunal, respectively) were given the authority to implement the program, based on 19 state-
wide goals. One of the aspects of this initiative that sets it apart was the involvement of the
public in setting the goalsin fact, one of those 19 goals is citizen involvement. A key
element in the policy is 20-year growth boundaries, defined by a citys projected need for
urbanization (Pallagst 2007).
Growth management in Oregon was not without its critics, according to Pallagst
(2007). Developers and property owners argued that growth control policies infringed on
individual property rights, and resulted in higher land prices and housing values.
Additionally, critics of growth management pointed out that while growth caps and
10


boundaries decreased the amount of growth, they did so without consideration for economic
or social consequences. Developers were disinclined to build in communities with growth
caps because of limits on housing starts. Also, a number of communities used growth caps as
an excuse to eliminate affordable housing from new developmentsthus excluding families
with lower incomes, and creating elite communities. As growth management matured,
many cities adapted their growth management programs to ensureeven requirethat a
certain number or percentage of affordable housing units be included in new developments
(Pallagst 2007).
During the 1980s a number of states, encouraged by local initiatives and Oregons
state model, began to place growth management on their planning agendas. Additionally, the
1980s saw an increase in public involvement in local growth management strategies, as
collaborative approaches to growth regulation emerged. As Knaap and Nelson (1992) point
out, the popular approach to land use politics presumes that the adoption and sustenance of
land use policy is influenced by the interests of the local population (Knaap and Nelson
1992, in Pallagst 2007, 25). Growth management strategies of the 1980s attempted to
integrate matters of economics, environmentalism, infrastructure, and quality of life.
Sustainable Development
The issue of population growths impact on the environment was put in the spotlight
in 1972 when the United Nations Conference on the Human Environment was held in
Stockholm in response to increasing concerns about the consequences of increasing global
development. The idea of sustainable development grew out of the hope of a compromise
between the needs of the developing world and the conservation goals of industrialized
nations.
11


In December 1983, Norwegian Prime Minister Brundtland chaired the World
Commission on Environment and Development (WCED), an independent commission tasked
with re-examining global environmental and development problems and formulating
strategies to address them. Perhaps the best known definition of sustainable development
came out of the WCED: development that meets the needs of the present without
compromising the ability of future generations to meet their own needs (EPA 2009).
In 1992, an Earth Summit was held in Rio de Janeiro. National leaders were
presented with the Declaration of Environment and Development as well as the Agenda for
the 21st Century (Agenda 21), which detailed global issues at the intersection of
environment and development, and laid out a course of action for achieving sustainability.
Among the various chapters in Agenda 21 was Chapter 28also known as Local Agenda 21,
which stresses the importance of sustainable development at the local level.
Local Agenda 21 laid out a number of objectives, including increased international
cooperation by local authorities, enhanced information exchange, and implementation of
programs that would ensure inclusion of women and youth in decision making, planning and
implementation of sustainability-focused programs. Through Local Agenda 21, local
authorities were directed to achieve sustainable development within their communities, in
consultation with citizens and stakeholders (Kobler 2009).
One year after the Earth Summit in Rio de Janeiro, President Clinton established the
Presidents Council on Sustainable Development (PCSD), and tasked the council with
creating policies that would encourage economic growth and job creation while ensuring
environmental protection. The Council included representatives from government, business,
the environmental movement, civil rights organizations, and others.
12


The PCSD held more than 40 public meetings and workshops over six years. The
Council released a number of reports, including its final report in 1999 containing numerous
recommendations for sustainable development including the need for collaborative decision
making as well as collective responsibility and stewardship, and laid out the relationships
between economic development, social equity, and environmental quality as well as national
security.
The Emergence of Smart Growth
In the early 1990s, a new trend in growth management developed (Bollier 1998;
Filion 2003). A growing chorus of urban planners, environmentalists, farmers, [...] mayors,
governors, and others emerged, calling for an end to sprawl and a new vision of
urban/suburb an collaboration and regional growth management (Bollier 1998). As Henry
Richmond and Peter Calthorpe stated:
Unrestrained sprawl around our cities is generating profound environmental stress,
intractable traffic congestion, a dearth of affordable housing, loss of irreplaceable open
space, disinvestment in our inner cities, and lifestyles which burden working families and
isolate elderly and singles. We are using land-planning strategies which are 40 years old and
no longer relevant or affordable to todays culture. We are still building World War II
suburbs as if families were large and had only one bread winner, as if jobs were all
downtown, as if land and energy were endless, and as if another lane on the freeway would
end traffic congestion. It is time to overhaul the American Dream, returning to the values
and patterns of our traditional townsdiversity, community, frugality, and human scale
(Bollier 1998, 2).
The new regionalism emerged in the early 1980s (Wheeler 2002). In North
America, New Regionalism refers to urban regions that are attempting to construct a
13


framework for coherent socio-spatial development (Wallis 1994). New Regionalism also
focuses on partnerships, cooperation and volunteerism within regions (Scott 2007).
Consequences of Growth
Adverse consequences of unmanaged growth include air pollution and an increased
production of greenhouse gases, increased congestion and longer commute times, a lowered
quality of life, rising business costs, the loss of rural and natural land, and increased costs of
maintaining infrastructures in low-density and automobile-dependent suburban
environments, isolation of inner city residents, and increased local taxes that go to pay for
roads and other new infrastructure projects (Benfield, Raimi and Chen 1999; Bollier 1998;
Filion 2003; OConnell 2005; OMeara Sheehan 2001).
Today, metropolitan regions are facing numerous challenges, including decreasing
quality of life, loss of economic viability, diminished sense of community, and lack of
environmental amenities. Suburbanization has resulted in urban-suburban diseconomies in
service provision, massive outlays for infrastructure, increasing traffic congestion,
deteriorating air quality and loss of open space. Unmanaged growth is also seen as carrying
a high social cost involving a loss of community and local identity, as well as an increase in
health issues (Scott 2007).
During the 1980s and 90s, various organizations began to address the issue of growth.
The National Resources Defense Council, the Sierra Club, and the National Governors
Association made combating sprawl one of their highest priorities. Growth control became
the central theme at meetings of planners, architects, and transportation engineers (Gillham
2002). In 1993, these professionals formed the Congress for the New Urbanism (CNU); in
14


1996 CNU published a charter containing principals of new urbanism, through which they
hoped to combat urban sprawl (Katz, et al. 1994; CNU 2011).
In 1996, the Environmental Protection Agency collaborated with a number of
organizationsboth governmental and nonprofitto form the Smart Growth Network
(SGN). Current partners of the SGN include environmental groups, historic preservation
organizations, professional organizations, developers, real estate interests, and local and state
governments.
Defining Smart Growth
It is important to recognize that smart growth is not anti-growth (Anderson and
Tregoning 1998; Beaumont 1999; Filion 2003; McMahon 1997; Mitchell 2004). The
problems caused by sprawl are not necessarily problems caused by growth, but are instead
problems caused by inefficient, unplanned growth. Growth is inevitable, as all policy makers
realizeindeed, development is critical for maintaining and improving communities
(Audubon 2001). The critical element for successful growth is public sector planning, done
with attention focused on the future, rather than the here and now. Smart Growth is NOT
no growth; rather it seeks to revitalize the already built environment and, to the extent
necessary, to foster efficient development at the edges of the regions, in the process creating
more livable communities (Scott 2007, 15).
Smart growth can be understood as a comprehensive strategy of regional
sustainability that suggests economic efficiency, environmental protection, a high quality of
life and social equity can be achieved through concerted and negotiated land use policies
(Scott 2007, 17). What sets smart growth apart, according to the Environmental Protection
Agencys Smart Growth Network, is its ability to make the link between development and
15


quality of life. Most scholars (Anderson and Tregoning 1998; Audubon 2001; Beaumont
1999; Briechle 1999; Mitchell 2004; ULI 1998) agree that smart growth build[s]
community, protects] the environment, and promote[s] economic health (Bollier 1998, 3).
Existing definitions of smart growth vary widely (Bierbaum 2001; Mitchell 2001;
Nolon 2001). The Environmental Protection Agency defined smart growth as high density,
mixed use, transit oriented development (Staley 2000). Smart growth is intended to address
many of the issues facing urban areas today, including community quality of life, design,
economics, the environment, health, housing, and transportation (Smart Growth Online).
Smart growth proponents recommend moving future developments from the suburbs
to urban centers; infill development and the reuse of brownfield sites; the development of
mixed-use communities as well as land-use patterns that support walking, cycling, and public
transit use; an increase in public transit funding; and the protection of green space within and
around cities (Freilich 1999; Filion 2003; Gillham 2002; Katz 1999; 2002; Pierce 1999).
Metropolitan Regionalism
A number of proponents of smart growth argue that the only way to achieve real
smart growth is through regionalism. When local jurisdictions compete against each other,
adopting beggar-thy-neighbor solutions, the common good invariably suffers. Much of the
problem stems from a void in governance. There is simply no appropriately sized
governmental body to address such public good issues as the environment, open spaces,
traffic congestion and racial equity. These problems are typically too big for localities to
solve alone, but too small for the federal or state governments to manage directly (Bollier
1998, 33).
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Metropolitan regionalism is not a new conceptindeed, theories around regional
design date back to the late 1800s (Hall and Tewdwr-Jones 2011). Since WWII, however, it
has taken on new significance. Since the early 1990s regionalism has grown more
comprehensiveno longer focused on economics; now, environmental issues and concerns
over quality of life have moved to the forefront. There has been a shift from top-down
initiatives to collaboration and new forms of governance. The practice of regionalism is
supported by social capital the idea that relationships of trust, participation in civic
associations and a sense of community are basic resources for successful governance (Scott
2007, 18). Regionalism attempts to bring representatives together to adopt a broader
temporal and spatial view of their own interests (Evenden 1995; Scott 2001; Scott 2007,
17).
Most metropolitan regions have regional planning organizations, but these
organizations either have limited authority around specific issues (transportation, waste
management, etc.), or have no actual authority at all, being advisory bodies only. As can be
seen in Denver, Colorado, the issues of transportation and congestion, water, affordable
housing, economic development, and the environment are not limited to the city boundaries.
The city and all its neighboring communities and suburbs are facing the same problems; and,
in the case of Denver, some of those problems affect the entire state (e.g., Denvers water
supply comes from the western side of the Rocky Mountains).
Growth Management at the State Level
A number of states, including Florida, Maryland, New Jersey, and Oregon, have
chosen to implement regional planning and growth management. According to Bollier
(1998), states that have seen a higher level of effectiveness have:
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helped local governments manage growth,
given financial incentives to towns and regions to prepare comprehensive plans,
established goals and performance measures to evaluate progress, and
engaged in educating communities, local officials, citizens, and developers about
the impacts of growth and tools that can be used to address those impacts (Bollier
1998, 36).
States that attempt to address growth at the state-wide level tend to perform well in an
area that is a high priority for that state, but perform poorly in areas that they do not
emphasize. Marylands land preservation programs, including state funding for the purchase
of farmland conservation easements, led to successful protection of natural resources,
whereas the state did not place an emphasis on providing affordable housing. States can be
successful at growth management, but to do so they must pay close attention to program
structure and transparency, functional linkages and program design, and program
sustainability and monitoring (Ingram and Hong 2009).
In 2006, scholars and researchers at the Lincoln Institute of Land Policy asked the
question how effective have state programs been in achieving their commonly shared smart
growth goals? (Ingram et al. 2009, 10). To answer this and other questions regarding the
success and strength of state-administered smart growth programs, the Institute conducted a
study of statewide smart growth policies from 1990 to 2000. Included in the study were four
states with established state-mandated smart growth policies (Florida, Maryland, New Jersey
and Oregon), and four states (Colorado, Indiana, Texas and Virginia) that do not have
statewide policies, but are known for other local or regional land management programs
(Ingram et al. 2009).
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The goal of the study, which used 52 indicators from the U.S. Census Bureau as well
as other state and local datasets, was to examine effectiveness in five smart growth
objectives:
1) Promoting compact development,
2) protecting natural resources and environmental quality,
3) providing and promoting a variety of transportation options,
4) supplying affordable housing, and
5) creating net positive fiscal impacts (Ingram et al. 2009, ix).
The key finding of the study was that statewide programs are neither necessary nor always
sufficient to achieve a states smart growth objectives, but the existence of such programs
often does facilitate progress on those objectives. Of the eight states included in the study, at
least one of the smart growth states performed best on each objective, yet a smart growth
state often was also found to perform well below the average for each objective (Ingram et al.
2009).
A key to a states success in achieving a smart growth objective, the study found, was
the priority of that objective. The higher the priority, as defined by the state, the more likely
the state was to realize success. Objectives that were of little priority often did not do as well
(Ingram et al. 2009). The message is clear: achieving smart growth is possible, but states
have to remain focused on their key policy goals. No single approach is right for all states,
and the most successful states use a variety of regulatory controls, market incentives, and
institutional policies to achieve their objectives (Ingram et al. 2009, ix).
The study found that there were common linkages between smart growth objectives.
For example, states that ranked high on achieving transportation objectives also did so with
19


regards to development patterns. The study also found that states with strong fiscal balances
and modest development in rural areas saw greater land preservation and conservation
(Ingram et al. 2009).
In those states that do not have statewide smart growth programs, those that provided
supportive and enabling conditions for municipalities or regions to pursue smart growth
objectives saw greater success in the achievement of those objectives than those states that
did not deliver such conditions (Ingram et al. 2009, 147). Colorado is one such example,
where several metropolitan areas on the Front Range have implemented similar smart
growth programsessentially simulating a statewide program (Ingram et al. 2009, 147).
The research found that smart growth programs can and do achieve smart growth
goals, countering the smart growth impossibility theoremthe assumption that historic
growth patterns and behaviors are so entrenched that they cannot be changed (Ingram et al.
2009, 147). However, the mixed results of the study demonstrate that the priorities of the
statesand how efforts were focusedhave a significant impact on the realization of smart
growth objectives (Ingram et al. 2009).
The authors of the study developed a number of recommendations that would allow
states to improve the efficacy of their smart growth policies. The recommendationsten in
totalwere grouped within three categories: program structure and transparency, functional
linkages and program design, and program sustainability and monitoring (Ingram et al.
2009).
Society
In addition to the perhaps more obvious issues of the environment and the economy,
there is also a sociological component to smart growth. Many people feel that sprawl has led
20


to the atomization or fragmentation of communitiespeople do not identify themselves as
part of a neighborhood any more. We have become a commuter culture. The sense of
community, so treasured after World War II, has been all but lost (Putnam 2000).
Additionally, sprawl has often led to segregationboth racial and economic. By
developing communities consisting of only one style of home, and typically within only one
price range, we have created islands of segregation among the population. Recently,
developers and city planners have worked to design neighborhoods with multiple housing
types (with a broad range of prices), in an attempt to attract people from multiple
socioeconomic levels. Not only do these communities have multiple housing options, they
also include a variety of retail, corporate, and other sectors, providing both employment and
important services. Often, these communities are built nearor includepublic transit,
making it easier to travel to/from home or work (Denvers Stapleton and Salt Lake Citys
Gateway communities are two examples of such initiatives).
Smart growth has been linked with an improved quality of life (Audubon 2001;
Godschalk 1992; Innes 1993; Mitchell 2004). Merriam states that good planning and
appropriate regulation are essential to protecting the publics health, safety, and general
welfare (Merriam 2003, 2). Smart growth holds the potential of bringing about quality of
life improvements in the form of shorter journeys and a broader range of life-style options.
Regional Governance
To address region-wide issues, including growth management, metropolitan regions
have increasingly been exploring different forms of regional governance (Leccese and
McCormick 2000; Weir 2001; Niedt and Weir 2007). They have recognized that many of the
issues that face one community are common to the other communities in the region, and that
21


collaboration among not only the numerous governments but also the organizations of both
the private and nonprofit sectors may be the most efficient and effective manner of
addressing those issues.
Traditional forms of governance have been found to be insufficient to handle the
scope of the issues. The question arises, how should regional challenges be addressed, and
by whom? The limitations on traditional governance models and the distribution of
authority due to the nature of complex local problems demand a new model of leadership
(Chaiton, et al. 2000, 6). OLeary, et al. (2006) stated that collaborative public management
[...] describes the process of facilitating and operating in multi-organizational arrangements
to solve problems that cannot be solved or easily solved by single organizations.
Collaborative means to co-labor, to cooperate to achieve common goals, working across
boundaries in multi-sector relationships. Cooperation is based on the value of reciprocity
(OLeary, et al. 2006, 6).
Few organizations have the power or resources to accomplish their missions alone
(Goldsmith and Eggers 2004; Innes and Booher 2004; Milward and Provan 2000; Marks
2004). Governancethe process through which political decisions are made and policy is
implemented through democratic engagementis increasingly carried out by networks that
often include not only government agencies, but also private and nonprofit organizations
(Agranoff and McGuire 2001; Comfort 2005; Goldsmith and Eggers 2004; Keast et al. 2004;
Milward and Provan 2000).
The increasingly complex challenges facing public managerschallenges that cannot
be addressed by existing structures or single organizationshave been raised by numerous
scholars (Agranoff 2006; Bryson et al. 2006; Kettl 2006; McGuire 2006; Thomson and Perry
22


2006), as has the need for collaboration to address those challenges. Cross-sector
collaboration is increasingly assumed to be both necessary and desirable as a strategy for
addressing many of societys most difficult public challenges (Agranoff 2006, 56).
Collaborative public management is not a new concept; there is ample evidence, McGuire
tells us, that public managers have practiced collaborative management for decades
(McGuire 2006). Kettl states that it is nearly impossible to find any significant, successful
public program that has been administered through a single agencys jurisdiction.
Interorganizational, intergovernmental, and multisectoral coordination are critical in
American public administration (Kettl 2006).
It is, Kettl goes on to say, the responsibility of government to find a way to leverage
its partners and align their activities so that efforts are coordinated, efficient, effective, and
responsive. Devising new strategies to bring public administration in sync with the
multi organizational, multisector operating realities of todays government requires a
collaborative, network-based approach (Kettl 2006, 17).
Traditionally, regional governance was utilized as a method of increasing regional
economic competitiveness. Long-term economic health cannot be achieved alone, but
depends on surrounding communities; additionally, quality of life is dependent on the overall
health of the greater region (Marks 2004).
Proponents of regional governance argue that cross-jurisdictional problems demand
cross-jurisdictional solutions, and that cross-jurisdictional solutions demand cross-
jurisdictional coalitions (Marks 2004, 30). The central challenge of regionalism is the
developmentand continued maintenanceof these coalitions. For many local officials,
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regionalism is communities joining together for collective benefits, joint efforts to fix
regional problems, and working with other cities to provide services (Marks 2004, 30).
Regionalism is no longer focused solely on economics, but also addresses issues
regarding the environment, quality of life, and community equity. Old Regionalism
focused on creating new forms of government as alternatives to city government control.
Reformers advocated for consolidation, agglomeration, or annexation that would give central
cities control over the entire region, with the purpose of overcoming fragmentation (Wallis
2009). New Regionalism on the other hand focuses on governance, particularly on the
engagement of multiple stakeholders. Partnerships form across sectors and jurisdictions, and
typically are developed to address the delivery of services, but are at times formed to address
larger issues (Marks 2004).
Leadership
While collaborative governance, by definition, involves a coalition of multiple
organizations working together, there remains the need not only for coordination of efforts,
but also for the promotion of the networks goals and activities. The majority of networks,
even those with a lead organization, include an individualor group of individualswho
serve as the networks champion (Agranoff 2006). That individual typically is the head of
a public agency or nonprofit organization, one that is usually among the founding
organizations of the networkindeed, that individual quite frequently may be largely
responsible for the actual formation of the network. The champion is someone who can raise
the visibility of the network, advocate for its purpose, influence decision makers, and add
validity to the networks efforts. Additionally, Weir, Wolman and Swanstrom (2005) argue
that new coalitions require a representative in the legislaturea critical legislative mover
24


a political/policy entrepreneur; someone who can underscore the overlap between city-
suburban interest, and can help build coalitions around those interests (Weir, Wolman and
Swanstrom 2005, 750-751).
In addition to a champion, in some circumstances networksrepresented by formal
organizationshave a board of directors and/or a CEO (typically when there is a formal
organization representing that network, such as a regional council). The CEO and board are
instead responsible for keeping the network focused on its goal and moving forward
(Agranoff and McGuire 2001, Goldsmith and Eggers 2004, Crislip and Larson 1994; Provan
and Milward 1995; Provan et al. 2005). It is important to note that the CEO is not always the
champion, but is instead someone brought on board to carry out the goals and vision of the
network and the champion.
Citizen Engagement
Many argue that the collaboration process must also include citizen engagement is
necessary for effective regional governance and success in addressing growth issues.
Cooper, et al. (2006, 76) use the phrase citizen-centered collaborative public management
to emphasize the need to involve the public in the collaborative management processwhich
has not always recognized the value of citizen participation (Cooper 2005; Cooper et al.
2006). Deliberate approaches to engagement are most likely to lead to citizen-centered
collaborative public management, as these approaches are most likely to build citizen
efficacy, citizen trust in government, and citizen competence (Cooper et al. 2006, 79).
Likewise, deliberative approaches are the most like to development the governments trust in
citizens and improve the quality of government response to citizens. These can all be
25


accomplished, suggests Stivers, through the active listening efforts of bureaucrats (Cooper et
al. 2006; Stivers 1994).
A key concern of civic engagement is the diversity of citizen participation.
Deliberative approaches include efforts that seek joint actions across sectors of society and
classes of people. When addressing the issues of citizen trust, efficacy, and responsiveness,
it is important to have as wide and deep a pool of citizens participating in the process as
possible (Cooper et al. 2006). Such approaches are not limited to small communities
indeed, the practice of deliberative democracy has been successfully achieved in cities
ranging from 100,000 to 400,000 citizens.
The importance of citizen participation is highlighted in Goldstein, Wessells, Lejano,
and Butlers 2014 study on narrating resilience. The authors suggest that urban planning
must include citizen dialogue, in the form of storytelling. Their research focuses on the
concept of resiliencethat while change is inevitable, communities can renew and even
recreate themselves in response to necessary change. The authors define resilience as the
capacity to respond to perturbations in ways that maintain some, but not all, aspects of
system structure and function (Goldstein et al. 2014, 2). Resilience, they say, is
characterized as the ability to adapt and transform in response to a chance in circumstances,
rather than simply doing the same thing faster and better.
Goldstein et al. (2014) borrow from the theory of adaptive capacity, stating that
engaging a diversity of stakeholders and knowledge practices, combined with collaborative
problem-solving can enhance a communitys capacity to adapt. Adaptive capacity is
grounded in qualities that include a strong connection to place, ample social capital, dense
social networks, and a positive outlook (Goldstein et al. 2014, 3).
26


The authors state that communities can purse resilience by allowing citizens to tell
stories about what change means to them, and how that change should be achieved. Cities,
they maintain, can be understood as dynamic social-ecological systems, and that shared
narratives can help bring people together within a shared understanding of their social and
natural world (Goldstein et al. 2014, 2). Resilience narratives can help bridge knowledge
practices while binding people together within a partially shared understanding of the social
and natural world, allowing for a diversity of perspectives on possible ways forward
(Goldstein et al. 2014, 1). Through sharing diverse experiences, a community can envision a
shared alternative futureand a path towards that future (Goldstein et al. 2014). Resilience
is not just the capacity for change, but the ability to do so without losing the culture,
community ties, and local traditions (Goldstein et al. 2014, 5). By using narrative to
describe the future, communities can envision change in a manner that isnt damaging to the
community (Goldstein et al. 2014).
Planning, state the authors, is persuasive storytelling. An effective plan is not just a
coherent narrative, but one that pulls together common themes from diverse experiences and
forms them into a shared vision (Goldstein et al. 2014). Storiesboth descriptive and
normativecan be used to frame new alternatives. People act out the stories they tell about
the city, and as a result, the stories influence the design of the city. Stories can invoke an
imagined future and help shape what a city can be (Goldstein et al. 2014, 5). Planning, says
Goldstein et al, cannot be top-down decisions forced upon a community, but instead should
be a means for communities to share their stories and weaving together a collective life out
of their authentic lived experience (Goldstein et al. 2014 6). This kind of collaborative
storytelling allows the community as a whole to determine what the priorities of the
27


community are and how to make those priorities a reality, while taking into account the
diverse perspectives and needs of the citizens (Goldstein et al. 2014). Urban communities
enhance resilience by making sense of their present conditions and possible futures,
combining collaborative problem-solving coupled with reflective analysis-in-action to
accommodate diverse knowledges [sic] and align on a shared future without eliding essential
differences (Goldstein et al. 2014, 14). Through this storytelling, participants come to a
collective identity by revising their relationships with each other and reshaping their
knowledge and assumptions (Goldstein, et al. 2014, 14).
Structure
A variety of organizational structures have been developed in metropolitan regions to
address growth management. Regional planning organizations, tax sharing solutions, special
purpose districts, and city-county mergers are just a few of the arrangements that have been
utilized.
Miller (2002) posits that there are five forms of regionalism that bridge old to
new regionalism:
1. Structural, when there is a change in political boundaries (voluntary or otherwise)
2. Coordinating, where a regional government or planning district is formed, or
when issues are placed before the voters
3. Administrative, when municipalities cooperate to provide services or to share
costs incurred when providing services
4. Fiscal, when municipalities redistribute taxes across the regiontypically utilized
to address fiscal inequity and addressed through tax sharing
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5. Civic, consisting of collaboration between organizations across sector and
jurisdiction to address economic, environmental, and social issues.
While many scholars believe that the structure of collaborative public management is
horizontal in nature, rather than vertical (or, hierarchical), McGuire argues that the
distinction between the two is not as clear as it may seem. He points out that a critical
element of effectiveness in collaborative public management is the presence of a lead
organization that acts as a system controller or facilitator (McGuire 2006, 36).
Collaborative public management, he says, occurs in various settingsboth in a vertical
context and a horizontal one. Kettl states that much administrative work involves
determining how to balance the varying horizontal and vertical forces (Kettl 2006).
Collaborative Networks
One institutional form in which regional governance manifests is collaborative
networks. Collaboration has been defined as a process in which autonomous actors interact
through formal and informal negotiation, jointly creating rules and structures governing their
relationships and ways to act or decide on the issues that brought them together (Thomson
and Perry 2006, 31). Collaborative networks are increasingly being employed to address
regional issues. Within a collaborative network, organizations share responsibility and
accountability for achieving the goals set forth by the network (Crislip an d Larson 1994).
Collaboration is voluntaryorganizations choose to participate and share that responsibility
of their own accord (Crislip and Larson 1994; Gray 1989). Because of these shared
responsibilities, the organizations in the network depend upon one another to achieve those
goals (Imperial 2005; Powell 1990).
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Networks allow for the coordination of activities between organizations of various
sectors. Networks can be highly formal, with rigid bureaucratic structures and set policies
that regulate its activities, or can be as simple as a set of agreements between organizations,
laid out through contracts (Roberts and Hall 2001). The primary focus of networks is on the
relationship between organizations, rather than the individuals that make up those
organizations (Brass et al. 2004).
While some networks involve organizations from a single sector, multi-sector
networksthose that engage government, business, nonprofits, education, and community
organizationsare becoming more prevalent. By bringing in actors from each of these
sectors, networks are able to take advantage of the best of each sector and harness the
knowledge and experience of eachthough interestingly, government has been less likely to
participate in networks to address community issues (Chaiton, et al. 2000).
Collaborative networks, particularly those that are focused on policy issues, have a
horizontal structure, rather than a hierarchical one (Alpert, et al. 2006; Carlsson 2000; Marin
and Mayntz 1991; Schneider, et al. 2003). This is not to say that policy is never developed
within hierarchical structures; the policy network concept simply calls attention to the fact
that the participants in a collective decision process are often linked laterally (or horizontally)
rather than vertically (Marin and Mayntz 1991, 15).
There are a multitude of structures options for collaboration. In 2001, Cigler
identified a continuum of partnerships:
Networking partnerships: organizations working together with very loose
linkages
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Cooperative partnerships: relatively simple in terms of organizational purpose,
with relatively low levels of intensity in linkages and arrangements that can range
from informal to somewhat formal
Coordinating partnerships: organizations that work together with more closely
linked connections, involving tasks that require a commitment of resources
beyond information sharing
Collaborative partnerships: involves strong linkages among members (Cigler
2001).
It is this last partnership model that perhaps best characterizes regional collaborations,
though regional governance characteristically requires an even more formal, organized
relationship. The purpose of collaborative partnerships is specific, complex, and usually
long-term. Such partnerships are multi-organizational, multi-sector, and multi-community.
Resource commitments by participants are significant, and the efforts of the collaboration are
highly visible within the region (Cigler 2001).
Multiple (vertical) levels of government as well as multiple jurisdictions are often
involved in the collaborative process. External experts are often brought in to provide insight
and direction to the efforts. By working collaboratively to address a critical issue in the
region, groups that may typically be adversaries are brought together in ways that allow them
to set aside their differences and find solutions that best address the needs of the region.
Regional Coalitions
Recently, there has been an increased focus on the role that coalitions play in
addressing regional issues. A number of scholars and individuals, including University of
California Berkeleys Margaret Weir, University of Massachusetts Lowells Bill Berkowitz,
31


and the University of Missouri St. Louiss Todd Swanstrom, have written extensively on
regionalism and coalitions. Coalitions have been defined a number of ways. Temporary
alliances of groups and individuals who band together to achieve both political and
nonpolitical objectives or goals (Dluhy 1990, 11); a group involving multiple sectors of the
community, coming together to address community needs and solve community problems
(Berkowitz and Wolff 2000, 2); and a coalition is an organization of organizations working
together for a common goal, building a strong base of power necessary to do something that
one organization could not otherwise do alone (Ceja 1996, 1) are just three of the definitions
used by scholars. What nearly all of the definitions highlight is the inclusion of multiple
interests working together to address a shared concern or issue.
Weir outlines four factors that she considers critical to successful and durable
coalition building: the central role of relationship building among coalition members; the
importance of reframing problems so that coalition members can find common ground;
access to information and the ability to use it; and the ability to work across all levels of
policy-making (from local to federal). Weir also argues that effective influence at both the
state and federal levels is necessary for a coalition to be successful (Weir 2001, 2).
Relationship building is not only the first step in developing successful coalitions,
but, according to Weir (2001), it is the central ongoing task. Many regional issues span
both political boundaries and sectors; coalitions must do the same. In many cases, leaders
and advocates in those arenas may not know one another at the outset. This is particularly
true when coalitions seek to address multiple issues. In order to bring advocates together,
trust must be developed among them. Additionally, coalition members may have access to
other outside capitalweak ties that can lead to increased knowledge, resources, or
32


political influence (Granovetter 1973). Weir recommends building relationships with
individual or groups with power, even if it is not initially clear how they might support the
activities of the coalition (Weir 2001, 3).
The second element of developing successful coalitions is defining common interests.
Regional thinking, Weir says, does not come naturally to many metropolitan actors; nor does
thinking about how to link the interests of the urban poor to the rest of the region. Political
boundaries tend to lead to tunnel vision, where leaders focus on their own particular
communityand their voters (Weir 2001).
One approach, Weir suggests, is to engage in the strategic framing of issues
where frames are defined as the specific metaphors, symbolic representations and cognitive
cues that define the issue (Weir 2001, 4). Leaders, advocates, and community members
should define what the issue really is, and whose interests are involved. By doing so, various
groups who may not have felt they had a stake in the issue will find reasons to be engaged
they find that they are in fact connected through a common interest, concern or goal that they
did not realize they shared (Weir 2001). Schon and Rein refer to this process as frame
reflection. Real situations are vague, ambiguous and indeterminate or complex and rich,
and to make sense of any situation, actors must select the most relevant, and which features
that allow the actor to create a story that explains the situation (Schon and Rein, 26; Conflict
Research Consortium). Each story selects and names different features and relations that
become the things of the storywhat the story is about (Schon and Rein, 26). By
framing the situation, actors often find that their perception of their interests is impacted
(Conflict Research Consortium). Human beings can reflect on and learn about the game of
policy making even as they play it, and, more specifically, [...] they are capable of reflection
33


in action on the frame conflicts that underlie controversies and account for their intractability
(Schon and Rein, 37).
Two other methods of finding common interests are 1) when groups that may initially
oppose one another find that some of their interests complement each other, or 2) by
broadening the action agenda to include multiple interests. Instead of creating new
organizations or institutions, this allows existing organizations to broaden their focus to
address new issues (Weir 2001). Both of these methods allows actors to identify new allies
and redefine the problems facing their community.
A third necessity for successful coalition building is cultivating and building upon
information and expertise. When launching new policy initiatives, having adequate
information can help highlight all sides of a particular issuewhich in turn can bring
common interests to light. New solutions may come to light, or some may be proved more
feasible than others (Weir 2001).
The fourth element that Weir identifies is multi-level political action. Successful
regional collaborations, she states, have the ability to influence policy at both the federal and
state levels. She highlights the limitations placed on collaborators by federal and state
regulations; thus, being able to affect change in those regulations increases a coalitions
chance of success. She also points out the importance of involving state-level decision
makers, noting that few regional organizations have the power to make key decisions and
implement region-wide initiatives (Weir 2001). However, she also points out that in order to
have any influence at the state level, support must be garnered across the stateparticularly
when introducing a new initiative. Grassroots support, Weir says, takes a long time to
develop, and requires framing issues in ways that generate broad appeal across demographic
34


groups, but can result in backing from different parts of the state together in support of that
initiative (Weir 2001). The key, she says, is to break down the silos and find grounds for
cooperation across groups (Weir 2001, 32).
In a separate study on successful regional coalitions, Weir identified three common
elements among those cases considered successful: 1) there was at least one politically
powerful interest that considered a regional approach to be the best method for addressing
concerns, 2) the coalitions were bipartisan in makeup, and 3) any opposing groups were
relatively weak in power (Weir 2000). Weir found that successful coalitions were able to
push throughor blocklegislation that promoted metropolitan regionalism.
In the more successful cases of coalition building, Weir states, social and economic
groups worked together to drive reforms and create discussion rather than the process being
elite-driven. Also, the involvement of environmental, agricultural, and urban interests as
well as sympathetic politicianswith substantial constituenciesare vital to political
mobilization (Weir 2000, 129). Weir also found, in the case of Oregon, that racial
homogeneity has contributed to the success of regional coalitionsthere is not as much
inequality between city and suburban residents (Weir 2000).
One method for creating new coalitions is by encouraging alternative voices in the
suburbs. The new generation of suburban residents is more concerned with quality of life
issues, and may vote to place like-minded representatives in the state legislature.
Additionally, involving suburban consortia within region-wide coalitions may help them
feel that suburban interests and concerns are being heard and addressed (Weir, Wolman and
Swanstrom 2005).
35


CHAPTER III
TOWARDS A THEORETICAL FRAMEWORK
Introduction
This dissertation seeks to answer the following questions:
1. What factors lead to the formation of new regional coalitions, particularly for the
purpose of managing growth?
2. What resources do those coalitions draw upon to initiate action?
3. How do regional coalitions successfully transition from initial formation to
planning to execution?
4. How do regional coalitions focused on growth management measure success?
5. What determines whether a regional coalition becomes a formal institution, shifts
its focus and/or adapts its purpose, or dissolves entirely?
To begin to address these questions, this chapter builds upon the review of growth
management, regional governance, and coalition development presented in the previous
chapter, and explores four different theoretical models, each of which have been employed
by other scholarship to explain regional governance. The four models selectedurban
regime theory, historic institutionalism, social capital, and civic capitalwere each selected
because of their possible applicability to the questions posed above. Each approach is
summarized, with a discussion of its strengths and weaknesses in terms of Chapter 5s case
study on growth management. This chapter concludes with a summary of these theories and
the selection of those that will be used to guide the research.
Urban Regime Theory
One paradigm in which to frame the questions above is Urban Regime Theory.
Urban regime theory concerns who controls public policy in our cities (Hamilton 2002,
36


403). Its primary focus is the relationship between politics and economics, and the
dependencies between the two as they are associated with governance.
Within the realm of urban regime theory, regimes have been defined a number of
ways. Stone (1989) describes a regime as an informal yet relatively stable group with
access to institutional resources that enable it to have a sustained role in making governing
decisions (Stone 1989, 4; in Mossberger and Stoker 2001, 813). In 2002, Hamilton defined
a regime as an informal coalition of public and private interests working together to make
and carry out governing decisions (Hamilton 2002, 404), and in 2004, he described a regime
as a governing coalition of public and private actors sharing a consistent policy agenda that
has a degree of stability (Hamilton 2004, 455).
Urban regime theory is built upon the concept that urban policy making is a result of
a complex relationship between economic and political actors (Hamilton 2002). There is,
Hamilton says, a dependent relationship between politics and economics, and it is the
interaction between actors in these two arenas that results in governance (Hamilton 2002)
and the process of developing governing coalitions (Hamilton 2004, 460). Local
government, he states, is heavily dependent on the cooperation of nongovernmental actors
particularly business and its control of capital, generation of jobs, and provision of tax
revenue and financingto be effective; likewise, business relies on the legitimacy and
policy-making authority of the government to advance its agenda (Hamilton 2002, 2004;
Mossberger and Stoker 2001). Regimes, state Mossberger and Stoker (2001), bridge the
divide between popular control of government and private control of economic resources
(Mossberger and Stoker 2001, 813).
37


Hamilton (2002) states that governance issues that involve solving problems and
implementing policies that effect regional development cannot be adequately addressed
without the involvement of the private sector. Public-private coalitions, then, are an essential
component of new regionalism (Hamilton 2002, 404). He points out that the focus of urban
regime theory is not on the structure of government, but on governance, process and
outcomes (Hamilton 2002, 404).
Urban regime theory, while focused primarily on urban areas, is not limited to that
specific geographic frame. Regimes, according to Stone, are not confined within political
boundaries (Hamilton 2002). If regimes are about politics and governing coalitions outside
of the government institution, they can have a regional perspective (Hamilton 2002, 406).
Business leaders, Hamilton (2002) states, often have a perspective that encompasses the
region. He points out that while voters are tied to specific political boundaries, many of the
issues that they care abouttaxes, housing, education, transportationare not. Meanwhile,
the business sector is often also affected by these same issues (Hamilton 2004). Indeed,
without support and pressure from the business community, local government would have
little interest in regional initiatives. The involvement of business is vital to draw attention to
regional economic issues (Hamilton 2002).
While there are examples of urban regime theory where business is not the principal
faction, such cases are rare. Urban regime theory places particular emphasis on the business
sector as the key non-governmental partner, due in no small part to the resources it controls
(Hamilton 2004; Mossberger and Stoker 2001). The private sector exercises considerable
influence in shaping governing decisions. Part of this is due to high levels of
fragmentation among and within local government (Hamilton 2004). There are few
38


traditional political institutions with governing authority over a region. One challenge this
presents to urban regime theory is that there are few such organizations that the private sector
can collaborate with. In some regions there may be a constituted legal authority over the
region where the private sector can interact to influence policy, but there are few
multipurpose regional political entities (Hamilton 2002, 2004; Mossberger and Stoker
2001).1 Chicago, with its 940 local governments, is a prime example of a fragmented region
(Hamilton 2002). While the working relationship between Chicagos political and business
sectors have generally been positive, those relationships have not typically reached beyond
the political boundaries of the city itself.
For the business community to become involved in regional governance, Hamilton
argues that a crisis or opportunity must often present itself. An identifiable crisis, such as a
threat to economic development, can mobilize the private sector, capture the attention of the
leaders of the community, and energize them enough to become involved. Without any such
crisis or appealing opportunity, the success of new regional initiatives is substantially less
assured (Hamilton 2002; Mossberger and Stoker 2001). While a public-private coalition may
disband once the crisis is averted or the opportunity has passed, there are circumstances
under which they may continue functioning with the intention of addressing other regional
issues (Hamilton 2004).
Broad community support, along with widely-based coalitions, is crucial to the
success of regional public-private alliances (Hamilton 2002). However, just because
representatives from different sectors and organizations agree to collaborate does not mean
that there is a consensus over values and beliefs (Mossberger and Stoker 2001). Participation
1 Because of this lack of multipurpose regional governments, it can be difficult to gamer
voter support for regional initiatives (Hamilton 2004).
39


in these coalitions is often undertaken in order to realize small opportunities. Selective
incentives or even coercion may be needed to secure participation and overcome problems of
collective actions (Mossberger and Stoker 2001). Collaboration over time, however, may
result in consensus regarding policy.
While urban regime theory does provide a framework for understanding regional
governance and growth initiatives, it does not appear to be the most vigorous for a number of
reasons. While Hamilton points out that the civic sector does play a role in regional
governance, there seems to be little emphasis on the importance of the civic sector or citizen
engagement, or the pre-existence of collaborative networks. Indeed, he refers to the civic
sector as a neutral third party that can broker dialogue between government and business,
rather than being a partner in the process (Hamilton 2004). The focus of urban regime theory
is on economics, power, and authority that are undoubtedly necessary yet are not the only
factors necessary for effective regional governance. Nor does urban regime theory touch on
leadership or the presence of civic entrepreneurs within the community.
Similarly, urban regime theory puts very little emphasis on those environmental
factors that are unique to each region, such as history, culture, or shared values. While
Hamilton acknowledges that such factors do have an impact on whether a regime develops
and the effectiveness of the regime, he indicates that it is not possible to be explicit regarding
that impact (Hamilton 2004). Hamilton concludes that there is little evidence of urban
regimes operating on the regional scale.
Historic Institutionalism
Rather than urban regime theory, historic institutionalisma branch of new
institutionalismmay provide a more suitable context for this research. Historic
institutionalism, while also concerned with how policies are implemented, focuses on the
40


underlying institutions that are behind policy formation and change. Historic institutionalism
advances the importance of history, culture, and shared values and provides a framework for
understanding howand whychange occurs. In the context of this study, historic
institutionalism provides at least partial resolution to the questions regarding the formation of
regional coalitions, their transition from formation to execution, and what happens to
coalitions upon reaching (or failing to reach) their goals.
Institutionalism Traditional New, and Historic
Over the past 25-30 years, the study of institutions has undergone a renaissance
within the social sciences. Researchers began questioning whether political and economic
behavior is simply the aggregate consequence of individual choices (DiMaggio and Powell
1991, 2). Previously, behavioralists viewed institutions as merely the sum of the properties
of individuals, and ignored both social context and the durability of social institutions. This
was an oversight, particularly in a world where social, political, and economic institutions
have become larger, considerably more complex and resourceful, and prima facie more
important to collective life (March and Olsen 1984, 734, in DiMaggio and Powell 1991, 2).
Another reason for the recent reexamination of institutions is the question of how
institutions represent optimal responses to social needs (DiMaggio and Powell 1991, 4)
whether institutional arrangements are the result of considerable foresight and inefficient
institutions are eliminated through competition, or if once established, institutions persist
even if they are no longer serving anyones interests.
When discussing institutionalism, it is important to understand that institution does
not necessarily indicate a formal organizationindeed, in most cases, it does not. In society,
institutions can be represented by markets, the family, or the church, or by specific or
41


abstract social organizations such as codes of behavior, organizational routines, or contracts
(Williams 1983). Regional coalitions and collaborative partnerships are also examples of
informal institutional structures.
New Institutionalism
Before the new institutionalism came about, institutions were typically seen as
formal structures, frequently political, including constitutions, cabinets, bureaucracies, etc.
New institutionalism has shifted the emphasis, and while formal structures are still
considered, informal structures such as values and ideas are being taken into account as well.
New institutionalists also give attention to institutional stability as well as the process by
which shared individual values can shape and constrain individual behavior (DiMaggio and
Powell 1991). The new institutionalism in organization theory and sociology comprises a
rejection of rational-actor models, an interest in institutions as independent variables, a turn
toward cognitive and cultural explanations, and an interest in properties of supra-individual
units of analysis that cannot be reduced to aggregations or direct consequences of
individuals attributes or motives (DiMaggio and Powell 1991, 8). New institutionalism
tends to focus on those organizational structures and processes that reach across boundaries,
whether those boundaries are industry, national, or international in scope.
New institutionalism in organizational studies got its start in the mid-1970s. In 1977,
John Meyer published two influential papers (The Effects of Education as an Institution
and Institutionalized Organizations: Formal Structure as Myth and Ceremony) and began
collaborating with W. Richard Scott to clarify and develop institutional principals for formal
organizations. By the mid-1980s, new institutionalism was recognized as a formal theory,
42


with numerous scholars conducting studies on cultures, ritual, ceremony, and higher-level
structures (DiMaggio and Powell 1991).
A question being asked by new institutionalists is, are institutions the reflection of
individual interest, or do they represent collective outcomes that are not just the sum of
individual preferences? Many institutional economists and public choice theorists believe
that institutions are constructed to achieve specific desired outcomes. Yet little attention is
paid to where those desired outcomes have their basethe preferences that feed themor
whether there are feedback processes between interests and institutions (DiMaggio and
Powell 1991).
Sociological institutionalists, on the other hand, question whether the interests and
preferences of actors can be fully understood outside of their cultural and historical
frameworks. Actions, both in form and purpose, are motivated by interests held by people in
specific societies, or institutional domains, that influence those interests. Sociological
institutionalists also question how and why change in institutions occurs. Is change episodic
and dramatic, or incremental and smooth? How does fundamental change occur, and what
are the conditions for change?
New institutionalism focuses on non-local environments, including organizational
sectors within industries, professions, etc.; it also considerers cross-sectoral arrangements.
New institutionalists argue that environments influence institutions, rather than being co-
opted by organizationsindeed, environments create the lenses through which actors view
the world and the very categories of structure, action and thought (DiMaggio and Powell
1991, 13). Unlike old institutionalism, which considers actual organizations to be the units
that were institutionalized (and the key drivers of the process), new institutionalism contends
43


that institutionalization can take place at sector or even societal levels, and hence can be
inter-organizational. It is the forms of organizationstheir structure and rulesthat are
institutionalized, not the organizations themselves.
A frequently heard premise in new institutionalism is that both actors and their
interests are shaped by institutions. Swidler argues that individuals select both
institutionalized means and ends from what is defined as culture (Swidler 1986, referenced
in DiMaggio and Powell 1991, 28). Similarly, Scott states that institutional frameworks
define the ends and shape the means by which interests are determined and pursued (Scott
1991, in DiMaggio and Powell 1991, 28). Individuals draw on culture to establish both
means and desired outcomes. It is because of culture that individuals behave in manners
considered customary.
Historic Institutionalism
A number of variations of new institutionalism have evolved over time (Hall and
Taylor 1996). Rational choice institutionalism, based in rational choice theory, contends that
institutions are the instruments through which actors are able to realize their goals. Within
the rational choice institutionalism perspective, institutions are represented by the rules that
bound individual choices. Sociological institutionalism comes from organization theory and
emphasizes culture and tends to define institutions more broadly (Lecours 2005), including
norms, cultures, and cognitive frames as forms of institutions (Peters 1999).
A third form is historic institutionalism. Historic institutionalism focuses on policy,
and the evolution of policy outcomes, over time. Included in the discussion is how various
factors, including formal and informal institutions, play a role in shapingand potentially
reshapingpublic policy. Historic institutionalism considers the role of institutions in
44


shaping political strategies and influencing outcomes, as well as the influence of time on the
policymaking process.
Numerous theorists have noted that history mattersinstitutions are shaped by
history, as are the shifts and drifts of public policy. A historical perspective of institutions
is critical to understanding how institutions and policy are developed and altered over time
(Hacker 2005; Pierson 2000). In addition to the focus on the relationship between
institutions and individual behavior, historic institutionalism also explores asymmetries of
power associated with the development and administration of institutions.
Historic institutionalism posits that rather than being the instrument of actors,
institutions in fact shape and constrain actors and thus ultimately policy outcomes. It has
been recognized that the relationship between institutions and interest is more complex than
originally understood. Theorists recognized that actors, including individuals, collectives,
and the state could all be responsible for initiating policy change. Thelen (1999) argues that
institutions are inherently historical, and they emerge from and are sustained by various
features of a larger political and social context. Because of this, historic institutionalism is
often used to identify and verify those factors that influence policy development,
implementation, and durability.
Historic institutionalism makes a number of assumptions. Two of those are 1) that
institutions are shaped by history, and 2) institutions in turn influence policy (Putnam 1993).
Institutional forms such as rules and processes influence actors identities, power, and
strategies, in turn impacting policy. Historic institutionalism also asserts that institutional
arrangements are only partially understood when considered outside the historical framework
(Hall and Taylor 1996; Kay 2005).
45


One of historic institutionalisms primary focal points is the idea of change,
particularly policy change. Historic institutionalism contends that historical developments
and reinforcement mechanisms are responsible for setting policy on a particular path, and
then maintaining that path. Because of the historical structure, only a certain number of
viable optionsor pathsare available. Historic institutionalism does not claim that policy
change does not occur, but that change may be the result of smaller, incremental
modifications. Such incremental changes can either continue to support a well-established
policy path, or may result in a shift to a new course. Whether such a shift occurs often relies
on the ability of actors to take advantage of these small changes, and employ them to their
own purposes. By doing so, actors acknowledge but do not accept the constraints placed on
them by institutionsinstead, they are innovative and entrepreneurial in their pursuit to
reshape these institutions and modify these constraints (Campbell 2007). Change may also
occur as a reaction to an external event.
Historic institutionalism also represents a shift in theory in its position on the state.
Historic institutionalism maintains that the state, rather than serving as a neutral arbitrator,
plays a critical role in policy formation and change, via its relationships with and between
societal groups (Skocpol 1986). The state is much more than a mere arena in which social
groups make demands and engage political struggles or compromises (Skocpol 1986, 8).
One way that institutions influence policy formation and change is by facilitatingor
in some cases hinderingthe formation of partnerships and or coalitions. Institutions are not
neutrally constructedthey are formed by groups of individuals with pre-existing history,
beliefs and cultureand therefore they can inherently include or exclude certain actors and
their interests from the policy making process (Atkinson 1993). Because historic
46


institutionalism takes a historical view of policy making and change, it has limited predictive
power. However, it does provide a context through which institutional stability can be
assessed (Pierson 2000).
Path Dependency
An important element of historic institutionalism is path dependency, which helps to
explain how policies are both conceived and how they changeor, more specifically, resist
change. The concept of path dependency originated in economics; over the past few decades
it has made its way into political science and policy studies. There are a number of models
of path dependency; the one that has become the primary model for policy research is that
politics involves some elements of chance, but once a path is taken it becomes locked in,
as all the relevant actors adjust their strategies to accommodate the prevailing pattern
(Thelen 1999, 385).
The premise of path dependency is that choices made when a policy is being
developed and implemented, or when an institution is formed, will determine the path of
that policy or institution going forward (Peters 2005). When a policy is set on a particular
path, the number of alternatives decreases significantly unless actors purposefully work to set
a new path (Peters 2005). Path dependency does not imply that a permanent policy path is
set, or that there is no opportunity for change. Path dependency allows us to examine how
certain institutions and practices are enduring, while others may change over time. Pierson
states that while the social landscape can change, that change will not be forthcoming until
continuity is interrupted by an outside force (Pierson 2000).
One of the features of path dependency is the focus on timing and sequencing, and
their impact on policy outcomes. Pierson (2004) contends that both history and timing are
47


critical to understanding long-term policy alterations, and argues that any study of policy
must cover substantial stretches of time (Pierson 2004, 45). Pierson, together with Skocpol
(1992), Thelen (2003), and Hacker (1998), maintains that sequencingthe actual order of
eventscan have significant influence on process and outcomes. Depending on the
sequence of events could have, there can be widely different outcomes. Pierson and Thelen
both claim that those actions and events that take place earlier in a particular sequence will
have a greater impact on long-term outcomes than those events that occur later in the process.
Hacker (1998) agrees with Pierson and Thelen, pointing out that when policy development is
set in motion, the decisions made at a given time will constrain possible options at a later
time (Hacker 1998). Even smaller developments may have a greater impact if they occur
early in the process, as opposed to more significant events later on. By the time the later
events occur, there will be established norms of behavior will be more difficult to alter
(Pierson 2000).
Linked to path dependency is the concept of increasing returns (the terms positive
feedback and increasing returns are interchangeable. The latter is typically used by
economists; the former by policy theorists). The more steps taken down a particular path,
the greater the likelihood that there will be continued movement in the same direction. The
relative benefits of the current activity increase over time, also increasing the likelihood that
the same path will be pursued (Pierson 2000).
SkocpoTs (1992) work supports path dependency and positive feedback by
demonstrating that numerous organizations founded in the 19th century are still in operation
today. Her research highlights how changes in social groups and their interests resulted in
48


2
particular policy paths and outcomes. Pierson cites Skocpols research as providing
organizational persistence that can result from positive feedback (Pierson 2000, 58).
Layering, Conversion, and Critical Junctures
Thelen points out that while increasing returns are important to understanding the
durability of institutions and policies, they are only one part of the picture. The processes of
layering and conversion, she says, are also part of the greater discussion around new
institutionalism and policy change.
Layering, according to Thelen, refers to the grafting of new elements onto existing
institutional structure. Schickler (2001) claimed that layering plays a significant role in
congressional reform. He states that rather than following one particular path, many different
coalitions promoting a wide range of collective interests drive processes of change (Schickler
2001). In those cases, he states, institutional changes come in the form of new layers that
are then placed on top of the old forms.
Thelen argues that layering helps demonstrate how actors address new concerns
through old institutions (rather than creating all new structures) (Thelen 2003; 2004). The
old institutions do not necessarily experience dramatic overhauls; indeed, in many cases the
changes are incremental, as the focus and purpose of the institution is slowly altered.
Layering also refers to the process of adding new policies to old, rather than replacing them.
The introduction of new policies, and generating support for those policies, slowly creates
tension between the varying policies, and the older ones gradually peter out. 2
2
For example, the US Department of Veterans Affairs got its start in the 1800s, when a
program was developed to provide pensions to disabled war veterans. Over time, benefits
were extended to non-disabled veterans as well as dependents and survivors, and fixed
pensions were introduced in the early 1900s. Later, medical care, vocational training, and
other benefits were also established.
49


Conversion occurs when new actorsthose not involved in the formation of an
institutionhave (and take) the opportunity to modify or redirect the goals of an institution
(Thelen 2003). Institutions are not so much amended or allowed to decay as they are
redirected to new goals, functions, or purposes (Streeck and Thelen 2004). Conversion can
be the result of new environmental changes that prompt policy makers to redirect
institutional resources, or due to a change in power or leadership.
Another means of institutional change is through critical junctures. Critical junctures
take place when numerous, simultaneous actions introduce an opportunity for change
(Kingdon 1995). Critical junctures often provide institutions with a number of opportunities
for change, each of which could result in a few and different paths (Thelen 1999), and
consequently have long-term impacts. According to Pierson (2000), critical junctures trigger
path dependency (Pierson 2000). Critical junctures place institutions on paths that are
difficult to change later (Pierson 2004; Thelen 1999). Pierson points out that critical
junctures do not need to be large events; indeed, significant change can result from relatively
small events (Pierson 2000).
A critical juncture does not need to be dramatic to trigger a changeindeed, a critical
juncture is defined by its capacity to trigger change (Pierson 2000). This capacity is
sometimes referred to as the stickiness criteriathe impact a change has on determining a
long-term path (Pierson 2000; Thelen 2004). Critical junctures help to understand when an
institution might undergo change; however, they do not explain how institutional change
occurs. The how can be explained through a variety of methods, including those outlined
above.
50


Again, Thelen, while acknowledging the role that critical junctures play in
institutional change, feels that they are too often used to explain change, instead of
consideration being given to incremental changessimilar to her concern regarding
increasing returns (Thelen 2003, 2004).
Historic institutionalism provides a significantly more robust model to explain the
formation of regional coalitions and their approach to growth management. Historic
institutionalism can be utilized to explain the institution of traditionally-accepted growth
patterns and methods of addressing growth (such as sprawl), and how those institutions may
change over time as a result of new realities and circumstances facing the region. Historic
institutionalism is also appropriate for explainingthough to a somewhat limited degree
the role of culture and shared norms and values within a community. The focus on structures
and processes that reach across boundaries also recommends historic institutionalism to the
study of regional governance, as does the recognition that interests and preferences can only
be fully understood within cultural and historical frameworks.
When considering regional governance and coalitions within the framework of
historic institutionalism, a number of questions come to mind: How does the history and
culture of a region, as well as preexisting institutions, influence the formation of coalitions;
how do both the formal and informal institutions within a region play a role in regional
governance and shaping public policy; do preexisting institutions encourage the formation of
coalitions, or hinder the inclusion of certain actors; and what triggers change of both
institutions and policy within a region? These questions seek to address the fit of historic
institutionalism as a framework for understanding the role of regional coalitions in growth
management. Based on the literature reviewed above, historical institutionalism does not
51


account for selected factorsparticularly leadership or civic participationthat should be
considered when analyzing the impact that regional coalitions have on growth management
issues.
Social Capital
A third framework for investigating the impact of growth management coalitions is
social capital. Interest in the influence of social capital on American life and achievements is
as old as the country itself. Alexis de Tocqueville commented on the critical role that
fraternal organizations played in national accomplishments. A century later, historian Arthur
Schlesinger noted the same associational behavior when he called America a nation of
joiners.
L. J. Hanifan may have been the first to explicitly use the term social capital to
describe this associational impulse and its results. In his 1916 article about rural schools,
Hanifan echoed de Tocqueville in his analysis of the importance of collective action in
support of rural education.
The individual is helpless socially, if left to himself... If he comes into contact
with his neighbor, and they with other neighbors, there will be accumulation
of social capital, which may immediately satisfy his social needs and which
may bear a social potentiality sufficient to the substantial improvement of
living conditions in the whole community. The community as a whole will
benefit by the cooperation of all its parts, while the individual will find in his
associations the advantages of the help, the sympathy, and the fellowship of
his neighbors (Hanifan 1916, 130).
In the mid-20th century, social capital underwent a shift in perspective. Robert
Salisbury referenced building social capital as a potential rationale for interest group
formation (1969). Loury (1977) described social capital as the consequence of social
position. Bourdieu (1985) described three types of capital: economic, cultural, and social.
For both Loury and Bourdieu, social capital refers to what might be colloquially thought of
52


as position or privilege. This is a different concept than the idea behind the importance of
associations in the classical treatments of the topic mentioned above and also embodies a
quite different idea from the later scholarly treatments by Putnam and others (discussed
below).
Beginning with Coleman (1988), the focus of social capital research shifted from the
idea embodied in the above early modern positions to something more similar to the classical
perspective. Coleman represents a mid-point in this transition with his focus on the relation
between people and view of social capital as the result of reciprocal transactions. With
Coleman, social capital shifts from the static concept of position or privilege discussed by
Loury and Bourdieu to a more dynamic one based on obligation as a result of these reciprocal
transactions. However, Coleman still diverges from both classical and later theories by
considering social capital as something possessed by a single individual.
Robert Putnams work has been critical to popularizing the concept of social capital.
Putnam also led the transition of the concept of social capital from the early-modern
viewpoint as a social good possessed by individuals to an attribute of societies or groups.
Putnam (1993) considered social capital as a set of features of social organizations that can
facilitate coordinated actions. Putnam does retain some consideration of social capital as an
individual good, the sum of relationships with others (2000). His focus, however, is on
social capital as a community good based on the interconnectedness of individual and groups.
This is a fundamental shift in the treatment of social capital and opened the possibility of
using social capital as part of the theoretical explanation for the success or failure of
collective action. In this way, Putnam brought social capital full circle to the idea first
expounded by de Tocqueville in nearly two hundred years before.
53


Putnam (2000) discusses two kinds of social capital: bonding social capital and
bridging social capital. Bonding social capital is the networking between homogenous
groups of people while bridging refers to the networks between social heterogeneous groups.
He uses this distinction to highlight the idea that some types of social capitalparticularly
the bonding typecan be detrimental to society as a whole if they reinforce negative
behaviors. Bridging capital, on the other hand, helps resolve collective problems, provides
avenues for communications in a society, and helps to foster civic virtues.
A variety of followers-on to Putnams work have extended his ideas of social capital
in an assortment of areas. For the purposes of this dissertation, the most critical of these are
the role of social capital in political efficacy (Booth and Richard 1998; van Deth 1998) and
economic development (Crowe 2007; Flora et al. 1997; Jennings and Haist 1998). Crowe
(2007) demonstrated the value of social capital as a tool for reducing the risk of collective
action. In so doing her treatment harkens back to Colemans (1988) focus on the value of
reciprocity in transactions, but preserves the Putnam view of social capital as a good that
accrues to the social entity rather than to the individual.
Issues and Questions in Social Capital Theory
One question that arises in the study of social capital is its role as an enabler or
inhibiter of collective action. This question is of critical relevance to the exploration of
collective action both inside of and outside of government in the regional collaboration
process. If social capital is an enabler of collective action then it will become important to
assess the role of social capital in the regional collaboration process. If, on the other hand,
social capital is an inhibitor of collective action then the question of how successful
collaborative processes overcome these barriers will be equally important.
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Putnam sees social capital, particularly the bridging type, as a critical precondition
to well-performing social and political institutions. First in a treatment of those institutions
in Italy (1993) and then in the U.S. (1995; 2000), Putnam observed that when this bridging
or weak social capital generated by inter-group relations is in decline or absent, there is a
concomitant decline in public participation and trust in government.
Taking the other side of the argument, Sturtevant (2006) pointed out that the
bonding form of social capital may actually inhibit collective action by making groups
insular and suppressing innovation. This conclusion is similar to Bermans (1997)
exploration of voluntary associations in Weimar, Germany that suggested that strong
voluntary associations were a response to a weak government.
From these contrasting views of social capital it is possible to at least preliminarily
generalize about the effect of the two types of social capital on collective action. The
Sturtevant and Berman treatments focus primarily on the bonding form of social capital
and seem to reflect Putnams (1993; 2000) own concerns about this form of capital. It may
be the case that the homogenous associative groups generated by this type of interaction are a
substitute for strong collective institutionseither governmental or notand thus could in
some cases inhibit collective action. On the other hand, the bridging form of social capital
may be an enabler and strengthener of collective action (Crowe 2007; Putnam 2000).
To accept the view that at least some forms of social capital benefit collective action,
there must be a mechanism through which this occurs. Burt (2000) proposes that the weak
or bridging form of social capital has what he calls a brokerage effect that allows a
community to bring together diverse resources for collaboration and problem solving.
Ostrom (1990) suggests that social capital may facilitate collective action by giving
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participants a background of successful small collaborations, thus building trust and
confidence in addressing larger problems. This is similar to the treatment in Axelrod (1984)
of the value of disaggregating problems so that collaborative decision-makers can establish a
history of cooperation by addressing the smaller pieces individually.
For the purposes of this dissertation, these theoretical constructs provide two
important paths to explore regarding the contribution of social capital to the regional
collaboration process. First, social capital may facilitate the gathering of individuals to
participate in the collaborative process. Second, social capital may serve to facilitate
collaboration by overcoming intrinsic distrust among the participants.
While social capital can be employed to explain why individuals may choose to
participate in networks and engage in collaboration, it focuses too strongly on the individual
and on civic participation, and does not account for many of the regional governance factors
that historical intuitionalism does, such as the presence of institutions themselves, or how
those institutions undergo change. Social capital emphasizes trust, reciprocity, information,
and cooperation, and the benefits that individuals obtain from each. Social capital is
particularly strong in explaining how participation in networks can transform an I
mentality into a we mentality, and how repeated interactions in networks can help resolve
dilemmas of collective action (Clarke 2004).
Civic Capital
The fourth theoretical construct to be considered is that of civic capital. In 2012, Jen
Nelles published a study on cooperation and government in city regions. Nelles studied four
metropolitan regions, examining sources of and barriers to cooperation in an attempt to
explain how and why partnerships are successful in some metropolitan areas but fail in
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others. Nelles argues that existing theories of metropolitan collective action based on
institutions and opportunities do not fully support the emergence of inter-municipal
cooperation, and suggested that civic capital was a more appropriate theory for explaining
such cooperation. Civic capital claims that civic engagement and leadership are important
catalysts for regional cooperation, and that the extent to which the various actors in a region
hold a shared vision for the region and their willingness to engage at the regional scale
strongly influences the success of collective efforts. Civic capital reframes social capital in a
manner that places greater emphasis on participation by institutions rather than individuals.
In her study, Nelles observes that consensus on the form of regional solutions has
been difficult to achieve. Each of the approaches to the challenges of regionalism, she states,
has strengths and weaknesses. She claims that the quest for best practices is futilethat
successes in one jurisdiction cannot be easily translated to another, because contexts differ so
greatly (Nelles 2012, 8). Instead, Nelles says, a variety of factors shape the likelihood that
collective action will emerge in any given context. Cooperation may be more likely in one
region due to differences in context, opportunities, and the organization of civic relationships
(Nelles 2012).
In her research Nelles tests the concept of civic capital, emphasizing the importance
of civic entrepreneurs in building networks that lead to collaborative efforts. Regions with
high levels of civic capital, she suggests, are likely to experience more integrated and
successful inter-municipal cooperation. She argues that institutions, opportunities, and civic
capital all affect both the emergence and intensity of partnerships, but that while institutions
and opportunities can have positive or negative effects on cooperation (effects that can be
unpredictable), civic capital will always have a positive influence. All three explain why
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different types of partnerships develop, but only civic capital has the capacity to predict
where regional governance is most likely to take root (Nelles 2012, 19).
The existing literature on the emergence of metropolitan partnerships, says Nelles, is
centered around two areas of research: 1) the rational choice approach and 2) the regional
governance perspective. The latter, she claims, is more varied in its research methods and
questions, but focuses on case studies of governance in specific policy areas. It does not
follow, she says, that a region that has experienced effective cooperation around one policy
issue will be able to replicate that cooperation in another area. The differences in costs,
interested actors, and political stakes (among other considerations) from one policy area to
another mean that such generalizations are tenuous and risk missing important intervening
variables (Nelles 2012, 21).
According to Nelles, existing regional governance structures quite likely play an
important role in determining the likelihoodand intensityof collaboration at the regional
level. When regional structures already exist, this will likely increase the willingness of
various actors to collaborate (Nelles 2012).
However, existing structures and even already successful collaborative efforts arent
enough to explain the rise of new or additional collaboration. Indeed, Nelles claims, the
most important effects are as a result of forces that are difficult to observe. Institutions and
opportunities provide concrete frameworks within which local authorities operate and
condition their responses to regional issues, but actions are not determined by these tangible
forces alone. Individual experiences, cultures, traditions, and social structures act almost
invisibly on decision-making processes and in ways that can sometimes even defy the
expectations set by more easily observed factors (Nelles 2012, 36). These less tangible
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factors, she argues, must be considered alongside institutions and opportunities when
identifying the basis for cooperation. Civic capital, she asserts, provides explanatory vigor
and addresses the limitations of the effects of institutions and opportunities on collaboration.
The influence... of institutions and opportunities ... may be moderated or strengthened by
the force of civic capital (Nelles 2012, 36).
Nelles employs a policy networks approach to explain the emergence of cooperation
at the regional level. The concepts of strong and weak ties, information bridging, credibility
clustering, and norms of reciprocity are retained and refined, and are blended with aspects of
civic culture and social capital to provide insights into how communities organize collective
action (Nelles 2012).
Civic culture, says Nelles, creates, transmits, and evolves informal institutions that
shape local life (Nelles 2012, 41). Civic culture demonstrates how local, informal
institutions can shape expectations and even influence formal structures. Civic culture
provides a collective vision of what should be transmitted tacitly though individual actions
(Nelles 2012, 41). The local focus, the normative values, and the power to shape formal
institutions are all key dimensions of civic capital.
Borrowing from the model of social capital, Nelles argues that the intensity and
success of cooperation is greater in communities where there is a higher level of trust.
Communities with high levels of civic engagement, she says, are often considered to also
have high levels of social capital. However, the type of engagement, as well as the type of
networks that exist and are created, is more significant to the generation of trust than simply
participation in networks (Nelles 2012).
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Civic capital incorporates certain aspects of social capital, but does not focus solely
on trust as an explanation for cooperative outcomes. Civic capital recognizes that different
types of networks and patterns of engagement can produce different cues to individuals,
groups, and the community (Nelles 2012, 43). Borrowing from Ostrom and Ahn (2009),
Nelles states that both civic and social capital can be viewed as assets of a specific
community, and can both generate future benefits for that community (Nelles 2012).
Civic capital, claims Nelles, is a shared perception of a region. It is the idea that
there exists a metropolitan region defined, independently from political formulations and
structures, by the space within which individuals and other actors organize and experience
their social, economic, and professional existence in urban space... Civic capital is the
measure of the extent to which an urban community has a collective perception of a
metropolitan space. It is nothing more than the idea of a region. But ideas can be powerful
(Nelles 2012, 44). Civic capital is a collective sense of community based on a shared
identity, set of goals, and expectations that emerges from social networks tied to a specific
region or locality... Civic capital [is] the product of networks, leadership, and scale (Nelles
2012, 44).
Nelles points out that civic capital itself is not a network, but networks are critical in
order for civic capacity to be considered a community asset. Networks are the raw
material of civic capital, and can be activated for regional civic engagement. It is through
networks that information and ideas are transmitted and experienced and action is
coordinated (Nelles 2012).
Nelles also identifies the importance of leadership within civic capitalsomething
largely missing from other approaches. According to her theory, civic capital acknowledges
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the role of an individual or organizational actors in catalyzing collective action. Leadership,
she states, is responsible for forging links between networks and in promoting regional
scalar orientation (Nelles 2012, 45). Leaders, she says, can be individuals or organizations,
and are usually characterized as key nodes within broader networks. If the networks
themselves are the conduits of civic capital, then leaders are its superconductors (Nelles
2012, 45). Leaders are instrumental in transmission of information and allowing ideas to
diffuse more quickly and to a potentially broader array of networks and actors (Nelles 2012,
45). Borrowing the terms from Putnam, Nelles states that leaders have both bonding and
bridging capital, and so are able to build bridges between different community members,
resulting in the creation of coalitions around shared identities and interests. Leaders are in a
position to amplify civic capital and promote regionalism through concrete action (Nelles
2012, 46). Leaders recognize the shared interest of network members, and are able to
identify others who should be engaged to achieve regional goals. It is through leaders, she
says, that civic capital is translated from idea to practice.
Leaders, says Nelles, are often known as civic entrepreneurs. Civic entrepreneurs
are perhaps the best equipped to understand the importance of collaboration, and they realize
the importance of bringing together relevant actors to address collective challenges and to
advance collective interests. Civic entrepreneurs bring business, community leaders and
members, and governmentas well as otherstogether to envision and eventually achieve
long-term goals. They come from any and every sector, but all share similar characteristics
of visionary leadership, charismatic personalities, interest in building the economic region,
and commitment to collaborative solutions (Nelles 2012, 46). These entrepreneurs, she
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states, create opportunities for people to work together on specific projects to advance their
economic community (Henton et al. 1997, p. 31, inNelles 2012, 46).
Nelles argues that cooperation is more likely to emerge in smaller communities. She
claims that networks will overlap to a greater degree in such communities, whereas in larger
regions they are too dispersed. The logic, she says, is that the key actorscivic
entrepreneurswill be more visible to other local players and are also more likely to be
better known to each other within smaller geographical contexts. Therefore, there is a greater
chance that the "bridging" dimension of civic capital will enable civic entrepreneurs to
construct collaboration across issues and municipalities. As such, strong civic capital is more
likely to be manifest in smaller city-regions, because it is easier to establish a regional
identity in a smaller region (Nelles 2012, 11). Where civic capital networks are more highly
developed and dense, it is more likely that the metropolitan region will be characterized by
(more intense) intermunicipal cooperation (Nelles 2012, 47).
Selecting a Theoretical Framework
Of the four theories presented here, two are particularly strong in explaining the
formation of new regional governance structures and their effectiveness in growth
management. While both urban regime theory and social capital lend to the discussion,
neither is robust enough in its own right to fully address the complexities of regional
governance. Historic institutionalisms broad focus encompasses both existing institutions
and the creation of new structures, both formal and informal (including values and ideas);
organizational structures and processes; individual and collective interests; the influence that
culture and history has on institutions; and policy formation and shifts. Where historic
institutionalism falls short has to do with the significance of leadership and civic
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participation in the collaborative process. It is here that civic capital comes in. Civic capital
emphasizes the importance of leadersreferred to by Nelles as civic entrepreneursas
well as those shared values, ideas, and collective sense of community within a region.
Civic capital, as Nelles states, addresses the limitations of the effects of institutions on
collaboration, and in fact strengthens the influence of institutions. These two theories have
been selected to guide the application of my research questions to the case study, based on
their complimentary strength.
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CHAPTER IV
METHODOLOGY
Introduction
This dissertation builds on existing research on regional governance and coalition
building to demonstrate how growth management has been addressed at the regional scale.
Rather than testing specific hypotheses, theory fitting, was utilized. This approach is
appropriate when there are several theories that could account for an observed phenomenon,
and the researcher seeks to understand which explains the situation best. Two theories
historic institutionalism and civic capitalwere employed to direct this study. This allowed
for the determination of whether either theoryor an amalgamation of bothprovide a
robust explanation for the observed development in the case study. The research questions
upon which this study is based are:
1. What factors lead to the formation of new regional coalitions, particularly for the
purpose of managing growth?
2. What resources do those coalitions draw upon to initiate action?
3. How do regional coalitions successfully transition from initial formation to
planning to execution?
4. How do regional coalitions focused on growth management measure success?
5. What determines whether a regional coalition becomes a formal institution, shifts
its focus and/or adapts its purpose, or dissolves entirely?
Based on the findings of the literature review, the expectation is that regions that are
able to construct robust regional growth initiatives do so by building upon existing
institutions, including networks and civic capital that are specific and unique to the region.
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Without pre-existing structures that serve as a foundation for cooperation and partnership, it
is significantly more difficult to gain public trust and to foster participation and collaboration
among community leaders and organizations.
This study also presumes that pre-existing institutions, as well as the emergence of
regional growth coalitions, are supported by the civic capital of a region. Civic participation,
strong leadership, and a shared vision for the region are all indicators of trust and a
willingness to engage at the regional levelboth critical to the success of regional growth
initiatives.
This study focuses on the collaborative efforts of Envision Utahand its many
partners and member organizationsto address regional issues. By demonstrating the
strength and impact of such an initiative in the greater Wasatch region of Utah and by
studying the evolution of institutional arrangements, it may be possible to better evaluate the
capacity of other regions and their potential pathways towards achieving effective
governance.
Basis for Research
The methodology for this research draws from two studies. The first, conducted by
Ghitter and Smart (2009), utilized historical institutionalismparticularly, path
dependencyto explain the significant role that history plays in the urban development of
Calgary, Canada. The authors examine how an unanticipated system shock conditioned by
strong historical differences in the political and economic aspirations of adjacent urban and
rural jurisdictions manifested at multiple temporal and spatial scales (Ghitter and Smart
2009, 617).
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Understanding the outcomes of various processesincluding social, political, and
environmentalis significantly enhanced when those processes are considered within the
context of decisions and events early in a systems history, and the resulting actions (or lack
of action). Such decisions and events lead to particular, locally contingent configurations of
sociospatial relations that coevolve through a dialectical process with other elements of
natural and urban systems (Ghitter and Smart 2009, 618). Earlier political and economic
actions become sedimentary layers, not only of urban landscapes but also political
institutions and social structures. Although the past does not determine the future, it does
make particular directions easier to pursue (Ghitter and Smart 2009, 620). The authors refer
to path dependency, stating that while the easiest course may not always be the one followed,
significant effort will be required to shift from that course. Shaping new paths requires
understanding the tendencies toward particular paths, which in turn keep the path from
kicking back in (Torfing 1999, quoted in Ghitter and Smart 2009, 620).
Due to the complexity of an urban region, state the authors, it can be difficult to
understand the regions transformative processes. As the context within which urban
managers must navigate becomes larger in scale, less controllable, and less predictable, the
relationship between the intentions of decision makers and the outcomes of their decisions
becomes even less certain than it had been in the past (Ghitter and Smart 2009, 620).
Understanding how and why institutions change over time is critical when assessing the
current state of affairs in a system, and in evaluating the range of options available for
future evolution. In other words, the evolutionary trajectory of the system plays a vital role
in determining its future: history matters (Ghitter and Smart 2009, 620).
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The authors borrow from Martin and Sunleys (2006) definition of path dependency,
stating that a key characteristic is the inability of a system to shake free of its own history
(Ghitter and Smart 2009, 620). Decisions made in the past have a disproportionate
influence in shaping the future, as new choices constrain future options.
The authors highlight three features of path dependency, as laid out by Martin and
Sunley (2006). The first is that small, historic accidents can have a profound impact on
future pathways. Second, early decisions reverberate through history, closing alternative
paths and validating a particular path, with the implications that the outcomes need not be
rational or optimal (Martin and Sunley 2006, 401, quoted in Ghitter and Smart 2009, 621).
Third, the complementarity and compatibility of technology, economies of scale, and the
often irreversibility of investments create technological lock in,an encouragement of
reinvestment in existing pathways (Ghitter and Smart 2009, 621). The authors go on to apply
path dependency to urban development. A city is not simply on a single constrained path,
they state, but is a confluence of many distinct causal chains and beaten paths, resulting in
interactions that are difficult to predict even if they can in hindsight be seen as following the
paths of least resistance (Ghitter and Smart 2009, 621). Two particular key elements of
their study worth noting are the influence of [...] local physical geography on human
perceptions and subsequent locational choices, and the influence of regional planning
regimes in shaping rural/urban duality (Ghitter and Smart 2009, 626). Path dependency, they
state, is not only an economic or political process, but also a spatial one (Ghitter and Smart
2009).
In their conclusion, Ghitter and Smart revisit the idea of technical lock-in, and state
that lock-in can also be understood in terms of the social, institutional, and political forces
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that embed themselves in the fabric of the urban spatial matrix as it evolves over time
(Ghitter and Smart 2009, 640). This process, they claim, provides a continuous source of
positive feedback that perpetuates social inequality through the built environment (Ghitter
and Smart 2009, 640). It also shapes and assesses social and environmental outcomes
through the lens of growth and development (Ghitter and Smart 2009, 640).
In this particular study, the authors found that the initial distribution of amenities and
hazards in the development of the urban area played a significant role in determining the
tenor and location of future conflict (Ghitter and Smart 2009, 641). When the power to
control development changed hands due to a new philosophy of governance, development
outcomes have been based on the goal of profit maximization, rather than what might have
been in the publics best interest. This disconnect, they state, can be attributed to
generations of positive economic feedback that have, through their historic interactions,
constituted the present-day state of sociospatial relations (Ghitter and Smart 2009, 641).
Their analysis illustrates that potential spatial outcomes can be disproportionately influenced
by just a few key decisions made early in the process, limiting potential futures. Thus, as
we have seen, the intersection of long-term historic and short-term contemporary forces of
urban development have construed to produce unpredictable, yet bounded, outcomes
(Ghitter and Smart 2009, 641).
This thesis builds upon Ghitter and Smarts (2009) research by utilizing historic
institutionalism and especially the construct of path dependency to explore the role that
history plays in the continuing development of the Greater Wasatch region. While Utah did
not experience the system shock seen in Calgary, the region did identify the issue of
growth as one that would become critical if not addressed. Like Calgary, Salt Lake City is
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surrounded by additional jurisdictions that were developing under their own plans. Ghitter
and Smart (2009) provide a context for understanding how the efforts of the regional growth
coalition in the Wasatch region wereand continue to beinfluenced by the regions
political and spatial history.
Civic Capital
The second studyon multi-sectoral collaborations in city regionswas conducted
by Jen Nelles while a PhD student at the University of Toronto, and was published as a book
in 2012. Nelles studied four metropolitan regions, examining sources of and barriers to
cooperation in an attempt to explain how and why partnerships are successful in some
metropolitan areas but fail in others. Nelles argues that existing theories of metropolitan
collective action based on institutions and opportunities do not fully support the emergence
of inter-municipal cooperation, and proposes instead to use civic capital, claiming that civic
engagement and leadership are important catalysts for regional cooperation, and that the
extent to which the various actors in a region hold a shared vision for the region and their
willingness to engage at the regional scale strongly influences the success of collective
efforts.
Perhaps most meaningful to this study is Nelles approach to measuring civic capital.
She uses six variables to measure civic capitalleadership, organizational presence,
organizational networks, cross-appointment of leaders, personal evolution, and history of
cooperation. Four of these variables have been adapted for this study, to assess the level of
civic capital in the region. Nelles research relied on detailed interviews with local officials
and other civic actors in each region, and supported the interviews with a variety of
secondary resources, including government documents, newspaper articles, statistical data,
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and other materials. Nelles research process, as well the contextual factors adopted from her
research, inform a significant part of the methodology of this thesis.
Research Design
This dissertation uses a single case study design. Case studies are appropriate when
the research question takes the form of how or why, when there is little control over
events, and when the research is focused on a contemporary phenomenon within a real-life
context (Yin 2008, 2). Schramm (1971) states that the essence of a case study is that it
attempts to illuminate a set of decisionswhy they were taken, how they were implemented,
and what the result of those decisions was (Schramm 1971, in Yin 2008). Yin (2008) defines
a case study as an empirical inquiry that investigates contemporary phenomena in depth, and
within a real-life context. Case studies, he asserts, are used when the researcher wants to
understand a real-life phenomenon in depth, but such understanding encompasses important
contextual decisions because they are highly pertinent to the phenomenon being studied (Yin
2008).
Single- and multiple-case studies, Yin says, are only different in that they are each a
variant on the case study design. Case studies can cover multiple cases and draw a single set
of cross-case conclusions. Multiple-case designs have increased in frequency in recent
years. Multiple-case studies are thought of by some as being more robust, with proponents
arguing that the evidence is more compelling. They can be used to convince the reader of a
general phenomenona tactic that has been utilized in urban studies. When selecting the
cases to be researched, prior knowledge of the outcomes in each case is necessary, with the
inquiry focusing on how and why the exemplary outcomes might have occurred (Yin 2008).
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For the purposes of this dissertation, a single case study was determined to be the
appropriate design. The reasons for this are twofold. First, this case study is being utilized to
test both a well-formulated theory (e.g., historic institutionalism) as well as a newer, still-
developing theory (e.g., civic capital). According to Yin, a single case... can confirm,
challenge, or extend the theory (Yin 2008, 47). The single case can then be used to
determine whether a theorys propositions are correct or whether some alternative set of
explanations might be more relevant (Yin 2008, 47).
Two additional rationales for selecting a single case are: 1) when the case involved
represents an extreme case or a unique case (Yin 2008, 47); and 2), or when, conversely,
the case is representative or typicali.e., when the case captures the circumstances and
conditions of an everyday or commonplace situation (Yin 2008, 48). The lessons learned
from these cases are assumed to be informative about the experiences of the single person or
institution (Yin 2008, 28). The Wasatch region and the case of Envision Utah was selected
because of both the similarity of the case to other regions, but also its differences. The
region faces the same challenge as almost all other regionsan increase in population, and
all the complexities therein. The Greater Wasatch region has taken significant steps to
address that growth. They have engaged in a visioning processes, working with citizens to
assess and quantify their values, and developed growth scenarios with those values as a basis.
The region is committed to growing in ways that spur economic development while
protecting environmental resources, promoting housing and transit options, and maintaining a
strong sense of community.
However, the region differs from other regions in that 1) expected population growth
will be largely naturali.e., the majority of the new population will be born in the region to
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current residents (62% of whom were bom in the state of Utah), and will then themselves
remain in the region; and 2) the population of the region has a common set of values
influenced by the presence of the Latter Day Saints (LDS) Churchthe majority of the
population belongs to the Churcha circumstance not seen in any other major metropolitan
region in the United States. The Church itself has been a major driver in regional and
economic development. These two factors set the region apart from others, in both efforts to
collaborate as well as success in addressing regional issues.
Single-case studies involve a distinct vulnerability in that, as Yin points out, a case
may later turn out not to be the case it was thought to be at the outset (Yin 2008, 49-50). As
a result, the case being selected must be carefully investigated prior to conducting the study
to minimize any chances of misrepresentation and to maximize access to case study evidence
(Yin 2008).
Chapter 7 presents a set of mini-cases to describe three additional regional
initiatives: San Diego, Fresno, and Central Florida / Orlando. While these do not serve as
additional full case studies, the regional profiles include discussions of the issues facing each
region as well as the effortsand the successof each region in addressing those issues,
including the construct of any regional coalitions or organizations. This allows for a level of
comparison between those cases and the Greater Wasatch region, provides a greater
understanding of how regional coalitions are formed as well as further insight into the
research questions. The material for these mini-cases was gathered through a document
analysis of materials provided to the Alliance for Regional Stewardship as well as in-depth
open interviews with select stakeholders or leaders in each region.
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For this particular case study, a mixed-methods process was used to evaluate the data.
Yin (2008) points out that some case study research goes beyond qualitative research, and
instead employs both quantitative and qualitative evidence. A mixed-methods approach is
appropriate when the researcher is attempting to better understand a research problem by
converging both broad numeric trends from quantitative research and the detail of qualitative
research (Creswell 2003, 100). For this dissertation, three methods of data gathering were
employedan archival review of selected documents, a set of in-depth semi-structure
interviews, and an online surveyresulting in an analysis employing a triangulation of data.
Each phase of the research was designed based upon information gathered from the previous
phase.
Outcomes
Typically, the testing of a hypothesis requires the selection of dependent and
independent variables. Instead of hypothesis testing, however, this thesis uses theory
fitting to determine which theory best explains any perceived outcomes in a given case.
Therefore, instead of dependent and independent variables, this research focuses on the
outcome(s) as well as the contextual factors leading to that outcome.
Selecting a dependent variableor, in this case, the outcomein single-case-study
research must be approached with care and consideration. It is critical that it be
representative of the questions being explored, so that it can be tested in other cases. This
study examines the impact of institutions and civic capital on the formation of regional
coalitions, and the resulting impact of regional coalitions efforts on growth management
practices.
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For this study, the outcome is defined as regional impact. Regional impact refers to
whether the efforts of a regional coalition have significantly influenced a region with regards
to growth-related issues. The success of a regional coalition comes down to the actual
(positive) impact it has in a region, and any such impact can be measured by identifying the
issues that have been addressed, how they have been addressed, and whether there has been
an observed (or commonly perceived) improvement in that issue area.
This introduces perhaps the greatest limitation of this study. As stated previously,
single-case studies are not as powerful as a study of two or more cases (Yin 2008). In a
single-case study, more often than not there lacks control conditions against which an
analysis can be interpreted. Additionally, a single-case study can suffer from a lack of
internal validityi.e., it can be difficult to demonstrate causal relationships. In this
dissertation, the challenge is to demonstrate that the regional coalition is in fact responsible
for the observed impacts and any altered behavior in the region. Through the archival
review, interviews, and survey, this research analyzed changes that have occurred in the
region as well as the opinions of stakeholders as to the reasons for those changes.
Contextual Factors
In a research study, the dependent variableor outcomeis measured by analyzing
one or more factors that logically have some effect on the outcome (Kerlinger 1986, 32, in
Collier 2006). Ten contextual factors were employed in this study, including those
measuring structural, environmental, and civic capital. This section identifies each factor,
discusses the role each plays in affecting the success of regional growth efforts by regional
coalitions, and discusses its expected impact on the outcome. These contextual factors have
been adapted from Jennifer Nelles study on civic capital and inter-municipal cooperation,
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and were chosen as measures of fit of civic capital. Table 4.1, found on page 80, lists each
contextual factor, the measure of each factor, and its expected relationship to regional
outcomes.
Density of governments
In this study, two structural factors are considered. The first is the density of
governments. This is measured in terms of the number of different government levels within
the region, including state government, counties, special districts, and municipal
governments. The data was identified through the United States Census Bureau. The
assumption is that in a region with a high number of government organizations (at any level),
it will be more difficult for regional coalitions to realize their goals.
Autonomy of local governments
The second contextual factor is the autonomy of the local governments identified in
the region, and the level of power that a governing body has to exercise within its own
administrative area. This study examines the degree to which municipalities and other local
governments are able to exercise power, versus where the federal or state government
exercises control. Characteristically, in strong home rule states it is more difficult for
regional coalitions to affect change due to the ability of local governments to pass their own
laws.
Pre-existing regional networks
One of the more important factors in this study is the presence of existing regional
networks. Any such networkswhether they be formal or informalare expected to have
significant impact on the successful formation of regional coalitions, as well as the ability of
those coalitions to achieve their goals. It can be assumed that the presence of existing
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networks implies a shared set of goals or values, as well as an interest in cooperation. These
networks also can provide both resources and a framework that a new coalition can be built
upon.
Informal mechanisms
According to Nelles, informal mechanismsalso referred to by Nelles as informal
institutionscan also help overcome formal institutional barriers to cooperation to create
more intense outcomes (Nelles 2009, 89). These informal institutions, she says, may only
be obvious on close examination of the political processes and dynamics of a region.
Informal institutions can include those practices commonly accepted throughout society, as
well as family structure, traditions, and social norms. This study examines the relevant
informal institutions that exist in the region that may have an impact on the regional
coalitions ability to both organize and effect change.
Power asymmetry
Another factor identified by Nelles was that of power asymmetry. She states that
when there is a great asymmetry between actors, weaker partners may be pressured into
cooperation (Nelles 2009). In her study, she focuses primarily on the size and economic
strength of local governments. This dissertation assesses the power held by the different
actors in the regional coalition, and how that power was used to influence other partners as
well as the overall work of the coalition.
Government involvement
One cannot examine regional efforts without considering the involvement of the
governmentwhether that government be federal, state, or local. In this study, government
involvement is defined as any form of involvement by the government, passive or active, in
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the efforts of the regional coalition to address growth. It is expected that involvement by the
government at any level would amplify the efforts of the regional coalition.
Economic health
Another critical factor is the economic health of a region. A region experiencing a
high level of economic health is more likely to explore new measures to address growth and
its subsequent regional issues. When a region is experiencing poor economic health, that
region may see any such efforts as either a waste of resources, or feel that those efforts are
even a threat to the economic stability of the region.
Inclusiveness of regional coalition
A key measure of civic capital is the inclusiveness of the regional coalition. This is
measured in terms of the number of organizations that are involved as members or partners
with the regional coalition, and their engagement when addressing regional issues. This
inclusiveness could have both a positive or a negative effect on the coalitions ability to
achieve its goals. The more inclusive the coalition is, the more difficult it is to achieve
agreement amongst the members as to what issues should be addressed and how. However,
once that agreement is reached, having a greater number of organizations on board should
improve the coalitions ability to achieve its goals, due to the greater reach that it will have in
the community.
Leadership
The second of the civic capital factors as identified by Nelles is leadership. As she
states, leadership is one of the aspects of civic capital that many other approaches to
regional social networks tend to overlook (Nelles 2009, 92). Networks can exist without
leadership, she says, but there is almost always either an individual or group that leads
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networks into action. This study focused on the ability of leaders to engage community
partners in the efforts of the regional coalition. Numerous members of the regional coalition
were asked to discuss leadership in the region and to identify individuals who would be
considered leaders. Additional coalition members were then surveyed regarding the
influence that these leaders had on their involvement with the coalition.
This factor touches on the earlier discussion of both social and civic capital in that
effective leaders are able to build bridges between different community members, resulting
in the creation of coalitions around shared identities and interests. It is expected that strong
leadership in a region will be a strong factor in the coalitions ability to influence change.
Historical experience
A final civic capital factor is the historical experience of the region, particularly
around engagement and cooperation. In regions where there have been long standing
traditions of civic engagement and interaction, civic capital on any given issue, and in
general, will likely be stronger (Nelles 2009, 95). As Nelles points out, engagement and
interaction are not necessarily cooperationengagement is a more diffuse dimension and
addresses the level of regionalism existent in historical interactions. For the purposes of this
study, the idea of historical experience is expanded to include the overall history of the
region. Do the citizens of the region share a common historical context, or is it a more
diverse population with a greater set of historical experiences from which to draw? It is
expected that a more common historical experience will result in a more common vision for
the region with shared values amongst the population, and thus a greater ease at addressing
regional issues.
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The above contextual factors do not include all those that affect a regional coalitions
success in achieving its goals; however, they are the key factors surrounding this issue, and
are those that could be most easily tested in other case studies. They are based primarily on
the availability of data relevant to the case study.
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Table 4.1: Contextual Factors and Expected Relationship to Regional Outcomes
Variable Measure(s) Expected relationship
Density of local governments Number of jurisdictions in the region Greater density of local governments increases the difficulty of forming effective smart growth coalitions
Autonomy of local governments Degree to which municipalities and other local governments are able to exercise power Greater autonomy of local governments increases the difficulty of executing region-wide growth management solutions
Pre-existing regional networks Evidence of pre-existing networks, either formal or informal, in the region Pre-existing networks signify trust and cooperation, increasing the likelihood for participation and collaboration
Informal institutions Evidence of informal institutions in the region Depending on the nature of the informal institutions, barriers to cooperation may be overcome or introduced
Power asymmetry Imbalance of power amongst regional coalition members A high level of power held by certain actors within the coalition will influence other participants to cooperate
Government involvement Involvement of varying levels of government in regional growth initiatives Government participation in setting regional growth strategy raises the visibility of the strategy and increases the political influence of the coalition
Economic health Overall economic health of the region A high level of economic health increases willingness to pursue new, alternate growth policies
Inclusiveness of regional coalition Number of organizations and individuals involved in regional coalition Greater inclusiveness results in higher trust and participation, increasing the likelihood that new growth policies and practices are implemented
Leadership Presence of strong leadership in the regional coalition Strong leadership in the coalition builds trust and visibility of the coalition, increasing buy-in from participants and the community
Historical experience The cultural and political history of the region A common historical experience and a strong history of civic engagement increases the likelihood of community participation as well as a shared vision for the regions future
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Mediating Factors
To better understand the relationship between the contextual factors and the outcome
of regional impact, this research looks at the mediating factors behind the observed
outcomes. In Figure 4.1, the direct arrow between the contextual factors and the outcomes
suggests that the outcomes could have occurred without any additional forces in place. For
example, a region may experience strong growth management because of an implemented
state law. This thesis attempts to identify the mediating factors behind the actions of the
regional coalition and the impact that those actions had on the region.
Figure 4.1: Role of Mediating Factors in Regional Growth Management
Fitzpatrick, Sanders, and Blaine (2010) present a method of evaluation research that
helps to explain the role of mediating factors and the course of action that follows. The first
step is process evaluation, which examines the processes taking place in a particular scenario
In this case, those processes might include town hall meetings held by the regional coalition
and attended by the greater community. This process is then followed by outcomesthose
items that are a direct result of the process, e.g. the development of a consensus scenario for
future growth. Finally there are the impactsthe substantive changes observed in the region
that result from the process, e.g. the passage of a light rail funding initiative.
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Historic Institutionalism
Attending to the historic institutionalist perspective, this dissertation sought to answer
a number of questions. Following the lead of Ghitter and Smart (2009), the researcher asked
how did pre-existing institutions shape the behavior of actors and policy outcomes within
the region? To answer that question, the research had to first identify any pre-existing
institutionsboth formal and informalwithin the region, and then determine what, if any,
impact those institutions had on the policy-making environment. Again, following Ghitter
and Smarts line of research, the data were examined to identify any evidence of path
dependency. For this study, path dependency is traditionally-accepted growth patterns, and
the impact that the regional coalition had on shifting those patterns. The historic
institutionalist framework directs the researcher to ask: 1) how have the history and culture of
the region shaped existing institutions; 2) whether there has been a shift in policy or
behaviori.e., is there an observed change in both the publics perceptions and beliefs
around growth patterns, and have there been resulting changes in growth patterns themselves;
3) what role, if any, did pre-existing institutions have on that path shift; and 4) have the
institutions themselves undergone change as that path has shifted? By answering these
questions in the following chapters, the fit of historic institutionalism to the case can be
tested.
Field Research Methods
The data for this study was obtained in three phasesa review of relevant
documents; one-on-one interviews with key players in the region and an analysis of those
interviews; and a questionnaire survey of coalition members.
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Archival Review
The first phase of this study consisted of a review of documents, including reports,
news articles, memos, and other sources related to the growth management initiatives taking
place in the Salt Lake City region. The most important use of documents, says Yin, is to
corroborate and augment evidence from other sources (Yin 2008, 103). Documents are
useful, he says, even if they are not always accurate and may carry a particular bias. This
review resulted in the development of an initial understanding of the region, including the
following elements:
The challenges facing the region
The key networks, coalitions, and individual players in the region (both before
and after the establishment of the regional growth initiative)
The institutional structures that existed in the region, and how they were
employed or adapted to address the regions growth issues
The process used by the region to identify citizen values and develop desired
growth scenarios
The goals set by the region
The tools developed to enable the region to reach those goals
Progress made to date toward the goals.
This archival review provides a basis for beginning to answer the questions of how and why
the regional growth coalition formed and how any prior institutions resulted in the new
coalition structure. This material makes up the bulk of Chapter 5.
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In-depth Semi-structured Interviews
The second phase of research consisted of a series of open-ended, semi-structured
interviews with thirteen key players in the region, all members of the regional coalition, in
order to understand their perceptions of the process and impact of growth management in the
region. The intent was to gather a range of perspectives from stakeholders that have, for the
most part, been involved in the regions growth management efforts since inception or the
early stages, and who were able to discuss the impact those efforts have had on the region.
According to Yin, one of the most important sources of case study information is the
interview (Yin 2008, 106). Interviews, he says, are essential sources of case study
information. However, the interviewer must be careful to operate on two levels at the same
time: satisfying the needs of your line of inquiry while simultaneously putting forth friendly
and nonthreatening questions (Yin 2008, 106-107). For this study, in-depth interviews were
used, allowing the researcher to ask respondents about the facts of the case study as well as
their opinions about events. Those being interviewed could be considered more informants
rather than respondents, based on the insights and opinions that they provided.
The process was initiated by contacting leadership at Envision Utah, known
personally by the researcher. They were asked to identify stakeholders they felt should be
included in the process. Once the list of interviewees was established (see Table 4.2 for a
distribution of interviewees), a formal letter of introduction was sent by the president of
Envision Utah explaining the research, the interview process, and outlining their options with
regards to confidentiality and anonymity (if necessary; none of the interviewees requested
such). The interviews were tailored to each individual depending on the role they played in
the network and the growth management process, but were also based on a standard
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interview protocol (approved by the Institutional Review Board) that was used to ensure that
certain key questions were asked of all participants (see Appendix A for the protocol).
Interviews were conducted in person when possible; by phone otherwise. All interviews
were recorded to ensure accuracy. The interviews were then transcribed and paired with any
notes taken during the interview. An initial review of the transcript and notes was conducted,
during which general themes were identified together with impressions that would
subsequently serve as the basis for content analysis. The 13 individuals interviewed
represented the following sectors: government (at the state, county, and municipal levels),
the private sector, and various non-profit and civic organizations.
Table 4.2: Distribution of Interviews Conducted
Public Sector Five (Two state, one county, two municipal)
Nonprofit Sector Four
Private Sector Four
Once the interviews were conducted, a more rigorous analysis was conducted of the
interview transcript and notes. The material was coded into chunks, with the text
segmented into identifiable categories, each labeled with a specific term (Cresswell 2003).
Common themes and terms were identified and sorted into related clusters. Nine clusters
were classified, including leadership, process, culture, and inclusion (see Appendix C for full
list); many of these clusters align directly with the contextual factors outlined above.
As Cresswell (2003) states, when conducting qualitative analysis, the researcher
filters any and all data through a personal lens that is situated in a specific sociopolitical and
historic moment (Cresswell 2003, 182). It is impossible, he states, to avoid the personal
interpretation that a researcher brings to qualitative data analysis. This introduces an
additional limitation of this studythat of credibility. Credibility refers to the believability
of the findings and is enhanced by evidence such as confirming evaluation of conclusions by
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research participants, convergence of multiple sources of evidence, control of unwanted
influences, and theoretical fit (Suter 2011, 363). The question of credibility is related to that
of internal validity, and the ability (or inability) of the researcher to control for external,
extraneous influences that may distort findings (Suter 2011). To assess credibility in a
qualitative study, the focus is on data quality, its analysis, and the resulting conclusions. One
method commonly used to address credibility is triangulationproviding multiples sources
of data as evidence. Another is saturationthe continuous data collection to the point
where more data add little to the regularities that have already surfaced (Suter 2011, 364).
In this dissertation, the use of three data collection methods, together with the frequent and
common themes that arose out of that data help to address the issue of credibility.
Data for all four research questions were provided through these interviews. Greater
clarity was reached regarding the formation of the regional growth coalition, particularly
regarding how and why preexisting institutions fostered the formation of new structures, and
what networks that may have existed withinand betweenthose institutions. Additionally,
through these interviews it was possible to begin to identify the civic capital extant in each
region, and evaluate the role that civic capital played in the foundation of the regions growth
coalition.
One weakness of using interviews for collecting data is the tendency towards bias in a
number of areaspoorly articulated questions, interviewee response, etc. (Yin 2008). An
attempt to address this weakness was made through the selection of interviewees with a
variety of backgrounds, both personal and professional. It would have been preferable to
conduct more interviews in order to ensure a broader perspective; however, due to time and
resource constraints, as well as the restrictions set by Envision Utah leadership, this was not
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Full Text

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A MODEL FOR REGIONAL GOVERNANCE: THE CASE OF ENVISION UTAH by AMY L. CARRIER B.A., Trinity University, 1997 M.T.S., Weston Jesuit School of Theology, 2001 M.P.P, Georgetown University, 2003 A thesis submitted to the Faculty of the Graduate School of the University of Colorado in partial fulfillment of the requirements for the degree of Doctor of Philosophy Public Affairs Program 2015

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ii 2015 AMY L. CARRIER ALL RIGHTS RESERVED

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iii This thesis for the Doctor of Philosophy degree by Amy L. Carrier has been approved for the Public Affairs Program by Allan Wallis, Dissertation Chair Tanya Heikkila, Examination Chair Jessica Sowa Bruce Goldstein Scott Fosler August 20, 2015

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iv Carrier, Amy L. (Ph.D. in Public Affairs) A Model for Regional Governance: The Case of Envision Utah Thesis directed by Associate Professor Allan Wallis ABST RACT As regions grow, they face increasing demands on their limited resources to solve problems ranging from environment al p reservation to health care access from transit challenges to education quality While some regions chos e to address these demands on a fragmented basis, or rely on government or sector specific organizations to come up with solutions, many regions are now employing comprehensive, collaborative approaches. This thesis focused on the effectiveness of one such regional governance model Envision Utah This dissertation seeks to answer the following questions: 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth ? 2. What resources do those coalitions draw upon to initiate action ? 3. How do regional coalitions successfully transition from initial formation to planning to execution ? 4. How do regional coalitions focused on growth management measure success? 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? This dissertation uses a single case study design, examining the efforts of Envision Utah, a regional coalition based in the Great er Wasatch region of Utah. Three methods of data gathering were employed an archival review of selected documents, a set of in depth

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v semi structure interviews, and an online survey resulting in an analysis employing a triangulation of data. Additionally, a regional typology was developed using examples of three additional regional coalitions to provide a comparison for the primary case study. growth management policy. Ea significant role in directing how a region evolves and responds to new opportunities. The informal institutions within a region i ncluding culture and shared values directly impact the effectiveness o f growth management in the region, and inform whether growth management policies can change, and how. The analysis also found that civic capital particularly strong leadership, effective citizen engagement, and high levels of trust is essential to the dev elopment and implementation of successful growth management policies. More importantly, however, is how regional coalitions harness that civic capital and use it to build consensus and collaboration. The form and content of this abstract are approved. I recommend its publication. Approved: Allan Wallis

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vi for John

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vii ACKNOWLEDGEMENTS many years of guidance and encouragement by my advisor, Dr. Allan Wallis. His continued efforts and belief in what I could achieve helped me past all the roadblocks, both personal and academic. I am profoundly grateful for his support and patience I am al so deeply indebted to Robert Grow, Kristine Widner and Ari Bruening of Envision Utah for answering my seemingly endless questions and spending time with me as my ideas began taking shape. They, along with the numerous Envision Utah partners who shared th eir stories with me, have accomplished something incredible it has been an honor to work with them. I first met Robert in 2003 I a new staff member with the Alliance for Regional Stewardship, for which he served as a board member before I started my studi es. Even then, I recognized that what was happening in the Greater Wasatch region was truly extraordinary. It was while sitting with Robert in a hotel ballroom in Salt Lake City, long after other conference attendees had gone home, that the seeds of this dissertation first took root. During my time at ARS I met countless individuals who cared so deeply about the region s they lived in, and who were always willing to help me understand why the work they did was so critical. Many of them Deborah Nankivell, Shelley Lauten, Doug Henton encouraged my research ; their contributions, found throughout this dissertation, are much appreciated. To my parents and friends, who knew when to nudge and perhaps more significantly, when not to I thank you.

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viii Above all however stands everything that I owe John Parr. He took a chance and hired me the child of an old friend to manage ARS, and by doing so opened my eyes to a new world. John believed more than anyone I knew and lived for the work that we were doing with regions across the country. John, his wife Sandy, and daughter Chase were killed in a heartbreaking roadtrip accident at Christmas 2007; their younger daughter Kat y survived and is now pursuing dreams of her own I think of them o ften

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ix TABLE OF CONTENTS CH APTER I 1 The Challenges of Governing Regions 1 Purpose of Study 2 Methodology 4 6 II. EFFECTIVE COLLABORATION: COALITIONS AND SUCCESSFUL REGIONAL GOVERNANCE 8 Introduction 8 Growth Management and Smart Growth 8 Regional Governance 21 Regional Coalitions 3 1 III. TOWARDS A THEORETICA L FRAMEWORK 3 6 Introduction 3 6 Urban Regime Theory 3 6 Historic Institutionalism 40 Social Capital 5 2 Civic Capital 5 6 Selecting a Theoretical Framework 6 2 IV. METHODOLOGY 6 4 Introduction 6 4 Basis for Research 6 5

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x ... 70 Outcome s 73 74 Mediating Factors 81 Field Research Methods 8 2 Analysis and Documentation 8 8 V. 90 Introduc 90 Crossroads of 91 104 Envisi 109 Designing a 115 Promoting Qu 121 Implemen 126 Outcomes 128 Moving Forward: The Futu 137 VI. 1 40 Introdu 140 Outcome s 141 Context 145 VII. 16 6 166 Regional Profile: Centra 167

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xi Regional Profile: G 1 77 Regional Profile: Fresno/ 185 ... 195 .. 196 VIII 204 Introdu 204 Research 204 Theory 21 7 2 22 Limitations o f the 2 26 Suggestions for 2 28 2 29 APPENDIX A 24 8 B 24 9 C 2 50 D 2 51 E 2 53 F ENVISION UTAH PARTNERS AND SPECIAL ADVISORS AT TIME OF 25 8 G 2 65 H 2 69 I TIMELINE OF ENVISION UTAH PROCESS AND SELECTED 2 74

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xii J ADDITIONAL INTERVIEW RESPONSES 27 7

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xiii LIST OF TABLES TABLE 4.1 80 4.2 Distribution of interviews conducted 85 4.3 Distribution by sector of surveys conducted 88 5.1 Projects completed or under construction by UTA as of Nov ember 2013 13 3 6.1 Survey results: Regional issues 142 7.1 176 7.2 184 7.3 Fresno/San 195 7.4 197 7.5 200

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xiv LIST OF FIGURES FIGURE 4.1 Role of mediating factors in regional growth 81 5.1 91 5.2 93 5.3 Evolution of and relationship between regional organizations in the Wasatch region 110 5.4 priorities 11 4 5.5 Growth scenario i nsert 1 21 5.6 U TA rail system map as of May 2015 13 2 5.7 UTA annual transit ridership by year 133 7.1 168 7.2 178 7.3 185 8.1 Process sequence in regional growth 214

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1 CHAPTER I INTRODUCTION The Challenges of Governing Regions complex, organizations are finding regardless of whether they are private, public or nonprofit that they are not capable of addressing these problems by themselves. The challenges we face are no longer confined to one sector, or even to one country they have become inter jurisdictional and cross sectoral in nature. As a r esult, we are turning more frequently to alternate governance structures to reach across these boundaries (Witte e t al. 2002; Agranoff and McGuire 2001; Booher 2004; Keast et al 2004; Scott 1998; Wohlstetter, Smith and Malloy 2005). Metropolitan regions have increasingly been exploring the potential of new forms of g overnance ( Leccese and McCormick 2000; Weir 2001; N iedt and Weir 2007 ) They recognize that many of the issues that face one community are common to the other communities in the same region, and that collaboration among not only the num erous governments, but also organizations in the private and nonprofit sectors may be the most efficient and effective manner of addressing those issues. Most frequently regional governance has been utilized as a method of increasing regional economic competitiveness. More recently, however, regionalism has moved beyond a focus on economics to address issues regarding the environment, quality of life, and community equity. Instead of creating new forms of government, the New R egionalism focuses on governance Coal i tions one particular mode of governance form across sector s and jurisdictions, and typically are developed to address the delivery of services, but are at times formed to address larger issues (Marks 2004).

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2 Recently, there has been an increased focus on coalitions as the most appropriate governance arrangement by which to address regional issues. While coalitions have been defined in a number of ways, what nearly all of the definitions highlight is the inclusion of multiple interests working together to address a shared concern or issue (Weir 2001 ; Berkowitz and Wolff 2000 ; Weir, Wolman and Swanstrom 2005) Today, metropolitan regions are facing numerous challenges, including decreasing quality of life, loss of economic viability, diminished sense of community, and lack of envi ronmental amenities. According to the USC Lusk Center for Real Estate (2001), s uburbaniz ation has resulted in urban suburban diseconomies in service provision, massive outlays for infrastructure, increasing traffic congestion, deteriorating air quality and loss of open space. Unmanaged gr owth is also seen as carrying a high social cost involving a loss of community and local identity, as well as an increase in health issues (Scott 2007). As regions have look ed for ways to address growth, they have turn ed to new structures of regional gover nance, including voluntary coalitions. While these coalitions often have distinctive characteristics specific to their particular region there are striking similarities among many, both in the issues they are attempting to address, the goals they are set ting for the region (and for the coalitions themselves) and the processes used to both define those goals and how to reach them. Above all, these coalitions emphasize that growth does not have to be mismanaged, haphazard, or without regard for the ideals of the citizens who live in the region. Purpose of Study This dissertation buil ds on existing research on regional governance and coalition building to demonstrate how growth management has been addressed at the regional scale. Rather than testing hypothe s e s, theory fitting, was employed, whereby two theories h istoric

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3 institutionalism and civic capital were used to direct this study. This allowed the researcher to determine whether the theories provide a robust explanation for the observed development in the case study and whether the study in turn contributes to the development of the theories The research questions that this study is based on are : 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth ? 2. What resources do those coalitions draw upon to initiate action ? 3. How do regional coalitions successfully transition from initial formation to planning to execution ? 4. How do regional coalitions focused on growth management measure success ? 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? It is presumed that regions that are able to construct robust regional growth initiatives do so by building upon existi ng institutions including influence networks that are specific and unique to the region. Without pre existing structures that serve as a foundation, it is significantly more difficult to gain public trust and to foster pa rticipation and collaboration amon g community leaders and organizations. This dissertation also assumes that pre existing institutions as well as the emergence of regional growth coalitions are supported by the civic capital of a region. Civic capital emphasizes the importance of civic e ntrepre neurs in building networks that lead to collaborative efforts. The presence of strong civic capital implies that culture, trust, and leadership are critical to the success of regional growth initiatives. Lastly, the questions above imply that deci process are key to the success of that coalition in realizing its goals. By demonstrating the

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4 strength and impact of such an initiative in the greater Wasatch region of Utah and by studying the evolution of institutional arrangements, it may be possible to better evaluate the capacity of other regions and their potential pathways towards achieving effective governance. Methodology This dissertation use s a single ca se study design, within which mixed methods were used to c ollect and analyze data (Yin 2008) Data collection for this research was conducted in three phases: re view of relevant documents ; one on one interviews with key players in the region; and a survey of coalition members. Additionally, a regional typology was developed using examples of three additional regional coalitions San Diego, Fresno, and Central Florida / Orlando to provide a compar ison for the primary case study Case Study: Envision Utah The population of the Greater Wasatch region of Utah a six c ounty, 23,000 square mile area in the northern part of the state is expected to nearly triple in the next 50 years (Envision Utah 2006) The region itself is significantly limited in the amount of developable private land available : land that is boun ded by both geographic limitations mountains, lakes, and desert as well as public land which restricts urbanization. The growth expected by the region offers a number of challenges. Quality of life, cost of living, environmental quality all will be impac ted by the increase in population (Envision Utah 2003 ) In 1997, the Utah Quality Growth Public/Private Partnership, also kno wn as Envision in an effort to find ways to address these issues. Over 130 sta keholders were initially asked to join the Partnership, including representatives from state and local government, business leaders, developers, conservationists, landowners and church and citizen groups (Envision Utah 2003 ) The

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5 leadership of Envision Ut ah understands that no one organization or sector, not even the government, will be able to realize these goals alone; nor does it attempt to do so itself. Instead, it has entered into partnerships with local and state government, developers, civic groups environmentalists, businesses and corporations, and other stakeholders to pursue a number of initi atives aimed at achieving their goals of enhanced air quality; increased transportation choices; preservation of critical lands; conservation of water resou rces; increased housing opportunities, and maximize efficiency in public and infrastructure investments. (Envision Utah 2003 ) As a result of the success of its efforts, Envision Utah has received numerous awards from such organizations as : the American Planning Association, the U.S. Department of Housing and Urban Development the Environmental Protection Agency, the Urban Land Institute, and the American Society of Landscap e Architects. In addition, it has presented its process and initiatives to over 50 communities throughout the United States and even internationally. Numerous regions h ave aspired to duplicat e its efforts, with varying degrees of success. Th is region w as selected because of both the similarity of the case to other rapidly growing regions, but also because of its differences. The Greater Wasatch region ha s taken significa nt steps to address growth It has engaged in a visioning process work ed with citizens to assess and quantify their values, and dev eloped growth scenarios with those values as a basis The region is committed to growing in ways that spur econo mic development while protecting environmental resources, promoting housing and transit options, and maintaining a strong sense of community (E nvision Utah 2003 )

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6 However, the region is unique in that : 1) expected popul ation growth will be large ly the result of natural growth i .e., the majority of the new population will be born in the region to current residents ( 62% of whom were born in the sta te of Utah ), who will themselves remain in the region and 2) the population of the region has a common set of values influenced by the presence of t he Church of Jesus Christ of Latter Day Saints ( LDS Church ) ( urch ) a circumstance not seen in any other major metropolitan region in the United States (Envision Utah 2003 ) The Church itself has been a major driver in regional and economic development. These two factors set the region apart from others in both their efforts to collaborate as well as their success in addressing regional issues. Organization of this Study This dissertation is organized in eight chapters Chapter 2 introduces regional approaches to growth management, including a history of growth management in the United States and a discussion of regional governance and regional coalitions. Chapter 3 explores four theoretical frameworks that have been utilized by regional governance scholars, includin g the two historic insti tutionalism and civic capital that were used to inform this study C hapter 4 describes the method ologies utilized in this study and outlines both the contextual and mediating factors within which the coalition operated as well as the basis for research Chapter 5 is a narrat ive description of the primary case study the Greater Wasatch region of Utah and the efforts of Envision Utah to address growth in that region. Th at chapter begin s with an overview of the region b oth its geography and history and then outline s the historical context for the formation of Envision Utah and the process they have undertaken to make their vision a reality The chapter concludes with a discussion regarding

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7 the future of the organization and the region. Chapter 6 provide s an analysis of the data gathered through the various methodologies, including a review of each factor and its presence in the case study Chapter 7 is efforts are profiled. Each profile introduces the region both in terms of geography and demographics, describes the challenge(s) facing the region, outlines the process taken by the regio n including the development of any regional coalitions or organizations, and concludes with achieved results. These profiles are not meant to serve as additional full case studies but rather to allow for som e comparison between these cases and the Grea te r Wasatch region, and provide a greater understanding of how and why regional coalitions are formed. Finally, Chapter 8 returns to the research questions and revisits the two proposed theories discusses the limitations of the research, and identifies policy implications arising from the results of the analysis as well as possible directions for future study.

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8 C HAPTER II EFFECTIVE COLLABORAT ION: COALITIONS AND SUCCESSFUL REGIONAL GOVERNANCE Introduction As regions look for ways to address growth, the y are turning to new structures of regional governance, including voluntary coalitions. This chapter presents a history of growth management p rimarily in the United States followed by a discussion of regional governance, including some of the factors that lead t o successful governance. Next there is an overview of regional coalitions, including approaches to building regional coalitions and common elements of efficacious coalitions. Growth Management and Smart Growth The United States has experienced unp recedented growth in the 20 th century, and witnessed the dawn of the suburbs. Where once the majority of the population lived within core cities, families have migrated to the suburbs, where they live, shop, and work They are buying bigger homes that consume more acreage than houses in more urban areas (Below 2000). The automobile was largely responsible for this transformation. After World War I, personal ownership of a car made it easier for families to travel and to live outside city limits. A built networks for boulevards, parkways, and expressways that served as armatures for dispersing development resulting in even greater migrations to the suburbs (Belo w 2000; Fishman 1987).

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9 Suburban areas increasingly focused on their own employment, retail, educational, health care, entertainment, and recreational needs, and contributed little to downtown expansion ore to the suburbs. The Brookings Institution (2001) estimates that the amount of urbanized land in the United States increased from 51 million acres in 1982 to 76 million acres in 1997 an increase of 47 percent, during a time when the population only inc reased by 17 percent. During that time, residential density the number of people living in an urban area, divided by the amount of residential land cities became less de nse, as the population moved out of the inner core into the suburbs (Lucy and Phillips 2001). Beginning in the 1960s, communities began exploring growth management policies as a way to both limit new growth and dictate the shape and manner of that growt h. Initially, growth management was concerned primarily with environmental preservation and the limitations of existing infrastructure (Porter 1996; Pallagst 2007). In the 1960s, growth [which were] Growth management policies were implemented by either single communities such as Boulder, Colorado, Boca Raton, Florida, and Petaluma, California or by states (Pallagst 2007).

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10 State growth management became more common in the late 1960s and early 1970s, as states employed land use policies in order to address environmental protection goals. Hawaii was the first state to put environmental focused growth management policies into practice, developing a statewide planning program in 1961 that established four planning zones urban, rural, agricultural, and conservation. Perhaps the best known example of state implemented growth policy, however, took place i n 1973 in Oregon. The state passed legislation that partially shifted growth control power from local governments to the state, combining various land increasing environmental concerns. The extra ordinary growth in population prior to 1970 Several Oregon organizations, includ ing the Land Conservation and Development Commission, the Department of Land Conservation and Development, and the Land Use Board of Appeals (a policymaking group, an administrative body, and an independent tribunal, respectively) were given the authority to implement the program, based on 19 state wide goals. One of the aspects of this initiative that sets it apart was the involvement of the public in setting the goals in fact, one of those 19 goals is citizen involvement. A key element in the policy is 20 urbanization (Pallagst 2007). Growth management in Oregon was not without its critics according to Pallagst (2007) Developers and property owners argued that growth control policies infr inged on individual property rights, and resulted in higher land prices and housing values. Additionally, critics of growth management pointed out that while growth caps and

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11 boundaries decreased the amount of growth, they did so without consideration for economic or social consequences. Developers were disinclined to build in communities with growth caps because of limits on ho u sing starts. Also, a number of communities used growth caps as an excuse to eliminate affordable housing from new developments t hus excluding families many cities adapted their growth management programs to ensure even require that a certain number or percentage of affordable housing units be inclu ded in new developments (Pallagst 2007). During the 1980s state model, began to place growth management on their planning agendas. Additionally, the 1980s saw an increase in public involvem ent in local growth management strategies, as collaborative approaches to growth regulation emerged. As Knaap and Nelso n (1992) point land use policy is influence Knaap and Nelson 1992, in Pallagst 2007, 25). Growth management strategies of the 1980s attempted to integrate matters of economics, environmentalism, infrastructure, and quality of life. Sustainable Developmen t i n 1972 when the United Nations Conference on the Human Environment was held in Stockholm in response to increasing concerns about the consequences of increasing global between the needs of the developing world and the conservation goals of industrialized nations.

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12 In December 1983, Norwegian Prime Minister Brundtland chaired the World Commission on Environment and Development (WCED), an independent commission tasked with re examining global environmental and development problems and formulating strategies to address them. Perhaps the best known definition of sustainable development In 1992, an Earth Summ it was held in Rio de Janeiro. National leaders were the 21 st Century (Agenda 21), which and laid out a course of action for achieving sustainability. Among the various chapter s in Agenda 21 was Chapter 28 also known as Local Agenda 21, which stresses the importance of sustainable development at the local level. Local Agenda 21 laid out a number of objectives, including increased international cooperation by local authorities, enhanced information exchange, and implementation of programs that would ensure inclusion of women and youth in decision making, planning and implementation of sustai nability focused programs. Through Local Agenda 21, local authorities were directed to achieve sustainable development within their communities, in consultation with citizens and stakeholders (Kobler 2009). One year after the Earth Summit in Rio de Janeir o, President Clinton established the and tasked the council with creating policies that would encourage economic growth and job creation while ensuring environmental protection. The Council included r epresentatives from government, business, the environmental movement, civil rights organizations, and others.

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13 The PCSD held more than 40 public meetings and workshops over six years. The Council released a number of reports, including its final report i n 1999 containing numerous recommendations for sustainable development including the need for collaborative decision making as well as collective responsibility and stewardship, and laid out the relationships between economic development, social equity, an d environmental quality as well as national security. The Emergence of Smart Growth In the early 1990s, a new trend in growth management developed (Bollier 1998; governors, and others emerged, calling for an end to sprawl and a new vision of Richmond and Peter Calthorpe stated: ng profound environmental stress, intractable traffic congestion, a dearth of affordable housing, loss of irreplaceable open space, disinvestment in our inner cities, and lifestyles which burden working families and isolate elderly and singles. We are usi ng land planning strategies which are 40 years old and suburbs as if families were large and had only one bread winner, as if jobs were all downtown, as if land and en ergy were endless, and as if another lane on the freeway would end traffic congestion. It is time to overhaul the American Dream, returning to the values and patterns of our traditional towns (Bollier 1998 2). ew regionalism emerged in the early 1980s (Wheeler 2002). In North

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14 framework for coherent socio fo cuses on partnerships, cooperation and volunteerism within regions (Scott 2007). Consequences of Growth Adverse consequences of unmanaged growth include air pollution and an increased production of greenhouse gases, increased congestion and longer commute times, a lowered quality of life, rising business costs, the loss of rural and natural land, and increased costs of maintaining infrastructures in low density and automobile dependent suburban environments, isolation of inner city residents, and increased local taxes that go to pay for roads and other new infrastructure projects (Benfield, Raimi and Chen 1999; Bollier 1998; Today, metropolitan regions are facing numerous challenges, including decreasing qu ality of life, loss of economic viability, diminished sense of community, and lack of environmental amenities. Suburbani z ation has resulted in urban suburban diseconomies in service provision, massive outlays for infrastructure, increasing traffic congestion, deteriorating air quality and loss of open space. Unmanaged growth is also seen as carrying a high social cost involving a loss of community and local identity, as well as an increase in health issues (Scott 2007). During the 1980s and 90s, va rious organizations began to address the issue of growth. The National Resources Defense Council, the Sierra Club, and the National Governors Association made combating sprawl one of their highest priorities. Growth control became the central theme at me etings of planners, architects, and transportation engineers (Gillham 2002). In 1993, these professionals formed the Congr ess for the New Urbanism (CNU); in

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15 1996 CNU hoped to combat urban sprawl (Katz et al. 1994; CNU 2011 ). In 1996, the Environmental Protection Agency collaborated with a number of organizations both governmental and nonprofit to form the Smart Growth Network (SGN). Current partners of the SGN include envi ronmental groups, historic preservation organizations, professional organizations, developers, real estate interests, and local and state governments. Defining Smart Growth It is important to recognize that smart growth is not anti growth (Anderson and Tregoning 1998; Beaumont 1999; Filion 2003; McMahon 1997; Mitchell 2004). The problems caused by sprawl are not necessarily problems caused by growth, but are instead problems caused by inefficient, unplanned growth. Growth is inevitable, as all policy m akers realize indeed, development is critical for maintaining and improving communities (Audubon 2001). The critical element for successful growth is public sector planning, done with attention focused on the future, rather than the here and now. Growth is NOT no growth; rather it seeks to revitalize the already built environment and, to the extent necessary, to foster efficient development at the edges of the regions, in the process creating Smart g rowt sustainability that suggests economic efficiency, environmental protection, a high quality of (Scott 200 7, 17). What sets smart growth apart, according to the Environmental Protection

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16 ( Anderson and Tregoning 1998; Audubon 2001; Beaumont 1 999; Briechle 1999; Mitchell 2004; ULI 1998 ) Existing definitions of smart growth vary widely (Bierbaum 2001; Mitchell 2001; Nolon many of the issues facing urban areas today, including community quality of life design, economics, the environment, health, housing, and transportation (Smart Growth Online). Smart growth proponents recommend moving future developments from the suburbs to urban centers; infill development and the reuse of brownfield sites; the deve lopment of mixed use communities as well as land use patterns that support walking, cycling, and public transit use; an increase in public transit funding; and the protection of green space within and around cities (Freilich 1999; Filion 2003; Gillham 2002 ; Katz 1999; 2002; Pierce 1999). Metropolitan Regionalism A number of proponents of smart g rowth argue that the only way to achieve real smart growth is through regionalism. When local jurisdictions compete aga inst each other, adopting beggar thy neighb or solutions, the common good invariably suffers. Much of the problem stems from a void in governance. There is simply no appropriately sized traffic congestion and r acial equity. These problems are typically too big for localities to solve alone, but too small for the federal or state governments to manage directly (Bollier 1998, 33).

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17 Metropolitan regionalism is not a new concept indeed, theories around regional des ign date back to the late 1800s (Hall and Tewdwr Jones 2011) Since WWII, however, it has taken on new significance. Since the early 1990s regionalism has grown more comprehensive no longer focused on economics; now, environmental issues and concerns ove r quality of life have moved to the forefront. There has been a shift from top down initiatives to collaboration and new forms of governance. The practice of regionalism is supported by social capital in civic ott 2001; Scott 2007, 17). Most metropolitan regions have regional planning organizations, but these organizations either have limited authority around specific issues (transportation, waste management, etc.), or have no actual authority at all, being adv isory bodies only. As can be seen in Denver, Colorado, the issues of transportation and congestion, water, affordable housing, economic development, and the environment are not limited to the city boundaries. The city and all its neighboring communities and suburbs are facing the same problems; and, in the case of Denver, some of those problems a ffect the entire state ( e.g., supply comes from the western side of the Rocky Mountains). Growth Management at the State Level A number of states including Florida, Maryland, New Jersey, and Oregon, have chosen to implement regional planning and growth management. According to Bollier (1998), states that have seen a higher level of effectiveness have :

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18 helped local governments manage growth, given financial incentives to towns and regions to prepare comprehensive plans, established goals and performance measures to evaluate progress, and engaged in educating communities, local officials, citizens, and developers about the impacts of growth and tools that can be used to address those impacts (Bollier 1998, 36). States that attempt to address growth at the state wide level tend to perform well in an area that is a high priority for that state, but perform poorly in areas that they do not emphasize. Ma of farmland conservation easements, led to successful protection of natural resources, whereas the state did not place an emphasis on providing affordable housing. States can be successful at growth management, but to do so they must pay close attention to program structure and transparency, functional linkages and program design, and program sustainability and monitoring (Ingram and Hon g 2009). In 2006, scholars and researchers at the Lincoln Institute of Land Policy asked the 2009, 10). To answer this and other questions regarding the success and strength of state administered smart growth programs, the Institute conducted a study of statewide smart growth policies from 1990 to 2000. Included in the study were four states with established state mandated smart growth policies (Florida, Maryland, New Jersey and Oregon), and four states (Colorado, Indiana, Texas and Virginia) that do not have statewide policies, but are known for other local or regional land man agement programs (Ingram et al. 2009).

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19 The goal of the study, which used 52 indicators from the U.S. C ensus Bureau as well as other state and local datasets, was to examine effectiveness in five smart growth objectives: 1) Promoting compact development, 2) protecting natural resources and environmental quality, 3) providing and promoting a variety of transportatio n options, 4) supplying affordable housing, and 5) creating net positiv e fiscal impacts (Ingram et al. 2009, ix). The key finding of the study was that statewide programs are neither necessary nor always but the existence of such programs often does facilitate progress on those objectives. Of the eight states included in the study, at least one of the smart growth states performed best on each objective, yet a smart growth state often was also found to pe rform well below the average for each objective (Ingram et al. 2009). the priority of that objective. The higher the priority as defined by the state the more likely the state was to realize success. Objectives that were of little priority often did not do as well (Ingram et al. have to remain focused on their key policy goals. No single approach is right for all states, and the most successful states use a variety of regulatory controls, market incentives, and et al. 2009, ix). The study found that there were common linkages bet ween smart growth objectives. For example, states that ranked high on achieving transportation objectives also did so with

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20 regards to development patterns. The study also found that states with strong fiscal balances and modest development in rural areas saw greater land preservation and conservation (Ingram et al. 2009). In those states that do not have statewide smart growth programs, those that provided object ive s saw greater success in the achievement of those objectives than those states that did not deliver such conditions (Ingram et al. 2009, 147). Colorado is one such example, t growth programs (Ingram et al. 2009, 147). ic et al. 2009, 147). However, the mixed results of the study demonstrate that the priorities of the states a nd how efforts were focused have a significant impact on the realization of smart growth objectives (Ingram et al. 2009). The authors of the study developed a number of recommendations that would allow states to improve the efficacy of their smart growth p olicies. The recommendations t en in total were grouped with in three categories: program structure and transparency, functional linkages and program design, and program sustainability and monitoring (Ingram et al. 2009). Society In addition to the perhaps more obvious issues of the environment and the economy, there is also a sociological component to smart growth. Many people feel that sprawl has led

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21 to the atomization or fragmentation of communities people do not identify thems elve s as part of a neighborhood any more. We have become a commuter culture. The sense of community, so treasured after World War II, has been all but lost (Putnam 2000) Additionally, sprawl has often led to segregation both racial and economic. By developing communities consisting of only one style of home, and typically within only one price range, we have created islands of segregation among the population. Recently, developers and city planners have worked to design neighborhoods with multiple h ousing types (with a broad range of prices), in an attempt to attract people from multiple socioeconomic levels. Not only do these communities have multiple housing options, they also include a variety of retail, corporate, and other sectors, providing bo th employment and important services. Often, these communities are built near or include public transit, Gateway communities are two examples of such initiatives). Sm art growth has been linked with an improved quality of life (Audubon 2001; welfa re life improvements in the form of shorter journeys and a broader range of life Regional Governance To address region wide issues, including growth manage ment, m etropolitan regions have increasingly been exploring different forms of regional governance ( Leccese and McCormick 2000; Weir 2001; Niedt and Weir 2007 ) They have recognized that many of the issues that face one community are common to the other c ommunities in the region, and that

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22 collaboration among not only the numerous governments but also the organizations of both the private and nonprofit sectors may be the most efficient and effective manner of addressing those issues. Trad itional forms of go vernance have been found to be insufficient to handle the scope of the issues. The question arises, how should regional challenges be addressed, and by whom? authority due to the n (Chaiton et al. 2000 6 ). et al ollaborative public management describes the process of facilitating and operating in multi organizational arrangements t o solve problems that cannot be solved or easily solved by single organizations. Collaborative means to co labor, to cooperate to achieve common goals, working across boundaries in multi sector relationships. Cooperation is b ased on the value of reciproc et al. 2006, 6). Few organizations have the power or resources to accomplish their missions alone (Goldsmith and Eggers 2004; Innes and Booher 2004; Milward and Provan 2000; Marks 2004). Governance the process through which political decisi ons are made and policy is implemented through democratic engagement i s increasingly carried out by networks that often include not only government agencies, but also private and nonprofit organizations (Agranoff and McGuire 2001; Comfort 2005; Goldsmith a nd Eggers 2004; Keast et al 2004; Milward and Provan 2000). The increasingly complex challenges facing public managers challenges that cannot be addressed by existing structures or single organizations have been raised by numerous scholars (Agranoff 2006 ; Bryson et al. 2006; Kettl 2006; McGuire 2006; Thomson and Perry

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23 2006), as ha s sector collaboration is increasingly assumed to be both necessary and desirable as a strategy for addressing man C ollaborative public management is not a new concept ; there is ample evidence, McGuire tells us, that public managers have practiced collaborative management for decades (McGuire 2006). Kettl states that it is nearly impossible to find any significant, successful Interorganizational, intergovernmental, and multi sectoral coordination are critical in American public administration (Kettl 2006). It is, Kettl goes on to say, the responsibility of government to find a way to leverage its partners and align their activities so that efforts are coordinated, efficient, effective, and new strategies to bring public administration in sync with the collaborative, network Traditionally, regional governance was utilized as a method of increasing regional economic competitiveness. L ong term economic health cannot be achieved alone, but depends on surrounding communities; additionally, quality of life is dependent on the overall health of the greater region (Marks 2004). Pr jurisdictional problems demand cross jurisdictional solutions, and that cross jurisdictional solutions demand cross development and continued maintenance of these coalitions. For many local officials,

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24 s 2004, 30). Regionalism is no longer focused solely on economics, but also addresses issues regarding the environment, quality of life, and community equity. focused on c reating new forms of government as alternatives to city government control. Reformers advocated for consolidation, ag glomeration, or annexation that would give central cities control over the entire region, with the purpose of overcoming fragmentation (Wallis 2009). New Regionalism on the other hand focuses on governan ce particularly on the engagement of multiple stakeholders Partnerships form across sectors and jurisdictions, and typically are developed to address the delivery of services, but are at times formed to address larger issues (Marks 2004). Leadership Wh ile collaborative governance, by definition, involves a coalition of multiple organizations working together, there remains the need not only for coordination of efforts, The majority of ne tworks, even those with a lead organization, include an individual or group of individuals who a public agency or nonprofit organization, one that is usually among the founding organizations of the network indeed, that individual quite frequently may be largely responsible for the actual formation of the network. The champion is someone who can raise the visibility of the network, advocate for its purpose, influenc e decision makers, and add Additionally, We ir, Wolman and Swanstrom (2005) argue that new coalitions require a repr esentative in the legislature a

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25 can underscore the overlap between city suburban interest, and can help build coalitions around those interests (Weir, Wolman and Swanstrom 2005, 750 751). In addition to a champion, in some circumstances networks represented by formal organizations have a board of directors and/or a CEO (typically when there is a formal organization representing that network, such as a regional council) The CEO and board are instead responsible for keeping the network focused on its goal and moving forward (Agranoff and McGuire 2001, Goldsmith and Eggers 2004, Crislip and Larson 1994; Provan and Milward 1995; Provan et al. 2005). It is important to note that the CEO is not always the champion, but is instead someone brought on board to carry out the goals and vision of the network and the champion. Citizen Engagement Many argue that the collaboration process must also include citizen engagement is necessary for effective regional governance and success in addressing growth issues Cooper, et al. (2006, 76) use the phr to emphasize the need to involve the public in the collaborative management process which has not always recognized the value of citizen participation (Cooper 2005; Cooper et al. proaches to engagement are most likely to lead to citizen centered collaborative public management, as these approaches are most likely to build citizen et al. 2006, 79). Likewise, del citizens and improve the quality of government response to citizens. These can all be

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26 accomplished, suggests Stivers, through the active listening efforts of bureaucrats (Coop er et al. 2006; Stivers 1994). A key concern of civic engagement is the diversity of citizen participation. Deliberative approaches include efforts that seek joint actions across sectors of society and classes of people. When addressing the issues of citizen trust, efficacy, and respo nsiveness, it is important to have as wide and deep a pool of citizens participating in the process as possible (Cooper et al. 2006). Such approaches are not limited to small communities indeed, the practice of deliberative democracy has been successfully achieved in cities ranging from 100,000 to 400,000 citizens. The importance of citizen participation is highlighted in Goldstein, Wessells, Lejano, narrating resilience The authors suggest that urban planning must include citizen dialogue, in the form of storytelling. Their research focuses on the concept of resilience that while change is inevitable, communities can renew and even recreate themselves in response to necessary change. capacity to respond to perturbations in ways that maintain some, but not all, aspects of et al. 2014, 2). Resilience, they say, is characterized as the ability to adapt and transform in response to a chance in cir cumstances, rather than simply doing the same thing faster and better. Goldstein et al. (2014) borrow from the theory of adaptive capacity, stating that problem s et al. 2014, 3).

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27 The authors state t hat communities can purse resilience by allowing citizens to tell stories about what change means to them, and how that change should be achieved. Cities, narratives et al. practices while binding people together within a partially shared understanding o f the social (Goldstein et al. 2014, 1). Through sharing diverse experiences, a community can envisio n a shared alternative future and a path towards that future (Goldst ein et al. 2014). Resilience et al. 2014, 5). By using narrative to describe the future, communities can envision community (Goldstein et al. 2014). Planning, state the authors, is persuasive storytelling. An effective plan is not just a coherent narrative, but one that pulls together common themes from diverse experience s and forms them into a shared vision (Goldst ein et al. 2014). Stories both descriptive and normative et al. 2014, 5). Planning, says Goldstein et al cannot be top down decisions forced upon a community, but instead should be a means for communities to share their et al. 2014 6). This kind of collaborative storytelling allows the community as a whole to determine what the priorities of the

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28 community are and how to m ake those priorities a reality, while taking into account the diverse perspectives and needs of the citizens (Goldstein et al. enhance resilience by making sense of their present conditions and possible futures, combining collabo rative problem solving coupled with reflective analysis in action to accommodate diverse knowledges [sic] and align on a shared future without eliding essential et al. 2014, 14). Through this storytelling, participants come to a co et al. 2014, 14). Structure A variety of organizational structures have been developed in metropolitan regions to address growth management Regional planning organizations, tax sharing solutions, special purpose districts, and city county mergers are just a few of the arrangements that have been utilized. Miller (2002) posits that there are five forms of regionalism : 1. Structural, when there is a change in political boundaries (voluntary or otherwise) 2. Coordinating, where a regional government or planning district is formed, or when issues are placed before the voters 3. Administrative, when municip alities cooperate to provide services or to share costs incurred when providing services 4. Fiscal, when municipalities redistribute taxes across the region typically utilized to address fiscal inequity and addressed through tax sharing

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29 5. Civic consist ing of collaboration between organizations across sector and jurisdiction to address economic, env ironmental, and social issues. While many scholars believe that the structure of collaborative public management is horizontal in nature, rather than vertical ( or, hierarchical), McGuire argues that the distinction between the two is not as clear as it may seem. He points out that a critical element of effectiveness in collaborative public management is the presenc e of a lead organization that Collaborative public management, he says, occurs in various settings both in a vertical context and a horizontal one. Kettl states that much administrative work involves determining how to balance the varyin g horizontal and vertical forces (Kettl 2006). Collaborative Networks One institutional form in which regional governance manifests is collaborative networks. through formal and info rmal negotiation, jointly creating rules and structures governing their relationships and ways to act or decide on the issues that brought them together (Thomson and Perry 2006, 31). Collaborative networks are increasingly being employed to addre ss regional issues. Within a collaborative network, organizations share responsibility and accountability for achieving the goals set forth by the network (Crislip an d Larson 1994). Collaboration is voluntary organizations choose to participate and shar e that responsibilit y of their own accord (Crislip and Larson 1994; Gray 1989). Because of these shared responsibilities, the organizations in the network depend upon one another to achieve those goals (Imperial 2005; Powell 1990).

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30 Networks allow for the coordination of activities between organizations of various sectors. Networks can be highly formal, with rigid bureaucratic structures and set policies that regulate its activities, or can be as simple as a set of agreements between organizations, laid ou t th rough contracts (Roberts and Hall 2001). The primary focus of networks is on the relationship between organizations, rather than the individuals that make up those organizations (Brass et al. 2004). While some networks involve organizations from a sin gle sector, multi sector networks those that engage government, business, nonprofits, education, and community organizations are becoming more prevalent. By bringing in actors from each of these sectors, networks are able to take advantage of the best of each sector and harness the knowledge and experience of each though interestingly, government has been less likely to participate in networks to address community issues (Chaiton et al. 2000). Collaborative networks, particularly those that are focused on policy issues, have a horizontal structure, rather than a hierarchical one (Alpert et al. 2006; Carlsson 2000; Marin and Mayntz 1991; Schneider et al. within hierarchical structures; the polic y network concept simply calls attention to the fact that the participants in a collective decision process are often linked laterally (or horizontally) There are a multitude of structures options for c ollaboration In 2001, Cigler identified a continuum of partnerships: Networking partnerships: organizations working together with very loose linkages

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31 Cooperative partnerships: relatively simple in terms of organizational purpose, with relatively low le vels of intensity in linkages and arrangements that can range from informal to somewhat formal Coordinating partnerships: organizations that work together with more closely linked connections, involving tasks that require a commitment of resources beyond information sharing Collaborative partnerships: involves strong linkages among members (Cigler 2001). It is this last partnership model that perhaps best characterizes regional collaborations though regional governance characteristically requires an even more formal, organized relationship The purpose of collaborative partnerships is specific, complex, and usually long term. Such partnerships are multi organizational, multi sector, and multi community. Resource commitments by participants are significant, and the efforts of the collaboration are highly visible within the region (Cigler 2001). Multiple ( vertical ) levels of government as well as multiple jurisdictions are often involved in the collaborative process. External experts are often br ought in to provide insight and direction to the efforts. By working collaboratively to address a critical issue in the region, groups that may typically be adversaries are brought together in ways that allow them to set aside their differences and find s olutions that best address the needs of the region. Regional Coalitions Recently, there has been an increased focus on the role that coalitions play in addressing regional issues A number of scholars and individuals, including University of California B

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32 written extensively on regionalism and coalitions. all iances of groups and individuals who band together to achieve both political and community, coming together to address community needs and solve community proble (Berkowitz and together for a common goal, building a strong base of power necessary to do something that t three of the definitions used by scholars. What nearly all of the definitions highlight is the inclusion of multiple interests working together to address a shared concern or issue. Weir outlines four factors that she considers critical to successful an d durable coalition building: the central role of relationship building among coalition members; the importance of reframing problems so that coalition members can find common ground; access to information and the ability to use it; and the ability to wor k across all levels of policy state and federal levels is necessary for a coalition to be successful (Weir 2001, 2). Relationship building is not only the first step in developing successful coalitions, both political boundaries and sectors; coalitions must do the same. In many cases, leaders and advocates in those arenas may n ot know one another at the outset. This is particularly true when coalitions seek to address multiple issues. In order to bring advocates together, trust must be developed among them. Additionally, coalition members may have access to other outside capi tal

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33 political influence ( Granovetter 1973) Weir recommends building relationships with individual or groups with power, even if it is not initially clear how they might support the activitie s of the coalition (Weir 2001, 3). The second element of developing successful coalitions is defining common interests. Regional thinking, Weir says, does not come naturally to many metropolitan actors; nor does thinking about how to link the interests o f the urban poor to the rest of the region. Political boundaries tend to lead to tunnel vision, where leaders focus on their own particular community and their voters (Weir 2001). One approach, sues should define what the issue really is, and whose interests are involved By doing so, various groups who may not have felt they had a stake in the issue will find reasons to be engaged they find that they are in fact connected through a common interest, concern or goal that they did not realize they shared (Weir 2001). Sch and to make sense of any situation, actors must select the most relevant and which features that allow the actor to crea te a story that explains the situation (Schn and Rein, 26; Conflict framing the situation, actors often find that their perception of their interests is impacted reflection

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34 in action on the frame conflicts that underlie controversies and account for their intractability (Schn and Rein, 37). Two other methods of finding common interests are 1) when groups that may initially oppose one another find that some of the ir interests complement each other, or 2) by broadening the action agenda to include multiple interests. Instead of creating new organizations or institutions, this allows existing organizations to broaden their focus to address new issues (Weir 2001). B oth of these methods allows actors to identify new allies and redefine the problems facing their community. A third necessity for successful coalition building is cultivating and building upon information and expertise. When launching new policy initiati ves, having adequate information can help highlight all sides of a particular issue which in turn can bring common interests to light. New solutions may come to light, or some may be proved more feasible than others (Weir 2001). The fourth element that W eir identifies is multi level political action. Successful regional collaborations, she states, have the ability to influence policy at both the federal and state levels. She highlights the limitations placed on collaborators by federal and state regulat chance of success. She also points out the importance of involving state level decision makers, noting that few regional organizations have the power to make key decision s and implement region wide initiatives (Weir 2001). However, she also points out that in order to have any influence at the state level, support must be garnered across the state particularly when introducing a new initiative. Grassroots support, Weir s ays, takes a long time to develop, and requires framing issues in ways that generate broad appeal across demographic

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35 groups, but can result in backing from different parts of the state together in support of that initiative (Weir 2001). The key, she says, In a separate study on successful regional coalitions, Weir identified three common elements among those cases considered successful: 1) there was at least one concerns, 2) the coalitions were bipartisan in makeup, and 3) any opposing groups were relatively weak in power (Weir 2000). push through or block legislation that promoted metropolitan regionalism. In the more successful cases of coalition building, Weir states, social and economic groups worked together to drive reforms and create discussion rather than the process being elite driven. Also, the involvement of environmental, agricultural, and urban interests as with substantial constituencies are vital to political mobilization (Weir 2000, 129). Weir also found, in the case of Oregon, that racial homogeneity has contributed to the success of regional coalitions there is not as much inequality between city and suburban residents (Weir 2000). es in the suburbs. The new generation of suburban residents is more concerned with quality of life issues, and may vote to place like minded representatives in the state legislature. wide coaliti ons may help them feel that suburban interests and concerns are being heard and addressed (Weir, Wolman and Swanstrom 2005).

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36 CHAPTER II I TOWARDS A THEORETICAL FRAMEWOR K Introduction This dissertation seeks to a nswer the following questions: 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth ? 2. What resources do those coalitions draw upon to initiate action ? 3. How do regional coalitions successfully transition from initial formation to plannin g to execution ? 4. How do regional coalitions focused on growth management measure success? 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? To beg in to address these questions, this chapter builds upon the review of growth management, regional governance, and coalition development presented in the previous chapter, and e xplore s four different theoretical models, each of which have been employed by other scholarship to explain regional governan ce. The four models selected urban regime theory, historic institutionalism, soci al capital, and civic capital were each selected because of their possible applicability to the questions posed above. E ach approach is summarized with a discuss ion of its strengths and weaknesses in terms of case st udy on growth management This chapter concludes with a summary of these theories and the selection of those that will be used to guide the research. Urban Regime Theory One paradigm in which to frame the questions above is Urban Regime Theory.

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37 403). Its primary focus is the relationship between politics and economics, and the dependencies between the two as they are associated with governance. Within the realm of urban regime theory, regimes have been defined a number of access to institutio nal resources that enable it to have a sustained role in making governing (Stone 1989, 4; in Mossberger and Stoker 2001, 813). In 2002, Hamilton defined nformal coalition of public and private interests working together to make and carry out governing decision s he described a regime Urban regime theo ry is built upon the concept that urban policy making is a result of a complex relationship between economic and political actors (Hamilton 2002). There is, interactio n between actors in these two arenas that results in governance (Hamilton 2002) government, he states, is heavily dependent on the cooperation of nongovernmental actors parti cul arly business and its control of capital, generation of jobs, and provision of tax revenue and financing to be effective; likewise, business relies on the legitimacy and policy making authority of the government to advance its agenda (Hamilton 2002, 200 4; Mossberger and Stoker 2001). Regimes, state Mossberger and divide between popular control of government and private control of e (Mossberger and Stoker 2001, 813).

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38 ues that involve solving problems and implementing policies that effect regional development cannot be adequately addressed without the involvement of the private sector. Public private coalitions, then, are an essential ilton 2002, 404). He points out that the focus of urban Urban regime theory, while focused primarily on urban areas, is not limited to tha t specific geographic frame. Regimes, according to Stone, are not confined within political Hamilton 2002, 406). Business leaders, Hamilton (2002) states, often have a perspective that encompasses the region. He points out that while voters are tied to specific political boundaries, many of the issues that they care about taxes, housing, educat ion, transportation are not. Meanwhile, the business sector is often also affected by these same issues (Hamilton 2004). Indeed, without support and pressure from the business community, local government would have little interest in regional initiatives The involvement of business is vital to draw attention to regional economic issues (Hamilton 2002). While there are examples of urban regime theory where business is not the principal faction, such cases are rare. Urban regime theory places particular emphasis on the business sector as the key non governmental partner, due in no small part to the resources it controls (Hamilton 2004; Mossberger and Stoker 2001). The private sector exercises considerable of this is due to high levels of fragmentation among and within local government (Hamilton 2004). There are few

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39 traditional political institutions with governing authority over a region. One challenge this presents to urban regime theory is that there a re few such organizations that the private sector region where the private sector can interact to influence policy, but there are few ical entities (H amilton 2002, 2004; Mossberger and Stoker 2001). 1 Chicago, with its 940 local governments, is a prime example of a fragmented region sectors have gen erally been positive, those relationships have not typically reached beyond the political boundaries of the city itself. For the business community to become involved in regional governance, Hamilton argues that a crisis or opportunity must often present i tself. An identifiable crisis, such as a threat to economic development, can mobilize the private sector, capture the attention of the leaders of the community, and energize them enough to become involved. Without any such crisis or appealing opportunity the success of new regional initiatives is substantially less assured (Hamilton 2002; Mossberger and Stoker 2001). While a public private coalition may disband once the crisis is averted or the opportunity has passed, there are circumstances under which they may continue functioning with the intention of addressing other regional issues (Hamilton 2004). Broad community support, along with widely based coalitions, is crucial to the success of regional public private alliances (Hamilton 2002). However, ju st because representatives from different sectors and organizations agree to collaborate does not mean that there is a consensus over values and beliefs (Mossberger and Stoker 2001). Participation 1 Because of this lack of multipurpose regional governments, it can be difficult to garner voter support for regional initiatives (Hamilton 2004).

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40 in these coalitions is often undertaken in order to realiz incentives or even coercion may be needed to secure participation and overcome problems of collective actions (Mossberger and Stoker 2001). Collaboration over time, however, may result in consensus regarding policy. While urban regime theory does provide a framework for understanding regional governance and g rowth initiatives, it does not appear to be the most vigorous for a number of reasons. While Hamilton points out that the civic sector does play a role in region al governance, there seems to be little emphasis on the importance of the civic sector or citizen engagement or the pre existence of collaborative networks Indeed, he refers to the civic government and business, rather than being a partner in the process (Hamilton 2004). The focus of urban regime theory is on economics, power, and authority that are undoubtedly necessary yet are not the only factors necessary for effective regional gover nance. Nor does urban regime theory touch on Similarly, urban re gime theory puts very little emphasis on those environmental factors that are unique to each region, such as history, culture, or shared values. While Hamilton acknowledges that such factors do have an impact on whether a regime develops and the effectiveness of the regime, he indicates that it is not possible to be explicit regarding that impact (Hamilton 2004). Hamil ton concludes that there is little evidence of urban regimes operating on the regional scale. Historic Institutionalism Rather than urban regime theory, historic institutionalism a branch of new institutionalism may provide a more suitable context for this research. Historic institutionalism, while also concerned with how policies are implemented, focuses on the

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41 underlying institutions that are behind policy formation and change. Historic institutionalism advances the importance of history, culture, and s hared values and provides a framework for understanding how and why change occurs. In the context of this study, historic institutionalism provides at least partial resolution to the questions regarding the formation of regional coalitions, their transiti on from formation to execution, and what happens to coalitions upon reaching (or failing to reach) their goals. Institutionalism Traditional, New, and Historic Over the past 25 within the social sciences. Researchers began questioning whether political and economic s ( DiMaggio and Powell 1991, 2). Previously, behavioralists viewed institutions as merely the sum of the properties of individual s and ignored both social context and the durability of social institutions. This was an oversight, particularly in a world where have become larger, considerably more complex and reso urceful, and prima facie more DiMaggio and Powell 1991 2). Another reason for the recent reexamination of institutions is the question of how DiMaggio and Powell 1991, 4) institutions are eliminated through competition, or if once established, institutions persist even if they are no longer ser not necessarily i ndicate a formal organization i ndeed, in most cases, it does not. In society, institutions can be represented by markets, th e family, or the church, or by specific or

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42 abstract social organizations such as codes of behavior, organizational r outines, or contracts (Williams 1983). Regional coalitions and collaborative partnerships are also examples of informal institutional struc tures. New Institutionalism typically seen as formal structures, frequently political, including constitutions, cabinets, bureaucracies, etc. New institutionalism has shifted the emphasis, a nd while formal structures are still considered, informal structures such as values and ideas are being taken into account as well. New institutionalists also give attention to institutional stability as well as the process by which shared individual valu es can shape and constrain individual behavior ( DiMaggio and Powell 1991) rejection of rational actor models, an interest in institutions as independent variables, a turn toward cognitive and cultural explanations, and an interest in properties of supra individual units of analysis that cannot be reduced to aggregations or direct consequences of DiMaggio and Powell 1991, 8). New institutional ism tends to focus on those organizational structures and processes that reach across boundaries, whether those boundaries are industry, national, or international in scope. New institutionalism in organizational studies got its start in the mid 1970s. In 1977, John Meyer published two influential papers ( and began collaborating with W. Richard Scott to clarify and develop institut ional principals for formal organizations. By the mid

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43 with numerous scholars conducting studies on cultures, ritual, ceremony, and higher level structures ( DiMaggio and Powell 1991) A ques tion being asked by new institutionalists is, are institutions the reflection of individual interest, or do they represent collective outcomes that are not just the sum of individual preferences? Many institutional economists and public choice theorists b elieve that institutions are constructed to achieve specific desired outcomes. Yet little attention is paid to where those desired outcomes have t heir base t he preferences that feed them or itutions ( DiMaggio and Powell 1991) Sociological institutionalists, on the other hand, question whether the interests and preferences of actors can be fully understood outside of their cultural and historical frameworks. Actions, both in form and purpos e, are motivated by interests held by people in that influence those interests. Sociological institutionalists also question how and why change in institutions occurs. Is change episodic and dramatic, or in cremental and smooth? How does fundamental change occur, and what are the conditions for change? sectors within industries, professions, etc.; it also considerers cross se ctoral arrangements. New institutionalists argue that environments influence institutions, rather than being co opted by organizations the world and the very categories of structure, action DiMaggio and Powell 1991, which considers actual organizations to be the units that were institutionalized (and the key drivers of the process), new institutionalism contends

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44 that institutionalization can take place at sector or even societal levels, and hence can be inter organizational. It is the forms of organizations their structure and rules that are institutionalized, not the organizations themselves. A frequently heard premise in new institutional ism is that both actors and their interests are shaped by institutions. Swidler argues that individuals select both (Swidler 1986, referenced in DiMaggio and Powell 1991, 28) (Scott 1991 in DiMaggio and Powell 1991 28 ). Individuals draw on culture to establish both means and desired out comes. It is because of culture that individuals behave in manners Historic Institutionalism A number of variations of new institutionalism have evolved over time (Hall and Taylor 1996). Rational choice institutionalism, based i n rational choice theory, contends that institutions are the instruments through which actors are able to realize their goals. Within the rational choice institutionalism perspective, institutions are represented by the rules that bound individual choices Sociological institutionalism comes from organization theory and emphasizes culture and tends to define institutions more broadly (Lecours 2005), including norms, cultures, and cognitive frames as forms of institutions (Peters 1999). A third form is hi storic institutionalism. Historic institutionalism focuses on policy, and the evolution of policy outcomes, over time. Included in the discussion is how various factors, including formal and informal institutions, play a role in shaping and potentially r eshaping public policy. Historic institutionalism considers the role of institutions in

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45 shaping political strategies and influencing outcomes, as well as the influence of time on the policymaking process. institutions are shaped by is critical to understanding how institutions and policy are developed and altered over time (Hacker 2005; Pierson 2000). In addition to the focus on the relationship between institutions and individual behavior, historic institutionalism also explores asymmetries of power associated with the development and administration of institutions. Historic institutionalism posits that rather than being the instrument of actors, institutions in fact shape and constrain actors and thus ultimately policy outcomes. It has been recognized that the relationship between institutions and interest is more complex than originally understood. T heorists recognized that actors, including individuals, collectives, and the state could all be responsible for initiating policy change. Thelen (1999) argues that institutions are inherently historical, and they emerge from and are sustained by various f eatures of a larger political and social context. Because of this, historic institutionalism is often used to identify and verify those factors that influence policy development, implementation, and durability. Historic institutionalism makes a number of assumptions. Two of those are 1) that institutions are shaped by history, and 2) institutions in turn influence policy (Putnam 1993). strategies in turn impacting policy. Historic institutionalism also asserts that institutional arrangements are only partially understood when considered outside the historical framework (Hall and Taylor 1996; Kay 2005).

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46 he idea of change, particularly policy change. Historic institutionalism contends that historical developments and reinforcement mechanisms are responsible for setting policy on a particular path, and then maintaining that path. Because of the historical structure, only a cer tain number of viable options or paths are available. Historic institutionalism does not claim that policy change does not occur, but that change may be the result of smaller, incremental modifications. Such incremental changes can either continue to support a well established policy path, or may result in a shift to a new course. Whether such a shift occurs often relies on the ability of actors to take advantage of these small changes, and employ them to their own purposes. By doi ng so, actors acknowledge but do not accept the constraints placed on them by institutions (Campbell 2007). Change may also occu r as a reaction to an external event. H istoric institutionalism also represents a shift in theory in its position on the state. Historic institutionalism maintains that the state, rather than serving as a neutral arbitrator, plays a critical role in policy formation and change, via its relationships with and between One way th at institutions influence policy formation and change is by facilitating or in some cases hindering the formation of partnerships and or coalitions. I nstitutions are not neutrally constructed they are formed by groups of individuals with pre existing hist ory, beliefs and culture and therefore they can inherently include or exclude certain actors and their interests from the policy making process (Atkinson 1993). Because historic

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47 institutionalism takes a historical view of policy making and change, it has limited predictive power. However, it does provide a context through which institutional stability can be assessed (Pierson 2000). Path Dependency An important element of historic institutionalism is path dependency which helps to explain how policies are both conceived and how they change or, more specifically, resist change The concept of path dependency originated in economics; over the past few decades it has made its way into political science and policy studies. There are a number of models of path dependency; the one that has become the primary model for policy research is that as all the relevant actors adjust their strategies to accommodate the prevai (Thelen 1999, 385). The premise of path dependency is that choices made when a policy is being that policy or institution going forward (Peters 2005) When a policy is set on a particular path, the number of alternatives decreases significantly unless actors purposefully work to set a new path (Peters 2005). Path dependency does not imply that a permanent policy path is set, or that there is no oppor tunity for change. Path dependency allows us to examine how certain institutions and practices are enduring, while others may change over time. Pierson be forthcoming until continu ity is interrupted by an outside force (Pierson 2000). One of the features of path dependency is the focus on timing and sequencing, and their impact on policy outcomes. Pierson (2004) contends that both history and timing are

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48 critical to understanding lo ng term policy alterations, and argues that any study of policy (1992) Thelen (2003) and Hacker (1998) maintains that sequencing the actual order of events ca n have significant influence on process and o utcomes. Depending on the sequence of events could have there can be widely different outcomes. Pierson and Thelen both claim that those actions and events that take place earlier in a particular sequence will have a greater impact on long term outcomes than those events that occur later in the process. Hacker (1998) agrees with Pierson and Thelen, pointing out that when policy development is set in motion, the decisions made at a given time will constrain possible options at a later time (Hacker 1998). Even smaller developments may have a greater impact if they occur early in the process, as opposed to more significant events later on. By the time the later events occur, there will be established norms o f behavior will be more difficult to alter (Pierson 2000). economists; the former the greater the likelihood that there will be continued movement in the same direction. The relative benefits of the current activity increase over time, also increasing the likelihood that the same path will be pursued (Pierson 2000). demonstrating that numerous organizations founded in the 19 th century are still in operation today. Her research highlights how ch anges in social groups and their interests resulted in

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49 particular policy paths and outcomes. 2 Layering, Conversion, and C ritical Junctures Thelen points out that while increasing returns are important to understanding the durability of institutions and policies, they are only one part of the picture. The processes of layering and conversion, she says, are also part of the greater discussion around new institutionalism and policy change. institutional structure. Schickler (2001) claimed that layering plays a significant role in congressio nal reform. He states that rather than following one particular path, many different coalitions promoting a wide range of collective inte rests drive processes of change (Schickler 2001) In those cases, he states, institutional changes come in the form o are then placed on top of the old forms. Thelen argues that layering helps demonstrate how actors address new concerns through old institutions (rather than creating all new structures) (Thelen 2003; 2004). The old institutions do n ot necessarily experience dramatic overhauls; indeed, in many cases the changes are incremental, as the focus and purpose of the institution is slowly altered. Layering also refers to the process of adding new policies to old, rather than replacing them. The introduction of new policies, and generating support for those policies, slowly creates tension between the varying policies, and the older ones gradually peter out. 2 For example, the US Department of Veterans Affairs got its start in the 1 8 00s, when a program was developed to provide pensions to disabled war veterans. Over time, benefits were extended to non disabled veterans as well as dependents and survivors, and fixed pensions were introduced in the early 1 9 00s. Lat er, medical care, vocational training, and other benefits were also established.

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50 Conversion occurs when new actors those not involved in the formation of an institu tion have (and take) the opportunity to modify or redirect the goals of an institution redirected to new goals, functions, o 2004). Conver sion can be the result of new environmental changes that prompt policy makers to redirect institutional resources, or due to a change in power or leadership. Another means of institutional change is through critical junctures. Critical junctures take pla ce when numerous, simultaneous actions introduce an opportunity for change (Kingdon 1995). Critical junctures often provide institutions with a number of opportunities for change, each of which could result in a few and different path s (Thelen 1999), and consequently have long term impacts. According to Pierson (2000), critical junctures trigger path dependency (Pierson 2000). Critical junctures place institutions on paths that are difficult to change later (Pierson 2004; Thelen 1999). Pierson points ou t that critical junctures do not need to be large events; indeed, significant change can result from relatively small events (Pierson 2000). A critical juncture does not need to be dramatic to trigger a change i ndeed, a critical juncture is defined by i ts capacity to trigger change (Pierson 2000). This capacity is the impact a change has on determining a long term path (Pierson 2000; Thelen 2004). Critical junctures help to understand when an instituti on might undergo change; however, they do not explain how institutional change occurs. The how can be explained through a variety of methods, including those outlined above.

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51 Again, Thelen, while acknowledging the role that critical junctures play in ins titutional change, feels that they are too often used to explain change, instead of consideration being given to incremental changes similar to her concern regarding increasing returns (Thelen 2003, 2004). Historic institutionalism provides a significantl y more robust model to explain the formation of regional coalitions and their approach to growth management. Historic accepted growth patterns and methods of addressing growth (such as sprawl), and how those institutions may change over time as a result of new realities and circumstances facing the region. Historic institutionalism is al so appropriate for explaining though to a somewhat limited degree the role of culture and sh ared norms and values within a community. The focus on structures and processes that reach across boundaries also recommends historic institutionalism to the study of regional governance, as does the recognition that interests and preferences can only be fully understood within cultural and historical frameworks. When considering regional governance and coalitions within the framework of historic institutionalism, a number of questions come to mind: How does the history and culture of a region, as well as preexisting institutions, influe nce the formation of coalitions; h ow do both the formal and informal institutions within a region play a role in regional gover nance and shaping public policy; d o preexisting institutions encourage the formation of coalitio ns, or hinder the inclusi on of certain actors; and w hat triggers change of both institutions and policy within a region? These questions seek institutionalism as a framework for understanding the role of regional coalition s in growth management. Based on the literature reviewed above, historical institutionalism does not

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52 account for selected factors particularly leadership or civic participation t hat should be considered when analyzing the impact that regional coalitions h ave on growth management issues Social Capital A third framework for investigating the impact of growth management coalitions is social capital. Interest in the influence of social capital on American life and achievements is as old as the country itself. Alexis de Tocqueville commented on the critical role that fraternal organizations played in national accomplishments. A century later, historia n Arthur Schlesinger noted the same associational behavior when he calle describe this associational impulse and its results. In his 1916 article about rural schools, Hanifan echoed de Tocqueville in his analysis of the importance of collective action in support of rural education. with his neighbor, and they with other neighbors, there will be accumulation of social capital, which may immediately satisfy his social needs and which may bear a social potentiality sufficient to the substantial improvement of living conditions in the whole community. The communit y as a whole will benefit by the cooperation of all its parts, while the individual will find in his associations the advantages of the help, the sympathy, and the fellowship of his neighbors (Hanifan 1916, 130). In the mid 20 th century, social capital un derwent a shift in perspective. Robert Salisbury referenced building social capital as a potential rationale for interest group formation (1969). Loury (1977) described social capital as the consequence of social position. Bourdieu (1985) described thre e types of capital: economic, cultural, and social. For both Loury and Bourdieu, social capital refers to what might be colloquially thought of

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53 as position or privilege. This is a different concept than the idea behind the importance of associations in t he classical treatments of the topic mentioned above and also embodies a quite different idea from the later scholarly treatments by Putnam and others (discussed below). Beginning with Coleman (1988), the focus of social capital research shifted from th e idea embodied in the above early modern positions to something more similar to the classical perspective. Coleman represents a mid point in this transition with his focus on the relation between people and view of social capital as the result of recipro cal transactions. With Coleman, social capital shifts from the static concept of position or privilege discussed by Loury and Bourdieu to a more dynamic one based on obligation as a result of these reciprocal transactions. However, Coleman still diverges from both classical and later theories by considering social capital as something possessed by a single individual. Putnam also led the transition of the concept of so cial capital from the early modern viewpoint as a social good possessed by individuals to an attribute of societies or groups. Putnam (1993) considered social capital as a set of features of social organizations that can facilitate coordinated actions. P utnam does retain some consideration of social capital as an individual good, the sum of relationships with others (2000). His focus, however, is on social capital as a community good based on the interconnectedness of individual and groups. This is a fu ndamental shift in the treatment of social capital and opened the possibility of using social capital as part of the theoretical explanation for the success or failure of collective action. In this way, Putnam brought social capital full circle to the ide a first expounded by de Tocqueville in nearly two hundred years before.

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54 Putnam (2000) discusses two kinds of social capital: bonding social capital and bridging social capital. Bonding social capital is the networking between homogenous groups of people while bridging refers to the networks between social heterogeneous groups. He uses this distinction to highlight the idea that some types of social capital particularly the bonding type can be detrimental to society as a whole if they reinforce negative behaviors. Bridging capital, on the other hand, helps resolve collective problems, provides avenues for communications in a society, and helps to foster civic virtues. A variety of followers i n a n assortment of areas. For the purposes of this dissertation, the most critical of these are the role of social capital in political efficacy (Booth and Richard 1998; van Deth 1998) and economic development (Crowe 2007; Flora et al. 1997; Jennings and Haist 1998). Crowe (2007) demonstrated the value of social capital as a tool for reducing the risk of collective reciprocity in transactions, but preserves the Putnam view of social capital as a good that accrues to the social entity rather than to the individual. Issues and Questions in Social Capital Theory One question that arises in the study of social capital is its role as an enabler or inhibiter of collective action. This question is of critical relevance to the exploration of collective action both inside of and outside of government in the regional collaboration process. If social capital is an enabler of collective action then it wi ll become important to assess the role of social capital in the regional collaboration process. If, on the other hand, social capital is an inhibitor of collective action then the question of how successful collaborative processes overcome these barriers will be equally important.

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55 to well performing social and political institutions. First in a treatment of those institutions in Italy (1993) and then in the U.S. (199 group relations is in decline or absent, there is a concomitant decline in public participation and trust in government. Taking the other side of the argument Sturtevant (2006) pointed out that the exploration of voluntary associations in We imar, Germany that suggested that strong voluntary associations were a response to a weak government. From these contrasting views of social capital it is possible to at least preliminarily generalize about the effect of the two types of social capital on collective action. The be the case that the homogenous associative groups g enerated by this type of interaction are a substitute for strong collective institutions either governmental or not and thus could in ridging may be an enabler and stre ngthener of collective action (Crowe 2007; Putnam 2000). To accept the view that at least some forms of social capital benefit collective action, there must be ridging community to bring together diverse resources for collaboration and problem solving. Ostrom (1990) suggests that social capital may facilitate collective action by giving

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56 participants a background of successful small collaborations, thus build ing trust and confidence in addressing larger problems. This is similar to the treatment in Axelrod (1984) of the value of disaggregating problems so that collaborative decision makers can establ ish a history of cooperation by addressing the smaller pieces individually. For the purposes of this dissertation, these theoretical constructs provide two important paths to explore regarding the contribution of social capital to the regional collaborati on process. First, social capital may facilitate the gathering of individuals to participate in the collaborative process. Second, social capital may serve to facilitate collaboration by overcoming intrinsic distrust among the participants. While social capital can be employed to explain why individuals may choose to participate in networks and engage in collaboration, it focuses too strongly on the individual and on civic participation, and does not account for many of the regional governance factors th at historical intuitionalism does such as the presence of institutions themselves, or how those institutions undergo change Social capital emphasizes trust, reciprocity, information, and cooperation, and the benefits that individuals obtain from each. Social capital is 2004). Civic Capital The fourth theoretical construct to be considered is that of civic capital. In 2012, Jen Nelles published a study on cooperation and government in city regions. Nelles studied four metropolitan regions, examining sources of and barriers to cooperation i n an attempt to explain how and why partnerships are successful in some metropolitan areas but fail in

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57 others. Nelles argue s that existing theories of metropolitan collective action based on institutions and opportunities do not fully support the emergenc e of inter municipal for explain ing such cooperation. Civic capital claims that civic engagement and leadership are important catalysts for regional cooperation, and that the ex tent to which the various actors in a region hold a shared vision for the region and their willingness to engage at the regional scale strongly influences the success of collective efforts. Civic capital reframes social capital in a manner that places gre ater emphasis on participation by institution s rather than individuals. In her study, Nelles observes that consensus on the form of regional solutions has been difficult to achieve. Each of the approaches to the challenges of regionalism, she states, has that successes in one jurisdiction cannot be easily translated to another, because contexts differ so greatly (Nelles 2012, 8). Instead, Nelles says, a variety of factors shape the likelihood that collective action will emerge in any given context. Cooperation may be more likely in one region due to differences in context, opportunities, and the organization of civic relationships (Nelles 2012). In her research Nelles tests the concept of civic capital, emphasizing the importance of civic entrepreneurs in building networks that lead to collaborative efforts. Regions with high levels of civic capital, she suggests, are likely to experience more integrated and successful inter municipal cooperation. She argues that institutions, opportunities, and civic capital all affect both t he emergence and intensity of partnerships, but that while institutions and opportunities can have positive or negative effects on cooperation (effects that can be unpredictable), civic capital will always have a positive influence. All three explain why

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58 The existing literature on the emergence of metropolitan partnerships, says Nelles, is ce ntered around two areas of research: 1) the rational choice approach and 2) the regional governance perspective. The latter, she claims, is more varied in its research methods and questions, but focuses on case studies of governance in specific policy ar eas. It does not follow, she says, that a region that has experienced effective cooperation ar ound one policy interested actors, and political stakes (among othe r considerations) from one policy area to another mean that such generalizations are tenuous and risk missing important intervening 2012, 21). According to Nelles, existing regional governance structures quite likely play an important ro le in determining the likelihood a nd intensity of collaboration at the regional level. When regional structures already exist, this will likely increase the willingness of various actors to collaborate (Nelles 2012). However, existing structures and even the most important effects are as a result of forces that are difficult to observe. Institutions and opportunities pro vide concrete frameworks wi thin which local authorities operate and condition the ir responses to regional issues, b ut actions are not determined by these tangible forces alone. Individual experiences, cultures, traditions, and social structures act almost invisibly on decision making processes and in ways that can sometimes even defy the expectations set by more easily observed factors (Nelles 2012, 36) These less tangible

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59 factors, she argues, must be considered alongside institutions and opportunities when identifying the basis for cooperation. Civic capital, she ass erts, provides explanatory vigor and addresses the limitations of the effects of institutions and opportunities on collaboration. moderated or strengthened by Nelles employs a policy networks approach to explain the emergence of cooperation at the regional level. The concepts of s trong and weak ties, information bridging, credibility c lustering, and norms of reciprocity are retained and refined, and are blended with aspects of civic culture and social capital to provide insights into how communities organize collective action (Nelles 2012). its, and evolves informal institutions that shape local life institutions can shape expectations and even influence formal structures. Civic culture (Nelles 2012, 41). The local focus, the normative values, and the power to shape formal institutions are all key dimensions of civic capital. Borrowing from the model of social capital, Nelles argue s that the intensity and success of cooperation is greater in communities where there is a higher level of trust. Communities with high levels of civic engagement, she says, are often considered to also have high levels of social capital. However, the ty pe of engagement, as well as the type of networks that exist and are created, is more significant to the generation of trust than simply participation in networks (Nelles 2012).

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60 Civic capital incorporates certain aspects of social capital, but does not foc us solely types of networks and patterns of engagement can produce different cues to individuals, strom and Ahn (2009), Nelles states that both civic and social capital can be viewed as assets of a specific community, and can both generate future benefits for that community (Nelles 2012). is a shared perception of a regio n. It is the idea that there exists a metropolitan region defined, independently from political formulations and structures, by the space within which individuals and other actors organize and experience their social, economic, and professional existence measure of the extent to which an urban community has a collective perception of a metropolitan space It is nothing more than the idea of a re gion. But ideas can be powerful (Nelles 2012, 44) ollective sense of community based on a shared identity, set of goals, and expectations that emerges from social networks tied to a specific etworks, leadership, and scale 2012, 44) Nelles po ints out that civic capital itself is not a network, but networks are critical in or regional civic engagement. It is t hrough networks that information and ideas are transmitted and experienced and action is coordinated (Nelles 2012). Nelles also identifies the importance of l eadership within civic capital something largely missing from other approaches. According to her theory, civic capital acknowledges

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61 the role of an individual or organizational actors in catalyzing collective action. Leadership, 5). Leaders, she says, can be individuals or organizations, themselves are the conduits of civic capital, then leaders are its superconductors (Nelles 2012, 45). Le a 45). Borrowing the terms from and position to amplify civic capital and promote regionalism throu 2012, 46). Leaders recognize the shared interest of network members, and are able to identify others who should be engaged to achieve regional goals. It is through leaders, she says, that civic capital is translated from idea to practice. are perhaps the best equipped to understand the importance of collaboration, and they realize the importance of bringing together relevant actors to address c ollective challenges and to advance collective interests. Civic entrepreneurs bring business, community leader s and members, and government a s well as others together to envision and eventually achieve long term goals. They come from any and every sector, but all share similar characteristics and commitment to collab

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62 dvance their (Henton et al. 1997, p. 31, in Nelles 2012, 46). Nelles argues that cooperat ion is more likely to emerge in smaller communities. She claims that networks will overlap to a greater degree in s uch communities, whereas in larger is that the key actors c ivic entrepreneurs will be more visible to other local players and are also more likely to be better known to each other within smaller geographical contexts. Therefore, there is a greater chance that the "bridging" dimension of civic capital will enable civic entrepreneurs to con struct collaboration across issues and municipalities. As such, strong civic capital is more likely to be m anifest in smaller city identity in a smaller region (Nelles 2012, 11) networks are more highly developed and dense, it is more likely that the metropolitan region will be characterized by (more intense) intermunicipal cooperation (Nelles 2012, 47). Selecting a Theoretical Framework Of the four theories presented here, two are particularly strong in explaining the formation of new regional governance structures and their effectiveness in growth management. While both urban regime theory and social capital lend to the discussion, neither is robust enough in its own right to fully address the complexities of regional governance. Historic institut and the creation of new structures, both formal and informal (including values and ideas); organizational structures and processes; individual and collective interests; the influence that culture and history has on institutions; and policy formation and shifts. Where historic institutionalism falls short has to do with the significance of leadership and civic

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63 participation in the collaborative process. It is here that civic capital comes in. Civic capital emphasizes the importance o f leaders referred to by Ne as egion. Civic capital, as Nelles states, addresses the limitations of the effects of institutions on collaboration, and in fact strengthens the influence of institutions These two theories have been selected to guide the application of my research questi ons to the case study, based on their complimentary strength.

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64 CHAPTER IV METHODOLOGY Introduction This dissertation builds on existing research on regional governance and coalition building to demonstrate how growth management has been addressed at the r egional scale. Rather than testing specific hypotheses was utilize d. This approach is appropriate when there are several theories that could account for an observed phenomenon, and the researcher seeks to understand which explains the situation best. Two theories h istoric institutionalism and civic capital were employed to direct this study. This allowed for the determination of whether either theory or an amalgamation of both provide a robust explanation for the observed development in the case study. The research questions upon which this study is based are : 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth? 2. What resources do those coalitions draw upon to initiate action ? 3. How do regional coalitions successfully transition from initial formation to planning to execution? 4. How do regional coalitions focused on growth management measure success? 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? Based on the findings of the literature review, the expectation is that regions that are able to construct robust regional growth initiatives do so by building upon existing institutions, includi ng networks and civic capital that are specific and unique to the reg ion.

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65 Without pre existing structures that serve as a foundation for cooperation and partnership it is significantly more difficult to gain public trust and to foster participation and c ollaboration among community leaders and organizations. This study also presumes that pre existing institutions as well as the emergence of regional growth coalitions are supported by the civic capital of a region. Civic participation, strong leadershi p, and a shared vision for the region are all indicators of trust and a willingness to engage at the regional level both critical to the success of regional growth initiatives. This study focuses on the collabora tive efforts of Envision Utah and its many p art ners and member organizations to address regional issues. By demonstrating the strength and impact of such an initiative in the greater Wasatch region of Utah and by studying the evolution of institutional arrangements, it may be possible to better evaluate the capacity of other regions and their potential pathways towards achieving effective governance. Basis for Research Th e methodology for this research dra ws from two studies. The first, conducted by Ghitter and Smart (2009), utilize d historical institutionalism p articularly, path dependency to explain the significant role that history plays in the urban development of Calgary, Canada. The authors examine strong historical differences in the political and economic aspirations of adjacent urban and 2009 617 ).

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66 Understan ding the outcomes of various processes i ncluding social, politic al, and environmental i s significantly enhanced when those processes are considered within the o sociospatial relations that coevolve through a dialectical process with other elements of itical and economic d Smart 2009, 620). The authors refer to path dependency stating that while the easiest course may not always be the one followed, understanding the tendencies to Due to the complexity of an urban region, state the authors, it can be difficult to managers must navigate becomes larger in scale, less controllable, and less predictable, the relationship between the intentions of decision makers and the outcomes of their decisions becomes even less certain Understanding how and why institutions change over time is critical when assessing the future evoluti

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67 stating that a The authors h ighlight t hree features of path dependency as laid out by Martin and pa ths and validating a particular path with the implications that the outcomes need not be rational or optimal (Martin and Sunley 2006, 401, quoted in Ghitter and Smart 2009, 621). scale, and the an encourag ement of reinvestment in existing pathways (Ghitter and Smart 2009, 621). The authors go on to apply interactions that are difficult to predict even if they can in hindsight be seen as following the paths of least hitter and Smart 2009, 621). Two particular key elements of regimes in shaping rura l/urban duality (Ghitter and Smart 2009, 626). Path dependency, they state, is not only an economic or political process, but also a spatial one (Ghitter and Smart 2009). In their conclusion, Ghitter and Smart revisit the idea of technical lock in, and s tate that lock

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68 (Ghitter and Smart 2009, 640). This process, they claim, provide s a continuous source of positive feedback that r and Smart 2009, 640). and Smart 2009, 641). When the power to outcomes have been based on the goal of profit maximization, rather than what might have his disconnect, they state, can be attributed to constituted the present Their analysis illustra tes that potential spatial outcomes can be disproportionately influenced by just a few key decisions made early in the process, limiting we have seen, the intersection of long term historic and short term contemporary forces o f (Ghitter and Smart 2009, 641) historic institutionalism and especially the construct of path depe ndency to explore the role that history plays in the continuing development of the Greater Wasatch region. While Utah did growth as one that would become critical if n ot addressed. Like Calgary, Salt Lake City is

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69 surrounded by additional jurisdictions that were developing under their own plans. Ghitter and Smart (2009) provide a context for understanding how the efforts of the regional growth coalition in the Wasatch region were and continue to be political and spatial history. Civic Capital The second study on multi sectoral collaborations in city regions was conducted by Jen Nelles while a PhD student at the University of Toronto, and was published as a book in 2012. Nelles studied four metropolitan regions, examining sources of and barriers to cooperation in an attempt to explain how and why partnerships are successful in some metropolitan areas but fail in others. Nelles argues that exi sting theories of metropolitan collective action based on institutions and opportunities do not fully support the emergence of inter municipal cooperation, and proposes instead to use civic capital claiming that civic engagement and leadership are importa nt catalysts for regional cooperation, and that the extent to which the various actors in a region hold a shared vision for the region and their willingness to engage at the regional scale strongly influences the success of collective efforts. Perhaps most She uses six varia bles to measure civic capital leadership, organizational presence, organizational networks, cross appointment of leaders, personal evolution, and history of cooper ation. Four of these variables have been adapted for this study, to assess the level of civic capital in the region. and other civic actors in each region, and supported the interviews w ith a variety of secondary resources, including government documents, newspaper articles, statistical data,

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70 and other materials. contextual factors adopted from her research, inform a significant part of the methodolo gy of this thesis. Research Design This dissertation use s a single case study design. Case studies are appropriate when when there is little control over a contemporary phenomenon within a real life (Yin 2008 2 ). Schramm (1971) state s that the essence of a case study is that it attempts to illuminate a set of decisions why they were taken, how they were implemented, and what the result of those decisions was (Schramm 1971, in Yin 2008). Yin (2008) defines a case study as an empirical inquiry that investigates contemporary phenomena in depth, and within a real life context. Case studies, he asserts, are used when the researcher wants to understa nd a real life phenomenon in depth, but such understanding encompasses important contextual decisions because they are highly pertinent to the phenomenon being studied (Yin 2008). Single and multiple case studies, Yin says, are only different in that they are each a variant on the case study design. Case studies can cover multiple cases and draw a single set case designs have increased in frequency in recent years. M ultiple case studies are thought of by some as bei ng more robust, with proponents arguing that the evidence is more compelling. They can be used to convince the reader of a general phenomenon a tactic that has been utilized in urban studies. When selecting the cases to be researched, prior knowledge of the outcomes in each case is necessary, with the inquiry focusing on how and why the exemplary outcomes might have occurred (Yin 2008).

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71 For the purposes of this dissertation, a single case study was determined to be the appropriate design. The reasons for this are twofold First, this case study is being utilized to test both a well formulated theory ( e.g., historic institutionalism) as well as a newer, still developing theory ( e.g., challeng e, or extend the theory (Yin 2008, 47). Two additional rationales for selecting a single case are : 1) when the case involved ; and 2), or when, conversely, the case is representative or typical conditions of an eve from these cases are assumed to be informative about the experiences of the single person or The Wasatch region and the case of Envision Utah w as selected b ecause of both the similarity of the case to other regions, but also its differences. The region faces the same challeng e as almost all other regions a n increase in population, and all the complexities therein. The Greater Wasatch region ha s taken signif ica nt steps to address that growth They have engaged in a visioning processes, working with citizens to assess and quantify their values, and developed growth scenarios with those values as a basis The region is committed to growing in ways that spur e conomic development while protecti ng environmental resources, promoting housing and transit options, and maintaining a strong sense of community. However, the region differs from other regions in that 1) expected population growth will be largely natural i .e., the majority of the new population will be born in the region to

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72 current residents ( 62% of whom were born in the state of Utah ), and will then themselves remain in the region ; and 2) the population of the region has a common set of values influenced b y the presence of the Latter Day Saints ( LDS ) Church the majority of the population belongs to the C hurch a circumstance not seen in any other major metropolitan region in the United States. The Church itself has been a major driver in regional and econom ic development. These two factors set the region apart from others, in both efforts to collaborate as well as success in addressing regional issues. Single may later turn ou 50). As a result, the case being selected must be carefully investigated prior to conducting the study to minimize any chances of misrepresentation and to maximize access to case study evidence (Yin 2008). Chapter 7 presents a to describe three additional regional initiatives : San Diego, Fresno, and Central Florida / Orlando. While these do not serve as additional full case studies, the regional profiles include discussions of the issues facing each region as well as the efforts and the su ccess of each region in address ing tho se issues, including the construct of any regional coalitions or organizations. This allows for a level of comparison between those cases and the Greater Wasatch region, provides a greater understanding of how regional coalitions are formed as well as fur ther insight into the research questions The material for these mini cases was gathered through a document analysis of materials provided to the Alliance for Regional Stewardship as well as in depth open interviews with select stakeholders or leaders in each region.

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73 For this particular case study, a mixed methods process was used to evaluate the data. Yin (2008) points out that some case study research goes beyond qualitative research, and instead employs both quantitative and qualitative evidence. A mi xed methods approach is converging both broad numeric trends from quantitative research and the detail of qualitative For this disser tation, three methods of data gathering were employed an archival review of selected documents, a set of in depth semi structure interviews, and an online survey resulting in an analysis employing a triangulation of data. Each phase of the research was de signed based upon information gathered from the previous phase. Outcome s Typically, the testing of a hypothesis requires the selection of dependent and etermine which theory best explains any perceived outcomes in a given case. Therefore, instead of dependent and independent variables, this research focuses on the outcome(s) as well as the contextual factors leading to that outcome. Selecting a depende nt variable or, in this case, the outcome i n single case study research must be approached with care and consideration. It is critical that it be representative of the questions being explored, so that it can be tested in other cases. This study examines the impact of institutions and civic capital on the formation of regional coalitions, and practices

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74 For this study, the outcome is defined as regional impact Regional impact refers to whether the efforts of a regional coalition have significantly influenced a region with regards to growth related issues T he success of a regional coalition comes down to the actual (positive) impact it has in a region, and any such impact can be measured by identifying the issues that have been addressed, how they have been addressed, and whether there has been an observed (or commonly perceived) improvement in that issue area. This introduces perhaps the greatest limitation of this study. As stated previously, single case studies are not as powerful as a study of two or more cases (Yin 2008). I n a single case study, more often than not there lacks control conditions against which an analysis can be interpreted Additionally, a single case s tudy can suffer from a lack of internal validity i.e., it can be difficult to demonstrate causal relationships. In this dissertation, the challenge is to demonstrate that the regional coalition is in fact responsible for the observed impacts and any alter ed behavior in the region. Through the archival review, interviews, and survey, this research analyzed changes that have occurred in the region as well as the opinions of stakeholders as to the reasons for those changes. Contextual Factors In a research study, the dependent variable or outcome is measured by analyzing one or more factors that outcome (Kerlinger 1986, 32 in Collier 2006 ) Ten contextual factors were employed in this study, including those measuring st ructural, environmental, and civic capital. This section identifies each factor discuss es the role each plays in affecting the success of regional growth efforts by regional coalitions, and discusses its expected impact on the outcome T hese contextual factors have municipal cooperation

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75 and were chosen as measures of fit of civic capital Table 4.1, found on page 80, lists each contextual factor, the measure of each factor, and its e xpected r elationship to r egional o utcomes Density of governments In this study, two structural factors are considered. The first is the density of governments. This is measured in terms of the number of different government levels within the region, i ncludin g state government count ies special districts, and municipal governments. The data was identified through the United States Census Bureau. T he assumption is that in a region with a high number of government organizations (at any level), it will be more difficult for regional co alitions to realize their goals. Autonomy of local governments The second contextual factor is the autonomy of the local governments identified in the region and the level of power that a governing body has to exercise within its own administrative area. This study examine s the degree to which municipalities and other local governments are able to exercise power, versus where the federal or state government exercises control. Characteristically in strong h ome r ule st ates it is more difficult for regio nal coalitions to affect change due to the a bility of local governments to pass their own laws. Pre existing regional networks One of the more important factors in this study is the presence of existing regional networks Any such networks wheth er they be formal or informal are expected to have significant impact on the successful formation of regional coalitions, as well as the ability of those coalitions to ac hieve their goals. It can be assumed that the presence of existing

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76 networks implies a shared set of goals or values, as well as an interest in cooperation. These networks also can provide both resources and a framework that a ne w coalition can be built u pon. Informal mechanisms According to Nelles, informal mechanisms also referred to by Nelles as informal institutions institutions, she says, may only be obvious on close examination of the political processes and dynamics of a region. Informal institutions can include those practices commonly accepted throughout society, as well as family structure, traditions, and soc ial norms. This study examines the relevant informal institutions that exist in the region that may have an impact on the regional organize and effect change. Power asymmetry Another factor identified by Nelles was that of p ower asymmetry. She states that when there is a great asymmetry between actors, weaker partners may be pressured into cooperation (Nelles 2009). In her study, she focuses primarily on the size and economic strengt h of local governments. This dissertatio n assesses the power held by the different actors in the regional coalition, and how that power was used to influence other partners as well as the overall work of the coalition. Government involvement One cannot examine regional efforts without conside ring the involvement of the government whether that government be federal, state, or local. In this study, government involvement is defined as any form of involvement by the government, passive or active, i n

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77 the efforts of the regional coalition to addre ss growth. It is expected that involvement by the gov ernment at any level would amplify the efforts of the regional coalition. Economic h ealth Another critical factor is the economic health of a region. A region experiencing a high level of economic h ealth is more likely to explore new measures to address growth and its subsequent regional issues. When a region is experiencing poor economic health, that region may see any such efforts as either a waste of resources, or feel that those efforts are even a threat to the economic stability of the region. Inclusiveness of regional coalition A key measure of civic capital is the inclusiveness of the regional coalition. This is measured in terms of the number of organizations that are involved as members or partners with the regional coalition, and their engagement when addressing regional iss ues. This achieve its goals. The more inclusive the coalition is, the more difficult it is to achieve agreement amongst the members as to what issues should be ad dressed and how. However, once that agreement is reached, having a greater number of organizations on board should its goals, due to the greater reach that it will have in the community. Leadership The second of the civic capital factors as identified by Nelles is leadership. As she regional social networks tend Networks can exis t without leadership, she says, but there is almost always either an individual or group th at leads

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78 networks into action. This study focused on the ability of leaders to engage community partners in the efforts of the regional coalition. N umerous members of the regional coalition were asked to discuss leadership in the region and to identify individuals who would be considered leaders. A dditional coalition members were then surveyed regarding the influence that these leaders had on their involvement with the coalition. This factor touches on the earlier discussion of both social and civic capital in that effective leaders are able to build bridges between different community members, resulting in the creation of coalitions around shared identities and i nterests. It is expected that strong le Historical experience A final civic capital factor is the historical experience of the region particularly around engageme traditions of civic engagement and interaction, civic capital on any given issue, and in general, will likely be stronger (Nelles 2009, 95). As Nelles points out, engagement and interact ion are not necessarily cooperation and addresses the level of regionalism existent in historical interactions. For the purposes of this study, the idea of historical experience is expanded to include the overall h istory of the region. Do the citizens of the region share a common historical context, or is it a more diverse population with a greater set of historical experiences from which to draw? It is expected that a more common historical experience will result in a more common vision for the region with shared values amongst the population, and thus a greater ease at addressing regional issues.

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79 The above contextual factors success in achieving its goa ls; however, they are the key factors surrounding this issue, and are those that could be most easily tested in other case studies. The y are based primarily on the availability of data relevant to the case study.

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80 Table 4.1: Contextual Factors and E xpected R elationship to Regional Outcome s Variable Measure(s) Expected relationship Density of local governments Number of jurisdictions in the region Greater density of local governments increases the difficulty of forming effective smart growth coalitions Autonomy of local governments Degree to which municipalities and other local governments are able to exercise power Greater autonomy of local govern ments incre ases the difficulty of executing region wide growth management solutions Pre existing regional networks Evidence of pre existing networks either formal or informal, in the region Pre existing networks signify trust and cooperation, increasing the likelihood for participation and collaboration Informal institutions Evidence of informal institutions in the region Depending on the nature of the informal institutions barriers to cooperation may be overcome or introduced Power asymmetry Imbalan ce of power amongst regional coalition members A high level of power held by certain actors within the coalition will influence other participants to cooperate Government involvement Involvement of varying levels of government in regional growth initiatives Government participation in setting regional growth strategy raises the visibility of the strategy and increases the political influence of the coalition Economic health Overall economic health of the region A high level of economic health increases willingness to pursue new, alternate growth policies Inclusiveness of regional coalition Number of organizations and individuals involved in regional coalition Greater inclusiveness results in higher trust and participation, increasing the likel ihood that new growth policies and practices are implemented Leadership Presence of strong leadership in the regional coalition Strong leadership in the coalition builds trust and visibility of the coalition, increasing buy in from participants and the co mmunity Historical experience The cultural and political history of the region A common historical experience and a strong history of civic engagement increases the likelihood of community participation as well as a

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81 Mediating Factors To better understand the relationship between the contextual factors and the outcome of regional impact this research looks at the mediating factors behind the observed outcome s In Figure 4.1, the direct arrow between the contextu al factors and the outcome s suggests that the outcome s could have occurred without any additional forces in place For example, a region may experience strong growth management because of a n implemented state law. This thesis attempts to identify the mediating factors behind the actions of the regional coalition and the impact that those actions had on the region. Figure 4.1: Role of Mediating Factors in Regional Growth Management Fitzpatrick Sanders, and Blaine (2010) present a method of evaluation research that helps to explain the role of mediating factor s and the course of action that follows The first step is process evaluation, which examines the processes taking place in a particular scenario. In this case, those processes might include town hall meetings held by the regional coalition and attended by the greater community. This process is then followed by outcomes those items that are a direct result of the process, e.g. the development of a consensus scenario for future growth. Finally there are the impacts the substantive changes observed in the region that result from the process, e.g. the passage of a light rail funding initiative. Contextual Factors Outcomes Mediating Factors

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82 Historic Institutionalism Attending to the historic institutionalist perspective, this dissertation sought to answer a number of questions. Following the lead of Ghitter and Smart (2009 ), the researcher asked existing institutions shape the behavior of actors and poli cy outcomes within the region To answer that question, the research had to first identify any pre existing institutions both formal and informal within the region, and then determine what, if any, impact those institutions had on the policy making envir onment. Again, following Ghitter dependency. For this study, path dependency is traditionally accepted growth pattern s, and the impact that the regional coalition had o n shifting those patterns. The historic institutionalist framework directs the research er to ask : 1) how have the history and culture of the region shaped existing institutions; 2) wheth er there has been a shift in policy or behavior i.e., is there an obs around growth patterns, and have there been resulting changes in growth patterns themselves; 3) what role, if any, did pre existing institutions have on that p ath shift; and 4) have the institutions the mselves undergone change as that path has shifted? By answering these questions in the following chapters, the fit of historic institutionalism to the case can be tested. Field Research Methods The data for this study was obtained in three phases a re view of relevant documents ; one on one interviews with key players in the region and an analysis of those interviews; and a questionnaire survey of coalition members.

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83 Archival Review The first phase of this study consist ed of a review of documents i ncluding reports, news articles, memos, and other sources related to the growth management initiatives taking place in the Salt Lake City region. The most important use of documents, says Yin, is to useful, he says, even if they are not always accurate and may carry a particular bias. This review resulted in the d evelop ment of an initial understandi ng of the region, including the following elements: T he challenges facing the region The key networks, coalitions, and individual players in the region (both before and after the establishment of the regional growt h initiative) The institutional structures that existed in the region, and how they were employed or adapted to add The process used by the region to identify citizen values and develop desired growth scenarios The goals set by the region The tools developed to enabl e the region to reach those goals Progress made to date toward the goals. This archival review provides a basis for begin ning to answer the question s of how and why the re gional growth coalition formed and how any prior institutions resulted in the new coalition structure. This material makes up the bulk of Chapter 5

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84 In depth Semi structured Interviews The second phase of research consisted of a series of open ended, semi structured interviews with t hirteen key players in the region, all members of the regional coalition in order to understand their perceptions of the process and impact of growth management in the region. The intent was to gather a range of perspectives from stakeholders that have, for the rowth management efforts since in ception or the early stages, and who were able to discuss the impact those efforts have had on the region. Interviews, he says, are essential sources of case study time: satisfying the needs of your line of inquiry while simultaneously putting forth friendly and nonthr 107). For this study, i n depth interviews were used allowing the researcher to ask respondents about the facts of the case study as well as rather than respondents, based on the insights and opinions that they provided. The process was ini tiated by co ntacting leadership at Envision Utah, know n personally by the researcher. They were ask ed to identify stakeholders t hey fe lt should be included in the process. Once the list of interviewees was established (see Table 4.2 for a distribution of interviewees) a formal letter of introduction was sent by the president of Envision Utah explaining the research, the interview process, and outlining their options with regards to confidentiality and anonymity (if necessary; none of the interviewees req uested such) The interviews w ere tailored to each individual depending on the role they played in the network and the growth management process, but were also based on a standard

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85 interview protocol (approved by the Institutional Review Board ) that was u s ed to ensure that certain key questions were asked of all participants (see Appendix A for the protocol) Interviews w ere conducted in person when possible; by phone ot herwise. All interviews were recorded to ensure accuracy. The interviews were then tra nscribe d and pair ed with any notes taken during the interview. A n initial review of the transcript and notes was conducted during which general themes were identif ied together with impressions that would subsequently serve as the basis for content analys is The 13 individuals interviewed represented the following sectors: government (at the state, county, and municipal level s ), the private sector, and various non profit and civic organizations. Table 4.2: Distribution of I nterviews C onducted Public Sector Five (Two state, one county, two municipal) Nonprofit Sector Four Private Sector Four Once the interviews were conducted, a more rigorous analysis was conducted of the interview transcript and notes. The material the text segment ed into identifiable categories, each labeled with a specific term (Cresswell 2003). Common themes and terms were identified and sorted into related clusters Nine clusters were classified including l eadership, p rocess, c ulture, and i ncl usion (see Appendix C for full list) ; many of these clusters align directly with the contextual factors outlined above As Cresswell (2003) states, when conducting qualitative analysis, the researcher is situated in a specific sociopolitical and interpretation that a researcher brings to qualitative data analysis. This introduces an additional limitation of this study believability of the findings and is enhanced by evidence such as confirming evaluation of conclusions by

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86 research participants, convergence of multiple sources of evidence, control of unwanted influe nces, and theoretical fit of internal validity, and the ability (or inability) of the researcher to control for external, extraneous influences that may distort findings (Suter 2011). To assess credibility in a qualitative study, the focus is on data quality, its analysis, and the resulting conclusions. One method commonly used to address credibility is triangulation providing multiples sources of data as evidence. Another is saturation In this dissertation, the use of three data collection methods, together with the frequent and common themes that ar ose out of that data help to address the issue of credibility. Data for all four research questions were provided through these interviews. Greater clarity was reached regarding the formation of the regional growth coalition, particularly regarding how and why preexisting institutions fostered the formation of new structures, and what networks that may have existed within and between those institutions. Additiona lly, through these interviews it was possible to begin to identify the civic capital extant in each coalition. One weakness of using interviews for collecting data is the tendency towards bias in a number of areas poorly articulated questions, interviewee response, etc. (Yin 2008). An attempt to address this weakness was made through the selection of interviewe es with a variety of backgrounds, both personal and professional. It would have been preferable to conduct more interviews in order to ensure a broader perspective; however, due to time and resource constraints as well as the restrictions set by Envision Utah leadership, this was not

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87 possible W hen this study was proposed to staff at Envision Utah, leaders of the organization chose to identify the partners and board members who they would allow to be contacted and solicited for interviews. A list of 20 names was provided, and introductory letters sent to each by Envision Utah. Of those 20, 13 individuals (65%) agreed to participate. This introduce s a nother limitation of this stud y It is possible that t he number of individuals interviewed was not suff icient to provide enough data to answer the research questions ; however, similar responses were received from several participants to a number of questions; this overlap is indicative of common perspectives and opinions. An additional weakness of using i nterviews as well as the survey in the third phase of the research is one of memory. The questions were pos ed well after the fact, particularly those regarding activity prior to the creation of any regional visioning organizations or networks. Memory f ades over time, and it is quite possible that participant s did not clearly remember their engagement (or lack thereof) with other organizations prior to their current involvement. Thirdly also due to the time frame, is the issue of attrition. Various i ndividuals who were employed or otherwise engaged with the various organizatio ns being included in this study have left the or ganization or even the region. Again, due to the similarity in the responses received, these weaknesses are at least partially a ddressed. Survey The final phase of research consist ed of a survey (conducted online ) of members of the growth management coalition. The survey was used to a sk respondents about their level of collaboration with other organizations around a number of iss ues areas including the current growth management initiative, and how or if that level of collaboration has

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88 evolved. They w ere asked a number of questions regarding their prior collaboration or familiarity with other organizations and individuals in the r egion, whether the involvement of particular organizations or individuals influenced their own decision to become involved, and ( see Appendix E for full survey responses ). The survey responses a llowed the researcher to explore more deeply the formation and structure of preexisting and current coalitions in the region, and how those structures interviews, leadershi p at Envision Utah reviewed proposed names for the survey, and provided an approved list of 20 individuals. Of those, 12 (60%) responded to the survey (see Table 4.3 for the distribution of surveys across sectors) Table 4.3: Distribution by Sector of Su rveys C ompleted Public Sector One Non Profit Sector Two Private Sector Five Academic Sector Two (one K 12; one higher education) Other Two (one religion; one unaffiliated A nalysis and Documentation The combination of the archival analysis interviews, and survey resulted in an analysis employing a triangulation of data The case study i s organized after an initial discussion of the region, the growth issues faced by the region, and the initial eff orts of the regional coalition by the factors outlined above. For each factor the effect s of that factor were analyzed using a combination of interview and survey responses The interview guide was basic, but the responses to the initial questions fostered additional conversation and follow up. Quoted interview responses should be read as the personal opinion of the participant; however, in nearly all cases, the response was found to be a common theme

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89 amongst the interviewees. A common question, according to Yin, is whether to record inter views. Recorded however, a recording device is not always appropriate due to the comfort level of the interviewee or the time needed to transcribe the interviews. In t his case, the interviews were recorded while e xtensive notes were taken, for verification of comments made, and for exploration of any nuances of tone or excitement during the conversation. T h e chapter s that fol low include an evaluation of the efforts of the Greater Wasatch region and the regional coalition using the method s and criteria outlined above as well as findings based on the case study. These are followed by a regional typology profiling three additio nal regional governance efforts; the conclusions are summarized in the final chapter.

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90 CHAPTER V CASE STUDY: THE GRE ATER WASATCH REGION, UTAH Introduction Utah. The 45th state admitted to the Union on January 4, 1896. Utah is the 13 th largest, the 33 rd most populous, and the 10 th least densely populated state. A paradise for outdoor enthusiasts and one of the fastest growing states in the nation. T he State of Utah is the sixth most urban state in the U.S. Nearly 80 percent of the s corridor running 100 miles north and south of Salt Lake City, along each side of the Wasatch Mountain range (Figure 5.1) In 2010, the population of the region was 2.27 million residents; t hat po pulation is expected to grow to g reater than five million by 2050 (US Census 2010, Envision Utah 2003) Unlike many urban areas, two thirds population consists of natural growth i.e., birth over death; in addition, the majority of residents were born in the region. Long term growth in the region is limited significantly by the geography of the region. Growth boundaries are naturally created by the Wasatch Mountains, the Great Salt Lake, Utah Lake, and desert. With an average rainfall of a little over 16 inches, the lan d is arid requiring irrigation to farm Additionally 80 percent of the land in the state is Federal, State or Tribal land, preventing any private development (Bateman, Teigen and Kroes 2014). Like many regions, the Gre ater Wasatch area is jurisdictional ly fragmented t here are 10 counties, 91 cities and towns, and 157 special service districts, as well as various federal and state agencies responsible for such issues as air quality and transportation. Each of these entities has its own responsibilities w ith regards to growth, and there has been little

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91 focus on their immediate community and only consider growth at that level. There has never been a single organizati on work ing to coordinate activities among public and private stakeholders. 3 Figure 5 .1 : Greater Wasatch R egion, Utah (Envision Utah 2003, 12) Crossroads of the West Centrally located in the western part of the United States, Utah is surrounded by mountain states. It is the 13 th largest state at 84,899 square miles (54.3M acres), and yet is the 18th least populated state, with just under three million residents. Utah is often referred 3 commissions and councils and municipal governments as well as non voting representatives from the Utah State Senate, the Utah State House of Representatives, the Utah Department of Transportation, and the Utah Transit Authority (Wasatch Front Regional Cou ncil 2015).

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92 een the Rocky Mountains and the Desert Sou thwest (U.S. Census Bureau 2006; U.S. Census Bureau 2014). three distinct geological regions: the Rocky Mountains, the Great Basin, and the Colorado only three percent of the the world, including coal, oil, shale, and natura l gas, as well as servin g as a large source of uranium (Rood and Thatcher 2014). W ithin the state, public lands mostly federal account for an estimated 70 percent of Utah (Figure 5.2) (Kessler 2013). The primary holders of this land are the Bureau of Land Management (BLM), the Forest Service, Department of Defense, and the National Park Service. Private ownership accounts for less than 25 percent of the land (Rood and Thatcher 2014). 4 limited. important what we do with those one in four acres (confidential interview #3 Population under 3 million, is young, educated and healthy. The state poverty, and the highest literacy rate (Utah Travel Industry 2014). The U.S. Census Bureau 4 the transfer of all federally owned land back to the state, with the excep tion of national parks, designated wilderness areas, national monuments, and tribal lands, totaling over 31 million acres. The bill calls for completion of the lands transfer by January 1, 2014, and threatens a lawsuit against the federal government if th at deadline is not met.

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93 reported that from 2012 tion grew faster than any other state except North Dakota by percentage, and was the 13th fastest growing state in absolute terms. The population increase projected between July 1, 2013, and July 1, 2014, is the due to a combination of natural increase of 37,200 and migration of 11,700 (Utah State Legislature 2014). Figure 5 .2: Utah L and O wnership (Utah State University Extension 2015)

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94 the southern part of the state), w ith those two areas accounting for nearly 80 percent of the population. Studies project a continuation of this population concentration, with over half of the growth between 2010 and 2030 expected to occur in Utah and Salt Lake coun ties, b oth in the Wasat ch area; Washington County in the south is expected to see growth of 150 200 percent by 2050. minority po pulation has grown considerably in recent years, ion that is minority remains lower than the national average From 1900 to 1960, the average population of minorities in the United States ranged from ten percent to twelve percent; d uring the same time, Salt Lake City, Salt Lake County, and the state all h ad minority populations in the one to two population increase in Utah By population remained 92 percent white, compared to the national average of 78 percent (Utah State Legislatu re 2014, U.S. Census Bureau 2010 ). Mormon Church (Latter Day Saints, LDS) According to the Salt Lake Tribune as of 2013, 51 percent of the population of Salt L ake County belonged to the Church. Utah County topped 80 percent, while the state reached 63 percent LDS ( Canham 2014 ).

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95 History Utah was first populated roughly 2,000 years ago by the Anasazi, who began raising corn in the valleys of southern Utah. 5 T heir farms were abruptly abandoned, most likely due to prolonged drought ( Utah Travel Industry 2014b). In the early 1 7 th century, tribes of Native Americans began settling in the region, including the Ute, Southern Paiute, Navajo, Goshute, and Shoshone tribes. 6 During the la t ter part of the century, however, the Native Americans were moved to reservations in southern Color ado and northeastern Utah (Rood and Thatcher 2014). Spaniards and Mexicans were the first non Native Americans to settle in Utah. Two expeditions were led by Juan Maria Rivera in 1765, along the Colorado River. In 1776, a northbound exploration team led by two Franciscan priests left Santa Fe, New Mexico, in an attempt to find a rout e from Santa Fe to California a route that took them through the Utah Valley. By the early 1800s, regular trade had been established between Santa Fe and the Native American s in north central Utah. From 1807 to 1840, trappers explored many of the rivers and valleys of what is now Utah in search of beaver and other furs. Then, in the 1840s, explorers and settlers bound for California arrived in Utah (Rood and Thatcher 2014). The Mormon Presence in Utah The Church of Jesus Christ of Latter day Saints was established in 1830 in New York, when Joseph Smith, then residing in Fayette Township, organized a small group of believers (the group originally called themselves the Church of Christ, with The Church of 5 The first evidence of habitation flint points, knives, and other tools were found in caves in Utah's foothills. These items are roughly ten thousand years old, believed to be left behind by primitive hunters. The Anasazi are (http://www.utah.com/visitor/state_facts/history.htm). 6 It is a common assumption that Utah got its name from the Ute tribe.

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96 Jesus Christ of Latter Day Saints formally adopted in 1838). Communities were quickly established in Ohio, Missouri, and Illinois ( History.com 2014, Bushman 1992, Backman and Esplin 1992 ). In 1844, Joseph Smith and his br other Hyrum Smith were killed while being held in a Carthage, Illinois jail on charges relating to the destruction of a newspaper facility. Brigham to face conflicts with other religious groups, and in 1846, members of the Church began moving west. They waited out the 1846 47 winter in Nebraska, and in April 1847, Young led a pioneer company to Utah. They arrived in the Salt Lake Valley in July 1847. Four days after permanent home ( Arrington and May 1992 ). The group began establishing home steads immediately ; planting and irrigating the land and exploring the surrounding area. By 1850, there were over 11,000 Mormons in communities within the region, including Ogden and Provo. Between 1847 and 1900, the Mormons founded an estimated 500 settlements in Utah and neighboring states (Rood and Thatcher 2014). In February 1848, the Mexican War ended, and the United States gained control of additional lands, including Utah. The Mormons formed a popularly elected government creating the State of Deseret and petitioned Congress for Statehood Brigham Young was leaders and members. The legislature first convened in December 1849. The U. S. Congress instead to create the Territory of Utah which until the 1860s inc luded most of Nevada and part s of Wyoming and Colorado. Brigham

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97 Young was appointed the first territorial governor in 1850 ( Arrington and May 1992; Rood and Thatcher 2014 ). The region experienced numerous changes in the second half of the 19 th century. The Great Salt Lake Valley was mapped in 1849 50, study of the Colorado River took place in 1857 58, and a railroad survey was completed in 1855 In 1869, Major John We sl ey Powell navigated the Green and Colorado Rivers by boat. From 1850 to 1870 the reg ion saw increased communication with the East as faster stagecoaches brought passengers, overland freight supplied goods, and in 1860 61 the Pony Express delivered mail and news. In 1861 a telegraph connecting Omaha, Nebraska, and San Francisco was comple ted, and in 1869, the Central Pacific and Union Pacific railroads were joined at Promontory Summit Utah. The completion of the transcontinental railroad and its subseque nt branch lines supported growth of mining operations in the region, with mines being opened by numerous companies in the 1870s and 80s, bringing significant wealth to the region (Rood and Thatcher 2014). From 1860 to 1890, Utah experienced a population boom, due to growth in mining operations as well as international migrants coming to j oin the LDS Church. The number of residents jumped from 40,000 to over 200,000, with nearly 90 percent Mormon. At the time, Brigham Young and other leaders of the Mormon Church encouraged settlement of the entire region, rather than along the Wasatch Fro nt. This settlement led to serious conflicts with the Native American population, and the relocation of that population to reservations (Rood and Thatcher 2014). The settlers of the region had begun petitioning Congress for statehood in 18 49 but Utah wa s not admitted into the Union until 1896. The greatest obstacle to acceptance into the Union was the practice of plural marriage, also known as polygamy. In 1862, Congress

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98 enacted a law prohibiting polygamy in the territories, though the law was not enfo rced until after Reynolds V. United States in 1879 7 ( Arrington and May 1992 ). In 1882, Congress passed the Edmunds Act, which mandated up to five years in prison as well as $500 in fines for acts of polygamy. Any person found guilty of practicing polygam y lost their right to serve on a jury, hold public office, or vote. The same year, the Utah Commission declared that anyone who had every practiced plural marriage, even before the 1 862 law, was ineligible to vote (Arrington and May 1992). In 1887, in re sponse to the unyielding Mormon community, Congres s passed an even stricter law the Edmunds Tucker Act disincorporating the Church on the ground that it fostered polygamy. The act also authorized seizure of Church real estate not directly used for religio us purposes ( Davis 2014 ). Church President Wilford Woodruff issued a manifesto on September 24, 1890, officially ending the 7 Reynolds V. United States (98 U.S. 145 [1879]) was the first U.S. Su preme Court decision to interpret the "free exercise" language of the First Amendment to the U.S. Constitution. In giving an extremely narrow interpretation to that guarantee of religious freedom, the Reynolds decision opened the way for legal suppression of the Mormon practice of plural marriage. The Morrill Act (Act of July 1, 1862, 12 Stat. 501), which defined the crime of bigamy in U.S. territories, had been adopted for the express purpose of outlawing Mormon polygamous marriages. The First Amendment, however, expressly states that Congress shall "make no Reynolds case was whether a federal bigamy statute could constitutionally be applied to a person who practiced polygamy as a matte r of religious duty. The Court held that it could. George Reynolds, an English immigrant to Utah, private secretary to Brigham Young, and husband of two wives, was found guilty in March 1875 of violating the anti bigamy provision of the Morrill Act. The c onviction was overturned by the Utah Supreme Court on procedural grounds ( United States V. Reynolds 1 Utah 226 [1875]), but on retrial he was again convicted and was sentenced to two years in prison with a $500 fine. This conviction was upheld by the U.S. (http://eom.byu.edu/index.php/Reynolds_V._United_States).

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99 practice of plural marriage. Inasmuch as laws have been enacted by Congress forbidding plural marriages, which laws have been pronounced constitutional by the court of last resort, I hereby declare my intention to submit to those laws, and to use my influence with the members of the Church over which I preside to have them do day Saints is to refrain from contracting any marriage forbidden by the law of the land (LDS.org 2012). Church leaders accepted the Manifesto in October 1890, and it was incorporated into the Doctrine and Covenants of the Church in 1908 ( Arrington and May 1992 ). In 1891, the two national political parties were established in Utah, and Church leaders encouraged members to join either the Republicans or Democrats. Lobbying began in Washington DC, resulting in the passage of the Enabling Act of 1894 permitt ing the formation of a state Constitution and government (the state constitution expressly prohibited plural marriage and mandated the separation of church and state) Uta h was formally recognized as a state on January 4, 1896 (Rood and Thatcher 2014; Arrington and May 1992; Utah State Archives 2002 ). Once statehood was achieved, a state government was formed and the capitol built in Salt Lake C ity Heber Manning Wells wa s elected ; at 36 years of At the same time, a significant portion of the growth (Rood a nd Thatcher 2014). T he Salt Lake Tabernacle was completed, and was dedicated in 1893. Brigham Young had died in 1877, after seeing a temple completed in the community of St. George (in the far southwestern part of the state). Young was followed by Pres idents Taylor and Woodruff, and in 1898, Lorenzo Snow. Snow introduced a series of changes aimed at

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100 world rapidly changed around them. As a result of his reforms, t he Church invested in Sadler and Walker 1992 ). Urbanization of the state and the Wasatch region increased, to the point that close to half the population lived along the Wasatch Front by 1920. As the state grew in population, the proportion of Mormons declined to under 70 percent. The expansion of mining operations and the launch of steel production drew in numerous mino rity groups, including Hispanics, African Americans, and Greeks (Rood and Thatcher 2014). In the 1930s, Utah was struck by the Great Depression. Unemployment was already high in both mining and agriculture, and severe droughts, high freight rates, and other circumstances hit the region particularly hard. Recovery was slow, with the federal Works Projects Administration in 1939 and the Civilian Conservation Corps of 1933 1942 bringing relief to the state. World War II stimulated industry in the state a s food demands increased, military installations were developed, and the Geneva steel plant was established (Rood and Thatcher 2014). As the 20 th century progressed, the Church and its members were slowly accepted by and incorporated into mainstream Ame rican life. Numerous members of the LDS Church entered into public life, serving in the State Department, the Federal Reserve, the Treasury, Public Lands, and other federal agencies. Membership of the church al so grew as its image improved from 1900 to 1 945 the number of Mormons increased from just over 250,000 to nearly 1 million. Meeting attendance by members increased, birthrates and marriage rates

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101 both exceeded the national average, and the death rate in 1945 was half the national average ( Sadler and Walker 1992 ). Since World War II, Utah has seen tremendous growth and the development of new industries. In 1945, the population was just over 590,000; today it is nearly 3 million. me known as a (Ski Utah 2014). N umerous national parks and recreational areas were established in the state in the 20 th Century, including Natural Bridges National Monument (es t. 1908), Dinosaur National Monument (est. 1915), and Fishlake National Forest (est. 1907) Salt Lake City hosted the Winter Olympics in 2002 ( Ski Utah 2014 Rood and Thatcher 2014). es. Employment in Utah grew by 3.3 percent in 2013, compared to 1.6 percent for the nation. In figure of 1.7 percent (Utah State Legislature 2014). City Plannin g It was during the middle of the 19 th century that Church members in Utah began to move away from living in rural settings to gathering in urban centers. Joseph Smith had emphasized the advantages of living in compact communities rather than on secluded farmsteads. His ideas regarding city planning can be found in the City of Zion plan that he drafted in 1833. His ideal community was designed along a grid pattern with square blocks, wide streets, alternating lots, uniform construction, homes set back from the street with large, landscaped front yar ds, backyard gardens, and central blocks designated for temples, schools, and public buildings ( Jackson 1992 ).

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102 Upon their arrival in the Salt Lake Valley, Brigham Young set out instructions for the planning of Salt Lake City. His blueprint was based upon lots on each block (the original lots were quickly subdivided as new settlers arrived in the city). Each lot had de with animals, barns, and gardens. Visitors to Salt Lake City today are o ften amazed at the wide avenues and long blocks that allow one to see miles along any given direction ( Jackson 1992 ). A Common Culture Latter day Saints have proudly borne the stamp of being "a peculiar people," an identity that helped maintain the energy and commitment that characterized the classi c, close knit ward community. Some observers feel that this cohesive sense of community is the genius of LDS society. Latter day Saints face the challenge of maintaining that cohesiveness and their sense of spe cial identity and mission in a complex, changing world. Drawn out of the broader society by faith in the Restoration, early Latter day Saints learned to select and adapt cultural and social forms upon which they put a d istinctive and compelling stamp ( May 1992 ) In addition to a common community plan, members of the LDS Church hold a distinct set of shared beliefs and values, shaped in part by their historical experience. S consisting of the state May 1992 ). This social organization has been in fluenced by a number of circumstances. Joseph Smith urged members to build homes in towns, instead of rural farmsteads, to minimize the distance between households and allow for more frequent and easier gatherings. Smith founded a number of programs desi gned to encourage a more interconnected community, and

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103 he advocated a society that fostered cooperation rather than individual enterprise ( May 1992 ). banned by other communi ties declaring them to be a sacred obligation. 8 Church leaders promoted fine arts, music, dance, and oth er forms of cultural expression. Intellectual life was encouraged with the establishment of libraries, a debating society, lyceums, and exhibits ( May 1992 ). These cultural endeavors were encouraged by the design of the community, even in allowed for bands and choirs, theater groups, dances, and other social gatherings. Church leaders were well aware of the advantages of such gatherings, and the risks of a more outspread community out so thinly May 1992 ). As Salt Lake City grew and non Mormons arrived in the region, the Church found that it no longer controlled public institutions. In response, they divid ed the city into dozens of individual wards, with the idea that each ward would introduce and maintain its own selection of activities, from religious and educational to economic and recreational. The primary purpose of this new design was to provide the younger members of the community with numerous cultural activities that would encourage them to remain within the Church and 8 One outstanding example of this is the Mormon Tabernacle Choir. A small choir sang at a conference of the Church in 1847, just one month after the first pioneers arrived in Salt L ake Valley. The formal Choir was established in 1873, just six years after the Tabernacle was completed and dedicated (http://www.mormontabernaclechoir.org/about/choir/history?lang=eng).

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104 the region. Since the 1960s, the ward has ceased being the focal point of LDS communities, but still remains an important center f or social and cultural life ( May 1992 ). : Addressing Growth in Utah In 1988, Utah was experiencing a deep recession. Residents were moving from Utah to other states to explore employment opportunities. The a gricultur al and mineral extraction sectors had declined. Energy commodity prices fell, resulting in numerous layoffs. Construction employment fell by 30 percent Two major area companies Geneva Steel and Kennecott Copper had closed temporarily. Due to falling sta te revenues, then Governor Bangerter raised taxes and reduced state employment (Envision Utah 2003, Alexander 2014 ) with the mission of identifying ways to attract new business to the state and increase economic growth (Deseret News 1996, B1) CUF which grew out of an earlier initiative, Project 2000 was made up of individuals from local and state gov ernment, business, community organizations, education, special interest groups, and others including a former US Secretary of Education, a Baptist church pastor, the president of the Utah AFL CIO, and the executive vice president of Brigham Young Universit y 9 (Jarvik 1988). Over the years, the mission of CUF expanded to encompass a number of issues, including affordable housing, education, healthcare, water, pollution, and transportation (Jarvik 1988, Envision Utah 2003) 9 Project 2000 was originally organized in 1985 in response to a doc future, aired by KUTV (Salt Lake City). Project 2000 later grew into an independent, (developers, environmentalists, conservatives, liberals) (Jarvik 1998).

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105 By 1995, economic trends had rever unprecedent Envision Utah 2003, 3 ), and concerns arose about how that took note of these developments and formed the Quality Growth Steering Committee (QGSC) to address the issue The Budget, developers, state legislators, urban planning advocates, and local government officials (Envision Utah 2 003; Brooks and Parzen 2006) The Q GSC began its work by commissioning a public opinion survey in an attempt to izens were most concerned about, and determining how important the issue of growth really w as to th e surrounding community (Envision Utah 2003, 6; Jarvik 1988). The survey confirmed that population growth was the most important issue, more so that crime, safety, or other issues (Envision Utah 2003, Jarvik 1988, Brooks and Parzen 2006) Representative s from Governor Michael Leavitt to propose the creation of a special growth commission. Governor Leavitt chose not to create a formal entity but encourag ed the continuing work of CUF, though he did establish a sub cabinet made u p of representatives from the Departments of Transportation, Environmental Quality, Community and Economic Development, Natural Resources, and others to discuss the growth challenges facing Utah (Envision Utah 2003) As a result of the sub discu ssions, a Growth Summit was held in November 1995 (Envision Utah 2003; Spangler 1995) A high profile event, with local media coverage, the summit focused mainly on transportation and open space preservation. CUF made a presentation during the summit out lining the importance of addressing growth issues. While television ratings were low, it is

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106 believed to have increased public awareness of the issues, and raised the level of discussion around growth (Envision Utah 2003) Subsequently, in May 1996 Gov. M ike Le avitt signed an executive order that was intended to protect open lands. The executive order created the Utah Open Lands Committee to help communities identify open lands conservation projects The committee included state and local representative s including the directors of the state departments of Natural Resources, Transportation, Administrative Services, Environmental Quality and Agriculture. The committee also include d representatives from development and building, conservation groups, finan ce, planners, and agricultural landowner s (Spangler 1996). CUF used the momentum from the Summit to reach out to state agencies and legislators about the need for a better approach to growth (Brooks and Parzen 2006). In 1996, C UF held two legislative lun ches where they educated legislators about the importance of quality growth efforts the need to change from existing growth patterns, and the danger of not doing so in a timely manner. They also presented the need for careful and thoughtful growth, the i mportance of preserving a high quality of life while using resources wisely, yet ensuring that costs for housing and development were reasonable (Envision Utah 2003) While CUF studied the growth efforts of a number of other regions including greater Po and the Denver Metro Vision 2020 to determine how each had addressed growth, they also realized that Utah had unique constraints and realities. Local control is paramount in Utah making the cr eation of regional government difficult while Councils of Government have been formed in many of the Because of this, CUF realized that any comprehensive quality growth effort would need to tak e the form of a

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107 public they made an effort to involve all key stakeholders, including those who had opposed smart growth efforts in the past. They knew that a significan t commitment of time and resources would be necessary, not only from local a nd state government, but also from community, growth challenges required representation fr om as many sectors and jurisdictions as possible and that citizens must be involved in that process (Envision Utah 2003; Brooks and Parzen 2006) The Steering Committee put together a list of leaders from the public and priv ate sectors to interview, to so licit their opinions on growth related issue s and how they should be addressed. Each interviewee was asked three questions: 1. Do you believe a process to coordinate future growth would be helpful? 2. Will you support this process? 3. Who should be involved in t his process to ensure its worth and success? This last question yielded names of additional individuals to contact, resulting in nearly 150 interviews altogether, including representatives from local and state government, developers, utility companies, the media, education, environmentalists, business, religion, and civic organizations. Feedback from the interview yielded the following eight conclusions: 1. Develop an ongoing process not a project. 2. Create a process that could be repeated and updated over the years to address growth challenges. 3. Identify representatives from both the public and private sectors of the community who would be willing to work toward the common good.

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108 4. Design a group that is manageable in size and represents as many segments of the com munity as possible. 5. Develop several alternative scenarios as choices for future growth. 6. Complete a baseline report projecting how the area would grow without change in current growth trends. 7. Design an effective technical model to create and analyze a baseline and alternative scenarios. 8. Provide area residents with an opportunity to be involved in the process as much as possible, be able to assess the results, and make decisions about how the Greater Wasatch Area should grow (Envision Utah 2003, Brooks a nd Parzen 2006) From the 150 interviews, the CUF and the QGSC were able to identify individuals th at would be asked to join a public private partnership that would work to address long term growth issues in the region. ad power to effect change 2006, 15). They worked to ensure that they had representation from as many sectors and jurisdictions as possible, including local and state gov ernment, businesses, developers, utility companies, religious leaders, educators, conservation and citizen groups, and the media (Envision Utah 2003; Scheer 2012) Of more than 100 invitations to participate, only one was decline d is so comprehensive that almost no one who could Participants were asked to sign a pledge form, promising to put their own self interests aside. d to work toward the common good of the community and to look

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109 beyond the short term issues now facing 15). They were informed that the CUF would remain neutral until the process was complete, not taking a ny particular stan ce or promoting a specific path until the public had had its say. This was a unique approach instead of beginning with an agenda, there was one rule: th ere could be no pre determined agenda (Scheer 2012) Instead, stakeholders as many as possible were go ing to define the agenda (Envision Utah 2003) It is this initial and ongoing approach they involved members of the coalition supporters of an agenda but as creators of an agend 2298). January ithin months, the Partnership became known simply as Envision Utah (see Figure 5.3 fo r a timeline highlighting the evolution of and relationships between the various coalitions in the region) (Envision Utah 2003) The launch was announced through a press conference and a meeting of the partnership (Brooks and Parzen 2006). Partnership Ch air Robert Grow and honorary co Chairs Gov. Mike Leavitt and Larry H. Miller, owner of the Utah Jazz, introduced the effort; Peter Calthorpe, a well known urban architect, was a guest speaker at the event. Envision Utah In creating Envision Utah, CUF mad e a commitment to an open and public process. Envision Utah worked very closely with the media to ensure that the public was kept informed of their efforts and to promote opportunities for residents to participate in the process. As Envision Utah Foundin g Chair Emeritus Robert Grow said : give good people good information, they will ma 17).

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110 Figure 5 .3: Evolution of and R elationship B etween R egional O rganizations in the Wasatch R egion ( Appendix I ) Recognizing that local government would be l argely responsible for implementing quality growth policies through adjusting general plans, revising codes, and planning new developments that would encompass quality growth strategy ideals Envision Utah also worked closely with local government; a numbe r of local officials were members of the Partnership (Envision Utah 2003; Brooks and Parzen 2006). Envision Utah was initially funded by a $500,000 challenge grant from the George S. and Dolores Dor Eccles Foundation. The grant was aimed at giving the project $1.5 million for its first phase; the grant required that $500,000 be raised in public funds and another $500,000 in private money. The Utah state legislature appropriated $100,000 to the proj ect, and the state government indicated that it would donate $100,000 in in kind research services. Local governments were asked to collectively donate $150,000. American Stores donated $150,000; other Utah firms also contributed ( James Clark, a former c hief planning Project 2000 Founded in 1985 by KUTV Coalition for Founded in 1987 Grew out of Project 2000 The Utah Quality Growth Public/Private Partnership Founded 1997 by CUF Became known as Envision Utah Steering Committee Scenarios Committee Public Awareness Committee Quality Growth Efficiency Tools Technical Committee Envision Utah Internal Committees

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111 officer of American Stores, was a vice chair of Envision Utah) 10 (Campbell 1997, Envision Utah 2003). Envision Utah was governed by a selection vice chairs, special advisors, and partners. Geneva Steel President and COO Robert Grow, who had Board of Trustees, was named chair (in April 1999 Jon Huntsman, Jr. of the Huntsman Corporation was named chair to replace Grow, who received a call to be a mission president for LDS Church; Robert returned as pre sident and CEO in 2012) then Governor Mike Leavitt and Larry Miller, owner of the Utah Jazz, were named honorary co chairs. The vice chairs were James Clark, former Chief Planning Officer of American Stores; Tom Dolan, Mayor of the City of Sandy, and Gary Herbert County Commissioner for Utah County. There were 16 special advisors and over 125 partners for a full list, see Appendix F (Envision Utah 2003). To direct the varied aspects of the effort Envision Utah developed several sub committees within its membersh ip: Steering Committee: A n extension of the original Quality Growth Steering Committee the Steering Committee was responsible for oversight of the day to day activities of Envision Utah The Steering Committee made political and strategic decisions rega rding the accomplishment of long term objectives including the review of contracts and selection of consultants and the development of short and long term activi ties of the Envision Utah organization 10 By 2003, Envision Utah raised over $7,000,000 in cash contributions, with an additional $2,000,000 of in kind supp George S. and Dolores Dor Eccles Foundation gave a total of $1.7M to the effort; The Surdna Foundation, the David and Lucille Packard Foundation, and the William and Flora Hewlett Foundation all competitive federal grants from the Environmental Protection Agency and the Federal Highway Administration (Envision Utah 2003).

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112 Scenarios Committee: The Scenarios Committee was comp rised of technical experts from various areas of local and state government and the private sector as well as business leaders, conservationists and local activists. The committee was formed to provide technical assistance to help review and analyze work completed during the development of the Quality Growth Strategy. Public Awareness Committee: This committee was made up of representatives from the major media outlets in the region as well as local public relations or advertising agencies. They were as ked to participate in an advisory role for public awareness activities; they examined the long term activities and objectives of Envision Utah and developed an outreach strategy to communicate these activities to citizens QGET Technical Co mmittee : analysis of alternative growth scenarios and the final Quality Growth Strategy was conducted by this committee, which was of Planning and Budget. The Quality Growth Efficiency Tools ( QGET ) committee was made up of representatives from department heads of state and local governments, metropolitan planning organizations, regional planning agencies and private sector participants. Its role was to assist in the technical analysis of trends, projections and alternative growth scenarios development. QGET provided the technical tools to analyze the information to model a Quality Growth Strategy (Envision Utah 2003) T o learn what was most important to residents, Envision Ut ah brought in Wirthlin Worldwide a national polling firm, to conduct research in the region Richard Wirthlin was

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113 perhaps best known as best known as President Reagan's chief strategist; he served as political consultant and pollster for twenty years (Clymer 2011). Wirthlin was the Chair of the Board of Directors of Geneva Steel, of which Robert Grow was President and COO; Wirthlin was also a high standing member of the LDS Church. Because of these tial work was conducted pro bono. Wirthlin Worldwide conducted 83 face to face interviews 21 ; Wirthlin Worldwide 1997 ). Wirthlin and Envision Utah worked to ensure there was eq ual representation with regards to age, income, ethnicity, religion, and length of residence in the region (Envision Utah 2003; Wirthlin Worldwide 1997) The objectives were to guide public, community leaders, and policy makers in making better informed and coordinated decisions to protect, promote and preserve the overall public good. Specifically, the following questions were asked: What makes Utah gre at? What issues/challenges threaten Utah? What role can Utah companies, organizations, and state and local governments idst growth and change? What are public priorities regarding key issues and concerns and what is the public perception of how well the issues are being handled? What tradeoffs are people willing to make to help make things better or prevent them from getti ng worse? What is the vision of the ideal place to live in Utah (Wirthlin Worldwide 1997)?

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114 The study showed that the top priority for residents was peace of mind. This peace of prize and share a common sense of honesty, morality, and ethics. This value clearly dominates all other value orientations and is supported by a dedication to family and the desire to provide ion Utah 2003, 21). Not (see Figure 5.4 for a diagram developed by Wirthlin to demonstrate the values and priorities identified through the study) Figure 5 .4: Wirthlin Worldwide D iagram D emonstrating Utah R V alues and P riorities (Envision Utah 2003, 21) The research identified three factors that brought together Utahns: 1) Recognition that Utah was growing and would continue to grow; 2) Recognition tha determination to shape and create their own future rather than have it be created for them

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115 (Wirthlin Worldwide 1997). The study also confirmed that Envis io target: w percent responded percent and 14 percent s in Utah 21). Using the data gathered through the Wirthlin study, Efficiency Tools (QGET) Technical Committee then created a projecting model, establishing how the Greater Wasatch Area would grow over the following 20 years. The Technical Committee worked with local government, state agencies, and private entities to project the changes in land use, air quality, water, transportation, infrastructure, housing, business and economic development, and open space and wilderness preservation. The projection was developed not only to show what growth would look like if it continued unabated, b ut also to demonstrate what the effects of alternate actions would be This projection model was released to the public in September 1997. It served as a wake up call to many residents and officials: as Governor Leavitt exclaimed when he saw the estimate d costs for the projected Designing a Region Envision Utah quickly concluded that a process was needed that would engage residents and draw upon the skills of both public and private leaders. The Steering Committee felt strongly that soliciting leadership and expertise from an outside consultant as had both Portland, Oregon and Denver, Colorado would be extremely helpful for the Envision Utah process. There were strong concerns about someone comi ng to Utah with a following criteria were laid out in the Request for Qualifications:

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116 Must be a big league thinker who could effectively communicate the big pict ure Must work closely with a local group to help narrow the big picture Must be willing to commit to a fresh approach and help create ideas specific to the region Must bring ideas for community outreach and communication Must be willing to let QGET creat e a baseline and alternative scenarios Must be on the cutting edge of planning technology (Envision Utah 2003). The Steering Committee formed a special selection committee to search for a consultant. The Request for Qualifications was posted, and both loc al and national potential candidates were contacted. The Steering committee eventually selected John Fregonese and Peter Calthorpe from Calthorpe Associates, who had previously served as consultants to the Portland Metro 2040 effort (Envision Utah 2003, B rooks and Parzen 2006). Calthorpe Associates proceeded to work with the QGET team to develop two workshops that would be used to engage local leaders in designing alternative development scenarios; the workshops were held in May and June of 1998. The firs t workshop focused on and special advisors, as well as every mayor and city planner in the Greater Wasatch Area to these events. P articipants of whom there were over 200, were encouraged to express their At both workshops, small breakout groups were given maps and paper chips (the be designated as open space and those that were acceptable for development. At the second workshop, the same small groups then chose among standard, typical forms of development

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117 as well as alternatives tha t included walkable, mixed use developments of different densities. The maps that came out of the workshops demonstrated a preference for higher density, walkable developments built along transit corridors (Brooks and Parzen 2006, Envision Utah 2003, Sche soon came to realize that housing all the projected growth in low density sprawling patterns T he next step was to host workshops to engage the broader public 15 regional design workshops and seven community options workshops were held in communities throughout the region; together, these events attracted over 1,000 residents. At the community op tions workshops, residents were asked to choose between development types through a visualization process. The results showed that residents preferred more walkable environments, and design seemed to matter more to participants than density (Envision Utah 2003, Brooks and Parzen 2006). Involving stakeholders and the public in the creation o f the scenarios served multiple because they were given a chance to participate in the shaping of the agenda and the sectors and communities were given a voice. Broad participation increased creativity, and involving the public also helpe d to educate them and gave them the sense that the scenarios were their design, rather than something that was being forced upon them ( Harvard Law Review 2005 ) Using the feedback from these various workshops Envision Utah designed four scenarios for futu re growth, r epresent ing varying levels of housing density and investment in

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118 public transit. The QGET Technical Committee used a modeling process similar to that of the baseline study to project patterns of growth under each of the scenarios. This modelin g also analyzed the costs and benefits of each scenario in terms of commuter miles, water consumption, and infrastructure costs (Envision Utah 2003, Brooks and Parzen 2006). The details of the four scenarios were as follows see Appendix H for more details on each scenario : Scenario A projected how the region could develop if the dispersed pattern of development occurring in some Greater Wasatch Area communities today were to continue New development would primarily take the form of single family homes on larger, suburban lots (0.37 acre average). Most development would focus future transportation investments on convenience for auto users. Scenario B the baseline scenario, depicted h ow the region could develop if state and local governments follow their 1997 municipal plans. Development would continue in a dispersed pattern, much like it has for the past 20 years, but not as widely dispersed as in Scenario A. New development would p rimarily take the form of single family homes on larger, suburban lots (0.32 acre average). Most development would focus on convenience for auto users and transportation inve stments would support auto use. Scenario C showed how the region could grow if ne w development were focused on walkable communities containing nearby opportunities to work, shop, and play. Communities would accommodate a portion of new growth within existing urbanized areas, leaving more undeveloped land for open space and agriculture New development would be clustered around a town center, with a mixture of retail services and housing types close to transit lines. These communities would be designed to encourage walking and biking, and

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119 would contain a wide variety of housing types, allowing people to move to more or less expensive housing without leaving a particular community. Average lot size would be slightly smaller (0.29 acre) than Scenarios A and B. Scenario D showed how the Greater Wasatch Area might develop if Scenario C w as taken one step further, focusing nearly half of all new growth within existing urban areas. This would leave more undeveloped land for open space and agriculture than any other scenario. When new land is used, development would be clustered around a t own center, with a mixture of commercial and housing types close to some portion of a greatly expanded transit system. These communities would be designed to permit and encourage walking and biking, contain the widest variety of housing types of any scena rio, and also have the smallest average lot size (0.27 acre) (Envision Utah 2003; Brooks and Parzen 2006; Scheer 2012). In January 1999, Envision Utah launched a major public awareness campaign to educate residents about their efforts and to get them invol ved in the decision making process; over a year had been spent planning for the campaign The goals of the campaign were: Educate area residents about the growth challenges facing the Greater W asatch Area in the coming years, Create awareness of the Envision Utah effort, its goals, objectives, and current process, and Educate area residents about the four possible growth scenarios and motivate them to participate by filling out the growth survey and/or attend meetings hosted by Envision Utah during January 1999 (Envision Utah 2003)

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120 A number of tactics were used during the campaign, including a press conference; press tour; radio and television ads; a campaign launch event; a newspaper insert; an internet site and on line survey ; radio, television, and newspaper interviews; 50 public meetings; a letter from challenges. Over $200,000 was spent on local television and radio advertisements. Perhaps t he most important piece was the newspaper insert a key communication tool for the campaign ( Figure 5.5 below) The four page insert was placed in the Sunday (January 10) edition 11 The insert described the Envision Utah process, contained illustrations d epicting the four scenarios, and provided detailed descriptions and analysis of each scenario. A mail in survey was included in the insert, and residents were asked to study the scenarios and determine their preference Residents could also fill out the survey online (Envision Utah 2003, Brooks and Parzen 2006) In the end, almost 17,500 residents filled out the survey. Additionally, nearly 2,000 residents attended one of the 50 public meetings. Wirthlin Worldwide used the results of the survey to dete rmine how residents felt about the four growth scenarios. They found that out of nine growth issues, 52 percent of respondents rated air quality as either the most important or second most important issue. Water, transportation, and land use (new and agricultural) rounded out the top five issues. The lowest ranked issues were the size of single family lots and wa lkability. The analysis determined that for eight of the nine growth issues, Scenario C was the best scenario, while Scenario D was best for one issue and second best on six issues (Envision Utah 2003; Scheer 2012; Brooks and Parzen 2006) 11 The piece was also distributed thought newspaper supplement s which were received by most non newspaper subscribers.

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121 Figure 5 .5 : Growth S cenario I nsert (Envision Utah 2003, 37) Promoting Quality Growth In the fall of 1998, upon reviewing the growth scenarios and the analysis of each, Governor Leavitt decided that it was time to form a state growth initiative. He worked with Env establish a Quality Growth Commission and, perhaps more importantly, provide incentives to help communities pursue quality growth. Governor Leavitt emphasized that communities worked together on quality growth initiatives, communities would be eligible for both monetary compensation and a percent of local taxes if they pres erved open space. The

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122 legislature did not support all aspects of the proposed act; however, following regular meetings with and various educational efforts by Envision Utah, the act passed, establishing criteria for quality growth areas and incentives, pr eservation of open space, and the creation of a Quality Growth Commission (Quality Growth Commission 2014; Envision Utah 2003). In March 1999, the Scenarios and QGET Technical Committees presented the results of the survey to the full Partnership. The nex t month, the Partnership began evaluating various growth strategies to determine what would best help move the Greater Wasatch Area in the direction residents had indicated they preferred. By May, the Partnership had submitted suggested strategies to the Committee which then hosted a new round of 50 community meetings. Participant s were provided with the various possible growth strategies, and invited to choose their favorite three. These workshops quite clearly demonstrated that residents preferred vol untary, coordinated action over government regulation, information then used to modify the strategies further. The input of participants led Envision Utah to form the following criteria for continuing efforts : 1. Use market based approaches and incentives. 2. Effect change through education and promotion, rather than regulatory means. 3. Advocate incremental steps that can take place over time, provided the right regulatory and market environment exists. 4. Primary responsibility for land use decisions will, as it should, remain with local governments. 5.

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123 6. Strategies are not aimed toward restrictions or additional layers of government. Rather they will help our communities and decision makers provide a broader array of choices (Envision Utah 2003; Brooks and Parzen 2006) In June, Envision Utah worked with community leaders from both the private and public sectors to determine how current municipal plans would accommodate future residential, commercial, and industrial growth. Participants were given materials representing the infrastructure and development models of Scenario C, and were asked to allocate growth upon maps representing their respective communities. Upon finishing their maps, p articipants were asked to identify how they would need to modify current master plans to accommodate the allocations on their new maps (Envision Utah 2003) The most important contributor to the success of the meeting was participation by property owners, neighbors, local elected and appointed officials, and, in some cases, potential developers. The meetings began with a slide show of various development types, some of which were unfamiliar to the citizens, including mixed use and mixed housing types. These were some of the most successful Envision Utah workshops because they put citizens in the proactive role of property development rather than the usual role in which developers make a plan and citizens can only react. Developers, property owners, city offi ction with problem solving (Envision Utah 2003, 46) Upon completion of the community meetings and the municipal plan workshops, the strategies were evaluated by the Scenarios Committee as well as the Steering Committee. In July of that year, the results were provided to the consultants working with Envision Utah, who began to develop a set of Quality Growth Strategies that could be modeled (Envision Utah 2003; Brooks and Parzen 2006) As this work was being done, Envision Utah also began working with the Quality Growth Commission and local governments to host a nother series of Community Design Workshops, where communities began to create long term growth plans. Envi sion Utah

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124 invited all 91 cities an d 10 counties to participate; e ight cities applied to do so through six projects Envision Utah was able to find funding for each project, and worked with each community to help them apply to the Quality Growth Commission for funding. All six projects in Salt Lake City, Provo, Centerville, West Valley City, Sandy/Midvale and Brigham City were funded over the course of a few months (Envision Utah 2003; Dillon 2000) Calthorpe Associates, who were continuing as consultants to Envision Utah, worked with each of the cities to develop a plan for growth. Prior to the workshops, participants met with the consultants to develop inv entories of each community. Calthorpe Associates then designed workshops specific to each communit y, using the inventory data. During the workshops, participants were given chip s representing open space designations, residential types, mixed use buildings, employment centers, cultural and civic centers, and retail space, and were asked to place them u pon a map. Upon completion the consultants took the input from each workshop and used it to design master plans for each community. The results were presented to the communities though the final months of 1999 (Envision Utah 2003; Brooks and Parzen 2006 ) One of the greatest concerns that arose time and time again throughout the Envision Utah process was housing. Many stakeholders professed a desire to allow market forces to drive housing demand. In response to these concerns, the Envision Utah Steeri ng Committee commissioned a housing analysis of the Greater Wasatch Area. The analysis included an account of existing housing and a forecast of what housing would look like in 20 years, given projected changes in demographics and market forces. The repo rt predicted that an average of 20,000 housing units would need to be built each year through 2020 to keep up with forecasted growth. Based on t raditional housing policies, 70 percent of those new units

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125 would be single family; though if shifts in househol d size and age of the head of household occurred, a greater demand for more multi unit housing and smaller lots for single family lots could occur. The survey also looked at cultural perspectives, land ownership patterns, development industry constraints, and other matters that could impact the supply and affordability of housing (Envision Utah 2003) On November 15, 1999, the final set of Quality Growth Strategies was presented to the Envision Utah Partnership by the Steering Committee; at the same time, Office of Planning and Budget provided the analysis of the costs and benefits associated with the Strategies. The analysis showed that minimal changes in personal living decisions would bring about significant long term benefits (Envision Utah 2003; Brooks and Parzen 2006) If the strategies were implemented, the Greater Wasatch Area would have lower regional and subregional infrastructure costs (total savings of $4.5 billion). By sligh tly reducing the averag e residential lot size (by 0.06 percent ) over the next 20 years, the Greater Wasatch Area would preserve an additional 116 square miles of agricultural land, and 171 miles of undeveloped land could remain undeveloped. The overall tr ansportation system would improve, resulting in lower VMT and time spent in traffic, while transit trips would n early double. An additional 21 percent of residents would live within close proximity to rail transit. A total of $2 billion in transportation costs would be saved. In addition, water conservation would increase 100 percent resulting in annual savin gs of 93,200 acre feet of water (Envision Utah 2003, 48). Upon finalization of the comprehensive Quality Growth Strategy (QGS) Envision Utah cond ucted a press tour to kick off two months of public awareness activities. The Envision Utah 2003, 49). The campaign included press tours, an on line interactive survey, and a newspaper. Survey results showed that there was a great deal of support for the QGS particular for the goals to

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126 promote preservation of critical lands, a region wide transport ation system, and an increase in more walkable communities. R esidents were polled to determine their support of the QGS ; the results also showed that there was strong resident support (Envision Utah 2003; Brooks and Parzen 2006) ope that by educating residents about the QGS they would be encouraged to contact their government representatives and express their support for implementation of the QGS (Envision Utah 2003) year process thus ended where many regiona l planning efforts begin with a statement of goals. But the difference here is that the goals were very broadly advertised and the public Implementation Through the involvement of numerous stakeholders, Envision Utah was able to develop a strong, publicly supported Quality Growth Strategy. Six primary goals were identified as being the key foundations of the QGS : 1. enhance air quality; 2. increase mobility and transportation choices; 3. preserve critical lands, including agricultural, sensitive and strategic open lands; 4. conserve and maintain availability of water resources; 5. provide housing opportunities for a range of family and income types; and 6. maximize efficiency in public and infrastr ucture investments to promote other goals (Envision Utah 2003; Brooks and Parzen 2006) Using these six goals, thirty two individual strategies were developed. Examples of these strategies include promoting pedestrian friendly/walkable communities, preser ving critical land and open space through re use, in fill development and conservation techniques,

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127 supporting the development of regional public transportation choices including buses, rail and needed roads, and fostering development that supports transit by offering housing, work, shoppi ng and play near transit stops (Envision Utah 2003 ). Once the QGS had been finalized, the next big challenge was to begin implementing it. While Envision Utah was not itself responsible for implementation, it would still require a communities. Envision Utah would need to provide communities with technical support for demonstration projects, training on planning tools, assistance wit h plans and designs, and continued involvement of residents in the decision making process (Envision Utah 2003) Envision Utah developed a five develop urban planning tools, train decision makers, raise public awareness, and assist communities with financial and technical resources. During the development of the Quality Growth Strategy, Envision Utah had relied primarily on outside consultants and the hnical work; for successful implementation, Envision Utah needed its own staff to assist the large number of local governments in the region. Envision Utah increased its professional planning staff to help provide direct assistance for local municipalitie s planning for their growing communities, and augmented its in house technical capabilities by adding GIS and Computer Aided Design tools to help communities and residents visualize plans (Envision Utah 2003) Funding for these initiatives came from and c ontinues to come from private and public support as well as service contracts. In March of 2000, Envision Utah took on the task of developing Utah specific planning tools to assist communities with development visioning and planning. The resulting

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128 simply as the Toolbox), focused on the key areas of protecting sensitive lands, meeting housing needs, developing walkable communities, encouraging in fill and redevelopm ent, and conserving water resources. The guiding principal behind the Toolbox was the development of model codes for use in Utah that were presented through well illustrated and readable documents, reproduced in a workbook format. The Toolbox serves as a guide that promoting close knit neighborhoods, tree lined streets, pedestrian friendly walkways, nature and farmland within reach of the city, and houses marked wit 2003, 59). The tools give a broad description of model development codes, design standards and strategies for achieving quality growth that help preserve a high quality of life (Envision Utah 2003; Envision Utah 2013; Brooks an d Parzen 2006). offers training opportunities to help interested citizens, government officials, planners, developers, and other key stakeholders learn how to effectively use t he Toolbox in their community; the training is designed to develop a more in depth understanding of the issues covered in the Toolbox to help maximize its effectiveness (Envision Utah 2013). Outcomes and Impact Since 2000, Envision Utah has engaged citizen s, government representatives, and community leaders in dozens of workshops, community meetings, and visioning processes. The question yet to be answered is so what? Has there been any observed change in the way communities have grown and can that change be attributed to the work of Envision Utah? Many say yes. Envision Utah has received over 25 local and national awards,

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129 recognizing its efforts in engaging the public, for its planning model, for encouraging the use of public transportation the list goe concretely demonstrate concrete results. TRAX One significant impact that the work of Envision Utah has had on the region is the s ago transit Authority (UTA) had been in existence since 1970, when the Utah State Legislature passed the Utah Public Transit District Act, allowing individual co mmunities to address transportation needs by forming local transit districts (UTA 2015; Scheer 2012). In the early 1990s, UTA saw an opportunity to develop a light rail system in the region. There was significant resistance early on; in 1992, regionally elected officials supported a referendum seeking funding for expanded transit options. Included in the referendum was an increase in the sales tax to fund projects that would both expand bus service and build a new light rail line; however, public resista nce regarding the light rail project and its high cost resulted in the referendum failing (Lewis, Schank, Shepherd and Westervelt 2013). By the late 1990s the average person in the Greater Wasa tch Area drove 25 miles per day; this was projected to increas e to 29 miles, leading to average trip times of 23 minutes (Envision Utah 2013b) UTA leaders pursued alternative funding methods that would reduce the necessary local subsidy In 1997, UTA was awarded a US Department of Transportation (USDOT) grant that covered 80 percent of the costs of the first light rail line ( through the Federal New Starts program ) UTA was able to fund the remaining 20 percent of the project using rainy day savings that had been obtained through a committed

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130 transportation sales tax and fare box revenues (Lewis, Schank, Shepherd and Westervelt 2013). UTA and Envision Utah became natural partners working together to encourage light rail development and use, and to prepare the region for th e future. UTA continued to push light rail as a new transit option while Envision Utah reached out to the community to build consensus and support for transit expansion and funding. The Quality Growth Strategy depended heavily on the development of a re gional public transit system; significant portions of future development were planned along proposed rail lines. CUF had begun laying the groundwork for regional transit in 1990 when it collaborated with UTA to educate legislators about why they should au thorize local voters to vote on a sales tax for transit. In 1995, Envision Utah collaborated with UTA once again, working to shift public sentiment (Lewis, education, community engag ement, and tactful efforts to gain community buy in Envision Utah played a pivotal role in gaining support for light rail. Envision Utah effectively garnered community approval and unanimous backing from the council of mayors. The plan was presented not as a transit expansion plan, but rather a transportation plan involving several different modes, demographics, and solutions to expect Shepherd and Westervelt 2013, 6). UTA worked with Envision Utah to buil ding public support. Through the support of the board, the state legislature, local leaders, and Envision Utah, UTA was able to collect a critical mass of support by opening day of the first Transit Express ( TRAX ) line (Lewis, Schank, Shepherd and Westerv elt 2013) Then Senator Robert lobbying for transportation funding under the premise that improved transit systems were

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131 critical to the success of the Olympics. While th e Olympics certainly did not seal the deal on the success of the first TRAX line, they did help move the process along (Scheer 2013; Lewis, Schank, Shepherd and Westervelt 2013) The first transit line in the Wasatch Area opened in December 1999. Prior to opening there were concerns amongst community leaders that no one would use the light rail. On opening day, approximately 45,000 50,000 people twice the amount of project ed riders, rode the TRAX line. Over the next year, ridership continued to grow w ell beyond expectations. Due at least in part to the success of the first line, voters approved a tax hike in November 2000 for increa sed funding for public transit (Lewis, Schank, Shepherd and Westervelt 2013; Brooks and Parzen 2006; Scheer 2012). In 20 00, UTA Board member Monta Rae Jeppson told The Deseret News be our commitment on the extensions of light rail and commuter rail and the bus service (Van Eyck 2000, para 4). Since 200, transit has continued to grow, with an additional eight TRAX lines opening, as well as two FrontRunner commuter rail lines, a MAXBRT (rapid bus) line, and a streetcar line (Figure 5.6 shows the extent of the rail system in the region; Tab le 5.1 lists the completed or in construction p rojects as of November 2013 ) Ridership has increased nearly every year (Figure 5.7) ; ridership in 2014 surpassed 45 million boardings (Lewis, Schank, Shepherd and Westervelt 2013; rideuta.org 2015).

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132 Figure 5 6 : UTA R ail S ystem M ap as of May 2015 (rideuta.com)

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133 Table 5. 1 : Projects C ompleted or U nder C onstruction by UTA as of Nov ember 2103 (Lewis, Schank, Shepherd and Westervelt 2013) Project System Line Operational Year TRAX North South 1999 TRAX University Line 2001 TRAX Medical Center 2003 FrontRunner Weber County to SLC 2008 TRAX Salt Lake Intermodal Extension 2008 MAXBRT 3500 South Street 2008 TRAX Mid Jordan 2011 TRAX West Valley 2011 FrontRunner Provo to SLC 2012 TRAX Airport Extension 2013 TRAX Draper Extension 2013 Streetcar Sugarhouse 2013 Figure 5 .7 : UTA annual T ransit R idership by Y ear (Lewis, Schank, Shepherd and Westervelt 2013) 12 Daybreak a master planned community in South Jordan, southwest of Salt Lake City built by Kennecott Land, a division of mining inable planning and transit oriented development. Just eight years into a decades long development 12 In 2014, ridership surpassed 45 million rider boardings (rideuta.com 2015).

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134 plan, the project is today recognized for its effort to build a more sustainable community with an entire network of walkways, bike paths, streets, and ligh t rail intertwined with residential, the 95,000 undeveloped acres in South Jordan. The land was privately owned by Rio Tinto and mined for copper and other minerals. However, Peter McMahon a mining engineer with Kennecott Land was an Envision Utah steering committee member who was tasked with creating a long term development strategy for the land. McMahon hired P eter Calthorpe of Calthorpe Associates to design a 15 year development plan that would emphasize and balance town centers, open reserves, multiple density configurations, mixed uses, and multiple transportation choices (Scheer 2012). In envisioning the pr oject, The full completion of Daybreak is not expected to happen before 2030, but upon completion it will include more than 20,000 homes and 14.5 million square feet of commercial space, supplemented with walkable neighborhoods and a variety of transportation options that encourage residents to leave their cars at home. At least 30 pe rcent of the development will be open space. The Mid Jordan TRAX line, completed in 2011, connects Daybreak to downtown Salt Lake City and the University of Utah making Daybreak the first master planned community in the United States to include an extensi on of light rail service (Scheer 2012; Smeath 2004) In an interesting twist for a new development, those interested in living in Daybreak can opt to first live in a rental unit; p art of their rent is deposited into a savings account that can be applied to a down payment for a home purchase

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135 after a period of time allowing residents to determine whether Daybreak is the type of community they wish to reside in long term ( Smeath 2004) The project has won numerous awards, including the 2010 Best in American Living Platinum Award for Suburban Smart Growth Community and Community of the Year from the National Association of Homebuilders, and was conditionally certified as a three Star National Green Building Standard Green Community (Vo Duc 2011; S cheer 2012). Daybreak has been welcomed visitors from other regions, including Sacramento. When visiting the community, organizers It is apparent that the civic leaders of the Salt Lake region have a commitment to the success of their community that, in our experience, is unparalleled. A strong sense of collective identity and history empower Salt Lake's public and private sector leaders to chart a bold co Smeath 2004, para. 4). According to D one out of every six new homes sold in the Salt Lake Valley currently is in Daybreak (daybreakutah.com 2015). City and Community Plans In addition to the work done with the Daybreak community, Envision Utah has worked with dozens of communities in Utah to address growth topics and to engage citizens in discussions around the future of their communities. To date, E nvision Utah has partnered with more than 100 communities throughout Utah and more than 50,000 Utahns have part icipated in Envision Utah facilitated efforts (Envision Utah 2013c) Amongst these projects have been partnerships with local municipalities to review their planning documents, engage citizens in visioning workshops, and develop new recommended plans and maps. One such project was the Magna Township Plan project. Historically a company town f or Kennecott Copper, Magna lie to the west of Salt Lake City

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136 In 2005, Envision Utah worked with city leaders to update Magna's general plan. Envision Utah held a series of workshops to gather public input, and provided tools, analysis and technical expertise to help residents determine how the city could accommodate new growth and what areas were ripe for redevelopment. As a result of these efforts, the Magna Pla n was created and later reviewed by the Steering Committee of local community leaders from the Part of the plan included the Magna Main Street initiative Cultiv ating Community, Captivating Main Street calling for a change in zoning regulations and the elimination of certain parking requirements Main Street. The vision for Main Street emphasized er desire for a family friendly area for living, shopping, and entertainment New sidewalks and more lighting were added, and the street design was enhanced Today there is a new library and bus rapid transit line connects the township to the TRAX giving Magna residents convenient access to downtown Salt Lake City (Envision Utah 2013c). than any other community in Box Elder County; the Planning Commission wanted to be pre pared for additional expected growth the population was expected to double by 2030. Envision Utah worked with a local Steering Committee comprised of several community citizens and stakeholders, to gui de a public involvement process. In June of 2004, re sidents was gathered from a mapping exercise, and a visual preference survey. As a result of the

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137 workshops, a draft general plan was developed that addressed seven primary issue areas: quality of life, economic development, housing, transportation, land development, rural qualities (including the protection of sensitive lands ), and public amenities that would enhance the quality of life for residents. The plan was reviewed Perry Planning Commission and recommended to the city council who subsequently adopted the recommendations (Envision Utah 2013c). Another general plan project was conducted in Brigham City in 2004. At the time, projections estimated that Brigham City would grow by over 35% by 2030. The city reached out to Envision Utah for assistance in updating their general plan. Envi sion Utah hosted two workshops attended by over 100 residents. Through the workshops, city leaders learned that r esidents wanted walkabl e development as well as a wide range of housing options and transportation choices ; they also felt that business growth and visual aesthetics were important issues As a result of these workshops a new general plan was designed; th e city council adopted the recommendations (Envision Utah 2013c) Moving Forward: The Future of Envision Utah their work has not ended indeed, it will not end as long as the region continues to grow. The challenge for the organization is to continue to be cognizant of and responsive to the infrastructure, housing, the environment, etc. There are still issues to be addressed air quality has become a critical focus for the region, with many community leaders concerned

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138 sentiment echoed by a local government representative right now? Envision Utah is looking to get really involved in air quality that needs attenti The future success of Envision Utah will depend on their ability to evolve to stay current with the changing needs of the region, and to respond to changing values and perspectives of the comm to the old prejudices against growth management, and a discontinuation of the cooperation and collabora tion that has taken place so far. My anxiety, my fear, however, [is that] i f we were to let up know [of the community as a whole] is complete (confidential interview #3, July 2013) A state government r meetings people say that Envision Utah has made a lot of progress, made a big difference in r bringing people together (confid ential interview #4, July 2013). observation: writing off the original scenarios. But we should have been, at some regular interval, updating that process. Keeping the public engaged in the process. should have b een updated. We should have been having a conversation with the public, who is our great constituency, about some of thi intentional we got caught up in sustaining the organization and the effort. But currency is relevancy, at least at some level. The transportation dialogue

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139 is so different today than in was 15 years ago. Will that change the scenarios a great deal? No, but people need to know that those are being factored into the scenarios. They need to know that they can rely on t he scenarios, because those have been factored in (confidential interview #3 July 2013). As the population increases and continues to diversify, the efforts of Envision Utah and its partners will need to be responsive to the needs of newcomers. A state government representative pointed out that a nother issue is the change in demographics. Refugee had Spanish language workshops and flyers and translators, but ju peop le to show up and participate nities. If our area is going to succeed, we need to involve everybody, and everyone has to have are changing Lastly, the organization is increasingly working with communities outside the Greater Wasatch region Utah Many of the decisions being made today about growth and resource management impact the entire state. Collaboration with those communities will become more and more critical think Envision Utah has been particularly successful in the broad Wasatch Front area remarked a prominent nonprofit leader But the same conflicts still exist and are pretty pronounced, especially in rural areas with ranchers, with minin g especially in this within a July 2013).

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140 CHAPTER VI FINDINGS FROM THE CASE STUDY Introduction This thesis explores the efforts of Envision Utah to address regional growth issues in the Greater Wasatch region of Utah. In particular, it attempt s to understand the ability of regional coalitions to impact regional growth patterns and policy and to determine the roles that civic engagement, leadership, culture, and trust play in the effectiveness of these efforts. Through the interviews conducted, it became clear that community leaders in the Greater Wasatch region consider the work of Envision Utah to be a resounding success, with great impact seen in some issue areas. Through analysis of the data, a number of common themes surfaced regarding the inclusiveness, transparency, and honesty of the Envision Utah process; the incredible leadership of Robert Grow and others; the importance of a shared culture and set of values, and the quiet but clear role the Mormon Church has played in setting the stag e for collaboration. This chapter reviews the various contextual factors as well as the outcome of regional impact as presented in the case study Throughout this chapter, quotes from the nine in person interviews are presented, providing supporting evi dence for each argument. These quotes are identified through interviewee numbers; the list of interviewees (identified by se ctor) can be found in Appendix B ; additional quotes can be found in Appendix J Data from the online survey are also referenced wh en applicable.

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141 Outcome s As the analysis found in this chapter will demonstrate, there has been significant change in the Greater Wasatch region since Envision Utah began its work with ample relate d issues. Since its inception, Envision Utah has tackled numerous problems, including transportation, water quality and availability, land use, housing, and economic development. It has seen more success in some areas, less in others, and as the region h as grown, the issues facing the region have evolved. One interviewee from the private sector observed: One, it demonstrated a process that you get a lot of diverse people working together to solve problems around facts and getting off their hobby horses, and secondly it led to a recognition that interview #1, July 2013). Below (Table 6.1) is a summary of responses to the online survey regarding ten issue areas. Survey respondents were asked three questions about each issue: What were the critical issues facing the region at the time Envision Utah was formed, has EU had an impact on the issue, and what issues are critical now? The results demonstrate the evolution of issues facing the region since 1997 air quality has become significantly more critical, as have water issues. The seriousness of education and infrastructure has increased somewhat, while housing and economic development have remained the same. Sprawl, land use, and transportation have all seen a decrease in criticality, with the latter seeing the most change (see Appendices G and H for the full survey and the entirety of responses).

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142 Ta ble 6 1: Survey Results: Regional Issues Critical initially EU has had impact Critical now Air Quality 3 7 12 Water 5 4 11 Land Use 10 12 8 Transportation 11 11 8 Education 6 2 9 Sprawl 10 11 8 Housing 7 11 7 Economic Development 6 6 6 Infrastructure 7 7 9 Population Growth 6 1 8 These results are consistent with the opinions expressed by interviewees. Many greatest impact in the Salt Lake corridor has been the development of TRAX and the growth said one interviewee (confidential interview #5 July 2013). Another success has been demonstrating to city planners and developers the need for a new approach to plan ning. According to a state government representative, structure, and by structure I mean the ordinances and laws that govern dev elopment. been a marked change in what the general plans look like and what the ordinances provide

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143 ( confidential interview # 4, July 2013). Most of the interviewees acknowledged that the work is ongoing. i before declared a local government representative ng th at was resisted forever get your citizens involved all those kinds of things that you have to do from the grassroots confidential interview #8 July 2013 ). A ccording to another local government representative : The pace of development and how they were developing and the impact they did a great job of focusing attention on how that was happening, and on what people wanted their communities to be Then, what would need to the topic of development let the jargon of the planning world dictate their description of things, s o which can be a shortcoming of ad an effect on some issues they made a big difference for example in he lping the state make decisions about investing in transit and rail development particularly. Would there have been as much success without Envision Utah? Maybe, but from my perspective, they played a constructive role in all that (confidential interview #2, July 2013). Changing Perceptions A useful way to measure the success of Envision Utah is to examine the influence it has had in changing perceptions amongst the population regarding many of the issues above, particularly housing, land use, and transportation. Interviewees and survey respondents alike articulated the changes they have observed amongst the community. Of twelve survey or contribution t aising awareness that regions have some choices in how they thinking about growth hanging the nature of the conversation bring [ing] regional planning into the forefront of stakeholders thinking

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144 a communist plot by numerous interviewees) with centralized control, but a conversation that the entire community can engage in. Citizens began thinking about the region from a d ifferent perspective instead of focusing on their own local community, they began to think about the region as a whole which was, according to a private sector representative, interview #1 July 2013) Citizens said a state government representative ( confidential interview #4, July 2013 ). A local nonprofit leader furthered this opinion, saying: would have happened, but it took leadership. It would have taken leadership; if not Envision Utah, [then] some other e lement of leadership. And it had to be broader than Salt Lake City itself; it had to be broader than the county. It lot of similar questions, about growth and development and what this city is becoming, what do we want it to become, what do we want the future to look see broader repercussions. That gathering I expect it was pretty difficult to get sta you get them in? I would love to know from Robert [Grow] how he got past the ego barrier. How did he make that work? It could have been at the very beginning, stoking the right egos to get them to lend their names. There have been people involved who are perceived as being so diametrically opposing in their viewpoints, in their personal values, in the way they make their money s at the table and Y is at the table and see? My goodness there was something intriguing ( confidential interview #5 July 2013). pendix I demonstrates the dozens of projects that the coalition has been involved with including General city plan updates, transportation plans, and community visioning.

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145 Contextual Factors Density of Local Governments and Government Involvement The Greater Wasatch region is comprised of 10 counties, 91 cities and towns, and 157 special service districts each with their own government structure. Additionally the Utah state capital is located in Salt Lake City, with the state government playing a role in regional planning efforts. It might seem that this large number of independent governments, along with all the agencies therein, would be detrimental to collaborative efforts and thus regional impact due to differing priorities and approaches to development ; however, that does not appear to be the case. At its formation, Envision Utah had over forty government representatives including city, county, state, and federal serving as partner s or special advisor s (Envision Utah 2003 ). By ensuring tha t each county and numerous municipalities h ad a voice in the conversation from the beginning Envision Utah was able to forestall many naysayers As a local developer stated, t here were some pretty powerful people in the sta te [and in municipal governmen planni ( confidential interview #3, July 2013 being open to any and all ideas while not advocating for a particular agenda, Envision Utah was able to change the perceptions and bring many skeptics on board. One of the reasons quick fix said one nonprofit leader ( confidential interview #5, July 2013 ). ime convincing local government representatives that the process woul d result in any benefit to them or their

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146 constituencies, nor were they successful at engaging the government at all levels. A state government representative pointed out t here [have been] some opportunities lost along the way. One is building a relation ship with the legislature. that numb ( confidential interview #4, July 2013 ). For this factor it was expected that the greater density of local governments would increase the difficulty of forming effective smart gro wth coalitions. As discussed above, that expectation was not realized. True, there were some communities that were resistant to buy ies. Autonomy of Local Governments a local government has government respects the right of people to govern themselves, and trusts in the political system i.e., the people will avail themselves of elections to correct any abuses of power. National League of Cities 2014). According to the along with has given broad grants of a uthority to local governments. necessary and proper to provide for th e safety, and preserve the health,

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147 promote the prosperity, improve the morals, peace, and good order, comfort, and convenience of the county and its inhabitants, and for the protecti on of authority to exercise all enumeration of powers in this constitution or any law shall be deemed to limit or restrict the general grant of authority hereby conferred; but this grant of authority shall not Legislature in matters relating to State affairs, to enact general laws applicable a like to all cities of the State ( Utah Code § 17 53 223(a), Utah Const. art. 11 § 5 as found in Crapo 2013 ). Given the level of autonomy that local governments have been granted, it could be assumed that coopera tive regional efforts would be difficult; h owever Envision Utah has made a concerted effort to bring local governments together to collectively plan for the futur e of the region. According to a prominent local government representative was a tough sell to other cities and counties. The first reaction was our way It took years to change that attitude, because the approa ch it was taking was, it was a collaborative effort, no one was going to force them to do anything they were just giving them a picture of the world to come, and why planning for it was so significant. They confidential intervie w #8, July 2013). As with the density factor it was expected that greater autonomy of local governments would increase the difficulty of executing region wide growth management solutions. It has clearly been demonstrated that such growth management has b een embraced by the region. Communities may be pursuing their own growth plans; however, they are doing so under the principals of the Quality Growth Strategy and are using the Toolkit to guide their planning efforts, often with Envision Utah brought in t o engage residents in visioning and community workshops.

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148 Pre Existing Regional Networks In the case of Envision Utah and the Greater Wasatch region, the presence of pre existing regional networks played a significantly small er role than originally anti cipated Certainly there were smaller formal networks in place when Envision Utah began its work since the mid cipants indicated that they twelve survey respondents and two interviewees were involved with CUF before the formation of EU, and three survey participants and the remaining interviewees were invited Huntsman, Michael Leavitt, and Robert Grow before they joined EU, and it was due to these leaders that many of them j oined (see Leader ship, below). Apart from these connections, however, there is no evidence of any regional networks either formal or informal that smaller groups of individuals worki ng together to address specific issues, such as the environment, transportation, and economic development, but these do not appear to have Envision Utah heard about the ne w organization through word of mouth, or they were invited to join because of the organization they represented. One developer stated As the discussion about Envision Utah started to ramp up and I was in the circles hearing that where I live [and what I do], in terms of real estate development. And this could be a game

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149 In some cases, they themselves were not spe cifically invited, but were asked to do so and everyone was asking us to be on some kind of board. And somebody had probably asked my boss to go to a Coalition brea going on, so I went. As a result of that, I was asked to join the board of the Coalition for said a member of the private sector ( confidential intervie w #1, July 2013) It was anticipated that pre existing networks would signify trust and coopera tion amongst community leaders which would in turn increase the likelihood for participation and collaboration. While there is evidence to support this assumpti on, the role of pre existing networks did not have as much influence on the success of Envision Utah as anticipated. There was certainly a core group of leaders often referred to by coalition members as visionaries who were instrumental to getting the coa lition and the process off the ground. The majority of participants, however, had not been engaged with this core group prior to joining the coalition. It should be noted, however, that many of them were familiar with the individuals in this group Robert Grow, Jon Huntsman, Stephen Holbrook and felt that they were inspiring and trustworthy individuals men who had the passion and drive to make great things happen. Informal Mechanisms When considering the impact of Envision Utah on regional issues, the i nformal mechanisms those that facilitated the organization of the regional coalition as well as its capacity to affect change are perhaps some of the most important factors. While there are difficult to characterize,

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150 there are two that were clearly identified through this study: the process employed by Envision Utah, and the role of the Mormon Church in the region and in regional planning. Process Perhaps the most significant item documented through this study is the importance of process when addressing regional issues. While this is seemingly both obvious and simple, the process established by Envision Utah above and apart other regiona l efforts, and made it a model that regions around the globe have attempted to reproduce (Scheer 2012). That model has a number of straightforward elements that when combined have made it a truly powerful tool: employing leadership that can command the respect and trust of citizens other community leaders engaging a wide variety of participants who will be true representatives of their community host ing an honest and open dialogue ba sing that dialogue on facts engaging the public in that dialogue taking a (very) long range view establishing and maintaining trust and credibility identifying and understand ing the values of the community using those values to develop plans evolving and adapting as needed in reaction to changing circumstances or values.

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151 During the one on one interviews, the subject of process arose again and leaders; their openness to indeed, their stated goal to includ e representatives from any and all sectors and communities; the honest interest in connecting with citizens and gathering their feedback; their ability to adapt as they learn and as the issues change; and their use of data to inform the process and the com munity. One private sector representative noted that f undamentally it demonstrated to me that if you o way to correct percent on the mark with whatever you think the solution is, or if conditions change, the process will kick in and refine what it is you do. So I think the key to all of this is good clean honest process and involving all stakeholders. And I think that continues to be the case ( confidential interview #1, July 201 3). That same individual continued, saying: When Envision Utah got started, I was an early player, and one of the first t wo meetings we had was really pivotal it was really cool we hosted two meetings in the Wells Fargo building downtown, that involved very, very diverse stakeholders, and each table had 8 10 people they had a big map of the Wasatch Front, and it was colored in or something where people already development person, a real estate person, a politician, an environme ntalist, some business person, and they all got off their pedestal, they all got off their where are we going broke down the barriers, it focused on legitimate, fact based problem solving, and the facts were pretty clear that a lot of people were coming in So, people looked at these things, and there was an amazing congruence of solutions and recommendations where people would stick their little chips and say where people went (confidential interview #1, July 2013).

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152 According to Brenda Scheer, Envision Utah success was not only due to signifi cant public engagement, use of convincing, unbiased data to demonstrate the need to work regionally, and ability to garner broad by in from important Envision Utah has continued to use this process i n each and every engagement and project they are involved in they have become known for their process, and are sought out to lead projects due to it. All this is not to say that the work of Envision Utah was universally accepted or approved of. Early in t he process, there was significant resistance from developers and l ocal jurisdictions, who felt that this was nothing more than an attempt to mandate central planning The regional scenarios that called for increasing density and greater transit choices were c onsidered by some to be radical and government driven (Scheer 2012). More than one of the individuals interviewed commented on not at all being facetious when I say th at I was in more than one city council meeting talking about Envision Utah, and had council people or commission members talk about the communist aspects of what we were doing. It was really viewed as evil. But 10 years later, the conversation had dramat ically changed shared a local developer (confidential interview #3, July 2013). The Mormon Church The second influence that while subtle is incontrovertible is the presence of the Mormon Church within the community. The majority of Utahns are LDS, and the teachings

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153 and tenants of the Church are evident in all aspects of the community. Two LDS representatives joined Envision Utah at its founding (as did representatives from the Catholic Diocese and the Episcopal Diocese of Utah), and participated in th e visioning and planning Robert Grow served as a mission president from 1999 to 2002. 13 While the Church did not push a particular agenda during the process, it has a clear interest in planning outcomes. In 2012, the Church financed the full cost estimated at $2 billion of City Creek Center, a 20 acre, m ixed use development in central downtown Salt Lake City owned by the Church (right across the street from the Salt Lake Temple). The Center ho uses upscale shops, restaurants, condominiums and apartments (Winter et al. 2012, Although the combination of commerce and religion in this case may seem unusual, business leaders and developers credit the mall with spurring new business and enlivening what had been the faded core of Salt Lake City According to an economic benchmark report conducted in 2013, t he center a dded 2,000 jobs and brought more than 16 million visitors to downtown Salt Lake (Kelly 2013). reflects the spirit of enterprise that animates modern day Mormonism. The mall is part of a vast church owned corporate empire that LDS leadership says will help spread its message, increase economic self reliance a nd build God's kingdom on Ea The Church of Jesus Christ of Latter day Saints attends to the total needs of its said Keith B. McMullin who served within Church leadership for nearly 30 years and now heads Deseret Management Corp., a church owned h olding company and 13 A mission president supervises and trains missionaries of which there are over 80,000 assigned to a specific geographic area. Most mission presidents (and their wives) serve for three consecutive years (Mormon Newsroom 2015).

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154 umbrella organization for many of the profit businesses told Bloomburg Business We look to not only the spiritual but also the temporal, and we believe that a person who is impoverished tempor a lly cannot blossom $5 billion planned revitalization of downtown Salt Lake, all funded by the Church; City Creek itself is just one of dozens of property par cels owned by the Church in Salt Lake City (Winter et al. 2012). explained he said a powerful larg e entity, it will be more controversial and ev oke strong feelings. an interesting landlord. They have a much longer perspective than many other investors would have had. They want to know what the city will look l ike in the next 50 or 100 years (Kelly 2013). A number of interviewees discussed the involvement of the Church in the Envision board or serve as part ners), stating that the Church was supportive of the work that they were doing due to a perceived common set of values. One interviewee, representing the private sector, stated that t he Church is more than just an ecclesiastical organization it promotes (confidential interview #10, July 2013). Another private sector representative commented on the subtle yet indirect in fluence of the aware of this, is the impact of the church The

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155 legislators look over their shoulder and while the church is really quite good at saying they look over their shoulder for a clue about what to embrace and what not to. And while a majority of the people are LDS in the legislature, t the church tries to not have that, and I give them credit for that (confidential interview #1, July 2013). A representative of state government concurred: The presence of the Church has certainly made a difference in the success of the organization, in various ways. One of them is that the Church gave its approval of the process not a formal stamp, but those who participated and the things that were said publicly provided an endorsement of the process that I think overca would show up at meetings and talk about the issues. That brought a level of comfort to a lot of the elected officials ( co nfidential interview #4, July 2013). I t was expected that informal mechanisms could either encourage or hinder cooperation. The two mechanisms outlined here and involvement of the Church have clearly both served as positive influencers in terms of cooperation and participation in both the coalition, and in policy change in the region. Power Asymmetry Another significant factor in inclusivity of the process the eng agement of individuals from numerous sectors, government agencies (at all levels), and backgrounds, each with different perspectives on the future needs of the region. It could have been very easy, under other circumstances, for those individuals in posit ions of power large business representatives to push their agendas and advocate for solutions that would serve their own interests, at a cost to other communities. The leadership of Envision Utah itself was not without substantial clout the then governor was honorary co chair, along with

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156 largest manufacturing companies. The chair of Envision Utah was also the vice chair of a multinational corporation, and the vice chairs represented large business, a powerful 14 It would have been relatively simple for these few individuals to gather a number of like minded communi ty representatives, develop a plan for the region, and find ways to implement it. That sort of process, however, was completely antithetical to what Envision Utah was trying to accomplish. As a private sector representative claimed, t hey p osition (confidential interview #10, July 2013). Instead the organization was remarkably careful in conductin g a transparent, honest process. According to a local dev eloper, b eing honest was outcome. We really want to learn we really want to July 2013). As a result, there was a marked decrease in cynicism and doubts amongst the tool, but I think the honesty was an even more powerful tool member of the private sector The fact that we truly did not have a predetermined outcome, and we could be The expectation that the high level of power held by certain actors within the coalition would influence other participants to cooperate does not hold true, in that those with power did not try to use it to influence others. It can, of course, be said tha t those in power positions such as Robert Grow used their power to open doors and begin conversations, 14 largest in population.

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157 where those with less influence may not have been able to engage a group of leaders as The authority held by those in power positions seems to have been used solely for the highest purposes. Economic Health Based on numerous studies, Utah has a strong economy, with excellent prospects for the future. In 2014, Forbes Magazine ranked Utah a s the best state for business a spot it had held from 2010 2012, and was 3 rd The state has a very pro business climate and companies benefit from energy costs that are 26 percent below the national average and third lowest in the U.S. onomy has expanded 2.4 percent a year over the past five years fifth best in the U.S. across six indicator groups business costs, labor supply, the regulatory environment, the economic climate, gr owth prospects, and a measure of the quality of life. The state has a very strong workforce stated Scott Murray, vice preside nt of global customer experience based strongly on the availability of software engineers and Mormon missionari es with foreign language skills (Badenhausen 2014). Only five states received more venture capital funding over the first three quarters of 2014 (Badenhausen 2014). In 2014, the ALEC Laffer State Economic Competitiveness Index ranke d Utah as first in the nation for its economic outlook, based on factors including overall tax burden, worker compensation costs and tax policy changes (Laffer, Moore, and Williams 2014) In 2012, the Kauffman Foundation ranked Utah 12 th in the nation for e conomic development, of Utah 2014). Other accolades include Utah ranking 1 st

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158 Pollina Corporate in 2012, and in 2010 Kiplinger ranked Salt Lake City Utah 5th in the nation Best Cities for the Next Decade (Economic Development Corporation of Utah 2014). In 2012, a study was released by Deseret News that measured the economic well being of the 50 states and Distric t of Columbia, based on five indicators poverty level, economic production, house price behavior, unemployment, and residential foreclosure. In this study, Utah ranked 16 th out of 51 (Brown 2012). In January 2014, Salt Lake City Mayor Ralph Becker focused cited Jeff Edwards, D irector of the Economic Development Corp. of Utah, number one reason businesses choose not to come to Utah is because of our bad air quality. I hear this point reinforced time after time from other business leaders in our City and from prospective companies quality is widely considered to be the most critical issue facing the Wasatch region and the state of Utah at this time. It was expected that a high level of economic health should increase willingness to purse new, alternate growth policies. While it is difficult to determine whether there is a communities in the region to explore new growth ideas, it seems logical that a region experiencing poor economic health wou ld be much less likely to do so, as citizens would be reluctant to approve any initiative that would increase their tax burden. Inclusiveness of the Regional Coalition When Envision Utah began its work in 1997, over 125 individuals joined as partners and special advisors (Envision Utah 2003). These individuals spanned all sectors

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159 government, business, education, health, civic organizations, religion coming together to vision Utah recogni zed that to achieve their goals, it was critical to garner buy in from a large swath of the community. It is here described thoughtfully by a local nonprofit leader: is getting the right people at the table. And Robert [Grow] and Steven [Holbrook] were so good at getting those perspectives at the table. If there was someone they thought might raise an objection, either personally or professionally, they brought them inside the circle from the beginning. So no interest group (confidential interview #5, July 2013). Individuals representing their organizations became involved for a numbe r of proactively shape the (confidential survey responses, February 2014). One respondent to the online survey sai d plan for the future in order to preserve the opportunity to lay out a regional vision before the explosive growth occurr ed and limited our ( confidential survey responses, February 2014 ). and how that inclusiveness was key to the success that the organization has h ad in affecting change in the region. lved all kinds of a member of the private sector ( confidential interview #1, July 2013 ). It is possible that many of the participants, being from di fferent communities and disciplines,

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160 would not have typically had opportunities to meet with each other and share ideas; Envision Utah brought them together and gave them that opportunity. As a leader in the nonprofit sector said, t here have been roadblo cks along the way, so having those people come in from different perspectives has been absolutely essential, partly because everyone has faced some going to h ave to work together on it. Part of it is the definitely not unity, but at least the interview #5, July 201 3). Instead of resulting in numerous conflicting attitudes and individual (or organizationa l) agendas, the inclusivity of the Envision Utah process enabled participants to share their ideas and to form a cohesive picture of how the region could grow in a manner that would benefit the community the most comprehensively. As expected, greater incl usiveness by the coalition clearly resulted in a higher degree of trust and participation, leading to new growth policies and practices. Leadership greatest accomplishments. From its founding, Envision Utah has garnered the respect of business, politicians, and community leaders due to the leadership demonstrated by both the organization and the people overseeing it. A member of the state government observed: Why is it differ people involved, people that can get things done, and also people that have broad respect in the community. For these things to work, everybody as you know is so skeptical an angle and is trying to pull wool over their eyes. But if they see somebody on the leadership group that they ving the right people (confidential interview #4, July 2013).

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161 Stephen Holbrook and Robert Grow who has served as CUF Board Chair as well as d CEO all are well regarded by the community, and have each added their individual leadership to that of the organization to make it an even stronger presence within the community and open doors that might otherwise have been closed to a lesser known organ ization. As one private sector representative stated, Huntsman, [Michael] Leavitt being deliberately non confrontational is what convinced so ( confidential interview #10, July 20 13) Of the survey respondents who knew these leaders prior to their participation with Envision Utah, 80 percent stated that same when asked about Robert Grow. These three are credited with building strong relationships with stakeholders, continuing dialogue in times of stress, and developing great credibility within the community. Leadership, says and is clearly evident in this case. half of the interviewees called Robert Grow a visionary, or referred to his passion for the work o f the coalition (confidential interview s #s 1, 2, 5, 7, 8, 10, July 2013 ). Others referred ( confidential interview #8, July 2013 energy is what made this happen and he brought people along. He was just able to pull a coalition together to make this happen from one perspective, and then from the other perspective maintain it and keep it running said a local government representative (confidential interview #8, July 2013 ). A state government

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162 Robert is so passionate about the work that they are doing, but he also speaks with such authority. That combination has commanded the respect of the community, of deve lopers, of so many (confidential interview #7, July 2013). The leadership of these individuals is not the only demonstration of leadership within the message of E nvision Utah to the greater community, lending their own influence and perspectives to the process. It was anticipated that strong leadership in the coalition would encourage the building of trust amongst coalition members as well as the visibility of the coalition within the region, leading to greater buy in from participants and the community. The number of communities that have invited Envision Utah to lead or facilitate workshops, community meetings, and planning processes, and the number of residents that have participated in those projects, is Historical Context The final contextual factor is that of historical experience The historical experience that Envision Utah lies within has two significant manifestations. The first is the work that future in 1988 to identify ways to tackle the challenges of the recession, and recognition by that organization of the need to modify their original mission as the circumstances of the region changed speak to an awareness amongst the community that no sector, particularly the government, had the capacity to address those issues alone This demonstrates the willingness of community leaders to work together, and their understanding of the need for a collective action plan.

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163 The second and much deeper historical experience is that of the origins of Utah itself, and the central role that the Church played in settling the region. As discussed in the previous chapter, the very towns themselves are designed based on a plan endorsed by the Church in the mid 1800s. Not just focused on physical layout, this plan encouraged a close knit societ y where members of the community interacted and gathered together. A number of interviewees remarked on this societal history and its influence both on the Envision Utah process and on the community itself. d the settlement of the valley and everything about the church and its first 100 years there were some tenants of the church that so significantly shaped how people lived and how communities were formed Because i t is such a powerful institution and certainly religion and how it impacts lives and values in many ways works around long range planning it is very much at the core of the traditions of the confidential interview #2, July 2013). How to measu re the impact of that plan is a matter for another study, and may be truly intangible. It is impossible to deny, however, that it has influenced the awareness and perceptions of the residents of the region. There is a common culture found amongst those r esidents that is distinctly unique to Utah that harkens back to pioneer days. Interviewees pointed out the self sufficiency of early settlers, and how that enabled successful communities (confidential interview #2, July 2013). More than one interviewee p ointed out resulting in a strong sense of community, a tendency to talk to each other, to spend time in group settings, and to work together (confidential interview #s 6, 7, July 2013). As a local nonprofit leader stated:

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164 As for culture in Utah, perhaps because of the cultural traditions of the church, dissent and disagreement is often frowned upon or not encouraged, so in a lot of these meetings, people just seem to because everyone is getting along with each other. Also, perhaps this comes out of the church there is a feeling of going along with prevailing views. And that can be very very helpful, because if enough leaders, enough of those with authority are interested in and open minded to quality growth, then it can who question it ( confidential interview #6, July 2013). While there is no denying that the Chu a foundation for this common culture, we must be careful not to claim that the Church is The guys that did the values analysis said that the values were consistent regardl ess of religion, regardless of politics, regardless of economics, stated a state government official (confidential interview #4 July 2013). One question that arises is, are non LDS citizens of the region influenced by a set of common values found among LDS members? Do those values attract new residents to the region perhaps because they already hold those values themselves? It is likely that non Mormons are a ttracted to living in the region at least in part because they resonate with the family values that Mormons hold so deeply. It was expected that a common historical experience and a strong history of civic engagement would increase the likelihood of commu nity participation and contribute to a Wasatch region the incredibly strong cultural ties have clearly been a positive factor in The efforts in three regions: Central Florida/Orlando ; Greater San Diego, California ; and Fresno,

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165 California. These mini cases allow for a level of comparison between those case s and the Greater Wasatch region and provide a greater understanding of how regional coalitions are formed as well as further insight into the research questions.

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166 C HAPTER V II REGIONAL TYPOLOGY Introduction In 2004 the Denver based Alliance for Regional Stewardship (ARS) a nonprofit organization that fostered collaboration across sectors and political boundaries to advance economic, social and environmental progress in metropolitan regions and their communities launched the Regional Stewardship Awards. The Awards were established to recognize regions that had demonstrated effective and sustained cross jurisdictional and multi economy, livable community, social inclusio n, and collaborative governance. In order to receive an award, a region had to demonstrate success in building regional capacity, achieving tangible results, and demonstrating an ongoing commitment to addressing regional issues (Parr, Woodard and Carrier 2004). A cash prize was given to award winners, intended to be used to further regional efforts. Envision Utah was one of the first award winners in 2004, it won the Gold Regional Stewardship Award based on the numerous achievements realized in the Great er Wasatch region. The following three regional profiles Central Florida/Orlando, Greater San Diego, California, and Fresno, California were award winners. of these profiles include s a discussion of the issues facing the region as well as the efforts and the su ccess of the region in address ing those issues, including the construct of any regional coalitions or organizations While these profiles are not meant to serve as additional full case studies they allow for a level of comparison between the exper iences in these regions and that in the

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167 Greater Wasatch region, providing a greater understanding of how regional coalitions are formed and further insight into the research questions Each profile introduces the region both in terms of geography and demo graphics, describes the challenge(s) facing the region, outlines the process taken by the region including the construct of any regional coalitions or organizations, and concludes with achieved results. Each profile is followed by a table that summarize s the issues, existing institutions, process, and identifiable results in each region This chapter concludes with a efforts, as well as how the factors identif ied in the research methods chapter apply to the regional profiles. Regional Profile: Central Florida/Orlando The Central Florida region is comprised of Brevard, Lake, Orange, Polk, Seminole, Osceola and Volusia counties and includ es Orlando and 85 other cities It is a large and complex area with a diverse culture and a large ethnic population that includes Latinos, African Americans, Native Americans and Asian Americans. Fifty years ago, the Central Florida region had a population of 400,000. Today, t hat same region has over 3.2 million residents. It is expected that by 2050, the population will reach 7.2 million (Lauten, Brown and Hybl 2005; myregion.org 2003, 2012). Central Florida is ts, and by the Florida Turnpike. Orlando International is the 13th busiest airport in the nation. Growth in the region has reached the borders of large scale environmental corridors and assets ; including prairies and wetlands, large watersheds and estuarin e ecosystems, and over 120 miles of coastline. Higher education, health services, large corporate headquarters, business parks and distribution centers, tourism, and NASA/space operations are the primary

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168 industries. There is little use of public transport ation in central Florida, and no rail system (Lauten, Brown and Hybl 2005; myregion.org 2003, 2012) Figure 7 .1: Map of Central Florida (diymaps.net) been little cohesion between the public, private, and civic sectors, which has presented a barrier to building new relationships. The region has been promoted as a series of individual, decentralized, and self contained communities, rather than as a cohesive region ( Lauten, Brown and Hybl 2005; myregion.org 2003) Regional Challenges Regional leaders saw numerous failed attempts at large scale transportation planning, education funding, and community based initiatives in both the public and private sectors They c a

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169 private and civic sectors was a major contributing factor in many of those failed initiatives. As a result, the Orland o Regional Chamber of Commerce with a history of succ essfully convening local stakeholders to address critical issues began to examine why so many of these initiatives had failed, and whether there were any models at the state or national level that could be success fully implemented in the region (Lauten, Br own and Hybl 2005; S. Lauten, personal communication, June 27, 2011) The Orlando area is tourist destinations with 57 million visitors in 2013 support ing a significant service economy. One of the key areas that these regional lea ders chose to focus on was the importance of global competition and its impact on the success of businesses in Central Florida and that of the region itself. Additionally, they identified the need for community leaders to break down barriers between busin ess and government and rather than identifying as individual cities and towns, to market the region as a whole as a destination for business, entertai nment, and lifestyle (myregion.org 2003; Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011) Process : Phase I In 2001, to begin addressing these issues, the Orlando Regional Chamber in collaboration with local governments, businesses, and civic institutions created myregion.org a regional development program. It was designed to bring together business, st century global marketplace Realizing the importance of diversit y of thought and action, myregion.org was created in part to ensure that all constituencies would be invited to participate in addressing

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170 regional issues. 15 Early in the process w hat was then considered Phase I a series of community outreach meetings, acti vities workshops, public forums and presentations were conducted to maximize comm unity participation and input (myregion.org 2003; Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011) Central Florida Region to compete more founding, the goals of myregion.org were defined as: organizing and training regional leaders creating visual tools, maps, and diagrams providing graphic and statistical descriptions identifying key issues and opportunities developing widespread understanding of regionalism (myregion.org 2003; Lauten, Brown and Hybl 2005) Later in 2001, a partnership was formed between myreg ion.org and the state mandated East Central Florida Regional Planning Council. In 2002 an electronic newsletter and website held in the region through which 3,000 individuals were engaged (Lauten, Brown a nd Hybl 2005; S. Lauten, personal communication, June 27, 2011; myregion.org 2012) The first phase of the project was completed in July 2003 with the public debut of the Central Florida Regional Sourcebook : The New Regional Agenda The Sourcebook was intended to serve as an information resource that summarized the findings and 15 Current board members of myregion.org include representatives from the private sector, health industry, nonprofit and civic organizations, government, and higher education, among others. There is also a regional board of advisors, each focused within one of eight Economic Centers within the region.

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171 recommendations of over two thousand business, government and civic leaders representing thirteen urban and environmental systems. The Sourcebook was devel oped for use by public officials, business leaders and community based organizations, as well as planners, developers, and citizens as a g uide for future decision making Additionally, citizens and leaders identified six principles to guide future regiona l growth decisions, including preserving open space, providing multiple transportation choices, and encouraging a globally competitive economy (myregion.org 2003, 2012; Lauten, Brown and Hybl 2005) Phase II Based on the success of the first three year ph ase, the project leadership adopted a recommendation for a five year Phase II initiative that would include and govern the implementation strategies recommended in Phase I. It was felt that the organizational structure of myregion.org, including the balan ce of government, business, and institutional participation, had created an environment for discussion and debate of key issues conducive to colla boration and consensus building (Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011 ; myregion.org 2013) In 2005, myregion.org developed a regional indicators report, to establish a baseline from which future progress in the six priority areas established by myregion.org could be measured. The report helped quantify rogress towar 2005; myregion.org 2013) Between 2006 and 2007, an 18 intended to create a shared growth vision for the region, was conducted with nearly 20,00 0 Central Florida residents. Four key themes emerged from the campaign, demonstrating how

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172 the future of Central Florida could be different if future policies and practices are based on d corridors: Conservation: Countryside: Preserve countryside outside of centers. Centers: Promote growth in current city, town or village centers and encourage the development of additional population centers to counter the current pattern of sprawling development. Corridors: Connect centers with a balance of roads, light rail, streetcars and buses planned by county transportation planners cooperating regionally (Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011; myregion.org 2013) directors approved the organizational structure for Phase III. The scop e of work for Phase III included : Updating an d communicating the regional indicators Developing a repository of regional research and best practices in the six priority areas Convening a joint policy committee together with mayors and county chairs to develop regional policies environmentally sensitive lands and develop strategies for preservation

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173 Annually directing a Central Florida Regio nal Leadership Academy based around a key regional issue Developing and implementing action plans for the regional priorities as determ ined by the Board of Directors (Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011; myregion.o rg 2013) Outcomes and Impact s Numerous accomplishments have been realized by the efforts of myregion.org and its partners, including: Regional medical and research capabilities were expanded through the addition of The Burnham Institute, University of Ce ntral Florida Medical School, Nemours, and the Veterans Hospital. The Florida High Tech Coordinator Council (FHTCC) research participation expanded to include the University of Florida. In 2007, the Central Florida Comprehensive Economic Development Strat egy (CEDS) was created by the East Central Florida Regional Planning Council (ECFRPC), multiple Regional Economic Development Organizations (EDOs) and myregion.org. A regional Pre K to 20 educational strategy was developed to recognize excellent teachers o f math and science. Regional Districts have received grant money enabling the addition of new math and science competition teams students in all participating school districts. A regional environmental coalition was formed and key environmental assets ide ntified in Central Florida: Naturally Central Florida.

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174 The Central Florida School Board Coalition was created to address common needs and strategic planning for nine county school districts. The CFSBC includes a school board member from each participating district and all superintendents. The Congress of Regional Leaders was formed to champion the Regional Growth Vision and includes the Chairman (or representative) from each of the seven county commissions, a Mayor representing all the City Mayors in each county and two members of the Central Florida Public School Boards Coalition. Three counties have formed a Central Florida Regional Coalition on Homelessness. The Red Cross of Central Florida established the first regional Red Cross Chapter, consolidating the efforts of five separate chapters. Through HSWG, the Congress of Regional Leaders have begun establishing regional growth standards. Central Florida Partnership has formed a Transportation Corridors Task Force (TTF), a business led initiative to advoca te current and future regional multi modal transportation priorities. Four counties (Volusia, Seminole, Orange and Osceola) and one city (Orlando) unanimously approved 61 miles of commuter rail from Deltona to Poinciana (Lauten, Brown and Hybl 2005; S. La uten, personal communication, June 27, 2011; myregion.org 2013) Perhaps most significant success of consisted of bringing together stakeholders from all sectors and jurisdictions to discuss strategies for addressing regional issues (see Table 7.1 for a summary of t he issues, stakeholders process, results within the

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175 region) The current goals of myregion.org are not notably different from what they were at the outset: Organize and train regional leaders Conduct regional research to guide regional efforts Identify key issues and opportunities Nurture an understanding of regional collaboration Myregion.org has successfully opened up dialogue and aided in the formation of numerous stakeholder coalitions and committees who are dedicated to finding collaborative ways to address the issues facing the region (Lauten, Brown and Hybl 2005; S. Lauten, personal communication, June 27, 2011; myregion.org 2013)

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176 Table 7 .1 : Central Florid a Regional P rofile What challenge is/was the region faci ng? Expected population growth; lack of cohesion between jurisdictions and sectors to address growth and resulting challenges. Who identified the challenge as being an issue? Initially identified by the Orlando Regional Chamber of Commerce. Who played the role of convener (individu al, organization, coalition, other ) ? Orlando Regional Chamber of Commerce What existing organizations and institutions were there in the region? Orlando Chamber; the East Central Florida Regional Planning Council; and regiona l economic development organizations Who got involved in trying to tackle the issue? Education (including higher education); environmental coalitions; health care; nonprofit and civic organizations; the private sector What are the regional goals, and how were they identified? 1. Organize and train regional leaders 2. Conduct regional research to guide regional efforts 3. Identify key issues and opportunities 4. Nurture an understanding of regional collaboration Goals were defined by myregion.org together with partner organizations. What sectors are being engaged in the process of goal setting, as well as planning how to achieve those goals ? Who might be left out? The efforts of myregion.org are fairly inclusive they have worked to ensure participation by all sectors. What funding sources are available to enable the achievement of the regional goals? Funding for myregion.org initially came from the Orlando Regional Chamber of Commerce, as well as other investors (sixteen altogether, including government and b usiness). There are now numerous investors involved in the efforts, primarily from the private sector. What is the structure of the network/ coalition /partnership in the region ? Is there a formal organization responsible for leading efforts? If not, ho w are efforts being tracked and progress towards goals measured? A non profit organization myregion.org was created to coordinate the efforts of regional collaborators. The organization has a president, an executive board of advisors, and regional advisor s. Number and composition of members What is/are the measurable outcomes or impacts ? New forum for collaboration and cooperation across sectors and jurisdictions. New understanding of the importance and significance of regionalism. New partnerships form ed between economic development and regional planning organizations. New training and educational programs. Additional new coalitions formed to address specific topic areas (environment, education, homelessness, health care, etc.)

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177 Regional Profile : Greater San Diego cent sales tax that was used primarily to build new freeways and expand the trolley system to new parts of the region. The sales tax was set to expire in 2008. On N ovember 2, 2004 Proposition A a renewal of the sales tax to secure $14 billion for transportation and open space programs in the region passed with a two thirds margin The 2004 version of the Proposition A was significantly different from its predecesso r of two decades prior shifting the focus f rom new et al. 2005; SANDAG 2014). greatest promo ters of Proposition A was the San Diego Regional Economic Development Corporation (EDC), a non profit organization whose focus is strengthen ing mpete in the global marketplace and position ing the region as one of premier business location s core mission is to assist companies in locating or expanding and with solving problems while also focusing on issues of regional competitiveness, through a CEO driven issue agenda that supports the growth and expansio n of high wage, high growth industries in the San Diego region (Bruvold, et al. 2005; EDC 2013) Regional Challenges T he San Diego region (Figure 7.2) as a whole has undergone significant changes with regards to its economy and growth. Formerly driven by economy has diversified, with biotechnology and wireless communications serving as core industries. Growth in San Diego has also taken a new turn, with the focus shifting inward to tward expansion and increasingly large master planned communities (Bruvold, et al. 2005; EDC 2013).

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17 8 Figure 7 .2: Map of San Diego (diymaps.net) These changes, among others, have resulted in numerous new challenges and have called for new ways of thinking about the economy, the environment, and quality of life. An example of such was a collaborative effort between environmental and development interests to create a multiple species habitat conservation plan, which among other things designated 300,000 acr es of habitat and habitat corridors. As part of this collaborative effort, attention was drawn to ever increasing sprawl and its impact on the environment (Bruvold, et al. 2005; San Diego Planning 2015). In 2002, the EDC identified the opportunities prese nted by the renewal of TransNet. Members of the board (including representatives from the private sector, health care, higher education, and local government) began exploring whether the parameters of the measure could shift transportation policy to bette r address the needs of the region under the new

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179 economic model. Lastly, they investigated whether there were shifts that could be made in implementing the ordinance to support smarter growth and move toward a closer alignment of transportation investments and infill development (Bruvold, et al. 2005; EDC 2013; SANDAG 2014 ) Process It quickly became clear to the EDC that the business community could not and should not attempt to address these issues themselves. They expanded the leadership group to includ e representatives from both government and environmental interests. T hey also realized that in order to accomplish their goals, they would need to bring numerous stakeholders to consensus on the effort and then partner with those stakeholders to reach ou t to the greater community. In California, a two thirds vote is necessary to pass a measure such as this, and without new coalitions and partnerships that crossed geographic, partisan and economic boundaries, they knew this effort would fail They engag ed with numerous civic entrepreneurs across the region, many of whom sat on multiple boards and thus could keep aspects of the dialogue coordinated while allowing a wide range of voices and opinions to be heard. Several dialogues were established, all wor king to explore how the renewal of the sales tax could improve the region. A number of committees were formed to explore different aspects of the initiative, including infrastructure and transportation as well as quality of life. Sub groups were formed i n different geographic portions of the region. Another group explored fiscal and financial safeguards. Each of these committees worked to explore common interests, but also to identify those community actors who were willing or not to work together and compromise. Over the course of a year, they were allowed to work at their own pace and use their own methods, with the leaders of EDC and their

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180 partners guiding the effort (Table 7.2 at the end of this section summarizes the stakehold ers involved in the coalition) (Bruvold, et al. 2005) ED C recognized that competitive interest groups would need to be encouraged to work together to address these common issues. Using public opinion polling and data, they were able to demonstrate that t aking advantage of a presidential election year and the fact that they were working towards the renewal of an existing tax (rather than introducing a new one) made 2004 a critical year for accomplish ing their goals. By introducing a sense of immediacy and ensuring that major issues were addressed they were able to encourage a number of parties to work together and move past minor points of disagreement (Bruvold, et al. 2005) ion relief was high on the priority list for many residents By modeling two scenarios, they were able to demonstrate what congestion would look like in the region in 2030, if Proposition A was or was not passed. EDC also used public workshops to gather information from citizens. Through these worksho ps, they learned that community members were interested in moving general purpose lanes. Citizens also expressed interest in improved mass transit services (Bruvold, et al. 2005; Marks 2004) A s the work of the EDC and its strategic partners continued, they were able to identify key points of consensus, including: 1. No new highways would be built with the proceeds generated by t he renewed tax only expansion of existing highways. 2. The bulk of the highway money would be spent on managed lanes.

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181 3. Mass transit investments would need to be flexible, and the focus would shift from light rail projects to rapid bus transit systems. 4. Money th at would go for the environmental mitigation of the new transportation system would be pooled and put towards funding the maintenance and monitoring of the regional habitat system. 5. The environmental investment would in turn allow the transportation system to be delivery. 6. Mass transit spending would be shifted, providing more money for operations and a smaller percentage for capital spending (Bruvold, et al. 2005) Using these areas of consensus as a focal point, leaders brought the multiple and began working on the political campaign and raise $3 million in funding. Business, environmen tal, labor, and community leaders were represented and efforts were made to ensure ethnic diversity and the involvement of leaders with ties to the around campaign strategy implementation (Bruvold, et al. 2005; Ristine 2004). The EDC recognized the need to recruit new stakeholders. In this, they also recognized the importance of engaging those who may not otherwise have been proponents of Proposition A. Various regional leaders felt that Proposition A was simply an extension of the existing program. To counter this, the EDC demon strated how the region had changed, and that the problems they faced were very different than they were two decades earlier. They also showed how, while the original 1987 measure was transportation centric and had

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182 been developed in a top down process by a few political leaders, the new Proposition A had an expanded focus, and was the result of collaboration amongst numerous stakeholders (Bruvold, et al. 2005) Outcomes and Impact The efforts of the EDC were aided by the fact that they had a very tangible goal either winning or losing in the 2004 election. The EDC has since stated that if they had attempted to focus on other objectives, or had not had a fixed date by which they had to accomplish their goals, the coalition may not have held together. Havin g specific goals, both for fundraising and coalition building, allowed them to hold both individual members and organizations accountable. At the same time, members of the coalition found that a number of unexpected objectives and benefits arose from the e fforts to renew Proposition A. First, leaders of the regional association of governments and key civic representatives formed a closer relationship than had previously existed. SANDAG, comprised of representatives from the municipal governments in the re gion, was often seen as a group of individuals focused on the parochial concerns of their particular jurisdictions. Through the work around Proposition A, civic entrepreneurs gained a greater appreciation for the priority that SANDAG leaders placed on reg ionalism and regional issues, even when that came at the expense of their individual jurisdictions. SANDAG leaders, meanwhile, gained a greater understanding of the leadership groups that existed outside of their jurisdictions and the areas of collaborati on that (Bruvold, et al. 2005) Additionally, the process of renewing Proposition A helped to break down barriers between the environmental and development communities two factions that, due to San

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183 s dual legacy of greenfield development and concerns regarding environmental protection, would not typically work together. While some players that could have contributed significant leadership and power such as the Sierra Club did not join the efforts, t he partnership between the Endangered Habitats League, the Alliance for Habitat Preservation, local government, and the business community was critically important. It helped underscore that policy disputes did not always have to be zero sum battles, whil e breaking down barriers of distrust (Bruvold, et al. 2005; Edwards 2004). The Proposition A effort helped create a more positive environment for regional change. A new group of community leaders emerged from the effort, including civic entrepreneurs who took on new responsibilities and leadership. Additionally, new mechanisms were established to help sustain change. A new Independent Citizens Oversight Committee (ICOC) was charged with providing independent analysis of regional transportation plans and implementation efforts; the ICOC was given financial resources allowing it to hire staff and contract for outside expertise. The ICOC was formed with the hope that it would provide a method for private sector entrepreneurs to become engaged in regional di scussions about growth, infrastructure and transportation planning, as well as provide a means for individuals outside the regional planning agency to engage and gain valuable insight about these complex issues (Bruvold, et al. 2005; SANDAG 2005). The EDC took advantage of the momentum that came from the passage of Proposition A to take on additional regional challenges, including infrastructure rehabilitation, housing, and environmental issues work that they continue today (Bruvold, et al. 2005; EDC 2013)

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184 Table 7 .2 : San Diego Regional P rofile What challenge is/was the region facing? Initially the region was focused on addressing transportation issues. Later their efforts expanded to address environmental concerns as well. Who identified the challenge as being an issue? The San Diego Regional Economic Development Corporation Who played the role of convener (individual, organization, coalition, other ) ? The San Diego Regional Economic Development Corporation What existing organizations and institutions were there in the region? The San Diego EDC, local government, environmental organizations, and the San Diego Association of Governments (SANDAG), which Who got involved in trying to t ackle the issue? San Diego EDC; SANDAG; local government, environmental organizations, business, local civic organizations What are the regional goals, and how were they identified? To renew a half cent sales tax, and move the use of that sales tax away issues and environmental concerns. What sectors are being engaged in the process of goal setting, as well as planning how to achieve those goals ? Who might be left out? The board of the EDC is primarily business, though it does include representatives from health care, higher education, local government, environmental coalitions, and developers. There does not appear to have been much involvement of smaller civic organizations representing neighborhood concerns or minority populations. It is unclear to what extent health care or higher education was involved. What funding sources are available to enable the achievement of the regional goals? The EDC raised $3 million in funding to carry o ut the political campaign and raise awareness among the community about the issue. What is the structure of the network/ coalition /partnership in the region ? Is there a formal organization responsible for leading efforts? If not, how are efforts being tracked and progress towards goals measured? The efforts to renew the sales tax were led by the EDC. The organization has a president and staff, along with a board of directors. What is/are the measurable outcomes or impacts ? Proposition A was passed ( sales tax renewed) in November 2004.

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185 Regional Profile : Fresno / San Joaquin Valley Fresno County, located in the San Joaquin Valley of California (Figure 7.3) lies 180 diverse one, including a large, migrant Spanish speaking segment as well as a significant number of refugees from Southeast Asia and other parts of the world. Mor e than 100 languages are spoken in the public schools. Fresno is one of the richest agricultural regions in the world. A t the same time, it is one of the poorest and most economically distressed regions in the United States. Plagued by chronic, double d igit unemployment and low educational attainment, there are a myri ad of social ills, including teen pregnancy, drug/alcohol addiction, crime, and domestic viol ence (U.S. Census Bureau 2010b; CRI 2004; Fresno Business Council 2013) Figure 7 .3: Map of Fr esno County (diymaps.net)

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186 Regional Challenges In the early 1990s, many measures of socioeconomic conditions fell well below state and national averages. Juvenile crime was escalating out of control, high levels of unemployment had become chronic, electe d officials were ill equipped to meet the challenges of a maturing community and children were leaving the educational system unprepared for the workforce. The civic sector was moribund ; leadership fragmented and single interest driven (CRI 2004; D. Nanki vell, personal communication, January 6, 2010) worked in isolation. There were many positional leaders; some doing a terrific job within their single area of experti se, but none seemed able or inclined to shoulder the responsibility for the community as a whole. In other cases, those in critical leadership roles lacked the skill or wisdom to lead. The Fresno area was not that different from other communities in that respect; however, racial and cultural diversity coupled with high levels of chronic poverty exacerbated the situation. Factions blamed one another and competed for diminishing resources. Large sums of money chased after symptoms, but no one stepped back to develop a master communication, January 6, 2010). In 1993, a handful of business leaders decided they had to do something about the deteriorating social and economic conditions in their community and formed the Fresno The eight founders of the FBC vowed to do something, pulled resources together and set out to find a way to create a positive futu re for their community (CRI 2004; D. Nankivell, personal communication, January 6, 2010)

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187 The early years were spent building relationships. Through standing committees, outreach efforts and extensive research, the members built bridges between sectors and organizations and developed insight into the root causes that led to the weak economy and growing social problems. The first years of the FBC were focused on building a civic infrastructure and self education. On a regular basis, the organization re visited its mission and actions. Initially, casting a vision, raising standards for behavior and delving deeply into complex problems were the necessary focus. Specific projects, most often in partnerships with others, also marked the early years. Today the Fresno Business Council is made up of 120 leaders from business and higher education (CRI 2004; D. Nankivell, personal communication, January 6, 2010; Fresno Business Council 2013) Great Valley Center support activities and organizations that promote the economic, social and environmental well issued a (Henton 2002 ; Great Valley Center 2011 ). The report predicted that the Valley would continue to expand by population and cost driven economic growth, resulting in a so mapped out a strategy to fundamentally chan (Henton 2000; CRI 2004) Doug Henton author of the report Appalachia and the Third World (D. Henton, personal communication, January 7, 2010). The Great social ills of the region, there was no civic infrastructure. People inherited their leadership po sitions because of what family they were part of (D. Henton, personal communication,

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188 January 7, 2010; CRI 2004) The Fresno Business Council embraced the report, and formed a leadership team to determine how to implement the best ideas outlined within it. From this effort grew the first joint venture between the Business Council and California State University, Fresno the Fresno Area Collaborative Regional Initiative (CRI 2004; California Center for Regional Leadership 2004 ; Lampe, Parr and Woodard 2004). Together, the presidents of the FBC (Ken Newby) and Fresno State (John Welty) level thinking and a commitment to st ewardship (Lampe, Parr and Woodard 2004). These individuals included the direc tor of the Office of Community and Economic Development at Fresno State, the executive editor of the Fresno Bee political leaders, and representatives from the technology they were screened for in tellect, (D. Nankivell, personal communication, January 6, 2010). As a team, these individuals met weekly for four months to explore the issues and ideas of the report. The CRI decided to focus its efforts on five areas that they felt were most critical to the transformation of their region: Primary literacy Creating a climate of innovation Building superior technology infrastructure Improving the effectiveness of public and non profit human services systems Collaborative, lo ng range land use and transportation planning (CRI 2004). To address these issues, the founders crafted the five initiatives of the CRI, which have become the operating guidelines for the CRI: Creation of an Innovative Culture

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189 Human Investment: Effectiveness in the Human Services and Non Profit Sectors Land Use and Transportation Preparation of the "Knowledge Worker" Technology Infrastructure (CRI 2004). In an inaugural retreat held in 2001, the CRI brought together over a hundred people based up on expertise and commitment to stewardship to map strategies to address these issue areas. Champions were recruited to lead the initiatives, and were given the opportunity to recruit their own teams based upon subject matter expertise (CRI 2004; Lampe, Pa rr and Woodard 2004) Rather than build a formal organization, the community created a highly onally done out of the spotlight. There was a lot of ground to cover quickly, and the community had a long history crisis; it was chronic systemic dysfunction (CRI 2004 ). In November 2001, the FBC adopted the Community Values of the Fresno Region. These values include stewardship, boundary crossing and collaboration, and commitment to resolving conflict, among others (there are ten Community Values altogether) (CRI 200 4; Fresno Business Council 2013) The CRI developed a community action plan, with 22 measurable outcomes for year one. Of those, 19 were completed on schedule. Twenty six projects were identified, each with the intent of raising awareness, engaging citiz ens, and creating and strengthening networks and partnerships. Nearly all were completed by the CRI, or embedded within the Regional Jobs Initiative (CRI 2004). One such project was the New Valley Times. In 2004, a special section of the Fresno Bee titl ed The New Valley Times was published, asking the

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190 residents. The publication provided a futuristic vision set in the year 2015 and offered a realistic set of goals f or an improved community. It boasted an involved citizenry whose collaborative efforts and commitment to community values made a difference on every front the C RI formally made an entrance onto the public stage. By that time, the CRI had active partners across and through every sector (CRI 2004) In 2003, Fresno mayor Alan Autry asked his economic advisors to evaluate the city budget. The resulting report found among other things, that if more jobs were not created, law enforcement would eventually consume the entire general fund. The report recommended the creation of a job creation strategy Building off the network of the CRI, the Regional Jobs Initiative (RJI) was launched in 2004 with the goal of 30,000 net new jobs in five years. The RJI was officially as an at will public private partnership aimed at one that could better withstand natural ec onomic downturns and take advantage of seasons of economic expansion. The RJI was initially intended to be a five year, multi faceted effort to diversify the economy and strengthen the business sector in the Fresno Clovis Metro area. However, the impact and success of the program prompted leaders to continue the efforts (CRI 2004; Fresno Business Council 2003). The RJI is now based on the idea that regional economies are made up of a series of related industries, or clusters, that benefit one another. Si nce its inception, 12 industry clusters including information technology, health care, software development, and tourism have been formed with significant backing from industry leaders, supporting public

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191 agencies, and other partners. The Office of Communi ty and Economic Development at California State University, Fresno, and key staff loaned from participating organizations coordinated leadership for the RJI coalition (CRI 2004; Fresno Business Council 2003) The RJI is a collaborative of a number of insti tutions, non profits, private citizens and elected leaders in Fresno County. It is not a legal entity and has no formal jurisdiction or authority. However, two bodies have been formed to provide the leadership, support and accountability needed for succe ssful implementation: the RJI Leadership Council and the RJI Implementation Task Force. The Leadership Council, comprised of elected leaders and heads of partner institutions, provides oversight and guidance. The Implementation Task Force, made up of i nd ustry cluster leaders, community task force leaders, and representatives from partner agencies, is responsible for ongoing support and monitoring of the initiative. Funding has come from the private sector, cost savings from improved government efficienci es, and new streams of funding from state and federal government or private foundations. To date, the Fresno County Workforce Investment Board, California State University, Fresno, the Fresno Business Council and the City of Fresno have invested funds int o the day to day coordination of the RJI (CRI 2004; Fresno Business Council 2003) Those involved in the RJI soon realized that without strong education institutions and effective workforce preparation organizations, the RJI could not achieve sustainable success. Again, building upon the networks created by the CRI, the Business Council and representatives from other organizations worked together to craft the Choosing Our Future report, a plan to address critical issues inside Fresno Unified School District and the neighborhoods and systems that surround it. The implementation of this p lan began in 2005

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192 and those involved pledged at least a three year commitment (CRI 2004; Fresno Business Council 2003, 2005). Another initiative realized through the collaborative work of the CRI is the California Partnership for the San Joaquin Valley (th e Partnership) Set in motion by an executive order from Governor Schwarzenegger in June 2005, the Partnership is a public private partnership addressing the chal lenges of the region by implementing measurable actions on six major (CRI 2004; CPSJV 2015). There have been and continue to be numerous other initiatives address ing issues such as health care, crime, and the environment. The impact of these initiatives can be concretely measured through a number of indicators. Academic achievement is increasing, economic indicators improving, and crime rate dropping. New partne rships and projects have begun addressing infrastructure issues, including the development of a land use vision. Force, Great Valley Center, Department of Energy, C ity of Fresno and RJI is working to improve energy efficiency, costs and access to alternative energies in the Valley; and to reduce pollutants. Five universities and community colleges in the area have begun aligning curriculum to serve employer and comm unity needs. Through the efforts of the California Partnership for the San Joaquin Valley, the region has seen increased competitiveness for state and federal funding, totaling over $2 billion (see Table 7.3 for a summary of the issues facing the region, along with partnering stakeholders and identifiable results ) (CRI 2004; D. Nankivell, personal communication, January 6, 2010).

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193 Outcomes and Impact Perhaps more significant than any organizational changes in the region is the shift in perspective among res idents and the transformation of how regional issues are addressed. The Fresno Area CRI has broken through long standing economic and ethnic divides in the San Joaquin Valley. Publication of a special section in the Fresno Bee unprecedented public outre ach, and the articulation of a set of community values have led to vastly improved empowerment and participation among citizens. Business leaders and low income advocates have found common ground in strategies to empower individuals, neighborhoods and the overall community (CRI 2004) Today, largely due to changed attitudes called for by the Community Values, the community is rising above chronic challenges. The Values have been incorporated into planning documents and adopted by organizations. The preci ous commodity for community action social capital is increasing rapidly. The entrepreneurial approach has become the new culture. The new model for solving problems recruiting task forces based upon skill sets and commitment to values has become the new way of doing things. Fresno State, the Business Council, State Center Community College, the Workforce Investment Board, Fresno Unified School District, and the Economic Development Corporation have all begun to align their work to fit within the framewor k of the collaborative efforts (CRI 2004; Fresno Business Council 2013) There has also been the emergence of a new operating culture based upon the Community Values, which have become a new norm for civic participation. An increasing number of organizat ions have adopted the Values and used them as a foundation for their

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194 a backlit display at the Fresno International Airport to reach a broader audience. Over a dozen organizations have endorsed the values as a new contract for behavior in the civic sector. Every new project pursued by the Business Council uses them as a starting point (CRI 2004; D. Nankivell, personal communication, January 6, 2010; Fresno Busi ness Council 2013) While there remains much to do to shift regional social and economic indicators, over the past decade residents have created a new operating system to address community challenges and a platform for collaborative institutions, organiz ations and individuals to succeed over the long term There are no short cuts to building authentic relationships and authentic relationships are an essential ingredient of stewardship. Social capital is the key to personal communication, January 6, 2010).

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195 Table 7 .3: Fresno/San Joaquin Valley R egional P rofile What challenge is/was the region facing? Primarily economic, though other social issues presented challenges Who identified the challenge as being an issue? Fresno Business Council initially, then in partnership with Fresno State. Report by Great Valley Center / Collaborative Economics brought issues into limelight. Who played the role of convener (individual, organization, coalition, other ) ? Initiall y the newly founded Fresno Business Council; they then partnered with California State University, Fresno What existing organizations and institutions were there in the region? None initially. Fresno Business Council formed in 1993. Who got involved i n trying to tackle the issue? Initial core group was business (including technology firms) and education; also included journalism, medicine, and government. Group grew to include nonprofits / philanthropy and others. What are the regional goals, and ho w were they identified? Initial goals, defined by Collaborative Regional Initiative, included increased literacy, creating a climate of innovation, building a superior technology infrastructure, improving the effectiveness of public and non profit human se rvices systems, and collaborative, long range land use and transportation planning. Additional action plans and goals since defined by various networks, depending on focus. What sectors are being engaged in the process of goal setting, as well as planning how to achieve those goals ? Who might be left out? Education, business and labor, government, nonprofits and faith based organizations and philanthropic entities currently engaged. Some question as to involvement of minority / citizen groups. Medicine seems to be missing as a sector. What funding sources are available to enable the achievement of the regional goals? Many of the organizations currently involved are nonprofits. Part of their efforts has been the sol icitation of foundation and corporate grants and gifts from individual donors. What is the structure of the network/ coalition /partnership in the region ? Is there a formal organization responsible for leading efforts? If not, how are efforts being track ed and progress towards goals measured? Collaborative efforts taken on by numerous overlapping networks and partnerships. A number of individuals representing various sectors lead / chair those networks. What is/are the measurable outcomes or impacts ? Ne w jobs, increasing academic achievement, improved economic indicators, lower crime rate. Shift in perspective among community leaders; increased collaboration; new ways of addressing challenges. Regional Typology Table 7 .4 provides a summary of the three regions profiled here, as well as the Greater Wasatch region. Included in the table are the challenges facing each region, the efforts.

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196 Summary The above regional profiles provide further understanding of the analytic dimensions that were explored in the previous chapter Each profile serves as an example of a regional governance structure that developed with the intent of addressing growth issues in the region. Those issues differ by region, from a narrower focus on economic development to large scale, comprehensive growth response concerns. These cases provide valuable insight into the relevance of the factors outlined in Chapter 4 T he analysis here focuse s on those factors that are most critical to understanding the Envision Utah case study particularly, the civic capital factors of inclusiveness of the regional coalition, leadership, and historical context, as well as the pre e xistence of regional networks and government involvement. While each of these factors can be measured to a certain degree in each of these cases, the data presented through this analysis indicate that they do not exist to the same extent that they do in t he case of Envision Utah.

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199 Whi le population growth was an underlying factor in the efforts of each of these regions, in none of them was it the central focus of the coalition or the efforts that took place. Instead, growth was a contributor t o the issue(s) that each region focused on. In Orlando, they recognized that growth was behind many of the problems the region faced; however, the Diego, growth di rectly contributed to the increasing problems of transportation and environmental conservation. In Fresno, growth of a highly diverse community led to a decline in social and economic conditions. The efforts of each region did include dialogue about grow th, but unlike Envision Utah, none made growth management the rallying dilemma around which they organized. Civic Capital The following three factors were identified by Nelles (2009) as key indicators of civic capital. These factors were used to explore t he existence or development of civic capital within each region. Inclusiveness of Regional Coalition In these three cases, a number of organizations and individuals became involved in regional efforts, with varying levels of inclusivity (see Table 7.5, efforts were concentrated within the economic development corporation, government, and environmental sectors. Central Florida and Fresno were the most inclusive both engaged representatives from business, education, health, and other

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200 Table 7 .5 : Sectors and A ctors R epresented in R egional C oalitions Central Florida Greater San Diego Fresno / San Joaquin Valley Local Government : County commissioners, city mayors, regional planning council Business: Chambers of commerce, utility company, consulting firms, local associations, technology firms, construction firms Non profits: Economic development councils, civic organizations, environmental organizations Education: University of Central Florida, Florida Institute of Technology Local Government : San Diego Association of Governments Business : Pharmaceutical and technology firms, other local businesses Non profit s: San Diego Regional Economic Development Council, San Diego Endangered Habitats League Alliance for Habitat Preservation Education: University of California San Diego Local Government : Fresno County, City of Fresno, City of Clovis, Fresno Regional Wo rkforce Investment Board Business: Fresno Chamber of Commerce, local businesses Non profits: Fresno Business Council, Great Valley Center, American Farmland Trust Building Industry Association of Fresno/Madera Counties Fresno County Farm Bureau Educati on: California State University Fresno, State Center Community College Fresno Unified School District Media: Fresno Bee Leadership As highlighted in the discussion of civic capital in Chapter 4, the presence of strong leadership whether in the form of is critical to the success of regional governance. In the cases summarized here, leadership existed in varying degrees. In Central Florida, the Orlando Regional Chamber in collaboration with other or ganizations and agencies in the region formed a coalition focused on regional development. In San Diego, seven individuals from the private, public, and nonprofit sectors partnered to lead efforts to address transportation and environmental issues, while in Fresno representatives from the Fresno Business Council and Fresno State collaborated to tackle economic competitiveness. In none of these cases was there an exceptional leadership factor instead, the regions relied primarily on committees and organiza tional alliances to lead.

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201 Historical Context While each of these regions has a rich and unique history, in none of the cases did that history include a strong tradition of civic engagement and interaction. The population of each of these regions is hig hly diverse, with a correspondingly diverse set of values. As Nelles states, historical experience can serve as a gauge of regional support for collaborative projects (Nelles 2009, 95). The historical experience of the citizens varies widely within each community, adding substantial complexity to public engagement. That is not to say that any of these regional efforts were spontaneous events each grew out of dialogue transpiring within existing organizations and amongst community leaders but civic engage ment and interaction, where it did take place, had to be introduced and fostered by those leaders. While civic capital exists to some degree in each of these regions, in none of them is it as strong as was seen in the Greater Wasatch region of Utah. Civ ic engagement, leadership, and shared values and perceptions of the region exist at some level within each region; however, each of those elements had to be cultivated by coalition leaders, rather than being fundamental characteristics of the region upon w hich to build. The presence or lack of civic capital draws attention to the effectiveness of the regional coalitions. Each of easily measureable the successful p goal. In Orlando and Fresno, the initial goals of educating the community and drawing attention to the need for regional thinking were achieved. Second phase goals were also achieved in each region, b ut it is more difficult to directly attribute these outcomes with the work of the coalitions.

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202 Pre existing Regional Networks In each of the regions profiled, there was a pre existing network or organization that led the efforts within the region, or coll aborated with other individuals and organizations to do so. In Fresno, multiple organizations including the Fresno Business Council and the Great Valley Center were already established. In Orlando, that organization was the regional chamber of commerce; in San Diego it was the regional economic development organization. These organizations and networks each reached out to other leaders and organizations within the community to build a coalition for the purposes of addressing pressing issues. Government I nvolvement Each region involved local government, though in the case of Central Florida that involvement was limited to the inclusion of the regional planning council. In none of these cases did government involvement extend to state representation. A ke y commonality between these cases is that government did not lead the efforts in any of these regions; their involvement was reactive rather than proactive. Historic Institutionalism According to Ghitter and Smart (2009), understanding the outcomes of any regional process is augmented when those outcomes are considered within the context of historical decisions and events. Those decisions lead to socio spatial relations that are uniquely specific to that region. In each of the cases presented here, infor mal historic institutions within the region play a role in decision making and policy implementation, and whether the as a fragmented region, with little cohes ion across sectors and a history of failed attempts at planning; a shift has been seen to greater collaboration and dialogue as well as a n ew

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203 understanding of the importance and significance of regionalism In San Diego, the transportation sales tax Propo sition A was successfully renewed, and greater cooperation was fostered between development, local government, and environmental conservation groups. Fresno has experienced the creation of new jobs and improved economic indicators, as well as a shift in p erspective amongst community leaders as well as increased collaboration to address regional challenges. Each of these outcomes is a result of incremental modifications to policies and institutions within the region. Historic institutionalism can be appli ed to understand how organizations emerge and evolve over time. In each of the three cases here, the coalitions originated with a single organization focused on business and economic opportunity; in all three cases, those organizations developed networks to focus on and bring attention to issues facing the region. future. In none of these three cases was a new formal organization formed; instead, they each chose to m aintain informal ad hoc coalitions and rely on the strength of the network to achieve goals. In each case, the coalitions have disbanded; in San Diego as efforts of the Regional Economic Development Corporation shifted to new issue areas the coalition evolved as well. In Orlando and Fresno, the organized efforts of the coalitions has ceased, though the goals identified by the community continue to be pursued to varying degrees by organizations and netw orks within the region and the coalitions themselves have endured with some changes in participation

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204 CHAPTER VIII C ONCLUSION Introduction As regions grow, they are faced with increasing demands on their resources and across all sectors from the environ ment to health, from transportation to education. While some regions chose to resolve these issues on an individual basis, or rely on government or sector specific organizations to come up with solutions, many regions are taking comprehensive, collaborati ve approaches to address the challenges they face. This thesis focused on the effectiveness of one regional governance model Envision Utah and that revisits the research questions first p osed in the introduction, explores the policy implications arising from the research, discusses the limitations of the study, and suggests areas for future research Research Questions This dissertation built on existing research on regional governance and coalition building to demonstrate how growth management has been addressed at the regional scale. The research questions this study was based upon were : 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth? 2. What resources do those coalitions draw upon to initiate action? 3. How do regional coalitions successfully transition from initial formation to planning to execution? 4. How do regional coalitions foc used on growth management measure success?

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205 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? One assumption underlying this research was that regions that are able to construct robust regional growth initiatives do so by building upon existing institutions, including networks and civic capital that are specific and unique to the region. Without pre existing structures that serve as a foundation for cooperation and p artnership, it was expected that it would be significantly more difficult to gain public trust and to foster participation and collaboration among community leaders and organizations. This study also presumed that established institutions, as well as the emergence of regional growth coalitions, are supported by the civic capital of a region. Civic capital is in part demonstrated by high levels of trust amongst stakeholders and a willingness by those stakeholders to participate in the coalition and engage in regional efforts; these are backed by strong leadership and a shared vision for the region which are both critical to the success of regional growth initiatives 1. What factors lead to the formation of new regional coalitions, particularly for the purpose of managing growth? In 2002, the Lincoln Institute of Land Policy released a study on ad hoc regionalism (Porter and Wallis 2002). According to the authors, ad hoc characterized as spontaneous, its methods often bringing together different methods of action and interest groups in new ways that seek to cut through traditional hierarchies and reach llis 2002, 4). Ad hoc regionalism increases the number and variety of participants involved in addressing regional concerns, to build greater support for regional actions.

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206 In their study, Porter and Wallis explored various aspects of ad hoc regional initi atives, including driving or motivating forces. M otivating force s result in the formation of ad hoc regionalism. The authors found that there are three categories of motivating forces: a response to an immediate crisis, a reaction to a perceived threat or capturing a competitive opportunity (Porter and Wallis 2002), with the second being the most typical. In the case of Envision Utah, the second and third motivating forces appear to have played a role in the creation of the initial coalition in the 1980s and the subsequent evolutions of that coalition. Regional stakeholders concerned about the future of the region formed Project 2000 coalition in re sponse to the deep recession facing the state. Envision Utah itself was formed specifically to address quality of life issues stemming from the expected population growth in the region. Within the mini cases presented in Chapter 7, one if not both of the se same two motivating forces were responsible for the creation of the regional coalitions In Orlando, capturing a competitive opportunity was the motivating force, with stakeholders focusing on the importance of global competition. In San Diego, all th ree forces were present they drew upon both an immediate need facing the region, as well as a new focus on economic competitiveness and quality of life. In Fresno, it was a crisis of quality of life and opportunities for citizens that motivated leaders. I n none of these three regions were new, formal organizations formed. In Orlando, myregion.org grew out of the Orlando Regional Chamber. In San Diego, the Regional Economic Development Corporation led the initial efforts; in Fresno, the Fresno Business

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207 Co uncil partnered with other organizations to pursue their goals. In each of these cases, networks were developed amongst individuals and organizations across sectors. The analysis of Envision Utah as well as the mini studies strongly indicate that successf ul regional coalitions emerge from pre existing institutions, both formal and informal and that civic capital plays a large role in the success of these coalitions In each of th e regional profiles in Chapter 7 there was a pre existing network or organi zation that led the efforts within the region, or collaborated with other institutions and individuals to do so. While there was an existing coalition in Salt Lake City, the data from the Envision Utah case seems to indicate that the presence of such a co alition or institution was not necessarily critical to the formation of a new coalition indeed, in that case, many of the individuals who formed the Envision Utah partnership were not part of any cohesive network prior to its formation. Instead, the forma tion of voluntary coalitions seem s to rely more upon the informal institutions of a region, and on the development of trust and inclusive engagement. In the case of Envision Utah, both formal and informal organizations have had considerable impact on the s uccessful building of the regional coalition and its effectiveness in growth management. A sequence of formal organizations Project 2000, followed by the led to the creation on Envision Utah. While these organizations do not s and intentions of Envision Utah. Those previous organizations gave Envisio n Utah a foundation on which to build. It is the informal mechanisms a combination of shared values, trust, and a culture of collaboration that truly made the Envision Utah process feasible. Citizens and community

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208 leaders found that while their individu al interests might differ slightly, when it came to long range planning, they all had similar if not identical goals. Additionally, the region has a historical tradition of high trust and cooperation. The leadership of Envision Utah was able to harness t hose characteristics whether or not they did so consciously to bring stakeholders into the conversation. By employing these informal institutions, the coalition was able to engage regional leaders and the communities in a manner that facilitated a shift i n perceptions around growth issues and encouraged the exploration of new approaches to growth management. The significant changes seen in the region from the introduction of light rail, to re envisioned general plans, to changes in housing type and densit y are all concrete examples of the role these institutions played in the transformation of growth management approaches. 2. What resources do those coalitions draw upon to initiate action ? In the previously mentioned report on ad hoc regionalism, authors Port er and Wallis (2002) found that five forms of capacity are necessary for ad hoc regional efforts to preserve or improve quality of life in a region, grounded in two points in the development of such then capacity to achieve substantive and be refined and implemen identify as essential for success are leadership, institutional, fiscal, technical, and civic capacity The case study presented in Chapter 5 shows that each of these forms of capacity wer e present in the Greater Wasatch region either at the time that Envision Utah was formed,

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209 or that the organization was able to foster these capacities through their efforts. Most significantly, however, the analysis demonstrates that civic engagement, lea dership, culture, and trust are each critical for successful regional governance. Civic engagement can be seen in the high levels of citizen participation in numerous workshops and visioning processes. Trust and respect was established early on in the pr ocess, and the leadership of Envision Utah has worked to maintain that trust. This has facilitated an open dialogue about regional goals, ultimately resulting in the development of the growth scenario and toolkit. This study also reinforced the idea tha t the presence of a leader a visionary with a (Nelles 2012, 61) A region needs a champion one who gains the respect of other leaders across sectors, but who also is seen by the public as being open and responsive to their perspectives. Leadership in the region has been developed both within and outside of the public sector. Leaders within the Envision Utah coalition have come from the public and private sectors; Robert Grow is an attorney and engineer who both practiced law and served as the COO of Geneva Steel before joining Envision Utah. Stephen Holbrook worked in the public sector and as a social activist; Jon Huntsman came from the private and public sectors while Michael Leavitt was in the public sector. Interestingly, while all but Grow came out of the public sector, they did not participate as representatives of any government, but as citizens who held a deep, shared networks, but did so as leaders of Envision Utah, rather than as politicians. s of Envision Utah includes numerous representatives from all sectors and walks of life. This multi sector leadership is

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210 clearly responsible for the broad appeal and reach of Envision Utah across the region. As networks themselves are the conduits of civic capital, then leaders are its superconductors in the region. He guided the early efforts of Envision Utah to great success, bringing in business, community lea ders, and government representatives supporters and naysayers alike to define a common vision and set common goals. It is primarily through his leadership that Envision Utah is known worldwide for its honest, data driven process that engages leaders and c itizens so effectively. Grow, meanwhile, leadership has continually been refreshed over the years by inviting new individuals to Vision ing processes and public engagement have become common in regions world. Many of these efforts, however, have failed to match the success or perhaps more critically the longevity of Envision Utah (Scheer 2012). continuous leadership as well as its rigorous efforts to constantly engage new people within ience and stability. The visioning process used for each project and the leadership roles that arise out of that process require considerable commitments by volunteers. Engagement in the process is not taken lightly those who participate do so out of a t rue dedication to their

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211 to person commitments across boundaries of jurisdictions, functions, and time. Very few people involved in development, planning, and public infrastructure in the region can escape being commitments from community leaders is often what other regions are unable to replicate (Scheer 2012). In each of the three mini cases, institutional capacity was the strongest factor in initial efforts, though the other four capacities leadership, fiscal, technical, and civic were present to varying degrees in each region. In Orlando, San Diego, and Fresno there was an existing organizat ion that began to develop a network of stakeholders and focus the discussion on the issues that had been identified. While cultivating these networks, these organizations drew upon additional resources within the region in order to foster the additional c apacities identified here. They called upon community leaders and technical experts, and identified partners that could help underwrite the efforts of the coalition. 3. How do regional coalitions successfully transition from initial formation to planning to execution? In their report on ad hoc regionalism, Porter and Wallis discuss how once a decision move forward and focus their activity. Numerous approaches have been used by ad hoc regional coalitions to begin addressing regional issues, from focusing on a clear response to a crisis to developing a growth management agreement to raising public awareness and educating the community about regional issues. Many ad hoc initial efforts on educating the citizenry about the interdependencies that bind individual

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212 the community and raising awaren ess of the need for regional thinking (Porter and Wallis 2002, 23). In the case of Envision Utah, growing participation in the coalition and educating the community were the primary focuses of the newly formed organization indeed, the first item was achiev ed largely in part through the second. The leaders of Envision Utah determined that in order for any impact to be realized within the region, they first needed to bring the community together in dialogue, and to let that community determine the collective idea of and vision for the region. Once that had been achieved, the appeal of new growth management pathways took on a life of its own, with the community asking for even demanding new plans and options in housing, transit, and other related areas. At t his point, Envision Utah stepped back and invited communities to use the tools that they provided to help them develop their own growth management agendas. Similarly, i n the cases of Orlando, San Diego, and Fresno educating the community and developing a r egional vision were the early objectives of the coalitions, though in the case of Fresno, addressing an immediate crisis also drove their efforts. The early goals of each of these coalitions stemmed from the need to provide data driven information to the community in such a way that it would demonstrate the different paths forward the region could take. 4. How do regional coalitions focused on growth management measure success? There are a number of ways in which regional coalitions can measure success. Thre e such measurements apply to the case of Envision Utah. The first is setting and achieving goals for regional impact. The Quality Growth Strategy, which grew out of the visioning

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213 process hosted by the coalition, outlined six goals including increasing mo bility and transportation choices preserving critical lands and providing increased housing opportunities for a range of family and income types As discussed in the case study, the region has seen significant change around many of those initial goals, including changes to city plans, the implementation of TRAX, and multiple mixed use, higher density communities. A second means of measuring success, closely related to the first, is demonstrating that the impact seen in a region is a result of the efforts of the coalition, rather than something that might have occurred naturally. In the Greater Wasatch region, a question that arises is whether the changes seen in the region might have happened without the efforts of Envision Utah, particularly given the r high amount of federally owned land in the state. The answer to this question lies within the four scenarios that were developed by the Quality Growth Efficiency Tools (QGET) Technical Committee The QG ET committee purposely developed two scenarios that demonstrated what the region would look like if no additional action was taken to address growth issues. The first scenario projected how the region could develop if the dispersed pattern of development occurring in some Greater Wasatch Area communities today were to continue the second would happen if state and local governments follow their 1997 municipal plans It was with the third and fourth scenarios, showing greater density housing, more walkable, mixed use communities, and increased undeveloped space, that demonstrated what the region could look like if concerted efforts were made to change the growth patterns that were cur rently in place.

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214 The development of these scenarios ties back to one of the initial goals of the coalition educating the public. By providing the community with fact based scenarios, citizens were able to understand both where the region was headed and wh ere it could head should changes be made. The results highlighted above indicate that it was through this education that the community was able to make a choice regarding a shared vision for the future a choice that influenced policymakers, developers, an d citizens alike. The process sequence discussed introduced in Chapter 4 presented a clarification of the role of mediating factors in a region, and the course of action that follows. The work of Envision Utah demonstrates that the impacts seen in the reg ion can largely be attributed to the process that they undertook. Figure 8 1 below illustrates this process sequence, showing where and how growth management takes place with the guidance of a regional coalition such as Envision Utah. The dotted line rep resents the possible sequence of events without the intervention of the regional coalition. Figure 8 1 : Process Sequence in Regional Growth Management The third way in which coalitions can measure success is by sustaining action and the organization itself. Porter and Wallis (2002) point out that ad hoc efforts must be able to move beyond initial opportunities tow ard shaping an agenda for a more deliberate, sustained Contextual Factors Mediating Factors Regional Impacts Regional Process Regional Outcomes

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215 course of action (Porter and Wallis 2002). Closely tied to this, they state, is the question of to an organ 24). They reflect on the term ad hoc which many interpret as signifying something spontaneous and temporary. In the case of Envision Utah, the organization has been able to sustain itself and its efforts by not taking a particular stance or advocating a vision of the future. Instead, the stakeholders and citizens and allowing them to define w here action needs to take place. Envision Utah is a resource a convener, a provider of information and tools rather than the driver towards a particular goal. In the three mini cases, success was measured in a variety of ways. San Diego presents the most easily measurable outcome the passage of Proposition A (renewal of the goals which allowed the coalitions to assess whether there was broad enough support and participation to continue their efforts. These goals focused primarily on educating the public and getting buy in from the community; in both cases they met their initial goals successfully. In both regions, they then developed more impact focused goals, some of which have been achieved while others continue to be in progress. 5. What determines whether a regional coalition becomes a formal institution, shifts its focus and/or adapts its purpose, or dissolves entirely? As discussed above, a regional coalition can measure success by demonstrating sustainability, both in action and of the coalition itself. However, the question arises is

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216 there a time when it is appropriate for a coalition or organization to disband? What happens if all of the goals of the organization have been achieved? Porter and Wallis (2002) suggest that instead of thinking in terms of temporary vs. permanent, perhaps it is more appropriate to consider the structure of the coalition or organization i n question. Sustainability, they say, What form the organization takes will vary from region to region, and different kinds of actors will participate in differe nt ways. Regional governance, they say, will work more like a network. In the case of Envision Utah, the organization has managed to sustain itself by adapting to the shifting needs of the region. As one issue area is addressed, they are able to turn the ir attention to another. One such shift is from transit to air quality. With the successful implementation and incredible expansion of TRAX, they were able to achieve their goal of increasing transit options for residents. However, as highlighted both b y interviews and the survey, air quality has risen to the top of critical issues facing the region. Envision Utah is now working with stakeholders in the region on a renewal of the visioning process, with air quality showcased as a top issue to be address ed. It seems unlikely that regional growth will cease to be an important subject in the near or even long term future, and with growth come the many issues that regions face. Because of this, there is amble opportunity for coalitions such as Envision Uta h to reinvent themselves. However, should Envision Utah disband either by choice or by necessity it seems likely that the region been developed over the past 20 yea rs.

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217 Within the three mini cases, various conclusions can be reached. As mentioned previously, in none of these regions was a new formal organization created; instead, existing organizations built coalitions around their particular issue areas. Some of th ese coalitions could be considered more ad hoc than others; in San Diego, once the passage of Proposition A was achieved, the original coalition had the option to disband, or turn their focus to other goals (they chose the latter option, with some changes in coalition participation). In Orlando, myregion.org contains no content newer than 2013, though the Orlando Regional Chamber clearly still exists. The same holds true in Fresno; while the Fresno Business Council continues to focus on regional issues, t he Collaborative Regional Initiative and the Regional Jobs Initiative have disbanded. Theory Fitting In Chapter 3, four theories were discussed urban regime theory, historic institutionalism, social capital, and civic capital. It was determined that histo ric institutionalism and civic capital provided the greatest insight into the role of regional coalitions in addressing growth management. It was expected that through theory fitting, the analysis of the central case study as well as the three mini cases would find that one of the theories provided greater explanatory power for how coalitions achieve regional impact. However, the data presented through the analysis supports both theories; each provides insights into certain elements of how regional coalit ions can be utilized for growth management Historic Institutionalism Historic institutionalism focuses on policy and the evolution of policy outcomes over time. One premise of historic institutionalism is that various factors, including formal and

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218 inform al institutions, play a role in shaping and reshaping public policy Early decisions and events are significant players in shaping local configurations of socio spatial relations, and tructures (Ghitter and Smart 2009). One such sedimentary layer is a culture of engagement within the region that has been undoubtedly influenced by the LDS Church engagement that provides a foundation for unusually effective public participation and planni ng. The values espoused by the Church family, discourse, community service, learning not only create an incredibly close knit community, but presumably those values are attractive to non Mormons who choose to move to and/or remain in the region. There is also a strong tradition of home rule and citizen engagement over government control. This lays the foundation for an unusually effective citizen engagement process, given that citizens are already disposed to the idea that initiatives should be community led and based on shared values rather than driven by the government. Thirdly, Utahns tend to identify with the region where they reside, rather than a parts of th e country (Scheer 2012). This highlight regarding th e influence of local, physical geography on public perception, and the choices people make based on location (Ghitter and Smart 2009) Utahns are extremely proud of th a strong desire to protect that for future generations to enjoy. In their study, Ghitter and Smart (2009) focus on the concept of path dependency the inability of a (Ghitter and Smart 2009, 620). In

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219 the Wasatch region, there were (at least) two instances of path dependency. The first was the inclination towards traditional growth patterns here development was seen in single family homes on large suburban plots, and transportation expansion focus ed primarily increasing convenience for auto mobile users. The second instance was traditional growth management policies, reflected in the baseline scenario where state and local governments follow their existing municipal plans and d evelopment would continue in a pattern not quite as dispersed as the first scenario, but still focused on single family homes and individual automobile use. The key to the shift in these paths was the comprehensive efforts of Envision Utah to educate the public and provide them with realistic scenarios supported by data. By providing citizens with choices that incorporated the values held by the community, they were abl e to shift public perception. They also achieved this by reframing issues to appeal to those values: by changing the dialogue around light rail from a concentration on congestion to a focus on quality of life and an appeal to those common values held by citizens. As a result, there have been demonstrated changes in growth management policy, including changes in local zoning codes and plans that reflect the smart growth principles identified through the Envision Utah process. Gitter and Smart (2009) also asked whether previous investments that they label as irreversible spa t ial and can thos e forces be overcome (Ghitter and Smart 2009, 621)? In the case of the Wasatch region, we find that the social and institutional forces were in fact employed to overcome lock in that by appealing to the strong culture of engagement and the deeply held

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220 val ues of the community, they were able to counteract the political forces that were leading to the path dependencies described above. As briefly discussed in Chapter 7, h istoric institutionalism can be employed to understand how organizations emerge and evolve over time ; however, it does not speak to the effectiveness of those organizations In the case of Envision Utah, the organization has been able to continue its work by adap ting to the needs of the region, and continually asking They began by focusing on the core values of the community, which are characteristic of an and have maintained those core val ues as the central premise of their efforts. In the three mini cases presented in Chapter 7 the coalitions originated with single organization s focused on business and economic opportunity In all three cases, those organizations developed networks to fo cus on and bring attention to issues facing the region. No new formal organization s were formed; instead, they each chose to cultivate informal ad hoc coalitions ; in San Diego, a single issue coalition was formed to focus solely on the renewal of the tran sportation tax; in the other two regions, the coalitions were formed to address a broader group of issues based on dilemmas the region was facing In each case, the coalitions have disbanded I n San Diego with the passage of Proposition A, the coalition was no longer needed, though they chose to turn their energies to addressing new issues. In Orlando and Fresno, the organized efforts of the coalitions ceased under the name of the original coalition Collaborative Regional Initiative though the coalitions themselves have endured with some changes in participation

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221 and the goals identified by the community continue to be pursued to varying degrees by organizations and networks within the region Civic Capital The evi dence presented demonstrates the strength of civic capital in the Wasatch region. The region is characterized by a high degree of civic engagement and leadership, together with a shared set of values and vision for the future. As Nelles stated, important effects are as a result of forces that are difficult to observe states that individual experiences, culture, tradition and social structures all influence the decision making processes and that is certainly the case in the Wasatch area. There is a considerable level of trust within the region as well as a shared identity a pride of place and a common set of expectations regarding the future of the region. There is a high level of in ter municipal cooperation even while observing a strong tradition of home rule. The strength of the leadership in the region, as discussed under Question #3 above, is one of the key factors in the success of the regional coalition. This strong civic cap ital has been noted both by leaders in the region, as well as outside observers. As architect Peter Calthorpe who worked with Envision Utah to design and implement the scenario workshops reportedly observed, the region is unlike any other place in the wor ld in two respects. First, there is a regional willingness to collaborate that is far greater than any other region. Secondly, there is a concern for the next generation the sense that citizens want their families to be together and for that to happen, t hey must can find jobs, afford a home, c an get around where they need to be and can enjoy the outdoors and the beauty of the area ( confidential interview #4, July 2013).

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222 Unlike historical insti tutionalism, which helps to explain how regional coalitions emerge and evolve, civic capital provides insights into those factors associated with effectiveness. Each of the civic capital factors discussed in Chapter 6 help to explain the success of Envisi on Utah in achieving regional impact P erhaps more significant is the to channel those factors into a concentrated effort. B oth historic institutionalism and civ ic capital help to explain achievements in the Greater Wasatch region, each from a different perspective. What neither of these theories fully develops is the theme of enduring core values which presumably underlie both the formal institut ions in the region as well as the informal relationships between communities and stakeholders. Recognizing the significance of these core values is key to understanding how the region was able to both embrace and achieve the numerous initiatives that have taken shape since Envision Utah began its work. A key lesson for other regions, as well as for scholars studying both historic institutionalism and civic capital, is to acknowledge the role of core values and how they can be employed and further develope d. Policy Implications regional coalition can do. Exemplary leadership, data driven facts, education of the public, inclusive engagement of community leaders, civic partic future internationally recognized as a leader in grassroots sustainable development and has received numerous awards for its efforts, including the American Planning Association Outstanding Achievement Award, the National Association of Development Organizations Innovation

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223 Award, the Nature Conservancy Award, the Urban Land Institute Award, and the American one of the most prestigious planning model seemingly simple and grounded in common s ense is truly transferable? The answer to that question lies within the very roots of the region itself its history, culture, and physical environment. Every region is specifically unique, and carries its own historical context a context that is in fact i mpossible for any other region to build upon. consideration the social structure of the community. As Robert Putnam demonstrated in his book Making Democracy Work (1993 ) on civic traditions in Italy, it can take hundreds of years for a region to develop social capital. While the Wasatch region was settled by the Mormon community only 170 years ago, the region has the unique attribute of having been settled by a group of people possessing common values and a vision for their community. The data analyzed in this thesis, including the document review, interviews, and survey, brought to light the distinctiveness of the Greater Wasatch region, both in its physical and geograp hical attributes as well as the culture and history of the region. However, for daunting, and may lead them to believe that because they do not hold the same characte ristics as the Greater Wasatch region, they are unable to achieve the same level of success. In addition to the features that set the region apart, it is also important to reflect on what can be generalized and learned from the case. One such lesson, add ressed above, is the importance of identifying and recognizing the core values of a region, and using those as a basis for

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224 planning and implementation. The study conducted by Wirthlin provided Envision Utah with key insights on the region insights that th ey kept at the forefront of their planning efforts. This is not always the case too often regions begin by conducting an environment, and then move directly into building scenarios for the future. There are a number of reasons why a region may choose not to do a values study they may not be sure how to take on such an initiative, may not have the resources necessary to do so, or may believe that they already know additional insights. However, as demonstrated by the Envision Utah case, a thorough understanding of the values of the community provide a basis for new initiatives, and help to g arner buy in a nd support from citizens. Another central lesson for regional coalitions is the manner in which Envision Utah presented the scenarios to the public. In the development of the four scenarios, Peter scenario as the first option, with the baseline scenario constructed using then current city plans as a foundation serving as the second possibility. In neither of these, nor in the increasingly aggressive third and fourth scenarios, did Calthorpe highlig ht the negative aspects of those scenarios. Instead, he emphasized the positive dimensions of each In the first scenario, for example, he included higher levels of privacy and the benefit of the convenience of automobile travel. While the more aggressi ve scenarios were perhaps more desirable, the options were presented in a way scenarios. This approach is not always the case when using scenario maps with the pub lic; too often the leaders have a particular vision or agenda already in mind, and so they play up

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225 of taking the role of convener and allowing for open, honest di alogue to which they fully listened. In addition to the historic context, another key element in anticipating the success of capacity the ability of an institut ion to achieve results is not pre determined. The trajectories that institutions and hence regions take are often accidental. Random, and also carry implications for policies well ou tside that particular region. Consider the 2011 earthquake and resulting tsunami that struck the east coast of Japan an event that put a spotlight on the Hurricane Katrina along the Gulf Coast resulted in scientists, developers, and planners asking what will happen to human habitation along the coast, given the strong evidence that sea levels will continue to rise and disasters such as Katrina will become more freque nt as the require a crisis t region response to such events does the region have the leadership, the institutional capacity, and the public support to do what needs to be done? The answer, of course, is not always. As seen both in the Wasatch region, as well as the three regions pr ofiled in Chapter 7 regions are becoming more conscious of themselves and how they are governed. They are learning that solutions to regional issues including growth, housing, and transportation cannot be addressed by government or by any single agency o r sector. Instead, regional

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226 solutions come out of meaningful dialogue across sectors and jurisdictions, and must be inclusive of its citizenry. Honest citizen engagement and visible demonstration that citizen concerns are being attended to can have a pro found impact on the development of growth management policies and their long term impact. Regions are becoming more aware of the power of civic capacity, and are working to ensure that they both heed and harness that power. It is important to understand t hat the Envision Utah model is not in itself regional governance. While the coalition has spent significant time and effort building consensus within the region, inter local agreements have not been identified as being necessary for the development or imp lementation of growth management policies and practices. Instead, public awar eness and perceptions about growth (Scheer 2012, 3). Rather than a regional authority mandating how future growth will take shape, jurisdictions within the region have voluntarily chosen to adopt new zoning laws, general plans, and other regulations that impact housing, transportation, and the environment and they had the freedom to do so on their local agreements, regional planning authorities, statewide regulatory incentives, or any oth er framework Limitations of the Study While there are a number of limitations of this study, the most obvious, discussed to some degree in Chapter 4 is its applicability to other cases. and successes in any

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227 region cannot simply be transferred to another due to the profound differentiation in context. As she found regarding inter municipal c ooperation, growth management is likely to be more successful in certain regions due to that context as well as opportunities and the level of civic capital. The profile of Central Florida highlights some of these regional differences. While the coalitio nearly the same impact. While further study would need to be conducted to fully identify the reasons for this, it is likely that the heterogeneity of the Central Florida populat ion resulted in very different perceptions within the community leading to a different vision for the This thesis is notably limited by its u se of only one in depth case A comprehensive study of additional r egional governance model s would presumably yield a more robust study and would perhaps have resulted in identification of additional generalizable themes. One challenge of the single case study, with its focus on a fairly short period of time, is the lack of abilit y to measure any change in the contextual factors over time. It is possible, even likely, that over a longer timeframe some of those factors such as economic health would shift, resulting in a different i nfluence on the regional outcome. Whi le the mini cases allow for simple com parison of governance models, more thorough case studies are needed to truly evaluate Envision Utah against other models. An additional challenge within this study was the limitati ons caused by the methods of data collection. The sample size for both the interviews and the survey were limited; a larger population could have disclosed additional data or differing viewpoints. The population was purposely limited by the coalition, no t due to a concern for the data that would be collected from these individuals, but due primarily to timing and a concern for their

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228 time (many of the same individuals had recently been contacted for purposes of another study). Suggestions for Future Study While this dissertation provides abundant evidence of effective growth management and institutional capacity building, this is as stated above essentially a single case study. Historic institutionalism and civic capacity were both found to be constructive frameworks for examining how regional coalitions effect growth management. There is ample opportunity for m ore in depth ca se studies rooted in same theories, to further validate using those theories as a framework for understanding regional governance mo dels. A question that results from this study is, do the policy implications of this research in the Wasatch region are seemingly practical and straightforward, the re are policy makers and developers (amongst others) who argue that decisions around housing and transportation should be left to market forces to determine. It is seemingly obvious given the outcomes presented in this study that regions cannot depend sol ely on a market oriente d approach to growth management because of the inability to recover from market failure. Comparing the effectiveness of market driven growth management policies to the work of coalitions such as Envision Utah offers a wide field for exploration.

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248 APPENDIX A : INTERVIEW PROTOCOL Following is the list of questions used to guide each of the in person interviews conducted with members of the Envision Utah coalition, conducted in Salt Lake City in July 2013. The interviews w ere tailored to each individual depending on the role they played in the network and the growth management process as well as the flow of the conversation during the interview, but the majority of the interviewees addressed most, if not all, of these questio ns. When did you first become involved with Envision Utah? How did you first learn about Envision Utah? What was your motivation for getting involved? What do you feel is the greatest impact Envision Utah has had on the region? What do you think E Were there any failures? Were there any missed opportunities? What have you gained from your involvement with Envision Utah? Have you or your organization benefited as a result of your involvement? Do you feel Envision Utah is still making an importance difference in the region? What do you feel is next for Envision Utah? Are you a member of The Church of Jesus Christ of Latter day Saints?

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249 A PPENDIX B : CONFIDENTIAL INTERVI EWEE SECTOR IDENTIFI ERS Interviewee #1 Private Sector Interviewee #2 Local Government Interviewee #3 Developer Interviewee #4 State Government Interviewee #5 Nonprofit Leader Interviewee #6 Nonprofit Lea der; Environmentalist Interviewee #7 State Government Interviewee #8 Local Government Interviewee #9 Private Sector Interviewee #10 Private Sector Interviewee #11 Local Government Interviewee #12 Nonprofit Leader Interviewee #13 Nonprofit Leader

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250 A PPENDIX C : INTERVIEW TOPIC C LUSTERS L eadership Process Culture Inclusion Church Impact Communist Changing Perceptions Moving Forward

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251 APPENDIX D: SURVEY INSTRUMENT 1. What year did you first become involved with Envision Utah? 2. Which organization were you with and what was your title when you first became involved with Envision Utah? 3. Did you know any of these individuals when you became involved with Envision Utah? Did their involvement influence your decision to get involved? a. Jo n Hunstman, Jr. b. Michael Leavitt c. Stephen Holbrook d. Larry Miller e. Robert Grow 4. What sparked your interest in the work of Envision Utah? 5. Of the following issues, please indicate a) Which you feel were the most critical facing the region at the time Envision Uta h was formed; b) Which you feel the work that Envision Utah has done has made an impact on; and c) Which you feel are the most critical issues facing the region now. a. Air Quality b. Water c. Land Use d. Other environmental issue e. Transportation f. Education g. Sprawl h. Housi ng i. Economic Development j. Infrastructure k. Population Growth l. Other (please indicate) 6. Did you participate in the large regional mapping sessions held in 1998? (Yes/No) 7. What do you feel is the greatest impact Envision Utah has had on the region? 8. What successes or failures has Envision Utah experienced? 9. Any missed opportunities? 10. What do you feel has been Envision Utah's greatest contribution to the region? 11. What have you gained from your involvement with Envision Utah? Have you or your organization benefited as a result?

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252 12. What do you feel is next for Envision Utah? 13. (OPTIONAL) Are you a member of The Church of Jesus Christ of Latter day Saints? (Yes/No) (OPTIONAL) If you would be willing to discuss your responses with Amy Carrier, please enter your email address be low. All responses will be kept confidential.

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253 APPENDIX E: SURVEY RESPONSES Twelve individuals responded to the above survey. Following is a summary of the responses. 1. What year did you first become involved with Envision Utah? Responses ranged from 19 93 to 2013, with the majority falling in the early to mid 2. Which organization were you with and what was your title when you first became involved with Envision Utah? community organization, television, higher education, the LDS church, construction, land development, and public utilities. 3. Did you know any of these individuals when you became involved with Envision Utah? Did their involvement influence your decision to get involved? a. John Hunstman, Jr. 10 of the 12 respondents knew J. Huntsman; 8 were influenced by his involvement. b. Michael Leavitt 10 of the respondents knew M. Leavitt; 8 were influenced by his involvement. c. Stephen Holbrook 4 of the respondents knew S. Holbrook; 3 were influenced by his involvement. d. Larry Miller 6 of the respondents knew L. Miller; 4 were influenced by his involvement. e. Robert Grow 10 of the respondents knew R. Grow; 9 were influenced by his involvement. 4. What sparked your interest in the work of Envision Utah? Responses focused on an interest in long range planning, the need for a regional vision, and guiding / shaping the future of the region. 5. Of the following issues, please indicate a) Which you feel were the most critical facing the region at the time Envision Utah was formed; b) Which you feel the work that Envision Utah has done has made an impact on; and c) Which you feel are the most critical issues facing the region now.

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254 Critical at formation EU has had an impact Critical now Air Quality 3 7 12 Water 5 4 11 Land Use 10 12 8 Other environmental issue 0 2 2 Transportation 11 11 8 Education 6 2 9 Sprawl 10 11 8 Housing 7 11 7 Economic Development 6 6 6 Infrastructure 7 7 9 Population Growth 6 1 8 Other (please indicate) 1 0 1 Welcoming diversity was the one other issue indicated by a respondent. 6. Did you participate in the large regional mapping sessions held in 1998? (Yes/No) 6 of the 12 had participated. 7. What do you feel is the greatest impact Envision Utah has had on the region? Air and transportation Transit development Convening the various stakeholders who impact all of these long range planning decisions Informing local government of the long term benefits of "smart growth" and tools for encouraging deve lopers and residents. Impact on sprawl and it acceptance by the public convincing local governments that long range regional planning is a good thing Public awareness and education. Focus on developing an urban model. Establish creditability. Mold a non po litical, statewide group Better urban/suburban planning Presented a forum and tool kit for community planners throughout the area. Changing the nature of the conversation being had through the introduction of choices with corresponding outcomes for conside ration. The largest impact has been to widen the discussion on important Utah issues. The forum didn't exist before EU. Getting people from all areas involved in the discussion.

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255 8. What successes or failures has Envision Utah experienced? Transportation and sprawl Providing a template for other evaluative, planning processes for our region Success: overcoming initial resistance based on "centralized control of planning." Failure: attempts at bring our ideas into education reform. Excellent leadership, good relationships among stakeholders, ability to continue dialogue in times of stress I think they are trying to do too much now, and be involved in too many issues and their influence is decreasing Great creditability Many successes in planning and forward th inking of community leaders. Very successful in generating a conversation, providing context for decisions to be made. The largest success has been to bring regional planning into the forefront of stakeholders thinking. Not sure there have been any clear f ailures. 9. Any missed opportunities? The critical land conservation momentum has been lost. They're starting to pick up better on this, but more intentionality of including the increasingly ethnic, and religious diversity of our community For a while, we dri lled down to city and professional planner level, and lost some awareness of general public of what we were doing. We should have come to the issue of clean air sooner Always!!! Could have been more bold in changing sales tax participation laws Many of the decisions that need to be made to deliver on a quality growth strategy for a region are held by municipal government, I do not believe the organization has been as effective at educating local elected officials about the range of issues and how their deci sions are interconnected with the necessary solutions. The current approach is much broader (covering more subject areas), perhaps some of these areas could have been focused on earlier in EU's history 10. What do you feel has been Envision Utah's greatest contribution to the region? Transit development Convening stakeholders in systemic long range planning Acceptance of the quality growth strategy and support for its implementation at the grass roots level. Transportation, increasing information to the publ ic, getting people together effectively Getting cities to work together Public Awareness Leadership in planning issues

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256 Showing the potential of and advocating for alternative land use patterns. Raising awareness that regions have some choices in how they t hinking about growth, and it doesn't have to be solely a central planning view of the world. 11. What have you gained from your involvement with Envision Utah? Have you or your organization benefited as a result? Indirectly, I think it's positive to identify t he position of public education in the health and growth of a community A broader understanding of the symbiosis that exists among all of the issues which concern our community My involvement with policy leaders has been very rewarding, and helped me be s uccessful in running for elected office myself. Many good working relationships helped my organization to prosper. companies that are considering our area for relocation or expansion are very impressed with the collaboration that was brought about by EU pr ocess The entire state has benefitted Greater understanding of some of the environmental and planning issues critical to Utah Community Participation has enriched me and has helped the company I have broadened my network and become more effective at advoca ting for and realizing success at implementing solutions being recommended by Envision Utah. We have directly benefited as a business from the emphasis on planning and options. We plan continuously in our role assuring we have adequate future resources to respond to population and economic growth. 12. What do you feel is next for Envision Utah? Nurturing of a more rigorous state planning commitment Continued opportunity to assist other regions If we are successful in financing our current "Your Utah, Your Future" this year, we should be able to regain our public recognition and support, enabling change related to air quality, water, economic development, etc. for years to come. Broaden reach and involvement Another round of planning for 2050 Education of lo cal government elected officials. Greater advocacy. There still is a role for more direct influence on certain policy makers to think about a balanced future.

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257 13. (OPTIONAL) Are you a member of The Church of Jesus Christ of Latter day Saints? (Yes/No) Nine of the twelve responded; of those, four are members of the LDS church. One responded stated that they were raised but are not currently active in the LDS church.

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258 APPENDIX F : ENVISION UTAH PARTNE RS AND SPECIAL ADVISORS (AT TIME OF FOUNDING ) Honorary Co Chairs Governor Michael O. Leavitt State of Utah Larry H. Miller President Larry H. Miller Group Robert Grow Founding Chair Emeritus Chair Jon M. Huntsman, Jr. Vice Chairman Huntsman Corporation Vice Chairs James R. Clark Chief Planning Officer (retired) American Stores Company, Salt Lake City Tom Dolan Mayor City of Sandy Gary Herbert County Commissioner Utah County, Orem Special Advisors M. Russell Ballard Quorum of the Twelve Apostles Church of Jesus Christ of LDS, Salt Lake City Robert F. Bennett Senator United States Senate, Washington, DC Dixie Minson Aileen Clyde Vice Chair Utah State Board of Regents, Springville Spencer F. Eccles Chairman and CEO First Security Corporation, Salt Lake City D avid P. Gardner Chairman and CEO George and Dolores Dor Eccles Foundation, Park City Kem Gardner President and Manager Boyer Company, Salt Lake City Jake Garn Vice Chairman Huntsman Corporation, Salt Lake City Carolyn Tanner Irish Bishop Episcopal Diocese of Utah, Salt Lake City J. Bernard Machen President University of Utah

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259 George Niederauer Bishop Catholic Diocese of Salt Lake City Richard Prows Chairman Prows Corporation, Bountiful Governor Calvin Rampton (Ret.) Jones, Waldo, Holbrook, and McDonough Salt Lake City Harris Simmons CEO Zions Bank, Salt Lake City Olene Walker Lieutenant Governor State of Utah, Salt Lake City Steve Young Quarterback San Francisco 49ers Partners Sandra Adams Executive Director State Martin Luther King Commission, West Valley City Jeff Alexander Representative Utah State House of Representatives, Lindon Dee Allsop Sr. Vice President Wirthlin Worldwide, Holladay Brad Angus Sales Manager Franklin Covey Co., Bountiful Pamela Atkinson Vice President Mission Services, IHC, Salt Lake City Janice Auger Mayor City of Taylorsville Brad Barber State Planning Coordinator Budget, Salt Lake City Lane Beattie President of the Senate Utah State Senate, West Bountiful Ralph Becker Representative Utah State House of Representatives, S alt Lake City Greg Bell, Mayor Farmington City Alene Bentley General Business Manager PacifiCorp, Salt Lake City Tom Berggren Director Citizens Committee to Save Our Canyons, Salt Lake City Robert G. Bergman Executive Director Utah Mechanical Contractors Association, Salt Lake City Lewis Billings Mayor The City of Provo

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260 Roger Boyer Chairman Boyer Company, Salt Lake City David Bradford Senior Vice President Novell, Inc., Orem Chad Brough Mayor Nephi City Melvin Brown Representative Utah House of Representatives, Midvale Ken Buchi, M.D. Wasatch Front Clean Air Coalition Salt Lake City Cynthia Buckingham Executive Director Utah Humanities Council, Salt Lake City Kim R. Burningham Member State Board of Education, B ountiful Camille Cain Commissioner Weber County, Ogden Craig M. Call Private Property Ombudsman State of Utah, Salt Lake City Mary Callaghan Chair Salt Lake County Commission Don Christiansen General Manager Central Utah Water Conservancy District, Orem James E. Clark President Utah Transit Authority, Salt Lake City Kathleen Clarke Executive Director Utah Department of Natural Resources, Salt Lake City Louis Cononelos Director of Government and Public Affairs Kennecott Utah Corporation, Magna Deedee Corradini Mayor Salt Lake City Corporation Stephen M. R. Covey President Franklin Covey Co., Provo Wes Curtis Director Richard J. Dahlkemper President and CEO Ogden Weber Chamber of Commerce, Ogden Chris Dallin President North Davis County Chamber of Commerce, Layton Executive Vice President Zions Bank, Salt Lake City David Eckhoff Vice President, Regional Manager Psomas and Associates, Holl aday

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261 Larry Ellertson Mayor Lindon City Steve Erickson Director Utah Housing Coalition, Salt Lake City Max Farbman Attorney at Law Jones, Holbrook, Waldo and McDonough, Salt Lake City Wendy Fisher Executive Director Utah Open Lands Conservation Association, Oakley Ivan Flint General Manager Weber Basin Water Conservancy District, Layton J. Robert Folsom Former Director Architectural and Engineering Services Weber State College, Ogden Sydney Fonnesbeck Deputy Director League of Cities and Towns, Salt Lake City Kevin S. Garn Representative Utah State House of Representatives, Layton Steven Goodsell General Solicitor Union Pacific Railway, Holladay Gary Harrop Mayor North Ogden City Roger Henriksen Attorney Parr, Waddoups Brown, Gee and Loveless Salt Lake City Randy Horiuchi Salt Lake City Scott Howell Minority Leader Utah State Senate, Sandy Robert Huefner Director Scott M. Matheson Center for Health Care Studies, Salt Lake City Ellis Ivory CEO Ivory Homes, Holladay Burton Johnson Loan Consultant Home Improvement Finance, Salt Lake City Ben Jones Mayor Riverdale City David M. Jones State Representative Utah House of Representatives, Salt Lake City David Jordan Partner Stoel, Rives LLP, Bountiful Dav id Kano Mayor Brigham City Ardeth Kapp Board Member Deseret News, Bountiful

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262 Susan J. Koehn Representative Utah State House of Representatives, Woods Cross Steve Laing State Superintendent of Public Instruction Office of Education, Salt Lake City David Livermore Vice President/Utah State Director The Nature Conservancy, Salt Lake City Sandra Lloyd Mayor Riverton City Dan Lofgren President and CEO Prowswood Companies, Holladay Larry Mankin President and CEO Salt Lake Chamber of Commerce, Salt Lake City L. Alma Mansell State Senator Mansell Real Estate, Midvale John Massey Legislative Fiscal Analyst State of Utah, Bountiful Kelly Matthews Economic/Government Relations Senior Vice President and Economi st First Security Bank, Salt Lake City Carlin Maw Planning Commissioner Ogden City LeRay McAllister Orem Dave McArthur Year 2000 President Home Builders Association of Greater Salt Lake Dannie R. McConkie County Commissioner Davis County, Bountiful Glenn J. Mecham Mayor City of Ogden Lorraine Miller Chair Salt Lake Vest Pocket Business Coalition Albert DeMar Mitchell Mayor City of Clinton Elder Alexander Morrison First Quorum of the 70 Church of Jesus Christ of LDS, S alt Lake City Eleanor Muth New Business Director Scopes, Garcia, and Carlisle, Salt Lake City Jackie Nicholes President Quality Press, Holladay Dianne Nielson Executive Director State Department of Environmental Quality, Salt Lake City League of Women Voters, Salt Lake City Brad Olch Mayor Park City

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263 Scott Parkinson Senior Vice President Bank of Utah, Ogden Cary Peterson Commissioner Department of Agriculture, Bountiful Craig Peterson Orem Dave Phillips Vice President and General Manager KUTV/CBS Channel 2, Salt Lake City John Price Chairman of the Board and CEO JP Realty, Inc.Salt Lake City LaRen Provost Commissioner Wasatch County Bruce Reese President and CEO Bonneville International, Salt La ke City Charlie Roberts Mayor Tooele City Blake Roney President Nu Skin International, Provo Janet Scharman Assistant Student Life Vice President and Dean of Students Brigham Young University, Salt Lake City Eric Schifferli Commissioner Summit County, Park City Chris Segura Director Administrative Services, Dept. of Corrections, Murray David Simmons President Simmons Media Group, Salt Lake City Paul Slack Special Assistant to CEO Iomega Corporation, Roy Bennie Smith President Beneco Enterprises, Inc., Sandy Ted D. Smith Utah Vice President US West, Salt Lake City Phyllis Sorensen President Utah Education Association, Murray Richard O. Starley President and CEO Easter Seals Utah, Salt Lake City Jerry Stevenson Mayor Layton City Ted Stewart Chief of Staff Clint Topham Deputy Director Utah Department of Transportation, Kaysville John L. Valentine Senator Utah State Senate, Orem

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264 Tauna Walker Vice President Elite BodyWorks, Inc, West Valley City Dominic Welch Publisher Salt Lake Tribune, Salt Lake City Rabbi Fredrick Wenger Congregation Kol Ami, Salt Lake City Bill Williams Director of Health Safety and Environmental Quality Kennecott Utah Corporation, Magna David Winder Executive Director Department of Community and Economic Development, Salt Lake City Richard Young Mayor City of Mapleton Michael Zimmerman Justice Utah Supreme Court

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265 APPENDIX G : ENVISION UTAH BOARD OF DIRECTORS (JANUAR Y 1, 2015) Honorary Co Chairs Gary R. Herbert Governor State of Utah Spencer F. Eccles Chairman and CEO George S. and Dolores Dor Eccles Foundation President and CEO Robert Grow Envision Utah Executive Committee Members Dan Lofgren (chair) President Cowboy Partners Natalie Gochnour (vice chair) Associate Dean David Eccles School of Business, University of Utah Alan Matheson (vice chair) Senior Environmental Advisor and State Planning Coordinator Tom Berggren (secretary) Attorney Jones Waldo Holbrook and McDonough Jeff Hatch (treasurer) F ormer T reasurer Salt Lake County Martin Bates Superintendent Granite School District Bonnie Jean Beeseley Utah State Board of Regents Pamela Atkinson Community Advocate Lonnie Bullard Chairman and CEO Jacobsen Construction H. David Burton F ormer Presiding Bishop LDS Church Rebecca Chavez Houck State Representative Utah Legislature Kathleen Clarke Deputy Commissioner Utah Department of Agriculture Spencer P. Eccles Executive Director Development Jeff Edwards President Economic Development Corporation of Utah Larry Ellertson Commissioner Utah County Commission

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266 Andrew Gruber Executive Director Wasatch Front Regional Council Ty M cCutcheon Vice President of Community Development Kennecott Land Wayne Niederhauser President Utah State Senate Brenda Scheer Former Dean College of Architecture + Planning, University of Utah Charles Sorenson, MD President and Chief Executive Officer Intermountain Healthcare Rich Walje President and CEO Rocky Mountain Power Board of Directors Stuart Adams State Senator Utah Legislature Mike Allegra General Manager Utah Transit Authority Brad Barber Barber Consulting Ralph Becker Mayor Salt Lake City Jake Boyer President The Boyer Company David Brems Architect GSBS Architects Cynthia Buckingham Executive Director Utah Humanities Council Terry Buckner Associate Secretary Presiding Bishopric Office, LDS Church Lew Cramer President and CEO World Trade Center Utah Wes Curtis Director, Regional Services Southern Utah University Exec. VP and Chief Loan Officer Zions Bank Tom Dolan Mayor Sandy City Rolayne Fairclough Transportation Consultant Wendy Fisher Executive Director Utah Open Lands Tage Flint General Manager Weber Basin Water Conservancy District Bryson Garbett President Garbett Homes

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267 Maria Garcia Executive Director NeighborhoodWorks Salt Lake David Gee Attorney Parr B rown Gee and Loveless Matthew Godfrey Better City Stephen Goldsmith Associate Professor College of Architecture + Planning, University of Utah Gladys Gonzalez President Hispanic Marketing and Consulting Jeff Holt Chairman Transportation Commission, Utah Department of Transportation Karen Hale Communications Director Salt Lake City Corporation Roger Jackson Architect FFKR Architects John Kimball Former Director Utah Division of Wildlife Ted Knowlton Deputy Director Wasatch Front Regional Council Charlie Lansche V.P. of Public Affairs Fidelity Investments David Livermore Utah State Director The Nature Conservancy Kelly Matthews Former Chief Economist Wells Fargo Ben McAdams Mayor Salt Lake County Neylan McBaine Brand Strategist, BonCom Mark M oench Sr. V.P. and General Counsel Pacificorp/Rocky Mountain Power Mike Mower Deputy for Community Outreach Arthur C. Nelson Director of Metropolitan Research University of Utah Jeff Niermeyer Director Salt Lake City Public Utilities Alan Ormsby Executive Director AARP Stephen Osguthorpe Former Chair Weber Basin Water Conservancy District June Pace Community Activist

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268 Pam Perlich Senior Research Economist Bureau of Economic and Business Research, University of Utah Warren Peterso n President Farmland Reserve Roland Radack Executive Director Church of Jesus Christ of Latter day Saints Foundation J. Bonner Ritchie Retired professor Utah Valley University Jan Scharman Vice President of Student Life Brigham Young University Selma Sierra Director of Energy and Environmental Policy Utah State University Research Foundation Wilf Sommerkorn Planning Director Salt Lake City Jessie Soriano Former Director Staff Office of Ethnic Affairs Robert Spendlove Deputy for State and Federal Rel ations Peter Stempel President Stempel Form PC Jerry Stevenson State Senator Utah Legislature Lucille Stoddard Former Member Utah State Board of Regents Mary Street Land and Investment Specialist Commerce Real Estate Solutions Lisa Sun Professor of Law Brigham Young University David Sundwall Former Director Utah Department of Health Gary Uresk City Administrator Woods Cross City Blaine Walker President The Real Source LaVarr Webb President The Exoro Group

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269 APPENDIX H : ENVISION UTAH SCENAR IO ANALYSIS, JANUARY 1999 Scenario A Housing: People live farther apart and have more privacy Most new housing is single family homes on large lots Fewer housing choices than today; less housing available in all catego ries, except large lot, single family Single family homes would represent 77% of the housing mix, up from 68% in 1990 Average size of single family lot increases from 0.32 acre today to 0.37 acre in 2020 Land: Land consumption is higher than in other scenarios Urbanized areas grow by 95% from 1998 to 2020 Open space and farmland are consumed more rapidly than in any other scenario Reuse of existing urban areas is minimal Transportation: People benefit from convenience of automobile travel and expanded road network Fewer transportation choices, due to increased reliance on automobile travel Compared to the other scenarios that means: Increasing vehicle travel Families need to own more cars More money used for highway development 1.5% of population has e asy access to rail transit Cost: Affordable housing farther away from jobs, services, etc., than in any other scenario Infrastructure most expensive of all scenarios Personal transportation costs highest of all scenarios Air Quality: More vehicle travel created worst air quality of all scenarios

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270 Water: Water demand is the highest of all scenarios, primarily because of outdoor water use Scenario B Housing: Average size of single family lot remains at current level Most new housing is single family homes on large lots Fewer housing choices than C or D; less housing available in all categories, except large lot, single family Single family homes would represent 75% of the overall housing mix, up from 68% in 1990 A few more condos, apartments, and smal l lot homes than A Land: Land is consumed almost as quickly as in A Urbanized areas grow by 75% from 1998 to 2020 Open space and farmland are consumed more rapidly than in Scenario C or D Reuse of existing urban areas is minimal Transportation: People be nefit from convenience of automobile travel Fewer transportation choices, due to increased reliance on automobile travel Compared to the other scenarios that means: Increasing vehicle travel Families need to own more cars Increased congestion 1.7% of population has easy access to rail transit Cost: Affordable housing farther away from jobs and services Infrastructure second most expensive of all scenarios High personal transportation costs

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271 Air Quality: Second best air quality of all scenarios Water: Water consumption is the second highest of all scenarios Scenario C Housing: Average size of single family lot decreases from 0.32 acre today to 0.29 acre in 2020 Homes are closer together; most new homes are single family homes Wider variety of hous ing options available than in A or B, including townhouses, condos, apartments, and small lot homes Much of new housing would be located in villages and towns situated along major roads and rail lines Land: Land consumption is slower than A or B Urbanized area grows by 29% from 1998 to 2020 New development is placed within existing urban areas and clustered around transit routes, leaving more land for open space and agriculture Transportation: Expanded transit system augments road network to provide: More transportation options Lower per person transportation costs Families can operate with fewer cars 25% of population has easy access to rail transit Rail transit provides convenient access to most Salt Lake area communities Cost: Diversity of housing options makes affordable housing available Lowest infrastructure costs of all scenarios

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272 Lower personal transportation costs than A or B Air Quality: Best air quality of all scenarios Water: Second lowest water consumption of all scenarios Scena rio D Housing: Average size of single family lot decreases from 0.32 acre today to 0.27 acre in 2020 Homes are closer together than in all other scenarios; most new homes are single family homes or townhouses, but on smaller lots than A or B Wider variety of housing options available than all other scenarios Most new housing would be located in existing urban areas and in villages and towns situated along major roads and rail lines Land: Land consumption is slower than all other scenarios Urbanized area grows by 20% from 1998 to 2020 Large portion of new development is placed within existing urban areas and clustered around transit routes, leaving more land for open space and farmland than any other scenario Transportation: Greatly expanded transit system augments road network to provide more transportation options 32% of population has easy access to rail transit Convenient transit access to most Salt Lake area communities, Ogden, and BYU Cost: Diversity of housing options makes affordable housing closer to jobs Second lowest infrastructure costs of all scenarios

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273 Lowest personal transportation costs of all scenarios Air Quality: Better air quality than A, worse than B or C Water: Lowest water consumption of all scenarios

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274 APPENDIX I : TIMELINE OF ENVISION UTAH PROCESS AND SELECTED PROJECTS (Envision Utah 2013d) 1997 Envision Utah was created Baseline Scenario was developed to guide scenario development 1998 growth sc enarios Hosted seven community workshops exploring various development types 1999 Distributed the Envision Utah questionnaire to 600,000 residents (17,000 responded) Held three regional mapping workshops regarding implementing the vision Held six site specific community design workshops to demonstrate quality growth principles Released the Quality Growth Strategy 2000 Visited 89 city councils and county commissions to introduce the Quality Growth Strategy ols for quality growth Presented the Toolbox to over 2700 community leaders Facilitated the creation of the Davis County Shorelands Vision Plan 2001 Began providing cities with resources to make specific changes to their codes, ordinances and general plan s Established the Envision Utah Governor's Quality Growth Awards 2002 Updated Toolbox of Urban Planning Tools for Quality Growth Created Wasatch Front Transit Oriented Guidelines Coordinated the creation of a Regional Transportation and Land Use Opportunities Strategy Facilitated Layton, South Salt Lake, Murray and West Jordan TOD site plans Created the West Weber Community Vision 2003 Worked with 200 community leaders to renew and re prioritize the Quality Growth Strategy Facilitated modificati ons to Wasatch Front Regional Council's 2030 Long Range Plan

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275 Committed funds and staff resources to add a recreational component to the Ogden Valley General Plan Provided tools, analysis and technical expertise to help Kearns and Magna update their general plans Partnered to begin creating IMPACS (Municipal Infrastructure Cost Modeling) Began Brigham City Community Vision 2004 Facilitated Perry City Community Workshop Facilitated Millcreek Community Workshops Provided on going Transfer of Development Right s training in Davis County Began Ogden Valley Recreational General Plan Vision Began formal study of Transfer of Development Rights in Tooele County Facilitated the signing of the Mountain View Vision Voluntary Agreement by all mayors along the corridor 2005 Held Wasatch Choices 2040 workshops on vision transportation and land use in four counties; over 1,000 attended Created the Municipal Economic Development Toolbox and held an accompanying educational forum Developed updated general plans for Brigham C ity and Perry City Completed Visioning Workshops for Kearns, Magna and Millcreek 2006 Released the Wasatch Choices 2040 report which formed the basis for the long range transportation plan Began the Vision Dixie process in Washington County Utah's two lar gest MPO's adopted the Wasatch Choices 2040 principles Facilitated community workshops to update Sandy City's Historic District Plan Weber County Commission adopted the Ogden Valley Recreational Plan Facilitated a community process to revitalize Bountiful City's Historic Fort District Created the Brownfield Redevelopment Solutions toolbox and released it at an educational forum 2007 Held last of 22 public meetings to gather input for Washington County's Vision Dixie Began meeting with 15 municipalities and 3 counties to set stage for Blueprint Jordan River visioning process 2008 Facilitated Sandy City's downtown vision Facilitated Blueprint Jordan River, the first publicly supported vision for the 58 mile Jordan River Corridor Managed the Envision Morgan process

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276 Facilitated first out of state process: Missoula, Montana's long range transportation plan 2009 Released the 3% Strategy to guide future land development along significant transportation corridors Began the Wasatch Canyons Tomorrow process to update Salt Lake County's 1989 canyon master plan Began the Envision Cache Valley visioning effort to explore growth issues that cross a state boundary Re leased Blueprint Jordan River 2010 Coordinated the creation of the Jordan River Commission, which has representation from 15 cities and three counties. Completed the Wasatch Canyons Tomorrow process, which involved more than 16,000 residents Completed t he Envision Cache Valley visioning process 2011 Partnered with the State of Wyoming to facilitate the High Plains Initiative Unveiled the Bear Lake Valley Blueprint 2012 Envision Utah celebrated its 15 anniversary. Envision Utah has facilitated over 40 regional and local visioning processes, involving well over 50,000 in over 400 workshops. The Envision Utah model of civic engagement has influenced nearly 100 regions in the United States as well as more than a dozen countries. Began educating organizatio ns from 44 states on developing grassroots, market driven scenarios 2013 Kicked off the Envision Madison public process in Madison County, Idaho Created an interactive resource on managing a public process, including elementary values analysis, behind the scenes activities for successful community involvement, developing scenarios, potential tools, and managing workshops

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277 APPENDIX J: ADDITIONAL INTERVIEW RESPONSES Regional Impact What are the measures of success? If the measures are goodwill, making planning safe to talk about, bringing people together, idea exchange, dialogue all very worthwhile measures then A+. If the measures are stopping sprawl, zoning changes, public funds for conservation, cleaner air, really is a hard metric, which is the transportation piece. The rest of those have been done (confidential interview #6, July 2013). Process I [also] thought it was remarkable that an organization like that, with a board and ste ering committee of community leaders would welcome in a newbie. In town feel, you got involved the more impressed I was. The level of commitment of community leaders, the genuine interest in understanding public values, and this notion which was kind of new to me about building a community m their life what matters to them most, what kind of world do they want for their kids and then we can st art thinking about how we build our transportation system and housing and other infrastructure elements in order to satisfy those values. A new approach, but I think an important one (confidential interview #4, July 2013). Envision Utah has uniquely I sa y in terms nationally has been able to engage and keep engaging leaders in private and public sector at looking at and addressing long term aspirations and issues associated with the communities and environment we live in (confidential interview #2, July 2 013). adaptable their work reflects the outcomes of the analysis and of a fully successes engaging the pub lic. In a way they are struggling have a huge process going on now, but they are continuing to work on that and look at that. They maintain creditability by engaging such a wide spectrum of the community effectively, and doing so for so long ( confidential interview #2, July 2013).

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278 through the process, the general public became more educated on planning issues and how those issues changed their lives. Because the pro cess was very issues (confidential interview #4, July 2013). s not unique to Envision Utah i principal that applies to a thousand places and I ref er to it as the point on the horizon. By taking the planning horizon out far enough by having a you take the threat of my next project off the table. I and the neighborhood project re no longer adversaries, and in fact, when you ask me, representing the homebuilder industry, and you ask those who oppose my project what is it you want our community to be like 25 or 50 year s from now? Give me your top ten attributes I write down mine, you write down yours, we compare our lists are almost identical, in many cases they ARE but as we start working towards that point on the horizon, we start coming together. And it starts to become easy anymore. out of the planning process no long er a threat to anyone. The honesty in the scenario building that allowed people to understand that they have a choice. they are telling you this is what the outcome could be. I can promise you there was nobody in those early Envision Utah meetings who saw the end from the beginning. There was nobody there who understood how all these pieces were going to come together, and the outcome it was going to have. There was much more flying by the seat of your pants than I think most people would acknowledge. But those three or four principles all sort of converged to keep it moving forward, and to allow the advocates for the process to reasonably compete with the but we could reasonably compete ( confidential interview # 3, July 2013). Inclusiveness I was impressed by the work Envision [Utah] was doing and thought it provided valuable information for stakeholders and influencers. It also allowed others to provid e input to the process (confidential interview #9, July 2013).

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279 Leadership [Steven] Holbrook was incredibly artful at reaching across any boundary. He had a great political sense of how to handle things in a way that maintained the credibility and usef ulness of Envision Utah (confidential interview #2, July 2013). Holbrook coupled with Robert Robert being a visionary; Holbrook being master of politics in Utah they pulled it off together. Alan Matheson carried it on very well, though perhaps slightly q uieter (confidential interview #2, July 2013). Robert was hired when Alan Matheson went to work for the governor, and credibility (confidential interview #1, July 2013). If (confidential interview #8, July 2013). I give Dan Lofgren a hundred, a thousand percent credit. He and I were on the bo ard interests, but he was always involved in problem solving and expressing his point of a g ood job (confidential interview #1, July 2013).