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The role of the city manager and Matrix Management in formulation of an infilling policy in Colorado Springs

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Title:
The role of the city manager and Matrix Management in formulation of an infilling policy in Colorado Springs
Creator:
Scott, Jim Alice
Place of Publication:
Denver, CO
Publisher:
University of Colorado Denver
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Language:
English

Thesis/Dissertation Information

Degree:
Doctorate ( Doctor of public administration)
Degree Grantor:
University of Colorado Denver
Degree Divisions:
School of Public Affairs, CU Denver
Degree Disciplines:
Public administration
Committee Chair:
Gage, Robert W.
Committee Members:
Mull, James A.
Fellows, George H.

Notes

Abstract:
In many areas of the United States today, municipal governments are finding it increasingly difficult to formulate effective land use policies in their rapidly changing urban environments. To solve part of this problem, some cities have promoted infilling, a term which refers to development of vacant land within the city's current bound aries. However, cities to date have been less successful in adopting infilling policies to deal with land use problems. This research project describes the role and management style of the City Manager of Colorado Springs in establishing such a new land use policy. The formulation of this policy prefaced the Colorado Springs City Council adoption of an Urban Infill Resolution which encourages the development of vacant, bypassed land within the City. It demonstrates the need for broad based participation of interest groups in the community and the continuous involvement of city depart ments at various levels. The dissertation points out the importance of elected officials in their role as policy initiators. However, the role and management style of the city manager is the principal focus of the paper because this role is held to be critical to the adoption of an infilling policy, and there has been relatively little published in public administration literature or planning literature to show the interact ions· between managers and planners, or the city manager's relationship to city council and community interest groups as new land use policy is formed. The purpos·e of this dissertation is to demonstrate that city managers can use management techniques to encourage internal as well as external participatory management in land use policy formulation processes; that coupled with a data gathering system based on rational comprehensive approaches to land use planning, the manager can develop a policy with broad consensual support; and that in fact, without the matrix management participatory style, policies may not be developed and implemented. The dissertation links the case study of Colorado Springs to general public administration literature through the use of several key phrases used by public administration authors such as Louis Gawthrop, Deil Wright and John Gaus. In addition, the Colorado Springs case study is compared to a similar case study of St. Paul done by Alan Altshuler, pointing out key variables which supported the successful adoption of a land use policy in Colorado Springs. The dissertation asserts that absence of these variables in the St. Paul case contri buted significantly to its lack of success.

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Full Text
THE ROLE OF THE CITY MANAGER AND
MATRIX MANAGEMENT IN FORMULATION OF AN INFILLING POLICY IN COLORADO SPRINGS by
Jim Alice Scott
B.S., University of Texas, 1948 M.P.A., University of Colorado, 1973
A thesis submitted to the Faculty of the Graduate School of Public Affairs of the University of Colorado in partial fulfillment of the requirements for the degree of Doctor of Public Administration Department of Public Affairs 1981


This Thesis for the Doctor of Public Administration by
Jim Alice Scott has been approved for the Graduate School of Public Affairs
by
Date
/9

Scott, Jim Alice (D.P.A. Public Administration)
Thesis Title: THE ROLE OF THE CITY MANAGER AND MATRIX MANAGEMENT IN FORMULATION OF AN INFILLING POLICY IN COLORADO SPRINGS
Thesis Directed by: Professor Robert W. Gage, Chairman
ABSTRACT
A. Problem and Purpose
In many areas of the United States today, municipal governments are finding it increasingly difficult to formulate effective land use policies in their rapidly changing urban environments. To solve part of this problem, some cities have promoted infilling, a term which refers to development of vacant land within the city's current boundaries. However, cities to date have been less successful in adopting infilling policies to deal with land use problems.
This research project describes the role and management style of the City Manager of Colorado Springs in establishing such a new land use policy. The formulation of this policy prefaced the Colorado Springs City Council adoption of an Urban Infill Resolution which encourages the development of vacant, bypassed land within the City.
It demonstrates the need for broad based participation of interest groups in the community and the continuous involvement of city departments at various levels.
The dissertation points out the importance of elected officials in their role as policy initiators. However, the role and management style of the city manager is the principal focus of the paper because


this role is held to be critical to the adoption of an infilling policy, and there has been relatively little published in public administration literature or planning literature to show the interactions between managers and planners, or the city manager's relationship to city council and community interest groups as new land use policy is formed.
The purpose of this dissertation is to demonstrate that city managers can use management techniques to encourage internal as well as external participatory management in land use policy formulation processes; that coupled with a data gathering system based on rational-comprehensive approaches to land use planning, the manager can develop a policy with broad consensual support; and that in fact, without the matrix management participatory style, policies may not be developed and implemented.
The dissertation links the case study of Colorado Springs to general public administration literature through the use of several key phrases used by public administration authors such as Louis Gawthrop, Deil Wright and John Gaus. In addition, the Colorado Springs case study is compared to a similar case study of St. Paul done by Alan Altshuler, pointing out key variables which supported the successful adoption of a land use policy in Colorado Springs. The dissertation asserts that absence of these variables in the St. Paul case contributed significantly to its lack of success.


B. Findings and Conclusions
The study finds that the city manager's role and use of a participatory matrix management style is fundamental to the success of the experimental effort to formulate a new land use policy encouraging the development of vacant land within the city. The dissertation concludes that such a policy must be undergirded by a data base and administrative procedures which support the policy in departmental master plans and annual general purpose budgets as well as capital improvement programs. The author urges continued research and suggests that public administration literature should build stronger linkages between city management and the development of urban land use policies.


TABLE OF CONTENTS
LIST OF ILLUSTRATIONS ACKNOWLEDGMENT
Chapter
I: INTRODUCTION ............................................. 10
A. Problem
B. Purpose
C. Theoretical Justification and Literature Search
II: METHODOLOGY ....................„......................... 48
A. Justification of Case Study Methodology
B. Field Research of Management Techniques
III: CASE STUDY: INFILL POLICY FORMATION IN
COLORADO SPRINGS ........................... 76
A„ Introduction
B. 1979: Colorado Springs' Ecological Setting
C. Forming an Urban Infill Policy for Colorado Springs
IV: COMPARISON OF COLORADO SPRINGS AND ST. PAUL CASE STUDY .. 120
A. Highlights of the St. Paul Case
B. Paradigm: Comparative Analysis in Land Use Policy
Formation - St. Paul and Colorado Springs
V: CONCLUSIONS .............................................. 142
A. Summary Comparison: St. Paul and Colorado Springs
B. Unique Features of Colorado Springs' Matrix Management
C. Matrix Management Weaknesses, Areas for Future Research
D. Value of Urban Infill Policy


E. Reaffirmation of Intent
155
F. Concept Synthesis ........................................... 159
BIBLIOGRAPHY ........................................................ 163
APPENDIX:
A............................................................... 170
B............................................................... 173
C............................................................... 180
D............................................................... 181
E............................................................... 182
F............................................................... 183
G............................................................... 189
H............................................................... 192
1............................................................... 194
J............................................................... 195
K. ............................................................. 200


ILLUSTRATIONS
Exhibits
1. Hypothetical Base Map ..................................... 60
2. Old Buck Slip Form ........................................ 67
3. Revised Buck Slip Form .................................... 68
4. Planning Matrix ........................................... 71
5. Urban Infill Policy Resolution # 150-80 ..... 73 * 1 2 3 4 5 6
6. Summary of Infill Meeting, August 30, 1979 ................ 99
7. Summary of Mesa Project's Planning Matrix ................ 103
8. First Draft: Urban Infill Policy ......................... 110
9. Second Draft: Urban Infill Policy ........................ Ill
10. April 7, 1980 Memorandum to City Council ................. 114
11. Third Draft: Resolution # 150-80 ........................ 117
Charts
1. City of Colorado Springs Organizational Chart ............. 79
2. Case Study Chronological Chart - Colorado Springs ......... 87
3. Comparison of Case Studies on Land Use Policy Formation:
Colorado Springs and St. Paul ............................ 121
4. Defining "Urban Infill" .................................. 128
5. Matrix: Integrating Urban Infill Policy Resolution into
Colorado Springs Operational Structures .................. 135
6. A Concluding Synthesis .................................. 161
Diagram
1. James Easton: A Dynamic Response Model of a Political
System ................................................... 161
Illustration
1. Newspaper Clipping: Colorado 'Springs-'Gazette Telegraph,
June 1, 1979.............................................. 96


Acknowledgments
Members of the City of Colorado Springs administrative staff played an important role in the project which formed the basis for this case study. The author's understanding of departmental issues in land use policy formation was greatly enhanced by the following persons: Hartley (Bud) Owsley, Director, and Larry Manning of the Planning Department; DeWitt Miller, Directof of Public Works; James Philips, Director of Utilities, and members of his divisions such as Ed Bailey, Balu Bhayani, Surest Patel, Dennis Cafero, Wes Fielder, Jonathan Downing and B.G. Carter; Larry Schenk, Director of Parks and Recreation; Police Chief John Tagert; Fire Chief Richard Smith; James Ringe, Director of Community Development; James H.B. Wilson, Director of Finance and Management Services and James Colvin, City Attorney. Ann Altier of the City Manager's staff ably maintained communication links and correspondence important to the project.
Special thanks to the Dissertation Committee: its chairman, Robert W. Gage; James A. Null, whose wisdom has guided the author's academic development for a decade; and George H. Fellows, whose support matched the professional skills in municipal management described in this case study.
Various others helped in several ways: Susan Watkins, Linda Eichengreen and Velma Swanson gave critical comments; Rae Hellen skillfully typed the final draft. The -strong, suppprt of all family1 members helped..The author is particularly grateful to Jim Scott, her husband and partner for over thirty years, for being himself.


10
CHAPTER I INTRODUCTION A. Problem
In many areas of the United States today, municipal governments are finding it increasingly difficult to formulate effective land use policies in their rapidly changing urban environments. Until recently, it was assumed that urban growth per se was beneficial to the public as well as the private sector. However, current city governments are finding their fiscal resources strained and the public infrastructure over-extended by the demands of sprawl-type land use development. In addition, finite resources such as land, water and energy are being exhausted exponentially.
To solve this problem, Colorado Springs and other cities such as Phoenix, Charlotte-Mechlenburg, Indianapolis, Knoxville, Louisville, Mount Vernon, Omaha and Duluth have become interested in promoting "infilling." The term, infilling, refers to the development of vacant land within the city's current boundaries.
The Colorado Springs City Council initiated that city's effort by requesting policy recommendations from the city administration.
It became the City Manager's responsibility to determine how that > policy formulation process should be conducted and what the criteria for the policy statement would be.


12
external standards and goals. Management provides the structure, and determines the process through which policy can be formed and implemented to reflect these various concerns. This feat must be accomplished with a minimum distortion from policy formulation to decision-making and implementation. In urban administration, this is clearly a significant challenge for city management in the 1980s.



13
B. Purpose
The purpose of this dissertation is to demonstrate that city managers can use management techniques to encourage internal as well as external participatory management in land use policy formulation processes; that coupled with a data gathering system based on rational-comprehensive approach to land use planning, the manager can develop a policy with broad consensual support; and that in fact, without the matrix management participatory style, policies may not be developed and implemented.
The Colorado Springs City Manager's approach to land use policy formation demonstrates the internal effectiveness of an inter-disciplinary task force made up of department heads of the City and the efficiency of project management with parallel leadership from the City Manager's Office and the Planning Department. The City Manager's sense of timing with the City Council and the involvement of interested community groups at key points in the decision-making process demonstrates judicious use of City Council's time and effective external participation of community groups in policy formation.
The author believes that the field research on which the Colorado Springs case is based can forge stronger links between certain fundamental public administration concepts of administrative management (such as participatory management, rational-comprehensive planning and defining of the role of city management in land use planning). A new land use policy based on these concepts is more


14
likely to produce a satisfactory policy and less likely to suffer the fate of oblivion which Altshuler described for St. Paul."*
Specifically, it is the purpose of this dissertation to
show:
- that management has a key role to play in land use policy formation, and that with management guidance, outcomes are more satisfactory for all parties.
- that management, through matrix management, can serve as the link which transforms input from external and internal environments through a conversion process based on rational-comprehension planning techniques.
Alan Altshuler, "A Land-Use Plan for St. Paul," The Inter* University Case Program #90 (Syracuse, New York: Inter-University Case Program, College Division, Bobbs-Merrill Company, Inc.,1965),


15
C. Theoretical Justification and Literature Search
1. Introduction.
This dissertation advances the hypothesis that the role and management style of the city manager is critical in formulating new land use policy. The justification for this study is supported by the fact that general public administration literature analysis of this subject has been limited, and because this management function merits greater attention in that literature.
Through the use of a case study, the formation of a new land use policy in Colorado Springs is explored; a descriptive analysis of the role and management style of the City Manager is developed; and the Colorado Springs case is contrasted to another land use policy formation case study of St. Paul. The analysis is limited to the unique and novel aspects contrasting the two cases. A number of phrases used by well-known authors and a political policy analysis model are used to link the case study to general public administration concepts. The final section of the concluding chapter synthesizes the concepts, case study, paradigm and policy analysis model.
The key phrases from public administration literature explain the environment of local government and public policy formation. They are conceptual linking pins for this dissertation. They include:
(1) Louis Gawthrop's phrases, "environmental turbulence," "change agent," and "rational-comprehensive planning;" (2) John M-. Gaus' phrase "ecology in government," and Deil S. Wright's phrase, "electric transformer." In addition, the author uses a hybrid term, "modified matrix management" to describe the management style and form used by


16
the City Manager of Colorado Springs to guide the process used to formulate the new land use policy.
The terms are linked in the following manner: The concept, "ecology in government" provides the framework for the variables which need to be kept in balance if orderly change is to occur.
Such change can be orderly only if the "environmental turbulence" which always surrounds change remains within acceptable bounds.
The city manager serves as an "electric transformer" to exercise considerable, but not exclusive control over the energy exchange.
He and others, such as the planning director and the author, serve as "change agents" to convert the energy inputs to productive outputs. The manager amalgamates the perspectives of elected officials, the various elements of the private sector, and the city administrative staff. Stabilizing factors within this environment are:
- "rational-comprehensive planning" by which data are aggregated and processed in a professional manner;
- "modified matrix management" techniques which employ boundary-spanning capabilities within the organization (between departments) to achieve the final policy product, and to bring input from the external environment.
This emphasis on the city manager's role called for an eclectic approach in the literature search. As a generalist, the city manager selected from a wide array of specializations and acted on premises drawn from a number of philosophical points of view. To portray the scope of effort and the influence of many variables, the dissertation cites select literature pertaining to policy formulation and urban design as it relates to social, political, economic,


17
psychological and physical considerations. Citations from this broader search are limited to those useful in the exposition of management problems associated with the formation of a new land use policy in a rapidly changing urban environment.
The author surveyed key articles appearing in the Municipal Year Book since the 1930s, tracing professional thought regarding the role and management style of the city manager. This was deemed necessary because the main thrust of public administration literature has been dominated by political scientists whose primary interests were elected officials, their actions and their relationship to their environment. The dissertation does not dispute the importance of these studies nor the importance of the elected official to ecology in government. However, it is the author's contention that the attention paid to elected officials has slighted the role of the city manager, particularly in the area of land use planning. The actual process by which the city manager participates in land use policy formulation has not been addressed to any significant degree. Although the current general public administration literature accepts the theory that the city manager, as well as the private sector manager, exercises policy formulation functions, few articles explore the implications and application of this theory in practice.
The complexity and turbulence of the urban manager's environment is discussed in literature such as the "Symposium on
2
the American City Manager. . ."in the Public Administration Review." 2
2
Keith Mulrooney , ed. , "Symposium on The American City Manager
An Urban Administrator in a Complex and Evolving Situation," Public
Administration Review, 21 (January/February 1971): 6-46.


18
However, little is said about the city manager's role in land use policy formation. Even The International City Management Association's (ICMA's) "Green Books," (Municipal Management Series—which i serve as excellent texts for city managers and others in municipal management), do not emphasize the role of the city manager in formulating land use policies. For example, the newly published i volume, The Practice of Local Government Planning, makes general remarks about the importance of the relationship of planning to management, but fails to deal in specifics. Managing the Modern City is more explicit, giving a history of planning as a function j of local government, the organizational structuring of planning within municipal government, and significant detail about the i technical aspects of planning. However, the linkage between the | planning director and the city manager is discussed in a very
limited fashion, and the city manager's role in land use policy
4
formulation is minimally addressed. The greatest attention to this relationship was given by ICMA in the December 1969 issue of Public Management which ran a special series of articles discussing various aspects of the planning and management relationship."* A June 1970 3 4
3
Frank S. So, et al. eds., The Practice of Local Government Planning ( Washington, D.C. : The International City Management Association, 1979),pp. 78 and 173.
4
James M. Banovetz, ed., Managing the Modern City ( Washington,
D.C.: The International City Management Association, 1971), Chapter 12.
^Mark E. Keane, ed. , "Planning and Management," Public Management 51 (December 1969): 2-14.


19
issue focused on urban planning/management issues.^ These articles indicate the changing perspective of the ICMA literature and are in harmony with the thesis of this dissertation (which stresses the importance of the city manager's role in land use planning).
2. An Historic Perspective: Linking Key Phrases to the City Manager's Role and Management Style.
The literature search began with material published in the
1930s because at that time municipal government in the United States
was experiencing significant change. In the first issue of the
Municipal Year Book, Louis Brownlow stated:
... to go ahead with any assurance of safety means that the city governments must no longer trust to luck, must no longer grope blindly ahead in the darkness of ignorance, but must commandeer the services of their most disinterested and most enlightened citizens in an effort to chart and plan the road into the future. For this planning they will require as much information as can be assembled. We have lacked information in the field of municipal affairs. . . J
During the Depression, it was local government which had to gear up to implement massive federal programs on very short notice. The fact that many fine public works projects were completed during those years is due in part to the skill of local government management. The environmental turbulence of those years proved the mettle of the council/manager form of government as well as that of individual city managers. At the same time, areas of weakness in local government planning and management were also revealed. The need for
^Mark E. Keane, ed. "Urban Planning and Management," Public Management 52 (June 1970): 3-13.
^Louis Brownlow. "Looking Ahead at City Government,"
Municipal Year Book 1934 ,eds.. Charence E. Ridley and Orin F. Nolt-
ing (Chicago: International City Managers' Association, 1934) p. 7.


20
good information, professionalism and teamwork was, as Brownlow suggests, essential.
a. Environmental Turbulence - Louis Gawthrop's term "environmental turbulence" assists in describing and analyzing the sense of instability and a lack of management control over the environment that existed in cities because of changes during the 1930s. He contends that environmental turbulence is a state of public anxiety which
increases when the "rationale for adhering to the rules of the
8
incremental game becomes less and less persuasive." He believes that this condition is exacerbated by "government's inability to provide effective solutions to an ever-increasing set of technical and logistical problems," and from individuals' sense of moral and ethical frustration in the midst of rapid change over which they feel their control of their own destiny is threatened through in-cremental decisions. Like Brownlow, Gawthrop's solution includes better information, professionalism and teamwork directed toward the areas of instability within the total environment.
Depressions, wars and other national and international traumas impact the stability of local government, but rapid change in the local environment due to growth can also produce environmental turbulence. Land use matters have always been a concern for those who govern and administer municipal government. However, they have been traditionally considered a matter of first concern to the private
g
Louis C. Gawthrop , Administrative Politics and Social Change ( New York: Martin's Press, 1971), p. 7JL
9
Gawthrop , pp. 78 and 83.


21
Bector. Government's corresponding role was to provide appropriate services to protect the stability of the environment.^
As the demand for expanded services occurred, government
itself was altered. If—as many organizational theorists as well
as architects and artists claim—"form follows function," changes
not only altered the form of government, but also created additional
roles for its administrators. This impact of growth was reflected
as early as 1936 when John M. Gaus advocated the integration of city
planning into the general functions of city government.
City planning can no longer remain an unrelated and incidental appendage to the city government if the older and more strongly-rooted municipal functions are to flourish. It must be built into the work of every department and integrated with the financial programs.H
Luther Gulick echoed this sentiment in the 1938 Municipal Year Book as he cited Philip Cormick's The Results of Premature Subdivision. Gulick saw environmental turbulence as a more critical factor when there was a lack of policy coordination with land use planning:
The study . . . which bears upon municipal finance, city planning, and urban economics . . . lays the basis for new forms of control over land value fluctuations and their disastrous effects upon city governments.^
Dennis R. Judd, The Politics of American Cities, Private Power and Public Policy (Boston: Little, Brown and Company, 1979), pp. 33-38.
^John M. Gaus-, "The State of the Nation's Cities," Municipal Year Book 1936 (Chicago: International City Managers' Association, 1936),pp. 5-6.
^Luther Gulick , "Our Cities in 1937," Municipal Year Book 1938 (Chicago, International City Managers' Association, 1938), p. 8.


22
It is clear that leading authors in the field of public administration were able to see the need for linkage between planning— though not specifically land use planning—and management in local government policy formation almost fifty years ago. However, there is great distance between perceiving, articulating, and implementing. The abundance of land, the political and social philosophies of our nation, the simple press of more urgent matters has undoubtedly influenced the manner in which this concept has been accommodated in public administration literature as well as by management at the local government level. As the general concept of planning and management move closer together, it is probable that land use planning and management will do likewise—in the literature as well as in practice.
b. Ecology in Government - Gaus pointed out that people who were dissatisfied with conditions in their environment often blame government :
What does appear with increasing sharpness is the problem noted a year ago by Louis Brownlow—the problem of planning and administration. In studying the various reviews of functional developments . . . one is impressed by the heavy costs of our lack of adequate exact knowledge on which to base programs of public works . . . the confusion and cost resulting from mixing relief and public works without clarifying the respective objectives and possibilities, and hence priorities, of each; the lack of public sentiment places the blame for resulting confusion and waste, with its sense of frustration, upon "politicians," "officeholders," and other tangible objects of attack. The fundamental truth is that we have, in our rapid development, outgrown the neighborhood and village conditions in which our political ideas were formed, and we have failed to achieve any adequate positive conception of the city and its collective services as essential parts in a true economy and welfare essential to all citizens.^
13
Gaus, p. A


23
Gaus later elaborated on his concept of "adequate positive conception of the city and its collective services . . ." in a series of lectures which he delivered at the University of Alabama in 1945. It was there that he defined the term, "ecology in government."
An ecological approach to public administration builds, then quite literally from the ground up; from the elements of a place— soils, climate, location, for example—to the people who live there—their numbers and ages and knowledge, and the ways of physical and social technology by which from the place and in relationship with one another, they get their living. It is within this setting that their instruments and practices of public housekeeping should be studied so that they may better understand what they are doing, and appraise reasonably how they are doing it. Such an approach is of particular interest to us as students seeking to cooperate in our studies; for it invites— indeed is dependent upon—careful observation by many people in different environments of the roots of government functions, civic attitudes, and operating problems.^
The richness of this definition incorporates the natural complexities of the environment into the equations used for public decision-making. It sets the parameters for evaluating government's "public housekeeping ."
Gaus used a list of factors as a means of "explaining the ebb and flow of the functions of government: "people, place, physical technology, social technology, wishes and ideas, catastrophe and personality."^ He believed these eight components to be key in the formulation of policy and the organization of government and saw these components in a dynamic and continuous three-step process: diagnosis-policy-revisions.
Gaus' ecological approach to government also encouraged a 14
14
John M. Gaus » Reflections on Public Administration (University of Alabama: University of Alabama Press,19^7), P* 8.
^Gaus , p. 9.


24
management style which fosters private sector or citizen participation as well as participatory management within the organization structure of government. He quoted Justice Oliver Wendell Holmes who stated: "When I pay taxes, I buy civilization."^ This concept views tax dollars as an investment in government which serves as the guardian of civilization. It presumes that citizens are in partnership with government for the provision of services and that citizens and governmental officials share in the stewardship of tax dollars.
Gaus also appeared to hold common views with David Lilienthal in regard to the viability of local democracy. He quoted Lilienthal:
Unless ... an administrative system is so constructed and operated as to keep alive local and individual responsibilities, it is likely to destroy the basic well-springs of activity, hope and enthusiasm necessary to popular government and the flowering of a democratic civilization. '
However, Gaus also stressed the importance of the governmental structure from within. He saw the need for that structure to be integrated in a manner which facilitated democracy in practice.
The change to the present view that administrative reorganization or city planning is a continuous process, and one to be incorporated in the administrative process itself, is an important step to advance. In fact, we should go further, and rid our minds of the notion that "planning" in the sense of revision of existing policies and procedures is exclusively the assignment of a separate and special "planning" or "research" or "procedures" unit.I®
This segregation of planning from other functions had plagued local government for a number of years. As noted earlier, in land use
16_ Gaus , P- 19.
17
Gaus, P- 8 •
18_ Gaus , P- 147.


25
matters, local government tended to accept the concept that growth per se was desirable and the pattern of growth was governed primarily, if not exclusively, by the private market. Obviously Lilienthal and Gaus were espousing a different concept—one which called for a partnership between the public and private sector and the integration of planning into the mainstream of local government management.
Although other authors writing in the 1940s re-enforced these concepts, the war years forced other matters to take precedence in local government affairs. As the 1943 issue of the ICMA Municipal Year Book pointed out, every aspect of life was affected by the war. Cities, as a domestic frontline, had to ensure that civilian defense functioned in a reassuring manner; that shortages of personnel, supplies, equipment did not unduly thwart government's functions and that population shifts and rationing did not reduce instead of increase the nation's productivity. In the 1943 Municipal Year Book, Walter H.
Blucher identified housing for war workers with the development of difficult transportation plans as the greatest challenge for planning and zoning at the local level, and John B. Blandford, Jr. cited specific functions which local governments performed:
The federal government has depended on local governments to handle some of the toughest administrative jobs in the war effort. Tires, automobiles, sugar, typewriters, and other commodities are rationed through approximately 6,000 price and ration boards organized almost overnight by local government . .
c. Electric Transformer - Perhaps only those who experienced the
administrative and management demands made on local government by 19
19
John B. Blandford, Jr.,"Administrative Organization,"
Municipal Year Book 1943 (New York: International City Managers' Association,19^3)» P* 313.


26
external environmental factors such as the Depression and World War II can appreciate the toll exacted from local government officials. Those years showed that local government officials played a key role in stabilizing a turbulent environment, and as has since been shown, channeling and controlling the flow of that environmental turbulence is a major function of city managers at any period in time.Deil S. Wright, writing a quarter century later, explains this as the role of an "electrical transformer
The manager plan juxtaposes a rational structure that is (or intends to be) administration within a large irrational matrix represented by the pressures of political change. The interface among these forces of relative stability and dynamic change is supplied by the city manager. His role telescopes into a single position conflicting public demands, varied social strains, and shifting community tensions. His total role is analogous to a large transformer in an electric supply system; he regulates the current flow and alters the voltage. In addition he may even supply additional power and change the amperage on his own initiative.21
This description is particularly applicable to the city manager
22
described by Aaron Wildavsky in Leadership in a Small Town.
However, the size of the town may have resulted in Wildavsky giving scant attention to the internal relationships of a city manager (who was a planner by profession) to his own staff. The emphasis was * 21 22
o n
uFor a different point of view on local government's effectiveness during the Depression, see David A. Shannon*- ed., The Great Depression (Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1960), Chapter 3.
21
Deil S. Wright, "The City Manager as a Development Administrator," Comparative Urban Research, The Administration and Politics of Cities, e'd. . Robert T. Dal and (Beverly Hills, California: Sage Publications, 1969),.p. 219.
22
Aaron Wildavskyf Leadership in a Small Town (Totowa, New
Jersey: The Bedminster Press, 1964), p. 388.


27
instead on the city manager's relationship to City Council members, community interest groups and issues. This dissertation focuses on the "conversion process" between the input/output components, thus adding a new dimension to studies made in the past, especially regarding land use planning.
This lack of a "conversion process" in the past is illustrated by the distrust of local governments which led to the creation of separate planning agencies, creating a gap between planning and other functions of municipal government. H. G. Pope criticized this separation and in 1949 spoke positively for a new trend:
City planning activity during the year was characterized by two developments of special significance: first, there appeared to be increasing acceptance among city officials and city residents of the idea that the necessary and proper scope of planning activities goes beyond the traditional concern with public works to include consideration of the prospective development of the city, the desirable goals toward which municipal progress should be directed, and all aspects of community preferences and needs.23
Walter H. Blucher in that same issue added a note of caution:
citizens were less sure that planning techniques and principles were
the panacea they were claimed to be.
More people were beginning to be less sure that more expressways, more parking meters, more official plans, more zoning, more industry, more self-sufficient neighborhood units, more new towns, more urban redevelopment, etc. were going to provide the answers to the problems of our cities.^ * 24
^H. G. Pope, "Our Cities in 1948," Municipal Year Book 1949 (Washington, D.C.: International City Managers' Association, 1949),p. 6.
24
Walter H. Blucher , "Planning and Zoning Developments in 1948," Municipal Year Book 1949.(Washington, D.C.: International City Managers' Association, 1949),p. 253.


28
d. Change Agent - The work of the city manager as an electric transformer in today's changing environment will demand skills equal to or greater than those required during the Depression or war years.
ICMA consistently has been an advocate of greater professionalism in city management as well as throughout city administration. Pope wrote frequently in this regard during the 1940s and early 1950s, advancing the concept of organizing personnel departments and planning departments as a means of improving public administration and assisting the chief executive. He supported the formulation of service standards for all departments of local government.
By 1953, Edward W. Weidner could state that professionalization of public officials and employees in government had progressed beyond the talking stage. In addition, he attempted to put to rest the debate over whether a city manager should be a leader in policy formation. While recognizing that such a development altered the original theoretical basis for the council/manager form of government, he concluded that the consequences would be insignificant:
"At most a few minor practices of council/manager governments,
such as hiring managers without regard to their orientation toward
2 S
policy, might have to be rethought."
These words may have been offered to reassure big city mayors as well as express a new attitude toward the functions and role of a city manager. In any case, the matter was not laid to rest. In the day-to-day decision making, most city managers continued to recognize
^Edward W. Weidner, "Municipal Highlights of 1952,"
Municipal Year Book 1953 (Washington, D.C.: International City
Managers' Association, 1953),p. 3.


29
that they were wise to re-evaluate the appropriate role they were to play each time the composition of the City Council changed, and even as different issues arose. However, the re-enforcement which ICMA gave city managers did help to release many professionals from an exclusively reactive posture. City managers could then more effectively accept their role as change agents not only within the local government organizational structure, but also their function as electric transformers in the community/government relationship.
As a result, the latter part of the 1950s marked the beginning of a shift toward humanism and a concern for social programming as a function of management and planning. Writing several decades later, Gawthrop captures the essence of the city manager's "change agent" role as the electric transformer in a changing urban environment:
In reality . . . every technical and logistical solution tends to generate its own set of social, political and ethical problems. Within the public sector, administrators traditionally have openly proclaimed their concern for all three factors, but in actual practice the legacy of Max Weber provides a sterile atmosphere of impersonal operating efficiency for some^while the pluralist political tradition counsels political prudence for others. The professional change agents hold the key in converting these propositions from pious platitudes into operating realities. The change agents become, in the real sense of the word, the professional administrators of the future; they represent the key operatives who can complete the linkage of interacting and interdependent relationships between the formal organizations and the turbulent environment, and between public and private boundary-spanning units.26
Although Gaus and others placed confidence in the ability of local government to manage change, the federal government has appeared less inclined to do so—despite the rhetoric of decentralization which
26
Gawthropj pp. 106-107.


30
was loudly proclaimed in the 1950s, as well as in the 1970s and the 1980s. Many federal programs implemented in the '50s had negative impacts for local government, although the federal intent was benign. For example, the Housing Act of 1949 and the Federal Aid Highway Act of 1956 were touted as aids to local government. However, even though it afforded housing for many who were unable to own homes previously, the Act served to entrench discrimination against racial minorities through exclusionary zoning, lack of financing for rehabilitation or the purchase of older homes and "redlining" (denial of financing of entire neighborhoods considered to be declining in value and therefore high risks.) The Federal Highway Act provided those who could afford it the opportunity to escape inner city problems by flight to the suburban areas of large cities. The path of federal highways more often than not cut through and disturbed the neighborhood stability of low income neighborhoods where wholesale condemnation of land provided the cheapest routes for expressways. Often Urban Renewal Authorities flagrantly ignored local elected officials as well as professional planning done within the framework of local governments.
This led to controversy since professional planners in the field of land use planning had misgivings about becoming a part of local government’s planning effort. Patrick W. Murphy spoke of these differences in the 1963 Municipal Year Book:
Such consolidation (of planning or urban renewal agencies with existent city departments) has been advocated on the grounds that it may make the realization of plans more likely as the planners no longer stand outside the administration but are integral with it and come to better understand its day-to-day problems. It is also argued that urban renewal is a long-range process, capable of being integrated with planning. Some planners,


31
however, have disputed the advisability . . . declaring that the role of the planner is that of a "gadfly," who should remind administrators and the public that each compromise they make in regard to planning or zoning brings nearer the day of reckoning. These people contend that planners would lose a good deal of their effectiveness in this role if they become a part of the administration itself.27
By 1970, the Municipal Year Book reflected a growth in understanding between planners and management. The American Institute of Architects wrote an article which appeared in that issue. It strongly endorsed the concept of the "design team" for planning purposes.
Space in the Sanskrit text means "opportunity for things to happen" and its inspired use can also mean a way out for American cities. Management of space is the one power cities retain that can force reform, concessions, and ventures from the forces and agencies that appear today to throttle the average municipality.^®
Even though the article fell short of formally relating the role of
the city manager to the planning process, planning was viewed as an
integral part of city management as a whole.
However, the fact that ICMA and the ALA could join forces in seeing the need for the management of space within cities did not bring a quick response from academicians interested in the forces at work in local government. During the '70s academicians had excitedly begun to use more fully scientific research methods and empirical data bases for analysis. Surveying was a popular technique in local government studies, many of which attempted to identify the source and use 27 28
27
Patrick W. Murphy, "Administrative Management," Municipal Year Book 1963 (Washington, D.C.: International City Managers' Assoc-iation, 1963), p. 298.
28
American Institute of Architects, "Urban Design and the
Future of Cities," Municipal Year Book 1970 ( Washington, D.C.: The
International City Management Association, 1970),p. 341.


32
of power at the local level. Most studies were theoretical in nature
and were unconcerned with land use matters. There were two basic
premises being researched: (1) that "elites" rule the decision-making;
(2) that a "pluralistic" group of interests governed decision-making,
usually on an issue-oriented basis. Several authors have summarised
29
I the research done in this field.
Other academicians explored the impact of different forms of
local government on the decision-making process. Their analyses
examined voting patterns of the electorate and the elected officials
as well as demographic correlations. Some authors contended that the
counci1/manager form of government is elitist and less responsive to
! its constituents than the mayor/council form. Counter arguments were
made by ICMA which pointed out that sound management benefits the whole
community and that the council/manager form of government was founded
30
i on non'-partisan, public interest government. Instead of addressing
'
| new management issues such as matrix management, most of the literature was still debating local government issues of the 1960s. 29 30
29
Aaron Wildavsky, Leadership in a Small Town (Totowa, New Jersey: The Bedminster Press, 1964), pp. 349-351; Kenneth J. Gergen, "Assessing the Leverage Points in the Process of Policy Formation," The Study of Policy Formation, eds., Raymond A. Bauer and Kenneth J. Gergen (New York: The Free Press, 1968), pp. 181-182; and F. William Heiss, Urban Research and Urban Policy-Making, An Observatory Perspective (Boulder, Colorado: Bureau of Governmental Research and Service, University of Colorado, 1975), pp. 4-9.
30
Charles R. Adrian and Charles Press, Governing Urban America, 4th ed. (New York: McGraw-Hill Book Company, 1972), Chapters 4 and 5; James M. Banovetz, ed., Managing the Modern City (Washington,
D.C.: The International City Management Association, 1971); Thomas A. Flinn, Local Government and Politics (Glenview Illinois, 1970).


33
e- Modified Matrix Management - While others focused on the 1960s,
ICMA's literature examined management and planning public policy
issues and drew these two professional fields closer together during
the 1970s. As early as the December 1969 issue of Public Management,
ICMA articles stressed the importance of the planner to city manage-31
ment. The planner was pictured as a member of the management team and laid the foundation for the type of dual leadership which the City Manager of Colorado Springs used in his modified matrix management model.
Urban Management styles also gained greater attention in the Municipal Year Book of 1975 which sanctioned the involvement of planners in the management decision-making process:
The historical model of the council/manager relationship stressed the separation of policy making and policy execution.
As with all formal theories of organizational structure and behavior, the traditional model fell more than somewhat short of the ideal. The ICMA has long since laid out an extensive and growing policy role for the professional urban manager. The association acknowledges that city managers and other chief administrative officers are deeply involved in policy development and that generally part of their responsibilities includes the presentation of policy considerations to elected leaders. (emphasis added)^
As the decade advanced, ICMA expanded its literature on the subject of management styles and addressed the subject of matrix management * 32
"^Keane, pp. 2-14.
32
Robert J. Huntley, "Urban Managers: Organizational Preferences, Managerial Styles, and Social Policy Roles," Municipal Year Book 1975 (Washington, D.C.: International City Management Association ,1975), P* 149.


34
as well. Beck explained the various management styles from the
33
perspective of several practicing city managers. Mercer extracted I material from a forthcoming book by Susan Woolston and Bill Donaldson i entitled Urban Strategies for the Eighties. They discuss in detail
I various organizational structures for project management and matrix
34
management, citing the advantages and disadvantages of each. Other
authors such as Davis and Lawrence point out the pitfalls of matrix
35
management as well as its advantages. Kathryn Tytler provides a
"nuts and bolts" analysis which focuses on the implementation of a
, 36
matrix management system.
Although differing in their specific analyses, all this literature supports a more fluid and open style of management than the traditional pyramidial, hierarchical organizational structure permits. Tytler cited several reasons why this form of management is more viable today:
- the greatly increased base of knowledge and expertise of i technocrats calls for interdisciplinary approaches to problem solving; 33 34 35 36
33
Christine S. Beck , "Management Styles—Personal Perspectives, " Mana^emenLt_In^ormajynn_Servine_REPORT 11 (March 1979): 14.
34
James L. Mercer, "Local Government Organizational Structures for the Eighties," Management Information Services REPORT 12 (March 1980): 13.
35
Stanley M. Davis and Paul R. Lawrence , "Problems of Matrix Organizations," Harvard Business Review 56 (May-June 1978): 131-132.
36
Kathryn Tytler , "Making Matrix Management Work—and When and Why It's Worth the Effort," Training (October 1978 ). 78_^2


35
- tight budgets call for maximizing staff resources;
- an increasingly complex environment calls for managers to exercise leadership in policy formation.
These factors all enhance the potential for a new team effort between planners and management at the local government level.
Along with new management concepts such as matrix management, "rational-comprehensive planning," a new approach to planning, gained vogue. These concepts were stabilizing factors for urban planning and management because each promotes openness and the involvement of multi-disciplinary actors in the decision-making process. As Gaus noted, knowledge and participation reduce the potential for environmental turbulence because anxieties are assuaged while fatalism and alienation are reduced. The final portion of this chapter will discuss various aspects of rational-comprehensive planning as they are used in this dissertation.
f. Rational-Comprehensive Planning - Rational-comprehensive planning was defined earlier as a process by which data are aggregated in a professional manner. It is more, however, than a mechanistic tool for management. In Colorado Springs, it operationalized modified matrix management by providing the city manager an internal support system for planning and policy formation. It also provided a conceptual framework to pull together the other key phrases used as linking pins in this dissertation.
As these terms interrelate, the external environment, which Wright describes as a large irrational matrix, comes together with the rational internal management structure of government through the city manager’s function as an electrical transformer. Internally,


36
rational-comprehensive planning is boundary-spanning; that is to say, it crosses departmental lines. Datum is collected in a manner which makes it usable to other departments, to the city manager or elected officials or interested community members. At the same time, information furnished from external sources, such as citizen inputs, is incorporated in the data system. This provides the foundation for ecology in government.
The external element of this large irrational matrix is complex. It includes the attitudes and perceptions of all individuals and groups within the community. As could be expected, they have a variety of views on the subjects such as social and economic issues, urban design, environmental psychology and human ecology. To incorporate these views into the national-comprehensive system calls for a much broader interpretation of the term, and it also requires a broader matrix management style than is found in the private sector. The writings of some public policy theorists support these concepts.
1) Concepts of Public Policy - For example, Burgess' research in public policy formation shows an understanding of the respective roles of various levels of government as well as citizen participation at the local government level. He also conceptualizes the coordination of fiscal and human resources along with programs to successfully implement policy. Burgess' confidence in local government's ability to manage is premised on a belief in democratic processes being exercised in a variety of ways. He contends that federal authorities usually perceive citizen participation exclusively as a public hearing process, but in fact there are


37
other ways, such as advisory committees and commissions, site visits, mini-city halls, neighborhood councils, review boards, and many other
avenues by which citizens have the direct accessibility of elected and
37
appointed officials at the local level.
Burgess offers an operational framework for other public pol-
i icy formation theorists as well. Jones, Wildavsky, Lindblom, as well
I as Bauer and Gergen concur that perception is key to the manner in
38
which a problem is identified. Problem identification precedes problem-solving and it is the function of the public administrator to formulate problems in such a manner that they will be solvable. If citizens* perceptions of the problem do not match that of the city I administration, from the community's point of view, the problem remains unsolved. This was exemplified during the 1960s when urban 37 38
37
Philip M. Burgess, "Capacity Building and the Elements of Public Management," Public Administration Review 35 (December 1975): 705-716; Study Committee on Policy Management Assistance, chairman M.Frank Hersman, Strengthening Public Management in the Intergovernmental System, a report prepared by the Office of Management and Budget, 1975, Burgess a contributing writer; Burgess, et al., "Training Urban Managers: A Curriculum for the Selection, Design Implementation and Evaluation of Alternative Citizen Participation Mechanism," prepared for the National Training and Development Service for State and Local Government (February 1976); Philip M. Burgess and Larry L. Slo-naker, "The Decision Seminar: A Strategy for Problem-solving," A Mer-shon Center Briefing Paper (Ohio State University 1978).
38
Charles 0. Jones, An Introduction to the Study of Public Policy, Second Edition (North Scituate, Massachusetts: Dusbury Press, 1977); Aaron Wildavsky, Speaking Truth to Power, The Art and Craft of Policy Analysis (Boston: Little, Brown and Company, 1979); Charles E. Lindblom, The Policy-Making Process (Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1968); James E. Anderson, Public Policy-Making Second Edition (New York: Holt, Rinehart and Winston, 1979); Raymond A. Bauer and Kenneth J. Gergen, eds., The Study of Policy Formation (New York: The Free Press, 1968).


38

l

i
environmental turbulence came to rest on the doorstep of city halls throughout the nation.
39
In response to this turbulence, the "Kemer Report"
criticized the council/manager form of government, stating these
governments were less responsive to their environment than was the
strong mayor form of local government. The report charged that
elitism shaped local public policy. This influenced a flurry of
studies. The Public Administration Review's "Symposium on the
American City Manager ..." looked at issues pertaining to city
management from the perspective of the city manager. Several
articles addressed issues such as affirmative action and social pro-40
grams. The challenge of the '60s increased city management's awareness of social justice issues. New concepts of "the problem" were generated along with different approaches to problem solving.
New concepts also were presented by authors such as Jacobs, Greer and Keller who addressed issues of social justice, urban design, and the structuring of healthy city environments within neighborhoods and the metropolitan setting. Their literature of the '60s advocated
a more humanistic approach to problem solving and strengthened the
41
citizen participation movement. 39 40 41
39
National Commission on Civil Disorders, Report of the National Advisory Commission on Civil Disorders (New York: Bantam Books, 1968).
40
Mulrooney, p. 8.
41
Jane Jacobs, The Death and Life of Great American Cities (New York: Vantage Book, 1961); Scott Greer, The Emerging City Myth and Reality (New York: The Free Press, 1962); Greer, Governing the Metropolis (New York: John Wiley and Sons, Inc., 1962); and Suzanne Keller, The Urban Neighborhood, a Sociological Perspective (New York: Random House, 1968).


39
By the 1970s, authors such as Miller, Davidson and Peterson
expanded these concepts and began to examine the manner in which
citizen participation may have influenced public policy formation in
areas such as public expenditures for services, the level of taxation,
growth, and the manner in which a city's infrastructure is main-42
tained. Their literature points out the danger of neighborhood parochialism and the resulting effect of citizens' resistance to paying taxes sufficient to cover the costs of expanding services. The
l
net danger has been an inadequate revenue base which has made cities unable to maintain or expand the necessary capital improvement network and/or service delivery system.
It is obvious from this brief review of literature that the role and style of city management has been shaped by its environment. It is also clear that that environment is not only exceedingly diverse in the public's perception of problems and their resolution, it is also apparent that these views are constantly changing.
One of the realities for city management is its closeness to the people and their problems. This is both an asset and a liability. The author believes this closeness increases a city manager's awareness of the diversity of perceptions. However, time pressures and proximity may make it more difficult to step back from the problems. 42
42
Zane L. Miller, "Turning Inward: The Concept and Role of Neighborhood in American Cities," Claud M. Davidson, "Comments on 'The Nature and Role of Neighborhood Organizations in American Cities,'" and William E. Oden, "Comments on 'Turning Inward: The Nature and Role of Neighborhood Associations in American Cities,'" Public Service 6 (January 1979): 7-13; Nancy Humphrey, George E. Peterson and Peter Wilson, "Cleveland and Cincinnati: A Tale of Two Cities," The Urban Institute Policy and Research Report 10 (Spring 1980): 1-6.


40
to look at them from a rational-comprehensive perspective.
The possibility of the city manager gaining distance and a more holistic view is increased by examining the theoretical basis for the myriad attitudes and perceptions found within a given community. A useful tool is the utilization of comparisons. Case studies, empirical research and shared experiences offer city managers yardsticks against which their own unique community problems may be assessed. Individuals and groups behave in certain ways because they perceive community problems from their set of attitudes and perceptions. Wright defines this resulting diversity as the "large irrational matrix" of the total community environment.
The final portion of the discussion of rational-comprehensive planning will explore some of the concepts of the healthy socio/ economic urban environment and the ramification of environmental psychology empirical research. Urban design literature will be cited to demonstrate the manner in which some experts believe planning and design may be rationally applied to the problem-solving process.
2) The "Large Irrational Matrix" - Land use policy formation ultimately becomes a matter of determining the size, growth pattern and density of a specific city. It is directly impacted by the private sector's philosophy of economic development and public sector revenues and expenditures. These interrelate to provide a healthy—or unhealthy urban environment.
Serving as the electrical transformers in these environments, city managers' roles and styles are critical. Their task is to enable government to provide the rational focus which balances the public and


41
private sector's role in public policy formulation. They also must recognize legitimate individual and group self interests as well as the general public interests. Land use matters often become the point of confrontation between parties within the community as well as public-private sector disputes. The rational-comprehensive approach to city management may help quiet these disputes and may call upon the expertise of the internal structure of city government as well as the manager's general understanding of socio/economic theories and the wealth of data produced by empirical studies.
Theories of social justice and economic development need not be mutually exclusive. This is important to the city manager who seeks to be a change agent in land use development concepts. One land use concept, infilling, often creates disputes, anxieties and environmental turbulence in middle-income neighborhoods when multiple-family housing is proposed for isolated vacant lots within a predominately single family neighborhood. The city manager who not only understands the basis for these fears (but also is aware that rational-comprehensive planning to formulate land use policies can mitigate these fears) may be able to avoid increased environmental turbulence as new land use policies support greater densities.
One management technique might include Roberick D. McKenzie's concepts of selective, distributive and accommodative forces of the environment:
. . . human beings are affected by the selective distribution and accommodative forces of the environment—a great deal has been written about the biological, economic and social aspects


42
of competition and selection, but little attention has been given to the distributive and spatial aspects of these processes. ^
Patterns of segregation, poverty clustering and inequality of economic opportunity affect the selective, distributive and accommodative forces of the environment and those who live within it.
If, as McKenzie suggests, these can be mitigated by the distributive and spatial aspects of governmental policy formulation and processes, social justice will be enhanced and the greater economic benefits of spatial concentrations of populations and capital accumulation can be realized.
The potential for achieving this more ideal and healthy urban
environment depends on better understanding of human ecology and
environmental psychology. An annotated bibliography edited by Gwen
Bell, et al. provides an excellent resource for those who choose to
explore these and other aspects of the urban environment as it re-
44
lates to human behavior.
It is encouraging to note that urban planning literature has shown an interest in environmental psychology and human ecology research. Kevin Lynch and Lloyd Rodwin suggest: "A systematic 43 44
43
Roberick D. McKenzie , "The Ecological Approach to the Study of the Human Community," The Social Fabric of the Metropolis, ed.,James F. Short, Jr. (Chicago: The University of Chicago Press, 1971), p. 18.
44
Gwen Bell, Edwina Randall and Judith E.R. Roeder, eds., Urban Environments and Human Behavior, An Annotated Bibliography (Stroudsburg, Pennsylvania: Dowden, Hutchinson and Ross, Inc., 1973).


43
consideration of the interrelations between urban forms and human
objectives would seem to lie at the theoretical heart of city plan-
. »|A5 ning work.
However, Lynch and Lloyd are concerned that practicing planners do not embrace these objectives in an organized, systematic manner as yet.
What does exist is some palliative knowledge of rules of thumb for designing street intersections, neighborhood and industrial areas, for separating different land uses, distinguishing different traffic functions, or controlling urban growth. Analysis of urban design is largely at the level of city parts, not of the whole.46
To correct this approach, Lynch and Lloyd advocate "goal-formed" studies which they believe can lead to new insights regarding the history of city planning as well as provide guidance for future planning. McKenzie's concepts of the distributive and spatial aspects of the biological, economic and social processes would be helpful to this study process. However, planning's relationship to selective, distributive and accommodate forces of the environment has been criticized by those who view urban environment from a social justice perspective as well as those who focus on the revenues and expenditures of government's service delivery system.
In addition, incorporating the citizen participation variable is often seen by public administrators as a threat to good public housekeeping and ecology in government. Yet the manner in which 4 * * * *
4"*Kevin Lynch and Lloyd Rodwin , "A Theory of Urban Form,"
Environmental Psychology: Man and His Physical Setting f e(js# f Har-
old M. Proshansky, William H. Ittelson and Leanne G. Rivlin ( New
York: Holt, Rinehart and Winston, Inc.,1970), pp. 84-85.
A6
Lynch and Rodwin , p. 85.


neighborhoods and community interest groups can productively interact with city government in policy formulation can be demonstrated in the City of Colorado Springs' adoption of a new zoning ordinance regulating the location of foster care homes. In this instance, the City successfully negotiated the distributive and spatial accommodative needs of the various parties and overcame concerns expressed by McKenzie.
3) Empirical Studies as a Tool - City managers also can benefit from research done by national organizations. Rational-comprehensive planning has been strengthened as a science by a number of empirical studies dealing with land use issues. The research of the Real Estate Research Corporation (RERC) and the Urban Land Institute (ULI) are examples.
RERC is currently under contract with the Department of Housing and Urban Development (HUD) to conduct research on infilling.
The study is examining three communities in depth to determine why vacant land within the city has been bypassed for development.
Several other cities, including Colorado Springs, serve as auxiliary cities for the study. The author is an auxiliary reviewer for the materials which RERC is producing. Although the approach of the RERC study is different from that of this dissertation, the author has benefited by being aware of the methodology, and issues being investigated by RERC.
RERC has published the following infill study materials to date: (1) the formal project proposal to HUD;^ (2) the initial research model
47
Deborah Brett, Margery A. Chalibi, Stephen B. Friedman,
Urban Infill: Opportunities and Constraints (Chicago: Real Estate
Research Corporation, research in progress).


45
and methodology, and (3) an annotated literature search on the
48
subject of infilling. None of these materials reflect an intent
to explore the subject in the manner used by the author.
Other RERC materials also have been helpful as background for the author. The classic, The Cost of Sprawl, set the stage for fiscal impact analysis of various land use alternatives in residential development. The study compares the costs of development for raw land, using four different patterns of residential density. It found that cluster development of housing is more economical for
the individual purchaser as well as for the infrastructure costs 49
to government.
Rational-comprehensive planning also is addressed by the Urban Land Institute which published a four-volume study including articles reprinted from other sources. This compendium covers a wide array of land use subjects related to its title: Management and Control of Growth. It should be noted that only one article was directed toward the functions of management from the local
48
Real Estate Research Corporation, Urban Infill: The Literature, Prepared by Real Estate Research Corporation under Contract No. H-2982 for the Department of Housing and Urban Development, Office of Policy Development and Research (Washington, D.C.s Superintendent of Documents U.S. Government Printing Office, January, 1980).
49
Real Estate Research Corporation , The Cost of Sprawl: Environmental and Economic Costs of Alternative Residential Development Patterns at the Urban Fringe, prepared for the U.S. Council on Environmental Quality, the U.S. Department of Housing and Urban Development, and the U.S. Environmental Protection Agency (Washington,
D.C.: U.S. Government Printing Office, 1974).


46
government perspective. This article is a reprint from Public
Management, ICMA's professional journal. It states:
A major result of the concern over excessive growth has been the increasing demands being made on government to begin to effectively manage, or at least guide, growth and its consequences.
But, none of the studies recognized the cornerstone role of local government in managing growth. None explored growth as would a local administrator responsible for dealing with local and federal programs related to growth.^>U (Emphasis added.)
These comments support the major thesis of this dissertation: the city manager is key to the process if rational-comprehensive planning is to be effective as a basis for land use policy formation. ICMA j not only appears to hear city managers, it also speaks to their needs.
The ICMA article for the Urban Land Institute contends that local government is best suited to assume the leadership role in | growth management, even though there are constraints such as federal regulations, as well as the lack of, or inadequacy of, local growth-i related programs.
Managers and administrators should work with their governing bodies in assessing their communities' growth needs, and in adopting a community growth program which includes peoples' attitudes toward the desirability of various levels of population growth, as well as population projects, and the present and future capacities of city and county services and infrastructures (e.g. sewer and water systems, solid waste disposal facilities, transportation systems, recreational facilities, etc.51 (Emphasis added.)
50
International City Management Association 1973 Municipal Management Policy Committee, "Managing Growth: Report of the ICMA Committee on Growth and the Environment," reprint in Management $ Control of Growth, Issues, Techniques, Problems, Trends, Vol. I, ed., Frank S. So, et al. (Washington, D.C.: The Urban Land Institute, 1975): 138.
51
International City Management Association 1973 Municipal Management Policy Committee, "Managing Growth . . p. 139.


47
i Concluding Remarks:
This literature search afforded the author the opportunity , to review a wide array of material dealing with land use policy formation, the role and style of the city manager, rational compre-hensive planning, and the social/economic concepts which shape | individual and group views of the urban environment. Through this process, the author also gained an appreciation of environmental psychology and human ecology as new fields of study. The research being done in these areas is contributing to the changing theories of urban design.
The literature cited justifies the emphasis which this i dissertation places on the role and style of the city manager in the formation of land use policy. The remaining sections of the dis-! sertation offer a case study exposition on this thesis.


kb
CHAPTER II METHODOLOGY
A. Justification of Use of the Case Study Methodology
This dissertation is focused on the role of the city manager in the formulation of a new land use policy to support the development of vacant land within the City of Colorado Springs. The case study method is used to further that purpose, and through that methodology, the author seeks to do the following:
1. To Share Insights with Other Public Administrators.
This case study is intended to stimulate the thinking of other public administrators. To the degree that other public administrators can benefit from its insights, its findings may have transferability. However, Stein's perspective of the usefulness of the case study methodology prevails. He warns against overgeneralization by the author or the reader.
Furthermore, Stein contends that a case should not convey a moral, or state conclusions. In fact, the reader should not be coerced toward one specific judgment.
If the cases are successful, readers will constantly check their previous generalizations and will use the materials to improve their ability to observe and evaluate tendencies and consequences, and to make informed judgments; they will not arrive at a set of uniform judgments. . . . But students of public administration have attempted to push generalization even further—to raise generalization to the level of principles that constitute absolute rules of conduct. . . . Public administration cases do not serve as a book of instructions or a


^9
trade manual, but this very limitation enlarges their sphere of relevance. They deal with decisions.-^
2. To Permit and Encourage Flexibility in Analysis of Complex Environments.
The case study methodology was used for this dissertation because it is a good research tool for examining and explaining a complex cluster of actions within a single setting or environment. Its flexibility allows both controlled and uncontrolled variables. The latter type of variable is typically present in field research, whereas clinical or empirical research can choose to include only those variables which can be controlled.
The case study approach is uniquely capable of portraying the eclecticism of the decision-making environment in which a generalist such as a city manager must function. In this case study, the City Manager was directed by City Council to formulate a new land use policy. The manager converts his perceptions of the total environment as a specific management format is developed. Wright describes
2
this role of the city manager as that of an "electrical transformer."
To demonstrate the manner in which this conversion process functions, three factors were isolated for analysis because these variables were considered significant in the formulation of a new land use policy. These factors are:
- the attitudes, perceptions of elected officials, community interest groups and city departmental administrators;
"^Harold Stein , "On Public Administration and Public Administration Cases," Essays on the Case Method ,ed. Edwin A. Bock (Syracuse, New York: The Inter-University Case Program, 1962), pp. 22-23.
^Wright, p. 219.


50
- the administrative procedures and data gathering techniques developed to support the policy formulation process;
- the role and management style of the city manager.
The city manager can control the last two factors. The first factor is subject to the influence, but not the control, of the manager. The attitudes and perceptions of the various actors are important in the formulation of policy, and will determine their acceptance of the final product. The city manager's role in the input-output conversion is vitally important.
3. To Expand the Scope of Research.
The case study methodology is particularly useful to examine an area which has not been a point of emphasis in other literature for a general field of study. With the noted exception of the literature published by ICMA, the general public administration literature and the literature in other fields of study which deal with the subject of management do not explore in any depth the function of the city manager in the formulation of land use policy. When policy formulation is discussed, more often than not it is assumed that elected or appointed officials have the sole prerogative in this general sphere and especially in land use matters. The planners are recognized as advisers, but city managers are seldom mentioned.
Since empirical research relies heavily on comparative data^ when there is an absence of data from which comparisons can be made, the case study offers the better route for analysis. For the purpose of a comparison of administrative procedures, data gathering and the environment of decision making, another land use case study


51
3
by Alan Altshuler has been used. However, the Altshuler case does not discuss the role or management style of the city manager because there was no city manager in St. Paul at that time. Nevertheless, the argument can be made that the absence of a city manager probably had some bearing on the outcome of the case. Lack of acceptance of St. Paul's plan demonstrates the need for an individual who could serve as the "electrical transformer" within that total environment.
A. To Record and Analyze as a Participant-Observer.
One attribute of the case study methodology used for this dissertation is controversial. In the Colorado Springs case study, the author is a participant-observer or an "insider." Authors such as Stein and his colleagues believe that participant-observers may unduly bias the case study methodology and reduce its scientific usefulness. Towl, on the other hand, points out some advantages to being an insider. He believes that one must get involved in multiple relationships in a case study, and that such relationships can best occur when the author is a part of the group being studied.
It is by involvement in the situation that the researcher from within it, discovers the cluster of data creating an issue in the system requiring discretion, a choice of purpose. . . .
While scholars seek the laws by which these complex forces work, those responsible for decisions at any moment are keenly aware of their need for skill as well as knowledge in charting a new direction for an organization. Those responsible for selecting and persuading men [women] to take such positions are keenly aware how difficult it is to find or to develop men [women] with this orientation and the necessary emotional maturity to:
- seek out and understand actual situations from the administrative point of view;
"^Altshuler, "A Land Use Plan for St. Paul."


52
- relate such concrete situations requiring action to the abstract knowledge and concepts of the subjects they taught;
- use such situations with students in the process of learning and maturity.^1
Towl is viewing the case study primarily as a teaching tool.
In complex subjects dealing with the dynamics of human interaction, Towl's defense of the insider approach has certain merits. The major postulate of this dissertation is that certain management skills are critical to successful policy formulation. Only an insider would have access to the internal actions and interactions which portray the subtle nuances of a management style. The participant observer not only sees the actions, but also has insights about why and how things occur. New understanding of local government may be generated.
The manner in which Bock describes a case study seems to support this assertion:
Case studies are efforts to wrest significant knowledge and useful understanding from the infinite complexity and tangled interplay of forces and actions that make up the continuity of the real governmental process.-^
Had Altshuler understood the governmental processes differently, he might have weighed St. Paul's land use planning problems differently. As an "outsider" in the city administration, his interpretation of events in St. Paul had certain expectations of the internal and external environment. Whether the absence of a conceptualization of the city manager's role in Altshuler's case was the result of the
4
Andrew R. Towl, To Study Administration by Cases Boston: (Harvard University Graduate School of Business Administration, 1969),pp. xiii and 39.
^Edwin A.Bock, Essays on the Case Study Method (Syracuse,
New York: The Inter-University Case Program, 1962),p. 91.


53
fact that the city had no city manager, or the result of an undue focus on the planning process without linkage to the city management function by the mayor or someone else is not known. By the same token, had Altshuler been writing about Colorado Springs from an "outsider" point of view, he might not have perceived the city manager playing a key role.
Bock introduces still another dimension to the subject of bias in research. Quoting Vincent Ostrom, he supports diversity in research strategies: "Diversity in research strategy may do more to increase confidence in our conclusions than merely replicating the same research design in a large number of different situations."^ Ostrom and Bock strengthen the position of case studies in the field of research, and appear to support the viability of either "insider" or "outsider" observers in the preparation of case study analyses.
Finally, Bock good-humoredly attacks the bias which may arise when case study research is narrowly focused on one clientele or purpose:
Certain biases may also arise from limiting the purpose of case studies to those useful to only one clientele. . . . The glint in the eye of a man setting out to truncate a body of life so that it will fit perfectly into his trophy case is a fearsome thing and is often enough to send facts and subtleties of truth scampering for cover. . . . The biases that arise from the preparation of cases exclusively for operational use by officials or agencies come chiefly from the fact that these clients are direct or indirect parties at interest. . . . Biases may also arise from the desire to make case studies and case programs serve scientific purposes. The scientist searching for evidence for a limited hypothesis is a party at interest.^
^Bock , p. 106.
^Bock, pp. 101 and 109.


54
It seems clear that bias may be a pervasive element of human nature, not easily dismissed regardless of the point of view. In the final analysis, the user of a specific methodology should be satisfied that the technology used is appropriate for the specific analytical effort. Research integrity is then a matter of intent and conscience.
5. To Support a Functional Approach to case study Methodology.
Early case studies were primarily administrative histories or the capture-and-record studies which Anderson and Gaus consider representative of the genetic and developmental approach to public administration analysis. In contrast, Anderson and Gaus advocated a "new approach" for examining the activities of public administrators:
The new approach is in the realm of function rather than of structure .... The new approach does not ignore organization .... but look upon it as one of constantly adapting the work relations of people to the needs of service.8
Field research of management in Colorado Springs demonstrates that a functional or procedural approach to a case more effectively illuminates the dynamics of management in policy formulation.
This approach also contrasts with other traditional concepts of public administration:
Conventionally, the other aspect of the public administrator's activities—the definition of his goals, his public and legislative relations, his dealings with pressure groups—has been regarded as somewhat alien to the study of public administration. It has been held to be more properly a branch (or another branch) of political science. This separateness and focus
8
William Anderson and John Gaus, Research in Public Administration (Chicago: Public Administration Service, 1945), pp. 43-44.


55
on narrow specialities or cavalierly dismissing public administration has been one-sided and fragmentary.^1
The ICMA literature has supported a to management for some years. Glover and Horgan believe there are two
| fundamental causes for case studies in urban management not reflecting
I the functional approach more: (1) the lack of adequate research staff
within local urban ogvemment; C2) lack of linkage between cities and
10
I their universities.
|
B. Field Research of Management Techniques
1. General Research.
The following section describes the urban management techniques used by the Infill Task Force as well as the information base and operational procedures used in Colorado Springs. Although matrix management is an organizational structure, it is primarily a functional relationship. The latter is stressed in the Colorado Springs case study.
9
Stein, p. 3.
10
Glover and Horgan are essentially talking about the genetic and developmental approach to planning--not urban land use planning. However, the linkage between land use planning and economics seems clear. If urban management is to be the thrust of research, it can no longer focus exclusively on the structural role of the city manager nor separate the city manager from the total environment in which economics and land use decisions are linked. Today's ecology of government must recognize that local government often exists in an environment of turbulence where the traditional views and concepts are no longer valid for problem solving. Clifford H. Glover and Andrew B. Horgan III, "An International Program in Urban Management," The Municipal Year Book 1978 (Washington, D.C.: International City Manager's Association, 1978), p. 65.


56
2. Management Techniques Used In Colorado Springs.
a. Modified Matrix Management - Several common techniques of management were used in Colorado Springs. Organizationally, the process was structured as a modified management matrix. Generally speaking, matrix management may be described as a dual line of responsibility and supervision with one axis focused on the project or programmatic aspects of coordination while the other axis provides line supervision or the technical management element. The author, as representative of the City Manager's Office provided leadership on the technical axis. Working in tandem, this dual leadership mechanism permitted the City Manager to remain closely involved in the entire process, but actively participate only at key points. It assured maximum involvement of the Planning Department's expertise while shifting some of the coordinating and planning for the project itself to the author in the City Manager's Office. The term "modified matrix management" was used because none of the lines of authority or responsibility were changed during the project, and new matrix management features, such as an interdepartmental task force and citizen input were incorporated in the model.
The process was structured to include all the major department heads of the City. The City Manager formed an Infill Task Force whose membership included the following:
Director of Parks & Recreation Director of Public Works Director of Utilities Director of Community Development Chief, Police Department Chief, Fire Department


57
In addition, the Development Coordinator, the Finance Officer and the City Attorney's staff were involved from time to time. The City Manager, the Planning Director, and the author were permanent members of the Task Force along with department heads. At each juncture of the policy formulation process, the Infill Task Force reviewed and shaped the direction of the overall effort. The ongoing responsibilities for developing information and preparing materials was shared by the Director of Planning and the author. The author had primary research and coordination responsibility.
The process was structured to include community interest groups as well. Individuals representing all the major factions of the community interested in land use policy were kept informed of steps being taken in the administrative procedures, and at each point that materials were gathered to be presented later to the City Council, this group was invited to review and comment. Their views were incorporated into the material if a consensus prevailed. If consensus had been lacking, the City Administration would have made it clear to the community interest groups at what point in time and through which procedures dissenting views could be heard. In the specific case of the Infill Policy Statement, consensus was reached and certain language changes recommended by the community interest groups were incorporated into the final policy statement which the City Manager proposed to City Council.
Matrix management usually refers to the internal structuring of shared management or participatory management.11 Adding the
^Stanley M. Davis and Paul R. Lawrence, Matrix (Addison-
Wesley Publishing Company, Inc., 1977).


58
element of interest group participation as Colorado Springs did is somewhat like sitting on a three-legged stool: one must understand the balance required for stability. The City Manager's role as an "electrical transformer" was key. The Manager's management style played an important function in assuring that balance so that everyone having a vested interest in the process was comfortable. Ecology in government as Gaus defines it recognizes that there are numerous actors and each has a role to play. As noted in Chapter I, Wright's description of the electrical transformer identifies a key factor in the dynamics of change in that environment.
b. Changes in Administrative Procedures and Data Gathering - The matrix management style was also key to the changes in the City's administrative procedures and data gathering techniques. Early in the meetings of the Infill Task Force, certain problems were identified which city administrators felt would inhibit the policy formulation process as well as its eventual implementation. These included the disparate manner in which information was gathered by the individual departments, creating difficulty in combining data for purposes of management; the lack of effective linkage between budget constraints, as well as other City policies, and departmental master plans with proposed land use changes; and the difficulty of providing timely information to the Planning Department and appointed and elected officials under these constraints.
As a result of these concerns, the Infill Task Force designed more effective administrative procedures and data gathering techniques. There were four products of this action: a series of



59
base maps, a revised "buck slip," a Planning Matrix, and finally, the Urban Infill Policy Resolution which the first three products supported. Each of the four products will be discussed relative to their purpose, format and the techniques used in their formulation. 1) Product: Base Maps
Purpose: To provide a common base of mapped information from
which management decisions could be reached.
Format: Maps were drawn to a common scale so that comparisons and management-type decisions could be facilitated. In the past, it was not unusual for maps to be drawn on many different scales to accommodate different departmental purposes. However, for management purposes, decision making was dependent on comparing information across departmental boundary lines and looking at many pieces of information simultaneously. The Planning Department, working with the other departments, developed a series of overlay maps on a common scale with a base map of the vacant land within the City. A hypothetical section of that mapping is shown in Exhibit 1. The maps produced by the Planning Department were too large to be reproduced in this dissertation.
Techniques: The base map overlays included not only boundary outlines for each urban service such as water, sewer, public works (streets), fire service, and other services, but also showed the carrying capacity of this infrastructure by a
12
The ability of the City's capital improvements and service delivery system to supply the demands for facilities and services.


60
Exhibit #1-1
4.
<4. district cii4 s^rvice^


61
Exhibit #1-2
3.
3. FT RADUhbClT^ 5LRVIC.E


Exhibit #1-3
Z. EMlROWffcrtTN. PROR^ertYj


Exhibit #1-4
63


6k
shading technique when possible. In addition, environmental constraints such as steep slopes, the floodplain, and other environmental features were mapped.
2) Product: Revised Buck Slip
Purpose: The buck slip is a form on which city departments
convey to the Planning Department comments for a proposed land use change. Buck slips had been used for some time, but were considered inadequate because departmental responses tended to be cursory, causing some of the departments to view them as a waste of time. The purpose of revising the buck slip was to make it a more useful planning and management tool for all parties. The maps helped private developers' planning and made data more accessible for interested community groups or individuals as well. The departments were hopeful that, since they were making an effort to provide more analysis, the applicant for the proposed land use would see the benefit in providing adequate information about the nature of the proposed land use project.
Format: City departments were interested in portraying information which reflected their concerns about budget and capital improvement commitments to which they were already obligated as well as showing the applicant the impact of the proposed land use change vis-a-vis the department's master plan. The department's ability to help developers reduce costs and time was viewed as a direct correlate to the timing and adequacy of the


65
information which the departments received from the developer and the Planning Department.
Techniques: The revisions of the buck slips involved a three-
step process. First, the author and a planner interviewed
each department head who was a member of the Urban Infill Task
Force. From that interview a draft revised buck slip was
developed by the department and the author. If the latter, the
draft was sent back to the department for changes until it was
satisfactory to the department. The buck slips were designed
to address macro and micro elements of the departmental area
13
of responsibility for the City's infrastructure.
After the buck slips had been revised, the Planning Department identified six vacant land areas within the city to test the new buck slips. The departmental responses were assessed on the basis of the adequacy of the responses in terms of the Planning Matrix (see Exhibit 4) and its general usefulness for decision making. One of the sites was a land use change which had been recently reviewed using the old buck slip form. The revised buck slip provided a greater amount of data, and revealed a conflict between the master drainage plan and the master park plan which had not been identified previously. The
13
For example, the acquisition, treatment and transmission of water is a macro element of the City's water system while the distribution of water directly to the customer involves the micro elements of the system.


66
developer also obtained new information which altered the costing out of the project.
This testing also revealed flaws in the revised buck slips of which a major one was the inability of the form to adequately address such differing land use changes as a master plan or a simple zoning change. In an effort to rectify this flaw, a flow chart was developed by the planner and the author to identify the types of information normally received at a given point in any proposed land use process. In addition, the decision which might be made at each juncture was also charted. This substantiated the need for a buck slip to serve each type of land use change request rather than attempting to use one general form to cover all needs. It also demonstrated that different sections of a department might be required to respond rather than just one person in each department.
After these revisions, the Urban Infill Task Force concluded that the test was sufficiently successful to prove the worth of continuing to refine the revised buck slips and to eventually consider using them on proposed land use changes other than infill projects. One of the old buck slip forms is shown in Exhibit 2. An example of the revised buck slips is shown in Exhibit 3.
3) Product: Planning Matrix
Purpose: The purpose of the Planning Matrix was to consolidate the basic information obtained from the revised buck slips. Through this consolidation, management and decision making would
be better served.


67
Exhibit 2
O DC VC LOI'MC NT TCCHHICAL COMMIT UC â–¡ UINOR LAND SUUDIVISION COMMITTcC D PLANNING DCPAHT MENT RCVICW O --------------------------------
â–¡ PUBLIC WORKS
â–¡ T EN'GR. DEPT.
â–¡ PARK DEPT.
o â–¡ LAND OFFICE
â–¡ GAS
â–¡ WATER
â–¡ ELECTRIC
â–¡ WASTEWATER
â–¡ POLICE DEPT.
â–¡ FIRE DEPT.
â–¡ NOISE
â–¡ SCH. DIST.*_
â–¡ REG. BLDG.
â–¡ PPACG
â–¡ COUNTY
â–¡ MTN BELL
â–¡ STATE HWY. DEPT.
â–¡ AIRPORT
â–¡ --------------
â–¡ _______________
â–¡________________
u
E
s
s
A
c
c
R OSTANDARD COMMENT
l
f OTHER CONCERNS:
Y
COMMENTS MUST BE RECEIVED PRIOR TO


6b
ItM’AKTKMn : lil.ri. HEAD:
H.Sl'OMDEKT:
response deadline.
Sxnlbit ;
Proposed Lund lli*r
FIRE DEPARTMENT
1. Fire Suppression: Response Time
1. Over 6 minutes response time from any station.
2. Over 3 minutes but less than 6 minutes response time
from any one station.
3. Less than 3 minutes response time from any one station.
4. Less than 3 minutes response time from two stations.
Explain:
2. Fire Suppression: Fire Flow
1. Fire flow will not allow more intense land use than exists.
2. Fire flow will not allow land use as proposed but less Intense use is a possibility.
3. Fire flow adequate for proposed development but remaining capacity for vacant lands In vicinity is minimized.
4. Fire flow adequate for proposed development and adequate flow remaining for vacant lands in vicinity.
Explain:
3. Fire Suppression: Communication and Equipment (for special fires)
1. Additional calls will be more numerous than other land uses in the area and special fire fighting equipment will be needed.
2. Additional calls will be about equal to other land uses in the area but special fire fightln3 equipment will be needed.
3. Additional calls will be more numerous that other land uses in the area but no special fire fighting equipment will be needed
4. Additional calls*will be about equal to other land uses in the ares and no special fire equipment needed.
Explain:
4. Fire Suppression: Access and Equipment (for special terrain)
1. Adequate fire access is impossible and special vehicles will be needed to provide minimum protection.
2. Adequate fire access is possible if special vehicles are available and/or modifications are made in street design.
3. Adequate fire access is available for pxoposed development as designed.
4. Access is adequate for proposec development and access to adjacent
-• site is inpioved.
Explain:
!«. Fin- l*f event !•••»
J. Corim-rcia) und industrial Jnnd um'n arc i;m;ij) and nuiwroui;
Ti-quitlng 1 no pec t Jon* nud fire Investigations.
2. Mixed land use configurnllon wj)J require inspections, fire Investigations, and fire safety presentations.
3. Single Family Residential will require fire safety presentations but Inspections and investigations will be minimum. f.unnicrcial and Industrie] land uses arc large enough to provide fire safety and Investigation services of their own.
Explain:
6. What is the estimated 10 year fire loss for the proposed land use? —- —
7. How does the proposed development relate to future station locations?
8. Does this proposed development impact the emergency paramedic services?


69
Format: The Planning Matrix format was designed to present four to six variables which the departmental buck slip addressed. These variables were briefly identified to the left of each matrix while a scale of one to four ran across the top of the matrix. The form enabled management and decision makers to see at a glance whether the project seemed to have problems with the infrastructure or the environment. The scale of one to four gave an indication of the intensity of that assessment.
It also helped to identify areas of inter-relatedness and open the opportunity for the applicant to negotiate trade-offs which would be least harmful to each of the concerned parties. Techniques: The technique of summarizing information in a
meaningful fashion is a common management approach. It is also generally recognized, however, that there are dangers in oversimplification. These dangers were offset by having the revised budk slips serve as a backup. If the circumstance required further explanation, departments would still be free to provide a memorandum as an attachment.
Overall, the new processes were designed to reduce ambiguity and enhance openness as well as making the decision making at each level of the process more visable. An example of the Planning Matrix is shown in Exhibit 4.
4) Product: Urban Infill Policy Resolution
Purpose: The purpose of the Urban Infill Policy Resolution was
to formulate and adopt a public policy which would guide the
decision making of city officials as proposed land use changes
were considered.


70
Format: The resolution is a general statement of goals. It is not a detailed exposition of the manner in which that policy will be implemented. It simply states an intent—in the case of a City Council, both a legislative and quasi-judicial intent. It also provides guidance to the City Administration.
Techniques: The techniques to develop a relatively simple two-
page resolution were complex. They required that the various actors in the process of policy formulation reach some degree of consensus. The policy statement itself was drafted and modified several times through a review process with the Urban Infill Task Force. Members of the Task Force then reviewed the policy statement with representatives of several key community groups who were shown the maps and examples of the revised buck slips. The administrative procedures and data-gathering system were explained as well. (Exhibit 4 illustrates the Planning Matrix. See Chapter III.)
The consensual approach took almost a year of intermittent effort on the part of city staff. The City Council was periodically provided updates and their input shaped the direction of the Urban Infill Task Force. Colorado Springs, like other cities, had found itself faced with rapid changes in its environment. Its infrastructure was being strained to meet expanding demands for service.
It is significant that City Council looked to the City Manager rather than the Planning Commission in policy formulation.
It is also significant that the City Manager chose to form a task force including the major department heads; that he chose to include interest groups from the community; and that he chose to assign


71
INFILL BUCK SLIP SUMMARY SHEEI
Exhibit 4
PUBLIC WORKS 12 3^ COMMUNITY DEVELOPMENT 12 3^
Transit System X Comprehensive Planning X
Drainage Basins X Land Use Relationship X
Street Maintenance/Syst X Ordinance Compliance X
Neighborhood Traffic X Neighborhood Revital. X
Housing Rehabilitation X
PARK & RECREATION Human Relations: Social X
Existing Parks/Population X Human Relations: Econ. X
Existing Parks/Maintenance X Housing Authority X
Master Plans Location X
1 Master Plan: Development X WASTEWATER
Proposed Ihrks/Population X Proximity to Main X
Demand & Existing Syst. X
FIRE Oversized Extensions X
Response Time X Topographic Features X
Fire Flow X Non-potable Water Use X
Communication & Equip X ELECTRIC
Access & Equip X Power Capacity X
Fire Prevention X Proximity to Service X
Demand & Existing Syst. X
POLICE Unique Design Features X
Central Base Relationship X Major Capital Outlays X
Patrol Pattern Relationship X
DATE:
Service Demands: Type X
Service Demands: Amount X SITE:
Site Considerations X
Note: Water and Gas Division Buckslip Formats were not yet complete at this time.


72
responsibility for project management to two individuals, one within the City Manager's Office and the other in the Planning Department. These actions established a pattern of participatory management, and created a dynamic management model conducive to effecting change.
The City Manager, serving as the electrical transformer, controlled the flow or the current in that change process.
When City Council requested the City Administration to recommend a new land use policy which would encourage infilling of vacant land within the city limits, the City Manager had several options: CL) He could have suggested that the City Planning Department and Planning Commission develop the policy. This would have been in keeping with earlier concepts which separated the planning and management functions. However, in that environment, it would not have been the City Manager directing the policy formulation.
(2) The City Manager could have proposed that a consultant be hired to develop a draft policy. This would have separated the policy formulation process from the ongoing functions of the city administration, and might or might not have reduced the City Manager's direct involvement in the policy formulation process. However, the city departments such as the Planning Department would probably have primary responsibility for the consultant contract with other city departments only peripherally involved. Modified matrix management functioned differently. The outcome of this effort was the Urban Infill Policy Resolution, adopted by City Council April 22, 1980.
It is shown as Exhibit 5.


Exhibit 3-1
hciolutiun No. 1 SO-BO
A KfSOli/J'JON ESTABLISHING
urban infill policy
WHEREAS, centTjjiity values call for the fcalajiced development of the public and private economic, social, cultural and natural resources of the area; and
WHEREAS, present and future investnonts made by public/private sector must be protected in order to preserve these ccmmnity values; and WHEREAS, the PPAOG estimates that the population of the City of Colorado Springs will approximately double ty the year 2010; and
WHEREAS, as of this time, 42t of the land within the City limits is vacant and developable; and
WKERWS, this vacant and developable land can natch, at present patterns of density, the current population of the city; and
WHEREAS, citizens of Colorado Springs are paying for public services such as mass transit, utilities, streets, drainage, parks, fire, police, recreation, cormrunity dcveloprent/redcvelopment, etc. within established service boundaries; and
WHEREAS, maximizing the use of existing city services could reduce sprawl, decrease financial burden to citizens, conserve energy and maintain natural and non-renc-wable resources; and
WHEREAS, a successful infilling policy requires cooperation and "good faith" beb-een neighborhoods, government and the private sector; and NOW, THEREFORE BE IT RESOLVES BY *jHE CITY COUNCIL OF THE CITY OF COLORADO SPRINGS:
-1-
4/14/B0


74
Exhibit -5-2
That an Urban Infill Policy is hercby c:.t.-ibl ishod ns follows:
1. -JO IRGDURAGE THE DtVttJDUnifT OK VATVJ/T (UNDF/OVTD) 1AND WITHIN TIE
cny LU-u'iS as an ALTKKwvnvE 'jo u'jucrss/^y sprawl by:
1. rostering equitable and cooi dinated use of public and private resources consistent with:
a) approved city design standards in the various oorprelonsive plan elements;
b) approved capital irrprovement programs and priorities;
c) approved budgets for programs, staff, equipment and facilities necessary to provide public services;
2. Encouraging the conservation of natural and non-renewable resources; preserving co.inunity social, cultural and economic values;
3. Weighing neighborhood corrpatibility and cohesiveness as a cooirunity asset in the consideration of changing patterns in density, buffering, access, and tte flow of traffic througlout the City;
4. Strengthening energy conservation and energy-saving alternatives;
5. Recognizing unique ccnnunity aesthetic assets such as Pikes Peak, the Carden of the Gods, Palmar Park and other values intrinsic to the natural urban landscape such as ridges, geographical outcroppings, terrain and vegetation;
6. Respecting natural constraints in the development of land having steep slopes, drainage or floodplain problems, or sub-surface liabilities such as past landfills or mining exploration;
7. Supporting mixed land uses designed within the above criteria.
-2-
4/K/SO


exhibit 5-3
11. io nJCCxwtOE ccwjivuatjon or pjdlvkia>;.i/;w
Dju-d at Colorado Sjji u-gs, Colorado, Out _Z2nd_ djy of _______ April
I960.
City ClerX
4/14/30


CHAPTER III
CASE STUDY: INFILL POLICY FORMATION IN COLORADO SPRINGS
A. Introduction
This chapter will describe the benchmarks in the policy formation process used by the City Manager of Colorado Springs to develop an Urban Infill Policy. His role and managerial style is emphasized. Specific administrative procedures and data gathering techniques are shown to be an integral part of the land use policy formation process. Chapter IV compares and analyzes the Colorado Springs case to that of Alan Altshuler's case study of St. Paul's development of a new land, use plan. That comparison highlights the differences between the roles and activities of various parties whose involvement—or lack of involvement—shaped policies and their acceptance level in each city.
The Colorado Springs case study is concerned with a specific land use policy (infilling) and the City Administration's action to carry out City Council's request for a policy recommendation. Infill is defined as the development of vacant, bypassed land within the city. It assumes that some or all City services are present, and that the bypassed land is developable.
The author contends that the City Manager is key to Colorado Springs' successful management of the policy formulation process.


The City Manager's role is described as that of an "electrical transformer" whom Wright sees as the manager of the "forces of relative stability and dynamic change" in the policy process.^
The effort of the Colorado Springs Planning Department to define the policy implications of urban infilling began prior to the timeframe of this case study. In the early 1970s, the department began developing a comprehensive land use plan which included the concept of infilling. The conclusion of the planners at that time was that urban sprawl was not a serious problem, and that certain disadvantages of infill outweighed the advantages. It was feared that overcrowding, loss of open space within the City, traffic congestion and air pollution as well as a general community resistance to greater density made infilling an unacceptable alternative at that time. The department did note that continued development might cause pressures to develop slopes and ridges within the City as well as create leapfrog development on the outskirts. It was felt that at the time that such conditions began to prevail, a more
2
serious examination of infilling as a planning option should occur.
City Council gave concept approval to the comprehensive plan in 1975 but took no formal action on it. There was considerable public involvement in the process through committees as well as public hearings in neighborhoods. A divided Council preferred that
^Wright, p. 219.
2
City of Colorado Springs Planning Departmentf Comprehensive Plan Program: General Land Development Recommendations, Planning Information Report Two ( City of Colorado Springs Planning Department, July 1975), p. 73.


CITY OF COlORAOO SPRINGS
ORGANIZATIONAL CHART
ELECTORATE
| IUCTCO 0'«!CT SU»t*VSiON ANO'O*
AOM StSTBATivt COO«0-N*rtON
! M*vO«'COUNC«t *P*0*NTS LEGEND — *OM'Nt5T«*T»v| O'^fCPON ANO'O* BUDGET »tvf#
J "1 M*NAOC" ***C*«*S » 0,BCCT5 * COO"0'N*rn act'VtfifS ONIT
AS or OCTOO€R 1. I9rs


60
addition, the Public Housing Authority, Code Enforcement, Urban Renewal and Neighborhood Redevelopment as well as the Comprehensive Employment and Training Administration (CETA) are supervised by the Director of the Community Development Program.
The expanded growth patterns foreseen by the Planning Department had begun to occur in the late '70s, and by 1979 Council initiated an effort to form an urban infill policy so that they might deal more effectively with changing needs and available resources within the community. This contrasts with Council's concerns during 1973-1975 when a natural gas supply shortage resulted in a gas moratorium that dampened any likelihood that the City Council would adopt a policy which might encourage limited or controlled growth for the city at that time. However, in 1979 many aspects of the physical, social, economic and political environment had undergone change. Inflation and energy shortages were increasingly costly for everyone, including city government. The growing taxpayer resistance in Colorado Springs as well as other areas of the country could not go unnoticed even though Colorado Springs voters passed a million dollar park and open space bond authorization in 1979.
This ambivalence in general and specific attitudes is fertile
3
ground for the "environmental turbulence" which Gawthrop discusses.
With Council's active interest in urban infilling, land use planning for the City took a major step toward becoming a management tool through which the City Administration could provide more efficient "public housekeeping" as Gaus described.^
3
Gawthrop, p. 78.
4
Gaus, p. 8.


81
City departments were at first skeptical about Council's commitment to the development of an urban infill policy because of its growth-oriented decision-making pattern of the past. For this reason, it was critically important that the City Manager involve himself from the outset in the policy formation process. His office, through the author of this dissertation—as well as the City Manager at key decision-making points—played an active role in the policy formation process throughout the timeframe encompassed by this dissertation.
1. Economic Environment.
It is obvious from the statistics cited earlier that Colorado Springs has been and is a "growth city," one of the leading in the nation. Colorado Springs was founded by entrepreneurial interest led by General William Palmer, who envisioned Colorado Springs as a "Little London" on the frontier of an expansionist-oriented American investment capital. Business interests in the community have been heavily involved since the 1800s in shaping that growth.
During the Depression, Colorado Springs, like other communities, experienced retrenchment. However, the City had significant growth between 1940-70 due to the location of five different military installations which dominated the economy until the electronics industry expanded measurably in Colorado Springs during the 1970s. These "clean industries" and tourism form the basic economic pattern for the community today.
2. Socio/Political Environment.
The social environment of Colorado Springs probably shaped the political environment to a large degree. However, it has not been the small ethnic/racial population of Colorado Springs, but


62
the wealthy who have been a present and significant factor in shaping a basically elitist society. This society has governed by a noblesse oblige commitment of those in power to provide an acceptable environment for the rest of the support community. The turbulence of World War II and the 1960s shook that monolithic structure, but did not shift the power base of the community in any significant manner. It is more likely that the professional element of the military and electronics industries—basically independent of the "old guard wealth"—have influenced a re-direction of future growth.
As a politically conservative community, there has been strong emphasis on the individual property owners’ rights, perhaps to the detriment of the whole. However, this concept is one of the basic justifications for local government. The preservation, or at least the balancing of community and individual rights against excessive nationalism or a community collectivist monolith which can obfuscate the rights of the minority or the individual is a cherished ideal of the American democratic republic. The balancing is far from easy. Although some may argue to the contrary, this need for balance and equity can be a major reason for support of the Council-Manager form of government if strong individualism is prevalent in a community.
3. Physical Environment.
The Colorado Springs area is visually delightful, pleasantly cool in summer and relatively mild in the winter. It has many natural resources. However, one of the most serious constraints in Colorado is a shortage of water. Although it can be purchased like any commodity, supply and demand control its price and availability. Colorado Springs currently has a raw water supply sufficient to serve double its present
population.


83
One of the management tools Colorado Springs has is its Water Extension Ordinance. The ordinance dictates that extension of water to any area outside Colorado Springs boundaries requires an agreement permitting the City to annex that area at some future date. Other boundaries, such as gas and electricity, already extend beyond the City's formal boundaries. The Colorado Public Utilities Commission regulates gas and electric utilities. However, water rights are still controlled by the local jurisdiction through long-standing water law.
Owning land within the City does not automatically guarantee the availability of water for vacant land. Rights to water are granted on a "first come, first served" basis. It is estimated that the City's current supply of raw water can serve future development of all vacant developable land within the city. However, should this water be committed to land developments acquired through extensive new annexations, the City would either be unable to serve current vacant land or would have to acquire new raw water supplies to provide the additional demand.
Obviously, this constraint within the physical environment impacts the City's policy formation regarding land use matters. With insights into the economic, social, political and physical factors of the environment, one can more fully appreciate Gaus' concern for ecology in government. In addition, there are two other factors to keep in mind regarding Gaus' concern regarding the manner in which public housekeeping in government should be judged: 1) the negative productivity factor if the present infrastructure is under-utilized because vacant land within the city limits has not been developed;
2) the negative taxpayer attitude toward rising costs of public services. If elected officials and the public demand sprawl but are unwilling to


84
pay its costs, the public administrator should not be saddled with the label of inefficiency in public housekeeping. Good public housekeeping is contingent upon public policy which supports a balance in public/private views. It calls for a management partnership between elected officials and public administrators as well as a partnership between government and the private sector. Effective public managers work toward these symbiotic relationships. Good public housekeeping tends to follow.
C. Forming an Urban Infill Policy for Colorado Springs.
This dissertation covers approximately one year, from May 1979 to April 1980. The initial impetus for the City Council request for an infill policy is difficult to pinpoint. The City Manager, however, set the process in motion by calling a meeting of the City department heads in mid-May. The chronological chart detailed on
subsequent pages gives the reader a set of benchmarks showing the
sequence of events during that year. The "Actor Code" identifies those involved in a particular activity, and the general role they played.
Infill Task Force
The internal organizational group was made up of the following City department heads:
Director of Public Works
Director of Utilities
Director of Community Development
Colorado Springs Chief of Police
Colorado Springs Chief of Fire Department
Director Park and Recreation
Director Planning


85
The City Manager and the author were also members of the Task Force. This group brought together the knowledge and expertise to guide policy formation in a manner which would be supportable by administrative procedures and the City's technical data base.
City Council
The nine-member City Council served as initiators of the process. They guided policy formation and served as a link between the internal and external environment.
Private Sector - Community Interest Groups
The community at large provided the external environment which Wright describes as a "large irrational matrix." (In this sense, "irrational" means diverse and uncoordinated.) This group varied in its level of participation and its membership. At one time or another it included representatives from the following entities:
- Colorado Springs Board of Realtors
- Council of Neighborhood Organizations (CONO)
- Open Space Council
- Energy Research Center
- Private Developer Representatives
- Home Builders Association
- Chamber of Commerce
- League of Women Voters
There were two concentrated periods of time which involved the City Manager more intensely and directly in the administrative procedures: in May 1979 and the period of March through April 1980.
As the reader will note, these months also have more activities listed on the chronological chart. The City Manager's role and style of management are demonstrated by his activity level and the timing of City Council and private sector involvement.


I
86
The case study is divided into three distinct phases:
Phase One: Defining the Problem
Phase Two: Policy Gestation
Phase Three: Consensus-building and Final Policy
Adoption
The activities of each phase are chronologically outlined in Chart //2. The importance of these activities in the policy formation process and the city management role and style is emphasized.
The case study section gives attention to case facts while Chapter IV's paradigm provides a policy formation analysis. It compares the highlights of the St. Paul land use study with the more detailed events and actions in the Colorado Springs case.
1. Phase One:_______Defining the Problem (May 1979).
A city manager must direct, delegate, consult, integrate and produce results. The manner in which a manager carries out these functions reflects a management role and style. The case study begins at the point where the City Manager of Colorado Springs called a meeting of city department heads to discuss the assignment from City Council to prepare a report recommending an urban infill policy for the City of Colorado Springs. The Manager directed the author to attend this meeting and assigned her to do the follow-up necessary to complete the report prior to the City Council Workshop May 31, 1979.
a. City Department Heads' Meeting with City Manager (May 16, 1979) -At this meeting, the City Manager asked each department head to give his views on infilling, its definition and the implications of developing an infill policy from his department’s perspective. It was clear that different departments had different concepts of infilling


CASE STUDY CHRONOLOGICAL CHART - COLORADO SPRINGS
DATE
05/16/79
05/18/79
05/29/79
05/30/79
05/31/79
06/14/79
06/07/79
07/18/79
08/10/79
10/31/79
ACTOR CODE POLICY FORMULATION ACTIVITIES - DEVELOPMENT OF ADMINISTRATIVE PROCEDURES
/1/2/3/A/5/6/
City Manager called department heads meeting to discuss Council request for recommendations on Infill Policy - group hereafter called Infill Task Force.
Author'8 memo to City Manager. Outlines work plan and timetable for interviews with department heads and schedules next meeting of Infill Policy Task Force.
Author's memo to City Manager reports departmental interviews, provides draft report to City Council.
City Manager chairs Infill Task Force meeting called to review draft to Council.
City Manager makes report to City Council, Planning Director presents vacant land map.
City Council discusses report and accepts City Manager's recommendation for continued study.
Author's memo to Planning Director outlining proposed work plan.
Author and Planner conduct second round of departmental interviews. Information points to need to revise routing slip for proposed land use changes as they are reviewed by departments. Increased awareness of need for common map data base and sample site review.
Author's memo to City Manager provides progress report, revisions in work plan, plans to meet with two local developers.
Infill Task Force meeting with representatives of developers in community.
Developers provided insight on constraints to infill from their perspective.
City Manager & Infill Task Force receive briefing, discuss timing for progress report to City Council. Discuss revised buck slips and review mapping done to date. Task Force decides to reroute revised buck slips using actual request for land use change (the Mesa Master Plan).
CO
-o
Chart #2-1


DATE
ACTOR CODE
POLICY FORMULATION ACTIVITIES - DEVELOPMENT OF ADMINISTRATIVE PROCEDURES
11/20/79
11/29/79
01/09/80
01/10/80
03/07/80
03/13/80
03/17/80
03/21/80
/1/2/3/4/5/6/
PrPt
City Manager provides City Council Progress Report, including prototype map overlay, example of revised buck slip.
Author’s memo to Infill Task Force identifies site selected by Planning Dept, for re-testing buck slip; outlines new work plan using the Mesa Master Plan Proposal.
Larry Manning reports findings to date on Mesa Master Plan Proposal.
Infill Task Force meeting with Community Interest Group Representatives. Planning Director exhibited maps prepared to date and discussed their usefulness. Response from representatives very positive. Revised buck slips were explained. No records of this meeting on file.
Infill Task Force review of draft definition of Urban Infill and preliminary draft of Urban Infill Policy Statement. Task Force decided to review materials with Community Interest Groups.
Meeting with larger representation of Community Interest Groups. Review of Urban Infill Definition, Urban Infill Policy Statement, demonstration of maps prepared to date. Response very positive. The Group interested to close involvement as process moves toward presentation to City Council.
Infill Materials sent out as part of Council Workshop Agenda for March 21st.
Include Proposed Policy Statement; Proposed Definition of Urban Infill; List of Base Maps; and Examples of Old and Revised Buck Slips and Planning Matrix
City Council Workshop. Planning Director and Author presentors. Council selected definition from continuum of alternatives, directed City Administration to proceed with draft of Infill Policy Resolution. Community Interest Group support strong. Council encouraged public relations effort to inform community at large.
OO
CD
Chart #2-2


DATE
ACTOR CODE /1/2/3/4/5/6/
POLICY FORMULATION ACTIVITIES - DEVELOPMENT OF ADMINISTRATIVE PROCEDURES
04/04/80
04/07/80
04/07/80
04/22/80
Meeting with Community Interest Groups to review Urban Infill Policy Resolution. Some modifications suggested by groups, and agreed upon by Infill Task Force.
Author's memo to City Council outlining changes in resolution; persons involved in meeting at which changes were proposed.
City Council reviewed proposed Urban Infill Policy Resolution and approved its being placed on the April 22, 1980 City Council meeting for formal approval.
This was a deferral in time in order to give anyone who wished the opportunity to add comments or indicate concerns.
City Council formally adopted Infill Policy Resolution.
Legend: ACTOR CODE
Numbers: 1 = City Council 4 - Private Sector
2 - City Manager (Community Interest Groups)
3 - Infill Task Force 5 - Author
(City Departments) 6 - Planning Director
Letters: I = Initiator; P = Participant; Pr - Presentor; R - Receiver
vo
Chart #2-


90
and its implications. The City Manager directed the author to conduct follow up interviews with each department head and compile their views on the definition of infill, the appropriate criteria to be used for an infill policy, and possible constraints to infilling.
The Manager also directed the department heads to meet with him prior to the City Council Workshop to review the material prepared for that meeting.
b. Author's Memo to City Manager Outlining Work Plan (May 18, 1979) -The author' s memo to the City Manager outlined a work plan which entailed four days of interviews and follow-up memos from the department heads. As it turned out, the author provided the follow-up memos to the department heads. Two of them elaborated with subsequent memos.
In the May 18 memo, the author attached a series of questions to be raised in the interview with the department heads. A list of key variables, excerpted from The Cost of Sprawl, offered some stimulus for discussion also. This memo is presented in Appendix A.
c. Author's Memo to City Manager - Interview Reports; Draft Report to City Council on Infill Policy (May 29, 1979) - The author provided the City Manager with copies of each interview summary and the expanded comments of the Chief of Police and Director of Parks and Recreation. In addition, the author had drafted a report to City Council as well as the Manager's transmittal letter. Each department head had previously been given an opportunity to review the author's summary of their interview and offer comments or changes.
The draft report and City Manager's letter were to be reviewed by
the Infill Task Force on May 30.


91
The exchanges during the two week period from May 16 to May 30 focused the policy formulation problem in the following manner:
1) Interview with Planning Director - The interview with the Director of Planning identified several classifications of development: a) redevelopment areas; b) bypassed areas; c) new growth
areas, including four sub-areas of development: (1) new growth linked to growth already within the City's planning boundaries;
(2) new growth detached from growth within the City's current planning boundaries; (3} new growth beyond the City's planning boundary, but within Utility Department's urban service districts; (4) new growth beyond present Utility Department urban service district boundaries. He described the present City policy regarding each classification, its infill application, and the kinds of additional information needed to undergird a new land use policy for infilling.
His classifications and analysis are summarized in the City Manager's May 30 memo to City Council (Appendix B). The Director's concepts formed the basic structure used to narrow the scope of the problem of infilling.
2) Memorandum from Park and Recreation Director - The Park and Recreation Department memorandum pointed out that a vigorous infill policy might result in additional pressure from citizens who preferred to see vacant land converted to open space or parks within their neighborhood. It also pointed out that vacant properties are often "the least economically feasible areas to develop due to topography, geologic formations or being in a flood plain."â– *
"*City of Colorado Springs Inter-Office Memorandum from
Lawrence A. Schenk, Director Parks and Recreation, to the author,
May 24, 1979.


92
The memo urged adherence to the Master Park Plan as a means of rationally determining the feasibility of park development advocated by citizen groups.
3) Memorandum from Police Chief - The Chief stated in his memorandum:
I believe infilling is influenced by three primary factors:
1) urban renewal and redevelopment; 2) development of previously undeveloped land; 3) development of "islands" created as a result of annexations . . . ^
Of the three, the Police Department considered urban renewal and redevelopment infilling most desirable because they reduce demand for police services and facilitates the utilization of more consolidated resources. The Chief expressed concern that previously undeveloped land within the City might have remained undeveloped because of certain topographic or geographic features which could also make it more difficult for the police to serve once it was infilled. He further explained that the annexation islands tend to spread the resources of the department and therefore are less economical to service.
4) Interview with Director of Utilities - The Director of Utilities pointed out that two factors control the development of the utility service delivery system: a) market demand (and ability to pay); and b) the Public Utility Commission of Colorado. The Commission requires the City to serve those requesting service within the City utility service system without regard to political jurisdictional boundaries.
He recommended that the infilling occur within the City's water district limits which basically conform to the present City boundaries, or within its Urban Planning Boundary which extends
^City of Colorado Springs Inter-Office Memorandum from
John L. Tagert, Chief of Police to the author, May 23, 1979.


93
somewhat beyond the City limits in some instances. The Utility Director preferred not to extend high cost water services without a full utility service network. Finally, he cautioned that the most expensive type of development for utilities is redevelopment areas because these areas often require the replacement of under-capacity infrastructure capital improvements such as water mains.^
5) Interview with Director of Public Works - The Public Works Director was very conscious of the impact of land use changes upon the City's capital improvement and general fund budgets. The Public Works Department was heavily dependent upon these monies for operation and maintenance of the City's street and drainage network. He pointed out that the City's Mass Transit Service operated at a deficit which could be better offset if there were a more concentrated settlement within the City (as opposed to substantial vacant property or expansion beyond the City's present boundaries). In addition, the Director said that development costs can effectively
O
"sterilize" land which has severe drainage problems.
6) Interview with Fire Chief - The Fire Chief pointed out that the type and design of infilling development impacts the Fire Department for the following reasons:
- if multi-story development replaces single family structures, water mains may have to be enlarged to maintain adequate fire flow.
^City of Colorado Springs Inter-Office Memorandum from the author to Jim Phillips, Director of Utilities, May 22, 1979.
g
City of Colorado Springs Inter-Office Memorandum from the author to DeWitt Miller, Director of Public Works, May 22, 1979.


94
- certain types of infill; for example, hillside or ridge development, may be difficult for the Fire Department to serve with present equipment.
- leapfrog development makes it difficult to serve and to
manage Fire Department resources (response time as well as personal
q
and equipment).
d. Infill Task Force Meeting (May 30, 1979) - The Infill Task Force meeting May 30th produced a favorable consensus among department heads for the City Manager's recommendation to Council to pursue additional study of infilling's impacts on City service capacity. The draft memorandum was accepted without modification and plans were made for the presentation to City Council on the following day.
e. City Council Workshop (May 31, 1979) - The City Manager presented his memorandum to City Council with a brief verbal explanation of the process used by the City Administration. He also made the point that departmental differences in perspective on infilling stemmed from the demands for service and the cost of capital improvement
and maintenance to sustain an adequate level of service. He then asked the Planning Director to present a current map of vacant developable land prepared by the Planning Department. The City Council discussed at some length the apparent need for an infill policy.
One of the local newspapers, the Gazette Telegraph, reported the City Council's favorable action on the City Manager's recommendations, and quoted some of the City Council members comments
9
City of Colorado Springs Inter-Office Memorandum from the
author to Fire Chief Sievers, May 22, 1979.


95
as follows: (Illustration - 1)
iThe Vice Mayor stated]: I favor infilling because of the economies of development it affords and because it will save energy. (A Councilman commentedj: .... Council should expect opposition from residents, but we’ll have to change some ideas . . . .
It should be noted that this period of two weeks was administratively intense. It also demonstrated the manner in which the City Manager began to develop the modified matrix management style used in this project. First the City Manager involved department heads to address the issues. This group evolved into the Infill Task Force. Second, the City Manager delegated the coordination of the effort and the preparation of the report to City Council to a person within his own staff, but encouraged close coordination with the Director of Planning. This set up the structure for the dual management function which later was developed. By setting up this initial management structure, the City Manager effectively retained control of the process and outcome, but encouraged broad-based input within the Administration where technical and operational expertise lies.
2. Phase Two: Policy Gestation (June 1979 through January 1980).
The second phase of the case study demonstrates the development of the rational comprehensive planning model through the design of new administrative procedures and a data base, and the involvement of community interest groups. "Policy gestation" was chosen as a title because it helps to portray the growth period of the policy formation process. Again the emphasis is upon the internal structure,
10
Dick Foster, "Development in City Urged." Gazette-Telegraph Colorado Springs, Colorado, June 1, 1979.


Illustratlon-l
Development in City Urged
* By DICK FOSTER CT Suff Writer
Colorado Springs City Council mill encourage the concept of •‘Infilling.” the development of vacant land arrnd already established areas of the city, rather than more sprouting growth outward from the urban fringe.
Council directed the city administration Thursday to draft a
statement supporting1 infilling efforts of deve.opcrs and property owners.
While infilling is economical, such projects mill probably prompt many battles by residents seeking to preserve their established neighborhoods as they arc, council members surmised.
Ir.fi'ling mould make maximum u*e of c»;y facilities already built ;..\d ved in established areas, in-c»ciirxz utility l.nes, streets and service facilities, such ns fire stations.
“I f.vor ir.Iiiling because of tat . economics of tevflcprr.ent it affords and because It will save tnvTgj',” said Vice Mayor Mike . Bird.
Generally, development of a piece o* ,,infiUM property ir.volves simple hookups to utility lines already built in the developed a^a.
use of streets already constructed, and protection by fire and police which already serve the area.
So the infill saves both the city and the developer the costs of ex-• lending services.
In addition, development in the concentrated urban area mill provide energy savings — reducing transportation costs to and from outlying areas on the urban fringe, and concentrating more octivity in the city’s established regions.
But infilling can have Its draw-br-cks (or developers, a chief reason why land amid ccvclopcd areas remains vacant in the first place.
Mnr.y of the areas have drainage problems and erratic land countours, making installation of drainage structures And pre-development gracing an expensive proposition.
C.ty Council wants to encourage inf.ll.ng, with incentives such as advancing the cast of drainage structures when the developer can’t afford it at the outset of the dc\ elop-ment.
City officials also envisioned future opposition from residents arc-nd such infilling projects.
•'People become used to vacant lands abound them, and come
think of ll as open space, when It really Is undeveloped land In private ownership,” said City Manager George Feflowa.
Councilman Peter Susemlhl said council should expect opposition from residents, "but we'll nave to change some Ideas.”
“Sometimes It may not be economical for a developer to build single-family homes in a single-family neighborhood. Sometimes multifamily developments are the only economical development/* he said.
But he said such developments — and even commercial businesses — are “not necessarily incompatible in a residential neighborhood.“ he said council should realize that “all infilling projects arc going to increase traffic on streets around it,“ and that thlscommonly cited argument by disapproving residents should be discounted.
Such battles with neighborhood groups may increase, as Infilling itself does
The eo.ncil will be faced with balancing these concerns: residents’ interests in preserving their neighborhoods. and the savings to the city and its taxpayers through the economics of infilling. \
Gatette-Telegraph Colorado Springs Colorado 6/1/79


97
but the interface with the City Council and the external environment through community interest groups is also significant. Policy gestation forms the third leg of the three-legged stool which a city manager stradles in the arena of public administration process of policy formation.
a. Author's Memo to Planning Director (June 14, 1979) - The net effect of the City Council's action was to "buy time" for the City Administration to more carefully analyze issues and develop a policy recommendation which might take into consideration different variables. The author's memo to the Planning Director once again re-enforced the modified matrix management model as outlined in this dissertation.
The function of such memos was to establish a basis for understanding between the individuals who share responsibility for executing a work plan. This memo focused on the Planning Department's responsibility to identify several land use sites which were to serve as examples for the departments to analyze in terms of their assets and liabilities as an infill site with a specific land use hypothetically designated.
A timetable was proposed to enable the City Council to have an urban infill policy recommendation by the end of the year. However, this timetable was extended in the fall of 1979. (See Appendix C.)
b. Author's Memo to City Manager (July 18, 1979) - This memo explained the extension of time on the basis of the extra demands upon departments during certain phases of the budget cycle. The Planning Department had identified six sites for departments to analyze. In addition, as a part of the discussion (which was not attended by the City Manager) the Infill Task Force determined that external input from private developers would be helpful. Therefore, it was agreed


9£
that the Planning Department would contact several prominent local developers and invite them to meet with the Infill Task Force in August 1979. It was felt that three major developers probably were not only representative of the attitudes of most developers in the community, but also that they provided strong leadership in responsible development practices within the community. (The author's memo is presented in Appendix D.)
c. Infill Task Force Meeting with Developers (August 10, 1979) -The Planner assigned to work with the author on the Infill Policy Formation Project, summarized the meeting with the developers.
That summary appears in full on the following pages. (Exhibit 6.) The City Manager did not attend this meeting, but was briefed verbally and through the notes taken by the Planner. Like the Task Force efforts in Phase One, the insights gained from this meeting with the developers were not new and startling. However, the meeting provided a means of consolidating information and perceptions as well as providing the developers with assurances that the City Administration was interested in incorporating their expertise and concerns into the policy formulation process.
d. Infill Task Force Meeting: Agenda (October 31, 1979) - This meeting gave the Infill Task Force an opportunity to reconvene after the major budget cycle efforts had been completed. The author and the Planner had been working unilaterally with various staff members within the departments to revise the buck slip and to experiment with it by reviewing the six sites chosen by the Planning Department. The City Manager's attention turned to determining when the City Administration felt it could finalize a policy recom-
mendation to City Council.


Exhibit 6-i
99
City Staff: Developer*:
INFILL MEETING 8-30-79 1:30 City Manager's Conf. Room
BinSe« Boyer, Scott, Manning, Owsley, Miller, Phillips and Schenk
Schuck, Shepard, and Schooler
Developer eonments on Infill -
There are often political battles over developing an infill site because the existing neighborhood typically opposes any development.
If City Council is serious about supporting infilling, it must submit to these political ramifications.
A lot of infill sites are avoided by developers because of some specific high priced development aspect; if City would front end costs for these kinds of problems; private development industry could more easily handle infill in Ira normal way of development.
Some of these infill sites have simply been poorly marketed. The Conover property value peaked and diminished before the entire site was marketed. Before its service area was established, other more attractive commercial sites were developed making the Conover site service area too small. The Citadel vacant land is caused in part by architectural controls desired by land owners - too expensive to build.
The larger the infill site the more the "hassles" of development are
mitlcated. It is not worth it on a small scale.
a
Some sites (Conover) have been an individuals life lonR development project —-Timing becomes a problem. Its difficult to have a broad policy for infilling since each site is unique. Each site should be evaluated and a proposal made on the basis of its specific problems.
City Council should use cost savings and infill site development to Citv as Justification for incentives given to private development Industry. City should use cost/beneflt analysis like private developers - if benefits out-weight cost ... do it.
Densities will have to be increased on infill sites which may present political problems for City Council. But this increased density will aid in mass transit utilisation and a general reduction of energv consumption.
X
Mult-Family development will again be increasing in about five year because of energy concerns, this will aid infilling if M.F. is acceptable. City should be ready for this and prepare for resistance from existing residents near infill site. The Wood Brothers and the Barber t Yergeson San Miguel/ Hancock project arc examples where the City would not "bite the bullet".
The City’s interest in infilling is timely because there is time to prepare for the Multi-Family rush and energy crunch ramifications on infilling sites.
Staff should: 1) Identify sites 2) form plan for future use 3) identify and quantify costs v.s. benefits of each individual site (some common elements may exist from site to site for general policy formulation) then City should set goals and thence priorities on sites for focusing development.
Manipulating development thru utility rates could have P.U.C. problems -if anything rates should be lowered to encourage, but never raised to discourage.


100
Exhibit 6-2
Indirect Incentive! do not work, (such as restricted annexation policy) development will continue to occur on fringe of City limits (Knob Hill as example) and these become problems lor the City eventually. Control? ' on fringe urban area rrowth are Inflationary, clamps supply, and creates monopolys.
Constraints on new construction will tend to raise rates on existing stock possibly eliminating the low end home owner or renter.
City should begin to educate nubile and development Industry on Infill concept - Its costs and its benefits.
Some developers are "Land Developers" (turn over raw land as quick as possible), others are "BLDG. Developers" (Turn raw land to land uses and structures), others are Just property owners, others are a combination of above.
Zoning regulation modifications could create Infill incentive (like lowered parking requirements if near mass transit, etc.).
Incentive program can be defended on the basis of "?ubllc Interest" l.e. same as split share improvement district concept.
Notes prepared by:
Larry Manning, Planner
Colorado Springs Planning Department


101
When the Infill Task Force met, the members were generally pleased with the developments of the revised buck slips, but wanted to re-test one of the six sites which the Planning Department had chosen initially. This site was an area for which a Master Development Plan was proposed and had been scheduled for a December hearing by the Planning Commission. The Infill Task Force was aware that this proposed Master Plan had been reviewed by city staff using the old buck slips. The members were interested in learning whether a subsequent review, using the revised buck slips, would produce new information. It was decided that this land use proposal would be unofficially reviewed to test the revised buck slip.
As a consequence of this decision, the Infill Task Force agreed that only a progress report would be provided City Council at that time, and the Mesa Master Plan proposal would be reprocessed using the revised buck slips and the Planning Matrix designed by the Planner.
e. City Manager's Memo to City Council (November 20, 1979) - This brief memo outlines the material that was presented to City Council at its last Informal Meeting in November. In addition to the revisions of the buck slip, maps which were drawn on a common scale and which depicted the City's service delivery system were presented. The Planner had contracted with a graphic artist who worked directly under the head of the Graphics Division. A number of the maps had been completed by October, and the Infill Task Force had its first opportunity to see them at its October 31 meeting.
The Planning Director presented the maps at the City Council
meeting and explained the other activities under way. Like the


102
Infill Task Force, the City Council was very pleased with the effectiveness of the mapping. Council's reaction to the progress report was very positive, and they simply affirmed the City Admin-instration's current direction in the policy formulation process. (Appendix E.)
f. Author's Memo to Infill Task Force (November 29, 1979) - This memo served two purposes: 1) to provide the Infill Task Force with a complete set of data for the Mesa Master Plan re-testing;
2) to establish a new work plan and timetable for the Infill Policy Formation process. December ended the City's calendar year and the departments worked in the re-testing as staff time would permit. (Appendix F.)
g. Planner's Summary of Test, Re-test and Planning Matrix (January 9, 1980) - The City Planner summarized the re-test of the Mesa with
a narrative and the Planning Matrix. Appendix G contains the narrative. Exhibit 7 provides the Planning Matrix summary. The latter demonstrates the manner in which the Planning Matrix can provide a quick summary of the project review. The areas of concern are readily visable in column one: the Park and Recreation Master Plan and Development; Fire response time; and Wastewater proximity to existing main. The cautionary indicators in column two reflected the Public Work's Department comments on the drainage basin, and neighborhood traffic; Fire flow; Police patrol pattern relationship; and Wastewater demand and existing system and oversized extensions.
As the narrative points out, "Major problems center around wastewater service." This variable affected three departments:
Public Works, Wastewater, and Park and Recreation. Its impact on


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THE ROLE OF THE CITY MANAGER AND --MATRIX MANAGEMENT IN FORMULATION OF AN INFILLING POLICY IN COLORADO SPRINGS by Jim Alice Scott ;:::::B.S., University of Texas, 1948 M.P.A., University of Colorado, 1973 A thesis submitted to the Faculty of the Graduate School of Public Affairs of the University of Colorado in partial fulfillment of the requirements for the degree of Doctor of Public Administration Department of Public Affairs 1981

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This Thesis for the Doctor of Public Administration by Jim Alice Scott has been approved for the Graduate School of Public Affairs by l Date /-k wit .J-t . / f if' J u ?

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Scott, Jim Alice (D.P .A. Public Administration) Thesis Title: TilE ROLE OF TilE CITY MANA(jER AND MATRIX MANAGEMENT IN FORMULATION OF AN INFILLIN(j POLICY IN COLORADO SPRINGS Thesis Directed by: Professor Robert W. Gage, Chairman ABSTRACT A. Problem and Purpos e In many areas of the United States today, municipal governments are finding it increasingly difficult to formulate effective land use policies in their rapidly changing urban environments. To solve part of this problem, some cities have promoted infilling, a term which refers to development of vacant land within the city's current bound-aries. However, cities to date have been less successful in adopting infilling policies to deal with land use problems. This research project describes the role and management style of the City Manager of Colorado Springs in establishing such a new land use policy. The formulation of this policy prefaced the Colorado Springs City Council adoption of an Urban Infill Resolution which encourages the development of vacant, bypassed land within the City. It demonstrates the need for broad based participation of interest groups in the community and the continuous involvement of city depart-ments at various levels. The dissertation points out the importance of elected officials in their role as policy initiators. However, the role and management style of the city manager is the principal focus of the paper because

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this role is held to be critical to the adoption of an infilling policy, and there has been relatively little published in public administration literature or planning literature to show the interact ions between managers and planners, or the city manager's relationship to city council and community interest groups as new land use policy is formed. The purpos e of this dissertation is to demonstrate that city managers can use management techniques to encourage internal as well as external participatory management in land use policy formulation processes; that coupled with a data gathering system based on rationalcomprehensive approaches to land use planning, the manager can develop a policy with broad consensual support; and that in fact, without the matrix management participatory style, policies may not be developed and implemented. The dissertation links the case study of Colorado Springs to general public administration literature through the use of several key phrases used by public administration authors such as Louis Gawthrop, Deil Wright and John Gaus. In addition, the Colorado Springs case study is compared to a similar case study of St. Paul done by Alan Altshuler, pointing out key variables which supported the successful adoption of a land use policy in Colorado Springs. The dissertation asserts that absence of these variables in the St. Paul case contributed significantly to its lack of success.

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B. Findings and The study finds that t he city manager's role an d usc o f participatory matrix management s tyle is fundamental to the success of tht experimental effort to formulate a ne w land use policy encour-aging the deve lopment o f vacant land within the city . The dissertation concludes that such a policy must be undergirded by a data base an d administrative procedures which support the policy in departmental master plans and annual general purpose budgets as well as capital improvement programs. The author urges continued research and suggests that public administration literature should build stronger linkages between city management and the development of urban land use policies. This abstract is approved as to form and content. I recommend its publication. Signed Faculty

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TABLE OF CONTENTS LIST OF ILLUSTRATION S ACKNOWLEDGMENT Chapter I: INTRODUCTION .... ' ..................................... . 10 A. Problem B. Purpose C. Theoretical Justification and Literature Search II: METH0DOLOGY •••• ' ••••••••••••• 0 ••••••••••••••••••••••••• 48 A. Justification of Case Study Methodology B. Field Research of Management Techniques III: CASE STUDY: INFILL POLICY FORMATION IN COLORADO SPRINGS . . . • . • . . . . . . . . . . . . . . . . . . . . 76 A. Introduction B . 1979: Colorado Springs' Ecological Setting C. Forming an Urban Infill Policy for Colorado Springs IV: COMPARISON OF COLORADO SPRINGS AND ST. PAUL CASE STUDY .. 120 V: A. Highlights of the St. Paul Case B. Paradigm: Comparative Analysis in Land Use Policy Formation St. Paul and Colorado Springs CONCLUSIONS A. Summary Comparison: St. Paul and Colorado springs B. Unique Features of Colorado Springst Matrix Management 142 c. Matrix Management Weaknesses, Areas for Future Research D. Value of Urban Infill Policy

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E. Reaffirmation of Intent F. Concept Synthesis BIBLIOGRAPHY APPENDIX: A. B. c. D. E. F. G. H. I. J. K. . • •••••.••••••••••••••••••.••••••••••• 155 159 163 170 173 180 181 182 183 189 192 194 195 200

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ILLUSTRATIONS Exhibits 1. Hypothetical Base Map 60 2. Old Buck Slip 'Form . . • . . . . • . . . . . . . • . . . . . . . . . . . . . . . . • . . • • . 67 3. Revised Buck Slip Form ........................•......... 68 4. Planning Matrix . . . . . . • . . . . . . . . . . . . . . • . . . . . . . . . . . . . . . . . . . 71 5. Urban rrtfiii paucyResoiutiort # 150..:.80 ..•..•......•.... 73 6. Summary of Infill Meeting, August 30, 1979. 99 7. Summary of Mesa Project's Planning Matrix ••.........•... 103 8. First Draft: Urban Infi11 Policy . . . • . . . . . . . . . • . . . • • . • . • 110 9. Second Draft: Urban Infill Policy •.....••••....•.•.••.. 111 10. April 7, 1980 Memorandum to City Council ................ 114 11. Third Draft: Resolution # 150-80 • . . . . . . . . • . . . • . . . . . . • . . 117 Charts 1. City of Colorado Springs Organizational Chart ..........• 79 2. Case Study Chronological Chart -Colorado Springs ....... 87 3. Comparison of Case Studies on Land Use Policy Formation: Colorado Springs and St. Paul . . . . . . . • . . . . . . . . . . . . • • • . . . . 121 4. Defining "Urban Infi11" ..............•.........•........ 128 5. Matrix: Integrating Urban Infill Policy Resolution into Colorado Springs Operational Structures .•.......•....... 135 6. A Concluding Synth.e.S-is •. ; •..•...•............... ; .•..•. 161 Diagram 1. James Easton: A Dynamic Response Model of a Political System . . . . . . . . . . • . . . . . . . . . . . • • . . . • . . . . . . . • . . . . . . . • . . . . . . 161 Illustration 1. Newspaper :.Colcitado :s;p;r:i:]i.gs-.-6azette Telegraph, June 1, 1979. . . . . . . . . . . . . . . . • . . . . . . . . . . . . • . . . . . . . • . • • . . . 96

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Acknowledgments Membersof the City of Colorado Springs administrative staff played an important role in the project which formed the basis for this case study. The author's understanding of departmental issues in land use policy formation was greatly enhanced by the following persons: Hartley (Bud) Ows-ley, Director, and Larry Manning of the Planning Department; DeWitt Miller, Directof of Public Works; James Philips, Director of Utilities, and members of his divisions such as Ed Bailey, Balu Bhayani, Surest Patel, Dennis Cafero, Wes Fielder, Jonathan Downing and B.G. Carter; Larry Schenk, Director of Parks and Recreation; Police Chief John Tagert; Fire Chief Richard Smith; James Ringe, Director of Community Development; , James H.B. Wilson, Director of Finance and Mana gement Services and James Colvin, City Attorney. Ann Altier of the City Manager's staff ably maintained communication links and correspondence important to the project. Special thanks to the Dissertation Committee: its chairman, Robert W. Gage; James A. Null, whose wisdom has guided the author's academic development for a decade; and George H. Fellows, whose support matched the professional skills in municipal management described in this case study. Various others helped in several ways: Susan Watkins, Linda Eichengreen and Velma Swanson gave critical comments; Rae Hellen skillfully typed the final draft. The _ strong_ !?UJ?p9n of. all family _ members helped • . The -author is particularly grateful to Jim Scott, her husband and partner for over thirty years, for being himself.

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CHAPTER I INTRODUCTION A. Problem In many areas of the United States today, municipal governments are finding it increasingly difficult to formulate effective land use policies in their rapidly changing urban environments. Until recently, it was assumed that urban growth per se was beneficial to the public as well as the private sector. However, current city governments are finding their fiscal resources strained and the public infrastructure over-extended by the demands of sprawl-type land use development. In addition, finite resources such as land, water and energy are being exhausted exponentially. To solve this problem, Colorado Springs and other cities such as Phoenix, Charlotte-Mechlenburg, Indianapolis, Knoxville, Louisville, Mount Vernon, Omaha and Duluth have become interested in promoting "infilling." The term, infilling, refers to the development of vacant land within the city's current boundaries. The Colorado Springs City Council initiated that city's effort 10 by requesting policy recomm endations f rom the city administration. It became the City Manager's responsibility to determine how that policy formulation process should be conducted and what the criteria for the policy statement would be.

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1 2 external standards and goals. Management provides thP and determines the process through which policy can be formed and implemented to reflect these various concerns. This feat must b e accomplished with a minimum distortion from policy formulation t o decision-making and implementation. In urban administration, this is clearly a significant challenge for city management in the 1980s.

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B. The purpose o f this dissertation is to demonstrate that city managers can use management techniques to encourage internal as well as external participatory management in land use policy formulation processes; that coupled with a data gathering system based on rational-comprehensive approach to land use planning, the manager can develop a policy with broad consensual support; and that in fact, without the matrix management participatory style, policies may not be developed and implemented. 1 3 The Colorado Springs City Manager's approach to land use policy formation demonstrates the internal effectiveness of an interdisciplinary task force made up of department heads of the City and the efficiency of project management with parallel leadership from the City Manager's Office and the Planning Department. The City Manager's sense of timing with the City Council and the involve-ment of interested community groups at key points in the decisionmaking process demonstrates judicious use of City Council's time and effective external participation of community groups in policy formation. The author believes that the field research on which the Colorado Springs case is based can forge stronger links between certain fundamental public administration concepts of administrative management (such as participatory management, rational-comprehensive planning and defining of the role of city management in land use planning). A new land use policy based on these concepts is more

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likely to produce a satisfactory policy and less likely to suffer the fate o f oblivion which Altshuler described for St. Pau1.1 Specifically, it is the purpose of this dissertation to show: that management has a key role to play in land use policy formation, and that with management guidance, outcomes are more satisfactory for all parties. 14 -that management, through matrix management, can serve as the link which transforms input from external and internal environments through a conversion process based on rational-comprehension planning techniques. 1Alan Altshuler, 11A Land-Use Plan for St. Paul," The'InterUniversity Case Program # 90 . (Syracuse, New York: Inter-University Case Program, College Division, Bobbs-Merrill Company, Inc. ,1965).

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1 5 C. Theoretical Justification and Literature Search l . Introduction. This dissertation advances the hypothesis that the role and management style of the city manager is critical in formulating new land use policy. The justification for this study is supported by the fact that general public administration literature analysis of this subject has been limited, and because this management function merits greater attention in that literature. Through the use of a case study, the formation of a new land use policy in Colorado Springs is explored; a descriptive analysis of the role and management style of the City Manager is developed; and the Colorado Springs case is contrasted to another land use policy formation case study of St. Paul. The analysis is limited to the unique and novel aspects contrasting the two cases. A number of phrases used by well-known authors and a political policy analysis model are used to link the case study to general public administration concepts. The final section of the concluding chapter synthesizes the concepts, case study, paradigm and policy analysis model. The key phrases from public administration literature explain the environment of local government and public policy formation. They are conceptual linking pins for this dissertation. They include: (1) Louis Gawthrop's phrases, "environmental turbulence," "change agent," and "rational-comprehensive planning;" (2) John J.t. Gaus' phrase "ecology in government," and Deil S. Wright's phrase, "electric transformer." .In addition, the author uses a hybrid term, "modified matrix management" to describe the management style and form used by

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the City Manager of Colorado Spring s to guide the process used t o formulate the new land use policy. 1 6 The terms are linked in the following manner: The concept, "ecology in government" provides the framework for the variables which need to be kept in balance if orderly change is to occur. Such change can be orderly only if the "environmental turbulence" which always surrounds change remains within acceptable bounds. The city manager serves as an "electric transformer" to exercise considerable, but not exclusive control over the energy exchange. He and others, such as the planning director and the author. serve as "change agents" to convert the energy inputs to productive outputs. The manager amalgamates the perspectives of elected officials, the various elements of the private sector, and the city administrative staff. Stabilizing factors within this environment are: -"rational-comprehensive planning" by which data are aggregated and processed in a professional manner; -"modified matrix management" techniques which employ boundaryspanning capabilities within the organization (between departments) to achieve the final policy product, and to bring input from the external environment. This emphasis on the city manager's role called for an eclectic approach in the literature search. As a generalist, the city manager selected from a wide array of specializations and acted on premises drawn from a number of philosophical points of view. To portray the scope of effort and the influence of many variables, the dissertation cites select literature pertaining to policy formulation and urban design as it relates to social, political, economic,

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17 psychological a nd physical considerations. Citations from this broader search are limited to those useful in the exposition o f management problems associated with the formation of a new land use policy in a rapidly changing urban environment. The author surveyed key articles appearing in the Municipal Year Book since the 1930s, tracing professional thought regarding the role and management style of the city manager. This was deemed necessary because the main thrust of public administration liter-ature has been dominated by political scientists whose primary interests were elected officials, their actions and their relation-ship to their environment. The dissertation does not dispute the importance of these studies nor the importance of the elected official to ecology in government. However, it is the author's contention that the attention paid to elected officials has slighted the role of the city manager, particularly in the area of land use planning. The actual process by which the city manager participates in land use policy formulation has not been addressed to any sig -nificant degree. Although the current general public administration literature accepts the theory that the city manager, as well as the private sector manager, exercises policy formulation functions, few articles explore the implications and application of this theory in practice. The complexity and turbulence of the urban manager's environment is discussed in literature such as the "Symposium on ? the American City Manager ..• " in the Public Administration Review.-2Keith ed., "Symposium on The American City Manager: An Urban Administrator in a Complex and Evolving Situation," Public Administration Review, 21 (January/February 1971): 6-46.

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1 8 However, little is said about the city manager's role in land use policy formation. Even The International City Management Associ-ation' s (ICMA' s) "Green Books," (Municipal Management Series--which serve as excellent texts for city managers and others in munic -ipal management), do not emphasize the role of the city manager in formulating land use policies. For example, the newly published volume, The Practice of Local Government Planning, makes general remarks about the importance of the relationship of planning to management, but fails to deal in specifics. 3 Managing the Modern City is more explicit, giving a history of.planning as a function of local government, the organizational structuring of planning within municipal government, and significant detail about the technical aspects of planning. However, the linkage between the planning director and the city manager is discussed in a very limited fpshion, and the city manager's role in land use policy 4 formulation is minimally addressed. The greatest attention to this relationship was given by ICMA in the December 196& issue of Public Management which ran a special series of articles discussing various f h 1 in d 1 . h' 5 aspects o t e p ann g an management re at1ons 1p. A June 1970 3 Frank S. So, et al. eds., The Practice of Local Government Planning (Washington, D.C.: The International City Management Association, 1979),pp. 78 and 173. 4 James M. Banovetz, ed., Managing the Modern City_ ( Washington, D.C.: The International City Management Association, 197l),Chapter 12. 5 Mark E. Keane, ed., "Planning and Management," Public Management 51 (December 1969): 2-14.

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19 issue focused on urban planning/management issues.6 These articles indicate the changing perspective of the ICMA literature and are in harmony with the thesis of this dissertation (which stresses the importance of the city manager's role in land use planning) . 2. An Historic Perspective: Linking Key Phrases to the City Manager's Role and Management Style. The literature search began with material published in the 1930s because at that time municipal government in the United States was experiencing significant change. In the first issue of the Municipal Year Book, Louis Brownlow stated: to go ahead with any assurance of safety means that the city governments must no longer trust to luck, must no longer grope blindly ahead in the darkness of ignorance, but must commandeer the services of their most disinterested and most enlightened citizens in an effort to chart and plan the road into the future. For this planning they will require as much information as can be assembled. We have lacked information in the.field of municipal affairs .••. 7 During the Depression, it was local government which had to gear up to implement massive federal programs on very short notice. The fact that many fine public works projects were completed during those years is due in part to the skill of local government manage-ment. The environmental turbulence of those years proved the mettle of the council/manager form of government as well as that of individ-ual city managers. At the same time, areas of weakness in local government planning and management were also revealed. The need for 6 Mark E. Keane, ed. , "Urban Planning and Management," Public Management 52 (June 1970): 3-13. 7 Louis Brownlow. "Looking Ahead at City Government," Municipal Year Book 1934 ,eds., Charence E. Ridley and Orin F. ing ( Chicago: International City Managers' Association, 1934) p. 7.

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good information, professionalism and teamwork was, as Brownlow suggests, essential. a. Environmental Turbulence -Louis Gawthrop's term "environmental turbulence" assists in describing and analyzing the sense of insta-bility and a lack of management control over the environment that existed in cities because of changes during the 1930s. He contends that environmental turbulence is a state of public anxiety which increases when the "rationale for adhering to the rules of the 8 incremental game becomes less and less persuasive." He believes that this condition is exacerbated by "government's inability to provide effective solutions to an ever-increasing set of technical and logistical problems," and from individuals' sense of moral and ethical frustration in the midst of rapid change over which they feel their control of their own destiny is threatened through incremental decisions.9 Like Brownlow, Gawthrop's solution includes better information, professionalism and teamwork directed toward the areas of instability within the total environment. 20 Depressions, wars and other national and international traumas impact the stability of local government, but rapid change in the local environment due to growth can also produce environmental tur-bulence. Land use matters have always been a concern for those who govern and administer municipal government. However, they have been traditionally considered a matter of first concern to the private 8 Louis C. Gawthrop , Administrative Politics and Social Change . ( New York: Martin's Press, 197]), p. 78. 9 Gawthrop , pp. 78 and 83.

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2 1 sector. Government's corresponding role was to provide appropriate services to protect the stability of the environment.lO As the demand for expanded services occurred, government itself was altered. If--as many organizational theorists as well as architects and artists claim--"form follows function," changes not only altered the form o f government, but also created additional roles for its administrators. This impact of growth was reflected as early as 1936 when John M. Gaus advocated the integration of city planning into the general functions of city government. City planning can no longer remain an unrelated and incidental appendage to the city government if the older and more stronglyrooted municipal functions are to flourish. It must be built into the work of every department and integrated with the financial programs.ll Luther Gulick echoed this sentiment in the 1938 Municipal Year Book as he cited Philip Cormick's The Results of Premature Subdivision. Gulick saw environmental turbulence as a more critical factor when there was a lack of policy coordination with land use planning: The study ..• which bears upon municipal finance, city planning, and urban economics • . • lays the basis for new forms of control over land value fluctuations and their disastrous effects upon city governments.l2 10nennis R. Judd, The Politics of American Cities, Private Power and Public Policy (Boston: Little, Brown and Company, 1979), pp. 33-38. 11 John M. Gaus . , "The State Municipal Year Book 1936 (Chicago: Association, 1936),pp. 5-6. of the Nation's Cities," International City Managers' 12 Luther Gulick, "Our Cities in 1937," Municipal Year Book 1938 (Chicago, International City Managers' Association, 1938),P 8.

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22 It is clear that leading authors in the field of public admin-istration were able to see the need for linkage betwten planning--though not specifically land use planning--and management in local government policy formation almost fifty years ago. However, there is great distance between perceiving, articulating, and implementing. The abundance of land, the political and social philosophies of our nation, the simple press of more urgent matters has undoubtedly in-fluenced the manner in which this concept has been accommodated in public administration literature as well as by management at the local government level. As the general concept of planning and management move closer together, it is probable that land use plan-ning and management will do likewise--in the literature as well as in practice. b. Ecology in Government Gaus pointed out that people who were dissatisfied with conditions in their environment often blame govern-ment: What does appear with increasing sharpness is the problem noted a year ago by Louis Brownlow--the problem of planning and administration. In studying the various reviews of functional developments . . • one is impressed by the heavy costs of our lack of adequate exact knowledge on which to base programs of public works • • • the confusion and cost resulting from mixing relief and public works without clarifying the respective objectives and possibilities, and hence priorities, of each; the lack of public sentiment places the blame for resulting confusion and waste, with its sense of frustration, upon "politicians," "officeholders," and other tangible objects of attack. The fundamental truth is that we have, in our rapid development, outgrown the neighborhood and village conditions in which our political ideas were formed, and we have failed to achieve any adequate positive conception of the city and its collective services as essential parts in a true economy and welfare essential to all citizens.l3 13 Gaus, p. 4.

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23 Gaus later elaborated on his concept of "adequate positive conception of the city and its collective services .•• "in a series of lectures which he delivered at the University of Alabam a in 1945. It was there that he defined the term, "ecology in government." An ecological approach to public administration builds, then quite literally from the ground up; from the elements of a place-soils, climate, location, for example--to the people who live there--their numbers and ages and knowledge, and the ways o f physical and social technology by which from the place and in relationship with one another, they get their living. It i s within this setting that their instruments and practices of public housekeeping should be studied so that they may better understand what they are doing, and appraise reasonably how they are doing it. Such an approach is of particular interest to us as students seeking to cooperate in our studies; for it invites-indeed is dependent upon--careful observation by many people in different environments of the roots of government functions, civic attitudes, and operating problems.l4 The richness of this definition incorporates the natural complexities of the environment into the equations used for public decision-making. It sets the parameters for evaluating government's "public house-keeping." Gaus used a list of factors as a means of "explaining the ebb and flow of the functions o f government: "people, place, physical technology, social technology , wishes and ideas, catastrophe and personality."15 He believed these eight components to be key in the formulation of policy and the organization of government and saw these components in a dynamic and continuous three-step process: diagnosis-policy-revisions. Gaus' ecological approach to government also encouraged a 14 John M. Gaus, (University of Alabama: 15 Gaus, p. 9. Reflections on Public Administration University of Alabama Press.,l947), p. 8.

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24 management style which fosters private sector or citizen participation as well as participatory management within the organization structure of government. He quoted Justice Oliver Wendell Holmes who stated: "When I pay taxes, I buy civilization."16 This concept views tax dollars as an investment in government which serves as the guardian of civilization. It presumes that citizens are in partnership with government for the provision of services and that citizens and govern-mental officials share in the stewardship of tax dollars. Gaus also appeared to hold common views with David Lilienthal in regard to the viability of local democracy. He quoted Lilienthal: Unless • • • an administrative system is so constructed and operated as to keep alive local and individual responsibilities, it is likely to destroy the basic well-springs of activity, hope and enthusiasm necessary to government and the flowering of a democratic civilization.! However, Gaus also stressed the importance of the govern-mental structure from within. He saw the need for that structure to be integrated in a manner which facilitated democracy in practice. The change to the present view that administrative reorganization or city planning is a continuous process, and one to be incorporated in the administrative process itself, is an important step to advance. In fact, we should go further, and rid our minds of the notion that "planning" in the sense of revision I of existing policies and procedures is exclusively the assignment of a separate and special "planning" or "research" or "procedures" unit.l8 This segregation of planning from other functions had plagued local government for a number of years. As noted earlier, in land use 16 19. Gaus, p. 17 8. Gaus, p. 18 147. Gaus, p.

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2 5 matters, loc a l government tended to accept the c oncept that growth per s e was desirable a nd the patte r n o f growth was governed pri-marily, i f not exclusively, b y the private m arket. Obviously Lilienthal and Gaus were espousing a different concept--one which called for a partnership between the public and private sector and the integration of planning into the mainstream of local government management. Although other authors writing in the 1940s re-enforced these concepts, the war years forced other matters to take precedence in local government affairs. As the 1943 issue of the ICMA Municipal Year Book pointed out, every aspect of life was affected by the war. Cities, as a domestic frontline, had to ensure that civilian defense functioned in a reassuring manner; that shortages of personnel, supplies, equipment did not unduly thwart government's functions and that popu-lation shifts and rationing did not reduce instead of increase the nation's productivity. In the 1943 Municipal Year Book, Walter H. Blucher identified housing for war workers with the development of difficult transportation plans as the greatest challenge for plan-ning and zoning at the local level, and John B. Blandford, Jr. cited specific functions which local governments performed: The federal government has depended on local governments to handle some of the toughest administrative jobs in the war effort. Tires, automobiles, sugar, typewriters, and other commodities are rationed through approximately 6,000 price and ration boards organized almost overnight by local government •.• 19 c. Electric Transformer -Perhaps only those who experienced the a dministrative and manage ment demands made on local government by 19John B. Blandford, Jr.,"Administrative Organization,11 Municipal Year 1943 (New York: International City Managers' p. 313.

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2 6 e x ternal environmental factors such as the Depression and Worl d War II can a ppre ciat e the toll exacted fro m local go vernment officia l s . Those years showed that local government officials played a key role in stabilizing a turbulent environment, and as has since been shown, channeling and controlling the flow of that environmental turbulence is a major function of city managers at any period in time.20 Deil S. Wright, writing a quarter century later, explains this as the role of an "electrical transformer:" The manager plan juxtaposes a rational structure that is (or intends to be) administration within a large irrational matrix represented by the pressures of political change. The interface among these forces of relative stability and . dynamic change is supplied by the city manager. His role telescopes into a single position conflicting public demands, varied social strains, and shifting community tensions. His total role is analogous to a large transformer in an electric supply system; he regulates the current flow and alters the voltage. In addition he may even supply additional power and change the amperage on his own initiative.21 This description is particularly applicable to the city described by Aaron Wildavsky in Leadership in a Small. Town. 22 However, the size.of the town may have resulted in Wildavsky giving scant attention to the internal relationships of a city manager (who was a planner by profession) to his own staff. The emphasis was 2 For a different point of view on local government's effectiveness during the Depression, see David A. ed., The Great Depression Cliffs, New Jersey: Prentice-Hall, Inc., 3. 21Deil S. Wright, "The City Manager as a Development Administrator," Comparative Urban Research, The Administration and Politics of Cities,ea., Robert T. Daland Hills, California: Sage Publications, 1969 ),,p. 219. 22 . Aaron Wildavsky, Leadership in a Small Town (Totowa, New Jersey: The Bedminster Press, 1964),p. 388.

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27 instead on the city manager's relationship to City Council members, community interest groups and issues. This dissertation focuses on the 11conversion process11 between the input/output components, thus adding a new dimension to studies made in the past, especially re-garding land use planning. This lack of a "conversion process11 in the past is illus-trated by the distrust of local governments which led to the creation of separate planning agencies, creating a gap between planning and other functions of municipal government. H. G. Pope criticized this separation and in 1949 spoke positively for a new trend: City planning activity during the yearwas characterized by two developments of special significance: first, there appeared to be increasing acceptance among city officials and city residents of the idea that the necessary and proper scope of planning activities goes beyond the traditional concern with public works to include consideration of the prospective development of the city, the desirable goals tQward which municipal progress should be-directed, and all aspects of community preferences and needs.23 Walter H. Blucher in that same issue added a note of caution: citizens were less sure that planning techniques and principles were the panacea they were claimed to be. More people were beginning to be less sure that more expressways, more parking meters, more official plans, more zoning, more industry, more self-sufficient neighborhood units, more new towns, more urban redevelopment, etc. were going to provide the answers to the problems of our cities.24 23 H. G. Pope, 110ur Cities in 1948,11 Municipal Year Book 1949 . (Washington, D.C.: International City Managers' Association, 1949),p. 6. 24walter H. Blucher , ''Planning and Zoning Developments in 1948,11 Municipal Year Book 1949_(Washington, International City Managers' Association, 1949),p. 253.

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2 8 d. Change Agent The work of the city manager as an electric trans -former in today's changing environment will demand skills equal to or greater than those required duri?g the Depression or war years. ICMA consistently has been an advocate of greater professionalism in city management as well as throughout city administration. Pope wrote frequently in this regard during the 1940s and early 1950s, advancing the concept of organizing personnel departments and plan-ning departments as a means of improving public administration and assisting the chief executive. He supported the formulation of service standards for all departments of local government. By 1953, Edward W. Weidner could state that professionalization of public officials and employees in government had progressed beyond the talking stage. In addition, he attempted to put to rest the debate over whether a city manager should be a leader in policy formation. While recognizing that such a uevelopment altered the original theoretical basis for the council/manager form of govern-ment, he concluded that the consequences would be insignificant: "At most a few minor practices of council/manager governments, such as hiring managers without regard to their orientation toward policy, might ha_ve to be rethought. "25 These words may have been offered to reassure big city mayors as well as express a new attitude toward the functions and role of a city manager. In any case, the matter was not laid to rest. In the day-to-day decision making, most city managers continued to recognize 25Edward W. Weidner, "Municipal Highlights of 1952," Municipal Year Book 1953 (Washington, D.C.: International City Managers' Association, 1953),p. 3.

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that they were wise to re-e valu a t e the a pp r opria t e role t hey were t o play each time the c o mposition o f the Cit y Council changed, and even as different issues arose. However, the re-enforcement which ICMA gave city managers did help to release many professionals f rom an exclusively reactive posture. City managers could then more e f -fectively accept their role as change agents not only within the local government organizational structure, but also their function as electric transformers in the community/government relationship. As a result, the latter part of the 1950s marked the beginning of a shift toward humanism and a concern for social programming as a function of management and planning. Writing several decades later, Gawthrop captures the essence of the city manager's "change agent" role as the electric transformer in a changing urban environment: In reality • every technical and logistical solution tends to generate its own set of social, political and ethical problems. Within the public sector, administrators traditionally have openly proclaimed their concern for all three factors, but in actual practice the legacy of Max Weber provides a sterile atmosphere of impersonal operating efficiency for some,while the pluralist political tradition counsels political prudence for others. The professional change agents hold the key in converting these propositions from pious platitudes into operating realities. The change agents become, in the real sense of the word, the professional administrators of the future; they represent the key operatives who can complete the linkage of interacting and interdependent relationships between the formal organizations and the turbulent environment, and between public and private boundary-spanning units.26 Although Gaus and others placed confidence in the ability of local government to manage change, the federal government has appeared less inclined to do so--despite the rhetoric of decentralization which 26 Gawthrop1 pp. 106-107.

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30 was loudly proclaimed in the 1950s, as well as in the 1970s and the 1980s . Many federal programs implemented in the '50s had negative impacts for local government, although the federal intent was benign. For example, the Housing Act of 1949 and the Federal Aid Highway Act of 1956 were touted as aids to local government. However, even though it afforded housing for many who were unable to own homes previously, the Act served to entrench discrimination against racial minorities through exclusionary zoning, lack of financing for re-habilitation or the purchase of older homes and "redlining" (denial of financing of entire neighborhoods considered to be declining in value and therefore high risks.) The Federal Highway Act provided those who could afford it the opportunity to escape inner city problems by flight to the suburban areas of large cities. The path of federal highways more often than not cut through and disturbed the neighborhood stability of low income neighborhoods where wholesale condemnation of land provided the cheapest routes for expressways. Often Urban Renewal Authorities flagrantly ignored local elected officials as well as pro-fessional planning done within the framework of local governments. This led to controversy since professional planners in the field of land use planning had misgivings about becoming a part of local govern-ment's planning effort. Patrick W. Murphy spoke of these differences in the 1963 Municipal Year Book: Such consolidation (of planning or urban renewal agencies with existent city departments) has been advocated on the grounds that it may make the realization of plans more likely as the planners no longer stand outside the administration but are integral with it and come to better understand its day-to-day problems. It is also argued that urban renewal is a long-range process, capable of being integrated with planning. Some planners,

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31 however, have disput ed the advisability ..• declaring that t h e role o f the planner is that o f a "gadfly," who should remind adm inistrators and the public that each c ompromise t hey make in regard t o planning or zonin g bri ngs nearer the d a y o f reckoning . These people contend that planners would lose a good deal o f their effectiveness in this role i f they becom e a part o f the administration itself.27 By 1970, the Municipal Year Boo k reflected a growth in under-standing between planners and management. The American Institute o f Architects wrote an article which appeared in that issue. It strongly endorsed the concept of the "design team" for planning purposes. Space in the Sanskrit text means "opportunity for things to happen" and its inspired use can also mean a way out for American cities. Management of space is the one power cities retain that can force reform, concessions, and ventures from the forces and agencies that appear today to throttle the average municipality.28 Even though the article fell short of formally relating the role o f the city manager to the planning process, planning was viewed as an integral part of city mana g e ment as a whole. However, the fact that ICMA and the AlA could join forces in seeing the need for the management of space within cities did not bring a quick response from academicians interested in the forces at work in local government. During the '70s academicians had excitedly begun to use more fully scientific research methods and empirical bases for analysis. Surveying was a popular technique in local govern-ment studies, many of which attempted to identify the source and use 27 P atrick W . Murphy, "Administrative Management," Municipal Year Book 1963 ( Washington, D. C.: Internat ional C i t y Managers' Association, 1963), p. 298. 28American Institute of Architects, "Urban Design .and Future of Cities," M unicipal Yea r Book 1970. ( Washington, D.C.: International City Management Association, 1970),p. 341. the The

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32 o f power at the local level. Most studies were theoretical in nature and were unconcerned with land use matters. There were two basic premises being researched: (1) that "elites" rule the decision-making; (2) that a "pluralistic" group of interests governed decision-making, usually on an issue-oriented basis. Several authors have summarixed 29 the research done in this field. Other academicians explored the impact of different forms of local government on the process. Their analyses examined voting patterns of the electorate and the elected officials as well as demographic correlations. Some authors contended that the council/manager form of government is elitist and less responsive to its constituents than the mayor/council form. Counter arguments were made by ICMA which pointed out that sound management benefits the whole community and that the council/manager form of government was founded 30 on public interest government. Instead of addressing new management issues such as matrix management, most of the litera-ture was still debating local government issues of the 1960s. 29 Aaron Wildavsky, Leadership in a Small Town (Totowa, New Jersey: The Bedminster Press, 1964), pp. 349-351; Kenneth J. Gergen, "Ass essing the Leverage Points in the Process of Policy Formation," The Study of Policy Formation, eds., Raymond A. Bauer and Kenneth J. Gergen (New York: The Free Press, 1968), pp. 181-182; and F. William Heiss, Urban Research and Urban Policy-Making, An Observatory Perspective (Boulder, Colorado: Bureau of Governmental Research and Service, Uni versity of Colorado, 1975), pp. 4-9. 30 Charles R. Adrian and Charles Press, Governing Urban America, 4th ed. (New York: McGraw-Hill Book Company, 1972), Chapters 4 and 5; James M. Banovetz, ed., Managing the Modern City (Washington, D.C.: The International City Management Association, 1971); Thomas A. Flinn, Local Government and Politics (Glenview Illinois, 1970).

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33 e . M odified Mat rix Managem e n t -While others focused o n the 1 960s, ICMA's l i t e rature examined management and planni n g public policy issues and drew these two professional fields closer together during the 1970s. A s early a s the December 1969 issue of Public Manag ement , ICMA articles stressed the im portance o f the p lanner to city management.31 The planner was pictured as a member of the management team and laid t h e foundation for the type of dual leadership which the City Manager of Colorado Springs used in his modified matrix manage-ment model. Urban Management styles also gained greater attention in the Municipal Year Book of 1975 which sanctioned the involvement of plan-ners in the management decision-making process: The historical model of the council/manager relationship stressed the separation of policy making and policy execution. As with all formal theories of organizational structure and behavior, the traditional model fell more than somewhat short of the ideal. The ICMA has long since laid out an extensive and growing policy role for the professional urban manager. The association acknowledges that city mana gers and other chief administrative officers are deeply involved in policy development and that generally part of their responsibilities includes the presentation of policy considerations to elected leaders. (emphasis added)32 As the decade advanced, ICMA expanded its literature on the subject of management styles a n d addressed the subject of matrix management 31 Keane, pp. 2-14. 32 Robert J. Huntley, "Urban Managers: Organizational Preferences, Managerial Styles, and Social Policy Roles," Municipal Year Book 1975 (Washington, D.C.: International City M anagement Association,l975), p. 149.

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34 as well. Bec k explained the various managemen t styles from tht perspective o f several practicing city managers.33 Mercer extracted material from a forthcoming book by Susan Woolston and Bill Donaldson entitled Urban Strategies for the Eighties. They discuss in detail various organizational structures for project management and matrix 3 4 management, citing the advantages and disadvantages of each. Other authors such as Davis and Lawrence point out the pitfalls of matrix 35 management as well as its advantages. Kathryn Tytler provides a "nuts and bolts" analysis which focuses on the implementation of a 36 matrix management system. Although differing in their specific analyses, all this literature supports a more fluid and open style of management than the traditional pyramidial, hierarchical organizational structure permits. Tytler cited several reasons why this form of management is more viable today: -the greatly increased base of knowledge and expertise o f technocrats calls for interdiscipiinary approaches to problem solving; 33 Christine S. Beck , "Management Styles--Personal Perspec-tives," Management Information Service REPORT 11 (March 1979): 14. 34 James L. Mercer, "Local Government Organizational Structures for the Eighties," Management Information Services REPORT 12 (March 1980): 13. 35stanley M. Davis and Paul R. Lawrence , "Problems of Matrix Organizations," Harvard Business Review 56 (May-June 1978): 131-132 . Tytler , "Making Matrix Management Work--and When and Why It's Worth the Effort," Training (October 1978 ) 78-.82.

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3 5 -tight budgets call for maximizing staff resources; -an increasingly complex environment calls for managers t o exercise leadership in policy formation. These factors all enhance the potential for a new team effort between planners and management at the local government level. Along with new management concepts such as matrix management, "rational-comprehensive planning," a new approach to planning, gained vogue. These concepts were stabilizing factors for urban planning and management because each promotes openness and the involvement o f multi-disciplinary actors in the decision-making process. As Gaus noted, knowledge and participation reduce the potential for environmental turbulence because anxieties are assuaged while fatalism and alienation are reduced. The final portion of this chapter will discuss various aspects of rational-comprehensive planning as they are used in this dissertation. f. Rational-Comprehensive Planning -Rational-comprehensive planning was defined earlier as a process by which data are aggregated in a professional manner. It is more, however, than a mechanistic tool for management. In Colorado Springs, it operationalized modified matrix management by providing the city manager an internal support system for planning and policy formation. It also provided a conceptual framework to pull together the other key phrases used as linking pins in this dissertation. As these terms interrelate, the external environment, which Wright describes as a large irrational matrix, comes together with the rational internal management structure of government through the city manager's function as an electrical transformer. Internally,

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r ational-comprehensiv e planning is bo un dary-spannin g ; that is t o say, i t crosses departm e n tal lines. Datum is collected in a 3 6 manner which makes it usable to other departments, to the city manager or elected officials or interested community members. At the same time, information furnished from external sources, such a s citizen inputs, i s i ncorporated in the data s ystem. This provides the foundation for ecology in government. The external element of this large irrational matrix is complex. It includes the attitudes and perceptions of all individuals and groups within the community. As could be expected, they have a variety of views on the subjects such as social and economic issues, urban design, environmental psychology and human ecology. To incorporate these views into the national-comprehensive system calls for a much broader interpretation of the term, and it also requires a broader matrix style than is found in the private_sector. The writings of some public policy theorists support these concepts. 1) Concepts of Public Policy -For example, Burgess' research in public policy formation shows an understanding of the respective roles of various levels of government as well as citizen participation at the local government level. He also conceptualizes the coordination of fiscal and human resources along with programs to successfully implement policy. Burgess' confidence in local government's ability to manage is premised on a belief in democratic processes being exercised in a variety of ways. He contends that federal authorities usually perceive citizen participation exclusively as a public hearing process, but in fact there are

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37 other ways, suc h a s advisory committees a nd co mmissi ons, site visits. h alls, neighbor ho o d co un cils, r eview boards, and many other avenues by which citizens have the direct accessibility of elected an d 3 7 appointed officials at the local level . Burgess offers an operational framework for other public pol-icy theorists as well. Jones, Wildavsky, Lindblom, as well as Bauer and Gergen concur that perception is key to the manner in 38 which a problem is identified. Problem identification precedes pro-blem-solving and it is the function of the public administrator to formulate problems in such a manner that they will be solvable. If citizens' perceptions of the problem do not match that of the city administration, from the community's point of view, the problem re-mains unsolved. This was exemplified during the 1960s when urban 37 Philip M. Burgess, "Capacity Building and the Elements of Public Management , " Public Administration Review 35 (December 1975): 705-716; Study Committee on Policy Management Assistance, chairman M.Frank Hersman, Strengthening Public Manag ement in the Intergovernmental System, a report prepared by the Office of Management and Budget, 1975, Burgess a contributing writer; Burgess, et al., "Training Urban Managers: A Curriculum for the Selection, Design Implementation and Evaluation of Alternative Citizen Participation Mechanism, " prepared for the National Training and Development Service for State and Local Government (February 1976); Philip M. Burgess and Larry L. Slo naker, "The Decision Seminar: A Strategy for Problem-solving," A Mer shon Center Briefing Paper (Ohio State University 1978). 38 Charles 0. Jones, An Introduction to the Study of Public Policy, Second Edition (North Scituate, Massachusetts: Dusbury Press, 1977); Aaron Wildavsky, Speaking Truth to Power, The Art and Craft of Policy Analysis (Boston: Little, Brown and Company, 1979); Charles E. Lindblom , The Policy-Haking Process ( E n glew o o d Cliffs, New Jersey: Prentice-Hall, Inc., 1968); James E. Ander son, Public PolicyM aking Second Edition (New York: Holt, Rinehart and Winston, 1979); Raymond A. Bauer and Kenneth J . . Gergen, eds., The Study of Policy Formation (New York: The Free Press, 1968).

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38 environmental turbulence came to rest on the doorstep of city halls throughout the nation. 39 In response to this turbulence, the "Kerner Report" criticized the council/manager form of government, stating these governments were less responsive to their environment than was the strong mayor form of local government. The report charged that elitism shaped local public policy. This influenced a flurry of studies. The Public Administration Review's "Symposium on the American City Manager ... " looked at issues pertaining to city management from the perspective of the city manager. Several articles addressed issues such as affirmative action and social pro40 grams. The challenge of the '60s increased city management's aware-ness of social justice issues. New concepts of "the problem'' were generated along with different approaches to problem solving. New concepts also were presented by authors such as Jacobs, Greer and Keller who addressed issues of social justice, urban design, and the structuring of heal thy city environments within neighborhoods and the metropolitan setting. Their literature of the '60s advocated a more humanistic approach to problem solving and strengthened the 41 citizen participation movement. 39 National Commission on Civil Disorders, Report of theNational Advisory Commission on Civil Disorders (New York: Bantam Books, 1968). 40 Mulrooney, p. 8. 41 Jane Jacobs, The Death and Life of Great American Cities (New York: Vantage Book, 1961); Scott Greer, The Emerging .City Myth and Reality (New York: The Free Press, 1962); Greer, Governing the Metropolis (New York: John Wiley and Sons, Inc., 1962); and Suzanne Keller, The Urban Neighborhood, a Sociological Perspective (New York: Random House, 1968).

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39 By the 1970s, authors such a s Miller, Davidson and Peterson expanded these concepts and began to examine the manner in whic h citizen participation may have influenced public policy formation in areas such as public expenditures for services, the level of taxation, growth, and the manner in which a city's infrastructure is main-4 2 tained. Their literature points out the danger of neighborhood parochialism and the resulting effect of citizens' resistance to paying taxes sufficient to cover the costs of expanding services. The net danger has been an inadequate revenue base which has made cities unable to maintain or expand the necessary capital improvement net-work and/or service delivery system. It is obvious from this brief review of literature that the role and style of city management has been shaped by its environment. It is also clear that that environment is not only exceedingly diverse in the public's perception of problems and their it is also apparent that these views are constantly changing. One of the realities for city management is its closeness to the people and their problems. This is both an asset and a liability. The author believes this closeness increases a city manager's aware-ness of the diversity of perceptions. However, time pressures and proximity may make it more difficult to step back from the problems. 42 Zane L. Miller, "Turning Inward: The Concept and Role of Neighborhood in American Cities," Claud M. Davidson, "Comments on 'The Nature and Role of Neighborhood Organizations in American Cities,"' and William E. Oden, "Comments on 'Turning Inward: The Nature and Role of Neighborhood Associations in American Cities,'" Public Service 6 (January 1979): . 7-13; Nancy Humphrey, George E. Peterson and Peter Wilson, "Cleveland and Cincinnati: A Tale of Two Cities," The Urban Institute Policy and Research Report 10 (Spring 1980): 1-6.

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to look at them from a rational-comprehensive perspective . The possibility of the city manager gaining distance and a more holistic view is increased by examining the theoretical basis for the myriad attitudes and perceptions found within a given community. A useful tool is the utilization of comparisons. Case studies, empirical research and shared experiences offer city managers yardsticks against which their own unique community problems may be assessed. Individuals and groups behave in certain ways because they perceive community problems from their set of attitudes and perceptions. Wright defines this resulting diversity as the "large irrational matrix" of the total community environment. 40 The final portion of the discussion of rational-comprehensive planning will explore some of the concepts of the healthy socio/ economic urban environment and the ramification of environmental empirical research. Urban design will be cited to demonstrate the manner in which some experts believe planning and design may be rationally applied to the problem-solving process. 2) The "Large Irrational Matrix" Land use policy formation ultimately becomes a matter of determining the size, growth pattern and density of a specific city. It is directly impacted by the private sector's philosophy of economic development and public sector revenues and expenditures. These interrelate to provide a healthy--or unhealthy-urban environment. serving as the electrical transformers in these environments, city managers' roles and styles are critical. Their task is to enable government to provide the rational focus which balances the public and

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41 private sector's role in public policy formulation. They also must recognize legitimate individual and group self interests as well as the general public interests. Land use matters often become the point of confrontation between parties within the community as well as public-private sector disputes. The rational-comprehensive approach to city management may help quiet these disputes and may call upon the expertise of the internal structure of city government as well as the manager's general understanding of socio/economic theories and the wealth of data produced by empirical studies. Theories of social justice and economic development need not be mutually exclusive. This is important to the city manager who seeks to be a change agent in land use development concepts. One land use concept, infilling, often creates disputes, anxieties and environmental turbulence in middle-income neighborhoods when multiple-family housing is proposed for isolated vacant lots within a pre-dominately single family neighborhood. The city manager who not only understands the basis for these fears (but also is aware that rational -comprehensive planning to formulate land use policies can mitigate these fears) may be able to avoid increased environmental turbulence as new land use policies support greater densities. One management technique might include Roberick D. McKenzie's concepts of selective, distributive and accommodative forces of the environment: • • . human beings are affected by the selective distribution and accommodative forces of the environment--a great deal has been written about the biological, economic and social aspects

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of competition and selection, but little attention has been given to the distributive and spatial aspects of these processes.4 3 Patterns of segregation, poverty clustering and inequality o f 4 2 economic opportunity affect the selective, distributive and accom-modative forces of the environment and those who live within it. If, as McKenzie suggests, these can be mitigated by the distributive and spatial aspects of governmental policy formulation and processes, social justice will be enhanced and the greater economic benefits of spatial concentrations of populations and capital accumulation can be realized. The potential for achieving this more ideal and healthy urban environment depends on better understanding of human ecology and environmental psychology. An annotated bibliography edited by Gwen Bell,et al.provides an excellent resource for those who choose to explore these and other aspects of the urban environment as it lates to human behavior.44 It is encouraging to note that urban planning literature has shown an interest in environmental psychology and human ecology research. Kevin Lynch and Lloyd Rodwin suggest: "A systematic 43Roberick D. McKenzie , "The Ecological Approach to the Study of the Human Community," The Social Fabric of the Metropolis, ed.,James F. Short, Jr. (Chicago: The University of Chicago Press, 1971)' p. 18. . 44 Gwen Bell, Edwina Randall and Judith E.R. Roeder, eds., Urban Environments and Human Behavior, An Annotated Bibliography (Stroudsburg, Pennsylvania: Dowden, Hutchinson and Ross, Inc., 1973).

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4 3 consideration of the interrelations between urban forms ano human objectives would seem to lie a t the theoretical heart of city plan-. k ,.45 nmg wor . However, Lynch and Lloyd are concerned that practicing planners d o not embrace these objectives in an organized, systematic manner a s yet. What does exist is some palliative knowledge of rules of thumb for designing street intersections, neighborhood and industrial areas, for separating different land uses, distinguishing different traffic functions, or controlling urban growth. .Analysis of urban design is largely at the level of city parts, not of the whole.46 To correct this approach, Lynch and Lloyd advocate "goal-formed" studies which they believe can lead to new insights regarding the history of city planning as well as provide guidance for future planning. McKenzie's concepts of the distributive and spatial aspects of the biological, economic and social processes would be helpful to this study process. However, planning's relationship to selective, distributive and accommodate forces of the environment has been crit-icized by those who view urban environment from a social justice per-spective as well as those who focus on the revenues and expenditures of government's service delivery system. In addition, incorporating the citizen participation variable is often seen by public administrators as a threat to good public housekeeping and ecology in government. Yet the manner in which 45Kevin Lynch and Lloyd Rodwin, "A Theory of Urban Form," Environmental Psychology: Man and His Physical Setting , eds. 1 Harold N . Proshansky, William H. Ittelson and Leanne G. "Rivlin ( New York: Holt, Rinehart and Winston, Inc.,l970), pp. 46 Lynch and Rod win , p. 85.

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44 neighborhood s and community interest groups can productively interact with city government in policy formulation can be demon-strated in the City of Colorado Springs' adoption of a new zoning ordinance regulating the location of foster care homes. In this instance, the City successfully negotiated the distributive and spatial accommodative needs of the various parties and overcame concerns expressed by McKenzie. 3) Empirical Studies as a Tool -City managers also can benefit from research done by national organizations. Rational-comprehensive planning has been strengthened as a science by a number of empirical studies dealing with land use issues. The research of the Real Estate Research Corporation (RERC) and the Urban Land Institute (ULI) are examples. RERC is currently under contract with the Department of Housing and Urban Develop ment (HUD) to conduct research on The study is examining three communities in depth to determine why vacant land within the city has been bypassed for development. Several other cities, including Colorado Springs, serve as auxiliary cities for the study. The author is an auxiliary reviewer for the materials which RERC is producing. Although the approach of the RERC study is different from that of this dissertation, the author has benefited by being aware of the methodology, and issues being investigated by RERC. RERC has published the following infill study materials to date: (1) the formal project proposal to HUD;47 (2) the initial research model 47 Deborah Brett, Margery A. Chalibi, Stephen B. Friedman, Urban Infill: 0 ortunities and Constraints (Chicago: Real Estate Research Corporation, research in progress •

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4 5 and methodology, and (3) an annotated literature search on the subject o f infilling . 4 8 None of these materials reflect an intent to explore the subject in the manner used by the author. Other RERC materials also have been helpful as background for the author. The classic, The Cost of Sprawl, set the stage for fiscal impact analysis of various land use alternatives in resi-dential development. The study compares the costs of development for raw land, using four different patterns of residential density . It found that cluster development of housing is more economical for the individual purchaser as well as for the infrastructure costs 49 to government. Rational-comprehensive planning also is addressed by the Urban Land Institute which published a four-volume study including articles reprinted from other sources. This compendium covers a wide array of land use subjects related to its title: Management and Control of Growth. It should be noted that only one article was directed toward the functions of management from the local 48 Real Estate Research Corporation, Urban Infill: The Literature, Prepared by Real Estate Research Corporation under Contract No. H-2982 for the Department of Housing and Urban Development, Office of Policy Development and Research D.C.: Superintendent of Documents U.S. Government Printing Office, January, 1980) . 49 Real Estate Research Corporation, The Cost of Sprawl: Environmental and Economic Costs of Alternative Residential Development Patterns at the Urban Fringe, prepared for the U.S. Council on EnvironmentalQuality, the U.S. Department of Housing and Urban Dev-elopment, an. d the U.S. Environmental Protection Agency (Washington, D.C.: U.S. Government Printing Office, 1974).

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government perspective. This article is a reprint from Public Management, ICMA's professional journal. It states: A major result of the concern over excessive growth has been the increasing demands being made on government to begin to effectively manage, or at least guide, growth and its consequences. But, none of the studies recognized the cornerstone role of local government in managing growth. None explored growth would a local administrator responsible-for dealing with local and federal programs related to growth.SU (Emphasis added.) 46 These comments support the major thesis of this dissertation: the city manager is key to the process if rational-comprehensive plan-ning is to be effective as a basis for land use policy formation. ICMA not only appears to hear city managers, it also speaks to their needs. The ICMA article for the Urban Land Institute contends that local government is best suited to assume the leadership role in growth management, even though there are constraints such as federal regulations, as well as the lack of, or inadequacy of, local growth-related programs. Managers and administrators should work with their governing bodies in assessing their communities' growth needs, and in adopting a community growth program which includes peoples' attitudes toward the desirability of various levels of population growth, as well as population projects, and the present and future capacities of city and county services and infrastructures (e.g. sewer and water systems, solid waste disposal facilities, trans ortation s stems, recreational facilities, etc. (Emphasis added.) so International City Management Association 1973 Municipal Management Policy Committee, "Managing Growth: Report of the ICMA Committee on Growth and the Environment," reprint in Management & Control of Growth, Issues, Techniques, Problems, Trends, Vol. I, ed., FrankS. So, et al • . (Washington, D.C.: The Urban Land Institute, 1975): 138. 51 International City Management Association 1973 Municipal Management Policy Committee, "Managing Growth ••• " p. 139.

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i . 47 Concluding Remarks: T his literature sear c h afforded the a u thor t he o pportunity to review a wide array o f material.dealing with land use policy formation, t h e role and style of the city manager, rational comprehensive planning, and the social/economic concepts which shape individual and group views of the urban environment. Through this process, the author also gained an appreciation of environmental psychology and human ecology as new fields of study. The research being done in these areas is contributing to the changing theories of urban design. The literature cited justifies the emphasis which this dissertation places on the role and style of the city manager in the formation of land use policy. The remaining sections of the dissertation offer a case study exposition on this thesis.

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4 e CHAPTER I I METHODOLOGY A. Justification of Use of the -case Study Methodology This dissertation is focused on the role of the city manager in the formulation of a new land use policy to support the develop-ment of vacant land within the City of Colorado Springs. The case study method is used to further that purpose, and through that methodology, the author seeks to do the following: 1. To Share Insights with Other Public Administrators. This case study is intended to stimulate the thinking of other public administrators. To the degree that other public administrators can benefit from its insights, its findings may have transferability. However, Stein' s perspective of the usefulness of the case study methodology prevails. He warns against overgeneralization by the author or the reader. Furthermore, Stein contends that a case should not convey a moral, or state conclusions. In fact, the reader should not be coerced toward one specific judgment. If the cases are successful, readers will constantly check their previous generalizations and will use the materials to improve their ability to observe and evaluate tendencies and consequences, and to make informed judgments; they will not arrive at a set of uniform judgments. • • • But students of public administration have attempted to push generalization even further--to raise generalization to the level of principles that constitute absolute rules of conduct. • Public admin-istration cases do not serve as a book of instructions or a

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4 9 trade manua l , but this very limitation enlarges their sphere o f relevance. They deal with decisions.l 2. To Permit and Encourage Flexibility in Analysis of Complex Environments. The case study methodology was used for this dissertation because it is a good research tool for examining and explaining a complex cluster of actions within a single setting or environment. Its flexibility al-lows both controlled and uncontrolled variables. The latter type o f variable is typically present in field research, whereas clinical or empirical research can choose to include only those variables which can be controlled. The case study approach is uniquely capable of portraying the eclecticism of the decision-making environment in which a generalist such as a city manager must function. In this case study, the City Manager was directed by City Council to formulate a new land use policy. The manager converts his perceptions of the total environment as a specific management format is developed. Wright describes this role of the city manager as that of an "electrical transformer."2 To demonstrate the manner in which this conversion process functions, three factors were isolated for analysis because these variables were considered significant in the formulation of a new land use policy. These factors are: -the attitudes, perceptions of elected officials, community interest groups and city departmental. administrators; 1Harold Stein , "On Public Administration and Public Administration Cases," Essays on the Case Method ,ed. Edwin A. cuse, New York: The Inter-University Case Program, 1962), PP• 22-23. 2 Wright, p. 219.

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50 -the administrative procedures and data gathering techniques developed to support the policy formulation process; -the role and management style of the city manager. The city manager can control the last two factors. The first factor is subject to the influence, but not the control, of the manager. The attitudes and perceptions of the various actors are important in the formulation of policy, and will determine their acceptance of the final product. The city manager's role in the inputoutput conversion is vitally important. 3. To Expand the Scope .of Research. The case study methodology is particularly useful to examine an area which has not been a point of emphasis in other literature for a general field of study. With the noted exception of the literature published by ICMA, the general public administration literature and the literature in other of study which deal with the of management do not explore in any depth the function of the city manager in the formulation of land use policy. When policy formulation is discussed, more often than not it is assumed that elected or appointed officials have the sole prerogative in this general sphere and especially in land use matters. The planners are recognized as advisers, but city managers are seldom mentioned. Since empirical research relies heavily on comparative when there is an absence of data from which comparisons can be made, the case study offers the better route for analysis. For the purpose of a comparison of administrative procedures, data gathering and the environment of decision making, another land use case study

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5 3 by Alan A l tshule r has been used. Howev e r , the Altshuler case d o e s not discuss tht role o r management s tyle of the city man a ger because there was n o c ity mana ger in St. Paul at that time. Nevertheless , the arg umen t can be made that the absence of a city manager probably had some bearing on the outcome o f the case. Lack of acceptance o f St. Paul's plan demonstrates the need for an individual who could serve as the "electrical transformer" within that total environment. 4. To Record and Analyze as a Participant-Observer. One attribute of the case study methodology used for this dis-sertation is controversial. In the Colorado Springs case study, the author is a participant-observer or an "insider." Authors such as Stein and his colleagues believe that participant-observers may unduly bias the case study methodology and reduce its scientific usefulness. Towl, on the other hand, points out some advantages to being an insider. He believes one must get involved in multiple relationships in a case study, and that such relationships can best occur when the author is a part of the group being studied. It is by involvement in the situation that the researcher f rom within it, discovers the cluster of data creating an issue in the system requiring discretion, a choice of purpose •... While scholars seek the laws by which these complex forces work, those responsible for decisions at any moment are keenly aware of their need for skill as well as knowledge in charting a new direction for an organization. Those responsible for selecting and persuading men [women] to take such positions are keenly aware how difficult it is to find or to develop men [women] with this orientation and the necessary emotional maturity to: -seek out and understand actual situations from the administrative point of view; 3 Altshuler, "A Land Use Plan for St.

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-relate such concrete situations requiring action to the abstract knowledge and concepts of the subjects they taught; -use such situations with students in the process of learning and maturity.4 5 2 Towl is viewing the case study primarily as a teaching tool. In complex subjects dealing with the dynamics of human interaction, Towl's defense of the insider approach has certain merits. The major postulate of this dissertation is that certain management skills are critical to successful policy formulation. Only an insider would have access to the internal actions and interactions which portray the subtle nuances of a management style. The participant observer not only sees the actions, but also has insights about why and how things occur. New understanding of local government may be generated. The manner in which Bock describes a case study seems to support this assertion: Case studies are efforts to wrest significant and useful understanding from the infinite complexity and tangled interplay of forces and actions that make up the continuity of the real governmental process.5 Had Altshuler understood the governmental processes differently, he might have weighed St. Paul's land use planning problems differently. As an "outsider" in the city administration, his interpretation of events in St. Paul had certain expectations of the internal and ex-ternal environment. Whether the absence of a conceptualization of the city manager's role in Altshuler's case was the result of the 4 Andrew R. Towl, To Study Administration by Cases Boston: (Harvard University Graduate School of Business Administration, 1969),pp. xiii and 39. 5 Edwin A.Bock, Essa s on the Case Stud Method (Syracuse, New York: The Inter-University Case Program, 1962 ,p. 91.

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5 3 fact that the city had n o city mana ger, o r the result of an u n du e focus o n the planning p r o cess w i t hout link a g e to the city manage-ment function by the mayor or someone else is not known. By the same token, had Altshuler been writing about Colorado Springs from an "outsider11 point of view, he might not have perceived the city manager playing a key role. Bock introduces still another dimension to the subject of bias in research. Quoting Vincent Ostrom, he supports diversity in re-search strategies: "Diversity in research strategy may do more to increase confidence in our conclusions than merely replicating the same research design in a large number of different situations."6 Ostrom and Bock strengthen the position of case studies in the field o f research, and appear to support the viability of either "insider" or 11c ,mtsider11 observers in the preparation of case study analyses. Finally, Bock good-humoredly attacks the bias which may arise when case study research is narrowly focused on one clientele or purpose: Certain biases may also arise from limiting the purpose of case studies to those useful to only one clientele. The glint in the eye of a man setting out to truncate a body of life so that it will fit perfectly into his trophy case is a fearsome thing and is often enough to send facts and subtleties of truth scampering for cover. • • . The biases that arise from the preparation of cases exclusively for operational use by officials or agencies come chiefly from the fact that these clients are direct or indirect parties at interest. • • • Biases may also arise from the desire to make case studies and case programs serve scientific purposes. The scientist searching for evidence for a limited hypothesis is a party at interest.7 6 Bock, p. 106. 7 Bock, pp. 101 and 109.

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54 I t seems c l ear that b i a s mar b e a pervasive elemen t o f human nature, no t e asily dismissed regardless-of t h e point o f v iew. I n t he final analysis , t he use r o f a specifi c methodolog y should b e satisfied that the technology used is appropriate for the specific analytical effort. Research integrity is then a matter of intent and conscience. ro Support a Functiorial Approach to case studyM ethodology. Early case studies were primarily adminis trative histories or the capture-and-record studies which Anderson and Gaus consider repre-sentative of the genetic and developmental approach to public admin-istration analysis. In contrast, Anderson and Gaus advocated a "new approach" for examining the activities of public administrators: The new approach is in the realm of function rather than of structure • The new approach does not ignore organi-zation . . but look upon it as one of constantly adapting the work relations of people to the needs of service.8 Field research of management in Colorado Springs dempnstrates that a functional or procedural approach to a case more effectively illumin-ates the dynamics of management in policy formulation. This approach also contrasts with other traditional concepts of public administration: Conventionally, the other aspect of the public administra tor1S activities--the definition of his goals, his public and legislative relations, his dealings with pressure groups--has been regarded as somewhat alien to the study of public administration. It has been held to be more properly a branch (or another branch) of political science. This separateness and focus 8 William Anderson and John Gaus; Research in Ptibiic. Admirtis tration (Chicago: Public Administration Service, 1945), pp. 43-44.

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55 on n arrow specialities o r cavalierly dismissing pu blic administration has been on e -sided a nd fragmentary.9 The ICMA literature has supported innoyatiye. approach to .management for some years. Glover and Horgan believe there are two fundamental causes for cas-e studies in urb an m anagement no t r eflecting the functional approach more: (1 ) the lack of adequate research staff within local urban ozvernment; (2 ) lack of linkage between cities an d 10 their un iversities, B. Field Research of Management Techniques 1. General Research. The following section describes the urban management techniques used by the Infill Task Force as well as the information base and operational procedures used in Colorado Springs. Although matrix management is an organizational structure, it is primarily a functional relationship. The latter is stressed in the Colorado Spring s case study . 9 Stein, p. 3 . 10 Glover and Horgan are essentially talking about the genetic and developmental approach to planning--not urban land use planning. However, the linkage between land use p lanning and economics seem s c lear . If urban management is to be the thrust of r esearch, it can no long e r focus exclusively structural role of the city manager nor separate the city m ana ge r from the total environment in which economics and l a nd use decisions are linked." Today's ecology of govern ment must recognize that local government often exists in an environment of turbulence where the traditional views and concepts are no longer valid for problem solving. Clifford H. Glover and Andrew B. Horgan : IH, "A."l International Program in Urban Management," The MUniCipal vear Book 1978 (Washington, D.C.: International City Manager's Association, 1978), p. 65.

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5 6 2 . Management Techniques Used in Colorado S p ring s . a . Modified Matrix Management Se veral common techniques of mana ge-ment were used in Colorado Springs. Organizationally, the process was structured as a modified management matrix. Generally speaking , matrix management may be described as a dual line o f responsibility and supervision with one axis focused on the project or programmatic aspects of coordination w hile the other axis provides line super-vision or the technical management element. The author, as repre-sentative of the City Manager's Office provided leadership on the technical axis. Working in tandem, this dual leadership mechanism permitted the City Manager to remain closely involved in the entire process, but actively participate only at key points. It assured maximum involvement of the Planning Department's expertise while shifting some of the coordinating and planning for the project itself to the author in the City Manager's Office. The term "modified matrix management• was used because none of the lines of authority or responsibility were changed during the project, and new matrix management features, such as an interdepartmental task force and citizen input were incorporated in the model. The process was structured to include all the major depart-ment heads of the City. The City Manager formed an Infill Task Force whose membership included the following: Director of Parks & Recreation Director of Public Works Director of Utilities Director of Community Development Chief, Police Department Chief, Fire Department

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5 7 In addition, the Deve l opment Coordinator, the Finance Officer and t he C i t y Attorney's staff were from time t o t ime . The City Manager, the Planning Director, and the author were permanent member s of the Task Force along with department heads. At each juncture o f the policy formulation process, the Infill Task Force reviewed and shaped the direction of the overall effort. The ongoing responsi-bilities for developing information and preparing materials was shared by the Director of Planning and the author. The author had primary research and coordination responsibility . The process was structured to include community interest groups as well. Individuals representing all the major factions of the community interested in land use policy were kept informed of steps being taken in the administrative procedures, and at each point that materials were gathered to be presented later to the City Council, this group was invited to review and comment. Their views were incorporated into the material if a consensus prevailed. If consensus had been lacking , the City Administration would have made it clear to the community interest groups at what point in time and through which procedures dissenting views could be heard. In the specific case of the Infill Policy Statement, consensus was reached and certain language changes recommended by the community interest groups were incorporated into the final policy statement which the City Manager proposed to City Council. Matrix management usually refers to the internal structuring of shared mana gement or participatory manage ment.11 Adding the 11 Stanley M. Davis and Paul R. Lawrence, Matrix. (Addison-Wesley Publishing Company, Inc., 1977).

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5 8 element of interest group participation as Colorado Springs did is somewhat like sitting on a three-legged stool: one must understand the balance required for stability. The City Manager's role as an "electrical transformer" was key. The Manager's management style played an important function in assuring that balance so that everyone having a vested interest in the process was comfortable. Ecology in government as Gaus defines it recognizes that there are numerous actors and each has a role to play. As noted in Chapter I, Wright's description of the electrical transformer identifies a key factor in the dynamics of change in that environment. b. Changes in Administrative Procedures and Data Gathering The matrix management style was also key to the changes in the City's administrative procedures and data gathering techniques. Early in the meetings of the Infill Task Force, certain problems were identified which city administrators felt would inhibit the policy formu lation process as well as its eventual implementation. These included the disparate manner in which information was gathered by the individual departments, creating difficulty in combining data for purposes of management; the lack of effective linkage between budget constraints, as well as other City and departmental master plans with proposed land use changes; and the difficulty of providing timely information to the Planning Department and appointed and elected officials under these constraints. As a result of these concerns, the Infill Task Force designed more effective administrative procedures and data gathering techniques. There were four products of this action: a series of

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5 9 base maps, a revised "buck slip," a Planning Matrix, and finally, the Urban Infill Policy Resolutio n which the first three products supported. Each o f the four products will be disc ussed relative t o their purpose, format and the techniques used i n t h e i r formulation. 1) Product: Base Map s Purpose: T o provide a common base o f mapped information from which management decisions could be reached. Format: Maps were drawn to a common scale so that comparisons and management-type decisions could be facilitated. In the past, it was not unusual for maps to be drawn on many different scales to accommodatedifferent departmental purposes. However, for management purposes, decision making was dependent on com-paring information across departmental boundary lines and look-ing at many pieces of information s imultaneously . The P lanning Department, working with the other departments, developed a series of overlay maps on a common scale with a base map o f the vacant land within the City. A hypothetical section of that mapping is shown in Exhibit 1. The maps produced by the Planning Department were too large to be reproduced in this dissertation. Techniques: The base map overlays included not only boundary outlines for each urban service such as water, sewer, public works (streets), fire service, and other services, but also s howed the carryi n g capacity o f this infrastructure12 b y a 12The ability of the City's capital improvements and service delivery system to supply the demands for facilities and services .

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n11 J . • 09

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9

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62 Exhibit #1-) 2.

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E.XAMPLE../ .. . ... ... 6) Exhibit #1-4

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shading technique when possible. In addition, environmental constraints such as steep slopes, the floodplain, and other environmental features were mapped. 2) Product: Revised Buck Slip 64 Purpose: The buck slip is a form on which city departments convey to the Planning Department comments for a proposed land use change. Buck slips had been used for some time, but were considered inadequate because departmental responses tended to be cursory,causing some of the departments to view them as a waste of time. The purpose of revising the buck slip was to make it a more useful planning and management tool for all parties. The maps helped private developers' planning and made data more accessible for interested community groups or individuals as well. The departments were hopeful that, since they were making an effort to provide more analysis, the applicant for the proposed land use would see the benefit in providing adequate information about the nature of the proposed land use project. Format: City departments were interested in portraying information which reflected their concerns about budget and capital improvement commitments to which they were already obligated as well as showing the applicant the impact of the proposed land use change vis-a-vis the department's master plan. The department's ability to help developers reduce costs and time was viewed as a direct correlate to the timing and adequacy of the

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information which the departments received from the developer and the Planning Department. Techniques: The revisions of the buck slips involved a three-step process. First, the author and a planner interviewed each department head who was a member of the Urban Infill Task Force. From that interview a draft revised buck slip was developed by the department and the author. If the latter, the draft was sent back to the department for changes until it was satisfactory to the department. The buck slips were designed to address macro and micro elements of the departmental area 13 of responsibility for the City's infrastructure. After the buck slips had been revised, the Planning Depart-ment identified six vacant land areas within the city to test the new buck slips. The departmental responses were assessed on the basis of the adequacy of the responses in terms of the Planning Matrix (see Exhibit 4) and its general usefulness for decision making. One of the sites was a land use change which had been recently reviewed using the old buck slip form. The revised buck slip provided a greater amount of data, and re-vealed a conflict between the master drainage plan and the master park plan which had not been identified previously. The 13 For example, the acquisition, treatment and transmission of water is a macro element of the City's water system while the distribution of water directly to the customer involves the micro elements of the system.

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developer also obtained new information which altered the costing out of the project. This testing also revealed flaws in the revised buck slips of which a major one was the inability of the form to adequately address such differing land use changes as a master plan or a simple zoning change. In an effort to rectify this flaw, a flow chart was developed by the planner and the author t o identify the types of information normally received at a given point in any proposed land use process. In addition, the decision which might be made at each juncture was also charted. This substantiated the need for a buck slip to serve each type of land use change request rather than attempting to use one general form to cover all needs. It also demonstrated that different sections of a department might be required to respond rather than just one person in each department. After these revisions, the Urban Infill Task Force concluded that the test was sufficiently successful to prove the worth of continuing to refine the revised buck slips and to eventually consider using them on proposed land use changes other than infill projects. One of the old buck slip forms is shown in Exhibit 2. An example of the revised buck slips is shown in Exhibit 3. 3) Product: Planning Matrix Purpose: The purpose of the Planning Matrix was to consolidate the basic information obtained from the revised buck slips. Through this consolidation, management and decision making would be better served.

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r J r D u ( s s A c; ( DATE ____ _ 0 PUBLIC WORKS DEPT. 0 T ENGR. DEPT. 0 PARK DEPT. 0 LAND OFFICE 0 GAS 0 WATER 0 ELECTRIC R 0 STANDARD COMMENT [ r O_THER CONCERNS: y Exhibit 2 D O[V[LOI'MUH HCIWICAL CtJII, MlilU D II. IN OR li\IW SUU OIVISI014 CtJI/.11.111 C.l 0 Pl/INNING O[P/IHT MEtH H[VI[VI 0 -------------------------0 WASTEWATER 0 POLICE DEPT. 0 FIRE DEPT. 0 NOISE 0 SCH. DJST. # 0 REG . BLDG . 0 PPACG 0 COUNTY 0 MTN BELL 0 STATE HWY. DePT. 0 AIRPORT o _________ _ o ______ _ 0 COMMENTS MUST BE RECEIVED PRIOR TO ---------67

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l rl.l'"l • Jl J.f,JJ: l'I. S l 'OIIIJt:t;l : u r.111JLl t:!.: 1 . Tire Suppression: Response 1. Over 6 mlnutel re•ponse tine from any stlllon. f!xn1" o 1 i ) 2. Over 3 nutes but less th•n 6 mi"utea rearonae time fro• •ny one station. J. Leaa than 3 minutes response time fro• any one station. 4. 3 minutes response time (ro• two stations. !.xplain: 2. Tire Suppression: Tire 1. fire vill not allow more intense land use than exists. 2. Tire !lou vill not allov land use •s proposed but less intense cse is • possibility. 3. fire flov 1dequate for proposed but remainin& c•p•city for vac•nt lands in vicinity is nl&l1ed. 4. fire !lou 1dequ1te for proposed •nd 1dequ1te !lou remainin& for vacant lands in vicinity. !.xphin: 3. fire Suppression: and Equipment (for special fires) 1. Additional calls vill be •ore tn•n other land uses in the •rea and speci•l fire fi&htin& equipaent vill be needed. 2. cails vill be about equal to other l•nd uses in the area but special fire fightin3 vill 'be needed. ). Additional calls will be more that other land uses in the •rea but no sprcial fire fightinz vill be needed. 4 . Additional calls.vill be about equal to other land uses in the area and no special !ire needed. I.xphin: 4. Fire Suppressioa: At:ote.ss and Equipment (for speci•l .terrain) 1. fire access is impossible and special venlcles vlll be n•eded to provide miniau• protection. 2. Adequate fire access is possible if special are and/or are DAde in street desi&n. 3. fire 'is •v•fl•ble for p1oposed develormcnt •• desi:ned. 4. is •drquAte Cor proposee •nd •ccesa to site ia [xplain: J. Cur.: tiiL ':'cSnl und Suc1utllrSnJ l1111ll \l!t,. OfL' mn:dl uull 11UI&.' 'fUUf; rccrulrlnt nnd flrc lnv••li,;Mhm•. 2. Hlxtd lund uot conflcurnllon vi)J invcstStntionc, •nd f1Te &Afcty 3. Sintle RcsldcntiAl rrquire fir• safety but 1nspcctfons nnd vSll f.c.oa."b\:rci•l .-Jnd 1ndustr1al )O"'ud Uht"5 Aft )l)rce tnnuch to provSde !ire: safety Jn,tstlt.>tlon IL<:tvlrts of thtir nwn. Ixrhin: 6. is the esrimated 10 year fire loss !or the proposed land use? 7. Hou does the proposed relate to future statioo locations? B. Doe1 thi s proposed development impact the emer&•ncy par6medlc services?

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Format: Th e Planning Mat rix format was d esigned to present four t o six variables which the departmental buck slip addressed. These variables were briefly identified to the left o f each matrix whil e a scale o f one to four ran across the top of the matrix. T h e form enabled mana g ement and decision makers to see at a glance whether the project seemed to have problems with the infrastructure or the environment. The scal e o f one to four gave an indication of the intensity of that assessment. It also helped to identify areas of inter-relatedness and open the opportunity for the applicant to negotiate trade-off s which would be least harmful to each of the concerned parties. Techniques: The technique of summarizing information in a meaningful fashion is a common mana gement approach. It is also generally recognized, however, that there are dangers in oversimplification. These dangers were offset by having the revised slips serve as a backup. If the circumstance required further explanation, departments would still be free to provide a memorandum as an attachment. Overall, the new processes were designed to reduce ambiguity and enhance openness as well as making the decision making at each level of the process more visable. An example of the Planning Matrix is shown in Exhibit 4. 4) Product: Urban Infill Policy Resolution. Purpose: The purpose of the Urban I n fill Policy Resolution was to formulate and adopt a public policy which would guide the decision making of city officials as propose d l a nd use c hanges w ere considered.

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7 0 Format: The resolution is a general statement of lt is not a detailed exposition of the manner in which that policy will be implemented. It simply states an intent--in the case of a City Council, both a legislative and quasi-judicial intent. It also provides guidance to the City Administration. Techniques: The techniques to develop a relatively simple twopage resolution were complex. They required that the various actors in the process of policy formulation reach some degree of consensus. The policy statement itself was drafted and modified several times through a review process with the Urban Infill Task Force. Members of the Task Force then reviewed the policy statement with representatives of several key community groups who were shown the maps and examples of the revised buck slips. The administrative procedures and data-gathering system were explained as well. (Exhibit 4 illustrates the Planning Matrix. See Chapter III.) The consensual approach took almost a year of intermittent effort on the part of city staff. The City Council was periodically provided updates and their input shaped the direction of the Urban Infill Task Force. Colorado Springs, like other cities, had found itself faced with rapid changes in its environment. Its infrastructure was being strained to meet expanding demands for service. It is significant that City Council looked to the City Manager rather than the Planning Commission in policy formulation. It is also significant that the City Manager chose to form a task force including the major department heads; that he chose to include interest groups from the community; and that he chose to assign

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7 1 INFn.L BUCK SLIP SUMMARY SHEET Exhibit 4 PUBLIC WORKS 1 2 3 4 COMMUNITY DEVELOFMENr 1 2 3 4 Transit Systen X Comprehensiv e Planning Drainage Bas i n s X Land Use Relationship 1. Street Maintenance/Syst X Ordinance Compliance Neighborhood Traffic X Neigh bo.rllood Revi tal. X Housing Rehabilitation 1. PARK & RECREATION Human Relations: Social Existing Parks/Population X Human Econ. 1. Existing Parks/Maintenance X Housing Authority 1. Master Plan: Location X I Master Plan: Development X WASI'EWATER Proposed Parks/Population X Proximity to Main 1. Demand & Existing Syst. X .... FIRE Oversized Extensions X Response Time X Topographic Features 1. Fire Flow X Non-potable Water Use 1. Communication & Equip X ELECTRIC Access & Equip X Power Capacity Fire Prevention X Proxim.i ty to Service 1. Demand & Existing Syst. IDLICE Unique Design Features X Central Base Relationship X Major Capital Outlays X Patrol Pattern Relationship "X Service Demands: Type X DATE: Service Demands: Amount X SITE: Site Considerations X Note: Water and Gas Division Buckslip Formats were not yet complete at this time. 1. 1. 1. :X 1.

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7 2 responsibility for project mana gement to two one within the City Manager's Office and the other in the Planning Department. These actions established a pattern of participatory management, and created a dynamic management model conducive to effecting change. The City Manager, serving as the electrical transformer, controlled the flow or the current in that change process. When City Council requested the City Administration to recommend a new land use policy which would encourage infilling of vacant land within the city limits, the City Manager had several options: Q) He could have suggested that the City Planning Department and Planning Commission develop the policy. This would have been in keeping with earlier concepts which separated the planning and management functions. However, in that environment, it would not have been the City Manager directing the policy formulation. (2) The City Manager could have proposed that a consultaRt be hired to develop a draft policy . This would have separated the policy formulation process from the ongoing functions of the city administration, and might or might not have reduced the City Manager's direct involvement in the policy formulation process. However, the city departments such as the Planning Department would probably have primary responsibility for the consultant contract with other city departments only peripherally involved. Modified matrix management functioned differently. The outcome of this effort was the Urban Infill Policy Resolution, adopted by.City Council April 22, 1980. It is shown as Exhibit 5.

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.kcs.oluliun No. 1!>0-i!O I. HtSOJJirJON wnu. ro1.1CY 7) Exh ibit 5 l Mn; Rt.;,\5, camunity values call for 01!! balanced of tne p.;blic 11. nd private economic, soc:ial, cultural and ni'llural resources of Lhe area; and hifi:JE\S, present .lnd future invcsl11cnts rMde by public/privau sl'Ct:or must be! protccled in order to preserve these camunity values; and the PPACG cst..i.rrates that t:ro fOPU]ation of the City of Colorado Springs will approxirr.-.tely double l!f Ule year 2010; and h'iiE:REAS, as of this tine, 42i. of the land within lhe City limits is vacant and and I Y"...::RDI.S, this V.lCit.nt aro dcvclo,;:uble )and can l'Tl21lch, at present patleJ-ns of density, the current population of lhe city; and citizens of ColoritdO Springs are paying for public services such as JTUSS transit, utili tics, sueets, drainage, parks, fire, pollee, rccr03Uon, cc:mnunity etc. within established service and rraximizing the use of existing city services could reduce sprawl, decrease fjruncial bunlcn t..O cx:mservt! CIY:!Ig}' and rreintain natural and non-rencw.:tble resources; and h'HERFAS, a successful infilling col icy requires C'CX)peration and •good faitll" ncighl.orhxds, yove:CTTTCilt and the private sector; and NJW, TIIERl:FORE BE lT Rl-"SOl.VID B 'i\!E Cl'N CDJI'l:IL OF 'IU Cl'N OF SPRINGS: -14/14/80

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Exhibit '5-2 An Urk:.VI l.nfill J>ol..icy is )lf:.rciJy ilS follOI . 'S: l. '10 'lHE Dt.VtJJ.)I :.Utr m VKJ.JIT (UNDi?TOVr:D) JN-4> '111t CI'l'Y 1\S JtN JU.'ll.:HIV.T1VE '10 u;•ro::::ESSJ.RY BY: l. ros l cc i 119 cgui t.. 1 bl e and COOJ diM t..ed use o! public and pri vale resources cons)st.cnt with: a) .opp1 ovod_ ci ly design in the var)ous c:or.prchcnsive plan clCJTCilt.s; b) approved capital inp1 ovesn:mt pn:YJr. .ms and priorities; c) approved budgets !or programs, staff, equiprent. and facilities necessary to prov)de public services; 2. Dlcouraging the consfll'VCition of natural and non-renewable preserving c:o < n!T:.l1lity !<>Cllll, t:uH:ural and values; 3. 1\'eighi.ng neighl::orhxld C'O'!patibility and c:ohesiveness &!S a cc:arunity asset. i.n cons)ocn•Uon of ch;mging in o(!llSi.ty, buffc.ci.ng, accc!:s, 1\nd lhe !low of t.raffic througlout the City; 4. Strcngthen.i119 cnc.cgy ccnservaUcn and alternatives; 5. R'?cognizi.ng uruque CCllnunity ;,esthetic assets such as Pikes Peak, the ('.arden of the Gods, Palner Park and other values intrinsic to the urbln lantlseapc such as ridyes, saographical outcro;:p.i.ngs, t.errai.n and vE!'9etation; 6. Rcsp:cti.ng nal"UU'al constraints i.n the developr.i!!lt of land having slor:es, drainage or floodplain problc:ns, or sub-surface such as p.l.St landfills or min-ing C."C'loraticn; 7. m.L'
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75 Exhibit 5 J __ _ }\J"JLST: _.,--,, ___ ,, 1 ... C1 t:y Clerk -34/l-1/SO

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CHAPTER III CASE STUDY: INFILL POLICY FORMATION IN COLORADO SPRINGS A. Introduction This chapter will describe the benchmarks in the policy formation process used by the City Manager of Colorado Springs to develop an Urban Infill Policy. nis role and managerial style is emphasized. Specific administrative procedures and data gathering techniques are shown to be an integral part of the land use policy formation process. Chapter IV compares and analyzes thecolorado Springs case to that of Alan Altshuler's case study of St. Paul's development of a new use plan. That comparison highlights the differences between the roles and activities of various parties whose involvement--or lack of involvement--shaped policies and their acceptance level in each city. The Colorado Springs case study is concerned with a specific land use policy (infilling) and the City Administration's .action to carry out City Council's request for a policy recommendation. Infill is defined as the development of vacant, bypassed land within the city. It assumes that some or all City services are present, and that the bypassed land is developable. The author contends that the City Manager is key to Colorado Springs' successful management of the policy formulation process.

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The City Manager's role is described as that of an "electrical transformer" whom Wright sees as the manager of the "forces of 1 relative stability and dynamic change" in the policy process. The effort of the Colorado Springs Planning Department to define the policy implications of urban infilling began prior to the timeframe of this case study. In the early 1970s, the department began developing a comprehensive land use plan which included the concept of infilling. The conclusion of the planners at that time was that urban sprawl was not a serious problem, and that certain disadvantages of infill outweighed the advantages. It was feared that overcrowding, loss of open space within the City, traffic congestion and air pollution as well as a general community resis-tance to greater density made infilling an unacceptable alternative at that time. The department did note that continued development might pressures to develop slopes and ridges within the City as well as create leapfrog development on the outskirts. It was felt that at the time that such conditions began to prevail, a mor e 2 serious examination of infilling as a planning option should occur. City Council gave concept approval to the comprehensive plan in 1975 but took no formal action on it. There was considerable public involvement in the process through committees as well as public hearings in neighborhoods. A divided Council preferred that 1Wright, p. 219. 2 City of Colorado Springs Planning Comprehensive Plan Program: General Land Development Recommendations, Planning Information Report Two.(City of Colorado Springs Planning Department, July 1975), p. 73. 7 7

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c::J (l(CflO CITY OF COLORADO SPRINGS ORGANIZATIONAL CHART OFFICE OF CITY MANAGER Gt""1*"4. "1 t ., ••• , •... ,-oo .. , ...... t ... •u. .. LEGEND AS OF OCIOOER I . 1971 r---1 I I I I OtllllCT SU•l•Y'"SI()"' AJ!rfO'O• .-ov • ... • S T lit A ftv( C00 .. 0' .... A ' '0"" AO..,,,.,,,.,..,,,, o-nlCTIQJ.t a.,.o,o• II VOGf.T •tv ( .. * C O O" D '"""'lS A C f tVtltfS 0 .. \•

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80 addition, the Public Housin g Authority, Code Enforcement, Urban Renewal and Neighborhood Redevelopment as well as the Comprehensive Employment and Training Administration (CETA) are supervised by the Director of the Community Development Program . The expanded growth patterns foreseen by the Planning Department had begun to occur in the late '70s, and by 1979 Council initiated an effort to form an urban infill policy so that they might deal more effectively with changing needs and available resources within the community. This contrasts with Council's concerns during 1973-1975 when a natural gas supply shortage resulted in a gas moratorium that dampened any likelihood that the City Council would adopt a policy which might encourage limited or controlled growth for the city at that time. However, in 1979 many aspects of the physical, social, economic and political environment had undergone change. Inflation and energy shortages were increasingly costly for everyone, including city government. The growing taxpayer resistance in Colorado Springs as well as other areas of the country could not go unnoticed even though Colorado Springs voters passed a million dollar park and open space bond authorization in 1979. This ambivalence in general and specific attitudes is fertile ground for the "environmental turbulence" which Gawthrop discusses.3 With Council's active interest in urban infilling, land use planning for the City took a major step toward becoming a management tool through which the City Administration could provide more efficient "public housekeeping" as Gaus described.4 3 Gawthrop, p. 78. 4 Gaus , . p. 8.

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81 City departments were at first skeptical about Council's com-mitment to the development of an urban infill policy because of its growth-oriented decision-making pattern of the past. For this reason, it was critically important that the City Manager involve himself from the outset in the policy formation process. His office, through the author of this dissertation--as well as the City Manager at key decision-making points--played an active role in the policy formation process throughout the timeframe encompassed by this dissertation. 1. Economic Environment. It is obvious from the statistics cited earlier that Colorado Springs has been and is a "growth city," one of the leading in the nation. Colorado Springs was founded by entrepreneurial interest led by General William Palmer, who envisioned Colorado Springs as a "Little London 11 on the frontier of an expansionist-oriented American investment capital. Business interests in the community have been heavily involved since the 1800s in shaping that growth. During the Depression, Colorado Springs, like other communities, experienced retrenchment. However, the City had significant growth between 1940-70 due to the location of five different military installations which dominated the economy until the electronics industry expanded measurably in Colorado Springs during the 1970s. These "clean industries" and tourism form the basic economic pattern for the community today. 2. Socio/Political Environment. The social environment of Colorado Springs probably shaped the political environment to a large degree. However, it has not been the small ethnic/racial population of Colorado Springs, but

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82 the wealthy who have been a present and significant factor in shaping a basically elitist society. This society has governed by a noblesse oblige commitment of those in power to provide an acceptable environment for the rest of the support community. The turbulence of World War II and the 1960s shook that monolithic structure, but did not shift the power base of the community in any significant manner. It i s more likely that the professional element of the military and electronics industries--basically independent of the "old guard wealth"--have influenced a re-direction of future growth. As a politically conservative community, there has been strong emphasis on the individual property owners' rights, perhaps to the detriment of the whole. However, this concept is one of the basic justifications for local government. The preservation, or at least the balancing of community and individual rights against excessive nationalism or a community collectivist monolith which can obfuscate the rights of the minority or the individual is a cherished ideal of the American democratic republic. The balancing is far from easy . Although some may argue to the contrary, this need for balance and equity can be a major reason for support of the Council-Manager form of government if strong individualism is prevalent in a community. 3. Physical Environment. The Colorado Springs area is visually delightful, pleasantly cool in summer and relatively mild in the winter. It has many natural resources. However, one of the most serious constraints in Colorado is a shortage of water. Although it can be purchased like any commodity, s upply and demand control its price and availability. Colorado Springs currently has a raw water supply sufficient to serve double its present population.

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One of the management tools Colorado Springs has is its Water Extension Ordinance. The ordinance dictates that extension 8 3 of water to any area outside Colorado Springs boundaries requires an agreement permitting the City to annex that area at some future date. Other boundaries, such as gas and electricity, already extend beyond the City's formal boundaries. The Colorado Public Utilities Commission regulates gas and electric utilities. However, water rights are still controlled by the local jurisdiction through long-standing water law. Owning land within the City does not automatically guarantee the availability of water for vacant land. Rights to water are granted on a "first come, first served" basis. It is estimated that the City's current supply of raw water can serve future development of all vacant developable land within the city. However, should this water be committed to land developments acquired through extensive new annexations, the City would either be unable to serve current vacant land or would have to acquire new raw water supplies to provide the additional demand. Obviously, this constraint within the physical environment impacts the City's policy formation regarding land use matters. With insights into the economic, social, political and physical factors of the environment, one can more fully appreciate Gaus' concern for ecology in government. In addition, there are two other factors to keep in mind regarding Gaus' concern regarding the manner in which public housekeeping in government should be judged: 1) the negative productivity factor if the present infrastructure is under-utilized because vacant land within the city limits has not been developed; 2) the negative taxpayer attitude toward rising costs of public services. If elected officials and the public demand sprawl but are unwilling to

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8 4 pay its costs, the public administrator should not be saddled with the label of inefficiency in public housekeeping . Good public house-keeping is contingent upon public policy which supports a balance in public/private views. It calls for a management partnership between elected officials and public administrators as well as a partnership between government and the private sector. Effective public managers work toward these symbiotic relationships. Good public housekeeping tends to follow. p. _Forming an Urban Infill for Colorado Springs. This dissertation covers approximately one year, from May 1979 to April 1980. The initial impetus for the City Council request for an infill policy is difficult to pinpoint. The City Manager, however, set the process in motion by calling a meeting of the City department heads in mid-May. The chronological chart detailed on subsequent pages gives the reader a set of benchmarks showing the sequence of events during that year. The "Actor Code" identifies those involved in a particular activity, and the general role they played. Infill Task Force The internal organizational group was made up of the follow-ing City department heads: Director of Public Works Director of Utilities Director of Community Development Colorado Springs Chief of Police Colorado Springs Chief of Fire Department Director Park and Recreation Director Planning

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85 The City Manager and the author were also member s of the Task Force. This group brought together the knowledge and expertise to guid e policy formation in a manner which would be supportable by adminis-trative procedures and the City's technical data base. City Council The nine-member City Council served as initiators of the process. They guided policy formation and served as a link between the internal and external environment. Private Sector Community Interest Groups The community at large provided the external environment which Wright describes as a "large irrational matrix." (In this sense, "irrational" means diverse and uncoordinated.) This group varied in its level of participation and its membership. At one time .or another it included representatives from the following entities: -Colorado Springs Board of Realtors -Council of Neighborhood Organizations (CONO) -Open Space Council -Energy Research Center -Private Developer Representatives -Home Builders Association Chamber of Commerce -League of Women Voters There were two concentrated periods of time which involved the City Manager more intensely and directly in the administrative procedures: in May 1979 and the period of March through April 1980. As the reader will note, these months also have more activities listed on the chronological chart. The City Manager's role and style of management are demonstrated by his activity level and the timing of City Council and private sector involvement.

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Th e case study is d ivided int o t hree d istinct phases: Phas e One: Phase Two: Phase Three: Definin g the Probl e m Policy Gestation Consensus-building and Final Policy Adoption The activities of each phase are chronologically outlined in Chart #2. The importance of these activities in the policy formation process and the city management role and style is emphasized. The case study section gives attention to case facts while Chapter IV's paradigm provides a policy formation analysis. It compares the highlights of the St. Paul land use study with the more detailed events and actions in the Colorado Springs case. 1. Phase One: Defining theProblem (May 1979). A city manager must direct, delegate, consult, integrate and 86 produce results. The manner in which a manager carries out these functions -reflects a management role and style. The case study begins at the point where the City Manager of Colorado Springs called a meeting of city department heads to discuss the assignment from City Council to prepare a report recommending an urban infill policy for the City of Colorado Springs. The Manager directed the author to attend this meeting and assigned her to do the follow-up necessary to complete the report prior to the City Council Workshop May 31, 1979. a. City Department Heads' Meeting with City Manager (May 16, 1979) -At this meeting, the City Manager a s ked each department head to give his views on infilling, its definition and the i mplications of devel-oping an infill policy from his department's perspective. It was clear that different departments had dif ferent c oncepts of infilli n g

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DATE ACTOR CODE /1/2/3/4/5/6/ 05/16/79 I p 05/18/79 p I 05/29/79 R I 05/30/79 I p 05/31/79 I p p 06/14/79 I R 06/07/79 p I 07/18/79 R I 08/10/79 I p 10/31/79 I p CASE STUDY CHRONOLOGICAL CHART COLORADO SPRINGS POLICY FORMULATION ACTIVITIES DEVELOPMENT OF ADMINISTRATIVE PROCEDURES City Manager called department.heads meeting to discuss Council request for recommend atio n s on Infill Policy -group hereafter called Infill Task Force. Author's memo to City Manager. Outlines work plan and timetable for interviews with department heads and schedules next meeting of Infill Policy Task Force. Author's memo to City Manager reports departmental interviews, provides draft report to City Council. City Manager chairs Infill Task Force meeting called to review draft to Council. City Manager makes report to City Council, Planning Director presents vacant land map. City Council discusses report and accepts City Manager's recommendation for continued study. Author's memo to Planning Director outlining proposed work plan. Author and Planner conduct second round of departmental interviews. Information points to need to revise routing slip 'tor proposed land use changes as they are reviewed by departments. Increased awareness of need for common map data base and sample site rev iew. Author's memo to City Manager providesprogress report, revisions in work plan, plans to meet with two local developers. Infill Task Force meeting with representatives of developers in community. Developers provided insight pn constraints to infill from their perspective. City Manager & Infill Task Force receive briefing, discuss timing for progress report to City Council. Discuss revised buck slips and review mapping done to d ate. Task Force decides to reroute revised buck slips using actual request for land use change (the Mesa Master Plan).

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DATE 11/20/79 11/29/79 01/09/80 01/10/80 03/07/80 03/13/80 03/17/80 03/21/80 ACTOR C ODE POLICY FORMULATION ACTIVITIES DEVELOPMENT O F ADMINISTRATIVE PROCEDURES 11/213/4/5/6/ R I p p R I R I p I City Manager provides City Council Progress Report, including prototype map overlay, example of revised buck slip. Author's memo to Infill Task Force identifies site selected by Planning Dept. for re-testing buck slip; outlines new work plan using the Mesa Master Plan Proposal. Larry Manning reports findings to date on Mesa Master Plan Proposal. Infill Task Force meeting with Community Interest Group Representatives. Director exhibited maps prepared t o date and discussed their usefulness. from representatives very positive. Revis e d buck slips were explained. of this meeting on file. Planning Response No Infill Task F orce review of draft definitio n of Urban Infill and preliminary draft of Urban Infill Policy Statement. Task F orce decided to review materials wtth Community Interest Groups . I P Meeting with larger representation o f Community Interest Groups. Review of Urban Infill Definition, Urban Infill Poli cy Statement, demonstration of maps prepared to date. Response very positive. The Group interested to close involvement as process moves toward presentation t o City Council. I P P Infill Materials sent out as part of Coun cil Workshop Agenda for March 21st. Include Proposed Policy Statement; Proposed Definition of Urban Infill; List of Base Maps; and Examples of Old and Revised Buck Slips and Planning Matrix I p P P City Council Workshop . Planning Director and Author presentors. Council selected definition from continuum of alternatives, directed City Administration proceed with draft of Infill Policy Resolution. Community Interest Group support stro ng . Council encouraged public relations effort to inform community at to 0 N I N co

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DATE 04/04/80 04/07/80 04/07/80 04/22/80 ACTOR CODE /1/2/3/4/5/6/ p p p R R I I p p I p POLICY FORMULATION ACTIVITIES DEVELOPMENT OF ADMINISTRATIVE PROCEDURES Meeting with Community Interest Groups to review Urban Infill Policy Resolution. Some modifications by groups, and agreed upon by Infill Task Force. Author's memo to City Council outlining changes in resolution; persons involved in meeting at which changes were proposed. City Council reviewed proposed Urban Infill Policy Resolution and approved its being placed on the April 22, 1980 City Council meeting for formal This was a deferral in time in order to give anyone who wished the opportunity to add comments or indicate concerns. City Council formally adopted Infill Policy Resolution. Legend: ACTOR CODE Numbers: Letters: 1 a City Council 2 • City Manager 3 • Infill Task Force (City Departments) 4 • Private Sector (Community Interest Groups) 5 • Author 6 • Planning Director I Initiator; P • Participant; Pr • Presentor; R • Receiver

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9 0 and its implications. The City Manager directed the author to conduct follow up interviews with each department head and compile their views on the definition of infill, the appropriate criteria to be used for an infill policy, and possible constraints to infilling. The Manager also directed the department heads to meet with him prior to the City Council Workshop to review the material prepared for that meeting. b. Author's Memo to City Manager Outlining Work Plan (May 18, 1979) The author's memo to the City Manager outlined a work plan which entailed four days of interviews and follow-up memos from the department heads. As it turned out, the author provided the follow-up memos to the department heads. Two of them elaborated with sub-sequent memos. In the May 18 memo, the author attached a series of questions to be raised in the interview with the department heads. A list of key variables, excerpted from The Cost of sprawl, offered some stimulus for discussion also. This memo is presented in Appendix A. c. Author's Memo to City Manager -Interview Reports; Draft Report to City Council on Infill Policy (May 29, 1979) The author provided the City Manager with copies of each interview summary and the expanded comments of the Chief of Police and Director of Parks and Recreation. In addition, the author bad drafted a report to City Council as well as the Manager's transmittal letter. Each department bead had previously been given an opportunity to review the author's summary of their interview and offer comments or changes. The draft report and City Manager's letter were to be reviewed by the Infill Task Force on Hay 30.

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9 1 Th e exchanges during the tw o wee k peri o d fro m May 1 6 t o May 3 0 f o cused the policy f ormu lati o n probl e m in t he followin g manner: 1) Interview with Planning Director The interview with the Director of P lanning identified several classifications of develop -ment: a) redevelopment areas; b) bypassed areas; c) new growth areas, including four sub-areas of development: (1) new growth linked to growth already within the City's planning boundaries; (2) new growth detached from growth within the City's current planning boundaries; (3J new growth beyond the City's planning boundary, but within Utility ilepartment's urban service districts; (4) new growth beyond present Utility Department urban service district boundaries. He described the present City policy regarding each classification, its infill application, and the kinds of additional information needed to undergird a new land use policy for infilling . His classifications and analysis are summarized in the City Manager's May 30 memo to City Council (Appendix B). The Director's concepts formed the basic structure used to narrow the scope of the problem of infilling. 2) Memorandum from Park and Recreation Director The Park and Recreation Department memorandum pointed out that a vigorous infill policy might result in additional pressure from citizens who pre-ferred to see vacant land converted to open space or parks within their neighborhood. It also pointed out that vacant properties are often "the least economically feasible areas to develop due to topography, geologic formations or being in a flood plain."5 5city of Colorado Springs Inter-Office Memorandum from Lawrence A. Schenk, Director Parks and R ecreation, to the author, May 24, 1979.

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9.2 The memo urg e d adherence to t he Master Park P lan a s a m eans of r atio-nally determi n i n g the feasibi lity o f park development a dvocated by citizen groups . 3) Memorandum from Police Chief The Chief stated in his memorandum: I believe infilling is influenced by three primary factors: 1) urban renewal and redevelopment; 2) development of previously undeveloped land; 3) development of "islands" created as a result of annexations ••. 6 Of the three, the Police Department considered urban renewal and re-development infilling most desirable because they reduce demand for police services and facilitates the utilization of more consolidated resources. The Chief expressed concern that previously undeveloped land within the City might have remained undeveloped because of certain topographic or geographic features which could also make it more diffi -cult for the police to serve once it was infilled. He further ex-plained that the annexation islands tend to spread the resources o f the department and therefore are-less economical to service. 4) Interview with Director of Utilities The Director of Utilities pointed out that two factors control the development of the utility service delivery system: a) market demand (and ability to pay); and b) the Public Utility Commission of Colorado. The Commission requires the City to serve those requesting service within the City utility service system without regard to political jurisdictional boundaries. He recommended that the infilling occur within the City's water district limits which basically conform to the present City boundaries, or within its Urban Planning Boundary which extends 6city of Colorado Spring s Inter-Office Memorandum from John L. Tagert, Chief of Police to the author, May 23, 1979.

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93 somewhat beyond the Cit y limits in some instances. The U tility Director preferred not to extend high cos t water s ervices w i thout a full utility service network. Finally, he cautioned that the most expensive type of development for utilities is redevelopment areas because these areas often require the replacement o f under-capacity infrastructure capital improvements such as water mains.7 5) Interview with Director of Public Works The Public Works Director was very conscious of the impact of land use changes upon the City's capital improvement and general fund budgets. The Public Works Department was heavily dependent upon these monies for opera-tion and maintenance of the City's street and drainage network. He pointed out that the City's Mass Transit Service operated at a deficit which could be better offset if there were a more concen-trated settlement within the City (as opposed to substantial vacant property or expansion beyond the City's present boundaries). In addition, the Director said that development costs can effectively "sterilize" land which has severe drainage problems.8 6) Interview with Fire Chief The Fire Chief pointed out that the type and design of infilling development impacts the Fire Department for the following reasons: -if multi-story development replaces single family structures, water mains may have to be enlarged to maintain adequate fire flow. 7 City of Colorado Springs Inter-Office Memorandum from the author to Jim Phillips, Director of Utilities, May 22, 1979. 8city of Colorado Springs Inter-Office Memorandum from the author to DeWitt Miller, Director of Public Works, May 22, 1979.

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certain types of for example, hillside o r ridge develop-m e n t , may be difficult f o r the Fir e Department to serve with present equipment. -leapfrog devel opment makes it difficult to serve and t o manage Fire Department resources (response time as well as personal and equipment) . 9 d. Infill Task Force Meeting (May 30, 1979) The Infill Task Force meeting May 30th produced a favorable consensus among depart-ment heads for the City Manager's recommendation to Council to pursue additional study of infilling's impacts on City service capacity. The draft memorandum was accepted without modification and plans were made for the presentation to City Council on the following day . e. City Council Workshop (May 31, 1979) -The City Manager presented his memorandum to City Council with a brief verbal explanation o f the process used by the City Administration. He also made the point that departmental differences in perspective on infilling stemmed from the demands for service and the cost of capital improvement and maintenance to sustain an adequate level of service. He then asked the Planning Director to present a current map of vacant devel-opable land prepared by the Planning Dep artment. The City Council discussed at some length the apparent need for an infill policy. One of the local newspapers, the Gazette Telegraph, reported the City Council's favorable action on the City Mana ger's recom-mendations, and quoted some of the City Council members comments 9 City of Colorado Springs Inter-Office Memorandum from the author to Fire Chief Sievers, May 22, 1979.

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9 5 as follo ws: (Illustration 1 ) !The Vice Mayor stated]: I favor infilling because of the economies of development it affords and because it will save energy. IA Councilman commented]: .• Council should expect opposition from residents, but we'll have to change some ideas .••. 10 It should be noted that this period of two weeks was adminis-tratively intense. It also demonstrated the manner in which the City Manager began to develop the modified matrix management style used in this project. First the City Manager involved department heads to address the issues. This group evolved into the Infill Task Force. Second, the City Manager delegated the coordination of the effort and the preparation of the report to City Council to a person within his own staff, but encouraged close coordination with the Director of Planning. This set up the structure for the dual management function which later was developed. By setting up this initial management structure, the City Manager effectively retained control of the pro-cess and outcome, but encouraged broad-based input within the Admin-istration where technical and operational expertise lies. 2. -Phase-Two: Policy Gestation (June 1979 through January 1980). The second phase of the case study demonstrates the develop-ment of the rational comprehensive planning model through the design of new administrative procedures and a data base, and the involvement of community interest groups. "Policy gestation" was chosen as a title because it helps to portray the growth period of the policy formation process. Again the emphasis is upon the internal structure, 10 Dick Foster, ''Development in City Urged." Gazette.:.Telegraph Colorado Springs, Colorado, June 1, 1979.

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Illuatrat.1on-l pevelopment in City Urged Jly DICK FOSTER CT Sui! \frllcr S;>rint• C it y Cnundl .-ill t o r "lnf allin, , •• th e of , -.c.;mt la.r.d alrudy or the cit) , thm mo : e from L:"\e urbJn !nn3e. Couuil tM clly administration Thursday to draft a 5.:r;:ortmr inf1i Hn: r f r,ns or CO\"OoO;><:TS ;>ro;><:ny c•"T.crl. \'."bi l e ir.fillin g Is ccoon:nical, p :ojKIS will pro:,•:,ly b:.:tles by . to prcH:-Ye tl:e i r rst=tblis.hed .' t\O:i".oc,:s :u L'";c) art, council mem b:rs s lr.f1'lL"\; md: r n;IUJmum U'-t o ! :. , r;!i!,ju built : .:.d c• td i n 1orr;1s, Jn.c ic6:t.: uri:lt y l.r.es, strc...::s ;o.;,1 )Ct '-:JCh l'IS f1rt J.Lio:ic-ns. • • J f.:xllr ir.:,ihnz o: :.,t . t'CC':':O:T.ics C'lf C:e,t:v;u:; rnt it :J. lurJs aod !><-c•use it "ill s;:e \'jet Mtke B ird. Gtnl rllll)', or • p :cc-e .. mhll'' ira oh es f.lrr., l e to utilit y lines aJ. t.•i lt lD the •):a. U!oC or • !rt'C'ls alrndy co ns:ruc:td, ar.d protr-cUon by fzre and po lice .. t . icb the a. a ch i d rcuon why land arr.: d oc, rlo;x-d m:air. s \ ;.cant in the r&.rst p lace. cr thr e n : u t-.a, r Gra!na;t crr.1tic la.nd coun tours, maklns: insta l !lllion or dr:ai nace nnd prtdt an u: pcnsh e pro;'K'sihon. C.:y Co.Jncil ., . • ;"Its to rncouraL e "' ith • uch as ad , . ., , .can; the C'.Ht o ( 5lr'UC h.rn -U.e Cr\'t co.n"t ala lord it at t he O:I!.S;>'>sitinn from .uc..:nd !ouch i;)f•:tms prOJects. "Ptopl e b.'C\lme w.t-d to \ "OCant lar.ds &{Ound tt.em, and come :0 think ol It as open 'l nomlcal lor a do\ elopcr to b uild sln&l ... !amlly homos In a •ln01clamily nment," he Sli d . But be such do\ o lo;:.mrr.tsanj t\"tn C'Orr.mrrc:al bucm rucsa:-e ''no! ii'K"'ttmp:atibit in a re sidential r.el.;hborhood . " H t u ld council •hould rulize tha t "all projects o;-e toone to !:-.1H1c on aroun d it," and lhJt tblscorr. mo nly cited orcument by dosap;>rovone rrs l denu • hu"ld be d i •countr:tlu ,. i tb lncrra.u, •• Jnluhne n . e will be " " ilh b:.l;.J,cm& thes e C.lnctrn• : rcsidrnls' in prt5en in & thc•r neJ , hbcirhD
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en but the interface with the City Council a n d the e xternal environment through community interest groups is also significant. Policy gestation forms the third leg of the three-legged stool which a city manager stradles in the arena of public administration process of policy formation. a. Author's Memo to Planning Director (June 14, 1979) -The net effect of the City Council's action was to "buy time" for the City Administration to more carefully analyze issues and develop a policy recommendation which might take into consideration different variables. The author's memo to the Planning Director once again re-enforced the modified matrix management model as outlined in this dissertation. The function of such memos was to establish a basis for understanding between the individuals who share responsibility for executing a work plan. This memo focused on the Planning Department's responsibility to identify several land use sites which were to serve as examples for the departments to analyze in terms of their assets and liabilities as an infill site with a specific land use hypothetically designated. A timetable was proposed to enable the City Council to have an urban infill policy recommendation by the end of the year. However, this timetable was extended in the fall of 1979. (See Appendix C.) b. Author's Memo to City Manager (July 18, 1979) -This memo explained the extension of time on the basis of the extra demands upon departments during certain phases of the budget cycle. The Planning Department had identified six sites for departments to analyze. In addition, as a part of the discussion (which was not attended by the City Manager) the Infill Task Force determined that external input from private developers would be helpful. Therefore, it was agreed

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that the Planning Department would contact several prominent local developers and invite them to meet with the Infill Task Force in August 1979. It was felt that three major developers probably were not only representative of the attitudes of most developers in the community, but also that they provided strong leadership in responsible development practices within the community. (The author's memo is presented in Appendix D.) c. Infill Task Force Meeting with Developers (August 10, 1979 ) The Planner assigned to work with the author on the Infill Policy Formation Project, summarized the meeting with the developers. That summary appears in full on the following pages. (Exhibit 6.) The City Manager did not attend this meeting, but was briefed verbally and through the notes taken by the Planner. Like the Task Force efforts in Phase One, the insights gained from this meeting with the developers were not new and startling. However, the meeting provided a means of consolidating information and perceptions as well as providing the developers with assurances that the City Administration was interested in incorporating their expertise and concerns into the policy formulation process. d. Infill Task Force Meeting: Agenda (October 31, 1979) -This meeting gave the Infill Task Force an opportunity to reconvene after the major budget cycle efforts had been completed. The author and the Planner had been working unilaterally with various staff members within the departments to revise the buck slip and to-experiment with it by reviewing the six sites chosen by the Planning Department. The City Manager's attention turned to determining when the City Administration felt it could finalize a policy recommendation to City Council.

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MEETING 8-JG-79 1:30 City Conf. Room City Staff: Ringe, Boyer, Scott, Hanning, Owsley, Miller, Phillips and Schenk Developer•: Schuck, Shepard, and Schooler Developer comments on infill 1bcre often political battlea over an infill site because the neighborhood tvpically opposes any development. If City Council is serious nbout supporting infilling, it to these political co"'•,A lot of infill sites are avoided by developers because of some specific priced development aspect; if City would front end costs for these kinds of problems; private development industry could more easily h11n
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Exhibit Indirect incentives do not vork. (auch aa restricted annexation policy) development will continue to occur on of City limits (Knob Hill as example) and these become problrms for the City eventually. on frinr.e urban area '-rovth are inflationary. clamps anpply, and creat-es. JDOnopolys. f4nstraints on construction will tend to ra1"e rates on existing stock possibly the lov end home ovner or renter. City to educate and drvelopment industry on infill concept its costs and its benefit5. developers are Develorera" (turn over rav land as quick as possible), others are "BLDG. Developers" (Turn raw land to land uses and structures), others are just property ovnera, others are a combination of above. rcRUlation =cdificationa could crrate infill incentive (like lovered requirements if near masa transit, etc.). Incentive progra111 can be defended on the basis of "Public Jntereat" i.e. same as arlit share improvement district concept. Notes prepared by: Larry Manning, Planner 100 Colorado Springs Planning Department

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10 1 When the Infill Task Force met, the members were generally pleased with the developments of the revised buck slips, but wanted to re-test one of the six sites which the Planning Department had chosen initially. This site was an area for which a Master Development Plan was proposed and had been scheduled for a December hearing by the Planning Commission. The Infill Task Force was aware that this proposed Master Plan had been reviewed by city staff using the old buck slips. The members were interested in learning whether a subsequent review, using the revised buck slips, would produce new information. It was decided that this land use proposal would be unofficially reviewed to test the revised buck slip. As a consequence of this decision, the Infill Task Force agreed that only a progress report would be provided City Council at that time, and the Mesa Master Plan proposal would be reprocessed using the revised buck slips and the Planning Matrix designed by the Planner. e. City Manager's Memo to City Council (November zo, 1979)-This brief memo outlines the material that was presented to City Council at its last Informal Meeting in November. In addition to the revisions of the buck slip, maps which were drawn on a common scale and which depicted the City's service delivery system were presented. The Planner had contracted with a graphic artist who worked directly under the head of the Graphics Division. A number of the maps had been completed by October, and the Infill Task Force had its first opportunity to see them at its October 31 meeting. The Planning Director presented the maps at the City Council meeting and explained the other activities under way. Like the

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102 Infill Task Force, the City Coun cil was very pleased with the e ffectiveness o f the mapping . Council's reaction to the progress report was very positive, and they simply affirmed the City Admininstration's current direction in the policy formulation process. (Appendix E.) f. Author's Memo to Infill Task Force (November 29, 1979) -This memo served two purposes: 1) to provide the Infill Task Force with a complete set of data for the Mesa Master Plan re-testing; 2) to establish a new work plan and timetable for the Infill Policy Formation process. December ended the City's calendar year and the departments worked in the re-testing as staff time would permit. (Appendix F.) g. Planner's Summary of Test, Re-test and Planning Matrix (January 9, 1980) The City Planner summarized the re-test of the Mesa with a narrative and the Planning Matrix. Appendix G contains the narrative. Exhibit 7 provides the Planning Matrix summary. The latter demonstrates the manner in which the Planning Matrix can provide a quick summary of the project review. The areas of concern are readily visable in column one: the Park and Recreation Master Plan and Development; Fire response time; and Wastewater proximity to exist-ing main. The cautionary indicators in column two reflected the Public Work's Department comments on the drainage basin, and neighborhood traffic; Fire flow; Police patrol pattern relationship; and Wastewater demand and existing system and oversized extensions. As the narrative points out, "Major problems center around wastewater service." This variable affected three departments: Public Works, Wastewater, and Park and Recreation. Its impact on

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INFILL BUCK SLIP SUMMARY SHEET 10) PUBLIC WORKS Transit System Drainage Basins Street Maintenance(Syst Neighborhood Traffic PARK & Existing Parks/Population Existing Parks/Maintenance Master Plan: Location Master Plan: Development Proposed Parks/Population FIRE Response Time Fire Flow Communication & Equip Access & Equip Fire Prevention R>LICE ... . 1 : 2 3 4 X I I X I I X ' I I X I ! I X l x1 l x x ! I I X l l x 1 . X : I I I I I I I I : x; ! I I 0 • I Central Relationship Patrol Pattern Relationship 1 . I ! X ; -x: I Service Demands: Type Service Demands: Amount Site Considerations , I . I I X I . I . I : x . I I Exhibit 7 COMMUNITY DEVELOH1EN1' Comprehensive Planning Land Use Relationship Ordinance Compliance Neighborhood Revital. I X I : l x Housing Rehabilitation X Human Relations: Social 1 X Human Econ. . X Housing Authority i X WASI'EWATER I Proximity to Main I I I Demand & Existing Syst I l X Oversized Extensions ! I I ! X Topographic Features ' I I. : x Non-potable Water Use I , I I X I ; I ELECTRIC I : Power Capacity 1; , . % Proximity to Service I & Existing Syst. I Unique Design Features X ' X Major Capital Outlays DATE: SITE: X X Note: Water and Gas Division Buckslip Formats were not yet complete at this time.

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104 the developer became apparent as the more intensive review of the Mesa Master Plan was conducted. The Public Works and Wastewater buck slip responses in September stated: Public Works: Drainage problems exist in this area. Public Works would like to see a more detailed Master Plan before proceeding to Planning Commission. Therefore we recommend postponing this item. Wastewater: Master Plan is acceptable. Extension of the Mesa Valley truck sewer from Brewster and Washington and from Monument Creek to Caramillo and Chestnut will be required. However, the Park and Recreation response was routine because a problem which later surfaced was unknown to the Park and Recreation Department in September. In fact, the Park and Recreation Master Park Plan and the Wastewater Master Plan were in design conflict. This meant that the private developer's master plan could not be in conformace with both department's master plans. The impact of these consequences were as follows: -For the 'Developer: The developer would experience a higher than expected front-end cost, and might have a longer pay out on his investment. A drainage improvement basin's fees are allocated to the abutting property owners, but are front-ended by the developer. As the property is developed and sold, the City reimburses the developer from the drainage improvement fees imposed upon the property. Drainage fees premised on a natural design which permits absorption and assumes relatively low runoff is less costly than an underground pipe system designed to carry water from the area. The Mesa Master Plan was premised on a natural drainage system.

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105 -For the City Wastewater Division: Th e Wastewater Master Plan called for an underground pipe installation of a major sewer trunk . The Wastewater Division would benefit eventually from this system because it would reduce lift costs. As a part of the City's Wastewater Master Plan, any costs to the City.were already anticipated. -For Park and Recreation Department: The Park and Recreation Master Park Plan for the Mesa site called for a natural drainage area and a linear trail-park which linked a major trail system being developed. In addition, a newly dedicated park just south of the Mesa was in the drainage path which would receive greater run-off than had been planned by Park designers. Subsequent negotiations with the developer helped to assure the additional benefits which the underground drainage would provide in stabilizing the trail-park area. There were obvious cost tradeoffs for the City. However, the costs incurred by the Wastewater Division would be recouped since all utility departments operate.as enterprise funds and are not dependent upon the general tax structure. Like the developer, Park and Recreation would incur some unanticipated costs in park development. Development of parks must depend upon general obligation bonds or the general fund. These are less flexible funds than those of an enterprise operation. The benefits of a more detailed method of compiling data was apparent from this exercise, but the revised buck slips were still not totally responsive to the wide variety of land use changes which the departments must review. Even the most dedicated department had not successfully produced a revised buck slip format which supplied

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lOt. all the inf orm ation n ecessary for the major types of land use chan g e s which migh t com e bef o r e the city. The difficulty with the buck slips seemed to lie in the fact that different types of information were needed depending upon the point at which the application accessed the system. The flow chart in Appendix H was developed by the Planner and the author. It identified the steps required in the three major types of land use change: 1) a request for Master Plan approval; 2) a zone change request; and 3) a planned zone change request. Each process calls for one or more buck slip reviews, and the data required for each is slightly different--moving from a macro plan to micro detail as the project goes through the various stages of development. Note on the flow chart the symbol indicating the points a t which buck slips are required. On the upper side of the flow chart the information the applicant supplies is symbolized. The lower side of the line shows the buck slip routing for departments of the city. One might wryly observe all this paper flow, yet the alternative for reducing it is a demand that the applicant provide all pertinent information initially. This alternative would make the City departments' job easier, but it is the applicants who resist this option. Information is costly to develop, and individuals are reluctant to spend the money and time necessary to develop information prior to certain assurances, particularly financing assurances. One of the benefits of the mapping process is its ability to provide inf o rmation about the service delivery system without vast expenditures of money and/or time for the applicant. The buck

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107 slips have the potential of serving a similar benefit i f appropriate formats can be designed to function in a cost effective manner for all parties. Appendix I demonstrates the evolution of the buck slip as it provided information on the Mesa Master Plan proposal. Wastewater was chosen because it demonstrated that the old buck slip's narrative format can be helpful, but that for data base development, the revised format may become even more useful. To become fully functional, the revised buck slips may need to be refined several times. In addition, personnel must learn how to use them in a manner conducive to management decisions. Until departments can relate a land use proposal to : 1) City Master Plans; 2) Capital Improvement and 3) General Fund budgets, the buck slip will be fragmentary. h. Infill Task Force Meeting with Community Interest Groups (January 9, 1980) The Home Builders and Real Estate Board representative had requested a meeting with the City in order to bring them up to date on the City Administration's progress on the.infill project. The Planning Director presented the base maps prepared at this time, and reported on the buck slip efforts. The meeting demonstrated that the private sector was quick to perceive the benefits of the data base being developed. Their response indicated to City staff that the months of effort and the open process was creating a momentum in community support. The City Manager's involvement had been reduced during Phase Two, partly because of the budget preparation demands upon his time, and partly because his management style did not call for the same level of involvement in this particular phase of the

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lO b project. The author and Planning Director gav e him periodic updates, and the Manager had attended the October 31 meeting at which time the decision was made to give City Council a progress report and proceed with the re-testing of the revised buck slip. 3. Phase Three: Consensus-Building and Final Policy Adoption (February through April, 1980 ) . During February the Mayor indicated that City Council would hold its annual Workshop in March instead of May which accelerated the timetable for a report on the urban infill policy project. The City Manager's involvement in the process also increased at this point. The response from city departments and the community at large led the Manager to conclude that a policy statement could now be formulated. He directed the author to draft an initial document for the Infill Task Force to review. a. Infill Task Force Meeting to Review Policy Statement (March 7 , 1980)Exhibits 8 and. 9 present the first andsecond drafts of the Urban Infill Policy Statement. The third and final version was included in the report which City Council received in preparation for its March 21, 1980 Workshop. The sensitivity of the City Administration to the community interest group's desire to be involved in a pre-review of the proposed language prompted their inclusion in the next meeting of the Infill Task Force. The changes from draft one and two included clarification of several the section dealing with the conservation of the community resources and reordering the sequence of the sections. b. Meeting with Community Interest Groups to Review Policy Statement (March 13, 1980) -This group of people represented the most complete gathering of all interested parties to date. The Planning Director once again presented the set of base maps which now numbered at

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109 least fifteen. The group's response t o the maps was very positivt . Some changes were suggested by the group and incorporated into the policy statement language. These differences are reflected between Drafts two and three. Language changes included: values; achieve -adding in the Rationale section: " ••• support community and maximize taxpayers investments in the public sector. To this goal calls for prudent ••. " " within -adding in Urban Infill Policy Guidelines. Section I: unimproved land that bas some relationship to the infrastructure the City limits ••. " " and -adding in the Urban Infill Policy Guidelines. community values as expressed through a sense of neighborhood cohesiveness." Section II: community The group also discussed the definition of Urban Infilling extensively. The options were presented as a continuum with several questions listed to focus the group's attention on issues which the Infill Task Force bad been discussing. The group then agreed upon the following def_inition which W4S recommended to City Council: Urban Infilling: The development of bypassed vacant (unimproved) land which has some relationship to the present infrastructure of public services provided within the current City limits. c. Author's Infill Memorandum to City Council for City Council Workshop March 21, 1980 (March 17, 1980) -This memorandum to City Council requested action on two items: -a definition of urban infilling -a proposed urban infill policy statement The third draft of the policy statement was included in the memoran-dum along with the Urban Infill Definition (Chart #4). a sample of the old and revised buck slips and planning matrix (Exhibits 2, 3, and 4). In addition, a preliminary list of the base maps was included. The list is presented in Appendix J.

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URBAN lNFlLL POLICY GUtDELINES: DRAFT ONLY It is the policy of the City of Colorado Springs to encourage development of vacant land within the built areas of the City in accordance with existing city design standards. This policy shall be carried out by coordinating the following resources of City government: the various approved comprehensiv e plan elements and CityCodes the approved capital improvements programs and priorities the star!, facilities, and programs of the General Fund, Utilities, and Special Funds Budgets, including intergovernmental funds when possible This policy shall recognize the need to conserve the following elements of community resources: Cinlte natural resources energy resources within the City' s management and jurisdictional cont,.ol -time and other resources invested by the private sector, particularly when developmrnt plan fully conforms with Urban Inflll Policy Guidelines The adoption of an Urban Infill Policy does not preclude City Council's consideration of development proposah which require the extension of utilities outside the City limits so long as the proposal is in accordance with the existant City Utility Extension Policies. URBAN INFILL POLICY RATIONALE: The City of Colorado Springs strives to promote the highest and best use of public and private resources. In order to maximize taxpayers' investments in the public sector, prudent U!'le of C\tv government's resources calls for e:o:tensive coordi11ation and conAervatlon. The same iF true of private sector resources. This policy statement the deliberate Ul'e of in a coordinated manner. in support of the development of vacant land within thP hu\lt areas of the City.

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, . EY..hibi t 9 Policy Statement, Draft #2 DRAFT O'lLY 11 URBAN INFnL POLICY RATIONALE: The City of Colorarlo Springs strives to prarote the highest and best use of public and private resources. In order to maximize taxpayers' invesorents in the public sector, prudent use of City govemrrent ' s resources calls for extensive coordination and conservation. The sane is true of private sector resources. 'lhi.s policy staterrent prarotes the deliberate and coordinated use of these resources to support appropriate develop-rent of bypassed vacant land within the City limits in a manner 'Which recognizes the constraints in public dollar resources. URBAN INFnL POLICl GUIDELINES: I. It is the policy of the City of Colorado Springs to encourage develop:rent of bypassed vacant land within the City limits in a=dance with existing city design standards. 1hi.s policy shall be carried out by coordinating and equi tabl y distributing the following resources of City governnent: -the various approved CaJ1rrehensive plan elere:nts and City Ordinances and Resolutions -the approved capital :inproverrents programs and priorities the staff, facilities, and programs of the General Fund, Utilities, and Special Funds Budgets, including intergovemrrental funds when possible (i.e., State grants) This coordination shall be accooplished by using City Cot.ncil-approved special strategies 'Which support the City's Urban Infill Policy. II. The policy shall recognize the need to conserve the following ele:rents o f c:amunity resources : -the of finite natural resources t o the extent possible in determining the type, density and intensity of public and private deve lopae1t of land within the planning jurisdiction of the City of Colorado Springs -the consurption of energy resources within the City's managerrent and jurisdictiooal control relative to the general location and extent of existing or currently planned rrajor transportation, utility and community facilities -the expenditure of tine and other resources invested by the private sector III. The adoption of an Urban Infill Policy does not preclude City Cot.ncil' s consideration of developnent proposals 'Which require the extension of utilities outside the City limits so long as the proposal is in accordance with the existant City Utility Extension Policy.

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11 2 d. City Council Workshop (March 21, 1980) The Planning Director made the presentation for the Council Workshop. The City Council response was very positive. The Vice-Mayor said that the wor k done by City staff had been "creative, disciplined, and good for the community." One Councilman also complimented the staff, bu t urged that the language of the Urban Infill Policy be written in simple lay language so the document could also serve as an educational tool for the community. A Councilwoman emphasized the importance of four variables: buffering, density, compatibility and access. Another Councilwoman joined in the emphasis on public relations and education of the community. Council members also debated the inclusion of redevelopment areas in the definition of urban infill, but finally concluded that these areas were covered by other means of action, such as Communit y Development Block Grants and Urban Renewal. The Council gave concept approval of the policy statement and directed the City Mana ger to prepare a draft Urban Infill Policy Resolution for the first informal City Council Meeting April 7, 1980. e. Author's Memo to Infill Task Force -Meeting April 4th (March 28, 1980) -A Public Affairs staff member was recruited to draft the Urban Infill Policy Resolution. The draft became the final resolution. It is shown again as Exhibit 11. The Task Force was also asked to provide comment on a set of "strategies" which the Planning Director had drafted. These strategies to implement the Urban Infill Policy Resolution offered alternatives which could determine the level of intensity which the City Council might expect City Departments to exercise in that implementation. This

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11 3 material was not circulated to the community interest groups prior to the City Counc i l April 7 Informal Meeting. The strategies were presented to City Council by the Planning Director. Time constraints had not permitted these strategies to have the in depth review b y City departments much less interested community groups which the Urban Infill Policy Statement, Resolution and Definition had received. shows the strategies. f. Infill Task Force Meeting (a.m.)/Community Interest Group Meeting, (p.m.) (April 4, 1980) -Evidence of the time constraints is shown by the double scheduled meetings on this date. The morning meeting enabled the City Manager to review and approve the draft resolution with the Infill Task Force. The discussion of the strategies was inconclusive, but it was felt that they might stimulate City Council's thinking and provide the City Administration some guidance on Council's expectations for the Policy: The Public Affairs staff member was complimented on the draft language. It was agreed that the Public Affairs staff member and the author would meet with representatives from community interest groups to review the draft resolution in the afternoon. At the afternoon meeting, minor changes in the resolution were suggested and accepted. These were outlined in a memo from the author to City Council, April 7, 1980. (Exhibit 10.) g. City Council Informal Meeting/April 7th memo (April 7, 1980) -The author presented the draft resolution and its amendments and the Planning Director presented the Strategies. Council gave informal approval of the resolution as amended, but delayed placing it on the City Council Formal Agenda until the last Council meeting in

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Date: To: From: St..:BJECT : Exhibit 10-1 CITY OF COLORADO SPRINGS COLORADO I:\" T F. Jl • U t • F J C: P. :u U Jl , , :\" U I J .'I April 7, l 9!jQ CITY COUNCIL Jim Alict Scott Suggtsted Hl:vision-4/4/80 Draft Urban lnfill Policy On Friday, April 4th, the following persona, who have expreaaed interest in the City's formulation of an Urban lnfill Policy, met to review the 4/4/80 Draft Resolution: Cliff Johnson Nancy Avila Bill Gribble Frank O'Donnel Colorado Springs Board of Realtors CONO, Open Space Council CONO, Energy Research Center Chamber of Corrunerce Terry Schooler Private Developer Representative Chuck Graff Private Developer Representative George Jury Home Builders Association City Staff Members Present: Jim Alice Scott Susan Watkins They proposed changes as shown on the attachment to this memo. I would reconunend these changes as appropriate clarification to the Resolution. :2 ' / -4 __ _ t-Jim Alice Scott Project Research Analyst apa a ttadunent 114

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Exhibit 10-2 SUGGESTED REVISION Urban lnfill Policy --4/4/80 Draft Community Interest Group..Meeting -4/4/80 Amend 4th paragraph: WHEREAS, u of this time, 4ZIIJe of the land within the City limitl ia vacant and developable; a.nd Amend 6th. paragraph: 11 5 WHEREAS, citizen• of Colorado Spring• are paying for public aervicea auch aa mae a transit, utilitiea, atreets ••••••••••••••••••••••••••••• Amend 7th paragraph: WHEREAS, maximizing the. uae of existing city service• could reduce sprawl, decrease financial burden to citizens, conserve energy and maintain natural and non-renewable resources; [ Additional WHEREAS to be inserted: l WHEREAS, a auccesaful infilling policy requirea cooperation and "good faith" between neighborhoods, govern.rnent and the private sector; and Change Purpose No. 1 to read: I. TO ENCOURAGE THE DEVELOPMENT OF VACANT (UNIMPROVED) LAND WITHIN THE CITY LlMlTS AS AN ALTERNATIVE TO UNNECESSARY SPRAWL BY:

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116 April t o allow for further community review and comment. h . City council Formally Adopts rnfill Polict'Resoltition '(April 22, 1980 ) -Because all parties had been s-atisfied with the product, the final adoption of the Urban Infill Policy Resolution was accomplished without fanfare. Exnibit.ll is the resolution in its final form. summary: Each phase of the case study can be linked to one or more of the six key phrases from general public administration liter-ature and to Easton's policy analysis model as follows: Phase one/Problem Definition crnput): This stage was one in which the City Manager developed the modified matrix management framework demon-strating his role as electric transformer by working with the City Council, the City Administration and showing sensitivity to the environ-mental turbulence which policy changes may generate. The modified matrix mangement model was further strengthened by the use of the author and the Planning Director as change agents and joint leaders in the development of the initial report to City Council. Phase Two/Policy Gestation (Conversion): This stage involved City Admin-istration and the community interest groups. A rational comprehensive .. planning model was used to reduce environmental turbulence as new admin-istrative procedures and a new data base were developed. The author and Planning Director assumed more structured roles in the matrix model. Phase Three/Consensus Building and Policy 'Adoption cautput): Ecology in government was enhanced by the City Manager's utilization of modified matrix management to develop the new land use policy. The final pro-duce gained the support of the diverse internal and external groups.

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.kc5olulion No. l!iO-t!O A }{1-SQI..lll'JON t:S 'U'\BLISI!LN::; UIUY\N TNnU. I'OI,\CY Exhibit 11-l -----ccmn.mity values call for t:he b:llanccd dcveloptellt of the public ilnd private economic, social, cultural and natural resources of the area; and present ard future inveslrrcnts made by public/private sector must be protecled in order to preserve these ccmrunity values; .md l Jfr:RAS, the PPACG est.irrates that the population of the City of CDlorado Springs will approx.irr.'ltely double by the year 2010; and h'i!ERE.l>..5, as of this tirre, 4n of \..he land within \..he City limits is vacant and developable; and h'IEREl>..S, this v.JCi\Ilt ard dcvcloruble land can match, at present patterns o f dc;nsity, the cwrcnt population of the city; and h-riEIU:AS, citizens of Colm:lice, recrcaLion, ccrnnunity developrent:/rcc:icveloprent, etc. within established service tounduries; arrl h'HFJ
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Exhibit 11-2 .Thal an Uri:nn 1nfill PoUcy is hereby cst."lbllshcrl as folloviS: l. '10 J-NCDURl\GE 1HE DI:.VFJ.DP: a:Nl' OF VN::J\Nf (UND l?rovr:D) IJ\ND \Vl'lHIN 'DiE Cl'l'Y LD1.JTS AS AN J\L1'f:Hli<\TIVE '10 UN:m:ESSAR SPR.'\1-IL B'i: 1. FOstering eqniwble and coordinated usc of public and private resources consistent with: a) .app1 ovod city design st.:mdards in the various corrprchcnsi ve. plan clcrrcnts; b) approved capital i11prov13rent Pro:JTimS and priori ties; c) approved budgets for programs, staff, cquipnent and facilities necessary to provide public services; 2. Dlcouraging the conservation of natural and non-rene,.able re!'<>urces; preserving comrunity sociiil, (.:ult.ural and econo.-nic values; 3. \veigh:ing neighl:orh.:>od ca-rpatibility and cohesiveness as a c:onrruni ty asset in tJ1c consideration of ch..'inging patterns in density, buffering, access, and Lhe flow of traffic thro-.>gluut the City; 4. StrcngtherUng energy conservation and energy-saving alternatives; 5. Recognizing unique cnmunity aesthetic assets such as Pikes Feak, the Carden of the Gods, Pal..rrer Park and other values intrinsic to the natural urban lands63pe such as ridyes, geographical outcrowings, terrain and vegetation; 6. Resp.:.-cting nat-ural constraints in the develO,P>ent of land having slopes, drainage or floodplain proble; l\S, or sub-surface liabilities such as past landfills or mining c:'l'loration; 7. Supporting ITID
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llSt Exhibit n ; II. 'JO DIICOURIIGE CD:-TJ'D"lJAT JON OF Rml:.W::U:>I>J-ID.rT PJOGMMS. Dated at Colorado Springs, Colorado, this of April 1980. A1TEST: city Clerk -34/H/SO

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12 0 CHAPTER I V COMPARISON OF COLORADO SPRINGS AND ST. PAUL CASE STUDIES This chapter begins by highlighting the Altshuler case on points which will be compared with Colorado Springs. Three major areas will be analyzed in Chart 03 on the following page. attitudes and perceptions of the various actors. -administrative procedures and data gathering techniques. -the role and management style of the City Manager in land use policy formation. A. Highlights of the St. Paul Case Before discussing the areas compared in the paradigm, certain characteristics of the St. Paul case should be noted. Altshuler staces: The following study differs from most inter-university case program studies in a significant respect. The author tries to do more than describe in narrative form how the city planners of St. Paul went about preparing a land-use plan. He seeks to portray some of the underlying professional values, assumptions, and self-images that explain why the planners noticed some things but not others and why they emphasize some values and not others. The study is therefore1 partly a narrative, partly an analysis, and partly a critique. Altshuler's emphasis on professional values and assumptions was helpful in making the comparisons needed between St. Paul and Colorado Springs. 1 Altshuler, p. 1.

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PARADICMt ST. PAUL AND CDLORAOO SPRINGS COMPARISON OF CAS STUDIES 011 LAND USE POLICY FORMATIO N I. Attitudes, perceptions of Elected Officials and Community Groups as an Impact on Process A. Community Perception of Need Impetus for Land -Us e Study 8. Ongoing Involvement of Council C. Support for Final Product St. Paul• None, except Housing Authority because HUD required study Nona. Planners felt they would not be interested, even when plan complete None Colorado Springs• City broad community interest Regular reports to Councilr each step critically reviewed ' support Strong from City Council, city de p•rt and key interest qroups II.Administrative Procedures and Da a Ga herinq Techniques/General Public Administration [P.A . ! Administrative Process for Implem entation None formalized Policy calla for folding in Capital Budget an d Cf'nu. , I Fund burl9et as v ell o r new procedurr• during polic y formulation III. City Role and Management Style as Impact on Process of A. City KanJg c r role In guiding 1tudy B. City Administration Management Style Impact City had no Hqro Plan preparation delegated to lower level 1taff in Plan nlnq D ept. Sr. but no t for policy. Planning Director modified protect department lmaqe Exclusively staged within Planning Departmentr no participation by el•cted officials or citizens City Manager e r e ted lnflll Tas k force, including all major mf'nt he d s , 11olqned City Hqr. atafC to co ordinate with Planning Director and on day-•o-day activities. City M q r . active at all critical points of IMkinq City u•@s Ntrlx IIVInaqrm'!nt int-.rrt•lly' lntere8t

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I 122 The St. Paul land use plan w a s developed so that St. Paul would qualify for Department o f Hou sing and U r ban Development (HUD) funds . Altshuler begins his case study by stating: " N o politician, city official, or influential.group o f private citizens in St. Pau l ever asked t h e City 2 Planning Board for a land-use plan." In order to prepare the plan, the P lanning Department hired a new Planner. The regular Planning staff devoted the bulk of their time toward ''zoning administration, one-shot reports on issues of interest to City Council, and public relations."3 The new planner had been in Duluth Planning Department at the time that a nationally-recognized consultant had been retained to prepare Duluth's land-use plan. St. Paul planners felt the new planner's background would add credibility to their land use plan, particularly with the Federal government. St. senior planner exercised informal supervision of the plan and ultimately reviewed it from a technical, but not policy formulation perspective. The author is grateful to this Planner for the insights gained through a personal interview August, 1980 at which time the St. Paul case was discussed, and a general agreement with Altshuler's findings was indicated by the former senior planner. The new planner from Duluth worked from file data rather than primary source information. He made no attempt to incorporate the attitudes or social conditions present in St. Paul, nor did he probe 2 Altshuler, p. 5. 3 Altshuler, p. 5.

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12) deeply into the problems identified by more experienced city officials . For example , a question regarding bypassed vacant land was discussed briefly with other city staff: He also asked experienced city officials why private developers had ignored certain lands in St. Paul. According to them, the reasons were varied: some lands were subject to flooding; others were not served by water, sewers, or streets; some had poor drainage or severe topography4 others were platted irregularly; others adjoined railroad lines. However, St. Paul planners were fearful of conflict or possible con-troversy, so minimal reference was made to vacant land even though the new Planner was aware of certain issues pertaining to that problem. The new Planner then formulated eight objectives for the land-use plan--most of them reflecting non-controversial urban design concepts generally accepted. at that time. The Planning Department's wariness in focusing on vacant land was due in part to the Central Busines District's negative reactions to an earlier report which cautioned against serious problems of deterioration in the downtown area. There had been political reper-cussions from the report. The planners did attempt, however, to gather data and make certain forecasts although Altshuler criticized the lack of accuracy in the data base and felt the assumptions on which the projections were made seriously flawed the plan. He also criticized the planner's dependence on empirical assumptions made from another study because that data base lacked comparability with the St. Paul environment. The final plan drew little attention from the elected officials, the business community or local community groups. There 4 Altshuler, p. 9.

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124 appeared to b e little expectation that the plan would be implemented and it seemed that City Council's approval was merely a formality to meet HUD requirements. When the Planning Board did its review, the planners glossed over some key implementation factors and indicated they saw no relationship of the plan to the city's budget. When one board member questioned many of the specific standards in the plan as being unrealistically costly, Wieland assured him that it did not matter. The capital improvement plan ••. set budget priorities.5 Since it was in the area of standards and criteria for land use goals that the planner had allowed himself any specificity, it is signifi-cant that the policies and principles of the plan were viewed in this manner. His recommendations included issues which should have been considered by the decision-makers. However, Altshuler believed that certain proposals could have been controversial had they been considered seriously. For example, policy recommendations included a mixed use land plan for vacant land with specific objectives which included more strictly enforced zoning, health, housing and building codes. Altshuler felt only the land-use standards recommended were capable of direct im-plementation, and that policy recommendations failed to clarify basic 6 principles. He concluded the plan was never intended for implemen-tation. It should be noted that the Planning Director and the new planner took sharp exception to Altshuler's study and did not endorse 5 Altshuler, p. 31. 6 Altshuler, p. 25.

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its publication. Their perceptions of its value as well as its potential impact differed considerably from Altshuler's, and they in fact wrote rebuttals in several sections. 125 B. Paradigm: Comparative Analysis in Land Use Policy Formation St. Paul and Colorado Springs Despite some significant differences between the two cases, Altshuler's case study of St. Paul offers a basis for comparison with Colorado Springs on issues pertinent to this dissertation. The following section will discuss the (Chart #J) in detail. 1. Attitudes, Perceptions and Act\?ns of.Elected officials, Community Groups and City Administrators. Altshuler supported the involvement of all interested parties in land use policy formation and was critical of the lack of such involvement in St. Paul's process. The elected officialsand Planning Board were disinterested; community groups and city administrative staff other than the Planning Department were not included in other than a cursory fashion. Altshuler believed that the new planner wanted to include the community groups but did not know how, and that the Planning Department's desire to be non-specific and noncontroversial played a part in the lack of use of other staff. In contrast, Colorado Springs City Council initiated the infill study, followed it closely and actively guided policy formation at key points. Community groups were also actively involved throughout the study and eventually influenced policy formulation language. City departmental personnel at several levels were involved in the process, and key department heads were assigned by

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12 6 the City Manager to an Infill Task Force which met regularly and had considerable impact on the direction of the policy formulating effort. As a result, each group was able to see that their inputs were reflected in the final product. The City Manager's perception of his role was key in the coordination of this effort and the success of the policy formulation process. He stressed delegation of responsibility and effective management of other's involvement in the policy formulation process. Literature about policy making consistently shows that perceptual factors play an important function in identifying the problem initially, structuring the problem solving process and reaching a satisfactory conclusion. Jones speaks of perceptions relative to problem definition: Perception is important in the policy processes because it conditions definitions of problems. "Definition" is a second significant functional activity. --Thus perception will refer to the event. Definition refers to the problem.7 Lindblom states it somewhat -differently: "Policy makers are not faced with a given problem."8 He believes that the perception of an issue the definition of the problem. Wildavsky expands upon this thesis in the context of policy analysis: analysis is an art. Its subjects are public problems that must be solved at least tentatively to be understood. Piet Rein put this thougbtwister, "Art is the solving of problems that cannot be expressed until they are solved." Policy analysis must create problems that are able to handle with the variables under their control and in the time available. --Every policy is fashioned of tension between resources and objectives • . 7charles 0. Jones, An Introduction to the Study of Public Policy, S econd Edition (North Scituate, Massachusetts: D bury Press, 1977),p. 26. 8 Charles E. Lindblom, The Policy-Making Process (Englewood Cliffs, New Jersey: Prentice-Hall, 1968),p. 13.

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12 7 planning and politics, skepticism and dogma. Solving problems involves temporarily resolving these tensions.9 These theoretical precepts support the six key phrases (en-vironmental turbulence, ecology in government, electric transformer, change agent, modified matrix management and rational-comprehensive planning) used to link public administration literature terms to the process developed to formulate a new land use policy in Colorado Springs. The Colorado Springs approach to land use policy formation was significantly different from that of St. Paul vis-a-vis attitudes and perceptions of the various interested parties in the community. Chart 114 on the following page summarizes the questions discussed with the parties regarding the definition of urban infilling. As Lindblom and Wildavsky point out, defining the problem is essential to finding an acceptable solution. The consensus reached on the definition was an important first step toward developing a policy statement mutually acceptable to all parties in Colorado Springs. The mid-point choice on the chart reflects a compromise; not one based on the "game theory of politics," but rather the "strategy of analysis" as Gawthrop uses those terms. Gawthrop's confidence in human nature as well as good information systems and professionalism is affirmed by others such as Brownlow, Gaus, and Pope. Each may state their views differently, but Gaus' ecology in government is premised on the concept of good public housekeeping; Brownlow urges citizen participation, sound information gathering and high professional 9Aaron Wildavsky, Speaking Truth to Power, the Art and Craft of Policy Analysis (Boston: Little, Brown and Company, 1979),pp. 15, 17.

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Defining "URBAN INFILL" The quos lions are &omo which the Urban Infill Task Force asked itself ae the group discussed infilling! I:. Urban In! ill vacant land only, or may it include l and on which rcuu,olop!!lllnt 1s desired? If Urban Infilling io lirnitod to vacant land, which geographic boundaries best define Council's intent in formulating an Urban In!1ll ?olicy? Should an Urban Infill Policy be premised on the requirement that several components of the public in!ra.5tructuro (utilities, access stroets, flro, pollee, eto,) Dlready be present? -Should the Urban Infill Policy give higher pr1or1ty. and support proposal to develop a vacant property which alroady has several components of the public service infrastructure? Should the Urban Infill Policy give higher priority and support for a proposal to develop a proporty which exhibito awareness and good of the area's natural rosources1 energy dem ands; and offers the most prudent and equitable use of the City's fiscal resources? The definition finally recommended to City Council isa . . urban InfillinG• The of bypassed vacant (unimproved) land which has some relationship to the present infra&tructuro of public services provided within the current City limits, The compromise definition to City can be seen as a mid-point on a continuium of develorncnt. By selecting the urban infill definition recomme. nded, tho City Counil will focus attention at that point without tho option to have other policies which address different points on that spectrum, Potential Vacant Vacant Vacant Vacant . , V&cant fio Redevelopment Properties Properties ?roperties Properties Properties Properties Urb.."\11 Pro parties within the within the within.the within the within the within the Inflll within the Central Core bull t area. current Urban current Potential :rdlcy Central Core of the City City limits Planning Utility Utility Boundary Service Service Boundariaa Elttension Boundt.rln

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129 standards and P ope supports Gawthrop's emph asis o n a stron [ : m unicipal a dministrativ e org anization t o und e rgir d p olicy formation. Municipal administrative organization represents the framework of the administrative machinery which translates public policy formulated by the citizens ' chosen representatives into public services and regulation.1 0 The following section describes in greater detail the contrast between St. Paul's and Colorado Springs' approach to data gathering and the administrative procedures used for policy formulation. 2. Administrative Procedures and Data-Gathering Techniques. St. Paul's data gathering approach seemed premised on the belief that planners utilize objective data with limited input from their specific environment. Their fear of being corrupted by in-fluences such as business groups became an obstruction to meaningful inter-action with their total communit y . Therefore, they used empirical data from another study, but failed to carefully analyze the areas of applicability for St. Paul. In doing so, the planners sacrificed the benefit which empirical studies provide professionals--a comparison. When local data was used it was drawn from the files rather than being generated through new research. As a consequence, the planners built in obsolence and failed to use data gathering as an opportunity to learn--and to teach others--how current information might make contributions to the decision-making process for St. Paul. For example, the planners, when asked about the plan's impact on the bud get for public improve-ments, stated that it would have no impact because the capital 10H. G. Pope, "Manage ment and Research," Municipal Year Book 1950 ( Chiqago: International City Manager's Association, 1950)' p. 233.

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1.30 improvements program controlled this o f the city's budget. Th i s in f act, was a n acknowl e dgment of the locus for the urban design of the city. The im portance of the planning and design of public facilities has been strongly emphasized in ICMA literature. Since city management and planning literature agree that these public expenditures do shape the urban design, the St. Paul planners' response revealed the planning department's isolation from other city functions. As a result of these planning philosophies and decisions, the planning process steadily lost momentum. The final product became a sterile end unto itself, not a synergistic force capable of producing energy beyond its own needs. The author believes that the product of these actions was a plan which did not reflect the values of the communit y and lacked the strength of a soundly based professional judgment about that environment. The city lost the opportunity to exercise leadership and provide direction to the urban design and devel opment o f St. Paul physically , economically , socially, psychologically and politically. Colorado Springs adopted quite different procedures for data gathering. The data base was founded on the most currently available local data and input from those external and internal to the city administration was encouraged. As Brownlow had urged in 1934,11 those in the city's private sector who have special expertise were asked to give input on the process as well as the product. Further, 11 Brownlow, p. 7.

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1.32 According to Jones, if one is a devotee of Max Weber, bureaucracy (administrative procedures and data gathering techniques being a manifestation of bureaucracy) is a routine process devoid of creativity and essentially neutral in character. However, Jones places a different perspective on the interactions of bureaucracy in his definition of "system" and "process." System refers to two or more persons engaged in patterned or structured interaction guided by shared values and directed toward the achievement of some goal. A system is characterized by a definite, identifiable population, boundaries (defined by the shared values and goals), patterned behavior, and direction; it is essentially a static concept. Process refers to the action of the system; it is a dynamic concept and may apply to any number of patterned activities in a system.13 Jones acknowledged a debt to Easton's input-output political analysis model. Easton also shares common views with Gawthrop and Gaus. Like Gaus, Easton believes that the total ecological environ-ment should be input in the system of analysis. Like Gawthr _op, he sees internal inputs as well, -and calls these "withinputs." Easton also believes that the environment can cause turbulence, which he calls "stress." The administrative process which produces the con-version of inputs to outputs is considered by Easton to be the heart of the continuation of a system when stress occurs. The persistence of any type of political system at all can now be re-defined. If any stress threatens to destroy the system, its impact will take the form of interfering in some fundamental way with the capacity of the system to keep such a conversion process working. If no outputs related to binding 14 decisions and actions can be provided, the system has broken down. 13 Jones, p. 11. 14 David Easton, A Framework for Political Analysis (Englewood Cliffs, New Jersey: Prentice-Hall, 1965),p. 132.

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131 some of those who participated had from time to time differed sharply with the planners and other public officials regarding land use matters. Each city department's current master plan map provided the mapping data base. The revised buck slip incorporated each department's assessment of the important variables which should be considered each time a land use change was proposed. The planning matrix gave the public officials as well as city staff a better management tool for decision-making. The dynamic character of this process used the existing system without limiting its flexibility. The concept of integrating the proposed policy on infill into the City's capital improvement program was considered vital to the im-plementation of the Colorado Springs' policy. In addition, the City Manager, planners and department heads felt it was important to inte-grate the policy with the City's general fund and utility budget. The differences between the two in their approach to ad-ministrative procedures and data gathering is not purely technical. The comparison points out differences in philosophy about the role and func-tions of local general purpose government as well. With only two case studies, there is not sufficient comparative data to document empirically the author's contention that the differences in administrative procedures and data gathering affected their outcome. However, this contention is supportable in the public administration theory literature. A number of the previously cited authors as well as political scientists such as 12 David Easton and researchers such as Richard Applebaum appear to concur. 12 ( Richard P. Appelbaum, Size, Growth, and U.S. Cities New York: Praeger Publishers, "1978).

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1)3 Easton defines a system a the process o f translating demand s into support for allocative authority. Conversion relates decisions t o action. If administrative procedures or data gathering produces insufficient or inaccurately applied information, there is a greater danger that environmental turbulence will be produced because, as Gawthrop states, the people will lose confidence in government's ability to solve "real" problems. The St. Paul planners' inappropriate use of empirical data and file data exhibited poor information gathering techniques. Their reluctance to include others in the administrative processes denied community involvement in the decision-making. The community's lack of confidence in the plan meant its demise, according to Altshuler. Gaus, Gawthrop and Wright each use their own terms, but the processes they describe are like those described by in all major points dealing with the subject of conversion. Their views are in harmony with those expressed by the author. St. Paul planners' attitude toward business preempted the input of those whose economic fortunes would be sustained or eroded by the city's land use planning policies. A major component in the total environment is the economy of an area. This subject is a legitimate input for the system. 3. City Manager's Role and Management Style. St. Paul had no city manager. Colorado Springs did. St. Paul lacked a leadership focus within the city administrative structure. St. Paul's commission form of government was less conducive politically and administratively to a leadership focus.

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13 4 While the Colorado Sp r i ngs' Council-Manager f orm of go v e r nment undoub tedly aided in struc t u ring the focus , that is not sufficient to explain the success of the Colorado Springs'experience i n new land use policy formation. What was significant was the City Manager's effectiveness in serving as an electric transformer and change agent. Material presented in the earlier sections of the dissertation demonstrate that an underlying principle in the Colorado Springs policy formation approach was assuring the policy's compatibility and incorporation into the mainstream of the general city and utility budgets as well as the capital improvement programming. The base maps , including departmental master plans and the revised buck slips, were necessary parts of the Colorado Springs integrated planning. It is significant that the City Manager used the Infill Maps as he made his formal presentation of the 1981 budget to City Council. In contrast, St. Paul's planners saw no relevance of their plan to the city's budget, and accepted the fact that the capital improvement budget controlled development independent from planning . Chart # 5 on the following page is a matrix conceptualization of the integration of Colorado Springs' Urban Infill Policy Resolution's value systems into the fabric of the City's and p lanning structure. The Colorado Springs City Manager's integrative style placed him in a pivotal position for the policy formulation process. His duties as city manager did not permit large amounts of time to be spent the day-to-day activities related to urban infill policy formation. Therefore, he developed an informal mana g ement model which the author has called "modified matrix mana g e ment." Nothing

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Chart f) COMP, PLAN ELEMENT CIP &. GENERAL FUND BUDGET VALUE ORDINANCES UTILITY SPECIAL FUND llUDGET I:I.Tli!IAL RESOURCES ENERGY llESOURCE TIME&. MONEY RESOURCES PUBUC L PRIVATE CO.\tMUNITY VALUES RESOURCES

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13 similar appears to have existed for St. Paul. However, this ment style and form is considered key to the success of the grative role the city manager played. Consequently, the final portion of this section will describe modified matrix management as it compares to the general theory of matrix and project management. The strengths and weaknesses of the management mode will be outlined as well. a. Matrix Management: Theories and Concept The traditional concept of matrix management is a two-dimensional ordering of information and/ or relationships on a vertical and horizontal axis with both axes having direct supervisory functions. Prominent groups which have used this concept include: the National Aeronautics and Space Administration, General Electric, TRW Colorado Electronics Inc., Citibank, Dow Chemical, and Shell Oil. It is a sophisticated management tool which is most effective with highly complex and technical organizations. However, with individual modifications, its use has become more widespread. Since all administrative departments in the Colorado Springs model continued to have the same reporting lines in the Infill Task Force structure, why should the format be considered a matrix management concept at all? Matrix management and project management have similarities and can be practiced in many different formats. Colorado Springs' use of the modified matrix management model was not an intentional shift in the organizational structure of city government. It evolved in part from the City Manager's basic style, and in part from a new job assignment for the author. Nevertheless, it demonstrated the usefulness of this management model in the policy formation process. The Colorado Springs model

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has some likenesses and some differences with matrix management 15 models described in other literature. The Colorado Springs' modified matrix management model is similar to project management in that no staff member devoted full 137 time to the project and no lines of authority were changed. However, Colorado Springs' model had two significant differences to project or matrix models as described in the Mercer article: (1) the City Manager used a task force made up of all major city department heads whose functions interfaced with landuse policy formation; (2) the City Mana-ger included representatives from community interest groups at key points in the policy formation process. The Infill Task Force was organized around a product, the development of a policy, not just around the staff's traditional functional lines of responsibility. In addition, the City Manager delegated to the Planning Director and the author dual lines of responsibility and authority to carry out the project. These two individuals were permitted to make trade-off decisions pertaining to " the management of the project on a day-to-day basis. Major decisions related to the direction of the study were discussed with the City Manager and usually brough back to the Infill Task Force for consideration of various alternatives. This enabled the project to use 15 Two recent publications by ICMA dealt explicitly with the subjects of management style and matrix management and help to summarize these differences. Beck explores management concepts such as Theory X and Y as styles of management while Mercer condenses basic matrix management models such as project management or matrix manage ment. Christine S. Beck, ''Management Styles--Personal Perspectives," l-1anagement Information Service REPORT 11 (March 1979): 1-14; James L. Mercer, "Local Government Organizational Structures for the Eighties," Management Information Service REPORT 12(March 1980): 1-13.

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13 8 staff in a manner which supported three basic reasons for utilizing a matrix management system: -the organization needs to focus strongly on more than one direction at a time (product and functional specializations). -the organization needs to process and respond to a great deal of information about a changing situation (expressed as need to enable lower levels within the organization to design trade-offs and communicate them to the right people). The organization needs to use resources efficiently, to move them quickly to address an issue, but not have staff resources idle, or unable to cross-utilize and negotiate the gse of all resources for which they are functionally responsible.1 Tytler believes the key principle of matrix management and project management is: • • • the unifying theme of all these arrangements is balance--the need to balance the points of view of individual groups with the overall needs of the organization. These themes make all dual-focus structures close relatives of the pure matrix. 17 The unique aspect of 'the Colorado Springs' model was the role of the Infill Task Force. It served as an adaptor into the city's current structure. Even in a basically hierarchial structure such as the City of Colorado Springs government, matrix management has been an effective management tool when employed in a project-type activity which spans functional boundaries within the organization, and when changes in policy are the product of that effort. Tytler believes that its usefulness outweighs its shortcomings under these circumstances. 16-Tytler, p. 78. 17 Tytler, p. 79.

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1)9 b . Matrix Management : Strengths and Weaknesses Consumer control is present at numerous stages in the public sector process (through committees, board, public hearings and direct access to local elective and appointed officials as well as the administration.) This involvement enables the citizen-consumer of government to share in the shaping of governmental products in a manner not usually present in the purchase of private sector products. Even with this control, productivity in government is often difficult for citizens as consumers to assess. The product orientation of matrix management gives management and the consumer a measurable product to assess as well as being a strong management tool. As Tytler points out, matrix management is an efficient means of utilizing information with limited resources. One of the major concerns of government is how to manage better with fewer resources in an which is demanding more services. Colorado Springs has enjoyed a sustained period of growth and affluence. However, as a conservative community, it philosophically favors the theory of less government. Therefore, as the general trend across the nation moves toward reductionism in government, Colorado Springs has less excess to trim before services are significantly cut. The following data supports this contention: -in the last ten years, the city has doubled its popu-lation and General Fund per capita operational expenditures, but the per capita number of City employees has remained constant (5.19 to 5.89 per thousand population within that period, with a ratio of 18 5.51/1000 in 1980.) 18 George H. Fellows, "Letter of Transmittal," City of Colorado Springs General Fund Budget 1 1980.

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14 0 -the City is projected to double its population by the year 2010. That growth rate could be totally absorbed through infilling the currently available vacant developable land within the city, and at the same time retain the basic density patterns which currently 19 exist. In the face of expected growth of this nature, new management techniques will be useful in many areas of government, particularly where policy-making and management can be combined to maximize staff expertise. As one of these new techniques, matrix management is not without its weaknesses. Davis and Lawrence point out both advantages and disadvantages to matrix management. On the positive side, they state: . • . it facilitates a rapid management response to changing market and technical requirements. Further, it helps middle managers make trade-off decisions from a general management perspective.20 It is this opportunity to make trade-offs from a general management perspective which was key to the management model's usefulness to the City Manager under the circumstances of developing an urban infill policy. The time constraints of the City as well as depart-ment heads tended to narrow the parameters to expand their focus and permitted the city manager to zero in as necessary on a given project. Davis and Lawrence caution that there are easier ways to manage an organization, and that matrix management should be left l9Cl."ty Counc1."l f C 1 d S o o ora o pr1.ngs , Urban Infill Policy Resolution No. 150-80, April 22, 1980. 20 Stanley M. Davis and Paul R. Lawrence, 11Problems of Matrix Organizations," Harvard Business Review 56 (May-June 1978): 132.

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141 alone unless there are compelling reasons to use it. Their article identifies nine "pathologies" associated with matrix management and discusses their diagnoses, prevention and treatment. It is wise, therefore, for managers thinking of adopting a matrix to be familiar with the diagnoses, prevention, and treatment of nine particular pathologies: tendencies toward anarchy, power struggles, severe groupitis, collapse during economic crunch, excessive overhead, sinking to lower levels, 2 1 uncontrolled layering, navel gazing, and decision strangulation. Obviously no self-respecting organization would want to have such scourges. It is fortunate that Davis and Lawrence hold hope for reasonable prevention. They also point out that should a pathology strike an organization, prompt diagnosis and treatment of the malady offers a good prognosis for recovery. Altshuler's case study points out the inadequacy of St. Paul's structuring of its land use study on which to base a plan. The structure and attitudes of various parties reduced instead of en-hanced the likelihood of the plan's acceptance in any meaningful way. This case study sought to describe the manner in which the City Manager of Colorado Springs set about designing a management strategy which offered greater possibiliites for success. The analysis of the two cases indicates that these management variables directly impacted the success of the planning efforts. 21 . Dav1s and Lawrence, p. 132.

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CHAPTER V CONCLUSIONS The purpose of this dissertation was to demonstrate through the use of a case study describing the formulation of a new land use policy that the city manager's role and management style is key to the policy formulation process. Although administrative management plays a role in the development of any major policy, the author believes this is the first effort to use a case study method to explore the manner in which a city manager of a fast-growing, moderate sized municipality led the policy formulation process which culminated in the adoption--with support of all interested parties--of a potentially controversial new land use policy. The dissertation stressed the interrelationship of six key concepts which linked three areas of comparative analysis used in a paradigm. These phrases and interrelationships were described as follows: environmental turbulence was held to be the product of too-rapid change in an urban environment. In this case, the city manager acted as an electric transformer to stabilize that environment by controlling the flow between the external (community) and internal (governmental) tensions within the local environment. To explain the way in which the Colorado Springs' manager accomplished this objective, a rational-comprehensive planning approach was used to develop administrative procedures and data gathering

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techn iques. I n addition, the author's term, m odified mat r iY. management expla ined the mod e l which enabled the city manager and others within the city administration to serve as change agents to bring the external and internal environments together in the policy formation process. The combination of these f ive variables constitutes ecology in government, the sixth variable, which describes the ho listic measure of government's ability to serve that environment. Three areas of analysis were used in the paradigm for comparison of St. Paul and Colorado Springs' land use policy formation process: the analysis of attitudes perceptions of the interested parties; the significance of developing administrative proceduresand data gathering techniques based on rationalcomprehensive planning; and the modified matrix management model within the context of the city manager's role and management style. The author concluded that ColoLado Springs' success in developing a new land use policy which had consensual support was the result 14 3 of the management model used by the City Manager of Colorado Springs. This was deemed to be more significant than the fact that St. Paul had no city manager, even though this probably contributed to some of the problems experienced by that city. A. Findings: St. Paul -Colorado Springs Paradigm Comparison of the St. Paul-Colorado Springs cases clarified the differences between the success which Colorado Springs enjoyed and the lack o f success in St. PauL These findings may be summarized

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a s foll o ws: DIFFERENCES IN THE MANNER IN WHICH THE EXTERNAL/INTERNAL ENVIRONMENTAL R ELAT IONSHIPS WERE HANDLED B Y THOSE IN CHARGE OF ADMINISTRATIVE PROCEDURES TO FORMULATE POLICY: St. Paul The planning staff felt alienated from the elected officials and the community, particularly the business community; the planners involved other city staff only minimally and no policy direction was provided by the elected city officials. Colorado Springs -The City Council initiated the study; the City Manager involved himself directly as an electric transformer to bring external/internal input from numerous sources including the city department heads whom he assigned to an Infill Task Force and an ad hoc committee of representatives from various interested groups from the community. The difficulty of this task was explained by identifying the myriad philosophical perspectives which influence individuals' perception of their environment, how they define problems, and what they consider solvable. Social, economic, political, psychological perceptions as well as concepts of urban design, environmental psychology and human ecology shape the views supporting or rejecting policy formation. Policy analysis gains meaning by interpreting the different disciplines from a theoretical perspective and applying them to the attitudes and perceptions expressed in the local environment. The city manager must have an eclectic capacity to assimilate and interpret these views. DIFFERENCES IN THE ADMINISTRATIVE PROCEDURES AND THE TYPE OF DATA BASE TECHNOLOGY USED:

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S t . Paul -Mismatched e mpirical d a t a , or local file data which lacked currency was used ; city s taff e xpertise was not used in the development o f administrative procedures and information which would support the new land use policy and projections were made on faulty premises. 14 5 Colorado Springs The City Manager structured the committee cited above, and used the Director of Planning and the author in a matrix management model to facilitate change in the data gathering procedures and administrative processes being developed by the city administration to support the proposed new National standards were recognized as valuable comparisons, but the City Manager relied upon the expertise of city departments to provide the most accurate assessment of the policy's impact on the city's infrastructure, its service delivery capacity, and fiscal resources such as the general fund, the utility, and capital improvement program budgets. New common-scaled base maps were drawn which incorporated service capacities as well as boundaries. These were based on the departments' current master plans and could be used as multiple overlays. In addition, another map showed the private sector master plans already approved by the city. Since much of that land was still vacant, the private development master plans showed the vacant properties which had a high potential for future development within the city. In addition, the city departments re-designed the city review process "buck slip" which was used to obtain departmental comments for any proposed land use change. The revised buck slips provided better information for decision-making at all levels of review. A planning matrix was designed to summarize the major points in a uniform manner

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1 4 6 for the benefit o f the Planning C ommissio n a n d City Council. Th e mat rix also p r o v ided a summary sheet for staff reviews. DI FFERENCES I N THE CENTRAL MANAGEMENT APPROACH USED I N FORMULATING A NEW LAND USE POLICY: St. Paul The city lacked a city manager. Neither elected officials nor interest groups within the community gave any active support to the development of the plan. Shifting planning staff, the use of a new hire to prepare the plan, and a lack of policy supervision created a management vacuum for the entire effort. Colorado Springs The City Council initiated the policy study and delegated the policy formulation responsibility to the City Manager. These are significant steps because they indicate the appropriate align-ment of responsibility and authority for the policy-making process. When the study became an administrative matter, the City Manager struc-tured a modified matrix management model hich incorporated some unique matrix management features which the author believes favorably impacted the successful outcome of the policy formulation effort. B. Conclusions: Colorado Springs' Unique Feature -Modified Matrix Management 1. Involvement of Elected Officials and Citizen Groups. The City Manager's relationship to elected officials and interest groups outside the governmental structure is one side of the electric transformer function. This relationship enables the manager to gauge the level of environmental turbulence and the rate of change which can successfully be accomplished through the

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rational-comprehensive planning approach. A manager uses timing a nd strategies t o maximize tha t involvement and assured orderly p rogression o f steps in the decision-making process. By determining the material presented to City Council and the appropriate time for presentation , the manager conserved Council's energies and time a s well as that of the staff. By encouraging citizens to participate at key times, this same pattern was established. This participation expanded the trust level between government and its citizens, reduced potential environmental turbulence, and provided the manager with insights from the community without precipitating a confrontive climate. The openness of the Colorado Springs' Manager's system permitted the spectrum of views to be heard through a rationalcomprehensive planning structure which facilitated decision-making. It assumed that citizens, elected officials and administrative professionals are rational human beings who will respond to accurate and timely information and that in this climate, they will choose to exercise their respective duties as citizens, politicians and professionals in a responsible fashion. The justification of the confidence is measured by the success of the project. The final product of the policy formulation process was an Urban Infill Policy Resolution which City Council adopted in April, 1980 with the support of all interested parties. This success affirmed the theoretical precepts of numerous public administration authors cited throughout the dissertation. The emphasis on.the policy making and mana g ement functions of the manager instead of City Council was not intended to imply

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that City Councils not the ultimate decision-makers . It was intended to show that in the policy formulation process as well as its implementation, much can be accomplished in routine fashion within the administrative procedures developed to support that policy. This is the principal way in which management overcomes the traditional concept of the political/administrative dicotomy and creates a symbiotic relationship which better serves the purposes of ecology in government. Because St. Paul's fear of undue influence from the business sector isolated them from community inputs, the dissertation discussed various views of the way in which government and the economic interests of the community interrelate. Some authors shared the St. Paul view, while others believed government has a role to play in the. management of the economic development of a community. The latter view holds that government is not neutral in its actions which impact the local economy, and that government must act to resolve conflict and stabilize the environment so that the economic component of the ecology is able to make its contribution to the whole. The author concluded that the ecological approach to governance presumes that all sectors of the community will be involved in policy formulation to the degree those sectors perceive themselves to be impacted by the policy. Colorado Springs' involvement of business groups such as the private developers, the home builders, real estate interests and the Chamber of Commerce was mutually beneficial. The private sector was pleased with the data base being developed by the Planning Department, and felt reassured that policy recommendations

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would be reviewed by all community interest groups prior to being submitted to City Council. 14 9 Environmental groups, neighborhood organizations, the League of Women Voters and the El Paso County Taxpayers Association also were represented on the ad hoc committee. They too felt the maps and revised administrative procedures were helpful to them because they often lacked the resources to develop information as needed in regard to land use matters of concern to them. Since the material which went to City Council had been reviewed and in some instances, modified by the ad hoc committee, City Council was aware that the various community groups had discussed the policy recommendations before they were presented to Council. The consensual approach made it easier for the Council to act favorably on the recommendations because they were assured of substantial community support for the new policy. The city manager's role as an electric transformer has been compared to sitting on a three-legged stool. It requires balance and skill, but when done well, looks easy. Matrix management in the private sector shares the internal tensions between the managers, their line personnel, and the decision-making board. However, the consumer is not usually a part of that process and the private management literature focuses on the internal processes, not the external environment (except for contractual or vender relationships). The contrast between public and private matrix management need not imply that the management of government is unduly influenced by community groups. The central mechanism for offsetting this influence is two-fold: through openness which includes all parties,

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1 5 0 even those with adversarial relationships to each other or toward government; and through the use of a rational-comprehensive planning base for decision-making. The satisfaction of creating a policy widely accepted within its environment is worthy of commendation for good public housekeeping which is soundly based on good professional standards. The use of citizen committees in an ad hoc manner is hardly new. However, the manner in which the manager consolidated an internal and external committee is unique, and the judicious use of the time and energy of elected officials and community groups is indeed a "three-legged stool" feat. 2. Involvement of Infill TaskForce. The City Manager's formation of an Infill Task Force made up of city department heads was the other side of the manager's electric connection. The task force served as an internal feedback loop and aided the manager in meshing the external and internal components of the environment more effectively. The task force members were knowledgeable about the impact of a proposed land use policy on their departmental obligations and current activities. Their enthusiasm for the policy formation project rose when they learned that it was to be coordinated with the departmental goals and objectives as presented in the annual general fund budget, the utility capital outlays budget and the general city capital improvement program budget. The Community Development Department wanted the process to include areas in which the City was currently undertaking redevelopment projects so that a continuum of development strategies could be developed to better serve the variety of development opportunities and program demands within the city.

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1 51 The City style and the task force approach provided the City Mana ger support for the use o f the modified matrix management model. The policy formulation project was not conceived with any other models in mind. Lines of responsibility and authority were not clearly drawn at all times. However, it would have been more difficult for the Planning Director and/or the author to successfully coordinate the infill policy formulation had there been no task force responding to the City Manager's lead. It was the task force which urged the Planning Department to develop some sample land use changes to test the revised buck slip. In fact, it was the task force members who pointed out in the individual interviews with the author that the buck slip was as unsatisfactory to them as it was to the Planning Department. Since the Planning Department always wrote a formal report for the Planning Commission as well as the City Council, these bodies were less aware than the staff that the buck slip process needed improvement. The task force reviewed material to be presented to City Council. At one point, the task force sent the revised buck slip back through another test of an actual land use change which had been previously processed with the old buck slip. This type of testing and evaluating of the policy support system proved to be useful to the city administration as well as the developer of an infilling project because new information was developed through the use of the revised buck slip. Finally, the involvement of city departments strengthened the commitment of the city administration to the policy being formulated. Initially many of the department heads had been skeptical

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about the from City Council. Knowing the high growth rate of Colorado Springs, they were wary that a policy resolution would be more a pallative than a policy. Their enthusiasm grew as they saw the internal benefits to the process being used by the City Manager. In addition, it enabled them to re-enforce the tasks which they were already charged to carry out for currently adopted policies and budgetary commitments. In the final analysis, only those things which a department has the resources to carry out can realistically be expected to be completed. If those tasks are preempted by new policies, the turbulence escalates internally as well as externally. C. Matrix Management Weaknesses, Areas for Future Research 1. Weaknesses of Modified MatriX' Management. The overall assessment of modified matrix management was positive, yet there are weaknesses in any system. This model could be improved by incorporating the following recommendations in future efforts. First, time-consuming aspects of the model could be modified. Some meetings scheduled with department heads as a task force could have been conducted with departmental support staff since the meeting was more technical in nature than policy-oriented. This would have saved the department heads' time and probably produced better results since technical personnel were the primary resource for department heads in these instances; second, there could have been greater awareness of the times when the City Manager should play a key role in the progress of the project so that.he would be provided the necessary information to produce the desired results.

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153 The Planning Director and the author were aware that the City Manager's presence was essential at critical decision-making points. In a few instances, he alone was able to finalize decisions regarding the.next step to be taken. For example, the content of memos to go to City Council could be agreed upon by the task force in a general way, but the final wording was approved by the City Manager. When members of the task force were uncertain about the appropriate alternative to select for the next step in the process, the City Manager was able to bring closure in a manner satisfactory to all. While these points did not raise serious obstacles to the progress of the policy formulation, the project leaders believe that greater awareness of critical points in a process would be important to any future projects of a similar nature. 2. Areas for Future Research. Opportunities for further research lie in determining whether current matrix management structures in the private and public sectors have informal arrangements such as the task force or the community group ad hoc committee; those questions related to the resources used; the frequency of meetings; the degree to which they deal with policy versus technical issues and membership of these groups. The ICMA article indicated that matrix management might be the management pattern for the 1980s. It would be interesting to know how many municipalities are currently involved in project or matrix management. Their assessment of the model as a useful management tool in the public sector would also be of interest. Continuing utilization of the model in the private sector should

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also be monitored and the research being done in that area care fully scrutinized to learn new applications and increase aware ness of the pitfalls. D. Value of Urban Infill Policy The value of the new policy to the City Administration is that it gives the City Manager direction in planning and budgeting. For example, in the City Manager's 1981 budget presentation to City Council, the Manager utilized the urban infill maps extensively to emphasize the ways in which more efficient utilization of the City's current infrastructure could produce more economical distribution of-services. In addition, the 1981 capital improvements program requests and recommendations were mapped so that City Council could visualize these projects in relation to the current infrastructure. These eff9rts provided City-Council a reference point so that it could coordinate decision-making, and if necessary, devise alternatives to meet changing fiscal projections. During 1980, the sales tax revenues dropped--revenues which provide approximately forty percent of the City's income. If these revenues do not meet projections in 1981, several capital improvement projects will be deferred. General Revenue Sharing had been in limbo in Congress throughout 1980. Had the closing week 1.54 of that session of Congress not produced action to continue General Revenue Sharing, the City of Colorado Springs would have lost over $3 million dollars, and a major re-evaluation of the 1981 budget would have been required.

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As cities f i nd fis-cal and physical resources cons trained, management pressed to find ways to be Eore productive, to cut 155 rather than expand budgets. The finite limitations of the political, social and cultural enviTonment as well as the physical environment will be tested. Many cities, especially those in the Sun Belt (including Colorado Springs) have substantial vacant land within their current boundaries. Yet strong pressure from the private sector to expand rather than utilize the current infras-tructure exists. As the Urban Infill Policy Resolution indicated, forty-two percent of the developable land in Colorado Springs is vacant. Lack of development is due in part to less expensive land outside the city, but neighborhood resistance to greater dens ities, heavier traffic and their objections to mixed uses are also significant constraints. The policy sets parameters to resolve these differences. E. Reaffirmation of Intent This dissertation provided a descriptive analysis of the City Manager's role and management style as it impacted the formation of a new land use policy for Colorado Springs. Using the case study methodology, the author portrayed the City Manager's use of matrix management, wfii'Cn."!CMK -views as the new city management style of the 1980s: Colorado Spri::1gs' matrix management approach had certain unique features which distinguished it from other applications of matrix management. These differences focused on the active role played by the City Manager who coordinated and guided the interaction of external and internal groups intersted in the decision-making process to form a new land use policy. To explain these features, the author drewupon phrases from general public administration literature. This literature lacked direct

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15 6 parallels or specific empir ical data supporting the concepts developed in the case study. However, the of t he case study methodology made it possible for the author to explicate the unique management features found in Colorado Springs through general public administration concepts, In addition, a paradigm, using another land use policy case study sharpened the analysis presented in the dissertation. Along with the conceptual insights gained from the literature, the paradigm sub stantiated or corroborated unique elements of public management and policy formulation as ooserv. ed in Colorado Springs. This constituted "new .discover" through the case studymethodology. New discovery has a special place in scientific research and philosophical analysis, even among those who urge empirical confirmation of theory. It is cultivated in rigorous theoretical disciples because such discoveries provide the basis for new premises which can then be tested empirically. Case study methodology is also an appro priate vehicle for new discovery because it permits the use of everyday language and provides the bridge between the use of that language and the more precise definition of terms expected in theoretical scientific resea.rch employing more rigorous inductive or deductive logic. The western world has had a stream of authors writing in several disciples who have argued the merits of inductive versus deductive logic. The foundation of philosophical, metaphysical and political reasoning has been inductive logic. However, this mode of thought found less favor among authors writing in the late 1800s or this century, among !hose seeking to develop 'lilore scientific research methods. Karl Popper would be classified among the latter group. His work is especially relevant to the concept of new discovery in that .he

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I . I I 157 sought to deyelop a method of deductiye testing whi:.ch eliJninated the problems of inductive logic.without creating its place. He was of philosophers such as because he felt they failed to achieve this goal. Popper replaced the of meaning premised on verifiability of fact with a principle of falsifiability. By set-ting out falsification as a criterion, Popper established principles of demarcation by which he justified the use of logical deductive methodology to test an hypothesis and provide corroboration which would enable conclusions to be drawn that process. He stated: From a new idea, put up tentatively, and not yet justified in anyway--in anticipation, a hypothesis, a theoretical system, or what you will--conclusion are drawn by means of logical deductions. These conclusions are then compared with one another and with other relevant statements, so as to find what logical relations (such as equivalence, derivability, compatibility, or incompatibility) exists between them.l Popper was able to accept a certain degree of metaphysical un-certainity in order to advance scientific discovery. He commented: I am inclined to think that scientific discovery is impossible without faith in ideas which are of a purely speculative kind, and sometimes even quite hazy, a faith which is completely unwarranted from the point of view of science, and which, to that extent, is 'metaphysical. r2 1 Karl R. Popper, The Logic of Scientific Discovery (London: Hutchinson & Co. (Publishers) LTD, 1959), p. 32. 2 Popper, p. 38.

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158 In fact, Popper's concepts acknowledge the usefulness of intuition a s a means o f discovery: • . • there is no such thi ng a s a l ogical method o f hav i n g new ideas, or a logical reconstruction of this process. My view may be expressed by saying that every discovery contains 'an irrational element', or' a creative intuition', in Bergson' s sense. In a similar way Einstein speaks o f ' . . . , the search for those highly universal . . . . laws from which a picture of the world can be obtained by pure deduction. There is no logical path', he says, 'leading to these .... laws. They can only be reached by intuition, based upon something like an love ('Einfuhling') of the objects of experience. The dissertation author's "intellectual love" of local governmen t public administration led to the selection of the dissertation subject. This subject area was also the author's base of expertise. Therefore the author could blend intuition with experience, using deductive logic as a participant-observer to document knowledge of the internal and external environment, the administrative procedures and data gathering techniques with a knowledge of the City Manager's role and management style. The author makes no claim that these observations or conclusions provides exhaustive scientific verification of the dissertation hypothesis. The literature search, the empirical data of the case study itself, and the paradigm did not falsify the conclusions drawn. In fact, i n accor-dance with Popper's theory of dedutive logic, the author's conclusions were supported. 3 Popper, p. 30.

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159 F . Concept Synthes:is The observations an d conclus-i"Ons of 1hi5 diss-ertation will b e conceptually integrated with the six central public administration phrases (environmental turbulence, electric transformer, change agent, 1natrix management, rational-cmnprehensive planning and ecology in govern-ment)in this section. These were used, not as empirical definitions of scientific phenomena, but Tather asterms serving to explain and define a new quantity or termt, 1nodified matrix management. The terms helped to describe the dynamic relationships and functions of a public administration process, focusing on the role and management style of a city 1nanager in forming a new land use policy, and in effect, defining 1nodified matrix 1nanagement. The terms, used by authors such as Louis Gawthrop, Deil Wright, and William Gaus served two purposes. They linked concepts in general public administration literature to those developed in the case study, and they made it possible to use these terms as conceptual shorthand for unique features of the policy formulation process described as the case study was developed. Stein explains why this technique can be useful to academicians as well as the practitioner: Insight into public administration requires an awareness of its dynamic character .•.• This may sound simple, but it is enormously complex. Every verb--'passed,' 'appointed,' 'created,' 'made,' 'satisfied,' 'abolished,' 'abandoned,'--is shorthand for a host of choices, decisions, actions of all sorts .•.• The concept of public administration as process can be as broad as the whole of public administration.----For the administrator, different problems-that he faces makes it easier for him to distinguish what is novel in each new situation, concentrate on the novel element, and find a suitable solution;

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this k ind o f kno wledge 4 i s o btainable b y the study o f public administrati o n . 160 Beside s the s i x terms from gen eral public administration liter-acture, the author Easton's m o de l as a general conceptu a l frame-work. Authors such as Easton focused on political policy analysis while the author of the dissertation focused on admin istrative aspects for policy formulation. The dissertation extended Easton's conceptualization of the input-conversion-output model, particularly in the conver-sion step. (See Diagram ftl). This extension enhanced the author's oppor-5 tunity to explore the administrative aspects of policy formulation. The chart on the following page shows the matrix concepualization which melds the various terms and concepts with the case study and the paradigm. However, the author would re-emphasize Stein's warning cited in Chapter II. He cautioned against "pushing generalization • . . . t o 6 the level of principles that constitute .rules of conduct." Nevertheless, caveats can be misused to cover for criticism of a intentionally limited research effort. Perhaps it is more appropriate to be able, as Wildavsky suggests, to acknowledge the possibility of error in policy analysis and to recognize the benefits gained through error correction. This attitude is particularly suitable for 4 Stein, p. 5 and 14. 5 Eastori,A Pramework farPolitical Analysis • .... 6 See Chapter II, p. 48.

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T n 2 T 0 Diagra:m ..II 1 "A. Dynamic R esponse Model of a Political Sys-te:: " fc.,.,:.c:• l .,.., .. .......... c.-1 ..... .............. "' ..... ..... Tloo INn ,.... r .. tralnc..,n •l r-lr_,...._ n.. .,., ... 161 Source: David Easton, A Frame work forPolitical Analysis (Englewood Clifs. N e w Hall,' 1965), !' no . Chart I 6 A Concluding -sytithesis ;. r .ALl'flCAL liiPUT il COl/VERSION OU"Jl'IJ1 : f'RJ..M.EwoRi: : : : : : : r , : ----------------------fa----------------------: : COIOCEPTU.U. r, MODIFIED Y.ATRU Y.AIIACE!{NT ii ECOUX:Y IN 1 : STATE OR i i TURBUl..EIICE l i U COVERI31EirT : : cc:;niTio: ; : : : : :: : ! : : f; r K !'ERTIES OF : : Ecological, biological, I I City l':aru.!er serving as u Colo new : : : ; DJ::.v!IC : : _per::o nalit.y, social, II ELECTRIC TJ!ni::;J-'QJC1ER I I la.nd u s e policy, : : : 1!:7 EkACTlOI: : : econo1111c a.nd political I I • hv controls now o f I I a Product of : : r: : ; ("large 1rratll "effects from 1.he ll con version :: 1onal ID&trtx of intraI I Envirol'll>ents" ._.. i i described as 1 1 : I I and extra-societal I I expressed t hough "Input i i 11odif1ed 11atrtx i i : : : e nvironment of Colo : :Demands and Cupport•• 1 ! aane, uent : : : : Spgs, includlng l l : ; parties l ! C !! A role of u :: : : : : 1n1.trest.ed in land l l C1 t.y Man.&8er, Planning ! i : : use policy forum-! ! Director, and author : : l l lation.) J: convtrting IM::a.nds into 11 l l : ; J J lJ Outputs tt.rougt. R ; TIO i :Al l l JJ 1 : i i J'I..AiiNTh'C i i : : :: ( by an 1nfori ! : ! r: : : : : t!at1o. n and .. ent ff:t:dback u : J : r, CC!'-'iOBORniiOii 1 1 J.ttltude::, po;:rcept1ons I I Administrative Procedures i i Contn..st between 11 T 7Jl:J!X:H A II of elected officials & nand da.ta techni:: acco:ptance use i i PAR!JllC ' : (co:;r;>;.STS) 1 1 cocmunlty groups as an 1 1 ques/Ceneral Public I I of n e w land use I I : : : inputfor process to transfer1 : policy (St. Paul n ; : formulation land use =ab111ty(st.Paul/Colo SMs) Colo Spgs . ) : 11 pol.icy (St. Paul and t lar."6er's Role a.nd I I : : 1 1 Colo contrast) Style as Impact I I : ll on Land Use Polley Fcmat1on a

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162 case stu d i e s whic h a t t empt touse ordinary, common-sense knowled g e and conver sati onal language to develop f ormalized con s tructs useful to con-cept formu lation in empi r ical research . By advo c atin g policy analysis which is both an art and a craft, W ildavsky permits this discipline to dare to investigate creatively, and to use such an investigation as a means of discovery and justification. He compared this to the way in which Gowing described Cezanne's conceptua-lization of art: He deduced general laws,then drew from them principles which he applied by a kind of convention, so that he interpreted rather than copied what he saw. 7 His vision was much more in his brain than in his eye. Interpreting what one sees is also a function of public policy analysis. Jones, Wildavsky and Lindblom shared the views that one's perception of "the problem" determined its boundaries and its possible solutions.8 Towl pointed out that the participant-observer enjoys in-side knowledge of an organization and is therefore able to describe 9 what which is not seen by those outside the organization. This van-tage point also provides the opportunity for research which can supply a high informative content on which corroborating data may be gathered. Popper believed that there are trade offs between corroboration and probability for any hypothesis, and that in fact, the greater the corroboration, the less support there will be for inductive probability. The trade-off for gaining the insights of a participant-observer may, in fact, be less with the use of the deductive logic approach of this dissertation. 7 Wildavsky, speaking Truth to Power p. 385. 8 9 See Chapter IV, p. 126-127. See Chapter II, p. 51-58.

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SELECTED B IBLIOGRAPHY Adrian, Charles R. and Press, Charles. Governing Urban America. 4th ed. New York: McGraw-Hill Book Company, 1972. Altshuler, Alan. "A Land-Use Plan for St. Paul." Inter-University Case Program #90. Syracuse, New York: The Bobbs-Merrill Company, Inc.,l965. American Institute of Architects. "Urban Design and the Future of Cities." .t.rurticipal Year BoolC1970,_ pp.341-346 • . Washington, D.C. : The International City Management Association, 1970. Anderson, James E. Public Policy-Making, Second Edition. New York: Holt, Rinehart and Winston, 1979 i Anderson, William and Gaus, John. Research in Public Administration. Chicago: Public Administration Service, 1945. Appelbaum, Richard P. Size, Growth, and u.s. Cities. New York: Praeger 1978. Banovetz, James M., ed. Managing the Modern City. Washington, D.C.: The International City Management Association, 1971. Bauer, Raymond A. and Gergen, Kenneth J., .eds. The Study of Policy Formation. New York: The Free Press, 1968. Beck, Christine S. "Management Styles---Personal Perspectives." Management Information Service REPORT. 11 (March 1979): Bell, Gwen, Edwina Randall and Judith E.R. Roeder, eds. Urban Environments and Human Behavior, An Annotated Bibliography. Stroudsburg, Pennsylvania: Dowden, Hutchinson and Ross, Inc., 1973. Blandford, John B. Jr. "Administrative Organization." Municipal Year Book 1943. pp. 311-314. New York: International City Manager's Association, 1943. Blomquist, C. Allan. Aspen, Colorado. Interview. August 1980. Blucher, Walter H. "Planning and Zoning Developments in 1948." Municipal Year Book 1949, pp. 253-259. Washington, D.C.: Inter national City Manager's Association, 1949. Bock, Edwin A., ed. Essays on the Case Method. Syracuse, New York: The Inter-University Case Program, 1962.

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bower s , Joseph L. " Desc riptive Decisi o n Theory from the ' AdministTa-tive Viewpoint." ' The Study of P o l i c y F ormat ion, pp. l 03-14B.eds: .Ra)"T"ond A;Bauer a nd .Kenneth York : Th.o F r ee Pres.s,1968. Brett, Deborah; Chalibi , Margery A; and Friedma n , Stephen B. Urba n lnfill: Opportunities and Constraints. Chicago: Real Estate Research Corporation, Research in progress. Brownlow, Louis. "Looking Ahead at City Government." Municipal Year Book 19344 pp. 3-7. eds. Clarence E. Ridley and F. Nolting . Chicago: International City Managers' Association, 1934. Burgess, Philip M. "Capacity Building and the Elements of Public Mana gement." Public Administration Reivew 35 (December 1975): 705-716. -----:and Slonaker, Larry L. "The Decision Seminar: A Strategy for Problem-solving." A Mershon Center Briefing Paper. Ohio State University, 1978. Burgess, Philip M.; Benson, Johnathan L.; Conway, Richard C.; James, Thomas E. 'Training Urban Managers, A Curriculum for the Selec tion, Design Implementation and Evaluation of-Alternative Citizen Participation 1-fechanisms. Prepared for the National Training and Development Service for State and Local Government, (February 1976). City of Colorado Springs. Inter-Office Memorandum from Jim Alice Scott, Project Research Analyst, to Hartley (Bud) Owsley, Director of Planning. May 17, 1979. City of Colorado Springs. Inter-Office Memorandum from Jim Alice Scott, Project Research Analyst, to George Fellows, City Manager. May 18, 1979. 1 City of Colorado Springs. Inter-Office Memorandum from Jim Alice Scott, Project Research Analyst, to James Phillips, Director of Util ities, May 22, 1979. City of Colorado Springs. Inter-Office Memorandum from Jim Alice Scott, Project Research Analyst, to Dewitt Miller, Director of Public Works. May 22, 1979. City of Colorado Springs. Inter-Office Memorandum from Jim Alice Scott, Project Research Analyst, to Fire Chief Sievers. May 22, 1979. City of Colorado Springs. Inter-Office Memorandum from John L. Tagert, Chief of Police, to Jim Alice Scott, Project Research Analyst, May 23, 1979. City of Colorado Inter-Office Memorandum from Laurence A. Schenk, Director of Parks & Recreation to Jim Alice Scott, Pro ject Research Analyst. May 24, 1979.

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City of Colorado Springs Planning Department. Comprehensive Plan Pro gram: General Land Development Recommendations, Planning Information Report Two. City of Colorado Springs Planning Department , July 1975. Clawson, Marion. Suburban Land Conversion in the United States: an Economic and Governmental Process. The John Hopkins Press , 1971. Davidson, Claud M. "Comments on 'The Nature and Role of Neighborhood Organizations in American Cities."' Public Service 6 Center for Public Service, 'Texas Tech University, (January 1979): 11-12. Davis, Stanley M. and Lawrence, Paul R. "Problems of Matric Organizations." Harvard Business Review 56 . (May-June 1978): 131-142. Dror, Yehexkel. Design for Policy Sciences. Amsterdam: Elsevier, Dunn, Egar S.,l971. Easton, David. A Framework for Political Analysis. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1965. Fellows, George H. "Letter of Transmittal." City of Colorado Springs General Fund Budgetr 1980. Fesler, James W. "The Case Method in Political Science." Essays on the Case Method; pp.65-119. ed. Edwin A. Bock. Syracuse, New York: The Inter-University Case Program, 1962. Flinn, Thomas A. Local Government and Politics. Glenview, Illinois: Scott, Foresman and Company , 1970. Foster, Dick. "Development in City Urged." Gazette-Telegraph, Colorado Springs, Colorado, June 1, 1979. Gaus, John M. Reflection on Public Administration. University of Alabama: University of Alabama Press, 1947. "The State of the Nation 1 s Cities." Municipal Year Book 1936. The International City Manager1s Association,l936. Gawthrop, Louis C. Administrative Politics and Social Change. New York: St. Martin 1 s Press , 1971. Gergen, Kenneth J. "Methodology in the Study of Policy Formation," The Study of Policy Formation, pp.205-237. eds.Rayrnond A. Bauer and Kenneth_ J. Gergen. New York: The Free Press, 1968. Gergen, Kenneth J. "Assessing the Leverage Points in the Process of Policy Formation." The Study of Policy Formation. pp. 181-203. eds. Raymond A. Bauer and Kenneth .J. Gergen. New York: The Free Press, 1968.

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Glover, Clifford H. an d Horgan, Andrew B. III. "An lnterna t 1onal P ro g ram 1n Urba n Management." The Municipal Year B oo k 1978, PP. 65-67 . Washi n gton, D . C.: International City Management Ass o ciation, 1978. Greer, Scott. The Emerging City, Myth and Reality. New York: The Free Press , 1962. Governing the Metropolis. New York: John Wiley and Sons, Inc., 1962. Gulick, Luther. "Our Cities in 1937 ." Municipal Year Book 1938, pp . 3-8. Chicago: International City Managers' 1938 . Heiss, F. William. Urban Research and Urban Policy-Making, An Observatory Perspective. Boulder, Colorado: Bureau o f Governmental Research and Service, University of Colorado, 1975. Howard, William A. and Kracht, James B. "Optimum City-Size and Municipal Efficiency: A Revised Version of Exchange Bibliography No. 52." Exchange Bibliography 1/169. Council of Planning Librarians, 1971. Humphrey, Nancy; Peterson, George E. and Wilson, Peter. "Cleveland and Cincinnati: A Tale of Two Cities." The Urban Institute Policy and Research Report. 10 (Spring-1980): 1-6. Huntley, Robert J. "Urban Managers: Organizational Preferences, Managerial Styles, and Social Policy Roles." The Municipal Yea r Book 1975, pp. 149-159. Washington, D.C.: International City Management Association, 1975. International City Management Association 1973 Municipal Management Policy Committee. "Managing Growth: Report of the ICMA Committee on Growth and the Environment." Reprint in Management & Control of Growth, Issues. Problems, Trends. Vol. I. pp. 136-147-.eds. Randan w • . Scott,' .David J. Brower andBallas D. Miner. Washington, D.C. : The Urban Land Institute, 1975. Jacobs, Jane. The Death and Life of Great American Cities. New Yor k : Vantage Book, 1961. Jones, Charles 0. An Introduction to the Study of Public Policy, Second Edition, North Scituate, Massachusetts: Duxbury Press, 1977. Judd, Dennis R. The Politics of American Cities, Private Power and Public Policy. Boston: Little, Brown and Company , 1979. Keane, Mark E. ed. "Planning and Management." Public Management 51 (December 1969): 2-14.

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. e d. "Urban Plannin g and Managemen t . " Public M a nagement. ----52 (Ju ne 1 970): 3-13. 16 7 Keller, Suzanne. The U r ban Neighborhood, A Sociological Perspective. New York: R ando m H ous e , 196 8 . Lindblom, Charles E. T h e Policy-Making Process. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1968 . Lynch, Kevin and Rodwin, Lloyd. " A Theory of Urban Form." Environmental Psychology : Man and His physical .• pp. 84-100. eds. Harold M. Proshansky, William H. Ittelson and Leanne G. Riv lin. New York: Holt, Rinehart and Winston, Inc., 1970. Manning, Larry. Force. Metting of Private Developers and Urban Infill Task Colorado Springs, Colorado. Notes. August 1979. McKean, Roland N. Public Spending. New York: McGraw-Hill Book Company, 1968. McKenzie, Roberick .D. '7he Ecological Approach to the Study of the Human Community." The Social Fabric of theMetropolis. pp.J7,.,32. ed. James F. Short, Jr. Chicago: The University of Chicago Press, 1971. Mercer, James L. "Local Government Organizational Structures for the Eighties." Management Information Services REPORT. 12 (March 1980 ) : 1-13. Miller, Zane L. "'Furning Inward: The Concept and Role of Neighborhoo d in American Cities." Public Service. 6 Center for Public Service, Texas Tech University. (January 1979): 7-11. Mulrooney, Keith, ed. "Symposium on the American City Manager: An Urban Administrator in a Complex and Evolving Situation. 1 1 Public Administration Review 21 (January/February 1971): 6-46. Murphy, Patrick W. "Administrative Management. '1 Municipal Year Book 1963, pp. 297-300. Washington, D.C.:International City Manage ment Association, 1963. National Commission on Civil Disorders. Report of the National Advisory Commission on Civil Disorders. New York: Bantam Books, 1968. Oden, William E. "Comments on 'Turning Inward: The Nature and Role of Nei g hborhood Associations in American Cities. 111 Public Service 6 Center for Public Service, Texas Tech University (January 1979) : 12-13. Pope, H.G. ''Mana g ement and Research. " .Mwiicipal Yeat Bddk.l950, pp.233-239. Chicago: International City Manager's Association, 1950.

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16 8 "Our Cities in 1948." Municipal Year Book 1949. Chicago : International City Managers' 1949 . pp. 1-7. Popper , Karl R: " The Logic of Scientific Discovery. London : Hutchinson & Co.(Publishers)LTD, 1959. Pressman, Jeffery L. and Wildavsky, Aaron. Implementation. Berkeley: University of California Press, 1973. Real Estate Research Corporation. The Cost of Sprawl: Environmental and Economic Costs of Alternative Residential Development Pat terns at the Urban Fringe. Prepared for the U.S. Council on Environmental Quality, the U.S. Department of Housing and Urban Devel9pment and the U.S. Environmental Protection Agency, Washington, D. C.: U.S. Government Printing Office, 1974. Urban lnfill: The Literature. Prepared under Contract No. H-2982 for the Department of Housing and Urban Development, Of fice of Policy Development and Research. Washington, D. C.: U.S. Government Printing Office, January 1980. Schmitt, Robert C.; Zane, Lunn Y.S. and Nishi, Sharon. "Density, Health and Social Disorganization Revisited." American In of Planning Journal44 (April 1978): 209-211. Shannon, David A., ed. The Great Depression. Englewood Cliffs, New Jersey: Prentice-Hall, Inc., 1960. Smith, Michael P. The City and Social Theory. New York: St. Martin's Press , 1979. So, PrankS.; Stollman, Israel; Beal, Frank; and Arnold, DavidS. eds. The Government Planriing. Washington, D.C.: The International City Management Association, 1979. Stein, Harold. 110n Public Administration and Public Administration Cases Essays on the Case Method, pp. 1-37. ed. Edwin A. Bock. Syracuse, New York: the Inter-University Gase Program, 1962. Study Committee on Policy Management Assistance, M. Frank Hersman, Chairman. Strengthening Public Management in the Intergovernmental System. A report prepared by the Office of Management and Budget , 1975. Towl, Andrew R. To Study Administration by Cases. Boston: Harvard University Graduate School of Administration, 1969. Tytler, Kathryn. "Making Matr .i .. .. W.o.rk-:-:--:-:-aild When and Why It ' s Worth "the Effort," lfu.ni8:fl "Resource rrammg 15 (October 78.82.

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169 ''Five Perspectives on the Cases of the lnter-Univcr-Case Prog r am." Essays on Ca_s<: Mcth?d, pp. 38-6 3 . ed. Edwin A . Bock. Syracuse, New York: The Inter-University Case 1962. Weidner, Edward }'j, "Municipal Highlights of 1952." Munici pal Year Book 195 3 , pp. 1-4. Washington,. D.C.: "International City Association, 1953. Wildavsky, Aaron. Leadership in a Small Town. Totowa, New Jersey: The Bedminster Press, 1964. Speaking Truth to Power, The Art and Craft of Policy Analysis. Boston: Little, Brown and Company, 1979. Wright, Deil S. "The City Manager as a Development Administrator." Com parative Urban Research, The Administration and Politics of--Cities , pp. 203-248. ed. Robert T. Daland: Beverly Hills ,California: Sage Publications, 1969. significant titerattire Not cited Hempel, Carl G. "Fundamental of Concept Formation in Empirical Sciences," International Encyclopedia of Unified Science, Vol II, No.7., pp. 1-93. ed. Otto Newrath. Chicago: The University of Chicago Press, 19s'z. Kraemer, Kenneth L. Policy Analysis in Local Government, A Systems Approach to Decision Making. Washington, D.C.: International City Management Association, 1973. McHarg, Ian L. Design With Nature. Garden City, New York: The Natural History Press, 1969.

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Sl'R.Jft 1 oa ••••• CITY OF COLORADO SrRrNGS COLORADO T 1 : n • n F I ' If: F. .'I Clll. \ I ' .'I M.,y Ill, J'"' Allc., Scott AppendiX A-1 . .. :-::d T.,•k Force on Infilling Policy Devt:lopment S"ho:c!ulel T l . c io;:o,.-1ng •clu :dcle of Appointment& h :. • been dt:vt:loped: 5/17 *' Bud Owaley 5/ll ,.... Jim Phillips ., Jim Wiho o .,..John Tagert 5/18 *'Jim Ringe 5/ll Larry Schenk ., Deke .Miller Chief S ievers I suggen the following work plAn: Asaignment: 5/lZ -To interview each of the Above peraona LO determine-their viev.' • and recomrn.endationa on the aubject of infilling ( i , e,, definition, criteriA, con a tr&ints ) . 8-9 Am 5/24 Written commenu from Task Force back LO me. 5/l5 To coordinAte tho: s e viewa & recommendation• in A atA!f rt:p:>rt &nd d istribute to TAsk Force on 31 Infilling Policy. 5i;l-t[To meet AgAin AI TAak Force to review &. comment on atiilff report and develop approach for Council Workshop. 5/31 -Council \','orkaho p Tor the purpoae of the interview• with the Taak Force on Infilling Policy, the a:u.chcd queationa wer e developed, purely & a a .:ulde for d iacuulon. lntcrgovernmentd Relation• Coordinator "P" .:ttt.a.chmenta cc: Taak Fore-.: 170

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Appendix A-2 to Raipe with each Member of City Departmental Taak Force: by Ji.A Allee Scott, Kay, 1979. 1. How would you define the varioue k inde of lnlillin&? 2.. ehould be the ueed in evaluatin& each? 3. What ahould be the role of local eoveroment in each? 4. How should cost-benefit ratioa, including externalitiee, be computed for each? S . What current City policiea aerve ae constraint• to infilling, and wha: would be the coat of specific alternatives? 6. What ceographic area• cao you preaently identify which may poae problema if the definition• and criteria you c ite ahould be adopted by Council? 7. What new area• of policy should be explored w ith County government, School O istricta, etc. ? 8. What infiuence, if any, doea State managed capital outlaya impact upon location and density of new urba n development.? Are there areaa of policy-making between a tate /local cov.:rnmcnt which should be addreaaed 7 171

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Appendix A-) 9. U. the Coot of Sprawl, the followina varlablea wore identllted aa l
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To : Fru,. : SL' JSJCT : : •u •• CITY OF COLORADO SPfCING5 COLORADO -r I !\T J:ll • UF.' I f 'F. 0 IIA !\It I ' May )0, 1979 CITY COUNCIL City Manazer In!illinc Study Appendix B-1 City Depart.rnenta reaponded to my request to provide their viewa on inlillinz. The attached aurnmary outlinea very brleOy the major points made by depart.rnents. A aecond attachment identi!iea varioua possible classific .. tinn of de\elopment which may be used aa an initial frameov.-ork for .. dditional diacussion. A Utility Department map io included for yo..:r convenience . .l\1y recommt-ndation is aa follows: 1! Council wishes to support a stronz infillin& policy, It is aucgeated that the Administration undertake (with the Planning Department serving lead) a study to: refine definition• of Cla.aoirications establioh criteria for assesoing coou and benefit• within each clasoHication; and thooe areas appropriately termed "infilling" de\dop exaznples within each clasaification and use cost and benefit criteria to deomonstrate the policy alternativr:a which micht be csed to determine priorities. • identify r:eccssary chance• in proccssine •pplicalions to Planning ' D .. partJnent to enable the City to beller assist coordination o! infilling erforll. The scope o! thi s ercort should be by the lc\'el o! inl<:rest which Council l:c. s in establishing a apecific rationale for decision mal..ing in policr arcao which are undeq;oinG cl1ange. The fundamental question io: \'.r.u should be the role of cov.:rnrncnt? 17 )

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AppendiX B-2 More directly, u. .. +.u dc:crc:c ahould the City provide incentive t.o encourAJ:e A apecific t)pc of developnoenl? -how micht \he City deh:rmine which inccntivu ahould be Ap;>licd And where tloey ahould be Applied? lo the p&ot, the co:nerAl City policy bco:n that all front-end coua of developrr.ent muat be borne by the d<:vclo}'cr. Tl.e two exception• Are 1) when •orne of the coat& are reimburacd for improvcmenta which benefit the city aa a whole, And 2) in redevelopment areaa where federal lunda hilve been uaed. Requlrin&: the developer t.o bear all co.ta may be only a abort-term aaving to the City if acattered and diaconnected development increaaea the City'• oncoing CO&Ia "' provide servicca. lt may abo inhibit the City'• ability to efficiently plan capital improvement• and logical incrementa of service for the t.oto.l city. U Council wiahes Ul have \he Adn::>inialriltion undertake \hia policy study, 1 ilm prepared Ul return to Council at a )iller dAte with a more detililed "'-ork plan And ao estimAte of the resource& neceaaary t.o complete the stud) Attachmenta 174

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runt.IC WOIIXS UTILITIES PARX ' R.tC SUHMIIRY or DI::I'/IU'ffolliiiT IIEI\08 Ol:rlii!TIOII -INFILLIIIC CRITERIJ The of areaa within City which con be connected by the extcneion of hlghwaya or utllltlel, The development of areae within the City'a water district line, /Is affectinq P'R• Developing or dcslqnating as open space any area not yet developed or vacant renewal arC!as . The need of the total public to infill an area to provide utllitie11 network or transportation ayatem to already developed areas. Market and the ability to pay, r.u .c. requirement to pro vide gao ' electric servieae upon Economic feasibility (reo topoqraphy, qcologic formation•, or Flocd Plain•) Conformance w/Park Master Plan 'Nat'l standards for Park ' Rec. (i.e. acrca/1000 population or lrecreation !acilitie•/1000 population. -Application of economic Equivalency Index where appropr! ate. I NTS ln Public Worka, mainly drain•'/• •tru,t•" 1uch a• brldqe• or drainaqe The coltl to the developer effrctlvrly "eterilin1" that abutting p rop.-rt ) ' f " ' " the atandpoint of City can exerci•e direct control of wat Without water, no area can develop. Redevelopment areal have hiqh coati when infrastructure i1 !nod• qu1te for new development. ..,,, Aa long as lend and ar• I• outside City Planning or e ven o • aide Utility District, develorers will < • tinue to be drown to th••• Least costly areal fo r infilllnq and vacant land which olready al! !Jc! !t• available around and it if aize1 are Major Policy Issuest whether City 11 to be ener9y reduce• local ener9y costs ' qrowth flexibility. Due to natural ammenities o[ the vacant land may be hiqhly •• open space. However, due to these tiea, i.e. topoqraphy or flocd plaine t land cannot be developed !or active recrcJtional use or facilities. There!etr only open epftce needs would be not -will probably receive acquire and/or develop exisitng vacant properties which have looked upon a s open spacr ' rr tlnl developMent, t h3n fr• t•lmt•lr" t \tlr, l r o "lf'llr•t•O' ' ' t'"" • '"'' ' ! , . , . • uurvation tone11 01 1''11 Pl .. ter Pion (ln76, r . pn.l-1'!

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lli :I'T. POLlet FIR WILSON SUMMI\RY Or O E PM
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Appendix B -.5 DEFINITIONS: Infilling: The development or redcvc:lopment of any areao turrenlly within the rily limito/urbaniz"d •rea. lnfra.structure: The ph)oical capacitico necc:aaary for development: Incentive Carrying Capacity: i.e., utilitieo, drainage, ac:wer /a ewer treatment roadwayo, non-deJ:regation environment. The operational capacity necc:saary to aerve development: police, fire, parka/open apace, non-degrcgation of environment, tranoit. Policieo: General and apecllic Council policiea developed lD encourage infilling where appropriate to the general health, safety and welfare of ihe community aa a whole: within the City'• current carrying capacity or where specific: extension• of the ca.rrying capacity have been approved. The limito of physical and fiscal resources beyond which aatialring demands muot be aerved by new reoourcea. 177

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t:r.Ur.IIAL Dl:vt:LOVM"NT Cl.ASSII'It:ATIOIIS NID TIIUR IMPLIC11TIOtiS FOR INPILLIHG POLICY 11. Adequote public oervieo infustrueture I. public oervieeo infcaatcueture (infilling required to UP9rading linea, services eapaeity) C. Hojor infrastructure problems beyond financial abilitieo of privote aector. 1) hiving interest and benefit to overall community 2) benefits restricted primarily to developer I I BYPASSED (V11C11NT) UJID 11. Adequate public service infrastructure B. Inadequate public oerviceo infrastructure (Samo •• I-b) C . Major infrastructure problema beyond financial abilitieo of prl vate sector. 1) having larger community interest and benefito. 2) benefits restricted primarily to developer ttl II!:W DEVELOPI'.!:IIT EXPNIDtD 11. Within Comprehensive Plan 1) Linked Growth a notural ••tension major portions of present 2) Detached Growth -leopfroo r•trnsic without '""Y b<' o!f t by other major benefits B. Beyond Comprehensive Plan Boundory bu t In City Utilities Service Districts -Utility Deport"ent sees strong just! fication for infilling to be to vater district line (-blue line•) City controls this line. PUC regulations require services vlthln district uoon City eon stirulete C. Beyond City Utility Service Dlstrieto Polley issue• anne•ation required !or any orea to e lec tricity is ••tended. Policy iss ue r should City focu• on being "energy ••porter" to enerqy eost lover and to better growth. Impact of e•tenslon1 of service di1 rict line1 as o! olicing into othrr "tlllty territory. >

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179 Appendix B7 ( ) " .......... IPU>D I01I1'CI1 " UUC fiiUIID "!.. . • t ••

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To: From : SUBJECT : 0$ ... , _,, CITY OF COLORADO COLORADO Appendix C I NT F. R • 0 F f'l C J ! l\1 I! !\1 0 ll A N It II June 14, 1979 Bud OWsle y Jim Alice Scott Infilling Policy Study After a second round of staff interviews on infilling following the City Council Workshop, it is understanding that we are recommending the following tentative work plan and time schedule: By End of June Bud OWsley will specifically identify the proposed sites for departments to provide detailed analysis and suggest a tentative land use plan on which this analysis can be IIIAde. Week of July 8th Reconvene Department Heads to review the sites and land use plan proposed by the Director of Planning. Determine recom mended time frame for to prepare analysis. July 23-Aug. 13 -Sept. Oct. Nov. -Dec. -Report Section: City Council Meeting. Provide Council an update on Infilling Outline work plan and identify sites being studied as examp le. Departments undertake analysis according to Council direction. City Administration presents Report to Council outlining the following: -tools currently available or not available to effectively achieve infilling. -analysis of "example" sites -proposed language for City Council infilling policy. Alice Scott Intergovernmental Coordinator apa cc: City Manager, Jim Ringe, Jim Phillips Deke Miller, Larry Schenk 180

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IJwtr : r,...., SL'BJCCT : Appendix D Cll'l' tJ r COLOIIIII>O 5of ' ffiiiC•:... C(JL(Jftiii..>O 1 1 ; Jl • fll" 1 ' 1 c : 1 ; ;\I 1 : ;\I II II,\:'\ II I ' July Jb; 197'1 Deparlment heada and key ala!! who will be doln& lnfilllne follow-up met Tueaday, July 17th, to review sites selected by the Plannine DeparLmenl aa "e>o:amplea" lor lndeplh study ol development problems -.hich ha•e created bypassed land or present certain redevelopment constraints. The aix aile& selected were: 1) Conover 2) East Hill Road 3) Pikes Peak Academy 4) the Mesa !i) Boll Av_e., and 6) Lower Gold Hill. The Plannine Department prepared a handout identifying eoo.ch aile'• characlerialica •• follo,.a: l) &
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CNtr : Tu : SUBJECT : Cny or COLORADO &,.JUNG& COLOHADO I T 1 : II • fl Jl J'l f: 1: ;'II 1: ;'\1 fl II /4. U IJ :u November 20. 1979 CllY CDliCil. City Manager Infilling Study -Progreu Repott Appendix E n.e City deparnrent.s haw ca1tinued to ueet periodically to revi.t!w infilling study uar.erials prepared through a joint effort of Plarning and City Manager's Office st..aff. lhese include: #). the coordination of base 1IBps showing uajor service delivery systems and their bol.ndarles with maps of natural physical characteristic and develOf'ITI!'r\t patternS. 1) uacro UBpping of major physical charact=istics and key service arte.ries and/or bmndari.es 2) micro II'Bpping explaining services currently provided at proposed development site #2 :.. the design of a draft forii'Bt (buck slip response) f.or evaluating proposed developc-ents whiclt migj:lt be i.!Ipacted by an Urban Infill Policy lhe City Plarning Deparorent is prepared to present City Chnc:U with a prototype exomple of #). in order to de!rcnstrate the uanner in \olhich the data base might be utilized in fornulating an Urban Infill Policy and to facilitate decision uBking on a specific development proposal. A draft "Infill Buck Slip" foruat is currently being revised by City deparcnents and will be tested on a specific development proposal; revised, and then retested with a 2nd specific develop!TI!nt proposal. lhe deparOIEntal reception of this effort has been very positive. We hope to return to City Cou'lcil with a report on this phase of the Urban lnfill Policy development soaeti.ur after the first of the year. To reach this point in the study, t\.o series of interviews with major City deparorents have been conducted and tw:l praninent private developers were invited to discuss infilling with the Deparorental Task Force. In sights gained here have been incorporated into the design of the overall study. ceorse H. City Qif: JAS :apa 1 82

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To : From: stBJcCT: •.. , .,. Appendix F-1 CITY 01'" COLO .. ADO SP',.INGS COLORADO I T R • 0 F t • I C t : :\I :\I 0 II , \ :\" II C :\I November 29, 1979 Infill Taak Force .Jia Alice Scott Sample Selection Attached is the site chosen by the Planning to test our Infill Buck Slip. Although this site ia on the Planning Co.aiseion for Dcceabar 6, 1979, the Infill Buck Slip inforaation will be time. Please indicate and/or include any mapping information which will in expanding baseline ve are hoping. to collect through thia proceu. The following timetable is suggested for this phase of the study effort: Nov. 29 (Deferred Dec. 10 fron 11/26/79) Dec. 17 10:00 a.m. Dec. 21 TentAtive .Jan . 7 Sample data mailed out to Task Force •embers Progress report to City Council ( will cover sample site data) Departmental deadline: Sample aite response to Larry Manning (Planning Department) Meeting with City Manager and Task discuss data on sample data compilation (Plng.Conf.Rm.) Date for next Progress Report to City Council using sample site data compilation and analysis ln addition, attached is a copy of an ordinance Larry Schenk shared in preparing for h1s previous employer. To the degree that a potential developer aight also benef1t free this inforaation as well as the City, it aay be useful design e system eventually which would enable the developer to access auch of thie infor mation through the City's basic (primary) data base. In that manner the City would have a check and balance on the accuracy of the data and the monetary value of such information to the developer would help to offset negative atti toward government's request for information . 18.3

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N AppendiX F-2 THE ME5/\ Cl?D 1\\e Yf'IE..Sb. IS 2., TO l..lz.. 0\ll..t. ", c;:. 1l\E. oP 1::.-zs-J?Jf; T Wt;.E,.tt L ZG" At-to f'(l c.-so. m . AeoJ\ 1. SQ.t"l\\. t;fiTA\l 5ruCX1 9f., IS PeoUf 47. 8 W2Ji:h WE'5Taf 06TWEeJl'\ VAt{ 184

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I • Wli\ES ---N\VL,-1 ,;_ DE.VE.L.opt.D . &f" n (.01"'1\rf\ M_ I I 185 Appendix F-)

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186 Appendix F-4

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I , l!>R4-.ov\ti.J fl.At.lc"' \.bu.'-\.6T Slt\G,LE.. pU.m,o Pl.ll.TT!D !lnu. ,u. FAII\1\1.4 \.01'6 1 llt11MPit4\II.Q --D!ZAIHP-4E. '''' '' 11 snx.r 6al'I\E. I H

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188 Appendix F-t. " ., : 0 Ol)4c. 1z •' z.r 0"/A....1 3 ., '\, r ,. j ' I

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SuteW!Y Of lNflLL SAt!PLI: SITE: Appendix G-1 The infonD.ltion in this su-.:1ry h derived froa City and Utility Oepartaents involved to . . . it is not a collec tion of data would be needed for cost/benefit Analysis. City Dcp11rtccnt L. tlnnnin& 18 9

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Appendix G-2 Develop.cnt !'L.ljor probl.:l:l:li center around llOU' of 21." trunk ah.:tn:r 1• requlrt.:&J to connect acrv.lce to ,.lca Mite. 1"111&& would be built off the site froa the intersection of ;;.>raaalllo and cooper cAterly under to the interceptor in tlounment Creek. In 4ddit1on, the 15" trunk aeWC!r at tho! aouth.,rly tip ol aiu would have to b" extended alone dr4in.>gc channel (5. ' W. boundaries of site) with extensions into the aite. IDu&h topo&raphy .ay contribute to sewer construction coats. Other utility coats are somewhat standard: 1. ..Ud to construction cost for underaround electric service. 2 . guarantee for five ye.:1rs or front end costa for sas service. Probable zoning would be PUD which requires plun approval. This will require the developer to do so.e detailed pl.>nninc of the entire site. The follovin& are•pects of that plan that will be of concern to City Depart1. Access to entire site "xistlng dcvelopiiM!nt . 2. und physical access for pollee and fire. 3 . Buffer betwo!en existing aincle family and any new Oppodtion froa existing neighborhoods o!!cctcd by this devclopiiiCnt will aroun&J two 1. tr.>fflc &o!neratcd will burden existing trcet pAttern. 1. !1ultifa.ntly undcsirnblc in to City: All utilities except Are alreudy servicing the gcnerul area and this development would simply be If developer docs proceed 190

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Appendix G3 construct tht.: •ewer ••tt!naiona tlda w ould be: a atcp tuw.:ar d a new ••wer trunk .line i n thi• arta. When dc:ve:lo p ac:nt occur& th.1t vuuld bulld the of the trunk line north to fillcorc, the waatcw.-u.r could abandon exiatin& lift atationa reducin& long ter. Cion• and aaintcnance coats. The tr.,nslt (bua lines) systea will accu•ul"te 100rc ridership from development. A route passing is one-h31! hour and can rc;1dily handle tht: t lesa site concentration. The M.es" Drainage B:>sin hlls been established on the preaia that thh site ..,ill develop. The develop,...nt proposed will aid in completing the in An existing undeveloped park is just south of thia Mea" The development of this site as residenti"l will provide " bcnefici"l relationship to desi&nated city park land. the Hesa Linear P"rk would be extended to the N. W. alon& the drainage channel. Community vide recreation progrllas swimming and ice skating at Memorial Park will be utilized by this developmr.!nt . to City: A a.-Jjor concern is fire suppre•sion nce tbia. area is not within a three response tiae from existin& City Fire Stations. This ae"ns that soon, especially iftnore of the develops, a new fire statiOn a;>y be in the aua. proble• is The development .arc run-oif than currently being for In the City r"rk tu the south of the Titis would have to b.: t"k"n cnrc of out of City P.1rk "nd Rccr<"at!on fuuJao. lt ia llk\!ly th:at th..: st.: CCJMts wuulJ U..: incurred unyw.ly. bul liunu! •uldition"l connruction a.ay be n"edcJ after devclopAK!nt of th.: Mubj.,ct site. Althuu.:l• till• aite would not create tlee neccJ Cor acre caploycc• or in itself, it would increase the work lo"d of m;,ny city vide aueh as: 1. Street m4intenance. 2 . Fire prevention l. ZDnin& inspectora. 191

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II) tO C1l () I e I Cl> ..c: t.> Cl> tO ::> '"d I I ...:I I a 0 r-t rz. I I r;h ill ... . . . . i r:J : ! AppendiX H 1 192

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1 9 3 Appendix H-2

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Appendix I BASE MAP SERlES 1 INFILL STUDY I Fi:re I Parks 1 Community Development Block Grant Schools 1 Transit (bus) 1 Principal Streets 1 Draniage Basins 1 Electric Service 1 Wastewater Service 1 Water Service 1 Gas Service 1 Environmental Cautions 1 Police 1 City-owned Land 1 Vacant Land 194

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.. E s s A c R r , l y 0 PUBLIC WORKS DEPT 0 T ENGR. DEPT . 0 PARK DEPT 0 LAND OFFICE 0 GAS 0 WATER 0 ELECTRIC Appendix J-1 U DEVELOPMEN EtHNICAL COM Mill EE. 0 M I NOR LAND SUBDIVISIO N COM Mill EE 0 PLANNir4G DEPARTMEN T REV IEW 0 [I WASTEWATER 0 POLICE DEPT. 0 F IRE DEPT 0 NOISE 0 SCH. 0 REG. BLDG. 0 PPACG LJ(? 0 COUNTY 0 MTN BELL 0 --------------o ______________ __ o ______________ _ 0 --------------0 CPC KP 79-197: by Nolan Schriner for Park West Coapany, for approval of the Park West P lan, consistin1 of 47.8 acres, located southwest of the intersection o f Van Buren Street and Brewster Street, Zoned A-l Hillside). C STANDARD COMMENT OTHER CONCERNS: /1: A-sri.<.. P Lfi-0 1 S . t--xr.tA..JsrtJ..J o r-/)14-s..t J4.ui l/Z..q,.J/:... 8tU..J5Tl-'C. 1+-vt:J lt.....:J /1-l".uuW?I'.vT ro /ffA Ct/.<;;i;,.Jttf &{)ILL 8 ht2drKJC.tJ. tJt= r/t/71 :'1;-l\ . . JU .... COMMENTS MUST BE RECEIVED PRIOR TO 1 !I 1]/9 C I T V 0 (1',\ili 1,1(: II ' Scp 1. l 9 , l 9 7!1 .. ---........... _ 19 5

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Appendix J-2 I NFI LL l'kUJ!;CT llll'ACT ANAI.YSJ S Llep:artllleJtt : Woostew11tcr IJivisiou Proposed L:.nd Usc Project The Mes• _ Dept. llc;,d : pcunis C:af:.ro Respo11dcnt : Wcs l'lclCJcr Response Dc11dl Jnc: 12/20/79 WASTEWATER DIVISION I. II. Collection Transmission Pump in& Wastewater Treatment Non-Potble Treatment Non-Potable Distribution 1. What is the estimated flow from this proposed development? J.leasured in: &llons per day 2. Does this flow exceed the capacity of: 3 . Wastewater Collection System Wastewater Trunk/Interceptor Wastewater Treatment System Yes __ X Does the proposed project contin sites with non -potable WKter use potentials? Yes No __ 1 prk land is landscaped Capital Outlays Major Normal Additions 1. Is this proposed development within n area lready served by wastewater systeos! Yes ________ __ No ______ 2. Are there any defined major capital outlays underway or planned which will benefit the general are• of this proposed project! Yes _________ No ______ 3 . Will the proposed project required new facilities for: -Wastewater Operation/Maintenance Yes No ____ Wastewater Trunk or Interceptors Wastewater Pumping Station X x . WKstewater Treatment Non-Potable Treatoent or Dist. Other X X if de s:.;l:.r:.e::.d=-----------

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1. lm act: Collection Extensions Non-PotKble Distribution Extensions Age of System Appendix J-3 l. How near is the wastewater collection main which can serve the proposed development? adjacent to 2. Is the capacity of the existing system adequate to serve the proposed development? Yes ____________ No ____ 3. Are oversized extensions necessary to serve adjacent un serviced lands? Yes __ ____________ __ 4. Are there unique design of topographic factors which affect the cost of installation operation or maintenance of the required extensions? Yes __ ______ .No ____________ __ Only a portion of the trunk sewer necessary to serve this area has been installed to date. Additional development cannot be served through the existing system. The required trunk sewer extension (shown on the attached maps) is from the existing Monument Valley Interceptor west across Monument Creek, the railroad tracks and the interstate to Carramillo Street and Cooper Street. In addition, the developer must extend the trunk sewer northerly along the drainage channel w ith extensions into the development. Future extensions of this trunk sewer to Filmore Street will enable the Division to abandon two existing lift stations and reduce operations and maintenance expenses. 197

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To : SUBJECT : JaDU.&ry 30, 1980 CITY 01" COLORADO SP'RINGS COLORADO Wao fielder, Waotavater Diviaion Larry Kannia&, Plaaner II, Plann1n& Departaent levioed IYckllip {Infill Study) Appendix J-4 Pleaoa reviev tbia foraat vbich reflect& our diocuaa1on oa January 17, 1980. Mota that tha vord "Explain" appear• after each of queotiona 1-5. Tbio ia aoat critical in 1-3 vhere aeasureaenta of capacities and locations of iaprovemeD.U ahould be noted in the aa•• detail required to identify the correct categorica1 anaver 1,2,3, or 4 . For exaaple, in queation 11, if you answer 14 (oerv1ca and capacity available), you ahould explain: 1. Location and aize of available facility, and 2. The relationship of available capacity (Callono/day) to the deaand of the land use proposal in queotion . alao that page 2 h ao three seneral queotiono designed to stve an of other circumstances that .. y be of importance. return an7 ca.menta you .ay have on this f orma t . Thanlt you. 1..'1/b r cc: Sud Owsley, Director of Planning J.A . Scott 19 8

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I [-" ' 1"/ . ' "11:1 :;J : .,,.rJ. ;u.J.lJ: llt/Jil.):lt: lo:AST.EWATER DlVlSlO:; 1. but ho: 2. t;o .... a•rvie• ex.!sts to a1te. 3. nerded. 4. S•rvice ' available. Explain in ceasurable • 2. of clu..and axistin& systaa. Appendix J 5 l. No capacity availabla in inuorceptor or 2. iD collector. nO capacjty iD interceptor. 3. Capacity io interceptor, no capacity in collector. 4. Capacity in interceptor ' collector. xplain in ::.usurable units: 3. Oversized Extensions. Extension required for oversize 2. requ.ired for interceptor or trunk. 3. xtenaioc required for collector. 4. xtensioo required for collector. xpla1n iu cusuuble un"its: 4. Topographic Tea:ures. 1. Roush topo, bedrock, ' steep slope conditions. 2. Rou&h topo but JOod soil conditions. 3. Tairly flat but poor soi l conditions. 4. Tlat topo with ideal soil. Explaio in ousunoble units: "-"•ru cse. 1 . supply or service a vailable. 2 . a,a1lable but no supply. 3. Su:>:>ly a v ai!able but no service. 4. Supply I Service 'Exl>laJn in ceasurable units: 6 .Are any special ufacili ties antfcipa. ted to serve the site? Whare are they? ?.Does the proposed wastewater construction improve service in the surrounding area and/ or aid in reducing operations & maintenance costs? How? 8'. What does the wastewater Master Flan call for at this site? 199

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Appendix K 1 STRATEGIES FOR 111PLEHENT1NC A POLICY OF lHFILLlNC I . Develop current data and information to assist with understanding of the infill policy. A. a vacant land inventory and analysis. Identify the intensity and density of development which could realistically and economically be accomaodnted on each parcel of vacant land. B. Develop more specific information about the carrying capacity of selected elements of the infrastructure such as water, wastewater, arterials, etc. C. Develop and graphically portray information describing the community's resources and how additional growth can be guided. II. Dissemination of relative information and development of private and public edu cation programs. A . Actively share infill data with the community as a whole and, more specifically, with the participants in the land development process, i.e., development industry, neighborhood organizations, civic organizations, Land Develop ment Technical Committee, City Administration, City Planning Commission and the City Council. B. a public education program clearly outlining the infilling concept, its advantages, and what trade-offs are necessary to achieve implementation. C. Instill an understanding of and an empathy for the principles of infilling in local organizations such as the Chamber of Commerce, Board of Realtors, service clubs, etc. D. Develop a manual which graphically depicts technical design solutions as to how "buffering" can be easily achieved between different land uses. Ill. Land development process and coordination improvements. A. and implement the new infill base map aeries, the revised buckslips and the related matrix analysis total City departmental input. B. ln identified vacant "sensitive" areas, encourage and/or promote a cooperative approach to the development of a Master Plan involving the petitioner, surrounding neighbors, City technical representatives and the Planning Department. C. Encourage and/or promote pre-proposal discussion session• with potential new industries or large employers to discuss, among other things, the rationale 200

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Appendix K-2 and objectives of the co .. unity' a infill policy. The pri .. ry purpose ia to impact the decision-making process in the crucial initial atage. D. Review the current land development process and identify where and why breakdowns occur. Necessary administrative and/or legislative adJustments should be mode to eliDiinate 1 .dent1fied bo:tlenecks. IV. Fiscal Accountability A. In accordance with infill principles, reexamine the City's current annual budget and 5-year program development procedures. Parks, Public Works, Community Development, Utilities, Fire and Police should establish specific project priorities based on the most reliable data available and prepare coordinated budgets designed to systematically meet community needs. B. Increase the maintenance budgets of all elements of the physical infrastructure to insure that the currently urbanized areas remain an economic asset. V. Intergovernment'l coordination and cooperation. A. Develop an attitude of total Community Development and improve the sometimes disjointed efforts of the taxing bodies, i. e., City, County, school higher education institutions, etc. B. Continue to improve the coordination and cooperation between the City and the County. All the citizens of the metropolitan area should collectively share the dilemma of unused vacant land, other common urban development problems, and actively support measures to improve this region' s quality of life. C. Lobby for state and federally financed programs commensurate with infill objectives. (Also maintenance should be included as eligible items in existing or potential grant programs.) VI. Direct and indirect incentives. A. Actively pursue the solution of the growing parking problem in the Downtown area. Parking district? Hore City owned structures? B. Continue to support and expand the current redevelopment planning and pro aramin& efforts of the Department of Development. 2 201

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Appendix K-3 C. Reevaluate Central luaineaa Diatrict planning efforta and develop a rcviacd act of rcaliatic objective• and &uidelines to promote expanded CBD grovth and development. D. Encourage and/or promote inner city and downtown multi-family housing projacts. E. Within existing City program areaa, provide for a vide range of juatifiable capital incentive• auch as atreets, bridges, parks, improved mass transit service, drainage, street lighting, sidewalka, police protection, utility extensions, etc. F. Balance the current trend of the decentralization of commercial and induatrial development which move job and shopping opportunities further away from population concentrations. VII. Regulation and enforcement. A. Develop systematic zoning and housing code enforcement programs to strengthen the viability of existing neighborhoods. B. Promote the use of plan control zones and/or planned overlay zonea to facilitate appropriate City departments, citizen and neighborhood groups, and developers to collectively identify and specifically address the use-to-use relationship problems which can be created by mixed or different land uses. VIII. Geographic growth limitation. A. Adopt a boundary establishing outer limits of growth. Such limits should be realistically based on a combination of physical and service constraints as defined in the Urban Planning Area concept currently being developed. B . Improve the current annexation policy in accordance with the infill policy by (l) estabiishing a better relationship between annexation plats and related master plans, and (2) basing water and wastewater extensions on an analysis of benefits and costs. IX. Continued Research and Analysis. A. Research to determine the specific pros and cons of certain disincentives to discouraze sprawl. B. Examine the advantages and disadvantages of marginal cost pricing for extension of public services. 3 202

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A ppend.ix K 4 C. Analy&a tha 19110 c:anaua data to datar•ina U c:han&in& de1110araphic:a could impact the aha pe and character of the i.e., aaallar family ai&e , single heada of households, more aenior citizena, etc . D . Develop cost data to qualify and quantify cost versua revenue of extending the infraatructure, the feaa1bility of retro-fitting over capacited utility lines, air pollution and traffic t rade-offa with more compact development, etc. E. Determine if the FISCAM developed by a consultant from El Paao County can be of asaistance to the City' • decision making proceaa . F. Determine if the unusually high ratios of commercial and industrial used land to commercial and industrial zoned land affects the infill policy. C. Explore the possibility of the City assembling land for development by private enterprise. H. Explore the possibility of tax incentives as a measure to encourage vacant land development. 2 0 3