The Greenberg reading talks about the five Ts of policy: themes, theories, tales, tools, and tasks. How do these themes help stakeholders to explain a policy problem?? Your discussion sta

Environmental Policy Analysis and Practice

M ICHAEL R, GREENBERC

@ RUTCERS UNIVERSITY PRESS

NEW BRUNSWICK, NEW IERSEY, AND LONDON

xlt PR€FACE

There have been rnany more bumps and bruises over thc past 40 years, and once in a while I have even earned a gold star. I have worked on loca.lly unwanted land uses such as nuclear power plants, incinerators, and dams; on cleaning up chemical or nuclear lveapons facilities and Superfund and brownfield sites; on sprawl; on environmental asthma and cancer; and on a variety oI other environ- mental policy subjects, These projects have replaced my fantasies about hoypol- icy is forrned with the reality of how and why decisions are made. Nowl ca[ laugh at my naivet6, but then I vras horrilied at the idea that good science was nol the dom{nant consideration. I }earned that good science was necessary for good pol-

icy but did not guarant€e it; lhat as much as I would like to, I could not start every policy analysis rith ecological and humsn health as the first consideration; and that I must consider six criteria for each policy option:

I The )ikely reaction of elected gover[ment officials alld their slafJs

2. The likely reactions from the public and special interests, including not-for- profit organizatioos, business, and the media

3. Human and ecological health 4, Short- and long-term economic cost€ and benefits 5. The moral imperalive 6 Flexibility and time pressure

I have used these slt Iactors as a policy framevork to assist governors, sena.

tors, and other elected officials; to talk vith reporters; to lecture in various countries; and to teach at Columbia and Rutgers Universiiies. Whatever Lhe pol- icy is$ue, I write down and assess every argument, pro and con, for every option, For example, suppose the issue involycs rcducing the risk from lcft-over chemicai weapohs: Options include destroying by incineration, destroying by hydrolysis or another similar melhod, packing and shipping to Bnother location, and a Iew others, Each of these options has advalltages Bnd disadvantsges. (no$ring them and evaluating them allows me to compare rvhat ye already knoy with what we

need to kno$' and to be assured that I have not missed a key poticy driver. That exercise has almostalrvays lcd to a more in{ormed decision for me and sometime$ for dccision makers and their slafl

I am nol going to assert that using the six criterja as a framcwork will provide a comprehensive understanding of every policy option, although it vill certainly lead to a more complete viev of the advantages and disadv0ntages of those options. Nor will I claim that policy makers t'ill be impreosed by all this jnforme-

tion. In fact, the amoult of information I haye provided about multiple options 8nd multiple criteria has led some recipients to assert that I am confusing the decision-making process by obfuscatjng the key variables with a barrage of dats. I disagree because I have too often observed that decision mal(ers have a tendency to jump on one or hvo ddyers betore due diligence has been give[ to all the poten- Lial key factors. I am convinced that too oftenwhat decision mal<ers consider to be the critical cfiteda are noti their perceptions are too sltort-sighled, and they

ignore impor the credible i

When yo standing o{ rt in the United decadg, s61116

nuclear an<l r

lot age mnch bul rather to and tools will emerge. I YOU

of the most (

asked some v,

Ihave bet

some new ins

colleagues, I h

college studer policy procesr

people to env environmenlF

PREFACE

the past 40 years, 8nd

rd on locally unwanted dams; on cleaning up

d brownfreld siles; on riety of other environ-

.rtasies about horv pol-

made. Now I can laugh

)d science was not the

lecessary lor good pol-

I could not starl every

rst consideration; and

iheir staffs

rsls, including not-for'

rssist governors, sena-

to lecture in va ous

ies. Whatever the pol-

con, for every option, -om left-oYer chemical slroying by hydrolysis Ler location, qnd a few

rtages. I(nowing them ly knov vith whai ve (ey policy driver. That Ior me and sometimes

ramework vill provjde

hough it will certuinly

issdvanfages of those

ed by ali this lnforma- bout multiple options al I am confusing the ,vith a barrage of data.

Lalers have a tendency glven lo ail the poten-

makers consider to be

rort-sigbted, and they

ignore important elfects that they should have considered, So I try to provide all

the credible information possible, even if it is resisted,

when you have nnjshed this book, I hope that you will have a better under-

standing ofthe lactors lhat have driven some key environmental health decjsions

in tbe United states, Horvever, it is important fo rern€mber that issues age, Irr a

decade, some of these issues rill no Ionger be considered impo ant, although

nuclear and chemical rveapons, nuclear power, and envirollmenlal cancer wi]l not age much. I would like you nol to dwell too much on the policies [hemselves,

but rather to recognizc that odopting lhe framework and learnlDg key theories

and tools will place you in a good position to respond to the new policy issues that

emerge, I would also iike to share the excitement of this field by describing some

of the most challenging environmental policy decisions we have faced l have

asked some very k-nowledgeable people to help me talk about these subjecls.

I have been writing articles for my peers lor decades, and I hope theyvill find

some new insights jn this book. But olthough it profiles the work of some great

colleagues, I have not w;itten this book for my peers, lt is intended for upper-level

college students and griduate students lvho are interesLed jn Lhe environrnental policy process. I yant ihis book to hclp ettract ambitious and telent€d young

people lo environmental policy as a career. Bumps and bruises aside, Horking on

environn]enlal policy is challenging and rewarding.

Introduction

A Qujck Walk through a Framework of Six Environmental Policy Critelia

II usually begin my senior-level course on protecting public health and the envi- roDrnent with the following stetementi 'Think of an environmeittal policy prob- lem that you are really worried aboul, Lhat distracts you (maybe keeps you up at nighl), that you talk about with your family and friends, and that probably broughtyou to thjs course." After a minute, they tell me what these problems are, and I w te th€m on the board, Then I ask, "tvhy havet]'t we fixed these prob- lerns?" Some students seem surprised by the queslion, and they aim quizzical looks at me, I can feel them asking themselves, "lf he's the expert, why is he ask- ing us?"

I start the course this way because even the youngest students }uve already learned a lot aboutwhywe have not fixed the environmental health problemE that they fear the most, Most of thcm have leamed ftom tales, but some have ground- ing in theories and lools too, 'lhis introduction describes the Hay themes, tales, theories, tools, and taslcs (the five T's) are used in this book to iiluminate the six policy criteria, the organization of the volume, and the objectives of each chapter, as yell as somc of the methods I have used to teach environmental policy,

Themes, Tales, Theories, 'Iools, and Taslc

These are my equivalent of the three R's, Themes are the policy sulljects, such as

indoor air quality, the use of pesticides on crops, cltildren's exposure to lead, the stockpile of chemical ysrfare agentr, and nuclear power. My teaching of these subjects has led me to use several out-of-the-ordinary teaching devices, First, I do not provide an absolute anslver to policy questioDs. 'Ihat js, I do not say thsi gov- ernment should do this or that. Instead, I provide clues, and, more specifically, i steer studenls into weig}ing the advantages and disadvattages of different decjsions. There are tables in chapters r through 6 thatpull together these advan- tages and disadvantages, Then I organize tasks that require students to debate

ENVTRONMENTAL pOLtCy ANAtystS AND pRACItCE

policy options. I also quote aIId paraphrase the yiews of people with whom maDy scientists, myseu included, disegree, I do this because elected officials and their staffs do not readily dismiss the odd, unconventional opinion; they may cling to it because it fits their predilections, Like it or not, the policy process makes room lor the unconventional.

Tales are stories told about policies orally and in articles, boolc, newspapers, magszines, governmenl documents, and the so-called gray literature. Like almost everyone else, I derived my first lessons about the environment from listening to tales. lt is not by chance thal a lot of my work is directly reiated to vivid memo- ries, Although this book is not a walking tour of my life and feelings, a personal example Isill mske the point about the importance of tales. When I \,as a chjld living in Netv York City, my father impressed me as a fastidious person. It seemed fo me that he rvas allays ciean shaven and well dressed, and he smelled of cologne. So I was shocked when my father and my grandlather told me about a drought $o severe that New York City had shaveless and bath)e6s day6. I could not imagine my {ather smelly and unshaven, I went to tlle library and found the actual New York TiDres stories of the drought, includjng photos oJ men rr'ho had noL shaved. The point js that the tale my father and grandfather told me made such an impression that I lvas primed to try to do something about our poor po! icy response to drought when the opportunity arose, In class, I go through the exercise ol aslting mystudents to share vivid environmental health tales with me, lveryone, I'm cerlain, has some to share,

My students' interest ysnes lvhen I get stingy and do not tell elough tales to prime theme discussions. For example, I remember trying to describe the laws and treaties dgreed to by the U.S. governmen[ on the destruction of its chemical $'eapons stockpile. The sludents were some\'hat interested – but only some- what, Their curiosity increased exponentially when I described how I.,as required to demonstrate that I could u6e a gas mask and then hqd to take the gas mask and three syringes cith me before I .!vas allowed to walk into a shed thal held chemical rvcapons.

Using tales requires being personal, sometimes using colloquial language, or as one colleague said, being 'folksy," This book contains a lot of personal sto es told by my colleaglres and me, Because I alrl from lhe Nol.theast, the tales are dis- proportionately ftom the Northeast. But the themes, such as brorvnflelds, nuclear polver, automobile udditives, pesticidcs, genetically modified organisms, and others are national jn scope, and all of them have international equivalenLs.

Tales prime students'interest and are great teaching tools. Moreover, they give rise to nuanced insjghts. But tales typically lack generalizability. Theodes are Iormed vhen a person takes disconnected tales, readings, nreetings, and conver- sations and ultirnately shapes what he or she has learned from them into gener- alizable expectations. I cannot describe all of the fascinating theories I bave read or heard about environmental policy, but chapters r to 6 include discusslons oJ key theories. Each chapter locuses on one theory lvhose standing is assessed by

2

me and also by ote their work. Ther€ at on eneironmentol l theories as well.

My ovn theory have more in comlr al issues over time t

rclcvant to today,s – An Unnatural Metrol The Brrll(lozer ih 1

Eneironmentqlisn (2

Rdce, dnd Indxslriol l the impact of Hurri( tal justice, respectil United States: An En

Path: The Automobj

Smokestacfts ondJ)rog

1B8J-i95r (r999), arc

All of t)rese boc vhere and when the Envirorotlelntal Histol Efruent Anerica: Ciri

say a good deal abc

spec[ives and capjt elected o{flcials and

The literature also t:

inlormation gatekoe

times influence poli( periodically been !m

lrom these histories thc six policy criterir

The proto,cols, I test the generalizabi

tion of policy option

ment, environmente economic impact m(

aDalyses.

Lastly, Iam a fir nlertal policy tequitt understanding is io e

never grasp a theory always created tasks

eith some suggested

) PRACTICE TN IRODUCTTON l

pcop.lc lYith whom many lected officiels and their )inion; they may cling to rlicy process makes room

.cles, bools, newspapers,

ay literature, Like almost )nment from listening to '/ related to vivid memo- alld feelings, q personal

ales, When I was a child idious person. It seemed rsed, aad he smelled of Clather told me about a

)athless days. I could not : library and Jound the photos oI men who bad rndlather told me made ring about our poor pol- i class, I go through the tal health tales with me.

r not tell enough tales to ng to describe lhe laws itruction ol its chemical rsted – but only some-

described how I was ;hen had to take the gas

o wa)k into a shed lhat

I colloqujal language, or a lot of personal stories rheast, Lhe tales are dis- as brownfields, nuclear rdif,ed organlsms, and )lionai equivalents, g tools. I{oreover, thcy alizability. Theories are

, meetings, and conver- i from them into gener-

rng theories I have read ; include discussions oi standing is assessed by

me and also by one or more experts lvho have been involved with the theory in theirwork, There are msny more than six important theories that have a bearing on environmental health poiicy, so the chqpters briefly discuss some olher key theories as well.

My or'n theory-bujlding journey and view of environmental policy probably have more in comrno[ vith historiaDs or other socia] scientists who have lookeci al issues over time than with any other discipline. Some h istory books are dlrecfly relevalt to today'6 – as well asyesterday's – environmental issues. craig colten's An Unnatural Metropolis: Wrestitg Nev Orleqns Jrom Natute (2oo5). Adam Rome's The Eulldozq in the Countrside: Suburban sprarel and the Rise of Americat Envirotlmentalisnt (roor), and Andrew Hurley's EnyirollJnentql Inequalities: class, Rqce, and Industr[el Pollution in Garg, Irtdiana, n4|-1ggo (1995) speak diTectly to the impact of Hurricane IGtrina, sprawl as a national concern, and enyironmen- tal ju6tice, respectively. Others, such as John cumbler's No heast and Midwest United Stotesi Ari Environmetiol Historll (2oo5), Clay lvlcshone,$ Doten the Aslholt Path: The Autonlobile and the American Citg G994), and David Stradling'$ Smolestacks an I Progressiyes: ,Enyironm sn lciis ts, Engileerc, and Air eualitlj in Alnerica, r88r-i9s1 (r999), qre more expansive in space or time.

All of these bool(s are full of tales and theories about why policies emerged vhere and when they did, My favoritcs are Joel Tarr's Devastd tion a d Renewal: An Envlrontnental Flistory oJ pittsbutgll and lts Region (2oo3) and Martin Melosi's EffIuent Anrctica: Cities, Industrl, hrcrl, a]l.d the Envfto nlent (2oor), These books say a good deal about l.he struggle betlveelr public health/environmentql per- spectives and capitai's relentless need to grow, and the inconsistent role oi electeA oflicials and their staffs in protecting public health and the environment, The literature also provides an idea of the complicated role of the media as an irrformation gatekeeper, a discussion oI ethical imperahycs 8nd holy they 6ome- times influence policy, and an idea of how time and the desire to be flexible have periodically been important policy drivers. There are many lessons to be learned from thc6c histories, Ilistorians may not come out snd state the importance of the si policy criteria, buL they are embedded in these books.

The protocols, processes, and quantitaiive and qualitative methods used to lest the generalizability of proposed theories are the tools that allow t)re evalue- tion of policy options. Tbis book wil) present a 6et oJ tools, such as risk as6ess"

ment, environmental impact an€lysis, illtewiewing, content onalysis, regional economic impact modeling, optimization modeling, checldists, and cost/benefit analyses.

Lastly, I am a firm believer in doing. A deep understanding of an environ- mental policy requires a knowledge of the five T's. The best way to achievc a dcep understanding ls to en6age in a taskthat causes you to interactvith them. I could never grasp a tlteory or tool or recommend a pojicy unless Iworked with lt, I have always created tasks for myself and for my students, Hence, each chapter ends 'qith 6ome suggested tasks,

4 ENVIRONMENTAL POLICY ANALYSIS AND PRACTlCE

The Organization of the Book

The book js divid€d into hvo parfs. Psrt r ha6 six chapt€rsi each is devoted to one oI the six policy criterie that together consiitute the {rameeork, Every chapter in part r has four sections. The first section begins $'ith a theme that illusuates the particular criterion, For example, chapter r uses brownlield redevelopment policy to illustrate the critical role of local elected olncials and their staffs in the devel- opment srrd implementation of environmeDtal policy. Each theme section has heo features, One highlights hov that particular theme is interconnected with other policy themes. So, for examp.le, chapter I highlights the relationship belween the broenflelds program, smalt growth, and Superfund The theme sec- lions conclude vith synopses of key pro and con attributcs organized according to the six policy criteria.

for instance, a positive human and ecological health attribute of the brown- fields program i$ thal remediation and redevelopmenl rcduce the potential expo- sure to residual conlaminsnls. A possible disadvantage js that the policy could engender a backlash from pubiic health practitioners and the public itself if remediation is not done properly, or is not maintajned, and people are exposed, In other yords, these synopses represent ny back-and-forlh srestling rith all six sets of criteria tirat could substantially influence the policy. I have written com- plete – but tedious – policy analyses. Rather than presenting them in fu)1, I dis- play them in tables as bulleted points. Typically, these points are rhat dccision makers read, and sometimes they then ask questions and demand more details. In other words, before focusing on one policy criterion (the reaction of elected olhcials and their staffs in chapter r), these synopses summarize all six hey policy criteria operatjng on the theme,

The framewotk presented here and expressed most clearly by the tables of bulleted points in chapters r through 6 is summarizcd by table r. A policy issue is identifled along }vith optjons for addressing it. The slx policy cliteria are used to evaluate the options, In tur[, each of the six criteda is ossessed using themes, theories, tales, tools, and tasks, These evaluations are captured as the advantages and disadvantage6 ot each policy option Jor each criterion. Then an overall assess- ment is made and used to inform tlle policy decision, Somelimes lt is possible to irltegrate across ihe six criteria and arrivc at a ranking or general ordering ol poli- ci€s lnto excellent, good, fair, or poor options, Holvever, tlte policy makers I have dealt vith rarely want me to assign wejghts to each of the slx poliry criteria. Chapter 8 describes how we could aggregate and weigb different crite a.

The second part oI each oJ the ffrst six chapters de$cribes a key theoreticai question that links the theme oI the chapter and the policy criterlon. For instance, chapter r focuses onregime, regulation, and sustainability Ureories as lrameworks to undcrstand mayors' implementatioD ofbrown_deld policies, In the third section of chapters r througll 6, I u6e a tale to illustrate the application oi the policy crite- ria, In chapterr, for example, three mayors rvho are considered national leaders in developing and implementjng brownfield policies talk about corditions in thejr

Fr

IdertifginE thc polic!

Step r: Assess the ol

r The reaction of r The reaction ol

the media, and I

r Health atrd ecol,

r Economic consii

r Moral imperati!

I Time and flexibi

Step 2r Moke sure tl criterion for each c

r Themes

! Theories

! Tales

r lbols

r Tasks

Step 3i Summarize t

r Prepare a list of each option.

r Prepare a longer

I ll appropriate aI

step 4r Reconsider t

tovns, The goal is lo r

officials and staffs) ! each chapter brieflY )

have used to help un

Part 2 of the boo

icy anolysis. The two

qualitative and qlar illustrates them vith

senied in chapters I i

The tools chapte

becarEe some tools

PRACTICE

i; each is devoted to one ework Every chapter in .eme that illustrates the d redevelopment policy :heir sfafls in the devel :ach theme sectioq has

is intetconnected with tights the relationship ,erfund. The theme sec-

.es organized accordirg

aftribute of the brown- uce the potential expo- s that the policy could ud the public itsell iI rld people are exposed.

lh rwestling \,lth all six cy. I have written com- ting them in tull, I dis- )ints are what declsion dcmand more details.

the reaction oI elected

narize all six key policy

rlearly by the tables ol ablc r, A policy is$ue js

icy criteria are used to ssessed using themes,

rred as lhe advantages

Ihen an overail ossess-

-.times it is possible to :neral ordering of poli- e policy makers I have

he si policy cdteria. irent criteriq, -ibes a key theoretical rriterion. For instance, heories as frametvorks .$, In the third section ion of the policy crite- ed national leaders in ut condllions in their

INTROD{.]CTION

towns, The goal is to shorv horv the specific policy criterion (the reaction ofel€cted ofiicials and staffs) rvas critical in the decision-making process, The last parl of each chapter bliefly poinfs to tools in chapters Z and B and descdbes a task that I have used to help ullderstand the policy criterion and bheme.

Part z oJ the book describes a set oJ over 20 tools that ere widely used irl pol- icy analysis. The fieo tools chepters blend together protocols and processes and qualitative and quantitative tools, Each chapter describes the tools and then illustrates them with examples drarvn fron the themes, tales, and theories pre- sented in chapters r through 6 as well as se.lected other$,

The tools chapters sre separated from the themes, tales, qnd theory chapters because some tools are used in many stages oJ policy analysi$. For example,

TABLE ]

Framework Jor policy analysis and prtrctice

Ide tiflingthe policlJ issue dndpiaxsibie oltiorrs

Sfep I: Assess the options using the $ix criteria,

r The reaction ofelected officials and their staff

: The reaction of nongovernment interests, such ss not-Iot-profits, businesses, the media, and the public

t Health and ecological implications

r Economicconsiderations

r Moral imperatives

r time and flexibility consideraliolls

Step 2: Moke sure lhat you b ng the five T's to bear to examine each policy cdte on for each option.

1'hemes

Theorie6

Tales

Tools

Tasks

Step,3r Summarize the rcsults of steps r and 2.

I Prepare a lisl. of the key advantages a[d disadvantages and unccrtainties of each optlon.

r Prepare a longer report providing $upport tor the list,

r If oppropriate and possible, prepare a summary integratibg lhe assessment

Stcp 4: Reconslder the policy issue DDd options jn llght of the analysis

6 ENVIRONMENTAL POLICY ANALYSIS AND PRACTICE

content analysis is widely used not only to study the actions of elected oJficjals,

but slso to examine media reporling and the minutes ol public meetings,

Assignirg content analysis to the elected official/sta{f chapler rather than the

public/special jnterest or ethics chapter would have been arbitrary. Hence, it js

descdbed in a chapter that focuses on understanding individuals and groups.

The intelt is to intrcduce the tools so that reade$ Nill understaad why they are

used; jt is not to provide advanced training. ln other words, you vill not bccome

en expert after reading chapters 7 and 8, although I hope that they whet your

appetite to learn more. References to papers and books with advanced examples

are provided, Most oI these tools are more quicKy and effectively learned in thc

classroorr context, however, Illany of the analyses presented in this book involved advanced multivariate

statistics. Those analyses are sumtnarized in rvords, not equations. I assumc that

readers are familiar rvith measures of central tendency dispersion and the ideas

oI association (correlation) among characteristics.

Chapter contents

The nrst chapter is abouL fhe ceDtral role played by elected otficials and their

staffs. The illustralion is the brorvnfleld remediatjon program in the United

states, Born out of lhe superfulrd cleanup, the progmm has been a major priority

for urban mayors and many other local elected officials. The theoretical focus of

the cbapter is on sharply dilferenl views oI urban redeveloprnent. Historically,

the economic nceds of capital were emphasized, vhich meant that entire areas

rvere bulldozed and rebuilt. More recently, theories of environmentally, econom-

ically, and socially sustainable developmenl have cballenged this perspective,

adding the needs of public health, environmental protcction, snd community

needs to pccuniary interests. J, christian Eolhvage, Dougl06 Palmer, and Joseph

Vas, the mayors of three rnedium-sized cjties, explain how political coalitions in

support of brownfie)d redevelopment have come together during a period lvhen

the nalion was hemorrhaging rnanufacturing jobs, vhen other federal programs

to support urban areas were reduccd, and rvhen suburban mayors wantcd to

reduce the pressure to develop their green space,

chapter 2 examlues the role ofnongovernment stakeholders, including busi'

nesse$, nol-for-profit organizations, the media, universities, the National

Academies, labor, and lhe public. I u$e environmental cancer as a case study to

illustrate how journolists use their 6ources to directlyor indirectb jnfluence envi-

ronmental policy, I ask, What is cancer? lnvironmental cancer? A cancer cluster?

How big is the environmental cancer problem? After enswering thesc questions,

I reviee the critical role of iournalists as gatekeepers for inlormation about

cancer and every other health and ecological problem. The theory section

exarhines what a nervsworthy story is, Is itpublic health importance or is it some'

thing else?

I enlisted th mental cancer in Johnson Medical vierved by journa

the detection ol Dr. Arthur Uptor (Nct), yas inrerv \,ork with goverr ers during an exc

on thc media as

These are review media coverage c

focusing on

icy conundrum t

What gasoline ar

decades, there ha

ether), methanol

these policy chat

nel public heald tory of this polic)

sdditiv

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