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Institutional barriers to sustainability : a case study of transportation planning in Vancouver, British… Curry, John Allan 1995

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INSTITUTIONAL BARRIERS TO SUSTAINABILITY A Case Study of Transportation Planning in Vancouver, British Columbia by JOHN ALLAN CURRY B.Sc., McGill University, 1974 M.A., University of Waterloo, 1979 A THESIS SUBMITFED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF DOCTOR OF PHILOSOPHY in THE FACULTY OF GRADUATE STUDIES (School of Community and Regional Planning) We accept this thesis as conforming to the required standard  THE UNIVERSITY OF BRITISH COLUMBIA June 1995 °  John Allan Curry, 1995  In presenting this thesis in  partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written  permission.  Department of  School of Community & Regional Planning  The University of British Columbia Vancouver, Canada Date  DE-6 (2188)  June 30,  1995  ABSTRACT Significant changes must occur in human interaction with the natural environment if the world is to move towards a state of sustainability. While the need for such change is widely recognized, planning in many sectors continues to lead to development that is unsustainable. Urban transportation planning is one such sector. Little attention has been given by sustainability-oriented researchers to the problem of resistance to change. Conversely, little attention has been given by organizational change theorists to local government planning organizations’ indifference to the sustainability imperative. As a consequence, while a great deal of research has examined the need to control the automobile in urban areas, little has been written about why such control still does not happen  --  even when policies call for it.  Vancouver, British Columbia is recognized for its progressive attempts to move towards sustainability. This progressive situation creates an environment in which barriers impeding change towards sustainabiity can be studied. While Vancouver’s municipal and regional policies explicitly call for a reversal in priorities which have traditionally favoured automobiles over transit, bicycles and pedestrians, operational decisions still favour the automobile.  Most significantly, roads continue to be widened and new  expressways are built to accommodate more automobile traffic. A qualitative case study approach was used to inquire into transportation planning in Vancouver. An analysis of documents and of interviews with key informants suggests  11  that a system of institutional barriers exists which has structural, cultural, and human resource dimensions. Unsustainability is a function of organizational inertia which is not only supported by, but also takes advantage of and fosters, the wider political individualistic culture. Specifically, there are several reasons for the disjunction between Vancouver’s transportation policies and the decisions which are being made in transportation infrastructure development: an institutional structure which separates land-use and transportation planning, impedes comprehensive decision-making, and lacks mechanisms to publicize and assess cumulative environmental impacts; the existence of an organizational culture which seems to condone the use of subversive tactics to promote an informal transportation plan which perpetuates traditional, automobile-oriented values, beliefs and assumptions; and the lack of conceptual knowledge and skills necessary for organizational change to occur. The practical implications of these findings are that, in cases like Vancouver’s, sustainability can be fostered by three categories of mutually reinforcing actions: education, structural change, and planning practice. The actions in each category can build momentum towards second-order change using a social learning process to overcome societal values, beliefs and assumptions which promote an automobile-dominated transportation system.  111  TABLE OF CONTENTS Abstract Table of Contents List of Tables List of Figures Acknowledgement CHAPTER ONE. 1.1 1.2 1.3  2.4 2.5 2.6 2.7  INTRODUCTION  Overview Purpose of Research Dissertation Outline  CHAPTER TWO. 2.1 2.2 2.3  ii iv vii ix x  1 2 6  THE SUSTAINABILITY CHALLENGE  Introduction Sustainability Placed on the Agenda The Role of the Automobile in Post-Industrial Society Concepts of Sustainable Development Theories of Organizational Change Planning Theory Change Processes Towards Sustainability  9 9 21 37 40 67 74  CHAPTER THREE. RESEARCH DESIGN 3.1 3.2 3.3 3.4 3.5 3.6 3.7 3.8  Introduction Development of Conceptual Framework Research Focus (Site, Substantive Issue, and Time Frame) Research Question and Subsidiary Questions Rationale for Selection of Research Methodology Data Collection Methodological Design Data Analysis Methodological Design Validity and Reliability  iv  86 87 89 90 91 93 102 103  CHAPTER FOUR. 4.1 4.2 4.3 4.4 4.5  Introduction Geography, Economy and Population Ecological Degradation and Environmental Attitudes Organization of the Transportation System Financial Investment in the Regional Transportation System  CHAPTER FIVE. 5.1 5.2 5.3 5.4  105 105 108 112 117  CASE STUDY FINDINGS  Introduction In-Depth Interviews with Key Informants Illustrative Cases Summary  CHAPTER SIX. 6.1 6.2 6.3 6.4 6.5  CHARACTERISTICS OF VANCOUVER  125 126 205 237  BARRIERS TO CHANGE  Introduction Barriers at the Input Stage Barriers at the Planning System Stage Barriers at the Output Stage Summary  239 240 246 260 262  CHAPTER SEVEN. CASE STUDY IMPLICATIONS 7.1 7.2 7.3 7.4 7.5 7.6  Introduction Implications for Action Implications for Organizational Change Theory Implications for Future Research Concluding Comments Limitations of the Case Study  BIBLIOGRAPHY  264 264 272 275 282 286 290  v  APPENDICES A. B. C. D. E. F. G. H. I. J. K.  311  Characteristics of the Industrial Development Paradigm and the New Ecological Paradigm Concepts of Community Sustainability Summary of Principles of Community Sustainability Ecologically Sustainable Urban Transportation Systems Strengths and Weaknesses of In-Depth Interviewing Initial Letter of Contact Interview Protocol Coding Manuals A and B Forces Promoting the Shift from Automobiles to Other Modes of Transportation Correspondence Pertaining to the Freedom of Information and Protection of Privacy Act Hermeneutic Dialectic Research Process  vi  320 314 332 334 343 344 345 347 350 368 381  LIST OF TABLES Table 2.1 Table 2.2 Table 2.3  Table 2.10 Table 2.11  World Population Regional and World Grain Production The Deteriorating Financial Position of Developing Countries Key Indicators of Ecosphere Degradation Urban Passenger Transport by Mode in Selected Countries Urban Densities and Commuting Choices in Selected Cities Energy Intensity of Urban Transport Modes, United States Pollution Emitted from Typical Work Commutes, United States Examples of Automobile Management Measures and the Results Examples of Alternatives to the Automobile A Possible Map of the Sustainability Transition  Table 3.1  Methods to Improve Validity and Reliability  Table 4.1  Population Trends in the Vancouver Census Metropolitan Area Commuting Modes and Length of Commute for Selected Canadian Cities Attitudes of Greater Vancouver Residents Towards Selected Environmental and Transportation Issues Capital Expenditure for Transportation Infrastructure, Greater Vancouver Maintenance and Operations Expenditure for Transportation Infrastructure, Greater Vancouver Transportation Revenues and Expenditures in Greater Vancouver for Roads Transportation Revenues and Expenditures in Greater Vancouver for BC Transit  Table 2.4 Table 2.5 Table 2.6 Table 2.7 Table 2.8 Table 2.9  Table 4.2 Table 4.3 Table 4.4 Table 4.5 Table 4.6 Table 4.7  vii  13 14 16 18 25 26 27 28 34 35 80 104  107 109 110 118 119 121 123  Table Table Table Table  5.1 5.2 5.3 5.4  Characteristics of Interview Participants Forces Hindering Change First Order Forces Hindering Change Second Order Allocation of Expenditures for Automobile and Other Transportation Modes Operating Budget Allocation of Expenditures for Automobile and Other Transportation Modes Capital Expenditures Allocation of Proposed Expenditures for Automobile and Other Transportation Modes Capital Plan -  -  -  Table 5.5  -  Table 5.6  -  Table 6.1 Table 6.2  Table 7.1  Barriers Identified in City of Vancouver Planning Process Tactics Used to Impede Change within the City of Vancouver Transportation Planning System Suggestions for Future Research  viii  129 139 171 209 211 212  240 253 276  LIST OF FIGURES Figure 2.1 Figure 2.2 Figure 2.3 Figure 2.4 Figure 2.5 Figure 2.6  System Change Cycle Cultural Change Cycle The Coping Cycle During Change! Transformation Anthropocentric Human-Natural Environment Relationship Biocentric Human-Natural Environment Relationship Change Process from an Anthropocentric to a Biocentric Worldview  Figure 3.1 Figure 3.2  Theoretical Planning Change Process Model Data Collection Process  Figure 4.1  Administrative Boundaries in the Vancouver Region Planning Structure and Agency Relationships Lower Mainland Regional Districts  Figure 4.2 Figure 4.3 Figure 5.1 Figure 5.2 Figure 5.3  53 54 57 74 75 76 88 94 106 113 116  Illustrative Segment of Map YB 58, Primary and Secondary Arterials and Proposed Connectors, City of Vancouver Illustrative Segment of Map L. 415, Building Line Map, City of Vancouver Proposed Option for Burrard Bridge Hornby Connector, City of Vancouver  225 227  -  ix  231  ACKNOWLEDGEMENT The following people were very supportive during the time this dissertation was being prepared. My advisor, Professor Peter Boothroyd, provided excellent guidance throughout the process and particularly during the conceptualization stage of the dissertation. My committee members, Tom Hutton, Penny Gurstein, and Mark Roseland, contributed excellent feedback during the development of the prospectus and during the final revision stages of writing. Garry Gram gave thoughful input into the methods chapter. My wife Gail provided immense personal support and assisted in the final edit of this document. Our children, Rosalynd, Deborah, and Sean, were very understanding of their father’s need for quiet time during the past four years of university life. A special thank you is extended to Heather Ross whose editing assistance during fmal draft preparation helped improve clarity. Staff at the UBC Centre for Human Settlements provided a friendly and supportive environment in which to research and write this dissertation. I would like to thank Elizabeth Zook, June Kawaguchi, Karen Zeller, Karen MacLeod, Jeanne Elworthy, Sandra Balla, and Jennifer Kho for their assistance. Finally, I would like to thank a great number of students at the School of Community and Regional Planning, University of British Columbia for their thoughts and insights about better ways to carry out the practice of community planning. Priscilla Boucher and Mozaffar Sarrafi were instrumental in acting as sounding boards during crucial stages of the research.  x  CHAPTER ONE  -  INTRODUCTION  “If you look at the current growth patterns, what we’re seeing is becoming a more and more auto-dependent region and that’s totally contrary to our stated goals which [are] to preserve our green space, to improve our air quality, to utilize transit more as a tool and to become more transit-dependent. Certainly the way we’re going right now is just the opposite of that. With the depend ence on the automobile there comes more demand for bigger roads, more freeways, bridges .“(15-100-11O) ..  Case Study Participant, 1994 1.1  -  Overview Industrialism and the accompanying process of change have caused two critical  problems: the explosion of human population in poor nations and the high level of consumption of resources by rich nations. The systemic worldwide environmental degradation which both problems are contributing to has been documented since Rachel Carson’s call for action in 1962 (Carson 1962).  Over this same time period, there have been numerous  forecasts of impending environmental collapse.’ Yet, judging from the action taken, the vast majority of humans, including our influential leaders, still pay only cursory attention to this information and continue to promote unsustainable practices. The majority of humans appear to be ignoring the vital signs of impending destruction of the natural life support systems upon which we depend for survival. This may be due to the unprecedented growth in economic prosperity in the developed world (particularly during See, for example, Barney 1980, Boolcchin 1980, Club of Rome 1972, Dag Hammarskjold Foundation 1975, Daly 1973, Daly & Cobb 1989, International Union for Conservation of Nature and Natural Resources 1984, Meadows et a!. 1992, Ward & Dubos 1972, World Bank 1992, World Commission on Environment and Development, 1987. 1  1  the past half century) brought about by technological innovation and capital investment. 2 Residents of the wealthy nations simpiy do not want to change their lifestyle.  1.2 Purpose of Research -  The purpose of this research is to contribute to knowledge which examines why, despite signs of severe ecological degradation, humankind is not talcing strong actions towards sustainability. There is a large body of research which documents ecological degradation and which describes both the concepts of sustainability and elements of a sustainable society.  In  addition, a great deal of research has examined the change process and barriers to that 3 When this study was initiated, the researcher process within organizations and institutions. could not fmd any studies which examined barriers to change impeding a movement towards sustainability. It was felt that such a study would assist in understanding the process of moving from the current resource consumptive woridview to a sustainable woridview.  For example, Canada has experienced substantial economic growth in this century particularly in the three decades which followed the beginning of the Second World War. The percent economic growth experienced during the decades spanning 1920-1990 are as follows: 1920-30 12 percent, 1930-40 10 percent, 1940-50 34 percent, 1950-60 43 37 percent, 1970-80 2 percent (Canada. percent, 1960-70 9 percent, and 1980-90 1993b. Canadian Economic Observer). Since 1970, economic growth has slowed dramatically. This may mean that the upper limits of natural resource exploitation have been reached. 2  --  --  --  --  --  --  --  --  A much smaller body of research examines change processes and barriers to change at a community level. Refer, for example, to Kettner et al. 1985 and Netting et al. 1993. 2  To focus the research effort, it was decided to study the case of transportation planning in Vancouver. Of the various components of community planning, transportation planning was selected because, in terms of potential change towards sustainability, transportation is arguably the most significant unsustainable component of our present cities. In their study of the carrying capacity of communities, Wackernagel et al. (1993) divided the consumption of resources into five categories: food, housing, transportation, consumer goods, and embodied resources in services received. Although food consumption was the largest component of a community’s ecological footprint, these researchers concluded that transportation is the one component where the greatest gains (measured in net resource consumption reduction) towards sustainability can be achieved. Other studies have stressed the importance of transportation as the major sustainability issue. 4 The least efficient mode of transportation, but the greatest consumer of resources, was identified as the automo bile (refer to Chapter Two, Section 2.3). Moving towards an urban transportation system which is less dominated by the automobile is perceived as one method to assist human settlements to shift from an anthropocentic form of development (human-centred) to a biocentric form of development (nature-centred).  For the purposes of this dissertation, biocentricism can be defined as  development (excluding significant future growth) which focuses on the maintenance and  See, for example, Association of County Councils 1991, Engwicht 1993, Goodland et al. 1993, Lowe 1992, Renner 1989, Transportation and Environmental Studies 1991, United Nations Environment Programme 1992. 3  rehabilitation of natural systems and the extension of our moral obligation for the pursuit of equity from humans to all species. There is a substantial amount of literature on methods to reduce reliance on the automobile with minimal personal costs and great social benefits, 5 but, in order to implement these methods, commitment is needed. For those wishing to contribute to such change, it is important to discover the reasons why there is not yet a strong movement towards more sustainable modes of people transportation in North American urban regions. The Vancouver area was selected because the City and region of Vancouver have made clear statements regarding its desire to move towards a more sustainable transportation system. For example, at a meeting on April 4, 1991, City Council passed a motion endorsing the regional Creating Our Future program. Contained within the program report is Action 16 which cells on decision-makers to “Reverse transportation priorities so decisions are made to favour walking, cycling, public transit, goods movement and then the automobile” (City of Vancouver 1991, 32). 6 Despite these municipal and regional directives, increasing automobile traffic and high pollution readings indicate that the city and the region are moving away from this goal of a  Refer to Chapter Two, Section 2.3.4 and see, for example, Duany 1991, Kitchen 1993, Lowe 1992 1991 1990, United Nations Environment Programme 1992. For other municipal and regional commitments to move towards transportation sustainability, see also Clouds of Change: Final Report of the City of Vancouver Task Force on Atmospheric Change (City of Vancouver 1990), Creating Our Future (Greater Vancouver Regional District 1990), Liveable Region Strategy (GVRD 1993b), CityPlan documents of the current official community planning process in Vancouver, and the minutes of Vancouver City Council which appear in the bibliography. 6  4  decreased emphasis on the automobile in the region’s transportation system (Greater Vancouver Regional District [GVRD] 1994b). Furthermore, current planning is directed to accommodate ever more automobile traffic. This is true for both official explicit plans, such as the Long-Range Transportation Plan for Greater Vancouver (Greater Vancouver Regional District & Province of British Columbia 1993a), which project a significant increase in both automobile use and air pollution by the year 2021, and unpublished plans which suggest potential sites for street widening and new overpasses. This research inquiry investigates why Vancouver’s transportation planners continue to develop more automobile infrastructure (thus encouraging greater automobile dependency) when the stated planning goals call for the preservation of green space, the improvement of air quality, and the expansion of the public transit system. Institutions seem collectively to state that they have goals of transportation sustainability, but, in practice, they seem to pursue 8 which impede effective planning for other goals. 7 There appear to be institutional barriers transportation sustainability. This study will try to determine what these barriers are.  A potential solution advocated to overcome the negative impacts of the automobile is the utilization of alternative fuels. These fuels are perceived to contribute significantly less air pollution. For example, electric cars are championed as non-polluting. Unfortunately, the efficiency of converting fossil or nuclear fuel to electrical energy (in North America, only a small portion of electrical energy is derived from hydro-electric sources) is less than ten percent. Vast amounts of heat energy and other pollutants are created at thermal power generating plants. Hydro electric power depends on the destruction of river ecosystems. Chapter Two examines other forms of automobile pollution (for example, noise, congestion, vibration) which degrade the quality of urban life. For the purposes of this study, institutions can be defined as public structures and procedures relevant to transportation planning. 8  5  The general research is based on the following primary research question: “What barriers within Vancouver’s planning systems impede change towards a significantly less automobile-dependent transportation system?” To ascertain what these barriers might be, in-depth, semi-structured interviews were conducted with key informants involved in Vancouver’s transportation planning system. Evolving from these interviews were a number of issues which required further investigation. A number of illustrative case studies of transportation planning in Vancouver (embedded in the general Vancouver case) were therefore undertaken to check the validity of the interviewees’ claims and to further explore the nature of institutional barriers. Although the focus of this research inquiry is on the City of Vancouver, the impacts of transportation planning by the Greater Vancouver Regional District (GVRD) and the provincial government on Vancouver are also considered because transportation planning is a multi-level, multi-jurisdictional process. 1.3  -  Dissertation Outline This dissertation is divided into six chapters. Chapter One has introduced the research topic, purpose, approach, and methodology. Chapter Two summarizes the argument for why residents of the rich nations of the  world should be concerned with global ecological degradation and examines the role of the automobile in the rich nations. Theories and models of community planning, community development,  sustainable  development,  and  organizational/community change  and  transformation processes are reviewed. Finally, a possible transformation process towards sustainability is discussed. 6  Chapter Three presents the concepts used to frame the research, the rationale for using a case study methodology, and the data collection and analysis methods. Chapter Four describes the City of Vancouver and its surrounding region, the attitudes of the local citizenry towards the natural environment, how the system for the movement of people is organized, and the level of financial investment in different components of Vancouver’ s transportation system. Chapter Five presents findings from the interviews with key informants and the illustrative cases. Interviewees’ understandings of the barriers which are hindering change towards sustainability are analyzed. Three illustrative cases, a study examining Vancouver’s capital and operating budgets, a study of a perceived informal transportation plan, and a study of the Lion’ s Gate Bridge public participation process, are presented to illuminate how unsustainability continues. In addition a number of embedded cases, which reinforce the illustrative cases, appear as footnotes within this section. Chapter Six relates study findings, from the interviews with key informants and the illustrative cases, to the theoretical planning process model discussed in Chapter Three and provides a succinct overview of the barriers to change which were identified through the empirical research. Chapter Seven discusses the following implications of the case study: implications for organizational change theory, implications for action, and implications for future research. Appendices A to K provide detailed information which supports the discussion in the main body of the text.  7  8  CHAPTER TWO THE SUSTAINABILITY CHALLENGE -  2.1 Introduction -  This review of literature concentrates on four areas which need to be understood in order to study the transportation planning process. First, concepts of sustainability are examined to develop a better understanding of this worldview and to provide context for the focus on the automobile. Second, the impact of the automobile on the liveability of urban regions is examined. Third, organizational/community change and transformation literature is reviewed in order to develop an understanding of institutional and community change processes. It is assumed that an understanding of change processes is necessary in order to achieve any sort of change within an organization and/or community. Fourth, a conceptualization of the process towards, and the elements of, a sustainable transportation system is presented.  2.2 Sustainability Put on the Agenda -  In 1987, the World Commission on Environment and Development (WCED) stated that to achieve global equity in living standards, a five to ten fold increase in economic output must take place over the next 50 years (WCED 1987, 213). Unfortunately, humankind is already appropriating approximately forty percent of the net energy 1 available from the natural process of photosynthesis (Vitousek et a!. 1986, 372). With an expected doubling of the world Vitousek et al. (1986, 368) use the term “Net Primary Production” (net energy) to describe the amount of energy left after subtracting the respiration of primary producers (mostly plants) from the total amount of energy (mostly solar) that is fixed biologically. The authors conclude that developing biological realities will force decision-makers to face the “limits to growth” debate. 9  population over the next 60 years, an equitable distribution of resources at First World levels, or the maintenance of present levels of material consumption, will be difficult to maintain. Not only is humankind living offthe planet’s energy “income” (plant photosynthesis from solar radiation), but we are also consuming the planet’s “capital” (the stored energy of fossil fuels) (Rees 1992a, 14). This “capital” took millions of years to accumulate, but in less than a century fossil fuel consumption has allowed the population to increase to a level of over five billion people. Humankind is not “walking softly” on this planet. Goodland and Daly (1992, 37) note that the traditional view of environmental limitations to growth which focused on “source limits” (depletion of resources such as fossil fuels and other minerals), is now being replaced by a new view of limitations to growth based on “sink constraints” (accumulation of ozone gases, global warming and local/regional air and water pollution). Using a simple input-output model, humankind has transformed the shape of the world’s natural capital from fossil fuels into people and pollution. Why have these problems arisen, and what amount of disruption to the orderly functioning of the ecosphere must be overcome to return nature to an optimum functioning life support system? The next section will examine a number of elements which address these questions. 2.2.1 Unidimensional Definition of Development -  A review of the evolution of economic development theory is important to understand the present “state of the world.” The modern paradigm of global economic development made its first appearance in the late 1 940s. This economic development paradigm operates under the 10  assumption that resources and human ingenuity are boundless. Consequently, infinite growth is seen as possible. Friedmann and Weaver (1979, 108) traced the globalization of this modem paradigm of economic development to the “Expert Report,” Measures for the Economic Development of Underdeveloped Nations prepared for the United Nations in 1951. Prior to this period, only segments of Europe and North America pursued economic goals based on the economic growth paradigm. The experts envisioned “the emergence of a universal, cosmopolitan civilization in which autonomous individuals would freely enter into contractual relationships with one another on the basis of enlightened self-interest” (United Nations 1951). Factors during this period which reinforced this new paradigm included the beginning of decolonization, the development of a science of economics based on western concepts and theory, the invention of national income accounts, and the appearance of a western educated elite in countries worldwide. Friedmann and Weaver identified the following characteristics of society which emerged from the global economic development paradigm: * *  *  Economics is seen as the only significant value in national development. Development has a unidimensional form defined by the market value of production. Economic order focuses on the efficient allocation of resources.  Source: Friedmann & Weaver 1979, 108 Equity is virtually ignored. Development initiatives focus on growth, efficiency in resource allocation, rapid capital accumulation, and technological change. The United Nations report concluded that: rapid economic progress is impossible without painful readjustments. Ancient philosophies have to be scrapped; old social institutions have to 11  disintegrate; bonds of caste, creed, and race have to be burst; and large numbers of persons who cannot keep up with progress have to have their expectations of a comfortable life frustrated.” This economic worldview marked the beginning of a global economy and was also the beginning of cultural disharmony for many of the so-called underdeveloped countries. Effects of the new economic order include the rapid expansion of cash crop agricultural practices to supply rich nations with specialized foodstuffs; rural to urban migration spurred on by landowners who desire land for cash cropping; and burgeoning urban populations fueled, in . Population growth and resource consumption by rich nations 2 part, by economic uncertainty may be considered the most significant factors threatening the continuation of the world as we know it today. 2.2.2 Population Growth -  The world’s population is expected to increase from a present level of 5.3 billion to a projected level often to eleven billion around the year 2050 (United Nations 1991). Table 2.1 summarizes the absolute growth in population between the year 1950 and 1990 with projections to the year 2025 (United Nations 1991, 5). World population is increasing at a rate of 93 million people per year. This rate will continue to increase before it peaks at a high of 98 million people per year between 1995 and 2000. Table 2.2 summarizes world per capita production and consumption of grain on a regional and worldwide basis. The table also presents trends in productive capacities. Per capita  Refer to the “The Coming Anarchy” for a very sobering analysis of the destruction of traditional values, beliefs and assumptions of African cultures and the evolution of a new form of tribalism based on survival (Kaplan 1994, 44). 2  12  production and consumption of grain can be used to analyze long term environmental 3 In the rich regions of the world, grain is either consumed directly or is fed to sustainability. livestock and consumed indirectly as meat. In the remainder of the world, grain is mainly consumed directly for food. Humans cannot survive if per capita annual grain consumption drops below 180 kilograms (about 1 pound per person per day) for an extended period of time. TABLE 2.1 World Population (billions)  Year  Population  1950  2.5  199O  5.3  2000  6.3  2025  8.5  Source: United Nations. 1991. World Population Prospects 1990. The application of new agricultural technologies (based mainly on the utilization of fossil fuels in various forms) resulted in the “Green Revolution” (a rapid expansion in the production of foodstuffs around the world). These trends in rapid growth of per capita food production began in the sixties, lasting for a short period of time in Africa (until 1967) and up  Analyzing annual per capita grain production rather than total grain production is important as it takes population increases into consideration. Total annual grain production may be increasing, but, if at the same time, population is also increasing, the actual food available to each human may be static or even declining. Increased food production leads to the degradation of agricultural lands and, when more lands are brought into production, reduces the biodiversity of a region. After a certain critical threshold level, the resulting stress on the natural environment leads to ecological collapse. 13  to 1984 in Western Europe and Asia.  TABLE 2.2 Regional and World Grain Production per Person, Peak Year and 1990 Region  Peak Product.  Peak Product.  1990 Product.  Change since peak year  (Year)  (kg)  (kg)  (percent)  Africa  1967  169  121  -28  E.Europe&USSR  1978  826  763  -8  Latin America  1981  250  210  -16  North America  1981  1,509  1,324  -12  Western Europe  1984  538  496  -8  Asia  1984  227  217  -4  World  1984  343  329  -4  Source: Worldwatch Institute. 1991. State of the World 1991. According to the State of the World 1991 report (Woridwatch Institute 1991), in all regions of the world, per capita grain production has peaked and a steady decline is now taking place. Further expansion of the agricultural land base and yield increases are being suppressed due to the cost of fossil fuel and environmental degradation. The repercussion of countries falling below the threshold of survival (180 kilograms of grain consumed per person per year), as Africa has, is described by Kaplan (1994, 44) who predicts anarchy and new tribalism in the poorest countries of the world. The number and size of degraded areas will continue to expand as population growth places added demands on finite natural resources. Numerous authors  14  (Brown, Flavin & Wolf 1988, Kaplan 1994, Rahman 1991, Rees 1992b, Westlake 1990) suggest that other regions, including Asia and Latin America, will fall below the threshold of survival during the next twenty years and that regional environmental collapse will ensue. Other authors (Berreby 1990, Skinner 1988) see continuing population expansion as the main factor which will fuel the continued expansion of growth economics. 2.2.3 Resource Consumption -  Based on western consumption patterns, a child born into the first world will, within their lifetime, consume approximately 75 times the resources of a child born into the third world 4 A resident of the rich nations “uses 15 times as much paper, (based on current consumption). 10 times as much steel and twelve times as much fuel as a Third World resident” (Durning 1991, 15). As the United Nations Development Programme notes, “the richest twenty percent of the world’s people are at least 150 times richer than the poorest twenty percent” (1992, 3). This ratio has doubled over the past thirty years (during a time when the people of the rich nations of the world espoused an attitude of sharing). Resource consumption in the third world centres on obtaining materials to ensure basic human survival. Resource consumption in the first world is driven by attempts to satisfy social, psychological and spiritual needs through material 5 possessions.  Consumption rates based on World Bank statistics for Gross National Product per capita. Low, middle, and high income economies were examined (World Bank 1993, 238). This overconsumption is driven by a number of factors, including advertising, which fuels desire rather than addressing needs; the loss of traditional values such as patience, honesty and integrity, which have been replaced by desire for material wealth; the substitution of shopping for more satisfying and diversified cultural activities; government subsidization of selected sectors of the economy, such as the beef, tobacco, and private automobile industries; and the expansion 15  Even with this massive quality of life imbalance, there is an enormous net transfer of wealth from the poor nations to the rich nations (totalling fifty-two billion dollars in 1989) (World Bank 1989, 8).6 Table 2.3 documents the deteriorating monetary situation in recent years for the poor countries of the world. TABLE 2.3 The Deteriorating Financial Position of Developing Countries 1980-89 (U.S. $ Billions) 1980  1981  1982  1984  1986  1988  1989*  572  753  819  855  1047  1156  1165  1. Disbursements  112  124  108  97  103  108  111  2. Principal repayments  46  49  46  50  76  88  86  3. Net Flows (1-2=3)  66  75  62  47  27  20  26  4. Interest payments  47  68  65  69  65  72  77  5. Net Transfers (1-2-4=5)  +19  +6  -2  -22  -38  -52  -52  Total debt stocks (yr. end) Total debt Flows  Projected Source: MacNeill, Winsemius, and Yakushiji. 1991. Beyond Interdependence: The Meshing of the World’s Economy and the Earth’s Ecology. *  Twenty percent of the world’s population (approximately one billion) live in unprece dented wealth while at least twenty percent live in poverty. The ecosphere is finite and, in order to maintain the natural life support system on which humankind depends, other plant and animal of the commercial market into households, changing their function from productive units to consumptive units. Communities no longer function as social units and places of permanence, but rather as units of commercial enterprise. The net transfer of wealth is calculated by subtracting the interest and principle payments on the foreign debt (owed by the poor nations to the rich nations of the world) from foreign aid payments received from the rich nations. 6  16  species must have available a portion of the energy from photosynthesis . Thus, expanding 7 population increases aggregate resource consumption which leads to environmental degradation. 2.2.4 Environmental Degradation -  Bug-eyed bunnies are symbolic of one of a number of serious ecosphere modification problems facing humankind today: the hole in the ozone lying over Antarctica (Larmer 1991, 43). The United States National Aeronautics and Space Administration has recently discovered  that the ozone hole over the south pole has expanded faster than originally predicted (to a size which is, today, two times the size of Canada). Carcinogenic radiation levels increase to more than ten times normal levels during the fall season. Humans, who have experienced skin irritations and swollen, clouded-over eyes, have been encouraged to wear hats, sunglasses and sunscreen. Humans can adapt more readily than blind salmon, myopic rabbits and blind sheep (blinded by cataracts). One of the many challenges of science is to find methods whereby the flora and fauna can adapt to the new realities of an human-altered environment. Other vital signs of growing ecological damage are documented in the work of Brown, Flavin & Wolf (1988, 76), Rees (1991, 8) and the Woridwatch Institute. Key indicators of the continuing degradation of the ecosphere are summarized in Table 2.4.  It is interesting to note that at the present time approximately four percent of the earth’s land area is set aside for non-consumptive purposes in parks and nature reserves. This statement is not entirely true as resource extraction is still allowed in some park systems. The United Nations would like to increase this to a level of 12 percent. This is creating a furore, as the business community, unions and special interest groups in resource communities view a tripling of the land base removed from exploitive production as a catastrophe for business. Yet, even at a level of 12 percent, humankind is still appropriating 88 percent of the earth’s surface for human purposes. A more appropriate level of approximately 50 percent has been proposed by the Wildlands Project (Noss 1992, 10). 17  TABLE 2.4 Key Indicators of Ecosphere Degradation 1)  Forest Loss. World forests are shrinking at an estimated rate of 17 million hectares per year (Woridwatch Institute 1992, 3) a land mass which is equivalent to three times the area of Nova Scotia. Some countries, such as Ethiopia, have lost nearly all their forest cover. -  2)  Soil Degradation. Approximately 6 million hectares of land per year (an area equivalent to the size of Sri Lanka) are degraded so critically that their productive capacity is lost (Worldwatch Institute 1991, 8). Soil oxidation and erosion totals 26 billion tons per year in excess of natural ecological formation processes (Rees 1991, 462).  3)  Climate Change. World temperatures may increase by an estimated 1.5 to 4.5 degrees C. by the year 2040 (Rees 1991, 462). This temperature change will result in increased volumes of water and will melt polar ice caps, with a consequent rise in sea levels from 1.2 to 2.2 meters by the year 2100 (Rees 1991, 463).  4)  Water. Groundwater tables are falling in many parts of Africa, Asia and North America as withdrawal rates exceed aquifer recharge rates. Over 1.2 billion people in the poor nations do not have access to safe and reliable water (Postel 1992). Thou sands of lakes in the industrial north are biologically dead and thousands more are in the process of dying (Brown, Flavin & Wolf 1988, 76).  2.2.5 Concluding Comments -  As we move towards the second millennium, humanicind is beginning to realize that we have degraded the natural global ecosystem which sustains life. The present debate focuses on the degree of degradation which has occurred and the amount of further degradation the world?s ecosystems can sustain. Supporters of the dominant Industrial Development Paradigm (i.e. Growth Economics, refer to Appendix A) criticize people and ideas which examine alternative development paradigms. They view pollution and environmental degradation as a management 18  problem which can be resolved within the existing parameters of growth economics, and they claim that continued growth will eventually create equity for all nations  --  rich and poor alike.  Proponents of change away from “business as usual,” support their views by citing global trends of environmental degradation and inequalities in the distribution of wealth between rich and poor nations of the world. They recognize that the pursuit of economic growth has resulted in poor countries striving for the same prosperity (or appearance of prosperity) found in the rich nations. Trends in population growth and resource consumption indicate that the rich nations must, if we are to survive, significantly reduce our standards of consumption. Environmentalists are calling for radical social change through the reorientation of basic social values and rapid movement towards a sustainable lifestyle. They feel ten, possibly twenty, years are left in.which to redefme how humankind interacts with its life support systems (the ecosphere). Humankind has three development paths to choose from: continued domination of the ecosphere, attempting to use science and technological innovation to resolve environmental problems; evolving fundamental changes in values, beliefs and attitudes which recognize that humankind is one of many species which must share the life support systems of the planet; or some sort of compromise between these two development paradigms. In the coming decades the issue of continued economic growth versus ecological preservation/balance will be the focus of a great deal of intellectual discourse. This is not a new ; it is simply discourse which has been put to one side over the past one hundred years 8 debate  For example, Ebenezer Howard in his book “Garden Cities of Tomorrow” (1902, 43), introduces a thesis for new ways of constructing and operating communities. The book includes 19  while humankind consumed the shadow carrying capacities 9 of frontier lands and the stored benefits of photosynthesis.’° For humankind to move towards a development pattern which incorporates long-term survivability, a new development paradigm must evolve which recognizes limitations on both the growth of human activities and the accompanying impacts on the natural environment. A state of ecological balance must be re-established between humankind and nature. Discussion surrounding this new development paradigm falls within the area of study referred to as “sustainable development.” Numerous authors (Daly & Cobb 1989, Rees 1992a, United Nations 1992) have called for a change towards a sustainable society. The components and characteristics which would comprise an ecological woridview have been identified (refer to appendix A). What is lacking is a desire by society to move towards this new ecological worldview. The United Nations (1992) has documented this resistance to change. They conclude that, in the twenty years since the creation ofthe United Nations Environment Programme, world a section discussing the growth versus sustainability debate that dominates discussions of development theory today. The concept of carrying capacity can be defined as “an ecosystem’s capability to continue supporting life for an indefinite period. If this carrying capacity is exceeded, the quality of life will decline. If a carrying capacity surplus (a shadow carrying capacity) is encountered, rapid population growth and/or quality of life improvements will take place” (Catton and Dunlap 1980, 43). Australia, North and South America and most of Africa and Asia represented carrying capacity surplus regions during the colonial era. Fossil fuels really represent the accumulated or stored benefits of millions of years of the photosynthesis process. 10  Recently many authors have modified the term from “sustainable development” to “sustainability” to disassociate from authors advocating “sustainable growth.” 11  20  governments have taken superficial steps (for example, setting up environmental ministries and signing international agreements) which have not led to concrete commitments to action. Overall, environmental conditions have deteriorated (dramatically in some regions ofthe world). 2 now looms as a realistic future for humankind. The concept of “overshoot”’  2.3 The Role of the Automobile in Post-industrial Society -  A community’s shift from an automobile-centred transportation system to a transportation system which is not centred around the automobile represents a movement from anthropocent ricism to soft biocentricism. This section will review the impact of the automobile on urban regions and will present a number of innovative solutions which demonstrate successful urban transportation systems which are not dominated by the automobile. “Knights in chromium armour. We never admitted it, but that’s how my friends and I saw ourselves in the fifties as we roamed midwestern highways on many a balmy evening. In muscular, deep-throated steeds we sped from town to town, the wind hunicaning in through open windows and corn rows whipping by like picket fences” (Grove 1983, 2). This analogy to medieval knights describes our love affair with the automobile. In little  over a century the transportation of most people in the rich nations of the world has moved from foot and animal mobility to propulsion provided through the internal combustion engine. The automobile has offered people unsurpassed mobility and individual freedom at a cost which, The concept of “overshoot” denotes a condition where a system degrades dependent resources to a point whereby recovery of the resources and the system is impossible. For additional information see the book review of “Beyond the Limits,” 1992, by Donella Meadows, Dennis Meadows and Jorgen Randers, Post Mills, Vermont: Chelsea Green Publishers, which appears in the Rocky Mountain Institute Newsletter, Vol.8 No.3, Fall/Winter 1992, p. . 8 12  21  until recently, has represented a minor portion of personal disposable income (Ward 1990, 169). In the United States, one job in six depends on the manufacturing, maintaining, operating or disposing of the automobile (Engwicht 1993, 5). Our dependence on the automobile has reached a level of addiction, as the recent Los Angeles earthquake illustrated. Ridership on certain routes of the Los Angeles Metrolink transit system increased twenty-fold immediately following the earthquake due to the collapse of heavily-used elevated freeways. But once the initial shock was over, alternate routes were discovered, and commuters turned their backs on transit to resume driving their automobiles  --  in spite of having to endure two hour one-way trips. While urban planners mourn the loss of a golden opportunity to move toward a rail transit system as the dominant mode of urban transpor tation, city decision-makers prepare to invest approximately $800 million in reconstructing eleven freeways (Reed 1994, A-14). Even at a time when the automobile continues to dominate our lives, greater numbers of people are recognizing that this vision of mobility and freedom, coupled with a sense of speed and power, is illusionary. The automobile is being associated with the degradation of social and environmental quality within and beyond community boundaries. Ward labels automobiles as anti-social objects which turn drivers “into enemies of society” (1990, 169). Cities have been reconstructed to accommodate peak rush hours (Duany 1991). In the process, the freedom of the non-auto-using public  --  the poor, the elderly and the young  --  has  been severely restricted. A quote from a Los Angeles planning report illustrates the subservient position humans hold to the automobile: “The pedestrian remains the largest single obstacle to free traffic movement” (Engwicht 1993, 41). 22  The automobile has claimed more lives through accidents in this century than all wars during the same time period (Ward 1990, 169). It has degraded the lives of humans and other species through air, water, and sound pollution; urban congestion; and resource depletion (for the construction, maintenance, and disposal of the automobile and its various accessories) (Renner 1989, 97). The next five subsections will explore two important questions: “What is the impact of continued reliance on the automobile as the dominant form of urban transportation,” and “How can this reliance on the automobile be overcome?”  The first subsection will review the  relationship between transportation and land use. Recent worldwide trends in the use of the automobile, and the automobile’s impact on urban landscapes and human lifestyles will be presented. Automobile-derived pollution, and land consumption patterns will be examined. New ideas and innovations in the management of automobiles, and alternatives to the automobile will be discussed. Finally, plans for ecologically sustainable urban transportation will be pres ented, and a process to move towards transportation sustainability will be introduced.  2.3.1 Relationship Between Land Use and Transportation -  The right to travel, as embodied in the concept of the “right-of-way,” has been a long established tradition (TEST 1991, 15). In Great Britain, the right-of-way was an extension of the commons and provided a corridor of mobility to move sheep and other livestock. Today, rights-of-way are more commonly used for the movement of motorized vehicles within and between urban regions. In modern society, the relationship between land use and transportation continues to exist 23  and substantially shapes our urban landscape. Hart (1992, 483) claims that the last four decades of urban development have been dominated by the desire to accommodate the automobile. This process of accommodating one dominant form of transportation has resulted in various human activities becoming “more widely spread, with greater distances separating homes, jobs, and services” (Hall 1993, 9). Because this urban spread further perpetuates the growth in automobile usage, a continuing demand for the supply of additional infrastructure to support the automobile is insured. In recent years, the intractable problem of the automobile infrastructure supply-demand dilemma has been revealed. The supply of automobile infrastructure increases the demand for this infrastructure to a point of congestion (Association of County Councils 1991, 19). Additional supply of infrastructure to relieve congestion tends to create more demand and, in turn, more congestion. This drama of constructing new supply (infrastructure), only to be overwhelmed by new demand (more automobiles) has been played out in cities around the world. In the process, vast amounts of resources have been invested in a vain effort to overcome the dilemma.  2.3.2 Trends in Automobile Usage -  The world’s passenger car fleet is increasing at a faster rate than population growth, with the number of vehicles projected to surpass one billion by 2030 (United Nations Environment Programme 1992, 410). The annual global growth rate is estimated at ten million cars and five million buses and trucks.  Approximately eighty percent of vehicles are located in the rich  nations of the world. Automobile density has reached a level of 1.8, 2.2 and 2.8 persons per 24  vehicle in the United States, Canada and Western Europe respectively. Market saturation is slowing down the increase in vehicle ownership in the rich nations. This will result in the majority of future growth taking place in the poorer nations. In comparing the types of urban transportation used in North America and Europe, European countries display a healthier modal split between cars, public transit, bicycles, walking, and motorcycles. In Canada and the United States, there is a heavy reliance on the automobile (refer to Table 2.5).  Table 2.6 illustrates the relationship between urban densities and  commuting choices for a number of industrialized cities. TABLE 2.5 Urban Passenger Transport by Mode in Selected Countries circa 1980 (Percentage of Total Trips) -  Country  Car  Transit  Bicycle  Walking  Motor cycle  United States  82  3  1  11  1  Canada  74  15  West Germany  48  11  10  30  1  Great Britain  45  19  4  29  2  Netherlands  45  25  9  19  1  Austria  39  13  8  31  4  Sweden  36  11  10  39  2  (  —--.---  11  )  ---— -  Source: United Nations Environment Programme. 1993. As a result of a heavy reliance on the automobile, a significant percentage of urban space is appropriated for automobile infrastructure, including roads, freeways, parking, and service 25  stations. Los Angeles is the world leader in urban land appropriated for automobile use. Seventy percent of its land area is used for automobile-related purposes (Engwicht 1993, 5). Table 2.6 denotes Vancouver holding a lead position in the consumption of land and the heavy reliance on the automobile for urban transportation. TABLE 2.6 Urban Densities and Commuting Choices, Selected Cities, 1980. City  Land Use Intensity  Private Car  Public Transport  Walking & Cycling  (pop+jobs /ha)  (% of  Workers  Using)  Phoenix  13  93  3  3  Vancouver  15  83  9  8  Washington  21  81  14  5  Sydney  25  65  30  5  Toronto  59  63  31  6  Amsterdam  74  58  14  28  Stockholm  85  34  46  20  Munich  91  38  42  20  Vienna  111  40  45  15  Tokyo  171  16  59  25  Hong Kong  403  3  62  35  Note: This table defines land use intensity as population and jobs per hectare. This concept acknowledges the multifunctionality of urban space. Source: Newman and Kenworthy. 1989. Cities and Automobile Dependence: An International Sourcebook and City of Vancouver Planning Department. 1995. Vancouver Land Use and Commuting Choices. 26  In limited numbers, automobiles offer unsurpassed freedom, but as numbers increase congestion dramatically reduces automobile efficiency and degrades the liveability of the urban  environment. Degradation takes place in two forms: environmental and social. Within the environmental realm, a large amount of research documents the ill affects of the automobile on human health and the natural environment. There is a direct link between energy use and various forms of pollution. The first step in understanding this link comes through examining energy use by urban transportation mode (Lowe 1990, 13). Table 2.7 illus trates this relationship. TABLE 2.7 Energy Intensity of Urban Transport Modes, United States Mode  Number of Passengers per Vehicle  Energy Intensity (Btu per passenger-km)  Intercity Rail Car  80  442  Intercity Bus  40  477  LightRail Car  55  639  City Bus  45  691  Rapid Rail Car  60  752  CarPool  4  1144  Automobile  1  4576  Source: Lowe. 1990. Alternatives to the Automobile: Transport for Livable Cities. A city bus containing forty-five passengers is 6.6 times more energy efficient than an automobile containing a single occupant. Extrapolating this ratio relationship, one can conclude that a city bus requires less than seven passengers, at any time, to match the energy consumption levels of an automobile. 27  Table 2.8 (Lowe 1990, 14) offers information which links pollution levels to different modes of transportation used for commuting to work. The table clearly documents the high levels of pollution emitted by the automobile. According to Lowe’s calculation, a single occupant car produces eleven times the hydrocarbons, five times the carbon monoxide, and a third more nitrogen oxides per passenger kilometer than a transit bus. TABLE 2.8 Pollution Emitted from Typical Work Commutes, United States (grams per 100 passenger-kilometres) Hydrocarbons  Carbon Monoxide  Nitrogen Oxides  Rapid Rail  0.2  1  30  Light Rail  0.2  2  43  Transit Bus  12  189  95  Van Pool  22  150  24  CarPool  43  311  43  Single Occupant Auto  130  934  128  Mode  Source: Lowe. 1990. Alternatives to the Automobile: Transport for Livable Cities. Although energy efficiencies and reduction of pollution using non-automobile modes of transportation have been clearly documented, the popularity of automobile transportation continues to grow. Between 1973 and 1988, countries of the European Economic Community have made some progress towards energy conservation in non-automobile sectors, with a slight increase in overall energy consumption of 3.5 percent. However, the road transport sector (automobile and truck) increased its level of total energy consumption by 49.1 percent during  28  this time period. Focusing on oil use only, oil consumption for all other non-automobile sectors actually declined by ten percent from 1973 to 1988, while the transportation sector (all modes) increased its use of oil by 28.6 percent. The transportation sector now consumes over one half the oil used in the European Economic Community (Wbitelegg 1991, 90).  2.3.3 Transportation and Urban Liveability -  According to Quidort (1991, 101), continued high levels of oil consumption and the accompanying high levels of pollution, coupled with congestion, stress, damage to cultural heritage, and safety problems, are slowly eroding the liveability of our urban regions. These problems have evolved incrementally since the Second World War, as urban planners (predominantly in North America, and with a lag, in other regions of the world) have perfected the art of automobile-focused urban and regional planning. As Lowe (1992, 120) relates, “Among industrial regions, North America and Australia have the weakest planning traditions. Governments on these continents have done relatively little to guide development beyond separating industrial areas from those zoned for commerce and housing.” Calthorpe (1991, 84) and Duany (1991) severely chastise North American planners for allowing the automobile to become the defining technology of the built environment. 13 Accord ing to Duany, American cities have been highly planned for the past twenty years, but the The planning profession cannot be held solely responsible. The passing of urban trolley systems was due to more than consumer preference. A United States federal court, in 1949, found a number of corporations and corporate officials guilty of a conspiracy which involved purchasing urban trolley companies and ultimately closing them down. Corporations included General Motors, Mack Trucks, Firestone, and Standard Oil of California. Ultimately Americans had little choice but to purchase automobiles (Hanson 1986, 395). 13  29  suburbanization process has taken the four elements of community (places to live, work, shop and gather), isolated them in distinct packages (residential suburbs, business parks, shopping malls, and recreational complexes), and used the automobile to connect them (highway, arterial, collector and local Street system). The automobile has also encouraged the “segregation of our culture: old from young, home from job and store, rich from poor and owner from renter” (Calthorpe 1991, 84). Sections of our cities constructed prior to this “Age of Segregation Urbanism” suffered the same fate as peripheral suburban zones. The traditional, predominately gridiron, segments of our cities have been remodelled for the automobile. At one time, urban streets performed two functions: allowing both human movement and human exchange. Appleyard (1981) documented the inverse relationship between movement and exchange functions. As speed and volume increase, and automobiles appropriate increasing space (referred to as the Zone-of-Influence), the human exchange function begins to decline. Interaction between friends and acquaintances across streets and even on the same side of streets declines. Families with children move away, and new families do not move in. Alienation increases to a point where heavily travelled streets become hostile environments for humans and become the domain of the automobile. Goodland et al. (1993, 9) claim that congestion in Los Angeles has reached a level where commuters spend more time in their cars than any other single activity except office work. A report published by the London-based Transportation and Environmental Studies group (TEST) concludes that the parking spatial demand per car in London is three times the space demand for the average home. Worldwide, cars command twenty percent of urban space. This demand for  30  space increases to 50% for the average US city and 67% for Los Angeles. 14 Increasing numbers of vehicles in urban areas also lead to safety problems, disruptions to community life, and deteriorating health. Goodland, Guitink and Phillips (1993, 2) note that “the impact of today’s annual output of 48 million cars vastly exceeds the impact of the [annual]  human population growth of 90 million.” They claim that one automobile consumes many times more energy and other natural resources, and creates greater pollution (including disposal) problems than the average human. An exhaustive study, entitled Wrong Side of the Tracks: Impacts of Road and Rail Transport on the Environment (Transportation & Environmental Studies 1991) was undertaken in England and examined the social, environmental, and economic impacts of continued automobile infrastructure expansion. The study arrived at the following conclusions: Safezv Vehicle traffic may be relatively safe for their occupants, but they are relatively unsafe for other road users  --  particularly pedestrians and cyclists. As a result, over a  quarter of a million people worldwide die each year from vehicle accidents and an estimated twenty to forty million receive personal injuries. The risk of death for cyclists in a collision with an automobile is at least three times greater than for pedestrians or automobile occupants.  In Section 2.3.2, Engwicht (1993) provided a figure of 70% of Los Angeles’ area used for the automobile, while Goodland et al. (1993) use a figure of 67%. The discrepancy between figures relates to different definitions of land used for the automobile. ‘  31  Community Disruption The introduction or expansion of road infrastructure into a community can inhibit the movement of people and contribute to social alienation. The most affected are the young and elderly. Approximately one half of school children living in Outer London are now driven to school due to increasing traffic danger. Also because of this danger, the elderly must be accompanied by someone in their travels. The situation becomes self perpetuating: more school children and elderly being driven results in more traffic danger, resulting in even more children and elderly being driven. The only people who cannot join this self perpetuating cycle are the poor: those people who cannot afford a vehicle. The other major disruption to community life is the involuntary curtailment of street life as the automobile becomes the dominant element of the streetscape. As street life declines, people’s lives are increasingly conducted within their homes and their automobiles (which ultimately becomes an extension of the home). Health The automobile contributes to a number of forms of physical and mental illness. Lack of exercise related to car use impacts on human physical health. Noise contributes to the deterioration of mental health. In urban regions, noise nuisance from road traffic is most often the dominant form of noise pollution. Between seven and 31 percent of residents living in OECD countries are exposed to road traffic noise which exceed 65 dB. Noise exceeding these levels, and continuous low-level noise leads to hearing damage, auditory fatigue, and a range of physiological reactions including stress and changes in 32  blood pressure. Although proponents of the automobile still call for the expansion of infrastructure to relieve congestion, a growing segment of society is calling for processes which will reduce the impact of the automobile on the urban landscape.  2.3.4 Improved Automobile Management -  Some cities around the world are beginning to introduce demand management techniques to reduce the negative impact of the automobile in urban regions. Table 2.9 provides a summary of some of these management techniques. Possibly the greatest gains in automobile management would be in redesigning the car to take the ecological realities of the 1 990s, and beyond, into consideration. This process has  started; there are innovative experiments underway which will radically reshape the image of the automobile. Concepts include light electric vehicles and new hybrids which combine the best features of electric and internal combustion engine technology (Flavin 1993, 27). The Rocky Mountain Institute (1993, 7) has conceived of a hypothetical four passenger car which combines existing technology into a “Supercar,” with fuel efficiency levels of 150 miles per gallon (US City/Hwy). The car is based on the Ultralite auto prototype developed by General Motors. Advances beyond the Ultralite prototype include using carbon-fiber and other composite materials to reduce body weight to approximately 1300 pounds (a typical 1990 U.S. production car weighs 3180 pounds), using aerodynamic design techniques not only on the top but also on the bottom of the vehicle, and incorporating a hybrid-electric-battery drive system which would require only a 10 to 20 horsepower internal combustion engine (current engines 33  must be in the range of 100-200 horsepower to provide the same performance). TABLE 2.9 Examples of Automobile Management Measures and the Results Measures Taken  City  Results  Encouragement of vehicle fleet renewal.  Los Angeles  Up to 95% of emissions reduction.  Gasoline recovery devices in service stations.  Los Angeles  Reduction of emissions equivalent to 19% of total HCs emitted in California in 1980.  Inspection and maintenance programs for cars.  New York  Reduction of 39% in NO and 34% in CO emissions between 1980 and 1987.  Parking permits, access permits and taxes on vehides.  Singapore  The share of private cars in total vehicle traffic at peak hours in the town centre decreased from 50-60% to 23%. Com muting journeys towards the town centre have shifted from cars to buses from a 56%/33% share to 46%/46%. Accidents in the town centre have fallen by 25%.  Road pricing (tolls) for urban motorways (three projects).  Hong Kong  Bottle-necks have diminished by 14, 16, and 17 percent representing time gains of 98,000, 113,000 and 124,000 hours respectively.  Traffic restrictions to given districts in central areas.  GOteborg  Victims of accidents decreased by 4045%. Net noise reductions of about 4dB(A) for 1/3 of ithabitants. 7% increase in the average length ofjoumeys outside the areas compensated in part by the in creased average speed within the areas. -  Source: United Nations Environment Programme. 1992. The World Environment 1972-1992: Two Decades of Challenge. pp.441. Technological and urban design innovations will not resolve the ultimate problem which makes cities unliveable: the sheer volume of vehicles which leads to traffic congestion and the 34  use of a significant proportion of urban land for vehicle-related purposes.  2.3.5 Alternatives to the Auto -  Table 2.10 summarizes a number of initiatives which are both replacing urban automobile usage (or insuring usage does not increase) and improving urban liveability. TABLE 2.10 Examples of Alternatives to the Automobile Measures Taken  Town  Results  J  Generalized improvement of public transport towards an integrated public transport system.  Munich  A 30% increase in public transport users. The ratio of public transportationlcars has changed from 37/63 distribution to 46/54 between 1970 and 1980.  Simplified and integrated transit fares (‘travel card’).  London  A 16% increase in public transport users. Cars arriving at central London in peak hours have diminished by 10-15% with similar improve ments in air quality.  Simplified and integrated transit fares (‘travel card’)  Paris  A 1/3 increase in public transport users and 23% reduction in car utilization during the whole day.  Source: United Nations Environment Programme. 1992. The World Environment 1972-1992: Two Decades of Challenge. pp.441. Communities of particular note, due to the integrated nature of their transportation planning and implementation strategies are Curitiba, Brazil and Freiburg, Germany. Curitiba, a city of 1.6 million people, has received international acclaim for its urban transportation system. A master plan for the city (completed in 1965) defmed linear growth corridors with  35  limits on the outward expansion of the central area. According to Rabinovitch (1993, 18), the key to Curitiba’s success is the thoughtful integration of land use and transport policies. High density new development and redevelopment projects are encouraged along public transport corridors. A mix of homes, jobs, services, and recreation are promoted in close proximity to each other. Transit infrastructure is designed so that, as ridership increases, express bus reserve lanes can be converted to light rail and ultimately to high-capacity rapid rail systems. The Curitiba Integrated Transport Network has grown from 25,000 passengers per day in 1974 to the current level of 1.3 million passengers per day. This innovative direct route bus system costs approximately $200,000 (US) per kilometre to construct compared with $20 million per kilometre for a light rail system, and $90-100 million per kilometre for an underground metro system. The system moves passengers faster, and for less money, than any other system in Brazil. An estimated twenty-five percent city-wide fuel saving has been attributed to the transit system. Innovation and creativity are cornerstones to the planning and management of Curitiba. Boarding tubes (mini bus stations) speed up the loading and unloading of passengers. The City has also developed an extensive cycleway system which links parks and protected river valley areas. Open leisure space per inhabitant has increased from 0.5 square meters in 1970 to the current level of 50 square meters. Pedestrians are given priority in the downtown core. Curitib&s ecologically sensitive transportation system has spurred an environmental consciousness in the city. Similar initiatives can be replicated elsewhere. The City of Freiburg (population 180,000) serves as an administrative centre to the Black Forest region of southwest Germany. Here, city officials have used three techniques to control 36  the use of the automobile: severely restrict use; provide affordable, convenient alternatives; and rigorously encourage compact land use to permit the viable use of transit, bicycling and walking (Pucher & Clorer 1992, 386). Freiburg’s initiatives are very similar to the activities undertaken in Curitiba. Pucher and Clorer note that the important ingredient for change was community elected officials who realized that sooner or later a decision had to be made on “how many cars would be permitted in their cities.”  2.3.6 Concluding Comments -  Automobiles, and their infrastructure, are having detrimental effects on communities including problems of land consumption, pollution, safety, health and social alienation. But the experiences of communities such as Curitiba and Freiburg demonstrate that it is possible to design transportation systems to become more sustainable.  2.4 Concepts of Sustainable Development -  The search for a set of values, beliefs and attitudes, different from industrialism, to shape  human development has been underway for many decades. In 1987, the Brundtland Commission brought a fringe debate, surrounding alternative development ideologies, to public attention through the publishing of Our Common Future. The publication of this report resulted in the popularization of the term Sustainable Development, which the Commission defined as “development that meets the needs of the present without compromising the ability of future generations to meet their own needs” (WCED 1987, 43). A action-deflecting debate surrounds the appropriate meaning of sustainable develop37  ment.  Some advocate sustainable growth, which is simply an adaptation of neo-classical  economics to include environmental protection, while others insist that humankind must develop new ways of interacting with nature because they believe that the natural carrying capacity of the planet earth has been surpassed (Pimentel 1994, 37). Within the context of this dissertation, the term growth is not considered to be synonymous with the term development.  Growth implies the continuing expansion and  consumption of material goods on a per capita, as well as an aggregate, level and the conversion of renewable and non-renewable resources from a natural state to a state which can be used by humans. Development implies a per capita decline in material consumption accompanied by an increased focus on knowledge, spirituality and relationships. A number of conceptual frameworks will be reviewed to develop a sense of the parameters of this elusive concept of sustainable development. Robinson et al. (1990, 41) identif’ two factors which comprise the foundations of sustainability: the natural environment and the socio-political system. The natural environment must be maintained in order to provide for the needs of present and future generations. In order to maintain the natural environment, human enterprise must coalesce around a set of values and principles which encompasses concepts of sustainability, and the political system must support these values and principles. Sustainable development requires a state of ecological balance between humankind and nature and a process to move towards and maintain this balance. Rees (1989, 3) defines sustainable development as “positive socioeconomic change that does not undermine the ecological and social systems upon which communities and society are dependent. Its successful implementation requires integrated policy, planning, and social 38  learning processes; its political viability depends on the full support of the people it affects through their governments, their social institutions, and their private activities.” The following points are appended to this definition. Sustainable development 1) 2) 3) 4) 5)  is oriented towards achieving ecological, social, and economic objectives; may impose ecological limits to material consumption, while fostering qualitative development at the community and individual levels; requires government intervention, but also the leadership and cooperation of the private sector; demands policy integration and coordination at all spatial scales and among relevant political jurisdictions; and depends on education, planning, and political processes that are informed, open, and fair.  Non-depletion of the stock of environmental capital is becoming a central element of models of sustainability. Ekins (1992, 412) has developed a set of conditions which he claims will lead to sustainability: 1) 2) 3) 4)  5)  Destabilization of global environment features such as climate patterns or the ozone layer must be prevented. Important ecosystems and ecological features must be absolutely protected to maintain biological diversity. Renewable resources must be renewed through the maintenance of soil fertility, hydrobiological cycles and necessary vegetative cover. Sustainable harvesting must be rigorously enforced. Depletion ofnon-renewable resources should proceed on the basis of maintaining a minimum life-expectancy of the resource, at which level consumption would have to be matched by new discoveries of the resources. Use of non-renewable resources must be minimized through the development of durable products and by practising the “four Rs” (repair, reconditioning, re-use and recycling). Furthermore, all depletion of these resources should involve contribution to a capital fund to help finance research for alternatives and the eventual transition to renewable substitutes. Emissions into air, soil and water must not exceed the capability of the earth to absorb, neutralize and recycle them, nor must emissions lead to life-damaging concentrations of toxins. 39  6)  Risks of life-damaging events from human activity must be kept at very low levels. Technologies, such as nuclear power, which threaten long-lasting ecosystem damage at whatever level of risk, should be forgone.  Source: Ekins 1992, 412. In the urban realm, the concept of sustainability is often in contradiction to prevailing development patterns which emphasize separation of land uses and transportation dominated by the automobile. These planning practices are now increasingly considered to be a wasteful use of land and other resources. A sustainable urban community, as defined by Rees and Roseland (1991), emphasizes efficient use of urban space, a reduction in the consumption of material and energy resources, community liveability, and the organization of administrative and planning processes which can deal sensitively and comprehensively with socio-economic and ecological complexities. Achieving this vision of a sustainable community would involve a massive change in the way we live in and plan our communities. This type of change cannot occur without an in-depth understanding of the change process and particularly how change is brought about and how it is impeded.  2.5 Theories of Organizational Change -  Organizational literature helps us develop an understanding of how organizations construct themselves, how they function, and why some organizations change and adapt while others decline and disappear. The purpose of examining organizational literature was to develop insights into how institutional planning systems function and how they have adapted to or resisted change. Other theoretical perspectives, such as cultural and political theories, were not used in framing this analysis of barriers because the focus of the research is on planning 40  institutions and their reasons for not pursuing (or indeed, their reasons for blocking) sustainability. In modern societies, communities can be viewed as encompassing a number of organizations. Public organizations have taken over many community functions which, at one time, were performed by community volunteers. As Amitai Etzioni explained in his definitive book Modern Organizations, “Ours is an organizational society. We are born in organizations, educated by organizations, and most of us spend much of our lives working for organizations. We spend much of our leisure time paying, playing and praying in organizations” (Etzioni 1964, 1). In modern First World societies, to understand communities one must also understand organizations. The business world has undergone dramatic change over the past decade as processes of centralization and globalization have redefined the principles governing the economic market place. Once pillars of business expertise, companies such as IBM, General Motors and Northern TelCom have been shaken into the realization that the traditional way of doing business through incremental change is insufficient in today’s marketplace. The explosion of the Space Shuttle Challenger in January 1986 helped galvanize the public’s attention on the incompetence of aging organizational structures (McCurdy 1989, 301). Moore and Gergen (1988) forecast a five to twenty-five year period during which aging organizations will undergo transformational change processes which will result in either business failure or significant modification to organizational philosophy.  41  2.5.1 Organizational Literature -  The field of organizational behaviour is immense.  Processes of change are most  extensively researched in the fields of business administration, education and the medical sciences. On March 12, 1994, the University of British Columbia Library system contained 4664 items listed under the subject heading “organization.” On the same date, the computerized index Uncover, which contains 12,000 journal titles, included 10,331 articles under the subject heading of “organization” and 594 articles under the subject heading of “organizational development.” Titles such as Teaching the Elephant to Dance: Empowering Change in Your Organization (Belasco 1990), Managing the Unknowable: Strategic Boundaries Between Order and Chaos in Organizations (Stacey 1992), The Postmodern Organization: Mastering the Art of Irreversible Change (Bergquist 1993), and Breakpoints (Strabel 1992) define a cluster of literature which ranges from in-depth inquiry to cookbook how-to discourse. The following section summarizes the historical development of the field of organizational behaviour. Major sources used to form this discussion include Planning in the Public Domain: From Knowledge to Action (Friedmann 1987), Philosophic and Pragmatic Influences on the Practice of Organization Development. 1950-2000 (Sanzgiri & Gottlieb 1992), Encyclopedia of Organizational Change Methods (Huczynski 1987), Managing Organizational Behavior (Schermerhorn et al. 1991), Social Work Macro Practice (Netting et al. 1993), and Initiating Change in Organizations and Communities (Kettner 1985). 2.5.2 Historical Overview of Organizational Behaviour Literature -  Organizations can be defined as “collectivities of individuals gathered together to serve 42  a particular purpose” (Netting et al. 1993, 122). Generally, groups of people working together to accomplish a specific task have been found to be more productive than the same number of people working individually.  Organizational structures evolved as society became more  complex, requiring the resolution of more complicated problems. The evolution of the field of organization behaviour resulted from humankind’s desire to fmd more effective and efficient ways of accomplishing work and of providing for people’s needs and wants. The literature on organization behaviour can be traced back to the work of macrosociologist Max Weber who, in the early part of the twentieth century, studied social rationality and institutional planning. Weber’s descriptive bureaucracy model introduced the concepts of hierarchical structure within a closed system in which power and responsibility were controlled and concentrated. The concept of rational/legal authority was formalized in an organization structure which encouraged the specialization of knowledge, definitive rules of conduct, and the separation of work and social activities (Weber 1924). The strong focus on the accomplishment of tasks and the pursuit of economic efficiency resulted in bureaucratic organizations playing a major role in the advancement of the industrial revolution. Frederick Taylor (1911), an American engineer, industrialist and educator further refmed the bureaucratic model by focusing on management techniques which would increase productivity.  Taylor introduced the concept of scientific analysis to the workplace and  stimulated the field of “Universalistic Management.” The result of this scientific emphasis was management techniques which instituted concepts of stability, predictability, and maximization of individual productivity into the workplace. Traditionally, the evolution of new theories and models of organization have been due 43  to weakness of the dominant paradigm of organization. The universalistic management models tended to treat workers as machines; the workplace becoming a highly efficient, but dehumanizing environment. In reaction to the shortcomings of the universalistic management models, a new group of theories, called Human Relations, came into prominence. This new way of thinking about organizations received legitimacy from the now famous Hawthorne Experiments (Schermerhorn et al. 1991, 554), conducted by the Harvard Graduate School of Business between 1927 and 1932. The Hawthorne experiments involved modifying the work environment and observing changes in worker productivity. As Friedmann (1987, 204) notes with apparent irony, “Harvard scientists made the epochal discovery that workers are human beings who respond favourably when they are treated with consideration and respect.” The researchers concluded that work organizations were, in fact, social systems and that productivity could be increased by modifying social factors. New concepts were introduced into the field including benefits derived from leadership, cooperation, teamwork and management concern for the welfare of workers. Theories continued to focus on methods (in this case social rewards) to increase worker productivity. Critics of these administrative models viewed them as manipulative, paternalistic, and a continuation ofthe hierarchical relationship oftop-down decision-making and concentrated power. The organization continued to be viewed as a closed system. Within the context of understanding organizational change and transformation, these theories contribute an important insight. Even in top-down hierarchical organizations, workers continue to hold a “core of free choice” (Friedmann 1987, 204) over how they undertake their work. In other words, workers can undermine or facilitate change. Therefore, creating change 44  in organizations using rules and formal organizational structures based on the bureaucratic universalistic management models may not be as effective as approaching workers as social beings who can think for themselves. This concept will be discussed in more detail in Section 2.5.7. In 1960, Douglas McGregor (1960,47) introduced the idea that organizational members not only are social beings but are also self-actualizing beings. Drawing on Maslow’s hierarchy of needs (Maslow 1970, 97), McGregor advanced Theory X and Theory Y to contrast two distinct methods of management. Theory X assumes that organizational members (a) have an inherent dislike for work, (b) must be coerced to maintain desired levels of productivity, (c) prefer to be told what to do, and (d) could be motivated significantly by monetary rewards. Up until the time of McGregor’s research, much of the theory and practice in organizational behaviour relied on these basic assumptions. Theory Y substantially differs from theory X through the recognition that humankind’s higher-order needs should be incorporated into the management of organizations. Theory Y assumes that organizational members (a) perceive work as a natural self-fulfilling activity, (b) do not require coercion for work to be accomplished, (c) can more readily focus on the accomplishment of organizational goals if their personal needs are being addressed in the process, and (d) work better in an environment which allows for the expression of individual creativity and imagination. Theory XlTheory Y’s contribution to organizational behaviour theory centres around the recognition that creativity and imagination exist at all levels of organizations. Thus decision making power, rather than being concentrated at the top, can be dissipated throughout the 45  structure of organizations. These theories introduced basic concepts which acknowledged that the self-image of the individual has a great impact on how that individual functions in an organization. If basic and higher-order needs are not met, individual workers (and groups of workers) can undermine the efforts of an organization to adapt to its changing external environment. Subsequent theories and models expanded the understanding of organizational behaviour, but resulted in a theory base which focused on methods and techniques to maintain systems and markets. The dynamic nature of organizations and the external environment and markets served by organizations were not recognized. 2.5.3 Historical Overview of Theories of Organizational Change and Transformation -  Peter Drucker made the first important contribution to organizational change and transformation literature in 1954 when he introduced the concept of “Management by Objectives” (MBO). This management method adjusts organizational resources to achieve defined objectives. The shortcoming of Drucker’s MBO theory was its focus on particular organizational components.  Small-scale tactical interventions could result in significant,  unanticipated, negative impacts on other organizational components and ultimately on the organization’s overall performance. Philip Selznick’s research on the operational dynamics ofthe Tennessee Valley Authority resulted in the concept of “institutionalization” (1957, 16). Selznick observed that without appropriate internal direction and external feedback, organizations can take on a “life of their own,” performing to meet the needs and desires of the employees rather than of the market or constituents the organization was set up to serve. 46  Selznick’s concept of institutionalization (also referred to as goal displacement and cooptation) dispelled the belief that organizations are rational systems. Through the resulting discourse, organizations came to be seen as natural systems which encompass the characteristics of biological organisms  --  most notably the obsession for survival. Amitai Etzioni (1964, 7)  added the concept of “stated goals” versus “real goals” to assist in the prediction of organizational behaviour in organizations under stress or undergoing change. Stated goals are the rational strategies for the achievement of task goals, while real goals are perceived as strategies which will insure individual survival within the organization. When both types of goals cannot be served at the same time, the real goals (e.g. survival) most often define individual and organizational behaviour. Herbert Simon’s (1957) decision-making theory suggested that the key to understanding organizations could lie in understanding constraints to decision-making. March and Simon (1958) defined this process as “bounded rationality” and described three clusters of constraints: (a)  habits, abilities, and other personal characteristics that individuals bring with them into the decision-making process and that influence their actions in certain ways irrespective of the circumstances surrounding a specific decision;  (b)  “motivations, values, and loyalties.., whereby an individual’s strong identification with a certain group whose values diverge from organizational values might limit the individual’s rational behavior” (Mouzelis 1967, 124); and  (c)  the inability of the decision-maker to know either all the variables that might influence the decision or all the possible consequences.  As decisions are bounded by the aforementioned constraint clusters, March and Simon postulated that decision-making was a process of risk management or risk reduction. Without “perfect” knowledge, the decision-maker relies on a labyrinth of formal informational inputs and 47  informal social inputs to arrive at a decision. Etzioni, March, Selznick, Simon and others exploded the rational model myth of organizations. Certainly, within the context of organizational change and transformation, the importance of past experience, present social networks and allegiances, and the nature and quality of information significantly influence the outcome of decision-making processes. How to influence these factors became an important consideration in directing organizational change and transformation.  While March, Simon and others developed theories and models of decision-making within organizations, Katz and Kahn (1966, 314) examined how organizations interact with their  external environment.  This research represents another watershed in understanding  organizations. Up to this point, theories and models developed to modify the behaviour of  organizations focused on changing resource allocations within organizations. Spurred on by 15 Katz and Kahn postulated that organizations operate as open General Systems Theory,  6 constantly responding to inputs from the surrounding environment and impacting the systems,’ surrounding environment through outputs from the organizational system. Another important characteristic of the open-system model is the feedback ioop whereby organizations utilize experience to learn how to adapt and change. The importance of systems theory to understanding organizational change and  General Systems Theory (GSY), was developed by the Austrian biologist, Ludwig von Bertalanffy (1968), who introduced the concepts of closed and open systems which were quickly absorbed by organizational behaviour theorists. 15  16  Please refer to Netting et al. (1993, 140) for examples of open system models. 48  transformation lies in the concept of organizations interacting with a larger environment. This apparent interaction between organizations and communities suggests that organizations play an important role in shaping the dynamic evolution of communities and that organizations must be understood to understand this evolution.  2.5.4 Contemporary Theories and Models of Organizational Change and Transformation -  Contemporary theories and models of organizational behaviour focus on understanding how organizations must change and adapt to the new realities of markets and constituents. These theories came into prominence in the 1980s, as the economies of North America and Western Europe began experiencing the negative impacts of global economic competition. A 1993 Gallup poll, which surveyed the attitudes of 400 executives selected from Fortune 1000 companies (Yellin 1993), concluded that many of the leaders of American business are “change incompetent.” The poli noted that 56 percent of the executives surveyed had no formal planning group to assess the impact of change in their organization. When asked why organizations resist change, 82 percent of the executives replied that management had to protect the status quo, 79 percent noted that they didn’t like to lose control, and 77 percent reported that they simply didn’t know what to do about change. As many early organization theorists had discovered, social factors play a dominant role in how organizations function. In his model of organizational “political power,” Pfeffer (1981, 3) acknowledged the important impact that individual interests play in shaping organizations. These individual interests have a profound influence on shaping power structures in organizations and ultimately 49  on how resources are allocated within organizations. Pfeffer concluded that rationality plays a relatively minor role in the functioning of organizations; organizational leaders are more concerned with control and maintenance of the status quo, and this is achieved through the maintenance of social networks of power. Numerous researchers of “organization culture” (Argyris 1991 1992 1993b, Argyris & Schon 1974, Barczak et al. 1987, Camall 1989 1990, Schein 1985) have expanded Pfeffer’s model of the “political economy.” Schein (1985, 9) defines culture as: “a pattern of basic assumptions invented, discovered, or developed by a given group as it learns to cope with its problems of external adaptation and internal integration that has worked well enough to be considered valid and therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to those problems.” --  --  According to Schein, the culture of an organization is very visible (Schein 1985, 24); observers can quickly sense the norms of operation and the level of production which manage ment expects of the staff. An organizational culture creates an atmosphere of security and continuity; employees feel comfortable and confident within a social system which supports their actions. As long as they conform to the norms of the organizational culture, their peers will continue to include them within this social structure. The positive aspects of organizational culture have a tendency to insulate employees from constant changes in the external environment. An organization’s culture is determined by the behaviour of its social system which is shaped by a unique combination of components, including climate, communication network, status/role structure, management pattern, decision-making methods, and types of individuals (Dyer & Dyer 1986, 14).  The culture encompasses the belief system which defines the 50  appropriate behaviour of individuals and the collective of individuals which makes up the organization. The following elements define the culture within an organization: artifacts, perspectives, values and assumptions (Dyer & Dyer, 16). Artifacts can be categorized into physical (office, logo, etc.), behavioral (rituals, ceremonies) and verbal (expression, stories, myths). Artifacts are the perceptible expressions of the shared perspectives, values and assumptions of an organizations belief system. Perspectives are shared ideas and rules which defme appropriate action. Appropriate action is most often encouraged through a reward system. Rokeach (1979, 2) defmes values as core conceptions of the desirable used as evaluative criteria for the selection of action or desirable ends. Statements of management philosophy normally articulate an organization’s values. Finally, basic assumptions are assumed beliefs which are considered as given and are rarely, if ever, questioned. Included in the organizational culture is what Jesaitis and Day (1992 63) term the individual’s self concept (the central beliefs and feelings the individual has about her or himself). According to Goodstein and Burke (1991, 7), organizational change or transformation literature is concerned with survival, not the socially wrenching process of outright destruction nor the building of new organizations utilizing new human and other resource combinations. This dissertation assumes that it is most socially and economically productive to change the relationships of existing organizational resources, simplify resources, or incrementally add new resources rather than discard and start anew. The significance of this assumption will become more evident when discussing change and transformation at a community level. Although communities may become bankrupt, it is very difficult to destroy them. 51  Carnall (1989, 128) describes change as encompassing the creation of a new synthesis of people, resources, ideas, opportunities and demands. The catalyst to change is most often in the form of either an outside stimulus or a leader who initiates and guides a change process of “creative destruction” (Schumpeter [1943] 1987, 132). Schumpeter was the first author to discuss entrepreneurial activities as necessary components of change (or what will be referred to in this discussion as transformation or regeneration). Although he is most identified with the economic aspects of the “entrepreneur,” Schumpeter was concerned with the creative process of developing new combinations of resources which would throw aside the “status quo’ and allow for social innovation, change and evolution. To achieve change or organizational transformation, a significant portion of the change strategy must address both the potential motivations of the individual and the culture of the organization. To achieve change, the facilitator, or change agent, must also be aware of the type or level of change required by the organization.  2.5.5 Levels of Organizational Change -  Many authors (Dyer & Dyer 1986, Fletcher 1990, Levy & Merry 1986, Tushman et al. 1988) advocate a two-level change model. Figures 2.1 and 2.2 delineate system change and cultural change processes (also described, in the literature as first- and second-order change pro cesses).  System improvement, or first-order change is problem-oriented, focusing on  incremental improvements in the output of organizations. Diagnostic processes are used to determine what is wrong with sub-systems, and then these problems are corrected. Leadership is not perceived to be a barrier to implementing the change event and therefore the process of change is easily controlled. 52  FIGURE 2.1 System Change Cycle Problem Evaluation  Data Gathering  Action Taking  Data Analysis  f  Action Planning  /  Jr  Source: Dyer and Dyer. 1986. Cultural change (also referred to as second-order or transformational change) is a far more wrenching experience. Levy and Merry (1986, 5) describe this level of change as a “multidimensional, multi-level, qualitative, discontinuous, radical organizational change involving a paradigmatic shift.” Values, beliefs and assumptions are questioned. Cultural change concentrates on diagnostic processes which examine dysfunctional effects of core assumptions. Often, because leaders camiot adapt to new internal or external environmental factors, change in how leaders lead is a critical component of the cultural change process. The questioning of all components of the organization (including leadership) results in a change process which is largely uncontrollable. Reality is redefined. As noted earlier in this chapter, a Gallup poll (Yellin 1993) concluded that the vast majority of executives do not want to lose control of their organizations. They therefore deny reality and attempt to fmd magic answers to their organization’s problems by taking action at the 53  FIGURE 2.2 Cultural Change.Cycle  1. Crisis Leader’s 2. Breakdown of Symbols Assumption s Questioned’’’+ Beliefs and Structure -  f  6. New Leadership establishes New Culture Symbols, etc.  3. New Leadership New Assumptions  5. Crisis solved New Leadership becomes New Culture Elite  4. Conflict between Old and New Cultures  1  -  -  -  Source: Dyer and Dyer. 1986. system level rather than at the cultural level. The dynamics of this problem is discussed in more detail in Section 2.5.7 where Chris Argyris’ research into why smart people (in this case executives and consultants) find it difficult to learn is examined. As an introduction to this subject, denial will be explored as one of the stages in the change process.  2.5.6 Stages in the Organizational Change Process -  A number of models, describing the different stages of change which individuals and organizations proceed through, have been developed by Buckley and Perkins (1984) , Carnall (1989 1990), Ley and Merry (1986), Moore and Gergen (1988) Nord and Tucker (1987) . The most elementary model, put forward by Levy and Merry (1986, 273), identifies four distinc t 54  change stages: 1) Crisis, 2) Transformation, 3) Transition, and 4) Stabilization and Development. Moore and Gergen (1988, 376) provide very similar stages, but attach different names to each stage: 1) Shock, 2) Defensive Retreat, 3) Acknowledgement, and 4) Adaptation and Change. Nord and Tucker (1987, 9), who describe change within the context of an innovation process, list stages of 1) Diagnosis, 2) Design, 3) Implementation, and 4) Stabilization. The most complex model in the literature is presented by Buckley and Perkins (1984, 48). Their organizational transformation model is reproduced below: 1.  Unconsciousness Stage: Organization transition begins gradually, with a period of organization unconsciousness that builds a readiness for change.  2.  Awakening Stage: Tile developing awareness and surfacing symptoms form a message to all involved of needed change.  3.  Reordering Stage: Reordering is a probing process integrating the new catalyst with the existing situation and beginning to challenge underlying assumptions of the past.  4.  Translation Stage: Translation is the process of integrating information, metaphorical images and personal visions of the unconsciousness, awakening and reordering stages.  5.  Commitment Stage: Commitment is when the organization takes responsibility for implementation of the new vision.  6.  Embodiment Stage: In embodiment, leadership and employees work together to bring the transformed vision into day-to-day operations.  7.  Integration Stage: As the embodiment of the desired change becomes widespread, the organization reaches a stage of inte gration.  Camall’s model of organization transformation (1989, 133; 1990, 138) is the most comprehensive, within the context of this discussion, as it acknowledges the negative individual 55  motivational aspects of change and makes positive suggestions for overcoming these barriers. 17 Camall assumes that the individual affected by the proposed change “must be the prime mover if change is to be assimilated and if adaptation is to occur” (1990, 138). Change creates stress and apprehension. Transformation creates higher levels of stress and leads to the loss of selfesteem for all members of the organization. Carnall, in Figure 2.3, demonstrates the relationship between stages of the transformation process and performance levels which are affected by the loss or the regaining of self-esteem. He has termed this relationship the “Coping Cycle.” The coping cycle acknowledges that people respond differently under conditions of rapid change. Performance will be affected in three ways (Carnall 1990, 40): 1.  When new systems, processes and methods must be learned, performance can temporarily decline (the learning curve effect);  2.  Individuals must adapt the new systems, processes and methods to function in an appropriate manner (the process effect). Although planned to operate effectively, in reality new systems do not work perfectly the first time around;  3.  During change, some people are motivated or challenged while others can become completely overwhelmed and demoralized (the self-esteem effect). In many cases, the accumulated knowledge of individuals, represented by artifacts, perspectives, values, and assumptions, become suspect or are outrightly rejected. The feeling of comfort with familiar norms and mores is replaced by the fear of the unknown. Reality is redefmed, sometimes many times, and individuals lose their context with reality. All people possess a certain level or threshold of comfort when dealing with uncertainty which, if surpassed, results in complete performance collapse.  As Figure 2.3 illustrates, performance and self-esteem are closely linked. According to  Cohn Carnall has studied organization change in a large number of public institutions and private sectors organizations. Sectors of the economy examined include manufacturing, banking, health care and education (Carnall 1989, 127). 17  56  Camall, the most important factor in re-building performance is the restoration of individual and organizational self-esteem. FIGURE 2.3 The Coping Cycle During Change/Transformation Stage I  Stage 2  Stage 3  Stage 4  Denial  Stage 6  Defence  Discarding  Adaptation  Internalization  Performance  ‘  Self-esteem  Time  Source: Camall. 1990. Levels of self-esteem, and therefore performance, fluctuates as one progresses through the various stages of the change process. Within an organization, individuals may be at different stages at any particular time. Some may be moving forward, some may be moving backwards, and some may be remaining static. Again, change facilitators must recognize the uniqueness of  each change process and the uniqueness of each individual within the change process. Camall subdivides the transformation process into five distinct stages: Denial, Defence, Discarding, Adaptation and Internalization. Stage One  -  Denial  -  Individuals focus on what is working rather than what is not. 57  Responses to suggested change may include “Don’t change a winning team” or “We tried that before but it did not work” (Camall 1990, 141). Tradition and ritual are elevated in importance. There may be a strong association with old ways  --  even with activities people disliked in the  past. The attitude of “We have always done it this way; Why change?” is very strong. Paralysis may set in during major change with the suppression or denial of new ideas and concepts. Selfesteem may increase during this stage due to increased group cohesion and camaraderie. Performance may also increase as individuals, to insure organizational continuity, attempt to demonstrate that the old ways are still effective. Stage Two Defence This is a time when attempts to undermine the change process -  -  take place. These attempts of subversion may focus on the new ideas, on the person (people) who are facilitating the change process, or both. Feelings of depression and frustration (loss of self-esteem) develop in individuals who have difficulty dealing with change. Group support may disappear as individuals are lost in an internal process of attempting to find or rediscover their self-image. Individuals focus on self and therefore organizational performance plummets. Stage Three  -  Discarding  -  Individuals commence the process of change, finally  recognizing the futility of holding on to the past. As Camall (1989, 143) notes, why and how this transition occurs is not understood. Discarding involves a perception of acceptance of the inevitability and necessity of change. Discarding requires time, and change facilitators must recognize the need for an atmosphere which allows for experimentation and risk-taking. Through experimentation and risk-taking, individuals can reconstruct a new self-image, thus stimulating optimistic feelings towards self and the organization. Stage Four  -  Adaptation  -  this stage encompasses a process of mutual adaptation. 58  Individuals begin to adapt to the new systems, procedures and structures and, in doing so, identif’ and rectif’ problems in the functioning and operation of these new components of the workplace. Performance and self-esteem increase as individuals redevelop their self-image. Stage Five Internalization -  -  Individuals have reconstructed themselves as valuable  resources, have improved the functioning of various components of the new organization and have redefined their social relationship with other people within and outside the organization. People have redefined reality and have defined their self-image within that new reality. The new organization becomes the norm; people feel secure within this normalcy, and self-esteem and performance return to previous levels or may increase. Managing changes in self-esteem and performance are only two of a number of factors which are perceived as important to consider during change/transformation processes. Additional factors will be expanded upon in the next section.  2.5.7 Factors Encountered during Organizational Transformation -  Both supportive and hindering factors to change emerge during a transformation process. To ignore any one of these factors is to place the transformation process injeopardy. Resistance to change centres on fear of the unknown; helping people to overcome this fear is probably the most important step in reducing barriers to change and facilitating the process towards a favourable outcome (Fletcher 1990, 100). Goldstein (1989, 34) defines resistance to change as “the equilibrium-seeking mechanism of homeostasis.” Within an organizational context, stress is created as a result of the lack of a perceived or defined future. The first response, for many individuals, is to resist or construct bar59  riers. Goldstein (1989, 35) identifies five definitive characteristics of organizational resistance: 1. It is systemic  --  blocking change by way of homeostatic mechanisms;  2. It has to do with survival when the change introduced is perceived as threatening the fundamental identity assumptions of the work group; 3. It has the appearance of wilful opposition because it sees survival as being the primary issue; 4. It will increase in strength if met with offensive action; and 5. It strives to maintain equilibrium in terms of its identity, assumptions, behaviours and environment. This section examines a number of barriers to organizational transformation and presents suggestions, identified in the literature, to overcome these barriers. Desire to Maintain the Status Quo A great assortment of actions come into play during the denial and defense stages of organizational change. Dyer & Dyer (1986, 20) describe the desire to maintain the values, beliefs, and assumptions of the organization. According to Goldstein (1989, 35), individuals react by attempting to maintain organizational equilibrium in terms of identity, assumptions, behaviour, and environment. McCurdy (1989, 307) notes this action comes into play as a natural force in aging organizations.  Essentially as Kirkpatrick (1993, 31), Mink (1992, 30),  Schermerhorn et al. (1991, 500) and others report, the need for change is neither felt nor per ceived. During the defense stage of change, a process of subversion may take place when people, particularly those in preferred positions, feel that change may result in more harm than good (Kirkpatrick 1993, 31). Change may require too much effort, may come at a bad time, or may 60  result in more responsibility. Key formal and informal leaders in an organization may attempt to subvert the change process by providing contrasting information (Schermerhorn et al. 1991, 500) or by providing mis-information (Forester 1989, 36). Mis-information can be countered with information which clarifies the uncertainties of the situation and which is honest about components of change which cannot be explained or clarified (Carnall 1989, 136). Organizational members should also be provided with a mechanism which provides a continual flow of information. An excellent discussion of methods to overcome misinformation is presented in Planning in the Face of Power (Forester 1989, 33-47). Leadership and Uncertainty From early childhood, humans are taught to be in control, particularly in situations which may be threatening or embarrassing. Skilled leaders spend a great deal of time, through education and practice, acquiring the problem-solving skills which secure organizational continuity within their particular profession. Argyris (1991, 100) terms the skills of problemsolving “single loop learning,” or learning which modifies basic routine behaviour. Leadership is awarded to individuals who have demonstrated an ability to respond to change in a controlling manner which ensures organizational continuity (survival). Ironically, successful problem-solvers often cannot cope with “double-loop learning” which Argyris (l993a, 5) defines as learning which corrects errors by questioning the values, beliefs and assumptions of an organization. In double loop learning, the very norms of structured problem-solving are questioned.  Successful problem-solvers, with a lack of  experience in failure, become defensive, ignoring criticism and blaming other people for organizational problems. As Argyris contends, leaders’ “ability to learn shuts down precisely 61  at the moment when they need it the most” (1991, 100). Leaders, and the organizations they lead, enter a state which Schermerhorn et al. (1991, 500) call the “fear of the unknown.” There is a desire to survive and to maintain control. Too many changes occur at once and individuals are incapable of tolerating a high level of ambiguity. Bosses who used to know the answers don’t any more. The organization enters a state of dysfunctionality. Schermerhom et al. note that, for profit-driven organizations, this will lead to bankruptcy if it is allowed to continue. For non-profit organizations or government institutions this state of dysfunctionality may continue for some time if the illusion of meeting institutional mandates can be maintained. Overcoming these barriers to change is difficult, as leaders must acknowledge that the skills which they have most prized and which are most prized by their peers, must be discarded. In order to meet the challenge of double loop learning, Argyris (1991, 100) recommends a new way of thinking called “reasoning productively.” Constant questioning of organizational values, beliefs and assumptions is a basic component of double loop learning. The constant testing of inferences and critically questioning conclusions should become standard components of decision-making. Leadership and Vision Lewis Carroll’s famous quote “If you don’t know where you are going, any road will lead you there,” can be applied to the change process. The unknown, with its accompanying elements of uncertainty and unfamiliarity, will close down people’s ability to adapt and evolve towards a new organizational state. People can be reactive and allow change to take them and their organization where someone else may want it to go, or they can be proactive and attempt to 62  shape the future. The process of visioning (Barczak et al. 1987, 26) can assist organizations in reducing the ambiguity brought about by change.  Visions of changed goals and visions of the  transformation process (Moore & Gergen 1988, 380) experienced in moving towards the changed state can provide a level of concreteness or comfort to people. Tolerance for ambiguity, and acceptance of adaptation, should be instilled as elements of the transformation process, because the end state of change may not evolve as originally anticipated. Learning As previously discussed, change involves discarding a significant portion of accumulated knowledge, learning new knowledge, and often learning new ways of learning (Argyris 1990, 136). Mink (1992, 34) notes that learning has traditionally involved training which centres on highly-structured, standardized, and repetitive processes to develop skills in problem-solving. Skills ofjudging, focusing, and rejecting are valued (Carnall 1989, 38-39). Carnall (1989, 129) suggests that learning in support of organizational change will require the exploration of deeply held values, beliefs, and assumptions. Furthermore, he adds that this type of learning will involve conflict. Drucker (1985, 260) feels that organizations are evolving to a state of continuous learning, where habits of flexibility will become normal and accepted skills. Skills which explore contradictions and dilemmas, generate rather than judge ideas, creatively scan rather than focus thought, and incorporate rather than reject constructive criticism will be valued. Planning, Decision-making and Communication Formal planning to assess the impact of organizational change receives low priority for 63  the majority of large organizations (Yellin 1993). When planning does take place, it tends to be undertaken by top management (experts) in a mechanistic manner. Since only top management participates in the process, only one perspective to problem identification and resolution is entertained. Difficulty is encountered in isolating the problem (Carnall 1990, 38) as the problem, in many instances, lies within the group doing the planning. Once a solution has been identified, difficulty is again encountered in implementation. People affected by the change were not involved in the problem-solving process (therefore the wrong problem may have been identified) and may not be consulted or personally informed about the proposed change to the organization (Kirkpatrick 1993, 31). This unidirectional process of planning results in the repression of feelings, ideas and potential solutions. Opening up the process of planning and decision-making can result in multichannel (upward, downward, lateral) communication (Mink 1992, 35). Encouragement to express feelings and ideas, without the fear of reprisal, can result in a process of organizational selfexamination; value, belief and assumption shifts; and organizational reconstruction. Moore & Gergen (1988, 380) suggest that more flexible and responsive communication channels can result in the early identification of difficulties in the transformation process. Corrective actions can be undertaken to assist in guiding the change process to a positive conclusion. Power and Politics An important component of the culture of an organization is its political structure and the power that this structure wields. Formal leaders normally espouse processes of change, while informal leaders can derail a change process if their power is not recognized and adjusted for (Schein 1985, 37). Schein maintains that, within a political arena, “the effective change agent 64  needs a power-oriented approach to achieve organizational change objectives” (1985, 37). Important factors in understanding power are centrality/dispersal and individual/collective gains. Power bases are continually developed and redeveloped. Power can be acquired through expertise, information, political access, staff support, tradition, or through a combination of these factors. Power, and the direction of power through politics, should not be perceived as negative elements which should be suppressed or avoided. They are an integral part of any organization. The Role of the Individual Ignoring individuals may be one of the most formidable mistakes in attempting to implement change (Carnall 1989, 128). Individuals fear losing their jobs, status, contacts or favourable working conditions (Kirkpatrick 1993, 31). People fear failure, do not understand the benefits of change, or don’t trust the change initiator (Mink 1992, 30). According to Moore and Gergen (1988, 375), the major reason for resistance to change is the lack of a culture which encourages risk-taking. Schermerhorn et al. (1991, 500) suggest an “environment of security” must be built before individuals can buy into the change process. Camall (1990, 119) stresses the important role rebuilding self-esteem plays in moving the change process forward. Support must be provided to allow individuals to deal with problems  --  sometimes in a confrontational manner.  Resistance, confrontation and conflict must be recognized as integral components of the change process and, rather than being suppressed, they should be used in a positive manner. Creating this climate of respect for individuals can be undertaken through the use of empathy and through the development of an environment which encourages risk-taking and experimentation. The testing of new realities will help shape a new vision of the organization 65  and will demonstrate where individuals fit into that vision. Resources Finally, Schermerhorn et al. (1991, 500) identify the lack of resource control as a key impediment to organizational change. Mink (1992, 35) identifies rewards such as salary, benefits, budgets, and symbols as potential resources. Carnall (1989, 132) identifies additional resources, including political resources; control of information, agendas or access to key people; skill resources such as negotiation, influencing, mobilizing support, mobilizing bias; and the use of emotion, ceremony, ritual and professional “mystery.” Methods of demystifying or wrestling these resources from established power structures must be accomplished for change to take place. Summary Humans seek to be in control at all times.  We feel good when we can produce  consequences that are intended. We dislike being out of control. According to Orstein and Ehrlich (1989, 74), in early childhood, we develop mental programs which allow us to be in control and to avoid embarrassment or threats. Planning for the future is one technique which allows us to guide change. Planning involves thinking through how change and adaptations will affect a situation and then responding to these potential changes in a manner which will result in positive and beneficial change. Important elements of organizational change which may apply to community institutions have been reviewed in this section. The next section will examine theories of change and trans formation within community planning and development literature.  66  2.6 Planning Theory -  18 has been shaped by a belief that enormous societal The history of modem planning problems can be solved through the application of foresight and coordination within the public realm. Planners can be perceived as future-oriented facilitators who have skills in rational analysis and problem-solving. A major focus is on ensuring the rationality of decisions. Friedmann (1987, 98) observed that “Human beings strive for formal rationality’ 9 in their actions, but the more they try, the more they run headlong into trouble: society is not a logical structure designed by engineers, but rather consists of both logical and illogical elements and relations.” Friedmann (1987) organizes planning theory into four traditions which describe two centuries of evolutionary planning thought. He classified the first two traditions, Social Reform and Policy Analysis, as processes of planning which maintain the status quo, while the last two, Social Learning and Social Mobilization, are classified as processes of plarming which allow for societal change and transformation. 2.6.1 Traditions of Planning Status Quo -  -  The Social Reform planning tradition focuses on the concept of institutional social guidance. Friedmann (1987, 33) describes social guidance as a concept which is concerned with  A brief history of modern planning is summarized in Dear (1986, 377) and Hodge (1991, 2133). During its early stages of development, Canadian planning was strongly influenced by the traditions of British planning. The history of modern British town planning is summarized in Goodchild (1990, 126). 18  Formal rationality describes a process of logical thinking and decision-making based on one’s upbringing and experience (ie. personal attitudes, concepts and ideas). Therefore, formal rationality may vary significantly from one individual to another. 19  67  ° institutions. State institutions include organiz 2 system maintenance through established state ations directly controlled by the state, such as bureaucracies, and organizations indirectly controlled by the state, such as the corporate economy. Social guidance implies a top-down form of management and control of public affairs. Social Reform promotes the concept of professionalism in planning; the planner is seen as a specialist who utilizes the scientific paradigm to arrive at knowledge-based recommendations which address opportunities or problems facing society. The complex knowledge-based science of planning results in the citizen being disassociated from the planning process. This paternal form of societal control ensures political stability through the concentration of knowledge within a professional elite. It presupposes that change or social transformation, when required, is incremental and is brought about by working within the established institu tional structure of the state. Policy Analysis is the second tradition of planning which reinforces the power of the status quo. Policy Analysis focuses on rationalizing the decision-making process. An early proponent of this tradition of planning, Herbert Simon, centred his research on utilizing the objectivity of science to improve the decision-making process of large organizations. He viewed Policy Analysis as the “Science of Design” (Simon [1969] 1981). His methodology “stressed synoptic analysis and decision-making as the means of identifring the best possible course of action” (Friedmann 1987, 78). The state is ultimately controlled by the elite of any society. This elite is comprised of private- and public-sector leaders who provide societal direction which will insure the continuation of the “status quo.” This concept is applicable to both communist and market social political systems. 20  68  According to the Policy Analysis tradition, the complexity of society could and should be reordered into simplistic models. Society becomes a machine which can be taken apart, analyzed, engineered, and then reassembled as a more efficient machine. A central theme of Policy Analysis is that the unencumbered market should be allowed to allocate resources to their highest and best use. Decisions which result in economic growth and societal equilibrium are sought.  Abstract components of decision-making, including political processes and  environmental considerations, are either ignored or acknowledged in a quantitative manner. Social Reform and Policy Analysis are the dominant traditions which guide planning practice and modern development theory. Both traditions serve neo-classical economics and established power structures. Planners within the tradition of Social Reform function as advisors to the power elite and strive to optimize the allocation of resources within the constraints imposed by the powers of the state. Policy analysts function as specialists in the structuring of decision-making for the powerful. Both traditions provide tools to arrive at the “best choice.” Unfortunately the question of what is “best” is narrowly defined within the parameters of neo classical growth economics. There are many critics of the above two planning traditions. Birkeland (1991, 82) notes that planning, while originally trying to address distributional issues, has become an integral element of the economic resource allocation process that is destroying humankind and the planet. The patriarchal relationships (domination of man over woman, man over nature, and the strong over the weak) established within industrialism are retarding change towards a more equitable development paradigm.  Dear (1986, 379) describes post-modern planning practice as a  “ritualized choreography of routines,” concentrating onjustif’ing the actions of the state and of 69  the property development industry. Dear asserts that most post-modem planning activities have lost the long heritage of utopian visions and the ideological commitments of the 1 960s and 1970s. Duany (1991) chastises community planners, stating: “It is an extraordinary arrogance of the current planning profession to fix zoning forever.” Jane Jacobs, who is less polite, comments that “our planning departments seem to be brain-dead in the sense that we cannot depend on them in any way, shape or form for providing intellectual leadership in addressing urgent problems involving the physical future of the city” (Barber 1993, A-3). Jacobs commends citizen activists for championing innovative solutions to urban problems, in spite of the inertia, red tape and barriers put up by city planners and other bureaucrats. As agents of the state, a great deal of professional planning activity involves maintaining the status quo through the creation and administration of official community plans and zoning and subdivision by-laws, all of which inhibit change.  2.6.2 Traditions of Planning Change and Transformation -  -  Social Learning is an ongoing process that “begins and ends with action” (Friedmann 1987, 181).  Knowledge obtained from experience defines future action which results in  additional knowledge. Initiated and led by established institutions, Social Learning is a bottom up approach to planning which is based on a knowledge of reality and practice. Social Learning should take place within small task-oriented groups or temporary social systems which learn from their actions and the actions of others around them. Groups may be assisted by change  70  21 who stimulate, guide, and facilitate the process of learning. agents The process of Social Learning encompasses interpersonal skills such as listening, trust, empathy, and the ability to suspend hierarchical relationships. Personal growth and discovery are major goals in the social learning process. Social learners may use either single-loop learning, which involves changing strategy, or double-loop learning, which involves modifying images of reality through changes in values, beliefs and assumptions. Changes can take place at an individual, group, organizational, community or societal level. The double-loop process of learning results in significant change because it ultimately restructures reality. Friedmann (1987, 181) defines Social Learning as “a complex, time-dependent process that involves, in addition to the action itself (which breaks into the stream of ongoing events to change reality), political strategy and tactics (which tell us how to overcome resistance), theories of reality (which tell us what the world is like), and the values that inspire and direct the action.” Social Learning recognizes change as a basic component of human existence and advocates a proactive approach to guide change processes to positive ends. The first three traditions of planning, Social Reform, Policy Analysis and Social Learning, advocate managed change from within institutionalized power structures. Social Mobilization advocates politics of confrontation. The origins of Social Mobilization as a planning tradition can be traced to the negativism of the “Industrial Revolution” and the positivism of the “Enlightenment.” Advocates of Social Mobilization believe the immediate A change agent is anyone (planner, community development worker, citizen activist, teacher, etc.) who encourages, guides and assists in the process of changing reality. Using formal knowledge, they enter into a transactive relationship with their client (group, community, etc.) which results in mutual learning (Friedmann 1987, 185). 21  71  negative aspects of industrial capitalism (the social and economic degradation of human beings) far outweigh the benefits. Utopianism, social anarchism, and historical materialism constitute the three major movements of the social mobilization tradition. Experiments in utopianism have provided examples of new types of community-based social and economic systems operating in isolation from the state. The utopian movement is primarily concerned with “the perfectibility of life on earth” (Friedmann, 1987, 229). Utopians believe that changing the environment in which people live results in behaviour change. Utopian thought has given us the passion of Fourier and the social harmony of Owen. Experiments in social anarchism have shown us the power of forming large federations of cooperative and mutually supportive groups, and have demonstrated the effectiveness of mass action against hierarchical organizations.  A central theme of social anarchism is the  “denunciation of all forms of authority, especially the state’s” (Friedmann, 1987, 236). Concepts of universal spontaneity, public consciousness, and social self-management are advocated for the maintenance of civil order. Marxist historical materialism, which culminates in a “science of social revolution,” has helped us understand the historical evolution of class structure and the use of politics to suppress class struggle. It has demonstrated the significant role class consciousness plays in mobilizing revolutionary practice. Social mobilization has contributed a rich quality of thought to planning theory through the development of alternatives to the status quo. The last of Friedmann’s planning traditions has played an important role in questioning “what is,” and thus creating the intellectual space to 72  think of “what can be.” 2.6.3 Summary -  Over the past century, and particularly since the second world war, planning, within the traditions of Social Reform and Policy Analysis, has been used by the state as a tool of control. As the principal forms of planning within industrialism, these two traditions of planning have promoted economic growth. The result has been unprecedented rates of material progress and wealth accumulation. The state has permitted controlled experimentation within the tradition of Social Learning. This experimentation has principally taken place within segments of society (rural regions and urban ghettos in developed countries) which have been marginalized by economic progress. Friedmann (1987, 185) suggests that “double-loop” social learning processes can potentially create profound changes in the imaging of reality, values and beliefs. Milbrath (1989, 85) views Social Learning as a way of “learning our way out” of the present environmental crisis. Advocates of Social Mobilization have recognized how industrialism has controlled change in society. Operating outside the influence of the state, this planning tradition has developed new paradigms of development.  Utopianism, social anarchism and historical  materialism have attempted to redefine reality through behavioral and/or structural change. Social Learning and Social Mobilization offer exemplary examples of passive and active confrontational processes. Knowledge of Friedmann’s four planning traditions, combined with an understanding of how industrialism maintains itself, can allow planners to discover ways to create and implement processes which can lead humankind towards new, sustainable development paradigms. 73  2.7 Change Processes Towards Sustainability -  Over the greater part of history humankind has been dominated by nature. As society evolved, this relationship was reversed through the harnessing of steam power and use of vast reserves of non-renewable energy resources. Figure 2.4 illustrates our present linear relationship  with the environment. By drawing resources from the natural environment and disposing wastes back into it, humankind dominates the environment. The circle denoting the economy is larger than the circle for the environment, illustrating our belief that the economy holds more importance than the environment for the continuance of human society.  FIGURE 2.4 Anthropocentric Human-Natural Environment Relationship  Waste  Resources Source: Wackemagel. 1993. As we redefine our lifestyles to reflect our dependence on the natural environment, our association with nature might be represented by Figure 2.5. This new relationship acknowledges the encompassing importance of nature. It recognizes that the community is a subset of nature, while the economy is a subset of both nature and community. In this representation, the role of 74  the economy is to serve both the community and the natural environment. FIGURE 2.5 Biocentric Human-Natural Environment Relationship  Nature  Nature  Nature  Nature  Source: Sadler and Jacob. 1990. Figure 2.6 represents a model of a change process which has been envisioned to move humankind from an antbropocentric woridview (where development is focused on economic activity and a dependence on growth) to a biocentric woridview (where development is focused on ecological sustainability and social equity). The left-hand side of the model represents the dominant industrial paradigm (anthropocentricism) of development. The width of the concentric rings or bands of social, economic and ecological value sets represent the magnitudes of importance held by society towards these values. On the right-hand side of the model, the new ecological paradigm of development (biocentricism) is represented. The width of the bands have 75  changed to a more equitable representation of social, economic and ecological values. The principal set of values in this new development paradigm is ecological in nature. This acknowl edges the need for sustainability to be dominant in our development models and activities. The overall magnitude of the circles are reduced to represent the reduced impact of humans on the natural world.  FIGURE 2.6 Change Process from an Anthropocentric to a Biocentric Woridview New Ecological Paradigm  Dominant Industrial Paradigm  (Biocentricism)  (Anthropocentricism)  The area between the two development paradigms is defined as the zone of change and transformation.  Lines cross within this zone denoting an environment of turbulence and  uncertainty in which change and transformation occurs.  Within the Zone of Turbulence,  incremental processes of social learning and social mobilization occur. This inter-paradigm zone corresponds to the denial and defense stages of Carnall’s (1990, 138) coping cycle (see Section 76  2.5.6) model; individuals, organizations, and communities either find ways to adapt to the new realities of community sustainability or they find ways to resist change in an attempt to maintain the familiarity of the status quo. A small number of researchers have begun to examine this Zone of Turbulence which encompasses the transformation process from anthropocentricism to biocentricism. Carley and Christie (1993, 147-201) call for innovative management processes to assist in this movement towards sustainability. They describe increasing environmental degradation and a rise in public awareness as a progression in problem complexity to a level they term “meta-problems.” These meta-problems are so complex, and their component elements are so dispersed throughout society, that they cannot be addressed by traditional government institutional structures and processes (Stewart 1991, 171). Politicians and the general public may understand that automobiles are a major cause of environmental degradation (the substantive issue), but rarely do they understand the complex nature of government institutions and private sector organizations which plan and maintain the automobile system. Nor do politicians and the public understand the complex procedures required to create change (process issue) within this bureaucratized automobile system. Yet as Carley and Christie argue (1993, 161), institutional transformation and accompanying decision making processes are basic prerequisites for the movement towards sustainability. Self (1986, 329) describe these meta-problems, or breakdowns in institutional problem solving as the “limits of governance.” Two factors, one encompassing the external environment within which government institutions function and the other internal to the structure of government, create this “limits to governance.” The former limiting factor relates to the dynamic 77  nature of modem society. Carley and Christie note (1993, 149) that, with the rapidity of change and the evolution towards a global economic market structure, a climate of endemic uncertainty and turbulence pervades society. The second limiting factor relates to the compartmentalization, both in their structure and in their policies and regulations, of government institutions. The rapidity of change calls for new organizational structures to deal with the meta problems of environmental degradation, while the compartmentalization of government institutions and the accompanying resistance to change call for the evolution of structures, policies and regulations to address these meta-problems. Carley and Christie would like to see the unification of inter-agency and inter-governmental policies and the forging of more tenable environmental management systems. The establishment of new environmental management systems, however, are being impeded because of “fear of internal conflict, or because political resources are fragmented or ideological divisions are intense [within government institutions]” (Carley & Christie 1993, 149). As Carley and Christie note, “governments regularly pursue contradictory policies and politicians lack the will or a motivation strong enough to force them to undertake the difficult mediation among conflicting economic, social, and environmental goals that diverge substantially from the status quo” (1993, 149). Traditional “command and control” (C&C) management techniques lack the responsiveness, creativity and initiative to deal with the meta problems of environmental degradation, and they are not able to foresee and to prevent currently evolving meta-problems. Traditional C&C management systems are well adapted to dealing with planned or first-order change and cause-and-effect problem-solving. Unfortunately, when confronted with unplanned change and second-order change processes, which redefine 78  community values or present decision-makers with multiple sets of competing values, traditional management systems cannot cope. Institutional barriers rapidly evolve to maintain familiarity (refer to Section 2.5.6 Stages in the Organizational Change Process), and elements of denial -  and defense are developed to maintain the status quo. Lee (1993, 5) describes a need for both a scientific compass, or substantive knowledge, to chart the way and a gyroscope to maintain political stability as we develop new management skills which can assist in the transformational process towards sustainability. Lee feels that, over the past decade, the compilation of substantive knowledge defining a sustainable future has surpassed the formation of political processes and the development of new management skills to overcome complex barriers to change. Pearce et al. (1993, 186) outline a transformational process (refer to Table 2.11) towards sustainability which recognizes the initial reluctance of developed nations to move away from their present consuming lifestyles. This transformational model implicitly incorporates the “limits of governance” discussed by Self and the need for new management systems discussed by both Carley and Christie, and Lee. The model recognises humankind’s reluctance to change by incorporating incremental change steps during the transformational process. This model, which represents one of an infinite number of processes or scenarios which could be followed by society in the movement towards sustainability, is presented for illustrative and discussion purposes. During the early change stage (ultra-weak sustainability), organizations outwardly acknowledge the need to integrate policy, but they do little to accommodate this integration process within and between organizations. Minor tinkering with the economy to improve 79  economic efficiency is viewed as the optimum method to move towards sustainability. Only a small segment of society is aware of the substantive changes needed to achieve sustainability. The rest of society has only a vague conception of how sustainability would impact on its current lifestyle.  Discussion groups are set up within organizations to explore the impact that  sustainability may have on the future internal sustainability of the organization. Experimentation in inter-organization consultation takes place. TABLE 2.11 A Possible Map of the Sustainability Transition Policy Stage One Ultra-Weak Sustainability  Lip service to policy integration  Stage Two Weak Sustainability  Stage Three Strong Sustainability  J  Economy  Society  Discourse  Minor tinkering with economic instruments  Dim awareness and little media coverage  Corporist dis cussion groups; consultation exercises  Formal policy integration and deliverable targets  Substantial restructuring of microeconomic incentives  Wider public education for future visions  Round tables; stakeholder groups; parliamentary sur veillance  Binding policy integration and strong international agreements  Full economic valuation; green accounts at business and national level; green taxes; offsets  Curriculum integration; local initiatives as part of cornmunity growth  Community involvement; twinning of initiatives in the developed and developing world  Source: Pearce, David, et al. 1993. Blueprint 3: Measuring Sustainable Development. Earthscan Publications: London. During stage two (weak sustainability), formal policy integration takes place and achievement targets are defined. The economy undergoes significant restructuring through the use of microeconomic incentives. At a societal level, future visions of sustainability are 80  examined through a social learning process. Discussion is stimulated and maintained through the use of stakeholder groups in “Round Table” processes. Parliamentary surveillance is employed to insure progress towards sustainability rather than reversion to traditional societal norms. Pearce et al. expect the first two stages to span up to twenty years; the final stage may take much longer to accomplish. During this final, or strong sustainability stage, national policy integration will be accompanied by strong international agreements. Economic externalities will be eliminated, and full economic valuation will become the norm. Green accounts, green taxes and offsets will be established at both the enterprise and the community, regional, provincial, and national levels.  The organization of natural and social sciences into compartmentalized  disciplines will be replaced by curriculum integration within educational institutions. The substantive and process knowledge to bring about sustainability will be developed to a sophisticated level allowing implementation of initiatives which contribute to sustainable community development. Participatory processes will allow inclusive discourse at a community level and between communities in the rich and poor nations of the world (Refer to Appendix D for a possible process to move towards a sustainable urban transportation system). Carley and Christie discuss skills needed to facilitate this transformation process towards sustainability. These skills, holistic thinking, risk taking, action learning, integrating, action teaming, and networking, coalesce around the two limiting factors of governance discussed earlier: the first encompasses the dynamic nature of society which brings about turbulence and uncertainty, and the second encompasses the compartmentalization of agencies which isolate policies and decision-making. 81  Environmental problems must be confronted, addressed and resolved in a turbulent atmosphere which is characterized by the following elements: uncertainty; conflicting and ill defmed needs, preferences, and values; blurry consequences of potential actions; and uncertainty in resource availability. According to Stewart (1991, 171), problems within such a turbulent atmosphere must be addressed using holistic thinking and risk-taking skills. Argyris and Schon (1974) see the need for a process of learning (theory-in-action or action learning) in which knowledge is continually tested and reconstructed. Action learning, which is based on self and organizational development encompassing cultural change, is a process which accepts possible alterations to deeply held beliefs and entrenched patterns of organizational behaviour. Carley and Christie feel that “organizations [confronted with meta environmental problems] that do not engage in cultural change. which gives rise to innovation remain immured in what have been called ‘culturally programmed strat egies.’ These [strategies] emphasize continuity, consistency, and stability in order to maintain the status quo” (1993, 177). Evaluative processes, designed to constantly question culturally programmed strategies which perpetuate unsustainability, are needed. Elder (1992, 127) suggests that the role of Environmental Impact Assessment (EIA) can be expanded to address social and economic sustainability issues. Environmental Impact Assessment is “a systematic process that examines the environmental consequences of development actions, in advance” (Glasson et al. 1994, 3). It is a tool or technique which is used in the decision-making process to assist in defining trade offs associated with a proposed development action. The present dominant use of EIA has a number of flaws which must be overcome if it 82  is to be used in assessing sustainability issues and actions. According to Elder (1992, 130), these flaws include “the scope of the process (it often applies only to projects, not policies, programs, new products, or technologies), the fact that it applies to new, not existing activities, a lack of opportunities for public involvement, inadequate post-project analysis, and a lack of objectivity in using technical information.” Gardner et al. (1988, 42) support Elder’s observations noting that to support sustainability, ELA must move from a reactive mode (pre-project evaluation) to a proactive or anticipatory mode (carrying capacity assessment) which evaluates new and ongoing activities and processes. Within the institutional realm, Elder (1991, 843) suggests that ETA should become part of the planning and approval processwithin international, national, provincial and local levels of government. “Any policies, plans, legislative and expenditure proposals, programs, projects and operational procedures with the potential to cause a net negative impact on the bio geophysical environment, or on human health or well-being, would be included [in ongoing EIAs]” (Elder 1992, 139). To realize this new role for ETA, new norms of operation should be introduced into traditional government management and decision-making processes. Gardner et al. (1988) and Elder (1992 & 1991) suggest a number of new operational norms. The first would involve placing responsibility for sustainable environmental impact assessment (through legislation) on all government decision-makers. This would move sustainability concerns from environmentaloriented government institutions to all government sectors and all levels of decision-making (Elder 1991, 842). The second would involve opening up, to public scrutiny, the traditionally secretive process of policy development (Elder 1992, 139). 83  The third new norm of operation would have ongoing ETA processes consider the cumulative effects of human activity on the natural environment. Many severe environmental degradation processes, such as forest loss, soil degradation, climate change, water degradation (refer to Table 2.4, Key Indicators of Ecosphere Degradation), and urban growth and  infrastructure expansion (refer to Chapter Two, Section 2.3.4) result from many small incremental actions which, in totality, contribute to severe ecological deterioration. Gardner et al. (1988, 9) describe this new norm of operation as “Cumulative Environmental Assessment” (CEA). They believe that “CEA should take ETA beyond the project level to program and policy level concerns, broaden its spatial and temporal scope, and be more comprehensive and interdisciplinary, as well as better integrated with impact monitoring and management systems” (Gardner et al. 1988, 9). According to Elder, CEA would ensure that “if plans and policies are assessed, a series of projects should no longer be able to accomplish piecemeal an overall plan which escaped assessment.” (1992, 139). ETA and CEA are two of a number of tools which are needed in the movement towards sustainability.  Pearce et al. (1993, 193) discuss the need for new skills in integrative  management. Integrative approaches, such as consensus decision-making, and decision-making involving top-down and bottom-up inclusionary processes, in which policy and other guiding elements of organizational culture become complementary rather than contradictory, should be encouraged. The complexity of environmental problems may require the formation of temporary organizations and action teams to work with established bureaucracies. Unencumbered by an established organizational culture, these action teams could focus solely on environmental 84  problems. They could draw resources from existing agencies when needed, learn by confronting what would normally be considered unresolvable problems or dilemmas, and grow into more sophisticated tasks. When they were not needed, team members could return to their line agencies, but they would remain as key links into these agencies if new human or informational resources were required by the environmental action team. Key links into established organizations can evolve into multi-agency networks or actioncentred networks. Carley & Christie (1993, 177) observe that these networks can be structured to encourage learning, adaptation and change within and between organizations. The networks allow employees the psychological space to indulge in the creative and innovative processes of learning to learn.  2.7.1 Concluding Comments -  Complexity, change, and turbulence are common characteristics of modem society. Environmental issues are meta-problems which encompass the characteristics of uncertainty, conflicting values of a multitude of stakeholders, and obscure outcomes for actions taken. As Carley and Christie note, it is “common for governments to excuse inactivity on a meta-problem by arguing that not enough is known about it, or because it spans functional departments and political jurisdictions” (1993, 164). This inactivity cannot continue. The reshaping of the natural world is degrading the functioning of that world in ways unanticipated by society. Barriers perpetuating inactivity must be identified and overcome to propel society towards sustainabiity. The next chapter presents a research methodology which is designed to identify barriers to change and to examine a number of institutional barriers in-depth. 85  CHAPTER THREE 3.1  -  -  RESEARCH DESIGN  Introduction Researchers, and increasingly political representatives, government officials and the  public, discuss the need for a movement towards a state of sustainability (refer to Chapter Two, Section 2.4 and 2.7; Daly & Cobb 1989; Rees 1992a; United Nations 1992). Some political commitment to sustainability exists, yet actions to create change do not seem to be taking place. Instead, current actions seem to be moving society towards a greater state of unsustainability (refer to Chapter Two, Section 2.4 and Chapter Four, Sections 4.3 & 4.5). Few studies have examined why sustainability solutions are not being implemented by society. Those studies that do exist (British Columbia Round Table 1994, Carley & Christie 1993, and Pearce et al. 1994) tend to examine implementation problems at an international, national or provincial level. Studies which examine attempts to implement concepts of sustainability at a local level are not apparent in the literature.’ This chapter begins with the development of a conceptual model of the planning process at a local level. This model helped to develop the researcher’s understanding of local planning processes and why these processes might not be assisting the movement towards sustainability. Due to the complexity of communities, it was necessary, at this point, to focus the research on one community and one substantive issue. The rationale for choosing a site and substantive issue are described. The foregoing conceptualization process assisted in the  1  Local-level studies of this type were not discovered in the literature search carried out for this research program. A recent Master’s thesis (Moore 1994), completed during the final stages of writing this dissertation, is an exception. The thesis examined barriers impeding the implementation of recommendations supporting a movement towards sustainability contained in the report Clouds of Change (City of Vancouver 1990). 86  definition of a research question and subsidiary questions. These questions defined what methodological approach to use.  3.2  -  Development of Conceptual Framework A framework was developed to conceptualize the planning process which takes place  at a local government level. This conceptual framework assisted in defining what questions to ask, what data to analyze, and how to organize the study findings. The planning process can be most simply conceptualized as a system with inputs and outputs. The theoretical planning process model, which appears in Figure 3.1 was developed by the researcher drawing on ideas from organizational and community change literature. 2 As Figure 3.1 shows, the outputs from the system (budgets, formal plans, informal plans, position papers, processes, and procedures) can be conceptualized as dependent variables whose form, and implementation depend upon a planning system which is comprised of a set of independent variables (structures, corporate culture, skills, etc.). These planning system components can also be considered a set of dependent variables whose structure and function should theoretically depend upon inputs to the system (independent variables such as citizen pressures, political directives, and external consultants reports). The Input Stage takes place predominantly within the political realm where public debate and political decision-making result in inputs to the planning system.  2  See, for example, Argyris 1982; Argyris and Schon 1974; Barczak et al 1987; Buckley and Perkins 1984; Carnall 1989; Dyer and Dyer 1986; Fletcher 1990; Goodstein and Warner Burke 1991; Huczynski 1987; Jantsch 1980; Kettner, Daley, and Weaver Nichols 1985; Mink 1992; Moore and Gergen 1988; Netting, Kettner and McMurty 1993; Nord and Tucker 1987; Schein 1985; and Tushman, Newman, and Nadler 1988. 87  FIGURE 3.1 Theoretical Planning Process Model  [PUT STAGEJ  C  PLANNING (YSTEM  Political Directives Citizen Pressures IntemalAdministrative Reports External Consultant Reports  STAG!J  Resources Structures Skills Corporate Culture Professional Culture  (UTPUT STAGE] Plans (stated”\ 4 Formalstrategies) Informal Plans (real strategies) Position Papers (state ments of change or inertia) Budgets (power imple mentation strategies) Processes  Once within the planning system, public involvement is limited to public participation exercises which are initiated by the planning system itself. There is limited opportunity for the public to scrutinize the actions of local government bureaucracy. Components of the planning system include formal and informal planning procedures, formal and informal elements of the corporate culture, resources (monetary and human), structural linkages within the organization or with other agencies and organizations, staff skills, and professional cultures. These components of the planning system influence both the actions and the outputs of the theoretical planning process. Finally, the final stage encompasses the outputs of the planning system. This stage includes formal plans which represent stated strategies (espoused theories); informal plans which represent the real strategies (theories-in-use), position papers which may call for change or inertia; and processes, budgets and procedures which represent the power implementation 88  strategies of any organization. Plans are tools which define what changes should take place, but processes, budgets, and procedures are the tools used for implementation. After an examination of the case study site and the substantive issues selected for this research, the linkage between the variables which make up the various stages of the planning process and the research questions will be discussed. 3.3  -  Research Focus (Site, Substantive Issue, and Time Frame) Two forms of purposeful sampling techniques, convenience and critical case, were  used to select the City of Vancouver as the research inquiry site (Patton 1990, 169-181). The city was identified as a critical case sample because, in adopting the report entitled Clouds of Change: Final Report of the City of Vancouver Task Force on Atmospheric Change, in 1990, Vancouver has been perceived as a city which is moving towards sustainability. Back ground activities in the area of sustainability planning were also underway a number of years prior to adopting this report. Because transportation plays an important role in the sustainability or unsustainability of a community (refer to Chapter One, Section 1.2), the particular issue of sustainability to be studied in this dissertation is the institutional nature of transportation infrastructure planning and implementation. The interesting component of automobile infrastructure planning is that, during a period of time when citizens are calling for a shift in modal split away from automobiles, municipal institutions, such as Vancouver’s, seem instead to be perpetuating the use of the automobile through their planning and construction activities. Even though the Vancouver culture may be more auto-centred (refer to Chapter Four,  89  Table 4.2), Vancouver’s transportation planning institutions may reasonably be considered to be representative of North American cities. As a number of sources point out (Engwicht 1993, Lowe 1990, Transportation and Environmental Studies 1991, United Nations 1993), a resistance to change in the structure and process of transportation planning is being experi enced in all communities in the developed nations. The time period of this case study begins with the approval of Clouds of Change report on October 16, 1990 and ends on April 15, 1995.  3.4  -  Research Question and Subsidiary-Questions The general research question is What barriers within Vancouver’s planning system impede change towards a significantly less automobile-dependent transportation system? It must be stressed that while there are important barriers to change towards  sustainability within the input stage of the planning process (for example, people’s continued desire to drive automobiles), this research focuses on determining what barriers exist at the planning system stage. Subsidiary research questions which this case study attempts to answer are Subsidiary Question One What does sustainability mean to people involved in transportation planning for the City of Vancouver? Subsidiary Question Two What factors, within the city’s planning system, are creating barriers which impede the shift towards a sustainable transportation system in the City of Vancouver? Subsidiary Question Three What opportunities exist for overcoming these barriers?  90  Subsidiary Question Four What is the planner’s role in overcoming these barriers? The first subsidiary question was developed to determine the level of understanding of the concept of sustainability among persons involved in the planning of Vancouver’s transportation system. It was felt that a lack of understanding of sustainability would, in itself, be a barrier to change. The purpose of this research is not only to identify barriers but to find methods to overcome these barriers. Questions two and three addressed these issues. Because this is a community planning dissertation, the final question was developed to assist in identifying how planners can become more involved in the movement towards sustainability. The general research question and subsidiary research questions led to the development 3 of interview questions (Yin 1989, 13-26) (presented later in this chapter).  3.5  -  Rationale for Selection of Research Methodology The research questions dictated the type of research methodology to be used.  Qualitative research methodology was selected as this form of inquiry “is generally used to  An additional subsidiary research question was developed during the conceptualization of this research inquiry which asked “What factors within the city’s planning system, are assisting in the shift towards a sustainable transportation system in the City of Vancouver?” A question addressing this subsidiary research question was asked in the interview protocol (refer to Section 3.6.2), and data was compiled and analyzed. As these findings did not directly address the primary research question and were not discussed in the concluding chapter, the researcher decided to remove the findings to Appendix I. The “positive factors” will be the focus of a separate research paper. 91  shed light on a phenomena not understood” (Grams 1995, 4). In this case, the phenomena which is not understood is why, despite policies and plans which state goals of sustainability, humankind is not taking strong actions towards these goals. Patton (1990, 169) states that “qualitative inquiry typically focuses in-depth on relatively small samples, even single cases (n= 1), selected purposeflully.” Numerous authors (Guba & Lincoln 1989, Marshall & Rossman 1989, Patton 1990, Robson & Foster 1989, Yin 1989) write that this form of sampling, referred to as purposeful sampling, has become an acceptable technique and forms one of the foundational concepts in qualitative research. 4 An exploratory single case study design was used to inquire into the planning process 5 for the provision of street and road transportation infrastructure in the City of Vancouver. Yin (1989, 17 & 23) defines case studies as empirical inquiries which “answer how and why forms of research questions; focus on contemporary events; investigate a contemporary phenomenon within its real-life context when the boundaries between phenomenon and context are not clearly evident and where multiple sources of evidence are used.”  ‘  In comparison, quantitative inquiry studies either a representative portion of a sample population or an entire sample population with the ultimate purpose of generalizing research results to a larger population. Each inquiry methodology relies on very distinct logic in the conceptualization and implementation of the inquiry. All inquiry paradigms have strengths and weaknesses. Lincoln & Guba (1985) provide a sound description of naturalistic inquiry while Babbie (1992) describes inquiry using the logical-positivistic approach. A debate surrounding which inquiry approach is superior has now moved to a discussion of which method is most appropriate within the context of a particular research question (Miles & Huberman 1984, 20). Some research questions may be more appropriately addressed using either qualitative or quantitative methods while other questions may draw from both inquiry paradigms. The important consideration in this discussion is that the research question defines the methodology; the methodology should not define or shape the research question. 92  The decision to use a case study inquiry method was influenced by a number of considerations. As Yin (1989, 12) notes, the case study method is ideally suited for studying the complexity of organizational phenomena generally. Specifically, in studying a planning process, there is a need to understand, in an holistic manner, characteristics of real-life events (such as organizational and community change processes). Within the qualitative case study approach, quantitative methods (document content analysis, and financial analysis techniques) were used to examine case study results in more detail. The unit of analysis 6 for this research inquiry is the institutional system for planning the delivery of transportation infrastructure in the City of Vancouver. Major scholarly influences during conceptualization, came from the following publications: Qualitative Evaluation and Research Methods (Patton 1990), qualitative Data Analysis: A Sourcebook of New Methods (Miles & Huberman 1984), and Fourth Generation Evaluation (Guba & Lincoln l989).  3.6  -  Data Collection Methodological Design Movement towards sustainability is a complex and difficult process of changing  fundamental values, beliefs and assumptions. In order to understand this fundamental change  6  According to Yin (1989, 31), the unit of analysis defines “what the case is.”  Research methodologists who address conceptualization in a very effective manner include Earl Babbie (1992, 86-164), Lincoln & Guba (1985, 221-49), Marshall & Rossman (1989, 9-120), Miles and Huberman (1984, 28-33), Patton (1990, 7-199), and Robert Yin (1989, 13-60). Earl Babbie examines quantitative research in the social sciences; Lincoln & Guba, Marshall & Rossman, Miles & Huberman and Patton concentrate on qualitative research; and Yin focuses on case study methodology. 93  process, it is necessary to examine people’s perceptions, feelings and knowledge in real life 8 situations.  For this study of Vancouver’s transportation planning system, the principal  sources of evidence were document content review, semi-structured interviews, and unstruc tured interviews. Data collection took place in three stages (as indicated in Figure 3.2). FIGURE 3.2 Data Collection Process  STAGE ONE Overview  STAGE TWO  ‘“•‘“*  lpta Collection & Review  STAGE THREE  lnterview’”* Investigation  Data Collection & Analysis  1  Data Collection & Analys)  1  “dary Dat”  Cdary Data  Preliminary ReviewL  Embedded Case Study Document Review_J  Primary Data  Primary Data  lndepth SemiStructured Interviews  Preliminary Unstructured Interviews  Primary Data  Indepth Unstructured Interviews  Patton (1990, 24) explains that the purpose of qualitative research methodology is to equip the researcher with tools which “provide a framework within which people can respond in a way that represents accurately and thoroughly their points of view about the  world.”  94  During the initial stage of data collection, an overview of available information was undertaken. Data collection at this stage had two purposes. The first purpose was to compile secondary data for analysis.  To this end, budgetary information (changes in resources  allocated to the automobile and to other modes of people transportation) and planning process information (methods of municipal government planning) were compiled. The second purpose of this information overview was to identify documents that could be sources of information for further detailed study. Question themes and specific questions were developed from this information and were used to develop an interview protocol (Patton 1990, 283). The second stage of data collection involved detailed, in-depth, semi-structured interviews (Marshall & Rossman 1989, 82 & 94) with key infonnants (persons knowledgeable about Vancouver’s transportation planning system) to determine their understanding of what are the variables and relationships in, and the political environment of, the system of institutional barriers to sustainabiity. The interviews were structured to facilitate interviewees providing a complete map of the system of barriers. These interviews also led to the identifi cation of illustrative cases (discussed in Section 3.6.3) of unsustainable transportation planning. The third stage of data collection encompassed detailed investigation of the illustrative cases. Secondary data collection was undertaken using document content review. In addition, primary data collection occurred in the form of in-depth unstructured interviews (Patton 1990, 281). 3.6.1  -  Document Review  Each data collection activity was a purposeful attempt to discover methods used to 95  resist change towards sustainability. Information obtained during the second and third stages of data collection are discussed in Chapter Five (Case Study Findings). 3.6.2  -  Semi-Structured Interviews  In-depth, semi-structured interviews were used to collect primary data from key people involved in Vancouver’s transportation planning process. The interview design allowed for open-ended answers.  Probes were used to stimulate discussion only when required (see  Appendix G for an examples of probes used). The formal portion of each interview lasted from one to two hours and was audio-taped. Most participants continued the discussion after the formal (tape recorded) portion of the interview ended. Field notes were compiled during these discussions. This informal discussion lasted from ten minutes to two-and-one-half hours. The interviews were structured around the following questions: Question One The term “sustainable development” is being used more frequently to describe a new way of planning and developing our communities. From your perspective, what does this term mean? Question Two Based on the present planning system, what will the transportation system for the movement of people in the City of Vancouver look like in the next 25 years? Question Three What do you think of these trends? (If required, Probe happen?)  -  Do you think this should  Question Four What forces are in place which are promoting the shift from automobiles to other modes of people transportation? (Probe for examples) Question Five What forces are in place which are hindering the shift from automobiles to other modes of people transportation? (Probe for examples) 96  Question Six Why are these hindering forces in place which are slowing the shift from automobile to other modes of people transportation? Question Seven How can these hindering forces be overcome? Question Eight What is the planner’s role in overcoming these hindering forces? Question Nine In citizen surveys, Vancouver residents call for a cleaner environment and more transit, but they still desire high levels of mobility. Eighty percent of air-born pollution is caused by the automobile. Do people see this connection between increasing auto usage and increasing pollution levels? Question Ten How can we overcome this dilemma between the desire for a cleaner environment and the desire to drive automobiles? Interview Question One solicited responses which addressed the first subsidiary research question. Interview Questions Two and Three acted as bridging questions between the first and second subsidiary research questions. The questions provided the respondents with an opportunity to think about the future structure of the transportation system and about the elements of the process which are necessary for change in accordance with their goals for future transportation delivery in Vancouver. Interview Questions Five, Six, and Seven solicited responses which addressed the third subsidiary research question. Finally, interview Question Eight solicited responses which addressed the fourth subsidiary research question. The information obtained from interview questions four, nine and ten was not analyzed in this study because it was decided that the questions, and the interview responses, did not provide relevant information to answer the research questions. 97  The dominant feature of each interview session was the recording of the perceptions, feelings, and knowledge of participants (Patton 1990, 10) involved in planning transportation policies and policy implementation. Appendices F and G contain the Letter of Initial Contact used during the introductory portion of the interviews and a complete Interview Protocol. The in-depth interviews, using the key informants data collection technique (also called, by some, elite interviewing) (Marshall & Rossman 1989, 94), were particularly suited to the collection of primary data for this research program. People are elevated to the level of elite within organizations and communities primarily through becoming influential and well-informed. Elites usually rise to their position of prominence through a knowledge of an organization’s or a community’s policies, past history, and future plans. 9 Maximum variation sampling (Patton 1990, 169) was used to ensure that the greatest number of perspectives would be represented in the study. ° Individuals involved in 1 transportation planning and implementation included municipal politicians, community activists, and provincial, regional and municipal government officials.  According to Marshall and Rossman (1989, 94-95), “Elites respond well to inquiries related to broad areas of content and to a high proportion of intellectually provocative, openended questions that allow them the freedom to use their knowledge and imagination,” and “Elites often contribute insight and meaning to the interview process because they are intelligent and quick-thinking people, at home in the realm of ideas, policies and generaliz ations.” 10  Patton notes that the strength of qualitative research “lies in selecting information rich cases for study in depth. Information-rich cases are those from which one can learn a great deal about issues of central importance to the purpose of the research” (1990, 169). Rather than random sampling, the researcher purposefully seeks out events, activities, processes, and people who can provide information-rich descriptions which answer, or at least assist in expanding the understanding of, the questions under study. 98  The selection of municipal politicians was limited to those who have taken political positions calling for a reduction in the reliance on automobile usage in the City of Vancouver. Community activists were represented by individuals who were confronting, or had experience in confronting, the process of transportation planning in the city. At the provincial level, officials were identified from the planning and policy anns of the Ministry of Transportation and Highways  --  currently, segments of this ministry are under  the new Ministry of Employment and Investment  --  and BC Transit. At the regional level,  officials were selected from the Greater Vancouver Regional District (GVRD). Finally, at the municipal level, officials from the Planning and the Engineering Departments and officials involved in attempting to implement components of the Clouds of Change report were identified. The following selection criteria were used to identify research participants: 1)  Knowledge of, and involvement in, the planning and/or implementation of transporta tion infrastructure for the movement of people in the City of Vancouver.  2)  Either extensive experience or relatively recent experience in the activity mentioned in 1) above. The desire to interview relative newcomers, as well as experienced people, was based on the presumption that these individuals would not be tainted by the idea that certain things could not be achieved or changed. They were individuals who may not have been indoctrinated into all the values, beliefs, norms, and assumptions of the transportation planning process and/or of their prospective organiz ations”.  The importance of this dimension of participant selection was highlighted when the researcher met one participant (with many years of municipal experience) at the elevator immediately after the interview. The person asked me about my thoughts and initial impressions of the interviews. I commented on particular information which was not discussed during the formal (tape-recorded) portion of the interview, but was openly discussed once the tape-recorder was turned off. Eleven of the eighteen individuals interviewed discussed the poor working relationship between the City of Vancouver engineering and planning departments. This person commented that this was such an accepted part of the city culture that they didn’t even think to include it as a hindering factor. ‘  99  The characteristics of interview participants are described in more detail in Chapter Five, Section 5.2. A significant observation during the selection procedure was the openness of personnel from most government agencies, and from local politicians and community activists, towards being interviewed. In many cases, the researcher was referred up the organizational ladder to more senior people who would be most qualified to answer the questions. This was not the case with the City of Vancouver Engineering Department. Phone calls to key departmental staff were returned by subordinates. The researcher was screened out from interviewing the key decision-makers in the department and interviewed middle, rather than senior, managers. Therefore, the interview participants are not representative of all components of decisionmakers involved in planning and implementing the transportation system in Vancouver. In qualitative research the major criterion for the determination of sample size is the 2 A state of redundancy was reached after 18 interviews with six need to avoid redundancy.’ community activists and politicians and twelve provincial, regional, and municipal government officials. At that point 492 pages of interview transcripts had been compiled.  3.6.3  -  Illustrative Cases  Many examples of resistance to change towards a transportation system which supports  Lincoln and Guba (1985, 202) explain that qualitative inquiry is “based on informational, not statistical, considerations. Its purpose is to maximize information, not facilitate generalization. Its procedures are strikingly different, too, and depend on the par ticular ebb and flow of information as the study is carried out rather than a priori cons ider ations. Finally, the criterion invoked to determine when to stop sampling is informational redundancy, not a statistical confidence level.” 12  100  concepts of sustainability were identified during the interviews. Three of these, the city’s investment patterns in alternative (non-automobile) modes of transportation, an informal transportation plan for the city, and the planning process encompassing the redevelopment of the Lion’s Gate Bridge crossing were considered as rich areas for further exploration. These illustrative cases were examined more closely to identify mechanisms and techniques used to impede change towards sustainabiity. For these illustrative cases, the units of analysis were the process of decision-making by the City of Vancouver Engineering Department in the areas of municipal capital and operational investments (refer to Chapter Five, Section 5.3.1  --  Transportation Investment  Priorities), the process to widen selected city streets into an urban arterial highway system (refer to Chapter Five, Section 5.3.2  --  Informal Transportation Plan), and the process to  solicit public input for the expansion of a major segment of this urban arterial highway system (refer to Chapter Five, Section 5.3.3  --  Lion’s Gate Bridge).  The operating (1986, 1992, 1993) and capital (1986 to 1993) budgets and the 1994-96 capital plan were reviewed to determine how Vancouver’s new transportation priorities were being implemented. Kenneth Bayne, Comptroller for the City of Vancouver provided the following information for this segment of the research: Statement of Revenues, Expenditures, and Encumbrances for the years 1993, 1992, and 1986; Basic and Supplementary Capital Budgets for each year beginning in 1986 and ending in 1993; and the Capital Plan: 1994 to 1996 (June 1993). A number of participants expressed frustration over the existence of an informal transportation plan which they said the city’s Engineering Department was apparently using 101  to create an interconnected urban freeway system on the streets of Vancouver. Document content analysis and unstructured telephone and face-to-face interviews were used to determine whether this pian actually exists and continues to be used. Provincial legislation (the Freedom of Information and Protection of Privacy Act) (Ministry of Government Services 1 994a) was also used to obtain information which the City of Vancouver Engineer ing Department would not otherwise release to the researcher. The desire by the provincial Ministry of Transportation and Highways and the city Engineering Department to redevelop the First Narrows highway crossing (Lion’s Gate Bridge) was a concern with a number of interview participants who suspected that the Ministry and the city were controlling public debate. Document content analysis and unstruc tured telephone interviews were used to identify and analyze this planning process.  3.7  -  Data Analysis Methodological Design Methods used to analyze the raw data obtained from the semi-structured interviews  replicated the following process: organization, data reduction (coding and development of preliminary categories),’ 3 description (formulation of final categories and themes), interpreta tion, reporting of findings, and extrapolation of findings to other sites and situations (Patton 1990, 371-459).  A computer program, Textbase Alpha (Tesch 1989), was used to  electronically code and display data. Care was exercised during the analysis phase not to attach frequencies to research data  ‘  Interview results were first inductively categorized. Further categorization and interpretation drew on concepts from system-oriented organizational change literature and a specially created system-based model of planning process (refer to Figure 3.1). 102  (unless this information helped to clarify research findings).  This exploratory research  focused on individual responses rather than attempting to elevate the importance of one idea above another through the use of frequencies (Lincoln & Guba 1985, 202). The analysis of budgets and the capital plan encompassed the selective reorganization of past expenditures and future allocations within categories which reflect both investments in the automobile transportation system and investments in alternative transportation systems (bicycle, pedestrian, and transit). The exploration of the City of Vancouver’s informal transportation plan and the Lion’s Gate Bridge planning process involved the selection and analysis of information which would clearly describe the investigative process.  3.8  -  Validity and Reliability All research designs contain methodological strengths and weaknesses. Qualitative  methodology weaknesses were reduced during the conceptualization, data collection and analysis, and writing components of the research inquiry through an appropriate selection of methodological options. Table 3.1, adapted from Yin (1989, 41), summarizes methods used to improve validity and reliability. External validity is currently being tested through the replication of this study in Prince George, British Columbia. In case study inquiry, the researcher becomes the data collection instrument. 14 For this study, the researcher’s interviewing skills (from his Masters program and practical  14  According to Patton (1990, 11), the validity and reliability of the research inquiry is dependent upon the methodological skill, sensitivity, and integrity of the researcher. 103  community planning experience) were augmented by reviewing the following books on the subject: The Research Interview (Brenner, Brown & Canter 1985), qualitative Evaluation and Research Methods (Patton 1990), and Basic Interviewing Skills (Gorden 1992). The validity and reliability of interview results were enhanced by pretesting the interview protocol. TABLE 3.1 Methods to Improve Validity and Reliability Tests Construct Validity  Case Study Tactic Logical thinking in conceptualization Multiple sources of evidence Chain of evidence (audit trail)  Phase of Research in which Tactic Occurs Conceptualization Data Collection Data Collection  Internal Validity  Pattern matching Explanation building  Data analysis Data analysis  External Validity  Replication  Conceptualization  Reliability  Case study protocol Case study database  Data collection Data collection  Researcher biases and methodological errors were reduced by using multiple sources of evidence (Yin 1989, 95), including documents from various sources, unstructured interviews during stage one and stage three of data collection, and semi-structured interviews during the second stage of data collection. A case study database was maintained to insure the existence of an audit trail.  104  CHAPTER FOUR CASE STUDY CHARACTERISTICS -  4.1  Introduction The particular characteristics of the Vancouver case are described to provide the reader  with a context with which to determine the applicability of the research conclusions to other cities. The following case study characteristics are described in this chapter: geography, economy and population; ecological degradation and environmental attitudes; organization of the transportation system for the movement of people; and fmancial investments in the regional transportation system.  4.2  Geography, Economy and Population The Vancouver CMA (Census Metropolitan Area) is the principal service centre (refer  to Figure 4.1) for the province of British Columbia and the primary port of trade for western Canada. Forestry, tourism, and mining are the major economic activities of the province. Port facilities handle container cargo, grain, potash, sulphur, asbestos, metals and other materials. The city is also a centre for health care, education, business and consulting services, retail trade, and wholesale distribution. The majority of provincially-based organizations locate their head offices in the city. A fundamental change is taking place in the structure of Vancouver’s economy. As Hutton notes (1994, 1), the economy is experiencing tertiarisation or service-led economic restructuring. Primary and secondary occupations are declining in importance and service oriented employment, particularly in the professional and knowledge-based sectors, is rapidly 105  increasing in importance.  The city has not experienced the negative socio-economic  repercussions of deindustrialization which has plagued other urban regions in North America and Europe. FIGURE 4.1 Administrative Boundaries in the Vancouver Region  SI West Vancou vet  Area c  A tea B  North VarLver Distnct  A  Cquitlam ora’  CMA —  Bumaby  Electoral  Area A  GVRD municipalities and distn  Vancouver New Westminster  Port Coquitlam  Maple Ridge  Pitt Meadows  Electoral  Area B  Langley  N _  Source: Wynn & Oke. 1992. In the past decade, increasing trade and cultural ties with Pacific Rim nations have resulted in strong population and economic growth and a significant expansion ofthe urban built 106  environment. Table 4.1 summarizes information describing population growth for the period 1961 to 1991 for the City of Vancouver and the Census Metropolitan Area. A population forecast to the year 2021 is also provided. Table 4.1 Population Trends in the Vancouver Census Metropolitan Area 1961 to 1991 with Forecast to 2021 (in 000s) Year  City of Vancouver  Region (CMA)  City of Vancouver as a % of Region  Forecast 2021  567.4  2,905.5  19.53  1991  459.3  1,715.3  26.78  1986  434.8  1,380.7  31.49  1981  418.0  1,268.2  37.69  1976  413.7  1,166.3  35.47  1971  429.8  1,082.2  39.72  1966  413.4  932.7  44.32  1961  387.8  824.1  47.06  Source: Adapted from GVRD. 1993a. Greater Vancouver Key Facts and GVRD. 1992. Vancouver Metropolitan Region Options for Growth 1991 to 2021. The City of Vancouver has increased in population from a level of 387,800 residents in 1961 to a level of 459,300 residents in 1991. Forecasts compiled by the Development Services Department of the Greater Vancouver Regional District (GVRD) suggest a population level of 567,400 persons by the year 2021. These actual and anticipated new 179,600 residents of Vancouver (from 1961 to 2021) represent an increase in population of 46.3% over the 60 year period or an increase of less than 1% (0.84%) per year. 107  The Census Metropolitan Area grew from a level of 824,100 persons in 1961 to a level of 1,715,300 persons in 1991. Forecasts to the year 2021 are that the population will continue to expand to a level of 2,905,500. Over the 60 year period, from 1961 to 2021, the population is forecasted to have increased by over two million residents. This level of growth represents an increase in population of 253% (1961 to 2021) or growth of over 4.2% per year during the time period. From 1991 to the year 2021, the CMA population is projected to increase by approximately 70% for the period, or 2.3% per year. Unless there is a change in the modal split, a City of Vancouver report claims that an increase in river crossings from 47 bridge-lanes to more than 80 bridge-lanes will be required by the year 2021 (City of Vancouver 1994b, 3) to accommodate the projected increase in population.  4.3  Ecological Degradation and Environmental Attitudes Accompanying the recent economic restructuring and rapid population growth of  Vancouver are problems of ecological degradation. Approximately 80 percent of air pollution in the greater Vancouver region comes from the automobile (City of Vancouver 1990, 17). Therefore, to improve air quality, technological solutions must be found to reduce automobile derived air pollution, or social solutions must be found to reduce the volume of automobiles using the transportation system. Although air pollution may be resolved through technological innovation, the problems of noise and congestion may only be resolved through the reduction of the volume of automobiles using the transportation system. Table 4.2 displays information on the use of different modes of urban transportation in 108  selected cities across Canada. In addition, commuting times are provided. The use of the automobile ranges from a low of 60% of commuter trips in Ottawa-Hull, to a high of 73% of commuter trips registered in Winnipeg. Vancouverites use the auto for 72% of their commuter trips.’ Internationally, Table 2.6 in Chapter Two, Section 2.3.1 shows private car use lowest in Tokyo and Hong Kong with 16% and 3%, respectively, of urban trips taking place in the automobile. The highest use of automobiles in urban transportation is in Phoenix, Arizona where the car is used for 93% of all urban movements. Table 4.2 Commuting Modes and Length of Commute for Selected Canadian Cities 1992 -  City  Car Only (%)  Public Transit, all or Part Way (%)  Average Daily Commute (Minutes)  Montreal  63  18  54  Ottawa-Hull  60  16  51  Toronto  61  20  59  Winnipeg  73  15  51  Calgary  72  12  45  Vancouver  72  12  60  Source: Adapted from Beauchesne 1994, A-i and Statistics Canada. 1994. The use of public transit in Vancouver is the lowest (12%) of that in the Canadian cities illustrated in Table 4.2 and well below cities such as Stockholm (46%), Vienna (45%), Tokyo Within this dissertation document, data on transportation modal splits are explicitly either for the City of Vancouver or for the region of Vancouver. This is due to the use of difference modal split definitions, different time periods, and different data collection techniques. ‘  109  (5 9%), and Hong Kong (62%). Vancouver also registers the longest average daily commute time of 60 minutes when compared to other Canadian cities. Vancouver’s transportation system, although not as inferior as those of some cities in the United States, compares very poorly to those of cities in Europe and Asia. Part of this inferiority may be explained by the attitudes of Vancouver residents towards the natural environment and the use of their automobiles. Although Vancouver residents value clean air, they are reluctant to give up their unregulated use of the automobile. Table 4.3 summarizes attitudinal information compiled from questions contained in the Greater Vancouver Urban Futures Opinion Survey 1990 (Hardwick et al. 1990). Table 4.3 Attitudes of Greater Vancouver Residents Towards Selected Environmental and Transportation Issues Summary of Question Content  %  Category of Respon dent stating  *  Concern by residents related to air pollution from autos.  82.9  Very or Critically Important  *  Pollution from autos should be reduced by increasing fees, tolls or taxes.  33.7  Agree or Strongly Agree  Rush hour commuters should pay forusing urban facilities (infrastructure) at peak times.  26.1  Agree or Strongly Agree  *  Source: Adapted from Hardwick et al. 1990. Greater Vancouver Urban Futures Opinion Survey 1990. Although over 80 percent of the survey respondents felt that air pollution from automobiles was a very important or a critically important issue, only one-third (33.7%) agreed or strongly agreed that direct taxation for the use of the automobile should be used to reduce air 110  pollution. Even fewer people (26.1%) felt that automobile commuters should pay for using urban facilities (infrastructure) during peak rush hour periods. This contradiction between automobile use and the perceived desire to improve environmental quality is replicated in the most recent transportation plan developed by the region and the province, (A Long-Range Transportation Plan for Greater Vancouver). The authors state that this long-range transportation plan is “based on the GVR1Ys Creating Our Future action plan...” (GVRD & Province of BC 1993a, 1). The authors of Creating Our Future (GVRD 1990, 1) describe a visionary goal of planning progress: “Greater Vancouver can become the first urban region in the world to combine in one place the things to which humanity aspires on a global basis: a place where human activities enhance rather than degrade the natural environment, where the quality of the built environment approaches that of the natural setting, where the diversity of origins and religions is a source of social strength rather than strife, where people control the destiny of their community, and where the basics of food, clothing, shelter, security and useful activity are accessible to all.” The authors ofthe Long-Range Transportation Plan for Greater Vancouver (also known as Transport 2021) (GVRI) & Province of BC 1993a, 43) provide another future picture of the Greater Vancouver region: “Vehicles in the BC Lower Mainland will themselves not achieve the CO 2 target for all sources combined; their CO 2 emissions will likely rise 10% in the 1 990s and climb thereafter: a 15% to 20% increase between 1991 and 2021 is projected under this plan, compared with 25% to 30% under trend conditions.” The authors of this last statement acknowledge that the Transport 2021 plan will not yield the visionary city of Creating Our Future. Instead, they accept the continued domination of the automobile in the Vancouver region and that pollution, in the form of CO 2 emissions, will be significantly worse in thirty years time than pollution levels now. 111  4.4  Organization of the Transportation System for the Movement of People The Vancouver intra-regional transportation system for the movement of people  comprises a freeway and road network; a public transit system, which includes buses, a light rail line (SkyTrain), and ferries; pedestrian sidewalks and pathways; and the beginnings of a bicycle network. The current approach to planning and implementing the people mobility system is through a complex structure which encompasses the federal, provincial, regional, and municipal governments and the private sector. Figure 4.2 illustrates the structure and agency interrelation ships of this planning and implementation system. The federal government, through crown corporations and departments, plays a role in the transportation system, providing funding and policy direction for projects which have national significance or which impact on the movement of people over water or in the air. In Vancouver, this role encompasses the funding of projects such as the Arthur Lang Bridge, which provides access to Vancouver International Airport, and of roads which provide access to and within port facilities. The provincial government is responsible for the planning, policy development, and cost sharing components of the transportation system which may have provincial or regional significance. This is a powerful role due to the taxation and redistribution abilities of the province. The provincial government is heavily involved in the region’s transportation system, providing subsidies for roads and subsidies to BC Transit for buses, ferries (SeaBus) and the “advanced light-rail” (SkyTrain) public transit system.  112  Figure 4.2 Planning Structure and Agency Relationships  Federal and Provincial Governments  •  •  ‘I  Regional Governments  Creating Our Future & Regional Strategic Plan * GVRD Function Plans * GVRD Corporate PLans ‘  .  Municipal Governments •  •  I. .  j  L  Private Sector  Transportation Plan * Other Provincial Programs & Plans * Federal Programs & Plans  -Otticial Community Plans ‘Zoning & Development Control • Capital & Operating Budgets • Economic Development Programs and Plans  Private investment Interest Group Action * Individual Actions  * *  Source: GVRD. 1991. The Regional Role in Transportation and Land Use Planning in the Lower Mainland. The next level of government, the Greater Vancouver Regional District (GVRD) provides planning services to the region through the Creating Our Future planning process and through regional strategic plans, function plans, and corporate plans. A Long-Range Transportation Plan 113  for Greater Vancouver (GVRD & Province of BC 1993a) is an example of a regional strategic plan. At the lowest level of government, the municipalities shape the transportation system through the use of official community plans, zoning and development control regulations, capital and operating budgets, and economic development programs. The private sector is involved in transportation planning creating a demand for infrastructure through monetary investments in land development project. The pressures of community and special interest groups and the actions of individuals also shape the transportation system in the Vancouver region. Historically, responsibility for transportation planning has shifted among the various levels of government in British Columbia. Transportation planning at a regional level began over forty years ago with the establishment of the Lower Mainland Planning Board. In the late sixties, the region was subdivided into four regional districts, but in 1983 the province withdrew the formal planning mandate from regional responsibility. Since 1983, the GVRD and the municipalities within its boundaries have attempted to plan and implement a transportation system using a consensus-based model of decision-making. During this time period, the provincial government has made major transportation infrastructure investments outside of this consensus-based decision-making model. For example, SkyTrain was constructed as a showcase of transportation technology for Expo 86; the province sought minimal regional or municipal input before beginning construction on this project. In the City of Vancouver, the major transportation planning function is contained within the Engineering Department. The Planning Department gives minor input into the process. Both 114  departmental directors report directly to the City Manager’s Office. In August 1993 the Engineering Department had a staff of 1663 employees (the city maintains a large construction workforce and ancillary support services), while the Planning Department had a staff of 140 employees (City of Vancouver 1993e).  In August 1993, the City of Vancouver had  approximately 7,200 full-time staff members. The Engineering Department is responsible for planning, designing, constructing, and managing the city’s transportation system (City of Vancouver 1993e, 5). This system includes streets and lanes, curb-side parking, sidewalks and pathways, street and traffic lights, bridges and structures (in conjunction with other levels of government), and transit infrastructure (in conjunction with BC Transit). The Planning Department’s minor role in transportation planning is limited to advising City Council on community views through the Local Area Planning process and negotiating with the Engineering Department when major building proposals impact on the existing transportation network. Development in the city is not guided by an official community plan. An attempt was made in the 1 920s (Bartholomew 1928) to develop a community plan, but the city did not officially approve this early plan. Subsequent attempts to implement an Official Vancouver Plan have failed. The city does have a plan for the downtown business district and environs, the Central Area Plan, which was approved by Vancouver City Council in 1991. An extensive participatory planning process, called CityPlan (City of Vancouver 1 992b), is presently underway in Vancouver. One of the goals of this planning process is to bring the transportation and land-use functions of city planning closer together within an official community plan. 115  Planning efforts at a regional level also reflect, to some degree, the ideas and aspirations of residents and officials of the City of Vancouver. In the late 1960s, the original Lower Mainland Planning Board was replaced by four regional districts: Greater Vancouver, Central Fraser Valley, Dewdney-Alouette, and Fraser-Cheam (refer to Figure 4.3). FIGURE 4.3 Lower Mainland Regional Districts  Source: GVRD. 1991. A major planning effort in the early 1970s culminated in the Livable Region plan (GVRD 1975) which was adopted by area municipalities in 1975. The fundamental goal of this early  plan was the management of urban growth. The basic principles proposed to achieve growth management included the designation of regional town centres outside of the existing “regional core” (downtown Vancouver), the establishment of protected urban fringe greenbelts, the 116  expansion of the public transit system, and the formalization of a development control system which would implement the growth scheme (Hutton 1994, 20). The Livable Region plan was updated in 1990 with the adoption of Creating Our Future (GVRD 1990). The new plan focused on environmental protection, job creation, and the original goal of growth management.  New plan principles included 1) maintaining a healthy  environment, 2) conserving land resources, 3) servicing a changing population, and 4) maintaining the region’s economic health. One of the major impediments to implementing the Livable Region plan (and the subsequent Creating Our Future plan) was the removal of statutory powers for regional planning in 1983. Since that time, the GVRD has relied on a consensus-based decision-making model for the implementation of regional planning strategies and the difficulty in securing consensus among a large and diverse group of municipalities has resulted in minimal achievements in managing urban growth. The GVRD (1991), and other organizations and individuals, have ques tioned the jurisdictional, environmental, social, and economic adequacy of the present consensus-based decision-making model. As a result of this poor record in growth management, the government of British Columbia intends to return statutory regional planning powers to the GVRD in 1995 (Hutton 1994,23). 4.5  Financial Investments in the Regional Transportation System On a typical day, the people of Greater Vancouver journey 3.5 million times (83% of  total trips) by private automobile, 0.33 million times (9% of total trips) by public transit, and 0.29 million times (8% of total trips) by foot or bicycle (GVRD & Province of BC 1 993a, 5). 117  Substantial investments have been made in the regional transportation system over the past decade. Tables 4.4 and 4.5 summarize financial information which illustrate capital investments  and maintenance and operations expenditures for the road system and the BC Transit system. Table 4.4 Capital Expenditure for Transportation Infrastructure in Greater Vancouver 19831992* (in millions of constant 1992 dollars) Year  Municipal Road  Provincial Road  Sub-Total Mun. & Prov. Road  BC Transit  Transit as % of Road  1992  87.1  133.3  220.40  136.4  61.89  1991  103.6  123.6  227.20  84.9  37.37  1990  77.4  92.6  170.00  51.2  30.12  1989  73.9  45.0  118.90  44.2  37.17  1988  66.9  66.3  133.20  84.0  63.06  1987  75.2  119.8  195.00  47.5  24.36  1986  94.7  124.2  218.90  243.0  111.01  1985  100.2  160.6  260.80  364.5  139.76  1984  87.7  91.5  179.20  269.8  150.56  1983  87.7  40.7  128.40  157.1  122.35  Total  854.40  997.60  1,482.60  80.05  1,852.00  Figures for the construction of municipal and provincial roads do not include administrative costs while transit figures do include these costs. *  Source: Adapted from GVRD, and Province of British Columbia. 1993b. Historical Public Transportation Expenditures in the BC Lower Mainland. Tables 4.4 and 4.5 were adapted from the report entitled Historical Public Transportation Expenditures in the BC Lower Mainland (GVRD & Province of BC 1993b). The figures in the 118  columns titled “Municipal Road” and “Provincial Road” include a portion of the cost of the public transit system, as the road system is also used by public transit buses. The figures in the column titled “BC Transit” include a portion of the cost of the road transportation system, as the major transit capital investments (82% of all transit capital expenditures) were for SkyTrain in the 1 980s (1984-1986). The dominant purpose of SkyTrain (rather than buses or light rail transit along existing road right-of-ways) is to create a grade separation between public transit and the automobile, thus reducing automobile traffic congestion. Table 4.5 Maintenance and Operations Expenditure for Transportation Infrastructure in Greater Vancouver, 19831992* (in millions of constant 1992 dollars) Year  Municipal Road  1992  151.2  28.7  179.90  217.3  120.79  1991  175.0  25.7  200.70  198.8  99.05  1990  140.3  27.1  167.40  172.9  103.29  1989  135.6  25.9  161.50  162.4  100.56  1988  129.5  23.8  153.30  166.4  108.55  1987  109.8  21.8  131.60  173.7  131.99  1986  103.0  19.3  122.30  144.2  117.91  1985  90.7  18.9  109.60  123.4  112.59  1984  90.5  19.5  110.00  137.4  124.91  1983  95.8  19.9  115.70  137.2  118.58  1,633.70  112.51  Total  1,221.40  Provincial Road  Sub-Total Mun. & Prov. Road  230.60  1,452.00 119  BC Transit  Transit as % of Road  Figures for the maintenance and operation of municipal and provincial roads do not include administrative costs, while transit figures do include these costs. *  Source: Adapted from GVRD, and Province of British Columbia. 1993b. Historical Public Transportation Expenditures in the BC Lower Mainland.  The debt financing costs for BC Transit have been removed by the authors of the GVRD report. Roads are paid for through current municipal and provincial expenditures, therefore no adjustments were required to compensate for debt financing. The tables were developed to provide a picture of the general level of investment in each mode of transportation. Between the years 1983 and 1992, the municipalities of the Greater Vancouver region and the provincial government made a capital investment of $1.85 billion dollars, and a maintenance and operating expenditure of $1.45 billion in road related infrastruc ture. During the same time period, the provincial government, through BC Transit, made a capital investment of $1.48 billion and a maintenance and operating expenditure of $1.63 billion in the regional public transit system. Annual levels of capital investments in road and transit infrastructure fluctuated substantially due to major construction projects. While these investments were taking place, significant changes were underway in how people moved about the region. The number of automobile trips increased by 48% (measured during the peak morning period) and the number of transit trips increased by 25% from 1985 to 1992 (GVRD et al. 1 994b, iv).  Single occupant automobile and pedestrian mode shares  increased while multiple occupant automobile, transit, and bicycle mode shares decreased. Tables 4.6 and 4.7 summarize revenues and expenditures for the road and public transit systems from 1983 to 1992. 120  Table 4.6 Transportation Revenues and Expenditures In Greater Vancouver for Roads 1983 to 1992 (in millions of constant dollars) -  Year  *  Expenditure*  Revenue  Surplus(Deficit)  1992  324.5  400.3  -75.80  1991  316.3  427.9  -111.60  1990  284.6  337.4  -52.80  1989  283.3  280.4  2.90  1988  265.5  286.5  -21.00  1987  234.6  326.6  -92.00  1986  255.8  341.2  -85.40  1985  251.7  370.4  -118.70  1984  191.8  289.2  -97.40  1983  220.1  244.1  -24.00  Total  2,628.20  3,304.00  -675.80  These figures do not include administrative costs.  Source: Adapted from GVRD, and Province of British Columbia. 1993b. Historical Public Transportation Expenditures in the BC Lower Mainland. Revenues in Table 4.6 came from a number of sources. Road revenues were obtained from vehicle licensing fees and from the fuel tax. Transit revenues are obtained from user fees, the Vancouver Regional Transit System fuel surtax, a non-resident property tax, and the BC Hydro levy. Expenditures incorporate both capital investments and operating and maintenance 2 expenses. Capital costs were included as annual expenses. It was assumed by the researcher that capital investments would continue at a high level for a number of years into the future and then begin 2  121  Between 1983 and 1993, the road transportation system achieved a small surplus in only one year (1989). The figures presented in Table 4.6 do not illustrate a movement towards self fmancing. Indeed, the opposite is evident in an accumulated deficit of $675 million over the ten year period. In 1991 and 1992, deficits ran $111.6 million and $75.8 million respectively. Table 4.7 demonstrates that the transit system was also not financially self-supporting over the ten year period; a deficit of $1 .646 billion was accumulated. A significant portion of this deficit was accumulated through investments in the mid 1980s. A number of conclusions evolve from this financial information. First, it is difficult to obtain information which defines capital investments and operating expenditures for various modes of transportation. When this information is available, its accuracy is questionable. For example, the financial figures for the construction and maintenance of municipal and provincial roads excludes administrative costs (operational costs of provincial ministries responsible for transportation), yet administrative costs for BC Transit are included in the historical transportation expenditures. This makes comparative analysis by mode of transportation difficult; the information presented in the tables of the report Historical Public Transportation Expenditures in the BC Lower Mainland (GVRD & Province of BC 1993b) are misleading and misrepresentative of the costs of both roads and the public transit system.  to decline as the transportation system became fully developed. As capital investments decline, the transportation infrastructure will continue to age, resulting in increasing maintenance and operating costs. Declining capital investment will therefore be balanced by increasing maintenance and operating costs. 122  Table 4.7 Transportation Revenues and Expenditures In Greater Vancouver for BC Transit 1983 to 1992 (in millions of constant dollars) -  Year  Surplus(Deficit)  1992  208.1  353.7  -145.60  1991  197.9  283.7  -85.80  1990  188.1  224.1  -36.00  1989  189.1  206.6  -17.50  1988  172.5  250.4  -77.90  1987  186.2  221.2  -35.00  1986  119.9  387.2  -267.30  1985  84.5  487.9  -403.40  1984  64.7  407.2  -342.50  1983  58.4  294.3  -235.90  Total *  Expenditure*  Revenue  1,469.40  3,116.30  -1,646.90  These figures include administrative costs.  Source: Adapted from Greater Vancouver Regional District, and Province of British Columbia. 1 993b. Historical Public Transportation Expenditures in the BC Lower Mainland. A major capital cost in the construction of SkyTrain was the creation of grade separations between the road system and the public light-rail transit system. Arguably, the elimination of level crossings benefits the road system as much, or more, than it benefits the light-rail transit system. Yet, all the costs for grade separation are allocated to the public transit system. With 82% of transit capital expenditure invested in the SkyTrain system (over the period 1983 to 1992), this represents a massive misrepresentation of public transit costs and a massive subsidy 123  to the automobile. This inequality is compounded when the public transit system must pay for capital costs through debt financing, while the road system is funded through current municipal and provincial expenditures. The current transportation system has created procedures which routinely misallocate massive expenditures to the public transit system when these expenditures should be allocated to the road system. Once misallocated, the transportation system requires public transit to debt finance this massive road subsidy, adding substantially to the costs of operating the public transit system.  124  CHAPTER FIVE CASE STUDY FINDINGS -  5.1  Introduction The purpose of this chapter is to present the case study fmdings. The fmdings are  divided into two major sections. The first section uses qualitative methods to present and analyze primary data obtained from key informants involved in the transportation planning system.  During the interviews, recurring comments implied that certain activities or  processes are present within Vancouver’s transportation planning system which are major impediments to change towards community sustainability. These impediments are further investigated in the second section of this chapter which presents the results of a number of illustrative cases. The first illustrative case involves a detailed quantitative analysis of the city’s operating and capital budgets. This study was undertaken to determine what the city’s transportation priorities actually are.  The second illustrative case utilizes qualitative  investigation techniques to explore interview participants’ claims that an informal transportation plan exists for the city. The final illustrative case study further examines participant comments that government initiatives surrounding new transportation options restrict debate, are manipulative, and lack policy coordination. As noted in the review of literature and methodology chapters, budgets, informal plans, and the ability (or inability) to coordinate and integrate policy represents three of a number of resources and techniques which are used either to maintain the status quo or to create change, and they represent the power plans and processes of an organization (refer to Chapter Two, Section 2.5.7). 125  Each section of the case study results evolved from a research analysis process based on the following steps: data organization, reduction, description, and interpretation. The sections are presented in a format which logically results from this research analysis process: representative participant comments are presented and then these comments are discussed and interpreted.  Refer to Chapter Three, Section 3.7 for a more detailed  description of this research analysis process.  5.2  In-depth Interviews with Key Informants To gain a more comprehensive understanding of the institutional barriers impeding  change towards sustainabiity, in-depth, semi-structured interviews were conducted with eighteen key people involved in planning and implementing the transportation system responsible for moving people about the Vancouver region. The interviews took place over a four-month period beginning in January 1994 and ending in April 1994. They lasted from one to two hours with informal discussion continuing for anywhere from ten minutes to two and one half hours after the formal (audio-taped) portion of the interviews. This additional discussion demonstrated the high level of interest interviewees held for the topic. A total of 492 pages of transcripts were compiled from the eighteen interviews. A preliminary coding manual was generated inductively after an initial review of four transcripts. The coding manual was subsequently tested and modified twice. The fmal coding manual (refer to Appendix H) was used to categorize and reduce the raw data to 174 pages of coded quotes.  Data organization and reduction continued with the 126  redefmition of categories based on patterns identified in the data. The final organization of the research data evolved deductively from the review of literature and research questions and inductively from raw data.  The complexity of institutional barriers is  attested to by the 72 pages needed to describe the research findings. A critical consideration in the development of categories was the maintenance of the integrity of the raw data. The researcher constantly strove to select quotes which represented the views and ideas of each participant or which provided an overview of the collective thoughts of a number of participants. A case protocol was maintained, and an audit trail was constructed, to allow future verification of findings. The numeric code following each quote allows ready access to the raw data. The research results were intended to serve two audiences: 1) researchers interested in the scholarly exploration of change processes towards sustainability and 2) people involved in implementing, or attempting to implement, concepts of sustainability at a  community level. Perceived barriers were generally categorized into those of “first order change” and those of “second-order change.” First-order change (also referred to as system change or single-loop learning) normally results in change to organizational strategy. This level of change is problemoriented and focuses on incremental improvements in the output of organizations. Diagnostic processes are used to determine problems and improve sub-systems. Second-order change (also referred to as cultural change, transformational change or double-loop learning) is “multidimensional, multi-level, qualitative, discontinuous, radical organizational change involving a paradigmatic shift” (Levy and Merry 1986, 5). 127  Diagnostic processes focus on dysfunctional effects of core values, beliefs, and assump tions. During the interviews, the importance of the skill of understanding and using firstand second-order change processes became apparent.  According to the literature,  knowledge of the factors and processes which contribute to second-order change is one of the critical elements needed to move towards communities which are sustainable (Dyer & Dyer 1986).  Therefore, a search for these factors and processes became a critical  component of the data description and interpretation segments of the research analysis. The comments of interview participants were scanned to determine whether second-order change processes were being used in the transportation planning system. The characteristics of the eighteen interview participants are presented in Table 5.1. Six community advocates were interviewed: three politicians and three community activists. The remaining twelve interviewees were made up of seven City of Vancouver employees, three Greater Vancouver Regional District employees and two Province of British Columbia employees.  The government employees included two community  planners, three environmental analysts, five transportation planners, and two transportation engineers.  The common characteristic of all interview participants was their active  involvement in planning Vancouver’s people-moving transportation system.  128  Table 5.1 Characteristics of Interview Participants NUMBER OF INTERVIEWEES  18  COMMUNITY SECTOR Community Activist  3  GENDER OCCUPATION’  Community Politician  3  Municipal Employee  7  Regional Employee  3  Provincial Employee  2  Female  6  Male  12  Community Planner  2  Enviromnental Analyst  3  Transportation Planner  5  Transportation Engineer  2  YEARS IN OCCUPATION (Range)  242 (4-20)  AVERAGE YEARS IN OCCUPATION  13.4  (1) Excludes community activists and politicians Six participants were female and twelve were male. Collectively, they had 242 years of career experience in municipal planning activities which ranged from a low of four years to a high of 20 years. The average length of career experience was 13.4 years. This information is presented to illustrate that each segment (stakeholder) of the transpor tation planning system is represented and has contributed to the primary data.  129  5.2.1  -  Understanding Sustainable Development  Question One The term sustainable development is being used more frequently to describe a new way of planning and developing our communities. From your perspective, what does this term mean? This section reduces approximately 44 pages of interview dialogue into a format which allows for a succinct presentation of raw data. Occasionally, during the interview, probing was required to focus the thoughts of the interviewees on the urban context of the question. Responses to this question were subdivided into categories which comprise key elements of sustainability as identified in the literature.  Definitions of Sustainable Development Several respondents dealt directly with the meaning of the term within transportation planning institutions and the political and cultural systems that provide context for these institutions. The following quotes ifiustrate the confusion that two of the respondents see surrounding the meaning of sustainable development: “Two perspectives on sustainable development: the real one is it’s a buzz word. A lot of the talk I hear about sustainable development is just that, it’s fme words and, occasionally, fme policy documents written down and sworn on the bible of sustainable development that we are going to act ually implement these proceedings. In terms of my ideal definition of sustainable development, I guess I’d have to cast back a bit. I wouldn’t be too ideal with it, I’d say do less harm, enact policies that move in the right direction, not look to solve things overnight.” (18-12-16) ...  ...  I’m having trouble with what they’re talking about. How can you have sustainable development and talk about doubling the population of Vancouver in the next 30 years, increasing the number of automobiles three-fold, and talk about sustainable development. Nobody has given me a dictionary definition of it so I’m having real problems with it. I have no “...  130  idea what it means.” (12-11-17) The first participant’s (a transportation planner) reference to sustainable development as a buzz word suggests that the term is used in the transportation planning system but is not used with much thought or conviction. This quote also highlights the difficulty in implementing the concept. The first participant’s reluctance both to be too idealistic and to move too fast may reflect conformity to the expectations of his organiz ation and thus conformity to the organizational culture.  The individual’s cynicism  indicates that idealism is not a value cherished by his organization and that change is understood to be a slow, incremental process. The second participant’s comments (a community activist) displayed a lack of understanding of, and confusion about the term. A third respondent (a transportation engineer) viewed sustainable development as a process of cleaning up pollution in a well thought out, rational, mechanistic manner which manages human emotion. The fourth and fifth quotes are from a local politician who was uncomfortable with the term sustainable development because of its use by some to justify the concept of sustainable growth (a belief that further growth is sustainable). we have to quantify the cost and benefits of different pollutants and cleaning them up and getting rid of them, and make very intelligent and informed decisions, realistic decisions as to what can we deal with and in what priority order and not get caught up with emotional arguments and threats from Americans that they’re going to boycott our conventions, and things like this. We’ve got to deal with the problems in rank order on a very carefully thought out basis.” (08-79-86) “...  using the term sustainable development it’s politically very palatable it implicitly says that further development is because it implies sustainable and it’s a lot easier to market a concept like that. Marketing the “...  ...  ...  131  idea that there are absolute limits is much more difficult. So I tend to react very badly to sustainable development.” (17-34-40) “You get a lot of slick people making slick presentations on sustainable development which really aren’t held up by any basic biology or ecology or chemistry.” (17-52-54) Throughout the interviews and during the analysis of the field data, it became increasingly evident that the term sustainable development is understood in different ways and that various factions are attempting to promote and implement their own interpreta tions of sustainabiity at a community level. This terminological confusion is thus a key barrier to implementing sustainability.  Consumption  -  The researcher’s definition of sustainable development, as identified in the literature (Ekins 1992, Pimentel & Pimentel 1994, Rees 1989, Rees & Roseland 1991), as discussed in Principle Five  -  Use Limits and Conservation of Resources (refer to  Appendices B and C), involves reducing the consumption of renewable and non-renewable resources. Comments by a number of interview participants (community planners) demon strated their own understanding of the need for a reduction in resource consumption patterns, but they were also cognizant of the municipal government’s lack of awareness of this need. I don’t think we’re [City Hall] really looking at the major crux of the environmental debate which is consumption.” (09-71-78) “...  “City Hall considers environmental issues to be sustainable They talk about sustainabiity under environment issues. Each report to Council now is supposed to include an environmental section. What are the environ mental implications of any report air quality issues, water quality issues, ...  ...  132  toxic soils issues, noise issues perhaps. So that’s what we look at generally right now and we’re not at all into the consumption capital consumption issue.”(19-44-52) ...  The point that the city administration was addressing sustainability under the umbrella of environmental issues was a significant observation. A number of interview participants felt the concept of “clean up at the end of the waste stream” continues to hold the municipal government’s attention. This can result in an exacerbating state of inaction. Dealing with environmental issues but stating that these actions will solve issues of long-term sustainability results in an “image of action.” This image of action could be more damaging than inaction if the public is lulled into believing that fundamental sustainability problems are being addressed and resolved. The phenomenon of stated action on sustainabiity which, in fact, is inaction (i.e. activity which sets back the process of moving towards sustainability) will be a recurring theme as the results of this case study unfold. Although all interview participants provided some kind of definition of the term sustainable development, many of the definitions did not show a clear idea of what the term means, and there was by no means any consensus on its definition.  5.2.2  -  Vision of the Transportation System 25 Years Hence  Question Two Based on the present planning system, what will the transportation system for the movement of people in the City of Vancouver look like in the next 25 years?  133  This second question in the interview protocol was used as a bridging or transitional question which allowed participants to transfer their thoughts from sustainable development to the future of Vancouver’s transportation system. This question, although not a formal research question, provided some interesting information into what experts think Vancouver’s future transportation system will look like. The question also created an opportunity for respondents to begin to consider forces which are, or may be hindering a shift away from the automobile to other modes of transportation. Forty-seven pages of transcribed conversation were generated from this question. Most participants reflected for several moments before beginning their monologue. Very little probing was required.  When used, probing helped clarify particular concepts  expressed during discussion. Throughout the initial conceptualization and organization of the research inquiry, the assumption was made that politicians and government employees would be optimistic about the future development of Vancouver’s transportation system. This assumption was based on the perception that the interview participants were part of the power structure guiding the growth and development of the regional transportation system.  It was  expected that these respondents would see assertive steps, such as traffic demand management, improved transit, and cycling and pedestrian systems (all mentioned numerous times in planning documents) as integral components of this future transpor tation system. An analysis of the data showed this assumption to be false. The future vision of 134  all politicians and government employees interviewed in the study is represented by the following quotes. 20 years from now you? 11 see a lot of development right up the [Fraser River] valley. Probably employment will follow to the extent that employers want to locate near their labour force. So you get a whole kind of suburban type of development. Not unlike American cities the way ...“ they developed (10-50-67) “...  ...  “It’s going to look much the same because of the fact that we’re [GVRDJ really having difficulties implementing new strategies or changing the status quo ...“ (07-42-46) In the first quote, the respondent (a transportation planner) assumes that suburban sprawl will continue up the Fraser Valley. In the second quote, another transportation planner observes that those persons who should be most influential in changing the transportation system are encountering great difficulty in “implementing new strategies or changing the status quo  ...“  An element of defeatism exists within the transportation  planning system as a result of the continuing disjunction between stated transportation and land use principles and the operationalization of these principles. The following quotes summarize the comments of the community activists who were interviewed: “Absolute congestion. ... moving vehicles from the suburbs into the city, cutting through residential neighbourhoods and probably blocking off the local communities ... so we’re probably talking about four lane highways two lanes going each way.” (03-41-46) --  “I find the whole thing extremely frightening extremely. They’ve put in six lanes at Pacific Boulevard, and now they’re trying to pedestrianize it. They widen streets, and then they say they’re pedestrianizing them.” (1259-65) --  135  The comments reflect these respondents’ involvement in neighbourhood activism. Recurring comments about cutting roads through residential neighbourhoods, blocking off local communities, and street widening (more direct quotes are used in later sections of the case study findings) indicate that the City of Vancouver has an informal transportation plan which envisions four-lane and six-lane arterial highways cris-crossing the city. A final vision of Vancouver’s future transportation system introduces the barrier of inadequate regional governance: “... until that fundamental governance problem is sorted out we’re not going to have any better transportation system 20 years from now . ..“(1892-95)  This respondent (a transportation planner) identifies a fundamental governance problem as a major impediment retarding the change process towards a non-automobiledominated transportation system. The question of why most participants are so pessimistic about the future transportation system might be answered in a number of ways. One answer may relate to the confidential nature of the interviews. theories,” (what people say they do  --  Argyris (1982, 458) discusses “espoused  a version of success presented by supervisory staff  or public relations personnel) and “theories-in-use,” (what really happens).  The  confidential nature of the interviews may have provided officials with an opportunity to discuss theories-in-use. The credibility of this explanation was reinforced in an informal discussion session with one of the government officials after the audio-taped segment of the interview. This person mentioned that several employees had lost their jobs after expressing personal views contradicting the position of the organization. Concern was 136  expressed that the content of the interview remain confidential. This episode and the negative views of participants are significant.  They  demonstrate a suppression of values and beliefs within government organizations. Kirkpatrick (1993, 31) discussed how the suppression of feelings and ideas within organiz ations results in the repression of potential solutions. These elements of organizational dysfunctionality seem to be present in the government institutions responsible for the management and development of Vancouver’s transportation system.  Although the  individuals running Vancouver’s transportation system are aware of some methods of encouraging community sustainability, the existing organizational culture will not allow these methods to be openly expressed, tested or implemented.  5.2.3 Forces Hindering the Shift from Automobiles to Other Modes of Transporta tion -  “People say, ‘Well I’d like to come down to the West End but it’s so hard to find a place to park.’ And then we tell them, ‘Don’t drive, come down, here’s how you can do it.’ And there’s a moment when you can see in their eyes this sudden revelation that you’re actually serious about them not driving At that point it’s where that cultural shock occurs because they realize then they’re going to have to consider walking or taking taxis (15-559-573) ...  ...“  Case Study Participant, 1994 The introductory quote, made by a West End resident, illustrates one of a vast array of hindering forces (in this case the perception, by many people, that the automobile is the mi form of transportation) which impede the movement away from the automobile to other modes of urban people movement. This section examines what interview partici 137  pants identified as forces hindering the development of a sustainable transportation system in Vancouver. The question used in the interview protocol to stimulate discussion was: Question Four “What factors, within the city’s planning and implementation system, are impeding the shift towards a sustainable transportation system in the City of Vancouver?” Interview participants did not encounter difficulty when responding to this question. Responses comprised 228 pages or 46.3 percent of the transcribed interview data. Dis cussion during this segment of the interviews moved rapidly with only an occasional probe needed for clarification. Tables 5.2 and 5.3 summarize the forces which interview participants identified as hindering change away from automobiles to other modes of transportation in the Vancouver region. This section analyses the important themes which evolve from this large array of impeding forces. The participants’ responses were organized into two major categories: forces hindering change  --  first-order level; and forces hindering change  --  second-order level. Forces Hindering Change  --  First-Order Level  Table 5.2 displays the first-order forces which are hindering change. This category was further organized into the following sub-categories: Status of the Automobile, Public Subsidies, Public Transit Problems, Low Political Support, Inability to Plan, Professional Planning Mindset, Professional Engineering Mindset, Conflict between Vancouver’s Planning and Engineering Departments, and Lack of Regional Control. 138  Table 5.2 Forces Hindering Change First Order -  1.  Status of the Automobile * Commercial interests * System maintenance  2.  Public Subsidies * Subsidies to the automobile * Penalties on other transportation modes  3.  Transit Problems * Current Trends * Competition for urban road space * Other problems  4.  Low Political Support  5.  Inability to Plan * Complexities of planning * Impressions of planning * Mismatched decision-making * Dilemma of planning work/home relationships  6.  Professional Planning Mindset * Idealism of planners * Lack of Knowledge  7.  Professional Engineering Mindset * Education * Technocratic focus * Impressions of objectivity * Defending the automobile * Neighbourhood planning * Implementing the informal plan  8.  Conflict Between Planning and Engineering Department * Lack of cooperation * Impact on city planning * Impact on neighbourhood planning  9.  Lack of Regional Control * Defused responsibilities * Disconnected decision-making * Need for a new regional government structure  139  Forces Hindering Change (First-Order Level)  -  Status of the Automobile  This category is organized into the following sub-categories: commercial interests and system maintenance.  Commercial Interests Participants suggested that private-sector interests use government systems to promote their interests while at the same time suppressing the interests of other sectors of society. The following quotes by two local politicians represent numerous comments by interview participants describing the powerful private interests which shape the City of Vancouver and the larger metropolitan region. there are private interests that have a lot of power in our society in terms of convincing you and I that we should buy a new car or that when you are sixteen the most important thing for you to do is to go learn to drive. I mean how does that come about. It’s because we have a very, kind of, automobile driven culture, right? I mean when kids are growing up that’s what they grow up believing that those things are important. somehow we have to change that.” (18-293-384) “...  --  there’s the auto industry. There’s the oil and gas industry. There’s also a set of cultural mythology which admittedly isn’t as strong in Canada as it is in the United States, but it’s still extremely strong.” (07-226-229) “...  Participants talked about the private interests of the auto, oil, and gas industries and the powerful tools they use to shape consumer demand. The most powerful tool continues to be advertising. Owning a car --  --  having the image of power and glory at your fmgertips  defmes our “auto driven culture.” One of the rites of passage into adulthood continues  to be a driver’s licence. Advertising can prolong the “defense” stage of the change and 140  transformation process (Carnall 1990, 40).  System Maintenance Participants discussed how real estate interests insure that the present system of land development is perpetuated. The following quote (by a local politician) offers insight into why the real estate industry is so interested in municipal government: “... if you did any study of any urban environment you always have to ask yourself, ‘why are developers and real estate interests always so interested in the municipal arena?’ I mean it’s really the level of government that has the least amount of power in a sort of an overall sense. But the reason the y ‘re so interested is because we do have the ability to dictate land use ...“ (18-429-445)  Participants (a local politician, environmental analyst, transportation planner, and community activist) considered the power of the Vancouver land development industry as a major hindering force in the movement towards community sustainability. According to these participants, the industry supports a well-organized and heavily funded car lobby whose research continues to support the automobile as the dominant transportation mode in urban areas. Users of other transportation modes (pedestrians and transit) do not have this kind of support. When modal-split discussions take place at a community level, alternative transportation lobbies make weak opposition to the car lobby which can quantitatively and passionately support the automobile.  The lack of diverse, strong  transportation lobbies results in an urban landscape where the automobile is (as one participant noted)  “...  taking away comfortable neighbourhoods  with a streetscape with rapidly moving automobiles  141  .  ...  and replacing them  Forces Hindering Change (First-Order Levefl  --  Public Subsidies  Various methods are used to subsidize the automobile and penalize other forms of urban transportation. This category examines these hindering forces.  Subsidies to the Automobile Respondents not only said that private sector industries create an urban environment where the automobile dominates, but seven of the fifteen government employees and local politicians (no community activists commented on this point) also noted that various public subsidies have been put in place to ensure that other transporta tion modes cannot compete for urban ridership. A large portion of taxes (refer to Section  5.3, Illustrative Cases  --  City’s Investment in Alternative Modes of Transportation) are  used to maintain, expand and redevelop the road infrastructure used predominately by automobiles. The following three quotes provide a representative sample of comments (from a transportation planner, an environmental analyst, and a local politician) in this area. the automobile is being heavily subsidized for every car that’s on the road. We get cheap gas, cheap auto insurance free access to the high ways.”(06-245-248) “...  ...  the car seems to get all the support. I’m trying to think of the figures that were done for the GVRD. We subsidize the private automobile in the GVRD area, I think about $2,800 [per automobile] a year. And we certainly don’t subsidize the bus transit system by that much. So there’s those inequities there that are going to be hard to overcome.” (10-255-261) “Councils continue to approve parking lot expansion which vastly decreases the amount of time it takes to get somewhere. If you’re tearing around looking for a parking spot, there are a lot of public transit vehicles that have a chance to catch up to you. So the continued willingness to expand the road system and the parking system [means] that cars can be favourably 142  competitive with public transit.”(07-312-318) One of the above participants (an environmental analyst) pointed out that the various levels of government were providing an automobile subsidy of $2,800 per year. The actual figure contained in the GVRD report (Simpson 1993) was $2,600 per year for each automobile used for urban transportation purposes within the Vancouver metropolitan region. One of the interesting automobile subsidies is the provision of parking to automobile users. A downtown parking space costs $12-15,000 to construct (excluding land costs) and an additional $350 to $400 to maintain annually. 1 The cost of constructing and maintaining bicycle parking facilities is estimated to be five percent of auto costs. 2 Under federal and provincial Income Tax Acts, the cost of parking is classified as an expense of doing business (non-taxable). The same acts classify transit costs as an expense to the individual which is taxable.  Penalties on Other Transportation Modes The last quote noted that the city continues to provide parking for the automobile  Personal conversations with Michel Desroches, Planning Analyst, Central Area Projects Division, City of Vancouver Planning Department and Wayne Mercer, Director of Operations City of Vancouver Downtown Parking Corporation. June 6, 1994. ‘  A standard automobile stall is ten feet by twenty feet. A bicycle occupies an area of approximately two feet by five feet or five percent of the area of an auto. Besides size, other factors would further reduce the cost of building and maintaining bicycle parking spaces. Construction costs would be reduced due to the weight differences between cars and bicycles. In terms of maintenance, bicycle parking spaces do not require fans to eliminate exhaust fumes and bicycles do not deposit pollutants on building surfaces. 2  143  thus insuring that the automobile maintains its competitive position in relation to public transit. The following quote, made by a local politician, points to another method which government uses to penalize alternative modes of people-based urban transportation. “... there’s not a desire by the government to levy operating costs from car users in the same way that they feel very comfortable levying a large portion of the operating costs of transit from its users.” (07-281-285)  Inequalities in levying costs is illustrated in the free auto infrastructure (no tolls: only gasoline taxes invested in the road system) provided to automobile users. In addition, the provincial government continues to maintain cost-shared (provincial-municipal) automobile infrastructure construction programs. No cost-shared programs exist between the provincial and municipal governments for the construction of bicycle infrastructure.  Forces Hindering Change (First-Order Level)  --  Transit Problems  Alternative modes of transportation have difficulty adapting to an urban landscape designed for the automobile.  These difficulties are reflected in the comments of  participants when discussing the present use and future prospects for public transit in the City of Vancouver and region. This category is subdivided into three sub-categories: current trends, competition for urban road space, and other problems.  Current Trends Public transit in the city and region is provided by BC Transit: a provincial crown corporation. The corporation is under constant pressure by politicians and the public to expand its services, although transit riders, as a percentage of total road and transit users, is declining. The following quote by a transportation planner attempts to explain this 144  pressure which might be expected in a region experiencing increasing levels of road congestion. “When the communities are built around the automobile the reality is no matter what we do, our market share is really very low, and those are things that are going to take years to change around.” (13-441447) This participant noted that current suburban design practices do not take into consideration the economical provision of public transit, yet municipal and provincial politicians demand this service for their constituents. Thus, municipalities with higher densities served by public transit subsidize long distance transit riders and inter-suburban transit users living in lower-density suburban regions. Another participant claimed that BC Transit provides service to suburban areas, such as Surrey, Delta, Langley, where the market share for transit in peak hours is only three to five percent of total commuter traffic. This situation may be politically expedient, but it economically penalizes the overall delivery of transit, it disadvantages the urban transit user, and it rewards the suburban dweller.  Competition for Urban Road Space Respondents painted the following picture. In the past fifty years, streets have been transformed from people places to automobile places.  The concept of the Street has  evolved from a multi-use community environment to a corridor dominated almost exclusively by the automobile. The Street, which was once a place to linger, to talk with neighbours, and to purchase goods and services, has become a thoroughfare for automobiles to move through as rapidly as possible.  145  Transportation planners and  engineers have allowed the automobile to dominate and to control virtually all available space within the streetscape. When confronted by lobby groups demanding some of the streetscape for other modes of transportation, engineers and planners cannot comprehend the concept of reducing space for the automobile. The trade-off is not between cars and buses. A situation has been manufactured 3 in which the trade-off is between transit and small business. The following quotes provided by a local politician and a transportation planner illustrate this point: “So I don’t see much opportunity to convert general-purpose lanes. I don’t think there’s much willingness on the part of local governments to convert general-purpose lanes to bus traffic. I think it’s going to If you’re going to get bus lanes, it’s going to come at the expense of parking. And even that’s a tough one [be]cause it involves community groups, businesses and things like that. (13-917-934) ...  “Now the problem we run into is just space allocation resource alloca tion. And Marpole HOV lanes are a great example of that. Are you going to take space away from one mode of transport to give it to another? That’s when your priorities are really clear.” (15-483-490) --  The second quote refers to a controversy during the interview period (Winter, 1994) when the City of Vancouver attempted to remove Street parking in the commercial core of the Marpole neighbourhood to allow for the installation of high occupancy vehicle (HOV) lanes during rush-hour periods. Rather than proposing the removal of a “general purpose lane” (car lane), which would encourage car users to explore other modes of transportation (other than the single occupant vehicle), the City Engineering Department  For a discussion of how illusions can be manufactured to recreate and redefme reality, see Noam Chomsky. 1992. Manufacturing Consent. Montreal, Quebec: Necessary Illusion. Video-recording. 146  reframed the situation. The car versus transit tradeoff became a tradeoff between transit and small business  .  In this particular case, the small-business lobby won.  The concepts of reframing and presenting alternatives or scenarios which allow you to achieve your preferred option or goal is a common, but sometimes ingeniously disguised, technique used to influence decision-making.  The Marpole HOV lane  controversy may be an example of the application of this technique. The following quotes illustrate difficulties encountered by the public transit system when competing for limited urban road space. “And if the bus that you would take otherwise, in a split choice, is still travelling on the same streets as all this congestion, then we’re not much further ahead.” (09-199-203) often can’t compete “So the main thing is, transit can’t compete on time on convenience either. [It] can’t compete on cost but that’s relatively unimportant. Time and convenience and speed those are the two factors that have to be addressed if transit is going to compete.” (13-320-325) ...  --  In Vancouver, these respondents (transportation planners) felt the worsening urban road congestion will not force people out of their cars and into public transit. The vast majority of transit (excluding SkyTrain which has its own dedicated ROW) must use the same roads congested by automobiles.  Other Problems Two additional problems associated with the transit system in Vancouver were identified. The first problem relates to a union-management conflict at BC Transit which Street parking is an important element in the livability of commercial neighbourhoods. It creates a physical barrier between rapidly moving vehicles and pedestrian street life and it provides a place to load and unload goods. 147  is impeding changes to the public transit system. “If you try and put, say just a bicycle facility through the Massey Tunnel that would allow bicycles on buses put a bike rack on a bus BC Transit started the process and the union jumped up and said “Well, if you’re not going to give us more money, forget it” and they walked away from the table.” (04-208-213) ...  ...  “Part of it will be the union. The relations between BC Transit and the bus drivers union is awful. It’s also a model for poor management-labour relations. And until that changes, any sort of liberalization of transit policy is going to be impossible. Because drivers will expect, or will negotiate on the basis of ‘we want to be paid more if we are going to do something different’ .“(l 3-422-428) This topic was approached very cautiously by the two participants (both transportation planners) who discussed poor union-management relations. They felt the confrontational and adversarial association between many organizations and their employee union representatives results in retarding change, or, in this example, not taking appropriate action in the provision of appropriate services. The fmal problem identified by the following quote (provided by a local politician) illustrates a significant trend in city unlivability: transit systems aren’t safe for kids. So therefore, as much as we may regret it, the automobile is connected with security.” (15-239-245) “...  As cars push pedestrians off streetscapes, the safety and livability of the urban environment declines (refer to Chapter Two, Sections 2.3.3 and 2.3.4). This cycle feeds on itself. Streets become unsafe, therefore children must be driven to school and children, women and the elderly must be driven to other events contributing further to the auto domination/pedestrian decline of streetscapes. Through creating unsafe environments, the individual automobile itself becomes the environment of security. 148  Forces Hindering Change (First-Order Level)  --  Low Political Support  According to some participants, non-auto modes of transportation are given a low priority in funding. The following comments, provided by local politicians, point to a number of factors which cause these low funding priorities. “We’ve seen two billion dollars borrowed for BC 21. We know that nearly half of that is going to go into the Island Highway. We then throw a sixth of it or a seventh of it to the Lion’s Gate Bridge. Then you have the highways minister’s own pet project of getting all the roads in the Buckley Valley paved. And you now begin to see that the capital I mean under the Bennett and Van Der Zaim governments there were more capital funds going into improving public transit than we’ve seen under the New Democrats.”(07-251-261) ...  that woridview [dominant woridview shaping current transportation planning] comes from personal experience and hence find out who the decision-makers are and what form of transportation they use and you’ll probably get a pretty good idea of where the resources and priorities are.” (15-143-146) “...  BC 21 is a capital investment program created by the provincial government to invest in transportation infrastructure. The first quote gives an idea of where most of the program’s funds are allocated; very little money is left for capital improvements to public transit systems. The second quote gives one possible explanation for this situation. A significant majority (virtually all) of decision-makers do not use transit nor do they cycle. Therefore, this respondent felt their woridview is from behind the windshield of a car. From this perspective, alternative modes of transportation do not seem viable. Therefore money continues to be allocated to the automobile. Compared to other Canadian cities, Vancouverites how have the longest average daily commute (60 minutes) (refer to Chapter Four, Section 4.3). One participant felt that 149  the City of Vancouver needs “to double or triple the number of kilometres of rapid transit in the city” (12-637-641). Although the need exists, this participant felt the political will does not exist, and therefore money is not available to carry out public transit infrastruc ture expansion.  Forces Hindering Change (First-Order Level)  --  Inability to Plan  The metropolitan region of Vancouver is unique in the structure of its regional planning organization and the authority this organization holds in carrying out planning activities. Respondents’ comments concerning this subject are divided into the following sub-categories: the complexities of planning, impressions of planning, mismatched decision-making, and the dilemma of planning work/home relationships.  Complexities of Planning Chapter Four reviewed the organizational structure of community planning and  transportation planning in the Lower Fraser Valley of British Columbia. Although this research inquiry focuses on the City of Vancouver, the regional transportation authority, BC Transit, and the complexities and interconnectiveness of the regional system cannot be ignored. In the area of transportation planning what happens in the city and the region impact greatly on each other. All participants working at the regional and provincial levels of the transportation planning system discussed the difficulty of working within the existing structure. Participants expressed the following views pertaining to this topic of planning:  150  in this particular region we don’t have regional planning. The GVRD has said they want to do regional planning, but there’s no real legal way for them to achieve that.” (13-127-129) ‘...  “... an unplanned city is one where you allow private-sector economic forces to take over the development of your community ... and develop the city as the market will bear.” (03-180-195)  “Conceptually the region is proud of its town centre concept and it’s idea of a regional system where you can sort of live and work where you want, but typically that doesn’t happen.” (17-286-296) According to a transportation planner, when the provincial government removed planning responsibilities from the Greater Vancouver Regional District in the early 1980s, the greater community’s ability to undertake comprehensive planning was crippled. The second participant (a environmental analyst) felt this devolution of planning responsibility has resulted in an “unplanned city” where private-sector market forces dictate land use development.  The third participant (another transportation planner) used one of the  cornerstones of the Greater Vancouver Regional District (GVRD) planning philosophy, the “Town Centre Concept,” (GVRD 1975) as an example of an espoused theory which in reality doesn’t work. Impressions of Planning Participants made the following comments about research conducted by the GVRD: GVRD put these wonderful coffee table documents out just saying grand things that we can’t do.” (06-117-122) “...  ...  but they’re  the illusion of change can be harmful. It makes people relax and think that yeah maybe the politicians and the bureaucrats do have things in hand and I needn’t worry, and I needn’t get involved.” (04-651-654) “...  Sometimes I wonder if these reports are just diversionary tactics. left-turn bays are going in, streets are being widened, boulevards are being 151  removed, trees are disappearing on those boulevards (16-183-188)  ...  business as usuaL”  The first two quotes, both made by government transportation planners, convey 1) frustration with not being able to implement report recommendations and 2) concern with the impression the reports are making on citizens. The second government employee was worried about citizens being lulled into a state of non-participation or inaction. Thus, the illusion of planning could be more harmful than no planning. The fmal quote (from a community activist) implies that planning can be used as a subversionary tactic; expansion of the automobile transportation system proceeds as usual while decision-makers talk about planning for a diverse-mode transportation system (refer to Chapter Five, Section 5.3 for a discussion of this tactic).  Mismatched Decision-making Two quotes illustrate the problem of mismatched and uncoordinated decisionmaking: “The people who are making the decisions about land use have been making the decisions to develop areas that really cannot support public transit. And yet, at the same time, because they’re not paying for public transit directly, they’re demanding public transit services. So it’s a system that just does not support a long future. It’ll have to change if we’re going to get out of the cycle that we’re in now.” (13-131-140) “The fact that transit is actually operated by a provincial crown corpor most of the money is coming from ation, is delivered by the province the province, not from multiple govermnents. You don’t have a linkage and yet land-use decisions are being made by local governments far removed from the transit planning decisions.” (13-152-157) ...  These quotes (by a provincial transportation planner) address the issue of one level of government being responsible for land-use decisions and another level of government 152  being responsible for major automobile and transit transportation decisions. SkyTram provides an excellent example of the provincial government, in their hasty preparation for Expo 86, unilaterally deciding on the type and location of what has become an extremely expensive light rail transit system. This provincial decision-making, in situations where a regionally constituted organization with legal responsibility for planning and implementation should have authority, continues to cripple transportation planning in the city and in the region. The lack of regional authority in decision-making will be discussed in a later category under the title “Lack of Regional Control.”  Dilemma of Planning Work/Home Relationships In the City of Vancouver, urban planning practices continue to encourage long distance commuting: “[The] City of Vancouver has been ... creating 3 to 4 times as many jobs as they have residents ... And only just recently have they been looking at bringing more housing on in the city core. But it’s not the kind of housing where people are going to be working downtown. It’s not the clerks and the secretaries and office administrators and middle managers that are able to buy the condos and the high-end housing that’s going on in Vancouver. People who are doing those kinds of jobs are living in Burnaby or Surrey or increasingly further out the valley.” (17-255-268) “... the region [GVRD] is proposing that the city continue to accept more jobs than housing units which means ... the only thing that can mean to me is continued long-distance commuting.” (01-43-46)  The city has recently changed its policies and is now encouraging more housing in the downtown core. But, as the first quote (provided by a transportation planner) conveys, the type of housing is for a select group of high-income workers. This situation, coupled with the desire expressed by GVRD for the city to accept more jobs than housing units 153  continues to encourage long-distance commuting and erodes the mythical (as one participant implied) regional “Town Centre Concept.” In the metropolitan region, all respondents said suburban sprawl is a problem which continues to plague progress towards utilizing other modes of transportation.The separation of land uses and the high reliance on automobiles for mobility have been discussed in previous sub-categories. This sub-category introduces a new concern about suburban to suburban commuting  --  a form of commuting which has replaced traditional suburb to downtown  commuting as the dominant form of rush hour mobility. With the evolution of industrial malls and business parks, an increasing segment of employment opportunities are now in suburban locations. Houses and places of employment are increasingly dispersed in low density landscapes which cannot be serviced economically by public transit. With the increase in two-income households, a respondent who had experienced the situation said that the problem of dispersed place of work is compounded (08-399-409). Employment specialization may result in one spouse working in a suburban location far removed from the other spouse’s place of work.  Forces Hindering Change (First-Order Level)  --  Professional Planning Mindset  Participants perceived the planning profession as a contributing factor to the problems of continued unsustainability in Vancouver’s urban transportation system. These perceptions were based on the feeling that planners are not equipped with the skills or knowledge to facilitate a process towards a sustainable transportation system. 154  Idealism of Planners Two participants (both transportation planners) felt the planning profession and planning education were not preparing planners for the reality of practice, nor were they producing professionals who could assist in the transformational process towards sustainability. lot of people come out of planning school with very high ideals. Well, at least they go in with very high ideals . . .1 don’t know how they come out. But the people who come out ... a lot of them think they are going to change the world and set it on fire and they’re going to implement sustainable development .. .“(04-769-776) ..  planners are co-opted as soon as they leave school. And if they’re not, they’re not hired for very long.” (13-701-702) “...  One interview respondent felt planners lacked an understanding of the practical aspects of practising day-to-day planning.  According to one transportation planner,  planners become “co-opted” by the dominant growth paradigm or they are dismissed or marginalized or leave the planning profession altogether. Lack of Knowledge Participants expressed reservations about the planners’ apparent lack of public transit planning knowledge: “And I think there’s a real lack of understanding in terms of how the urban form affects transit that transit passengers are pedestrians before they get on the bus, and they T re pedestrians after they get off the bus.” (13-582-589) --  One participant (a transportation planner) observed that official community plans contain “motherhood statements” when referring to public transit, but a deeper understanding of “how the urban form affects transit” is not evident in the practice of most 155  planning professionals. In addition, during the development review process, meaningful dialogue between transit planners and the land-use planners does not take place.  Forces Hindering Change (First-Order Level)  --  Professional Engineering Mindset  Within the segment of the interview which explored hindering forces, the attitudes of interview participants towards transportation engineers generated the most lively responses. Eleven of the eighteen interviewees discussed the engineering mindset. Two politicians, two transportation planners, and one environmental analyst did not comment on this hindering force.  Five of the seven who did not comment were professional  engineers. Excerpts from this segment of the interview are divided into the following sub categories: education, technocratic focus, impressions of objectivity, defending the automobile, neighbourhood planning and implementing the informal plan.  Education The following quotes describe engineers both from an engineer’s and a nonengineer’s perspective. “My educational background is in engineering very much a problem solving sort of thing. Prepare a technical report and the job is done. From the public’s perspective it’s certainly difficult from my background. About five years ago we established a political committee to oversee our role. And the first thing they wanted was information communica tions kinds of services. We couldn’t provide it for them. I mean I did not, even after working for 25 years, have the first clue about how to get involved there.” (03-351-375) --  ...  ...  the guys that I meet, that have been out of school for a few years and who are now working as transportation planners or transportation engineers with the city or with the Ministry of Transport or something, or BC Transit, they seem to have this concept of or all they were really edu ...  156  cated towards is how to accommodate the automobile or how to add lane capacity, how wide a lane is supposed to be Instead of thinking well there will actually be less traffic and less congestion if we maybe don’t widen this street. Instead of that type of thinking they’re still back in that old line of thinking; they’re accommodating supply not demand.” (06-488499) ...  As the first participant (a environmental analyst) relayed, engineers are educated in problem-solving skills. Skills of communication (dealing with the public in an open communicative manner) are foreign to many engineers.  Trained as experts, they  experience difficulty in having their conclusions questioned within a political environment. The second quote (from a transportation planner) made by a participant who works closely with engineers on a day-to-day basis, highlights how some participants thought engineers perceived themselves. Through their education and through their practical experience, the second participant noted that engineers perceive their prime purpose as accommodating the automobile. They are not trained to question or to look for alternatives to an automobilebased transportation system, and they do not view these activities as part of their responsibilities.  Technocratic Focus Part of this apparent desire to accommodate the automobile comes from the engineering profession’s traditional stance of power within the municipality and its strong professional culture: “North American cities are designed by engineers and they’re real power structures in the engineering department. Livability truly is a secondary issue. Whatever is left over after the engineers have gone through with it it’s handed over to planning [the planning agency] to fix or to do something with. But it’s simply moving cars and it seems to be the number one priority in any city.” (16-210-215) 157  “I’d love to sit down and try and understand the Engineering Department one day. I’ve often found that they’re structured somewhat in a mili Part of it I think is tary fashion. In Engineering you pretty well have to go through the chain of command. And I think that may be part of it. The corporate culture in Engineer they kept everything pretty close to the vest as ing, I think, used to be quite uh far as information. They didn’t share a lot of information with people. That I think is changing. There’s a new [Vancouver] City Engineer as of a couple of years ago, and I think that certainly he’s more into looking at things more corporately, like across the city and working with other departments. It’s funny feedback from my counterparts in Calgary, in [be] cause I get the same Edmonton, in Toronto. That they have that same brick wall that they run into sometimes “ (10-352-37 1) ...  ...  ...  .  The first quote (from a community activist) describes the power of engineers within engineering departments. Pfeffer (refer to Chapter Two, Section 2.5.4 and Pfeffer 1981, 3) discusses how organizational leaders can be concerned with control and maintenance of the status quo. Institutional power politics, used effectively, can severely reduce an organization’s ability to adapt to internal and external environmental conditions. Yellin (refer to Chapter Two, Section 2.5.4) suggests that many organizations and their leaders are “Change Incompetent.” The comments of this community activist suggest that the City of Vancouver continues to promote the automobile (maintenance of the status quo) while ignoring livability issues. The second interview response (provided by an environmental analyst) contains some interesting observations. Although the respondent states that the elitist attitudes of the Vancouver Engineering Department seems to be changing, the department, and apparently engineering departments in other cities across Canada, continues to be “structured somewhat in a military fashion.” This implies a reliance on the outmoded methods of “Universalistic Management” (Taylor 1911). This form of management relies 158  on scientific techniques which focus on concepts of stability, predictability, and maximization of individual productivity in the workplace. This participant also pointed to the existence of a “corporate culture in Engineering.” As Schein notes (refer to Chapter Two, Section 2.5.4 and Schein 1985, 24), the existence of a corporate culture can insulate employees from constant changes in the external environment.  Impressions of Objectivity One component of corporate culture which helps mould employees into a strongly knit group is the presence of a “professional mystique.” Professional organizations use this technique to separate and elevate their members to the position of experts. Experts are perceived to be objective, but, as one respondent (a community activist) says, this is not always the case:  -  “One of the things about engineers is because they use numbers and numbers are unbiased, there’s truth in numbers and so I like to use their numbers against them because they really cheat with numbers. They have told us for years that there are 60 to 70,000 trips per day in the West End. Well, we know that only about 5,000 West Enders per day use their cars, so that must mean we’re all going around in mad, mad circles.” (16-220226) This community activist felt that engineers used mathematical and statistical methods to justify their own goals rather than providing balanced assessments. This problem is discussed in more detail in the following section.  Defending the Automobile Interview participants were highly critical of the position engineers maintain in dealing with the automobile in the City of Vancouver.  159  they’re [engineers] mandated in some ways to change the transportation system, yet they seem defenders of the status quo, which I fmd quite interesting. You mention something that’s good for bikes and their [engi neers] first reaction is ‘what is the negative impact on cars?” (12-243-259) ‘..  This participant (a community planner) felt that municipal engineers, although hired to serve people, see their role as serving automobiles. Change in the transportation system is being initiated by lobby groups which are promoting alternative forms of people-based transportation such as bicycles. But, as this respondent described, engineers react to these suggestions by looking for possible negative impacts on cars. This strong assumption of  the engineering department, that space cannot be taken away from existing general-purpose automobile traffic, represents one of the major impediments to moving towards a more sustainable people transportation system in Vancouver. Neighbourhood Planning The conflict between the Engineering Department and residents of Vancouver seems to be acute in the area of neighbourhood planning. According to all community activists, the Engineering Department was either not able or not willing to respond to resident concerns. The words of one community activist demonstrate how the technique of incrementalism is used to slowly modifr streetscapes to serve the needs of automobiles rather than the needs of neighbourhoods.  The process of increasing capacity is an  accepted, unquestioned assumption of transportation engineering.  The process of  decreasing capacity is a foreign, unthinkable concept: usually it’s the Engineering Department infringing on pieces of our neighbourhood without us knowing. It starts slowly they take off ...  160  parking on some of our residential streets, which means that increases the traffic flow and traffic volume. Next thing you know, we’ve got them widening the Street to increase the traffic flow, and gradually, the liveability of our neighbourhood becomes decreased (02-100-1 10) . .“  Another quote conveys the activist’s frustration with the Engineering Department’s narrow perception of community planning. The focus of these plans seems to be on the needs of the automobile rather than on the needs of neighbourhood residents. my struggle, and that’s all I can call it, with the Engineering Depart ment was that, first thing when I asked said to the Engineering Department that we, for our neighbourhood, wanted a community plan on how traffic would operate within our neighbourhood, they said well we have a community plan. So I asked them to have a look I asked to have a look at that plan. Well I found out they were talking about two streets, and I said my idea of a community plan is not two streets. My neighbour hood is more than two streets.” (02-131-140) ...  ...  The final two quotes describe subversive techniques used by engineers to circumvent neighbourhood plans. the Engineering Department worked with that piece of the community, they agreed on certain things, and we were at a meeting subsequently about six months later or a year later because what they were doing was going in total violation of what was actually agreed on ..“(02-183-187) “...  .  then they go on and do what they wanted to do in the first place, which is get traffic from point A to point B as quickly and as efficiently as possible in their terms which does not pay any attention to the neighbour hood they go through.” (02-201-205) These quotes imply that plans are developed, approved by City Council, and then ignored by the Engineering Department. One participant reported on the formation of a neighbourhood watch committee whose purpose was to guard against engineers increasing capacity on the arterial and local streets running through their neighbourhood.  Implementing the Informal Plan 161  Participants felt that the absence of an official community plan continues to have grave consequences on the livability of the city. The absence of an official community plan and a formal transportation plan was discussed in Chapter Four, Section