Land Use Study Commission
Draft Final Report (3rd Draft)
November 25, 1998
I. Introduction
II. Summary of Recommendations
III. Where We Are
A. Pre-GMA Legislation
B. Growth Management Act
C. Regulatory Reform
D. Growth Management Act Refinements
E. ESA and Salmon Listings
IV. Benefits of a Consolidated Land Use Code
A. Protecting and Enhancing Environmental Protection.
B. Improving Planning and Permitting.
C. Improving Intergovernmental Coordination.
D. Improving Public Involvement.
E. Responding to the Endangered Species Act.
V. Consolidated Land Use Code
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
VI. Subjects for Further Consideration
VII. Governance
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
VIII. Planning
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
IX. Environmental and Project Review and Permitting
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
X. Essential Public Facility Siting
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
XI. Appeals and Judicial Review
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
XII. Enforcement
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
XIII. Funding
A. Issue Statement
B. Background
C. Discussion
D. Options
E. Recommendation
XIV. Study of the Impact of Vesting During GMHB Appeals
A. Issue Statement
B. Background.
C. Discussion
D. Recommendation
XV. Conclusion
Appendix A.
Appendix B
Appendix C
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This report was prepared by the Land Use Study Commission, a volunteer group of dedicated individuals who gave an extraordinary amount of time to the Commissions work over the last three years. We would like to specifically acknowledge the work of Commission member Terry Husseman, who died before our work was completed. His dedication and vision continued to inspire us throughout our work.
This report relied heavily on the work of our Advisory Committees, which were staffed by volunteers. We deeply appreciate their efforts and ideas. These talented individuals generously gave large amounts of their time to our work, because they care deeply about the challenges that face our state. We would also like to acknowledge the members of the public who participated in our many public outreach opportunities. The comments we received during this public process were invaluable, and led directly to many revisions incorporated in this final report.
Finally, the Commission would like to acknowledge the dedication and effort of its staff, Julie Knackstedt and Harry Reinert, whose efforts were instrumental in helping the Commission throughout its three years. We wish them the best in their future endeavors.
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I. Introduction
This is the final report of the Land Use Study Commission.1 The Land Use Study Commission is the fourth significant effort in Washington in the last ten years to examine issues concerning governance, growth, and the environment.2 Each of these previous efforts resulted in changes to the land use and environmental system in Washington and improvements in the ways that we deal with the issues involved. The Land Use Study Commission believes that its recommendations further those prior efforts and will maintain and enhance the quality of life in Washington, protect and enhance the environment, improve the way we govern ourselves, and lead to better use of scarce public and private resources.
In each of its prior reports, the Commission focussed on incremental changes to Washingtons laws to address particular issues with the implementation of the Growth Management Act and related statutes. In this final report, the Commission has examined more sweeping changes to Washington law that would be implemented through the adoption of a consolidated land use code. Such sweeping changes will take time and cost money. There must be a public consensus that a consolidated code is necessary and will have a benefit. This consensus does not currently exist. The Commission believes that by exploring the benefits and problems with the consolidated code, and making suggestions on how it could be implemented, the consensus can be achieved over time. Such an effort, however, will need sufficient funding and dedicated personnel beyond the resources of a volunteer commission.
The Commission held two public hearings devoted to taking comment on its Final Report. One common theme of that comment was that implementation of a consolidated land use code needs to be done with deliberation. Local governments, the public, and the business community are all still dealing with changes made over the last several years to the land use and environmental system. In addition, the expected listing of additional salmon stocks under the federal Endangered Species Act calls for careful review of changes to existing laws that may have an impact on the ability of the state to respond to those listings.
In summary, the Land Use Study Commission concludes that a consolidated land use code has the potential for many benefits. At this time, however, there is not the consensus necessary for its adoption. The ideas presented in this final report merit further consideration and development. A consolidated land use code will take time to develop and implement. It will also require that adequate funding be an integral part of implementation.
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II. Summary of Recommendations
1. Overall Recommendation (See Discussion at Part V below.)
The idea of a consolidated land use code has the potential for many positive benefits. At this time, however, there is not the consensus necessary for its adoption. The ideas presented in this final report merit further consideration and development. A consolidated land use code will take time to develop and implement. It will also require that adequate funding be an integral part of implementation.
2. Governance (See Discussion at Part VII * below.)(1) Establish new, or expand on existing, approaches to shared governance between state and local government. Two options deserving further consideration are:
(a) An intergovernmental council with representation from state government, local government, and the tribes;
(b) Rule making and decision making procedures that promote shared governance over issues of greater than local concern.
(2) Consider establishing an office of dispute resolution to provide technical assistance in alternative dispute resolution to state agencies and local governments.
3. Planning (See Discussion at Part VIII * below)(1) Establish a process to coordinate state agency planning and activities and resolve interagency disputes.
(2) Combine city and county planning enabling statutes and coordinate with the Growth Management Act.
(3) Clarify the procedures for adopting shoreline management programs so that shoreline programs may be more easily integrated into the process for adopting GMA comprehensive plans and development regulations. For example, coordinate the time period for Ecology review of the shoreline master program with the time period for state review and comment on the draft GMA comprehensive plan.
4. Environmental and Project Review and Permitting (See discussion at Part IX * below.)(1) Environmental Review.
(a) Provide guidance and standards for the environmental review of comprehensive plans and development regulations to ensure that cumulative impacts of plan decisions and subsequent implementation are analyzed and addressed.
(b) Continue to examine whether additional changes should be considered to the environmental review process to ensure that decisions made as part of the adoption of a comprehensive plan and development regulations, that have been subject to environmental review, are not subject to duplicative review during the project review.
(2) Local Project Review. Establish optional minimum standards for local government administrative hearings in order to make the local government process more thorough and consistent. This is seen as a necessary prerequisite to allow further consideration of having shoreline permit appeals to be heard on the record rather than de novo.
(3) Coordinated State Permit Process.
(a) Eliminate sunset provisions from the permit assistance center.
(b) Consider a pilot project for the integration of state permit requirements into a single permit, such as consolidating Joint Aquatic Resource Permit Application (JARPA) permits into a single permit. The idea of a consolidated state and local permit should also be considered through an appropriate pilot program.
(4) Funding. Develop a consolidated code approach that provides sufficient funding to perform adequate environmental review at the planning stage, in order to reduce duplicative environmental review at the project review stage.
(5) SEPA. Further consideration should be given to resolving the key issues that divide stakeholders over the future of SEPA. Some of the divisions are as follows:
The environmental community and the Commissions tribal representative cite SEPA as a cornerstone of environmental protection in our state. At a time when salmon recovery is on the top of the state agenda, they argue that now is not the time to weaken environmental protection. They cite to cases where GMA plans had little or no environmental review, thus requiring such information at the project stage to adequately analyze the environmental impacts of projects. They also point out that cumulative impacts of development are not handled well under the current system, but that project review is the place where it is most likely to occur. They also note that SEPA applies to more than project development and GMA planning, because it applies to all government "action".
The business community believes regulatory reform and GMA promised more certainty in the permit process, but in reality that predictability has not occurred. In their view, SEPA and the duplicative layers of process are still used as a tool to slow down projects, which adds to the problem of affordable housing in our region.
Local governments cite the lack of available funds to do an adequate job of environmental review at the planning stage. They also indicate that many times property owners are either unsure of development plans or are unwilling to share such plans at the planning stage; thus, environmental review cannot always predict accurately what will actually be built.
A resolution of these issues will need further careful deliberation and consensus building. The dialogue should continue. After the salmon recovery plan is in place, and further GMA plans are in place, it is possible the context will be different. Adequate funding of environmental review will be necessary at the plan stage to implement any reforms.
5. Essential Public Facilities (See discussion at Part X * below.)Improved procedures for siting essential public facilities should be established. In particular, the new procedures should address the definition of essential public facilities and methods to provide impact compensation and mitigation to communities impacted by the facilities.
6. Appeals and Judicial Review (See discussion at Part XI * below.)Although nearly all parties agree that the current system for review of land use and environmental decisions is not perfect, there is no consensus to support any major changes to the land use and environmental appeals process at this time.
Although there is speculation that GMA appeals will diminish over time, the Growth Management Hearings Boards currently have an adequate work load. The Commissions recommendation is to maintain the status quo for the time being, while giving further study to the alternatives and the issues that divide the constituents who care deeply about this issue.
Some of the divisions between the parties that need to be resolved include:
7. Enforcement (See discussion at Part XII * below.)The environmental community, neighborhood groups, and tribes believe that the existing layers of appeals serve as an added element of environmental protection. They argue that the current appeal system works well and that there is not evidence showing any significant problems. They point out that many of the environmental statutes address matters that are of state-wide concern and that the appeal process needs to assure that those state-wide interests are protected. At a time when salmon recovery is a concern, they advocate that this is not the time to tinker with the Shoreline Hearings Board. They also cite to the expertise of the Shoreline Board and the Growth Management Hearings Boards in environmental and land use matters. They also prefer administrative boards because such forums are more accessible to non-lawyers. Also, they view administrative boards as more independent of local elected officials than Superior Court.
The business community cites to duplicative and inconsistent appeals statutes that can result in one project being appealed to different forums. They cite to the cost of de novo review, where local government proceedings on shoreline permits become meaningless if appealed to the Shoreline Board. They express concern with the Growth Management Hearings Board substituting its judgment for that of local elected officials and believe that local Superior Courts have more experience in respecting the separation of powers.
Local governments express frustration with the shoreline permitting process where new information and evidence may be produced at the de novo hearing, without giving local elected officials the right to review the new evidence. They would prefer an option that would provide for a hearing on the local government record if the local government conducts the hearing consistent with minimal standards for the conduct of administrative hearings. Local government also referred to the "stove-piping" of issues that can occur under the current system, where shoreline and upland impacts are reviewed in two different systems, when GMA was directed at an integrated approach. Some local governments also expressed frustration with having an appointed board overturning the decision of local elected officials.
State agencies had differing views. DOT spoke in favor of the status quo. Ecology and DNR agreed that in the perfect world, they would be able to present their concerns to local officials first. The current shoreline permit system allows state agencies to wait and raise their concerns for the first time in an appeal to the Shorelines Hearings Board. Although they recognize the potential for unfairness and inefficiency in such a system, it is a personnel resource issue. At present, they do not have the staff or other resources to stay informed and participate in all local projects. Even if the agency is notified of a project, it is not always adequately funded to participate in the local permit review process. The tribes have similar personnel resource issues.
The Commissions agricultural representative from Eastern Washington noted the importance of geographic diversity of the decision makers participating in the appeals process. He felt it was important to maintain that diversity in any appeal process.
Enforcement is an issue that must be addressed by a consolidated code. There are many options that merit further consideration, as outlined in the body of this report. There was nearly unanimous support for a fair system of enforcing permit conditions; however, there was not consensus on the best way to achieve that enforcement. Some of the views are as follows:
8. Funding (See discussion at Part XIII * below.)Local governments cite a lack of funding for permit enforcement. Smaller jurisdictions often have only one inspector to cover a very large area. Some local governments have innovative enforcement ordinances, such as Island County where third party enforcement is allowed. Local governments make it clear that unfunded mandates would not be welcome.
The environmental community, neighborhood groups, and the Commissions tribal representative cite cases where permit conditions are not implemented or monitored, leading to environmental harm. They believe more enforcement options, and perhaps mandates, are needed. They advocate for the right to act as private attorneys general, and the right to recoup attorney fees for the prevailing plaintiff ( a prevailing defendant would not get fees.)
The business community states that enforcement needs more study, and should be based on facts, not anecdotal evidence. They note that many of the ideas presented in the discussion of the issue can already be implemented and that legislation is not necessary. They fear increased litigation costs and permit fees to cover enforcement costs. Small builders cite permit fees as one problem standing in the way of affordable housing. The business community opposes private attorney general suits. They also believe that a system under which only plaintiffs get fees is unfair and will lead to increased litigation and frivolous suits. They also note that if private attorney general suits are authorized, they should apply only to post construction issues. Otherwise, project opponents can stop projects during construction when financing is vulnerable.
State agencies state that the objective is compliance, not enforcement, and suggest greater focus on the use of existing enforcement tools. An analysis of where the problems occur may lead to better environmental protection. For example, King County performed a study on wetland mitigation. Problems occurred at all stages, including design, construction, and enforcement.
Provide a variety of funding tools for local governments to use to finance growth related impacts. These tools that deserve further study include:
(1) Regional tax-base sharing options, such as sharing a percentage of the growth of commercial-industrial property tax base and sales tax, or of the excess in residential property tax (amount of tax on value in excess of average single family home value in area covered);
(2) Interlocal revenue sharing agreements;
(3) Joint economic development districts;
(4) Infrastructure Finance;
(5) Planning and Environmental Review Fund;
(6) Impact Fees.
9. Impact of Vesting During Appeals (See discussion at Part XIV * below.)Based on the limited information available from the study, no changes to Washingtons vesting statutes are recommended at this time to address the specific issue the Commission was asked to consider: whether vesting during a period of time a comprehensive plan is on appeal results in the approval of projects that are inconsistent with a comprehensive plan that is found in compliance with the GMA.
Some Commission members and environmental community representatives expressed disappointment with the data collected. They suggest a further study of vesting issues should be considered. There is anecdotal evidence that Washingtons vesting law, which grants vesting at the time a complete application is submitted, creates problems for implementation of the GMA. However, there is little solid data to indicate whether this truly presents a problem or only the perception of one.
Since many comprehensive plans have now been adopted, vesting during adoption and appeal may be less of an issue in the future. Also local governments do have authority to adopt moratoria to limit vesting if a problem arises. Some advocate however that the option of a moratorium is not sufficient, and that more direct legislative changes to the vesting laws are appropriate.
There are equally strong views that property rights and vested rights must be strengthened in any future consolidated land use code. Advocates of property rights view the GMA and other environmental laws as infringements of their constitutional rights. Any legislative change to the current rules on vesting would be a very controversial issue and would need further legal analysis, given the doctrines judicial roots.
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III. Where We Are
Prior to 1990 and the enactment of the Growth Management Act, Washington adopted several measures designed to address land use and environmental concerns in the state.
The overarching statute is the State Environmental Policy Act (SEPA) adopted in 1972. SEPA was modeled on the federal National Environmental Policy Act (NEPA) originally sponsored by Senator Henry Jackson of Washington. SEPA applies to nearly every governmental action that has the potential for adversely impacting the environment and it applies to all levels of government in Washington. Although it has its detractors, and complaints about its process are frequent, few criticize one its underlying purposes to inform decision makers about the environmental impacts of their decisions. For its supporters, SEPA is viewed as the most important tool available to protect against environmental degradation.
The Shoreline Management Act (SMA) was also adopted in the early 1970s, at about the same time as SEPA, by a vote of the people. The SMA approved by the voters was a legislative alternative to a proposal put forward by the environmental community. As with SEPA, there are those who object to some of the procedural aspects of the SMA. But also as with SEPA, few dispute the underlying purpose of the SMA to protect the states shorelines. With only a few exceptions, every city and county required to adopt a shoreline master program has completed that task. Many jurisdictions have updated their plans over the years to keep them current with scientific knowledge and changes in circumstances. The SMA has been largely effective in limiting many types of development that were common prior to its adoption. As a result, the shorelines look considerably different than they would have if there had been no SMA.
The Growth Management Act (GMA), adopted in two steps in 1990 and 1991, was an outgrowth of recommendations from the Growth Strategies Commission appointed by Governor Gardner in 1989. The GMA initially required 19 counties and their cities to adopt comprehensive plans and development regulations to plan for and address the impacts of growth. Perhaps the most important change made by the GMA to the local government land use process was the requirement that development regulations be consistent with the comprehensive plans. Coupled with a limitations on how often a comprehensive plan can be changed, this substantially changed the way land use issues were addressed by counties and cities.
As of early November, 1998, 29 counties and 213 cities were required to have comprehensive plans adopted by December 1, 1998. 23 counties (79 %) and 188 cities (88%) had met that requirement. This is an indication of substantial progress towards meeting the goals and policies of the GMA.
In 1993, Governor Lowry created the Governors Task Force on Regulatory Reform in part to address land use issues not resolved by the Growth Management Act. He charged the Task Force with looking at how "the states environmental and growth management requirements and processes [can] be integrated so that the goals of environmental protection, orderly and planned growth, and sustained economic development are achieved."3 The Governor also directed the task force to look at project approval, permitting, and appeal processes.
The Task Force report its final recommendations on December 20, 1994. Many of its recommendations concerning the integration of land use and environmental laws and permitting and appeal reforms were incorporated into ESHB 1724, passed by the Legislature in the 1995 session.
ESHB 1724 included some substantial changes to the local government procedures for reviewing proposed development. It required the local government to make a decision on an application within 120 days after a complete application was submitted. It also required the local government to limit the numbers of hearings on an application and to provide a procedure for coordinated local government permit review.
ESHB 1724 also included provisions to begin integrating SEPA, SMA, and the GMA. It provided a means by which counties and cities could resolve with finality some land use issues during comprehensive plan development. With appropriate environmental review, these decisions would not be subject to environmental review during the project review process. ESHB 1724 also provided the integration of shoreline master programs and GMA comprehensive plans, by incorporating the goals and polices of the SMA into the GMA. Some of the procedural aspects relating to the adoption of those different plans were not addressed at that time.
ESHB 1724 also reformed the archaic process for reviewing local government land use decisions and replaced it with the Land Use Petition Act. Although some problems with the new legislation have been identified, by nearly all measures it has brought greater certainty and fairness to the land use review process and allows decisions to be resolved on the merits rather than on procedural technicalities.
ESHB 1724 also provided for the establishment of the Permit Assistance Center in Ecology and for a coordinated project review process at the state level. The Permit Assistance Center has recently undergone sunset review and has received a positive review. It has assisted thousands through the provision of information about state and local permit requirements. It has also overseen a limited number of consolidated permit reviews.
D. Growth Management Act Refinements
In its first substantive recommendations to the Governor and the Legislature, the Commission in 1997 recommended modifications to the GMA in order to resolve some of the issues the Commission heard frequent comment on during its first year. With the passage of ESB 6094 by the 1997 Legislature, several nagging issues with the GMA were addressed with more or less success.
Chief among the changes was the addition of more legislative direction to counties on what was expected in the rural element of their comprehensive plans. In addition, counties were given clear choices to allow for development consistent with rural character. ESB 6094 also addressed several aspects of the Growth Management Hearings Boards, including the standard of review that they apply and the implementation of their authority to invalidate comprehensive plans and development regulations. These changes, while not resolving all of the disagreements over the Boards and their place in the land use regulatory system, did address some of the larger problem areas to a considerable extent. Disagreements over the role of the Boards have in the recent past been more focussed on what their role should be and less on the decisions that they have rendered.
The future for Washingtons land use and regulatory system holds many unknowns. A significant reason for that is the anticipated listing of several salmon stocks under the federal Endangered Species Act (ESA). Large areas of Washington are likely to be affected by the listings, including most of the major populations centers in the state.4 Although the response to the listings is still unknown, the ESAs broad sweep will ensure that nearly all governmental actions affecting salmon habitat, including water quality and quantity regulations, land use, forest practices, and stormwater control, will be affected. This will have a direct impact on the private sector.
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IV. Benefits of a Consolidated Land Use Code
The Commission was established by the Legislature in 1995 to develop a consolidated land use code, described by the Legislature as the integration and consolidation of the Washingtons land use and environmental laws into a "single manageable statute." The reasons for developing a consolidated land use code are numerous.
Governor Locke succinctly stated the benefits of a consolidated land use code in his Executive Order extending the Land Use Study Commission.5 He identified five benefits:
Protecting and enhancing important environmental values; | |
Improving the planning and permitting processes without sacrificing environmental protection; | |
Improving cooperation among all levels of federal, state, and local government; | |
Increasing public involvement in the land use system; and | |
Assisting in the response to listings under the ESA. |
A. Protecting and Enhancing Environmental Protection.
Over the last thirty years, the Legislature has adopted many new laws designed to protect or address specific environmental concerns. These laws have generally been added to the existing array of statutes, rather than replacing them. This has resulted in a complicated layer of regulatory provisions that can be difficult to unravel. The statutes have different policies and goals because they have been adopted for different purposes. They impose different requirements on governmental agencies and the public that may duplicate or conflict with requirements of other statutes. This makes implementation and enforcement difficult and can adversely affect the success of the statute in achieving its objectives.
By eliminating duplicate or conflicting provisions and clarifying the states goals and policies, a consolidated land use code will improve the ability of local and state governments to implement and enforce laws designed to protect the environment. Resources of all parties can be devoted to issues that are of greatest value to protecting the environment.
B. Improving Planning and Permitting.
The Growth Management Act and subsequent legislation initiated a process that has led to improvements in the land use planning in Washington. By further coordinating the decisions and processes in the planning process with the permitting process, a consolidated land use code can result in a system that provides for better understanding of the environmental impacts of planning decisions and the cumulative impacts of those decisions. At a time when significant new growth is projected, being prepared to address this growth and its impacts in a methodical and consolidated manner will be important. At the same time, the project review process can be made more efficient by reforming those parts of the process that result in duplication of effort. Cost savings in the permit process can also assist in meeting housing affordability goals.
C. Improving Intergovernmental Coordination.
The land use and environmental regulatory system requires a partnership between a wide array of governmental entities. Local, state, tribal, and federal governments all have an interest in the system. State and federal laws assigns authority to the different levels of government for implementation. If governments act independently of each other, they can duplicate or counteract the efforts of others. A consolidated land use code can clarify the responsibilities of different levels of government resulting in more efficient use of public resources and a better implementation of state law. More even distribution of economic development could be addressed, as could matching state resources to areas planned for growth.
D. Improving Public Involvement.
Public participation and approval of land use and environmental decisions is essential to a well functioning system. Public participation provides a barometer of the publics views. Public participation also acts as the conscience of the community. Public approval is also important to an efficient permitting system. Public opposition to a project results in delays that add to costs and frustration on all sides. Meaningful public participation should be a fundamental principle of a consolidated code. A consolidated land use code that simplifies the land use decision making process and that provides clear guidelines on when decisions will be made will enhance public participation. One of the chief obstacles to public participation is the time and energy required for members of the public to attend hearings and meetings and to know who will be making critical decisions.
E. Responding to the Endangered Species Act.
An added complication for Washingtons land use system is the likelihood that in early 1999 several salmon runs will be placed on the list of threatened or endangered species under the federal Endangered Species Act, adding to those that have already been listed. Significant portions of Washington, including many of its most populous areas, will be affected by the listings. The Washington State Joint Natural Resources Cabinet released its first working draft of a statewide strategy to recover salmon on September 25, 1998. The working draft addresses issues involving water resources, land use, habitat, and stormwater. There is a strong likelihood that the final strategy proposed by the Governor to the National Marine Fisheries Service will have wide ranging impacts on many of the Washingtons land use and environmental laws. A consolidated land use code, through improved enforcement and better use of scarce state and local resources, can serve as an important component of a recovery strategy.
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The Land Use Study Commission was directed to develop a consolidated land use code. Enactment of a consolidated land use code will result in significant changes to the way participants in the land use system interact with each other and with the system. The potential for these changes has raised concerns on the part of all parties that the changes will diminish some important components of the current system, that they create more rather less confusion, or that they will not result in any significant improvements. than Immediate enactment of a consolidated land use code will have significant impacts on local and state governments at a time when they are grappling with other important issues.
B. Background
The 1995 Legislature made the following statement as the first section of ESHB 1724, the Legislation creating the Commission:
The legislature recognizes by this act that the growth management act is a fundamental building block of regulatory reform. The state and local governments have invested considerable resources in an act that should serve as the integrating framework for all other land-use related laws. The growth management act provides the means to effectively combine certainty for development decisions, reasonable environmental protection, long-range planning for cost-effective infrastructure, and orderly growth and development.
L. 1995, Ch. 347, § 1.
The Commissions enabling statute gives the following direction to the Commission:
The commissions goal shall be the integration and consolidation of the states land use and environmental laws into a single, manageable statute. In fulfilling its responsibilities, the commission shall evaluate the effectiveness of the growth management act, the state environmental policy act, the shoreline management act, and other state land use, planning, environmental, and permitting statutes in achieving their stated goals.
RCW 90.61.010 (repealed effective June 30, 1998).6
C. Discussion
The Commission identified over a dozen existing chapters of the Revised Code of Washington that might be included in a consolidated land use code. In its review of these laws, the Commission identified the different chapters that could hold the various provisions of those laws. These categories would translate into chapters of the consolidated code.
A Consolidated Code could have the following chapters:
: The major policies that guide state land-use and environmental laws, including policies concerning growth management, shorelines management, and environmental protection.
Definitions: A consolidated definitions section.
State and Local Responsibilities: The states roles and responsibilities with respect to environmental and land use laws and the framework for local government authority within the context of the states policies.
Coordinated State Planning: Coordination of state agency activities related to environmental and land use policies.
Local and Regional Planning: A comprehensive planning statute integrating the planning enabling statutes with the GMA. It also includes regional transportation planning laws.
Environmental Analysis: Coordinating the state environmental policy act into the framework of the land use code.
Development Regulations: The use and application of development regulations as they provide controlling policy for local land-use and environmental regulations.
Subdivision of Land: The process for subdividing land.
Project Review and Permitting: The guidelines for conducting state and local project review, consolidated permit processes, and public involvement in those processes.
Funding: Funding for infrastructure, impact fees, incentives to coordinate actions among different governments.
Enforcement: The consequences of non-compliance.
Appeals and Judicial Review: Administrative and judicial review of state and local government land use planning and project decisions.
Miscellaneous: This section includes severability sections, effective dates, and other existing statutory provisions that do not fit in another category.
These chapters are discussed later in the report under the following subject headings:
Governance: Policies; State and Local Responsibilities
Planning: Coordinated State Planning; Local and Regional Planning
Environmental and Project Review and Permitting: Environmental Analysis; Development Regulations; Subdivision of Land; Project Review and Permitting
Appeals and Judicial Review
Enforcement
Funding
2. Principles
As a result of the hearings it held over the last three years, the Commission concluded that a consolidated land use code would be an effective means of accomplishing the legislative goal of using the GMA as the integrating framework for land use and environmental law in Washington. The Commissions recommendation is based on the following principles:
Protection of environmental values must be as strong or stronger than today;
The permit must be more efficient for all applicants, big and small without sacrificing environmental protection;
The total cost for complying with the code for counties and cities must be no greater than it is today; and
The opportunity for meaningful public participation in all stages of the planning and permitting process must be retained or enhanced.
Any subsequent effort to implement a consolidated code may want to elaborate on these goals and how they can be improved. There were also a number of views expressed over the proper phasing and weight to be given each of the goals discussed below.
a. Protection of the Environment
A primary goal of many of the statutes included in the consolidated land use code is the protection of specific environmental resources or inclusion of environmental values in the decision making process. The consolidated land use code should not only maintain these goals, but can enhance them. This will be necessary to gain the public support necessary to make the changes necessary. Some expressed the vie that environmental protection must be stronger than today, because they view current laws as not accomplishing sufficient protection. Others view the regulatory process as not giving sufficient deference to property rights.
b. Permit Efficiency
The permit system is the chief means by which land use and environmental policies are implemented. An inefficient permitting system does not necessarily further those policies and can lead to frustration and efforts to undermine or weaken the policies. An efficient permitting system should further those policies at the least cost to the participants. Efficiency should not be used as a means to undermine environmental protection.
c. System Costs
The consolidated land use code should have demonstrable benefits to all parties. Local governments and the public are still catching up with the changes enacted over the last several years. Many costs were created by vague GMA requirements. Future changes to state laws must be made to provide more clarity and certainty to existing processes. Some believe a consolidated code will require increased costs, in order to protect the environment, and that a goal of no cost increase is not realistic. Local governments are firm in their claim that there should be no unfunded mandates. Small builders point to new or higher permit fees as an obstacle to affordable housing. In sum, adequate funding is an essential element of a consolidated code.
d. Public Participation
A consolidated land use code must result in at least the same level of public participation as today. Its objective should be to enhance and make more meaningful public participation opportunities.
The Consolidated Land Use Code proposed by the Commission would create a new title in the Revised Code of Washington and move existing provisions of several statutes into that title. The major statutes that would be moved include:
State Environmental Policy Act (RCW 43.21C)
Growth Management Act (RCW 36.70A)
Shoreline Management Act (RCW 90.58)
Environmental Hearings Office (RCW 43.21B)
Planning Enabling Statutes (RCW 35.63, 35A.63, and 36.70)
Regional Transportation Planning Act (RCW 47.80)
Subdivision and Platting Statute (RCW 58.17)
Impact Fees (RCW 82.02)
Project Review (RCW 36.70B)
Land Use Petition Act (RCW 36.70C)
Over time, additional statutes may be consolidated into the code. For example, special purpose districts operate under separate planning statutes which can lead to fragmented land use planning. See, e.g., RCW 57.16.010 requiring water-sewer districts to adopt a comprehensive plan before undertaking certain kinds of actions. Hydraulic project approvals and certain forest practices (Class IV conversions) are also candidates for inclusion in the consolidated land use code.
The GMA should serve as the integrating framework for land use and environmental decisions. Integrating environmental protection into the land use planning and decision making process is controversial. Many of the GMA decisions local governments have made are based on certain assumptions, such as that current SEPA and its EIS process is available to address specific impacts of individual projects. The transition to a system where some significant land use decisions are made during planning and adoption of development regulations will require adjustments on the part of local governments and the public. In some cases it may require local governments to revisit planning decisions made and development regulations adopted in the past to assure that environmental impacts have been adequately analyzed and addressed. In other cases, it may result in limitations on the issues neighbors may be able to raise during project review. Some environmental groups believe that SEPA and the SMA should remain as independent statutes. The tribes also strongly believe in the need to retain these as separate laws. They also point out that other laws, such as those governing forest practices, flood control, and shellfish protection have important impacts on the environment and land use issues.
Process is the tool most of these statutes use for protecting the environment. A consolidated land use code offers the opportunity to replace process with substance, but this is an opportunity that will require considerable effort to be achieved.
D. Options
The Governor and the Legislature must evaluate what direction Washingtons land use and environmental laws should take. There are three basic choices: the status quo, staged consolidation, or consolidation in a single step. Each is discussed below.
1. Status Quo
This option would not make any systematic changes to the land use and environmental laws. Changes necessary to address specific problems or issues would be handled individually rather than as part of a consolidated land use code.
Pros:
There has not been a demonstration that a consolidated land use code is needed. If there are problems or issues with statutes, they should be addressed individually. Wholesale changes to existing law, even if done over time, will cause more problems than it will solve. | |
The current land use and environmental system has evolved over time and includes not only statutes but case law interpretations. Changes contemplated by a consolidated land use code would disrupt these years of practice and experience and cause more litigation and uncertainty. |
Cons:
The current land use and environmental system does not function well. The system is also costly. Part of the problem is due to the piecemeal changes that have been enacted over the years. There is a need to review the system as a whole and make the changes necessary to more effectively achieve the goals of the different environmental and land use laws. | |
The current system has created an atmosphere of mitigation through litigation. Process becomes a substitute for environmental standards. |
2. Staged Consolidation
Another option is to take a first step towards implementation of a consolidated land use code existing land use and environmental laws could be recodified within a new title of the Revised Code of Washington. Future efforts would focus on more fully integrating these different statutes with one another and addressing the substantive changes discussed elsewhere in this report.
Pros:
Placing related environmental and land use statutes into proximity with each other will make it easier to understand the relationships between the different statutory provisions. | |
This approach will allow time for all parties to adjust to the changes and assure that implementation goes smoothly. If sufficient time is allowed between adoption of the different stages and their effective date, problems can be identified and corrected before the changes go into effect. |
Cons:
Recodifying existing statutes will have unknown impacts on local governments. At a minimum, there will be a need to review local codes to change statutory references. This will take time and cost money that could be better spent on other tasks. | |
This option may result only in cosmetic changes that do not get at the real value of integrating the different land use and environmental statutes. | |
Some are concerned about unintended case law consequences, although this could be addressed in a legislative intent section. |
3. Consolidation in a Single Step
Under this option, the entire consolidated land use code would be developed and adopted as a whole.
Pros:
This option would give more time to the development of ideas presented in this report. | |
This option will be more likely to ensure that consolidation results in a consistent code that integrates the different statutes. |
Cons:
The changes to existing procedures and systems brought about by a consolidated code implemented at one time could be too disruptive. At a time when local and state governments have limited resources, they will be forced to address procedural issues that may not provide any clear environmental benefit. | |
There is a danger that in integrating different statutes into a consolidated code, important state policies will be lose out to the desire to achieve efficiency. |
The idea of a consolidated land use code has the potential for many positive benefits. At this time, however, there is not the consensus necessary for its adoption. The ideas presented in this final report merit further consideration and development. A consolidated code will take time to develop and implement. It will also require that adequate funding be an integral part of implementation.
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VI. Subjects for Further Consideration
A new consolidated land use code gives the state an opportunity to address a number of issues that complicate todays land use regulatory system. The next chapters address the following topics:
Governance | |
Planning and Project Review | |
Essential Public Facilities | |
Appeals and Judicial Review | |
Enforcement | |
Funding | |
Vesting |
These chapters explore these issues, provide background information, discuss problems, and identify options.
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VII. Governance
Washington has a strong tradition of local control. Some issues have impacts that are of concern to a region or statewide. Effective implementation of many land use and environmental laws requires cooperation among different levels of government. There are some mechanisms available to coordinate or share decision making authority between the different levels of government, but there are a number of areas where these mechanisms are not available or have not yet been tried.
B. Background
1. Governance
Washington has a complex governmental structure that involves a variety of state and local governments with different authority and responsibility. Governance issues arise around the relationship between different levels of government, such as between the state and counties and cities; between the same types of governments, such as between cities and counties; and between different types of governments, such as between cities and counties and special purpose districts.
At the local government level, the different local governments often have overlapping authority. This can lead to conflicts over territorial jurisdiction, particularly when the local government with jurisdiction receives financial benefits through additional tax revenue. Conflicts between the state and local governments often involve issues of authority and control. The state, through the Legislature and the Executive, seek to exercise authority over issues that it believes to be of state-wide concern. Local governments often this as intervention in matters of mostly local concern.
Washingtons local government structure has been the subject of several studies over the years, including the Washington State Local Governance Study Commission, which issued its report in January 1988. The first paragraph of the Governance Study Commissions Recommendations states:
Washington local governments are fighting a losing battle to fulfill their responsibilities in todays changing world. Their powers fall short of their problems: their structures are often outdated, and hard to change; most of all, their revenues are inadequate for the services they are expected or required to perform. Frequently there are too many local governments, particularly in densely populated areas outside of cities, and too little coordination among them in coping with problems that often cross jurisdiction lines. Citizens feel uninvolved and unrepresented in the cumbersome processes through which local governments are obliged to operate.
The Quiet Crisis of Local Governance in Washington, Final Report of the Washington State Local Governance Commission, Vol. 2, p. 1 (1988). This is not a dissimilar list of concerns and problems expressed about local governments today, although much as changed since the report was written. Most significantly, the GMA addresses some issues concerning coordination among local governments. The GMA also addresses the issue of public involvement.
2. State and Local Relationships
The traditional relationship between state and local government has tended towards a hierarchical structure. Local governments generally can only exercise the authority given them by the state either by statute or by the constitution. The constitution allows local governments to make and enforce laws not in conflict with the states general laws. In some subject matters areas, the state has exercised its authority to such an extent that local governments are prohibited from taking any independent action or may be limited in the actions that they are authorized to take. In other subject matter areas, the state may have either explicitly given authority to local governments or may not have taken any action to restrict the inherent authority local governments. This arrangement has resulted in a complicated array of authority between local and state government that varies depending on the particular subject matter.
One example of the relationship between state and local governments can be found in the Shoreline Management Act (SMA). The SMA establishes broad state policy goals and purposes. It gives a state agency (Ecology) the authority to adopt rules implementing the statute. Local governments are required to take action consistent with the statute and Ecology rules. Ecology must approve some local government actions and has the authority to review and appeal others. A state board is established by the SMA to hear appeals of Ecology and local government decisions under the SMA.
An example of a different type of relationship can be found in the GMA. The GMA also establishes broad state policies and goals. A state agency (Community, Trade, and Economic Development) has authority to adopt rules as guidance, but not as mandatory requirements. State agencies have a right to review and comment on local government decisions under the GMA, but they do not have approval authority. A state agency may appeal a local governments actions under the GMA to a state board. Local government actions under the GMA are presumed valid upon adoption. The board is required to uphold the local government decision unless there it determines the action was clearly erroneous.
3. Regional Issues
The state/local relationship turns in part on the regional scope of the interest that is in question. Some issues are of only local concern and do not require involvement or affect the interests of a broader community. Other interests have impacts on a region or implicate interests that are of regional or statewide importance.
Governance structures must be adaptable to these differences. Current governance is generally based on a hierarchy of governments. The state government is at the top of the state governmental structure, with general purpose local governments and special purpose districts exercising what authority is granted to them by the state.
The Legislature has provided some mechanisms to address regional issues. For example, Regional Transportation Planning Organizations (RTPOs) were authorized by the legislature in 1990 as part of the Growth Management Act. They are voluntarily created by local governments to coordinate transportation planning among jurisdictions and to develop a regional transportation plan. The regional plan must be consistent with local comprehensive plans. The RTPO also has authority to certify that local transportation elements of comprehensive plans are consistent with the regional transportation plan.
The 1998 Legislature added to the importance of regional transportation planning in SHB 1487. That legislation requires the state to work with local governments and the RTPOs to designate a transportation system of statewide significance. The Washington Transportation Plan, adopted by the Transportation Commission, is the basis for the collaboration between the state and local governments and the RTPOs.
Another approach towards regional decision-making is the watershed basin planning process authorized by the 1998 Legislature. With the involvement of state agencies, counties and cities in cooperation with water utilities and the tribes can exercise some of the authority previously exercised exclusively by the state. This may be a good model for future relationships. However, it is new and not yet fully tested.
C. Discussion
1. Types of Governmental Interests
The Commission has found it useful to examine the interests of the different levels of government by separating those interests into three broad categories: (1) issues of only local concern; (2) issues of greater than local concern, i.e. regional or statewide; and (3) issues of solely statewide concern. Some issues may clearly fall into the solely local or solely state-wide categories. The majority of issues fall in the middle because both they are of importance to both the local community and to the regional or state-wide interest.
2. Coordinated Decision Making
One alternative governance model that has received some recent attention might be called coordinated decision making.
In coordinated decision making, the governments with decision making authority collaborate to reach a decision that each then ratifies. They decide how to involve citizens, for example by allotting time at each meeting for public comment; appointing advisory committees or work groups; meeting with constituents between the joint sessions, or by providing additional seats "at the table."
The basic steps in coordinated decision making are:
Convening, which includes initiation and organization of the process;
Substantive discussions, during which the participants attempt to develop a proposed decision that addresses their interests;
Ratification, when the representatives of each participating jurisdiction present the proposed decision to their governing bodies for approval;
Default decision making: One option would be to establish a default decision making mechanism in the event the governments could not reach agreement. Any such mechanism would be for clearly defined types of issues.
Implementation, when the jurisdictions coordinate their actions to carry out the decision.
The following are principles that should govern the development of a coordinated decision making process:
There must be the ability to make a binding decision that is close to the decision-makers; | |
The decision-model should use existing governmental entities and authorities, supplemented, as appropriate, with additional jurisdictions; | |
The decisions should be based on adequate information and findings; | |
The process should be considered legitimate with opportunity for public comment and appeal; | |
There should be a compelling reason to act and invoke the decision-making model including incentives such as funding opportunities if jurisdictions collaborate; delegation of authority to the entities involved; or that a default decision-maker will be employed; | |
A clear, but minimal framework should be employed; it should not be complicated to use; | |
It should have flexible operating rules so that it can be used in planning, regulatory and permitting decisions; | |
It should be equitable in its representation and decisions and provide mitigation benefits; and, | |
It should have time certain deadlines. |
3. Coordinated Decision Making For Project Decisions
Coordinated decision making can be used for specific projects either on an ad hoc basis or through procedures prescribed in a framework.
a. Ad hoc process
Most coordinated or collaborative decision making processes are currently established on an ad hoc basis. One party will suggest the idea and other parties decide whether to participate. If they do, they work to address the issues. Oregon and other states encourage such efforts by providing technical assistance for the convening process and by providing funds for facilitation services. Under this approach, the default decision making process, if parties do not reach agreement, are the processes the parties have available, such as litigation or political action to change policy or leadership.
b. Pre-established framework
This model provides a structured framework for establishing a coordinated decision making process. As an example, the state or county, or the governments of a region, would establish a framework that promotes negotiated decisions for a specific project or for a type or types of projects, such as essential public facilities. The framework would specify how the coordinated decision making process would be convened, who has standing to participate, what issues are negotiable or nonnegotiable, and how decisions will be made if the participants cannot agree.
An example of this approach is a Wisconsin statute governing the siting of solid and hazardous waste facilities. Under that process, a local negotiation process is established when the applicant and the local government are unable to agree on siting. The statute controls the issues that may be considered and the procedure for negotiating disagreements. It also includes a procedure to resolve disputes that cannot be resolved through the negotiation process.
c. Coordinated Decision Making for Rule or Policy Development
Coordinated decision making can be used to develop rules or policies that apply either on a regional or statewide basis. The Administrative Procedures Act contemplates a form of coordinated decision making through its recognition of negotiated rule-making. Negotiated rule making is a process by which representatives of any agency and of the interests affected by a subject of rule-making seek to reach consensus on the terms of a proposed rule and on the process by which it is negotiated.7
Coordinated decision making for rule or policy development will generally require authorizing legislation. The legislation should enable a consortium of state agencies and local governments to develop and adopt a rule for regional purposes. It should specify the procedures for convening the process and a default decision process if an agreement is not reached.
The emphasis for policy development should be on those issues that are of both greater than local concern. These are those issues where there is value in establishing multi-jurisdictional agreements and regulatory authority to conserve and protect important state interests including: substantial health and safety issues; ensure essential public facilities and unwanted land-uses are sited; protect critical environmental and natural resources; conserve valuable energy resources; and mediate cross-jurisdictional impacts on ecosystem resources.
Watershed planning legislation enacted by the 1998 Legislature has many of the elements of this model. It allows a county to establish a watershed planning process that involves both local and state government and the tribes. The planning process is given authority to address a limited set of water resource issues. If agreement is reached on those issues, the agreement takes the place of rules that would otherwise be adopted by Ecology.
The watershed planning legislation was controversial, with a number of interest groups concerned with or opposed to the proposal. The tribes in particular believe the watershed planning process is an untested model that does not have the real support of either tribal or local governments. The see the statute as essentially a delegation of state authority to local governments and are concerned with that result. Implementation of the watershed planning process will be watched closely by those interested in water quality and water quantity issues. It will take few years before there is sufficient information to judge the success of the program.
D. Options
1. Intergovernmental Coordinating Council
An Intergovernmental Coordinating Council could be established as a forum for developing a partnership between the different levels of government. It would bring together the interests of local, state, and tribal governments in a constructive discussion on how to advance the interests of Washingtons citizens as a whole. It would have representation from these different governments. The intergovernmental council could be given authority to establish broad policy over a specific set of land use and environmental issues. There would be a need to clearly define the authority of the council and the extent to which it would have the power, if any, to overturn decisions made by local governments or state agencies.
Pros:
A structured forum to create the partnership between governments will allow for creative solutions to issues facing the state and local communities. It will provide an opportunity for the different governments to better understand each others issues and concerns. | |
An intergovernmental coordinating council with clear powers and duties will be provide a stable process for resolving intergovernmental issues over time and as there are changes among elected officials. | |
If mandated by statute, clear lines of decision making would replace an ad hoc system. |
Cons:
There is a risk that an entity such as this could become a super agency that would override local interests. There should be continued reliance on local governments to make land use and environmental decisions. | |
This is something that local governments and state agencies can do voluntarily. Some believe there is not need to mandate coordination. |
2. Regional Coordinated Decision Making Process
A framework for establishing coordinated decision making processes could be established as part of a consolidated land use code. The framework should be based on the principles identified under Part VII.C.2 above. The framework should allow the regional process to address either specific projects or specified policy or rule development. The framework should allow the use of an existing mechanism, such as an RTPO or an augmented county-wide planning process, or a new entity specifically designed to address the issue under review.
Pros:
Many land use and environmental issues are important to both state and local and regional interests. A decision-making process that allows all the parties to participate in the decision making process will result in a decision that is more likely to be acceptable and implementable. | |
A regional decision making approach will allow state-wide interests to be addressed while recognizing and dealing with the differences around the state. |
Cons:
The regional decision making process can easily be used to reduce environmental protection to the lowest level that is acceptable. At a time when the state is facing ESA listings, there needs to be greater emphasis placed on increasing standards, not reducing them. | |
The potential of many different regional decision making processes could result in stretching the resources of both state agencies and the public to such an extent that they would not be able to participate in a meaningful way in all of the different processes. |
3. Office of Dispute Resolution
A key component of coordinated decision making is the provision of technical assistance to both state agencies and local governments to help establish procedures and work through the process. A number of states have adopted more or less formal mechanisms to provide that assistance. Oregon, for example, has established an Office of Dispute Resolution that provides both assistance in evaluating issues for their potential for resolution, identification of facilitators and mediators, and matching grants to help pay for the costs of the process. Further consideration should be given to how such an office can be established in Washington. Details should be further developed on its budget, duties, powers, and public role.
Pros:
An office of dispute resolution could provide a central repository of information about alternative dispute resolution. Establishing quality decision making processes and knowing when alternative dispute resolution is appropriate can eliminate lengthy court or legislative entanglements. |
Cons:
There are a variety of resources already available to assist with alternative dispute resolution. Another state agency or office is not necessary. |
(1) Establish new, or expand on existing, approaches to shared governance between state and local government. Two options deserving further consideration are:
(a) An intergovernmental council with representation from state government, local government, and the tribes;
(b) Rule making and decision making procedures that promote shared governance over issues of greater than local concern.
(2) Consider establishing an office of dispute resolution to provide technical assistance in alternative dispute resolution to state agencies and local governments.
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VIII. Planning
The GMA requires counties and cities to develop a comprehensive plan that is based on a community vision and looks forward for twenty years. There is no similar function at the state level. Individual state agencies may adopt strategic plans, but there is no integrating framework other than the appropriation process and the capital budget.
The GMA was preceded by laws governing how local governments should adopt comprehensive plans and zoning regulations and how they should plan for the shorelines. There has been some attempt to coordinate these different statutes together, but there remain some differences.
B. Background
Under the GMA, counties and cities are required to adopt comprehensive plans that provide a roadmap for the kind of communities they want to be. The plans are required to address a set of specific issues, and must include a plan for financing capital facilities. At the state level, there are comparable planning activities, but they are generally focussed on specific issue areas. For example, the Transportation Commission is responsible for developing the State Transportation Plan, which includes many similarities to a comprehensive plan. Other state agencies develop similar strategic plans, either as an effort to manage resources or set priorities, or to comply with statutory requirements.
What does not exist at the state level is an integrating document that brings the states goals and objectives together in a single place and sets forth strategies for achieving those objectives over time. The closest documents are the operating and capital budgets passed every two years. The budgets are an expression of the Governors and the Legislatures priorities. Unlike a comprehensive plan, however, the budget process has a time horizon of only two years.
One drawback of not having a comprehensive state plan is the difficulty in assuring that individual state agency actions are consistent with one another and do not work at cross purposes. This can lead to duplication of effort or to conflicts between agencies.
In the last few years, there have been some attempts to institute procedures designed to address this issue. Governor Lowry, by Executive Order, directed that interagency disagreements be brought to the director of the Office of Financial Management who was given the authority to resolve the dispute or to refer it to the Governor. Governor Lowry also encouraged the use of alternative dispute resolution mechanisms to resolve disputes between state agencies and between the state and other parties.
Governor Locke, through his creation of the Joint Natural Resources Cabinet has put in place another effort to develop consistent state policy and resolve differences among agencies. The State Salmon Strategy being developed by the Joint Cabinet is one example of the type of planning that can occur from such a coordinated process.
One difficulty facing the Governor in establishing this type of process is the existence of several separately elected state officials and agency heads appointed by independent boards or commissions. The Commissioner of Public Lands and the Superintendent of Public Instruction are elected agency heads. The Secretary of Transportation and the Director of Fish and Wildlife are appointed by commissions appointed by, but independent of, the Governor. The Governor cannot require these agencies to participate in a joint cabinet or to coordinate their activities with the other executive branch agencies headed by the Governor.
There are three separate planning enabling statutes. Each applies to a particular type of city or to counties.8 In large part, the three statutes are the same, but they do have variations. The planning enabling statutes provide the basic procedure and authority for counties and cities to engage in land use planning and adopt zoning and other development regulations. The planning enabling statutes date from the 1920s. Although they have undergone some changes, they are largely a result of thinking about planning from the early part of this century.
The GMA covers some of the ground covered by the planning enabling statutes, but it imposes some specific requirements on the nature of the planning and the goals to be considered. GMA jurisdictions must still rely on the planning enabling statutes for much of the process used to adopt their GMA comprehensive plans and development regulations.
The SMA was adopted by a vote of the people in the early 1970s. It establishes policies and goals for the shorelines of the state. The SMA includes statements of public policy concerning the importance of the shorelines to the state.
All cities and counties with covered shorelines are required to adopt a shoreline master program, which includes a plan and implementing development regulations, to regulate activity and development on the states shorelines. Ecology has authority to adopt guidelines for preparation of the shoreline master programs and must approve all programs and amendments. A shoreline substantial development permit is required for certain kinds of development within the shorelines. Several elements of the shoreline program parallel requirements of the GMA. Both statutes provide for a land use element and for a transportation element.
One significant difference between the two statutes is that the SMA establishes a set of state goals and provides for priority uses for the shorelines. A second significant difference is that the SMA gives Ecology authority to approve local government shoreline programs and allows an appeal of a shoreline permit to the Shoreline Hearings Board. This is a higher level of state involvement in shoreline decisions than is present in the GMA.
The GMA includes specific direction to all cities and counties to designate and protect critical areas. These include wetlands, flood prone areas, and fish and wildlife habitat. Many of these critical areas are also included within the jurisdiction of the SMA.
The 1995 Legislature initiated the first step towards bringing the GMA and the SMA together. It provided that the goals and policies of the SMA were also goals and policies of the GMA. It also directed that the Shoreline Master Program should be considered an element of GMA comprehensive plans. No direction was provided on how to accomplish this integration of the two statutes.
C. Discussion
The American Planning Association Growing Smart project has prepared a paper and suggested legislative guidance on state planning options. See, "Chapter 4 State Planning", Growing Smart Legislative Guidebook, American Planning Association. The paper describes the following two paradigms for state planning:
Two general approaches in state planning have emerged and pose useful paradigms for drafting legislation . One has been called the "civic model" and is derived from the heritage and assumptions of city planning. The second has been termed the "management model" and draws its orientation and techniques from the science of organization management. Under the civic model, the state would engage in a goal-setting process, develop an inventory of resources and an appraisal of existing conditions that affect the ability to achieve those goals, identify a set of alternative actions, and compile a list of implementing measures. The civic model would produce plans affecting land use and critical areas management or addressing functional topics like transportation, water, and economic development. The plans would have regulatory impact and/or affect the programming of infrastructure to support particular growth strategies.
While the purpose of the civic model is to identify public goals and large-scale policy choices that will shape the states future, the purpose of the management model is to ensure that state agencies operate in an efficient and coordinated manner consistent with the priorities of the chief executive. Under the management model, the governor, who is the states chief executive, implements policies and measures enacted by the state legislature and uses the planning system to exert administrative control over state agencies by establishing operational guidelines and directions for them.
Growing Smart Legislative Guidebook, pp. 4-9-11.
There are a number of approaches for coordinating state agency responsibilities. The following is a list adapted from the Growing Smart project of some options that provide mechanisms for coordinating agency duties:
State agency cabinet A cabinet of state agencies is formalized and has authority to adopt rules. Many states, including Washington, have a Governors cabinet. In Washington, the cabinet does not have independent rule-making authority. A formalized cabinet brings together key departments whose activities have an impact on planning and land use, enabling a governor to speak with a single voice on critical growth and development issues in the state. A secondary purpose of the cabinet is to resolve disputes among state departments on the siting of state and regional public facilities.
State planning office A state planning office is established in the office of the governor. Its primary activity would be to advise the governor on policy initiatives and coordinate activities of various state agencies. This is a function that is currently served in part by the Office of Financial Management.
State planning commission Where a state does not have a strong tradition of statewide planning and requires an independent body to initiate and gain support for a new program, a state planning commission is a helpful mechanism. Moreover, because the commission will continue through different administrations, it can establish a presence and continuity for planning in the state.
Any of these state options will no doubt be met with diverse views. Some view more state planning as a necessary component of a consolidated land use code. Others view local governments as the best entity to conduct planning and see state planning as a way to wrest control away from local governments.
Over the last several years, the statutory recognition for different classes of cities and counties has been changed and many of the previous distinctions have been eliminated. In some areas, differences in authority between cities and counties no longer provides any particular value. The planning enabling statutes, which provide similar but different authority, to counties, code cities, and charter cities is such an area.
In addition, these statutes, which preceded the GMA, provide procedures for adoption of comprehensive plans and development regulations. The relationship between the two statutes has not been addressed by the legislature, causing confusion at times over which statute applies and for what purposes.
In addition to the substantive policies of the GMA and the SMA, and the different approach towards state and local relationships in the two statutes, there are also procedural differences that make it difficult for GMA jurisdictions to fully integrate their GMA and SMA plans and development regulations.
SMA requires a local government to adopt changes to its shoreline master program within two years after Ecology updates the shoreline guidelines authorized under the SMA. The GMA limits changes to GMA comprehensive plans to once each year. It also requires counties and cities to evaluate their plans consistency with the GMA goals at least once every five years. There is a potential that these different review cycles will not fit together, forcing local governments to continually modify their plans to remain consistent with state law.
The SMA also provides for an extensive public involvement process that a local government must follow to adopt a shoreline master program. The GMA also make public involvement a critical component of the GMA planning process, but does not prescribe the details of the public process. Although there is no direct inconsistency, some local governments may have developed public involvement mechanisms under the GMA that work within their community but do not meet the strict requirements of the GMA.
An important element of the SMA is that Ecology must approve the shoreline plan and any amendments before they take effect. Under the SMA process, the local government submits the plan that has been adopted to Ecology for approval. There are no time limits on Ecologys review. Under the GMA, state agencies do not have approval authority, but do have the right to review and comment. The major difference is that the comment is on the local governments draft plan, not on the adopted plan. When combined with the GMAs prohibition on amending comprehensive plans no more than once each year, this presents logistical problems for local governments.
Changes to some of these processes, to allow use of GMA public participation processes and synchronizing the comment period on the GMA comprehensive plan with Ecologys review of the shoreline master program could smooth the integration of the two statues without lessening the level of state oversight currently found in the SMA.
D. Options
a. Status Quo
Make no changes to existing cabinet structures.
Pros:
The Governor has authority to organize his cabinet in whatever manner he or she deems best. Although the goal of state planning is a good one that should be encouraged, it is the Governors responsibility to take responsibility for this. |
Cons:
b. Cabinet Coordinating Committee
A cabinet coordinating committee could be established. It could be composed of agencies with an impact on land use and environmental issues, including the natural resource agencies and agencies concerned with education, health, social services, transportation, and economic development. The cabinet coordinating committee would oversee the development of a state comprehensive plan. The cabinet coordinating committee would also work to coordinate state agency actions and resolve differences between agencies. It could also serve to establish state policy on issues arising through local or regional decision making processes and provide state input into those processes.
Pros:
The budget process, which is the only existing formal mechanism for developing state policy in a comprehensive manner, has too short of a time period for effective planning. It is also not designed to truly address inter-agency issues. | |
Although legislation is not required to establish a cabinet coordinating committee, legislation would address the fact that several important state agencies are headed either by separately elected officials or by a board or commission only indirectly accountable to the Governor. | |
Establishing a cabinet coordinating committee through legislation will also assure continuity from one administration to another. | |
This could open up the process of setting state policy to greater public involvement and input. |
Cons:
Although there are many good reasons for this type of committee, legislation mandating it would be an intrusion of the Legislature into a matter that should be left to the Governor and other elected officials to resolve. | |
Although there are potential benefits from coordinating state agency actions, there is a risk that on some matters of important state-wide interest, environmental protection will lose out to other interests, resulting in a lessening of environmental protection. |
2. Integrate the Planning Enabling Statutes and Coordinate with the GMA
The three separate planning enabling statutes should be combined into a single statute that applies to all cities and counties. The objective would be to retain for local governments the maximum flexibility to design local processes consistent with overall state-wide objectives to assure a fair and open public process.
Pros:
The current differences between the planning enabling statutes causes some confusion and does not have significant benefits. This would provide an opportunity to modernize the planning statutes. This would also allow the procedures for developing and adopting comprehensive plans and development regulations under the planning enabling statutes to be synchronized with the GMA. |
Cons:
There are not any significant problems with the existing statutes. Any changes needed could be made to the individual statues. | |
The proposal could require county and city governments to make substantial changes to their zoning codes for no reason other than for consolidation. |
a. Status Quo
Leave the current procedures in place.
Pros:
Local governments already are able to integrate their shoreline master programs and GMA plans if they wish. | |
The current procedures assure that careful attention is given to protecting the shorelines, which are a unique and limited resource. |
Cons:
b. Changes to the Procedures for Adopting Shoreline Master Programs
The SMA should be amended to allow a GMA jurisdiction to make changes to its shoreline master program (SMP) following the procedures specified in the GMA. A local government could integrate its SMP into its GMA plan, so long as the local government identifies the components of the GMA plan that meet SMA requirements. Ecology review and approval would still be required for the SMP, but this would be timed to fit within the comment cycle provided for in the GMA.
Pros:
This change will allow local governments to better integrate their shoreline plans with their GMA comprehensive plans. It maintains the state interest in the shorelines by retaining Ecology authority to review and approve the shoreline plans. | |
This is a step towards further consolidation that allows time for the implementation and assessment, before further substantive changes are considered. |
Cons:
This amounts only to minor tweaking of the planning system when what is required is a more substantial integration of shoreline planning with the GMA. | |
The integration of the SMA plans into the GMA will make it more difficult for the public to verify that a county or city is complying with the SMA and its more stringent requirements. | |
This option may result in giving Ecology authority over aspects of the GMA plan, authority that it does not currently have. |
c. Fully integrate SMA into the GMA
More fully incorporate the SMA into the GMA. Adoption of the shoreline element under a GMA comprehensive plan would be subject to the same procedures as to other elements of the comprehensive plan. Ecology would have review authority, but would not have approval authority. Ecology could appeal a local government decision that it does not agree with.
Pros:
There are many duplicative provisions between the GMA and the SMA. This option would be consistent with legislative direction that the GMA should be considered the main planning statute. Incorporating the relevant provisions from the SMA into the GMA will assure that the shorelines are protected while also creating a more efficient system. | |
Local governments are in the best position to understand and manage the resources in their jurisdiction. They should be given the authority to manage those resources. |
Cons:
The shorelines are a unique resource that belongs to the people of the state as a whole, not to any single jurisdiction. State oversight is essential to ensure that the publics interest in the states shorelines does not become overwhelmed by the more narrow local interest of a city or county. | |
Some people believe the SMA should be retained as is and should not be integrated into the GMA. |
(1) Establish a process to coordinate state agency planning and activities and resolve interagency disputes.
(2) Combine city and county planning enabling statutes and coordinate with the Growth Management Act.
(3) Clarify the procedures for adopting shoreline management programs so that shoreline programs may be more easily integrated into the process for adopting GMA comprehensive plans and development regulations. For example, coordinate the time period for Ecology review of the shoreline master program with the time period for state review and comment on the draft GMA comprehensive plan.
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IX. Environmental and Project Review and Permitting
Since the adoption of SEPA in 1972, Washington has required environmental review as a part of the project review process. The adoption of the GMA presents an opportunity to better address the cumulative impacts of land use decisions than is available through the project review process. This will require a change in the timing of environmental review and a change to the way land use and environmental issues are addressed by local governments, the state, and the public.
Over the last few years, increasing attention has been paid to the issue of integrating different local and state governments permits into a single permit through a single process. 1995 Legislation created the Permit Assistance Center and a coordinated permitting process. This legislation is due to expire in 1999.
The siting of essential public facilities has posed significant difficulties for local governments, the state, and the public. The GMA provides minimal direction and does not address issues related to regional concerns and impacts. More recently, issues surrounding the siting of group homes, correctional institutions, and related facilities has become of increasing importance.
B. Background
1. State Environmental Policy Act
SEPA was adopted in the early 1970s, in part to ensure that government officials were aware of the impacts of their decisions. In the twenty-five years since its adoption, SEPA has become a fundamental part of this states system for reviewing the environmental impacts of nearly every type of governmental action, from the adoption of city and county ordinances, to the decision to build a sewage treatment plant, to the approval of an application to construct a building.
In the intervening twenty-five years, a number of laws addressing specific environmental issues have also been adopted, including issues such as the protection of the shorelines, air quality, hazardous waste control, solid waste control, and water quality. Some of these laws have resulted from federal requirements, others have been locally driven. In the early 1980s, the Legislature initiated a comprehensive review of SEPA that led to legislative changes adopted in 1983.
In 1990, the first stage of the Growth Management Act (GMA) was adopted, followed by additional provisions in 1991. As cities and counties have begun to implement the GMA, there have been efforts to evaluate the extent to which these different statutes have resulted in duplication of effort. In 1993 Governor Lowry appointed the Governors Task Force on Regulatory Reform, in part to address the project review process. The Task Force proposed legislation that was ultimately adopted by the 1995 Legislature as ESHB 1724. That measure included provisions designed to integrate SEPA and GMA to some degree.
SEPA requires a governmental entity, whether state or local, to analyze the environmental impacts of its major actions. The same basic rules apply whether the proposed action is general in nature e.g. adopting an ordinance or project specific. The Department of Ecology has adopted rules to implement SEPA. SEPA applies to more than project actions.
The lead agency must make a threshold determination of whether the proposal has probable significant adverse environmental impacts. If the lead agency determines that it does, an Environmental Impact Statement (EIS) must be prepared.
An agencys decisions under SEPA are subject to review both administratively, if allowed by the agency, and judicially.
ESHB 1724 included provisions directing that certain land use decisions made in GMA comprehensive plans and development regulations not be reconsidered during project review. These include decisions concerning the type of land use, density of residential develop in an urban growth area, and the availability and adequacy of public facilities identified in the comprehensive plan.9 In addition, a city or county planning under the GMA may determine that SEPAs requirements for the analysis of and mitigation for the specific adverse environmental impacts of a project action have been adequately addressed in the jurisdictions comprehensive plan and development regulations.
ESHB 1724 established a set of standards for local government permit processes. Although prior law had contained some restrictions on the number and type of local hearings that could be held on a project, ESHB 1724 established strict requirements. In addition, it imposed on a three year trial basis, since extended for two more years, a requirement that permit decisions be made within 120 days after an application has been submitted. The 120 day period excludes a number of events, including the time required to prepare an EIS.
ESHB 1724 did not impose any specific requirements on the procedure for conducting local hearings. As with prior law, local governments have discretion on how to structure those hearings, within the basic requirements of due process.
ESHB 1724 included provisions creating the Permit Assistance Center in Ecology, as well as creating the Permit Coordination Procedures Act. The Permit Assistance Center has been reviewed under the Sunset Review Act. The Joint Legislative Audit and Review Committee has recommended that the Center be reauthorized. In addition, the Joint Legislative Rural Economic Development Task Force has been considering the role of the Permit Assistance Center in addressing economic development issues in the rural areas.
In the early 1970s, the Environmental Coordination Procedures Act was enacted by legislature. After some initial interest, that law fell into disuse and was repealed by ESHB 1724. The replacement statute, the Permit Coordination Procedures Act, provides a combination of information sharing and permit coordination. The later takes place only at the request of an applicant. The process includes the appointment of a project facilitator to work toward ensuring that timelines agreed to by the parties are met. The act sunsets in 1999. The process provides for the coordination of state permits. A local government may be invited to participate in the process, but may not be required to do so.
C. Discussion
a. Non-project vs. Project Environmental Review
Although SEPA and its implementing rules distinguish between environmental review for projects from that required of legislative (non-project) actions, some of the requirements imposed on non-project environmental review are not necessarily useful. For example, the alternatives analysis required for an EIS may not be useful in cases where an agency is required to adopt a comprehensive plan. Discussing the alternative of not adopting a comprehensive plan is not an option that the local government can realistically consider.
A significant percentage of the GMA plans and development regulations that have been adopted by cities and counties have not undergone thorough environmental review. In some cases, cities and counties have determined that the plans or regulations do not have significant impacts, and thus did not prepare the more detailed analysis provided for in an EIS. This may be an appropriate decision for some types of plans or regulations. In others, the failure to conduct thorough environmental review prevents the plan or regulation from providing guidance for environmental review of project decisions.
A jurisdiction that has not conducted detailed review will not be readily able to take advantage of the provisions of ESHB 1724, that allow, and in some instances require, the jurisdiction to rely on its prior policy choices.
The existing SEPA process for environmental review of non-project actions -- actions such as the enactment and amendment of comprehensive plans and development regulations -- is not always conducive to good environmental review; at times, the existing process can discourage or thwart good environmental review. This is because the only environmental document prepared for most legislative enactments is a SEPA checklist, and this checklist usually is prepared after the proposed legislation has been written. The county or city prepares and reviews the checklist to determine whether the adverse environmental impacts disclosed in it are "significant" within the meaning of SEPA, but there is no useful standard of "significance" that leads to predictable and consistent decision-making from one jurisdiction to the next, and counties and cities have an incentive not to find impacts "significant" because when they do they must prepare an expensive and time-consuming EIS. When impacts are determined not to be "significant" in the SEPA sense, no further environmental review beyond the checklist is performed, but even "non-significant" plans or regulations often have environmental consequences and entail environmental tradeoffs that ought to be acknowledged and understood by the policy-makers considering their adoption and the citizens whose conduct will be regulated.
Many cities and counties issued Determinations of Nonsignificance before enacting their GMA-required plans and regulations. These negative threshold determinations may well have been appropriate under existing law, especially in jurisdictions that were simply amending their existing plans and regulations. The quality of the plans and regulations would have been improved, however, if some environmental review had accompanied the development, drafting, and enactment of these plans or regulations. SEPA should encourage environmental review that is tailored in scope to the potential impacts of the plan or regulation being enacted, and such environmental review should occur while the plan or regulation is being developed, not performed as an after-the-fact justification for decisions that already have been made.
b. Threshold determinations and Environmental Impact Statements
The SEPA threshold determination process divides project actions into the few that require Environmental Impact Statements and the many that do not. The great majority of projects receive DNSs or MDNSs. The amount and quality of the environmental review that these projects receive varies from project to project and jurisdiction to jurisdiction because SEPA does not provide a meaningful standard for determining significance or a clear and consistent process for evaluating impacts that are not deemed significant. In addition, SEPA does not provide clear direction on the use a city or county should make of existing environmental documents that have been prepared for other projects or for non-project actions such as the adoption of a sub-area plan. The SEPA process ought to focus on whether the impacts of a project have been identified and studied to the extent appropriate given the nature and extent of those impacts. The present threshold determination process can distract from that determination and lead to confusion, duplication of effort, procedural gamesmanship, and unnecessary delay.
c. Reliance on GMA Policy Decisions
Although ESHB 1724 provides a process by which a GMA jurisdiction, during project review, may rely on its plans and regulations to have adequately addressed environmental impacts, the process is sufficiently uncertain that it has not been used often.
One reason suggested for this failure is that the cities and counties have been provided little guidance to assist them in conducting the environmental analysis on a comprehensive plan. The SEPA rules do not provide a useful procedure for reliance on previous studies. Because of the uncertainties involved, in addition to the expense, few cities or counties have undertaken the effort.
d. Multiple Regulatory Requirements
In addition to requirements under GMA to designate and protect critical areas, the state and cities and counties implement a number of other state and federal requirements designed to protect the environment. These include provisions to manage and protect the shorelines, regulate stormwater, and protect streams and wetlands. In some instances, although not always, the requirements have been adopted after thorough environmental review.
During project review, a project proponent may be required to study the impacts of the project covered by existing regulations, even though the regulations may have been designed to address those impacts and provide for mitigation.
The requirement that counties and cities make a decision on a project application within 120 days is viewed as a mixed success by participants in the land use permitting process. Applicants generally view the statute as too flexible. They do not believe that the time periods are certain enough. Members of the public view the provisions as creating a process that moves too quickly and does not allow enough time for the public to review proposals and participate in the decision making process in a meaningful manner. Local government officials express concern about the paperwork involved.10
The 120-day time limit was enacted as a three-year pilot project in 1995 and was due to expire on June 30, 1998. The Commission, directed to study the 120 day time limit and its impact, reported to the Governor and the Legislature in 1997. The report concluded that not enough time had elapsed to truly evaluate the effect of the requirement. It recommended that the sunset date should be extended to June 30, 2000 to allow time for additional study of the impacts of the program. The Legislature enacted the Commissions recommendation during the 1998 session. The Commission also noted that an additional study would need to be funded and assigned to a state agency or other organization. That has not occurred.
3. State and local permit coordination and integration
The Coordinated Permit Process is underutilized despite its significant potential. First, applicants are often not familiar with the process, and are unaware of its value in managing multiple permits, time schedules, hearings, and appeals. Second, although many of the permits for projects are the responsibility of local agencies, local agencies are not required to participate in the process.
The major value of the Coordinated Permit Process is the "internal coordinator" feature. The coordinator serves as the main point of contact for the permit applicant and manages procedural aspects of the process. The coordinator assures that the applicant has sufficient information to apply for multiple permits, coordinates the review of those permits by the participating permit agencies, ensures that timely decisions are made, and assists in resolving any conflict or inconsistency among project permit requirements and conditions.
One downside of the Coordinated Permit Process may be its formality. The formal commitment to timelines can cause reluctance on the part of both the applicant and the agencies to sign the agreement until they are sure they can meet the agreed to commitments. While this may not prevent the permitting processes from moving forward, the negotiation can occupy hundreds of hours of governmental and private sector staff time.
The Coordinated Permit Process is approximately three years old. The process has led to cooperative review of four projects, and one has completed permitting. With more experience, the process may be suitable for mandatory application to certain classes of high impact, multi-jurisdictional projects.
D. Options
1. Threshold Determinations, SEPA, and GMA Integration
The Commission established an advisory committee to consider revisions to SEPA and GMA as a way to better integrate the two statutes. They proposed to replace the SEPA threshold determination with a different procedure to evaluate environmental impacts. The procedure would rely on a revised environmental checklist identifying probable impacts. The lead agency would make a preliminary determination listing the probable impacts and identifying existing documents, regulations, and processes that apply to the proposal. The lead agency would issue the preliminary determination at same time as the notice of application. Public comment would be solicited. The final determination would identify those impacts that are not significant, those that have already been analyzed and addressed by other documents or regulations, and those that require further study under SEPA. An environmental report would be prepared on those impacts needing further study under SEPA. When the report is completed, the lead agency would issue its decision on the merits and decide what conditions and mitigation should be imposed. The application may be denied if the adverse impacts cannot be mitigated. The applicant would be able to appeal a determination that requires additional studies. Other parties could appeal SEPA issues at the same time as the appeal on the underlying governmental action.
Pros:
The SEPA threshold determination process divides project actions into the few that require Environmental Impact Statements and the many that do not. The great majority of projects receive DNSs or MDNSs. This makes the threshold determination largely meaningless in some cases. | |
The amount and quality of the environmental review that projects receive varies from project to project and jurisdiction to jurisdiction, because SEPA does not provide a meaningful standard for determining significance or a clear and consistent process for evaluating impacts that are not deemed significant. | |
SEPA does not provide clear direction on the use a city or county should make of existing environmental documents that have been prepared for other projects or for non-project actions such as the adoption of a comprehensive plan, sub-area plan, or development regulations. | |
SEPA ought to focus on whether the impacts of a project have been identified and studied to the extent appropriate given the nature and extent of those impacts. The present threshold determination process can distract from that determination and lead to confusion, duplication of effort, procedural gamesmanship, and unnecessary delay. |
Cons:
Existing law already provides all the authority and direction that is needed for local governments to rely decisions made through comprehensive plans and development regulations during project review. | |
This proposal could raise the cost of permitting for small projects and will lead to even higher housing prices. | |
Local governments have not yet caught up with the changes made to SEPA in 1995. More training and technical assistance should be provided to assist local governments in dealing with those changes before more changes are adopted. | |
SEPA applies to a wide range of actions that extend beyond the GMA. The proposal seems to exclude all of these other actions. This will either result in two different environmental review processes, one for GMA actions and one for everything else, or eliminating environmental review for all of those other actions. The advantage of SEPA as it currently exists is that it provides a relatively consistent process to environmental review no matter what type of decision is being considered. | |
The result of the proposal is likely to be less environmental review. At a time when the state is facing potential salmon listings under the ESA, this is the wrong direction. More environmental review is necessary, not less. | |
The Commission has concluded that eliminating the threshold determination process as proposed should not be recommended. Although the goal of better environmental review and analysis was supported, the negatives were outweighed by the benefits at this time. However, this may be an idea that deserves additional review and consideration in the future. |
2. Environmental Review of Non-Project Actions
Amend SEPA to distinguish between the type of environmental review conducted on non-project from that conducted on project actions. Environmental review of non-project actions could specifically include the need to look at cumulative impacts of proposals. Specific guidance for conducting environmental review of comprehensive plans and development regulations could be provided to increase the quality of environmental review and make it more likely that projects consistent with the comprehensive plan and development regulations would have had most of not all of their impacts adequately analyzed and addressed.
Pros:
The quality of environmental review of non-project actions, including the analysis of alternatives, should be improved and made more consistent, so that legislative bodies and citizens alike understand the environmental tradeoffs inherent in legislative choices and so that the environmental consequences of such choices do not need to be studied again at the project level. | |
The legislative decisions embodied in plans and regulations have environmental consequences, and entail environmental tradeoffs, that ought to be identified and considered by the policy-makers who adopt such plans and regulations. | |
Even when an EIS is prepared before the adoption of a plan or regulation, the current SEPA rules provide little guidance on the content of such a non-project EIS. |
Cons:
One premise of this approach is that with enough environmental review of a comprehensive plan and development regulations, individual projects will not need any environmental review. Those who advocate this approach believe the fundamental tradeoffs were made in the planning stage. For example when a UGA boundary is drawn and densities are assigned, those densities should not be undermined during project review. However, those who express concern about this approach believe that the tradeoffs frequently are not analyzed during planning. They believe that some environmental review will be needed on almost every project to be certain that its impacts have in fact been analyzed and addressed. | |
To make this approach work, funding will be necessary to allow local governments to conduct the required review. |
3. Permit Coordination and Consolidation
a. Reauthorize the Environmental Permit Assistance Act Chapter 90.60 RCW.
The Permit Assistance Center and its powers and duties, including the Coordinated Permit Process, will be terminated June 30, 1999, as provided in RCW 43.131.388. The Permit Assistance Center and the Coordinated Permit Process should be extended and expanded to encourage local agency participation. In addition there should be specific, ongoing evaluation of whether to create a mandatory coordinated process for classes of high impact projects. This ongoing evaluation would determine an impact threshold for mandatory inclusion in the process, as well as appropriate exemptions.
Pros:
Although the coordinated permit process has not had extensive use, the Permit Assistance Center has been an important resource of information and has received positive ratings from nearly all who have used its services. | |
One of the difficulties in using the coordinated process is that it only applies to state permits. To make it more useful, including local permits in the process is necessary. | |
There may be projects whose impacts are so significant, and that present significant coordination issues, that it makes sense to require that they use the coordinated permit process. This question deserves further study. |
Cons:
The Permit Assistance Center is currently being reviewed by the legislature under the sunset review process. In addition, the Joint Legislative Task Force on Rural Economic Development is also looking at the Permit Assistance Center. These processes should be allowed to run their course without Commission interference. |
b. Additional Changes for Consideration
A number of additional improvements can be made to the permit assistance center and the coordinated permit process. These include:
Expand the cost recovery section. The cost recovery section in the Environmental Permit Assistance Act (RCW 90.60.100) should be expanded to allow, by mutual agreement of the parties, agencies in addition to the Coordinating Permit Agency to recover or accept cost-reimbursement. (The statute currently allows only the Coordinating Agency to recover costs, and only the costs of performing coordinated permit services. ) | |
Develop a unified appeals process. There might be value in encouraging combined appeals and hearings process for appeals of permits within the Coordinated Permit Process. Hearings can now be combined for those permits which are under the appellate jurisdiction of boards within the Environmental Hearings Office, but legislative direction to further encourage consolidation might be considered. | |
The Permit Assistance Center should continue to reexamine and improve the mechanics of the Coordinated Permit Process scheduling agreement and move towards developing consolidated permit processes. | |
The Permit Assistance Center should continue to utilize multi-agency permit coordination teams to help streamline the permitting process for projects that do not need the formality of the Coordinated Permit Process. It should also work with entities such as ports, economic development councils, and similar organizations to make its services know. | |
Consider the establishment of regional permit assistance centers to provide more locally based services. | |
Consider the use of a pilot project that would test a consolidated permit process on specific projects and would involve local governments and state agencies. As a starting point, two projects, one West and one East of the Cascades, could be identified. Funding for the pilot might be necessary. | |
Explore further methods of obtaining federal, tribal and local consistency and/or participation in the Coordinated permit process. Where necessary and appropriate, ensure that sufficient funding is provided to enable jurisdictions to pay for or recover the costs of permit coordination and consolidation. |
Pros:
The current scope of responsibility for the permit assistance center is extremely limited. These options suggest some ways to consider further extending the use of the permit assistance center as well as ways to go beyond just permit coordination, but permit consolidation and integration. |
Cons:
There is not enough detail on which to gauge whether these options make sense. They need to more review and consideration first. |
(1) Environmental Review.
(a) Provide guidance and standards for the environmental review of comprehensive plans and development regulations to ensure that cumulative impacts of plan decisions and subsequent implementation are analyzed and addressed.
(b) Continue to examine whether additional changes should be considered to the environmental review process to ensure that decisions made as part of the adoption of a comprehensive plan and development regulations, that have been subject to environmental review, are not subject to duplicative review during the project review.
(2) Local Project Review. Establish optional minimum standards for local government administrative hearings in order to make the local government process more thorough and consistent. This is seen as a necessary prerequisite to allow further consideration of having shoreline permit appeals to be heard on the record rather than de novo.
(3) Coordinated State Permit Process.
(a) Eliminate sunset provisions from the permit assistance center.
(b) Consider a pilot project for the integration of state permit requirements into a single permit, such as consolidating Joint Aquatic Resource Permit Application (JARPA) permits into a single permit. The idea of a consolidated state and local permit should also be considered through an appropriate pilot program.
(4) Funding. Develop a consolidated code approach that provides sufficient funding to perform adequate environmental review at the planning stage, in order to reduce duplicative environmental review at the project review stage.
(5) SEPA. Further consideration should be given to resolving the key issues that divide stakeholders over the future of SEPA. Some of the divisions are as follows:
The environmental community and the Commissions tribal representative cite SEPA as a cornerstone of environmental protection in our state. At a time when salmon recovery is on the top of the state agenda, they argue that now is not the time to weaken environmental protection. They cite to cases where GMA plans had little or no environmental review, thus requiring such information at the project stage to adequately analyze the environmental impacts of projects. They also point out that cumulative impacts of development are not handled well under the current system, but that project review is the place where it is most likely to occur. They also note that SEPA applies to more than project development and GMA planning, because it applies to all government "action".
The business community believes regulatory reform and GMA promised more certainty in the permit process, but in reality that predictability has not occurred. In their view, SEPA and the duplicative layers of process are still used as a tool to slow down projects, which adds to the problem of affordable housing in our region.
Local governments cite the lack of available funds to do an adequate job of environmental review at the planning stage. They also indicate that many times property owners are either unsure of development plans or are unwilling to share such plans at the planning stage; thus, environmental review cannot always predict accurately what will actually be built.
A resolution of these issues will need further careful deliberation and consensus building. The dialogue should continue. After the salmon recovery plan is in place, and further GMA plans are in place, it is possible the context will be different. Adequate funding of environmental review will be necessary at the plan stage to implement any reforms.
X. Essential Public Facility Siting
Essential public facility siting in Washington involves a complex array of interests and social policy. The GMA, which directs cities and counties to establish a process for siting essential public facilities, also prohibits them from prohibiting the siting of those facilities. The definition of essential public facilities is broad and ambiguous and includes facilities owned and operated by governmental agencies as well as facilities owned and operated by private entities. The current procedures also do not provide guidance for addressing the impacts of essential public facilities on the host communities.
B. Background
1. Pre-GMA
The traditional power of local government to control land uses within their jurisdiction is in the Washington Constitution, Article XI, Section 11. A county, city, town, or township may "make and enforce within its limits all such local police, sanitary and other regulations as are not in conflict with general laws." Under pre-GMA zoning laws, little specific legislative guidance was given regarding the siting of most essential public facilities. Disputes were decided on a case by case basis.
2. Energy Facility Site Evaluation Council
State law does provide for the siting of certain types of large facilities. The Energy Facilities Siting Evaluation Council (EFSEC), originally established in 1970, has authority to site large energy facilities, such as nuclear power plants, oil pipelines, and some electrical transmission facilities11. EFSEC preempts all state and local permit processes for those facilities over which it has authority. The siting of hazardous waste management facilities is also regulated by state law.12 The state has preempted the field for siting some types of hazardous waste management facilities, but does provide a mechanism for a community and a facility proponent to reach an agreement that becomes a part of the states regulations.
3. GMA
The GMA attempted to address essential public facilities siting issues. It defines essential public facilities to include
those facilities that are typically difficult to site, such as airports, state education facilities, and state or regional transportation facilities, state and local correctional facilities, solid waste handling facilities, and inpatient facilities including substance abuse facilities, mental health facilities, and group homes.
RCW 36.70A.020.
These facilities, while needed by society, often have real or perceived negative impacts on surrounding communities that may make them undesirable neighbors, and increase the complexity and difficulty of siting new facilities, or expanding existing facilities. The GMA requires all local comprehensive plans to include a process for identifying and siting essential public facilities, and prohibits local comprehensive plans or development regulations from precluding the siting of essential public facilities. It requires the state Office of Financial Management to maintain a list of essential state public facilities. State agencies must comply with local comprehensive plans and development regulations (RCW 36.70A.103).
In addition to these siting provisions, the GMA requires county-wide planning policies to include policies for siting public capital facilities of a county-wide or state-wide nature. RCW 36.70A.210.
The Department of Community, Trade and Economic Development (DCTED) adopted procedural criteria to guide local governments in the implementation of GMA, including the siting of essential public facilities, but these procedural criteria are not mandatory nor do they address all of the issues.
C. Discussion
While the Growth Management Act has established a process for the siting of essential public facilities under the local comprehensive planning process, this bottom-up process does not always work for statewide or regional facilities, especially those sited by state agencies. Specific issues include:
The process of identifying and siting these facilities is defined as a local responsibility under the Growth Management Act, while these facilities are often owned and provided by state or regional agencies or private companies. The role of these facility owners in identifying needs and in siting is unclear. | |
The definitions of essential public facilities provided by the legislation are vague. For example, "state and regional transportation facilities" are listed. Does this include all state-owned transportation facilities? What is a regional transportation facility? Does this include facilities not owned by the state, but which are of state-wide significance? | |
The status of the OFM list of essential state public facilities is not clear. The legislation indicates that this is a short-term list. In practice, OFM has used the 10 year capital budget as the list. A longer term list seems to be needed to better integrate into local land use plans, but state agencies vary in their authority to develop long term plans. Is the list meant to be generic types of facilities (i.e. interstate highways, branch campuses, etc...) or only specific improvement needs (i.e. widening I-405 from a to b, a UW building expansion, etc...). What process justifies the need for a facility on the list? Should all state capital projects be classified as essential? | |
The legislation is silent on any details of the siting process. Should mitigation be part of the siting process for essential public facilities? Should mitigation be a totally local decision? | |
At what point do local government siting requirements effectively preclude development or expansion of essential public facilities. Does "siting" include just new facilities, or does it include expansion of existing facilities as well? | |
What does the legislation imply for the use of state property? Can local governments make the decision to change the use of state lands? |
D. Options
A specialized process for siting essential pubic facilities should be considered. There are many options that could be considered. The one given the most attention by the Commissions advisory committee is described below.
The process would provide for different processes depending on whether it is a state-wide essential public facility or a local or regional essential public facility. A state-wide facility might include a state owned and operated prison or detention facility, a new college or university, or hospital. Other unique types of facilities, such as energy facilities currently sited through EFSEC and hazardous waste disposal facilities, might also be considered state-wide facilities. All other essential public facilities would be considered as local or regional facilities. The state-wide process would be managed by a board or council comprised of representatives from state agencies and local governments. The board could either be specifically established to address essential public facilities or could be an adjunct to another body.
Local or regional facilities would initially be addressed at the local government level as provided currently under the GMA. DCTED would be given authority to adopt minimum standards for the process, including timeframes for making a decision and procedures to coordinate with adjoining local governments and state agencies. If the local government process does not reach a decision within the timeframes established or if the applicant or other participants in the process believe that conditions imposed on the proposal are intended to preclude siting rather than address legitimate project impacts, a negotiated siting process may be requested.
The negotiation process would include representatives from each local government in which facility is located or which would be directly impacted by operation of the facility, the applicant, and other parties whose participation is necessary to resolve the issues involved with the proposal. The facility siting committee would negotiate a resolution of issues with assistance from office of dispute resolution.
If an agreement is reached, each local legislative body represented on the committee would have to ratify the agreement. The local legislative body may only accept or reject the agreement. It may not modify the agreement. If approved, the agreement is binding on all parties.
If an agreement cannot be reached, the state oversight body would be presented with the proposals from each party. The oversight body would select the proposal it determines is most consistent with state policy
An essential component of a new process should be timelines to limit permit delays.
As a part of the essential public facility siting process, whether of a state-wide or local or regional facility, issues of impact compensation could be included in the negotiation process. Impact compensation could include:
For state facilities, the allocation of discretionary federal funds to the impacted community or of an existing revenue source to the impacted community for a specified period of time, e.g. state share of sales tax on construction on the project to the impacted community | |
A compensation budget included as part of the project to cover impacts in addition to direct impacts covered by SEPA mitigation and impact fees. Parallel to 1% for the arts. |
Pros:
The process for siting facilities would have a timeline, resulting in more expedited decisions. | |
Funds saved from permit delays could be used to benefit communities through impact compensation and mitigation. | |
Thorny issues of siting essential public facilities may be reduced in Washington. |
Cons:
Although there may be problems with siting in some instances, a number of jurisdictions have successfully sited facilities. Local control advocates do not believe there is a problem that needs this type of state-wide solution. | |
The process contemplated will essentially force all siting decisions into negotiation and beyond, because opponents of projects will take advantage of every opportunity for delay they can find. | |
The process provides no mechanism for determining whether a project is needed. This is one of the major failings of EFSEC. | |
The proposal does not address one of the fact that GMA has an over-broad definition of essential public facilities. |
Improved procedures for siting essential public facilities should be established. In particular, the new procedures should address the definition of essential public facilities and methods to provide impact compensation and mitigation to communities impacted by the facilities.
XI. Appeals and Judicial Review
The purposes served by allowing an appeal of a local land use or environmental decision are viewed differently by different interests. This has led to different views of the appropriate procedure and the standards that should apply to the review. The basic issue in an appeal is whether the decision maker has followed the law. For some, this is largely a procedural question that does not involve an examination of the substance of the decision. For others, the question of whether the law was followed also requires an examination of whether the decision is consistent with state policy, as established by the Legislature and agency rules.
Washingtons land use and environmental system provides a variety of appeal procedures and review bodies. The procedure that applies to the appeal of land use and environmental decisions depends on the subject matter of the decision as well as the decision maker. In some instances, a decision can result in parallel appeals being heard by two different appellate bodies.
B. Background
Decisions implementing state land use and environmental laws are subject to a variety of review mechanisms. Local government and state agency land use and environmental decisions are subject to judicial review. Local government land use decisions are appealable under the Land Use Petition Act. This legislation was adopted in 1995 and combined the different appeal procedures applicable to permits into a single statute and eliminated common law procedures as the chief review mechanism.13 State agency actions are generally subject to judicial review under the Administrative Procedures Act, RCW Chapter 34.05.
Under some circumstances, prior to judicial review, a quasi-judicial state board may have review authority over the actions of a state agency or a local government. There are five separate quasi-judicial boards with authority to review land use and environmental statutes.14 Decisions of the quasi-judicial appeals boards may be appealed to superior court, or in some cases, directly to the Court of Appeals.
Particularly with respect to the appeal of a local government decision on a project permit application, there is the potential that two different appeal bodies will have jurisdiction over different aspects of the project. The appeal of a project constructed within the shorelines that requires a shoreline substantial development could potentially be handled both by the Shoreline Hearings Board and by the Superior Court. A SHB decision may be appealed to superior court. A project in the area covered by the SMA also may require other non-shoreline permits that are appealed to court. Depending on scheduling, the parties may be required to present similar testimony and evidence in both forums.
There are also differences in the appeal procedures depending on the forum. Superior court review is usually based on the record created by the local government or state agency. The superior court does not generally engage in fact-finding or conduct evidentiary hearings. Under the SMA, the appeal of a shoreline substantial permit is heard de novo by the SHB. This means the SHB conducts fact-finding hearings and bases its decision on the record it creates rather than the record before the local government.
The standard of review applied by the reviewing body also varies depending on the nature of the issue. The APA provides that a state agency decision will be upheld unless the agency acted in an arbitrary or capricious manner. Most local government land use decisions are appealed pursuant to the Land Use Petition Act (LUPA) which provides for a substantial evidence standard. Under the GMA, a local governments decisions relating to its comprehensive plan and development regulations is presumed valid upon adoption and must be upheld unless the GMHB determines the local government decision was clearly erroneous.
Another difference among the different boards is the types of actions they have jurisdiction over. The Growth Management Hearings Boards have jurisdiction exclusively over legislative decisions of local governments and state agencies. They do not have jurisdiction over individual project permit decisions. The Shoreline Hearings Board has authority over both legislative and permit decisions, since in addition to shoreline permits, it hears appeals of shoreline master programs for non-GMA jurisdictions and of Ecologys rules implementing the SMA.
The Pollution Control Hearings Boards jurisdiction is largely limited to review of Ecology actions, although it also has authority to hear appeals of penalties imposed by the regional air pollution control authorities.
Each of the boards is required to have members that are representative of the different political parties and have expertise in the subject matter. Board members are not required to be attorneys, although each board is required to have at least one attorney member.
The boards generally do not have authority to review constitutional issues.
In 1997, the Legislature changed some of the procedural standards that apply to Growth Management Hearing Board review of city and county GMA decisions. The changes were intended in part to give local government decisions greater weight on an appeal before the boards.
C. Discussion
The role of quasi-judicial boards in Washingtons land use and environmental system has received considerable attention in the last few years. There are a variety of reasons for providing for a quasi-judicial board. To some degree, their proceedings can be less formal and easier to participate in by those not represented by attorneys. The Boards also allow for a level of environmental expertise to develop that some believe is not as likely in the judicial system. A quasi-judicial system also can provide some degree of consistency of decisions state-wide, since there will usually be a single board, or perhaps one two or three. The judicial system cannot provide this consistency until the appellate courts. An another advantage that proponents of quasi-judicial review see is that it brings the perspective of people who are not lawyers into the review process. The judicial system does not provide this opportunity.
A common objection to the quasi-judicial boards is that they place appointed state officials in the position of reviewing, and in some cases overturning, decisions of locally elected officials. Under the GMA process, this is thought to undermine one of the principle elements of the GMA, which is the "local control" it gives to counties and cities. There are also objections raised that the quasi-judicial boards, rather than limiting their review to legal issues, substitute their judgement of what the decision should have been for the judgement of the local legislative body. An appeal to court is felt to be preferable because the judges are directly accountable to the public through the election process. Courts are more experienced in applying the law and are familiar with separation of powers issues. There is also a concern that the quasi-judicial process is nothing more than an extra step in the review process that just adds time and cost to the review.
In the review of shoreline substantial development permits issued under the SMA, there is an additional issue. Shoreline permits are heard de novo by the SHB. Local governments and developers frequently believe that this procedure causes unnecessary delay and allows opponents to withhold information and objections until the SHB hearing, rather than presenting all of the information at the local government hearing. They also point out that the process can result in two different review proceedings on the same project, one before the SHB and the other in superior court, with many of the same issues and evidence before both bodies. The SHB decision is then also appealable to superior court. Reform advocates also questioned the SHBs cost effectiveness given the small number of permit decisions overturned by the board.
Proponents of the current SHB process believe that the shorelines are a fragile and unique resource that require special attention and protection. They point out that many local governments have hearing procedures that do not meet the test of basic due process and fairness. The de novo review is seen as a means to assure that decisions affecting the shorelines are made based on scientific evidence and that the state-wide interest is not dismissed in favor of the more limited local interest. State agencies and the tribes also note that they have limited resources that make it difficult to keep abreast of and participate in every local permit process involving the shorelines. The tribes also note that with limited resources, they need to present their case in a forum where they are more likely to receive a favorable procedural process. The de novo review procedure provides a mechanism to assure that in those cases where it is necessary, additional evidence can be provided. The supporters of the current process argue that there is no evidence of any significant problems with the current appeal procedures. They point to the low percentage of appeals of shoreline permits and to the fact that the vast majority of local government GMA decisions have either not been appealed or have been upheld on appeal.
D. Options
1. Status Quo
Retain the current process with appeals going to one of the existing hearings boards or superior court, depending on the nature of the issue.
Pros:
The large majority of local land use decisions do not result in any appeals. To the extent that there are legitimate concerns about duplicate processes, there are alternatives that could be explored other than changing the underlying structure of the boards. | |
Each of the existing hearings boards has expertise in its subject matter. Eliminating or combining the boards will result in a loss of both historical perspective as well as consistency of application. | |
The boards are important in assuring that in matters that the Legislature has determined are of importance statewide, local concerns and desires do not override that statewide interest. |
Cons:
Although the actual number of cases that are appealed may be small, the threat of becoming mired in the appeals process may cause a project applicant to accept conditions that could not be required. | |
The current process can be easily abused by a party to either prolong a final decision as a way to try to kill a project or to wear out an opponent. | |
The current process involves state boards in reviewing decisions that should be left to local discretion. It is an inappropriate intrusion of the state into local processes. |
2. Eliminate SHB de novo Review For Some Decisions
Establish minimum standards for the conduct of local government hearings on project permits. The procedures would need to include provisions for notice to the public and state agencies and tribes with an interest in the subject matter of the permit. Procedures governing the conduct of the proceedings, including rules of evidence, preparation of the record would be established, and use of and experience of hearing examiners. If a local government has adopted these procedures, local government shoreline decisions made pursuant to those procedures would be heard by the SHB on the record made by the local government. The SHB could take additional evidence upon a showing that the evidence was unavailable or other reasons supporting opening of the record.
Pros:
This will provide a means to assure that local governments are presented with all of the evidence so they can make an informed decision. | |
This will discourage parties from "hiding in the weeds" and waiting until the appeal to present their best evidence. | |
This process will assure that the state interest is protected while allowing for some streamlining of the appeal process. |
Cons:
3. Unified Hearings Board
Combine the existing hearings boards into a single hearings board. An appeal of the hearings board decision would be filed in the Court of Appeals, bypassing the superior court. One variation would provide for regional hearings boards, similar to the three Growth Management Hearings Boards. Another variation would be to have one board, but with members appointed from around the state and sitting as regional panels.
Pros:
The GMHBs will probably see a declining caseload in the next few years, calling into question the need for three full time boards. | |
To the extent the board has jurisdiction over a variety of related land use issues, it would allow for resolution of those issues in a single proceeding. This would also increase the likelihood that any inconsistencies in application of different statutes are resolved. | |
If the board had regional panels, it could increase the ability to provide for regional flexibility in the implementation of the different environmental statutes. | |
For those issues that are of greater than local concern, the board would provide a way to assure that interests of other jurisdictions, or the public as a whole, are taken into consideration. |
Cons:
If the jurisdiction of the board is expanded to include additional issues, the result will be to give the state board authority to decide issues that are more appropriately resolved at the local level. | |
The proposal does not eliminate any steps in the review process. It only substitutes the hearings board for superior court. |
Appeals of land use decisions would be filed with a new state land use court. There are three ways in which the court could be established. The first option would be to establish the land use court as an "inferior court", analogous to a district court. This could be done by statute. There would be some issues concerning the relationship of the court to the superior courts and how appeals would be handled.
A second option would be to create a special division of the superior court, called the land use court. If this were done on a county by county basis, no constitutional change would be required. For example, the juvenile courts are established by statute. However this would not provide for any state-wide consistency. If the land use court were to operate statewide at the superior court level, a constitutional amendment would probably be necessary.
A third option, would be to either create a new division of the court of appeals or have the court of appeals establish a special panel to hear land use cases. The first alternative could be accomplished by statute, since the constitution gives the Legislature considerable flexibility in establishing the jurisdiction and structure of the Court of Appeals. The second alternative could be accomplished by statute, or could also be done by the Court of Appeals by rule.
Pros:
A land use court would have the authority to decide all issues, including constitutional questions. | |
The members of the court would develop expertise in the area of law. | |
If the court were established either on a regional or statewide level, there would be an increased likelihood that matters of statewide concern would receive appropriate consideration and that there would be greater consistency of application between local governments. | |
A court established as a division of the Court of Appeals would eliminate one step in the appeal process. |
Cons:
5. Superior Court
Eliminate the hearings boards and provide that all appeals are filed with the superior court. The authority of the superior court to appoint special masters could be expanded to address the need of some courts to obtain the expertise necessary to resolve technical issues that may arise.
Pros:
Provides a forum where all questions, including constitutional issues, can be resolved in a single proceeding. | |
Relies on elected judicial officers to review the decisions of other elected officials. | |
Allows decisions to be made locally, at less cost to the parties. | |
Relies on an established process, with rules and procedures that are well understood. |
Cons:
Unless a single superior court is used, the proposal requires knowledge of land use and environmental laws that few superior court judges have. Access to special masters may help, but this does not remove the underlying problem of a lack of expertise on the part of the judge. | |
To the extent that local superior courts reflect the interests of the local community, issues that present questions of the larger statewide interest may not be given appropriate consideration. In some cases, the control over the courts budget by the local legislative body may present some concerns. | |
As compared to a quasi-judicial process that may allow for more informality in its proceedings, judicial proceedings require legal representation. This adds to the cost and can exclude some from being able to have a forum for presenting legitimate grievances against governmental action. | |
Superior court judges do not often have access to resources to assist them in dealing with complex legal and factual issues. |
Provide for appeals of land use decisions to be filed directly with the Court of Appeals.
Pros:
Relies on existing judicial mechanisms. The only added cost might be the need for additional judges. However, this might be offset by a reduction in caseloads before the superior courts and the existing hearings boards. | |
Court of Appeals judges have access to law clerks and other resources helpful in reviewing an analyzing cases. |
Cons:
An appeal before the Court of Appeals can take from one year to 18 months, including time for briefings, oral argument, and the written decision. Most superior courts and hearings boards can issue decisions in a more timely manner. | |
Many land use decisions, particularly those involving projects, may require fact-finding. This is not something the Courts of Appeal are organized to easily handle. |
7. Sunset Growth Management Hearings Boards
Eliminate GMHB jurisdiction to hear appeals of amendments to comprehensive plans or development regulations. Appeals of amendments would be heard by superior court. The boards would have jurisdiction over adoption of a new comprehensive plan or development regulations and over pending cases. In 2000, the three boards would be consolidated into a single six-person board, which would function in two, three-member panels. In 2002, the number of members would be reduced to three. In 2004, the board would sunset and all future appeals of plans and development regulations would be heard by superior court.
Pros:
The majority of local government actions during the first round of planning under the GMA is nearing completion. | |
The number of appeals that will be handled by the boards will decline in the near future. | |
Issues before the boards will tend to be more site specific types of issues and involve fewer broad public policy issues. |
Cons:
There will continue to be important public policy issues involving the implementation of growth management that the expertise provided by the boards will be an important tool for resolving. | |
Board case loads may not decline as the need to address ESA and other environmental and growth management issues gain heightened public awareness. | |
Much of the controversy over the GMHBs has been due to ambiguity and uncertainty over the implementation of the GMA, not due to any inherent problems with the boards or the quasi-judicial review process. |
Although nearly all parties agree that the current system for review of land use and environmental decisions is not perfect, there is no consensus to support any major changes to the land use and environmental appeals process at this time.
Although there is speculation that GMA appeals will diminish over time, the Growth Management Hearings Boards currently have an adequate work load. The Commissions recommendation is to maintain the status quo for the time being, while giving further study to the alternatives and the issues that divide the constituents who care deeply about this issue.
Some of the divisions between the parties that need to be resolved include:
The environmental community, neighborhood groups, and tribes believe that the existing layers of appeals serve as an added element of environmental protection. They argue that the current appeal system works well and that there is not evidence showing any significant problems. They point out that many of the environmental statutes address matters that are of state-wide concern and that the appeal process needs to assure that those state-wide interests are protected. At a time when salmon recovery is a concern, they advocate that this is not the time to tinker with the Shoreline Hearings Board. They also cite to the expertise of the Shoreline Board and the Growth Management Hearings Boards in environmental and land use matters. They also prefer administrative boards because such forums are more accessible to non-lawyers. Also, they view administrative boards as more independent of local elected officials than Superior Court.
The business community cites to duplicative and inconsistent appeals statutes that can result in one project being appealed to different forums. They cite to the cost of de novo review, where local government proceedings on shoreline permits become meaningless if appealed to the Shoreline Board. They express concern with the Growth Management Hearings Board substituting its judgment for that of local elected officials and believe that local Superior Courts have more experience in respecting the separation of powers.
Local governments express frustration with the shoreline permitting process where new information and evidence may be produced at the de novo hearing, without giving local elected officials the right to review the new evidence. They would prefer an option that would provide for a hearing on the local government record if the local government conducts the hearing consistent with minimal standards for the conduct of administrative hearings. Local government also referred to the "stove-piping" of issues that can occur under the current system, where shoreline and upland impacts are reviewed in two different systems, when GMA was directed at an integrated approach. Some local governments also expressed frustration with having an appointed board overturning the decision of local elected officials.
State agencies had differing views. DOT spoke in favor of the status quo. Ecology and DNR agreed that in the perfect world, they would be able to present their concerns to local officials first. The current shoreline permit system allows state agencies to wait and raise their concerns for the first time in an appeal to the Shorelines Hearings Board. Although they recognize the potential for unfairness and inefficiency in such a system, it is a personnel resource issue. At present, they do not have the staff or other resources to stay informed and participate in all local projects. Even if the agency is notified of a project, it is not always adequately funded to participate in the local permit review process. The tribes have similar personnel resource issues.
The Commissions agricultural representative from Eastern Washington noted the importance of geographic diversity of the decision makers participating in the appeals process. He felt it was important to maintain that diversity in any appeal process.
XII. Enforcement
Effective enforcement of local and state land use and environmental regulations and of permit conditions is critical to maintaining the states quality of life. Most local governments and state agencies admit to having inadequate resources for enforcement. This can lead to inconsistent application of the law and to frustration by members of both the public and the business community.
B. Background
State statutes and local ordinances provide a wide range of penalties for enforcement of environmental and land use laws.
There are two basic means that are generally used to impose a fine or penalty: by the violation; and per day of violation. Many penalty statutes may also include provisions for orders to correct damages. Criminal penalties and seizure and forfeiture of personal property may also be available under some circumstances. Penalties are generally assessed in writing. Fines must be paid within a specified period and are appealable.
The Shoreline Management Act provides for criminal penalties15, recovery of damages to the environment,16 and civil penalties.17 The Department of Fish and Wildlife has authority to assess civil penalties for violation of the hydraulics code.18 Washingtons Oil Spill Legislation imposes significant civil and criminal penalties for violations.19
Enforcement of land use laws generally is the responsibility of local government. As with state laws, local governments also have a variety of penalty provisions. Jefferson County imposes civil penalties of up to $1,000 per day per violation of its floodplain management statutes. Yakima county provides a civil penalty of up to $50 per day of violation of its land use code20 and also provides for criminal penalties.21
The Tulalip Environmental Infractions code assesses a range of fines depending on the classification of the infraction from $500 to $5,000, and assesses these fines each day of a continuing violation. There is also a seizure & forfeiture of personal property provision that is applied primarily with respect to cultural resources violations or unauthorized hunting & unauthorized removal/destruction of tribal resources.22
Criminal penalties are more difficult to enforce, in part because the process for imposing them is more complicated. In the 1970s, King County made significant changes to its penalty provisions, replacing many criminal penalties with civil penalties. At least part of the reason for the change resulted from the reluctance of prosecutors to use the criminal sanctions.
Enforcement of state environmental laws is a shared responsibility of state and local government.
Although not common, some federal, state, and local laws do allow for third party enforcement, or citizen suits.
The Federal Solid Waste Disposal Act, for example, allows any person to bring an action against a person, including a governmental entity, who is alleged to be in violation of a permit, condition, standard, rule, or order implementing the solid waste disposal act. 42 U.S.C. 6972. Prior to commencing the action, the plaintiff must give 60 days notice to the federal government, the state, and the alleged violator. The federal district court may award costs, including reasonable attorneys fees, to the prevailing party. The Federal Clean Water Act has a similar provision. 33 U.S.C. 1365. Since the Federal Clean Water act imposes strict liability for water pollution, the cost provision is viewed by the environmental community as essentially benefiting plaintiffs.
Washington law also has provisions allowing private citizen suits. Under the Shoreline Management Act, a person may bring an action for damages on his or her behalf alleging a violation of the SMA or of a permit issued pursuant to the SMA. RCW 90.58.230. Damages can include the cost restoring the area affected by the violation. Money damages, attorneys fees, and costs of the litigation may be awarded to the prevailing party, which can be either the plaintiff or defendant.23
Since the 1980s, Island Countys Zoning Code has permitted citizens to bring an enforcement action before the Countys Hearing Examiner.24 Any aggrieved person may file a written complaint with the planning director alleging a violation of the Island County Building Code. A complaint may not be filed for an action for which an administrative or judicial appeal is available. The planning director is required to schedule a public hearing before the hearing examiner to take place within 60 days after the complaint is filed. The examiner must make a decision within ten days. The examiner may award costs to the prevailing party.
State law includes provisions intended to limit the potential for frivolous legal filings. The court may award reasonable costs if it determines that a legal filing was frivolous and advanced without reasonable cause. RCW 4.84.185.
Washingtons oil spill prevention legislation provides a means for assessing the damage to the environment caused by an oil spill. A person who spills oil into Washington waters is strictly liable for the damages caused. Damages are in addition to any penalty or fine imposed. The damages can be imposed either pursuant to a compensation schedule adopted by Ecology rule or through a damage assessment process. Damages are based on the harm caused to the states natural resources.25 Any damages recovered are placed in the coastal protection fund for use of restoring natural resources.26
4. Dedicated Accounts
Generally, any fines, penalties, or assessments arising out of a violation of a state or local law will be deposited in the general fund of the enforcing authority.27 However, there are state programs that provide for depositing fines, penalties, and assessments into a fund dedicated to a specific purpose related to the regulated activity. Under the Washingtons Water Pollution Control Act, fines, penalties, damages recovered for violations of the act are deposited in the Coastal Protection Fund to be used to restore the states natural resources.28
Water well construction is regulated by Ecology and requires a licensed well driller.29 Fees and penalties collected under the regulatory program are paid into the state reclamation account.30 The account is used to support the well drilling construction program as well as for the "reclamation and development of such lands in the state of Washington as shall be determined to be suitable and economically available for reclamation and development as agricultural lands ."31
The enforcement of permit conditions is an important component of the land use and environmental system. Fair and consistent enforcement provides at least two benefits. First, enforcement can ensure that permit conditions designed to protect the environment or protect the public health or safety are followed. Second, effective enforcement ensures that all permit holders are subject to the same rules and costs and that there is no competitive advantage to failure to comply. There should not be a disincentive for doing what is required.
A recent study conducted by King County of wetland and stream mitigation evaluated the success of mitigation imposed through project permits.32 The study examined forty mitigation sites in King County both in terms of compliance with performance standards and with success at replacing wetland functions. Six sites (21%) met the performance standards. Only one site (3%) was successful in its objective of replacing wetland functions. The report identifies design flaws, installation problems, and maintenance as the prime causes for failure. The report recommends changes to King Countys guidelines for mitigation plans and inspection procedures.
Although it was not presented with studies supporting these claims, the Commission heard from a number of different sources that enforcement is not a priority for funding by either state or local governments and that state and local enforcement agencies have limited resources available for enforcement.
In public comment on the Commissions draft report, the need for enhanced enforcement received considerable support from both the environmental community and state agencies. The business community believes that before any additional enforcement mechanisms are created, existing laws should be enforced. It also suggested that a study examining the enforcement issue should be conducted before the Commission proceeded to making any recommendations.
D. Options
A standardized set of civil penalties should be considered, and in particular should supplement criminal penalties where they are the only option for enforcement.
Pros:
Criminal penalties are difficult to impose. Unless a violation is particularly egregious, they do not receive priority from prosecutors. | |
Standardized penalties would provide some consistency across the state that violations of land use laws are dealt with appropriate sanctions. |
Cons:
Most, if not all, local governments already provide for penalties for land use code violations. This is a matter that should be left up to local discretion. |
2. Natural Resource Damage Assessment
An assessment for the damage a violation causes the environment should be provided.
Pros:
This mechanism will help to ensure that not only is the unlawful conduct punished, but that the harm it causes is rectified. Sometimes what might be a minor violation of a statute can cause significant environmental harm. |
Cons:
Local governments can already adopt this approach if they wish. This is a matter that should be left to local discretion. |
3. Place Penalties and Assessments in a Dedicated Fund
Require local governments and state agencies to place fines, penalties, and assessments from violations of land use and environmental statutes into a dedicated account used to fund natural resource restoration and to support the enforcement programs.
Pros:
Penalties are often placed in the general fund and do not support the enforcement action or result in environmental benefits. | |
Establishing a dedicated fund that can fund some enforcement actions and environmental restoration can be an effective tool to address problems caused by those violations. Parties may also be more willing to pay penalties if they know the money will be used to address the environmental impacts rather than support general governmental purposes. |
Cons:
This is an avenue already available to local governments and the state. Local governments should be allowed discretion on how to spend their revenues, including money raised through fines and penalties. |
Citizen suits could be authorized. Notice to the governmental entity responsible for enforcing the law, rule, or permit at issue would be required before an action could be filed. Issues that will need to be addressed include: what types of actions are subject to the citizen suit provisions; whether a decision by the governmental entity not to take action precludes the filing of the citizen suit; what remedies are available; and whether attorneys fees may be awarded and to whom.
Pros:
This allows the private sector to perform a governmental function at potentially no cost to the government. | |
With so little funding available for enforcement, citizen suits provides a way to privatize enforcement. | |
A number of state and federal statutes already include citizen suit provisions. Although there may be some problems, the benefits justify the risks. |
Cons:
Citizen suits present significant potential for project delay and potential harassment. During the construction period, projects are particularly vulnerable to losing financing if lawsuits are brought. | |
Compliance, not enforcement, should be the goal. More study is needed to identify why mitigation fails. For example, is may be the design standards that are flawed, not the actions of the project owner. | |
Local governments will likely be joined as parties and will potentially be subject to damages. |
Enforcement is an issue that must be addressed by a consolidated code. There are many options that merit further consideration, as outlined in the body of this report. There was nearly unanimous support for a fair system of enforcing permit conditions; however, there was not consensus on the best way to achieve that enforcement. Some of the views are as follows:
Local governments cite a lack of funding for permit enforcement. Smaller jurisdictions often have only one inspector to cover a very large area. Some local governments have innovative enforcement ordinances, such as Island County where third party enforcement is allowed. Local governments make it clear that unfunded mandates would not be welcome.
The environmental community, neighborhood groups, and the Commissions tribal representative cite cases where permit conditions are not implemented or monitored, leading to environmental harm. They believe more enforcement options, and perhaps mandates, are needed. They advocate for the right to act as private attorneys general, and the right to recoup attorney fees for the prevailing plaintiff ( a prevailing defendant would not get fees.)
The business community states that enforcement needs more study, and should be based on facts, not anecdotal evidence. They note that many of the ideas presented in the discussion of the issue can already be implemented and that legislation is not necessary. They fear increased litigation costs and permit fees to cover enforcement costs. Small builders cite permit fees as one problem standing in the way of affordable housing. The business community opposes private attorney general suits. They also believe that a system under which only plaintiffs get fees is unfair and will lead to increased litigation and frivolous suits. They also note that if private attorney general suits are authorized, they should apply only to post construction issues. Otherwise, project opponents can stop projects during construction when financing is vulnerable.
State agencies state that the objective is compliance, not enforcement, and suggest greater focus on the use of existing enforcement tools. An analysis of where the problems occur may lead to better environmental protection. For example, King County performed a study on wetland mitigation. Problems occurred at all stages, including design, construction, and enforcement.
XIII. Funding
The problems faced by local governments in financing planning, permitting, enforcement, and construction have been long understood. The GMA has placed additional issues to bear on the financing issue through its impacts on incorporation, annexation, and appropriate development outside of urban growth areas. Infrastructure to address the impacts of growth is necessary in order to fulfill the objectives of the GMA and other land use and environmental laws.
B. Background
Financing of local government needs has been a perennial problem in Washington.33 Local governments use the funds to provide for basic governmental services as well as to pay for infrastructure and other community capital needs.
Local governments have a variety of revenue sources to fund their services, including sales and property taxes, business and occupation taxes, permit fees, user fees, service charges, and impact fees. In addition, the state provides some funds through grants and loans for a variety of infrastructure needs.34 Some funds are also available from the federal government, although the amount of federal funds available has been decreasing.
Local governments may also generate funds through the sale of bonds. They may also create local improvement districts that have the authority to assess property for specific kinds of improvements.
Annexation can have an impact of county and city revenues. Upon annexation, there is a shift of some of the sales tax and property tax revenue from the county to the city. Counties and cities have a variety of ways of addressing this issue. The Interlocal Cooperation Act (Ch. 39.34 RCW) allows counties and cities to enter into a wide variety of agreements. For example, Thurston County and the City of Lacey entered into an agreement in 1990 to address issues related to the annexation of certain territory by the city. Under the agreement, the sales tax revenue that would have otherwise immediately accrued to the city upon annexation was subject to a gradual phase in over a five year period, with the county receiving less each year. Although the agreement was not renewed when it expired, Thurston County and the Cities of Lacey, Olympia, and Tumwater have entered into a memorandum of understanding to address other annexation issues, including the development standards the county will apply in the unincorporated urban growth areas.
The 1994 Legislature authorized the development of service agreements between counties, cities, and special purpose districts to deal with the provision of governmental services.35 The service agreements may include provisions for transfer of revenue between local governments based on their obligations for providing governmental services.36 In addition, it directed counties of over 150,000 population to convene a meeting with the cities and special purpose districts in the county. A service agreement was to be adopted not later than January 1, 1997, or a progress report was to be submitted to the Legislature. No service agreements were adopted under this provision by the January 1, 1997 date, and only a few counties submitted progress reports.
In 1995 the Legislature created the Planning and Environmental Review Fund to help pay for comprehensive plans that are integrated with environmental review. The fund was proposed as a way to facilitate the integration of GMA and SEPA. The expectation was that by financing a variety of projects, an improved planning process could be used to streamline the permitting process without any decline in environmental protection. The Legislature appropriated $3 million to the fund in the 1995-97 biennium, but provided no funds in the 1997-99 biennium.
In 1998, the Legislature appropriated funds to the Public Works Board to study the amount of need for financing for capital facilities. The study will be submitted to the Legislature in 1999.
Prior to the GMA, counties and cities were prohibited by statute from imposing impact fees as a condition for issuing development permits. However, under SEPA a county or city often imposed mitigation requirements on projects, which frequently included requirements for infrastructure or funds to address the impacts of the project. The GMA authorized GMA counties and cities to impose impact fees for a specific list of capital facility needs.37 Impact fees may be collected for: publicly owned streets and roads, parks, open space, and recreation facilities; school facilities; and fire protection facilities in jurisdictions that are not part of a fire district. The local government must place the fees in a dedicated account and may only be used for the purposes for which they are collected. If they are not used within six years, they must be refunded.
C. Discussion
The Commission has consistently heard concerns from city and county governments about the lack of financial resources to meet their needs under the GMA. Many of the disputes between cities and counties over GMA issues, such as annexation and development outside of urban growth areas, are due at least in part to revenue generation issues.
Although the Legislature has given counties and cities several tools to address issues concerning the sharing of resources, the use of these devices has been relatively limited.
Other states have experimented with alternative approaches to addressing some of the same funding issues. For example, the Minneapolis-St. Paul region has implemented a tax base sharing scheme that is designed to address some of the problems that have faced local governments in this state.38
Local government officials, particularly city officials, have stated the view that these approaches will not be successful because they are premised in part on the idea that there are funds to share. It is their view that the main difficulty faced by both county and city governments is a lack of adequate financial resources for which the Legislature bears a significant responsibility.
In the past, federal and state resources were often available to help fulfill local government financial needs. Over time, however, these resources have disappeared. The limitations on expenditures included in I-601 places all requests for state expenditures in competition with one another even more so than before. The Governor and the Legislature will need to establish clear priorities for expenditures in order to meet the I-601 targets. This makes it even more difficult for local governments to obtain the financial resources they believe they need.
As the Commission discovered when it looked at funding issues as part of its 1996 Annual Report, finding a mechanism to fund ongoing planning activities is also hard to come by, even when there is a prospect for streamlined permitting.
Impact fees have been controversial since they were authorized as part of the GMA. Nearly every legislative session has seen proposals to restrict further their availability or to prohibit them outright. A common objection on the part of builders and realtors is that impact fees make affordable housing difficult or impossible to achieve. Many environmental groups and neighborhood organizations believe that impact fees are set too low and not used enough. They believe that the true cost of growth through its impact on the environment and on public services is not being recovered.
D. Options
This is modeled on the Minneapolis-St. Paul regional approach and would authorize counties and cities to negotiate ways to share increases in tax revenue that result from planned activities. Increases that might be shared could include increased property tax revenue due to increase property values or increased sales taxes resulting from particular developments. As described above, local governments may be skeptical of this approach since it relies in significant part only on shifting existing or reasonably anticipated revenue sources form one local government to another.
Pros:
Although counties and cities can enter into a variety of interlocal agreements, providing explicit authority to enter into certain kinds of revenue sharing agreements may facilitate their use. | |
This approach has been successful in other parts of the country and deserves further consideration and development here. |
Cons:
Cities believe that any approach to revenue issues that just splits existing revenues in different ways does not address the underlying problem that local governments do not have enough financial resources available to them. | |
The cities understand that counties have financial difficulties that deserve attention, but believe that those problems should be addressed directly rather than through trying to siphon off revenue that would otherwise go to the cities. |
2. Joint Economic Development Districts
One of the major sources of new revenue for many local governments is through encouraging economic development. The establishment of joint economic development districts can serve as a way to minimize the conflicts that occur between adjoining jurisdictions trying to attract development because of the financial benefit it will bring.
Pros:
Encouraging the use of joint economic development districts would provide a means for counties and cities to all receive the advantages of economic development. Instead of competing with each other, they could cooperate. These districts can be established by interlocal agreement, but simplifying the process and providing a model could increase its usefulness. |
Cons:
Counties and cities already have the authority to enter into agreements for this type of process. Additional legislation is not necessary. |
The Commission proposed as part of its 1996 Annual Report that counties and cities planning under the GMA be authorized to impose a one percent sales tax on new construction. Revenue generated by the tax could be used only to pay for capital facilities identified in the jurisdictions capital facilities plan. The tax would be a credit against the state sales tax. The result to the taxpayer would be not change in the total amount of tax paid. There would be a reduction in tax collected and paid into the state general fund.
Pros:
In times of revenue surpluses, under Initiative 601, the state takes in more revenue than it can spend. Allowing counties and cities to use some of that excess revenue for capital improvements to address the impacts of growth will be a benefit to the entire state. | |
This approach keeps funds where it is most needed because it is tied to development activity. | |
This does not increase the amount of tax paid. |
Cons:
Infrastructure finance, although an important issue, is being addressed in other forums. The Infrastructure Study commissioned by the Legislature in 1998 will be available next year. Any recommendations on finance are premature. The Commission should not include this topic in its report. | |
The states revenue picture has changed considerably since it first proposed this approach in 1997. With the slight downturn in the economy and the passage of Referendum 49, the revenue surplus on which this proposal was premised has nearly evaporated. These changed circumstances show one of the difficulties this type of solution presents. |
4. Planning and Environmental Review Fund
The Commission, as part of its 1996 Annual Report, recommended a continuation of appropriations to that the Planning and Environmental Review Fund (PERF) at the same level as when it was established - $3 million for the biennium. The Commission concluded that additional time was necessary to test out the benefits of the approach and establish a long term funding mechanism.
Pros:
The benefits of the PERF projects are beginning to appear in some of the jurisdictions that received funding. Further funding is necessary in order to sustain those projects and to generate the information necessary to demonstrate how to best integrate planning and environmental review. | |
The PERF provides funds for exactly the kind of projects that address the vision of a consolidated land use code, where environmental review during planning can be used to streamline project review without sacrificing environmental protection. |
Cons:
There are limited funds available for grant programs like PERF. The value of the projects may not have been demonstrated to a sufficient degree to support its continued funding. |
5. Impact fees
Consider whether impact fees should be allowed for additional types of capital facilities.
Pros:
The current limitation on the kinds of projects that can be funded out of impact fees makes it difficult for local governments to finance the facilities the public expects and that result from growth. | |
Impact fees fairly applied are a way to ensure that growth is not subsidized by the general taxpayers. They are also a fairer way to assess costs than the ad hoc mitigation fees commonly used through SEPA. |
Cons:
The building industry argues that impact fees add significant costs to housing prices and are a major factor in the affordable housing crises that they believe the region is facing. | |
There have been concerns from the building industry over the years about the time for payment of impact fees and assurance that they are used for the purposes for which they were collected. |
Provide a variety of funding tools for local governments to use to finance growth related impacts. These tools that deserve further study include:
(1) Regional tax-base sharing options, such as sharing a percentage of the growth of commercial-industrial property tax base and sales tax, or of the excess in residential property tax (amount of tax on value in excess of average single family home value in area covered);
(2) Interlocal revenue sharing agreements;
(3) Joint economic development districts;
(4) Infrastructure Finance;
(5) Planning and Environmental Review Fund;
(6) Impact Fees.
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XIV. Study of the Impact of Vesting During GMHB Appeals
The 1995 legislation granting the Growth Management Hearings Boards the authority to invalidate GMA comprehensive plans and development regulations also directed the Commission to study the impact on the goals of the GMA of allowing non-compliant plans to remain in effect during appeals. This raised several issues about Washingtons vesting laws. The study the Commission was directed to undertake only addressed a small subset of the larger issues involving vesting.
B. Background.
1. Vesting Law in Washington
Vesting in Washington "refers generally to the notion that a land use application, under the proper conditions, will be considered only under the land use statutes and ordinances in effect at the time of the application's submission." Noble Manor v. Pierce County, 133 Wn.2d 269, 275 (1997). The vested rights doctrine has been the subject of numerous decisions by the Washington Supreme Court.
The Washington Supreme Court has stated that:
The Washington doctrine protects developers who file a building permit application that (1) is sufficiently complete, (2) complies with existing zoning ordinances and building codes, and (3) is filed during the effective period of the zoning ordinances under which the developer seeks to develop. See, e.g., Allenbach v. Tukwila, 101 Wn.2d 193, 676 P.2d 473 (1984). Once a developer complies with these requirements a city cannot frustrate the development by enacting new zoning regulations.
The purpose of the vesting doctrine is to allow developers to determine, or "fix," the rules that will govern their land development. See Comment, Washington's Zoning Vested Rights Doctrine, 57 Wash. L. Rev. 139, 147-50 (1981). The doctrine is supported by notions of fundamental fairness. As James Madison stressed, citizens should be protected from the "fluctuating policy" of the legislature. The Federalist No. 44, at 301 (J. Madison) (J. Cooke ed. 1961). Persons should be able to plan their conduct with reasonable certainty of the legal consequences. Hochman, The Supreme Court and the Constitutionality of Retroactive Legislation, 73 Harv. L. Rev. 692 (1960). Society suffers if property owners cannot plan developments with reasonable certainty, and cannot carry out the developments they begin.
West Main Assocs. v. Bellevue, 106 Wn.2d 47,50-51, 720 P.2d 782 (1986). The court has recognized that the Washington rule, which allows for vesting at the time a complete application is submitted, is not the rule applied in most other states.
The State of Washington presently has one of the most liberal vested rights doctrines in the nation. The requirements of the Washington doctrine are that (1) the applicant file a building permit application (2) which complies with the existing zoning ordinance and building codes and (3) is filed during the effective period of the zoning ordinances under which the applicant seeks to develop, and (4) is sufficiently complete. West Main Assocs. v. Bellevue, 106 Wn.2d 47, 50-51, 720 P.2d 782 (1986). The doctrine in Washington thus provides that an applicant for a building permit has a vested right to have the application processed under the zoning regulations in effect at the time the building permit application is filed.
In contrast to the Washington rule, the majority of jurisdictions hold that even the issuance of a building permit is insufficient to establish a vested right entitling the applicant to a nonconforming use. The applicant, in addition to obtaining a building permit, also must establish a substantial expenditure or change in position in reliance on the issued building permit to effectuate a vested right. See 1 R. Anderson, Zoning §§ 6.24, 6.25 (2d ed. 1976); Comment, Washington's Zoning Vested Rights Doctrine, 57 Wash. L. Rev. 139 (1981).
Valley View v. Redmond, 107 Wn.2d 621,655 (1987) (Dore, dissenting). See, also, Hull v. Hunt, 53 Wn.2d 125 (1958).
2. Commissions Mandate
Its enabling statute directs the Commission to:
Monitor instances state-wide of the vesting of project permit applications during the period that an appeal is pending before a growth management hearings board, as authorized under RCW 36.70A.300. The commission shall also review the extent to which such vesting results in the approval of projects that are inconsistent with a comprehensive plan or development regulation provision ultimately found to be in compliance with a boards order or remand. The commission shall analyze the impact of such approvals on ensuring the attainment of the goals and policies of chapter 36.70A RCW, and make recommendations to the governor and the legislature on statutory changes to address any adverse impacts from the provisions of RCW 36.70A.300. The commission shall provide an initial report on its findings and recommendations by November 1, 1995, and submit its further findings and recommendations subsequently in the reports required under RCW 90.61.030.
RCW 90.61.040(4). The direction to conduct the study was in response to a provision in ESHB 1724 providing that county and city comprehensive plans on appeal to a Growth Management Hearings Board would remain valid, and that projects could vest under those plans and development regulations, unless a Growth Management Hearings Board entered an order to invalidate the plan or development regulation. The study was intended to determine to what extent vesting to those plans and development regulations that did not comply with the GMA created problems in achieving the GMAs goals and policies.
3. Vesting Study
In order to conduct the study required RCW 90.61.040(4), the Commission contracted with David Evans and Associates to collect the information needed to make the analysis. The Commission concluded that to understand the significance of vesting during a period of non-compliance or invalidity, it is also important to know the amount of permit activity at other significant times during the comprehensive planning process, including the period prior to plan adoption. The contractor was asked to collect the following information:
For each local government that has been subject to an appeal to a GMHB: the number of completed permit applications submitted (on a monthly basis), beginning from date the local government commenced planning under the GMA; the dates of significant events taken by the local government to comply with the GMA (e.g. interim urban growth areas, critical area ordinances, draft comprehensive plan, final comprehensive plan); and the dates of GMHB proceedings (e.g., date of appeal, GMHB hearing, and GMHB decision)
For each appeal to a GMHB that has resulted in a finding that a local government comprehensive plan or development regulation was not in compliance with the GMA the number of permit applications that vested under that plan or development regulation that was found not in compliance and that would not be permitted under the plan or development regulation that has been adopted and found in compliance with the GMA.
For each appeal that has resulted in a determination of invalidity for part or all of a comprehensive plan or development regulation the number of permit applications that vested under that plan or development regulation that was determined to be invalid and that would not be permitted under the plan or development regulation that has been adopted and found in compliance with the GMA.
The study limited its review to ten counties that had comprehensive plans or development regulations held invalid or not in compliance with the GMA. Ten counties were selected because vesting was more likely to raise issues concerning GMA goals and policies in rural areas than in urban areas.39 The study also was limited to a limited number of permit types, including formal subdivisions, short subdivisions, planned unit developments, master planned communities, master planned resorts, and major industrial developments.
C. Discussion
The following is the summary and conclusions from the report submitted to the Commission by David Evans.
"There were two major issues which prevented the complete collection of data.
Timing. Tight time constraints of the study prevented the examination of individual permit files to determine the projects compliance with the goals of GMA. Additional complications arose with the individual stages of the counties in planning under GMA. In addition to several cases which are still pending before the Boards, some counties (e.g. Skagit and Jefferson) were adopting revised comprehensive plans within the time frame of this study. Staff members involved with those tasks were understandably unavailable to assist in permit data collection. Compliance hearings in these instances have yet to occur.
Databases. Few, if any, jurisdictions have compiled databases of permit information with the intent of tracking the impacts of vested permits. Many of the issues examined by this study require the ability to search using geographical parameters which was not possible. Other technical difficulties arising from the incompatibility of database versions used within some individual jurisdictions which temporarily prevented the use of pre-existing electronic data.
7.2 Suggestions for Further Study.
To more specifically address questions on issues which have the potential to frustrate the goals of GMA requires that individual permit application files be scrutinized by either the Commission, its contractor(s), or county employees. Some questions include:
How many new developments will be built at higher densities than would have been permitted by the plan or regulation deemed compliant by the Board?
How many acres of resource lands will be lost to inappropriate development due to vesting?
The number of hours required for this intensity of data collection is outside the scope of this initial study. Should the Commission or others decide to pursue the issue of vesting further, this appears to be the next logical step.
7.3 General Observations
While the lack of permit data prevented specific, detailed conclusions, general observations on the impact of vesting were made based on the reseachers [sic] collective experiences. Two observations are pertinent. First, none of the jurisdictions contacted expressed an opinion that vesting was a major land use issue. Second, to the extent that vesting occurs it appears more often as a local issue and does not have widespread impacts across the jurisdiction.
The normal response of a local government to a land use issue with widespread impacts is to allocate additional resources, draft new land use regulations, or both. The additional resources could be the provision of new staff through the budget process or the reassignment of existing staff. New regulations are often also drafted to provide the legal basis for regulating the subject land use. Sometimes the regulations take the form of a moratorium on permit applications.
With one exception, local governments responding to the survey were not using these tools to respond to vesting. None of the jurisdictions communicated that they had hired new staff or reassigned existing staff to deal with vested permits despite repeated conversations with their staff on the issue from the director level on down. It is our belief that, if vested permits were a considered to be a major land use issue for these jurisdictions, they would have responded to the problem in some fashion and would have informed the researchers. From the researchers inquiries, this was not the case. The only exception was the development moratoria enacted by Jefferson County in response to a potential rush to the permit counter. But the general observation stands that the jurisdictions did not perceive there was a major land use issue or controversy associated with vested permits and therefore were not responding as expected.
Nonetheless, based on anecdotal and documented evidence, vested permits can create land use issues on a case-by-case basis. Generally, these cases are localized in their impact. They do not usually set precedent for other applications because of the requirement for submitting the permit within a relatively narrow window of opportunity. Also the cost of preparing complete land use applications sufficient to meet the vesting requirements is not insignificant. These time and cost constraints inhibit decisions by local land owners to act on short notice, thus dampening most potential rushes to the permit counter to take advantage of a window.
Vested permits can impact local land use issues because they may be inconsistent with the existing or proposed land uses. Neighbors and other local residents may be sufficiently upset by the vested permit to file an appeal. But the impacts of the vested permit are usually confined to the immediate surroundings. While these impacts are of importance to the local residents, they are less important to the overall land use plan because of their limited number and scope of impact."
Based on the limited information available from the study, no changes to Washingtons vesting statutes are recommended at this time to address the specific issue the Commission was asked to consider: whether vesting during a period of time a comprehensive plan is on appeal results in the approval of projects that are inconsistent with a comprehensive plan that is found in compliance with the GMA.
Some Commission members and environmental community representatives expressed disappointment with the data collected. They suggest a further study of vesting issues should be considered. There is anecdotal evidence that Washingtons vesting law, which grants vesting at the time a complete application is submitted, creates problems for implementation of the GMA. However, there is little solid data to indicate whether this truly presents a problem or only the perception of one.
Since many comprehensive plans have now been adopted, vesting during adoption and appeal may be less of an issue in the future. Also local governments do have authority to adopt moratoria to limit vesting if a problem arises. Some advocate however that the option of a moratorium is not sufficient, and that more direct legislative changes to the vesting laws are appropriate.
There are equally strong views that property rights and vested rights must be strengthened in any future consolidated land use code. Advocates of property rights view the GMA and other environmental laws as infringements of their constitutional rights. Any legislative change to the current rules on vesting would be a very controversial issue and would need further legal analysis, given the doctrines judicial roots.
Due to the difficulty of collecting data, no further study is recommended at this time. However, if a consolidated land use code is developed in the future, these disparate views on vesting will need to be addressed.
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XV. Conclusion
The Land Use Study Commission has conducted an extensive public process over the past three years to evaluate how a Consolidated Land Use Code could be implemented in Washington State. During this period, many diverse viewpoints have been expressed about Washingtons current land use and environmental laws. The current system relies on a number of independently adopted laws, including the Growth Management Act, the Shoreline Management Act, and the State Environmental Policy Act. A number of efforts have been undertaken over the last few years to integrate these statutes, both at the state level and local level. Some progress towards this goal has been made. The system is not entirely broken, nor is it perfect.
There is a consensus that there is room for improvement in Washingtons land use and environmental regulatory system. A consolidated land use code has the potential for many positive benefits; however, at this time, the consensus necessary for its adoption is not present.
This does not mean that the journey must end. This final report is an important milestone toward reaching the goal of a consolidated code. The report provides detailed guidance on the issues that need to be addressed, and a thorough discussion of options and policy issues that need to be resolved. These policy issues are the domain of the Executive and Legislative branches of government. If the state decides to proceed further with such a code, there are significant prerequisites to achieve the necessary consensus.
First, there must be a consensus from the Legislative and Executive branch that a consolidated land use code is worth the considerable effort it will take to implement such sweeping changes. Specific direction on some of the key policy issues that are identified in this report would aid the development of the code.
Second, a successor entity would be required to actually develop the statutory version of a Consolidated Land Use Code. Consideration should be given to the type of successor entity. It would need the funding, technical expertise, legislative drafting skills, and dedicated personnel to undertake such a task. A volunteer commission is limited in its ability to undertake actual statutory drafting of such sweeping changes. The possibilities for a successor entity include the Executive branch, a committee of the Legislature, or an existing agency. Whatever successor entity may be chosen, it is clear that the drafting of a Consolidated Land Use Code will be an enormous task requiring further public outreach and consensus building.
The State of Washington is facing many challenges, including threatened salmon runs, continued population growth, rising housing costs, buildable lands supply issues, transportation concurrency, and infrastructure financing. These issues will continue to put strains on our existing land use system. We can continue to meet these challenges under our current system; however, the ideas presented in this report present the opportunity to meet these challenges in a new, integrated way. To achieve these goals, a strong political consensus must emerge to lead the way.
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1. Establishment and Duties
The Land Use Study Commission was established by Ch. 347, Laws of 1995 (ESHB 1724). The 14-member Commission was established with the overall mission to "integrat[e] and consolidat[e]" ... the states land use and environmental laws into a single manageable statute." RCW 90.61.010. In addition, the Commission was given a number of additional tasks, including:
Consider the effectiveness of state and local government efforts to consolidate and integrate the growth management act, the state environmental policy act, the shoreline management act, and other land use, planning, environmental, and permitting laws.
Identify the revisions and modifications needed in state land use, planning, and environmental law and practice to adequately plan for growth and achieve economically and environmentally sustainable development, to adequately assess environmental impacts of comprehensive plans, development regulations, and growth, and to reduce the time and cost of obtaining project permits.
Monitor instances state-wide of the vesting of project permit applications during the period that an appeal is pending before a growth management hearings board.
Monitor local government consolidated permit procedures and the effectiveness of the timelines established by RCW 36.70B.090.
Evaluate funding mechanisms that will enable local governments to pay for and recover the costs of conducting integrated planning and environmental analysis.40
Study, in cooperation with the state board for registration of professional engineers and the state building code council, ways in which state agencies and local governments could authorize professionals with appropriate qualifications to certify a projects compliance with certain state and local land use and environmental requirements.41
The legislation creating the Commission was effective June 1 1995. The Governor announced the appointment of the Commission members on September 28, 1995.
The Legislature has asked the Commission to submit a report to the Governor and the Legislature stating its findings, conclusions and recommendations not later than November 1 of each year.
2. Membership
The Commissions statute provides for up to 14 members, ten of whom are appointed by the Governor. The membership represents a cross-section of those interested in land use and environmental issues, including business, agriculture, labor, environmental and neighborhood activists, local and state governments, the tribes, and the general public. Three additional members are the directors of the Departments of Ecology, Transportation, and Community, Trade, and Economic Development (DCTED).
T. Ryan Durkan, of the Seattle law firm Hillis, Clark, Martin & Peterson, has been appointed by Tim Douglas, Director of DCTED, as his designee and as chair of the Commission.
Other members of the panel appointed by the Governor, include: Kitsap County Commissioner Phil Best, of Bremerton; Spokane neighborhood activist Sheila Collins; Tom Campbell, President of Snonet; Keith Dearborn, a landuse attorney in private practice in Seattle; Kathy Dietrich, a Vancouver architect; Loren Dunn, an environmental attorney with the Seattle law firm of Graham & James/Riddell Williams; Everett Mayor Ed Hansen; David Moseley, Ellensburg City Manager; Kimberly Ordon, a policy analyst for the Natural Resources Department of Tulalip Tribes in Marysville; David Roseberry, a wheat farmer and former President of the Washington Association of Wheat Growers42.
Tom Fitzsimmons, Director of the Department of Ecology, and James Toohey, Department of Transportation, represent their respective agencies.
3. 1998 Meetings
[RESERVED]
4. 1998 Legislative Session
The Commissions 1997 Annual Report made four legislative recommendations. Three recommendations were passed by the Legislature and signed into law. One recommendation, extension of the Commission, did not pass the Legislature.
The three recommendations that were enacted concerned: (1) procedures for designating mineral resource lands, in response to the Governors veto of SHB 1472 from the 1997 Legislative session; (2) correcting drafting errors in annexation legislation recommended by the Commission and enacted by the Legislature in 1997; and (3) extending for two years the 120-day permit timeline adopted by the 1995 Legislature.
The recommendation for extension of the Commission was made in response to a request by the Senators McCaslin, Haugen, and Patterson on behalf of the Senate Committee on Government Operations.
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In developing the consolidated code, the Commission has been directed to take a number of factors into account. These factors include:
Land use planning should be conducted through the GMA comprehensive planning process rather than through review of individual projects;
Diverse sectors of the public should be involved in the planning process.
Early and informal environmental analysis should be incorporated into planning and decision making;
Recognize that different questions need to be answered and different levels of detail applied at each planning phase;
Integrate and combine to the fullest extent possible the processes, analysis, and documents currently required under the GMA and SEPA, so that subsequent plan decisions and subsequent implementation will incorporate measures to promote the environmental, economic, and other goals and to mitigate undesirable or unintended adverse impacts on a communitys quality of life;
Focus environmental review and the level of detail needed for different stages of plan and project decisions on the environmental considerations most relevant to that stage of the process;
Avoid duplicating review that has occurred for plan decisions when specific projects are proposed;
Use environmental review on projects to: (i) Review and document consistency with comprehensive plans and development regulations; (ii) provide prompt and coordinated review by agencies, tribes, and the public on compliance with applicable environmental laws and plans, including mitigation for site specific project impacts that have not been considered and addressed at the plan or development regulation level; and (iii) ensure accountability by local government to applicants and the public for requiring and implementing mitigation measures;
Maintain or improve the quality of environmental analysis both for plan and for project decisions, while integrating these analyses with improved state and local planning and permitting processes;
Examine existing land use and environmental permits for necessity and utility. To the extent possible, existing permits should be combined into fewer permits, assuring that the values and principles intended to be protected by those permits remain protected; and
Consolidate local government appeal processes to allow a single appeal of permits at local government levels, a single state level administrative appeal, and a final judicial appeal.
RCW 90.61.040(4) (repealed effective June 30, 1998).
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Consolidated Land Use Code Structure
The reorganized structure has the following categories:
Policies: The major policies that guide state land-use and environmental laws, including policies concerning growth management, shorelines management, and environmental protection.
Definitions: A consolidated definitions section.
State and Local Responsibilities: The states roles and responsibilities with respect to environmental and land use laws and the framework for local government authority within the context of the states policies.
Coordinated State Planning: Coordination of state agency activities related to environmental and land use policies.
Local and Regional Planning: A comprehensive planning statute integrating the planning enabling statutes with the GMA. It also includes regional transportation planning laws.
Environmental Analysis: Coordinating the state environmental policy act into the framework of the land use code.
Development Regulations: The use and application of development regulations as they provide controlling policy for local land-use and environmental regulations.
Subdivision of Land: The process for subdividing land.
Project Review and Permitting: The guidelines for conducting state and local project review, consolidated permit processes, and public involvement in those processes.
Funding: Funding for infrastructure, impact fees, incentives to coordinate actions among different governments.
Enforcement: The consequences of non-compliance.
Appeals and Judicial Review: Administrative and judicial review of state and local government land use planning and project decisions.
Miscellaneous: This section includes severability sections, effective dates, and other existing statutory provisions that do not fit in another category.
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NOTES
1. See Appendix A for a description of the Land Use Study Commissions responsibilities and membership. 2. Local Governance Study Commission (1988), Growth Strategies Commission (1989-1990), and Governors Task Force on Regulatory Reform (1993-1994). 3. EO 93-06 (August 1993). 4. Extinction is Not an Option: A Statewide Strategy to Recover Salmon, Ch. II, p. 1, Joint Natural Resources Cabinet (Working Draft, September 25, 1998). 5. Executive Order 98-01. 6. See Appendix B for a summary of the legislative direction for the consolidated land use code. 7. See A Guide to Negotiated Rule Making, Washington State Office of Financial Management (Nov. 5, 1997) for a discussion of the negotiated rule-making process in Washington. 8. Chapters 35.63, 35A.63, and 36.70 RCW. 9. RCW 36.70A.030. 10. See, Report on 120 day Time Limit ..., Report to the Land Use Study Commission, David Evans and Associates, September 1997. 11. Chapter 80.50 RCW. 12. See RCW 70.105.200 through 70.105.260. 13. RCW 36.70C. 14. These include the Pollution Control Hearings Board, Shoreline Hearings Board, Growth Management Hearings Boards (3), Forest Practices Appeals Board, and Hydraulics Appeals Board. 15. "[A] fine of not less than twenty-five nor more than one thousand dollars or by imprisonment in the county jail for not more than ninety days, or by both such fine and imprisonment : PROVIDED, That the fine for the third and all subsequent violations in any five-year period shall be not less than five hundred nor more than ten thousand dollars " RCW 90.58.230. 16. "Any person subject to the regulatory program of this chapter who violates any provision of this chapter or permit issued pursuant thereto shall be liable for all damage to public or private property arising from such violation, including the cost of restoring the affected area to its condition prior to violation." RCW 90.58.230. 17. "A person who violates RCW 90.58.550, or any rule adopted thereunder, is subject to a penalty in an amount of up to five thousand dollars a day for every such violation. Each and every such violation shall be a separate and distinct offense, and in case of a continuing violation, every day's continuance shall be and be deemed to be a separate and distinct violation. Every act of commission or omission which procures, aids or abets in the violation shall be considered a violation under the provisions of this section and subject to the penalty provided for in this section." RCW 90.58.560. 18. RCW 75.20.106. 19. See, e.g. RCW 88.46.080 making it a gross misdemeanor to knowingly operate a vessel in violation of the states oil spill prevention legislation and RCW 88.46.090 imposing penalties of up to $100,000 per day for certain violations of the oil spill statutes. 20. Yakima County Code 15.25.030. 21. YCC 15.25.020. 22. Tulalip Tribal Code 17.020. 23. See, Cowiche Canyon Conservancy v. Bosley, 118 Wn. 2d 801, 828 P. 2d 549 (1992). 24. Island County Code, Sec. 17.02.240. 25. RCW 90.48.364 - .368. 26. RCW 90.48.390. 27. See, e.g., Yakima County Code 15.25.080, placing civil penalties for violations of the land use code in the county general fund. See, also, RCW 76.09.170 which provides that penalties for violation of the forest practice laws and rules are to be deposited in the state general fund, or under some circumstances, in a local governments general fund. 28. See Footnote . 29. Ch. 18.104 RCW. 30. Ch. 89.16 RCW. 31. RCW 89.16.010. 32. "Results of Monitoring King County Wetland and Stream Mitigations," Anna Mockler, King County Department of Development and Environmental Services (August 4, 1998). 33. See The Quiet Crisis of Local Governance in Washington, Final Report of the Washington State Local Governance Commission, Vol. 2 (1988). 34. See, e.g., the Public Works Trust Fund (RCW 43.155) and the Centennial Clean Water Account (RCW __.__). 35. Ch. 36.115 RCW. 36. RCW 36.115.050(6). 37. RCW 82.02.050 - .100. 38. See "Chapter 14 Tax Equity Devices and Tax Relief Programs," Growing Smart Legislative Guidebook, American Planning Association. 39. The counties were: Chelan, Clark, King, Kitsap, Jefferson, Kittitas, Pacific, Pierce, Skagit, and Whatcom. 40. The Commissions 1996 report included the results of this study and made recommendations to the Governor and the Legislature for a continuation of state general funds for another two years. 41. The Commissions 1996 Report addressed this issue and included a recommendation adopted as part of ESB 6094 in the 1997 Legislative session. 42. John Herrick, one of the original Commission members, representing the labor community, resigned in 1998. A replacement appointment was not made.