SUSTAINABILITY
              FOR THE
NATION

Resource Connections and Governance Linkages

Committee on Sustainability Linkages in the Federal Government

Science and Technology for Sustainability Program

Policy and Global Affairs Division

NATIONAL RESEARCH COUNCIL
OF THE NATIONAL ACADEMIES

THE NATIONAL ACADEMIES PRESS

Washington, D.C.

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Committee on Sustainability Linkages in the Federal Government Science and Technology for Sustainability Program Policy and Global Affairs Division

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THE NATIONAL ACADEMIES PRESS 500 Fifth Street, NW Washington, DC 20001 NOTICE: The project that is the subject of this report was approved by the Governing Board of the National Research Council, whose members are drawn from the councils of the National Academy of Sciences, the National Academy of Engineering, and the Insti- tute of Medicine. The members of the committee responsible for the report were chosen for their special competences and with regard for appropriate balance. This study was supported by a grant from the U.S. Environmental Protection Agency under award number EP10H002179, U.S. Geological Survey under award number G10AP00149, U.S. Department of Energy under award number DE-PI0000010, TO #8, National Aeronautics and Space Administration under award number NNX11AB43G, U.S. Department of Agriculture under award number 59-0790-1-124, National Science Foundation under award number CBET-1135117, National Oceanic and Atmospheric Administration under award number WC133R-11-CQ-0048, TO #1, BP, Lockheed Mar- tin, the David and Lucile Packard Foundation under award number 2011-36690, and the Cynthia and George Mitchell Foundation. Any opinions, findings, conclusions, or rec- ommendations expressed in this publication are those of the author(s) and do not neces- sarily reflect the views of the organizations or agencies that provided support for the pro- ject. International Standard Book Number-13: 978-0-309-26230-9 International Standard Book Number-10: 0-309-26230-5 Additional copies of this report are available for sale from the National Academies Press, 500 Fifth Street, NW, Keck 360, Washington, DC 20001; (800) 624-6242 or (202) 334- 3313; http://www.nap.edu. Copyright 2013 by the National Academy of Sciences. All rights reserved. Printed in the United States of America.

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The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. Charles M. Vest is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the re- sponsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Harvey V. Fineberg is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the Nation- al Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. Charles M. Vest are chair and vice chair, respectively, of the National Research Council. www.national-academies.org

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COMMITTEE ON SUSTAINABILITY LINKAGES IN THE FEDERAL GOVERNMENT THOMAS GRAEDEL (CHAIR) (NAE), Clifton R. Musser Professor of Industrial Ecology, Yale University ROBERT ANEX, Professor of Biological Systems Engineering, University of Wisconsin-Madison WILLIAM CARROLL, JR., Vice President, Occidental Chemical Corporation GLEN T. DAIGGER (NAE), Senior Vice President and Chief Technology Officer, CH2M HILL PAULO FERRÃO, Professor, Instituto Superior Tecnico, Technical University of Lisbon HOWARD FRUMKIN, Dean, University of Washington School of Public Health SALLY KATZEN, Senior Advisor, Podesta Group; Visiting Professor, New York University School of Law ANNA PALMISANO, Associate Director of Science for Biological and Environmental Research, Office of Science, U.S. Department of Energy (retired) STEPHEN POLASKY (NAS), Fesler-Lampert Professor of Ecological/Environmental Economics, University of Minnesota LYNN SCARLETT, Co-Director, Center for Management of Ecological Wealth, Resources for the Future ROBERT STEPHENS, International Chair, Multi-State Working Group on Environmental Performance DEBORAH SWACKHAMER, Professor and Charles M. Denny Jr., Chair in Science, Technology, and Public Policy, Hubert H. Humphrey Institute of Public Affairs, University of Minnesota LAUREN ZEISE, Chief, Reproductive and Cancer Hazard Assessment Branch, California Environmental Protection Agency Science and Technology for Sustainability Program Staff MARINA MOSES, Director JENNIFER SAUNDERS, Program Officer DOMINIC BROSE, Program Officer EMI KAMEYAMA, Program Associate DYLAN RICHMOND, Research Assistant v

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Preface In July 2011, the National Research Council’s (NRC’s) Science and Tech- nology for Sustainability Program initiated a new study, Sustainability Linkages in the Federal Government. This followed a series of discussions held by the NRC’s Roundtable on Science and Technology for Sustainability that explored linkages between topics critical to long-term sustainability. The premise is that achieving sustainability is a systems challenge that cannot be addressed by sepa- rately optimizing pieces of the system. To address this systems challenge, an ad hoc committee with a wide range of expertise and experience in government, academia, and business was convened. Brief biographies of the individual com- mittee members are provided in Appendix A. The committee was charged to produce a report with consensus findings that provides an analytical framework for decision formulation and decision making related to linkages of sustainabil- ity. This framework can be used by U.S. policy makers and regulators to assess the consequences, trade-offs, and synergies of policy issues involving a systems approach to long-term sustainability and decisions on sustainability-oriented programs. The framework was to include social, economic, and environmental domains of sustainability, highlighting certain dimensions that are sometimes left unaccounted for in cross-media analyses. During the course of the study, the committee conducted several fact- finding meetings and committee meetings. The first committee meeting was held September 20-21, 2011, in Washington, D.C. During this meeting, sponsors discussed areas of interest to their agency or organization, and several panel discussions addressed a variety of perspectives (state and local, industry, non- governmental, and national) on sustainability linkages. Three subsequent fact-finding meetings explored specific examples that cut across a variety of geographies and scales and featured a range of sustainability challenges. The purpose of these meetings was to examine in detail a number of approaches to challenges involving either connections among sustainability- related resources, or of linkages across agencies addressing such challenges. At these meetings, the committee heard from and questioned those involved about issues of science, monitoring, organization, communication, and governance. The geographies included sustainability management of coastal systems (the vii

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viii Preface Puget Sound, the Great Lakes; committee meeting in Seattle, WA, February 6-8, 2012), regional nonurban systems (the Mojave Desert, the Platte River; commit- tee meeting in Omaha, NE, April 11-12, 2012), and urban systems (Phoenix, Philadelphia; committee meeting in Tempe, AZ, June 11-12, 2012). The sustain- ability issues that were the focus of the examples involved the tension of manag- ing multiple users of a given resource, and multiple stressors on elements of these systems. System elements included water quality and availability, ecosys- tem health, endangered species, energy, transportation, urban infrastructure, public health, commerce, and food production. The linkages involved federal agencies, regional organizations, state agencies, local government, nongovern- mental organizations, and citizen stakeholder groups. A fifth committee meeting was held on July 16-19, 2012, in Woods Hole, MA, to begin to draft the consen- sus report, and a sixth meeting was held on October 11-12, 2012, in Washing- ton, DC. An agenda for each meeting is provided in Appendix C. The committee gratefully acknowledges all of the speakers for their in- formative presentations, and Derek Vollmer, National University of Singapore, and Stephanie Ariganello, Michigan Sea Grant, for preparing background papers for the meetings. The information provided at these meetings is used throughout this report and provided important perspectives which were utilized in this re- port’s findings and conclusions. In this report, Chapter 1 first describes the challenge that the committee ad- dressed. Chapter 2 discusses the current impediments to effective government action, Chapter 3 explores the fact-finding examples and the lessons they pro- vide, Chapter 4 develops the decision framework for linkage challenges, and Chapter 5 provides a vision for improved responses to sustainability linkages. The committee acknowledges Janene Cowan, University of Minnesota, and Kurt Barnes, Barnes Bros., for providing support for visual materials for the decision framework. The report would not have been possible without the sponsors of this study, including the U.S. Environmental Protection Agency, U.S. Geological Survey, U.S. Department of Energy, National Aeronautics and Space Administration, U.S. Department of Agriculture, National Science Foundation, National Oceanic and Atmospheric Administration, BP, Lockheed Martin, the David and Lucile Packard Foundation, and the Cynthia and George Mitchell Foundation. The April 2010 planning meeting was supported by the Interface Environmental Foundation. On behalf of the committee, I want to express our thanks and appreciation to Marina Moses, director of the Science and Technology for Sustainability Pro- gram, Jennifer Saunders, the program officer responsible for our study, and Emi Kameyama, program associate, for the time and effort they put into assembling the committee, planning the meetings, and organizing the report. I also thank the National Academies staff, Dominic Brose, program officer; Dylan Richmond, research assistant; Patricia Koshel, senior program officer; Sara Frueh, media officer II; Stephen Mautner, executive editor; Adriana Courembis, financial as- sociate; Radiah Rose, editorial projects coordinator; and Kathleen McAllister,

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Preface ix associate program officer (through October 2010), for their support and assis- tance with study activities. Finally, I thank, especially, the members of the committee for their tireless efforts throughout the development of this report. Thomas Graedel, Chair Committee on Sustainability Linkages in the Federal Government

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Acknowledgments This report has been reviewed in draft form by individuals chosen for their diverse perspectives and technical expertise, in accordance with procedures ap- proved by the National Academies’ Report Review Committee. The purpose of this independent review is to provide candid and critical comments that will assist the institution in making its published report as sound as possible and to ensure that the report meets institutional standards for objectivity, evidence, and responsiveness to the study charge. The review comments and draft manuscript remain confidential to protect the integrity of the process. We wish to thank the following individuals for their review of this report: David Allen, University of Texas, Austin; Craig Benson, University of Wiscon- sin-Madison; Nancy Creamer, North Carolina State University; Kirk Emerson, University of Arizona; Vasilis Fthenakis, Columbia University; Shelley Hearne, Johns Hopkins University; John Onderdonk, California Institute of Technology; and Kenneth Ruffing, Independent Consultant. Although the reviewers listed above have provided many constructive comments and suggestions, they were not asked to endorse the conclusions or recommendations, nor did they see the final draft of the report before its release. The review of this report was overseen by Robert Frosch, Harvard University and Richard Wright, National Institute of Standards and Technology (Retired). Appointed by the National Academies, they were responsible for making certain that an independent examination of this report was carried out in accordance with institutional procedures and that all review comments were carefully con- sidered. Responsibility for the final content of this report rests entirely with the authoring committee and the institution. xi

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Contents SUMMARY ...............................................................................................................1 1 THE CHALLENGE OF MANAGING CONNECTED SYSTEMS ..........13 What is Sustainability?, 13 Resource Connections and Governance Linkages, 16 Connections: The Scientific Challenge of Understanding Systems, 19 Linkages: The Governance Challenge of Managing Connected Systems, 22 References, 22 2 THE IMPEDIMENTS TO SUCCESSFUL GOVERNMENT LINKAGES ....................................................................................................26 Authorizations—Fragmented and Diffuse, 26 Funding Challenges, 30 Fragmentation of Foundational Elements: Information and Research, 32 Culture of Government, 34 References, 36 3 EXAMPLES OF SUSTAINABILITY CONNECTIONS AND LINKAGES ..........................................................................................39 Urban Systems - Philadelphia, 39 Urban Systems - Phoenix, 43 Nonurban Systems - Mojave Desert, 47 Nonurban Systems - Platte River, 50 Coastal Systems - Great Lakes, 53 Coastal Systems - Pacific Northwest, 56 Opportunities for Addressing Sustainability Linkages: Lessons Learned, 59 References, 63 4 DEVELOPMENT OF A DECISION FRAMEWORK ..............................70 The Need for and Value of a Decision Framework, 70 Principles, 71 A Decision Framework, 73 Recommendations, 81 References, 82 xiii

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xiv Contents 5 A PATH FORWARD: PRIORITY AREAS FOR INTERAGENCY COLLABORATION ......................................................84 Criteria for Setting Priorities, 85 Priority Domains and Issue Areas, 86 Implementation Bridges, 90 A National Sustainability Policy, 93 Recommendations, 97 References, 99 APPENDIXES A COMMITTEE ON SUSTAINABILITY LINKAGES IN THE FEDERAL GOVERNMENT .......................................................104 B STATEMENT OF TASK ...........................................................................111 C COMMITTEE MEETING AGENDAS.....................................................112 BOXES AND FIGURES BOXES S-1 Summary of Fact-Finding Examples, 9 1-1 The Sustainability Approach, 14 1-2 Sustainability at National Aeronautics and Space Administration Facilities, 16 1-3 Sustainability and the Department of Defense, 17 1-4 BASF: Integrating Sustainability into Business Practices A Private Sector Example, 18 2-1 Governance and Institutional Design, 35 3-1 Sustainability Performance Outcomes: Philadelphia Example, 44 4-1 Relevant Decision Framework Literature, 72 FIGURES S-1 The links among the needs for and limits of sustainability, 4 S-2 The committee’s proposed decision framework, 6 1-1 The components or domains of sustainability that support human well-being, 15 1-2 The links among the needs for and limits of sustainability, 20 3-1 An Unconventional Path: Rationale for the Green Infrastructure Approach, 41 3-2 Urban Heat Island expression in Phoenix, 46 3-3 DMG Area of Interest, 48

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Contents xv 3-4 The Platte River Basin, 51 3-5 The Great Lakes Basin, 54 3-6 Science-based, Multi-Jurisdictional Fishery Management in the Laurentian Great Lakes: Exploring Federal Roles— Governance/Collaboration/Science-Decision Making, 56 3-7 The Columbia River Basin—Accessible and Blocked Habitat, 57 4-1 Conceptual Decision Framework, 74 4-2 Phase 1 of the decision framework in expanded detail, 75 4-3 Phase 2 of the decision framework in expanded detail, 79

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Abbreviations and Acronyms ASU Arizona State University BLM Bureau of Land Management, U.S. Department of the Interior (DOI) BOR Bureau of Reclamation BPA Bonneville Power Administration CAP LTER Central Arizona-Phoenix Long-Term Ecological Research CDC Centers for Disease Control and Prevention CDFG California Department of Fish and Game CEC California Energy Commission CEF Corporate Eco Forum CEQ Council on Environmental Quality CSO Combined Sewer Overflow DMG Desert Managers Group DOD U.S. Department of Defense DOE U.S. Department of Energy DOI U.S. Department of the Interior DOT U.S. Department of Transportation DRECP Desert Renewable Energy Conservation Plan EPA U.S. Environmental Protection Agency ESA Federal Endangered Species Act FEMA Federal Emergency Management Agency FWS U.S. Fish and Wildlife Service GAO U.S. Government Accountability Office GC Governance Committee (Platte River Program) GPRA Government Performance and Results Act GSI Green Stormwater Infrastructure HUD U.S. Department of Housing and Urban Development IJC International Joint Commission JLARC State of Washington Joint Legislative Audit and Review Committee LTER National Science Foundation’s Long-Term Ecological Research NASA National Aeronautics and Space Administration NCCP Natural Communities Conservation Plan NEPA National Environmental Protection Act of 1969 xvii

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xviii Abbreviations and Acronyms NGO Nongovernmental Organization NIH National Institutes of Health NOAA National Oceanic and Atmospheric Administration NOP National Ocean Policy NPS National Park Service, DOI NRC National Research Council NSF National Science Foundation OECD Organisation for Economic Co-operation and Development OMB Office of Management and Budget PHS Pennsylvania Horticultural Society PMF Presidential Management Fellow PSP Puget Sound Partnership PWD Philadelphia Water Department REAT Renewable Energy Action Team SEES Science, Engineering, and Education for Sustainability Program, National Science Foundation SES Senior Executive Service USDA U.S. Department of Agriculture USGS U.S. Geological Survey, DOI WSAS Washington State Academy of Sciences