Vincent DeVito (GOP Lawyer) - ICLEI & HUD

7/31/2019 Vincent DeVito (GOP Lawyer) - ICLEI & HUD

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Application to

Department of Housing and Urban Development

Responding to

Notice of Funding Availability Regarding HUDsSustainable Communities Regional Planning Grant Program FY2010

[Docket No. FR-5396-N-03]

Category 1 Application

Large Metropolitan Region (Central Massachusetts)

HARNESSING SOCIAL NETWORKS AND INFORMATION & COMMUNICATION

TECHNOLOGIES TO VISION AND PLAN

A SUSTAINABLE FUTURE FOR CENTRAL MASSACHUSETTS

August 2010

APPLICANT

Institute for Energy and Sustainability (IES)16 Claremont Street, Worcester, MA 01610Phone: 508-751-4639 Fax: 508-751-4600Contact: Vincent DeVito, Exec. Director,

OTHER CONSORTIUM MEMBERS

Clark University Central MA Regional Planning Commission (CMRPC) Central MA Metropolitan Planning Organization (CMMPO) City of Worcester Worcester Regional Transit Authority (WRTA) Worcester Polytechnic Institute (WPI) Central MA Regional Employment Board (CMREB) Community Health Link (CHL) MA Department of Housing and Community Development (DHCD) (Potential Member)

INVOLVED STAKEHOLDERS (Partial List)

Worcester and the 39 Towns in the CMMPO Region Many, Diverse Social Networks in the Region MA Governors Development Cabinet


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ABSTRACT

Our broad-based consortium of public and private entities representing CentralMassachusetts proposes to conduct regional planning for sustainable development in CentralMassachusetts, as specified in Funding Category 1 of the NOFA. The region consists of the city ofWorcester and 39 surrounding towns. It has urban, rural, and intermediate areas, and is highly

diverse in terms of economic, cultural, ethnic, and political indicators. Our proposed work willyield a general, regional plan with coordinated elements across sectors and jurisdictions, while alsocreating, or establishing a basis for, many other beneficial outcomes including those specified inSection I.E of the NOFA. The planning process will engage, empower, and activate socialnetworks across the region. The resulting plan will call for an array of specific actions and willidentify funding streams for those actions. Endorsement of the plan will be sought through city-council and town-meeting votes, to ensure a durable commitment to implementation.

The proposed planning will yield many benefits both in our region and nationally. InCentral Massachusetts there is significant and growing awareness of needs and opportunities forsustainable development. Our consortium is ready and eager to translate that awareness intoactionable plans. At the same time, sustainability issues in this region are similar to those

exhibited in many other parts of the United States. We will address sustainable-developmentneeds and opportunities using an approach that not only enhances sustainability in our region butalso provides a model for application in other regions. Our approach is pioneering in two majorrespects. First, it will provide an unprecedented degree of community engagement in visioningand planning, by empowering social networks across the region, by employing cutting-edgeinformation, communication, and education technologies (ICETs), and by supporting many small-scale local initiatives that demonstrate the benefits of sustainability planning. Second, ourapproach will provide a test-bed and showcase for Commonwealth of Massachusetts policies andprograms on sustainability, which address issues ranging in scope from local to global. In thisway, we will show how regional planning can meet local needs while also being compatible withsustainability planning at state, national, and global levels.

A basic premise of our proposal is that diverse social actors can work in concert to achievenew goals that are broadly beneficial. Specifically, we will engage and assist diverse stakeholdersto assess prevailing trends, envision alternative futures, compare the costs and benefits ofalternative pathways to the future, choose a regional-development pathway that is comparativelysustainable, and create a plan to implement that pathway. In the latter part of the process,endorsement of the plan will be sought through city-council and town-meeting votes. During theprocess, vulnerable, diverse, and traditionally under-represented groups will have a place at thetable, together with business leaders, local governments, regional agencies, community-basedNGOs, and other actors. Clearly, the interests and perceptions of these various actors will differ.Also, the process of visioning and decision-making must accommodate both top-down and bottom-up dynamics. Top-down dynamics will reflect the concerns of regional agencies and state andfederal governments, which include global issues such as climate change, energy security, andbiodiversity. Bottom-up dynamics will reflect concerns that are salient in towns andneighborhoods, including issues related to housing, education, waste management, access totransportation, and other factors.

In this complex social environment, developing consensus on a preferred pathway forregional development, accompanied by actionable planning elements, is a major challenge. Tomeet the challenge, we will empower members of social networks across the region and willemploy state-of-the-art ICETs. Existing social networks will be involved and empowered by


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soliciting their inputs, enhancing their capacities, and linking them with each other. A professionalcadre of Community Sustainability Planners, assisted by youth apprentices, will facilitate thisprocess. Members of social networks will be involved via schools, community health centers,business associations, town governments, and other points of connection. For example, youth willbe engaged through high schools, assisted by teachers with an interest in sustainability.Sustainability Support Funds will be established that help to finance many small-scale local

initiatives demonstrating the benefits of sustainability planning.

Once people are engaged and empowered through social networks, they must grapple withthe complexities of sustainable development. Government agencies have articulated broad policiesof sustainability, such as the Livability Principles set forth in the NOFA, and entities such asICLEI have published guidance for sustainability planning. Yet, there is limited experience withtranslating sustainable-development policies into preferred pathways and actionable plans at localand regional levels. To assist the participating citizens as they pursue this task, we will providethem with data-management and ICET tools that are tailored for the task. These web-accessibletools will include a GIS-based Atlas and a Decision Support System. Using these tools infacilitated settings, participants will be able to quickly understand the future implications ofcontinuing an existing trend or choosing an alternative pathway. Those implications will beexpressed through an array of quantitative and qualitative indicators, many of which can bedisplayed graphically.

The Commonwealth of Massachusetts has established policies and programs related tosustainability, which will provide a framework for our regional planning work. For example, theGlobal Warming Solutions Act of 2008 specifies a process of setting Massachusetts-wide limits forgreenhouse-gas emissions at 10-year intervals from 2020 forward, culminating in a 2050 limit atleast 80 percent below the 1990 level. Our planning timeline will employ the same 10-year stepsfrom 2020 to 2050. Also, the Commonwealth has established principles for smart growth andsustainable development, which will provide general guidance for our work in CentralMassachusetts. State legislation now under consideration (i.e., CLURPA) would enhance the use

of the Commonwealths sustainability principles by local governments. Our planning work inCentral Massachusetts will provide a test-bed and showcase for the Commonwealths policies onsustainability, demonstrating that regional planning can meet local needs while being fullycompatible with sustainability planning at higher levels of government.

Major investments that enhance sustainability are already being made in our region. Forexample, the City Square project in downtown Worcester is a mixed-use, pedestrian-friendlydevelopment near the Union Station intermodal transportation center. This project involves $470million of private capital and $90 million of public investment. We are confident that ourproposed planning work will catalyze many such projects across a range of scales, leveragingsubstantial private investment, revitalizing the regional economy, and providing numerousemployment opportunities.

In sum, we will create an actionable, regional plan that integrates land use, economic &workforce development, transportation, and infrastructure investments. The plan will empowerand enable the diverse communities of Central Massachusetts to address interdependent challengesincluding: economic competitiveness and revitalization; social equity, inclusion, and access toopportunity; energy use and climate change; and public health and environmental impacts.


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TABLE OF CONTENTS

1. CAPACITY OF APPLICANT CONSORTIUM AND RELEVANT ORGANIZATIONALEXPERIENCE (Rating Factor 1)

(a) Organizational Capacities and Qualifications

(b) Capabilities and Qualifications of Key Personnel

2. NEEDS & EXTENT OF THE PROBLEM (Rating Factor 2)

(a) Overview Needs & Opportunities(b) Needs for Sustainability Planning in Central MA(c) Opportunities Accessible Through Sustainability Planning in Central MA(d) Project Objectives

3. SOUNDNESS OF APPROACH (Rating Factor 3)

3.0 BACKGROUND

3.1 GENERAL DESCRIPTION OF PROPOSED REGIONAL PLAN FOR SUSTAINABLEDEVELOPMENT

(a) General Contents of the Plan(b) Ways in Which this Plan Will Advance Sustainable Development in the Region(c) Use of Scenario Planning to Sharpen the Regional Visioning Process(d) Incorporating the Six Livability Principles(e) Response of the Plan to Needs Described in Section 2 (Rating Factor 2)(f) The Plans Leverage of Regional Economic Assets to Advance Sustainability

3.2 PROCESS TO DEVELOP A REGIONAL PLAN FOR SUSTAINABLEDEVELOPMENT

(a) Community Engagement Approach(b) Assessment of Existing Conditions and Trends(c) Data to be Used in Developing a Regional Vision(d) Strategy for Addressing Barriers to Sustainability(e) Achieving Regional Consensus in Support of the RPSD(f) Implementation Strategy for the RPSD(g) Establishing and Tracking Metrics of RPSD Implementation

3.3 GOVERNANCE AND MANAGEMENT

(a) Formal Structure of the Consortium(b) Roles of Consortium Members(c) Partner Commitments and Potential Partners(d) Data Management Plan(e) Ensuring Implementation of the RPSD


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3.4 PROJECT IMPLEMENTATION SCHEDULE

(a) Timeline for Developing the RPSD

3.5 APPLICANTS BUDGET PROPOSAL

3.6 HUDS DEPARTMENTAL POLICY PRIORITIES

3.6.1 CAPACITY BUILDING AND KNOWLEDGE SHARING

(a) Increasing the Skills and Technical Expertise of Partner Organizations(b) Sharing Knowledge Among Partners

3.6.2 EXPAND CROSS-CUTTING POLICY KNOWLEDGE

4. MATCHING AND LEVERAGING RESOURCES (Rating Factor 4)

5. ACHIEVING RESULTS AND PROGRAM EVALUATION (Rating Factor 5)

(a) Objectives, Milestones, and Metrics(b) Adaptive Management(c) Overall Project Evaluation

NOTE: Appendices are provided separately. These include a Bibliography. Documents cited hereare listed in that Bibliography.


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LIST OF ACRONYMS & ABBREVIATIONS

CHL Community Health LinkCLURPA Comprehensive Land Use Reform and Partnership ActCMMPO Central MA Metropolitan Planning OrganizationCMR Central MA Region

CMREB Central MA Regional Employment BoardCMRPC Central MA Regional Planning CommissionCP Community PlanningCPSD City Plan for Sustainable DevelopmentCR Community ResourcesCSF Community Support FundCSP Community Sustainability PlannerCWG Community Working GroupDHCD MA Department of Housing and Community DevelopmentDOT US Department of TransportationDSS Decision Support System

EIA Environmental Impact AssessmentEPA US Environmental Protection AgencyGHG Greenhouse GasGIS Geographic Information SystemsHUD US Department of Housing and Urban DevelopmentICET Information, Communication and Education TechnologyICLEI International Council for Local Environmental InitiativesIES Institute for Energy & SustainabilityIRSS Institute for Resource and Security StudiesIWRM Integrated Water Resource Management ActLP Livability Principles

LPSD Local Plan for Sustainable DevelopmentMA MassachusettsNEPA National Environmental Policy ActNOFA Notice of Funding AvailabilityRPSD Regional Plan for Sustainable DevelopmentSC Sustainable CommunitiesSD Sustainable DevelopmentSSF Sustainability Support FundUN United NationsVMT Vehicle Miles TraveledWPI Worcester Polytechnic Institute

WRTA Worcester Regional Transit Authority


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Narrative for Application to HUD from Central MA, August 2010Page 1

1. CAPACITY OF APPLICANT CONSORTIUM AND RELEVANT ORGANIZATIONAL

EXPERIENCE (Rating Factor 1)

(a) Organizational Capacities and Qualifications

Through the Applicant, Institute for Energy and Sustainability (IES), this Consortium makes a

Category 1 application for a Large Metropolitan Region. The region, described hereafter as CentralMassachusetts (MA), consists of the City of Worcester and 39 surrounding towns. This regioncorresponds to the jurisdictions covered by the Central MA Regional Planning Commission(CMRPC) and the Central MA Metropolitan Planning Organization (CMMPO). Figure 1 showsthe region and the six sub-regions specified by CMRPC.

Figure 1: The Central Massachusetts Region (CMRPC/CMMPO Region)

Our Consortium is a broad-based, multi-jurisdictional and multi-sector partnership that bringstogether government entities and non-profit partners. We meet the eligibility requirements of

Section III.A of the NOFA. The Consortium and its Members will perform the roles specified inSection III.B of the NOFA. A detailed description of the structure of our Consortium, and the rolesand responsibilities of its Members, is provided in Section 3.3 of this Application. Anorganizational chart is provided in Figure 2 (see below), and letters of commitment from confirmedConsortium Members appear in the Appendices.

Massachusetts is widely recognized as a leader in science and education, and a hub of innovationand entrepreneurship. Central MA is a consistent driver of this reputation, as evidenced by itsinternationally recognized universities, its record of breakthroughs in biotechnology and medicalscience, and its classic New England sense of hardiness a long-standing, local interpretation ofsustainability. In the current era, that tradition is manifested by widespread awareness of the

imperatives of sustainability, and a desire to seize the opportunities that sustainable developmentoffers. Major investments that enhance sustainability are already being made in Central MA. Forexample, the City Square project in downtown Worcester is a mixed-use, pedestrian-friendlydevelopment near the Union Station intermodal transportation center. This project involves $470million of private capital and $90 million of public investment. Our Consortium expects tocatalyze many future investments. We are:

Institute for Energy and Sustainability (IES) (Applicant) Clark University Central MA Regional Planning Commission (CMRPC)


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Central MA Metropolitan Planning Organization (CMMPO) City of Worcester Worcester Regional Transit Authority (WRTA) Worcester Polytechnic Institute (WPI) Central MA Regional Employment Board (CMREB) Community Health Link (CHL) MA Department of Housing and Community Development (Potential Member)

In combination, we have the diverse expertise, and the demonstrated ability to collaborate, that areneeded to respond to this NOFA. Consortium Members have extensive experience with relevantprojects. These include: leveraged state, federal and corporate partnerships (IES); multi-year,multi-jurisdictional planning (CMRPC); the $25 million Kilby-Gardner-Hammond communityrevitalization project (Clark University); the $20 million-plus rebuilding of Union Stationintermodal transportation center (City of Worcester); and serving the public-transportation needsof 35 communities (Worcester Regional Transit Authority). Members of the Consortium haveworked together in many ways. For example, IES is represented on the City of WorcestersEnergy Task Force, while Clark University hosts a building-energy working group that represents

IES, the City of Worcester, and various other entities. WRTA, the City of Worcester, andCMRPC are closely intertwined through a long history of transportation and community planningand data sharing. (Figure 2 Organization Chart appears on the following page.)

The Institute for Energy and Sustainability (IES) has the mission of expanding and attractingclean technology business and practice in Central MA. IES was founded in 2009 throughpartnerships and commitments involving Congressman Jim McGovern, MA Lt. Governor TimMurray, Clark University, Worcester Polytechnic Institute, and industry leaders including NationalGrid, Wal-Mart, and WinnCompanies.

Clark University was founded in 1887 as the first all-graduate school in the United States. It is aprivate, liberal-arts and research university, committed to scholarship that addresses social

imperatives in a global context. Clark enrolls approximately 2,200 undergraduate and 900 graduatestudents. Graduate students from around the world are engaged in innovative research thattransforms communities.

The Central Massachusetts Regional Planning Commission (CMRPC), formed in 1963, is thedesignated planning entity for the Central MA region. CMRPC provides municipal and regionalplanning for land use and transportation, as well as a variety of community development services,transit planning for the regions transit authority, geographic information services (GIS), and otherprograms.

The Central MA Metropolitan Planning Organization (CMMPO) was established in 1976 toundertake the comprehensive, continuing, and cooperative transportation planning process required

by the US Department of Transportation. CMRPC is one of ten members of the CMMPO and isalso the staff to CMMPO.

The City of Worcester offers residents the resources of a metropolis with the more livable scale ofa mid-size city. It has a remarkable concentration of world-class colleges and universities. With apopulation just over 180,000, it is home to 10 colleges and universities, with more in neighboringcommunities. Thirty-eight percent of jobs in the city are in education or medical fields, and 36percent of residents aged 25-34 have a bachelor or post-graduate degree.


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Figure 2: Organization Chart (See Section 3.3 for Details)


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The Worcester Regional Transit Authority (WRTA) serves a population of over half a million,in 35 communities. It maintains a fleet of 48 buses including 4 clean diesel-electric hybrid busesfor 23 fixed routes in Worcester and 10 of the surrounding communities. WRTA also providespara-transit service and other special services for the elderly and disabled in the region.

Worcester Polytechnic Institute (WPI), founded in 1865, is one of the nation's oldest

technological universities. WPI enrolls about 3,400 undergraduates and 1,100 graduate studentsand offers degree programs in science, engineering, business, the social sciences, and thehumanities and arts. WPI implements its tradition of theory and practice with an innovativeacademic structure that features the Global Perspective Program and rich project experiences.

The Central MA Regional Employment Board (CMREB) is a public/private partnership servingthe needs of employers and employees in Worcester and 37 surrounding communities. Its purposeis to develop and deploy systems that ensure individuals have the skills necessary to meet thedemands of regional employers, while also ensuring that employers have access to these skilledindividuals.

Community Health Link(CHL) is a multi-service, non-profit organization whose mission is to

promote, maintain, and restore the dignity, well being and mental health of individuals and familiesin Central MA. CHL serves more than 16,500 persons annually, and has partnered with HUD fornearly 20 years. Its personnel participate in many planning processes, representing the perspectivesof vulnerable, diverse, and traditionally under-represented populations.

(b) Capabilities and Qualifications of Key Personnel

Our Consortium includes a large body of capable, experienced personnel. Biographicalinformation about senior personnel is provided in the Appendices. To illustrate this diversecapability and experience, selected information about some key personnel is provided here.

Vincent DeVito (IES) is executive director of IES and an attorney with Bowditch & Dewey. Heserved as US Assistant Secretary of Energy for Policy and International Affairs, and holds a JD

from MA School of Law.

Megan DiPrete (CMRPC) is community development manager at CMRPC. She has more than20 years of relevant experience, and has worked as a town planner in several MA communities.She holds a Masters in Public Administration from the Univ. of New Hampshire.

Timothy Downs (Clark University) isan associate professor of Environmental Science and Policy.His areas of expertise include sustainability policy analysis and multi-stakeholder processes. Hereceived a PhD from the University of California at Los Angeles.

Joel J. Fontane, Jr. (City of Worcester) is director of Planning & Regulatory Services. Hisdivision provides analysis for the Citys community development, housing, and economicdevelopment programs. He holds a Masters in Urban Planning from NY State Univ. at Buffalo.

Yelena Ogneva-Himmelberger (Clark University) is an assistant professor of GIS for Developmentand Environment. Her areas of expertise include applications of GIS and remote sensing. Shereceived a PhD from Clark University.

Paula Gutlove (IRSS sub-contract to Clark University) is deputy director of IRSS. She has 25years of worldwide experience leading civic-engagement programs, for which she has beencommended by diverse bodies including the US Department of State and the Kellogg Foundation.


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Stephen ONeil (WRTA) is executive director of WRTA. Prior to joining WRTA, he spent thirtyyears working for the City of Worcester on economic development and neighborhood issues.

John A. Orr (WPI) is professor of Electrical and Computer Engineering, served as provost of WPIfrom 2007 to 2010, and chairs the WPI Presidents Task Force on Sustainability. He received aPhD in Electrical Engineering from the Univ. of Illinois, Urbana-Champaign.

Gordon Thompson (IRSS sub-contract to Clark University) is executive director of IRSS and asenior research scientist at Clark. His interests include a range of technical and policy issuesrelated to sustainability. He received a DPhil in applied mathematics from Oxford University.

Jeffrey T. Turgeon (CMREB) is executive director of CMREB. He has extensive experiencedesigning and implementing workforce development programs, some related to alternative energyand sustainability. Recently, he has overseen a $2M three-year USDOL grant.

Philip J. Vergragt (Clark University) is a professor emeritus of Technology Assessment at DelftUniv. of Technology, and a research professor at Clark. He obtained a PhD in chemistry fromLeiden University. His interests include technological innovation for sustainability.

Leah Bradley (CHL), MSW, LCSW,is director of Housing and Program Development for CHL.She analyzes the demographics and needs of the nearly 17,000 clients served by CHL each year.In addition, she manages over $4 million of HUD housing funding.

2. NEEDS & EXTENT OF THE PROBLEM (Rating Factor 2)

(a) Overview Needs & Opportunities

Rating Factor 2 measures (NOFA, page 39) the extent to which an Applicants proposed workaddresses documented challenges relating to the core purpose of the Sustainable CommunitiesRegional Planning Grant Program. The NOFA describes these challenges as deleterious impactsthat result from the absence of fully effective regional planning for sustainability in the geographyof the applying consortium. Thus, regional planning for sustainability can lead to the meeting of

needs that would otherwise go unmet, thereby improving the conditions of life in a region andreducing adverse impacts from human activities. In other words, sustainability planning canunlock opportunities for improved welfare and prosperity. Accordingly, our Consortium viewssustainability planning from the perspective of opportunities as much as we view it from theperspective of needs. That approach is reflected in the following discussion.

(b) Needs for Sustainability Planning in Central MA

The NOFA requires an Applicant to provide regional data in the following categories: HousingCosts; Environmental Quality; Transportation Access; Socioeconomic Inequity; EconomicOpportunity; Fresh Food Access; Healthy Communities; and Area of Severe Economic Distress.We provide the required data in the HUD form for Rating Factor 2.

Central MA has urban, rural, and intermediate areas, and is highly diverse in terms of economic,cultural, ethnic, and political indicators. The region exhibits adverse, sustainability-related trendsthat are shared by many communities across the United States. For example, a 2020 GrowthStrategy study by CMRPC identified problems including suburban sprawl, strip development, lossof farmland and forestland, and a lack of mechanisms to control development with regional impacts(CMRPC, 2004). In the present economic downturn, these problems are exacerbated byunemployment and economic insecurity, which are especially stressful for vulnerable populations.


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The present salience of sustainability as a public-policy issue began with the work of the WorldCommission on Environment and Development (WCED, 1987). During the subsequent years,citizens and governments have increasingly recognized the need to organize human affairs withinthe context of a finite Earth. One manifestation of that need is human-induced, adverse change inthe climate (IPCC, 2007). Other signs of stressed ecosystems are also evident. The Millennium

Ecosystem Assessment determined that 15 out of the 24 ecosystem services that it examined arebeing degraded or used unsustainably, including fresh water, capture fisheries, air and waterpurification, and the regulation of regional and local climate, natural hazards, and pests (MEA,2005). By abusing ecosystems in this manner, we deplete renewable resources that are essential tohuman life. Non-renewable resources are also being depleted. For example, a growing body ofanalysis predicts a peak in world oil production within the next few decades (GAO, 2007).

These problems are often global and long-term, and may not be immediately apparent in a CentralMA community. Yet, their indirect effects can be significant in our region. Economic insecurity,violent conflict, disease epidemics, rising energy prices, and a shifting balance of trade can directlyor indirectly threaten Central MA if the imperatives of sustainability are ignored. Conversely, alocal commitment to sustainability would address local problems, help to insulate our region from

global problems, create new economic opportunities, improve the quality of life, and providemodels for wider application.

(c) Opportunities Accessible Through Sustainability Planning in Central MA

In MA, we are fortunate that the Commonwealth of MA government has active programs topromote sustainability. These programs are guided by sustainable-development principles,articulated by the MA Governors office, under the following headings: (i) Concentratedevelopment and mix uses; (ii) Advance equity; (iii) Make efficient decisions; (iv) Protect land andecosystems; (v) Use natural resources wisely; (vi) Expand housing opportunities; (vii); Providetransportation choice; (viii) Increase job and business opportunities; (ix) Promote clean energy; and(x) Plan regionally.

The Commonwealths statutes, policies, and programs will provide a framework for our regionalplanning work. For example, the Global Warming Solutions Act of 2008 specifies a process ofsetting MA-wide limits for greenhouse-gas emissions at 10-year intervals from 2020 forward,culminating in a 2050 limit at least 80 percent below the 1990 level. Our planning timeline willemploy the same 10-year milestones from 2020 to 2050. State legislation now under consideration(i.e., CLURPA) would enhance the use of the Commonwealths sustainability principles by localgovernments. Our planning work in Central Massachusetts will provide a test-bed and showcasefor the Commonwealths policies on sustainability, demonstrating that regional planning can meetlocal needs while being fully compatible with sustainability planning at higher levels ofgovernment.

(d) Project ObjectivesConsistent with the preceding discussion of needs and opportunities, our Consortium will pursuethree categories of objectives in the context of this Application. Ourfirst category of objectives isto conduct Consortium Activities over the 3-year duration of the planning project that we proposehere. Oursecond category of objectives is to achieve, by the date of completion of ConsortiumActivities, a set ofPlanning Outcomes. One such outcome will be a Regional Plan for SustainableDevelopment (RPSD). That plan will flow from, and be accompanied by, strengthening ofvisioning and planning capabilities in municipalities and many other entities across Central MA.The strengthened capabilities will also be Planning Outcomes. Ourthird category of objectives is


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to promote Sustainability Outcomes. Some of those outcomes may occur during this project, butmost will occur after project completion. All will occur within our planning horizon of 2050. TheRPSD and the accompanying strengthened capabilities in Central MA will provide the initial basisfor achieving the Sustainability Outcomes. Members of our Consortium expect to play significantroles in advancing those outcomes over the coming decades.

Consortium Activities will include the eleven types of Eligible Activities specified in Section III.Eof the NOFA (pp 22-28) with the exception of type No. 8 (Engage in site-specific planning anddesign of capital projects or programs), which applies to Category 2 Applicants only. Details ofConsortium Activities are provided in Sections 3-5 of this Application.

The Planning Outcomes and Sustainability Outcomes that we seek are in three groups. The firstgroup consists of eight Mandatory Outcomes specified by HUD in Section V.A of the NOFA(page 58) and with slightly different language in Section I.E (pp 9-10). The second group consistsof outcomes from a list (with eleven entries) ofAdditional Potential Outcomes Identified byHUD, which appears in Section V.A of the NOFA (pp 58-59). The third group consists ofGeneral Outcomes Identified by Our Consortium.

We will, of course, seek the Mandatory Outcomes. The Additional Potential Outcomes Identifiedby HUD are interdependent, and would all be expected to flow from the implementation of awell-crafted, holistic RPSD. Accordingly, we will seek each of these outcomes. We will alsoseek the General Outcomes Identified by Our Consortium. The Planning Outcomes in that groupinclude the RPSD and enhancement of various regional capabilities, as discussed above. TheSustainability Outcomes in that group may evolve during the project. At present, they are: (i) Areversal of the present adverse trends in sustainability of ecosystem services directly andindirectly pertaining to Central MA; (ii) A trend of reduced emissions of greenhouse gasesdirectly and indirectly attributable to Central MA; (iii) A trend toward diminished depletion ofnon-renewable resources directly and indirectly used by Central MA; (iv) A trend of economicdevelopment in Central MA that enhances prosperity, opportunity, and satisfying employment

across all sectors and social groups; (v) A trend in evolution of physical and social infrastructurethat improves the quality of life across all social groups; and (vi) Functioning of Central MA as ashowcase and test-bed for sustainability options including those promoted by the Commonwealthof MA.

3. SOUNDNESS OF APPROACH (Rating Factor 3)

3.0 BACKGROUND

Planning for sustainability starts with recognizing the legitimate, local needs of diverse groups ina population while also recognizing the supra-local and global nature of many present challenges,such as adverse climate change. For many people, concepts of livability focus on local needs

such as access to affordable housing, healthy food, options for public and private transportation,jobs, and education. These needs, which are undoubtedly important, must be viewed togetherwith other important goals, such as reducing greenhouse gas emissions, protecting biodiversity,and promoting healthy and sustainable lifestyles. Grappling with these diverse needs requiresplanning in more than the traditional sense. The process will involve capacity building, publiceducation, and carefully facilitated visioning exercises through which the various stakeholdersrecognize a common, sustainable vision for a region, embedded in a vision of a larger, sustainablesociety. Such a process can, and should, build upon the existing assets that support regionalplanning.


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3.1 GENERAL DESCRIPTION OF PROPOSED REGIONAL PLAN FOR

SUSTAINABLE DEVELOPMENT

(a) General Contents of the Plan

Section III.E of the NOFA indicates (pp 22-26) that our RPSD should, at a minimum, encompass:

(i) Adoption of a housing plan; (ii) Incorporation of equity and fair housing analysis into regionalplanning; (iii) Regional transportation planning; (iv) Water infrastructure planning; (v)Environmental planning; (vi) Planning for economic development activities; (vii) Scenarioplanning; and (viii) Comprehensive climate change impact assessment.

Our Consortium will address these and a range of other imperatives. Moreover, the process wewill employ to create the RPSD over a 3-year period will strengthen relevant capabilities forvisioning, pathway assessment, and actionable planning in municipalities and many otherentities across Central MA. The RPSD and the accompanying, enhanced capabilities will bePlanning Outcomes, as discussed in Section 2(d), above. Those outcomes will establish a basisfor pursuit ofSustainability Outcomes over a timeline of 10-year steps from 2020 to 2050. Thevarious Planning Outcomes and Sustainability Outcomes that we will pursue are in three groups

as described in Section 2(d).

Working with many stakeholders, our Consortium will create a general RPSD with coordinatedelements across sectors (housing, transport, water, sanitation, energy, public health, etc.) andjurisdictions (towns, or sub-regions of the Central MA region). The plan will call for an array ofspecific actions and will identify funding streams for those actions.

To encourage community engagement in the planning process, we will divide the Central MAregion into six sub-regions. The City of Worcester will be one of these sub-regions. Boundariesof the sub-regions may conform to the existing CMRPC sub-regions shown in Figure 1. ACommunity Sustainability Planner (CSP) will be employed by our Consortium to serve each sub-region. The six CSPs will work with local stakeholders to develop planning elements specific to

the sub-regions. Those planning elements will have some of the attributes of a complete, sub-regional plan. Worcester, in particular, is likely to have a well-developed sustainability plan for itsterritory. The various planning elements, for sectors and jurisdictions, will be combined into amulti-layered, overall plan for Central MA.

Thus, the RPSD will be a synthesis of smaller-scale or sector-specific planning elements.Mutually reinforcing planning efforts will operate in parallel to inform each other. Necessarily,national and international scales will be used for the larger geo-political and ecological contexts inwhich the region resides. The RPSD and its constituent elements will answer seven basicquestions: (i) What is to be done (topics, activities); (ii) how will it be done(methods/approach/process); (iii) where (settings); (iv) when (timeline); (v) with whom(stakeholders); (vi) why (justification); and (vii) with what resources (people, information,

funding, technology)?

As discussed in Section 2(c) of this Application, statutes, policies, and programs of theCommonwealth of MA will provide a framework for our regional planning work. Thatframework includes the ten sustainable-development principles articulated by the MA Governorsoffice, and the Global Warming Solutions Acts planning timeline of 10-year intervals from 2020to 2050. Our RPSD will reflect those principles and use that timeline.

Various other sources of knowledge will guide the creation of the RPSD. One source will be theSustainability Planning Toolkit developed by ICLEI-Local Governments for Sustainability USA in


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collaboration with the City of New York's Mayor's Office of Long-Term Planning andSustainability. Another source will be the landmark Agenda 21 document produced by the firstEarth Summit in Rio de Janeiro in 1992. A third source will be the 1969 National EnvironmentalPolicy Act (NEPA) impact-assessment model that is applied to predict and mitigate significantimpacts of development actions. The NOFA will be a fourth source.

From such sources, one can readily prepare a list of issues to be addressed in sustainabilityplanning. The list would include energy use, public health, housing, land use, transportation,potable water, economic revitalization, social equity, and many other issues. While such lists canbe helpful, a systems-based approach is needed to integrate issues so as to reveal interconnectionsand synergies among them. That approach can show how a particular planning measure or set ofmeasures can achieve multiple objectives, sometimes at surprisingly low cost. Our planningprocess will consistently employ a systems-based approach.

In sum, our Consortium will create an actionable, regional plan that integrates land use, economic& workforce development, transportation, and infrastructure investments. The plan will empowerand enable the diverse communities of Central Massachusetts to address interdependent challengesincluding: economic competitiveness and revitalization; social equity, inclusion, and access toopportunity; energy use and climate change; and public health and environmental impacts.

(b) Ways in Which this Plan Will Advance Sustainable Development in the

Region

Our RPSD, and the process that creates it, will advance sustainable development in Central MA infour major ways. First, the RPSD itself will provide a roadmap to guide sustainable-developmentinvestments during the period up to 2050. Second, the visioning process underlying the RPSDwill show the multiple benefits that would flow from appropriate investments. Third, the processthat creates the RPSD will strengthen visioning and planning capabilities across Central MA,which will greatly facilitate implementation of the RPSD over the coming decades. Fourth,

extensive engagement and empowerment of diverse stakeholders during the planning process willcreate buy-in, build trust, and establish a shared commitment to the plan.

As discussed in Section 3.1(a) above, the RPSD will be an actionable plan with coordinatedelements across sectors and jurisdictions. It will call for an array of specific actions and willidentify funding streams for those actions. Its planning horizon of 2050 is far enough ahead toallow long-term anticipatory action, but not so far as to render scenarios unrealistic and modelpredictions too uncertain. Within that horizon, people can feel a sense of meaningful connectionto their childrens and grandchildrens futures.

The coordinated elements of the RPSD across sectors and jurisdictions will apply at overlappingscales. That approach is necessary for socio-political and technical reasons. Most people relate

best to their local area and its issues. This is especially true in the case of vulnerable groups, forwhom local neighborhood assets and liabilities govern their health and well-being. At the sametime, jurisdictions and institutions (e.g., the City of Worcester, CMRPC, HUD) operate at largerscales. Most, if not all, sustainable-development issues (e.g., water, energy, transport, climatechange) have different meanings at different scales. For example, integrated water resourcemanagement (IWRM) has one meaning at watershed scale, another from the perspective of atowns water demand, and yet another in the context of a regional water supply system.

Our capacity-building efforts will also proceed at overlapping scales. For example, consistentwith sustainable-development theory and practice (Downs, 2007; Downs, 2008), our planning


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basis for a more detailed, precise set of criteria, which we will develop with engaged stakeholdersthrough an interactive, iterative process. Our outcome objectives, discussed in Section 2(d) ofthis Application, will provide a further basis for criteria development.

(e) Response of the Plan to Needs Described in Section 2 (Rating Factor 2)

Section 2 of this Application describes needs and opportunities for sustainability planning inCentral MA. From these needs and opportunities, we have distilled project objectives as discussedin Section 2(d). Those objectives, which include the pursuit of Planning Outcomes andSustainability Outcomes, will set the fundamental direction of our visioning and planning work.Given that context, our RPSD will necessarily respond to the needs described in Section 2.Moreover, as our visioning and planning unfolds, and engages a growing number of stakeholders,the needs will be specified with progressively greater precision and accordance with stakeholderperspectives. Needs and priorities for action will be determined across a range of scales:neighborhood; town; city; and region. Those fine-grained needs and priorities will drive theelements of our RPSD.

(f) The Plans Leverage of Regional Economic Assets to Advance

Sustainability

As mentioned in Section 1(a), above, major investments that enhance sustainability are alreadybeing made in Central MA, such as the City Square project in downtown Worcester. OurConsortium expects to catalyze many future investments. Those investments will build on theregions existing assets, which include vibrant intellectual centers such as WPI and ClarkUniversity. Consortium Members and some of the stakeholders whom we will engage haveexpertise in accessing and mobilizing additional local, regional, state, and national economicassets that can support new investments. These assets include public- and private-sectorinvestment agencies and entities, as well as non-profit agencies with a sustainable-developmentfocus. Diversified funding sources foundations, federal, state, and local granting agencies, andprivate investors and venture capitalists will be key players in the assessment, planning, and

capacity-building enterprise.

To illustrate regional opportunities, sustainable development of the City of Worcester willinevitably involve brown-fields redevelopments. These sites are traditionally viewed as liabilitiesbut can be transformed into assets. Doing so as an integral part of a regional planning processwill allow investors to more fully understand the positive and negative impacts of alternative uses.More generally, Central MA has exciting and powerful potential as a new green-businessepicenter home to a new Green Innovation Revolution just as it was the heartland of the USIndustrial Revolution in the 1800s.

3.2 PROCESS TO DEVELOP A REGIONAL PLAN FOR SUSTAINABLE

DEVELOPMENT

(a) Community Engagement Approach

A basic premise of our proposal is that diverse social actors can work in concert to achieve newgoals that are broadly beneficial. Specifically, we will engage and assist diverse stakeholders toassess prevailing trends, envision alternative futures, compare the costs and benefits of alternativepathways to the future, choose a regional-development pathway that is comparatively sustainable,and create an actionable RPSD to implement that pathway. During the process, vulnerable,diverse, and traditionally under-represented groups will have a place at the table, together withbusiness leaders, local governments, regional agencies, community-based NGOs, and other


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actors. Clearly, the interests and perceptions of these various actors will differ. Also, the processof visioning and decision-making must accommodate both top-down and bottom-up dynamics.Top-down dynamics will reflect the concerns of regional agencies and state and federalgovernments, which include global issues such as climate change, energy security, andbiodiversity. Bottom-up dynamics will reflect concerns that are salient in towns and

neighborhoods, including issues related to housing, education, waste management, access totransportation, and other factors.

In this complex social environment, developing consensus on a preferred pathway for regionaldevelopment, accompanied by actionable planning elements, is a major challenge. To meet thechallenge, we will empower members of social networks across the region and will employ state-of-the-art information, communication, and education technologies (ICETs). Existing socialnetworks will be involved and empowered by soliciting their inputs, enhancing their capacities,and linking them with each other. Relevant social networks will include members of parent-teacher associations (PTAs), chambers of commerce, groups that campaign for environmentalprotection, and a host of others. These diverse social entities represent a vast pool of socialcapital that is deeply rooted in the history of the United States. We intend to mobilize this social

capital for the task of creating a RPSD, to enhance the pool of social capital in significantrespects, and to create a framework that directs this capital to the decades-long task of sustainabledevelopment in Central MA.

Thus, innovative, substantive community engagement is a sine qua non for creation of our RPSD.Without such engagement, the planning process will not succeed, and will end in frustration likemany well-intentioned efforts in the past. An important lesson from the fields of community-scale and international development, is that all stakeholders including local residents andmarginalized groups with much to gain and lose, but also business leaders, policy makers andregulators must feel a shared sense of ownership of the planning process and its outcomes. Thenecessary joint ownership can only stem from meaningful involvement in all phases of theassessment and planning process, and its outcomes. Our community-engagement approachincludes two major features designed to meet this requirement.

First, we will hire, train and coordinate a team of six Community Sustainability Planners, eachrepresenting one of the six sub-regions described in Section 3.1(a) of this Application. The CSPswill connect in meaningful ways with their local communities, organize local capacity building,facilitate visioning and planning sessions, and promote local sustainability demonstrationprojects. They will wear the face of local communities and be trusted, respected members ofthose communities. Consortium members will mentor and train the CSPs, and graduate studentsfrom Clark University will support their work in the respective communities. The CSPs will eachreceive training from Clark University in community sustainability planning during the course ofthis project, potentially leading to certification, and will be trained to train others in this role,

which will serve to propagate capability in sustainability planning. The CPSs will be pivotalassets who will engage and support many local actors (e.g. town boards of selectmen) andnetwork vigorously in their sub-regions.

Second, we will establish two Sustainability Support Funds (SSFs) to support stakeholderengagement in sustainability planning. These Funds are described in Section 3.3(a) of thisApplication. The Community Sustainability Support Fund will provide financial support formany, small-scale, local initiatives demonstrating the benefits of sustainability planning in thisregion. The Town Sustainability Support Fund will provide financial support to towns inCentral MA for activities related to sustainability planning.


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Together, the CSPs and the two Funds will support a wide-ranging effort to identify, engage, andempower the broadest possible cross-section of local actors. Special attention will be given totraditionally marginalized groups, including minorities, low-income and economicallydisadvantaged communities, youth, seniors, recent immigrants, and refugees. Part of theoutreach effort will include after-school offerings at high schools to engage youth. High-school

teachers will be offered training by Clark University, potentially leading to certification to runbroad-based sustainability awareness and action programs. Clark graduate students willparticipate in after-school programs and assist teachers in running them. Youth participation willprovide eligibility for summer employment as part of a Youth Sustainability Corps, which willwork with the CSPs to engage in broad public outreach, education, and engagement in support ofthe planning process. The CSPs will connect with social networks through a variety of accesspoints including libraries, senior centers, houses of worship, VFW centers, Rotary groups, etc.The CSPs will also connect in other ways with each other, with Consortium Members, and withInvolved Stakeholders.

Our general approach is informed by community-health and disaster-relief efforts thatsuccessfully employ networking processes. From our considerable experience of community-

based research and planning (Downs et al, 2009; Gutlove and Thompson, 2006), we know thatfostering trust and communication is fundamental to a successful partnership, and that this beginswhen facilitators (CSPs, in this instance) listen respectfully to people expressing needs, interests,and concerns in their own terms. We will employ facilitated dialogue and listening sessions toshare information about the full spectrum of sustainable-development issues from employmentto ecology and reveal points of contact between what local people care about most, the termsthey use, and the interests of other stakeholders.

(b) Assessment of Existing Conditions and Trends

The central thrust of our proposed project is to engage and assist diverse stakeholders so as toassess prevailing trends, envision alternative futures, compare the costs and benefits of alternative

pathways to the future, choose a regional-development pathway that is comparatively sustainable,and create an actionable RPSD to implement that pathway.

Thus, assessment of existing conditions and trends is the first step in a visioning and planningprocess that will culminate in an actionable, widely-endorsed RPSD. Figure 3 (see below)provides a flow chart for the process we envision. Details of the flow chart will evolve as theproject unfolds, consistent with our use of adaptive management (see Section 5 of thisApplication). As shown in Figure 3, the first nine steps will yield the RPSD. Steps 10 and 11,which will occur after completion of our project, will address RPSD implementation, monitoring,evaluation, and iterative adaptation.

During the assessment of existing conditions and trends, Consortium personnel will work closely

with many regional and sub-regional stakeholders to gather baseline data for chosen indicators.The same indicators, and the accompanying data, will be carried forward through the full process.For example, they will be used to compare the sustainability of alternative scenarios. They willalso be used for post-implementation monitoring. In this way, metrics and their accompanyingdata will be applied strategically, coherently and cost-effectively. Historical data and officialforecasts will be used to establish trends. GIS will represent spatial-temporal trends in map layersshowing different times and spatial distributions. Baseline data will include information aboutexisting plans (e.g., town master plans, CMRPC transportation plans).


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Figure 3: Process for Visioning, Plan Development, and Implementation


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(c) Data to be Used in Developing a Regional Vision

As mentioned in Section 3.2(b), above, the indicators and data used to assess existing conditionsand trends will be carried forward through the full process of visioning and planning. Additionalindicators and data will be added as necessary, in a manner that is consistent with the taxonomy ofthe initial indicators. As shown in Figure 3, ongoing consideration of indicators and data needs

will be built into the process.

During the project period, Consortium operations will involve the acquisition, generation, andmanagement of large amounts of data. Relevant data will consist of quantitative and qualitativeinformation, much of which can be displayed graphically. Section 3.3(d) of this Applicationdescribes how data will be acquired, archived, and made available through web-accessible ICETtools tailored for this project.

(d) Strategy for Addressing Barriers to Sustainability

One potential barrier to a sustainable-development transition is lack of public awareness of needsand opportunities for sustainability. Our community-engagement approach, described in Section3.2(a) of this Application, is designed to overcome this barrier. The approach is highly innovative,and to our knowledge is unique in the United States in its scope and scale.

Another potential barrier is misalignment of our process with existing frameworks (statutes,regulations, policies, institutions, practices, etc.) that influence planning. To overcome this barrier,we will take great pains to ensure that our RPSD and its elements are actionable within existingframeworks. For example, as shown in Section 3.3(b) of this Application, CMRPC will mentorConsortium colleagues, CSPs, and engaged stakeholders regarding planning opportunities andconstraints, and will review planning elements and the overall plan as they emerge from thevisioning process, to ensure that they are actionable.

A third potential barrier is the perception or reality of significant negative impacts accompanyingan alternative pathway. Relevant impacts could include residential and small-business

displacement, or loss of jobs in one sector if priority is assigned to another sector. These, like othersignificant negative impacts, will be revealed, alongside positive ones, during our scenario-assessment process. Alternatives will be compared comprehensively and openly using stakeholder-chosen, sustainability-based impact criteria. Tradeoffs among alternatives will be made explicit,and decisions supported by the analysis will be made transparently. Once a preferred scenario ischosen, the RPSD will provide for mitigation of negative impacts.

(e) Achieving Regional Consensus in Support of the RPSD

As discussed in Section 3.2(a), above, a basic premise of our proposal is that diverse social actorscan work in concert to achieve new goals that are broadly beneficial. We recognize, however, thatdeveloping consensus on a preferred pathway for regional development, accompanied by

actionable planning elements, is a major challenge. To meet that challenge, we will empowermembers of social networks across the region and will employ state-of-the-art ICETs. Existingsocial networks will be involved and empowered by soliciting their inputs, enhancing theircapacities, and linking them with each other. A professional cadre of Community SustainabilityPlanners, assisted by youth apprentices, will facilitate this process. The CSPs, and otherConsortium personnel, will assign a high priority to consensus building. Training in relevant skillswill be provided to Consortium personnel and participating stakeholders. During the third phase ofRPSD development, as discussed in Section 3.4(a) of this Application, consensus-building


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Worcester Polytechnic Institute (WPI) (Consortium Member) Central MA Regional Employment Board (CMREB) (Consortium Member) Community Health Link (CHL) (Consortium Member) MA Department of Housing and Community Development (DHCD), MA Executive Office

of Housing and Economic Development (Potential Consortium Member)

Routine decisions regarding the Consortiums activities will be made by an Executive Committeewith equal representation from IES and Clark University. Higher-level decisions will be made by aConsortium Council consisting of the Executive Committee and a representative from eachConsortium Member other than IES and Clark University. Bylaws for the Executive Committeeand the Consortium Council will be established prior to commencement of Consortium operations.These bylaws will specify, among other requirements, that the perspectives ofvulnerable, diverse,and traditionally under-represented populations are given full consideration in all aspects ofConsortium operations. Also, Consortium Member Community Health Link will, as one of itsspecific tasks, review Consortium activities and work products to ensure that they account for theseperspectives.

Our Consortium will employ Community Sustainability Planners (CSPs) who will engage with adiverse array of stakeholders through existing social networks. The Consortium will operate aCommunity Sustainability Support Fund that provides financial support for many small-scalelocal initiatives demonstrating the benefits of sustainability planning in this region. Also, theConsortium will operate a Town Sustainability Support Fund that provides financial support totowns in this region for activities related to sustainability planning. Decisions about the allocationof financial support from these two Funds will be made by a Funds Committee appointed by theConsortium Council. Funding criteria will be specified by the Council. Those criteria will includea provision that the perspectives of vulnerable, diverse, and traditionally under-representedpopulations are given full consideration.

Many Involved Stakeholders will be engaged by the Consortium. Although not part of the formal

structure of the Consortium, they will play vital roles in sustainability planning. The InvolvedStakeholders will include:

Worcester and the 39 towns in the CMMPO region (Note: Worcester is also a ConsortiumMember, and towns may receive support from the Town Sustainability Support Fund.)

Members of many, diverse social networks in the region (Note: Entities within these socialnetworks may receive support from theCommunity Sustainability Support Fund.)

MA Governors Development Cabinet (Note: This Cabinet brings together the MASecretariats for Transportation, Labor and Workforce Development, Administration andFinance, Energy and Environmental Affairs, and Housing and Economic Development.)

(b) Roles of Consortium Members

Roles and responsibilities of each Consortium Member are articulated below. We expect someevolution of these roles during Consortium operations, consistent with our use ofadaptivemanagement (see Section 5 of this Application) as a key organizing principle of those operations.The major roles of each Member, as anticipated at the date of this application, include:

Institute for Energy and Sustainability:

Coordinate administration, management, and operations Interface with HUD, DOT, and EPA Accounting and reporting


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Public affairs and outreach (esp. via a website and new media) Liaison with MA agencies Employment and oversight of 6 Community Sustainability Planners Fiscal management of the Community & Town Sustainability Support Funds Contract for an independent consensus-building process in the 3 rd project year, to ensure

cross-regional buy-in to final regional plan Contract with a managing editor to prepare a complete, final version of the regional plan

Clark University:

Coordinate programs Oversee community-engagement activities, including program management of 6

Community Sustainability Planners, the Community and Town Sustainability SupportFunds

Develop and deploy information, communication, and education technology (ICET)packages, including a GIS-based Atlas and a Decision Support System

Scientific, technical, and data-management support of trend analysis, scenario developmentand assessment, back-casting, and ICETs

Guide convergence of the visioning and back-casting process toward actionable planningelements, incorporating review from CMRPC

Compile text, with contributions from all Consortium Members, for planning elements andthe overall, regional plan

Coordinate adaptive-management processes within Consortium operations Compilation, publication, and dissemination of outcomes & findings

Central MA Regional Planning Commission:

Mentor Consortium colleagues, CSPs, and engaged stakeholders regarding planningopportunities and constraints

Participate in the visioning process, and in articulation of actionable planning elements andthe regional sustainability plan

Review planning elements and the overall plan as they emerge from the visioning process,to ensure that they are actionable

Liaison with Worcester and the 39 towns Endorsement (subject to vote) of the regional sustainability plan

Central MA Metropolitan Planning Organization:

Represent the CMMPO region within the Consortium Endorsement (subject to vote) of the regional sustainability plan

City of Worcester:

Employment of 1 Senior Sustainability Planner Assist Clark University in scenario development Participate in the visioning process, and in articulation of actionable planning elements and

the regional sustainability plan Facilitate community initiatives supported by the Community Sustainability Support Fund Endorsement (subject to vote) of the regional sustainability plan

Worcester Regional Transit Authority:

Survey transport trends and identify opportunities to enhance sustainability Assist Clark University in scenario development, and in assessing the transport implications

of alternative scenarios


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Small-scale pilot testing of new transport optionsWorcester Polytechnic Institute:

Technical assistance, review, and testing regarding ICET packages and data management Technology support for pathway visioning via interactive games Facilitate related research and education projects by WPI faculty and students

Central MA Regional Employment Board:

Survey general and green job opportunities in the region Assist Clark University in assessing the employment implications of alternative scenarios Test mechanisms for job training and placement related to sustainability opportunities

Community Health Link:

Represent vulnerable, diverse, and traditionally under-represented groups within theConsortium

Work with the CSPs to identify stakeholders from vulnerable, minority, and low-incomepopulations to engage in visioning and planning

Assist Clark University in assessing the societal-health implications of alternative scenariosMA Department of Housing and Community Development:

Interface with MA Governor's Development Cabinet Mentoring and review of the Consortiums regional planning process Endorsement (subject to decision) of the regional sustainability plan

We also expect that Involved Stakeholders will perform a number of roles, such as the following:

Worcester and the 39 Towns in the CMMPO Region:


Facilitate community initiatives supported by the Community Sustainability Support Fund Conduct activities supported by the Town Sustainability Support Fund Endorsement (subject to vote) of the regional sustainability plan

Members of Many, Diverse Social Networks in the Region:


Conduct many local initiatives supported by the Town and Community SustainabilitySupport Funds

MA Governors Development Cabinet:

Mentoring and review of the Consortiums regional planning process Endorsement (subject to decision) of the regional sustainability plan

(c) Partner Commitments and Potential Partners

Each formal partner (Member) now in the Consortium is committed to proceed with the activitiesdescribed here, as indicated by the commitment letters provided in the Appendices. The MADepartment of Housing and Community Development is a potential Member. At present, there isno intention to recruit additional Members. If a need for such additional Members is identified, and


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suitable entities are interested, their addition to the Consortium will be negotiated through theConsortium Council.

We are eager to recruit additional, informal partners in the category of Involved Stakeholders.These could be public or private entities of many different kinds. A major function of theCommunity Sustainability Planners will be to engage and work with a wide variety of entities in

this category. If an entity wishes to make a large contribution in support of the Consortiumsmission such as a substantial foundation or corporate grant to a related project that contributionwill be reviewed by the Consortium Council to ensure that it is appropriate.

(d) Data Management Plan

Consortium operations will involve the acquisition, generation, and management of large amountsof data. These data will allow participating stakeholders to assess prevailing trends, envisionalternative futures, compare the costs and benefits of alternative pathways to the future, choose aregional-development pathway that is comparatively sustainable, and create a plan to implementthat pathway. Relevant data will consist of quantitative and qualitative information, much of whichcan be displayed graphically.

Clark University will receive relevant data from Consortium partners and many other sources, willarchive these data with appropriate backup, and will make them available through web-accessibleICET tools tailored for this project. A GIS-based Atlas will be a primary access point for data, anda means of visualizing data. A Decision Support System will access and process data to supporttrend analysis, scenario development and assessment, and back-casting. WPI will support Clarkswork in this area through technical assistance, review, and testing regarding ICET packages anddata management. All data will be web-accessible and generally available to the public, althoughdata related to work in progress may be password-protected until the work is completed and dataare validated.

(e) Ensuring Implementation of the RPSD

Implementation of the RPSD will be ensured by a four-part process. First, extensive engagementand empowerment of diverse stakeholders will create and maintain buy-in, build trust, and create ashared commitment to the plan. Second, systematic attention will be given to generating planningelements, and an overall plan, that are actionable within existing or anticipated laws, regulations,and institutions. Third, planning elements will be assessed for economic feasibility, and fundingstreams to support them will be identified. Fourth, endorsement of the plan will be sought throughcity-council and town-meeting votes, to ensure durable commitments to implementation byjurisdictions across the region. We expect variations in the specificity of endorsement resolutions.Endorsement of the RPSD will also be sought from the CMRPC, the CMMPO, the MA GovernorsDevelopment Cabinet, and other public and private entities.

3.4 PROJECT IMPLEMENTATION SCHEDULE

(a) Timeline for Developing the RPSD

As discussed in Section 2(d) of this Application, we have three categories of objectives. Eachcategory has an accompanying timeline. The first category is to conduct Consortium Activitiesover the 3-year duration of the project. The second category of objectives is to achieve, by thedate of completion of Consortium Activities, a set ofPlanning Outcomes. One such outcome willbe the RPSD. Another will be the strengthening of visioning and planning capabilities inmunicipalities and other entities across Central MA. The third category of objectives is to


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promote Sustainability Outcomes. Some of those outcomes may occur during this project, butmost will occur after project completion. All will occur within our planning horizon of 2050. TheRPSD will set forth a process and timeline for pursuit of Sustainability Outcomes, linked to theprocess and timeline specified in the MA Global Warming Solutions Act of 2008.

Consortium Activities will include: stakeholder engagement in visioning and planning;

sustainability demonstration projects; scenario development and assessment; and consensus-building and endorsement of the RPSD. These activities will proceed according to a Work Planwith a timeline divided into quarters (3-month periods) over the 3-year duration of the project. Anarray of tasks will be specified in the Work Plan, linked to: (i) the completion of work products;and (ii) the roles and responsibilities of Consortium Members. Development of the RPSD willinvolve work in three phases of concentration, which will feature peaks of effort during the first,second, and third years, respectively. During the first phase, stakeholders will be engaged andempowered, the visioning and planning process will be set in motion and refined, and stakeholderswill agree on needs, priorities, and metrics. During the second phase, a number of scenarios will bedeveloped and assessed, stakeholders will converge on a preferred scenario, and the elements of theRPSD will begin to take shape. During the third phase, the elements of a RPSD will be refined, a

consensus-building process will merge those elements into a broadly-supported RPSD, andendorsement of the RPSD will be obtained from Worcester, the 39 towns, and other actors.Locally-initiated demonstration projects will occur during all three phases.

Given the division of our Work Plans timeline into quarters, it will be straightforward to respondto HUDs interest in benchmarks for progress at 6-, 12-, and 24-month intervals, as evidenced inthe NOFA and the form for Rating Factor 5. Our articulation of a detailed Work Plan will occurduring the first quarter of the project. At that time, it will be possible to match the Work Planprecisely with the personnel availability and other obligations of each Consortium Member, and toincorporate the perspectives of key stakeholders. Consistent with our use of adaptive management,as discussed in Section 5 of this Application, the Work Plan is designed to evolve during the

project period. To illustrate the nature of our Work Plan, the Appendices contain a document titledProvisional Work Plan for Citizen Engagement, Visioning, and Planning.

3.5 APPLICANTS BUDGET PROPOSAL

Our Consortiums budget for this Application is provided separately. The amount requested fromHUD is within the $5 million limit for a Large Metropolitan Region. As discussed in Section 4 ofthis Application, Members of our Consortium have identified substantial resources that will matchthe funds requested from HUD. In addition, as further discussed in Section 4, our approach tocreating a RPSD will mobilize a large amount of social capital, thereby substantially increasing thepositive impacts of HUD funding.

3.6 HUDS DEPARTMENTAL POLICY PRIORITIES3.6.1 CAPACITY BUILDING AND KNOWLEDGE SHARING

(a) Increasing the Skills and Technical Expertise of Partner

Organizations

Members of our Consortium will substantially increase their skills and technical expertise duringthe project period, through two effects. First, the aggregate capabilities of the Consortium willgrow substantially. Second, capabilities will be transferred among the Members.


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Aggregate capabilities will grow because the Consortium will develop new tools, practices, andknowledge. For example, the ICET tools we develop will provide unprecedented capabilities tofacilitate visioning and planning. Our community-engagement programs will have a scope andscale beyond those of any similar programs in the United States to date. Capabilities will betransferred among the Members because they will work together intimately over a period of three

years.(b) Sharing Knowledge Among Partners

As mentioned in Section 3.6.1(a), above, there will be extensive knowledge sharing amongConsortium Members. In part, this will occur informally, through working together. In addition,there will be formal training and mentoring sessions. Finally, the data management plan discussedin Section 3.3(d) of this Application will support widespread sharing of knowledge, within andbeyond our Consortium.

3.6.2 EXPAND CROSS-CUTTING POLICY KNOWLEDGE

Our proposed project will, in addition to serving the needs of Central MA, provide a model for

wider application. More specifically, Central MA will provide that model within the context ofCommonwealth of MA statutes, policies, and programs related to sustainability. We intend thatCentral MA will be a showcase and test-bed for numerous sustainability options, including thosepromoted by the Commonwealth of MA.

Considerable cross-cutting policy knowledge will be generated by our activities. Much of thatknowledge will be embedded in data and analyses that will be web-accessible via the ICET toolsdescribed in Section 3.3(d) of this Application. In addition, researchers with Clark University,WPI, and other Consortium Members will develop scholarly literature that captures the newknowledge and makes it widely available.

4. MATCHING AND LEVERAGING RESOURCES (Rating Factor 4)

Members of our Consortium have identified substantial resources that will match the fundsrequested from HUD. These resources are described in our budget and the form for Rating Factor4, which are provided separately. In addition, as explained in Section 3.2(a) of this Application,our approach to creating a RPSD will mobilize a large amount of social capital, therebysubstantially increasing the positive impacts of HUD funding. By engaging and empoweringdiverse social networks that represent a vast pool of social capital, we will mobilize that capital forthe task of creating and implementing a RPSD.

5. ACHIEVING RESULTS AND PROGRAM EVALUATION (Rating Factor 5)

(a) Objectives, Milestones, and Metrics

Discussion of achievements and evaluation necessarily begins by addressing objectives. Asdiscussed in Section 2(d) of this Application, the project proposed here has three categories ofobjectives. The first category is to conduct Consortium Activities over the 3-year duration of theproject. The second category is to achieve, by the date of completion of Consortium Activities, aset ofPlanning Outcomes. One such outcome will be the RPSD. Another will be thestrengthening of visioning and planning capabilities in municipalities and other entities acrossCentral MA. The third category of objectives is to promote Sustainability Outcomes. Some ofthose outcomes may occur during this project, but most will occur after project completion. All


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will occur within our planning horizon of 2050. The Planning Outcomes and SustainabilityOutcomes that we seek are in three groups. The first group consists of eight MandatoryOutcomes specified by HUD. The second group consists ofAdditional Potential OutcomesIdentified by HUD. The third group consists ofGeneral Outcomes Identified by OurConsortium.

Milestones and metrics of accomplishment of these objectives will be of three types. First, ourWork Plan for Consortium Activities, as discussed in Section 3.4(a) of this Application, willspecify an array of work products to be completed by particular dates. Each product will beassessed against its specifications. Second, the Planning Outcomes, including the RPSD, willbecome evident at the end of the 3-year project period. The observed outcomes will be assessedagainst our goals, discussed in Section 2(d). Third, the Sustainability Outcomes will becomeevident at various times over the period until 2050. The RPSD will specify the attributes of thedesired Sustainability Outcomes, will provide metrics to assess achievement, and will set forth anevaluation process. The functioning of that evaluation process will, however, be beyond the scopeof this project.

Further information about milestones and metrics regarding Planning Outcomes and SustainabilityOutcomes is shown in the form for Rating Factor 5, provided separately.

(b) Adaptive Management

Ongoing evaluation, with use of the resulting information for course correction, is a central aspectof our proposed planning process. The essential idea (here termed adaptive management andsometimes termed structured learning) is that, when confronting an uncertain future, the ability tolearn from experience is critical. Capabilities are needed for monitoring outcomes, for evaluatingwhat works and what doesnt, and for using the knowledge gained to adapt projects and programs.Monitoring, evaluation, and adaptive-management capabilities are built into the design of thisproject and will serve several purposes:

(i) Advance the planning process by assessing the effectiveness of outreach, the adequacy andfunctioning of networks for communication, the needs for and effectiveness of capacitybuilding, the effectiveness of the use of MA and regional planning resources, and fidelity tothe Livability Principles.

(ii)Guide and develop lessons from community-inspired planning projects.(iii)Test and improve the ICET tools as they are prepared and put into use.(iv)Provide ongoing feedback for developing the RPSD, regarding coherence among planning

elements, consistency with MA guidance and with the Livability Principles, the practicalityand likely impact of proposed planning elements, and contributions to a shared purpose inpursuit of sustainability and livability.

(v)Establishment of indicators of sustainability, at a fundamental level, that can be used tomeasure progress and represent a shared purpose amongst the various participants.

(c) Overall Project Evaluation

Because monitoring and evaluation capabilities are so important as a design element in theproposed project, we will be exceptionally well positioned to provide, in addition to the ongoingevaluation described above, an overall evaluation that encompasses:

(i) Critical assessments of the contents and usability of the ICET tools, and suggestions forfuture development of such tools.


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(ii)Lessons learned from community-inspired planning projects.(iii)Lessons learned from the planning process, including suggestions for making the process

itself more sustainable, more resilient, and having the capacity to influence implementationand future adaptation of the RPSD.

(iv)A critical assessment of the RPSD, with an emphasis on characterizing its practicality, itscapabilities for adaptation, its coherence with local and regional concerns and interests, itsconsistency with MA and national conceptions of sustainability and livability, and itsreflection of a shared vision for a Central MA future.

(v)An overall set of lessons from the project experience that could inform other planningefforts.

Date post:	05-Apr-2018
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